SEC NEWS DIGEST Issue 2007-11 January 18, 2007 ENFORCEMENT PROCEEDINGS IN THE MATTER OF FRED ALGER MANAGEMENT, INC. AND FRED ALGER & COMPANY, INCORPORATED On January 18, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 (Order) against Fred Alger Management, Inc. (Alger Management), an investment adviser to mutual funds in the Alger Fund Group, and Fred Alger & Company, Incorporated (Alger Inc.), a broker-dealer that serves as the principal underwriter and distributor of Alger Fund Group mutual funds. The Order finds that contrary to language in the Alger Fund prospectus limiting investors to six exchanges per year, from at least 2000 through late 2002, Alger Inc. permitted select investors to market time the Alger Fund. Over time, Alger Inc. also began to demand that market timers make sticky asset investments in certain portfolios within the Alger Fund in exchange for timing capacity. In early 2003, Alger Inc. formalized this practice by requiring sales employees to negotiate a sticky asset investment equal to twenty percent of an investor's funds within the Alger Fund Group mutual fund complex in return for new timing capacity. Alger Inc.'s sales force then negotiated a number of these arrangements with market timers. Alger Inc. also permitted one hedge fund customer, Veras Investment Partners, to engage in late trading of Alger Fund portfolios. Neither Alger Management nor Alger Inc. disclosed these market timing and late trading arrangements to the Alger Fund's Board of Trustees. The market timing in the Alger Fund diluted the value of long-term shareholders' investments. At the same time, Alger Inc. and Alger Management benefited through advisory fees paid to Alger Management and distribution and servicing fees paid to Alger Inc. As a result of these activities, Alger Management violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Section 34(b) of the Investment Company Act of 1940. Alger Inc. violated Section 15(c) of the Securities Exchange Act of 1934 and Rule 22c-1 as adopted under Section 22(c) of the Investment Company Act, and Alger Inc. aided and abetted Alger Management's violations of Sections 206(1) and 206(2) of the Investment Advisers Act. Additionally, both Alger Management and Alger Inc. violated Section 17(d) of the Investment Company Act and Rule 17d-1 thereunder. Based on the above, the Order censures Alger Management and Alger Inc., directs Alger Management and Alger Inc. to cease and desist from committing or causing any future violations of the provisions referred to above, directs Alger Management and Alger Inc., jointly and severally, to pay disgorgement of $30,00,000 plus a civil money penalty of $10,000,000, and directs Alger Management and Alger Inc. to comply with certain undertakings. Alger Management and Alger Inc. consented to the issuance of the Order without admitting or denying any of the findings in the Order. The Commission would like to acknowledge the assistance of the New York Attorney General