SEC NEWS DIGEST Issue 2005-152 August 9, 2005 ENFORCEMENT PROCEEDINGS COMMISSION FILES FRAUD CHARGES AGAINST KNIGHT SECURITIES’ FORMER CEO AND INSTITUTIONAL SALES DESK MANAGER On August 8, the Commission filed a civil fraud action in the United States District Court for the District of New Jersey against Kenneth D. Pasternak (Pasternak), the former Chief Executive Officer and Head of the Trading Desk of Knight Securities, L.P., now known as Knight Equity Markets, L.P. (Knight), and John P. Leighton (John Leighton), the former head of the Institutional Sales Desk at Knight, for their role in the “best execution” scheme that defrauded Knight’s institutional customers. The Commission alleges in its complaint that Pasternak and John Leighton violated 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. The Commission also alleges that Pasternak and John Leighton aided and abetted Knight’s violations of Sections 15(c)(1), 10(b) and 17(a) of the Exchange Act and Rules 10b-5 and 17a-3 thereunder. The Commission also alleges that Pasternak is liable as a control person, under Section 20(a) of the Exchange Act, for Knight’s violations of Sections 15(c)(1) and 17(a) of the Exchange Act and Rule 17a-3 thereunder. In its action, the Commission is seeking against each defendant a permanent injunction, disgorgement of all ill-gotten gains plus pre-judgment interest and civil penalties. See, Litigation Release No. 19329 (August 8, 2005). The Commission acknowledges the assistance of the NASD in the investigation of this matter. [SEC v. Kenneth D. Pasternak and John P. Leighton, No. 05-3905, JAP, D.N.J.] (LR-19329) SEC CHARGES THOMAS JONES AND LEWIS DAIDONE WITH FRAUD RELATING TO CREATION OF AFFILIATED TRANSFER AGENT TO SERVE CITIGROUP MUTUAL FUNDS ***** NOTE: On February 26, 2007, the United States District Court for the Southern District of New York granted motions for summary judgment filed by defendants Jones and Daidone, dismissing the case with prejudice. ***** On August 8, the Securities and Exchange Commission filed an enforcement action in the United States District Court for the Southern District of New York charging former Citigroup executives Thomas W. Jones and Lewis Daidone with fraud relating to Citigroup’s creation of an affiliated transfer agent to serve its Smith Barney family of mutual funds at steeply discounted rates. Rather than passing the substantial fee discount on to the mutual funds, Citigroup took most of the benefit of the discount for itself, reaping tens of millions of dollars in profit at the expense of mutual fund shareholders. The actions against the individuals follows the Commission’s settlement with the company in May in which Citigroup agreed to pay $208 million that will distributed to victims of the fraud. In its complaint filed today, the Commission alleges that Jones and Daidone were two of the officers principally responsible for the fraud. The complaint alleges that Jones, the former chairman and chief executive officer of the asset management division, directed an effort to negotiate a deal that would permit Citigroup to reap much of the profit that the funds’ third party transfer agent had been making. Jones approved the final structure of the deal fully aware that the affiliated transfer agent was projected to make tens of millions of dollars in profit each year for doing minimal work. The complaint further alleges that Jones intentionally or recklessly acted in disregard of his fiduciary duty by failing to take steps to ensure the funds’ independent directors were fully informed of the details of the proposal and that Jones approved the presentation delivered to the