SEC NEWS DIGEST Issue 2005-131 July 11, 2005 RULES AND RELATED MATTERS NOTICE OF AN APPLICATION OF THE NEW YORK STOCK EXCHANGE, INC. FOR AN EXEMPTION PURSUANT TO SECTION 36 OF THE SECURITIES EXCHANGE ACT OF 1934 The Commission has approved publication of a notice of an application submitted by the New York Stock Exchange, Inc. that requests the Commission to grant an exemption pursuant to Section 36 of the Securities Exchange Act of 1934. The NYSE requested exemptive relief from Section 12(a) of the Exchange Act to permit its members, brokers and dealers to trade certain debt securities on the NYSE's Automated Bond System that were offered and sold in compliance with the registration requirements of the Securities Act of 1933, but that are not registered under Section 12(b) of the Exchange Act. The Commission also approved publication of a proposed order granting the NYSE's application for exemptive relief. One of the conditions to the proposed exemptive relief is that issuers of the debt securities must have a class of equity securities registered under Section 12(b) of the Exchange Act and listed on the NYSE. In connection with the exemption application, the Commission also published notice of a related proposed rule change filed by the NYSE pursuant to Rule 19b-4 under the Exchange Act. Comments on the notice, proposed exemptive order and the proposed NYSE rule change should be submitted within thirty days of the date of their publication in the Federal Register. For more information, please contact Sean Harrison in the Division of Corporation Finance at (202) 551-3430, or Tim Fox in the Division of Market Regulation at (202) 551- 5643. (Rel. 34-51998) ENFORCEMENT PROCEEDINGS IN THE MATTER OF JOSEPH CATAPANO An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanction by Default (Default Order) in the matter of Joseph Catapano. The Order Instituting Proceedings alleged that Respondent Joseph Catapano was permanently enjoined from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Default Order finds these allegations to be true and bars Respondent Catapano from association with any broker or dealer. (Rel. 34-52002; File No. 3-11866) IN THE MATTER OF TODD EBERHARD On July 8, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act (Advisers Act), Making Findings and Imposing Remedial Sanctions (Order) against Todd M. Eberhard (Eberhard). The Order finds that Eberhard, 41, was a general securities principal and representative of Park South Securities LLC (Park South) and its majority owner. In 1999, Eberhard advised clients through Eberhard Investment Associates, Inc. (EIA), for which he was chief executive officer. From November 1998 through December 2001, Eberhard solicited and received funds from clients on behalf of EIA. Eberhard transferred some or all of EIA’s accounts to Park South in late 2001. On September 14, 2004, Eberhard pled guilty to seven counts of investment adviser fraud and one count each of mail and wire fraud, conspiracy and obstruction of justice. United States v. Eberhard, 03-Cr.-562 (RWS) (S.D.N.Y.) During his plea allocution, Eberhard admitted that he traded excessively and inappropriately in his clients’ accounts for the purpose of generating commissions for himself, and that he made unauthorized withdrawals from, and transactions in, their accounts. Moreover, he admitted that to conceal his fraud, he falsified client account statements and doctored third-party statements to corroborate the falsified account statements. He further admitted that in connection with a civil asset freeze proceeding, he backdated a document in order to reflect a transfer of real property long before the civil action and submitted it to the Commission in an attempt to prevent the property from being subject to the asset freeze. On June 7, 2005, Eberhard was sentenced to 160 months incarceration, with a restitution amount to be determined by September 5, 2005. The District Court entered a judgment of conviction on June 21, 2005. Based on the above, the Order bars Eberhard from association with any broker, dealer, or investment adviser pursuant to Section 15(b)(6) of the Exchange Act and Section 203(f) of the Advisers Act. Eberhard consented to the issuance of the Order without admitting or denying any of the allegations in the pending civil injunctive action. (Rel. 34- 52003; IA-2403; File No. 3-11975) SEC SANCTIONS TWO INVESTMENT ADVISERS IN CONNECTION WITH THE UNREGISTERED OFFER AND SALE OF HEDGE FUNDS TO RETAIL INVESTORS July 8, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 203(e) of the Investment Advisers Act, and Sections 9(b) and 9(f) of the Investment Company Act, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Gerald Klein & Associates, Inc. (GKA) and Klein Pavlis & Peasley Financial, Inc. (KPP), two Southern California based, registered investment advisers. The Order finds that in connection with the offer and sale of interests in two hedge funds, Invest Talk Partners I, L.P. (Fund I) and Invest Talk Partners II, L.P. (Fund