SEC NEWS DIGEST


   Issue 2007-03 					  January 5, 2007



   COMMISSION ANNOUNCEMENTS


   ELAINE  GREENBERG   NAMED   ASSOCIATE   DISTRICT   ADMINISTRATOR   FOR
   ENFORCEMENT IN THE SEC'S PHILADELPHIA DISTRICT OFFICE

   On January 4, the Securities and  Exchange  Commission  announced  the
   appointment of Elaine C. Greenberg as Associate District Administrator
   for Enforcement  in  the  Commission's  Philadelphia  District  Office
   (PDO). In this position, Ms. Greenberg will oversee  the  Commission's
   enforcement program in the Mid-Atlantic region. Ms. Greenberg succeeds
   Daniel M. Hawke, who was appointed District Administrator of  the  PDO
   in April 2006.

   During her  19-year  tenure  at  the  Commission,  Ms.  Greenberg  has
   investigated or supervised  numerous  significant  and  groundbreaking
   enforcement actions involving insider  trading,  financial  accounting
   fraud, and securities industry conflicts of interest.

   SEC Director of Enforcement Linda Chatman Thomsen stated, "Elaine is a
   smart, energetic and pragmatic lawyer who possesses a  deep  knowledge
   of the federal securities laws and has proven  to  be  an  outstanding
   manager. I am delighted that Elaine will assume the leadership of  the
   enforcement program in our Philadelphia office  and  look  forward  to
   continuing to work with her."

   Dan Hawke, District Administrator  of  the  PDO  said,  "Elaine  is  a
   skilled investigator who has mastered the complexity and nuance of SEC
   practice. She is an engaging supervisor who brings out  excellence  in
   the people she supervises. Elaine has earned the trust and  admiration
   of her colleagues in the PDO and the respect of  the  defense  counsel
   with whom she has dealt. I am thrilled to  welcome  Elaine  into  this
   important position."

   Recently,  Ms.  Greenberg  spearheaded  enforcement  actions   against
   broker-dealer Friedman, Billings, Ramsey & Co. and hedge fund managers
   John  F.  Mangan,  Jr.  and  Hilary  Shane  for  insider  trading  and
   registration violations in connection  with  their  short  selling  of
   securities prior to the public announcement of a "PIPE" transaction.

   Prior to these actions, Ms. Greenberg led the Commission's  initiative
   in the area of revenue sharing by overseeing  precedent-setting  cases
   against broker-dealers Morgan Stanley, Citigroup  Global  Markets  and
   Capital  Analysts  and  against  mutual   fund   investment   advisers
   Massachusetts Financial Services Company, Putnam Investment Management
   and PA Fund Management (PIMCO  mutual  funds'  adviser)  that  exposed
   their undisclosed conflicts  of  interest  in  connection  with  their
   "shelf space" arrangements.

   Other  matters  to  which   Ms.   Greenberg   has   made   significant
   contributions include enforcement actions  against  Allegheny  Health,
   Education and Research Foundation, four of its officers and  three  of
   its outside auditors for false and misleading financial statements and
   audit opinions; Meridian Securities for  engaging  in  the  fraudulent
   municipal securities practice of "yield burning"; CNC Trading  Company
   for operating the largest "Ponzi" scheme in New Jersey's history;  and
   Nevis Capital Management for investment adviser  fraud  in  connection
   with its IPO allocations and false performance advertising.

   Ms. Greenberg joined the PDO in October 1987 as an  enforcement  staff
   attorney and subsequently served as a branch chief until January 2001,
   when she became an Assistant  District  Administrator  for  the  PDO's
   enforcement  program.  Ms.  Greenberg,  a  Phi  Beta  Kappa  graduate,
   received her B.A. and J.D. degrees from Temple University in 1982  and
   1986, respectively. She is married and has three children. (Press Rel.
   2007-1)

   STATEMENTS OF SEC CHAIRMAN CHRISTOPHER COX AND DIVISION OF  INVESTMENT
   MANAGEMENT DIRECTOR ANDREW DONOHUE REGARDING  THE  INVESTMENT  COMPANY
   INSTITUTE'S MUTUAL FUND INTERACTIVE DATA TAXONOMY

   The Investment Company Institute (ICI) released for public review  the
   draft taxonomy that it has developed  for  tagging  the  data  in  the
   risk/return summary  that  is  at  the  front  of  every  mutual  fund
   prospectus. The  risk/return  summary  contains  information  that  is
   important to an investment decision, including  investment  objectives
   and strategies, costs, risks, and historical performance information.

   On January 4, Christopher Cox, Chairman, U.S. Securities and  Exchange
   Commission, said,

   "I applaud the ICI and its President, Paul  Schott  Stevens,  for  the
   leadership  role  they  have  played  in  bringing  the  potential  of
   interactive  data  closer  to  reality  for  mutual  fund   customers.
   Completing the taxonomy for the mutual fund risk/return summary  means
   that funds can now make this information available to investors in far
   more useful ways. Interactive data will transform static figures  into
   dynamic  databases  that  can  readily  be  searched,  analyzed,   and
   compared. There is no more important place  for  application  of  this
   tool  than  mutual  funds,  where  millions  of  Americans  engage  in
   comparison shopping every day. Retail investors rely on  mutual  funds
   to finance their retirement, their education, their  health  care  and
   almost every other need. Today's announcement means they will soon  be
   armed with better, more accessible information on which to base  their
   investment decisions. The SEC will act quickly to facilitate  the  use
   of the new taxonomy in Commission filings."

   Andrew Donohue, Director of the  Division  of  Investment  Management,
   U.S. Securities and Exchange Commission, added,

   "The ICI's release of the draft taxonomy  is  a  welcome  development,
   offering the potential for tagging of prospectus information  that  is
   important to mutual fund investment decisions. We encourage investors,
   members of the mutual fund industry, and other interested  parties  to
   provide their comments to the ICI  during  the  45-day  public  review
   period in order  to  assist  the  ICI  in  its  efforts  to  create  a
   technological tool that has the potential to enhance greatly  the  way
   in which information is provided to  mutual  fund  investors."  (Press
   Rel. 2007-2)

   AGENCIES  ISSUE  FINAL  STATEMENT  CONCERNING  ELEVATED  RISK  COMPLEX
   STRUCTURED FINANCE ACTIVITIES

   Five federal agencies on  Friday  issued  a  final  statement  on  the
   complex structured finance activities of financial  institutions.  The
   statement describes the types of internal controls and risk management
   procedures that should help financial institutions  identify,  manage,
   and address the heightened legal and reputational risks that may arise
   from certain complex structured finance transactions (CSFTs).

