SEC NEWS DIGEST Issue 2006-13 January 20, 2006 COMMISSION ANNOUNCEMENTS SEC SEEKS TO DISTRIBUTE $10 MILLION CIVIL PENALTY TO i2 TECHNOLOGIES, INC. INVESTORS Interested persons Have 30 Days to Comment upon SEC's Proposed Distribution Plan On January 6, the Commission asked the court overseeing its accounting fraud case against i2 Technologies, Inc. to authorize distribution of the $10 million civil penalty and disgorgement that i2 paid to settle the Commission's charges. The Commission has asked the court to establish a Fair Fund under the Sarbanes-Oxley Act of 2002, to hold the civil penalty, disgorgement and accrued interest. The Commission has further requested that, after a tax administrator files any reports on the Fair Fund required by law, the Fair Fund be transferred to and joined for distribution with an approximate $85 million settlement fund previously established in the private securities class action against i2 arising from the same events. The Commission proposes that no part of the Fair Fund be used to pay the private class attorneys' fees or the distribution agent's fees. Katherine Addleman, Associate District Administrator of the Commission's Fort Worth office, commented, "We are pleased to return these funds to investors injured by i2's wrongdoing, as contemplated by the Sarbanes-Oxley Act. We believe that distributing these funds through the existing private class action settlement fund is the most efficient way to do this under the circumstances of this case." In its civil suit and related administrative proceeding against i2, the Commission alleged that, for the four years ended Dec. 31, 2001 and the first three quarters of 2002, i2 misstated approximately $1 billion of software license revenues. As a result, i2's periodic filings with the Commission and earnings releases during this period materially misrepresented i2's revenues and earnings. The Commission further alleged that i2's conduct violated the antifraud, reporting, record-keeping and internal controls provisions of the federal securities laws. In June 2004, i2 settled these charges without admitting or denying the Commission's substantive findings or allegations. As part of that settlement, i2 paid a $10 million civil penalty and nominal $1 disgorgement. It also consented to a Commission order to cease-and-desist from such violations. See Litigation Rel. No. 18741 (June 9, 2004). The court has granted the Commission's request to publish notice of its proposal to distribute to injured investors. Any person who wishes to comment on or object to the Commission's proposal has until Feb. 17, 2006 to file written objections with the court, i2's counsel and the Commission's counsel. Interested persons should go to the Litigation Releases section of the Commission's website (www.sec.gov) for more information. The Commission's case is styled SEC v. i2 Technologies, Inc., Civil Action No. 3:04-CV-1250, in the United States District Court for the Northern District of Texas, Dallas Division, LR-19535. For further information contact Katherine Addleman at (817) 978-6425. (Press Rel. 2006-11) COMMISSION MEETINGS CLOSED MEETING - THURSDAY, JANUARY 26, 2006 - 9:00 A.M. The subject matter of the closed meeting scheduled for Thursday, January 26, at 9:00 a.m. will be: Institution and settlement of an injunctive action. CLOSED MEETING - THURSDAY, JANUARY 26, 2006 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, January 26, at 2:00 p.m. will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Opinion; and Amici consideration. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGS ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTION BY DEFAULT AS TO BARRY BERMAN An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanction by Default as to Barry Berman (Default Order) in the matter of Thomas Steinbach, et al. The Order Instituting Proceedings alleged that on March 14, 2003, Respondent Barry Berman pleaded guilty to one count of conspiracy to commit wire fraud, mail fraud, and securities fraud, for which he was sentenced to eighteen months' imprisonment followed by three years of supervised release. The Default Order finds these allegations to be true and bars Respondent Barry Berman from participating in an offering of penny stock, pursuant to Section 15(b) of the Securities Exchange Act of 1934. (Rel. 34-53143; File No. 3-11938) COMMISSION REMANDS GREER WAIVER PROCEEDING TO NASD The Commission is remanding to NASD Baunita Greer's appeal. NASD previously had denied a request to waive the requirement that Greer take the Series 24 (general securities principal), Series 27 (financial and operations principal), and Series 53 (municipal securities principal) qualification examinations. After Greer filed her brief with the Commission, NASD moved to remand this matter so that it may consider the factors that Greer raised in her appeal brief. Greer did not oppose a remand. (Rel. 34-53146; File No. 3- 12058) IN THE MATTER OF NEIL FORMISANO An Administrative