funds’ boards seeking approval of the self-dealing transaction knowing or recklessly disregarding that the presentation was materially misleading. The complaint alleges that Daidone, a senior vice president of the Adviser and the funds' treasurer and chief financial officer, participated in the negotiations with the existing third party transfer agent and was the person responsible for making the presentation to the funds’ boards in a way that led the boards to believe the affiliated transfer agent proposal was in the funds’ best interests, which was not true. The complaint charges Jones and Daidone with aiding and abetting the Adviser and Global Markets’ violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, which prohibit registered investment advisers from employing devices, schemes or artifices to defraud clients or prospective clients and from engaging in transactions, practices, or courses of business that operated or would operate as a fraud or deceit upon clients or prospective clients. The complaint seeks permanent injunctions against future violations of those provisions, disgorgement of any ill-gotten gains and civil penalties. [SEC v. Thomas W. Jones and Lewis E. Daidone, 05 Civ. 7044] (LR-19330) CIVIL ACTION FILED AGAINST JEFFREY GIBSON AND INVESTMENT PROPERTY MANAGEMENT, LLC On August 5, the Commission filed a complaint in the United States District Court for the Northern District of Georgia, against Jeffrey L. Gibson and Investment Property Management, LLC (IPM). IPM is a limited liability company owned by Gibson. The Commission’s complaint alleges that, from approximately December 2002 through the present, Gibson misappropriated for his personal use approximately $450,000 from investors in American Car Wash Fund, LP (ACW), a limited partnership. IPM serves as ACW’s general manager. Between December 2002 and April 2003, Gibson, through IPM, sold approximately 43 limited partnership interests in ACW, raising approximately $875,000. Approximately 38 of the limited partners were also clients of his advisory business. Almost as soon as he began selling interests, Gibson began writing checks, payable to cash, on ACW’s bank accounts and then misappropriating the funds from those checks for his personal use. In an effort to conceal the misappropriation of funds, Gibson and IPM regularly sent letters to ACW investors describing annualized rates of return, dividends and purchases of various properties. None of those letters disclosed the ongoing misuse of proceeds by Gibson and IPM. The Commission’s complaint charges defendants Gibson and IPM with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Gibson with violations of Section 206 of the Investment Advisers Act of 1933. The complaint seeks to permanently enjoin Gibson and IPM from further violations. The Commission also seeks an accounting by Gibson and IPM, disgorgement of all ill-gotten gains from the illegal conduct with prejudgment interest, civil penalties, and an order expediting discovery and preventing the destruction of documents. On the same day the complaint was filed, the defendants consented to a preliminary injunction, an asset freeze, an accounting and an order expediting discovery. [SEC v. Jeffrey L. Gibson and Investment Property Management, LLC, Civil Action No. 1:05-CV-163-RLV, NDGA, Aug. 5, 2005] (LR-19331) SELF-REGULATORY ORGANIZATIONS DELISTING An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, no par value, and warrants of BioTime, Inc., effective at the opening of business on August 8. (Rel. 34-52217) WITHDRAWALS A notice has been issued giving interested persons until August 30 to comment on the application