   The final statement is substantially similar to the revised  statement
   issued for comment in May 2006,  but  has  been  modified  in  certain
   respects to address comments received on the revised  statement.  Like
   the proposal issued in May, the final  statement  takes  a  risk-  and
   principles-based approach to addressing the risks CSFTs  may  pose  to
   institutions and focuses on those  CSFTs  that  may  present  elevated
   levels of legal or reputational risk to institutions.

   The final statement was issued  by  the  Board  of  Governors  of  the
   Federal Reserve System, the Federal Deposit Insurance Corporation, the
   Office of the Comptroller  of  the  Currency,  the  Office  of  Thrift
   Supervision and the Securities and Exchange Commission. The  statement
   represents supervisory guidance for  institutions  supervised  by  the
   four  banking  agencies  and  a  policy  statement  for   institutions
   supervised by the Securities  and  Exchange  Commission.  Because  the
   statement focuses on sound practices related to elevated risk CSFTs --
   transactions that typically are conducted by a limited number of large
   financial institutions -- it will not affect  or  apply  to  the  vast
   majority of financial institutions, including most small institutions.

   The final statement will be published in the Federal Register shortly.
   (Press Rel. 2007-3)

   COMMISSION MEETINGS

   CLOSED MEETING - THURSDAY, JANUARY 11, 2007 - 2:00 P.M.

   A closed meeting of the Commission will be held on  Thursday,  January
   11, at 2:00 p.m. The subject matters of the  meeting  will  be  formal
   orders of investigation;  institution  and  settlement  of  injunctive
   actions; institution and settlement of administrative  proceedings  of
   an enforcement nature; an adjudicatory  matter;  a  regulatory  matter
   regarding a financial institution;  amicus  consideration;  and  other
   matters relating to enforcement proceedings.

   At times, changes in Commission priorities require alterations in  the
   scheduling of meeting items. For further information and to  ascertain
   what, if any, matters have been added, deleted  or  postponed,  please
   contact the Office of the Secretary at (202) 551-5400.


   ENFORCEMENT PROCEEDINGS


   COMMISSION MODIFIES SANCTIONS IMPOSED ON ROONEY A. SAHAI FOR VIOLATION
   OF NASD RULE 8210.

   On January 5, the Commission modified the sanctions  NASD  imposed  on
   Rooney A. Sahai for violation of NASD Rule 8210.  In  2001,  NASD  had
   propounded seven requests for information to Sahai and requested  that
   he submit to an  on-the-record  interview  in  the  course  of  NASD's
   investigation of forgery and unauthorized transaction  charges.  Sahai
   participated in the interview and  responded  to  five  of  the  seven
   requests for information, but  Sahai's  responses  were  untimely  and
   incomplete. NASD found that Sahai was responsible for forging customer
   documents, executing  an  unauthorized  transaction,  and  failing  to
   respond to requests for information. In an April  18,  2005,  opinion,
   the Commission  set  aside  the  forgery  charges  and  sustained  the
   unauthorized-transaction   and   failure-to-respond    charges.    The
   Commission remanded  the  proceeding  to  NASD  for  consideration  of
   sanctions in light of the opinion. On remand, NASD  barred  Sahai  for
   the failure to respond and  fined  him  $5,000  for  the  unauthorized
   transaction. Pursuant to NASD policy, NASD did  not  impose  the  fine
   because Sahai had been barred.

   Because the record did not support a finding that Sahai had failed  to
   respond in any manner, the only conduct that would justify a bar under
   NASD Rule 8210, the Commission found  that  a  bar  was  an  excessive
   sanction. The  Commission  suspended  Sahai  for  two  years  for  the
   untimely and incomplete  responses  in  violation  of  Rule  8210  and
   imposed the fine that NASD deemed  appropriate  for  the  unauthorized
   transaction. (Rel. 34-55046; File No. 3-11652r)
  
   SEC OBTAINS ORDERS OF FINAL JUDGMENT  AGAINST  ANTHONY  NECOECHEA  AND
   20TH CENTURY JACKSON EQUITIES, INC.

   On Dec. 12, 2006, the Commission obtained a default  judgment  against
   Defendants Anthony  M.  Necoechea,  of  San  Diego,  Calif.,  and  his
   company, 20th Century Jackson Equities, Inc., for their role in a pump
   and dump scheme relating to the securities of U.S. Wind Farming,  Inc.
   The SEC alleged that Necoechea, through 20th Century Jackson Equities,
   obtained  millions  of  shares  of  U.S.  Wind  Farming  stock  in  an
   unregistered offering. Pursuant to the scheme, Necoechea then directed
   the sale of the shares into the public market to kickback to U.S. Wind
   Farming a portion of the proceeds of these sales.

   The Final Judgment permanently  enjoins  Necoechea  and  20th  Century
   Jackson Equities from violating the  registration  provisions  of  the
   federal securities law and permanently bars them from participating in
   penny stock offerings. The Court also ordered that Necoechea and  20th
   Century  Jackson  Equities  are  jointly  and  severally  liable   for
   disgorgement plus prejudgment totaling $350,268.17 and a civil penalty
   of $120,000.

   For further information, see LR-19311 (July 26, 2005), LR-19546  (Jan.
   30, 2006), LR-19802 (Aug. 11, 2006), and  LR-19886  (Oct.  25,  2006).
   [SEC v. U.S. Wind Farming, Inc., et al, Civil Action No.  05  C  4259,
   United States District Court for the Northern  District  of  Illinois,
   filed July 25, 2005] (LR-19958)

   SEC OBTAINS ORDERS OF FINAL  JUDGMENT  AGAINST  RAYMOND  MCNAMEE,  MAD
   WORLD CAPITAL GROUP, LLC,  TEMPLAR  FINANCIAL,  LLC,  AND  TIME  LIMIT
   CAPITAL, LLC

   On Dec. 22, 2006, the SEC obtained default judgments against Defendant
   Raymond J. McNamee, of Newport  Beach,  California,  and  entities  he
   controlled:  Defendants  Mad  World  Capital   Group,   LLC,   Templar
   Financial, LLC, and Time Limit Capital, LLC. The SEC had alleged  that
   McNamee and Defendant William L. Telander engaged  in  a  penny  stock
   pump and dump scheme through Defendant U.S. Wind Farming, Inc. McNamee
   helped create U.S. Wind Farming and obtained millions of shares of its
   stock, through the entities that he  controlled,  in  an  unregistered
   offering. Pursuant to the scheme, McNamee  created  artificial  demand
   for U.S. Wind Farming stock through false and misleading statements in
   press releases and on U.S. Wind Farming's website. McNamee  then  sold
   the U.S. Wind Farming shares he obtained into the hyped public  market
   without registering the transactions.

