SEC NEWS DIGEST Issue 2005-117 June 20, 2005 ENFORCEMENT PROCEEDINGS DECISION DISQUALIFYING ULYSSES "THOMAS" WARE FROM PRACTICE BEFORE THE COMMISSION DECLARED FINAL The Commission has declared final an initial decision of an administrative law judge permanently disqualifying Ulysses "Thomas" Ware from appearing or practicing before the Commission. In 2004, Ware was permanently enjoined from violating the antifraud, registration and reporting provisions of the federal securities laws. The wrongdoing underlying Ware’s injunction concerned Investment Technology, Inc., a publicly traded shell corporation based in Las Vegas, Nevada that purchased a purported on-line gambling casino with no operating history. During 2002, Ware and others conducted a fraudulent pump and dump scheme using false and misleading analyst reports and press releases. Based on the injunction, the law judge determined to disqualify Ware permanently from appearing or practicing before the Commission. (Rel. 34-51878; File No. 3-11774) SETTLED PROCEEDINGS INSTITUTED AGAINST JOE THOMAS On June 20, the Commission instituted administrative proceedings against Joe D. Thomas (Thomas), a resident of Salt Lake City, Utah. In its Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order), the Commission finds that in late 2001 and early 2002, Thomas made inaccurate and untimely disclosures about both his ownership of shares of, and the terms of a reverse merger involving, a publicly held company, Gateway International Holdings, Inc. (Gateway). Among other things, the Order finds that in late September 2001, Thomas arranged for payments totaling $160,000 to be paid by an officer of a private corporation that engaged in a reverse merger with Gateway to certain of Gateway’s shareholders, as well as to Gateway itself. The Order further finds that between September 24, 2001 and early January 2002, Thomas owned outright, or exercised control over, one million Gateway shares. Moreover, the Order finds that between October 24, 2001 and January 25, 2002, Thomas signed, and/or caused Gateway to file, three information statements and a current report on Form 8-K. According to the Order, these filings indicated that the reverse merger was effected solely through a stock-for-stock exchange, without disclosing the $160,000 in payments, and that Thomas owned 18.25% of Gateway’s outstanding shares, when he in fact either owned outright, or controlled disposition of, as many as 23% of such shares. Finally, the Commission found that Thomas filed late, or failed to file with the Commission, mandatory Forms 3, 4, and 5, and a Schedule 13D reporting his beneficial ownership. As a result, the Order finds that Thomas violated Sections 13(d) and 16(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13d-1, 13d-2, 16a-2, and 16a-3 thereunder, and caused Gateway’s violations of Sections 13(a), 14(c), and 14(f) of the Exchange Act and Rules 12b-20, 13a-11, 14c-6, and 14f-1 thereunder. Simultaneously with the institution of proceedings, the Commission accepted an offer of settlement from Thomas. Pursuant to his offer of settlement, the Order directs Thomas to cease and desist from committing or causing any violations and any future violations of Sections 13(d) and 16(a) of the Exchange Act and Rules 13d-1, 13d-2, 16a-2 and 16a-3 thereunder, and from causing violations and any future violations of Sections 13(a), 14(c), and 14(f) of the Exchange Act and Rules 12b-20, 13a-11, 14c-6, and 14f-1 thereunder. (Rel. 34-51883; File No. 3-11957) IN THE MATTER OF STEVEN STEINER The Commission announced that on June 17 it filed an Amended Complaint in its pending civil injunctive action against Mutual Benefits Corp. (MBC) and its principals, adding Steven Steiner (Steiner) as an additional defendant. The Amended Complaint charges Steiner, former vice president of MBC, with violations of the antifraud and registration provisions of the federal securities laws in connection with MBC’s fraudulent offering of viatical settlement investments, which raised over $1 billion from approximately 29,000 investors worldwide. The SEC’s Amended Complaint alleges that Steiner, who is the brother of Defendants Joel and Leslie Steinger, was the “public face” of MBC, who participated in all or most initial sales training sessions for new in- house and outside sales agents, met with prospective and existing MBC investors, and directed MBC’s philanthropic activities in the community. The Amended Complaint further alleges that during meetings with prospective sales agents and investors, Steiner touted the safety and humanitarian nature of viatical settlement investments, assured investors that life expectancies are determined by doctors prior to their being placed on policies, and made glowing remarks about MBC as the leader in the viatical industry. Steiner also wrote articles in newspapers and business journals (provided in investor packets) touting viatical settlement investments, new regulations designed to protect investors, and specifically referring to MBC as a superior operation and clean company with “thousands” of satisfied customers. Steiner failed to disclose, among other things, that over 90% of the viatical settlements were beyond their projected life expectancies, that his brothers (defendants Joel and Leslie Steinger) were the de facto principals of MBC, his brothers’ prior disciplinary history, or that cease-and-desist