of S.Y. Bancorp, Inc. to withdraw its common stock, no par value, from listing and registration on the American Stock Exchange. (Rel. 34-52218) A notice has been issued giving interested persons until August 30 to comment on the application of Alestra, S. de R.L. de C.V. to withdraw its 8% Senior Notes (due 2010) from listing and registration on the New York Stock Exchange. (Rel. 34-52218) 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 ADVANCED ANALOGIC TECHNOLOGIES INC, 830 E. ARQUES AVENUE, SUNNYVALE, CA, 94085-4519, (408) 737-4600 - 9,529,659 ($53,681,772.96) Equity, (File 333-127277 - Aug. 8) (BR. 10A) S-11 Newkirk Realty Trust, Inc., 7 BULFINCH PLACE - SUITE 500, BOSTON, MA, 02114, 617-570-4600 - 0 ($460,000,000.00) Equity, (File 333-127278 - Aug. 8) (BR. ) S-3 RFS HOLDING LLC, 1600 SUMMER STREET, STAMFORD, CT, 06927, 2035856669 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-127292 - Aug. 8) (BR. 05) S-8 COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 0 ($22,461,161.50) Equity, (File 333-127293 - Aug. 8) (BR. 11B) S-1 NEXITY FINANCIAL CORP, 3500 BLUE LAKE DRIVE, SUITE 330, BIRMINGHAM, AL, 35243, 877-738-6391 - 0 ($25,000,000.00) Equity, (File 333-127295 - Aug. 8) (BR. 07) S-8 AMERICAN TOWER CORP /MA/, 116 HUNTINGTON AVE, BOSTON, MA, 02116, 6173757500 - 9,897,201 ($214,670,290.00) Equity, (File 333-127296 - Aug. 8) (BR. 11A) S-8 SUPPORTSOFT INC, 575 BROADWAY, REDWOOD, CA, 94063, 6502334539 - 2,000,000 ($11,340,000.00) Equity, (File 333-127299 - Aug. 8) (BR. 03) S-8 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 0 ($67,196,740.00) Equity, (File 333-127300 - Aug. 8) (BR. 10C) S-8 EPIX Pharmaceuticals, Inc., 71 ROGERS ST, CAMBRIDGE, MA, 02142-1118, 6172506000 - 0 ($19,833,257.91) Equity, (File 333-127301 - Aug. 8) (BR. 01A) S-8 MTI TECHNOLOGY CORP, 14661 FRANKLIN AVENUE, TUSTIN, CA, 92780, 7144817800 - 1,047,923 ($2,221,597.00) Equity, (File 333-127302 - Aug. 8) (BR. 03B) S-4 MGI PHARMA INC, 5775 WEST OLD SHAKOPEE RD, SUITE 100, BLOOMINGTON, MN, 55437, 952-346-4700 - 7,711,850 ($168,352,431.00) Equity, (File 333-127303 - Aug. 8) (BR. 01B) S-3 CITIGROUP COMMERCIAL MORTGAGE SECURITIES INC, 388 GREENWICH STREET, NEW YORK, NY, 10013, 6,162,496,000 ($6,162,496,000.00) Mortgage Backed Securities, (File 333-127304 - Aug. 8) (BR. 05) N-2 ABERDEEN AUSTRALIA EQUITY FUND INC, 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536, 2129688800 - 0 ($47,541,000.00) Equity, (File 333-127305 - Aug. 8) (BR. 17) S-8 ALAMOSA HOLDINGS INC, 5225 S LOOP 289, LUBBOCK, TX, 79424, 8067221100 - 0 ($6,424,000.00) Equity, (File 333-127307 - Aug. 8) (BR. 11A) S-8 COGNIZANT TECHNOLOGY SOLUTIONS CORP, 500 GLENPOINTE CENTRE WEST, 7TH FLOOR, TEANECK, NJ, 07666, 2018010233 - 1,500,000 ($73,530,000.00) Equity, (File 333-127308 - Aug. 8) (BR. 03A) S-8 ALLEGHANY CORP /DE, 375 PARK AVENUE, SUITE 3201, NEW YORK, NY, 10152, 2127521356 - 0 ($30,206,421.40) Equity, (File 333-127309 - Aug. 8) (BR. 01A) S-8 ONYX SOFTWARE CORP/WA, 1100 112TH AVENUE NE, SUITE 100, BELLEVUE, WA, 98004, 4254518060 - 0 ($3,474,250.00) Equity, (File 333-127310 - Aug. 8) (BR. 03A) S-3 UNION LIGHT HEAT & POWER CO, 139 E FOURTH ST, C/O TREASURER DEPT, PO BOX 960, CINCINNATI, OH, 45201, 5133812000 - 0 ($445,000,000.00) Other, (File 333-127311 - Aug. 8) (BR. 02) S-4 ENCORE ACQUISITION CO, 777 MAIN STREET, SUITE 1400, FORT WORTH, TX, 76102, 8178779955 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-127312 - Aug. 8) (BR. 04C) SB-2 BIO BRIDGE SCIENCE INC, 1211 WEST 22ND STREET, SUITE 615, OAK BROOK, IL, 60523, 630-928-0869 - 570,000 ($285,000.00) Equity, (File 333-127313 - Aug. 8) (BR. 07) SB-2 Li Chuan Group, Inc., NO. 83 