   The Final Judgments permanently  enjoin  McNamee  from  violating  the
   antifraud  provisions  of  the  federal  securities  laws.  The  Final
   Judgments also permanently enjoin McNamee, Mad  World  Capital  Group,
   Templar  Financial,  and  Time  Limit  Capital  from   violating   the
   registration provisions of the federal securities law and  permanently
   bars them from participating in penny stock offerings. The Court  also
   ordered that McNamee is jointly and severally liable  with  Mad  World
   Capital  Group,  Templar  Financial,  and  Time  Limit   Capital   for
   disgorgement plus prejudgment interest totaling  $482,112.52.  Lastly,
   the Court ordered that McNamee is jointly and  severally  liable  with
   Mad World Capital Group, Templar Financial, and Time Limit Capital for
   a civil penalty of $500,000.

   For further information, see LR-19311 (July 26, 2005), LR-19546  (Jan.
   30, 2006), LR-19802 (Aug. 11, 2006), and  LR-19886  (Oct.  25,  2006).
   [SEC v. U.S. Wind Farming, Inc., et al, Civil Action No.  05  C  4259,
   United States District Court for the Northern  District  of  Illinois,
   filed July 25, 2005] (LR-19959)


   INVESTMENT COMPANY ACT RELEASES


   NEW RIVER FUNDS AND NEW RIVER ADVISERS LLC

   A notice has been issued giving interested persons until January 29 to
   request a hearing on an application filed by New River Funds  and  New
   River Advisers LLC for an  order  exempting  applicants  from  Section
   15(a) of the Investment Company Act and Rule 18f-2 under the Act.  The
   order would permit the applicants to enter into and  materially  amend
   subadvisory agreements without shareholder approval and  grant  relief
   from certain disclosure requirements. (Rel. IC-27653 - January 3)


   SELF-REGULATORY ORGANIZATIONS


   ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

   The Commission published notice of and granted accelerated approval to
   a proposed rule change  and  Amendment  Nos.  1  and  2  thereto  (SR-
   NYSEArca-2006-75) submitted by NYSE  Arca  under  Rule  19b-4  of  the
   Securities  Exchange  Act  of  1934  relating  to   trading   Claymore
   MACROshares Oil Up Tradeable Shares and Claymore MACROshares Oil  Down
   Tradeable Shares pursuant to unlisted trading privileges.  Publication
   is expected in the Federal Register during  the  week  of  January  8.
   (Rel. 34-55033)

   APPROVAL OF PROPOSED RULE CHANGE

   The Commission granted approval of a proposed rule  change  (File  No.
   SR-FICC-2006-10) filed by the Fixed Income Clearing Corporation  under
   Section 19(b)(1) of the  Exchange  Act  to  amend  the  rules  of  its
   Mortgage-Backed Securities Division regarding membership  requirements
   for  Unregistered  Investment  Pools.  Publication  of  the  order  is
   expected in the Federal Register during the week of January  8.  (Rel.
   34-55037)


   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:
   <publicinfo@sec.gov>.  In  most  cases,  this  information   is   also
   available on the Commission's website: <www.sec.gov>.

S-8     RENT A CENTER INC DE, 5700 TENNYSON PARKWAY, THIRD FLOOR, PLANO, TX, 
        75024, 2144192613 - 0 ($71,551,240.59) Equity, (File 333-139792 - 
        Jan. 4) (BR. 06B)

S-1     METROPCS COMMUNICATIONS INC, 0 ($1,125,000,000.00) Equity, 
        (File 333-139793 - Jan. 4) (BR. 11)

S-8     SEALY CORP, 520 PIKE ST, SEATTLE, WA, 98101, 2066251233 - 
        17,986,845 ($151,291,757.44) Equity, (File 333-139794 - Jan. 4) 
        (BR. 06C)

S-3     G III APPAREL GROUP LTD /DE/, 512 SEVENTH AVE, NEW YORK, NY, 10018, 
        2126298830 - 0 ($75,068,878.50) Equity, (File 333-139795 - Jan. 4) 
        (BR. 02C)

S-8     HI TECH PHARMACAL CO INC, 369 BAYVIEW AVENUE, AMITYVILLE, NY, 11701, 
        5167898228 - 750,000 ($9,037,500.00) Equity, (File 333-139796 - Jan. 4) 
        (BR. 01A)

SB-2    Patterson Brooke Resources Inc., 2398 HAINES ROAD, UNIT 5, MISSISSAUGA, 
        A6, L4Y 1Y6, 416-819-3795 - 838,000 ($41,900.00) Equity, 
        (File 333-139797 - Jan. 4) (BR. )

S-8     ADVANCED PLANT PHARMACEUTICALS INC, 43 W 33RD STREET, NEW YORK, NY, 
        10001, 2124027878 - 0 ($322,000.00) Equity, (File 333-139800 - Jan. 4) 
        (BR. 04B)

S-3ASR  FOREST CITY ENTERPRISES INC, 1100 TERMINAL TOWER, 50 PUBLIC SQ, 
        CLEVELAND, OH, 44113, 216-621-6060 - 
        287,500,000 ($287,500,000.00) Non-Convertible Debt, (File 333-139801 - 
        Jan. 4) (BR. 08B)

S-3     OHIO POWER CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215, 614-716-2654 - 
        0 ($450,000,000.00) Non-Convertible Debt, (File 333-139802 - Jan. 4) 
        (BR. 02B)

S-8     FELLOWS ENERGY LTD, 8716 ARAPAHOE ROAD, C/O FELLOWS ENERGY LTD., 
        BOULDER, CO, 80303, 7203086109 - 2,000,000 ($150,000.00) Equity, 
        (File 333-139803 - Jan. 4) (BR. 04C)

SB-2    Future Quest Nevada, Inc., 6302 MESEDGE DRIVE, COLORADO SPRINGS, CO, 
        80919, 7195982469 - 25,000,000 ($500,000.00) Equity, (File 333-139804 - 
        Jan. 4) (BR. )

SB-2    InfoLinx Communications Ltd., 180 PEMBERTON AVENUE, NORTH VANCOUVER, 
        A1, V7P 2R5, 604-990-9368 - 16,208,810 ($3,971,159.00) Equity, 
        (File 333-139805 - Jan. 4) (BR. )

S-4     IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70505, 
        3375214003 - 0 ($41,469,052.00) Equity, (File 333-139806 - Jan. 4) 
        (BR. 07A)

S-4     MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 
        770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 
        0 ($73,504,082.52) Equity, (File 333-139807 - Jan. 4) (BR. 07A)


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:
   <publicinfo@sec.gov>.  In  most  cases,  this  information   is   also
   available on the Commission's website: <www.sec.gov>.