orders had been issued against MBC. The SEC’s complaint charges Steiner with violating 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. In addition to seeking a permanent injunction against Steiner, the Amended Complaint seeks an order requiring Steiner to disgorge all ill-gotten gains he received and imposition of civil penalties. Also named in the Amended Complaint is SKS Consulting, Inc., an entity controlled by Steiner through which he received over $3.8 million in “consulting fees.” [SEC v. Mutual Benefits Corp., et al., Case No. 04-60573-CIV-MORENO (SD Fla.)] (LR-19274) SEC SUES TEXAS BROKER-DEALER MORGAN SPAULDING, INC., ITS PRINCIPAL JACKIE GROSS AND TELVEST COMMUNICATIONS, LLC, FOR SECURITIES FRAUD; SEC ALSO SUES TELVEST AND JOHN FLANDERS AS UNREGISTERED BROKER-DEALERS On June 20, the Commission filed a civil injunctive action in the United States District Court for the Northern District of Texas against Jackie Gross and two entities he owned and controlled, including Morgan Spaulding, Inc., a defunct Texas-based broker-dealer. The Commission’s complaint alleges that these defendants engaged in a fraudulent scheme to distribute nearly $15 million in stock issued pursuant to Regulation S, a section of the federal securities laws that permits companies to sell unregistered shares to overseas investors. The complaint seeks disgorgement of the defendants’ ill-gotten gains, civil penalties, and permanent injunctions against future violations of certain of the antifraud and broker-dealer registration provisions of the federal securities laws. The complaint also charges Telvest Communications, a Texas company that Gross controlled and Arizona-based broker John Flanders with acting as unregistered broker-dealers in connection with the fraudulent transactions. The Commission’s complaint alleges that from approximately late 2001 through September 30, 2003, Gross, along with Telvest and his wholly owned entity Morgan Spaulding, facilitated the sale of nearly $15 million in unregistered shares of U.S.-based companies to overseas investors by, among other things, deceiving the investors into believing that nearly all of the stock purchase price would be remitted to the companies issuing shares. In fact, only approximately 30 to 45 percent of the invested proceeds actually made it to the issuers. The rest went to Gross, Morgan Spaulding and Telvest; to overseas brokerage firms as undisclosed commissions; and as “finder fees” to promoters including defendant John Flanders. The complaint alleges that Telvest and Flanders acted as unregistered broker-dealers in connection with the fraudulent stock sales. The Commission’s complaint charges Gross, Morgan Spaulding and Telvest with violating Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Telvest and Flanders are charged with violating Section 15(a) of the Exchange Act. Gross is also charged with Telvest’s and Morgan Spaulding’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and for Telvest’s violation of Section 15(a) of the Exchange Act, as a control person under Section 20(a) of the Exchange Act. [SEC v. Jackie Gross, et al., Civil Action No. 3:05CV1251(N), USDC, N.D. Tex.] (LR-19275) INVESTMENT COMPANY ACT RELEASES HARRIS & HARRIS GROUP, INC. A certification has been issued pursuant to Section 851(e) of the Internal Revenue Code of 1986, as amended, that Harris & Harris Group, Inc. was, for the fiscal year ended Dec. 31, 2003, principally engaged in the furnishing of capital to other corporations which are principally engaged in the development or exploitation of inventions, technological improvements, new processes or products not previously generally available. (Rel. IC–26908 - June 15) BUSINESS MEN’S ASSURANCE COMPANY OF AMERICA, ET AL. A notice has been issued giving interested persons until July 12, 2005, to request a hearing on an application filed by Business Men’s Assurance Company of America, et al. Applicants seek an order pursuant to Section 26(c) of the Investment Company Act of 1940 to permit the substitution of shares of certain portfolios of Fidelity Variable Insurance Products Fund II, Fidelity Variable Insurance Products Fund III, Fidelity Variable Insurance Products Fund, Federated Insurance Series, T. Rowe Price Equity Series, Inc., Universal Institutional Funds, Inc., Lord Abbett Series Fund, Inc., and Dreyfus Investment Portfolios for shares of certain portfolios of Investors Mark Series Fund, Inc. (Rel. IC- 26909 - June 17) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY, INC. A supplemental order has been issued on a Declaration by CenterPoint Energy, Inc., a registered holding company, its wholly-owned direct subsidiary, Utility Holding, LLC, and their public-utility subsidiary, CenterPoint Energy Resources Corp. (CERC), to increase by $149 million, through June 30, 2005, the external debt authority of CERC. The increased external debt at CERC will enable it to establish a new $400 million revolving credit facility. (Rel. 35-27984) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-013) to revise and reorganize the NASD Code of Arbitration Procedure for mediation proceedings. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51855) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-158) to revise and reorganize the NASD Code of Arbitration Procedure for customer disputes. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51856) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-011) to revise and reorganize the NASD Code of Arbitration Procedure for industry disputes. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51857) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2005-068) regarding a new order type for the pre-market trading session. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51859) A proposed rule change (SR-NYSE-2005-02) and Amendment Nos. 1, 2 and 3 thereto relating to amendments to NYSE Rule 607 has been filed by the New York Stock Exchange. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51863) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2005-11) that would institute a process in the Government Securities Division to net netting members’ fail deliver and fail receive obligations with their current settlement obligations on a daily basis. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51865) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2005-061) to extend for an additional two-year period NASD’s authority under the cease and desist pilot program. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34- 51860) A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2005-42) relating to a specialist marketing and investor education fee for investment company units has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51872) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2005-039) submitted by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to incorporate the Brut System Book Feed into the TotalView entitlement. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51862) The Commission granted approval of a proposed rule change (SR-DTC-2005- 03) filed by The Depository Trust Company. The rule change amends DTC’s rules to allow DTC to collect fees for services provided by unregulated subsidiaries of The Depository Trust and Clearing Corporation and by other entities. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51870) The Commission granted approval of a proposed rule change (SR-NSCC-2005- 03) filed by the National Securities Clearing Corporation. The rule change amends NSCC’s rules to allow NSCC to collect fees for services provided by unregulated subsidiaries of The Depository Trust and Clearing Corporation and by other entities. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51871) The Commission approved a proposed rule change filed by the Fixed Income Clearing Corporation (SR-FICC-2005-01) that will require certain FICC members/participants to notify FICC when they experience an event that would effect a change in their control of or could have a substantial impact on their business or financial condition. Publication of the proposal is expected in the Federal Register during the week of June 20. (Rel. 34-51875) 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 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 National Parking Systems, Inc., 200 HANNOVER PARK ROAD, SUITE 120, ATLANTA, GA, 30350, 770 650 1733 - 6,000,000 ($15,000,000.00) Equity, (File 333-125876 - Jun. 17) (BR. 08A) S-8 PREMIUM STANDARD FARMS, INC., 423 WEST 8TH STREET, KANSAS CITY, MO, 64105, 8164727675 - 0 ($31,062,500.00) Equity, (File 333-125877 - Jun. 17) (BR. 04B) S-8 BVR SYSTEMS 1998 LTD, 16 HAMELACHA ST, AFEK, ROSH-HA-AYIN, L3, 48091, 01197339008000 - 5,707,900 ($941,803.50) Other, (File 333-125879 - Jun. 17) (BR. 03B) S-3 NET2PHONE INC, 520 BROAD STREET, NEWARK, NJ, 07102, 9734383111 - 4,372,486 ($6,602,453.86) Equity, (File 333-125880 - Jun. 17) (BR. 11A) S-8 C & F FINANCIAL CORP, EIGHTH & MAIN STREETS, P O BOX 391, WEST POINT, VA, 23181, 8048432360 - 0 ($19,725,000.00) Equity, (File 333-125881 - Jun. 17) (BR. 07B) S-8 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($1,375,000.00) Equity, (File 333-125882 - Jun. 17) (BR. 10C) S-8 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($2,750,000.00) Equity, (File 333-125883 - Jun. 17) (BR. 10C) F-6 INFOSYS TECHNOLOGIES LTD /ADR/, ELECTRONICS CITY, HOSAR RD BANGALORE KARNATAKA INDIA, BANGALORE KARNATAKA, K7, 561229, 0119180852 - 50,000,000 ($2,500,000.00) Other, (File 333-125884 - Jun. 17) (BR. ) S-3 REGENCY CENTERS LP, 121 W FORSYTH STREET, SUITE 200, JACKSONVILLE, FL, 32202, 9043567000 - 420,000,000 ($420,000,000.00) Non-Convertible Debt, (File 333-125886 - Jun. 17) (BR. 08C) S-8 InPlay Technologies, Inc., 234 S EXTENSION RD, MESA, AZ, 85210, 4805863300 - 500,000 ($760,264.00) Equity, (File 333-125887 - Jun. 17) (BR. 04) S-8 TRIUMPH GROUP INC /, FOUR GLENHARDIE CORPORATE CENTER, 1255 DRUMMERS LANE SUITE 200, WAYNE, PA, 19087, 6109750420 - 0 ($56,912,000.00) Equity, (File 333-125888 - Jun. 17) (BR. 05C) S-8 FCStone Group, Inc., 2829 WESTOWN PARKWAY, SUITE 200, WEST DES MOINES, IA, 50266, (800) 422-3087 - 1,125,000 ($11,092,500.00) Equity, (File 333-125889 - Jun. 17) (BR. 08C) S-8 CAPITAL CORP OF THE WEST, 550 W MAIN STREET, MERCED, CA, 95340, 2097252200 - 1,635,070 ($38,801,977.50) Equity, (File 333-125891 - Jun. 17) (BR. 07A) S-8 CRITICAL THERAPEUTICS INC, 60 WESTVIEW STREET, LEXINGTON, MA, 02421, 781-402-5700 - 860,000 ($4,816,000.00) Equity, (File 333-125892 - Jun. 17) (BR. 01) S-8 WEBSENSE INC, 10240 SORRENTO VALLEY RD, SAN DIEGO, CA, 92121, 8583208000 - 0 ($63,436,996.00) Equity, (File 333-125893 - Jun. 17) (BR. 08C) S-8 Sound Revolution Inc., 345 WEST 11TH AVENUE, UNIT 4, VANCOUVER, A1, V5Y 1T3, 604-780-3914 - 5,000,000 ($1,125,000.00) Equity, (File 333-125894 - Jun. 17) (BR. 03B) S-8 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 0 ($49,127,654.56) Equity, (File 333-125895 - Jun. 17) (BR. 01B) SB-2 ELECTRONIC GAME CARD INC, 712 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY, 10019, 646-723-8936 - 9,143,733 ($10,972,480.00) Equity, (File 333-125897 - Jun. 17) (BR. 06B) SB-2 Maneki Mining Inc., 4462 JOHN STREET, VANCOUVER, A1, V5V 3X1, 604-764-6552 - 1,750,000 ($35,000.00) Equity, (File 333-125898 - Jun. 17) (BR. ) S-8 BJs RESTAURANTS INC, 16162 BEACH BOULEVARD, SUITE 100, HUNTINGTON BEACH, CA, 92647, 7148483747 - 5,640,000 ($120,188,400.00) Equity, (File 333-125899 - Jun. 17) (BR. 05A) S-3 AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 0 ($43,770,251.87) Equity, (File 333-125901 - Jun. 17) (BR. 10A) S-3 CWALT INC, 16,275,606,328 ($16,275,606,328.00) Mortgage Backed Securities, (File 333-125902 - Jun. 17) (BR. 05) S-8 COEUR D ALENE MINES CORP, 400 COEUR D ALENE MINES BLDG, 505 FRONT AVE, COEUR D ALENE, ID, 83814, 2086673511 - 500,000 ($1,775,000.00) Equity, (File 333-125903 - Jun. 17) (BR. 04C) S-8 ALTERA CORP, 101 INNOVATION DR, SAN JOSE, CA, 95134, 4085448000 - 16,371,451 ($353,459,627.09) Equity, (File 333-125904 - Jun. 17) (BR. 10A) S-8 SENSE HOLDINGS INC, 4503 N.W. 103RD AVENUE, SUNRISE, FL, 33351, (954) 726-1422 - 2,000,000 ($330,000.00) Equity, (File 333-125905 - Jun. 17) (BR. 06B) S-8 PROTEIN DESIGN LABS INC/DE, 34801 CAMPUS DR, FREMONT, CA, 94555, 5105741400 - 0 ($42,021,000.00) Equity, (File 333-125906 - Jun. 17) (BR. 01B) SB-2 LEGACY COMMUNICATIONS CORP, 210 N 1000 E, PO BOX 1450, ST GEORGE, UT, 84771, 500,000 ($500,000.00) Equity, (File 333-125907 - Jun. 17) (BR. ) S-8 NATIONWIDE HEALTH PROPERTIES INC, 610 NEWPORT CENTER DR, STE 1150, NEWPORT BEACH, CA, 92660-6429, 9497184400 - 3,000,000 ($68,400,000.00) Equity, (File 333-125908 - Jun. 17) (BR. 08B) S-8 LEAP WIRELESS INTERNATIONAL INC, 10307 PACIFIC CENTER COURT, SAN DIEGO, CA, 92121, 8588826000 - 0 ($131,949,324.00) Equity, (File 333-125909 - Jun. 17) (BR. 11A) S-3 Fieldstone Mortgage Investment CORP, 11000 BROKEN LAND PARKWAY, SUITE 600, COLUMBIA, MD, 21044, 410-772-7200 - 0 ($1,000,000.00) Other, (File 333-125910 - Jun. 17) (BR. ) S-8 ISIS PHARMACEUTICALS INC, 2292 FARADAY AVE, CARLSBAD, CA, 92008, 7609319200 - 0 ($789,000.00) Equity, (File 333-125911 - Jun. 17) (BR. 01A) F-10 YAMANA GOLD INC, 150 YORK ST, STE 1902, TORONTO, A6, M5H 3S5, 4168150220 - 0 ($94,415,143.00) Equity, (File 333-125912 - Jun. 17) (BR. 04A) S-3 REGENCY CENTERS CORP, 121 WEST FORSYTH ST, STE 200, JACKSONVILLE, FL, 32202, 9043567000 - 0 ($40,741,525.81) Equity, (File 333-125913 - Jun. 17) (BR. 08C) S-8 INTEL CORP, 2200 MISSION COLLEGE BLVD, SANTA CLARA, CA, 95052, 4087658080 - 130,000,000 ($3,499,600,000.00) Equity, (File 333-125914 - Jun. 17) (BR. 10B) SB-2 SYSCAN IMAGING INC, 1754 TECHNOLOGY DRIVE, SAN JOSE, CA, 95110, 408-436-9888 - 3,263,750 ($4,196,250.00) Other, (File 333-125915 - Jun. 17) (BR. 03A) S-3 ZYMOGENETICS INC, 1201 EASTLAKE AVENUE E, SEATTLE, WA, 98102, 206-442-6600 - 0 ($200,000,000.00) Equity, (File 333-125917 - Jun. 17) (BR. 01C) S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551, 9252433522 - 0 ($61,462,606.38) Equity, (File 333-125918 - Jun. 17) (BR. 10B) S-8 PROTALEX INC, 145 UNION SQUARE DRIVE, NEW HOPE, PA, 18938, 215-862-9720 - 0 ($3,661,255.00) Equity, (File 333-125919 - Jun. 17) (BR. 01B) S-1 iShares Silver Trust, 45 FREMONT STREET, SAN FRANCISCO, CA, 94105, 415-597-2000 - 13,000,000 ($936,000,000.00) Equity, (File 333-125920 - Jun. 17) (BR. ) N-2 Sage Multi-Strategy Fund, L.L.C., 909 THIRD AVENUE, 28TH FLOOR, NEW YORK, NY, 10022, 212-908-9660 - 1,000 ($1,000,000.00) Equity, (File 333-125921 - Jun. 17) (BR. ) S-8 YOCREAM INTERNATIONAL INC, 5858 NE 87TH AVE, 5858 NE 87TH AVE, PORTLAND, OR, 97220, 5032563754 - 250,000 ($1,325,000.00) Equity, (File 333-125922 - Jun. 17) (BR. 04C) S-8 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862, 5086674111 - 0 ($254,905.50) Equity, (File 333-125923 - Jun. 17) (BR. 10A) S-8 BTU INTERNATIONAL INC, 23 ESQUIRE ROAD, NORTH BILLERICA, MA, 01862, 5086674111 - 0 ($2,445,129.00) Equity, (File 333-125924 - Jun. 17) (BR. 10A) S-3 Triad Financial Special Purpose LLC, 7711 CENTER AVENUE, SUITE 390, HUNTINGTON BEACH, CA, 92647, (714) 373-8300 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-125925 - Jun. 17) (BR. ) S-3 ABIOMED INC, 22 CHERRY HILL DR, DANVERS, MA, 01923, 9787775410 - 0 ($34,905,697.00) Equity, (File 333-125926 - Jun. 17) (BR. 10A) S-3 Liberty Global, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 720 875 5800 - 0 ($487,968,100.00) Equity, (File 333-125927 - Jun. 17) (BR. 11) S-8 PENN NATIONAL GAMING INC, 825 BERKSHIRE BLVD STE 200, WYOMISSING PROFESSIONAL CENTER, WYOMISSING, PA, 19610, 6103732400 - 0 ($755,250.00) Equity, (File 333-125928 - Jun. 17) (BR. 05C) S-8 FPIC INSURANCE GROUP INC, 225 WATER STREET, SUITE 1400, JACKSONVILLE, FL, 32202, 9043542482 - 1,498,000 ($32,546,049.00) Equity, (File 333-125929 - Jun. 17) (BR. 01A) S-8 Liberty Global, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 720 875 5800 - 0 ($1,767,200.00) Equity, (File 333-125930 - Jun. 17) (BR. 11) S-8 FPIC INSURANCE GROUP INC, 225 WATER STREET, SUITE 1400, JACKSONVILLE, FL, 32202, 9043542482 - 615,000 ($14,321,770.00) Equity, (File 333-125931 - Jun. 17) (BR. 01A) S-8 MICHAELS STORES INC, 8000 BENT BRANCH DR, ********, IRVING, TX, 