SEC NEWS DIGEST Issue 2005-232 December 5, 2005 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Human Resources, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. In the event Ms Franks cannot be reached, you may call the interpreter directly at (202) 551- 4158. If you are calling from a non-TTY number, please call the Relay Service at 1-866-377-8642. OPEN MEETING – WEDNESDAY, DECEMBR 14, 2005 – 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, Dec. 14, will be: 1. The Commission will consider whether to propose a new rule that would enable a foreign private issuer meeting specified conditions to terminate its Exchange Act registration and reporting obligations under Section 12(g) regarding a class of equity securities as well as terminate permanently its Section 15(d) reporting obligations regarding a class of equity or debt securities. The Commission will also consider whether to propose a rule amendment that would apply the exemption from Exchange Act registration under Rule 12g3-2(b) to a class of equity securities immediately upon the effective date of the issuer's termination of effectiveness regarding that class of securities. For further information, please contact Elliot Staffin, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance at (202) 551- 3450. 2. The Commission will consider whether to adopt amendments to the “accelerated filer” definition in Rule 12b-2 of the Securities Exchange Act of 1934 to ease some of the current restrictions on the exit of companies from accelerated filer status. The Commission will also consider adopting amendments that would amend the final phase-in of the Form 10-K and Form 10-Q accelerated filing deadlines that is scheduled to take effect next year. Accelerated filers currently are scheduled to become subject to a 60-day filing deadline for their Form 10-K annual reports filed for fiscal years ending on or after Dec. 15, 2005, and a 35-day deadline for the three subsequently filed quarterly reports on Form 10-Q. For further information, please contact Katherine Hsu, Special Counsel, Office of Rulemaking, Division of Corporation Finance, at (202) 551-3430. 3. The Commission will consider whether to propose amendments to the best-price rule for issuer and third- party tender offers under the Securities Exchange Act of 1934. The proposed amendments would clarify that the best-price rule applies only with respect to the consideration offered and paid for securities tendered in a tender offer and should not apply to consideration offered and paid according to employment compensation, severance or other employee benefit arrangements entered into with employees or directors of the company that is the target of a third-party tender offer. For further information, please contact Mara L. Ransom, Special Counsel, Office of Mergers & Acquisitions, Division of Corporation Finance at (202) 551-3440. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. SEC NAMES BILL GRADISON ACTING CHAIRPERSON; APPROVES PCAOB APPOINTMENT PROCEDURES On December 2, the Commission announced it had appointed Bill Gradison acting Chairperson for the Public Company Accounting Oversight Board and adopted procedures for the selection of permanent Chairpersons and Board members. The PCAOB, which is subject to oversight by the Commission, was created by the Sarbanes-Oxley Act of 2002 and is responsible for supervising accounting firms that audit of public companies. “As a founding member of the PCAOB, Bill Gradison has demonstrated the leadership ability and experience necessary to oversee the continued progress of this important organization,” SEC Chairman Christopher Cox said. “During this interim period, I look forward to working with him, his colleagues, and the PCAOB staff for the protection of investors.” “The selection of the next Chairman of the PCAOB will be substantially aided by the Commission’s procedural action announced today. These new procedures are intended to make the selection process transparent, to encourage the thorough consideration of all qualified candidates, to ensure a thorough vetting of candidates, and to establish timetables for the expeditious appointment of individuals of the highest caliber for this critical body,” Chairman Cox said. “I deeply appreciate the thoughtful contributions that my fellow Commissioners and the professional staff of the SEC have made to this enduring framework that will benefit investors for years to come.” Gradison, a founding member of the board, has served as the Chairman of the Board of Directors of the Federal Home Loan Bank of Cincinnati, an investment broker, and a corporate director. He has a doctorate from Harvard University, an MBA from Harvard Business School, and an undergraduate degree from Yale University. In the 1950s, he was an Assistant to the Secretary of Health, Education and Welfare and an assistant to the Under Secretary of the Treasury. He was a member of the audit committee for Project HOPE. Gradison is the former president of the Health Insurance Association of America and was the Senior Public Policy Counselor at the law firm of Patton Boggs from 1999 until 2002. He was a member of Cincinnati City Council for 13 years, from 1961 to 1974, serving as vice mayor from 1967 to 1971 and mayor in 1971. In Congress, Gradison served as ranking member of the House Budget Committee. The selection procedures approved today build upon the previous practice of the Commission, and include a timetable for the recommendation of candidates, background checks, Commission interviews, and final selection. The new procedures will apply whenever vacancies occur. Under the newly adopted procedures, the Chairman will lead a search to identify qualified candidates and will solicit nominations and input from each of the SEC’s current Commissioners, who may each submit up to three nominations. The Chairman will also consult with the Secretary of the Treasury and the Chairman of the Federal Reserve, as required by the Sarbanes-Oxley Act, and solicit recommendations from other executive branch, congressional, investor, academic, and business community sources, and such others as the Chairman deems appropriate. A list of potential candidates willing to serve