SEC NEWS DIGEST Issue 2005-182 September 21, 2005 COMMISSION ANNOUNCEMENTS COMMISSION ISSUES ORDER APPROVING PROPOSED PLAN FOR THE DISTRIBUTION OF A FAIR FUND IN THE MATTER OF MORGAN STANLEY DW, INC. On September 21, the Securities and Exchange Commission announced that, pursuant to Rule 1104 of the Commission’s Rules on Fair Fund and Disgorgement Plans, it has approved the proposed plan for the distribution of monies placed into a Fair Fund, pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002 (Distribution Plan), in the matter of Morgan Stanley DW, Inc. (Morgan Stanley DW). The Distribution Plan generally provides for distribution fairly and proportionately to customers $50 million (fifty million dollars) ordered to be paid by Morgan Stanley DW, Inc. (Morgan Stanley DW) in In the Matter of Morgan Stanley DW, Inc., Securities Act of 1933 Release No. 8339 (Nov. 17, 2003). This matter arose from Morgan Stanley DW’s failure to adequately disclose certain material facts to certain customers in the offer and sale of mutual fund shares, thereby violating Section 17(a)(2) of the Securities Act of 1933 and Rule 10b-10 under the Securities Exchange Act of 1934. The Distribution Plan provides for distribution fairly and proportionately to customers who purchased through Morgan Stanley DW shares of mutual funds that were part of two select programs, the Asset Retention Program or the Partners Program, during the period between Jan. 1, 2000, and Nov. 17, 2003 (Eligible Investors). Eligible Investors shall receive a proportionate share of the funds paid by Morgan Stanley DW comprised of $25 million (twenty-five million dollars) in disgorgement plus prejudgment interest and $25 million (twenty-five million dollars) in civil penalties. On Aug. 12, 2005, the Commission published a Notice of Proposed Plan for the Distribution of a Fair Fund and Opportunity for Comment (Notice) in connection with this proceeding pursuant to Rule 1103 of the Commission’s Rules on Fair Fund and Disgorgement Plans. This Notice advised interested parties that they could obtain a copy of the Distribution Plan by submitting a written request to Arthur S. Gabinet, District Administrator, Philadelphia District Office. The Notice also advised that all persons desiring to comment on the Distribution Plan could submit their views to the Commission, in writing, no later than Sept. 12, 2005. The staff has received requests for copies of the Distribution Plan, but no comments on the Plan. (Rels. 33-8615; 34- 52482; File No. 3-11335) ENFORCEMENT PROCEEDINGS COMMISSION SETTLES CHARGES IN FOUNTAINHEAD HEDGE FUND FRAUD; BARS PRINCIPALS FROM ASSOCIATION WITH ANY INVESTMENT ADVISER On September 21, the Securities and Exchange Commission announced that it has settled its previously filed civil injunctive action against Anthony P. Postiglione, Jr., William J. Lennon, and Fountainhead Asset Mangement, LLC (FAM), the investment adviser founded by Postiglione and Lennon. Postiglione and Lennon, acting through FAM, served as investment adviser to the Fountainhead Fund, LP (Fund). Without admitting or denying the allegations in the complaint, Postiglione, Lennon, and FAM each agreed to the entry of a Final Judgment, permanently enjoining them from further 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 Sections 206(1) and 206(2) of the Investment Advisers Act. In addition, Postiglione and Lennon have agreed to waive their rights to withdraw from the Fund any assets each had personally invested, which assets were valued by the Receiver appointed by the Court at $181,653.72 and $8,719.60, respectively. These assets will remain in the Fund to be paid to Fund investors in accordance with a distribution plan approved by the Court. The Commission’s complaint, filed in July 2004 on an emergency basis, in the United States District Court for the Eastern District of Pennsylvania, alleged that Postiglione and Lennon acting through the adviser, raised more than $5 million for the Fund and that, from November 2001 through July 30, 2004, they obtained investor assets fraudulently, lulled investors into keeping assets in the Fund, and misused and misappropriated investor funds. The complaint further alleges that, from the inception of the Fund, investors were sent false quarterly statements and newsletters that consistently overstated the Fund’s value and performance, hiding the Fund’s substantial losses; that Postiglione and Lennon overstated the amount of Postiglione’s investment in the Fund and the Fund’s performance in order to lure new investments; and, finally, that Postiglione and Lennon excessively traded several Fund securities accounts for the sole purpose of generating soft dollar credits, which they used for personal living expenses. Because of the Commission’s emergency action which, among other things, froze the assets of the Fund and resulted in the appointment of a Receiver, nearly 50% of the invested capital of the Fund was preserved, for distribution to investors. The Commission also announced the issuance of Orders Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions against Postiglione and against Lennon, based on the entry of permanent injunctions. Each has consented to the sanctions imposed without admitting or denying the findings contained therein, except those findings specifically identified as admitted in the Orders. The Commission’s