SEC NEWS DIGEST Issue 2005-151 August 8, 2005 COMMISSION ANNOUNCEMENTS SEC ADVISORY COMMITTEE ON SMALLER COMPANIES PUBLISHES AGENDA, IDENTIFIES WITNESS PANELS, FOR CHICAGO MEETING Washington, D.C., Aug. 8, 2005 – The Securities and Exchange Commission’s Advisory Committee on Smaller Public Companies today the agenda and witness list for its two-day meeting at the John Marshall School of Law in Chicago on August 9 and 10, 2005. The agenda includes consideration, and possible adoption, of two recommendations. One recommendation would endorse a further delay by the SEC in enforcing compliance with Sarbanes-Oxley Act internal control requirements by smaller companies. Another recommendation would define the “smaller public companies” and “microcap companies” for which the Advisory Committee would provide specific recommendations in the future. The witnesses include officers of small cap companies and other persons knowledgeable about securities regulation of small cap companies. The Advisory Committee was established by the SEC to examine the impact of the Sarbanes-Oxley Act and other federal securities laws on smaller companies. The Committee’s mission is to provide recommendations to the SEC to assure that the costs and burdens of federal securities regulation for smaller companies are commensurate with the benefits to investors and the public. The Committee is expected to present its final report to the Commission in April 2006. The Chicago meeting will be the third public meeting of the Advisory Committee. The Committee will hear from witnesses from 1:00 to 5:30 p.m. on August 9. The Committee will conduct a business session on August 10 from 1:00 to 5:30 p.m. Both sessions will be held in Room 300 of the John Marshall School of Law, 315 South Plymouth Court, Chicago. The public is welcome to attend both sessions, and both will be audio webcast on the Commission’s website at www.sec.gov. The agenda for the meeting, including information on composition of the witness panels, follows: August 9, 2005, 1:00–5:30 p.m. I. Co-Chairs’ Introductory Remarks James C. Thyen, Herbert S. Wander II. First Panel of Witnesses: David Bochnowski, Chairman and Chief Executive Officer, Peoples Bank, Munster, Indiana (testifying on behalf of the America’s Community Bankers) Donald S. Perkins, former Chair, Jewel Companies Inc., experienced public company director, Chicago, Illinois Mark Schroeder, Chief Executive Officer, German American Bancorp, Jasper, Indiana Mark T. Spears, Chief Financial Officer, LKQ Corporation, Chicago, Illinois III. Break IV. Second Panel of Witnesses: James P. Hickey, Principal, Co-Head of Technology Group, William Blair & Company Michael K. Molitor, Law Professor, Thomas M. Cooley Law School, Grand Rapids, Michigan Joseph A. Stieven, Financial Analyst, Stifel Nicolaus, St. Louis, Missouri Bill Travis, Managing Partner, McGladery & Pullen LLP, Minneapolis, Minnesota V. Adjournment August 10, 2005, 1:00–5:30 p.m. I. Discussion of Witness Presentations and Written Statements Received for Meeting II. Reports of Subcommittee Activities Internal Control Over Financial Reporting, Janet Dolan Capital Formation, E. David Coolidge, III Accounting Standards, Leroy Dennis Corporate Governance and Disclosure, Richard M. Jaffee III. Break IV. Report of Recommendation of Subcommittee on Internal Control Over Financial Reporting on Extending Compliance Date for Certain Companies to Meet Sarbanes-Oxley Section 404 Requirements Janet Dolan, Richard D. Brounstein V. Report of Recommendation of “Size” Task Force on Definitionof “Smaller Public Company” James C. Thyen, Alex Davern VI. Next Steps San Francisco Meeting VII. Adjournment (Press Rel. 2005-111) SEC XBRL VOLUNTARY PROGRAM EXTENDS TO INVESTMENT COMPANIES The Securities and Exchange Commission today expanded its voluntary program begun in April to make it easier for investors and others to use disclosure documents filed with the Commission. The expansion will allow mutual funds to file exhibits to their annual report to shareholders (N-CSR) and quarterly statement of portfolio holdings (N-Q) using eXtensible Business Reporting Language (XBRL). XRBL turns text- based information, such as the filings currently available through the Commission's public database, the EDGAR system, into documents that can be retrieved, searched and analyzed through automated means. Meyer Eisenberg, Acting Director of the Division of Investment Management, said, “Mutual funds should review the benefits of participation in this important voluntary program. Today’s action is a significant step towards the collection and evaluation of XBRL data. Once mutual funds begin participating in the voluntary program, investors, analysts, the SEC and volunteers in the program themselves will be able to assess the potential benefits of XBRL.” Mutual funds will be able to file XBRL exhibits using the US GAAP Investment Management classification system. Classification systems for commercial and industrial companies, banking and savings institutions, and insurance companies are already available under the voluntary program. This voluntary program will help the Commission determine whether these improvements will empower individual investors