SEC NEWS DIGEST Issue 2006-26 February 8, 2006 COMMISSION ANNOUNCEMENTS ACCOUNTING STANDARDS: SEC CHAIRMAN COX AND EU COMMISSIONER MCCREEVY AFFIRM COMMITMENT TO ELIMINATION OF THE NEED FOR RECONCILIATION REQUIREMENTS On the occasion of the visit of EU Internal Markets Commissioner Charlie McCreevy to Washington DC, SEC Chairman Christopher Cox and Commissioner McCreevy took stock of progress on and affirmed their commitment to eliminating the need for reconciliation between International Financial Reporting Standards (IFRS) and US Generally Accepted Accounting Principles (GAAP). Chairman Cox believes the use of IFRS has the potential to produce significant benefits for US investors through enhanced comparability of financial information about investment choices around the world. He congratulates Commissioner McCreevy on the strides made by the European Union toward implementing IFRS, and further notes the work accomplished by the International Accounting Standards Board (IASB), the independent body charged with establishing high-quality-global accounting standards. Chairman Cox reaffirms his commitment to the "roadmap" to eliminate, by 2009 at the latest, the SEC requirement for foreign private issuers to reconcile IFRS-based financial statements to US GAAP. He states: "The SEC is working diligently toward the goal of eliminating the existing IFRS to US GAAP reconciliation requirement. Achieving that goal depends on various factors, as discussed in the April 2005 roadmap, including the effective implementation of IFRS in practice. The ultimate success of IFRS for the benefit of the global capital markets depends on the contributions of many parties, including investors, regulators, auditors, issuers and standard setters." A milestone in the roadmap will be reached in mid-2006, when many foreign issuers begin to file with the SEC IFRS-based financial statements that include a reconciliation to US GAAP. In the second half of 2006, as noted in the roadmap, the SEC staff plans to begin carrying out an analysis of these financial statements and will confer with relevant parties about its analysis. Chairman Cox and Commissioner McCreevy also note the significant role of the Committee of European Securities Regulators (CESR) with regard to the implementation of IFRS in the European Union, which will be supported by the dialogue on application of IFRS to take place in an EU roundtable. Chairman Cox concurs with Commissioner McCreevy about the need for enhancing cooperation and information-sharing among regulators, and fully supports the work plan recently announced by the SEC and CESR, which includes dialogue about the implementation of IFRS. Both agree that steady progress towards eliminating the need for reconciliation depends to a significant degree on the trust and communication that exist among regulators. Recognizing that IFRS are principles-based standards, regulators should give full consideration to the positions of their international counterparts regarding application and enforcement of IFRS, and seriously endeavor to avoid conflicting conclusions. Chairman Cox and EU Commissioner McCreevy each note the efforts of the IASB and the US Financial Accounting Standards Board (FASB) to converge IFRS and US GAAP. Chairman Cox believes that for the benefit of investors the work on convergence of standards should proceed apace. He added that while he would not insist on a particular degree of convergence as a prerequisite for elimination of the reconciliation, he would expect to see an effective process for converging IFRS and US GAAP, demonstrated by measurable progress in addressing priority issues. Chairman Cox and EU Commissioner McCreevy agree that mutual efforts should focus on creating the conditions that facilitate use of US GAAP and IFRS in each other's jurisdiction. With regards to the EU's pending decision regarding the equivalence of US GAAP to IFRS, as is required by certain EU directives, Chairman Cox separately notes that US GAAP is widely-used, comprehensive, and a known quantity in capital markets at home and abroad. He would expect US GAAP ultimately to be deemed equivalent to IFRS. Chairman Cox will meet with Commissioner McCreevy during the coming year to discuss progress on matters related to the use of high quality global accounting standards. There will also be regular meetings over the next year between SEC and European Commission officials to take stock of developments and monitor progress in moving towards mutually desired goals. (Press Rel. 2006- 17) CHAIRMAN CHRISTOPHER COX NAMES JOHN WHITE TO BE THE COMMISSION'S NEXT DIRECTOR OF THE DIVISION OF CORPORATION FINANCE Chairman Christopher Cox announced today that preeminent securities lawyer John W. White will join the Securities and Exchange Commission as its next Director of the Division of Corporation Finance. "John brings unsurpassed expertise and experience with our securities laws, along with a deep commitment to promoting and safeguarding the interests of investors and the efficient operation of our capital markets," Chairman Cox said. "Alan Beller successfully met the dual challenges of implementing Sarbanes-Oxley and the most significant securities regulatory reform in 70 years. John's mission-to maintain the integrity and strength of our markets in an era of unprecedented global competition-may prove even more challenging. His combination of experience, intellect, and judgment make him exceptionally qualified to meet this challenge, and-like Alan-to help me and the Commission address the whole range of issues facing us. With his help, we will ensure that America's markets remain the gold standard. When John joins the Commission, every investor in America's capital