				        STATE     
NAME OF ISSUER                          CODE   	 8K ITEM NO.		    	DATE       COMMENT
-------------------------------------------------------------------------------------------------------
2-Track Global, Inc.                             5.02                           12/31/06

ABERCROMBIE & FITCH CO /DE/             DE       7.01,9.01                      01/04/07

Abington Community Bancorp, Inc.        PA       5.02,9.01                      12/27/06

ACCELRYS, INC.                          DE       2.05                           12/22/06

ADESA INC                                        5.02                           12/27/06

AEHR TEST SYSTEMS                       CA       2.02,9.01                      01/04/07

AIRNET SYSTEMS INC                      OH       1.01,1.02,5.02,9.01            12/28/06

AIRTRAX INC                             NJ       5.02,9.01                      12/11/06

ALEXANDER & BALDWIN INC                 HI       1.01,2.03,9.01                 12/28/06

ALLERGAN INC                            DE       8.01,9.01                      01/04/07

ALLIANT TECHSYSTEMS INC                 DE       5.02,9.01                      01/03/07

Allis Chalmers Energy Inc.              DE       8.01,9.01                      01/04/07

ALLSCRIPTS HEALTHCARE SOLUTIONS INC     DE       8.01                           12/13/06

Alternative Loan Trust 2006-OA19                 7.01,9.01                      12/22/06

Altra Holdings, Inc.                    DE       8.01,9.01                      01/04/07

Altra Industrial Motion, Inc.           DE       8.01,9.01                      01/04/07

AMERICAN BAR ASSOCIATION MEMBERS STAT   MA       5.02                           12/12/06

AMERICAN LAND LEASE INC                 DE       1.01,9.01                      12/29/06

AMERICAN RIVER BANKSHARES               CA       7.01,9.01                      01/04/07

AMERICAN ROCK SALT CO LLC                        7.01                           01/04/07

AMERICAN SAFETY INSURANCE HOLDINGS LT            5.02                           01/01/06

American Southwest Music Distribution   DE       1.01,3.02                      01/02/07

ANIXTER INTERNATIONAL INC               DE       8.01,9.01                      01/04/07

ANNTAYLOR STORES CORP                   DE       7.01,9.01                      01/04/07

ARCADIA RESOURCES, INC                  NV       3.02,9.01                      12/28/06

ARGON ST, Inc.                          DE       8.01                           12/29/06

ARROW ELECTRONICS INC                   NY       1.01,9.01                      01/02/07

ARROW INTERNATIONAL INC                 PA       2.02,9.01                      01/04/07

ASI ENTERTAINMENT INC                   DE       8.01,9.01                      12/31/06

ASIAINFO HOLDINGS INC                   DE       5.02                           01/01/07

ASIAMART, INC.                          DE       9.01                           06/22/06    AMEND

AspenBio Pharma, Inc.                   CO       2.02,3.02,7.01,9.01            12/29/06

ASTORIA FINANCIAL CORP                  DE       8.01,9.01                      01/04/07

ATHEROGENICS INC                        GA       5.02                           01/01/07

AVNET INC                               NY       7.01,9.01                      12/31/06

BAKERS FOOTWEAR GROUP INC               MO       7.01,9.01                      01/04/07

BANCINSURANCE CORP                      OH       8.01,9.01                      01/04/07

BANK JOS A CLOTHIERS INC /DE/           DE       8.01,9.01                      01/04/07

BARNWELL INDUSTRIES INC                 DE       8.01,9.01                      01/04/07

BASIC EARTH SCIENCE SYSTEMS INC         DE       8.01,9.01                      01/04/07

BASIC ENERGY SERVICES INC                        5.02,9.01                      12/29/06

Bear Stearns ALT-A Trust 2006-6         DE       6.04                           12/28/06

Bear Stearns ALT-A Trust 2006-R1        DE       6.04                           12/28/06

Bear Stearns Asset Backed Securities    DE       9.01                           07/26/06

Bear Stearns Asset Backed Securities    DE       9.01                           07/26/06

Bear Stearns Asset Backed Securities    DE       9.01                           03/07/06

Bear Stearns Asset Backed Securities    DE       9.01                           06/21/06

bebe stores, inc.                       CA       2.02,9.01                      12/30/06

BEHRINGER HARVARD MID TERM VALUE ENHA   TX       2.01,9.01                      12/28/06

BELLAVISTA CAPITAL INC                  MD       2.02,9.01                      01/03/07

BERKSHIRE HILLS BANCORP INC                      8.01,9.01                      01/03/07

BIO RAD LABORATORIES INC                DE       3.01                           01/03/07

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       1.01,9.01                      12/28/06

BISYS GROUP INC                         DE       1.01,9.01                      12/29/06

BJs RESTAURANTS INC                     CA       8.01,9.01                      01/04/07

BJS WHOLESALE CLUB INC                  DE       7.01,9.01                      01/04/07

Bois d Arc Energy, Inc.                 NV       8.01,9.01                      01/04/07

BOOTS & COOTS INTERNATIONAL WELL CONT   DE       1.01                           12/15/06

BOSTON LIFE SCIENCES INC /DE            DE       1.01,9.01                      12/28/06

Brand Energy & Infrastructure Service   DE       8.01,9.01                      01/03/07

Brand Energy & Infrastructure Service   DE       8.01,9.01                      01/03/07

BRIGHAM EXPLORATION CO                  DE       2.02,7.01,9.01                 01/03/07

BRINKER INTERNATIONAL INC               DE       8.01,9.01                      01/04/07

BROADCOM CORP                           CA       5.02                           12/29/06

BROADWAY FINANCIAL CORP \DE\            DE       5.02                           12/31/06

BUTLER INTERNATIONAL INC /MD/           MD       1.01,9.01                      12/27/06

BWAY CORP                               DE       5.02,9.01                      01/03/07

CADISCOR RESOURCES INC.                          8.01                           12/31/06

CAL MAINE FOODS INC                     DE       5.02,9.01                      12/28/06

CAL MAINE FOODS INC                     DE       2.02,9.01                      01/03/07

CAL-BAY INTERNATIONAL INC               NV       2.01                           01/03/07

CALLISTO PHARMACEUTICALS INC            DE       8.01,9.01                      01/04/07

CALTON INC                              NJ       5.02                           12/29/06

Camelot Entertainment Group, Inc.       DE       1.01,2.03,3.02,9.01            12/27/06