II), to retail investors, GKA and KPP willfully violated and willfully aided and abetted and caused violations of the registration provisions of the Securities Act and the Investment Company Act. In November 2000, GKA and KPP formed Fund I as a limited partnership and Invest Talk, Inc. (Invest Talk) to be its general partner. In December 2000, Invest Talk began offering interests in Fund I to investors. In 2002, GKA and KPP formed a second hedge fund, Fund II, and began offering interests in Fund II to investors in June 2002. GKA and KPP marketed their investment advisory services through radio programs, investment seminars, and the Internet. While the interests in Fund I and Fund II were being offered to investors, GKA and KPP principals talked about these hedge funds, including the reason for starting the Funds, the investment strategies, and minimum investment amounts, during at least one radio program. During the same offering period, the hedge funds were also discussed by GKA and KPP principals during one or more investment seminars. In addition, performance figures for the hedge funds, fund strategy, and contact information were posted for a brief period in the fall of 2002 on the advisers’ shared website, which was accessible to the general public. As a result of these marketing activities, the offerings of the hedge funds included a general solicitation. Furthermore, as of November 2002, the combined funds had 112 investors, more than 35 of whom were non-accredited investors. At no time was there a registration statement in effect in connection with the offer and sale of interests in the two hedge funds, and because the offerings included a general solicitation and were made to over 35 non-accredited investors, there was no valid exemption from registration. Accordingly, GKA and KPP willfully violated Sections 5(a) and 5(c) of the Securities Act, and willfully aided and abetted and caused the hedge funds’ violation of Section 7(a) of the Investment Company Act. Based on the above, GKA and KPP are ordered to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act, and Section 7(a) of the Investment Company Act. Additionally, GKA and KPP are each censured and each is ordered to pay a $20,000 civil money penalty. Finally, GKA and KPP must comply with certain undertakings which include engaging an Independent Consultant to conduct quarterly compliance reviews of GKA’s and KPP’s investment advisory operations for a period of three years with a report to the Commission on the results of each compliance review within 30 days of the completion of the review. GKA and KPP consented to the issuance of the Order without admitting or denying any of the findings in the order. (Rels. 33-8585; IA-2404; IC-26986; File No. 3- 11976) IN THE MATTER OF FOAMEX INTERNATIONAL, INC. On July 11, the Commission issued an Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order) against Foamex International, Inc. (Foamex) based on its violations of the reporting, record-keeping and internal financial control provisions of the federal securities laws. The Commission simultaneously accepted Foamex’s Offer of Settlement (Offer), in which it consented to the entry of the Order without admitting or denying the findings contained therein. The Order finds that, from at least 1999 through 2003, Foamex’s auditors have advised the company that it had significant internal control deficiencies, which could adversely affect its ability to record, process, summarize and report financial data. In particular, the auditors identified internal control deficiencies in Foamex’s: (i) information technology systems; (ii) inventory procedures, processes and systems; and (iii) preparation of quarterly financial reports. In addition, between 1999 and 2003, Foamex restated many of its interim financial reports because of material errors in its financial statements which resulted, in part, from its internal control issues. For example, in January 2004, Foamex had to restate its financial reports for the first three quarters of 2003 due to an overstatement of certain inventory. Foamex, under new management, has engaged in meaningful efforts to remediate these problems. However, the repeated findings of its auditors show that Foamex did not undertake such remediation on a timely basis. As a result of these findings and Foamex’s Offer, the Order requires Foamex: (i) to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rule 13a-13 thereunder; and (ii) to comply with certain undertakings designed to rectify its internal control problems. As part of these undertakings, Foamex will retain a special consultant with experience in devising appropriate internal controls and will implement any corrective measures that the special consultant recommends. (Rel. 34-52006; AAE Rel. 2274; File No. 3- 11977) COMMISSION SETTLES FRAUD CHARGES AGAINST FORMER FAMILY HERITAGE ESTATE PORTFOLIO, INC. OFFICERS On July 11, the Commission announced that it has settled its previously filed civil injunctive action against