in this matter. (Rels. 34-55118; IA-2580; IC- 27663; File No. 3-12540; Press Rel. 2007-6) INVESTMENT COMPANY ACT RELEASES BARCLAYS GLOBAL FUND ADVISORS, ET AL. An order has been issued on an application filed by Barclays Global Fund Advisors, iShares Trust, iShares, Inc. and SEI Investments Distribution Co. The order amends an existing order that permits: (a) an open-end management company, that includes series based on certain fixed-income securities indices, to issue shares of limited redeemability; (b) secondary market transactions in the shares of the series to occur at negotiated prices; and (c) affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of the aggregations of the series' shares. The order permits the open-end management company in the prior order to offer an additional series based on a specified high-yield bond index. In addition, the order modifies the future relief in the prior order and certain other prior orders relating to exchange-traded funds offered by applicants. (Rel. IC-27661 - January 17) MFS SERIES TRUST X, ET AL. A notice has been issued giving interested persons until Feb. 12, 2007, to request a hearing on an application filed by MFS Series Trust X, et al. for an order under Section 17(d) of the Investment Company Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered open-end investment companies in the same group of investment companies to enter into a special servicing agreement. (Rel. IC-27662 - January 17) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NSCC-2006-11) filed by the National Securities Clearing Corporation that would amend its rules and procedures with respect to Clearing Fund collateral. Publication is expected in the Federal Register during the week of January 15. (Rel. 34-55095) The Commission approved a proposed rule change (SR-NASD-2006-101) filed by the National Association of Securities Dealers regarding a proposal to amend IM-10104 of the NASD Code of Arbitration Procedure 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 January 22. (Rel. 34-55108) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-CHX-2006-39) filed by the Chicago Stock Exchange relating to participant fees and credits 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 January 15. (Rel. 34-55103) 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: . SB-2 Solar Power, Inc., 4080 CAVITT STALLMAN ROAD, SUITE 100, GRANITE BAY, CA, 95746, 916 789-0833 - 18,833,334 ($18,953,334.00) Equity, (File 333-140023 - Jan. 17) (BR. 09B) S-1 Education Management LLC, 210 SIXTH AVENUE, PITTSBURGH, PA, 15222, 412-562-0900 - 0 ($1.00) Other, (File 333-140025 - Jan. 17) (BR. 11) S-3ASR ITC Holdings Corp., 39500 ORCHARD HILL PLACE, SUITE 200, NOVI, MI, 48375, 248-374-7100 - 0 ($0.00) Equity, (File 333-140026 - Jan. 17) (BR. 02B) S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6503855000 - 0 ($397,475.00) Equity, (File 333-140027 - Jan. 17) (BR. 03C) F-1 Mindray Medical International LTD, MINDRAY BUILDING, KEJI 