to get information faster and more conveniently and to choose more wisely by making better-informed comparisons. The full text of the voluntary program release can be accessed on the Commission's website at http://www.sec.gov/spotlight/xbrl.htm. (Press Rel. 2005-112) ENFORCEMENT PROCEEDINGS COURT ENTERS FINAL JUDGMENTS AGAINST ERNESTO V. SIBAL, DOSEPH J. SHIN, CHAE HYON CHIN, BENJAMIN Y. CHIU AND PEJMAN SABET COMMISSION INSTITUES SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST ERNESTO V. SIBAL, DOSEPH J. SHIN AND BENJAMIN Y. CHIU BARRING EACH OF THEM FROM THE SECURITIES INDUSTRY On July 22, 2005, the U.S. District Court for the Central District of California entered final judgments against Ernesto V. Sibal, Doseph J. Shin, Chae Hyon Chin, Benjamin Y. Chiu and Pejman Sabet based upon charges of insider trading. See SEC v. Ernesto Sibal, et al., Civil Action No. CV 05-3133 GPS (AJWx) (C.D. CA). In its complaint, filed on April 28, 2005, the Commission alleged that, during 2002 and 2003, Shin and Robert Joo, a sixth defendant against whom the Commission’s action continues, misappropriated material nonpublic information from the investment banks where they worked and tipped Sibal, Chin, Chiu and Sabet in advance of one or more of four separate merger transactions. The defendants used the misappropriated information to trade in the securities of one or more of the following companies: NCS Healthcare, Inc., The DeWolfe Companies, Inc., Prime Retail, Inc. and Airborne, Inc. The complaint alleged that during the course of these multifaceted and highly profitable insider trading schemes, the individuals who executed the trades shared certain of their illegal profits with, or paid kickbacks to, Shin and/or Joo. The Commission alleged that defendants, collectively, made in excess of $970,000 in illegal profits from these trading schemes. Sibal, Shin, Chin and Chiu each also pled guilty to conspiring to commit securities fraud and wire fraud – offenses carrying a maximum penalty of five years imprisonment and a fine of up to approximately $2 million. All four defendants have agreed to pay full restitution to the victims of the offense. Joo has pled guilty to conspiracy to commit securities fraud and wire fraud, and conspiracy to obstruct SEC proceedings. Sibal and Chiu are scheduled to be sentenced August 22, 2005; Shin and Chin are scheduled to be sentenced September 19, 2005; and Joo will be sentenced Oct. 24, 2005. Without admitting or denying the allegations in the Commission’s complaint, Sibal, Shin, Chin, Chiu and Sabet each consented to the entry of the final judgments, which permanently enjoin them from violating the antifraud provisions of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 promulgated thereunder. The court has ordered defendants to pay a total of $1,111,515.23 in disgorgement, prejudgment interest and penalties: * Sibal was ordered to pay disgorgement of $784,800.05, prejudgment interest of $52,687.03, and a $150,000 civil penalty. * Chiu was ordered to pay disgorgement of $14,373, prejudgment interest of $1,457.79, and a $14,373 civil penalty. * Sabet was ordered to pay disgorgement of $4,805, prejudgment interest of $590.99, and a $4,805 civil penalty. * Chin was held liable for payment of $117,309.05 in disgorgement and prejudgment interest in the amount of $8,984.12, but the court waived payment of all but $73,623.37 based on sworn representations in his Statement of Financial Condition and other documents and information submitted to the Commission. * Shin was held liable for payment of $965,089.10 in disgorgement and prejudgment interest in the amount of $66,478.12, but the court waived payment of all but $10,000 based on sworn representations in his Statement of Financial Condition and other documents and information submitted to the Commission. On August 8, based on the entry of the Court’s injunction, the Commission instituted settled administrative proceedings against Sibal, Shin and Chiu. Without admitting or denying the Commission’s findings, each has consented to the entry of Commission orders, which bar Sibal and Shin from associating with any broker or dealer, and bar Chiu from associating with any broker, dealer or investment adviser. For more information see LR-19210 (April 28, 2005). The Commission’s investigation is continuing. [SEC v. Ernesto Sibal, et al., Civil Action No. CV 05-3133 GPS, AJWx, C.D. CA, filed April 28, 2005] (LR-19328) (In the Matter of Ernesto V. Sibal and Doseph J. Shin - Rel. 52223; File No. 3-12008; In the Matter of Benjamin Y. Chiu - Rel. 52222; File No. 12007) INVESTMENT COMPANY ACT RELEASES WNC HOUSING TAX CREDIT FUND VI, L.P., SERIES 13 AND SERIES 14, AND WNC & NATIONAL PARTNERS, LLC, ET AL. A NOTICE HAS BEEN ISSUED GIVING INTERESTED PERSONS UNTIL August 29 to request a hearing on an application filed by WNC Housing Tax Credit Fund VI, L.P., Series 13 and Series 14 (Series) and WNC & National Partners, LLC, for an Order under Section 6 (c) and 6(e) of the Investment Company Act exempting each Series from all provisions of the Act Except Section 37 through53 of the Act and the rules and regulations under those Section other than Rule 38a-1. The order would permit each Series