NANSCHUNCHENG RD., SHENHE DISTRICT, SHENYANG CITY, F4, 110011, 011-0086-8959-3555 - 0 ($1,000,000.00) Equity, (File 333-127314 - Aug. 8) (BR. ) S-8 GLOBAL EPOINT INC, ATTN: JOHN PAN, 339 S. CHERYL LANE, CITY OF INDUSTRY, CA, 91789, 909-869-1688 - 0 ($11,227,563.00) Equity, (File 333-127315 - Aug. 8) (BR. 06A) S-8 MAVERICK TUBE CORPORATION, 16401 SWINGLEY RIDGE RD, STE 700, CHESTERFIELD, MO, 63017-1713, 6367331600 - 1,750,000 ($58,800,000.00) Equity, (File 333-127316 - Aug. 8) (BR. 06B) S-8 NORTHROP GRUMMAN CORP /DE/, 1840 CENTURY PK E, C/O NORTHROP GRUMMAN CORP, LOS ANGELES, CA, 90067, 3105536262 - 0 ($55,250,000.00) Equity, (File 333-127317 - Aug. 8) (BR. 05B) 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 AAMES INVESTMENT CORP MD 1.01,2.03 08/04/05 ACCO WORLD CORP DE 7.01 08/08/05 ACCO WORLD CORP DE 1.01,2.03,5.02,9.01 08/03/05 ACE Securities Corp Home Equity Loan DE 8.01,9.01 6/27/05 AMEND ACME COMMUNICATIONS INC DE 2.02 08/08/05 ACTION PRODUCTS INTERNATIONAL INC FL 5.02,9.01 08/05/05 ADVANT E CORP DE 8.01,9.01 08/08/05 Advaxis, Inc. CO 8.01,9.01 08/08/05 ADVOCAT INC DE 5.02 07/01/05 AMEND AEGIS COMMUNICATIONS GROUP INC DE 1.01,2.03 07/25/05 AirGate PCS, Inc. /Merger/ DE 8.01,9.01 08/08/05 AKSYS LTD DE 2.02,9.01 08/08/05 ALAMOSA HOLDINGS INC DE 8.01,9.01 08/08/05 ALCAN INC A6 2.02,9.01 08/08/05 ALEXION PHARMACEUTICALS INC DE 1.01,9.01 08/02/05 ALIGN TECHNOLOGY INC DE 1.02,8.01,9.01 08/08/05 ALLIED DEFENSE GROUP INC DE 2.02,4.02,9.01 08/08/05 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 08/08/05 AMERICA FIRST APARTMENT INVESTORS INC MD 2.01 08/03/05 AMERICAN FINANCIAL REALTY TRUST 8.01 08/08/05 AMERICAN GREETINGS CORP OH 1.01 08/02/05 AMERICAN LAND LEASE INC DE 2.02,7.01,9.01 08/08/05 AMERICAN MORTGAGE ACCEPTANCE CO MA 2.02,9.01 08/08/05 AMERICAN PHARMACEUTICAL PARTNERS INC DE 1.01,9.01 08/02/05 AMERICAN PHYSICIANS SERVICE GROUP INC TX 2.02 08/08/05 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 08/08/05 AMERICAN TOWER CORP /MA/ DE 2.01,5.02,5.03,8.01,9.01 08/08/05 AMERICREDIT CORP TX 2.02,5.02,9.01 08/08/05 AMERIGAS PARTNERS LP DE 1.01,5.02,9.01 08/08/05 AMERUS GROUP CO/IA IA 1.01,2.03,2.04,9.01 08/02/05 ANNTAYLOR STORES CORP DE 1.01,9.01 08/02/05 ANTS SOFTWARE INC DE 8.01 08/08/05 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 08/05/05 AP PHARMA INC /DE/ DE 2.02 06/30/05 APPLIED IMAGING CORP DE 2.02,9.01 08/02/05 AMEND AQUA DYNE INC 8.01 07/20/05 ARCH CHEMICALS INC VA 2.02,9.01 08/08/05 ARES CAPITAL CORP MD 2.02,5.02,9.01 08/02/05 ARRAY BIOPHARMA INC DE 8.01,9.01 08/08/05 ARRAY BIOPHARMA INC DE 2.02,9.01 08/08/05 ART BOUTIQUE INC WY 4.01,9.01 08/01/05 ASPECT COMMUNICATIONS CORP CA 2.02,9.01 08/08/05 ATMOS ENERGY CORP TX 2.02,9.01 08/08/05 ATP OIL & GAS CORP TX 3.02,9.01 08/02/05 AVATAR HOLDINGS INC DE 2.02,7.01,9.01 08/08/05 BAIRNCO CORP /DE/ DE 5.02 08/08/05 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 08/05/05 BankFinancial CORP 2.02,9.01 08/05/05 Bay View Deposit CORP DE 8.01,9.01 07/28/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/08/05 BEHRINGER HARVARD REIT I INC MD 2.01,2.03,9.01 08/08/05 BIG 5 SPORTING GOODS CORP DE 5.02,8.01,9.01 08/05/05 BLUE HOLDINGS, INC. NV 2.02,9.01 08/08/05 BLUE RIDGE PAPER PRODUCTS INC 8.01,9.01 08/05/05 BLUEFLY INC DE 2.02,9.01 08/08/05 BLUEFLY INC DE 5.02,9.01 08/05/05 BlueLinx Holdings Inc. DE 2.02,9.01 08/08/05 BONGIOVI ENTERTAINMENT INC NV 4.01,9.01 08/02/05 BOYKIN LODGING CO OH 2.02,9.01 08/08/05 BRINKER INTERNATIONAL INC DE 5.02,9.01 08/02/05 BULL RUN CORP GA 1.01,9.01 08/02/05 BURLINGTON RESOURCES INC DE 8.01,9.01 08/02/05 CACI INTERNATIONAL INC /DE/ DE 5.02 08/08/05 CAL DIVE INTERNATIONAL INC MN 1.01,2.01,9.01 