SEC NEWS DIGEST Issue 2005-196 October 12, 2005 COMMISSION ANNOUNCEMENTS SEC CHAIRMAN COX TO TRAVEL TO BEIJING, CHINA; U.S.-CHINA JOINT ECONOMIC COMMISSION, OTHER HIGH-LEVEL MEETINGS ON AGENDA SEC Chairman Christopher Cox will travel to Beijing, China, from October 15-19, where he will attend meetings of the US-China Joint Economic Committee, engage in high-level bilateral discussions with Chinese financial authorities and address a conference on China’s Capital Markets. On October 16, the Chairman will join US Treasury Secretary John Snow, Federal Reserve Board Chairman Alan Greenspan, and Commodity Futures Trading Commission Chairman Reuben Jeffery III at the 17th session of the US-China Joint Economic Committee (JEC). The JEC meetings provide an opportunity for high-level, constructive dialogue between the two countries on key issues including economic policy, financial sector issues including investor protection and capital formation, and efforts to combat terrorist financing and money laundering. On October 18, Chairman Cox will deliver a major address at a conference on China’s Capital Markets, co-hosted by the Securities Industry Association and Tsinghua University. The conference aims to bring together government officials and market participants to focus on financial products, services, and global capital market best practices. Other speakers include Treasury Secretary Snow and the Chairman of the People’s Bank of China, Zhou Xiaochuan. Throughout his stay, Chairman Cox will meet with other Chinese financial authorities, including the Chairman of the China Securities Regulatory Commission, Shang Fulin. The discussions will include an exchange of views on a broad range of regulatory policy, accounting and enforcement issues. Chairman Cox will be accompanied in Beijing by Ethiopis Tafara, Director of the SEC’s Office of International Affairs. (Press Rel. 2005-148) LUIS MEJIA NAMED CHIEF LITIGATION COUNSEL OF SEC’S DIVISION OF ENFORCEMENT On October 12, Securities and Exchange Commission Enforcement Division Director Linda Chatman Thomsen named Luis R. Mejia Chief Litigation Counsel to supervise the Enforcement Division’s nationwide litigation program. Mejia succeeds David L. Kornblau, who left the Commission in August. Thomsen said, “I am very pleased that Lou will lead our litigation efforts. He is an exceptionally talented trial lawyer and a superb legal tactician. The Commission will benefit greatly from his trial experience, broad knowledge of the law and excellent judgment. The skills he has demonstrated during his tenure at the Commission inspire great confidence in his ability to lead the Enforcement Division’s trial attorneys.” Mejia joined the Commission in November 1999 as Assistant Chief Litigation Counsel. He is presently the lead litigation counsel in the Commission’s ongoing Enron investigation. To date, the Commission’s Enron team has recovered over $400 million for investors injured by the massive fraud at Enron. Mejia has been involved in a number of other high profile investigations and settlements at the Commission including the AOL Time Warner accounting fraud case, the Datek Securities improper proprietary trading case, as well as the Global Research Analyst settlement, which involved alleged conflicts of interest between the research and investment banking departments at major financial services firms. In addition, Mejia successfully prosecuted the Commission’s insider trading action against Scott K. Ginsburg, the former Chairman and CEO of Evergreen Media, whose tips to family members enabled them to make $1.8 million in illegal profits, and an action against professional sports agent William H. “Tank” Black, who defrauded his athlete-clients out of approximately $12 million. Before joining the Commission, Mejia was in private practice as a litigation partner in the law firm of Akin Gump Strauss Hauer & Field in Washington D.C. Mejia, 45, earned his undergraduate degree from San Diego State University and his law degree from George Washington University. (Press Rel. 2005-147) SEC ADVISORY COMMITTEE IDENTIFIES WITNESSES FOR NEW YORK MEETING On October 12, the Securities and Exchange Commission’s Advisory Committee on Smaller Public Companies has identified the witnesses it intends to call at its previously scheduled meeting in New York City on the afternoon of Friday, October 14. The witnesses all represent investors in small cap companies, with several investment fund managers, a pension fund manager, a hedge fund manager and a separate accounts manager among those expected to testify. The Advisory Committee was established by the SEC to examine the impact of the Sarbanes-Oxley Act and other federal securities laws on smaller companies. The Committee’s mission is to provide recommendations to the SEC to assure that the costs and burdens of federal securities regulation for smaller companies are commensurate with the benefits to investors and the public. The New York meeting is the last meeting at which the Advisory Committee expects to hear testimony from witnesses before it publicly discusses the recommendations it will make at a meeting to be held in Washington, D.C. on October 24 and 25. The Committee is expected to present its final report containing its recommendations to the Commission in April 2006. The New York meeting will be held in Columbia Law School’s Jerome