markets will be his client." Mr. White, 58, is currently a partner at the law firm of Cravath, Swaine & Moore LLP, where he has a world-renowned practice representing public companies and their financial advisors. He has been involved in hundreds of public financings, including numerous initial public offerings, and is highly respected for his work advising companies on their corporate governance and public reporting responsibilities as well as counseling companies during restatements and other financial crises. "It is a great honor to be asked to serve in this role," Mr. White said. "Our capital markets and our legal and regulatory systems have undergone sweeping changes in recent years and the challenge of ensuring that our markets and regulations remain sensitive to the needs of investors and issuers, and are responsive to the opportunities presented by technological advances, makes this an especially exciting time to be joining the staff. The Division, like the entire agency, is rightly known and lauded for the professionalism and talent of its staff, and I consider it a real privilege to work with them." Mr. White is widely recognized for his keen insight and judgment about matters of financial disclosure and public company accounting, and he will work with others at the Commission to continue to improve financial reporting as well as to further the Commission's interests in pursuing international convergence of accounting and financial disclosure standards. He will also work closely with the Commission to expand the use of interactive data to make financial reports more useful and to find and develop additional ways in which technology may improve the accessibility and utility of public disclosures and other information for investors. Mr. White will initially focus on the Commission's consideration of proposed rules to improve disclosure of executive compensation, to rationalize the rules by which foreign companies may exit U.S. markets and to enhance the corporate proxy process for shareholders through the Internet. Mr. White became a member of the Standing Advisory Group of the Public Company Accounting Oversight Board in January 2006. He will resign that post but will continue to work closely with the PCAOB to improve auditing practices in the U.S. and around the world. Mr. White brings to the Commission considerable experience serving in leadership positions at his law firm. During his 25 years as a partner at Cravath, he has served in a number of management roles, including as head of the firm's corporate department, as recruiting partner, as managing partner, and as managing partner-finance. Mr. White also has a longstanding commitment to continuing legal education and to programs that foster the open exchange of ideas among regulators, legal practitioners, other professionals and investors. He has worked for many years with such leading securities law conferences as the Practising Law Institute's Annual Institute on Securities Regulation and Northwestern Law School's Securities Regulation Institute, of which he was most recently the vice-chairman. Mr. White serves as a member of the Board of Directors of the Practising Law Institute. Mr. White earned a B.S. in Accounting with honors from the University of Virginia in 1970. In 1973, he received his J.D. magna cum laude from New York University School of Law, where he was Managing Editor of the Law Review. Following law school, Mr. White served as Law Clerk to Judge John J. Gibbons of the U.S. Court of Appeals for the Third Circuit. He joined Cravath in 1975 and was elected Partner in 1980. Mr. Beller announced in January that he would leave the Commission after more than four years as the Director of Corporation Finance, during which time he oversaw some of the most dramatic changes in corporate securities law since 1934. Mr. Beller is returning to the private sector. Mr. White will join the staff of the Commission on March 20, 2006. (Press Rel. 2006-18) ENFORCEMENT PROCEEDINGS SETTLED ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS INSTITUTED AGAINST MORGAN KEEGAN & CO., INC. On February 8, the Commission issued an Order Instituting Administrative and Cease-And-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(e) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 (Order) against Morgan Keegan & Co., Inc. (Morgan Keegan). Without admitting or denying the Order's findings, Morgan Keegan consented to the issuance of the Order and the sanctions it contains. The Order finds that, between May and September 2003, representatives from the Dallas, Texas branch office of Tennessee-based broker-dealer Morgan Keegan executed approximately 90 late trades in mutual funds on behalf of a hedge fund adviser in violation of Rule 22c-1(a) under the Investment Company Act of 1940. Late trading refers to the practice of placing orders to buy or redeem mutual fund shares after the time as of which a mutual fund has calculated its net asset value (NAV) (usually as of the close of trading at 4:00 p.m. ET), but receiving the price based on the prior NAV already determined as of 4:00 p.m. Late trading enables the trader to profit from market events that occur after 4:00 p.m. but that are not reflected in that day's price. In particular, the late trader obtains an advantage - at the expense of the other shareholders of the mutual fund - when he learns of market moving information and is able to purchase (or redeem) mutual fund shares at prices set before the market moving information was released. The Order finds that despite Morgan Keegan's unwritten policy requiring that trade tickets for mutual fund orders be submitted to the office wire operator by 2:45 p.m. Central Time (CT)/3:45 