Order against Postiglione bars him from association with any investment adviser. In connection with its issuance of the Order against Lennon, the Commission considered Lennon’s cooperation, which included, among other things, self-reporting the on-going fraud and providing documents and information to Commission staff for use in the Commission’s emergency civil injunctive action. The Order bars Lennon from association with any investment adviser, with a right to reapply after five years. See SEC v. Anthony P. Postiglione, Jr., et al., Civil Action No. 04-CV-3604, E.D. Pa. (In the Matter of Anthony P. Postiglion – Rel. IA-2432; File No. 3-12050; In the Matter of William J. Lennon – Rel. IA-2433; File No. 3-12051) IN THE MATTER OF SPRINGER INVESTMENT MANAGEMENT, INC. AND KEITH SPRINGER On September 21, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and Issuing a Cease-and-Desist Order against Sacramento, Calif.-based hedge fund manager Springer Investment Management, Inc. (SIM) and its president Keith W. Springer. The Order finds that SIM and Springer misrepresented the performance of the hedge fund, the Apollo Fund. The Order also finds SIM failed to update disclosures of Springer’s prior disciplinary history SIM was required to make as an investment adviser. Without admitting or denying the Commission’s findings, SIM and Springer have agreed to pay a civil penalty of $50,000 to settle the Commission’s charges. According to the Commission’s Order, as the rest of the hedge fund’s publicly traded investments declined in value, SIM bolstered the fund’s overall performance by inflating the value of its stock in a struggling, privately-held Internet company that constituted the fund’s largest holding. Notwithstanding the dramatic decline in the price of publicly- traded Internet stocks during the early 2000s, SIM continued to value the Internet company’s shares at several times the price the fund had paid for them. In addition, the Order finds that SIM failed to update SIM’s Form ADV, a form investment advisers are required to file with the Commission, to disclose the status of Springer’s appeal with the Commission regarding a prior disciplinary matter. Based on the above, the Order finds that SIM and Springer willfully violated Section 206(2) of the Investment Advisers Act, and that SIM willfully violated, and Springer willfully aided and abetted SIM’s violation of, Section 204 of the Investment Advisers Act and Rule 204- 1(a)(2) thereunder. SIM and Springer have agreed to cease and desist from violating these provisions. SIM has also agreed to take certain other remedial actions, including (1) retaining an independent consultant to review SIM’s pricing of non-public equity securities and all changes to the Form ADV for one year; and (2) requiring SIM to distribute the administrative Order to SIM’s clients and potential clients for one year. (Rel. IA-2434; File No. 3-12052) COMMISSION CHARGES LEGG MASON WOOD WALKER, INCORPORATED WITH IMPROPERLY PROCESSING MUTUAL FUND ORDERS On September 21, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 against Legg Mason Wood Walker, Incorporated (Legg Mason) a registered broker- dealer headquartered in Baltimore, Md. Without admitting or denying the Commission’s findings, Legg Mason consented to the entry of the Order, which censures Legg Mason, and orders Legg Mason to cease and desist from violations of the charged provisions, comply with certain undertakings, and pay a $1,000,000 civil penalty. The Commission’s Order finds that from at least Sept. 1, 2002, through Oct. 19, 2003, Legg Mason’s flawed mutual fund order processing system enabled Legg Mason registered representatives to process more than 18,000 mutual fund orders after 4:00 p.m., ET, and receive the current day’s net asset value (NAV) without regard for the time the orders were placed. Hundreds of these orders were either received by Legg Mason after 4:00 p.m. or were the result of discretionary investment decisions made by Legg Mason registered representatives after 4:00 p.m. As a result of this conduct, Legg Mason willfully violated Rule 22c-1(a) under the Investment Company Act, which requires trades to be placed by customers before 4:00 p.m., ET, to receive that day’s NAV. The Order finds that Legg Mason had minimal written procedures governing the timing and pricing of mutual fund orders and, instead, relied almost exclusively on its mutual fund order entry system to block any orders from being processed after 4:00 p.m., regardless of their time of receipt. However, since 1997, Legg Mason’s system had been failing to block certain trades processed by Legg Mason registered representatives after 4:00 p.m. Although the violative trading was not the result of any improper agreements between Legg Mason personnel and their customers, this practice had the potential to affect shareholders in the mutual funds sold by Legg Mason. Shareholders in the mutual funds could have been harmed through dilution of their share values if Legg Mason personnel attempted to capitalize on post-market information by processing mutual fund orders after hours based on stale prices. The Order further finds that Legg Mason failed to make and keep certain required books and records and therefore willfully violated Section 17(a)(1) of the Exchange Act and certain rules thereunder. Legg Mason did not maintain records