to invest in limited partnerships that engage in the ownership and operation of apartment complexes for low and moderate income persons. (Rel. IC-27026 – August 4) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE A proposed rule change (SR-Phlx-2005-49) filed by the Philadelphia Stock Exchange to impose licensing fees in connection with the firm-related equity option and index option fee cap has be come 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 August 8. (Rel. 34-52220) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-Amex-2005-024) to establish a process for the waiver, deferral or rebate of listing fees for certain closed-end funds. Publication of the proposal is expected in the Federal Register during the week of August 8. (Rel. 34-522216) 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 UNITRIN INC, ONE EAST WACKER DR, CHICAGO, IL, 60601, 3126614600 - 1,000,000 ($53,400,000.00) Other, (File 333-127216 - Aug. 5) (BR. 01C) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($160,982,290.00) Equity, (File 333-127217 - Aug. 5) (BR. 02C) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($23,208,000.00) Equity, (File 333-127218 - Aug. 5) (BR. 02C) SB-2 IDI GLOBAL INC, 462 EAST 800 NORTH, OREM, UT, 84097, 8012244444 - 5,346,428 ($1,817,786.00) Equity, (File 333-127220 - Aug. 5) (BR. 03C) S-8 MKS INSTRUMENTS INC, 90 INDUSTRIAL WAY, WILMINGTON, MA, 01887, 978-284-4000 - 0 ($282,450,000.00) Equity, (File 333-127221 - Aug. 5) (BR. 10B) S-3 CONVERA CORP, 1921 GALLOWS ROAD SUITE 200, VIENNA, VA, 22182, 7037615254 - 5,555,556 ($52,277,782.00) Equity, (File 333-127222 - Aug. 5) (BR. 03A) S-8 ALLIANCE CAPITAL MANAGEMENT HOLDING LP, 1345 AVE OF THE AMERICAS, NEW YORK, NY, 10105, 2129691000 - 0 ($100,000,000.00) Other, (File 333-127223 - Aug. 5) (BR. 07B) S-8 WSFS FINANCIAL CORP, 838 MARKET ST, WILMINGTON, DE, 19801, 3027926000 - 400,000 ($23,232,000.00) Equity, (File 333-127225 - Aug. 5) (BR. 07A) S-8 VEECO INSTRUMENTS INC, TERMINAL DR, PLAINVIEW, NY, 11803, 5163498300 - 0 ($25,581,250.00) Equity, (File 333-127226 - Aug. 5) (BR. 10C) S-8 APEX WEALTH ENTERPRISES LTD, ROOMS 3505-06, 35TH FLOOR, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, K3, 00000, 852 2736 2111 - 1,120,000 ($112,000.00) Equity, (File 333-127227 - Aug. 5) (BR. 08) S-8 STREAM COMMUNICATIONS NETWORK & MEDIA INC., 400 BURRARD ST, SUITE 1020, VANCOUVER, A1, V6C 3A6, 604-669-2826 - 4,810,000 ($2,886,000.00) Equity, (File 333-127228 - Aug. 5) (BR. 11B) S-4 DIAMOND OFFSHORE DRILLING INC, 15415 KATY FREEWAY, HOUSTON, TX, 77094, 7134925300 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-127229 - Aug. 5) (BR. 04A) S-3 ASSET BACKED SECURITIES CORP, 11 MADISON AVE, PARK AVE PLAZA, NEW YORK, NY, 10010, 2123251811 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-127230 - Aug. 5) (BR. 05D) N-2 MASSACHUSETTS HEALTH & EDUCATION TAX EXEMPT TRUST, THE EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 617-482-8260 - 200 ($10,000,000.00) Equity, (File 333-127231 - Aug. 5) (BR. 16) S-8 PROQUEST CO, 300 NORTH ZEEB ROAD, ANN ARBOR, MI, 48103-1553, 7347614700 - 1,900,000 ($64,505,000.00) Equity, (File 333-127232 - Aug. 5) (BR. 05B) S-3 MERRILL LYNCH MORTGAGE INVESTORS INC, 4LD FINANCIAL CENTER FLOOR 10, NEW YORK, NY, 10281-1310, 2124491000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-127233 - Aug. 5) (BR. 05) S-8 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL, 60523, 630-954-2000 - 0 ($69,520,000.00) Equity, (File 333-127234 - Aug. 5) (BR. 05B) S-8 VEECO INSTRUMENTS INC, TERMINAL DR, PLAINVIEW, NY, 11803, 5163498300 - 0 ($40,930,000.00) Equity, (File 333-127235 - Aug. 5) (BR. 10C) S-8 ICOS CORP / DE, 22021-20TH AVENUE S.E.,, BOTHELL, WA, 98021, 2064851900 - 0 ($75,487,000.00) Equity, (File 333-127236 - Aug. 5) (BR. 01A) S-3 New Century Mortgage Securities LLC, 18400 VON KARMAN, SUITE 100, IRVINE, CA, 92612, 949-224-5706 - 0 ($6,000,000,000.00) Mortgage Backed Securities, (File 333-127237 - Aug. 5) (BR. 05D) S-1 BANK STREET TELECOM FUNDING CORP., ONE LANDMARK SQUARE, 18TH FLOOR, STAMFORD, CT, 06901, 203-252-2800 - 0 ($177,100,000.00) Equity, (File 333-127238 - Aug. 5) (BR. ) SB-2 360 GLOBAL WINE CO, ONE KIRKLAND RANCH ROAD, NONE, NAPA, CA, 94558, 7072549100 - 257,159,868 ($51,431,973.60) Other, (File 333-127239 - Aug. 5) (BR. 09A) S-8 VEECO INSTRUMENTS INC, TERMINAL DR, PLAINVIEW, NY, 11803, 5163498300 - 0 ($30,697,500.00) Equity, (File 333-127240 - Aug. 5) (BR. 10C) S-3 PHARMACOPEIA DRUG DISCOVERY INC, P.O. BOX 5350, PRINCETON, NJ, 08543-5350, 0 ($9,756,000.00) Equity, (File 333-127241 - Aug. 5) (BR. 01) SB-2 Atlantic Bancshares, Inc., POST OFFICE BOX 3077, 1 SHERINGTON DRIVE, SUITE J, BLUFFTON, SC, 29910, 843.368.3607 - 1,280,000 ($12,800,000.00) Equity, (File 333-127242 - Aug. 5) (BR. ) S-8 RIMAGE CORP, 7725 WASHINGTON AVE S, EDINA, MN, 55439, 6129448144 - 500,000 ($12,560,000.00) Equity, (File 333-127244 - Aug. 5) (BR. 03A) S-3 ADVANCED MEDICAL OPTICS INC, 1700 E. ST. ANDREW PL., SANTA ANA, CA, 92705, 714-247-8200 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-127245 - Aug. 5) (BR. 10A) S-8 THERMO ELECTRON CORP, 81 WYMAN ST, PO BOX 9046, WALTHAM, MA, 02451, 7816221000 - 110,000,000 ($322,410,000.00) Equity, (File 333-127246 - Aug. 