former Family Heritage Estate Portfolio, Inc. (Family Heritage) officers and owners William L. Atkinson, II and James R. Walker. Without admitting or denying the allegations in the complaint, Atkinson and Walker each consented to the entry of a Final Judgment, permanently enjoining them from further violations of the antifraud and registration provisions of the federal securities laws. In addition, Walker agreed to pay disgorgement totaling $100,000, which monies will be paid to Family Heritage investors, through the Family Heritage receivership established by the Court of the Common Pleas of Allegheny County, Pennsylvania. The Court entered Final Judgment against Atkinson on June 9, 2005, and Final Judgment was entered against Walker on July 8, 2005. The Commission’s complaint, filed in September 2004, in the United States District Court for the Western District of Pennsylvania, in Pittsburgh, alleged fraud in the offer and sale of unregistered investments in automatic teller machines (ATMs). Specifically, the complaint alleged that, from 1998 through April 2003, Atkinson and Walker defrauded investors through the offer and sale of unregistered securities, in the form of investment contracts issued by Family Heritage. Directly and through salespersons, the defendants fraudulently induced individuals to purchase securities by making numerous misrepresentations and omissions of material facts. The complaint alleges that the defendants misled investors about the risks of the investment and Family Heritage’s use of new investor funds to make monthly payments to other investors. The complaint also alleges that Walker falsely told investors that they could not lose their investment and that their money could be withdrawn at any time. In total, the defendants fraudulently raised $6.34 million from more than 320 investors. The Commission’s complaint alleged that the sale of unregistered investment contracts by Atkinson and Walker violated Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act); and that the defendants’ fraudulent omissions and misrepresentations in connection with the sales of those investment contracts violated Sections 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. [SEC v. William L. Atkinson, II and James R. Walker, Civil Action No. 04cv1477, WDPA] (LR-19296) PERMANENT INJUNCTION ASSESSED AGAINST CYNTHIA BERRYMAN The Commission announced that on May 10, 2005, the U.S. District Court for the District of Illinois entered a Final Judgment as to Defendant Cynthia K. Berryman, based on her Consent. In SEC v. Andrew J. Zahn, Philip J. Sexauer, and Cynthia K. Berryman, each of the defendants is a former officer of DFG, L.L.C. (DFG), a Chicago-based company that was a subsidiary of a subsidiary of IBP, Inc. (IBP). The Commission alleged in the complaint that Berryman, among other defendants, engaged in an array of accounting improprieties to inflate DFG's earnings. These misstatements caused IBP to materially misstate its own financial results for the fourth quarter of 1999 and the first three quarters of 2000. Specifically, the Commission alleged that Berryman and others directed that DFG not charge certain expense items in the period they were incurred, but instead improperly included these amounts in inventory, prepaid expense, and accounts receivable asset accounts to overstate DFG's earnings. The Commission alleged that Berryman was motivated by personal compensation tied to DFG's financial performance. In its complaint, the Commission claims that, through these actions, each of the defendants violated Section 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 13b2-1 thereunder, and aided and abetted IBP's violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a-1 thereunder. It further claims that Berryman violated Section 10(b) of the Exchange Act and Rules 10b-5 and 13a-13 thereunder. The Final Judgment enjoins Berryman from future violations of the federal securities laws and imposes a five year officer and director bar. Berryman was also ordered to pay disgorgement and prejudgment interest in the amount of $26,997.20 and a civil penalty of $50,000.00. [SEC v. Andrew J. Zahn, Philip J. Sexauer, and Cynthia K. Berryman, Case No. 04C4948 (N.D. Ill.)] (LR-19297; AAE Rel. 2275) PERMANENT INJUNCTION ASSESSED AGAINST LAWRENCE CLASBY The Commission announced that on May 6, 2005, the U.S. District Court for the Southern District of Texas entered a Final Judgment against Defendant Lawrence A. Clasby, based on his consent. In its complaint, the Commission alleged that Clasby, along with twelve other individuals, carried out a manipulation of two stocks, EpicEdge, Inc., and EVTC, Inc. Clasby was charged with violating the antifraud provisions of the federal securities laws, the stock ownership reporting provisions and the securities registration provisions. Clasby, without admitting or denying the allegations of the complaint, consented to an order of permanent injunction which permanently restrained and enjoined him from violating, directly