relating to the original time of order entry for mutual fund transactions for three years as required by Rule 17a-4 of the Exchange Act and failed to maintain records reflecting the time it received mutual fund orders from customers for several months after May 2, 2003, the effective date of an amendment to Rule 17a-3 of the Exchange Act. (Rels. 34-52478; IC-27071; File No. 3-12048) IN THE MATTER OF ALLEN WOLFSON, ET AL. On September 21, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 as to Allen Z. Wolfson. The Order finds that Wolfson, an undisclosed promoter of microcap securities, manipulated the stock of ATR Industries, Inc., Learner’s World, Inc., Rollerball International, Inc., Hytk Industries, Inc., and Healthwatch Inc. Through a series of front companies Wolfson controlled, Wolfson obtained free-trading ATR, Learners, Rollerball, Healthwatch, and Hytk stock at little or no cost. Wolfson then arranged for the payment of bribes to brokers to induce those brokers to cause their retail customers to purchase ATR, Learners, Rollerball, Healthwatch, and Hytk stock without disclosing the bribe payments to their retail customers. Wolfson then sold ATR, Learners, Rollerball, Healthwatch, and Hytk stock at the inflated price created by the brokers Wolfson had bribed. Based on the above, the Order finds that Wolfson willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order requires Wolfson to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder; bars Wolfson from participating in any offering of penny stock; and bars Wolfson from association with any broker or dealer. Wolfson consented to the issuance of the Order without admitting or denying the factual findings therein. On March 26, 2003, following a jury trial, Wolfson was found guilty of conspiracy to commit securities fraud, wire fraud and commercial bribery in connection with his manipulation of ATR, Learners, Rollerball, Hytk, Power Explorations, Inc., and Healthwatch stock in U.S. v. Wolfson, 00 Cr. 628. To date, Wolfson has already served 28 months in prison while awaiting sentencing. (Rels. 33-8614; 34-52480; File No. 3-10230) FOUR DEFENDANTS NAMED IN SEC ACTION INDICTED BY A FEDERAL GRAND JURY The Commission announced that on Sept. 8, 2005, a federal grand jury in San Diego indicted Randall T. Treadwell of Savannah, Ga., Ricky D. Sluder of Whitehouse, Texas, Larry C. Saturday of Savannah, Ga., and Arnulfo M. Acosta of Hildago County, Texas, for their participation in a scheme to solicit money from members of the public, ostensibly for participation in high-yield trading programs and venture capital investments. The indictment charges each defendant with wire fraud and conspiracy. According to the indictment, the defendants used companies named Learn Waterhouse, Inc., a Texas corporation, and Wealth Builders Club, Inc. and Qwest International, Inc., both Nevada corporations, to fraudulently solicit over $50 million from members of the public. The indictment alleges that the defendants induced people to invest by falsely representing and causing others to represent that investors’ money would be used for investments that would generate returns ranging from 2% to 50% per month or more. The indictment further alleges that only a small fraction of the over $50 million raised was ever placed in any investments, and those investments generated almost no returns. Instead, the defendants used money received from new investors to make payments to earlier investors. The indictment alleges that the defendants converted millions of dollars of investors’ funds to their own personal use. The indictment follows the Commission’s complaint filed in federal court in San Diego on Oct. 12, 2004, against Treadwell, Sluder, Saturday, Acosta, and Learn Waterhouse alleging that they had raised millions from 1700 investors in a nationwide Ponzi scheme. On Nov. 1, 2004, Thomas Lennon was appointed as the permanent receiver over Learn Waterhouse and given authority over all of its assets. The court also ordered the defendants to repatriate all assets from abroad and issued a preliminary injunction prohibiting all of the defendants from future violations of the antifraud and registration provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. On Feb. 23, 2005, the court issued an order finding Treadwell to be in civil contempt for violating prior orders of the court by (1) failing to provide an accounting and other financial information to the Commission; (2) failing to cooperate with the court-appointed receiver; (3) withdrawing money from a bank account that was subject to the court’s orders that froze all of the defendants’ assets; (4) offering and selling new securities under the guise of a legal defense fund; and (5) continuing to make false representations regarding Learn Waterhouse and the securities that it had sold. The court’s contempt order found that Treadwell violated the court’s preliminary injunction order of Nov. 1, 2004, as well as the temporary restraining order of Oct. 12, 2004. In addition to the relief already obtained, the Commission seeks permanent injunctions, disgorgement and civil penalties from all of the defendants. [SEC v. Learn Waterhouse Inc.; Randall T. Treadwell; Rick D. Sluder: Larry C. Saturday; and Arnulfo M. Acosta, Civil Action No. 04- CV-2037 W, LSP, S.D. Cal.] (LR-19384) COURT ENTERS FINAL JUDGMENT AGAINST FORMER