Law Judge has ordered Neil Formisano (Formisano) barred from association with any broker or dealer as the result of findings that Formisano was in default and that the allegations in an Order Instituting Proceedings (OIP) are true. Neil Formisano, Admin. Proc. 3-12107, Order Making Findings and Imposing Sanction by Default, (Jan. 20, 2006). According to the OIP, on Oct. 21, 2005, the U.S. District Court for the Southern District of New York permanently enjoined Formisano from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from aiding and abetting future violations of Sections 17(a) and 17(b) of the Exchange Act and Rule 17(a)(4)(j) thereunder. The civil complaint charged that from January 2000 through July 2002, Formisano participated in the fraudulent offer and sale of over seven million dollars in unregistered securities of eWealth Holdings, Inc., to approximately one hundred individuals. The district court also barred Formisano from participating in any future offerings of penny stock; required him to pay $9,798,950 in disgorgement, plus $3,907,300.62 in prejudgment interest; and ordered him to pay $550,000 in civil penalties. Formisano pled guilty in a criminal proceeding to securities fraud and conspiracy to commit securities fraud, mail fraud and wire fraud based on the same facts alleged in the civil complaint. On Nov. 20, 2003, Formisano was sentenced to seventy-eight months of incarceration. (Rel. 34-53157; File No. 3-12107) IN THE MATTER OF DOUGLAS RASBERRY AND ANDREW PROCTOR On January 20, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Douglas Rasberry (Rasberry) and Andrew K. Proctor (Proctor) (collectively Respondents). The Order finds, among other things, that the Respondents participated in an offering of a penny stock and pled guilty to one count of conspiracy to commit wire fraud. Based on the above, the Order bars Rasberry and Proctor from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Rasberry and Proctor consented to the issuance of the Order without admitting or denying any of the findings contained therein with the exception of their criminal convictions. (Rel. 34-53158; File No. 3-12152) IN THE MATTER OF PAUL LEMMON, MARK VALENTINE AND MICHAEL VLAHOVIC The Commission entered an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Paul D. Lemmon, Mark Valentine and Michael Vlahovic (collectively, the Respondents). In the Order, the Division of Enforcement alleges that each of the Respondents have been criminally convicted of violating the federal securities laws. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine whether, pursuant to Section 15(b) of the Exchange Act, it is appropriate and in the public interest to bar Respondents from participating in any offering of penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock; or inducing or attempting to induce the purchase or sale of any penny stock. The order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-53159; File No. 3-12153) IN THE MATTER OF BERTON HOCHFELD The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Berton M. Hochfeld (Hochfeld). The Order finds that on January 5, 2006, a final judgment was entered by consent against Respondent Hochfeld permanently enjoining him from future violations of 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, in an action filed in the United States District Court for the Southern District of New York entitled Securities and Exchange Commission v. Berton M. Hochfeld, et al., Civil Action Number 05-CV-9921 (S.D.N.Y., filed November 23, 2005). According to the Order, the complaint in the district court action alleged that between approximately March 2003 and December 2003, Respondent Hochfeld failed to disclose in research reports he distributed to clients of his employer, First Montauk Securities Corporation, that a hedge fund he controlled and operated maintained positions in stocks that were the subjects of his research reports, and that on numerous occasions, Respondent Hochfeld directed trades in the subject stocks immediately after the issuance of his research reports, contrary to the information or recommendations in the reports. The complaint alleged that Hochfeld's conduct constituted scalping in violation of the anti-fraud provisions of the federal securities laws. Based on the above, the Order bars Hochfeld from association with any broker, dealer, or investment adviser, with the right to reapply for association after four (4) years to the appropriate self-regulatory organization, or if there is none, to the Commission. Hochfeld consented to the issuance of the Order without admitting or denying any of the findings, except for the entry of the permanent injunction against him. (Rels. 34-53160; IA-2474; File No. 3-12154) JUDGMENTS ENTERED AGAINST SPORT-HALEY, INC. AND FORMER CONTROLLER On January 17, judgments were entered against Sport-Haley, Inc., and Steve S. Auger, the company's former controller. The Commission's complaint alleged that Sport Haley