CANEUM INC                              NV       1.01,2.01,3.02,7.01,9.01       12/29/06

CANO PETROLEUM, INC                              2.03,5.02,9.01                 12/28/06

CANYON RESOURCES CORP                   DE       1.01,2.01,9.01                 12/29/06

CAREMARK RX INC                         DE       8.01,9.01                      01/04/07

CASH SYSTEMS INC                        DE       1.01,9.01                      12/29/06

CELEBRATE EXPRESS, INC.                          2.02,5.02,9.01                 01/04/07

CELLSTAR CORP                           DE       7.01,9.01                      01/04/07

CENTENNIAL COMMUNICATIONS CORP /DE      DE       2.02,9.01                      01/04/07

CENTURY PROPERTIES FUND XVIII           CA       2.01,9.01                      12/28/06

CHARLES & COLVARD LTD                   NC       1.01,9.01                      12/29/06

CHICOS FAS INC                          FL       7.01,9.01                      01/04/07

CHILDRENS PLACE RETAIL STORES INC                8.01,9.01                      01/04/07

China 3C Group                          NV       5.02,9.01                      01/02/07

CINGULAR WIRELESS LLC                   DE       5.01,8.01                      12/29/06

Citicorp Mortgage Securities Trust, S   DE       8.01,9.01                      01/04/07

CITIGROUP DIVERSIFIED FUTURES FUND LP            3.02                           01/01/07

CITIGROUP FAIRFIELD FUTURES FUND LP I            3.02                           01/01/07

CLAIRES STORES INC                      DE       2.02,9.01                      01/04/07

CNB CORP /SC/                           SC       1.01,5.02,7.01,9.01            12/21/06

COAST FINANCIAL HOLDINGS INC                     5.02,9.01                      12/29/06

COGNEX CORP                             MA       8.01,9.01                      01/04/07

COLLINS & AIKMAN FLOOR COVERINGS INC    DE       8.01                           12/31/06

COMARCO INC                             CA       2.02,9.01                      12/21/06

Comstock Homebuilding Companies, Inc.   DE       5.02,8.01,9.01                 12/27/06

COMSTOCK RESOURCES INC                  NV       8.01,9.01                      01/04/07

COMSYS IT PARTNERS INC                  DE       5.02                           01/02/07

CONNETICS CORP                          DE       1.01                           12/28/06

CONOCOPHILLIPS                          DE       2.02,9.01                      01/04/07

CONSTELLATION BRANDS, INC.              DE       2.02,7.01,9.01                 01/04/07

CORAUTUS GENETICS INC                   DE       5.02                           12/29/06

Cord Blood America, Inc.                FL       5.02                           12/31/06

CORILLIAN CORP                          OR       2.05                           12/27/06

COVER ALL TECHNOLOGIES INC              DE       5.02,9.01                      12/26/06    AMEND

CRAY INC                                WA       1.01,1.02,2.03,9.01            12/29/06

CRDENTIA CORP                           DE       1.01,9.01                      12/29/06

CRM Holdings, Ltd.                               1.02                           12/31/06

CYBER DEFENSE SYSTEMS INC               FL       8.01,9.01                      01/04/07

CYTOGEN CORP                            DE       5.02                           01/01/07

DADE BEHRING HOLDINGS INC               DE       5.02                           12/28/06

DELCATH SYSTEMS INC                     DE       5.02,9.01                      01/02/07

DENDREON CORP                           DE       1.02,5.02,9.01                 01/01/07

DENNYS CORP                             DE       2.02,9.01                      01/04/07

DIGIMARC CORP                           DE       5.02,9.01                      01/02/07

DISTRIBUTED ENERGY SYSTEMS CORP         DE       5.02,7.01,9.01                 01/04/07

DIVERSIFAX INC                          DE       5.02                           12/29/06

DOLLAR GENERAL CORP                     TN       7.01,9.01                      01/04/07

DOR BIOPHARMA INC                       DE       1.01,3.02,9.01                 01/03/07

DRESS BARN INC                          CT       2.02,8.01,9.01                 01/03/07

DUQUESNE LIGHT HOLDINGS INC             PA       8.01                           10/13/06

ECB BANCORP INC                         NC       5.02                           01/01/07

Education Realty Trust, Inc.            MD       5.02,9.01                      01/01/07

ELECTRO SCIENTIFIC INDUSTRIES INC       OR       2.02,9.01                      01/04/07

EMCOR GROUP INC                         DE       5.02,9.01                      12/31/06

ENCOMPASS HOLDINGS, INC.                NV       5.02                           01/02/07

ENVIRONMENTAL SERVICE PROFESSIONALS,    NV       3.03,9.01                      01/02/07

ENZON PHARMACEUTICALS INC               DE       8.01                           01/03/07

EQUIFAX INC                             GA       5.02                           01/02/07

EVOLVING SYSTEMS INC                    DE       1.01,5.02                      01/01/07

EXPRESS SCRIPTS INC                     DE       8.01,9.01                      01/04/07

FAMILY DOLLAR STORES INC                DE       7.01,9.01                      01/04/07

Farrier Resources Corp                  NV       1.01,2.01,3.02,3.03,5.01,      12/29/06
                                                 5.02,5.03,9.01        

Federal Home Loan Bank of Boston        X1       2.03                           12/27/06

Federal Home Loan Bank of Chicago       X1       2.03                           01/02/07

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01                      01/02/07

Federal Home Loan Bank of New York      X1       2.03,9.01                      01/02/06

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01                      12/29/06

Federal Home Loan Bank of San Francis   X1       2.03                           01/02/07

Federal Home Loan Bank of Seattle                2.03                           01/04/07

Federal Home Loan Bank of Topeka                 2.03                           01/02/07

FEDERATED INVESTORS INC /PA/            PA       1.01                           12/27/06

FINLAY ENTERPRISES INC /DE              DE       2.02,9.01                      01/04/07

FINLAY ENTERPRISES INC /DE              DE       1.01,9.01                      12/27/06

FINLAY FINE JEWELRY CORP                DE       2.02,9.01                      01/04/07

FINLAY FINE JEWELRY CORP                DE       1.01,9.01                      12/27/06

First Source Data, Inc.                 NV       1.01,9.01                      12/30/06

FIRST WEST VIRGINIA BANCORP INC         WV       8.01,9.01                      12/13/06

FLORIDA PUBLIC UTILITIES CO             FL       1.01                           12/28/06

FOG CUTTER CAPITAL GROUP INC            MD       1.01                           01/04/07

FORGENT NETWORKS  INC                   DE       8.01,9.01                      12/29/06

FOSSIL INC                              DE       5.02,9.01                      12/31/06

FreightCar America, Inc.                DE       5.02,9.01                      01/03/07