p.m. Eastern Time (ET) in order to have them entered that day, a series of miscommunications resulted in Morgan Keegan telling the hedge fund adviser that it could submit orders as late as 4:30 p.m. CT/5:30 p.m. ET and receive that day's NAV. After being told that it could place trades up to 4:30 p.m. CT/5:30 p.m. ET, the hedge fund adviser began actively late trading. The Order finds that the adviser's mutual fund trading was limited to certain funds within two fund families. For both fund families involved, Morgan Keegan was party to contractual dealer agreements that allowed it to effect transactions in the various funds on behalf of its customers and that obligated Morgan Keegan to abide by the terms of the relevant prospectuses with respect to pricing, including disclosures that the funds in question would determine their NAVs as of the closing of the New York Stock Exchange. Based on the above, the Order finds that Morgan Keegan willfully violated Rule 22c-1(a), censures the firm for those violations, orders Morgan Keegan to cease and desist from committing or causing any violations and any future violations of Rule 22c-1(a), and orders it to pay $418,834.93 in disgorgement, representing the fees it earned from the hedge fund relationship, $39,972.06 in prejudgment interest and a $100,000 civil penalty. (Rels. 34-53251; IA-2484; IC-27223; File No. 3-12177) FEDERAL JURY FINDS THAT BRUCE SNYDER, JR., FORMER CHIEF ACCOUNTING OFFICER OF WASTE MANAGEMENT, INC., ENGAGED IN SECURITIES FRAUD On February 1, a federal jury in Houston, Texas, returned a verdict finding that Bruce E. Snyder, Jr., the former Chief Accounting Officer of Waste Management, Inc. (WMI), violated the antifraud provisions of the federal securities laws by failing to make certain required disclosures which caused WMI's reported financial results for the first quarter of fiscal year 1999 to be materially false and misleading. The jury also found that Snyder engaged in insider trading. The jury reached its verdict after a four-week trial in the U.S. District Court for the Southern District of Texas (Houston Division). The jury found that Snyder violated the antifraud provisions of the federal securities laws, Section 10(b) of the Securities and Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The jury also found that Snyder aided and abetted WMI's violations of Section 13(a) of the Exchange Act and Exchange Act Rules 12b-20 and 13a-13, the reporting provisions of the federal securities laws. The Commission's complaint against Snyder alleged that he prepared, reviewed, and signed a materially false or misleading Form 10-Q that WMI filed with the Commission for the first quarter ended March 31, 1999, even though he knew, or was reckless in not knowing, that it failed to disclose that WMI's reported pretax income for that quarter included tens of millions of dollars of non-recurring income items. The undisclosed income items inflated WMI's EPS by approximately $0.09 or 17%. The Commission's complaint further alleged that Snyder sold WMI stock on May 17, 1999, while in possession of the material, nonpublic information that WMI's reported pretax income for the first quarter of fiscal year 1999 included tens of millions of dollars of undisclosed, non-recurring income items. The complaint also alleged that Snyder sold WMI stock again on June 9, 1999, when, in addition to the aforementioned information, Snyder possessed material, nonpublic information that WMI's internal earnings projections showed a large shortfall against the second quarter 1999 EPS guidance WMI had provided to the investing public. For more information see Litigation Release No. 18422 (Oct. 22, 2003). [SEC v. Bruce E. Snyder, Jr., Civil Action No. 03 CV 4658 (S.D.Tx.)] (LR-19557) HOLDING COMPANY ACT RELEASES EXELON CORPORATION, ET AL. An order has been issued denying a request for hearing by City of Philadelphia and Philadelphia Gas Works on an application-declaration filed by Exelon Corporation, a registered holding company, and Public Service Enterprise Group Incorporated, an exempt holding company. (Rel. 35- 28082) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval to a proposed rule change (SR-CBOE- 2005-60) and Amendment No. 1 thereto and accelerated approval of Amendment No. 2 to the proposed rule change relating to an automated improvement mechanism. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53222) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange (SR-Phlx-2005-92) relating to cancellation fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53226) A proposed rule change (SR-Phlx-2005-91) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange. to amend the equity option specialist deficit (shortfall) fee has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53228) A proposed rule change (SR-CBOE-2006-12) filed by the Chicago Board Options Exchange relating to bid/ask differentials for options trading in open outcry on the CBOE's Hybrid System and Hybrid 2.0 Platform has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53229) A proposed rule change (SR-Amex-2006-008) filed by the American Stock Exchange relating to the Specialist Transaction Fee has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53232) A proposed rule change filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. (SR- NASD-2006-019), to establish uniform order warning and rejection parameters for the Nasdaq Market Center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53233) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-PCX-2005-116) and Amendment Nos. 1, 2, and 3 thereto submitted by the Pacific Exchange to List and Trade Shares of the iShares MSCI Australia Index Fund, iShares MSCI Austria Index Fund, iShares MSCI Canada Index Fund, iShares MSCI EMU Index Fund, iShares MSCI Germany Index Fund and iShares MSCI Mexico Index Fund. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53230) The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2005-43) and Amendments No. 1, 2, and 3 thereto submitted by the Philadelphia Stock Exchange relating to index option strike prices. Publication of the order is expected in the Federal Register during the week of February 6. (Rel. 34-53243) WITHDRAWALS GRANTED An order has been issued granting the application of NiSource Inc. to withdraw its common stock, $.01 par value, and the preferred stock purchase rights, from listing and registration on the Chicago Stock Exchange, effective at the opening of business on February 8. (Rel. 34-53238) An order has been issued granting the application of IAMGOLD Corporation to withdraw its common shares, no par value, from listing and registration on the American Stock Exchange, effective at the opening of business on February 8. (Rel. 34-53239) An order has been issued granting the application of NiSource Inc. to withdraw its common stock, $.01 par value, and the associated preferred stock purchase rights, from listing and registration on the Pacific Exchange, effective at the opening of business on February 8. (Rel. 34-53240) An order has been issued granting the application of Burlington Northern Santa Fe Corporation to withdraw its common stock, $.01 par value, from listing and registration on the Pacific Exchange, effective at the opening of business on February 8. (Rel. 34-53241) 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 CLICKABLE ENTERPRISES INC, 711 SOUTH COLUMBUS AVENUE, ., MOUNT VERNON, NY, 10550, 9146995190 - 50,000,000 ($1,200,000.00) Equity, (File 333-131610 - Feb. 7) (BR. 02A) S-4 CENTENNIAL COMMUNICATIONS CORP /DE, 3349 ROUTE 138, BLDG. A, WALL, NJ, 07719, 7325562200 - 550,000,000 ($550,000,000.00) Non-Convertible Debt, (File 333-131611 - Feb. 7) (BR. 11B) S-1 ULTRA CLEAN HOLDINGS INC, 6,900,000 ($65,964,000.00) Equity, (File 333-131613 - Feb. 7) (BR. 10C) S-3 NATIONAL CITY CREDIT CARD MASTER TRUST, 1900 EAST NINTH STREET-LOCATOR 2101, C/O FIRST OF AMERICA BANK MICHIGAN NA, CLEVELAND, OH, 44114-3484, 2165752000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-131614 - Feb. 7) (BR. 05D) S-4 RELIANCE STEEL & ALUMINUM CO, 350 S GRAND AVE STE 5100, LOS ANGELES, CA, 90071, 2136877700 - 6,248,423 ($391,408,685.00) Equity, (File 333-131615 - Feb. 7) (BR. 04C) S-3ASR PIONEER DRILLING CO, 9310 BROADWAY BLDG I, SAN ANTONIO, TX, 78217, 5128287689 - 0 ($0.00) Equity, (File 333-131616 - Feb. 7) (BR. 04B) S-4 KIMCO REALTY CORP, 3333 NEW HYDE PARK RD, PO BOX 5020, NEW HYDE PARK, NY, 11042, 5168699000 - 0 ($82,500,000.00) Equity, (File 333-131618 - Feb. 7) (BR. 08B) S-8 COMBINATORX, INC, 650 ALBANY STREET, BOSTON, MA, 02119, 617-425-7000 - 4,356,196 ($20,090,389.00) Equity, (File 333-131619 - Feb. 7) (BR. 01A) S-8 NATIONAL PENN BANCSHARES INC, PHILADELPHIA AND READING AVE, PO 547, BOYERTOWN, PA, 19512, 1-800-822-3321 - 85,000 ($1,761,200.00) Equity, (File 333-131620 - Feb. 7) (BR. 07A) SB-2 First Source Data, Inc., 1111-155 DALHOUSIE STREET, TORONTO, A6, M5B2P7, 416-214-1516 - 1,381,875 ($552,750.00) Equity, (File 333-131621 - Feb. 7) (BR. 03) S-8 GREENS WORLDWIDE INC, 346 WOODLAND CHURCH RD, HERTFORD, NC, 27944, 252-264-2064 - 3,000,000 ($5,700,000.00) Equity, (File 333-131622 - Feb. 7) (BR. 05B) S-3ASR SEACOR HOLDINGS INC /NEW/, 11200 RICHMOND AVENUE, SUITE 400, HOUSTON, TX, 77082, 2818994800 - 0 ($138,500,000.00) Other, (File 333-131623 - Feb. 7) (BR. 05C) S-8 SARATOGA RESOURCES INC /TX, 301 CONGRESS AVENUE, SUITE 1550, AUSTIN, TX, 78701, 5124785717 - 2,400,000 ($240,000.00) Equity, (File 333-131624 - Feb. 7) (BR. 04A) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 1,500,000 ($50,760,000.00) Equity, (File 333-131625 - Feb. 7) (BR. 04B) S-3ASR WHIRLPOOL CORP /DE/, WHIRLPOOL CNTR 2000 M 63, C/O CORPORATE SECRETARY, BENTON HARBOR, MI, 49022-2692, 6169235000 - 0 ($0.00) Debt, (File 333-131627 - Feb. 7) (BR. 11C) S-8 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($26,000,000.00) Equity, (File 333-131628 - Feb. 7) (BR. 10C) S-8 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 500,000 ($2,600,000.00) Equity, (File 333-131629 - Feb. 7) (BR. 10C) S-3 CWALT INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, 818-332-5300 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-131630 - Feb. 7) (BR. 05) S-8 FIRSTWAVE TECHNOLOGIES INC, 2859 PACES FERRY RD, STE 1000, ATLANTA, GA, 30339, 7704311200 - 300,000 ($486,000.00) Debt Convertible into Equity, (File 333-131631 - Feb. 7) (BR. 03C) S-8 VYYO INC, 4015 MIRANDA AVENUE, FIRST FLOOR, PALO ALTO, CA, 94304, 6503194000 - 1,000,000 ($4,840,000.00) Equity, (File 333-131632 - Feb. 7) (BR. 11A) S-8 TECHNOLOGY RESEARCH CORP, 5250 140TH AVE NORTH, CLEARWATER, FL, 34620, 8135350572 - 250,000 ($1,980,000.00) Equity, (File 333-131633 - Feb. 7) (BR. 10C) S-3 LUMERA CORP, 19910 NORTH CREEK PARKWAY, BOTHELL, WA, 98011-3008, 425-415-6847 - 2,550,000 ($12,061,500.00) Equity, (File 333-131634 - Feb. 7) (BR. 10B) S-3 AMERICAN HOME MORTGAGE SECURITIES LLC, 520 BROADHOLLOW RD, MELVILLE, NY, 11747, (516) 620-1072 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-131636 - Feb. 7) (BR. 05) S-3 RENAISSANCE MORTGAGE ACCEPTANCE CORP, MCKEE NELSON LLP, 5 TIMES SQUARE 35TH FLOOR, NEW YORK, NY, 10036, 9177774200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-131637 - Feb. 7) (BR. 05) S-8 SOTHEBYS HOLDINGS INC, 500 NORTH WOODWARD AVENUE, SUITE 100, BLOOMFIELD HILLS, MI, 48304, 2486462400 - 149,359 ($3,056,631.90) Equity, (File 333-131638 - Feb. 7) (BR. 08C) S-4 MARRIOTT INTERNATIONAL INC /MD/, 10400 