will be circulated to all Commissioners, who will have five business days to confidentially notify the Chairman if he or she is unwilling to support one or more persons on the list for appointment to the PCAOB. A candidate shall be eliminated from further consideration if three or more members of the Commission indicate that they would not support the candidate’s appointment. The Chairman will place the remaining names on a list that will be circulated to all Commissioners, who will, within one business day, nominate one of the remaining candidates to be a finalist in the selection process. Each of the finalists shall be asked to complete a background questionnaire and release and shall be asked to participate in a background interview. Based on evaluation of these contacts and materials, the Chairman shall select no fewer than two and no more than three of the finalists for detailed evaluation in the selection process and select a contractor to perform background checks of the remaining finalists. Within 30 calendar days, the contractor retained by the Commission shall complete background checks on the remaining finalists. In the case of an individual who is either an incumbent member of the PCAOB or a presidential appointee, the Commissioners may by unanimous agreement waive this requirement. No later than 10 calendar days after completion of the preceding step, an additional vetting process will be completed by the Commission under the direction of the Chairman, drawing upon the resources of the Office of the General Counsel and the staff of relevant Divisions and Offices of the Commission, as needed. This detailed evaluation will include an examination by the Office of the General Counsel of relevant public and Commission databases concerning each of the remaining finalists. Upon completion of the preceding step, all documentation from the Commission’s contractor regarding its background checks, and all relevant documentation otherwise created or assembled for the Commission by the finalist or the Commission’s staff, will be made available to all Commissioners. At the completion of the interview and evaluation process, the Chairman will, as promptly as practicable, consult finally with the Secretary of the Treasury and the Chairman of the Federal Reserve, and upon completion of the consultative process, the Chairman shall, after a reasonable opportunity for consideration, seek a vote of the Commission to approve appointment of a candidate. (Press Rel. 2005-171) ENFORCEMENT PROCEEDINGS GERSON ASSET MANAGEMENT, INC. AND SETH GERSON SANCTIONED IN SETTLED ADMINISTRATIVE PROCEEDINGS FOR UNFAIR TRADE ALLOCATION On December 2, 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)(6) and 21C of the Securities Exchange Act of 1934, Section 9(b) of the Investment Company Act of 1940, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 (Order) against Gerson Asset Management, Inc. (GAM), a registered investment adviser, and Seth Gerson, its sole owner, officer, and employee. The order finds that GAM and Gerson engaged in “cherry picking” – the unfair allocation of profitable trades to Gerson – in violation of the antifraud provisions of the Securities Exchange Act of 1934 (Exchange Act), and the Investment Advisers Act of 1940 (Advisers Act). Gerson, age 44, operates GAM out of his home in Mount Kisco, New York. The Order finds that from the time GAM commenced operations in May 2000 through February 2004, Gerson unfairly allocated profitable trades to his own accounts and allocated unprofitable trades to the accounts of his advisory clients. He did this by purchasing securities in an omnibus account and delaying allocation of the purchases until later in the day, after he saw whether the securities appreciated in value. With respect to some clients, Gerson sold securities that had appreciated and allocated the purchase and the realized day- trading profit to his own account. With respect to a second group of clients, Gerson sold securities that had appreciated, allocated the day-trade and profit to his own account, and then purchased the same security at the increased price for the client’s account. As a result of this conduct, Gerson realized ill-gotten gains of at least $200,000, and injured his clients by at least $150,000. The Order finds that Gerson failed to create or maintain required records of client trades, and that GAM’s Form ADV misrepresented that, in order to protect against conflicts of interests, written records would be maintained concerning trading by GAM’s employees and related person in securities recommended to GAM clients. As a result of the forgoing, the Order finds that GAM willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 204, 206(1), 206(2) and 207 of the Advisers Act and Rule 204-2(a)(3) thereunder, and Gerson willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Sections 206(1), 206(2) and 207 of the Advisers Act, and willfully aided and abetted, and caused, GAM’s violations of Section 204 of the Advisers Act and Rule 204-2(a)(3) thereunder. Based on the above, the Order requires Gerson and GAM to cease and desist from committing or causing violations and any future violations of the foregoing provisions; bars Gerson from association with any broker or dealer, investment adviser, or investment company; revokes GAM’s registration as an investment adviser; requires GAM to comply with its undertaking to cease operations and close out customer accounts; and orders Gerson to pay disgorgement in the amount of $160,237, but waives prejudgment interest and does not impose a civil penalty based upon GAM and Gerson’s sworn representations of their financial condition. GAM and Gerson consented to the issuance of the Order without admitting or denying the Commission’s findings. (Rels. 34-52880; IA-2457; IC-27176; File No. 3-12121) COMMISSION BARS THOMAS DONOVAN FROM ASSOCIATION WITH ANY BROKER OR DEALER Thomas J. Donovan, formerly associated with Knight Securities, L.P. and Andover Brokerage, L.L.C., registered broker-dealers, has been barred by the Commission from association with any broker or dealer. The Commission barred Donovan based on his role in a trading scheme designed to defraud Knight, and on a