75063, (972)409-1300 - 0 ($12,528,000.00) Equity, (File 333-125932 - Jun. 17) (BR. 02B) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 48,645 ($48,645,000.00) Equity, (File 333-125933 - Jun. 17) (BR. 10B) S-8 FPIC INSURANCE GROUP INC, 225 WATER STREET, SUITE 1400, JACKSONVILLE, FL, 32202, 9043542482 - 200,000 ($6,010,000.00) Equity, (File 333-125934 - Jun. 17) (BR. 01A) S-3 MICHAELS STORES INC, 8000 BENT BRANCH DR, ********, IRVING, TX, 75063, (972)409-1300 - 0 ($501,120,000.00) Equity, (File 333-125935 - Jun. 17) (BR. 02B) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 1,900,000 ($16,397,000.00) Equity, (File 333-125936 - Jun. 17) (BR. 10B) S-3 ALLSTATE LIFE GLOBAL FUNDING, DOUGLAS K JOHNSON, C/O AMACAR PACIFIC CORP, CHARLOTTE, NC, 282111, 7043650569 - 0 ($2,500,000,000.00) Other, (File 333-125937 - Jun. 17) (BR. 20) S-3 PACIFIC CAPITAL BANCORP /CA/, 1021 ANACAPA STREET, PO BOX 60839, SANTA BARBARA, CA, 931600839, 8055646312 - 0 ($118,090,000.00) Equity, (File 333-125938 - Jun. 17) (BR. 07A) S-4 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 14,711,627 ($28,834,788.92) Other, (File 333-125939 - Jun. 17) (BR. 10C) S-1 NATIONAL FINANCIAL PARTNERS CORP, 787 7TH AVE, NEW YORK, NY, 10019, 212-301-4000 - 0 ($184,800,000.00) Equity, (File 333-125940 - Jun. 17) (BR. 01B) S-8 Liberty Global, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 720 875 5800 - 0 ($545,083,444.00) Equity, (File 333-125941 - Jun. 17) (BR. 11) SB-2 CHEMBIO DIAGNOSTICS, INC., 3661 HORSEBLOCK ROAD, MEDFORD, NY, 11763, (631) 924-1135 - 8,158,530 ($4,895,118.00) Equity, (File 333-125942 - Jun. 17) (BR. 01A) S-8 Liberty Global, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 720 875 5800 - 0 ($1,104,500,000.00) Equity, (File 333-125943 - Jun. 17) (BR. 11) S-8 INFINIUM LABS INC, 2033 MAIN STREET, SUITE 309, SARASOTA, FL, 34237, 941.917.0788 - 7,000,000 ($910,000.00) Equity, (File 333-125944 - Jun. 17) (BR. 09A) S-8 PIXELWORKS INC, 7700 SW MOHAWK, TUALATIN, OR, 97062, 0 ($11,061,564.00) Equity, (File 333-125945 - Jun. 17) (BR. 10C) S-8 Liberty Global, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 720 875 5800 - 0 ($220,900,000.00) Equity, (File 333-125946 - Jun. 17) (BR. 11) S-3 FORD MOTOR CREDIT CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3135949876 - 0 ($1.00) Non-Convertible Debt, (File 333-125947 - Jun. 17) (BR. 07A) S-1 ZORAN CORP \DE\, 3112 SCOTT BOULEVARD, SUITE 255, SANTA CLARA, CA, 95054, 4089194111 - 0 ($14,993,329.82) Equity, (File 333-125948 - Jun. 17) (BR. 10C) S-3 GABLES RESIDENTIAL TRUST, 2859 PACES FERRY RD, STE 1450, ATLANTA, GA, 30339, 7704364600 - 0 ($2,867,585.00) Equity, (File 333-125949 - Jun. 17) (BR. 08B) 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 450 Fifth Street, N.W., Washington, D.C. 20549 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 --------------------------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 2.02,9.01 06/13/05 ABCOR PRODUCTS INC FL 1.01,9.01 04/27/05 ABERCROMBIE & FITCH CO /DE/ DE 1.01,5.02,8.01,9.01 06/15/05 ABFC C-BASS Mortgage Loan Asset-Backe DE 8.01,9.01 04/07/04 ACE LTD D0 8.01,9.01 06/17/05 ACE SECURITIES CORP DE 8.01,9.01 06/15/05 ACE SECURITIES CORP DE 8.01,9.01 06/16/05 ADVANCED COMMUNICATIONS TECHNOLOGIES FL 2.02,9.01 06/14/05 AGILYSYS INC OH 2.02,7.01,9.01 06/13/05 AIRSPAN NETWORKS INC WA 3.02,7.01,9.01 06/16/05 ALASKA AIR GROUP INC DE 8.01 06/16/05 ALLIANCE RESOURCE PARTNERS LP DE 8.01,9.01 06/15/05 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 06/13/05 ALPHARX INC DE 8.01 06/16/05 ALTUS EXPLORATIONS INC NV 5.02 06/17/05 AMERICAN EXPRESS CO NY 9.01 11/22/04 AMEND AMERICAN HEALTHWAYS INC DE 7.01,9.01 06/17/05 AMERICAN PHYSICIANS SERVICE GROUP INC TX 1.01 06/15/05 AMERICAN TECHNOLOGY CORP /DE/ DE 1.01,5.02,9.01 06/14/05 AMF BOWLING WORLDWIDE INC DE 1.01,9.01 06/13/05 ANALOGIC CORP MA 1.01,9.01 06/14/05 APOLLO INVESTMENT CORP MD 7.01 06/16/05 APPLE REIT SIX INC 1.01 06/14/05 APPLICA INC FL 1.01,9.01 06/15/05 ARIBA INC DE 1.01 06/14/05 ATC HEALTHCARE INC /DE/ DE 7.01,9.01 06/14/05 Australian Agriculture & Property Dev DE 1.01,9.01 06/17/05 AUXILIUM PHARMACEUTICALS INC 5.02 06/17/05 AVANEX CORP DE 1.01 05/25/05 AVATAR HOLDINGS INC DE 1.01,9.01 06/13/05 BANC CORP DE 3.03,5.02,5.03,7.01,9.01 06/15/05 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 06/17/05 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 06/17/05 BANCFIRST CORP /OK/ OK 8.01,9.01 06/14/05 BAYCORP HOLDINGS LTD DE 9.01 06/17/05 AMEND BEACON POWER CORP DE 1.01,3.02,9.01 06/13/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 06/16/05 Bears Stearns Asset Backed Securities DE 9.01 05/13/05 AMEND BEESTON ENTERPRISES LTD NV 8.01 06/17/05 BEHRINGER HARVARD REIT I INC MD 1.01,9.01 05/17/05 BELDEN & BLAKE CORP /OH/ OH 1.01,5.02 06/14/05 BELLSOUTH CORP GA 1.01,9.01 06/14/05 BEXIL CORP MD 4.02 06/15/05 BIOSPHERE MEDICAL INC DE 1.01,9.01 06/14/05 BIOTIME INC CA 1.01,9.01 05/23/05 BJs RESTAURANTS INC CA 1.01,9.01 06/14/05 BRIDGFORD FOODS CORP CA 8.01,9.01 06/17/05 BRISTOL WEST HOLDINGS INC DE 8.01 06/16/05 BULLDOG TECHNOLOGIES INC NV 7.01,9.01 06/17/05 BULLION RIVER GOLD CORP NV 8.01 06/17/05 BURLINGTON COAT FACTORY WAREHOUSE COR DE 1.01 09/23/04 CADIZ INC DE 5.02,8.01,9.01 06/17/05 CAPTEC FRANCHISE CAPITAL PARTNERS LP DE 2.01,9.01 06/16/05 CARDIAC SCIENCE INC DE 1.01,7.01,9.01 06/13/05 CASH SYSTEMS INC DE 1.01 06/15/05 CASTLE & MORGAN HOLDINGS INC DE 1.01,2.03,5.01,5.02,9.01 