Greene Hall, Room 103, 435 West 116th Street, beginning at 1:00 p.m. The meeting will be audio webcast on the SEC’s website at www.sec.gov. The witnesses will present their views as two separate panels, with one panel beginning at 1:00 p.m. and the other beginning at 3:15 p.m. The witnesses identified by the Advisory Committee are: 1:00 p.m. Panel Jane Adams, Maverick Capital Ltd., New York, New York Tom Duncan, Frontier Capital Management Co., Boston, Massachusetts William Miller, Ohio Public Employees Retirement System, Columbus, Ohio Thomas A. Russo, Gardner, Russo & Gardner, Lancaster, Pennsylvania 3:15 p.m. Panel Judith Vale, Neuberger Berman Genesis Fund, New York, New York Gerald I. White, Grace & White, Inc., New York, New York Martin J. Whitman, Third Avenue Management, LLC, New York, New York (Press Rel. 2005-149) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ANGELO HALIGIANNIS IN THE MATTER OF ANGELO HALIGIANNIS The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Angelo Haligiannis (Haligiannis). The Order finds that from 1996 until 2004 (the Relevant Period) Haligiannis acted as the president of Sterling Watters Capital Advisors, LLC (Sterling Advisors), and as the chief operating officer of Sterling Watters Capital Management, Inc. (Sterling Capital). During the Relevant Period, Sterling Advisors and Sterling Capital operated as general partners of Sterling Watters Group LP (Sterling Watters), a Delaware limited partnership that operated as a hedge fund. Sterling Advisors was responsible for management of the Sterling Watters securities portfolio and was an investment adviser for purposes of the antifraud provisions of the Investment Advisers Act (Advisers Act). Sterling Capital was responsible for administrative services of Sterling Watters and was an investment adviser for purposes of the antifraud provisions of the Advisers Act. On September 19, 2005, Haligiannis pled guilty to one count of securities fraud in violation of Title 15, United States Code, Sections 78j(b) & 78ff; and Title 17, Code of Federal Regulations, Section 240.10b-5, and one count of investment adviser fraud in violation of Title 15, United States Code, Sections 80b-6(1), 80b-6(2) and 80b-17. United States v. Haligiannis, 04 Cr. 1058 (S.D.N.Y.) The conviction was entered on that date. The counts of the criminal indictment to which Haligiannis pled guilty alleged, inter alia, that Haligiannis, using various instrumentalities of interstate commerce, defrauded investors and obtained money and property by means of materially false and misleading statements concerning the investment performance of Sterling Watters. Based on the above, the Order bars Haligiannis from association with any investment adviser. Haligiannis consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. IA- 2441; File No. 3-12081) SEC SETTLES SECURITIES FRAUD CHARGES AGAINST THEODORE SIHPOL, A FORMER BANC OF AMERICA BROKER, WHO IS ORDERED TO PAY A $200,000 PENALTY AND BARRED FROM THE SECURITIES INDUSTRY FOR FIVE YEARS On October 12, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940. The Order finds that Theodore Charles Sihpol III, formerly a registered representative with Banc of America Securities LLC (BAS), played a key role in enabling Canary Partners LLP, a hedge fund customer of BAS, to engage in late trading in shares of mutual funds sold by BAS and others. 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. Eastern Time, but receiving the price based on the prior NAV already determined as of that day. Sihpol enabled Canary to place orders to buy or redeem mutual fund shares that were received by and cleared through BAS until 6:30 p.m., but that received the price previously determined as of 4:00 p.m. that day rather than the price determined as of 4:00 p.m. the next day. In the process, Sihpol falsified, altered, destroyed, or evaded the creation of, books and records that BAS was required accurately to create, maintain and preserve. The Commission barred Sihpol from association with any broker, dealer, or investment adviser, and prohibited him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, with the right to reapply for association after five years. The Commission also ordered Sihpol to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and ordered him to cease and desist from causing any violations and any future violations of Section 17(a) of the Exchange Act, and Rules 17a-3 and 17a-4 thereunder, and Rule 22c-1 promulgated under Section 22(c) of the Investment Company Act of 1940. Also, Sihpol consented to the entry of a judgment in federal court, in the Southern District of New York, imposing a $200,000 penalty. The judgment resolves similar allegations contained in an SEC complaint filed in federal court, which charged Sihpol with violating the antifraud provisions and with aiding and abetting BAS’s violations of the broker-dealer record-keeping provisions of the federal securities laws. Sihpol consented to the settlement without admitting or denying the allegations. (In the Matter of Theodore Charles Sihpol III; Rels. 33- 8624; 34-52591; IA-2440; IC-27113; File No. 3-11261) [SEC v. Theodore Charles Sihpol III, Civil Action No. 05-CV-8656, KMW, S.D.N.Y.] (LR- 19422; Press Rel. 2005-146) COMMISSION REVOKES REGISTRATION OF SECURITIES OF DIAGNOSTIC INTERNATIONAL, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Diagnostic International, Inc. for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Diagnostic consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Diagnostic’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: · Gregory G. Faragasso, Assistant Director, (202) 551-4734 · Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52584; File No. 3-12074) COMMISSION REVOKES REGISTRATION OF SECURITIES OF BRANDAID MARKETING CORP. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of BrandAid Marketing Corp. for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, BrandAid consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of BrandAid’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52585; File No. 3-12075) COMMISSION REVOKES REGISTRATION OF SECURITIES OF REALIGENT, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Realigent, Inc. for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Religent consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Realigent’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52586; File No. 3-12076) COMMISSION REVOKES REGISTRATION OF SECURITIES OF MINERAL ENERGY AND TECHNOLOGY CORP. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Mineral Energy and Technology Corp. (METC) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, METC consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of METC’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52587; File No. 3-12077) COMMISSION REVOKES REGISTRATION OF SECURITIES OF INGENUUS CORP. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Ingenuus Corp. for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Ingenuus consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Ingenuus’ securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52588; File No. 3-12078) COMMISSION REVOKES REGISTRATION OF SECURITIES OF HOMES FOR AMERICA HOLDINGS, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Homes For America Holdings, Inc. (Homes) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Homes consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Homes’ securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52589; File No. 3-12079) COMMISSION REVOKES REGISTRATION OF SECURITIES OF FINANCIAL SYSTEMS GROUP, INC. FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On October 12, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 revoking the registration of each class of registered securities of Financial Systems Group, Inc. for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, Financial Systems consented to the entry of an order finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Financial Systems’ securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information contact: * Gregory G. Faragasso, Assistant Director, (202) 551-4734 * Neil J. Welch, Jr., Branch Chief, (202) 551-4731 Additional materials available at www.sec.gov. (Rel. 34-52590; File No. 3-12080) SELF REGULATORY ORGANIZATIONS ACCELERATED EFFECTIVENESS OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-ISE-2005-27) and Amendment No. 1 and granted accelerated approval to Amendment No. 4 to the proposal filed by the International Securities Exchange under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to listing and maintenance standards and position limits for broad-based index options. Publication of the order is expected in the Federal Register during the week of October 17. (Rel. 34-52578) PROPOSED RULE CHANGES Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, the National Stock Exchange has filed a proposed rule change (SR-NSX-2005- 06), and Amendments Nos. 1 and 2 thereto, to amend the Exchange’s Customer Priority Rule to require Designated Dealers to implement and maintain automated compliance systems. Publication of the proposal is expected in the Federal Register during the week of October 17. (Rel. 34-52576) The Chicago Board Options Exchange has filed a proposed rule change and Amendment No. 1 thereto (SR-CBOE-2005-60) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to an automated improvement mechanism. Publication of the proposal is expected in the Federal Register during the week of October 17. (Rel. 34-52577) APPROVAL OF PROPOSED RULE CHANGE NASD filed a proposed rule change (SR-NASD-2005-101) to expand OATS reporting requirements to OTC equity securities. Publication of the proposal is expected in the Federal Register during the week of October 17. (Rel. 34-52581) 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: . SB-2 Whos Your Daddy Inc, 3131 CAMINO DEL RIO, N, SUITE 1650, SAN DIEGO, CA, 92108, (619) 284-4807 - 6,378,505 ($6,825,000.35) Equity, (File 333-128912 - Oct. 11) (BR. 02) S-1 Eastern Insurance Holdings, Inc., 25 RACE AVENUE, LANCASTER, PA, 17603, 610-205-6023 - 8,305,556 ($83,055,560.00) Equity, (File 333-128913 - Oct. 11) (BR. 01) S-8 SUNBURST ACQUISITIONS IV INC, 595 HOWE STREET, SUITE 206, VANCOUVER, A1, V6C 2T5, 6046841755 - 1,000,000 ($80,000.00) Equity, (File 333-128917 - Oct. 11) (BR. 09B) SB-2 INVISA INC, 6935 15TH STREET EAST, SUITE 120, SARASOTA, FL, 34243, 941-355-9361 - 23,693,334 ($6,070,958.00) Equity, (File 333-128918 - Oct. 11) (BR. 10B) S-3 BEACON ROOFING SUPPLY INC, 50 WEBSTER AVE, SOMERVILLE, MA, 02143, 0 ($300,969,375.00) Equity, (File 333-128919 - Oct. 11) (BR. 06A) S-3 CRUSADE MANAGEMENT LTD, LEVEL 11, 55 MARKET STREET, SIDNEY NSW 2217 AUSTRALIA, 0 ($1,000,000.00) Asset-Backed Securities, (File 333-128920 - Oct. 11) (BR. 05D) S-8 SEW CAL LOGO INC, 207 W 138TH ST, LOS ANGELES, CA, 90061, 3103523300 - 500,000 ($300,000.00) Other, (File 333-128921 - Oct. 11) (BR. 02) S-8 ESPEY MFG & ELECTRONICS CORP, 233 BALLSTON AVE, COR. CONGRESS & BALLSTON AVES., SARATOGA SPRINGS, NY, 12866, 5185844100 - 129,700 ($4,520,045.00) Other, (File 333-128922 - Oct. 11) (BR. 10B) S-8 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 5037267500 - 0 ($28,545,000.00) Equity, (File 333-128923 - Oct. 11) (BR. 10B) S-8 ADSTAR INC, 4553 GLENCO AVENUE, SUITE 325, MARINA DEL RAY, CA, 90292, 2,200,000 ($4,283,430.00) Equity, (File 333-128924 - Oct. 11) (BR. 08A) S-4 Emergency Medical Services CORP, 6200 SOUTH SYRACUSE WAY, SUITE 200, GREENWOOD VILLAGE, CO, 80111, (303) 495-1200 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-128925 - Oct. 11) (BR. 05C) S-8 OPENWAVE SYSTEMS INC, 2100 SEAPORT BLVD., REDWOOD CITY, CA, 94063, 650-480-8000 - 5,266,732 ($87,427,751.00) Equity, (File 333-128926 - Oct. 11) (BR. 03B) S-8 KINTERA INC, 0 ($14,310,000.00) Equity, (File 333-128927 - Oct. 11) (BR. 03C) S-3 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 0 ($100,000,000.00) Equity, (File 333-128929 - Oct. 11) (BR. 01A) S-1 Eagle Bulk Shipping Inc., 29 BROADWAY, NEW YORK, NY, 10006, 212-785-2500 - 0 ($117,576,000.00) Equity, (File 333-128930 - Oct. 11) (BR. 05B) S-3 HYTHIAM INC, 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, CA, 90025, 310 444 4300 - 0 ($16,000,000.00) Equity, (File 333-128931 - Oct. 11) (BR. 01C) S-4 GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316, 2167962121 - 400,000,000 ($400,000,000.00) Non-Convertible Debt, (File 333-128932 - Oct. 11) (BR. 06A) S-3 COVAD COMMUNICATIONS GROUP INC, 110 RIO ROBLES, SAN JOSE, CA, 95134, 4089526400 - 0 ($150,000,000.00) Other, (File 333-128933 - Oct. 11) (BR. 11B) S-8 Consolidated Communications Holdings, Inc., 121 SOUTH 17TH STREET, MATTOON, IL, 61938, (217) 235-3311 - 0 ($10,503,750.00) Equity, (File 333-128934 - Oct. 11) (BR. 11C) S-4 FIRST STATE BANCORPORATION, 7900 JEFFERSON NE, ALBUQUERQUE, NM, 87109, 5052417500 - 0 ($31,012,133.00) Equity, (File 333-128935 - Oct. 11) (BR. 07A) S-8 GENCO SHIPPING & TRADING LTD, 35 WEST 56TH STREET, NEW YORK, NY, 10019, (646) 443-8550 - 2,000,000 ($38,120,000.00) Equity, (File 333-128936 - Oct. 11) (BR. 05A) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($17,902,500.00) Equity, (File 333-128937 - Oct. 11) (BR. 01A) S-3 INTERMOUNTAIN COMMUNITY BANCORP, PO BOX 967, SANDPOINT, ID, 83864, 206-263-0505 - 0 ($12,000,000.00) Equity, (File 333-128938 - Oct. 11) (BR. 07) S-1 HealthSpring, Inc., 44 VANTAGE WAY, SUITE 300, NASHVILLE, TN, 37228, 615-291-7000 - 0 ($300,000,000.00) Equity, (File 333-128939 - Oct. 11) (BR. ) S-3 SPRINT NEXTEL CORP, 2001 EDMUND HALLEY DRIVE, RESTON, VA, 20191, 703-433-4000 - 0 ($360,000,000.00) Debt Convertible into Equity, (File 333-128940 - Oct. 11) (BR. 11B) S-4 GOODYEAR TIRE & RUBBER CO /OH/, 1144 E MARKET ST, AKRON, OH, 44316, 2167962121 - 650,000,000 ($650,000,000.00) Non-Convertible Debt, (File 333-128941 - Oct. 11) (BR. 06A) 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 360 GLOBAL WINE CO NV 9.01 10/11/05 AMEND 99 CENTS ONLY STORES CA 2.02,9.01 10/07/05 A21 INC TX 1.01,3.02,9.01 10/04/05 A4S SECURITY, INC. CO 7.01,9.01 10/11/05 AASTROM BIOSCIENCES INC MI 5.03,9.01 10/07/05 ABERCROMBIE & FITCH CO /DE/ DE 7.01,9.01 10/06/05 ACCELLENT CORP. CO 1.01,2.01,2.03,7.01,9.01 10/06/05 ACCELRYS, INC. DE 1.01,9.01 10/04/05 ACCUPOLL HOLDING CORP NV 1.01,2.03,9.01 10/06/05 ACTION PERFORMANCE COMPANIES INC AZ 2.01,9.01 08/02/05 ADC TELECOMMUNICATIONS INC MN 1.01 10/10/05 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 10/11/05 ADVANCED SPORTS TECHNOLOGIES INC 5.03 10/11/05 ADVO INC DE 2.02,9.01 10/11/05 AEGIS COMMUNICATIONS GROUP INC DE 9.01 10/10/05 Affinity Group Holding, Inc. DE 5.02 10/03/05 AFFINITY GROUP INC DE 5.02 10/03/05 AIRNET SYSTEMS INC OH 8.01,9.01 10/10/05 ALCOA INC PA 2.02,9.01 10/10/05 ALFA INTERNATIONAL HOLDINGS CORP. DE 2.01,8.01,9.01 10/11/05 ALIGN TECHNOLOGY INC DE 1.01,9.01 10/06/05 ALLIN CORP DE 5.03,9.01 07/25/05 AMEND ALLOS THERAPEUTICS INC DE 8.01,9.01 10/11/05 ALP LIQUIDATING TRUST DE 8.01,9.01 04/25/05 AMB PROPERTY CORP MD 7.01,9.01 10/11/05 AMB PROPERTY LP DE 7.01,9.01 10/11/05 AMERICAN CAPITAL STRATEGIES LTD 1.01,2.03 10/04/05 AMERICAN FINANCIAL REALTY TRUST 5.02 10/10/05 AMERICAN HEALTHWAYS INC DE 2.02,9.01 10/11/05 AMERICAN STATES WATER CO CA 7.01,9.01 10/07/05 AMERICAN STATES WATER CO CA 7.01,9.01 10/11/05 American Tire Distributors Holdings, 8.01,9.01 10/04/05 AMERICREDIT AUTOMOBILE RECEIVABLES TR 8.01,9.01 10/10/05 AmeriCredit Automobile Receivables Tr DE 8.01,9.01 10/10/05 AmeriCredit Automobile Receivables Tr DE 8.01,9.01 10/10/05 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE 8.01,9.01 10/10/05 AMERIQUEST MORTGAGE SECURITIES INC., DE 9.01 09/16/05 AMERISOURCEBERGEN CORP DE 1.01 10/07/05 AMETEK INC/ DE 8.01 10/10/05 AMH Holdings, Inc. DE 7.01,9.01 10/10/05 AMPAL-AMERICAN ISRAEL CORP NY 1.01,9.01 10/11/05 AMPHENOL CORP /DE/ DE 1.01,9.01 10/10/05 AMSCAN HOLDINGS INC DE 1.01,9.01 10/11/05 ANTIGENICS INC /DE/ DE 7.01,9.01 10/10/05 APOGEE TECHNOLOGY INC DE 1.01,2.01,9.01 10/05/05 APPLE COMPUTER INC CA 2.02,9.01 10/11/05 ARCHSTONE SMITH OPERATING TRUST MD 1.01,2.01,3.02,5.03,9.01 10/07/05 AMEND ARCHSTONE SMITH TRUST CO 