FERNWOOD ROAD, BETHESDA, MD, 20817, 3013803000 - 427,231,100 ($427,231,000.00) Debt Convertible into Equity, (File 333-131639 - Feb. 7) (BR. 08C) S-3 CENTRAL JERSEY BANCORP, 627 SECOND AVENUE, LONG BRANCH, NJ, 07740, 7325711300 - 500,000 ($5,690,000.00) Other, (File 333-131640 - Feb. 7) (BR. 07B) S-3 American Home Mortgage Assets LLC, 538 BROADHOLLOW ROAD, MELVILLE, NY, 11747, (516) 622-8960 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-131641 - Feb. 7) (BR. 05) S-8 FIRST STATE BANCORPORATION, 7900 JEFFERSON NE, ALBUQUERQUE, NM, 87109, 5052417500 - 74,196 ($876,254.76) Equity, (File 333-131642 - Feb. 7) (BR. 07A) SB-2 SALON IMPRESSIONS INC, 3239 W MALAPAI DR, PHOENIX, AZ, 85051, 602-678-1561 - 500,000 ($25,000.00) Equity, (File 333-131643 - Feb. 7) (BR. ) S-8 INFORMATICA CORP, 100 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6503855000 - 0 ($372,716.00) Equity, (File 333-131644 - Feb. 7) (BR. 03C) S-8 SINOFRESH HEALTHCARE INC, 516 PAUL MORRIS DR, ENGLEWOOD, FL, 34223, 941-681-3100 - 420,000 ($79,800.00) Equity, (File 333-131646 - Feb. 7) (BR. 01C) S-8 TRONOX INC, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK, 73102, 405-270-1313 - 0 ($87,417,400.00) Equity, (File 333-131647 - Feb. 7) (BR. 06C) S-1 Energy Infrastructure Acquisition Corp., C/O SCHWARTZ & WEISS, P.C., 457 MADISON AVENUE, NEW YORK, NY, 10022, 212-752-3100 - 0 ($310,500,000.00) Equity, (File 333-131648 - Feb. 7) (BR. ) 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 ------------------------------------------------------------------------------------------------------- @ROAD, INC DE 2.02,9.01 02/07/06 51149 INC DE 1.01,5.01,5.02 02/03/06 ABERDENE MINES LTD 1.01,7.01,9.01 01/19/06 ACUSPHERE INC DE 1.01,9.01 02/01/06 Advanced BioEnergy, LLC DE 3.03,5.03 02/01/06 ADVANCED CELL TECHNOLOGY, INC. DE 1.01 02/07/06 ADVISORY BOARD CO DE 2.02,5.02,7.01,9.01 02/07/06 AEROFLEX INC DE 2.02,9.01 02/07/06 AGL RESOURCES INC GA 1.01,8.01,9.01 02/01/06 ALCAN INC A6 2.02 02/07/06 ALIGN TECHNOLOGY INC DE 8.01 02/01/06 ALKERMES INC PA 2.02 02/07/06 ALLOY INC DE 5.02,8.01,9.01 02/01/06 ALTRIA GROUP INC VA 8.01,9.01 02/07/06 AMERICAN AIRLINES INC DE 8.01 02/07/06 AMERICAN COMMERCIAL LINES INC. DE 1.01,9.01 02/01/06 AMERICAN RETIREMENT CORP TN 1.01 02/01/06 AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 02/01/06 AMKOR TECHNOLOGY INC DE 5.02 02/04/06 AMR CORP DE 8.01 02/07/06 ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 02/06/06 ANADARKO PETROLEUM CORP DE 1.01 02/07/06 ANCHOR BANCORP WISCONSIN INC WI 2.02,9.01 02/06/06 ANGELICA CORP /NEW/ MO 8.01,9.01 02/07/06 ANTEON INTERNATIONAL CORP DE 8.01,9.01 02/07/06 APOLLO INVESTMENT CORP MD 9.01 02/07/06 ARCHER DANIELS MIDLAND CO DE 5.02,9.01 02/03/06 ARGENT SECURITIES INC. , ASSET-BACKED 9.01 01/26/06 Argyle Security Acquisition CORP 8.01,9.01 01/30/06 AMEND ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 02/07/06 ARTESYN TECHNOLOGIES INC FL 2.02,9.01 02/07/06 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 02/07/06 ASTORIA FINANCIAL CORP DE 8.01,9.01 02/06/06 ATMOS ENERGY CORP TX 2.02,9.01 02/07/06 AURORA GOLD CORP DE 1.01,9.01 02/06/06 AVAYA INC DE 2.04,8.01,9.01 02/07/06 BADGER METER INC WI 2.02,9.01 02/06/06 BALDWIN & LYONS INC IN 2.02,7.01,9.01 02/06/06 BANCWEST CORP/HI DE 2.03 02/03/06 BARR PHARMACEUTICALS INC DE 2.02 02/07/06 BASIC EARTH SCIENCE SYSTEMS INC DE 8.01,9.01 02/06/06 BENCHMARK ELECTRONICS INC TX 2.02,9.01 02/07/06 BLACK HILLS CORP /SD/ SD 1.01 02/01/06 BLUE NILE INC DE 2.02,9.01 02/07/06 BlueLinx Holdings Inc. DE 1.01,9.01 02/01/06 BMC SOFTWARE INC DE 2.02,9.01 02/07/06 BNC BANCORP NC 7.01,9.01 02/07/06 BNC BANCORP NC 2.02,9.01 02/06/06 BOSTON SCIENTIFIC CORP DE 2.02,9.01 02/07/06 BPK RESOURCES INC NV 1.01,2.03,3.02,9.01 01/30/06 BRAINSTORM CELL THERAPEUTICS INC 1.01,2.03,3.02,9.01 02/06/06 BRIGHTPOINT INC IN 2.02,9.01 02/07/06 BUFFALO WILD WINGS INC MN 2.02,9.01 02/07/06 BUFFETS HOLDINGS, INC. DE 1.01 02/07/06 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 02/07/06 C&D TECHNOLOGIES INC DE 1.01 02/01/06 CALLWAVE INC 2.02,9.01 02/07/06 CALPINE CORP DE 2.05 02/07/06 CAMBREX CORP DE 1.01,2.02,2.06,5.02,9.01 02/07/06 Cambridge Display Technology, Inc. DE 1.01,1.02 02/01/06 CARDICA INC DE 8.01,9.01 02/06/06 CAREER EDUCATION CORP DE 5.03,8.01,9.01 02/02/06 CELL THERAPEUTICS INC WA 1.01,9.01 02/02/06 CELLEGY PHARMACEUTICALS INC CA 8.01,9.01 02/01/06 CENTENE CORP 2.02,9.01 02/07/06 CENTER BANCORP INC NJ 2.02,9.01 02/06/06 AMEND CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 02/06/06 CENTURION GOLD HOLDINGS INC FL 1.01,8.01,9.01 02/02/06 CENTURY REALTY TRUST IN 8.01,9.01 02/03/06 CERAGENIX PHARMACEUTICALS, INC. DE 7.01,9.01 02/06/06 China Media Group CORP TX 1.01 02/02/06 CHL Mortgage Pass-Through Trust 2006- 8.01,9.01 01/31/06 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 02/07/06 CIMAREX ENERGY CO DE 7.01,9.01 02/07/06 CINERGY CORP DE 7.01 02/01/06 CISCO SYSTEMS INC CA 2.02 02/07/06 CLARK INC DE 5.02 02/01/06 CNB FINANCIAL SERVICES INC WV 2.02,9.01 02/06/06 CNL Hotels & Resorts, Inc. MD 8.01 02/07/06 COACHMEN INDUSTRIES INC IN 5.02,9.01 02/06/06 COAST DISTRIBUTION SYSTEM INC DE 1.01,3.03,7.01,9.01 02/01/06 COCA COLA CO DE 2.02,9.01 02/07/06 COMMERCIAL METALS CO DE 1.01,9.01 02/06/06 COMMERCIAL PROPERTY CORP DE 4.01,9.01 02/06/06 COMMUNITY NATIONAL BANCORPORATION GA 1.01,9.01 02/07/06 COMPEX TECHNOLOGIES INC MN 2.02,9.01 02/07/06 COMPUTER SCIENCES CORP NV 2.02 12/30/05 COMPUTER SOFTWARE INNOVATIONS INC DE 1.01,9.01 02/03/06 Comtech Group Inc MD 2.02,9.01 02/01/06 CONEXANT SYSTEMS INC DE 8.01,9.01 02/06/06 CONNETICS CORP DE 1.01,9.01 02/06/06 CONNETICS CORP DE 1.01,9.01 02/01/06 CONVERSION SERVICES INTERNATIONAL INC DE 1.01,9.01 02/01/06 CORNING INC /NY NY 2.02,8.01 02/07/06 