materially misstated the company's financial statements during its 1998, 1999, and 2000 fiscal years by improperly accounting for inventory, period costs, and losses on sales of headwear equipment, and that The Complaint alleged that Auger reviewed and signed filings with the Commission that he knew or was reckless in not knowing contained false financial statements. Without admitting or denying the allegations of the Commission's complaint, Sport-Haley consented to the issuance of a final judgment which enjoins it from further violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act, Sections 13(b)(2) and 15(d) of the Exchange Act and Rules 12b-20, 15d-1, and 15d-13 thereunder. Without admitting or denying the allegations of the Commission's complaint,, Auger consented to the issuance of a final judgment which enjoins him from further violations of Section 17(a) of the Securities Act, Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5 and 13b2-1 thereunder, and from aiding and abetting violations of Sections 13(b)(2) and 15(d) of the Exchange Act and Rules 12b-20, 15d-1, and 15d-13 thereunder. Auger was further barred from acting as an officer or director of any public company for a period of five years. [SEC v. Sport-Haley, Inc., and Steve S. Auger, Kenneth R. LeCrone, Civil Action No. 03-EWN-1917(CBS) (D. Co.)] (LR-19532; AAE Rel. 2364) SEC v. ERIC TYRA, SCOTT WYNNE, PETER BERMAN AND SCOTT CAREY The Commission announced that the Honorable R. David Proctor, U.S. District Judge for the Northern District of Alabama, entered a Final Judgment As To Defendant Scott Carey (Carey), enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and from aiding and abetting violations of Section 13(a) of the Exchange Act and Rules 10b-5, 12b-20 and 13a-1 thereunder. Carey consented to the entry of the judgment without admitting or denying any of the allegations of the Commission's complaint. Carey was not ordered to pay a civil penalty based upon the representations in his sworn financial statements. The Commission's complaint, filed on May 21, 2004, alleged various fraudulent practices in connection with the financial statements of Just for Feet, Inc., a large shoe and sports apparel retailer formerly headquartered in Birmingham, Alabama. During the relevant period, Carey was the Strategic Account Manager for the southeastern United States for Nike, Inc., a shoe and sportswear company. The complaint alleged that in 1999, Carey signed confirmations which falsely represented that Nike owed various amounts of "co-op" credits to Just for Feet. The overstatement of income and assets resulting from this misconduct, and other misconduct in which Carey was not involved, was reflected on Just for Feet's financial statements included in its Form 10-K filed for fiscal year 1998, Forms 10-Q filed for the first and second quarters of fiscal year 1999, and in its registration statements on Forms S-8 and S-4 filed in May and June of 1999, respectively. [SEC v. Eric Tyra, Scott Wynne, Peter Berman, and Scott Carey, Civil Action No. CV-04-P-1052-S (N.D. AL.)] (LR-19533; AAE Rel. 2365) SEC SEEKS FEDERAL-COURT ENFORCEMENT OF AN ORDER AGAINST AN INVESTMENT ADVISER On January 19, the Commission filed an action against Groh Asset Management, Inc. (GAM) and Roger O. Groh seeking federal-court enforcement of the Commission's order that they pay a civil penalty and that GAM comply with certain undertakings relating to its investment advisory business. According to the complaint, the Commission previously instituted an administrative proceeding against GAM and Groh based upon their violations of the Investment Advisers Act of 1940 (Advisers Act). Without admitting or denying the findings, GAM and Groh consented to an order that they pay a $45,000 civil penalty and that GAM perform certain remedial measures, including retaining an independent consultant for five years to review its advertising and marketing materials and its books and records. On September 30, 2004, the Commission issued an order imposing such sanctions. GAM and Groh have violated the order by, among other things, failing to pay the civil penalty and by allowing the independent consultant retained by GAM to resign. The Commission's complaint, filed pursuant to Section 209(d) of the Advisers Act, asks a federal court to order GAM and Groh to comply with the Commission's order, pay the civil penalty, and comply with the mandated undertakings. [SEC v. Groh Asset Management, Inc. and Roger A. Groh, USDC, NDCA, Civil Action No. 06-00346 (MMC)] (LR-19534) COMMISSION FILES COMPLAINT AGAINST FORTRESS FINANCIAL GROUP, INC. AND ITS CEO ALLEGING FRAUD AND SECURITIES REGISTRATION VIOLATIONS The Commission announced that it filed a complaint in federal court in Riverside, California against Fortress Financial Group, Inc. (Fortress) and its CEO and president, Jeffrey A. Richie (Richie), for conducting an unregistered and fraudulent offering of Fortress securities. Fortress is in the business of