5) (BR. 10C) S-8 COVAD COMMUNICATIONS GROUP INC, 110 RIO ROBLES, SAN JOSE, CA, 95134, 4089526400 - 7,910,426 ($8,701,468.60) Equity, (File 333-127247 - Aug. 5) (BR. 11B) S-3 ACCENTURE LTD, CANON, 22 VICTORIA STREET, HAMILTON, HAMILTON, D0, HM12, 0 ($2,707,415,775.09) Equity, (File 333-127248 - Aug. 5) (BR. 08A) S-8 VERISIGN INC/CA, 487 EAST MIDDLEFIELD ROAD, ATTN: GENERAL COUNSEL, MOUNTAIN VIEW, CA, 94043, 6509617500 - 23,515 ($2,586.65) Equity, (File 333-127249 - Aug. 5) (BR. 03B) S-4 THERMO ELECTRON CORP, 81 WYMAN ST, PO BOX 9046, WALTHAM, MA, 02451, 7816221000 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-127250 - Aug. 5) (BR. 10C) S-3 BEAR STEARNS ASSET BACKED FUNDING II INC, 383 MADISON AVENUE, NEW YORK, NY, 10179, 2122722000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-127251 - Aug. 5) (BR. 05) S-8 NCT GROUP INC, 20 KETCHUM ST, WESTPORT, CT, 06880, 2032264447 - 618,000,000 ($13,545,213.05) Equity, (File 333-127252 - Aug. 5) (BR. 10B) N-2 Global Currency Strategy Income Fund Inc., 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536, 609-282-5904 - 0 ($1,000,000.00) Equity, (File 333-127253 - Aug. 5) (BR. ) S-3 GMX RESOURCES INC, ONE BENHAM PLACE, SUITE 600, OKLAHOMA CITY, OK, 73114, 4056000711 - 1,600,000 ($28,248,000.00) Equity, (File 333-127254 - Aug. 5) (BR. 04C) S-8 GERON CORPORATION, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 - 2,000,000 ($20,840,000.00) Other, (File 333-127255 - Aug. 5) (BR. 01A) S-4 CLINICAL DATA INC, ONE GATEWAY CENTER, SUITE 411, NEWTON, MA, 02158, 6172619933 - 3,158,600 ($63,361,516.00) Equity, (File 333-127256 - Aug. 5) (BR. 10A) SB-2 New Century Energy Corp., 5851 SAN FELIPE, SUITE 775, HOUSTON, TX, 77057, 7132664344 - 54,921,171 ($26,911,373.79) Equity, (File 333-127257 - Aug. 5) (BR. 04A) S-4 RADIO ONE INC, 5900 PRINCESS GARDEN PARKWAY, 8TH FL, LANHAM, MD, 20706, 3013061111 - 0 ($200,000,000.00) Other, (File 333-127258 - Aug. 5) (BR. 11C) SB-2 GRANT ENTERPRISES INC., 233 WILSHIRE BLVD., SUITE 960, SANTA MONICA, CA, 90401, 310-393-0104 - 400,000 ($40,000.00) Equity, (File 333-127259 - Aug. 5) (BR. ) S-8 EDWARDS LIFESCIENCES CORP, ONE EDWARDS WAY, IRVINE, CA, 92614, 9492502500 - 0 ($76,772,000.00) Equity, (File 333-127260 - Aug. 5) (BR. 10B) SB-2 CONSOLIDATED ENERGY INC, 12508 WEST ATLANTIC BLVD, CORAL SPRINGS, FL, 33071, 954-575-1471 - 11,313,904 ($29,529,289.44) Equity, (File 333-127261 - Aug. 5) (BR. 04) S-4 VENTAS INC, 10350 ORMSBY PARK PLACE, SUITE 300, LOUISVILLE, KY, 40223, 5023579000 - 0 ($400,000,000.00) Other, (File 333-127262 - Aug. 5) (BR. 08C) S-8 COM GUARD COM INC, 3838 CAMINO DEL RIO N, STE 333, SAN DIEGO, CA, 92108, 6192808000 - 13,000,000 ($650,000.00) Equity, (File 333-127263 - Aug. 5) (BR. 08A) S-8 NEPHROS INC, 3960 BROADWAY, NEW YORK, NY, 10032, 2127815113 - 2,423,773 ($5,177,696.35) Equity, (File 333-127264 - Aug. 5) (BR. 10B) S-8 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0, T2P 3L8, 4032313900 - 0 ($14,762,500.00) Equity, (File 333-127265 - Aug. 5) (BR. 04B) S-8 CHENIERE ENERGY INC, 717 TEXAS AVENUE, SUITE 3100, HOUSTON, TX, 77002, 7136591361 - 0 ($202,620,000.00) Equity, (File 333-127266 - Aug. 5) (BR. 04A) S-3 XM SATELLITE RADIO HOLDINGS INC, 1500 ECKINGTON PL NE, WASHINGTON, DC, 20002, 2023804000 - 0 ($190,410,000.00) Equity, (File 333-127267 - Aug. 5) (BR. 11B) S-3 DAWSON GEOPHYSICAL CO, 508 WEST WALL, SUITE 800, MIDLAND, TX, 79701, 9156843000 - 0 ($75,000,000.00) Other, (File 333-127268 - Aug. 5) (BR. 04A) S-3 CHENIERE ENERGY INC, 717 TEXAS AVENUE, SUITE 3100, HOUSTON, TX, 77002, 7136591361 - 0 ($325,000,000.00) Debt Convertible into Equity, 0 ($67,540,000.00) Equity, (File 333-127269 - Aug. 5) (BR. 04A) S-3 XM SATELLITE RADIO HOLDINGS INC, 1500 ECKINGTON PL NE, WASHINGTON, DC, 20002, 2023804000 - 0 ($301,643,566.00) Other, (File 333-127270 - Aug. 5) (BR. 11B) S-8 IDX SYSTEMS CORP, 1400 SHELBURNE RD, PO BOX 1070, SOUTH BURLINGTON, VT, 05403, 8028621022 - 3,500,000 ($111,930,000.00) Equity, (File 333-127271 - Aug. 5) (BR. 03A) S-1 HIGHBURY FINANCIAL INC, 999 EIGHTEENTH STREET, SUITE 3000, DENVER, CO, 80202, 303-893-2899 - 21,600,001 ($117,120,100.00) Equity, (File 333-127272 - Aug. 5) (BR. ) S-8 TELEDYNE TECHNOLOGIES INC, 12333 W OLYMPIC BLVD, LOS ANGELES, CA, 90064, 3108931600 - 201,600 ($7,560,000.00) Equity, (File 333-127273 - Aug. 5) (BR. 06B) S-4 REGENCY CENTERS LP, 121 W FORSYTH STREET, SUITE 200, JACKSONVILLE, FL, 32202, 9043567000 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-127274 - Aug. 5) (BR. 08C) S-8 HARRINGTON WEST FINANCIAL GROUP INC/CA, 610 ALAMO PINTADO RD, SOLVANG, CA, 93463, 8056886644 - 536,385 ($9,220,458.15) Equity, (File 333-127275 - Aug. 5) (BR. 07B) S-3 KNOLOGY INC, 1241 O G SKINNER DRIVE, WEST POINT, GA, 31833, 7066458553 - 0 ($12,718,390.00) Equity, (File 333-127276 - Aug. 5) (BR. 11B) 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 649 COM INC 2.03 08/03/05 A CONSULTING TEAM INC NY 1.02,9.01 08/04/05 ACCENTURE LTD 8.01 08/05/05 ACE SECURITIES CORP DE 8.01,9.01 08/05/05 ACTIVISION INC /NY DE 5.02,5.03,9.01 08/05/05 ACUSPHERE INC DE 8.01 08/04/05 ADOLOR CORP 2.02,9.01 08/05/05 ADVANCED CELL TECHNOLOGY, INC. NV 1.01,5.02,5.05,8.01 08/01/05 ADVANCED ENERGY INDUSTRIES INC DE 1.01,9.01 08/04/05 ADVANCIS