SALES EXECUTIVE OF CUSTOMER OF LEGATO SYSTEMS, INC. On Sept. 16, 2005, the Honorable James Ware, United States District Judge for the Northern District of California, entered the Final Judgment Imposing Civil Penalty against Vincent Steckler, based upon his consent entered in the action. The Final Judgment, to which Steckler consented without admitting or denying the allegations in the Commission’s complaint, imposes a $35,000 civil monetary penalty. The Commission’s complaint alleged that Steckler participated in placing a $7 million order with Legato on behalf of Steckler’s employer, which was subject to a separate, undisclosed “side” agreement that gave his employer the right to cancel the order. As a result, Legato materially overstated its financial results for its third quarter ending Sept. 30, 1999. Simultaneous with the filing of Steckler’s consent to the Final Judgment, the Commission instituted a cease-and-desist order against Steckler committing or causing future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934, and Rules 10b-5, and 13b2-1, thereunder, and from causing future violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder. The Commission’s order, to which Steckler consented without admitting or denying the findings, finds that Steckler caused Legato’s and other persons’ violations of the antifraud and related provisions. [SEC v. Vincent Steckler, Civil Action No. C-03-0467-JW, N.D. Cal.] (LR-19385; AAER-2315) INVESTMENT COMPANY ACT RELEASE FIRST TRUST EXCHANGE-TRADED FUND, ET AL. An order has been issued on an application filed by First Trust Exchange- Traded Fund, et al. The order permits certain open-end management investment companies, whose series consist of the component securities of certain domestic equity securities indexes, to issue shares of limited redeemability that trade in the secondary market at negotiated prices. The order allows dealers to sell shares of the series in the secondary market unaccompanied by a prospectus when prospectus delivery is not required by the Securities act of 1933. The order also permits certain affiliated persons of the series to deposit securities into, and receive securities from, the series. (Rel. IC-27068 – September 20) HOLDING COMPANY ACT RELEASE ENTERGY CORPORATION, ET AL. A notice has been issued giving interested persons until Oct. 14, 2005, to request a hearing on a proposal by Entergy Corporation, a registered holding company, and Entergy’s subsidiaries, Entergy Louisiana, Inc. and Entergy Services, Inc. Entergy proposes to reincorporate Entergy Louisiana in the state of Texas. Applicants request authority for financings and transactions related to this reincorporation. (Rel. 35- 28032) SELF REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2005-10) under Section 19(b)(1) of the Securities Exchange Act. The proposed rule change, which was effective upon filing, will permit an NSCC Rule 2 member to submit fee data through NSCC to another ASCC Rule 2 member and have the payment settle through NSCC. Publication of the proposal is expected in the Federal Register during the week of September 19. (Rel. 34-52458) The American Stock Exchange filed a proposed rule change (SR-Ames-2005- 089) to adopt Options Licensing Fees for certain Vanguard ETF Options. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 19. (Rel. 34-52469) The American Stock Exchange filed a proposed rule change (SR-Ames-2005- 090) to adopt Options Licensing Fees for Spade Defense Index options. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 19. (Rel. 34-52470) PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2005-48) has been filed by the New York Stock Exchange to provide for a 10-day notice requirement before a party issues a subpoena to a non-party for prehearing discovery. Publication of the proposal is expected in the Federal Register during the week of September 19. (Rel. 34-52468) The Depository Trust Company filed a proposed rule change (SR-DTC-2005- 08) under Section 19(b)(2) of the Securities Exchange Act to allow it to provide a new Canadian-Link Service for DTC participants through which they could clear and settle in Cnandian dollars securities transactions in Canadian dollars processed through the Canadian Depository for Securities. Publication of the proposal is expected in the Federal Register during the week of September 19. (Rel. 34-52471) 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 PMC SIERRA INC, 3975 FREEDOM CIRCLE, MISSION TOWER ONE, SANTA CLARA, CA, 95054, 408-369-1176 - 1,785,620 ($16,106,292.40) Equity, (File 333-128427 - Sep. 20) (BR. 10C) S-4 MAF BANCORP INC, 55TH ST & HOLMES AVE, CLARENDON HILLS, IL, 60514, 6303257300 - 2,560,000 ($103,856,377.00) Equity, (File 333-128428 - Sep. 20) (BR. 07C) S-8 Builders FirstSource, Inc., 2001 BRYAN STREET, SUITE 1600, DALLAS, TX, 75201, (214) 880-3500 - 0 ($58,902,214.00) Other, (File 333-128430 - Sep. 20) (BR. 06A) S-8 ETERNAL TECHNOLOGIES GROUP INC, 200 SOUTH KNOWLES AVE, WINTER PARK, FL, 32790, 4076222040 - 3,060,000 ($1,530,000.00) Equity, (File 333-128431 - Sep. 20) (BR. 04A) S-8 HANCOCK FABRICS INC, 3406 W MAIN ST, TUPELO, MS, 38803, 6018422834 - 100,000 ($616,000.00) Equity, (File 333-128432 - Sep. 20) (BR. 02C) S-8 HANCOCK FABRICS INC, 3406 W MAIN ST, TUPELO, MS, 38803, 6018422834 - 350,000 ($2,156,000.00) Equity, (File 333-128433 - Sep. 20) (BR. 02C) S-3 