1.01,2.01,9.01 10/07/05 AMEND ARENA PHARMACEUTICALS INC DE 8.01 10/11/05 Argent Securities Inc., Asset-Backed 9.01 09/26/05 ARIAD PHARMACEUTICALS INC DE 1.01 10/04/05 ARK RESTAURANTS CORP NY 8.01 10/11/05 ARTISTDIRECT INC DE 9.01 07/28/05 AMEND ASIAINFO HOLDINGS INC DE 8.01 10/11/05 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 10/11/05 ASSOCIATED MATERIALS INC DE 7.01,9.01 10/10/05 ATEL CAPITAL EQUIPMENT FUND IX LLC CA 2.02,4.02 10/05/05 ATEL CAPITAL EQUIPMENT FUND VII LP CA 2.02,4.02 10/05/05 ATEL CAPITAL EQUIPMENT FUND VIII LLC CA 2.02,4.02 10/05/05 ATEL CAPITAL EQUIPMENT FUND X LLC CA 2.02,4.02 10/05/05 AUDIBLE INC 3.01 10/04/05 BAB INC DE 8.01 10/07/05 BABYUNIVERSE, INC. FL 4.01,9.01 10/05/05 AMEND BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 10/11/05 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 10/11/05 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 10/07/05 Banc of America Mortgage Securities M DE 8.01,9.01 09/28/05 BANK OF GRANITE CORP DE 2.02,9.01 10/11/05 Bank of Wilmington CORP NC 1.01,2.03,9.01 10/04/05 BANKUNITED TRUST 2005-1, MORTGAGE PAS DE 9.01 09/26/05 BAYCORP HOLDINGS LTD DE 2.03,9.01 10/07/05 AMEND BEARINGPOINT INC DE 2.02,9.01 10/11/05 BEHRINGER HARVARD MID TERM VALUE ENHA TX 7.01 10/07/05 BEHRINGER HARVARD MID TERM VALUE ENHA TX 8.01 10/05/05 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01 10/07/05 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 8.01 10/05/05 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.03,9.01 10/11/05 BFC FINANCIAL CORP FL 7.01 10/10/05 BIONUTRICS INC NV 8.01,9.01 10/11/05 BIONUTRICS INC NV 9.01 10/07/05 AMEND BMB MUNAI INC NV 7.01,9.01 10/11/05 BofI Holding, Inc. DE 4.01 10/05/05 BOK FINANCIAL CORP ET AL OK 5.02 10/06/05 BOYD GAMING CORP NV 2.02,9.01 10/06/05 BOYDS COLLECTION LTD 3.01,9.01 10/07/05 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 10/10/05 BSD MEDICAL CORP DE 7.01,9.01 10/11/05 BSQUARE CORP /WA WA 3.01,5.03,8.01,9.01 10/05/05 BUILD A BEAR WORKSHOP INC DE 1.01,9.01 10/11/05 CALIFORNIA COASTAL COMMUNITIES INC DE 8.01,9.01 10/05/05 CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 10/11/05 Capital One Auto Receivables LLC DE 8.01,9.01 10/11/05 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 10/06/05 CAPSTONE TURBINE CORP DE 1.01,8.01,9.01 10/07/05 Caribou Coffee Company, Inc. MN 1.01,9.01 10/04/05 CARRIER ACCESS CORP DE 1.01,4.01,9.01 04/21/05 CASCADE BANCORP OR 2.02,7.01,9.01 10/11/05 CASEYS GENERAL STORES INC IA 7.01 10/11/05 CATALYST SEMICONDUCTOR INC DE 1.01,9.01 09/05/05 CAVALIER HOMES INC DE 1.01,9.01 10/11/05 Cell Power Technologies Inc 8.01 09/16/05 CENTRA SOFTWARE INC DE 1.01,9.01 10/05/05 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.03,9.01 10/08/05 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 10/05/05 CepTor CORP 1.01,3.02,9.01 10/07/05 CHARYS HOLDING CO INC 3.02,9.01 09/21/05 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 09/26/05 CHESAPEAKE ENERGY CORP OK 8.01,9.01 10/10/05 CHICAGO BRIDGE & IRON CO N V 1.01,1.02,5.02,9.01 10/08/05 CHINA DIRECT TRADING CORP FL 7.01,9.01 10/10/05 CHINA DIRECT TRADING CORP FL 8.01,9.01 10/10/05 CHL Mortgage Pass-Through Trust 2005- DE 8.01,9.01 09/29/05 CINGULAR WIRELESS LLC DE 2.02,9.01 10/10/05 CIRILIUM HOLDINGS INC DE 1.01,1.02,5.02,8.01,9.01 10/11/05 CITIGROUP COMMERCIAL MORTGAGE SECURIT DE 8.01,9.01 10/07/05 CITIZENS INC CO 3.02,9.01 09/30/05 CKE RESTAURANTS INC DE 1.01,3.03,8.01,9.01 10/10/05 CLEMMY TECHNOLOGIES CORP NV 4.01,9.01 04/06/05 CLINICAL DATA INC DE 1.01,2.01,2.03,3.02,3.03,5.02,5.03,9.0110/04/05 CLOROX CO /DE/ DE 2.02,9.01 10/04/05 CNA FINANCIAL CORP DE 7.01,9.01 10/11/05 COFFEE PACIFICA INC NV 8.01 10/11/05 Cole Credit Property Trust II Inc MD 1.01,2.01,2.03,9.01 10/05/05 COLGATE PALMOLIVE CO DE 2.05 10/11/05 COLLEGIATE FUNDING SERVICES INC DE 1.01 10/07/05 COLLEGIATE FUNDING SERVICES INC DE 1.01,9.01 10/07/05 COMMERCE GROUP CORP /WI/ WI 8.01 10/05/05 COMMERCIAL CAPITAL BANCORP INC NV 8.01,9.01 10/11/05 COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 10/11/05 COMPUWARE CORP MI 2.02,9.01 10/11/05 Comstock Homebuilding Companies, Inc. DE 2.02,9.01 10/07/05 CONSECO INC DE 7.01,9.01 10/10/05 CONSUMER PORTFOLIO SERVICES INC CA 7.01,9.01 10/11/05 CONVERSION SERVICES INTERNATIONAL INC DE 9.01 08/02/05 AMEND CORDIA CORP NV 8.01 10/10/05 COTHERIX INC 1.01,8.01,9.01 10/07/05 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 10/11/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/11/05 CRITICAL THERAPEUTICS INC DE 8.01,9.01 10/10/05 CRYSTALIX GROUP INTERNATIONAL INC NV 1.01,5.02,9.01 10/05/05 CSG SYSTEMS INTERNATIONAL INC DE 1.01,9.01 10/07/05 CURAGEN CORP DE 7.01,9.01 10/07/05 CYTOMEDIX INC DE 1.01,9.01 10/07/05 DAVITA INC DE 1.01,2.01,2.03,9.01 10/04/05 DDI CORP CA 1.01,9.01 10/10/05 DENIM APPAREL GROUP INC NV 5.01,5.02,8.01 10/10/05 DENNYS CORP DE 8.01 10/05/05 DENNYS CORP DE 2.02,9.01 10/11/05 DESERT CAPITAL REIT INC MD 1.02,2.01,3.02,9.01 10/05/05 DIAMETRICS MEDICAL INC MN 5.02 10/11/05 DIAMOND TRIUMPH AUTO GLASS INC DE 1.01,3.03,7.01,9.01 10/07/05 DIEDRICH COFFEE INC CA 5.02,9.01 10/10/05 DIGIMARC CORP DE 5.02 10/04/05 DIVERSA CORP DE 1.02,5.02,9.01 10/05/05 DOBSON COMMUNICATIONS CORP OK 2.02,3.02,8.01,9.01 10/04/05 DOLLAR GENERAL CORP TN 7.01,9.01 10/11/05 DOMINION HOMES INC OH 2.02,7.01,9.01 10/07/05 DRESS BARN INC CT 2.02,9.01 10/11/05 DREW INDUSTRIES INC DE 8.01,9.01 10/07/05 