12TH ROAD SOUTH, HI-TECH INDUSTRIAL PARK, NANSHAN, SHENZHEN, F4, 518057, (86)-755-2658-2888 - 12,974,303 ($308,528,925.34) ADRs/ADSs, (File 333-140028 - Jan. 17) (BR. 10B) S-4 CENTERSTATE BANKS OF FLORIDA INC, 1101 FIRST ST. S., SUITE 202, WINTER HAVEN, FL, 33880, 8632932600 - 1,333,741 ($4,321,192.00) Equity, (File 333-140029 - Jan. 17) (BR. 07C) F-1 Cellcom Israel Ltd., 10 HAGAVISH STREET, NETANYA, L3, 42140, 972-52-999-0052 - 0 ($392,782,500.00) Equity, (File 333-140030 - Jan. 17) (BR. 11) S-4 New England Bancshares, Inc., 855 ENFIELD STREET, ENFIELD, CT, 06082, 860-253-5200 - 0 ($11,163,550.00) Equity, (File 333-140031 - Jan. 17) (BR. 07B) S-8 PHAZAR CORP, 1209 ORANGE STREET, PO BOX 8985, WILMINGTON, DE, 19801, 9403253301 - 178,275 ($976,947.00) Equity, (File 333-140032 - Jan. 17) (BR. 11A) SB-2 InfoSearch Media, Inc., 310-437-7380 - 9,666,613 ($1,812,489.94) Equity, (File 333-140033 - Jan. 17) (BR. 08C) S-3 Cyclacel Pharmaceuticals, Inc., 150 JOHN F. KENNEDY PARKWAY, SUITE 100, SHORT HILLS, NJ, 07078, 44 1382 207506 - 0 ($75,000,000.00) Other, (File 333-140034 - Jan. 17) (BR. 01A) S-8 Polonia Bancorp, 3993 HUNTINGDON PIKE, 3RD FLOOR, HUNTINGDON VALLEY, PA, 19006, 215-938-8800 - 230,510 ($2,328,154.00) Equity, (File 333-140035 - Jan. 17) (BR. 07A) S-8 Pricester.Com, Inc., 3900 HOLLYWOOD BLVD, SUITE 203, HOLLYWOOD, FL, 33021, 954-272-1200 - 500,000 ($275,000.00) Equity, (File 333-140036 - Jan. 17) (BR. 08B) S-8 Atlas Energy Resources, LLC, 311 ROUSER ROAD, MOON TOWNSHIP, PA, 15108, 412-262-2830 - 3,742,000 ($84,101,450.00) Equity, (File 333-140037 - Jan. 17) (BR. 04) N-2 BlackRock Global Enhanced Equity Income Trust, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-810-5300 - 100,000 ($1,500,000.00) Equity, (File 333-140038 - Jan. 17) (BR. 17) F-10 NEUROCHEM INC, 275 ARMAND-FRAPPIER BLVD., LAVAL, A8, H7V 4A7, 450-680-4500 - 42,085,000 ($42,085,000.00) Debt, 0 ($60,000,000.00) Equity, (File 333-140039 - Jan. 17) (BR. 01B) S-4 RBS GLOBAL INC, 4701 GREENFIELD AVE, MILWAUKEE, WI, 53214, 4146433000 - 0 ($785,000,000.00) Non-Convertible Debt, (File 333-140040 - Jan. 17) (BR. 10C) S-8 WORLD HEART CORP, 7799 PARDEE LANE, OAKLAND, CA, 94621, 510-563-5000 - 0 ($2,325,000.00) Equity, (File 333-140041 - Jan. 17) (BR. 10C) S-8 NET 1 UEPS TECHNOLOGIES INC, 4TH FLOOR, PRESIDENT PLACE, CNR. JAN SMUTS & BOLTON, ROSEBANK, JOHANNESBURG, T3, 00000, 27 11 343 2000 - 3,750,274 ($98,350,725.34) Equity, (File 333-140042 - Jan. 17) (BR. 11C) S-4 INTEGRA BANK CORP, 227 MAIN ST P O BOX 868, EVANSVILLE, IN, 47705-0868, 8124649677 - 0 ($5,973,724.00) Equity, (File 333-140044 - Jan. 17) (BR. 07A) S-8 Gales Industries Inc, 1479 NORTH CLINTON AVENUE, BAY SHORE, NY, 11706, 631-968-5000 - 10,000,000 ($2,400,000.00) Equity, (File 333-140045 - Jan. 17) (BR. 05A) SB-2 DigitalFX International Inc, 3035 EAST PATRICK LANE, SUITE 9, LAS VEGAS, NV, 89120, 7029389271 - 1,000,000 ($4,750,000.00) Equity, (File 333-140047 - Jan. 17) (BR. 03C) S-3ASR Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 