GALAXY ENERGY CORP                      CO       1.01,9.01                      12/29/06

GAP INC                                 DE       7.01,9.01                      01/04/07

GLACIER BANCORP INC                     DE       5.02,9.01                      12/27/06

GLOBAL CROSSING LTD                              1.01,9.01                      12/29/06

GLOBAL PAYMENTS INC                     GA       5.02                           01/03/07

GLOBALSANTAFE CORP                               7.01,9.01                      01/04/07

Gold Kist Inc.                          DE       1.02,3.03,5.01,5.02,9.01       12/27/06

GOLDEN PHOENIX MINERALS INC /MN/        MN       8.01,9.01                      01/04/07

GOLF TRUST OF AMERICA INC               MD       1.01,9.01                      12/28/06

Granite Falls Energy, LLC               MN       5.02                           12/29/06

GREAT LAKES BANCORP, INC.               DE       1.01,5.02                      01/02/07

GREER BANCSHARES INC                    SC       1.01,2.03,9.01                 12/28/06

GROUP 1 AUTOMOTIVE INC                  DE       8.01                           12/29/06

GTA-IB, LLC                             FL       1.01,9.01                      12/28/06

GTC BIOTHERAPEUTICS INC                 MA       1.01,2.03,8.01,9.01            12/29/06

Harbin Electric, Inc                             4.01,9.01                      12/14/06    AMEND

HARTCOURT COMPANIES INC                 UT       1.01,9.01                      01/04/07

HARVEST NATURAL RESOURCES, INC.         DE       8.01                           01/04/07

HASBRO INC                              RI       8.01,9.01                      01/04/07

HEALTHWAYS, INC                         DE       2.02,9.01                      01/04/07

HERBALIFE LTD.                          E9       2.02,9.01                      01/04/07

HERCULES OFFSHORE, INC.                 DE       8.01,9.01                      01/04/07

HERSHA HOSPITALITY TRUST                MD       2.01,9.01                      12/28/06

HESS CORP                               DE       1.01                           01/01/07

HOME DEPOT INC                          DE       5.02,9.01                      01/02/07

ICON HEALTH & FITNESS INC               DE       1.01,2.03,9.01                 12/28/06

IElement CORP                           NV       1.01,2.03,3.02,5.02,7.01,9.01  01/04/07

IMAGING3 INC                            CA       8.01                           01/02/07

INDYMAC MBS INC RESIDENTIAL ASSET SEC            8.01                           12/26/06

IndyMac RAST 2004-R2                             8.01                           12/26/06

INFOSONICS CORP                                  1.01,9.01                      12/29/06

INHIBITEX, INC.                                  1.01,9.01                      01/03/07

INSIGNIA SYSTEMS INC/MN                 MN       5.02,9.01                      12/28/06

INSPIRE PHARMACEUTICALS INC             DE       9.01                           01/04/07

INTEGRATED ELECTRICAL SERVICES INC      DE       7.01,9.01                      12/28/06

INTERVOICE INC                          TX       2.02,9.01                      01/03/07

INTRUSION INC                           DE       1.01,3.02,3.03,8.01,9.01       12/28/06

ISONICS CORP                            CA       5.03,8.01,9.01                 01/02/07

James River Coal CO                     VA       1.01                           12/27/06

JO-ANN STORES INC                       OH       7.01,9.01                      01/04/07

JPMAC 2006-WMC4                         DE       8.01,9.01                      01/04/07

KapStone Paper & Packaging CORP         DE       1.01,2.01,2.02,2.03,5.02,      12/29/06
                                                 5.06,9.01             

KEYNOTE SYSTEMS INC                     DE       4.01,9.01                      12/27/06

KID CASTLE EDUCATIONAL CORP             FL       1.01,3.02,9.01                 12/28/06

KOHLS CORPORATION                       WI       7.01,9.01                      01/04/07

Koppers Holdings Inc.                   PA       1.01,9.01                      12/31/06

LAIDLAW INTERNATIONAL INC               DE       2.02,9.01                      01/04/07

LESCO INC/OH                            OH       1.01                           12/28/06

LIQUIDMETAL TECHNOLOGIES INC                     1.01,2.03,3.02,7.01,9.01       01/03/07

LONGS DRUG STORES CORP                  MD       7.01,9.01                      01/04/07

LUCYS CAFE INC                                   8.01,9.01                      12/29/06

M WAVE INC                              DE       1.01,3.02,7.01,9.01            12/29/06

MACKINAC FINANCIAL CORP /MI/            MI       1.01,5.02,9.01                 12/21/06

MADISON GAS & ELECTRIC CO               WI       1.01,2.03,9.01                 12/29/06

MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01                      12/29/06

MAGMA DESIGN AUTOMATION INC             DE       8.01                           12/29/06

MAGNUS INTERNATIONAL RESOURCES, INC.    NV       8.01,9.01                      09/07/06

MAPINFO CORP                            DE       5.02,9.01                      12/28/06

MARVELL TECHNOLOGY GROUP LTD            D0       5.02,9.01                      12/27/06

MATRIX SERVICE CO                       DE       2.02,5.02,9.01                 01/04/07

MAX RE CAPITAL LTD                               8.01                           12/28/06

MAX RE CAPITAL LTD                               8.01                           12/28/06    AMEND

MDC HOLDINGS INC                        DE       5.02                           12/29/06

MEADE INSTRUMENTS CORP                  DE       2.02,9.01                      01/04/07

MEDI HUT CO INC                         DE       5.02                           01/02/07

MEDTOX SCIENTIFIC INC                   DE       5.02,9.01                      12/27/06

MICROMET, INC.                          DE       1.01,9.01                      12/27/06

MICROSEMI CORP                          DE       1.01,1.02,9.01                 12/29/06

MIDCAROLINA FINANCIAL CORP              NC       9.01                           12/22/06    AMEND

MIDDLEFIELD BANC CORP                   OH       5.02,9.01                      12/28/06

MILLENNIUM PHARMACEUTICALS INC          DE       2.02                           01/04/07

MINDSPEED TECHNOLOGIES, INC             DE       2.02,9.01                      01/04/07

MINGHUA GROUP INTERNATIONAL HOLDINGS    NY       1.01,9.01                      12/29/06

MISONIX INC                             NY       1.01,1.02,2.03,9.01            12/29/06

MODTECH HOLDINGS INC                    CA       1.01,2.03,3.02,9.01            12/28/06

MONSANTO CO /NEW/                       DE       2.02                           11/30/06

MOSAIC CO                                        7.01,9.01                      01/04/07

MOSAIC CO                                        1.01                           12/27/06

MoSys, Inc.                             CA       5.02                           01/04/07