permanent injunction entered against Donovan, by default, enjoining him from violating the antifraud provisions of the securities laws. In determining to bar Donovan, the Commission found that Donovan had engaged in serious misconduct over an extended period of time by helping a colleague to hide improper trading activity from Knight, and that his conduct evidenced "a disturbing lack of respect for industry compliance efforts and insensitivity to the possibility of significant misconduct" by that colleague. (Rel. 34-52883; File No. 3-11716) SEC OBTAINS PRELIMINARY INJUNCTIONS IN CASE INVOLVING FRAUDULENT INVESTMENT SCHEME TARGETING CAMBODIAN IMMIGRANTS The Commission announced today that it obtained preliminary injunctive relief against all five defendants in an emergency enforcement action filed by the Commission on Nov. 15, 2005, in federal district court in Massachusetts. On Nov. 23, 2005, the Honorable Reginald C. Lindsay, U.S. District Judge for the District of Massachusetts, entered an order granting preliminary injunctions, asset freezes, and other relief against James Bunchan, Christian Rochon, WMDS, Inc. and One Universe Online, Inc. On December 2, Judge Lindsay entered an order granting a preliminary injunction, an asset freeze, and other relief against the remaining individual defendant, Seng Tan. The Commission alleged in its complaint that the defendants operated a fraudulent investment scheme in which they falsely promised members of the Cambodian immigrant community guaranteed monthly returns that would pass on to future generations. The complaint alleged that the defendants emphasized their shared Cambodian heritage with their victims, and written solicitation documents drew a parallel between investing in WMDS and fulfilling the American dream, stating that WMDS “urges you to sign up now or you will miss your best chance of fulfilling your American dream.” In fact, according to the complaint, the defendants were operating a fraudulent pyramid scheme and ceased making the promised monthly payments recently. According to the Commission’s complaint, the defendants operated a scheme that raised at least several million dollars from hundreds of investors, mainly members of the Cambodian immigrant community. In papers filed in support of the preliminary injunctions the Commission informed the Court that (a) fifty-eight alleged victims have been identified and interviewed by the Commission thus far; (b) records seized from the defendants indicate that at least 300- 400 people invested in WMDS; (c) the total amount of money invested by the fifty-eight alleged victims identified to date exceeds $8.8 million; (d) the net losses suffered by those fifty-eight alleged victims exceeds $5.6 million; and (e) the amounts of monies invested by other potential victims, and the losses suffered by them, have not yet been quantified. The Commission alleged in its complaint that the defendants violated antifraud provisions of the federal securities laws, specifically Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission also alleged that the defendants violated the registration provisions of the securities laws, namely Sections 5(a) and 5(c) of the Securities Act of 1933. In addition to the civil complaint filed against them by the Commission, all three individual defendants have been arrested by federal criminal authorities in connection with the scheme described above. The arrests were made pursuant to a criminal complaint and arrest warrant obtained by the Office of the United States Attorney for the District of Massachusetts. The arrest warrants were executed by special agents of the Federal Bureau of Investigation. Defendants Tan and Bunchan have been ordered detained pending trial in the criminal matter by United States Magistrate Judges in Boston, Massachusetts and Miami, Florida, respectively. Defendant Rochon was released pending trial after a bail hearing in which a Magistrate Judge imposed various conditions on an unsecured bond. [SEC v. WMDS, Inc., et al. (Civil Action No.05-12268-RCL) (D. Mass)] (LR-19483) COURT ENTERS FINAL JUDGMENT BY CONSENT AGAINST DEFENDANTS DENNIS HERULA AND WATCH HILL CAPITAL MANAGEMENT LLC COMMISSION DISMISSES ITS ACTION AS TO RELIEF DEFENDANT MARY LEE CAPALBO The Commission announced that on Nov. 30, 2005, a San Francisco federal court entered final judgments by consent against Dennis S. Herula and Watch Hill Capital Management LLC, both defendants in a fraud action filed by the Commission on July 31, 2002. The Commission alleged in its complaint that Herula, Watch Hill and others participated in a fraudulent offering of securities that raised at least $40 million from investors in July 2002. In the consent judgments, the Honorable Jeffrey S. White permanently enjoined Herula and Watch Hill from future violations of certain antifraud provisions of the federal securities laws. In addition, on Nov. 30, 2005, the Commission dismissed its action as to Relief Defendant Mary Lee Capalbo. The Commission alleged in its complaint that Herula is the registered agent and manager of Watch Hill. According to the Commission’s complaint, Watch Hill and others, aided and abetted by Herula, falsely promised investors exorbitant returns, such as a 100% return per week, through a fraudulent prime bank trading program. The complaint further alleged that, in the span of several weeks in July 2002, Herula and others spent at least $4 million in investor funds on personal and luxury items such as cars, jewelry, and large hotel bills. Without admitting or denying the allegations in the Commission’s complaint, Herula and Watch Hill consented to the final judgments entered by the Court. The judgment as to Herula permanently enjoined him from future violations of Section 10(b) of the Securities Exchange Act of 1940 (Exchange Act) and Rule 10b-5 thereunder. The judgment as to Watch Hill permanently enjoined it from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. According to the final judgment as to Herula, in a related criminal action arising from the conduct in this matter (United States v. Dennis S. Herula, Case Number 02-CR-485-02-RB (D. Colo.)), he was ordered on Feb. 11, 2005, to pay full restitution in the