PHARMACEUTICAL CORP 1.02 08/03/05 AEP INDUSTRIES INC DE 7.01,9.01 08/05/05 AEROFLEX INC DE 9.01 05/23/05 AMEND AEROFLEX INC DE 9.01 05/23/05 AMEND AIRNET SYSTEMS INC OH 3.01,9.01 08/01/05 AIRSPAN NETWORKS INC WA 2.02,9.01 08/03/05 ALLIANCE RESOURCE PARTNERS LP DE 1.01,9.01 08/04/05 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 08/04/05 ALLIANCE SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 08/04/05 AMEND ALLIANT ENERGY CORP WI 2.02,2.06,9.01 08/05/05 ALLIN CORP DE 2.02,9.01 08/03/05 Allis Chalmers Energy Inc. DE 1.01,1.02 08/01/05 Allis Chalmers Energy Inc. DE 2.02,4.02,9.01 08/04/05 Alon USA Energy, Inc. DE 1.01,9.01 08/02/05 AMERICAN EAGLE OUTFITTERS INC DE 7.01,8.01,9.01 08/03/05 AMERICAN EXPRESS CERTIFICATE CO DE 8.01 08/01/05 AMERICAN MEDICAL ALERT CORP NY 7.01,9.01 08/05/05 AMERICAN PHYSICIANS CAPITAL INC MI 2.02,9.01 08/04/05 AMERICAN SCIENCE & ENGINEERING INC MA 2.02,9.01 08/05/05 AMERIVEST PROPERTIES INC MD 2.02,9.01 08/05/05 Ames True Temper, Inc. DE 2.02,9.01 08/05/05 ANADYS PHARMACEUTICALS INC 8.01,9.01 08/01/05 ANIMAS CORP DE 2.02,9.01 08/02/05 ANNUITY & LIFE RE (HOLDINGS), LTD. D0 2.02,9.01 08/04/05 APPALACHIAN BANCSHARES INC GA 8.01 08/01/05 APPLIED MATERIALS INC /DE DC 1.01 08/04/05 ARBOR REALTY TRUST INC MD 2.02,5.02,8.01,9.01 08/05/05 ARGOSY GAMING CO DE 1.01,8.01,9.01 08/03/05 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 08/04/05 ARKONA INC DE 2.02,9.01 08/02/05 ARMSTRONG HOLDINGS INC /PA/ PA 2.02,9.01 08/02/05 ARRAY BIOPHARMA INC DE 8.01,9.01 08/04/05 ARTESIAN RESOURCES CORP DE 2.03 08/01/05 ARTISTDIRECT INC DE 9.01 07/28/05 AMEND ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/04/05 ASSURED GUARANTY LTD 2.02,9.01 08/04/05 ASSURED GUARANTY LTD 1.01,5.02,9.01 08/03/05 ATP OIL & GAS CORP TX 2.02,9.01 08/04/05 AVIGEN INC \DE DE 2.02,2.05,9.01 08/01/05 AZUREL LTD 5.02 07/25/05 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 08/02/05 BANDAG INC IA 5.02 08/05/05 BARRY R G CORP /OH/ OH 1.01,9.01 08/02/05 BEBE STORES INC CA 2.02,9.01 07/30/05 BEHRINGER HARVARD REIT I INC MD 9.01 08/05/05 AMEND BEI TECHNOLOGIES INC DE 2.02,9.01 08/05/05 BELL INDUSTRIES INC /NEW/ CA 2.02,9.01 08/05/05 BENIHANA INC DE 3.02,9.01 08/04/05 BERKSHIRE HILLS BANCORP INC 2.01,5.02,9.01 06/01/05 BIOANALYTICAL SYSTEMS INC IN 1.01,5.02,9.01 08/01/05 BioScrip, Inc. DE 2.02,9.01 08/04/05 BNP RESIDENTIAL PROPERTIES INC MD 2.02,9.01 08/04/05 BRAVO RESOURCE PARTNERS LTD 1.01,2.03,9.01 08/02/05 BUILDING MATERIALS HOLDING CORP DE 1.01,9.01 07/29/05 C H ROBINSON WORLDWIDE INC DE 5.02,9.01 08/05/05 CAITHNESS COSO FUNDING CORP DE 1.01,1.02,2.03,2.04 08/05/05 CALLON PETROLEUM CO DE 2.02,7.01,9.01 08/04/05 CAMCO FINANCIAL CORP DE 8.01,9.01 08/03/05 CAMCO FINANCIAL CORP DE 5.03,9.01 05/24/05 AMEND CANTEL MEDICAL CORP DE 1.01,2.01,9.01 08/01/05 CANYON RESOURCES CORP DE 8.01,9.01 08/04/05 CANYON RESOURCES CORP DE 2.02,9.01 08/05/05 CAPITAL SOLUTIONS I, INC. DE 2.01,9.01 08/04/05 AMEND CAPITAL TRUST INC MD 7.01,9.01 08/04/05 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE 1.01,9.01 08/01/05 CARDINAL HEALTH INC OH 1.01,2.02,2.05,2.06,9.01 08/03/05 Carrington Mortgage Loan Trust, Serie 9.01 06/08/05 CARRIZO OIL & GAS INC TX 2.02,9.01 08/05/05 CATALYST SEMICONDUCTOR INC DE 1.01,9.01 08/25/04 CATERPILLAR INC DE 8.01,9.01 08/04/05 CDI CORP PA 1.01 08/01/05 CDKNET COM INC DE 1.01,2.03,3.02,9.01 08/01/05 CENTRAL COAST BANCORP CA 5.02,9.01 08/04/05 CENTRAL COAST BANCORP CA 8.01 08/05/05 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,2.02,3.02,9.01 08/03/05 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.01,9.01 05/27/05 AMEND CENTRUE FINANCIAL CORP DE 2.01,9.01 08/05/05 CENTURY CASINOS INC /CO/ DE 2.02 08/04/05 CERAGENIX PHARMACEUTICALS, INC. DE 3.02,7.01,9.01 06/24/05 CERAMICS PROCESS SYSTEMS CORP/DE/ DE 2.02 06/25/05 CH2M HILL COMPANIES LTD OR 5.02 02/11/05 CHASE MORTGAGE FINANCE CORP CHASEFLEX DE 8.01,9.01 07/25/05 Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 07/25/05 ChaseFlex Trust Series 2005-2 DE 8.01,9.01 07/25/05 CHEESECAKE FACTORY INCORPORATED DE 8.01,9.01 08/02/05 CHEROKEE INTERNATIONAL CORP DE 2.02,9.01 08/04/05 CHESAPEAKE ENERGY CORP OK 2.02,9.01 08/04/05 CHINA ENERGY & CARBON BLACK HOLDINGS, 1.01,2.01,3.02,5.01,9.01 07/29/05 CHINA MOBILITY SOLUTIONS, INC. (forme FL 2.01,9.01 08/03/05 CHROMCRAFT REVINGTON INC DE 5.03,7.01,9.01 08/01/05 CITIBANK SOUTH DAKOTA N A DE 8.01 06/27/05 CKX Lands Inc LA 5.02 08/01/05 CLEVELAND CLIFFS INC OH 8.01,9.01 08/02/05 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/03/05 COLLEGIATE PACIFIC INC DE 1.01,9.01 08/03/05 COLLINS & AIKMAN CORP DE 5.02,7.01 07/25/05 COLUMBUS MCKINNON CORP NY 8.01,9.01 08/05/05 COLUMBUS MCKINNON CORP NY 5.02,9.01 08/05/05 COMCAST CORP PA 1.01,9.01 08/04/05 COMDISCO HOLDING CO INC DE 2.02,9.01 08/05/05 COMMERCE ENERGY GROUP INC DE 1.01,5.02,9.01 08/01/05 COMMUNITY BANCORP /VT VT 8.01,9.01 08/03/05 COMMUNITY BANCSHARES INC /DE/ DE 1.01,9.01 08/04/05 COMPREHENSIVE CARE CORP DE 1.01,9.01 08/01/05 COMPUPRINT INC 9.01 05/19/05 AMEND COMTECH TELECOMMUNICATIONS CORP /DE/ DE 8.01 08/02/05 CONSUMER DIRECT OF AMERICA NV 3.02,9.01 08/01/05 COOLSAVINGS INC DE 2.02,9.01 08/05/05 CRESCENT BANKING CO GA 2.02,9.01 08/05/05 CRESTED CORP CO 8.01 08/02/05 CRYOLIFE INC