MTM Technologies, Inc., 850 CANAL STREET, STAMFORD, CT, 06902, 2039753700 - 426,031 ($1,384,600.00) Equity, (File 333-128434 - Sep. 20) (BR. 03B) SB-2 VIRTRA SYSTEMS INC, 440 NORTH CENTER, ARLINGTON, TX, 76011, 8172650440 - 8,500,000 ($1,532,500.00) Equity, (File 333-128435 - Sep. 20) (BR. 05C) S-8 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER, NY, 14614, 585 232 1500 - 300,000 ($2,225,822.00) Equity, (File 333-128437 - Sep. 20) (BR. 03C) S-3 WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645, LIONVILLE, PA, 19341-0645, 6105942900 - 0 ($3,627,596.34) Equity, (File 333-128438 - Sep. 20) (BR. 06B) SB-2 American Stem Cell Corp, 11300 WEST OLYMPIC BLVD., SUITE 800, LOS ANGELES, CA, 90064, 3103126888 - 28,986,985 ($31,986,985.00) Equity, (File 333-128439 - Sep. 20) (BR. 09) S-1 Endeavor Acquisition Corp., 180 MADISON AVENUE, SUITE 2305, NEW YORK, NY, 10016, 212-818-8800 - 0 ($422,500,100.00) Equity, (File 333-128440 - Sep. 20) (BR. 09) S-8 SEMPRA ENERGY, 101 ASH STREET, P O BOX 129400, SAN DIEGO, CA, 92101, 6196962000 - 0 ($11,265,000.00) Equity, (File 333-128441 - Sep. 20) (BR. 02B) S-8 TURBOCHEF TECHNOLOGIES INC, SUITE 1900, SIX CONCOURSE PARKWAY, ATLANTA, 2Q, 30328, 678-987-1700 - 2,000,000 ($33,060,000.00) Equity, (File 333-128442 - Sep. 20) (BR. 06B) S-4 Seneca Gaming Corp, 310 FOURTH STREET, NIAGARA FALLS, NY, 14303, (716) 299-1100 - 0 ($200,000,000.00) Other, (File 333-128443 - Sep. 20) (BR. 05) S-8 REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121, 2066742700 - 0 ($99,832,313.00) Equity, (File 333-128444 - Sep. 20) (BR. 03B) S-8 ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA, 15212-5858, 4125532576 - 0 ($106,180,000.00) Equity, (File 333-128445 - Sep. 20) (BR. 06B) S-4 OSI PHARMACEUTICALS INC, 58 SOUTH SERVICE RD., SUITE 110, MELVILLE, NY, 11747, 631-962-2000 - 0 ($163,987,661.64) Equity, (File 333-128446 - Sep. 20) (BR. 01B) SB-2 FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, TX, 78613, 5122508692 - 600,000 ($2,358,000.00) Equity, (File 333-128447 - Sep. 20) (BR. 04A) S-1 COTHERIX INC, 5000 SHORELINE COURT, SUITE 101, SOUTH SAN FRANCISCO, CA, 94080, 650-808-6500 - 5,175,000 ($74,623,500.00) Equity, (File 333-128448 - Sep. 20) (BR. 01B) S-8 STAPLES INC, 500 STAPLES DRIVE, P O BOX 9328, FRAMINGHAM, MA, 01702, 5082535000 - 0 ($588,882,800.00) Equity, (File 333-128449 - Sep. 20) (BR. 02B) S-8 AXA, 25 AVE MATIGNON, PARIS FRANCE, I0, 2125544489 - 17,250,000 ($465,060,000.00) Equity, (File 333-128450 - Sep. 20) (BR. 01A) SB-2 SLM Universal, Inc., 2700 N. MILITARY TRAIL, SUITE 100, BOCA RATON, FL, 33431, 561-241-3621 - 0 ($2,614,000.00) Equity, (File 333-128452 - Sep. 20) (BR. ) S-4 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-128453 - Sep. 20) (BR. 04B) S-4 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 0 ($15,740,855.00) Equity, (File 333-128454 - Sep. 20) (BR. 04C) S-8 NANNACO INC, 7235 NORTH CREEK LOOP, ., GIG HARBOR, WA, 98335, (253) 853-3632 - 0 ($3,300,000.00) Equity, (File 333-128455 - Sep. 20) (BR. 06B) S-8 FIRST METROPLEX CAPITAL INC, 260,000 ($2,093,000.00) Equity, (File 333-128456 - Sep. 20) (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 99 CENTS ONLY STORES CA 4.01,9.01 09/14/05 A21 INC TX 4.02 09/13/05 AMEND A4S SECURITY, INC. CO 7.01,9.01 09/20/05 ACCESS WORLDWIDE COMMUNICATIONS INC DE 3.02,9.01 09/15/05 ACE SECURITIES CORP DE 8.01,9.01 09/20/05 ADAMS RESOURCES & ENERGY, INC. DE 5.02 09/20/05 ADMINISTAFF INC \DE\ DE 1.01,9.01 09/19/05 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 09/20/05 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 09/20/05 AFEM MEDICAL CORP NV 5.02,9.01 09/19/05 AGL RESOURCES INC GA 7.01,9.01 09/20/05 ALCOA INC PA 1.01 09/15/05 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,9.01 09/20/05 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/20/05 ALLIED WASTE INDUSTRIES INC DE 7.01 09/20/05 ALLSTATE CORP DE 8.01 09/20/05 ALTERNATIVE LOAN TRUST 2005-42CB 8.01,9.01 08/30/05 AMERICAN CAPITAL STRATEGIES LTD 1.01,9.01 09/14/05 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 08/20/05 AMERICAN OIL & GAS INC NV 8.01,9.01 09/20/05 AMERICAN RETIREMENT CORP TN 7.01,9.01 09/14/05 AMERICAN SOFTWARE INC GA 4.02,9.01 08/31/05 AMEND AMERICAN WATER STAR INC NV 2.04 09/15/05 AMERITRANS CAPITAL CORP DE 2.02 09/20/05 AMREIT TX 7.01,9.01 09/19/05 APPLIED SPECTRUM TECHNOLOGIES INC MN 3.01 09/16/05 ARCHER DANIELS MIDLAND CO DE 8.01,9.01 09/19/05 ARGAN INC DE 2.02,4.02 09/19/05 ASHLAND INC. KY 8.01,9.01 09/20/05 ASSOCIATED BANC-CORP WI 8.01 09/20/05 ATLANTIC TELE NETWORK INC /DE DE 8.01,9.01 09/19/05 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 09/20/05 ATMI INC DE 1.01,9.01 09/19/05 AULT INC MN 3.01,9.01 09/15/05 AUXILIUM PHARMACEUTICALS INC 1.01,9.01 09/14/05 AVANEX CORP DE 1.01,5.02 09/14/05 AXEDA SYSTEMS INC DE 8.01 09/14/05 AXONYX INC NV 8.01,9.01 09/20/05 BALCHEM CORP MD 1.01,9.01 09/20/05 BALLY TOTAL FITNESS HOLDING CORP DE 1.01,8.01,9.01 09/16/05 Banc of America Funding Corp. 2005-C DE 8.01,9.01 09/20/05 Banc of America Funding Corp. 2005-E DE 8.01,9.01 09/20/05 Banc of America Funding Corp. Mortgag DE 8.01,9.01 09/20/05 Banc of America Funding Corp. Mortgag DE 8.01,9.01 09/20/05 BANC ONE HELOC 1999-1 OH 8.01,9.01 09/20/05 BANK ONE AUTO SECURITIZATION TRUST 20 DE 8.01,9.01 09/20/05 BARNABUS ENERGY, INC. NV 1.01,5.02,9.01 08/25/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 