amount of $3,945,189.07 to the victims of his fraud and to be incarcerated for 188 months. In addition, the Court in the Commission’s action had previously entered judgments by default against two other defendants, Claude Lefebvre and RMO Assets Management SA, in which they were ordered to pay a total of almost $6 million in disgorgement, prejudgment interest, and civil penalties. The Court also returned directly to investors over $13 million that was frozen by the Court when the Commission first filed its action. Lefebvre is now in prison serving a 20 year sentence after being convicted of related criminal charges in December 2004. In addition, on Nov. 30, 2005, the Commission entered into a stipulation of dismissal with Relief Defendant Capalbo, thereby dismissing the Commission’s claim as to her. For further information, please see Litigation Rel. No. 19011 (Dec. 22, 2004) [Herula pleads guilty and Lefebvre found guilty in parallel criminal action]; Litigation Rel. No. 18676 (April 23, 2004) [judgments by default against Lefebvre and RMO Assets Management]; Litigation Rel. No. 17793 (Oct. 18, 2002) [Court issues preliminary injunctions and asset freezes as to Herula, Watch Hill and Capalbo]; and Litigation Release No. 17652 (Aug. 2, 2002) [temporary restraining order and asset freeze against Herula, Watch Hill and others]. [SEC v. Claude Lefebvre, et al. (U.S. District Court for the Northern District of California, C.A. No. C-02-3704-JSW)] (LR-19484) INVESTMENT COMPANY ACT RELEASES MGI FUNDS AND MERCER GLOBAL INVESTMENTS, INC. A notice has been issued giving interested persons until December 27 to request a hearing on an application filed by MGI Funds and Mercer Global Investments, Inc. for an order exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. (Rel. IC-27173 - December 1) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Options Clearing Corporation filed a proposed rule change (SR-OCC-2005-18), which became effective upon filing, under Section 19(b)(1) of the Exchange Act relating to margin deposits for a customers’ lien account. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52868) The Options Clearing Corporation filed a proposed rule change (SR-OCC-2005-16), which became effective upon filing, under Section 19(b)(1) of the Exchange Act relating to gasoline index futures. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34- 52869) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2005-88) relating to transaction fees and a fee waiver for options on the Mini-SPX. The proposed rule change has become immediately effective. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52871) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-Amex-2005-091) submitted by the American Stock Exchange relating to the trading pursuant to unlisted trading privileges of the iShares® Lehman TIPS Bond Fund. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52870) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2005-92) to prohibit the practice of unbundling orders to maximize rebates of fees. Publication of the proposal is expected in the Federal Register during the week of December 5. (Rel. 34-52872) 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 MORTONS RESTAURANT GROUP INC, 3333 NEW HYDE PK RD STE 210, NEW HYDE PARK, NY, 11042, 5166271515 - 0 ($150,000,000.00) Equity, (File 333-130072 - Dec. 2) (BR. 05B) F-1 NUCRYST Pharmaceuticals Corp., 50 AUDUBON ROAD, SUITE B, WAKEFIELD, MA, 01880, 781-224-1444 - 0 ($92,897,000.00) Equity, (File 333-130073 - Dec. 2) (BR. 10) S-3ASR GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($0.00) Other, (File 333-130074 - Dec. 2) (BR. 07A) S-8 CPI AEROSTRUCTURES INC, 200A EXECUTIVE DR, EDGEWOOD, NY, 11717, 5165865200 - 0 ($3,800,000.00) Equity, (File 333-130077 - Dec. 2) (BR. 05A) S-8 HENRY JACK & ASSOCIATES INC, PO BOX 807, 663 HWY 60, MONETT, MO, 65708-0807, 4172356652 - 3,000,000 ($56,970,000.00) Equity, (File 333-130078 - Dec. 2) (BR. 03A) S-8 HENRY JACK & ASSOCIATES INC, PO BOX 807, 663 HWY 60, MONETT, MO, 65708-0807, 4172356652 - 700,000 ($13,293,000.00) Equity, (File 333-130079 - Dec. 2) (BR. 03A) SB-2 HEADLINERS ENTERTAINMENT GROUP, INC., 501 BLOOMFIELD AVENUE, MONTCLAIR, NJ, 07042, 973-233-1233 - 163,262,500 ($20,407,812.50) Equity, (File 333-130081 - Dec. 2) (BR. 05B) S-8 CSB BANCORP INC /OH, 6 W JACKSON ST, P O BOX 232, MILLERSBURG, OH, 44654, 3306749015 - 200,000 ($4,300,000.00) Equity, (File 333-130082 - Dec. 2) (BR. 07C) S-8 CAMBRIDGE ANTIBODY TECHNOLOGY GROUP PLC, SCIENCE PARK MELBOURN, CAMBRIDGESHIRE U K, SG8 6JJ, A1, 011-44-1763-263233 - 0 ($3,737,500.00) Equity, (File 333-130083 - Dec. 2) (BR. 01A) SB-2 Amerasia Khan Enterprises Ltd., 353 WEST 7TH AVENUE, VANCOUVER, A1, V5Y 1M2, 604-723-6877 - 4,600,000 ($115,000.00) Other, (File 333-130084 - Dec. 2) (BR. 01) F-6 SCOTTISH & SOUTHERN ENERGY PLC /FI, 10 DUNFIELD ROAD, PARTH, UNITED KINGDOM, X0, 00000, 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-130085 - Dec. 2) (BR. ) S-8 APOLO GOLD & ENERGY INC., 1209-409 GRANVILLE STREET, VANCOUVER, A1, V6C1T2, 604-687-4150 - 6,000,000 ($396,000.00) Equity, (File 333-130086 - Dec. 2) (BR. 04A) S-8 Pike Electric CORP, 100 PIKE WAY, MOUNT AIRY, NC, 27030, (336) 789-2171 - 0 ($8,837,500.00) Equity, (File 333-130087 - Dec. 2) (BR. 06B) S-3 HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW ST, P O BOX 2999, SIMSBURY, CT, 06089, 8608435445 - 0 ($1,000,000.00) Non-Convertible Debt, (File 333-130089 - Dec. 2) (BR. 20) S-3 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 6,090,351 ($135,358,051.00) Equity, (File 333-130090 - Dec. 2) (BR. 04C) S-3 AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 57,079,894 ($37,101,931.10) Equity, (File 333-130091 - Dec. 2) (BR. 10A) S-4 FRONTIER FINANCIAL CORP /WA/, 332 SW EVERETT MALL WAY, EVERETT, WA, 98204, 4255140700 - 0 ($16,376,031.00) Equity, (File 333-130092 - Dec. 2) (BR. 07C) S-8 ACE CASH EXPRESS INC/TX, 1231 GREENWAY DR STE 800, IRVING, TX, 75038, 2145505000 - 0 ($4,606,000.00) Equity, (File 333-130093 - Dec. 2) (BR. 07A) S-3 TRM CORP, 5208 N E 122ND AVENUE, PORTLAND, OR, 97230-1074, 5032578766 - 2,778,375 ($19,476,408.75) Equity, (File 333-130094 - Dec. 2) (BR. 11A) SB-2 ORTHOMETRIX INC, 106 CORPORATE PARK DRIVE, SUITE 