06/10/05 AMEND CALLIDUS SOFTWARE INC 7.01,9.01 08/08/05 CALPINE CORP DE 8.01,9.01 08/03/05 CALPINE CORP DE 2.02,9.01 08/03/05 CANCERVAX CORP DE 2.02,9.01 08/08/05 CELSION CORP MD 2.02,9.01 03/03/05 CENTERPOINT ENERGY INC 2.02,9.01 08/08/05 CENTURY CASINOS INC /CO/ DE 1.01 08/05/05 CEPHEID CA 1.01 07/20/05 CHART INDUSTRIES INC DE 1.01,3.02,3.03,9.01 08/02/05 CHECKPOINT SYSTEMS INC PA 5.02,9.01 08/08/05 Chemtura CORP DE 2.04,9.01 08/05/05 CHENIERE ENERGY INC DE 2.01,7.01,9.01 08/05/05 CHESAPEAKE CORP /VA/ VA 1.01,9.01 08/02/05 CHESAPEAKE CORP /VA/ VA 2.02,9.01 08/05/05 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 08/05/05 CIBER INC DE 7.01,9.01 08/05/05 CIMAREX ENERGY CO DE 2.02,7.01,9.01 08/08/05 CINCINNATI BELL INC OH 1.01,9.01 08/05/05 CITIZENS FINANCIAL CORP /KY/ KY 1.01,5.02,9.01 08/03/05 CLEAN DIESEL TECHNOLOGIES INC DE 5.02,9.01 08/03/05 CNB BANCORP INC /NY/ NY 2.02,9.01 08/05/05 COASTAL BANKING CO INC SC 8.01,9.01 08/08/05 COMM 2005-C6 DE 8.01,9.01 08/08/05 COMMERCIAL CAPITAL BANCORP INC NV 7.01,9.01 08/05/05 COMMUNITY BANKS INC /PA/ PA 1.01,9.01 07/25/05 COMMUNITY BANKS INC /PA/ PA 9.01 07/01/05 AMEND COMPOSITE TECHNOLOGY CORP NV 1.01,9.01 08/08/05 AMEND COMPOSITE TECHNOLOGY CORP NV 1.01,9.01 07/05/05 AMEND COMSYS IT PARTNERS INC DE 2.02,9.01 08/08/05 CONCENTRA OPERATING CORP NV 1.01,7.01,9.01 08/08/05 CONCENTRA OPERATING CORP NV 2.02,9.01 08/08/05 CONNETICS CORP DE 1.01,9.01 08/05/05 CONNS INC DE 2.02,9.01 08/08/05 CONSOL ENERGY INC 5.02 08/02/05 CORRECTIONAL PROPERTIES TRUST MD 2.02,9.01 08/08/05 CV THERAPEUTICS INC DE 2.02,9.01 08/08/05 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 08/08/05 DANIELSON HOLDING CORP DE 5.02 04/12/05 DATAJUNGLE SOFTWARE INC NV 5.02 08/05/05 DATAMEG CORP NY 8.01,9.01 08/08/05 DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/08/05 DEERE & CO DE 7.01 08/08/05 DEL LABORATORIES INC DE 1.01,5.02,9.01 08/05/05 DELPHI CORP DE 2.02,9.01 08/08/05 DELTA MUTUAL INC 3.02 06/24/05 DENDREON CORP DE 8.01,9.01 08/08/05 DESIGN WITHIN REACH INC DE 2.02,9.01 08/04/05 DIGITAL FUSION INC/NJ/ DE 1.01,5.02 08/05/05 DOVER MOTORSPORTS INC DE 1.01,9.01 08/08/05 DUQUESNE LIGHT HOLDINGS INC PA 2.02,9.01 08/08/05 DYNEGY INC /IL/ IL 2.02,9.01 08/08/05 Edgen Corp 8.01,9.01 08/08/05 EL PASO CORP/DE DE 2.02,9.01 08/08/05 ELECTRONIC CLEARING HOUSE INC NV 2.02,9.01 08/08/05 ENCORE CAPITAL GROUP INC DE 1.01 08/08/05 ENCORE CLEAN ENERGY INC DE 4.01,9.01 08/05/05 ENERGY PARTNERS LTD DE 2.02 08/08/05 ENTEGRIS INC MN 2.01,5.02,5.03,8.01,9.01 08/06/05 EPIMMUNE INC DE 2.02,9.01 08/08/05 EVERLAST WORLDWIDE INC DE 2.02,9.01 08/05/05 EXELIXIS INC DE 2.02,9.01 08/08/05 FACTORY CARD OUTLET CORP DE 2.02,9.01 08/04/05 FAIRCHILD CORP DE 2.02,9.01 08/05/05 FASTCLICK INC CA 2.02,9.01 08/04/05 FBL FINANCIAL GROUP INC IA 2.02,7.01 08/08/05 FEDERAL AGRICULTURAL MORTGAGE CORP 2.03 08/08/05 FEI CO OR 2.02,9.01 08/08/05 FINISAR CORP DE 1.01,9.01 08/04/05 FIRST BANCSHARES INC /MS/ MS 8.01,9.01 08/08/05 FIRST NIAGARA FINANCIAL GROUP INC DE 8.01,9.01 08/04/05 First Valley Bancorp, Inc. CT 2.02,9.01 08/03/05 FLAGSTAR BANCORP INC MI 4.01,9.01 08/05/05 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 08/08/05 FLOW INTERNATIONAL CORP WA 5.02,9.01 08/08/05 FNB FINANCIAL SERVICES CORP NC 5.02 08/01/05 FOAMEX INTERNATIONAL INC DE 8.01 08/02/05 FOCUS ENHANCEMENTS INC DE 2.02,9.01 08/08/05 FORTUNE BRANDS INC DE 1.01,9.01 08/04/05 FPIC INSURANCE GROUP INC FL 2.02,9.01 06/30/05 FRANKLIN LAKE RESOURCES INC /NV NV 8.01,9.01 08/08/05 FREESCALE SEMICONDUCTOR INC DE 5.02,9.01 08/04/05 GASCO ENERGY INC NV 8.01,9.01 08/05/05 GENERAL BINDING CORP DE 1.01,9.01 08/08/05 GENERAL ENVIRONMENTAL MANAGEMENT, INC NV 5.02 