06/13/05 CATERPILLAR INC DE 1.01,3.03,9.01 06/17/05 CHASE CORP MA 1.01,2.03 06/14/05 CHAUS BERNARD INC NY 1.01,3.02,9.01 06/13/05 CHEMOKINE THERAPEUTICS CORP DE 8.01 06/15/05 CHINA MEDIA1 CORP. NV 1.01,5.02,9.01 06/17/05 CIMAREX ENERGY CO DE 1.01,2.03,8.01,9.01 06/13/05 CIMBIX CORP WA 1.01 06/16/05 CIRCUIT CITY STORES INC VA 2.02,9.01 05/31/05 CIRRUS LOGIC INC DE 8.01,9.01 06/16/05 CITIGROUP INC DE 9.01 06/17/05 CITIZENS BANCORP OF VIRGINIA INC VA 5.02,8.01,9.01 06/13/05 CLARK INC DE 4.01,9.01 06/13/05 ClearStory Systems, Inc. DE 1.01,2.03,3.02,9.01 06/16/05 CNB CORP /SC/ SC 1.01,5.02,5.03 06/14/05 CNE GROUP INC DE 3.01 05/25/05 CNH WHOLESALE RECEIVABLES INC DE 8.01,9.01 06/15/05 COACH INDUSTRIES GROUP INC NV 5.02,9.01 05/31/05 COGENT COMMUNICATIONS GROUP INC 2.04 06/17/05 COHU INC DE 1.01 06/15/05 COLE KENNETH PRODUCTIONS INC NY 1.01,8.01 06/14/05 COLLAGENEX PHARMACEUTICALS INC DE 8.01 06/16/05 College Oak Investments, Inc. NV 5.03 04/06/05 COMM 2005-LP5 DE 8.01,9.01 06/10/05 COMMERCIAL FEDERAL CORP NE 1.01,9.01 06/17/05 AMEND COMPETITIVE TECHNOLOGIES INC DE 5.02,9.01 06/14/05 COMPUTER SOFTWARE INNOVATIONS INC DE 8.01,9.01 06/13/05 CONOR MEDSYSTEMS INC 3.02 06/15/05 CONSTELLATION BRANDS, INC. DE 7.01,9.01 06/16/05 COSI INC DE 1.01,8.01,9.01 06/14/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 06/08/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 06/17/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 06/17/05 CVB FINANCIAL CORP CA 1.01,9.01 04/29/05 CWMBS INC DE 9.01 06/17/05 DAIMLERCHRYSLER AUTO TRUST 2005-A MI 8.01,9.01 06/08/05 DAIMLERCHRYSLER AUTO TRUST 2005-B MI 8.01,9.01 06/08/05 DAIMLERCHRYSLER MASTER OWNER TRUST 8.01,9.01 06/15/05 DAVITA INC DE 5.02 06/16/05 DCB FINANCIAL CORP OH 8.01 06/17/05 DEPOMED INC CA 1.01,9.01 06/14/05 Deutsche Alt-A Securities, Inc. Mortg 2.01,9.01 05/27/05 DIAGNOSTIC PRODUCTS CORP CA 8.01,9.01 06/17/05 DITECH COMMUNICATIONS CORP DE 7.01 06/14/05 DIVERSIFIED CORPORATE RESOURCES INC TX 1.02,9.01 06/15/05 Dolby Laboratories, Inc. DE 8.01,9.01 06/16/05 DOLLAR FINANCIAL CORP DE 1.01,1.02,9.01 06/17/05 DOLLAR FINANCIAL GROUP INC NY 1.01,1.02,9.01 06/17/05 DOMINION RESOURCES INC /VA/ VA 8.01,9.01 06/15/05 DUKE REALTY CORP IN 8.01 06/17/05 EMERITUS CORP\WA\ WA 1.01 06/15/05 EMMIS COMMUNICATIONS CORP IN 1.01,2.03,3.03,5.03,8.01,9.01 06/13/05 Emrise CORP DE 2.01,9.01 03/18/05 AMEND ENDOVASC INC NV 4.01,9.01 06/13/05 ENHERENT CORP DE 9.01 04/01/05 AMEND ENNIS, INC. TX 2.02,5.02,7.01,8.01,9.01 06/15/05 Epic Bancorp 8.01,9.01 06/16/05 ERGO SCIENCE CORP /DE/ DE 4.01,9.01 06/15/05 ERGO SCIENCE CORP /DE/ DE 8.01,9.01 04/01/05 AMEND FBR Securitization, Inc. 8.01,9.01 06/15/05 FIRST CITIZENS BANCORPORATION INC SC 4.01,9.01 06/13/05 FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 06/17/05 FIRSTBANK NW CORP WA 1.01 06/16/05 FIRSTFED FINANCIAL CORP DE 7.01,9.01 05/31/05 FLORIDA PUBLIC UTILITIES CO FL 5.02 06/14/05 FNB BANCORP/CA/ 2.01 05/02/05 AMEND FOAMEX INTERNATIONAL INC DE 1.01,9.01 06/14/05 FRANKLIN LAKE RESOURCES INC /NV NV 5.02,9.01 06/10/05 GABLES RESIDENTIAL TRUST MD 8.01,9.01 06/17/05 GATEWAY ENERGY CORP/NE DE 5.02,9.01 06/16/05 GCO Education Loan Funding Trust-I DE 8.01,9.01 06/15/05 GE Capital Credit Card Master Note Tr DE 8.01,9.01 06/15/05 GE Capital Credit Card Master Note Tr DE 8.01,9.01 06/15/05 GE Capital Credit Card Master Note Tr DE 8.01,9.01 06/15/05 GENERAL ENVIRONMENTAL MANAGEMENT, INC NV 5.02 06/13/05 GENERAL GOLD CORP NV 1.01,3.02,7.01,9.01 01/18/05 GENEREX BIOTECHNOLOGY CORP DE 1.01,2.03,3.02,9.01 06/16/05 GENEREX BIOTECHNOLOGY CORP DE 8.01,9.01 06/17/05 GLACIER BANCORP INC DE 4.01,9.01 06/13/05 GRAPHCO HOLDINGS CORP DE 1.01,9.01 06/10/05 GREATBATCH, INC. DE 5.02,9.01 06/13/05 Harley-Davidson Motorcycle Trust 2005 NV 8.01,9.01 06/15/05 Harley-Davidson Motorcycle Trust 2005 NV 8.01,9.01 06/15/05 HARTE HANKS INC DE 1.01,7.01,9.01 06/13/05 HAYES LEMMERZ INTERNATIONAL INC DE 1.01,9.01 06/14/05 HEALTH EXPRESS USA INC FL 1.01,9.01 06/17/05 HEALTH EXPRESS USA INC FL 1.01,9.01 06/17/05 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.05,9.01 06/17/05 HESPERIA HOLDING INC 5.02 06/17/05 HEWITT ASSOCIATES INC DE 1.01,5.02,9.01 06/13/05 HORIZON BANCORP /IN/ IN 5.02 06/14/05 HSBC AUTO RECEIVABLES CORP NV 8.01,9.01 06/15/05 I2 TELECOM INTERNATIONAL INC WA 4.02,9.01 06/15/05 IA GLOBAL INC DE 2.02,9.01 06/17/05 IMAGISTICS INTERNATIONAL INC DE 1.01,2.02,4.02,7.01,9.01 06/15/05 INDYMAC ABS INC DE 9.01 06/17/05 INN OF THE MOUNTAIN GODS RESORTS & CA 8.01,9.01 06/17/05 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01,9.01 06/17/05 INTEGRITY MUTUAL FUNDS INC ND 2.03 06/17/05 Intermix Media, Inc. DE 8.01,9.01 06/14/05 Intermix Media, Inc. DE 2.02,9.01 06/14/05 INTERPLAY ENTERTAINMENT CORP DE 8.01 06/05/05 INTERVIDEO INC CA 4.01,9.01 06/10/05 AMEND INTRAWARE INC DE 5.03,9.01 06/13/05 IOWA TELECOMMUNICATIONS SERVICES INC IA 1.01,5.02 06/15/05 JANUS CAPITAL GROUP INC DE 1.01,9.01 06/15/05 JDS UNIPHASE CORP /CA/ DE 5.02,9.01 06/13/05 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 06/17/05 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 06/17/05 KAISER ALUMINUM & CHEMICAL CORP DE 8.01,9.01 06/14/05 KAISER ALUMINUM CORP DE 8.01,9.01 06/14/05 KANA SOFTWARE INC DE 5.02 06/16/05 KB HOME DE 2.02,9.01 06/16/05 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 06/15/05 KIMBERLY CLARK CORP DE 5.02 06/16/04 KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 