04/28/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 05/31/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 06/28/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 07/28/05 Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 08/29/05 BELK INC 2.01,9.01 07/05/05 AMEND BENTLEY COMMERCE CORP FL 5.02,9.01 09/16/05 BERKSHIRE HATHAWAY INC DE 8.01,9.01 09/19/05 BERLINER COMMUNICATIONS INC DE 3.03,5.02,5.03,9.01 09/16/05 BIOFARM INC NV 1.01,1.02,2.03,3.02 07/31/05 BRIGHAM EXPLORATION CO DE 2.02,7.01,9.01 09/20/05 BRITESMILE INC UT 5.02 09/15/05 Bronco Drilling Company, Inc. DE 1.01,7.01,9.01 09/15/05 BUCKLE INC NE 8.01,9.01 09/20/05 Builders FirstSource, Inc. DE 1.01,5.02,7.01,9.01 09/16/05 CALPINE CORP DE 1.01,5.02,9.01 09/14/05 CANO PETROLEUM, INC 1.01,3.02,9.01 09/14/05 CAPITAL AUTO RECEIVABLES INC DE 8.01,9.01 09/15/05 CAPSTONE TURBINE CORP DE 5.03,9.01 09/16/05 CARRAMERICA REALTY CORP MD 7.01,9.01 09/20/05 CARVER BANCORP INC DE 8.01,9.01 09/15/05 CASCADE FINANCIAL CORP DE 5.02 09/20/05 CBRL GROUP INC TN 7.01,9.01 09/20/05 CERADYNE INC DE 7.01,9.01 09/20/05 Chemtura CORP DE 8.01,9.01 09/20/05 CHESAPEAKE ENERGY CORP OK 7.01,9.01 09/19/05 CHRISTOPHER & BANKS CORP DE 2.02,9.01 09/20/05 CHURCHILL DOWNS INC KY 7.01 09/20/05 CINCINNATI BELL INC OH 7.01,9.01 09/20/05 CIRCOR INTERNATIONAL INC DE 1.01,5.02,9.01 09/16/05 CIRCUIT CITY STORES INC VA 2.02,9.01 08/31/05 CITIGROUP INC DE 9.01 09/20/05 CITIGROUP INC DE 5.02,9.01 09/20/05 CKE RESTAURANTS INC DE 2.02,9.01 09/20/05 CLEARONE COMMUNICATIONS INC UT 5.02,7.01,9.01 09/15/05 CLINICAL DATA INC DE 8.01,9.01 09/20/05 CO LIQUIDATION, INC. DE 8.01 09/19/05 COBIZ INC CO 7.01,9.01 09/19/05 Coconut Palm Acquisition Corp. DE 8.01,9.01 09/14/05 AMEND COLLEGE PARTNERSHIP INC NV 3.02 09/19/05 COLOR IMAGING INC DE 1.01,2.03,9.01 09/19/05 COLOR KINETICS INC DE 8.01,9.01 09/20/05 Community Bancorp NV 5.02,9.01 09/15/05 COMMUNITY BANCORP /VT VT 8.01,9.01 09/20/05 CONNETICS CORP DE 8.01 09/16/05 CONSTAR INTERNATIONAL INC DE 5.02,9.01 09/14/05 CORNING INC /NY NY 5.02,9.01 09/20/05 COTHERIX INC 5.02,9.01 09/16/05 COTHERIX INC 7.01 09/16/05 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 09/20/05 CSFB COMMERCIAL MORT PASS THR CERT 20 DE 8.01,9.01 09/16/05 CSFB COMMERCIAL MORT PASS THR CERTS S DE 8.01,9.01 09/16/05 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 08/25/05 AMEND CWABS INC DE 8.01,9.01 09/20/05 CWALT INC 8.01,9.01 09/15/05 CWMBS INC DE 8.01,9.01 09/15/05 CYBERONICS INC DE 8.01,9.01 09/19/05 CYTYC CORP DE 5.03,9.01 09/15/05 DALRADA FINANCIAL CORP DE 5.01 09/19/05 DANIELSON HOLDING CORP DE 3.01,9.01 09/16/05 DEBT RESOLVE INC DE 3.02 09/06/05 DEL MONTE FOODS CO DE 8.01 09/20/05 DELPHAX TECHNOLOGIES INC MN 1.01,2.03,9.01 09/15/05 Dermisonics, Inc 2.03,9.01 09/13/05 DIGITAL ECOSYSTEMS CORP. 5.01,5.02,5.03,8.01,9.01 09/16/05 DIGITAL LIGHTWAVE INC DE 1.01,2.03,9.01 09/14/05 DISTRIBUTION MANAGEMENT SERVICES INC 4.01 09/16/05 DOE RUN RESOURCES CORP NY 1.01 09/14/05 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,9.01 09/15/05 EASY GARDENER PRODUCTS LTD 2.04 09/20/05 EAUTOCLAIMS, INC NV 1.01,7.01 09/14/05 ECB BANCORP INC NC 7.01,9.01 09/20/05 EL PASO CORP/DE DE 7.01,9.01 09/19/05 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 09/20/05 ENTERGY CORP /DE/ DE 2.03,7.01,8.01,9.01 09/20/05 EPICOR SOFTWARE CORP DE 5.02,9.01 09/15/05 EPIX Pharmaceuticals, Inc. 1.01,5.02 09/14/05 EQUINIX INC DE 1.01,2.01,2.03 09/15/05 EQUITY ONE INC MD 8.01,9.01 09/14/05 ESTEE LAUDER COMPANIES INC DE 9.01 09/19/05 FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 08/31/05 FASHION HOUSE HOLDINGS INC 4.01,9.01 09/01/05 Federal Home Loan Bank of New York X1 2.03,8.01 09/15/05 Federal Home Loan Bank of San Francis X1 2.03 09/20/05 FIDELITY NATIONAL FINANCIAL INC /DE/ DE 1.01,9.01 09/14/05 FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 09/20/05 FIRST MERCHANTS CORP IN 7.01,9.01 09/20/05 FIRST NORTHERN COMMUNITY BANCORP CA 5.03,9.01 09/15/05 FIRSTFED FINANCIAL CORP DE 7.01,9.01 08/31/05 FLIGHT SAFETY TECHNOLOGIES INC NV 7.01 09/15/05 FLOW INTERNATIONAL CORP WA 8.01,9.01 09/15/05 FNB CORP/NC NC 1.01,9.01 09/19/05 FRANKLIN BANK CORP 7.01,9.01 09/20/05 FULLNET COMMUNICATIONS INC OK 4.01,9.01 09/20/05 GENERAL ELECTRIC CO NY 1.01 09/16/05 GENESEE & WYOMING INC DE 8.01 09/14/05 GENESIS MICROCHIP INC /DE DE 1.01 09/19/05 GERON CORP DE 8.01,9.01 09/19/05 GLOBALNET CORP NV 1.01,9.01 09/14/05 GMACM MORTGAGE LOAN TRUST 2005-AR4 DE 8.01 09/19/05 GMACM MORTGAGE LOAN TRUST 2005-AR5 DE 8.01 09/19/05 GOLDMAN SACHS GROUP INC/ DE 2.02,5.03,8.01,9.01 09/16/05 GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 09/20/05 GRAFTECH INTERNATIONAL LTD DE 5.02 09/15/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 09/16/05 GuruNet CORP 8.01 09/20/05 HALIFAX CORP VA 1.01,9.01 09/20/05 HarborView Mortgage Loan Trust 2005-5 DE 8.01 09/19/05 HARRIS CORP /DE/ DE 8.01 09/20/05 HARTFORD LIFE INSURANCE CO CT 9.01 09/20/05 HEADWATERS INC DE 1.01,5.02,9.01 09/14/05 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,8.01,9.01 09/14/05 HERITAGE BANKSHARES INC /VA VA 7.01,9.01 09/20/05 HOLOGIC INC DE 1.01 09/14/05 HOOPER HOLMES INC NY 1.01,5.02,9.01 09/14/05 HUGOTON ROYALTY TRUST TX 2.02,9.01 09/20/05 HYPERTENSION DIAGNOSTICS INC /MN MN 8.01 09/15/05 HYPERTENSION DIAGNOSTICS INC /MN MN 2.02,9.01 09/19/05 IA GLOBAL INC DE 2.01,9.01 09/20/05 IASIS Healthcare LLC DE 7.01,9.01 09/19/05 