or indirectly, Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act"), Rule 101 of Regulation M thereunder and Section 206(1) and 206(2) of the Investment Advisers Act of 1940. Based on the consent, the Court also ordered Clasby to pay disgorgement and prejudgment interest in the amount of $25,641.83 and a civil penalty in the amount of $75,000. [SEC v. Carl R. Rose, Lawrence A. Clasby, et al., Civil Action No. H-04-CV-2799] (LR-19298) ADDITIONS AND CORRECTIONS An article in the SEC News Digest for July 8 announced in error that the Commission had declared as final a decision concerning Eagletech Communications, Inc. In fact, the Commission had received a petition for review of that decision. The petition for review is pending. HOLDING COMPANY ACT RELEASES WESTERN MASSACHUSETTS ELECTRIC COMPANY A notice has been issued giving interested persons until Aug. 2, 2005, to request a hearing on a proposal by Western Massachusetts Electric Company, a public utility subsidiary of Northeast Utilities, a registered public utility holding company, to maintain its common equity- to-total capitalization ratio below the Commission’s threshold of 30% when Rate Reduction Bonds are included in the calculation of the ratio through Dec. 31, 2006. (Rel. 35-27997) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE-2005- 19) to require members that use Appendix E to calculate net capital to file supplemental and alternative reports. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51980) The Pacific Exchange filed a proposed rule change (SR-PCX-2005-16) and Amendment No. 1 thereto to amend its market data rebate program to allow Equity Trading Permit Holders to receive rebates on an estimated basis. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51990) The New York Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-NYSE-2005-21) relating to the temporary reallocation of securities among specialists. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51985) The National Association of Securities Dealers filed a proposed rule change and Amendments No. 1 and 2 thereto (SR-NASD-2004-025) to amend its Minor Rule Violation Plan. . Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51994) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2004-17) and Amendment No. 1 thereto to amend Article XX, Rule 37(a)(3) of its rules to eliminate its requirement that specialists guarantee execution of limit orders when certain conditions occur in another market. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51997) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Boston Stock Exchange (SR-BSE-2005- 23) to add new Account Identification Codes has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51991) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change by the Chicago Board Options Exchange (SR-CBOE-2005-24) relating to the assignment of RAES orders to logged-in market-makers participating on RAES. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51992) The Commission approved a proposed rule change (SR-Phlx-2005-02) and Amendment Nos. 1 and 2 thereto, filed by the Philadelphia Stock Exchange relating to volume weighted average price crosses. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 51996) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendments No. 1 and 2 thereto submitted by the International Securities Exchange (SR-ISE-2005-21) to amend its summary fine schedule for position limit violations. Publication of the proposal in the Federal Register is expected during the week of July 11. (Rel. 34- 52000) JOINT INDUSTRY PLANS ORDER APPROVING THE TWENTY FIRST AMENDMENT TO THE RESTATED ITS PLAN The Commission has approved, pursuant to Rule 11Aa3-2(c)(2) under the Securities Exchange Act of 1934, the proposed amendment to the Restated ITS Plan (4-208) submitted by the Intermarket Trading System Operating Committee (ITSOC) relating to the recognition of the automatic generation of outgoing ITS commitments. . Publication in the Federal Register is expected during the week of July 11. (Rel. 34- 52001) 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-1 Hercules Offshore, LLC, 2929 BRIARPARK DRIVE, SUITE 435, HOUSTON, TX, 77042, 713-952-4176 - 0 ($172,500,000.00) Equity, (File 333-126457 - Jul. 8) (BR. 04) S-3 HOLLIS EDEN PHARMACEUTICALS INC /DE/, 4435 EASTGATE MALL, SUITE 400, SAN DIEGO, CA, 92121, 858-587-9333 - 0 ($37,000,000.00) Equity, (File 333-126458 - Jul. 8) (BR. 01A) S-3 SYNTROLEUM CORP, 4322 SOUTH 49TH WEST AVENUE, TULSA, OK, 74107, 9185927900 - 86,356 ($877,376.96) Equity, (File 333-126459 - Jul. 8) (BR. 04C) S-3 CALYPTE BIOMEDICAL CORP, 5000 HOPYARD ROAD, SUITE 480, PLEASANTON, CA, 94588, 9257307200 - 8,332,803 ($1,624,897.00) Equity, (File 333-126460 - Jul. 8) (BR. 10A) F-3 AU OPTRONICS CORP, 1 LI HSIN RD 2, SCIENC BASED INUSTRIAL PARK, HSIN CHU 300 TAIWAN, F5, 00000, 852-2514-7600 - 0 ($572,550,000.00) ADRs/ADSs, (File 333-126461 - Jul. 8) (BR. 10A) S-8 FEDERAL TRUST CORP, 312 WEST 1ST STREET, SANFORD, FL, 32771, 4073231833 - 0 ($1,010,700.00) Equity, (File 333-126462 - Jul. 8) (BR. 07C) S-8 TOTAL SA, 2 PLACE DE LA COUPOLE, LA DEFENSE 92078, PARIS FRANCE, I0, 00000, 2129693300 - 0 ($71,722,463.82) Equity, (File 333-126463 - Jul. 8) (BR. 04A) S-8 MCGRAW-HILL COMPANIES INC, 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020, 2125122000 - 3,000,000 ($132,690,000.00) Equity, (File 333-126465 - Jul. 8) (BR. 05A) S-8 Mortgage Assistance Center Corp, 2614 MAIN ST., DALLAS, TX, 75226, 214-670-0005 - 400,000 ($1,200,000.00) Debt Convertible into Equity, (File 333-126466 - Jul. 8) (BR. 09B) S-1 Confluence Acquisition Partners I, Inc., 29 N. SPOEDE RD., ST. LOUIS, MO, 63141, 314-420-0780 - 0 ($155,200,100.00) Equity, (File 333-126467 - Jul. 8) (BR. 09) S-8 WINMAX TRADING GROUP INC, 5920 MACLEOD TRAIL, SUITE 800, CALGARY, A0, T2H OK2, 8776933130 - 6,500,000 ($2,600,000.00) Equity, (File 333-126468 - Jul. 8) (BR. 03A) S-4 CINCINNATI BELL INC, 201 E FOURTH ST 102 732, CINCINNATI, OH, 45201, 5133979900 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-126470 - Jul. 8) (BR. 11B) S-8 RITA MEDICAL SYSTEMS INC, 967 N SHORELINE BLVD, MOUNTAIN VIEW, CA, 94013, 6503858500 - 0 ($20,597,104.80) Equity, (File 333-126471 - Jul. 8) (BR. 10C) S-3 GSE SYSTEMS INC, 9189 RED BRANCH ROAD, COLUMBIA, MD, 21045, 4107723500 - 5,154,052 ($8,607,267.00) Equity, (File 333-126472 - Jul. 8) (BR. 03C) N-2 Energy Strategies Fund, Inc., 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536, 609-282-1212 - 50,000 ($1,000,000.00) Equity, (File 333-126473 - Jul. 8) (BR. 22) S-8 GOODYS FAMILY CLOTHING INC /TN, 400 GOODYS LN, P O BOX 22000, KNOXVILLE, TN, 37922, 8659662000 - 0 ($24,024,364.00) Equity, (File 333-126475 - Jul. 8) (BR. 02A) S-4 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-126476 - Jul. 8) (BR. 04B) S-8 ACME UNITED CORP, 1931 BLACK ROCK TURNPIKE, FAIRFIELD, CT, 06825, 2033327330 - 330,938 ($4,673,498.00) Equity, (File 333-126478 - Jul. 8) (BR. 06A) S-4 FIRSTBANK CORP, 311 WOODWORTH AVE, PO BOX 1029, ALMA, MI, 48801, 5174633131 - 612,178 ($551,581.00) Equity, (File 333-126479 - Jul. 8) (BR. 07C) N-2 GABELLI DIVIDEND & INCOME TRUST, ONE CORPORATE CENTER, RYE, NY, 10580, 40,400 ($1,000,000.00) Equity, (File 333-126480 - Jul. 8) (BR. 22) S-1 Legacy Bancorp, Inc., 99 NORTH STREET, PITTSFIELD, MA, 01202, 413-443-4421 - 0 ($118,548,900.00) Equity, (File 333-126481 - Jul. 8) (BR. ) S-3 GENESIS ENERGY LP, 500 DALLAS SUITE 2500, HOUSTON, TX, 77002, 7138602500 - 0 ($250,000,000.00) Equity, (File 333-126482 - Jul. 8) (BR. 04B) S-8 ZKID NETWORK CO, 445 WEST ERIE STREET, SUITE 106B, CHICAGO, IL, 60610, 3126540733 - 0 ($78,000.00) Equity, (File 333-126484 - Jul. 8) (BR. 09B) S-3 OIL STATES INTERNATIONAL INC, THREE ALLEN CENTER, 333 CLAY STREET SUITE 3460, HOUSTON, TX, 77002, 7136920582 - 0 ($175,000,000.00) Debt Convertible into Equity, (File 333-126485 - Jul. 8) (BR. 04C) S-4 Gregg Appliances Inc, 4151 EAST 96TH ST, INDIANAPOLIS, IN, 46240, 317-848-8710 - 165,000,000 ($165,000,000.00) Non-Convertible Debt, (File 333-126486 - Jul. 8) (BR. ) S-1 SHELLS SEAFOOD RESTAURANTS INC, 16313 N DALE MABRY HWY, STE 100, TAMPA, FL, 33618, 8139610944 - 0 ($25,346,959.00) Equity, (File 333-126487 - Jul. 8) (BR. 05C) SB-2 NEW VISUAL CORP, 5920 FRIARS ROAD, SUITE 104, SAN DIEGO, CA, 92108, 6196920333 - 159,631,782 ($22,814,840.00) Equity, (File 333-126488 - Jul. 8) (BR. 05B) S-3 NOVADEL PHARMA INC, 25 MINNEAKONING ROAD, FLEMINGTON, NJ, 08822, 908-782-3431 - 9,426,234 ($11,028,693.78) Equity, (File 333-126489 - Jul. 8) (BR. 01B) SB-2 Som Resources Inc., 175 OPTIMIST PARK DRIVE, LONDON, A6, N6K 4M2, 519 657 3174 - 3,822,000 ($191,100.00) Equity, (File 333-126490 - Jul. 8) (BR. ) S-1 GENIUS PRODUCTS INC, 740 LOMAS SANTA FE, SUITE 210, SOLANA BEACH, CA, 92075, 8587938840 - 3,441,675 ($6,685,665.75) Equity, (File 333-126491 - Jul. 8) (BR. 05C) SB-2 BIO KEY INTERNATIONAL INC, 1285 CORPORATE CENTER DR., SUITE 175, EAGAN, MN, 55121, 6516870414 - 0 ($7,500,023.00) Equity, (File 333-126492 - Jul. 8) (BR. 03B) S-1 INTERVEST BANCSHARES CORP, 1 ROCKEFELLER PLAZA, SUITE 400, NEW YORK, NY, 10020-2002, 2122182800 - 1,265,000 ($23,023,000.00) Equity, (File 333-126493 - Jul. 8) (BR. 07B) 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 1.01,2.01,5.01,9.01 07/08/05 99 CENTS ONLY STORES CA 2.02,9.01 07/07/05 ABCOR PRODUCTS INC FL 2.01,3.02,5.01,9.01 06/30/05 AMEND ABLE LABORATORIES INC DE 5.02,8.01,9.01 07/01/05 ACCUPOLL HOLDING CORP NV 5.02,9.01 07/01/05 ACME UNITED CORP CT 5.03,8.01,9.01 07/01/05 ACT TELECONFERENCING INC CO 1.01,3.02,5.01,5.02,9.01 06/30/05 Advance America, Cash Advance Centers DE 8.01,9.01 07/06/05 ADVANCED MARKETING SERVICES INC DE 3.01 07/06/05 AGU Entertainment Corp. CO 8.01,9.01 02/27/05 AMEND ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 1.01,2.02,7.01,9.01 07/06/05 AMEND ALCOA INC PA 2.02,9.01 07/07/05 ALICO INC FL 2.02 07/07/05 ALLION HEALTHCARE INC DE 8.01,9.01 07/08/05 AMEGY BANCORPORATION, INC. TX 1.01,9.01 07/05/05 AMERICAN EAGLE OUTFITTERS INC DE 7.01,8.01,9.01 07/06/05 AMERICAN SOIL