704-382-8160 - 0 ($140,869,692.00) Equity, (File 333-140048 - Jan. 17) (BR. 02A) S-3ASR Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 704-382-8160 - 0 ($38,595,000.00) Equity, (File 333-140049 - Jan. 17) (BR. 02A) 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 51146 INC DE 5.01,5.02,9.01 01/12/07 ABLE ENERGY INC DE 2.04,8.01 01/10/07 ABM INDUSTRIES INC /DE/ DE 1.01 01/10/07 ADVANCED OXYGEN TECHNOLOGIES INC DE 8.01 01/17/07 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,2.03 01/10/07 AHERN RENTALS INC 8.01,9.01 01/12/07 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,2.03,3.02 01/10/07 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 01/17/07 ALLIANCE ONE INTERNATIONAL, INC. VA 1.01,9.01 01/17/07 ALTERNATIVE ENERGY SOURCES INC 5.02,9.01 01/10/07 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 01/17/07 AMERICAN AIRLINES INC DE 2.02,9.01 01/17/07 American Express Issuance Trust DE 8.01,9.01 01/16/07 AMERICAN PACIFIC CORP DE 7.01,9.01 01/17/07 AMERITYRE CORP NV 5.02,8.01,9.01 01/17/06 AMPHENOL CORP /DE/ DE 2.02,8.01,9.01 01/17/07 AMR CORP DE 2.02,9.01 01/17/06 AMR CORP DE 1.01,9.01 01/17/07 ANADARKO PETROLEUM CORP DE 5.02 01/10/07 Anpath Group, Inc. 9.01 01/12/07 APPLE INC CA 2.02,9.01 01/17/07 APPLICA INC FL 1.01,7.01,9.01 01/16/07 ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 01/16/07 ARTISTDIRECT INC DE 1.01,1.02,9.01 01/12/07 ASYST TECHNOLOGIES INC CA 5.02 01/10/07 ATLAS MINING CO ID 3.02 01/16/07 AUTO UNDERWRITERS OF AMERICA, INC. 3.02 10/16/06 AUTOZONE INC NV 5.02 01/16/07 Averion International Corp. 5.02,9.01 01/11/07 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 01/11/07 BA Credit Card Funding, LLC DE 9.01 12/19/06 AMEND BANCFIRST CORP /OK/ OK 7.01 01/16/07 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 01/16/07 BANKATLANTIC BANCORP INC FL 5.02,9.01 01/16/07 Bear Stearns Asset Backed Securities DE 9.01 12/29/06 Bear Stearns Asset Backed Securities DE 9.01 11/30/06 Bear Stearns Asset Backed Securities 9.01 01/17/07 Bear Stearns Mortgage Funding Trust 2 DE 9.01 12/29/06 BIOANALYTICAL SYSTEMS INC IN 1.01,5.03,9.01 01/11/07 BioMed Realty Trust Inc MD 1.01,5.03,8.01,9.01 01/10/07 BJs RESTAURANTS INC CA 8.01,9.01 01/16/07 BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 01/17/07 BlueLinx Holdings Inc. DE 1.01,5.02,9.01 01/12/07 BORLAND SOFTWARE CORP DE 5.02,9.01 01/15/07 BOSTON COMMUNICATIONS GROUP INC MA 5.02 10/12/06 BRIDGFORD FOODS CORP CA 2.02,9.01 01/16/07 Bronco Drilling Company, Inc. DE 1.01,2.01,3.02,7.01,9.01 01/09/07 BRUNSWICK BANCORP NJ 3.01,9.01 01/16/07 C2 Global Technologies Inc FL 1.02,9.01 01/10/07 CABLEVISION SYSTEMS CORP /NY DE 8.01 01/12/07 CALAVO GROWERS INC CA 2.02,9.01 01/11/07 Calibre Energy, Inc. NV 3.02 11/06/06 Calibre Energy, Inc. NV 1.01 01/16/07 CALLISTO PHARMACEUTICALS INC DE 1.01,3.02,9.01 01/10/07 CALLON PETROLEUM CO DE 7.01,9.01 01/17/07 CapitalSouth Bancorp DE 5.02,9.01 01/16/07 CAPSOURCE FINANCIAL INC CO 1.01,9.01 09/05/06 