IBASIS INC DE 5.02,9.01 09/20/05 IBERIABANK CORP LA 7.01,8.01 09/19/05 Icoria, Inc. DE 1.01,9.01 07/28/05 IDM PHARMA, INC. DE 1.01 09/16/05 IHOP CORP DE 8.01,9.01 09/20/05 IMPAC MORTGAGE HOLDINGS INC MD 1.01,9.01 09/08/05 INERGY L P DE 8.01,9.01 09/14/05 INLAND REAL ESTATE CORP MD 8.01,9.01 09/20/05 INLAND WESTERN RETAIL REAL ESTATE TRU MD 9.01 09/20/05 INPHONIC INC 4.01,9.01 09/12/05 AMEND INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 3.02 09/15/05 INTEGRITY FINANCIAL CORP NC 1.01,8.01,9.01 09/18/05 INTERNATIONAL LEASE FINANCE CORP CA 2.03,9.01 09/15/05 INTERNATIONAL THOROUGHBRED BREEDERS I DE 7.01 09/20/05 INTRAC INC NV 8.01,9.01 09/16/05 IOWA TELECOMMUNICATIONS SERVICES INC IA 8.01 09/14/05 ISTAR FINANCIAL INC MD 3.02,8.01,9.01 09/14/05 Ithaka Acquisition Corp DE 8.01,9.01 08/23/05 AMEND J C PENNEY CO INC DE 1.01 09/15/05 J P MORGAN CHASE & CO DE 1.01,9.01 09/19/05 JPMCC Commercial Mortgage Pass-Throug DE 8.01,9.01 09/15/05 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 09/15/05 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 09/15/05 KEY ENERGY SERVICES INC MD 2.04,7.01,9.01 09/19/05 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 09/15/05 KV PHARMACEUTICAL CO /DE/ DE 7.01 09/19/05 LANDRYS RESTAURANTS INC 2.02,9.01 09/19/05 LANGER INC NY 3.01,9.01 09/15/05 LARREA BIOSCIENCES CORP NV 4.01,9.01 09/19/05 LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 09/15/05 LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,9.01 09/14/05 LEAR CORP DE 2.06 09/19/05 Legacy Bancorp, Inc. DE 8.01,9.01 09/14/05 LENNOX INTERNATIONAL INC DE 8.01,9.01 09/19/05 LEXINGTON RESOURCES INC NV 3.02,9.01 09/20/05 LILLY ELI & CO IN 1.01,5.02 09/16/05 LTV CORP DE 8.01,9.01 09/20/05 MANHATTAN PHARMACEUTICALS INC DE 5.02 09/14/05 MANNATECH INC TX 8.01,9.01 09/13/05 MARKLAND TECHNOLOGIES INC FL 1.01,2.03,3.02,9.01 09/20/05 MASS MEGAWATTS WIND POWER INC MA 2.02,9.01 09/19/05 MDU RESOURCES GROUP INC DE 8.01,9.01 09/19/05 MEADOWS SPRINGS INC 1.01,2.01,3.02,5.01,5.02,9.01 09/13/05 MENTOR CORP /MN/ MN 1.01,9.01 09/20/05 MERISTAR HOSPITALITY CORP MD 2.02,9.01 09/20/05 MERISTAR HOSPITALITY OPERATING PARTNE DE 2.02,9.01 09/20/05 Merrill Lynch Mortgage Trust 2005-MCP DE 8.01,9.01 09/12/05 MESA OFFSHORE TRUST TX 7.01,9.01 09/20/05 MESA ROYALTY TRUST/TX TX 7.01,9.01 09/20/05 MESA ROYALTY TRUST/TX TX 7.01,9.01 09/20/05 AMEND MOBIUS MANAGEMENT SYSTEMS INC DE 5.02 09/20/05 MOLSON COORS BREWING CO CO 8.01 09/19/05 MONTPELIER RE HOLDINGS LTD D0 1.01,8.01,9.01 09/15/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/25/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/25/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/25/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/25/05 AMEND Morgan Stanley Capital I Trust 2005 H DE 8.01,9.01 09/14/05 Morgan Stanley Capital I Trust 2005 I DE 8.01,9.01 09/15/05 Morgan Stanley Capital I Trust 2005 T DE 8.01,9.01 09/13/05 Morgan Stanley Home Equity Loan Trust DE 8.01,9.01 08/31/05 MOVIE GALLERY INC DE 8.01,9.01 09/20/05 MS STRUCTURED SATURNS SERIES 2001-8 DE 8.01,9.01 09/15/05 MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 09/15/05 MS STRUCTURED SATURNS SERIES 2003-2 DE 8.01,9.01 09/15/05 NANOMETRICS INC CA 1.01 09/14/05 NATIONAL ATLANTIC HOLDINGS CORP NJ 8.01 09/19/05 NAVIGATORS GROUP INC DE 8.01 09/19/05 NB&T FINANCIAL GROUP INC OH 8.01 09/20/05 NBOG BANCORPORATION INC GA 5.02 09/15/05 NCI BUILDING SYSTEMS INC DE 1.01,5.02 09/15/05 NETBANK INC GA 7.01,9.01 09/20/05 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 09/15/05 NEW MEDIUM ENTERPRISES INC NV 1.01 06/25/05 NEW MEDIUM ENTERPRISES INC NV 5.02 09/12/05 NEWALLIANCE BANCSHARES INC 7.01,9.01 09/16/05 NEWMONT MINING CORP /DE/ DE 8.01 09/16/05 NISSAN AUTO RECEIVABLES 2005-C OWNER DE 8.01,9.01 09/16/05 NORTH FORK BANCORPORATION INC DE 8.01,9.01 09/20/05 NORTHLAND CRANBERRIES INC /WI/ WI 1.01,2.01,9.01 09/14/05 Novelis Inc. A6 1.01,9.01 09/20/05 NTS REALTY HOLDINGS LP DE 8.01,9.01 09/20/05 NUTRI SYSTEM INC /DE/ DE 1.01 09/16/05 NUVELO INC DE 1.01,9.01 09/15/05 NYMAGIC INC NY 1.01,5.02,7.01,9.01 09/14/05 OMNI ENERGY SERVICES CORP LA 5.02,9.01 09/16/05 OMNOVA SOLUTIONS INC OH 2.02,9.01 09/19/05 ON SEMICONDUCTOR CORP DE 5.05,9.01 09/19/05 ONE LIBERTY PROPERTIES INC MD 2.01,9.01 09/16/05 ONE LINK 4 TRAVEL INC DE 4.01,9.01 09/14/05 ONEOK INC /NEW/ OK 1.01,9.01 09/20/05 ONESOURCE TECHNOLOGIES INC DE 8.01,9.01 09/20/05 OPPENHEIMER HOLDINGS INC A6 8.01 09/19/05 OUTLOOK GROUP CORP WI 2.02 09/19/05 PACER INTERNATIONAL INC TN 1.01,9.01 09/20/05 PANERA BREAD CO DE 7.01,9.01 09/20/05 PEDIANET COM INC NY 3.03,5.02,5.03 09/20/05 AMEND PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,9.01 09/16/05 PEOPLES CHOICE HOME LOAN SECURITIES T 8.01,9.01 07/25/05 AMEND PEOPLES ENERGY CORP IL 7.01,9.01 09/19/05 PERFECTDATA CORP CA 5.02,8.01,9.01 09/14/05 PHC INC /MA/ MA 2.02 09/20/05 PHILADELPHIA CONSOLIDATED HOLDING COR PA 1.01,1.02 09/14/05 PIONEER OIL & GAS UT 8.01 09/19/05 PNM RESOURCES INC NM 7.01 08/31/05 POGO PRODUCING CO DE 8.01,9.01 09/20/05 POINT THERAPEUTICS INC DE 8.01,9.01 09/19/05 PRICESMART INC DE 2.02,9.01 09/15/05 PRIVATEBANCORP INC DE 7.01 09/20/05 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 09/20/05 PROLOGIS MD 1.01,2.01,2.03,5.02,9.01 09/15/05 PROSPECT MEDICAL HOLDINGS INC DE 3.02,9.01 09/14/05 Protective Life Secured Trust 2005-10 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-12 