TECHNOLOGIES INC NV 5.02 07/07/05 AMERICAN TECHNOLOGY CORP /DE/ DE 2.02,9.01 07/07/05 ANALYSTS INTERNATIONAL CORP 1.01,9.01 07/07/05 APPLIED SIGNAL TECHNOLOGY INC CA 1.01,2.01,2.03,9.01 07/01/05 ARGON ST, Inc. DE 5.02,9.01 07/08/05 ARGONAUT TECHNOLOGIES INC DE 3.01,8.01,9.01 07/05/05 Arlington Tankers Ltd. D0 1.01,5.02,9.01 07/01/05 ASCONI CORP NV 5.02,9.01 07/08/05 ASPEN TECHNOLOGY INC /DE/ DE 1.01,8.01,9.01 07/01/05 ASSET BACKED SECURITIES CORP DE 8.01,9.01 07/08/05 ASSURANCEAMERICA CORP NV 2.02,9.01 07/07/05 ATMEL CORP DE 1.01,5.02,9.01 07/07/05 ATWOOD OCEANICS INC TX 1.01,9.01 07/08/05 AUGUST TECHNOLOGY CORP MN 1.01,5.02,9.01 05/25/05 AVID TECHNOLOGY INC DE 1.01 07/01/05 AVIGEN INC \DE DE 1.01 07/01/05 AVP INC DE 9.01 02/28/05 AMEND AXEDA SYSTEMS INC DE 3.01,9.01 07/07/05 BAD TOYS Holdings, Inc. NV 1.01,9.01 07/01/05 Banc of America Commercial Mortgage I DE 8.01,9.01 07/08/05 Banc of America Mortgage Securities M DE 8.01,9.01 05/26/05 BAUSCH & LOMB INC NY 1.01 07/02/05 BEARINGPOINT INC DE 1.01,5.02 07/01/05 BEBE STORES INC CA 2.02,9.01 07/02/05 BECKMAN COULTER INC DE 1.01,9.01 06/30/05 BECOMING ART INC NV 1.01,9.01 06/29/05 AMEND BESTNET COMMUNICATIONS CORP NV 5.02 07/06/05 BIO-LIFE LABS INC. 1.01,3.02,9.01 07/08/05 BioMed Realty Trust Inc MD 1.01 07/01/05 BIOPHAN TECHNOLOGIES INC NV 1.01 06/30/05 AMEND BOSTON LIFE SCIENCES INC /DE DE 5.02,9.01 07/01/05 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 9.01 04/27/05 AMEND BOUNDLESS MOTOR SPORTS RACING INC CO 5.02 07/07/05 BOUNDLESS MOTOR SPORTS RACING INC CO 8.01 07/08/05 BOUNDLESS MOTOR SPORTS RACING INC CO 1.01,2.03,9.01 06/30/05 BPZ ENERGY INC CO 1.01,3.03,5.02,8.01,9.01 07/01/05 BROADVIEW MEDIA INC MN 1.01,2.01,3.02,9.01 07/01/05 BROOKFIELD HOMES CORP DE 2.02,9.01 07/06/05 BSI2000 INC DE 1.01,3.02,9.01 07/07/05 Bunge LTD 1.01,1.02,9.01 07/08/05 C & F FINANCIAL CORP VA 8.01,9.01 07/07/05 C&D PRODUCTION INC NV 5.02 06/30/05 CALLAWAY GOLF CO /CA DE 2.02,9.01 07/07/05 CAPITOL FEDERAL FINANCIAL 1.01 07/01/05 CAPSTONE TURBINE CORP DE 1.01,3.03,5.03,8.01,9.01 07/07/05 CASEYS GENERAL STORES INC IA 1.01,9.01 03/02/05 CASH AMERICA INTERNATIONAL INC TX 1.01 07/01/05 CATERPILLAR FINANCIAL SERVICES CORP DE 9.01 07/07/05 CATUITY INC DE 8.01 07/06/05 CCH II LLC 3.02 07/08/05 CCO HOLDINGS LLC 3.02 07/08/05 CEDRIC KUSHNER PROMOTIONS INC DE 1.01,2.03,3.02,9.01 06/27/05 Cellu Tissue Holdings, Inc. DE 2.02,9.01 07/08/05 CENTENE CORP 1.01,9.01 07/01/05 CENTEX CORP NV 1.01,1.02,2.03,9.01 07/01/05 CENTURION GOLD HOLDINGS INC FL 1.02,9.01 03/30/05 CENTURY CASINOS INC /CO/ DE 1.01 07/07/05 CGI HOLDING CORP NV 9.01 04/22/05 AMEND CHARTER COMMUNICATIONS HOLDINGS LLC DE 3.02 07/08/05 CHARTER COMMUNICATIONS INC /MO/ DE 3.02 07/08/05 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/07/05 CHASE BANK USA, NATIONAL ASSOCIATION 8.01,9.01 07/07/05 CHEMOKINE THERAPEUTICS CORP DE 8.01 07/07/05 CHESAPEAKE ENERGY CORP OK 8.01,9.01 07/07/05 CHINA ENERGY SAVINGS TECHNOLOGY, INC. NV 5.02,9.01 07/01/05 CIBER INC DE 2.02,9.01 07/06/05 CIMBIX CORP WA 8.01 07/08/05 CINCINNATI BELL INC OH 8.01,9.01 07/07/05 CINERGY CORP DE 1.01,9.01 07/07/05 Citi Trends Inc 2.02,9.01 07/06/05 CMS ENERGY CORP MI 8.01,9.01 07/08/05 COEUR D ALENE MINES CORP ID 1.01 07/01/05 COFFEE PACIFICA INC NV 8.01 07/07/05 COLGATE PALMOLIVE CO DE 8.01,9.01 07/08/05 COLLEGIATE PACIFIC INC DE 1.01,5.02 07/01/05 COLLEGIATE PACIFIC INC DE 1.01,2.01,9.01 07/01/05 Commercial Vehicle Group, Inc. DE 1.01,2.03,9.01 07/06/05 COMPUSONICS VIDEO CORP CO 8.01 06/30/05 Comstock Homebuilding Companies, Inc. DE 1.01,2.02,9.01 07/08/05 CONCENTRAX INC NV 4.01 04/28/05 CONSOL ENERGY INC 7.01 06/07/05 CONSOL ENERGY INC 7.01,8.01,9.01 07/07/05 CORPORATE PROPERTY ASSOCIATES 12 INC MD 5.02 07/05/05 CORPORATE PROPERTY ASSOCIATES 14 INC MD 5.02 07/05/05 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 5.02 07/05/05 COVALENT GROUP INC NV 1.01,9.01 07/01/05 Creative Solutions With Art, Inc. NV 9.01 06/24/05 AMEND CTI GROUP HOLDINGS INC DE 5.02 07/05/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 06/24/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 06/24/05 CWALT INC 8.01,9.01 03/30/05 AMEND DENNYS CORP DE 2.02,9.01 06/29/05 DIGITAL VIDEO SYSTEMS INC DE 8.01 06/29/05 DOLLAR TREE STORES INC VA 7.01 07/07/05 DOMINION HOMES INC OH 2.02,7.01,9.01 07/07/05 DUQUESNE LIGHT HOLDINGS INC PA 7.01 07/08/05 ECC Capital CORP 5.02,9.01 07/01/05 ECOM ECOM COM INC FL 8.01 07/08/05 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 5.02 07/04/05 ELINE ENTERTAINMENT GROUP INC NV 2.02,9.01 06/28/05 EMERSON RADIO CORP DE 2.01,7.01 07/01/05 EMPYREAN HOLDINGS, INC NV 9.01 04/12/05 AMEND ENCORE CAPITAL GROUP INC DE 1.01,5.02,9.01 07/08/05 ENDO PHARMACEUTICALS HOLDINGS INC DE 1.01,9.01 07/01/05 ENDOLOGIX INC /DE/ DE 1.01,3.02,9.01 07/05/05 ENXNET INC OK 5.02 07/06/05 ev3 Inc. DE 2.02,9.01 07/06/05 EVANS BOB FARMS INC DE 7.01,9.01 07/05/05 EXCHANGE BANCSHARES INC OH 7.01 07/08/05 EXIDE TECHNOLOGIES DE 8.01 07/01/05 FACTORY CARD OUTLET CORP DE 2.02,9.01 07/07/05 FAMILY HOME HEALTH SERVICES, INC. NV 