106, WHITE PLAINS, NY, 10604, 9146942285 - 0 ($2,294,550.00) Equity, (File 333-130095 - Dec. 2) (BR. 10C) S-3 DRUGSTORE COM INC, 411 108TH AVE. NE, SUITE 1400, BELLEVUE, WA, 98004, 4253723200 - 0 ($30,200,000.00) Equity, (File 333-130097 - Dec. 2) (BR. 01A) S-1 HEMOSENSE INC, 651 RIVER OAKS PARKWAY, SAN JOSE, CA, 95134, 408-719-1393 - 2,222,223 ($18,033,339.64) Equity, (File 333-130099 - Dec. 2) (BR. 10B) S-1 NEXTEST SYSTEMS CORP, 1901 MONTEREY RD, SAN JOSE, CA, 95112, 4088177200 - 0 ($80,000,000.00) Equity, (File 333-130100 - Dec. 2) (BR. 10B) S-8 IDENTIX INC, 4087312000 - 0 ($1,598,300.00) Equity, (File 333-130101 - Dec. 2) (BR. 03B) S-8 PMI GROUP INC, 3003 OAK ROAD, WALNUT CREEK, CA, 94597-2098, 925-658-7878 - 0 ($20,325,000.00) Equity, (File 333-130102 - Dec. 2) (BR. 01B) S-8 PMI GROUP INC, 3003 OAK ROAD, WALNUT CREEK, CA, 94597-2098, 925-658-7878 - 0 ($60,162,500.00) Other, (File 333-130103 - Dec. 2) (BR. 01B) S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 0 ($962,024,664.00) Equity, (File 333-130104 - Dec. 2) (BR. 03C) S-1 ENTERGY CORP /DE/, 639 LOYOLA AVE, NEW ORLEANS, LA, 70113, 5045764000 - 0 ($0.00) Debt, 0 ($500,000,000.00) Equity, 0 ($500,000,000.00) Other, (File 333-130107 - Dec. 2) (BR. 02C) S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 30,000,000 ($4,200,000.00) Other, (File 333-130108 - Dec. 2) (BR. 11C) S-3ASR WARREN RESOURCES INC, 489 FIFTH AVE, NEW YORK, NY, 10017, 2126979660 - 0 ($0.00) Other, (File 333-130109 - Dec. 2) (BR. 04A) SB-2 Longfoot Communications Corp., 9229 SUNSET BLVD., SUITE 810, WEST HOLLYWOOD, CA, 90069, 310-385-9631 - 750,000 ($187,500.00) Equity, (File 333-130110 - Dec. 2) (BR. ) S-3ASR TRANSATLANTIC HOLDINGS INC, 80 PINE ST, NEW YORK, NY, 10005, 2127702000 - 0 ($0.00) Debt, (File 333-130111 - Dec. 2) (BR. 01C) S-3ASR KANSAS CITY SOUTHERN, 427 W 12TH STREET, KANSAS CITY, MO, 64105, 8169831303 - 0 ($0.00) Other, (File 333-130112 - Dec. 2) (BR. 05B) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 6.01. ABS Informational and Computational Material. 6.02. Change of Servicer or Trustee. 6.03. Change in Credit Enhancement or Other External Support. 6.04. Failure to Make a Required Distribution. 6.05. Securities Act Updating Disclosure. 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------------- 360 GLOBAL WINE CO NV 9.01 04/21/04 AMEND A4S SECURITY, INC. CO 2.02,7.01,9.01 12/02/05 ABFC Asset-Backed Certificates, Serie DE 8.01,9.01 11/25/05 ABFC Asset-Backed Certificates, Serie DE 8.01,9.01 11/25/05 Accredited Mortgage Loan Trust 2005-4 DE 2.01,9.01 11/23/05 ACROSS AMERICA REAL ESTATE CORP CO 7.01,8.01 12/02/05 ACUITY BRANDS INC DE 1.01,9.01 11/28/05 ADSERO CORP DE 1.01,3.02,9.01 11/29/05 AEGIS COMMUNICATIONS GROUP INC DE 1.01,9.01 11/30/05 AETNA INC /PA/ PA 1.01 12/02/05 AGILENT TECHNOLOGIES INC DE 1.01,2.01,9.01 11/28/05 AIRTRAN HOLDINGS INC NV 7.01,9.01 12/01/05 ALAMOSA HOLDINGS INC DE 7.01,9.01 12/01/05 ALAMOSA HOLDINGS INC DE 8.01 12/02/05 ALION SCIENCE & TECHNOLOGY CORP DE 1.01,9.01 11/28/05 ALLIANCE ONE INTERNATIONAL, INC. VA 2.05,7.01,9.01 12/02/05 ALLIANT ENERGY CORP WI 1.01,5.02 11/30/05 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 12/01/05 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 12/01/05 AMERICAN AXLE & MANUFACTURING HOLDING DE 5.02 12/01/05 AMERICAN BANK NOTE HOLOGRAPHICS INC DE 5.02,9.01 11/29/05 AMERICAN EAGLE OUTFITTERS INC DE 7.01,9.01 11/30/05 AMERICAN IDC CORP FL 3.02,3.03,5.03,9.01 10/25/05 AMERICAN MEDIA OPERATIONS INC DE 1.01,5.02,9.01 12/01/05 American Pallet Leasing, Inc. DE 1.01,8.01,9.01 11/28/05 AMERICAN REAL ESTATE PARTNERS L P DE 5.02,7.01,8.01,9.01 11/28/05 AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 12/02/05 AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 12/02/05 AMERICAN REAL ESTATE PARTNERS L P DE 8.01,9.01 12/01/05 AMERIPRISE FINANCIAL INC DE 8.01,9.01 12/01/05 AMICAS, Inc. DE 5.04,9.01 12/02/05 AMKOR TECHNOLOGY INC DE 1.01,1.02,2.03,9.01 11/28/05 ANDREW CORP DE 1.01,9.01 11/28/05 ANTARES RESOURCES CORP NY 8.01,9.01 09/27/05 ANTIGENICS INC /DE/ DE 1.01,9.01 12/01/05 APPLE REIT SIX INC 2.01,9.01 11/30/05 APPLIED FILMS CORP CO 1.01,1.02,2.06,3.02 11/28/05 ARAMARK CORP/DE DE 1.01 11/28/05 Asset Backed Pass-Through Certificate 8.01 11/25/05 AT&T INC. DE 8.01 12/01/05 ATLANTIC REALTY TRUST CA 1.01,9.01 12/01/05 ATM FINANCIAL CORP NV 4.01 03/28/05 AMEND ATMOS ENERGY CORP TX 1.01,2.03,9.01 11/28/05 ATWOOD OCEANICS INC TX 2.02,7.01,9.01 12/02/05 BAKER HUGHES INC DE 1.01,7.01,9.01 11/30/05 Banc of America Alternative Loan Trus DE 8.01,9.01 11/25/05 Banc of America Alternative Loan Trus DE 8.01,9.01 11/25/05 Banc of America Alternative Loan Trus DE 8.01,9.01 11/25/05 Banc of America Alternative Loan Trus DE 8.01,9.01 11/25/05 Banc of America Alternative Loan Trus DE 8.01,9.01 11/25/05 Banc of America Funding 2005-3 Trust DE 8.01,9.01 11/25/05 Banc of America Funding Corp. 2005-1 DE 8.01,9.01 11/25/05 Banc of America Funding Corp. 2005-2 DE 8.01,9.01 11/25/05 Banc of America Funding Corp. 2005-4 DE 8.01,9.01 11/25/05 Banc of America Funding Corp. 2005-5 DE 8.01,9.01 11/25/05 Banc of America Funding Corp. 2005-D DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 Banc of America Mortgage Securities M DE 8.01,9.01 11/25/05 BANC ONE FINANCIAL SERVICES HOME EQUI NY 8.01,9.01 11/25/05 BANKUNITED FINANCIAL CORP FL 8.01,9.01 11/30/05 AMEND Bayview Financial Mortgage Pass-Throu DE 8.01,9.01 11/28/05 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 11/25/05 BELDEN CDT INC. DE 1.01,9.01 12/01/05 BELL MICROPRODUCTS INC CA 5.02,8.01,9.01 11/28/05 AMEND BENCHMARK ELECTRONICS INC TX 1.01,9.01 11/30/05 BENCHMARK ELECTRONICS INC TX 1.01,9.01 12/01/05 BIO BRIDGE SCIENCE INC DE 1.01,9.01 12/02/05 BIO SOLUTIONS MANUFACTURING, INC. NY 4.02 09/01/05 BIOMARIN PHARMACEUTICAL INC DE 1.01,9.01 12/01/05 BIOPHAN TECHNOLOGIES INC NV 1.01,7.01,9.01 11/30/05 BIOSANTE PHARMACEUTICALS INC DE 1.02 11/30/05 BNSF RAILWAY CO DE 2.05,9.01 11/28/05 BP INTERNATIONAL INC DE 5.02 12/01/05 BRAVO RESOURCES LTD 1.01,9.01 11/01/05 AMEND BRIGHTPOINT INC IN 8.01 11/30/05 BRISTOL MYERS SQUIBB CO DE 5.02,9.01 11/30/05 BURLINGTON NORTHERN SANTA FE CORP DE 2.05,9.01 11/28/05 CABLEVISION SYSTEMS CORP /NY DE 8.01 12/02/05 Calpine Generating