AMEND CAPSOURCE FINANCIAL INC CO 1.01,9.01 09/05/06 AMEND CAPSOURCE FINANCIAL INC CO 1.01,2.01,2.03,3.02,9.01 05/01/05 AMEND CARDIOGENESIS CORP /CA CA 5.02,9.01 01/15/07 CAREMARK RX INC DE 1.01,8.01,9.01 01/16/07 CASCADE BANCORP OR 2.02,7.01,9.01 01/17/07 CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 01/16/07 CENTURY BANCORP INC MA 2.02,9.01 01/16/07 Century Petroleum Corp. NV 1.01,3.02,9.01 01/10/07 CHAMPPS ENTERTAINMENT INC DE 1.01,9.01 01/10/07 CHARYS HOLDING CO INC 1.01,9.01 05/03/06 AMEND China 3C Group NV 7.01 01/16/07 CHINA FUND INC MD 7.01,9.01 12/01/06 China Media Group CORP TX 1.01,3.02 01/17/06 China VoIP & Digital Telecom Inc. NV 8.01,9.01 01/17/07 CHURCHILL DOWNS INC KY 5.02 01/11/07 CIRRUS LOGIC INC DE 8.01 01/12/07 CIT GROUP INC DE 2.02,7.01,8.01,9.01 01/16/07 COLONIAL BANCGROUP INC DE 2.02,7.01,9.01 01/17/07 COMMONWEALTH BANKSHARES INC VA 8.01,9.01 01/17/07 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01 12/31/06 CONOLOG CORP DE 2.02,9.01 10/30/06 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 01/16/07 CORNERSTONE BANCSHARES INC TN 2.02,9.01 01/12/07 CORVU CORP MN 2.02,9.01 01/17/07 COURIER CORP MA 2.02,9.01 01/17/07 CrossPoint Energy CO NV 8.01 01/16/07 CROWN CASTLE INTERNATIONAL CORP DE 2.01,5.02,9.01 01/11/07 CSP INC /MA/ MA 2.02,9.01 01/17/07 CYBERLUX CORP NV 8.01 01/17/07 CYTOGENIX INC NV 3.02 01/17/07 DEFENSE INDUSTRIES INTERNATIONAL INC NV 8.01,9.01 01/17/07 DILLARDS INC DE 7.01,9.01 01/15/07 DIONEX CORP /DE CA 5.03,9.01 01/11/07 DIRECT EQUITY INTERNATIONAL, INC NV 5.02,9.01 01/10/07 DOUBLE EAGLE PETROLEUM CO MD 7.01,9.01 01/16/07 DOV PHARMACEUTICAL INC DE 1.01 01/15/07 DTE ENERGY CO MI 1.01,9.01 01/10/07 DTE ENERGY CO MI 1.01,9.01 01/10/07 DTE ENERGY CO MI 1.01,9.01 01/10/07 DYNCORP INTERNATIONAL INC. DE 5.02 01/16/07 EDGEWATER FOODS INTERNATIONAL, INC. 1.01,3.02,9.01 01/17/07 ELECTRIC AQUAGENICS UNLIMITED INC DE 1.01,3.02,5.02,5.03,8.01,9.01 11/16/06 ELECTRO ENERGY INC FL 4.02,7.01,9.01 01/10/07 ELKCORP DE 1.01,5.02,7.01,9.01 01/15/07 ENCORE ACQUISITION CO DE 7.01,9.01 01/17/07 ENCORE ACQUISITION CO DE 1.01,7.01,9.01 01/16/07 ENCORE ACQUISITION CO DE 7.01,9.01 01/17/07 Energy Transfer Equity, L.P. DE 2.02,5.02,9.01 01/10/07 Energy Transfer Partners, L.P. DE 5.02,9.01 01/10/07 EP MEDSYSTEMS INC NJ 7.01,9.01 01/11/07 EQUINIX INC DE 8.01 01/11/07 ERP OPERATING LTD PARTNERSHIP MD 2.06,7.01,9.01 12/06/06 EXPRESS SCRIPTS INC DE 8.01,9.01 01/16/07 Extra Space Storage Inc. MD 2.01,9.01 01/17/07 Federal Home Loan Bank of Chicago X1 2.02,9.01 01/17/07 Federal Home Loan Bank of Chicago X1 5.02 11/07/06 AMEND Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/10/07 Federal Home Loan Bank of Dallas 5.02 11/17/06 AMEND FIDELITY BANCORP INC PA 2.02,8.01,9.01 01/17/07 FINANCIAL INSTITUTIONS INC NY 5.02 01/11/07 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 12/31/06 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 12/31/06 FIRST NATIONAL BANCSHARES INC /SC/ SC 2.02,9.01 01/16/07 FIRST PACTRUST