1.01,2.01,3.02,9.01 07/01/05 FAVRILLE INC DE 7.01,9.01 07/08/05 FCStone Group, Inc. IA 8.01,9.01 07/07/05 FIRST GEORGIA COMMUNITY CORP GA 5.02 07/07/05 FLEETWOOD ENTERPRISES INC/DE/ DE 9.01 07/07/05 AMEND FLOWERS FOODS INC GA 1.01,9.01 07/06/05 FOOTSTAR INC DE 1.01,9.01 07/02/05 FORCE PROTECTION INC CO 1.01,2.03,9.01 07/08/05 FREQUENCY ELECTRONICS INC DE 2.02 07/07/05 GENERAL KINETICS INC VA 5.02 07/01/05 GLOBALSANTAFE CORP 7.01,9.01 07/07/05 GLOBIX CORP DE 1.01,5.02 07/01/05 GMAC Commercial Mortgage Securities, DE 2.01,9.01 07/08/05 GOLDEN EAGLE INTERNATIONAL INC CO 3.02,5.02 07/07/05 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 07/07/05 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 07/07/05 GREAT LAKES DREDGE & DOCK CORP DE 1.01,9.01 07/08/05 GREENBRIER COMPANIES INC DE 8.01 07/08/05 Greenpoint Mortgage Funding Trust 200 DE 2.01,8.01,9.01 05/11/05 GS Mortgage Securities Corp. II Serie DE 8.01,9.01 06/23/05 GSAA Home Equity Trust 2005-6 DE 8.01,9.01 06/27/05 GSR Mortgage Loan Trust 2005-5F DE 8.01,9.01 06/27/05 GSV INC DE 1.01 07/03/05 H&R BLOCK INC MO 8.01,9.01 07/08/05 HANCOCK HOLDING CO MS 8.01,9.01 07/07/05 HANCOCK JOHN LIFE INSURANCE CO MA 3.03,8.01,9.01 07/08/05 HEALTHEXTRAS INC DE 1.01,9.01 07/01/05 HEALTHEXTRAS INC DE 5.02 06/07/05 AMEND HESKA CORP DE 3.01 07/08/05 HOLLY CORP DE 8.01,9.01 07/07/05 HOLLY ENERGY PARTNERS LP DE 8.01,9.01 07/07/05 HOMETOWN AUTO RETAILERS INC DE 8.01,9.01 07/08/05 HORIZON OFFSHORE INC DE 8.01,9.01 07/07/05 House of Taylor Jewelry, Inc. NV 9.01 05/20/05 AMEND HYDRON TECHNOLOGIES INC NY 1.01,2.01,3.02,5.02,9.01 07/01/05 ICOA INC NV 1.01,9.01 07/07/05 ICT GROUP INC PA 1.01 07/05/05 IKON OFFICE SOLUTIONS INC OH 2.02,4.02,7.01,8.01,9.01 07/06/05 IKON OFFICE SOLUTIONS INC OH 7.01,9.01 04/28/05 AMEND IMPAC MORTGAGE HOLDINGS INC MD 4.01,9.01 07/05/05 IMPAX LABORATORIES INC DE 1.01,9.01 07/06/05 INPUT OUTPUT INC DE 7.01,9.01 07/07/05 INSIGHT HEALTH SERVICES HOLDINGS CORP 1.01,5.02,9.01 07/01/05 Integrated Healthcare Holdings Inc NV 5.02,9.01 07/01/05 INTERCHANGE CORP DE 1.01,5.02,9.01 07/06/05 INTERNATIONAL SPORTS & MEDIA GROUP IN NV 1.01,2.01,8.01,9.01 06/06/05 INVACARE CORP OH 1.01,3.03,5.03,9.01 07/08/05 IPEX, INC NV 5.02,9.01 07/06/05 IRIDEX CORP DE 1.01,5.02,9.01 07/05/05 IRIS INTERNATIONAL INC DE 5.02,9.01 07/01/05 Island Residences Club, Inc. 5.02,9.01 07/01/05 ISONICS CORP CA 7.01 07/07/05 JACUZZI BRANDS INC DE 2.01,9.01 07/01/05 JMAR TECHNOLOGIES INC DE 1.01 07/01/05 KEMET CORP DE 9.01 07/08/05 KINGDOM VENTURES INC NV 4.01 05/27/05 AMEND KKR Financial Corp MD 1.01 07/01/05 KOMAG INC /DE/ DE 1.01 07/04/05 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 06/28/05 LABRANCHE & CO INC DE 1.01,5.02 07/01/05 LAIDLAW INTERNATIONAL INC DE 2.02,9.01 07/08/05 LAMSON & SESSIONS CO OH 2.02,9.01 07/08/05 LANVISION SYSTEMS INC DE 1.01,9.01 07/06/05 LEE SARA CORP MD 1.01 06/30/05 LIFESTREAM TECHNOLOGIES INC NV 1.01,9.01 07/01/05 LIGHTPATH TECHNOLOGIES INC DE 2.02 07/08/05 LITTELFUSE INC /DE DE 8.01,9.01 07/05/05 LNB BANCORP INC OH 5.02 07/05/05 LOUDEYE CORP DE 3.01 07/07/05 LOYALTYPOINT INC DE 5.02 07/01/05 MANAKOA SERVICES CORP NV 8.01 07/08/05 MARKETSHARE RECOVERY INC DE 3.02,9.01 07/05/05 MATTEL INC /DE/ DE 1.01,9.01 07/08/05 MAXUS REALTY TRUST INC MO 8.01 07/01/05 MAXUS REALTY TRUST INC MO 2.01,2.03 07/01/05 MEDIABAY INC FL 1.01,9.01 07/05/05 MEDICAL PROPERTIES TRUST INC 1.01,9.01 07/08/05 MERCURY INTERACTIVE CORP DE 2.02,2.05,8.01,9.01 07/01/05 MERCURY INTERACTIVE CORP DE 8.01 07/01/05 AMEND METLIFE INC DE 1.01,1.02,2.01,3.02,8.01,9.01 07/01/05 MICROHELIX INC OR 7.01 07/06/05 MICROTEK MEDICAL HOLDINGS, INC GA 2.02,9.01 07/08/05 MILLENNIUM CELL INC DE 8.01 07/07/05 MILLIPORE CORP /MA MA 1.01,9.01 07/06/05 MINERALS TECHNOLOGIES INC DE 1.01,9.01 07/01/05 MOBILE REACH INTERNATIONAL INC DE 3.02 06/29/05 MOHAWK INDUSTRIES INC DE 1.01,9.01 07/07/05 Morgan Stanley ABS Capital I Inc. IXI DE 8.01,9.01 06/25/05 MOTHERS WORK INC DE 2.02,9.01 07/07/05 MSGI SECURITY SOLUTIONS, INC NV 1.01,2.01,9.01 07/01/05 MSX INTERNATIONAL INC DE 1.01,2.01,9.01 07/08/05 NATIONAL MEDICAL HEALTH CARD SYSTEMS NY 7.01 07/07/05 NATIONAL WESTERN LIFE INSURANCE CO CO 1.01,9.01 07/01/05 NCO GROUP INC PA 7.01,9.01 07/07/05 NEIMAN MARCUS GROUP INC DE 8.01,9.01 07/08/05 NEPHROS INC DE 8.01,9.01 07/08/05 NETCURRENTS INC/ DE 4.01,8.01 07/07/05 New Century Energy Corp. CO 1.01,2.01,2.03,3.02,9.01 06/30/05 NEW MEDIUM ENTERPRISES INC NV 1.01 06/25/05 NEXT INC/TN DE 2.02,9.01 07/07/05 NORDSTROM INC WA 7.01 07/07/05 NOVASTAR FINANCIAL INC MD 5.02,9.01 07/06/05 NovaStar Mortgage Funding Trust, Seri DE 8.01,9.01 06/27/05 NSP HOLDINGS LLC 7.01,9.01 07/07/05 NUWAY MEDICAL INC DE 2.03,3.02,9.01 06/21/05 NVE CORP /NEW/ MN 7.01 07/08/05 OCEAN WEST HOLDING CORP DE 1.01,3.02,9.01 07/01/05 OGLEBAY NORTON CO /OHIO/ OH 1.01,9.01 07/01/05 OMNI ENERGY SERVICES CORP LA 5.02 07/06/05 OMNICARE INC DE 1.01,9.01 07/01/05 OPTICAL SENSORS INC DE 1.02,8.01 07/07/05 OPTICARE HEALTH SYSTEMS INC DE 5.02 07/07/05 ORTHOLOGIC CORP DE 1.01 07/01/05 OVERLAND STORAGE INC CA 