FL 1.01,9.01 08/01/05 CSFB HOME EQUITY PASS-THROUGH CERTIFI DE 8.01,9.01 07/25/05 CUBIST PHARMACEUTICALS INC DE 1.01,3.03,5.05,9.01 08/02/05 DANKA BUSINESS SYSTEMS PLC 2.02,9.01 08/03/05 DAVE & BUSTERS INC MO 1.01,9.01 07/29/05 AMEND DECORIZE INC DE 5.02 08/01/05 DELPHI CORP DE 8.01,9.01 08/03/05 DESERT HEALTH PRODUCTS INC AZ 4.01,9.01 07/29/05 DOMINION HOMES INC OH 2.02,7.01,9.01 08/04/05 DREW INDUSTRIES INC DE 8.01,9.01 08/04/05 DUANE READE HOLDINGS INC 8.01,9.01 08/04/05 DXP ENTERPRISES INC TX 1.01 08/02/05 E TRADE FINANCIAL CORP DE 1.01 08/01/05 EAST KANSAS AGRI ENERGY LLC KS 5.02,8.01 08/01/05 EASYLINK SERVICES CORP DE 4.01,9.01 08/02/05 ELDERWATCH INC 8.01,9.01 07/21/05 AMEND ELECSYS CORP KS 8.01,9.01 08/05/05 EMC CORP MA 8.01,9.01 08/05/05 EMCORE CORP NJ 2.05 08/01/05 EMCORE CORP NJ 2.05 08/01/05 AMEND ENDEAVOUR INTERNATIONAL CORP NV 2.02,9.01 08/04/05 ENDURANCE SPECIALTY HOLDINGS LTD 5.02,9.01 08/03/05 ENDWAVE CORP DE 5.02,9.01 08/04/05 ENERGY EAST CORP NY 2.02,7.01,9.01 08/04/05 ENERGYSOUTH INC AL 1.02 07/28/05 EnerSys DE 5.02 08/03/05 ENSURGE INC NV 1.03 08/05/05 ENTRUST FINANCIAL SERVICES INC CO 2.01,3.02,5.01,5.02,5.03,9.01 08/05/05 EQUINOX HOLDINGS INC DE 5.02 08/05/05 ESPEED INC DE 2.02,9.01 08/04/05 ESPEED INC DE 2.02,9.01 08/05/05 EXELON CORP PA 7.01,9.01 08/05/05 EXIDE TECHNOLOGIES DE 5.02,9.01 08/02/05 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02 08/04/05 EXTENDICARE HEALTH SERVICES INC DE 2.02,9.01 08/04/05 FAIRPOINT COMMUNICATIONS INC DE 2.02,8.01,9.01 08/02/05 FAMILY DOLLAR STORES INC DE 1.01,1.02,5.02,7.01,9.01 08/02/05 FIELDSTONE INVESTMENT CORP 7.01,9.01 08/05/05 FIFTH THIRD BANCORP OH 4.01,9.01 05/09/05 FIFTH THIRD BANCORP OH 4.01,9.01 05/09/05 FINANCIAL TELECOM LIMITED USA INC 1.01,3.02 05/04/05 FIRST AVIATION SERVICES INC DE 1.01,5.02 08/03/05 FIRST CAPITAL BANCORP, INC. 2.02,9.01 08/04/05 FIRST INDUSTRIAL LP DE 1.01,2.03 08/01/05 FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,2.03 08/01/05 FIRST MID ILLINOIS BANCSHARES INC DE 8.01,9.01 08/05/05 FISHER COMMUNICATIONS INC WA 2.02,9.01 08/05/05 FNB CORP/NC NC 5.02,9.01 08/01/05 Foundation Coal Holdings, Inc. DE 8.01,9.01 08/04/05 FTI CONSULTING INC MD 7.01,9.01 08/03/05 GE COMMERCIAL MORTGAGE CORP DE 8.01,9.01 08/03/05 GENITOPE CORP DE 2.02,9.01 08/04/05 Georgetown Bancorp, Inc. X1 2.02,9.01 08/02/05 GERON CORPORATION DE 2.02,9.01 08/05/05 GLOBAL ENERGY GROUP INC DE 1.01 07/29/05 GLOBAL MATRECHS, INC. DE 1.01,2.03,3.02,9.01 08/01/05 GLOBAL MED TECHNOLOGIES INC CO 8.01,9.01 08/04/05 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02 08/04/05 GRANDSOUTH BANCORPORATION SC 2.02,9.01 08/02/05 GRAPHCO HOLDINGS CORP DE 4.01,9.01 07/11/05 AMEND GREAT PLAINS ENERGY INC MO 8.01 08/05/05 GREAT WEST LIFE & ANNUITY INSURANCE C CO 2.02,7.01,9.01 08/04/05 GREENBRIER COMPANIES INC DE 1.01,9.01 08/01/05 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01,9.01 08/05/05 GS MORTGAGE SECURITIES CORP DE 8.01 08/05/05 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 08/03/05 GS MORTGAGE SECURITIES CORP DE 8.01 08/03/05 GTECH HOLDINGS CORP DE 1.01 08/02/05 HAGGAR CORP NV 7.01,9.01 08/02/05 HARLAND JOHN H CO GA 1.01,9.01 08/02/05 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 08/04/05 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 08/05/05 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,9.01 08/01/05 HOLLY CORP DE 2.02,9.01 08/04/05 Home Equity Asset Trust 2005-3 DE 8.01,9.01 07/25/05 HOME FEDERAL BANCORP, INC. OF LOUISIA 2.02,9.01 08/03/05 Home Loan Trust 2005-HI2 DE 8.01,9.01 08/01/05 HOME PROPERTIES INC MD 7.01,9.01 06/30/05 HOME SOLUTIONS OF AMERICA INC DE 3.02 08/01/05 HOMEBANC CORP GA 1.01,2.03,9.01 08/01/05 HORNBECK OFFSHORE SERVICES INC /LA DE 5.02 08/02/05 HOST AMERICA CORP DE 3.01 08/05/05 House of Taylor Jewelry, Inc. NV 4.01,9.01 08/01/05 Hybrid Technologies Inc. NV 5.03 08/03/05 IA GLOBAL INC DE 1.01,1.02,5.02,9.01 08/01/05 ILINC COMMUNICATIONS INC DE 3.02 08/01/05 IMAGEWARE SYSTEMS INC CA 3.01 08/03/05 IMPAX LABORATORIES INC DE 3.01,9.01 08/05/05 INDEPENDENT BANK CORP /MI/ MI 8.01 07/28/05 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 08/04/05 INDYMAC MBS INC 8.01,9.01 07/26/05 INDYMAC MBS INC 8.01,9.01 08/03/05 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 08/05/05 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,2.03,7.01,9.01 08/04/05 Integrated Healthcare Holdings Inc NV 5.02 08/01/05 INTEGRATED SECURITY SYSTEMS INC DE 1.01,2.03,3.02,7.01,9.01 07/29/05 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 1.01,3.02,9.01 08/03/05 INTERDIGITAL COMMUNICATIONS CORP PA 8.01 08/04/05 INTERNATIONAL SPORTS & MEDIA GROUP IN NV 5.02 07/28/05 INTERPOOL INC DE 1.01,9.01 08/01/05 INTERSIL CORP/DE DE 5.02,9.01 08/03/05 INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 08/01/05 IPAYMENT INC DE 5.02 08/05/05 IRWIN FINANCIAL CORP IN 8.01,9.01 08/05/05 Irwin Home Equity Loan Trust 2005-1 DE 8.01,9.01 07/25/05 ISIS PHARMACEUTICALS INC DE 1.01,9.01 08/02/05 ISOLAGEN INC DE 1.01,8.01,9.01 06/23/05 J P MORGAN CHASE & CO DE 9.01 07/29/05 JER Investors Trust Inc 5.02 08/05/05 JMAR TECHNOLOGIES INC DE 1.01 08/01/05 K-SEA TRANSPORTATION PARTNERS LP DE 2.02,9.01 08/04/05 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 