providing 401(k) services to the clients of broker-dealers and investment advisers and employees of small companies. Richie, age 39, resides in Temecula, California. The Commission's complaint alleges that between March 2000 and April 2001, Fortress raised approximately $2.9 million through the sales of shares of preferred stock to approximately 85 investors in a purported private placement. Richie and Fortress made material misrepresentations and omissions to investors relating to (1) financial projections, (2) undisclosed liabilities in excess of $1 million, (3) plans to conduct an IPO, and (4) representations that Fortress would not spend any of the offering proceeds until it raised $2 million. For example, even though Fortress had no prior operational history, Fortress and Richie projected that Fortress' revenue would grow from $26 million in its first six months of operations in 2001 to over $564 million by 2004. In fact, Fortress' actual revenue was only $298,000 in 2001, $32,000 in 2002, and $104,000 in 2003. In addition, Richie and Fortress failed to provide unaccredited investors with an audited balance sheet or other information required for a valid exemption from registration, and they began spending the offering proceeds before the $2 million minimum was raised. Finally, The Commission's complaint seeks a permanent injunction, disgorgement, prejudgment interest, and civil penalties against Fortress and Richie for violating Sections 5 and 17 of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rules 10b-5 and 10b-9 thereunder. [SEC v. Fortress Financial Group, Inc. and Jeffrey A. Richie, EDCV 06-00063 VAP (SGLx)] (LR-19536) INVESTMENT COMPANY ACT RELEASES BANKERS LIFE INSURANCE COMPANY OF NEW YORK SEPARATE ACCOUNT I An order has been issued on an application filed by Bankers Life Insurance Company of New York Separate Account I pursuant to Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (Rel. IC-27214 - January 19) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASD-2006-001) and Amendment No. 1 filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. (Nasdaq), to establish generic listing standards for index-linked securities under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 23. (Rel. 34-53142) 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 ACTIONVIEW INTERNATIONAL INC, 145 TYEE DRIVE, #388, POINT ROBERTS, WA, X1, 98281, 888-889-0888 - 3,000,000 ($240,000.00) Equity, (File 333-131110 - Jan. 19) (BR. 05A) S-3 NOVASTAR MORTGAGE FUNDING CORP, 1901 W 47TH PLACE, STE 105, WESTWOOD, KS, 66205, 9135143500 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-131111 - Jan. 19) (BR. 05) S-3ASR BANKUNITED FINANCIAL CORP, 255 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134, 3055692000 - 0 ($0.00) Equity, (File 333-131112 - Jan. 19) (BR. 07A) S-3ASR HUTCHINSON TECHNOLOGY INC, 40 W HIGHLAND PARK, HUTCHINSON, MN, 55350, 3205873797 - 0 ($200,000,000.00) Debt, 0 ($0.00) Equity, (File 333-131114 - Jan. 19) (BR. 10B) S-3ASR ENDO PHARMACEUTICALS HOLDINGS INC, 100 ENDO BOULEVARD, CHADDS FORD, PA, 19317, 6105589800 - 0 ($0.00) Equity, (File 333-131115 - Jan. 19) (BR. 01A) S-8 Global Realty Development Corp, 11555 HERON BAY BOULEVARD, SUITE 200, CORAL SPRINGS, FL, 33076, 954-509-9830 - 223,048 ($245,352.80) Equity, (File 333-131121 - Jan. 19) (BR. 08A) SB-2 UGODS, INC., 9101 WEST SAHARA SUITE 105-195, LAS VEGAS, NV, 89117-5772, 702-528-2499 - 128,000 ($64,000.00) Equity, (File 333-131131 - Jan. 19) (BR. 09) S-8 ADVANCED MEDIA TRAINING INC, 17337 VENTURA BLVD., SUITE 224, ENCINO, CA, 91316, 818-784-0040 - 200,000 ($60,000.00) Equity, (File 333-131132 - Jan. 19) (BR. 05A) S-3 CITIGROUP MORTGAGE LOAN TRUST INC, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-131136 - Jan. 19) (BR. 05) S-8 ENTOURAGE MINING LTD, SUITE 614, 475 HOWE STREET, VANCOUVER, A1, V6C 2B3, 604-669-4367 - 7,200,000 ($3,312,000.00) Equity, (File 333-131138 - Jan. 19) (BR. 04B) S-3 ALANCO TECHNOLOGIES INC, 15575 N 83RD WAY, SUITE 3, SCOTTSDALE, AZ, 85260, 4806071010 - 7,883,262 ($5,124,120.00) Equity, (File 333-131140 - Jan. 19) (BR. 03B) SB-2 GENERAL STEEL HOLDINGS INC, 10TH FLOOR, NO. 3 NAN LI SHI ROAD A, HAITONG BUILDING, XICHENG DISTRICT, BEIJING, F4, XXXXX, (702) 866-2500 - 3,529,995 ($4,871,394.00) Debt Convertible into Equity, (File 333-131141 - Jan. 19) (BR. 06B) S-8 YARDVILLE NATIONAL BANCORP, 2465 KUSER RD, HAMILTON, NJ, 08690, 6096316218 - 500,000 ($17,497,500.00) Other, (File 333-131142 - Jan. 19) (BR. 07B) S-3ASR HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632, COLUMBUS, OH, 43287, 6144808300 - 0 ($0.00) Equity, 0 ($0.00) Non-Convertible Debt, (File 333-131143 - Jan. 19) (BR. 07C) S-8 SECURE COMPUTING CORP, 2675 LONG LAKE ROAD, -, ROSEVILLE, MN, 55113, 651-628-2773 - 5,000,000 ($71,150,000.00) Equity, (File 333-131144 - Jan. 19) (BR. 03B) S-8 INVESTORS FINANCIAL SERVICES CORP, 200 CLARENDON ST, PO BOX 9130, BOSTON, MA, 02116, 6173306700 - 0 ($214,807,998.00) Equity, (File 333-131145 - Jan. 19) (BR. 