DREW INDUSTRIES INC DE 1.01,9.01 10/07/05 DST SYSTEMS INC DE 1.01,3.03,9.01 10/11/05 DYNTEK INC DE 5.02,9.01 10/06/05 E TRADE FINANCIAL CORP DE 8.01 10/07/05 EBAY INC DE 8.01,9.01 10/10/05 Education Realty Trust, Inc. MD 7.01,9.01 10/11/05 EGAMES INC PA 1.01,2.01,3.02,9.01 10/06/05 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 07/04/05 AMEND ELECTRONICS BOUTIQUE HOLDINGS CORP DE 2.01 10/08/05 ELITE FLIGHT SOLUTIONS INC DE 1.02 08/17/05 EMC INSURANCE GROUP INC IA 7.01 10/11/05 EMERSON ELECTRIC CO MO 1.01,5.02 10/04/05 EMERSON ELECTRIC CO MO 1.01,5.03,9.01 10/04/04 ENERGYTEC INC NV 8.01,9.01 10/07/05 ENXNET INC OK 7.01,9.01 10/11/05 ev3 Inc. DE 8.01,9.01 10/10/05 EXIDE TECHNOLOGIES DE 8.01 10/06/05 EZ EM INC DE 2.02,7.01,9.01 10/11/05 FANTATECH INC DE 1.01,9.01 10/11/05 Federal Home Loan Bank of New York X1 2.03,9.01 10/07/05 Federal Home Loan Bank of San Francis X1 2.03 10/11/05 FIELDPOINT PETROLEUM CORP CO 7.01,8.01 10/11/05 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 10/07/05 FIND SVP INC NY 5.02,9.01 10/10/05 FINDEX COM INC NV 4.02 10/11/05 AMEND FIRST ADVANTAGE CORP DE 8.01,9.01 10/11/05 FIRST ADVANTAGE CORP DE 1.01 10/11/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 09/30/05 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 09/30/05 FISCHER WATT GOLD CO INC NV 5.02,9.01 10/04/05 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 4.02 10/11/05 FLIGHT SAFETY TECHNOLOGIES INC NV 7.01 10/11/05 FLIR SYSTEMS INC OR 2.02,9.01 10/10/05 FOCUS ENHANCEMENTS INC DE 2.02,9.01 10/04/05 FOREST LABORATORIES INC DE 1.01,9.01 09/30/05 FORTUNE BRANDS INC DE 1.01,1.02,2.03,9.01 10/06/05 FRIEDMAN INDUSTRIES INC TX 1.01,9.01 10/11/05 FX ENERGY INC NV 7.01,9.01 10/10/05 GALAXY NUTRITIONAL FOODS INC DE 3.01 10/11/05 GANNETT CO INC /DE/ DE 9.01 09/25/05 GE LIFE & ANNUITY ASSURANCE CO VA 8.01 10/11/05 GENCORP INC OH 1.01,8.01 10/11/05 GENENTECH INC DE 2.02,8.01,9.01 10/10/05 GENERAL MOTORS CORP DE 8.01 10/08/05 GENERAL MOTORS CORP DE 8.01 10/10/05 GENIUS PRODUCTS INC NV 1.01,2.02,3.02,9.01 10/04/05 GLOBAL CONCEPTS, LTD. CO 5.02,9.01 10/04/05 GLOBAL INNOVATIVE SYSTEMS INC NV 2.02,3.02,9.01 10/05/05 Global Partners LP 1.01,2.01,2.03,3.02,5.02,5.03,9.01 10/04/05 GLOBAL PAYMENTS INC GA 5.02 10/10/05 GLOBETEL COMMUNICATIONS CORP DE 5.02 10/07/05 GOODYS FAMILY CLOTHING INC /TN TN 1.01,8.01,9.01 10/07/05 GPS INDUSTRIES, INC. NV 5.02 10/10/05 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/30/05 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.02,5.03,9.01 10/06/05 GREENE COUNTY BANCSHARES INC TN 2.01,9.01 10/07/05 GREENWICH CAPITAL COMMERCIAL FUNDING 8.01,9.01 10/06/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 10/07/05 GTX INC /DE/ DE 8.01,9.01 10/10/05 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE 3.02 10/11/05 GVC VENTURE CORP DE 1.01,9.01 10/07/05 HARDINGE INC NY 5.02,9.01 10/10/05 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,7.01 10/11/05 HARTFORD LIFE INSURANCE CO CT 9.01 10/11/05 HCC INSURANCE HOLDINGS INC/DE/ DE 8.01 10/10/05 HENDRX CORP NV 5.02 09/29/05 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 8.01,9.01 10/11/05 HIENERGY TECHNOLOGIES INC DE 8.01,9.01 10/11/05 Home Equity Loan Trust 2005-HS1 DE 8.01,9.01 10/10/05 Home Loan Trust 2005-HI2 DE 8.01,9.01 10/05/05 HORTON D R INC /DE/ DE 2.02,9.01 10/11/05 HOUSE OF BRUSSELS CHOCOLATES INC NV 5.02,9.01 10/06/05 HouseValues, Inc. WA 7.01 10/11/05 HSBC USA INC /MD/ MD 5.02 10/03/05 AMEND HSI ASSET SECURITIZATION CORP 8.01 10/10/05 HUNT J B TRANSPORT SERVICES INC AR 1.01,2.03 10/06/05 Ignis Petroleum Group, Inc. 1.01,3.02,5.02,9.01 06/14/05 INDYMAC MBS INC 8.01,9.01 10/06/05 IndyMac MBS, Inc. Residential Asset S 8.01,9.01 03/30/05 IndyMac Residential Asset Securitizat 8.01,9.01 01/28/05 AMEND INFOTEC BUSINESS SYSTEMS INC NV 5.03,9.01 10/04/05 INLAND REAL ESTATE CORP MD 8.01,9.01 10/11/05 INNOVATIVE CARD TECHNOLOGIES INC DE 1.01 10/10/05 INNOVATIVE CARD TECHNOLOGIES INC DE 1.01 10/10/05 INNOVO GROUP INC DE 2.02,9.01 10/11/05 INSITE VISION INC DE 3.02,8.01,9.01 10/06/05 INTEGRAMED AMERICA INC DE 1.01,5.02 10/10/05 INTER PARFUMS INC DE 8.01 10/11/05 INTERDIGITAL COMMUNICATIONS CORP PA 8.01 10/06/05 INTERFACE INC GA 1.01,9.01 10/06/05 INTERNAP NETWORK SERVICES CORP DE 1.01,9.01 09/30/05 International Development Corp 3.02 01/15/05 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 10/10/05 INTERNATIONAL RECTIFIER CORP /DE/ DE 8.01,9.01 10/11/05 INTERSIL CORP/DE DE 1.01,9.01 10/11/05 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 10/10/05 ITC Holdings Corp. MI 1.01,9.01 10/04/05 J P MORGAN CHASE & CO DE 9.01 10/05/05 JEFFERSON PILOT CORP NC 1.01,8.01,9.01 10/09/05 JEFFERSON PILOT CORP NC 3.03,9.01 10/09/05 JOHNSON CONTROLS INC WI 7.01,9.01 10/11/05 JOHNSON CONTROLS INC WI 2.03,9.01 10/05/05 K2 INC DE 7.01,9.01 10/10/05 KAMAN CORP CT 8.01,9.01 10/11/05 KFX INC DE 1.01,3.02 10/05/05 KITTY HAWK INC DE 8.01,9.01 10/07/05 KNAPE & VOGT MANUFACTURING CO MI 5.02 10/10/05 KOS PHARMACEUTICALS INC FL 8.01 10/06/05 KOSS CORP DE 2.02,9.01 10/10/05 Kraton Polymers LLC DE 1.02,9.01 10/11/05 LA JOLLA PHARMACEUTICAL CO DE 7.01,9.01 10/07/05 LAMSON & SESSIONS CO OH 2.02,9.01 10/10/05 LANDAMERICA FINANCIAL GROUP INC VA 2.06,9.01 10/11/05 LAS VEGAS GAMING INC NV 5.02 08/16/05 LEAP WIRELESS INTERNATIONAL INC DE 1.01 10/05/05 LEARNING CARE GROUP, INC MI 1.01,9.01 10/05/05 LEARNING TREE INTERNATIONAL INC DE 1.01,9.01 