MOTHERS WORK INC                        DE       5.02                           12/27/06

MSC INDUSTRIAL DIRECT CO INC            NY       2.02,9.01                      01/04/07

NAPSTER INC                             DE       2.02,9.01                      01/04/07

NATIONAL HOUSING PARTNERSHIP REALTY F   MD       8.01                           12/28/06

National Investment Managers Inc.       FL       1.01,2.01,9.01                 01/02/07

NATIONAL PRESTO INDUSTRIES INC          WI       5.02                           12/31/06

NATIONAL QUALITY CARE INC               DE       1.02,8.01,9.01                 12/29/06

NATIONWIDE HEALTH PROPERTIES INC        MD       5.02,9.01                      12/29/06

NATURAL RESOURCE PARTNERS LP            DE       1.01,2.01,3.02,3.03,5.02,      01/04/07
                                                 5.03,8.01,9.01        

NATURE VISION, INC.                     MN       5.02,9.01                      12/27/06

NAVISTAR INTERNATIONAL CORP             DE       1.01                           01/03/07

Nayna Networks, Inc.                    WY       1.01,9.01                      12/15/06

Neiman Marcus, Inc.                     DE       2.02,7.01,9.01                 01/04/07

NETFABRIC HOLDINGS, INC                 DE       8.01,9.01                      01/04/07

NEW FRONTIER ENERGY INC                 CO       3.02                           12/29/06

NEW MEDIUM ENTERPRISES INC              NV       8.01                           01/04/07

New York & Company, Inc.                         7.01,9.01                      01/04/07

NewGen Technologies, Inc                NV       4.01,9.01                      12/21/06    AMEND

NEWPARK RESOURCES INC                   DE       1.01,5.02,5.05,9.01            12/28/06

NEWS CORP                                        3.03,8.01,9.01                 01/03/07

NEWSEARCH INC                           CO       1.01,3.02,9.01                 01/04/07

NEXTERA ENTERPRISES INC                 DE       1.01,1.02,5.02,9.01            12/29/06

nFinanSe Inc.                           NV       1.01,3.02,5.03,7.01,9.01       01/04/07

NNN Apartment REIT, Inc.                MD       1.01,2.01,2.03,7.01,9.01       12/28/06

NOBLE INTERNATIONAL, LTD.               DE       5.02                           01/04/07

NORDSTROM INC                           WA       7.01                           01/04/07

NORTHEAST UTILITIES                     MA       5.02                           12/30/06

NOVADEL PHARMA INC                      DE       3.02,9.01                      12/27/06

NTS MORTGAGE INCOME FUND                DE       7.01,9.01                      01/03/07

ONLINE VACATION CENTER HOLDINGS CORP             1.01,2.01,9.01                 01/03/07

OPEN SOLUTIONS INC                      DE       7.01                           01/03/07

OPENWAVE SYSTEMS INC                    DE       2.02,5.02,7.01,9.01            01/02/07

Opes Exploration Inc.                   NV       5.01,5.02                      01/03/07

ORALABS HOLDING CORP                    CO       1.01,2.01,3.02,4.01,5.01,      01/04/07
                                                 5.02,5.03,8.01,9.01   

ORIGEN FINANCIAL INC                    DE       5.02,9.01                      12/28/06

ORIGINALLY NEW YORK INC                          3.02                           12/29/06

OSCIENT PHARMACEUTICALS CORP            MA       1.01,9.01                      12/28/06

PANERA BREAD CO                         DE       2.02,9.01                      01/04/07

Partners Financial CORP                 FL       5.02                           12/31/06

PATHFINDER BANCORP INC                  DE       5.02                           01/04/07

PEGASYSTEMS INC                         MA       1.01                           12/29/06

PEMCO AVIATION GROUP INC                DE       5.02,9.01                      12/28/06

PENSECO FINANCIAL SERVICES CORP         PA       8.01                           01/04/07

PETMED EXPRESS INC                      FL       7.01,8.01,9.01                 01/03/07

PetroHunter Energy Corp                 MD       1.01,7.01,9.01                 12/29/06

Phantom Entertainment, Inc.             DE       4.01,9.01                      01/02/07

PHARMOS CORP                            NV       9.01                           10/25/06    AMEND

PIER 1 IMPORTS INC/DE                   DE       8.01,9.01                      01/04/07

PILGRIMS PRIDE CORP                     DE       2.01,2.03,9.01                 12/27/06

PONIARD PHARMACEUTICALS, INC.           WA       8.01,9.01                      01/03/07

POTLATCH CORP                           DE       5.02                           12/31/06

PRACTICEXPERT INC                       NV       1.01,2.01,5.02,9.01            12/29/06

PRO-FAC COOPERATIVE INC                          7.01,9.01                      01/04/07

PROASSURANCE CORP                       DE       7.01,8.01,9.01                 01/03/07

PROLIANCE INTERNATIONAL, INC.           DE       8.01                           12/31/06

PROVIDENT NEW YORK BANCORP              DE       4.01                           01/04/07

PS BUSINESS PARKS INC/CA                CA       7.01,9.01                      01/03/07

RAIT Financial Trust                    MD       8.01,9.01                      01/03/07

RAIT Financial Trust                    MD       2.01,9.01                      12/11/06    AMEND

RENAISSANCE CAPITAL GROWTH & INCOME F   TX       2.02,9.01                      01/03/07

Renaissance Home Equity Loan Trust 20            8.01,9.01                      12/01/06

RENOVIS INC                             DE       5.02,8.01,9.01                 12/29/06

REPLIDYNE INC                                    7.01,9.01                      12/26/06

RIGHTNOW TECHNOLOGIES INC               MT       2.02,9.01                      01/04/07

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       2.02,7.01,9.01                 01/04/07

RPM INTERNATIONAL INC/DE/               DE       1.01,1.02,2.02,2.03,9.01       12/29/06

RPM INTERNATIONAL INC/DE/               DE       1.01,2.03                      12/29/06    AMEND

RTI INTERNATIONAL METALS INC            OH       1.01,2.03,9.01                 12/27/06

SABA SOFTWARE INC                       DE       2.02,9.01                      01/04/07

SAKS INC                                TN       8.01,9.01                      01/04/07

SALOMON SMITH BARNEY ORION FUTURES FU            3.02                           01/01/07

Saltys Warehouse, Inc.                  FL       5.03,8.01                      12/27/06

SAMDREW V INC                                    1.01,9.01                      01/02/07

SANTANDER BANCORP                                1.01,9.01                      12/29/06

SBE INC                                 DE       2.02,7.01,9.01                 10/31/06

SCHULMAN A INC                          DE       1.02,2.02,3.03,7.01,9.01       01/03/07

Security With Advanced Technology, In   CO       1.01,2.01,5.02,7.01,9.01       12/28/06