07C) S-3 STREICHER MOBILE FUELING INC, 800 WEST CYPRESS CREEK ROAD, SUITE 580, FT LAUDERDALE, FL, 33309, 720,000 ($1,976,400.00) Equity, (File 333-131146 - Jan. 19) (BR. 04B) SB-2 MEDICALCV INC, 9725 SOUTH ROBERT TRAIL, INVER GROVE HEIGHTS, MN, 55077, 6514523000 - 0 ($66,958,721.10) Equity, (File 333-131147 - Jan. 19) (BR. 10B) SB-2 MEDICALCV INC, 9725 SOUTH ROBERT TRAIL, INVER GROVE HEIGHTS, MN, 55077, 6514523000 - 0 ($8,630,429.10) Equity, (File 333-131148 - Jan. 19) (BR. 10B) S-8 RESOLVE STAFFING INC, 105 N FALKENBURG ROAD, SUITE B, TAMPA, FL, 33619, 813-662-0074 - 4,000,000 ($6,000,000.00) Equity, (File 333-131149 - Jan. 19) (BR. 11C) S-3ASR GENERAL MOTORS ACCEPTANCE CORP, MAIL CODE: 482-B08-B82, 200 RENAISSANCE CENTER, DETROIT, MI, 48265, 3136654353 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-131150 - Jan. 19) (BR. 07C) S-1 LMI AEROSPACE INC, 3600 MUELLER RD, ST CHARLES, MO, 63302, 6369466525 - 0 ($56,361,500.00) Equity, (File 333-131151 - Jan. 19) (BR. 05B) S-4 Hawaiian Telcom, Inc., 1177 BISHOP STREET, HONOLULU, HI, 96813, 808-546-4511 - 0 ($500,000,000.00) Equity, (File 333-131152 - Jan. 19) (BR. 11) S-8 Linn Energy, LLC, 1700 NORTH HIGHLAND ROAD, SUITE 100, PITTSBURGH, PA, 15241, (412) 854-0470 - 0 ($91,704,557.00) Limited Partnership Interests, (File 333-131153 - Jan. 19) (BR. 04) S-1 NSB HOLDINGS, INC., 4077 FORSYTH ROAD, MACON, GA, 31210, 478-757-8181 - 0 ($7,000,000.00) Equity, (File 333-131155 - Jan. 19) (BR. 07) 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 ------------------------------------------------------------------------------------------------------- 1 800 CONTACTS INC DE 2.03,9.01 01/13/06 360 GLOBAL WINE CO NV 8.01,9.01 01/19/05 360 GLOBAL WINE CO NV 1.01,3.02,9.01 01/13/06 A.C. Moore Arts & Crafts, Inc. PA 5.02 11/28/05 AAMES INVESTMENT CORP MD 1.01 01/17/06 ACCESS INTEGRATED TECHNOLOGIES INC 1.01,7.01,9.01 01/17/06 ADDVANTAGE TECHNOLOGIES GROUP INC OK 4.01,9.01 01/19/06 ADVANCED BATTERY TECHNOLOGIES, INC. DE 1.01,2.01,3.02 01/06/06 ADVANCED BATTERY TECHNOLOGIES, INC. DE 1.01,2.01,3.02 01/10/06 ADVANCED MAGNETICS INC DE 2.02,9.01 01/19/06 ADVANCED VIRAL RESEARCH CORP DE 1.02,5.02,9.01 01/18/06 AES CORP DE 2.02,9.01 01/19/06 AIRNET SYSTEMS INC OH 8.01 01/09/06 ALANCO TECHNOLOGIES INC AZ 1.01,3.02 01/18/06 ALBANY INTERNATIONAL CORP /DE/ DE 8.01,9.01 01/19/05 ALCOA INC PA 1.01,8.01 01/12/06 ALLEGHANY CORP /DE DE 1.01 01/17/06 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/19/06 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE 1.01,9.01 01/18/06 Alon USA Energy, Inc. DE 1.02,9.01 01/19/06 AMCORE FINANCIAL INC NV 2.02,9.01 01/19/06 AMERICAN INTERNATIONAL GROUP INC DE 5.02,9.01 01/18/06 AMERICAN LEISURE HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 12/27/05 AMERICAN RIVER BANKSHARES CA 2.02,9.01 01/19/06 AMERICAN WATER STAR INC NV 8.01,9.01 01/17/06 AMERICHIP INTERNATIONAL INC 1.01,3.02,9.01 01/11/06 AMERIPRISE FINANCIAL INC DE 7.01,9.01 01/13/06 ANIMAS CORP DE 8.01,9.01 01/19/06 APACHE CORP DE 8.01,9.01 01/17/06 APPLIED MICRO CIRCUITS CORP DE 8.01 01/17/06 ASSOCIATED BANC-CORP WI 2.02,9.01 01/19/06 ATLANTIC BANCGROUP INC FL 2.02 01/19/06 AVOCENT CORP DE 2.02,9.01 01/19/06 BALSAM VENTURES INC NV 1.01,3.02,7.01,9.01 01/14/06 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 01/19/06 BANKUNITED FINANCIAL CORP FL 2.02,9.01 01/18/06 AMEND Baseline Oil & Gas Corp. NV 5.02,5.03,9.01 01/17/06 BB&T CORP NC 2.02,9.01 12/31/05 BEAZER HOMES USA INC DE 2.02,9.01 01/19/06 BIMINI MORTGAGE MANAGEMENT INC MD 9.01 01/19/06 AMEND BIOANALYTICAL SYSTEMS INC IN 3.01,9.01 01/18/06 BIONUTRICS INC NV 8.01,9.01 01/19/06 BIOSPHERE MEDICAL INC DE 5.02 01/16/06 BJ SERVICES CO DE 5.02 01/18/06 BJs RESTAURANTS INC CA 8.01,9.01 01/17/06 BLACKROCK INC /NY DE 2.02,9.01 01/19/06 BOVIE MEDICAL CORP DE 8.01 01/12/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 9.01 01/05/06 AMEND BRANDYWINE REALTY TRUST MD 9.01 01/05/06 AMEND BRIGGS & STRATTON CORP WI 2.02,9.01 01/19/06 BRITESMILE INC UT 1.01,9.01 01/13/06 BTX HOLDINGS INC FL 1.01,2.01,3.02,5.02,9.01 12/30/05 AMEND BWC FINANCIAL CORP CA 2.02 12/31/05 CABOT CORP DE 1.01 01/12/06 CALAVO GROWERS INC CA 2.02,9.01 01/13/06 CALIFORNIA MICRO DEVICES CORP CA 2.02,9.01 01/19/06 CALLON PETROLEUM CO DE 7.01,9.01 01/17/06 CANO PETROLEUM, INC 1.01,1.02,9.01 01/12/06 CAP ROCK ENERGY CORP 8.01,9.01 01/17/06 CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 01/19/06 CAREER EDUCATION CORP DE 8.01,9.01 01/17/06 CARREKER CORP DE 5.02 01/19/06 CAVCO INDUSTRIES INC DE 2.02,5.02,8.01,9.01 01/19/06 CCF HOLDING CO GA 2.02,9.01 01/12/06 CENTERPOINT PROPERTIES TRUST MD 2.02,9.01 01/18/06 CENTILLIUM COMMUNICATIONS INC DE 5.02,9.01 01/18/06 CENTRAL COAST BANCORP CA 8.01 01/13/06 CENTRAL FEDERAL CORP DE 8.01,9.01 01/19/06 CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 01/18/06 CHARLOTTE RUSSE HOLDING INC 2.02,9.01 01/19/06 CHINA CONTINENTAL INC /UT/ UT 4.01,9.01 12/16/05 China Natural Gas, Inc. DE 1.01,3.02,9.01 01/17/06 CHITTENDEN CORP /VT/ VT 