10/06/05 LENNOX INTERNATIONAL INC DE 3.02,9.01 10/06/05 LEVI STRAUSS & CO DE 2.02,7.01,9.01 10/11/05 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,8.01,9.01 10/06/05 LHC Group, Inc 8.01,9.01 10/06/05 LIGAND PHARMACEUTICALS INC DE 8.01,9.01 10/11/05 LIGHTBRIDGE INC DE 2.02 10/11/05 LINCOLN NATIONAL CORP IN 1.01,8.01,9.01 10/09/05 LSI LOGIC CORP DE 1.01,9.01 10/05/05 LUXEMBURG BANCSHARES INC WI 5.02 10/04/05 LYNCH CORP IN 1.01,9.01 10/06/05 LYONDELL CHEMICAL CO DE 1.01,9.01 10/10/05 M I HOMES INC OH 7.01,9.01 10/11/05 MAINE & MARITIMES CORP 7.01,9.01 10/10/05 MAINE & MARITIMES CORP 8.01,9.01 10/11/05 MANARIS CORP NV 1.01,2.03,3.02,5.02,8.01,9.01 10/05/05 AMEND MARKWEST ENERGY PARTNERS L P 9.01 03/31/05 AMEND MARRIOTT INTERNATIONAL INC /MD/ DE 8.01,9.01 10/11/05 MAX RE CAPITAL LTD 8.01,9.01 10/07/05 MAXIMUS INC VA 8.01,9.01 10/11/05 MCDATA CORP DE 5.02,7.01 10/11/05 MEADWESTVACO CORP DE 8.01,9.01 10/10/05 MEDICAL INTERNATIONAL TECHNOLOGY INC CO 8.01 10/07/05 MEDIVATION, INC. DE 7.01,9.01 10/11/05 MEMORY PHARMACEUTICALS CORP 7.01 10/10/05 MENTOR CORP /MN/ MN 1.01,8.01 10/11/05 MENTOR CORP /MN/ MN 1.01,9.01 10/11/05 MERCANTILE BANK CORP MI 2.02,9.01 10/10/05 MERCURY INTERACTIVE CORP DE 7.01 10/09/05 MERISEL INC /DE/ DE 9.01 08/08/05 MERRILL LYNCH & CO INC DE 7.01 10/11/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/04/05 METALS USA INC DE 8.01,9.01 10/10/05 METRIS RECEIVABLES INC DE 8.01,9.01 10/11/05 METRO ONE TELECOMMUNICATIONS INC OR 5.02,8.01,9.01 10/04/05 MGM MIRAGE DE 8.01 10/05/05 MGP INGREDIENTS INC KS 7.01,9.01 10/10/05 MICRO THERAPEUTICS INC DE 8.01,9.01 10/10/05 MICROFIELD GROUP INC OR 3.02 10/04/05 MIDNET INC 5.02 10/07/05 MOLECULAR DIAGNOSTICS INC DE 5.02,9.01 10/03/05 MONONGAHELA POWER CO /OH/ OH 7.01 10/11/05 MOTHERS WORK INC DE 1.01,3.03,5.03,9.01 10/09/05 MOTIVE INC DE 8.01 10/07/05 MOVIE GALLERY INC DE 2.02,9.01 10/11/05 MUSTANG RESOURCES INC. NV 1.01 10/08/05 MYRIAD GENETICS INC DE 8.01,9.01 10/11/05 NASHUA CORP MA 8.01,9.01 10/11/05 National Collegiate Student Loan Trus 8.01,9.01 10/11/05 NATIONAL RV HOLDINGS INC DE 8.01,9.01 10/11/05 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01 10/07/05 Nationwide Financial Solutions, Inc. NV 1.01,9.01 10/03/05 NATIONWIDE LIFE INSURANCE CO OH 8.01 10/07/05 NAVIGANT INTERNATIONAL INC DE 2.02,8.01,9.01 10/07/05 NAVIGATORS GROUP INC DE 8.01 10/10/05 NAVIGATORS GROUP INC DE 8.01 10/10/05 NAVTEQ CORP DE 5.02 04/22/05 AMEND NCR CORP MD 2.02,9.01 10/11/05 NEOSE TECHNOLOGIES INC DE 5.02 10/07/05 NEOWARE SYSTEMS INC DE 8.01,9.01 10/05/05 NETGURU INC DE 3.01,8.01,9.01 10/08/05 NETMEASURE TECHNOLOGY INC NV 1.01,3.02,4.01,9.01 10/04/05 NEW FRONTIER ENERGY INC CO 3.02 10/07/05 NEW WORLD BRANDS INC DE 8.01,9.01 10/03/05 NEW YORK COMMUNITY BANCORP INC DE 8.01,9.01 10/11/05 NEW YORK COMMUNITY BANCORP INC DE 7.01,8.01,9.01 10/10/05 NEWELL RUBBERMAID INC DE 2.05,2.06,7.01,9.01 10/05/05 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 10/10/05 NEWS CORP 8.01,9.01 10/10/05 NEWS CORP 5.02,8.01,9.01 10/06/05 NEXTEL PARTNERS INC DE 8.01,9.01 10/07/05 NOBLE ENERGY INC DE 7.01,9.01 10/10/05 NORTH AMERICAN SCIENTIFIC INC 1.01,8.01,9.01 10/05/05 NORTH STATE BANCORP NC 8.01,9.01 10/06/05 NORTHROP GRUMMAN CORP /DE/ DE 2.02,9.01 10/10/05 NORTHWESTERN CORP DE 7.01,9.01 10/06/05 NOVASTAR RESOURCES LTD. NV 1.01,2.01,9.01 09/14/05 NSB HOLDINGS, INC. 1.01,9.01 10/06/05 NTS REALTY HOLDINGS LP DE 7.01,9.01 10/11/05 NUTRITION MANAGEMENT SERVICES CO/PA PA 4.02 10/04/05 NVE CORP /NEW/ MN 1.01 10/04/05 OCEAN WEST HOLDING CORP DE 1.01,9.01 10/05/05 OMI CORP/M I 8.01,9.01 10/11/05 OMNI ENERGY SERVICES CORP LA 2.01,9.01 07/29/05 AMEND ONEOK INC /NEW/ OK 7.01,9.01 10/11/05 OPTIMAL GROUP INC 7.01 10/11/05 OPTIMAL GROUP INC 1.01,2.01,9.01 10/11/05 OptimumBank Holdings, Inc. FL 2.02,9.01 10/11/05 OSI PHARMACEUTICALS INC DE 8.01 10/10/05 P F CHANGS CHINA BISTRO INC 2.02,9.01 10/05/05 PAC-WEST TELECOMM INC 7.01,9.01 10/10/05 PACIFIC SUNSET INVESTMENTS INC MN 8.01 10/10/05 PACIFICNET INC DE 3.01,9.01 10/06/05 PARLUX FRAGRANCES INC DE 2.02,9.01 10/06/05 PARTY CITY CORP DE 2.02,9.01 10/10/05 PARTY CITY CORP DE 1.01,9.01 10/11/05 PATRIOT TRANSPORTATION HOLDING INC FL 1.01,9.01 10/11/05 PERFORMANCE FOOD GROUP CO TN 1.01,2.03,9.01 10/07/05 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,9.01 09/20/05 PETCO ANIMAL SUPPLIES INC DE 5.02 10/06/05 Petro, Inc. TX 2.02,4.02 10/04/05 PHOENIX TECHNOLOGIES LTD DE 2.02,8.01,9.01 10/11/05 PINNACLE AIRLINES CORP DE 8.01,9.01 10/05/05 PIPELINE DATA INC 7.01 09/30/05 PIPELINE DATA INC 1.01,2.03,7.01 06/30/05 PLAYBOY ENTERPRISES INC DE 7.01 10/11/05 PLUMAS BANCORP CA 5.02,9.01 10/07/05 PMI GROUP INC DE 1.01,2.03,9.01 10/04/05 PNM RESOURCES INC NM 8.01 10/11/05 POINT THERAPEUTICS INC DE 8.01,9.01 10/11/05 POLYMER GROUP INC DE 4.01,9.01 10/04/05 POLYONE CORP 1.01,9.01 10/06/05 POPE & TALBOT INC /DE/ DE 5.02 10/07/05 POPULAR ABS, INC. DE 8.01,9.01 10/07/05 POSITRON CORP TX 5.02,9.01 10/03/05 POWER EFFICIENCY CORP DE 5.02 09/15/05 POWERCOLD CORP NV 8.01 10/07/05 PREMIER EXHIBITIONS, INC. 2.02,9.01 10/06/05 PREMIERWEST BANCORP OR 2.02,9.01 10/11/05 PROCTER & GAMBLE CO OH 7.01 10/11/05 PROGRESS ENERGY INC NC 7.01 10/11/05 PROLIANCE INTERNATIONAL, INC. DE 2.05,9.01 10/07/05 PROQUEST CO DE 1.01,5.02,7.01,9.01 10/10/05 PUBLIC MEDIA WORKS INC 1.01 10/06/05 PULASKI FINANCIAL CORP MO 7.01,9.01 10/11/05 PURCHASESOFT INC DE 8.01,9.01 10/10/05 Q COMM