08/05/05 GENERAL MOTORS ACCEPTANCE CORP DE 8.01 08/03/05 GENERAL MOTORS CORP DE 8.01 08/03/05 GENSYM CORP DE 2.02,9.01 08/08/05 GENTA INC DE/ DE 8.01 08/08/05 GENTA INC DE/ DE 1.01,8.01,9.01 08/05/05 GEORGIA PACIFIC CORP GA 8.01 08/05/05 GIBRALTAR INDUSTRIES, INC. DE 7.01 08/03/05 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01,9.01 08/08/05 GRIFFON CORP DE 5.02,8.01,9.01 08/03/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 08/04/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 08/04/05 GS MORTGAGE SECURITIES CORP DE 8.01 08/08/05 GTC BIOTHERAPEUTICS INC MA 1.01,3.02,7.01,9.01 08/08/05 GUARANTY FEDERAL BANCSHARES INC DE 1.01 07/29/05 GUILFORD PHARMACEUTICALS INC DE 2.02,9.01 08/08/05 HALOZYME THERAPEUTICS INC NV 2.02,9.01 08/08/05 HARLAND JOHN H CO GA 2.02,9.01 07/01/05 HARTFORD LIFE INSURANCE CO CT 9.01 08/05/05 HARVARD BIOSCIENCE INC DE 2.02,9.01 08/08/05 HARVEST NATURAL RESOURCES INC DE 1.01,7.01,9.01 08/04/05 HEALTH NET INC DE 2.02,9.01 08/04/05 HEICO CORP FL 1.01,2.03,9.01 08/04/05 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 8.01,9.01 08/08/05 HERSHA HOSPITALITY TRUST MD 1.01,5.03,8.01,9.01 08/02/05 HERSHA HOSPITALITY TRUST MD 2.02,9.01 08/08/05 HIGHLAND HOSPITALITY CORP MD 1.01,2.01,2.03,9.01 07/14/05 AMEND HOLLY CORP DE 1.01,9.01 08/04/05 HOLLY ENERGY PARTNERS LP DE 1.01,9.01 08/04/05 HOLLYWOOD MEDIA CORP FL 2.02,9.01 08/05/05 HOME PROPERTIES INC MD 2.01,9.01 08/05/05 HOME PROPERTIES INC MD 7.01,9.01 06/30/05 AMEND HORIZON OFFSHORE INC DE 4.02 08/04/05 HRPT PROPERTIES TRUST MD 2.02,9.01 08/08/05 HUFFY CORP OH 5.02 08/04/05 HUMAN BIOSYSTEMS INC CA 8.01,9.01 08/08/05 HYDRON TECHNOLOGIES INC NY 5.02,8.01 08/05/05 HYPERFEED TECHNOLOGIES INC DE 2.02,9.01 08/04/05 ICONIX BRAND GROUP, INC. DE 2.02,9.01 08/04/05 iCURIE, INC. NV 5.02,7.01,9.01 08/02/05 IMPCO TECHNOLOGIES INC DE 1.01,9.01 08/02/05 INCOME OPPORTUNITY REALTY INVESTORS I NV 4.02 07/26/05 INGLES MARKETS INC NC 2.02,9.01 08/08/05 INKINE PHARMACEUTICAL CO INC NY 2.02 08/05/05 INSITUFORM TECHNOLOGIES INC DE 2.02,7.01,9.01 08/02/05 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 08/05/05 INTERLINK ELECTRONICS INC DE 2.02,9.01 08/08/05 INTERNATIONAL SPECIALTY HOLDINGS INC 2.02 07/03/05 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 08/08/05 IPIX CORP DE 2.02,9.01 08/05/05 IQ BIOMETRIX INC DE 8.01,9.01 08/04/05 ISIS PHARMACEUTICALS INC DE 2.02,9.01 08/08/05 Israel Technology Acquisition Corp. DE 8.01,9.01 07/19/05 ITRONICS INC TX 2.02,9.01 08/02/05 IVAX CORP FL 1.01 08/03/05 J P MORGAN CHASE & CO DE 9.01 08/02/05 J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 08/04/05 JUPITERMEDIA CORP DE 2.01,7.01,9.01 08/05/05 KAMAN CORP CT 1.01,2.03,9.01 08/05/05 KCS ENERGY INC DE 2.02,9.01 08/02/05 KENDLE INTERNATIONAL INC OH 7.01,9.01 08/08/05 KERR MCGEE CORP /DE DE 7.01,9.01 08/08/05 Knockout Holdings, Inc. DE 1.01,9.01 08/02/05 KNOT INC DE 1.01 08/02/05 LABONE INC/ MO 1.01,1.02,8.01,9.01 08/08/05 LABONE INC/ MO 2.02 08/08/05 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 08/08/05 LAMPERD LESS LETHAL INC NV 1.01,9.01 08/08/05 LCC INTERNATIONAL INC DE 2.02,4.02,9.01 08/04/05 LEUCADIA NATIONAL CORP NY 9.01 08/08/05 LEXAR MEDIA INC CA 1.01 08/03/05 LEXINGTON PRECISION CORP DE 1.01,2.01,9.01 08/02/05 Liberty Global, Inc. DE 8.01 08/08/05 LIBERTY MEDIA CORP /DE/ DE 5.02,9.01 08/02/05 LODGIAN INC DE 1.01 08/03/05 LUNA GOLD CORP WY 7.01,9.01 08/05/05 MAILKEY CORP 5.02 08/08/05 MARCHEX INC DE 2.02,9.01 08/08/05 MARCHEX INC DE 7.01,9.01 08/08/05 MARLIN BUSINESS SERVICES CORP 2.02,9.01 08/08/05 MARRIOTT INTERNATIONAL INC /MD/ DE 1.01,8.01 08/04/05 MAYTAG CORP DE 8.01,9.01 08/08/05 MCDONALDS CORP DE 8.01,9.01 