Company, LLC DE 5.02,9.01 11/28/05 Cambridge Display Technology, Inc. DE 4.01,5.02,9.01 11/29/05 CAMPBELL FUND TRUST MD 3.02 12/01/05 CANYON RESOURCES CORP DE 1.01,3.02,9.01 11/28/05 CARDIODYNAMICS INTERNATIONAL CORP CA 1.01,9.01 11/29/05 CATERPILLAR INC DE 7.01,8.01 11/30/05 CATERPILLAR INC DE 7.01,8.01 12/01/05 CD&L INC DE 5.02 12/02/05 CECIL BANCORP INC MD 5.04,9.01 12/02/05 Celanese CORP DE 1.01,2.03,9.01 11/28/05 CEMENTITIOUS MATERIALS INC DE 7.01,9.01 12/01/05 CEPHEID CA 1.01 11/28/05 CHAMPPS ENTERTAINMENT INC DE 1.01,9.01 11/29/05 CHATTEM INC TN 1.01,2.04,9.01 11/29/05 CHENIERE ENERGY INC DE 8.01,9.01 12/01/05 CIT GROUP INC DE 8.01,9.01 11/28/05 Citi Trends Inc 5.02,9.01 11/30/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITICORP MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 11/25/05 CITIGROUP MORTGAGE LOAN TRUST 2005-6 8.01 11/25/05 CITIGROUP MORTGAGE LOAN TRUST INC 8.01,9.01 11/30/05 Citigroup Mortgage Loan Trust Inc, Mo 8.01 11/25/05 CITIGROUP MORTGAGE LOAN TRUST INC. 20 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc. 20 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc. As 8.01 11/25/05 CITIGROUP MORTGAGE LOAN TRUST INC. MO 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc., S 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc., S 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc., S 8.01 11/25/05 Citigroup Mortgage Loan Trust Inc., S 9.01 11/25/05 CITIZENS INC CO 8.01,9.01 12/01/05 CLEAN HARBORS INC MA 1.01,9.01 12/01/05 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 12/02/05 ClearStory Systems, Inc. DE 1.01,2.03,3.02,9.01 11/28/05 COLGATE PALMOLIVE CO DE 8.01 12/01/05 Columbia Equity Trust, Inc. MD 1.01,2.03,9.01 11/28/05 COMMERCE ENERGY GROUP INC DE 1.02 11/28/05 COMMERCIAL NET LEASE REALTY INC MD 1.01 11/28/05 COMPUTER HORIZONS CORP NY 2.05,9.01 11/28/05 COMPUWARE CORP MI 1.01,9.01 11/29/05 COMSYS IT PARTNERS INC DE 1.01,9.01 11/28/05 CONAGRA FOODS INC /DE/ DE 5.03,9.01 12/01/05 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 11/28/05 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/02/05 CONTINENTAL AIRLINES INC /DE/ DE 7.01,9.01 12/02/05 CONTINENTAL AIRLINES INC /DE/ DE 1.02 11/29/05 CORE BOND PRODUCTS LLC DE 8.01,9.01 11/30/05 Core-Mark Holding Company, Inc. DE 8.01,9.01 12/02/05 CORNELL COMPANIES INC DE 1.01 11/28/05 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE 8.01,9.01 12/02/05 CRESCENT FINANCIAL CORP NC 8.01,9.01 11/28/05 CSG SYSTEMS INTERNATIONAL INC DE 1.01,7.01,9.01 11/30/05 CTI GROUP HOLDINGS INC DE 5.02 07/05/05 AMEND CULP INC NC 2.02,9.01 12/01/05 CWHEQ, Inc. 8.01,9.01 11/29/05 DAY INTERNATIONAL GROUP INC DE 8.01,9.01 11/21/05 DAYTON SUPERIOR CORP OH 8.01,9.01 12/01/05 DELPHAX TECHNOLOGIES INC MN 1.01,2.03,9.01 11/28/05 DESERT CAPITAL REIT INC MD 2.01,9.01 10/05/05 AMEND DEVRY INC DE 8.01 12/02/05 Diamond Foods Inc DE 7.01,9.01 12/02/05 DILLARDS INC DE 7.01,9.01 12/01/05 DISCOVERY PARTNERS INTERNATIONAL INC DE 2.05,2.06,8.01,9.01 11/28/05 DIVERSIFIED FINANCIAL RESOURCES CORP DE 1.01 11/21/05 DORAL FINANCIAL CORP PR 5.04,8.01,9.01 11/30/05 DOW CHEMICAL CO /DE/ DE 8.01 11/30/05 DRESSER INC DE 8.01,9.01 11/30/05 DRESSER INC DE 2.01,9.01 11/30/05 DYNEGY INC /IL/ IL 5.02,7.01,9.01 11/28/05 EAGLE BROADBAND INC TX 5.02 11/29/05 Eagle Bulk Shipping Inc. 7.01 12/02/05 EARTHFIRST TECHNOLOGIES INC FL 2.02,9.01 11/30/05 ECC Capital CORP 1.01,9.01 11/28/05 EDGEWATER TECHNOLOGY INC/DE/ DE 5.02,9.01 12/01/05 EGL INC TX 1.01 12/02/05 EL PASO CGP CO DE 8.01 12/02/05 EL PASO CORP/DE DE 8.01,9.01 12/02/05 ELINEAR INC DE 3.01,9.01 11/22/05 EMS TECHNOLOGIES INC GA 1.01,2.01,2.03,2.04,2.05,9.01 11/28/05 Encore Credit Receivables Trust 2005- DE 9.01 11/25/05 Encore Credit Receivables Trust 2005- DE 9.01 11/25/05 ENGLOBAL CORP NV 2.02,9.01 09/30/05 ENTERTAINMENT PROPERTIES TRUST MD 7.01 11/30/05 EOP OPERATING LTD PARTNERSHIP DE 8.01,9.01 12/02/05 Equifirst Mortgage Loan Trust 2005-1 DE 8.01 11/25/05 EQUITY OFFICE PROPERTIES TRUST MD 8.01,9.01 12/02/05 EQUITY RESIDENTIAL MD 8.01,9.01 12/02/05 ERP OPERATING LTD PARTNERSHIP MD 8.01,9.01 12/02/05 EXACTECH INC FL 1.01,2.03,9.01 11/30/05 EXAR CORP DE 5.02 09/15/05 AMEND EXELON CORP PA 8.01 11/30/05 EXPRESS SCRIPTS INC DE 7.01 12/02/05 EXPRESSJET HOLDINGS INC DE 8.01,9.01 12/01/05 Extra Space Storage Inc. MD 2.01,9.01 07/14/05 AMEND FACTORY CARD OUTLET CORP DE 2.02,9.01 12/01/05 FARGO ELECTRONICS INC 8.01,9.01 12/02/05 FBR Securitization, Inc. 8.01,9.01 11/30/05 FBR Securitization, Inc. 8.01,9.01 11/29/05 FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 12/02/05 Federal Home Loan Bank of San Francis X1 5.02,9.01 11/29/05 Fieldstone Mortgage Investment Trust, DE 8.01,9.01 11/25/05 FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.01,9.01 12/02/05 First Franklin Mortgage Loan Trust 20 DE 8.01 11/25/05 First Franklin Mortgage Loan Trust 20 DE 8.01 11/25/05 FLAGSTAR BANCORP INC MI 1.01,9.01 12/02/05 FMC CORP DE 7.01,9.01 11/30/05 FOODARAMA SUPERMARKETS, INC. NJ 8.01 10/29/05 FOOTSTAR INC DE 7.01,8.01,9.01 11/22/05 FORGENT NETWORKS INC DE 2.02,9.01 12/02/05 FOSSIL INC DE 1.01 11/30/05 Fremont Home Loan Trust 2005-1 DE 8.01 11/25/05 Fremont Home Loan Trust 2005-2 DE 8.01 11/25/05 FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01,1.02,5.02 11/29/05 FX ENERGY INC NV 7.01,9.01 12/01/05 GALAXY ENERGY CORP CO 1.01,2.03,3.03,9.01 12/01/05 GE Commercial Mortgage Corp. Series 2 DE 8.01,9.01 12/01/05 GE Commercial Mortgage Corp. Series 2 DE 8.01,9.01 12/02/05 GE Commercial Mortgage Corp. Series 2 DE 8.01,9.01 12/02/05 GE LIFE & ANNUITY ASSURANCE CO VA 1.01,8.01,9.01 11/30/05 GENESIS HEALTHCARE CORP PA 2.02,9.01 12/01/05 GENESIS HEALTHCARE CORP PA 1.01 11/28/05 GEOKINETICS INC DE 1.01,2.01,2.03,3.02,8.01,9.01 11/30/05 GEORGIA PACIFIC CORP GA 1.01,3.03,8.01,9.01 12/01/05 GERBER SCIENTIFIC INC CT 1.01,9.01 11/29/05 GLOBAL AIRCRAFT SOLUTIONS, INC. AZ 2.02,9.01 12/01/05 GLOBALNET CORP NV 8.01 12/02/05 GMAC COMMERCIAL MORTGAGE SECURITIES I DE 8.01,9.01 12/02/05 GMAC COMMERCIAL MORTGAGE SECURITIES I DE 8.01,9.01 12/02/05 GRAPHIC PACKAGING CORP DE 1.01,9.01 11/30/05 GREATER BAY BANCORP CA 1.01,9.01 12/01/05 Greenpoint Mortgage Funding Trust 200 DE 8.01 11/25/05 Greenpoint Mortgage Funding Trust 200 DE 8.01 11/25/05 Greenpoint