BANCORP INC MD 8.01 01/17/07 FIRST POTOMAC REALTY TRUST MD 7.01,9.01 01/10/07 FLOTEK INDUSTRIES INC/CN/ DE 7.01 01/09/07 Fortress America Acquisition CORP DE 8.01,9.01 01/17/07 FOUR OAKS FINCORP INC NC 8.01 01/17/07 Franchise Capital CORP NV 1.01 01/12/07 FULLER H B CO MN 2.02,9.01 01/16/07 FULTON FINANCIAL CORP PA 5.02 01/17/07 GATEWAY FINANCIAL HOLDINGS INC NC 7.01,9.01 01/16/07 GENCOR INDUSTRIES INC DE 1.01,5.02 01/16/07 GENERAL COMPONENTS, INC. NV 2.01,9.01 10/27/06 AMEND Granite Falls Energy, LLC MN 7.01 01/17/07 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/12/07 AMEND GreenPoint MFT 2006-AR3 DE 6.04 01/09/07 GREENVILLE FIRST BANCSHARES INC SC 5.02,9.01 01/11/07 Gregg Appliances Inc 1.01,9.01 01/17/07 GRYPHON GOLD CORP NV 7.01,9.01 01/17/07 GUARANTY FEDERAL BANCSHARES INC DE 2.02,8.01,9.01 12/31/06 HANSEN NATURAL CORP DE 3.01,9.01 01/10/07 HARRINGTON WEST FINANCIAL GROUP INC/C 5.02,9.01 01/09/07 HEADWATERS INC DE 8.01,9.01 01/16/07 HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 01/17/07 HEI INC MN 2.02,9.01 01/17/06 HERCULES OFFSHORE, INC. DE 5.02,9.01 01/10/07 HINES HORTICULTURE INC DE 1.01,2.01,9.01 01/09/07 HINES HORTICULTURE INC DE 2.01,9.01 01/10/07 HOMASSIST CORP NV 5.03,9.01 01/10/07 Hoopsoft Development Corp NV 5.01,5.02,8.01,9.01 01/16/07 HYPERCOM CORP DE 1.01,5.02,9.01 01/16/07 IA GLOBAL INC DE 2.03,9.01 12/26/06 IBIS TECHNOLOGY CORP MA 2.02,9.01 01/17/07 ID-CONFIRM, INC. NV 2.04 01/09/07 IDERA PHARMACEUTICALS, INC. DE 1.01,9.01 01/16/07 iDNA, Inc. DE 7.01,9.01 01/17/07 IDT CORP DE 7.01,9.01 01/09/07 IMERGENT INC DE 7.01 01/12/07 INFINITY ENERGY RESOURCES, INC 1.01,2.03,9.01 01/10/07 INFORM WORLDWIDE HOLDINGS INC CO 5.03,9.01 01/16/07 INNOFONE COM INC NV 2.03,3.02,8.01,9.01 01/16/07 INSITUFORM TECHNOLOGIES INC DE 5.02,9.01 01/11/07 INSURANCE AUTO AUCTIONS, INC IL 1.01,5.02,9.01 01/08/07 INSURANCE AUTO AUCTIONS, INC IL 2.04 01/08/07 INSURANCE AUTO AUCTIONS, INC IL 4.01,9.01 01/10/07 INTERDIGITAL COMMUNICATIONS CORP PA 5.02 01/15/07 INVESTOOLS INC DE 8.01,9.01 01/17/07 IOMAI CORP 1.01,8.01,9.01 01/17/07 ION MEDIA NETWORKS INC. 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DE 5.02,9.01 01/10/07 NESS TECHNOLOGIES INC 5.02,9.01 01/15/07 NewGen Technologies, Inc NV 5.02,8.01,9.01 01/16/07 NewGen Technologies, Inc NV 1.01,8.01,9.01 01/17/07 News of China Inc DE 3.02 12/31/06 NORTHERN STATES FINANCIAL CORP /DE/ DE 2.02 01/17/07 NORTHERN TRUST CORP DE 2.02,9.01 01/17/07 NOVAMED INC DE 5.02,9.01 01/15/07 NVE CORP /NEW/ MN 2.02 01/17/07 OHIO VALLEY BANC CORP OH 2.02,9.01 12/31/06 OMEGA HEALTHCARE INVESTORS INC MD 5.02,5.03,9.01 01/17/07 OMNIVISION TECHNOLOGIES INC DE 1.01 01/10/07 ONEOK INC /NEW/ OK 7.01,9.01 01/17/07 ONEOK Partners LP DE 8.01,9.01 01/17/07 ONEOK Partners LP DE 7.01,9.01 01/17/07 OPENTV CORP 5.01,5.02,7.01,9.01 01/16/07 OVERSEAS SHIPHOLDING GROUP INC DE 5.02,9.01 01/10/07 PACE HEALTH MANAGEMENT SYSTEMS INC IA 2.03,9.01 01/12/07 Pacific Ethanol, Inc. 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