SELIGMAN QUALITY MUNICIPAL FUND INC     MD       7.01,9.01                      01/04/07

SELIGMAN SELECT MUNICIPAL FUND INC      MD       7.01,9.01                      01/04/07

SEMCO ENERGY INC                        MI       8.01,9.01                      12/29/06

SENTO CORP                              UT       5.02,9.01                      12/27/06

SEQUA CORP /DE/                         DE       8.01                           01/04/07

SERVOTRONICS INC /DE/                   DE       5.02,8.01                      01/03/07

Shine Media Acquisition Corp.           DE       8.01,9.01                      12/27/06

SIGMATEL INC                            DE       2.02,5.02,9.01                 12/29/06

SMITH BARNEY POTOMAC FUTURES FUND LP             3.02                           01/01/07

SMITH BARNEY WESTPORT FUTURES FUND LP            3.02                           01/01/07

SONIC CORP                              DE       2.02,9.01                      11/30/06

SONTRA MEDICAL CORP                     MN       1.01,5.02,8.01,9.01            01/01/07

Sotech Inc.                                      5.02                           01/04/07

SOUTH FINANCIAL GROUP INC               SC       1.01,5.02,9.01                 12/28/06

SOUTHERN UNION CO                       DE       5.02,9.01                      12/28/06    AMEND

SP Holding CORP                         DE       8.01                           12/29/06

SPACEHAB INC \WA\                       WA       8.01,9.01                      12/29/06

ST MARY LAND & EXPLORATION CO           DE       5.02                           01/04/07

STRATEGIC HOTELS & RESORTS, INC                  1.01                           12/29/06

Structured Asset Mortgage Investments   DE       9.01                           02/28/06

Structured Asset Mortgage Investments   DE       9.01                           04/28/06

Structured Asset Mortgage Investments   DE       9.01                           05/30/06

Structured Asset Mortgage Investments   DE       9.01                           05/30/06

Structured Asset Mortgage Investments   DE       9.01                           08/04/06

Structured Asset Mortgage Investments   DE       9.01                           02/28/06

SUMMIT FINANCIAL SERVICES GROUP INC     FL       1.01,9.01                      12/31/06

SUPERTEL HOSPITALITY INC                VA       1.01,9.01                      01/01/07

SYCAMORE NETWORKS INC                   DE       5.02                           12/29/06

SYKES ENTERPRISES INC                   FL       5.02,9.01                      01/02/07

SYNOVIS LIFE TECHNOLOGIES  INC          MN       5.02                           01/02/06

SYNPLICITY INC                          CA       2.02,9.01                      01/04/07

T REIT INC                              VA       8.01                           12/29/06

TAG IT PACIFIC INC                      DE       1.01,1.02,5.02,9.01            01/01/07

TAIWAN FUND INC                         DE       7.01,9.01                      11/01/06

Telanetix,Inc                           DE       1.01,2.03                      12/28/06    AMEND

TEXAS INDUSTRIES INC                    DE       2.02,9.01                      01/04/07

THERMOGENESIS CORP                      DE       5.02,9.01                      01/01/07

THINKENGINE NETWORKS, INC.                       1.01,3.03,5.03,9.01            12/29/06

TIDEWATER INC                           DE       8.01,9.01                      01/03/07

TOR MINERALS INTERNATIONAL INC          DE       2.03,9.01                      12/29/06

TOREADOR RESOURCES CORP                 DE       1.01,2.03,3.03,9.01            12/28/06

TORVEC INC                              NY       8.01                           01/04/07

TOWN SPORTS INTERNATIONAL HOLDINGS IN   DE       2.02,8.01,9.01                 01/04/07

TRANSACTION SYSTEMS ARCHITECTS INC      DE       3.01,9.01                      01/03/07

Transforma Acquisition Group Inc.       DE       8.01,9.01                      01/03/07

TRM CORP                                OR       1.01,5.02                      12/29/06

TRUEYOU.COM                             DE       5.02                           12/28/06

TUNEX INTERNATIONAL INC /UT/            UT       1.01,2.01,5.01,9.01            12/31/06

U.S. Helicopter CORP                    DE       8.01                           01/04/07

UAP HOLDING CORP                        DE       2.02,8.01,9.01                 01/02/07

UC Hub Group Inc                        NV       3.02                           09/27/06    AMEND

UNIFI INC                               NY       2.01,9.01                      01/01/07

UNION DENTAL HOLDINGS, INC.             FL       4.01,9.01                      12/29/06

UNION NATIONAL FINANCIAL CORP / PA      PA       5.02                           12/29/06

UNION NATIONAL FINANCIAL CORP / PA      PA       5.02                           01/04/07

United Development Funding III, LP      DE       1.01,9.01                      12/29/06

UNITEDHEALTH GROUP INC                  MN       5.02                           12/29/06

UTSTARCOM INC                           DE       5.02,9.01                      12/28/06

VARIAN MEDICAL SYSTEMS INC              DE       8.01,9.01                      01/04/07

VECTREN CORP                            IN       1.01,5.02,8.01,9.01            12/31/06

VeriFone Holdings, Inc.                 DE       1.01,5.02,8.01,9.01            01/04/07

VERISIGN INC/CA                         DE       5.02,9.01                      12/31/06

VERITAS DGC INC                         DE       1.01,5.02,9.01                 12/27/06

VERITEC INC                             NV       5.03                           01/04/07

VERIZON COMMUNICATIONS INC              DE       8.01                           01/04/07

Volcom Inc                                       7.01,8.01                      12/29/06

VOXWARE INC                             DE       5.02                           12/28/06

WaMu Mortgage Pass-Through Certificat   DE       9.01                           12/20/06

WARRANTECH CORP                         DE       8.01,9.01                      01/03/07

WATSON PHARMACEUTICALS INC              NV       5.02                           12/29/06

WEST MARINE INC                         DE       2.02,9.01                      01/04/07

WET SEAL INC                            DE       1.01                           12/28/06

WHX CORP                                DE       1.01,8.01,9.01                 12/28/06

WILLOW FINANCIAL BANCORP, INC.          PA       5.02,9.01                      12/28/06

WINDSTREAM CORP                         DE       5.02,9.01                      12/29/06

WIRELESS RONIN TECHNOLOGIES INC         MN       3.02                           12/30/06

WJ COMMUNICATIONS INC                   DE       1.01,9.01                      12/31/06

XFormity Technologies, Inc.             CO       1.01                           01/02/07