06/16/04 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 06/17/05 LAKELAND BANCORP INC NJ 8.01,9.01 06/16/05 LANCE INC NC 1.01,5.02,7.01,9.01 06/15/05 LAND O LAKES INC 8.01 06/17/05 LEVEL 8 SYSTEMS INC DE 8.01 06/17/05 LIBERATE TECHNOLOGIES DE 1.01,8.01,9.01 06/15/05 LIBERTY PROPERTY TRUST MD 1.01,3.02,5.03,9.01 06/17/05 LIBERTY STAR GOLD CORP NV 7.01,9.01 06/16/05 LINCARE HOLDINGS INC DE 7.01,9.01 06/16/05 LION CAPITAL HOLDINGS INC DE 1.02 06/16/05 LKA INTERNATIONAL INC /DE/ DE 2.02 06/17/05 LML PAYMENT SYSTEMS INC A1 7.01,9.01 06/14/05 LNB BANCORP INC OH 8.01 06/17/05 LQ CORP INC DE 8.01 06/15/05 LSI LOGIC CORP DE 1.01,9.01 06/13/05 LUXEMBURG BANCSHARES INC WI 5.02 06/14/05 MAJESCO ENTERTAINMENT CO DE 5.03,9.01 06/13/05 MARKETAXESS HOLDINGS INC 8.01 06/13/05 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,7.01,9.01 06/15/05 MATRIX BANCORP INC CO 8.01,9.01 06/17/05 MAX & ERMAS RESTAURANTS INC DE 2.02,9.01 06/16/05 MAXUS REALTY TRUST INC MO 1.01 06/17/05 MAXYGEN INC DE 2.05,9.01 06/16/05 MCLEODUSA INC DE 3.01,9.01 06/14/05 MEDICINOVA INC DE 7.01,9.01 06/17/05 MEDICINOVA INC DE 8.01,9.01 06/17/05 MERCANTILE BANKSHARES CORP MD 1.01,9.01 06/14/05 METRO ONE TELECOMMUNICATIONS INC OR 2.05,7.01,9.01 06/15/05 METROLOGIC INSTRUMENTS INC NJ 2.02,9.01 06/16/05 METROMEDIA INTERNATIONAL GROUP INC DE 1.01,9.01 06/14/05 MICHAELS STORES INC DE 1.01,8.01,9.01 06/16/05 MID-STATE BANCSHARES CA 8.01,9.01 06/15/05 MIKOHN GAMING CORP NV 1.01,9.01 06/13/05 MILLENNIUM PHARMACEUTICALS INC DE 5.02,9.01 06/15/05 MINERALS TECHNOLOGIES INC DE 2.02,9.01 06/15/05 MODINE MANUFACTURING CO WI 1.01,9.01 06/17/05 MONSTER WORLDWIDE INC DE 1.01,9.01 06/16/05 MONTEREY GOURMET FOODS DE 9.01 01/11/05 AMEND MOST HOME CORP NV 1.01,2.01,2.03,3.02,9.01 06/13/05 MSGI SECURITY SOLUTIONS, INC NV 1.01,9.01 06/13/05 MULTI COLOR CORP OH 5.02,9.01 06/17/05 MULTIBAND CORP MN 7.01 06/13/05 NATCO GROUP INC DE 1.01,9.01 06/13/05 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01 06/10/05 NationsHealth, Inc. DE 1.01,9.01 06/17/05 NAVIGATORS GROUP INC DE 1.01 06/15/05 NAVISITE INC DE 5.02 06/13/05 NELNET INC NE 8.01,9.01 06/17/05 NEON SYSTEMS INC DE 2.02,9.01 06/15/05 NEPHROS INC DE 8.01,9.01 06/17/05 NETWORTH TECHNOLOGIES, INC. DE 1.01,3.02,5.01,7.01,9.01 05/19/05 NEVADA GOLD & CASINOS INC NV 2.02,9.01 06/14/05 New Century Mortgage Securities LLC 8.01,9.01 06/17/05 New Century Mortgage Securities LLC 8.01,9.01 06/17/05 NEWMONT MINING CORP /DE/ DE 1.01,9.01 06/15/05 NEWS CORP 8.01,9.01 06/17/05 NICHOLAS FINANCIAL INC FL 8.01,9.01 06/17/05 NITROMED INC DE 8.01,9.01 06/16/05 NMXS COM INC 8.01 06/15/05 NOVELOS THERAPEUTICS, INC. DE 5.03,9.01 06/13/05 NOVEN PHARMACEUTICALS INC DE 8.01 06/17/05 NRG ENERGY, INC. DE 8.01,9.01 06/17/05 NTL INC DE 2.04 06/15/05 NUTRI SYSTEM INC /DE/ DE 8.01 06/15/05 O A K FINANCIAL CORP MI 7.01,9.01 06/16/05 OAK HILL FINANCIAL INC OH 9.01 04/01/05 AMEND OLD LINE BANCSHARES INC 5.02 06/17/05 OM GROUP INC DE 1.01,5.02,9.01 06/13/05 OMNI ENERGY SERVICES CORP LA 5.02,9.01 06/13/05 ONEOK INC /NEW/ OK 8.01,9.01 06/17/05 ONEOK INC /NEW/ OK 1.01,9.01 06/14/05 ONESOURCE TECHNOLOGIES INC DE 5.02,5.03,9.01 06/16/05 ORBIT INTERNATIONAL CORP DE 2.01,9.01 04/04/05 AMEND ORCHID CELLMARK INC 1.01 06/13/05 OSI PHARMACEUTICALS INC DE 8.01,9.01 06/02/05 OUTBACK STEAKHOUSE INC DE 1.01,9.01 06/15/05 OUTBACK STEAKHOUSE INC DE 1.01,9.01 05/25/05 PACIFIC CAPITAL BANCORP /CA/ CA 5.03,9.01 06/10/05 PACIFIC ENERGY PARTNERS LP 7.01,9.01 06/16/05 PARKER DRILLING CO /DE/ DE 2.04,9.01 06/16/05 PARKVALE FINANCIAL CORP PA 8.01,9.01 06/16/05 PATRIOT SCIENTIFIC CORP DE 1.02,5.02,9.01 06/12/05 PAVILION BANCORP INC 7.01,9.01 06/16/05 PAXSON COMMUNICATIONS CORP DE 1.01,9.01 06/13/05 PEERLESS MANUFACTURING CO TX 1.01 06/15/05 PENNS WOODS BANCORP INC PA 5.02,5.03 06/14/05 PEOPLES BANCORP INC OH 8.01,9.01 06/17/05 PEPSIAMERICAS INC/IL/ DE 8.01,9.01 06/16/05 PETROQUEST ENERGY INC DE 1.01,2.03,8.01,9.01 06/17/05 PHARMACEUTICAL FORMULATIONS INC DE 7.01 06/14/05 PHILADELPHIA CONSOLIDATED HOLDING COR PA 8.01,9.01 06/16/05 PINNACLE WEST CAPITAL CORP AZ 8.01 06/15/05 PLACER SIERRA BANCSHARES CA 1.01,9.01 05/17/05 AMEND POLAR MOLECULAR HOLDING CORP IA 3.01,9.01 06/17/05 PRECISION OPTICS CORPORATION INC MA 1.01 06/13/05 PREMIUM STANDARD FARMS, INC. 5.03,9.01 06/13/05 PRIMUS TELECOMMUNICATIONS GROUP INC DE 3.01,9.01 06/17/05 PRINCIPAL FINANCIAL GROUP INC DE 5.03,8.01,9.01 06/14/05 PROTOCALL TECHNOLOGIES INC NV 5.02,8.01,9.01 06/13/05 PROVIDENCE SERVICE CORP DE 1.01,2.01,2.03,3.02,9.01 06/13/05 PROVIDENT BANKSHARES CORP MD 2.04,7.01,8.01,9.01 06/15/05 PSB Holdings, Inc. 8.01,9.01 06/15/05 PUBLIC SERVICE CO OF COLORADO CO 8.01 06/14/05 PUMA Global Trust No. 1 DE 8.01,9.01 06/15/05 QUIDEL CORP /DE/ DE 1.01,5.02,9.01 06/13/05 RADIO ONE INC DE 1.01,1.02,2.03,9.01 06/17/05 RADIUM VENTURES INC NV 5.03,9.01 06/15/05 RASER TECHNOLOGIES INC UT 7.01,9.01 06/16/05 RAYMOND JAMES FINANCIAL INC FL 7.01 06/16/05 REGAL ENTERTAINMENT GROUP DE 7.01 06/17/05 RELIABILITY INC TX 4.01 06/17/05 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE 9.01 06/17/05 REWARDS NETWORK INC DE 1.01,9.01 06/14/05 REXAHN PHARMACEUTICALS, INC. DE 5.02 06/14/05 RICHARDSON ELECTRONICS LTD/DE DE 7.01 06/16/05 ROCKWOOD SPECIALTIES GROUP INC 4.02 06/13/05 ROLLINS INC DE 1.01 06/13/05 ROYSTER-CLARK INC DE 8.01,9.01 06/16/05 RURAL ELECTRIC COOPERATIVE GRANTOR TR NY 8.01,9.01 06/15/05 SAKS INC TN 8.01,9.01 06/15/05 SASCO Mortgage