1.01,2.02,9.01 08/03/05 KIRKLANDS INC 2.02,9.01 08/04/05 KITE REALTY GROUP TRUST MD 2.02,9.01 08/04/05 KULICKE & SOFFA INDUSTRIES INC PA 1.01 08/02/05 LACLEDE GROUP INC MO 1.01,2.03,9.01 08/04/05 LADENBURG THALMANN FINANCIAL SERVICES FL 3.02,9.01 08/01/05 LANCER CORP /TX/ TX 2.02,9.01 08/04/05 LEARNING CARE GROUP, INC MI 1.01,2.03,2.04,9.01 08/02/05 LIBERTY MEDIA CORP /DE/ DE 2.02 08/04/05 LIFE PARTNERS HOLDINGS INC TX 8.01 08/04/05 LIN TV CORP DE 2.02,9.01 08/05/05 LITTLEFIELD CORP DE 2.02 08/03/05 LML PAYMENT SYSTEMS INC A1 8.01,9.01 08/04/05 LORAL SPACE & COMMUNICATIONS LTD D0 1.03,9.01 08/01/05 LSB INDUSTRIES INC DE 2.02,9.01 08/05/05 MAF BANCORP INC DE 1.01,2.03 08/05/05 MAGNACHIP SEMICONDUCTOR LLC 2.02,9.01 08/01/05 MAN SANG HOLDINGS INC NV 5.03,8.01,9.01 08/03/05 MANNKIND CORP 1.01,3.02,8.01,9.01 08/02/05 MANPOWER INC /WI/ WI 4.01,9.01 07/27/05 AMEND MARTIN MIDSTREAM PARTNERS LP DE 7.01,9.01 08/04/05 MASS MEGAWATTS WIND POWER INC MA 4.01,9.01 07/29/05 MATRIX SERVICE CO DE 5.02 08/01/05 MATTEL INC /DE/ DE 1.01,9.01 08/05/05 MDSI MOBILE DATA SOLUTIONS INC /CAN/ A1 7.01,9.01 08/02/05 MED-DESIGN CORP 5.02 05/25/05 MEDAREX INC NJ 2.02,9.01 08/04/05 MEDINA INTERNATIONAL HOLDINGS, INC. CO 4.01,9.01 08/02/05 MEDTOX SCIENTIFIC INC DE 3.02,8.01,9.01 07/26/05 AMEND MERCHANTS BANCSHARES INC DE 2.02,9.01 08/03/05 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 08/03/05 METALINE CONTACT MINES WA 3.02 07/22/05 METALINE MINING & LEASING CO WA 1.01,5.02,9.01 08/01/05 MIDDLETON DOLL CO WI 2.02,9.01 08/05/05 MIDWAY GAMES INC DE 1.01,1.02,2.02,3.02,8.01,9.01 08/04/05 MIDWEST AIR GROUP INC WI 3.01 08/01/05 MILLENNIUM CAPITAL VENTURE HOLDINGS I DE 8.01,9.01 08/05/05 MILLENNIUM PHARMACEUTICALS INC DE 1.01 08/03/05 MILLS CORP DE 2.02,9.01 08/05/05 MIND2MARKET INC CO 4.01,9.01 08/04/05 MOLSON COORS BREWING CO CO 4.02 08/01/05 MONARCH SERVICES INC MD 3.01 08/05/05 MONSANTO CO /NEW/ DE 1.01,9.01 08/01/05 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 08/03/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 07/21/05 Morningstar, Inc. IL 7.01 08/05/05 MSO HOLDINGS INC 2.01,9.01 05/26/05 AMEND NASHUA CORP MA 3.01,9.01 08/01/05 NATHANS FAMOUS INC DE 5.05,9.01 08/05/05 NATIONAL INSTRUMENTS CORP /DE/ DE 1.01,9.01 08/05/05 National Investment Managers Inc. FL 1.01,2.01,3.02,5.02,9.01 08/02/05 NATIONAL MERCANTILE BANCORP CA 4.01,9.01 08/03/05 AMEND NATIONAL OILWELL VARCO INC DE 2.02,9.01 08/05/05 NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 06/30/05 NCT GROUP INC DE 1.01,2.03,3.02,9.01 08/01/05 NEOSE TECHNOLOGIES INC DE 2.02,2.05,2.06,9.01 08/04/05 NEVADA CLASSIC THOROUGHBREDS INC NV 8.01 08/04/05 New York & Company, Inc. 7.01 08/04/05 NEW YORK REGIONAL RAIL CORP DE 8.01,9.01 07/21/05 NEWALLIANCE BANCSHARES INC 7.01,9.01 08/05/05 NL INDUSTRIES INC NJ 2.02,7.01,9.01 08/03/05 NOBLE CORP 8.01,9.01 07/29/05 NOBLE ENERGY INC DE 1.01 08/01/05 NOBLE ROMANS INC IN 1.01,2.03,9.01 08/02/05 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 2.01,9.01 08/01/05 NORTHROP GRUMMAN CORP /DE/ DE 1.01,1.02,9.01 08/05/05 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,7.01,9.01 08/01/05 NUVELO INC DE 1.01,3.02,9.01 08/02/05 ODYSSEY HEALTHCARE INC DE 1.01 08/01/05 OKID INTERACTIVE CORP DE 2.01,5.01,5.02,5.03 08/05/05 OPENWAVE SYSTEMS INC DE 5.02 04/27/05 AMEND ORBIT INTERNATIONAL CORP DE 2.02 08/04/05 ORTHOVITA INC 1.01 08/01/05 OSTEOTECH INC DE 5.02,9.01 08/01/05 PACKAGING DYNAMICS CORP DE 2.02,9.01 08/04/05 PACKAGING DYNAMICS CORP DE 5.02,8.01,9.01 08/04/05 PANAMERICAN BANCORP DE 1.01,3.02,5.01,8.01,9.01 08/01/05 PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 08/04/05 PAYGARD INC NV 4.01,9.01 08/04/05 AMEND PEABODY ENERGY CORP DE 1.01 08/03/05 PEAK INTERNATIONAL LTD D0 2.02,9.01 08/04/05 PENNSYLVANIA COMMERCE BANCORP INC 8.01,9.01 08/05/05 PERFICIENT INC DE 2.02,9.01 08/03/05 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 06/30/05 PHARMACOPEIA DRUG DISCOVERY INC DE 2.02,9.01 08/04/05 PLUG POWER INC DE 8.01,9.01 08/04/05 PMA CAPITAL CORP PA 2.02,9.01 08/04/05 POLYCOM INC DE 5.03,9.01 08/03/05 POLYMEDICA CORP MA 1.01,9.01 08/05/05 PORTSMOUTH SQUARE INC CA 8.01 07/27/05 POZEN INC /NC 8.01,9.01 08/05/05 PRAECIS PHARMACEUTICALS INC DE 2.02,9.01 08/05/05 PRECISION OPTICS CORPORATION INC MA 1.01,3.01,5.02,9.01 08/01/05 PREMIER DEVELOPMENT & INVESTMENT INC NV 3.02,5.02,9.01 08/05/05 PRIME GROUP REALTY TRUST MD 2.02,9.01 08/05/05 PROTECTIVE LIFE CORP DE 2.02 06/30/05 PRUDENTIAL BACHE WATSON & TAYLOR LTD TX 7.01 08/05/05 PS BUSINESS PARKS INC/CA CA 1.01,9.01 08/02/05 PYRAMID BREWERIES INC WA 2.02,9.01 08/04/05 QUALITY SYSTEMS INC CA 2.02,9.01 08/03/05 QUANTA CAPITAL HOLDINGS LTD 1.02,2.02,9.01 08/01/05 RAAC Series 2005-SP1 Trust DE 8.01,9.01 08/01/05 RAINMAKER SYSTEMS INC CA 1.01,2.03,9.01 08/04/05 RAMP Series 2005 SL2 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-EFC1 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RS1 Trust 8.01,9.01 08/01/05 RAMP Series 2005-RS2 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RS3 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RS4 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RS5 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RS6 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-RZ1 