CORRECTIONS CORP OF AMERICA MD 1.01,2.03,9.01 02/03/06 CORVEL CORP DE 2.02,9.01 02/07/06 COUNTERPATH SOLUTIONS, INC. NV 1.01,3.02 02/01/06 CPI CORP DE 7.01,9.01 02/02/06 CRESCENDO ACQUISITION CORP. DE 5.01,9.01 02/01/06 CUMMINS INC IN 8.01 02/07/06 CURATIVE HEALTH SERVICES INC 7.01,9.01 02/03/06 CUTTER & BUCK INC WA 5.02,9.01 02/07/06 CWHEQ, Inc. 8.01 02/07/06 CYBERSOURCE CORP DE 9.01 02/07/06 DELCATH SYSTEMS INC DE 8.01,9.01 02/07/06 Dermisonics, Inc 7.01,9.01 02/06/06 DIGITAL LIGHTWAVE INC DE 1.01,2.03,9.01 02/02/06 Digital Music Group, Inc. DE 5.02 02/02/06 DIXIE GROUP INC TN 7.01,9.01 02/07/06 DNAPRINT GENOMICS INC UT 1.01,2.03 01/31/06 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,2.03,5.03,9.01 02/01/06 DUKE ENERGY CORP NC 5.02 02/07/06 DUKE REALTY CORP IN 1.01,9.01 02/02/06 DURATEK INC DE 1.01,3.03,9.01 02/06/06 EASYLINK SERVICES CORP DE 3.01,9.01 02/07/06 EDGAR ONLINE INC DE 2.02,9.01 02/07/06 EL PASO CORP/DE DE 8.01 02/07/06 EMBARCADERO TECHNOLOGIES INC 2.02,9.01 02/07/06 Emergency Medical Services CORP DE 2.02,9.01 02/06/06 EMERSON ELECTRIC CO MO 2.02,7.01,9.01 02/07/06 EMMIS COMMUNICATIONS CORP IN 8.01 02/07/06 Encore Credit Receivables Trust 2005- DE 2.01,9.01 02/07/06 ENCORE WIRE CORP /DE/ DE 2.02,7.01,9.01 02/07/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01 02/06/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 02/07/06 ENDURANCE SPECIALTY HOLDINGS LTD 5.02 02/01/06 ESCHELON TELECOM INC 2.02,9.01 02/01/06 ESCO TECHNOLOGIES INC MO 1.01,9.01 02/02/06 ESSENTIAL INNOVATIONS TECHNOLOGY CORP NV 7.01,9.01 02/07/06 FACTORY CARD OUTLET CORP DE 8.01 02/06/06 FALCON NATURAL GAS CORP 3.02,9.01 02/03/06 Federal Home Loan Bank of Boston X1 2.03 02/07/06 Federal Home Loan Bank of New York X1 2.03,9.01 02/01/06 Federal Home Loan Bank of San Francis X1 2.03 02/07/06 FEI CO OR 2.02,9.01 02/07/06 FelCor Lodging Trust Inc MD 1.01 02/01/06 FIRST ADVANTAGE CORP DE 1.01,9.01 02/02/06 First Business Financial Services, In 1.01,9.01 02/01/06 FIRST NATIONAL CORP /VA/ VA 5.03,8.01,9.01 02/01/06 FLORIDA ROCK INDUSTRIES INC FL 5.02 02/07/06 FMC CORP DE 2.02,9.01 02/06/06 FONIX CORP DE 1.01,3.02,5.03 02/06/06 FOOTSTAR INC DE 1.01,5.02,5.03,9.01 02/07/06 FORTUNE BRANDS INC DE 2.02,7.01,9.01 02/07/06 FORWARD INDUSTRIES INC NY 2.02,9.01 02/02/06 FOSTER WHEELER LTD D0 1.01 02/02/06 FreightCar America, Inc. DE 2.02,9.01 02/07/06 Fresh Harvest Products, Inc. 3.02 02/01/06 FX ENERGY INC NV 8.01,9.01 02/07/06 G III APPAREL GROUP LTD /DE/ DE 1.01 02/01/06 GARDNER DENVER INC DE 2.02,9.01 02/07/06 GARTNER INC DE 2.02,5.02,5.03,9.01 02/02/06 GASTAR EXPLORATION LTD A0 8.01,9.01 02/07/06 GCI INC AK 2.02,9.01 02/07/06 GENERAL COMMUNICATION INC AK 2.02,9.01 02/07/06 GENERAL GOLD CORP NV 4.01,9.01 02/01/06 AMEND GENESEE & WYOMING INC DE 1.01 02/01/06 GENESIS BIOVENTURES INC NY 1.01 02/06/06 GENITOPE CORP DE 8.01 02/07/06 GENITOPE CORP DE 1.01,8.01,9.01 02/07/06 GENIUS PRODUCTS INC NV 5.02,9.01 02/01/06 GEORGIA GULF CORP /DE/ DE 2.02,9.01 02/02/06 GILEAD SCIENCES INC DE 8.01 02/02/06 GLADSTONE CAPITAL CORP MD 2.02,9.01 02/07/06 GLENBOROUGH REALTY TRUST INC MD 1.01,9.01 02/06/06 GLENBOROUGH REALTY TRUST INC MD 1.01,9.01 02/06/06 GLENBOROUGH REALTY TRUST INC MD 2.02,9.01 02/07/06 GLYCOGENESYS INC NV 3.01 02/06/06 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 02/07/06 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 02/07/06 GREENSHIFT CORP DE 1.01,2.03 02/07/06 AMEND GREENWICH CAPITAL ACCEPTANCE INC DE 8.01 02/07/06 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01 02/06/06 Gulf Coast Oil & Gas Inc. 1.01,2.03,3.02 02/01/06 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 02/07/06 HarborView Mortgage Loan Trust 2005-1 DE 8.01,9.01 11/21/05 AMEND HARTVILLE GROUP INC NV 1.01,5.02,9.01 02/01/06 HCA INC/TN DE 7.01,9.01 02/07/06 HEALTH CARE REIT INC /DE/ DE 2.02,9.01 02/07/06 HEWITT ASSOCIATES INC DE 2.02,9.01 02/06/06 HILLENBRAND INDUSTRIES INC IN 1.01,2.02,9.01 02/03/06 HILTON HOTELS CORP DE 5.02 02/06/06 HOOPER HOLMES INC NY 1.01,1.02,2.02,8.01,9.01 01/31/06 I2 TECHNOLOGIES INC DE 2.02,7.01,9.01 02/02/06 IA GLOBAL INC DE 1.01,2.03,9.01 02/01/06 IASIS Healthcare LLC DE 2.02,9.01 02/07/06 ICOS CORP WA 2.02 02/07/06 IDEX CORP /DE/ DE 5.02,8.01,9.01 02/02/06 IKANOS COMMUNICATIONS CA 2.02,9.01 02/07/06 IMAGEWARE SYSTEMS INC DE 1.01,5.02 02/01/06 IMMUCELL CORP /DE/ DE 2.02,9.01 02/07/06 IMMUNOGEN INC MA 1.01,9.01 02/01/06 IMPART MEDIA GROUP INC NV 1.01,2.01,3.02,9.01 02/06/06 IN TOUCH MEDIA GROUP, INC. FL 4.01 04/21/05 AMEND INFOUSA INC DE 5.02,9.01 02/07/06 INGERSOLL RAND CO LTD 1.01,5.02 12/07/05 INNOSPEC INC. DE 2.02 02/07/06 INNOVATE ONCOLOGY, INC. NV 1.01,8.01,9.01 02/01/06 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,2.03,7.01,9.01 02/01/06 INTELLIGROUP INC NJ 8.01,9.01 02/06/06 INTERPOOL INC DE 1.01,9.01 02/01/06 INTEVAC INC CA 1.01,2.02,9.01 02/03/06 INVESTORS FINANCIAL SERVICES CORP DE 5.02,9.01 02/01/06 IOMED INC UT 1.01,2.02,9.01 02/06/06 IOMEGA CORP DE 5.02 02/07/06 IPASS INC DE 2.02,9.01 02/07/06 iPCS, INC DE 1.01,2.02,5.03,9.01 02/06/06 IPSCO INC 1.01,9.01 02/03/06 IVOICE, INC /DE DE 1.01,8.01,9.01 01/06/06 AMEND J JILL GROUP INC DE 1.01,8.01,9.01 02/05/06 J.P. Morgan Mortgage Trust 2005-Alt 1 DE 8.01,9.01 12/27/05 AMEND J2 GLOBAL COMMUNICATIONS INC DE 2.02,7.01,9.01 02/06/06 J2 GLOBAL COMMUNICATIONS INC DE 7.01,9.01 02/07/06 JEFFERSON PILOT CORP NC 2.02,8.01,9.01 02/06/06 JOURNAL REGISTER CO DE 2.02,7.01,9.01 02/07/06 KAISER ALUMINUM & CHEMICAL CORP DE 1.01,1.03,5.02,8.01,9.01 02/01/06 KAISER ALUMINUM CORP DE 1.01,1.03,5.02,8.01,9.01 02/01/06 KEYSPAN CORP NY 1.01,9.01 02/01/06 KINDRED HEALTHCARE, INC DE 1.01,7.01,9.01 02/06/06 Koppers Holdings Inc. PA 1.01,1.02,5.03,9.01 02/06/06 KOPPERS INC PA 1.01,1.02,9.01 