2.02,9.01 01/19/06 CHITTENDEN CORP /VT/ VT 7.01,9.01 01/19/06 CITY NATIONAL CORP DE 2.02,7.01,9.01 01/19/06 CIVITAS BANKGROUP INC TN 2.02,7.01,9.01 01/19/06 CLARCOR INC DE 2.02,9.01 01/18/06 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 01/17/06 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 01/17/06 CNH WHOLESALE RECEIVABLES LLC DE 8.01,9.01 01/17/06 COLLECTORS UNIVERSE INC DE 7.01,9.01 01/19/06 COLLINS INDUSTRIES INC MO 8.01,9.01 01/19/06 Columbia Equity Trust, Inc. MD 2.03 01/12/06 AMEND COMBINATORX, INC DE 8.01,9.01 01/19/06 COMERICA INC /NEW/ DE 2.02,7.01,9.01 01/19/06 COMMERCE GROUP INC /MA MA 5.02 01/19/06 COMMUNICATION INTELLIGENCE CORP DE 7.01,8.01,9.01 01/19/06 COMMUNITY CAPITAL CORP /SC/ SC 7.01,9.01 01/19/06 COMMUNITY HEALTH SYSTEMS INC DE 2.04 01/17/06 CONVERGYS CORP OH 8.01 01/16/06 Copano Energy, L.L.C. DE 2.02,8.01,9.01 01/18/06 CORE MOLDING TECHNOLOGIES INC DE 5.02,9.01 01/19/05 Cornerstone Core Properties REIT, Inc MD 4.01 01/16/06 CPI CORP DE 1.01,9.01 01/12/06 CREE INC NC 2.02,9.01 01/19/06 CRYOLIFE INC FL 8.01 01/18/06 CYBER GROUP NETWORK CORP 4.01,9.01 01/18/06 CYBERONICS INC DE 1.01,2.03,9.01 01/13/06 CYTATION CORP DE 9.01 01/18/06 DCB FINANCIAL CORP OH 2.02,9.01 01/19/06 DECKERS OUTDOOR CORP DE 7.01,9.01 01/19/06 Deep Field Technologies, Inc. NJ 1.01,9.01 01/12/06 DEL GLOBAL TECHNOLOGIES CORP NY 8.01,9.01 01/19/06 DELPHI FINANCIAL GROUP INC/DE DE 8.01 01/19/06 DIAGNOSTIC PRODUCTS CORP CA 1.01,9.01 01/16/06 DOE RUN RESOURCES CORP NY 1.01 12/15/05 DYNASIL CORP OF AMERICA NJ 1.01,5.02,9.01 01/16/06 EAGLE BANCORP INC MD 2.02,9.01 01/18/06 EAGLE BANCORP/MT 2.02 01/19/06 EAGLE FINANCIAL SERVICES INC VA 2.02,9.01 01/18/06 ECC Capital CORP 1.01,9.01 01/12/06 ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 01/19/06 ECHOSTAR COMMUNICATIONS CORP NV 2.04,9.01 01/19/06 EL PASO CORP/DE DE 7.01,9.01 01/19/06 ELECTRO SCIENTIFIC INDUSTRIES INC OR 1.01,9.01 01/16/06 EMCORE CORP NJ 1.01,2.01,3.02,9.01 01/12/06 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 01/19/06 ENDWAVE CORP DE 1.01 01/16/06 ENSCO INTERNATIONAL INC DE 8.01,9.01 01/19/06 ENTERGY CORP /DE/ DE 2.02,7.01,8.01,9.01 01/19/06 ENZO BIOCHEM INC NY 8.01,9.01 01/19/06 EVOLVE ONE INC DE 8.01 01/17/06 EXACT SCIENCES CORP DE 7.01,9.01 01/19/06 EXAR CORP DE 2.02,9.01 01/19/06 EXPRESSJET HOLDINGS INC DE 7.01 01/19/06 F5 NETWORKS INC WA 2.02,9.01 01/19/06 FACTSET RESEARCH SYSTEMS INC DE 1.01,9.01 01/19/06 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 01/19/06 Federal Home Loan Bank of Boston X1 2.03 01/17/06 Federal Home Loan Bank of New York X1 2.03,8.01,9.01 01/13/06 Federal Home Loan Bank of San Francis X1 2.03 01/19/06 FIDELITY BANCORP INC PA 2.02,8.01,9.01 01/18/06 FIDELITY D & D BANCORP INC PA 2.02,8.01,9.01 01/17/06 FIRST BUSEY CORP /NV/ NV 1.01 01/17/06 FIRST COMMUNITY CORP /SC/ SC 2.02,9.01 01/18/06 FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 01/19/06 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 01/18/06 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 01/18/06 FONIX CORP DE 8.01 01/17/06 FOOD TECHNOLOGY SERVICE INC FL 3.01 12/31/05 FOODARAMA SUPERMARKETS, INC. NJ 8.01 10/29/05 FOOTHILL INDEPENDENT BANCORP DE 8.01,9.01 01/13/06 FOREST LABORATORIES INC DE 2.02,9.01 12/31/05 FREESCALE SEMICONDUCTOR INC DE 2.02,9.01 01/19/06 FRISCHS RESTAURANTS INC OH 8.01 01/18/06 FULTON FINANCIAL CORP PA 8.01,9.01 01/19/06 FULTON FINANCIAL CORP PA 2.02,9.01 01/19/06 AMEND GCO Education Loan Funding Trust-I DE 8.01,9.01 01/13/06 GENERAL MOTORS ACCEPTANCE CORP DE 8.01 01/19/06 GENESIS MICROCHIP INC /DE DE 2.02,9.01 01/19/06 GLADSTONE COMMERCIAL CORP MD 5.03,8.01,9.01 01/18/06 GLOBAL PAYMENT TECHNOLOGIES INC DE 5.02,9.01 01/18/06 GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 01/18/06 Greenville Federal Financial CORP 1.01,9.01 01/17/06 GSI GROUP INC DE 5.02 01/19/06 GSR Mortgage Loan Trust 2005-9F DE 8.01 12/29/05 AMEND HARLEY DAVIDSON INC WI 2.02,9.01 01/19/06 HARLEYSVILLE NATIONAL CORP PA 2.02,9.01 12/31/05 HARMONIC INC DE 2.02,9.01 01/19/06 HEARTLAND EXPRESS INC NV 2.02,9.01 12/31/05 HERITAGE OAKS BANCORP CA 8.01,9.01 01/17/06 HEWLETT PACKARD CO DE 5.02 01/12/06 AMEND HOKU SCIENTIFIC INC DE 2.02,9.01 01/19/06 HOME PRODUCTS INTERNATIONAL INC DE 5.02,9.01 01/16/06 HORIZON FINANCIAL CORP WA 2.02,9.01 01/19/06 HOUSTON EXPLORATION CO DE 1.01,5.02,7.01,9.01 01/18/06 HUBBELL INC CT 2.02 01/19/06 HUDSON CITY BANCORP INC DE 2.02,9.01 01/18/06 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 01/19/06 HYPERION SOLUTIONS CORP DE 2.02,9.01 01/19/06 I2 TELECOM INTERNATIONAL INC WA 1.01,3.02,9.01 01/09/06 AMEND IBERIABANK CORP LA 2.02,7.01,9.01 01/18/06 ICON Leasing Fund Eleven, LLC DE 1.01,9.01 01/17/06 II-VI INC PA 2.02,9.01 01/18/06 IKANOS COMMUNICATIONS CA 1.01,9.01 01/12/06 IMMUNE RESPONSE CORP DE 3.02 01/12/06 INDEPENDENT BANK CORP MI 2.02,7.01,9.01 01/19/06 Industrial Enterprises of America, In NV 1.01,7.01 01/18/06 Industrial Enterprises of America, In NV 1.01,2.01,9.01 06/30/05 AMEND IndyMac INDX Mortgage