08/08/05 MDC PARTNERS INC A6 7.01,9.01 08/05/05 MEDIS TECHNOLOGIES LTD DE 1.01,8.01,9.01 08/02/05 MERCURY INTERACTIVE CORP DE 8.01,9.01 08/08/05 MERRIMAC INDUSTRIES INC DE 2.02,9.01 08/08/05 METRETEK TECHNOLOGIES INC DE 8.01,9.01 08/05/05 METROCORP BANCSHARES INC 2.02,9.01 08/05/05 MGP INGREDIENTS INC KS 2.02,7.01,9.01 08/08/05 MHI Hospitality CORP MD 2.02,9.01 08/08/05 MICRO COMPONENT TECHNOLOGY INC MN 2.02,9.01 07/27/05 MICRO THERAPEUTICS INC DE 2.02,9.01 08/02/05 MICROHELIX INC OR 1.01,2.01,9.01 04/08/05 AMEND MIDDLETON DOLL CO WI 5.02 08/02/05 MIDWAY GAMES INC DE 7.01,9.01 08/04/05 MIKOHN GAMING CORP NV 9.01 06/13/05 AMEND MK RESOURCES CO DE 8.01,9.01 08/08/05 MOLINA HEALTHCARE INC DE 2.02,9.01 08/08/05 MortgageIT Holdings, Inc. MD 1.01,9.01 08/02/05 MOSAIC CO 7.01,9.01 08/08/05 MOUNTAINS WEST EXPLORATION INC NM 4.01,9.01 08/02/05 MTI TECHNOLOGY CORP DE 1.01,2.03,9.01 08/02/05 NACCO INDUSTRIES INC DE 2.02,9.01 08/08/05 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 08/08/05 National City Credit Card Master Note DE 1.01,9.01 08/03/05 NATIONAL PRESTO INDUSTRIES INC WI 8.01 08/08/05 NATIONAL RV HOLDINGS INC DE 2.02,2.06,9.01 07/22/05 AMEND NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 08/08/05 NAVTEQ CORP DE 1.01 08/02/05 NEOWARE SYSTEMS INC DE 1.01,2.03,9.01 08/02/05 NEW CENTURY FINANCIAL CORP MD 5.03,9.01 08/04/05 NEW ENGLAND BANCSHARES INC 2.02,9.01 08/08/05 NEWKIRK MASTER LP 4.02 08/03/05 NEWKIRK MASTER LP 4.01 08/05/05 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 07/26/05 NORTEL NETWORKS CORP 2.02,9.01 08/08/05 NORTEL NETWORKS LTD 2.02,9.01 08/08/05 NUVEEN INVESTMENTS INC DE 1.01,9.01 08/04/05 NWH INC DE 8.01 08/04/05 ON ASSIGNMENT INC DE 1.01,9.01 08/03/05 OPENLIMIT INC FL 7.01,8.01,9.01 08/01/05 ORACLE CORP /DE/ DE 8.01,9.01 08/02/05 OVERSEAS SHIPHOLDING GROUP INC DE 2.02 08/04/05 PACIFIC PREMIER BANCORP INC DE 1.01,9.01 08/08/05 PALMETTO BANCSHARES INC SC 2.02,9.01 08/02/05 PAR TECHNOLOGY CORP DE 8.01 08/08/05 Paradigm Holdings, Inc WY 1.01,2.03,9.01 08/08/05 PATHMARK STORES INC DE 5.02 08/02/05 PDF SOLUTIONS INC DE 1.01,5.02,5.03,9.01 08/01/05 PEGASUS WIRELESS CORP NV 8.01,9.01 08/03/05 PEPCO HOLDINGS INC DE 2.02,9.01 08/08/05 PERMIAN BASIN ROYALTY TRUST TX 1.01,9.01 08/02/05 PETROQUEST ENERGY INC DE 7.01,9.01 08/08/05 PHOTRONICS INC CT 8.01 08/05/05 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 08/08/05 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 08/08/05 PLATINUM UNDERWRITERS HOLDINGS LTD D0 7.01 08/03/05 PMI GROUP INC DE 1.01,9.01 08/05/05 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 08/08/05 POINT THERAPEUTICS INC DE 2.02,9.01 08/08/05 PREMCOR INC DE 7.01,9.01 08/08/05 PRESSTEK INC /DE/ DE 2.05,9.01 08/08/05 PRG SCHULTZ INTERNATIONAL INC GA 1.01,1.02,9.01 08/02/05 PRICELINE COM INC DE 2.02,7.01,9.01 08/08/05 PRIMAL SOLUTIONS INC DE 1.01,9.01 08/02/05 PROTEIN DESIGN LABS INC/DE DE 1.01,9.01 08/02/05 PUMA Global Trust No. 3 DE 8.01,9.01 08/05/05 QUEST DIAGNOSTICS INC DE 2.01 08/08/05 RADIO ONE INC DE 2.02,9.01 08/05/05 RADIOSHACK CORP DE 1.01,2.03,9.01 08/05/05 RASC Series 2005-EMX2 Trust DE 8.01,9.01 08/01/05 REDWOOD TRUST INC MD 2.02,9.01 08/05/05 RELIV INTERNATIONAL INC IL 2.02,9.01 08/03/05 ROBOTIC VISION SYSTEMS INC DE 8.01,9.01 06/30/05 ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 06/30/05 RONSON CORP NJ 2.02,9.01 08/08/05 RUSH FINANCIAL TECHNOLOGIES INC TX 7.01,9.01 08/05/05 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 08/08/05 SAUL CENTERS INC MD 2.02,9.01 08/08/05 SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 08/08/05 SCO GROUP INC DE 1.01,9.01 08/01/05 SCOTTISH RE GROUP LTD E9 1.01,9.01 02/17/05 SCOTTS