02/06/06 KRAFT FOODS INC VA 8.01,9.01 02/07/06 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 02/03/06 LADISH CO INC WI 8.01,9.01 02/06/06 LAND O LAKES INC 2.02,9.01 02/07/06 LASALLE HOTEL PROPERTIES MD 1.01,9.01 02/02/06 LAYNE CHRISTENSEN CO DE 8.01,9.01 02/07/06 LB-UBS COMMERCIAL MORTGAGE TRUST 2006 1.01 02/01/06 LCA VISION INC DE 5.02,7.01,9.01 02/03/06 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 02/07/06 LEXICON GENETICS INC/TX DE 1.01 02/01/06 LIBERTY PROPERTY TRUST MD 2.02,9.01 02/06/06 LIFELINE THERAPEUTICS, INC. CO 7.01,9.01 02/06/06 LIFESTREAM TECHNOLOGIES INC NV 1.01,2.04 02/01/06 LIGHTPATH TECHNOLOGIES INC DE 8.01 02/07/06 LINCOLN BANCORP /IN/ IN 2.02,9.01 02/03/06 Linkwell CORP FL 1.01,9.01 02/06/06 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 8.01 02/07/06 LITTELFUSE INC /DE DE 8.01,9.01 02/03/06 LODGIAN INC DE 8.01 02/01/06 LONG BEACH SECURITIES CORP DE 9.01 02/07/06 LOUISIANA-PACIFIC CORP DE 1.01,9.01 02/02/06 LOWES COMPANIES INC NC 8.01,9.01 02/01/06 LTC PROPERTIES INC MD 2.02,9.01 02/07/06 LUBRIZOL CORP OH 2.02,9.01 02/07/06 LUCYS CAFE INC 4.01,9.01 02/07/06 M WISE INC DE 1.01,3.02,9.01 02/02/06 MAGUIRE PROPERTIES INC MD 2.02,7.01,9.01 02/07/06 MARRIOTT INTERNATIONAL INC /MD/ DE 5.03,9.01 02/06/06 MASS MEGAWATTS WIND POWER INC 3.02 02/07/06 MATRIA HEALTHCARE INC DE 1.01,2.03,9.01 02/02/06 MATRITECH INC/DE/ DE 2.02,9.01 02/07/06 MEDCO HEALTH SOLUTIONS INC DE 1.01,9.01 02/01/06 MEDICAL NUTRITION USA INC NJ 4.02 02/06/06 MERISTAR HOSPITALITY CORP MD 2.02,9.01 02/07/06 MERISTAR HOSPITALITY OPERATING PARTNE DE 2.02,9.01 02/07/06 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 02/07/06 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 09/26/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 10/25/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 11/25/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 12/27/05 AMEND METALDYNE CORP DE 7.01,9.01 02/07/06 METASOLV INC DE 1.01,9.01 02/06/06 MFB CORP IN 2.02,2.06 12/31/05 MICRON ENVIRO SYSTEMS INC NV 8.01 02/07/06 MILLS CORP DE 1.01,2.03,9.01 02/01/06 MISSION WEST PROPERTIES INC CA 2.02 12/31/05 MONRO MUFFLER BRAKE INC NY 1.01,9.01 02/06/06 MORGAN BEAUMONT INC NV 8.01 01/12/06 MORRIS PUBLISHING GROUP LLC GA 2.02,7.01,9.01 02/07/06 MOSAIC CO 7.01,9.01 02/07/06 MotivNation, Inc. 1.01,3.02,9.01 02/02/06 MTS SYSTEMS CORP MN 1.01,9.01 01/31/06 MUELLER INDUSTRIES INC DE 1.01,9.01 12/27/05 Mueller Water Products, Inc. DE 5.02 02/02/06 MV FUND II LLC 3.03,5.03,9.01 01/31/06 MYRIAD GENETICS INC DE 2.02,9.01 02/07/06 NABORS INDUSTRIES LTD D0 2.02,9.01 02/06/06 NATIONAL ENERGY GROUP INC DE 1.01,9.01 02/01/06 NationsHealth, Inc. DE 7.01,9.01 02/07/06 NAVISTAR FINANCIAL CORP DE 8.01,9.01 10/31/05 NAVTECH INC DE 2.01,9.01 11/21/05 AMEND NAVTEQ CORP DE 1.01 12/13/05 Nayna Networks, Inc. WY 1.01,2.01,3.02,9.01 01/20/06 NBTY INC DE 7.01,9.01 02/06/06 NET 1 UEPS TECHNOLOGIES INC FL 2.02,7.01,8.01,9.01 02/03/06 NEW FRONTIER MEDIA INC CO 2.02,9.01 02/07/06 NEW RIVER PHARMACEUTICALS INC VA 8.01,9.01 02/07/06 NOBLE CORP 5.02,7.01,9.01 02/03/06 NORTH AMERICAN GALVANIZING & COATINGS DE 7.01 02/06/06 NORTHERN CALIFORNIA BANCORP INC 2.02,9.01 02/06/06 Northern Way Resources, Inc. NV 1.01 02/01/06 NTS REALTY HOLDINGS LP DE 2.01,9.01 02/02/06 NTS REALTY HOLDINGS LP DE 1.01,9.01 02/07/06 NUVASIVE INC DE 1.01,7.01,9.01 02/01/06 OCCAM NETWORKS INC/DE DE 2.02,9.01 02/06/06 OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01 02/07/06 OccuLogix, Inc. DE 1.01 02/06/06 ON SEMICONDUCTOR CORP DE 8.01,9.01 02/06/06 OneTravel Holdings, Inc. DE 1.01,2.03,3.02,9.01 01/31/06 OneTravel Holdings, Inc. DE 3.01,9.01 02/01/06 OPHTHALMIC IMAGING SYSTEMS CA 7.01,9.01 02/01/06 OPTICAL SENSORS INC DE 1.01,5.03,9.01 02/06/06 OPTIGENEX INC. 4.02 02/07/06 OPTIMAL GROUP INC 7.01 02/07/06 OSCIENT PHARMACEUTICALS CORP MA 1.01,9.01 02/03/06 OTTER TAIL CORP MN 2.02,9.01 02/06/06 OVERSTOCK.COM, INC UT 2.02,9.01 02/07/06 OYO GEOSPACE CORP DE 2.02,9.01 02/07/06 PACIFIC ENERGY PARTNERS LP 1.01,9.01 02/01/06 PARK CITY GROUP INC DE 7.01 02/06/06 PARKER DRILLING CO /DE/ DE 1.01 02/01/06 PARKERVISION INC FL 2.02,3.02,9.01 02/03/06 PARKWAY PROPERTIES INC MD 2.02,9.01 02/06/06 PARTNERRE LTD 2.02 02/06/06 PATAPSCO BANCORP INC MD 8.01,9.01 02/07/06 PATCH INTERNATIONAL INC/CN NV 8.01,9.01 02/07/06 PATRIOT TRANSPORTATION HOLDING INC FL 1.01 02/07/06 PDL BIOPHARMA, INC. DE 1.01 02/01/06 PERCEPTRON INC/MI MI 2.02,9.01 02/07/06 PERFORMANCE FOOD GROUP CO TN 2.02,9.01 02/07/06 PEROT SYSTEMS CORP DE 2.02,9.01 02/07/06 PETROL OIL & GAS INC 7.01,8.01,9.01 02/03/06 PHASE FORWARD INC DE 2.02,9.01 02/07/06 PHELPS DODGE CORP NY 8.01,9.01 02/01/06 PHOENIX TECHNOLOGIES LTD DE 2.02,9.01 02/07/06 PIER 1 IMPORTS INC/DE DE 1.01,8.01,9.01 02/06/06 Pike Electric CORP 2.02,9.01 02/07/06 PILGRIMS PRIDE CORP DE 7.01 02/07/06 PINNACLE FOODS GROUP INC DE 7.01,9.01 02/07/06 PIONEER DRILLING CO TX 1.01,9.01 02/07/06 PLAYTEX PRODUCTS INC DE 2.02,9.01 02/06/06 PLY GEM HOLDINGS INC DE 1.01,8.01,9.01 02/07/06 PMI GROUP INC DE 2.02,9.01 02/07/06 POLO RALPH LAUREN CORP DE 2.02,9.01 02/07/06 POLYONE CORP 2.02,9.01 02/07/06 POSEIDIS INC FL 1.01,2.03,3.02,9.01 02/01/06 POST PROPERTIES INC GA 2.02,9.01 02/06/06 POTLATCH CORP DE 2.02,9.01 02/06/06 POWER INTEGRATIONS INC CA 2.02,9.01 02/02/06 PRB Gas Transportation, Inc. NV 8.01,9.01 02/07/06 PREMIER EXHIBITIONS, INC. 8.01 02/06/06 PRESSURE BIOSCIENCES INC MA 1.01,9.01 02/01/06 Prestige Brands Holdings, Inc. 2.02,7.01,9.01 02/06/06 PRINCIPAL FINANCIAL GROUP INC DE 2.02 02/06/06 PRINCIPAL LIFE INSURANCE CO IA 2.02 02/07/06 Prosoft Learning CORP NV 5.02 02/01/06 PROVIDENCE SERVICE CORP DE 1.01,7.01,9.01 02/01/06 PRUCO LIFE INSURANCE CO AZ 4.02 02/01/06 PRUCO LIFE INSURANCE OF NEW JERSEY NJ 4.02 02/01/06 