Loan Trust 2005 8.01,9.01 07/11/05 IndyMac INDX Mortgage Loan Trust 2005 8.01,9.01 10/31/05 INFOSPACE INC DE 1.01,9.01 12/30/05 AMEND INLAND REAL ESTATE CORP MD 8.01,9.01 01/18/06 INTEGRA BANK CORP IN 1.01 01/18/06 INTEL CORP DE 5.03,8.01,9.01 01/18/06 INTELLI CHECK INC DE 2.02,9.01 01/17/06 INTERCHANGE FINANCIAL SERVICES CORP / NJ 7.01,9.01 01/12/06 International Development Corp 1.01,2.01,9.01 01/11/06 INTERNATIONAL GAME TECHNOLOGY NV 2.02 01/19/06 INTERSTATE LAND INVESTORS II LTD PART NC 2.01,8.01 01/12/06 IPARTY CORP DE 1.01,9.01 01/17/06 ISLE OF CAPRI CASINOS INC DE 1.01,5.02,9.01 01/18/06 ITEX CORP NV 7.01,9.01 01/19/06 IVAX DIAGNOSTICS INC DE 8.01,9.01 01/19/06 JABIL CIRCUIT INC DE 7.01 01/19/06 JL HALSEY CORP 5.02,9.01 01/19/06 JOHNSON CONTROLS INC WI 8.01 01/19/06 JOHNSON CONTROLS INC WI 1.01,2.03,9.01 01/09/06 AMEND JORGENSEN EARLE M CO /DE/ DE 1.01,5.02,8.01,9.01 01/17/06 JORGENSEN EARLE M CO /DE/ DE 1.01,9.01 01/17/06 JOY GLOBAL INC DE 1.01 01/13/06 JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01 01/17/06 KNAPE & VOGT MANUFACTURING CO MI 2.02,9.01 01/19/06 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 01/19/06 KNIGHT TRANSPORTATION INC AZ 2.02,7.01,9.01 01/18/06 KUSHNER LOCKE CO CA 8.01,9.01 01/06/06 LAKELAND BANCORP INC NJ 2.02,9.01 01/19/06 Lazy Days R.V. Center, Inc. 1.01,9.01 01/17/06 LEAP WIRELESS INTERNATIONAL INC DE 1.01,9.01 01/16/06 Lifeline Systems, Inc. MA 1.01,8.01,9.01 01/18/06 LIFELINE THERAPEUTICS, INC. CO 7.01 01/17/06 Linn Energy, LLC DE 1.01,3.02,3.03,5.02, 01/12/06 5.03,8.01,9.01 LOTUS CAPITAL CORP NV 4.01,9.01 01/09/06 AMEND LSI INDUSTRIES INC OH 2.02,9.01 01/13/06 MACERICH CO MD 9.01 01/13/06 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 01/18/06 MAINSTREET BANKSHARES INC VA 5.02,9.01 01/18/06 MANAKOA SERVICES CORP NV 5.02 11/16/05 AMEND MARSH & MCLENNAN COMPANIES, INC. DE 5.02 01/18/06 MATRIXX INITIATIVES INC DE 1.01,8.01,9.01 01/19/06 MAX RE CAPITAL LTD 8.01,9.01 01/17/06 MAXICARE HEALTH PLANS INC DE 4.01 01/18/06 MAXIMUS INC VA 8.01 01/19/06 MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 01/19/06 MEDICOR LTD DE 8.01,9.01 01/18/06 MEDIS TECHNOLOGIES LTD DE 8.01,9.01 01/12/06 MEDQUIST INC NJ 2.02,9.01 01/19/06 MELLON FINANCIAL CORP PA 2.02,9.01 01/18/06 Mercantile Bancorp, Inc. DE 8.01,9.01 01/16/06 MERCER INTERNATIONAL INC WA 8.01,9.01 01/19/06 MERCURY GENERAL CORP CA 8.01,9.01 01/18/06 MERRILL LYNCH & CO INC DE 2.02,9.01 01/19/06 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 01/18/06 Merrill Lynch Mortgage Trust 2005-MCP DE 8.01,9.01 01/12/06 MFA MORTGAGE INVESTMENTS MD 1.01,2.02,7.01,9.01 01/19/06 MHI Hospitality CORP MD 1.01,5.02 01/16/06 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 01/19/06 MICROISLET INC NV 1.01,1.02,3.01,3.02, 01/12/06 5.02,8.01,9.01 MICROVISION INC WA 5.02 01/13/06 MIDDLEFIELD BANC CORP OH 2.02,9.01 01/19/06 MIPS TECHNOLOGIES INC DE 2.02,9.01 12/31/05 MODINE MANUFACTURING CO WI 8.01,9.01 01/18/06 MODINE MANUFACTURING CO WI 2.02,9.01 12/26/05 MOHAWK INDUSTRIES INC DE 1.01,8.01,9.01 01/17/06 MOLEX INC DE 2.02,5.02,9.01 01/19/06 Morgan Stanley Capital I Trust 2005 T DE 8.01,9.01 01/12/06 MOSAIC CO 2.02,9.01 01/17/06 MOTOROLA INC DE 2.02,9.01 01/19/06 MPOWER HOLDING CORP DE 8.01 01/18/06 MRO SOFTWARE INC MA 2.02,9.01 01/19/06 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 01/10/06 NANOPIERCE TECHNOLOGIES INC NV 3.02,5.01,8.01,9.01 01/17/06 NAPSTER INC DE 2.02,9.01 01/18/06 Naugatuck Valley Financial Corp X1 8.01,9.01 01/18/06 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 01/19/06 NEKTAR THERAPEUTICS DE 1.01,5.02,9.01 01/10/06 NEOMAGIC CORP DE 1.01,9.01 01/13/06 NEOPHARM INC DE 1.01,9.01 01/17/06 NEUROCRINE BIOSCIENCES INC CA 1.01 01/12/06 NEWMONT MINING CORP /DE/ DE 2.02,7.01,9.01 01/18/06 NORPAC TECHNOLOGIES, INC. NV 1.01,7.01,9.01 01/14/06 NORTH AMERICAN SCIENTIFIC INC 1.01,2.03 01/12/06 NORTH FORK BANCORPORATION INC DE 2.02,9.01 01/19/06 NORTHERN EMPIRE BANCSHARES CA 2.02,9.01 01/19/06 NORTHWEST BANCORP INC PA 8.01,9.01 01/13/06 NORTIA CAPITAL PARTNERS, INC. NV 1.01,5.02 01/18/06 NOVASTAR FINANCIAL INC MD 8.01,9.01 01/19/06 NSB HOLDINGS, INC. 2.02,9.01 01/19/06 NYFIX INC DE 8.01,9.01 01/17/06 OCEAN SHORE HOLDING CO X1 8.01,9.01 01/10/06 OPENWAVE SYSTEMS INC DE 2.01,9.01 01/13/06 Origin Agritech LTD D6 1.01,9.01 01/17/06 ORTEC INTERNATIONAL INC DE 8.01,9.01 01/19/06 ORTHOLOGIC CORP DE 1.01,9.01 01/01/06 OSPREY GOLD CORP NV 5.02 01/19/06 OSULLIVAN INDUSTRIES HOLDINGS INC DE 1.01,9.01 01/19/06 OSULLIVAN INDUSTRIES INC DE 1.01,9.01 01/19/06 OWENS MORTGAGE INVESTMENT FUND A CALI CA 2.03 01/19/06 PACKAGING DYNAMICS CORP DE 1.01,9.01 01/18/06 PARKE BANCORP, INC. NJ 2.02,9.01 01/18/06 PC CONNECTION INC DE 2.02,9.01 01/19/06 PEERLESS MANUFACTURING CO TX 5.02,9.01 01/11/06 PEOPLES ENERGY CORP IL 8.01,9.01 01/18/06 PETMED EXPRESS INC FL 8.01 01/19/06 PETMED EXPRESS INC FL 7.01,8.01,9.01 01/17/06 PETROLEUM DEVELOPMENT CORP NV 3.01,9.01 01/19/06 PETROLEUM DEVELOPMENT CORP NV 2.02,8.01,9.01 01/18/06 PETROLEUM