LIQUID GOLD INC CO 2.02,9.01 06/30/05 SCP POOL CORP DE 7.01,9.01 08/08/05 SEA CONTAINERS LTD /NY/ 2.02,9.01 08/08/05 SEACOR HOLDINGS INC /NEW/ DE 2.01,9.01 07/01/05 AMEND SEDONA CORP PA 2.03,3.02 08/02/05 SEQUENOM INC DE 2.02,9.01 08/08/05 SIMPLETECH INC CA 2.02,9.01 08/08/05 SINCLAIR BROADCAST GROUP INC MD 1.01 08/02/05 SINCLAIR BROADCAST GROUP INC MD 1.01,9.01 05/31/05 AMEND SIRENZA MICRODEVICES INC DE 1.01 08/03/05 SIX FLAGS INC DE 2.02,9.01 08/08/05 SIZELER PROPERTY INVESTORS INC DE 1.01,3.03,5.02,5.03 08/02/05 SKYLYNX COMMUNICATIONS INC DE 3.02,9.01 06/27/05 SL INDUSTRIES INC NJ 1.01,1.02,2.03,8.01,9.01 08/02/05 SLM Student Loan Trust 1996-3 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1996-4 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1997-1 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1997-2 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1997-3 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1997-4 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1998-1 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1998-2 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1999-1 DE 8.01,9.01 07/25/05 SLM Student Loan Trust 1999-2 DE 8.01,9.01 07/25/05 SLM Student 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DE 1.01 08/04/05 SONUS NETWORKS INC DE 2.02,9.01 08/08/05 SPEAKING ROSES INTERNATIONAL INC NV 5.02,7.01,9.01 08/08/05 SPECTRASITE INC DE 2.01,3.01,3.03,5.01,5.02,8.01 08/08/05 SPECTRE GAMING INC MN 5.02,8.01,9.01 08/02/05 SPORTS CLUB CO INC DE 1.01,2.03,2.04,9.01 08/02/05 ST JUDE MEDICAL INC MN 5.02,9.01 08/04/05 STAGE STORES INC NV 9.01 08/04/05 STARTEK INC DE 1.01,5.02,9.01 08/01/05 STEELCLOUD INC VA 8.01,9.01 08/08/05 STILLWATER MINING CO /DE/ DE 2.02,9.01 08/08/05 STREICHER MOBILE FUELING INC FL 5.02,9.01 08/04/05 STRUCTURED ASSET SECURITIES CORP II 8.01,9.01 08/04/05 SUNOCO LOGISTICS PARTNERS LP DE 8.01,9.01 08/04/05 SUNRISE SENIOR LIVING INC DE 1.01,5.02 08/02/05 SUPERCLICK INC WA 1.01,9.01 08/01/05 SWORD COMP SOFT CORP 5.02 11/01/03 SYKES ENTERPRISES INC FL 2.02,9.01 08/08/05 TANDY BRANDS ACCESSORIES INC DE 1.02 08/02/05 TASKER CAPITAL CORP NV 7.01,9.01 08/08/05 TCF FINANCIAL CORP DE 2.02,7.01,9.01 08/08/05 TECHNOLOGY RESEARCH CORP FL 5.02,9.01 08/01/05 TECUMSEH PRODUCTS CO MI 2.02,7.01 08/08/05 TEJON RANCH CO DE 2.02,9.01 08/08/05 TERAFORCE TECHNOLOGY CORP DE 8.01 08/08/05 TERAX ENERGY, INC. NV 4.01,5.03,9.01 08/04/05 TESORO CORP /NEW/ DE 1.01,9.01 08/02/05 Texas Roadhouse, Inc. DE 2.02,9.01 08/08/05 TOTAL SYSTEM SERVICES INC GA 8.01,9.01 08/08/05 Tower Group, Inc. DE 1.01,7.01,9.01 08/08/05 TRANSCONTINENTAL GAS PIPE LINE CORP DE 4.02 08/02/05 TreeHouse Foods, Inc. 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NV 1.01,2.03 08/02/05 WARP TECHNOLOGY HOLDINGS INC NV 1.01,1.02,2.03,3.02 08/02/05 WASHINGTON GROUP INTERNATIONAL INC DE 2.02,9.01 08/08/05 WASTE MANAGEMENT INC DE 1.01,9.01 08/04/05 WAVE SYSTEMS CORP DE 8.01 08/05/05 WAVE SYSTEMS CORP DE 8.01,9.01 08/05/05 WCI COMMUNITIES INC 2.02,7.01,9.01 08/08/05 WENTWORTH ENERGY, INC. OK 4.01 04/15/05 WESCO FINANCIAL CORP CA 2.02,9.01 08/05/05 WESTAMERICA BANCORPORATION CA 5.02 08/08/05 WESTERN GAMING CORP NV 1.01,5.01,5.02,9.01 07/21/05 AMEND WESTERN GOLDFIELDS INC ID 1.01 08/02/05 WESTSIDE ENERGY CORP NV 8.01 08/05/05 WHIRLPOOL CORP /DE/ DE 1.01 08/08/05 WINDROSE MEDICAL PROPERTIES TRUST MD 2.02,9.01 08/08/05 WORLD AIR HOLDINGS, INC. 2.02 08/03/05 WORLD HEART CORP A6 2.02,9.01 08/08/05 WORLDGATE COMMUNICATIONS INC DE 3.02,9.01 08/03/05 WORLDWIDE RESTAURANT CONCEPTS INC DE 2.02,9.01 08/05/05 XENOGEN CORP DE 1.01,2.03,3.02,9.01 08/02/05 YOUNG BROADCASTING INC /DE/ DE 2.02,3.03,9.01 08/04/05