1.01 07/01/05 P F CHANGS CHINA BISTRO INC 2.02,9.01 07/07/05 PACIFIC ENERGY PARTNERS LP 1.01,2.03,7.01,9.01 07/01/05 PALOMAR ENTERPRISES INC NV 3.03,4.01,9.01 06/22/05 AMEND PARADYNE NETWORKS INC DE 8.01,9.01 07/07/05 PAYGARD INC NV 4.01,9.01 06/30/05 PBSJ CORP /FL/ FL 1.01,2.03,9.01 06/27/05 PC TEL INC DE 1.01,2.01,9.01 07/04/05 PERKINELMER INC MA 2.05,7.01,9.01 07/01/05 PHH CORP MD 5.02,9.01 07/01/05 PHOTOMEDEX INC DE 8.01,9.01 07/08/05 PINNACLE DATA SYSTEMS INC OH 8.01,9.01 07/06/05 PNM RESOURCES INC NM 2.03,5.03,8.01,9.01 07/08/05 POCKETSPEC TECHNOLOGIES INC CO 1.01,5.03,9.01 07/08/05 POLO RALPH LAUREN CORP DE 2.02,9.01 07/08/05 POPULAR ABS, INC. DE 8.01,9.01 06/06/05 POPULAR ABS, INC. DE 8.01,9.01 06/06/05 PORTA SYSTEMS CORP DE 1.01 07/01/05 PRESSTEK INC /DE/ DE 1.01,9.01 07/01/05 PRIDE INTERNATIONAL INC DE 1.01,9.01 07/01/05 PRIORITY HEALTHCARE CORP IN 1.01,9.01 07/05/05 PSYCHIATRIC SOLUTIONS INC DE 1.01,2.01,2.03,9.01 07/01/05 PUBLIC CO MANAGEMENT CORP NV 1.01,9.01 07/06/05 PUBLIC CO MANAGEMENT CORP NV 1.01,9.01 07/07/05 QLT INC/BC A1 8.01 07/07/05 QUADRAMED CORP DE 1.01,2.03,9.01 07/06/05 QUALCOMM INC/DE DE 1.01 07/01/05 RADNOR HOLDINGS CORP DE 1.01,2.03 07/01/05 RASER TECHNOLOGIES INC UT 5.03,9.01 07/01/05 REEBOK INTERNATIONAL LTD MA 1.01,2.03 07/01/05 REFOCUS GROUP INC TX 8.01,9.01 07/06/05 REGIS CORP MN 2.02,9.01 07/08/05 RELIANCE STEEL & ALUMINUM CO CA 2.01,9.01 07/01/05 REMEC INC CA 9.01 07/01/05 AMEND RENAISSANCE MEDIA GROUP LLC DE 3.02 07/08/05 RENAISSANCERE HOLDINGS LTD 1.01,9.01 07/01/05 RESIDENTIAL FUNDING MORTGAGE SECURITI DE 8.01,9.01 07/07/05 ROGERS CORP MA 2.06,7.01,9.01 07/05/05 SAFETEK INTERNATIONAL INC DE 3.02,8.01,9.01 07/05/05 SAKS INC TN 8.01,9.01 07/07/05 SAMARITAN PHARMACEUTICALS INC NV 5.02,5.03,8.01,9.01 07/08/05 SAVANNAH BANCORP INC GA 8.01 07/07/05 SCANSOURCE INC SC 2.02,9.01 07/08/05 SCHOOL SPECIALTY INC WI 8.01,9.01 07/07/05 Sears Holdings CORP DE 7.01,9.01 07/08/05 Select Notes Trust LT 2004-1 DE 8.01,9.01 07/01/05 SGD HOLDINGS LTD DE 4.01,9.01 07/08/05 SHAW GROUP INC LA 2.02,9.01 07/08/05 SHELTER PROPERTIES V LIMITED PARTNERS CA 1.01 07/01/05 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 07/07/05 SMITH & WOLLENSKY RESTAURANT GROUP IN DE 2.02,9.01 07/07/04 SONICWALL INC CA 4.01 07/01/05 SONUS PHARMACEUTICALS INC DE 8.01,9.01 07/07/05 Soundview Home Loan Trust 2005-A DE 2.01,9.01 06/23/05 SOUTHERN CO DE 8.01 07/08/05 SPATIALIGHT INC NY 1.01,9.01 07/07/05 STAGE STORES INC NV 2.02,8.01,9.01 07/08/05 STERLING BANCSHARES INC TX 1.01,7.01,9.01 07/07/05 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 07/08/05 STEWART ENTERPRISES INC LA 1.01,9.01 07/07/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 06/30/05 SUMMUS INC DE 1.01,9.01 06/29/05 SUNOCO INC PA 5.03,8.01,9.01 07/07/05 SUNRISE SENIOR LIVING INC DE 2.03 07/01/05 SUPERIOR GALLERIES INC DE 1.01,5.02,9.01 07/07/05 SWISS MEDICA INC DE 5.02,9.01 06/29/05 SWS GROUP INC DE 5.02 07/08/05 SYMANTEC CORP DE 1.01,2.01,2.03,5.02,9.01 07/02/05 Tejas Inc DE 1.01,2.02,3.02,5.02,9.01 07/01/05 TEXAS INDUSTRIES INC DE 1.01,2.02,2.03,9.01 06/29/05 TEXAS NEW MEXICO POWER CO TX 2.03,5.03,8.01,9.01 07/08/05 TIMBERLAND CO DE 2.05,9.01 07/05/05 TIPPERARY CORP TX 1.01 07/04/05 TNP ENTERPRISES INC TX 2.03,5.03,8.01,9.01 07/08/05 TOUCHSTONE APPLIED SCIENCE ASSOCIATES DE 1.01 07/01/05 TOWER PROPERTIES CO MO 2.01,2.03,9.01 07/01/05 TRANS INDUSTRIES INC DE 3.01 07/05/05 TRAVELERS INSURANCE CO DE 5.01,8.01 07/01/05 TRAVELERS LIFE & ANNUITY CO CT 5.01,8.01 07/01/05 TRIARC COMPANIES INC DE 7.01,9.01 07/08/05 Trinsic, Inc. DE 5.02 07/01/05 TUCOWS INC /PA/ PA 1.01,9.01 07/06/05 TWEETER HOME ENTERTAINMENT GROUP INC DE 2.02,5.02,9.01 07/06/05 UFP TECHNOLOGIES INC DE 4.01,9.01 07/05/05 UNITED FUEL & ENERGY CORP NV 2.01 06/30/05 URBAN TELEVISION NETWORK CORP NV 3.02 07/08/05 USI HOLDINGS CORP DE 1.01,9.01 07/07/05 UTG INC 8.01 07/01/05 AMEND VALERO L P DE 1.01,5.02,8.01 07/08/05 VALERO L P DE 1.01,1.02,2.03 07/01/05 VERSO TECHNOLOGIES INC MN 1.01,9.01 07/01/05 VESTA INSURANCE GROUP INC DE 1.01 07/07/05 VioQuest Pharmaceuticals, Inc. MN 1.01,9.01 07/01/05 VISION GLOBAL SOLUTIONS INC A6 4.01,9.01 06/21/05 AMEND VISTACARE, INC. DE 5.02,8.01 07/08/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 07/07/05 WASHTENAW GROUP INC 2.03 06/30/05 WASTE SERVICES, INC. A6 8.01,9.01 04/30/04 AMEND WEATHERFORD INTERNATIONAL LTD D0 5.02 07/06/05 WEIGHT WATCHERS INTERNATIONAL INC VA 2.01,8.01,9.01 07/08/05 WELLS REAL ESTATE INVESTMENT TRUST IN DE 8.01 07/08/05 WEST PHARMACEUTICAL SERVICES INC PA 1.01,9.01 07/05/05 WHITTIER ENERGY CORP NV 5.02,5.03,9.01 06/15/05 AMEND WII Components, Inc. DE 5.02,9.01 07/06/05 WILLIAMS COMPANIES INC DE 5.02,9.01 07/06/05 WORDLOGIC CORP NV 3.02 07/04/05 XETA TECHNOLOGIES INC OK 5.02 07/06/05 XL CAPITAL LTD 8.01,9.01 07/07/05 XSTREAM BEVERAGE NETWORK, INC. NV 9.01 06/30/05 AMEND XYBERNAUT CORP DE 2.01 07/01/05 YOUNG BROADCASTING INC /DE/ DE 1.01,8.01,9.01 07/01/05 ZHONE TECHNOLOGIES INC DE 1.01,2.02,9.01 07/07/05 ZIONS BANCORPORATION /UT/ UT 1.01,9.01 07/06/05 AMEND