INTERNATIONAL INC UT 4.01,9.01 10/11/05 QMED INC DE 8.01,9.01 10/05/05 QUALITY SYSTEMS INC CA 1.01,5.03,8.01,9.01 10/05/05 R H DONNELLEY CORP DE 7.01,9.01 10/11/05 RALCORP HOLDINGS INC /MO MO 8.01,9.01 10/11/05 RALI Series 2005-QA10 Trust DE 8.01,9.01 10/11/05 RAMP Series 2005-RS8 Trust DE 8.01,9.01 10/10/05 RAMTRON INTERNATIONAL CORP DE 8.01,9.01 10/11/05 RECOM MANAGED SYSTEMS, INC. DE 1.02 10/07/05 Refco Group Ltd., LLC DE 1.01,2.02,4.02,5.02,7.01,9.01 10/10/05 Refco Inc. 1.01,2.02,4.02,5.02,7.01,9.01 10/10/05 REGAL BELOIT CORP WI 5.02 10/11/05 RELIANT ENERGY INC DE 1.01,2.03,8.01,9.01 10/07/05 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 10/11/05 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 10/11/05 RF MICRO DEVICES INC NC 2.02 10/11/05 RFMSI Series 2005-S1 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-S2 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-S3 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-S4 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-S5 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-S6 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-SA1 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-SA2 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-SA3 Trust DE 8.01,9.01 10/05/05 RFMSI Series 2005-SA4 Trust DE 8.01,9.01 10/05/05 RFMSII 2005-HI1 DE 8.01,9.01 10/05/05 RITE AID CORP DE 5.02,8.01,9.01 10/10/05 ROBBINS & MYERS INC OH 2.02 10/10/05 ROCK OF AGES CORP DE 4.01,9.01 10/11/05 AMEND ROSS STORES INC DE 1.01 10/06/05 ROTECH HEALTHCARE INC DE 5.02 10/10/05 RUB A DUB SOAP INC CO 8.01 10/11/05 RUSH FINANCIAL TECHNOLOGIES INC TX 7.01,9.01 10/10/05 SALESFORCE COM INC DE 1.01,5.02,9.01 10/06/05 SALTON INC DE 1.01,9.01 10/07/05 SBA COMMUNICATIONS CORP FL 8.01 10/07/05 SCHOOL SPECIALTY INC WI 8.01,9.01 10/07/05 SCIENCE APPLICATIONS INTERNATIONAL CO DE 8.01,9.01 10/11/05 SI INTERNATIONAL INC DE 1.01,5.03,9.01 10/06/05 SIGMATEL INC DE 2.02,8.01,9.01 10/10/05 SITEWORKS INC /FL FL 8.01 10/07/05 SKYWORKS SOLUTIONS INC DE 2.02,9.01 10/10/05 SMALL WORLD KIDS INC UT 3.02,9.01 10/07/05 SMART Modular Technologies (WWH), Inc 2.02,9.01 10/06/05 SOLAR ENERGY LTD DE 5.02 09/28/05 SOUND TECHNOLOGY INC NV 5.02 10/03/05 SPACEHAB INC \WA\ WA 8.01,9.01 10/10/05 Stanwich Asset Acceptance CO LLC DE 8.01,9.01 10/05/05 STAR SCIENTIFIC INC DE 3.01,5.02,9.01 10/04/05 STARTEK INC DE 1.01,9.01 10/05/05 STATE BANCORP INC NY 3.01 10/05/05 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01 10/05/05 STREICHER MOBILE FUELING INC FL 2.02,9.01 10/11/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 10/11/05 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 10/11/05 SUNSET FINANCIAL RESOURCES INC 5.02,5.03,9.01 10/05/05 SYCAMORE NETWORKS INC DE 2.02,9.01 10/11/05 TALEO CORP DE 1.02,5.03 10/04/05 TANOX INC DE 7.01 10/11/05 TBS INTERNATIONAL LTD 7.01,9.01 10/11/05 TECO ENERGY INC FL 1.01,1.02,2.03,9.01 10/11/05 TELOS CORP MD 5.02 10/05/05 TEMPLE INLAND INC DE 7.01,9.01 10/11/05 TEMPORARY FINANCIAL SERVICES INC WA 7.01,8.01,9.01 10/06/05 TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 10/11/05 TERADYNE INC MA 1.01,9.01 10/10/05 TERRA INDUSTRIES INC MD 8.01,9.01 10/07/05 TERRA NITROGEN CO L P /DE DE 8.01,9.01 10/07/05 THEGLOBE COM INC DE 8.01 10/04/05 TITAN INTERNATIONAL INC IL 8.01,9.01 10/11/05 TRANSCONTINENTAL REALTY INVESTORS INC NV 8.01 10/11/05 TRANSMONTAIGNE INC DE 2.02,9.01 10/06/05 TRIBEWORKS INC DE 3.02 09/30/05 TRINITY LEARNING CORP UT 7.01 10/10/05 TRINITY LEARNING CORP UT 7.01 10/11/05 TRIQUINT SEMICONDUCTOR INC DE 8.01,9.01 10/06/05 TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,8.01,9.01 10/06/05 U S ENERGY SYSTEMS INC DE 1.01,2.03 10/07/05 UBRANDIT COM NV 1.01,3.02,4.01,5.01,8.01 07/15/05 UGS Corp. DE 1.01,5.02 10/04/05 UMB FINANCIAL CORP MO 7.01,9.01 10/11/05 UNIFY CORP DE 2.02,9.01 08/30/05 AMEND UNISYS CORP DE 2.02,9.01 10/10/05 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 10/11/05 UNIVERSAL HEALTH REALTY INCOME TRUST MD 5.02 10/07/05 UNIVERSAL HEALTH SERVICES INC DE 1.01,9.01 10/07/05 UNIVERSAL PROPERTY DEVELOPMENT & ACQU CA 2.01,9.01 10/08/05 USAA ACCEPTANCE LLC 8.01,9.01 10/10/05 VA SOFTWARE CORP DE 1.01,9.01 10/05/05 VENTIV HEALTH INC DE 1.01,2.01,2.03,3.02,3.03,5.02,7.01,9.0110/05/05 VIISAGE TECHNOLOGY INC DE 1.01,3.01,3.02,3.03,5.03,9.01 10/05/05 VINEYARD NATIONAL BANCORP CA 8.01,9.01 10/10/05 VNUS MEDICAL TECHNOLOGIES INC 1.01,9.01 09/08/05 VOIP INC 2.01,3.02,7.01,9.01 10/05/05 WADDELL & REED FINANCIAL INC DE 1.01,1.02,2.03,9.01 10/07/05 WALTER INDUSTRIES INC /NEW/ DE 8.01,9.01 10/03/05 WATERFORD GAMING LLC DE 8.01 10/11/05 WD 40 CO DE 8.01,9.01 10/07/05 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 10/10/05 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 10/06/05 WESTERN GAS RESOURCES INC DE 2.03 10/07/05 WGNB CORP GA 2.02,9.01 10/10/05 WHIRLPOOL CORP /DE/ DE 8.01,9.01 10/07/05 WHITING PETROLEUM CORP DE 2.01,2.03,8.01,9.01 10/04/05 WNC HOUSING TAX CREDIT FUND VI LP SER 8.01,9.01 08/30/05 WQN, Inc. 2.01,5.02,8.01,9.01 10/11/05 WYNN LAS VEGAS LLC NV 5.02 10/05/05 XCYTE THERAPIES INC WA 1.01,9.01 10/04/05 XFONE INC NV 1.01,3.02,8.01,9.01 08/19/05 AMEND XILINX INC DE 7.01,9.01 10/10/05 XSTREAM BEVERAGE NETWORK, INC. NV 4.02 10/06/05 XSTREAM BEVERAGE NETWORK, INC. NV 9.01 03/30/04 AMEND XSUNX INC CO 9.01 07/14/05 AMEND XTO ENERGY INC DE 8.01,9.01 09/29/05 ZENITH NATIONAL INSURANCE CORP DE 3.02 10/04/05