Pass Through Certifica DE 8.01,9.01 02/25/05 AMEND SASCO Mortgage Pass Through Certifica DE 8.01,9.01 03/25/05 AMEND SASCO Mortgage Pass Through Certifica DE 8.01,9.01 04/25/05 AMEND SASCO Mortgage Pass Through Certifica DE 8.01,9.01 05/25/05 AMEND SASCO Mortgage Pass-Through Certifida DE 8.01,9.01 03/25/05 AMEND SASCO Mortgage Pass-Through Certifida DE 8.01,9.01 04/25/05 AMEND SASCO Mortgage Pass-Through Certifida DE 8.01,9.01 05/25/05 AMEND SAVVIS, Inc. DE 1.02,9.01 06/13/05 SCBT FINANCIAL CORP SC 5.02 06/17/05 SENESCO TECHNOLOGIES INC DE 7.01,9.01 06/17/05 SFBC INTERNATIONAL INC DE 1.01,2.03 06/14/05 SHARPER IMAGE CORP DE 4.01 05/31/05 AMEND SHOE CARNIVAL INC IN 1.01,9.01 06/14/05 SHOPPING COM LTD NY 8.01 06/08/05 SHOPSMITH INC OH 2.02,9.01 06/16/05 SHUFFLE MASTER INC MN 1.01 06/13/05 SKYWAY COMMUNICATIONS HOLDING CORP 1.03 06/13/05 SKYWAY COMMUNICATIONS HOLDING CORP 1.03 06/14/05 AMEND SMITH A O CORP DE 5.02 06/17/05 SOLECTRON CORP DE 1.01,9.01 06/15/05 SONOMAWEST HOLDINGS INC DE 5.02,9.01 06/16/05 SPEARHEAD LIMITED, INC. FL 3.02,8.01 06/16/05 SSA GLOBAL TECHNOLOGIES, INC DE 8.01,9.01 06/16/05 ST PAUL TRAVELERS COMPANIES INC MN 8.01 06/14/05 STANLEY FURNITURE CO INC/ DE 1.01,9.01 04/02/05 STAPLES INC DE 1.01,8.01,9.01 06/13/05 STERLING BANCORP NY 1.01,7.01,9.01 06/15/05 STONE ENERGY CORP DE 7.01,9.01 06/16/05 STRATOS INTERNATIONAL INC DE 2.02,9.01 06/14/05 Structured Adjustable Rate Mortgage L DE 8.01,9.01 03/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 04/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 05/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 04/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 05/25/05 AMEND STRUCTURED ASSET SECURITIES CORP DE 8.01 06/17/05 Structured Asset Securities Corp Trus DE 8.01,9.01 03/25/05 AMEND Structured Asset Securities Corp Trus DE 8.01,9.01 04/25/05 AMEND Structured Asset Securities Corp Trus DE 8.01,9.01 05/25/05 AMEND Structured Asset Securities Corp. Mor DE 8.01,9.01 04/25/05 AMEND Structured Asset Securities Corp. Mor DE 8.01,9.01 05/25/05 AMEND SUN BANCORP INC /NJ/ NJ 8.01,9.01 06/15/05 SUPERVALU INC DE 1.01,5.02 04/06/05 SYCAMORE NETWORKS INC DE 3.01,9.01 06/16/05 SYNAGRO TECHNOLOGIES INC DE 5.02,9.01 06/16/05 TELEWEST GLOBAL INC 1.01 06/16/05 TERCICA INC DE 8.01,9.01 06/17/05 TERREMARK WORLDWIDE INC DE 2.02,8.01,9.01 06/15/05 TEXAS INDUSTRIES INC DE 2.02,9.01 06/17/05 TEXEN OIL & GAS INC NV 1.01,9.01 06/16/05 THACKERAY CORP DE 8.01 06/17/05 THOMAS & BETTS CORP TN 1.01,2.03,9.01 06/17/05 Thomas Equipment, Inc. DE 1.01,2.03,9.01 06/15/05 Thunderball Entertainment, Inc. 4.01,9.01 06/17/05 TOREADOR RESOURCES CORP DE 2.01,9.01 06/15/05 TOREADOR RESOURCES CORP DE 7.01,9.01 06/16/05 TORPEDO SPORTS USA INC NV 4.01 06/14/05 TORVEC INC NY 3.02 06/16/05 TOWER FINANCIAL CORP IN 1.01,1.02 06/13/05 TRESTLE HOLDINGS INC DE 8.01 06/17/05 TREY INDUSTRIES INC DE 5.02 06/09/05 TRIMAS CORP DE 1.01,1.02 06/17/05 TRIMEDIA ENTERTAINMENT GROUP INC DE 5.02 06/14/05 AMEND TURBOCHEF TECHNOLOGIES INC DE 3.01,9.01 06/17/05 TVI CORP MD 5.02,9.01 06/13/05 U S PLASTIC LUMBER CORP NV 1.01,2.01,2.03,2.05,5.02, 07/23/04 7.01,8.01,9.01 ULTIMATE SOFTWARE GROUP INC DE 1.01,2.03,9.01 06/13/05 UNION NATIONAL FINANCIAL CORP / PA PA 5.02 06/16/05 UNION TANK CAR CO DE 1.01,2.03 06/16/05 UNIT CORP DE 7.01,9.01 06/15/05 UNITED SURGICAL PARTNERS INTERNATIONA DE 8.01,9.01 06/16/05 UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01,9.01 06/16/05 VALEANT PHARMACEUTICALS INTERNATIONAL DE 1.01,9.01 06/16/05 VALENCE TECHNOLOGY INC DE 3.02 06/16/05 VALERO ENERGY CORP/TX DE 8.01,9.01 06/16/05 VALERO ENERGY CORP/TX DE 7.01,9.01 06/17/05 VASCO DATA SECURITY INTERNATIONAL INC DE 5.02 04/19/05 AMEND Venoco, Inc. DE 7.01,9.01 06/16/05 VENTAS INC DE 1.01,2.03,9.01 06/14/05 VENTURE CATALYST INC UT 1.01 06/13/05 VERSATA INC DE 1.02,3.01 06/16/05 VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 06/17/05 VIACOM INC DE 1.01,9.01 06/14/05 WACCAMAW BANKSHARES INC NC 1.01,9.01 06/16/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 06/17/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 06/17/05 WARP TECHNOLOGY HOLDINGS INC NV 7.01,9.01 06/13/05 WARP TECHNOLOGY HOLDINGS INC NV 1.01,2.03 06/13/05 WASHINGTON GROUP INTERNATIONAL INC DE 1.01,9.01 06/14/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 06/15/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 06/15/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 06/15/05 WASHINGTON TRUST BANCORP INC RI 1.01,9.01 06/13/05 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,8.01,9.01 06/13/05 WELLS REAL ESTATE FUND III L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND IV L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND VI L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND VII L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND X L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 06/17/05 WELLS REAL ESTATE FUND XIII L P GA 7.01,9.01 06/17/05 WESTBANK CORP MA 4.01 06/16/05 WHITNEY HOLDING CORP LA 1.01,9.01 06/17/05 WHOLESALE AUTO RECEIVABLES CORP DE 8.01,9.01 06/15/05 WHOLESALE AUTO RECEIVABLES CORP DE 9.01 06/17/05 WIDEPOINT CORP DE 9.01 10/25/04 AMEND WILSHIRE OIL CO OF TEXAS DE 7.01,9.01 06/16/05 WSI INDUSTRIES, INC. MN 8.01,9.01 06/15/05 XCEL ENERGY INC MN 8.01 06/14/05 XETHANOL CORP CO 5.02 06/02/05 XETHANOL CORP CO 5.02 06/02/05 XOMA LTD /DE/ DE 1.01,9.01 06/17/05 XTEN NETWORKS, INC NV 1.01,3.02 06/13/05