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-14 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-15 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-2 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-3 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-4 DE 1.03,2.01,8.01,9.01 09/15/05 Protective Life Secured Trust 2005-5 TN 1.03,2.01,8.01,9.01 09/15/05 Protective Life Secured Trust 2005-6 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-7 DE 1.03,2.01,8.01,9.01 09/12/05 Protective Life Secured Trust 2005-8 DE 1.03,2.01,8.01,9.01 09/12/05 ProUroCare Medical Inc. NV 1.01,9.01 09/14/05 PROVIDE COMMERCE INC DE 8.01,9.01 09/15/05 PROVIDENT FINANCIAL SERVICES INC DE 5.04,9.01 09/20/05 PUBLIC SERVICE CO OF NEW MEXICO NM 7.01 08/31/05 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 9.01 09/20/05 PXRE GROUP LTD 7.01 09/20/05 Quincy Energy Corp NV 9.01 09/20/05 QUOVADX INC DE 1.01 09/14/05 RADIANT SYSTEMS INC GA 1.01 08/08/05 RAMTRON INTERNATIONAL CORP DE 5.02,9.01 09/15/05 REAL ESTATE ASSOCIATES LTD VII CA 8.01,9.01 08/26/05 REALTY INCOME CORP MD 1.01 09/19/05 RED LION HOTELS INC DE 5.03,7.01,9.01 09/19/05 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 09/20/05 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 09/20/05 RESIDENTIAL FUNDING MORTGAGE SECURITI DE 8.01,9.01 09/19/05 RITE AID CORP DE 8.01 09/15/05 ROWAN COMPANIES INC DE 7.01,9.01 09/20/05 RUBIOS RESTAURANTS INC DE 1.01 09/16/05 RURAL/METRO CORP /DE/ DE 5.02,9.01 09/14/05 RUSSELL CORP AL 8.01,9.01 09/19/05 RYDER SYSTEM INC FL 2.03 09/14/05 S&T BANCORP INC PA 9.01 09/19/05 SALEM COMMUNICATIONS CORP /DE/ DE 7.01,9.01 09/20/05 SANDERSON FARMS INC MS 8.01,9.01 09/15/05 SCOTIA PACIFIC CO LLC DE 8.01 09/19/05 SEALED AIR CORP/DE DE 7.01,9.01 09/15/05 SECURED DATA INC /NV/ NV 2.01,9.01 12/20/04 SEPRACOR INC /DE/ DE 8.01 09/07/05 SEQUENOM INC DE 3.01 09/16/05 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 09/20/05 SIERRA HEALTH SERVICES INC NV 3.02 09/19/05 SIGA TECHNOLOGIES INC DE 1.01,9.01 09/14/05 SILICON GRAPHICS INC DE 8.01,9.01 09/14/05 SiVault Systems, Inc. NV 5.02,9.01 08/25/05 SMARTSERV ONLINE INC DE 5.02,9.01 09/15/05 SOLITARIO RESOURCES CORP CO 8.01,9.01 09/20/05 SOUTHWEST WATER CO DE 8.01 09/20/05 SOUTHWESTERN ENERGY CO AR 8.01,9.01 09/20/05 SPECTRUM CONTROL INC PA 8.01,9.01 09/20/05 STATE STREET CORP MA 1.01 09/14/05 Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/25/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 08/25/05 AMEND STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 09/19/05 SUN HYDRAULICS CORP FL 8.01,9.01 09/19/05 SUN MICROSYSTEMS, INC. DE 5.02 09/14/05 SUNTRUST BANKS INC GA 8.01 09/19/05 SUPERCLICK INC WA 2.01,5.02,9.01 09/15/05 SYCAMORE NETWORKS INC DE 2.02,9.01 09/20/05 SYSCO CORP DE 8.01 09/20/05 SYSCO CORP DE 8.01,9.01 09/19/05 TALLY HO VENTURES INC DE 8.01 09/06/05 AMEND TANKLESS SYSTEMS WORLDWIDE INC NV 5.02 09/19/05 TASKER CAPITAL CORP NV 8.01,9.01 09/20/05 TD BANKNORTH INC. DE 2.03 09/20/05 TEXAS NEW MEXICO POWER CO TX 7.01 08/31/05 TGC INDUSTRIES INC TX 1.01,2.03,9.01 09/02/05 THERMOENERGY CORP AK 1.01,5.02 09/14/05 TOREADOR RESOURCES CORP DE 2.02,9.01 09/20/05 TOREADOR RESOURCES CORP DE 8.01,9.01 09/20/05 TORVEC INC NY 3.02 09/20/05 TRANSACTION SYSTEMS ARCHITECTS INC DE 1.01,9.01 09/14/05 TRANSBOTICS CORP DE 5.02 09/20/05 TRESTLE HOLDINGS INC DE 8.01 09/20/05 TRI-CONTINENTAL CORP MD 7.01,9.01 09/20/05 TRIZETTO GROUP INC DE 8.01 09/19/05 TTM TECHNOLOGIES INC WA 8.01 09/14/05 UICI DE 1.01,9.01 09/15/05 UNITED FINANCIAL INC 8.01,9.01 09/19/05 UNITED FIRE & CASUALTY CO IA 8.01,9.01 09/20/05 UNITED STATES STEEL CORP DE 8.01,9.01 09/20/05 UNITED TECHNOLOGIES CORP /DE/ DE 1.01,8.01,9.01 09/20/05 UNIVISION COMMUNICATIONS INC DE 1.01 09/14/05 US AIRWAYS GROUP INC DE 8.01,9.01 09/20/05 USANA HEALTH SCIENCES INC UT 8.01,9.01 09/20/05 UTEK CORP 8.01,9.01 09/15/05 VAIL RESORTS INC DE 8.01 09/19/05 VCAMPUS CORP DE 7.01,9.01 09/20/05 VERITY INC \DE\ DE 1.01,1.02 09/14/05 VESTA INSURANCE GROUP INC DE 8.01,9.01 09/20/05 VINEYARD NATIONAL BANCORP CA 2.02,9.01 09/20/05 Volkswagen Auto Lease Trust 2004-A DE 8.01,9.01 09/20/05 Volkswagen Auto Lease Trust 2005-A 8.01,9.01 09/20/05 VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2 8.01,9.01 09/20/05 VOLKSWAGEN AUTO LOAN ENHANCED TRUST 2 DE 8.01,9.01 09/20/05 Volkswagen Credit Auto Master Owner T DE 8.01,9.01 09/20/05 VORNADO REALTY LP DE 3.02 09/15/05 VORNADO REALTY TRUST MD 8.01,9.01 09/15/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 09/16/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 09/16/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 09/16/05 Wachovia Mortgage Loan Trust, LLC DE 8.01,9.01 09/16/05 WARNACO GROUP INC /DE/ DE 1.01,9.01 09/15/05 WEBSIDESTORY INC CA 8.01 09/15/05 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/13/05 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 09/19/05 Wells Fargo Financial Auto Owner Trus DE 9.01 09/15/05 WESTCOAST HOSPITALITY CORP WA 5.03,7.01,9.01 09/19/05 WHITEHALL JEWELLERS INC DE 1.02,9.01 09/14/05 WILLIAMS COMPANIES INC DE 8.01,9.01 09/19/05 WILSHIRE BANCORP INC CA 8.01,9.01 09/15/05 WORLD FUEL SERVICES CORP FL 7.01,9.01 09/19/05 WPS RESOURCES CORP WI 1.01 09/15/05 XCEL ENERGY INC MN 2.02,9.01 09/20/05 XOMA LTD /DE/ DE 1.01,9.01 09/20/05 YDI WIRELESS INC DE 5.02 09/15/05 ZAP CA 7.01,9.01 09/20/05 ZOLL MEDICAL CORP MA 1.01,9.01 09/14/05