Trust DE 8.01,9.01 08/01/05 RAMP Series 2005-SL1 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-EMX1 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS1 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS2 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS3 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS4 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS5 Trust DE 8.01,9.01 08/01/05 RASC Series 2005-KS6 Trust DE 8.01,9.01 08/01/05 RAYTECH CORP DE 3.01 08/01/05 REEBOK INTERNATIONAL LTD MA 1.01,9.01 08/01/05 REEBOK INTERNATIONAL LTD MA 8.01,9.01 08/02/05 RELATIONSERVE MEDIA INC 9.01 06/10/05 AMEND REMINGTON OIL & GAS CORP DE 2.02,9.01 08/02/05 RES CARE INC /KY/ KY 1.01,5.02,9.01 08/01/05 RFMSI Series 2005-S1 Trust DE 8.01,9.01 08/01/05 RFMSI Series 2005-S2 Trust DE 8.01,9.01 08/01/05 RFMSI Series 2005-S3 Trust DE 8.01,9.01 08/01/05 RFMSI Series 2005-S4 Trust DE 8.01,9.01 08/01/05 RFMSI Series 2005-SA1 Trust DE 8.01,9.01 08/01/05 RFMSI Series 2005-SA2 Trust DE 8.01,9.01 08/01/05 RFMSII 2005-HI1 DE 8.01,9.01 08/01/05 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 08/03/05 Rock-Tenn CO GA 2.02,2.05,9.01 08/03/05 ROYAL BODYCARE INC/NV DE 2.02 08/04/05 RUDDICK CORP NC 2.02,9.01 08/04/05 SABINE ROYALTY TRUST TX 2.02,9.01 08/04/05 SAFETY INSURANCE GROUP INC DE 2.02,9.01 08/05/05 SAKS INC TN 8.01,9.01 08/04/05 SANTA FE FINANCIAL CORP NV 8.01 07/27/05 SCAN OPTICS INC DE 1.01,2.01,2.04,5.02,5.03,8.01,9.01 08/03/05 SCHICK TECHNOLOGIES INC DE 8.01,9.01 08/04/05 SCOLR Pharma, Inc. DE 1.01,9.01 08/03/05 SCOTTS MIRACLE-GRO CO OH 7.01,9.01 08/04/05 SECURED SERVICES INC DE 5.02 08/03/05 SEQUOIA MORTGAGE TRUST 2004-12 8.01,9.01 07/20/05 Sequoia Mortgage Trust 2005-1 8.01,9.01 07/20/05 Sequoia Mortgage Trust 2005-2 8.01,9.01 07/20/05 Sequoia Mortgage Trust 2005-3 8.01,9.01 07/20/05 SERENA SOFTWARE INC DE 2.02,9.01 08/04/05 SFSB, Inc. X1 1.01,9.01 08/01/05 SHARPER IMAGE CORP DE 2.02,9.01 08/04/05 SHELTER PROPERTIES V LIMITED PARTNERS CA 2.01,9.01 08/01/05 SIMMONS FIRST NATIONAL CORP AR 1.01 08/05/05 SIMPSON MANUFACTURING CO INC /CA/ DE 1.01,9.01 08/03/05 SNRG CORP NV 5.03,9.01 08/02/05 SOVEREIGN BANCORP INC PA 1.01,1.02,9.01 08/01/05 SPATIALIGHT INC NY 5.02 07/25/05 SPECTRUM ORGANIC PRODUCTS INC CA 2.02,9.01 08/04/05 SPIRE CORP MA 2.02,3.01 04/27/05 STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,9.01 08/01/05 STEPHAN CO FL 3.01 08/03/05 STERLING BANCSHARES INC TX 5.02,9.01 08/01/05 STRATEX NETWORKS INC DE 8.01 08/03/05 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 07/29/05 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 08/01/05 Structured Asset Securities Corp. 200 DE 8.01,9.01 07/25/05 AMEND SUPERIOR ESSEX INC DE 1.01,9.01 08/01/05 Swank, Inc. DE 1.01,9.01 08/03/05 SYMBOL TECHNOLOGIES INC DE 3.02 08/03/05 SYMS CORP NJ 1.01,9.01 08/05/05 SYNAGRO TECHNOLOGIES INC DE 8.01,9.01 08/05/05 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 08/05/05 TASKER CAPITAL CORP NV 7.01,9.01 08/05/05 TASTY BAKING CO PA 3.01,7.01 08/01/05 TB WOODS CORP DE 3.01 08/04/05 TECHNICAL OLYMPIC USA INC DE 7.01,8.01,9.01 08/01/05 TELETECH HOLDINGS INC DE 7.01,9.01 08/03/05 TELKONET INC 8.01,9.01 08/02/05 TEMPLE INLAND INC DE 5.02 08/05/05 THEATER XTREME ENTERTAINMENT GROUP, I FL 9.01 02/11/05 AMEND THESTREET COM DE 1.01,9.01 08/01/05 THOMAS PROPERTIES GROUP INC DE 2.01,9.01 08/04/05 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 08/04/05 THORATEC CORP CA 1.01,5.02,9.01 08/01/05 TIME AMERICA INC NV 2.02,9.01 08/04/05 TIMKEN CO OH 5.02 08/05/05 TODCO DE 1.01 08/02/05 TOTAL LUXURY GROUP INC IN 4.01,9.01 06/08/05 AMEND TOYOTA MOTOR CREDIT CORP CA 1.01,9.01 08/01/05 AMEND TRIPATH TECHNOLOGY INC 1.01,2.03,7.01,9.01 08/04/05 UIL HOLDINGS CORP CT 2.02,9.01 08/05/05 UNIVERSAL DISPLAY CORP \PA\ PA 1.01 07/29/05 UNOVA INC DE 2.02,9.01 08/04/05 URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 07/31/05 US ENERGY CORP WY 8.01 08/02/05 UTIX GROUP INC DE 5.02 07/31/05 VALHI INC /DE/ DE 2.02,7.01,9.01 08/05/05 VASO ACTIVE PHARMACEUTICALS INC DE 5.02 08/04/05 VECTREN CORP IN 2.03 08/04/05 VERSO TECHNOLOGIES INC MN 5.02,9.01 08/01/05 VION PHARMACEUTICALS INC DE 2.02,9.01 08/05/05 VIROPRO INC NV 3.02 08/01/05 VISTA GOLD CORP 8.01,9.01 08/04/05 VITA FOOD PRODUCTS INC NV 2.02,9.01 08/03/05 VITRAN CORP INC 2.01,9.01 08/04/05 VSE CORP DE 1.01 08/02/05 WaMu Mortgage Pass-Through Certificat DE 9.01 07/21/05 WASHINGTON BANKING CO WA 5.02,9.01 08/03/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 08/04/05 WASHINGTON POST CO DE 2.02 08/05/05 WAVERIDER COMMUNICATIONS INC NV 2.02,7.01,9.01 08/04/05 WCA WASTE CORP 7.01 08/03/05 WEBEX COMMUNICATIONS INC 1.01,9.01 08/01/05 WEBMD CORP /NEW/ DE 1.01,1.02,9.01 08/03/05 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01 08/01/05 WESTWOOD ONE INC /DE/ DE 2.02,5.02,8.01,9.01 08/03/05 WHEELING ISLAND GAMING INC DE 5.02,9.01 08/03/05 WII Components, Inc. DE 3.02,8.01 07/28/05 WILLIAM LYON HOMES DE 3.01,5.02,9.01 08/01/05 WINDSORTECH INC DE 2.02 08/04/05 WINTRUST FINANCIAL CORP IL 1.01,2.03,9.01 08/02/05 WOLVERINE TUBE INC DE 1.01,2.03,9.01 08/01/05 XM SATELLITE RADIO HOLDINGS INC DE 8.01 08/05/05 XRG INC DE 1.01,3.02,5.02 08/02/05 ZALE CORP DE 2.02 08/04/05 ZIX CORP TX 2.02,9.01 08/04/05