PSB GROUP INC MI 2.02,9.01 02/03/06 PUBLIC STORAGE INC /CA CA 2.02,9.01 12/31/05 PUGET ENERGY INC /WA WA 2.02 02/07/06 PUGET ENERGY INC /WA WA 8.01 02/07/06 QUAKER FABRIC CORP /DE/ DE 1.01,9.01 02/03/06 QUIDEL CORP /DE/ DE 5.02,9.01 02/02/06 RAE SYSTEMS INC DE 7.01,9.01 02/07/06 RAINDANCE COMMUNICATIONS INC DE 1.01,7.01,9.01 02/06/06 RAMBUS INC DE 5.02,9.01 02/01/06 RAYONIER INC NC 7.01 02/03/06 READY CREDIT CORP 1.01,9.01 02/03/06 Refco Inc. 5.02,9.01 02/07/06 REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 02/07/06 REGENCY CENTERS CORP FL 2.02,9.01 02/01/06 REHABCARE GROUP INC DE 5.02,9.01 02/07/06 RENT A CENTER INC DE DE 2.02,9.01 02/06/06 RESMED INC DE 2.02,9.01 02/07/06 RESOURCE AMERICA INC DE 2.02,9.01 12/31/05 REYNOLDS AMERICAN INC 1.01 02/01/06 Riddell Bell Holdings, Inc. DE 1.01,8.01,9.01 02/01/06 ROBBINS & MYERS INC OH 2.05,7.01 02/03/06 SANDISK CORP DE 2.02,9.01 01/26/06 AMEND SATELLITE ENTERPRISES CORP NV 1.01,9.01 01/31/06 SAVANNAH ELECTRIC & POWER CO GA 1.01 02/01/06 SAXON CAPITAL INC MD 7.01,9.01 02/07/06 SCHOOL SPECIALTY INC WI 1.01,2.03,8.01,9.01 02/01/06 SEATTLE GENETICS INC /WA DE 2.02,9.01 02/07/06 SELIGMAN NEW TECHNOLOGIES FUND II INC MD 5.03,9.01 02/07/06 SELIGMAN NEW TECHNOLOGIES FUND INC 5.03,9.01 02/07/06 SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 02/07/06 SHARPER IMAGE CORP DE 1.01 02/01/06 SHARPER IMAGE CORP DE 1.01,9.01 02/02/06 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 02/01/06 SHOE PAVILION INC DE 8.01,9.01 02/06/06 SIGA TECHNOLOGIES INC DE 1.01,9.01 02/01/06 SIGA TECHNOLOGIES INC DE 1.01,9.01 02/01/06 SiVault Systems, Inc. NV 5.02,8.01,9.01 02/01/06 SKYLYNX COMMUNICATIONS INC DE 3.02,9.01 12/08/05 Somaxon Pharmaceuticals, Inc. DE 1.01 02/01/06 SONIC AUTOMOTIVE INC DE 1.01 02/01/06 SONOSITE INC 1.01,5.02,9.01 02/03/06 SOUTH TEXAS OIL CO NV 5.02,9.01 02/07/06 SP Holding CORP DE 1.01,3.02,9.01 02/07/06 SPACEHAB INC \WA\ WA 2.02,9.01 02/07/06 SPX CORP DE 8.01,9.01 02/07/06 SSA GLOBAL TECHNOLOGIES, INC DE 1.01 01/31/06 STAKTEK HOLDINGS INC DE 1.01 02/02/06 STANDARD PACIFIC CORP /DE/ DE 1.01,9.01 02/01/06 STATE STREET CORP MA 7.01,9.01 02/07/06 STELLENT INC MN 2.02,9.01 02/07/06 Stereotaxis, Inc. DE 7.01,9.01 02/07/06 STERICYCLE INC DE 1.01,9.01 12/31/05 STONERIDGE INC OH 3.01 02/06/06 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 02/07/06 Studio Zone Inc 4.01,9.01 01/23/06 AMEND SUMMIT BANK CORP GA 2.02 02/07/06 SUN NEW MEDIA INC. MN 5.02,9.01 01/17/06 SUNBURST ACQUISITIONS IV INC CO 1.01,9.01 01/30/06 SUPERCLICK INC WA 5.02,9.01 02/06/06 SWIFT ENERGY CO 5.02 02/06/06 SYBRON DENTAL SPECIALTIES INC DE 2.02,9.01 02/06/06 SYMYX TECHNOLOGIES INC DE 2.02,9.01 02/07/06 SYNAGRO TECHNOLOGIES INC DE 8.01,9.01 02/06/06 TALBOTS INC DE 1.01,9.01 02/05/06 AMEND Tarpon Industries, Inc. MI 8.01,9.01 02/01/06 TAUBMAN CENTERS INC MI 2.02,9.01 02/06/06 Telecomm Sales Network Inc 8.01,9.01 02/07/06 TELEWEST GLOBAL INC 1.01,5.02,9.01 02/01/06 TEMECULA VALLEY BANCORP INC DE 1.01,9.01 02/01/06 TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 02/06/06 TENTHGATE INC 2.03 01/17/06 THESTREET COM DE 1.01 02/02/06 THOMAS & BETTS CORP TN 1.01,2.02,9.01 02/01/06 THORATEC CORP CA 1.01,8.01,9.01 02/01/06 TIME WARNER TELECOM INC DE 2.02,9.01 02/06/06 TODD SHIPYARDS CORP WA 2.02 01/01/06 TOLL BROTHERS INC DE 2.02,9.01 02/07/06 TORCHMARK CORP DE 8.01 01/25/06 AMEND TOYS R US INC DE 1.01,5.02,9.01 02/07/06 TRANSPORT CORPORATION OF AMERICA INC MN 2.02,9.01 02/07/06 TRICO MARINE SERVICES INC DE 1.01,9.01 02/07/06 Trinsic, Inc. DE 1.01,2.02,2.03 02/01/06 TUTOGEN MEDICAL INC FL 5.02 02/07/06 TVIA INC DE 2.02,9.01 02/07/06 UAL CORP /DE/ DE 7.01,9.01 02/07/06 Under Armour, Inc. MD 2.02,9.01 02/07/06 Under Armour, Inc. MD 7.01 02/07/06 UNITED BANKSHARES INC/WV WV 1.02,9.01 02/02/06 UNITED DOMINION REALTY TRUST INC MD 2.02,9.01 02/06/06 UNITRIN INC DE 1.01,9.01 01/31/06 AMEND UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 02/07/06 US CONCRETE INC DE 1.01,9.01 02/01/06 US GEOTHERMAL INC DE 7.01,9.01 02/01/06 USA TECHNOLOGIES INC PA 8.01 02/07/06 USANA HEALTH SCIENCES INC UT 2.02,9.01 02/07/06 UTEK CORP 8.01,9.01 02/06/06 UTIX GROUP INC DE 1.01,3.02,5.02,9.01 02/01/06 VERILINK CORP DE 1.01,2.04,9.01 02/07/06 VERINT SYSTEMS INC 8.01,9.01 02/06/06 VERSANT CORP CA 1.01,2.01,8.01,9.01 02/01/06 VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 02/07/06 VIPER POWERSPORTS INC 1.01,1.02 02/01/06 VIROPRO INC NV 5.03 02/07/06 VISHAY INTERTECHNOLOGY INC DE 2.02,9.01 02/07/06 VISHAY INTERTECHNOLOGY INC DE 7.01 02/07/06 VITRIA TECHNOLOGY INC DE 2.02,9.01 02/01/06 AMEND WASHINGTON MUTUAL INC WA 8.01 02/01/06 WASTE SERVICES, INC. A6 3.02,9.01 02/06/06 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 02/07/06 WEBSIDESTORY INC CA 1.01,2.01,2.03,3.02,7.01,9.01 02/01/06 WEBSITE PROS INC DE 2.02,9.01 02/07/06 WEBSTER FINANCIAL CORP DE 3.03,5.03,9.01 02/04/06 WELLS FARGO & CO/MN DE 9.01 02/07/06 WELLSTONE FILTERS INC /DE/ DE 4.02 02/01/06 WESBANCO INC WV 7.01,9.01 02/07/06 WESTWOOD HOLDINGS GROUP INC 2.02,7.01,9.01 02/07/06 WGNB CORP GA 1.01,1.02,5.02,9.01 02/06/06 WHITE ELECTRONIC DESIGNS CORP ID 2.02,9.01 02/07/06 WHITE MOUNTAINS INSURANCE GROUP LTD D0 1.01,5.02,9.01 02/02/06 WINDROSE MEDICAL PROPERTIES TRUST MD 1.01,9.01 02/03/06 WIRELESS AGE COMMUNICATIONS INC NV 8.01,9.01 02/03/06 WORLD AM, INC. 5.02 02/02/06 WORLD HEALTH ALTERNATIVES INC FL 1.01,9.01 02/03/06 WRIGLEY WM JR CO DE 2.02,9.01 02/07/06 XL Generation International Inc. NV 8.01,9.01 02/01/06 YOUNG INNOVATIONS INC MO 2.02,9.01 02/06/06 YOUNG INNOVATIONS INC MO 2.02,9.01 02/06/06 AMEND YTB International, Inc. NY 1.01,2.02,4.02,9.01 01/30/06 ZANETT INC DE 8.01 02/07/06 ZENITH NATIONAL INSURANCE CORP DE 8.01,9.01 02/07/06 ZIX CORP TX 8.01,9.01 02/01/06