Mortgage Funding Trust 200 DE 8.01 11/25/05 GS MORTGAGE SECURITIES CORP DE 8.01 11/30/05 HARVEST NATURAL RESOURCES, INC. DE 8.01 12/02/05 HASCO Trust 2005-NC1 8.01,9.01 11/25/05 HASCO Trust 2005-NC2 8.01,9.01 11/25/05 HAYNES INTERNATIONAL INC DE 2.02,9.01 12/01/05 HEALTH ENHANCEMENT PRODUCTS INC NV 3.02 12/02/05 HEALTHCARE REALTY TRUST INC MD 5.02 11/30/05 HILB ROGAL & HOBBS CO VA 5.02 11/29/05 HILB ROGAL & HOBBS CO VA 5.02 11/29/05 AMEND HURCO COMPANIES INC IN 2.02,9.01 11/30/05 IAC/INTERACTIVECORP DE 5.02 11/28/05 ICONIX BRAND GROUP, INC. DE 9.01 09/16/05 AMEND IMAGE ENTERTAINMENT INC CA 7.01,8.01 11/30/05 IMPLANT SCIENCES CORP MA 4.01,9.01 11/28/05 AMEND IN TOUCH MEDIA GROUP, INC. FL 1.01,3.02 11/30/05 INDYMAC ABS INC DE 8.01,9.01 12/02/05 INDYMAC ABS INC DE 8.01,9.01 12/02/05 IndyMac Indx Mortgage Loan Trust 2005 8.01,9.01 05/27/05 INFOCROSSING INC DE 1.01,2.01,2.03,3.02,9.01 11/30/05 INFOSPACE INC DE 5.02 09/27/05 AMEND INSPIRE PHARMACEUTICALS INC DE 8.01 12/02/05 INTEGRA BANK CORP IN 5.02 11/28/05 INTEGRATED DEVICE TECHNOLOGY INC DE 9.01 09/16/05 AMEND INTERVEST BANCSHARES CORP DE 4.01,9.01 11/18/05 AMEND INTERVEST MORTGAGE CORP NY 4.01,9.01 11/18/05 AMEND INTEST CORP DE 7.01,9.01 12/02/05 ISONICS CORP CA 8.01,9.01 12/01/05 IVAX DIAGNOSTICS INC DE 1.01 11/28/05 J P MORGAN CHASE & CO DE 1.01,9.01 11/30/05 JAMESON INNS INC GA 7.01,9.01 12/02/05 KAHIKI FOODS INC OH 5.02 11/29/05 KANSAS CITY SOUTHERN DE 8.01,9.01 12/02/05 KELLWOOD CO DE 2.02,4.02,8.01,9.01 12/01/05 KENT FINANCIAL SERVICES INC DE 1.01,5.02,9.01 11/25/05 KLONDIKE STAR MINERAL CORP DE 5.02 11/29/05 KOMAG INC /DE/ DE 1.01 11/29/05 KULICKE & SOFFA INDUSTRIES INC PA 5.02,5.03,9.01 11/29/05 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 12/01/05 LA JOLLA PHARMACEUTICAL CO DE 8.01,9.01 12/02/05 LABORATORY CORP OF AMERICA HOLDINGS DE 5.02 11/30/05 AMEND LAKE AREA CORN PROCESSORS LLC 1.01,9.01 11/28/05 LAS VEGAS SANDS CORP NV 7.01 12/02/05 LAS VEGAS SANDS CORP NV 5.02 12/01/05 LB-UBS Commercial Mortgage Trust 2005 1.01,9.01 11/04/05 AMEND LEGGETT & PLATT INC MO 1.01,9.01 11/29/05 LEHMAN SARM 2005-11 DE 8.01,9.01 11/25/05 LENOX GROUP INC DE 2.05,9.01 09/13/05 AMEND LEXICON GENETICS INC/TX DE 1.01 11/30/05 LEXINGTON CORPORATE PROPERTIES TRUST MD 8.01 12/02/05 LIFE USA INC CO 3.02 12/02/05 AMEND LODGENET ENTERTAINMENT CORP DE 1.01 12/01/05 LOGICVISION INC DE 1.01,9.01 11/04/05 AMEND LONGS DRUG STORES CORP MD 7.01,9.01 12/01/05 LSB INDUSTRIES INC DE 8.01,9.01 12/02/05 LUMINENT MORTGAGE TRUST 2005-1 DE 8.01,9.01 11/25/05 LYONDELL CHEMICAL CO DE 1.01,9.01 11/28/05 MADISON RIVER CAPITAL LLC DE 8.01 11/28/05 MASTERCARD INC DE 1.01 11/28/05 MASTR ASSET BACKED SECURITIES TRUST 2 DE 8.01,9.01 11/25/05 MASTR Asset Securitization Trust 2004 DE 8.01,9.01 11/01/05 MATRIX BANCORP INC CO 7.01 12/02/05 MAX RE CAPITAL LTD 8.01,9.01 11/30/05 MAYTAG CORP DE 8.01,9.01 12/01/05 AMEND MEDIANEWS GROUP INC DE 1.01 11/30/05 MERCURY INTERACTIVE CORP DE 1.01,8.01,9.01 11/29/05 Meritage Mortgage Loan Trust 2005-1 A DE 8.01 11/25/05 Meritage Mortgage Loan Trust 2005-2 DE 8.01 11/25/05 Merrill Auto Trust Securitization 200 DE 8.01,9.01 11/25/05 MERRILL LYNCH MORTGAGE INVESTORS OWNI DE 8.01,9.01 11/25/05 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 11/25/05 MERRILL LYNCH MORTGAGE INVESTORS, INC DE 8.01,9.01 11/25/05 METAL MANAGEMENT INC DE 8.01,9.01 12/02/05 METLIFE INC DE 5.02,9.01 12/01/05 MICROVISION INC WA 9.01 11/30/05 AMEND MIDWEST BANC HOLDINGS INC DE 5.04,9.01 12/02/05 MINGHUA GROUP INTERNATIONAL HOLDINGS NY 5.02 12/02/05 MODTECH HOLDINGS INC CA 1.01,9.01 11/28/05 MOHEGAN TRIBAL GAMING AUTHORITY 5.02 08/28/05 AMEND MOOG INC NY 1.01,9.01 12/02/05 MORGAN STANLEY DE 5.02,9.01 12/02/05 MORGAN STANLEY CAPITAL I INC HOME EQ NY 8.01,9.01 11/25/05 Morningstar, Inc. IL 7.01 12/02/05 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 11/28/05 MOSAIC CO 7.01,9.01 12/02/05 MOST HOME CORP NV 3.02 11/28/05 MTR GAMING GROUP INC DE 1.01,8.01,9.01 12/01/05 MTS SYSTEMS CORP MN 5.03,9.01 11/29/05 NAAC Alternative Loan Trust, Series 2 DE 8.01,9.01 11/25/05 NAPCO SECURITY SYSTEMS INC DE 8.01 11/29/05 NASDAQ STOCK MARKET INC DE 1.02,5.02 11/30/05 NATIONAL OILWELL VARCO INC DE 5.04,9.01 12/02/05 NATIONAL PENN BANCSHARES INC PA 1.01,9.01 12/01/05 NATURES SUNSHINE PRODUCTS INC UT 3.01,9.01 11/28/05 NESTOR PARTNERS NJ 3.02 12/01/05 NETIQ CORP 5.03,8.01,9.01 11/28/05 New Athletics, Inc. DE 8.01 12/01/05 New York Mortgage Trust 2005-2 DE 8.01,9.01 11/25/05 NEWS CORP 8.01,9.01 12/02/05 NISOURCE INC/DE DE 1.01,9.01 11/29/05 Nomura Asset Acceptance Corp. Alterna DE 8.01,9.01 11/25/05 Nomura Asset Acceptance Corp. Series DE 8.01,9.01 11/25/05 Nomura Asset Acceptance Corp. Series DE 8.01,9.01 11/25/05 Nomura Asset Acceptance Corporation, DE 8.01,9.01 11/25/05 Nomura Asset Acceptance Corporation, DE 8.01,9.01 11/25/05 Nomura Asset Acceptance Corporation, DE 8.01,9.01 11/25/05 NORFOLK SOUTHERN CORP VA 1.01,7.01,9.01 12/02/05 NORTEL NETWORKS CORP 1.01 12/01/05 NORTEL NETWORKS LTD 1.01 12/01/05 NORTHERN BORDER PARTNERS LP DE 7.01,9.01 12/02/05 NOVADEL PHARMA INC DE 1.01,9.01 11/29/05 NOVELL INC DE 1.01 11/28/05 OAK RIDGE MICRO-ENERGY INC CO 4.01,9.01 11/08/05 AMEND OFFSHORE LOGISTICS INC DE 7.01,8.01,9.01 12/01/05 OMEGA HEALTHCARE INVESTORS INC MD 1.01,2.03,8.01,9.01 12/02/05 ONEOK INC /NEW/ OK 8.01,9.01 12/02/05 ONEOK INC /NEW/ OK 7.01 12/02/05 Opteum Mortgage Acceptance Corp Asset DE 8.01,9.01 11/25/05 Opteum Mortgage Acceptance Corp Asset DE 8.01,9.01 11/25/05 Opteum Mortgage Acceptance Corp Asset DE 8.01,9.01 11/25/05 Opteum Mortgage Acceptance Corp. Asse DE 8.01,9.01 11/25/05 OPTION ONE MORTGAGE LOAN TRUST 2005-1 DE 8.01,9.01 11/25/05 OPTION ONE MORTGAGE LOAN TRUST 2005-2 DE 8.01,9.01 11/25/05 Option One Mortgage Loan Trust 2005-3 DE 8.01,9.01 11/25/05 Origen Residential Securities, Inc. DE 8.01,9.01 11/30/05 OXIGENE INC DE 5.02,9.01 12/01/05 PAB BANKSHARES INC GA 5.02,9.01 11/29/05 PACIFIC ALLIANCE VENTURES LTD NV 8.01 12/02/05 PACIFIC GAS & ELECTRIC CO CA 1.01,2.03,8.01 12/02/05 PAINEWEBBER R&D PARTNERS III L P DE 8.01,9.01 11/30/05 PANAVISION INC DE 1.01,2.03,8.01,9.01 12/02/05 PARKER DRILLING CO /DE/ DE 2.04,9.01 11/29/05 PATRIOT TRANSPORTATION HOLDING INC FL 1.01,9.01 12/02/05 PAXAR CORP NY 1.01 11/28/05 