DEVELOPMENT CORP NV 2.02,8.01,9.01 01/18/06 PFIZER INC DE 2.02,9.01 01/19/06 PHASE III MEDICAL INC/DE DE 2.03,9.01 12/31/05 PLURISTEM LIFE SYSTEMS INC NV 1.01,3.02,9.01 01/17/06 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 01/19/06 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 01/19/06 POWER EFFICIENCY CORP DE 8.01 12/21/05 PPG INDUSTRIES INC PA 2.02,9.01 01/19/06 PRAECIS PHARMACEUTICALS INC DE 1.01 01/17/06 PRECISION CASTPARTS CORP OR 2.02 01/17/06 PREMIER ENTERTAINMENT BILOXI LLC DE 8.01 01/19/06 PREMIER EXHIBITIONS, INC. 2.02,9.01 01/19/06 PRINCIPAL FINANCIAL GROUP INC DE 7.01 01/19/06 PROCTER & GAMBLE CO OH 4.01 01/19/05 PROFILE TECHNOLOGIES INC DE 3.02 01/12/06 PURE BIOSCIENCE CA 5.02 01/12/06 PVF CAPITAL CORP OH 2.02,8.01,9.01 01/18/06 QLT INC/BC A1 2.02,9.01 01/19/06 QUICKSILVER RESOURCES INC DE 1.01,9.01 01/13/06 RADIAN GROUP INC DE 2.02,9.01 01/18/06 RAMBUS INC DE 2.02,9.01 01/19/06 Real Mex Restaurants, Inc. DE 2.02,8.01,9.01 01/18/06 Red Sky Resources Inc. NV 4.01,9.01 01/16/06 REDHOOK ALE BREWERY INC WA 1.01 01/12/06 RELIANCE STEEL & ALUMINUM CO CA 1.01,8.01,9.01 01/17/06 RENAISSANCE CAPITAL GROWTH & INCOME F TX 4.01,9.01 01/19/06 RENTECH INC /CO/ CO 1.01,9.01 01/12/06 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 01/19/06 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 01/18/06 RFMSII Series 2006-HSA1 Trust 8.01,9.01 01/18/06 RIVIERA TOOL CO MI 4.01,9.01 01/13/06 ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,7.01 01/15/06 S Y BANCORP INC KY 8.01,9.01 01/19/06 SANDY SPRING BANCORP INC MD 2.02,7.01,9.01 01/19/06 SAXON CAPITAL INC MD 7.01,9.01 01/19/06 SCBT FINANCIAL CORP SC 2.02,9.01 01/19/06 SCHLUMBERGER LTD /NV/ P8 8.01,9.01 01/18/06 SCHLUMBERGER LTD /NV/ P8 8.01,9.01 01/19/06 SEAGATE TECHNOLOGY E9 8.01,9.01 01/18/06 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 01/18/06 SENOMYX INC DE 1.01 01/12/06 SHAW GROUP INC LA 8.01 01/19/06 SHELTER PROPERTIES V LIMITED PARTNERS CA 2.01,9.01 01/12/06 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01 01/18/06 Shire plc 8.01,9.01 01/19/06 SIGMA ALDRICH CORP DE 1.01,1.02,9.01 01/16/06 SILVERADO GOLD MINES LTD A1 3.02 01/18/06 Siouxland Ethanol, LLC NE 8.01,9.01 01/19/06 SIRVA INC DE 1.01,9.01 01/13/06 SKY FINANCIAL GROUP INC OH 2.02,9.01 01/19/06 SLM CORP DE 2.02 01/19/06 SMART Modular Technologies (WWH), Inc 1.01,1.02,3.03,9.01 01/18/06 SMART ONLINE INC 3.01,9.01 01/17/06 SOFTECH INC MA 2.02,9.01 01/17/06 SoftNet Technology Corp. NV 1.02,8.01,9.01 01/17/06 SOUTH FINANCIAL GROUP INC SC 1.01,9.01 01/17/06 SPATIALIGHT INC NY 1.01,3.02,9.01 01/12/06 STRATTEC SECURITY CORP WI 2.02,9.01 01/19/06 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 01/18/06 SUNCOM WIRELESS HOLDINGS, INC. 2.02 01/19/06 Sunset Brands Inc NV 5.02 01/19/06 SUPERTEX INC CA 2.02,9.01 12/31/05 SWORD COMP SOFT CORP 1.01 08/26/05 SYNAPTICS INC CA 2.02,9.01 01/19/06 SYNERGY FINANCIAL GROUP INC /NJ/ NJ 2.02,9.01 01/18/06 TANDY BRANDS ACCESSORIES INC DE 2.02,2.06,8.01,9.01 01/19/06 TARGET LOGISTICS INC DE 5.02 01/13/06 TARGETED GENETICS CORP /WA/ WA 5.02,9.01 08/22/05 AMEND TENET HEALTHCARE CORP NV 4.02,8.01,9.01 01/17/06 TEPPCO PARTNERS LP DE 5.02 01/12/06 TESSCO TECHNOLOGIES INC DE 2.02,9.01 01/18/06 TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 01/18/06 TIDEL TECHNOLOGIES INC DE 1.01,8.01 01/12/06 TLC VISION CORP A6 8.01,9.01 01/19/06 Trafalgar Resources, Inc. UT 4.01,9.01 01/18/06 TRANSTECH INDUSTRIES INC DE 4.01,9.01 01/16/06 TRINITY INDUSTRIES INC DE 1.01 01/18/06 TRONOX INC DE 8.01,9.01 01/19/06 Trust, Asset Backed Notes DE 9.01 01/15/06 TVI CORP MD 9.01 11/08/05 AMEND UIL HOLDINGS CORP CT 1.01 01/19/06 UNIFI INC NY 2.02,9.01 01/12/06 UNION PACIFIC CORP UT 2.02,9.01 01/19/06 UNION PACIFIC RAILROAD CO/DE DE 2.02,9.01 01/19/06 UNITED FUEL & ENERGY CORP NV 5.02 01/16/06 UNITEDHEALTH GROUP INC MN 2.02 01/19/06 UNITEDHEALTH GROUP INC MN 7.01 01/19/06 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02 01/19/06 Valley Bancorp NV 2.02,9.01 01/18/06 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01,9.01 01/19/06 VASOMEDICAL INC DE 2.02,9.01 01/17/06 VERSATA INC DE 5.01,9.01 01/18/06 VIRAGE LOGIC CORP CA 8.01 11/10/05 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/18/06 WACHOVIA CORP NEW NC 2.02,9.01 01/19/06 WELLPOINT INC IN 5.02,9.01 01/19/06 WESCORP ENERGY INC 2.02,9.01 01/19/06 WEST BANCORPORATION INC IA 2.02,9.01 01/19/06 WEST PHARMACEUTICAL SERVICES INC PA 1.01 01/13/06 WESTERN GAS RESOURCES INC DE 5.02,5.03,9.01 01/13/06 Western Refining, Inc. DE 1.01,7.01,9.01 01/18/06 WGNB CORP GA 2.02,9.01 01/13/06 WHITEHALL JEWELLERS INC DE 8.01,9.01 01/18/06 Whos Your Daddy Inc NV 5.02 01/18/06 WIDEPOINT CORP DE 9.01 10/25/04 AMEND WILLBROS GROUP INC R1 1.01,2.01,8.01,9.01 01/12/06 WILLBROS GROUP INC R1 2.03,3.02 01/19/06 WILSONS THE LEATHER EXPERTS INC MN 1.01,9.01 01/13/06 WORLD AIR HOLDINGS, INC. 8.01 01/19/06 XCYTE THERAPIES INC WA 1.01,9.01 01/13/06 XILINX INC DE 2.02,9.01 01/19/06 YTB International, Inc. NY 8.01 01/19/06