PAXSON COMMUNICATIONS CORP DE 7.01,9.01 12/01/05 PC CONNECTION INC DE 1.01,1.02 11/28/05 PENTAIR INC MN 8.01,9.01 12/01/05 PER SE TECHNOLOGIES INC DE 8.01,9.01 12/02/05 PETRO STOPPING CENTERS L P DE 1.01,9.01 11/29/05 PG&E CORP CA 1.01,2.03,8.01 12/02/05 PHASE III MEDICAL INC/DE DE 3.02 11/28/05 PIER 1 IMPORTS INC/DE DE 2.02,9.01 12/01/05 PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 11/28/05 POLO RALPH LAUREN CORP DE 5.02 11/28/05 POWER-SAVE ENERGY CORP. CO 3.02 12/02/05 PRE PAID LEGAL SERVICES INC OK 2.01,2.03,9.01 11/30/05 PREMIER ENTERTAINMENT BILOXI LLC DE 7.01,9.01 12/01/05 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 12/02/05 PRG SCHULTZ INTERNATIONAL INC GA 1.01 11/28/05 PRINCIPAL FINANCIAL GROUP INC DE 5.02 11/28/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 12/02/05 Provident Funding Mortgage Loan Trust DE 8.01,9.01 11/25/05 QUANEX CORP DE 2.02 12/02/05 QUANTA CAPITAL HOLDINGS LTD 3.01 11/21/05 AMEND Quintana Maritime LTD 1T 8.01,9.01 12/01/05 RAYMOND JAMES FINANCIAL INC FL 5.02 12/01/05 RBSGC MORTGAGE LOAN TRUST 2005-A DE 8.01,9.01 11/25/05 Refco Inc. 2.01,5.02,9.01 12/01/05 REGAL ENTERTAINMENT GROUP DE 3.02 11/30/05 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE 9.01 12/02/05 REWARDS NETWORK INC DE 5.02,9.01 12/01/05 RGC RESOURCES INC VA 1.01,9.01 11/28/05 RIGEL PHARMACEUTICALS INC DE 8.01,9.01 12/01/05 ROOMLINX INC NJ 1.01,2.01,3.02,9.01 08/10/05 AMEND ROWAN COMPANIES INC DE 8.01,9.01 12/02/05 RUBIOS RESTAURANTS INC DE 3.01 12/01/05 RUSH FINANCIAL TECHNOLOGIES INC TX 7.01,9.01 12/02/05 SACO I TRUST 2005-5 DE 8.01,9.01 11/25/05 AMEND SANDERSON FARMS INC MS 1.01,9.01 11/28/05 SANDS REGENT NV 1.01,9.01 12/02/05 SANTARUS INC DE 1.01 12/02/05 SASCO Mortgage Pass Through Certifica DE 8.01,9.01 11/25/05 SCO GROUP INC DE 1.01,3.02,7.01,9.01 11/29/05 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 12/02/05 SEQUIAM CORP CA 1.01,3.02,9.01 11/30/05 SFBC INTERNATIONAL INC DE 8.01,9.01 12/02/05 Siberian Energy Group Inc. NV 1.01,3.02,9.01 11/09/05 SILVER DRAGON RESOURCES, INC. DE 1.01,9.01 12/02/05 SIMULATIONS PLUS INC 2.02,9.01 12/02/05 SKY FINANCIAL GROUP INC OH 8.01,9.01 11/29/05 SONOCO PRODUCTS CO SC 7.01,9.01 12/02/05 Soundview Home Loan Trust 2005 DO-1 A DE 8.01 11/25/05 Soundview Home Loan Trust 2005-1 DE 8.01 11/25/05 Soundview Home Loan Trust 2005-2 DE 8.01 11/25/05 Soundview Home Loan Trust 2005-3 DE 8.01 11/25/05 Soundview Home Loan Trust 2005-A DE 8.01 11/25/05 Soundview Home Loan Trust 2005-B DE 8.01 11/25/05 Soundview Home Loan Trust 2005-OPT1 DE 8.01 11/25/05 Soundview Home Loan Trust 2005-OPT2 DE 8.01 11/25/05 Soundview Home Loan Trust 2005-OPT3 DE 8.01 11/25/05 SPACEHAB INC \WA\ WA 3.01,9.01 11/29/05 SPECTRUM SCIENCES & SOFTWARE HOLDINGS DE 2.01,7.01,9.01 12/02/05 SRI SURGICAL EXPRESS INC FL 3.01,5.02,9.01 11/30/05 STERLING FINANCIAL CORP /PA/ PA 1.01,7.01,9.01 12/01/05 STIFEL FINANCIAL CORP DE 7.01,9.01 12/01/05 STONEPATH GROUP INC DE 5.02,7.01,9.01 12/01/05 STRIDE RITE CORP MA 9.01 09/16/05 AMEND Structured Adjustable Rate Mortgage L DE 8.01,9.01 11/25/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L 8.01,9.01 11/25/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 11/25/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 11/25/05 Structured Adjustable Rate Mortgage L DE 8.01,9.01 11/25/05 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 Structured Asset Investment Loan Trus DE 8.01,9.01 11/25/05 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 12/01/05 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/05 Structured Asset Securities Corp 2005 DE 8.01,9.01 11/25/05 SULPHCO INC NV 1.01,9.01 11/29/05 SUNRISE TELECOM INC 7.01,9.01 12/02/05 SUPERTEL HOSPITALITY INC VA 2.01,2.03,9.01 11/07/05 AMEND Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 11/25/05 Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 11/25/05 Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 11/25/05 TIMKEN CO OH 8.01 12/02/05 TITAN INTERNATIONAL INC IL 1.01,9.01 12/01/05 TODCO DE 7.01,9.01 12/02/05 TORVEC INC NY 3.02 12/02/05 TOWER PROPERTIES CO MO 8.01,9.01 12/02/05 TRINITY LEARNING CORP UT 7.01 12/02/05 TRIO TECH INTERNATIONAL CA 8.01,9.01 12/02/05 TRIO TECH INTERNATIONAL CA 8.01,9.01 12/02/05 AMEND Triple Crown Media, Inc. DE 1.01,9.01 11/30/05 TRM CORP OR 7.01,9.01 11/29/05 UNION CARBIDE CORP /NEW/ NY 2.01 11/30/05 UNITED BANCSHARES INC/OH OH 8.01,9.01 12/02/05 UNITED GUARDIAN INC DE 8.01,9.01 12/02/05 UNITED REFINING CO PA 8.01,9.01 12/02/05 UNITED STATES STEEL CORP DE 1.01,5.02,9.01 11/29/05 UNITED STATES STEEL CORP DE 1.01,9.01 11/29/05 VECTREN CORP IN 8.01 12/01/05 VENTAS INC DE 9.01 12/02/05 VERIDIUM CORP DE 5.02 11/23/05 VeriFone Holdings, Inc. DE 2.02,9.01 12/01/05 VERIZON COMMUNICATIONS INC DE 5.02 12/01/05 VERSAR INC DE 1.01 09/30/05 AMEND VERTEX PHARMACEUTICALS INC / MA MA 1.01,3.02,8.01 11/28/05 VioQuest Pharmaceuticals, Inc. MN 1.01,5.02,9.01 11/28/05 VISUAL NETWORKS INC DE 1.01,8.01,9.01 12/02/05 VSOURCE INC DE 4.01 11/29/05 WAH KING INVEST CORP. DE 2.01 12/02/05 WALT DISNEY CO/ DE 5.02 12/02/05 WaMu Asset Acceptance Corp. DE 9.01 11/30/05 WATERFORD GAMING LLC DE 8.01 12/02/05 WATERSIDE CAPITAL CORP VA 5.02,9.01 11/04/05 WEATHERFORD INTERNATIONAL LTD D0 1.01,9.01 12/01/05 WELLPOINT INC IN 1.01,5.02,5.03,7.01,9.01 11/29/05 Wells Fargo Asset Securities Corp Mor DE 8.01,9.01 11/25/05 Wells Fargo Asset Securities Corp Mor DE 8.01,9.01 11/25/05 Wells Fargo Asset Securities Corp Mor DE 8.01,9.01 11/25/05 Wells Fargo Mortgage Asset-Backed Pas DE 8.01,9.01 11/25/05 WERNER ENTERPRISES INC NE 1.01 11/29/05 WESTERN DIGITAL CORP DE 1.01 11/29/05 WEYERHAEUSER CO WA 7.01 12/02/05 WFS FINANCIAL 2005-1 OWNER TRUST 8.01,9.01 11/17/05 WFS Financial 2005-2 Owner Trust CA 8.01,9.01 11/17/05 WFS FINANCIAL 2005-3 OWNER TRUST CA 8.01,9.01 11/17/05 WHITNEY HOLDING CORP LA 1.01 11/29/05 WHOLESALE AUTO RECEIVABLES CORP DE 9.01 12/02/05 Winthrop Realty Trust OH 7.01,9.01 12/01/05 WMS INDUSTRIES INC /DE/ DE 5.02,9.01 12/01/05 WORLD FUEL SERVICES CORP FL 7.01,9.01 12/02/05 World Monitor Trust III DE 4.01,9.01 12/01/05 XCYTE THERAPIES INC WA 1.01,9.01 12/01/05 XENOPORT INC DE 1.01,9.01 11/30/05 YUM BRANDS INC NC 8.01,9.01 10/31/05 ZOLTEK COMPANIES INC DE 1.01,2.03,3.02,9.01 11/30/05