SEC NEWS DIGEST Issue 2006-07 January 11, 2006 COMMISSION ANNOUNCEMENTS CORPORATION FINANCE DIVISION DIRECTOR ALAN BELLER TO LEAVE COMMISSION Led Unprecedented Era of Division's Investor Protection Rulemaking The Securities and Exchange Commission today announced that Alan L. Beller, Director of the Division of Corporation Finance of the Securities and Exchange Commission and Senior Counselor to the Commission, will leave the Commission to return to the private sector. Under Mr. Beller's leadership, the Division produced the fastest-paced and most far-reaching corporate governance, financial disclosure and securities offering reforms in Commission history. Mr. Beller leaves the Commission after having played a leadership role in a number of the early initiatives of Chairman Christopher Cox, including proposed rules to allow Internet delivery of proxy materials; to ease the deregistration process for foreign issuers; to propose improved disclosure of executive compensation; and to expand use of interactive data to make financial reports more useful for investors. Mr. Beller, 56, who assumed his current positions in January 2002, will remain at the Commission until February 2006 to assist with ongoing and transition matters. Chairman Cox said, "Alan has made enormous contributions to the SEC's mission of investor protection over the last four years. He has led the most prodigious and substantial activity in the Division's and the Commission's history, including the rulemaking effort to implement the Sarbanes-Oxley Act of 2002. His talents and experience cover the spectrum of the Commission's responsibilities, and his role at the SEC has consequently extended well beyond the Division of Corporation Finance. I particularly appreciate the role he has played as advisor to the Chairman on important regulatory issues across the board. He not only has been a leading figure in this very significant time in the Commission's history, but he also will be recognized as one of the giants of the SEC of all time." Mr. Beller said, "It has been an honor and a privilege to serve under Chairman Cox and his two predecessors, William Donaldson and Harvey Pitt, as well as the Commissioners who have served during my time at the agency. It has been an equal honor and privilege to work with the talented and dedicated public servants in the Division of Corporation Finance and throughout the Commission. I have had no experience in my career as satisfying as working with the men and women of the Commission and serving the interests of American investors and American markets." Mr. Beller served during an unprecedented period of activity in the Division and at the Commission, meeting every deadline for rulemaking directed by the Sarbanes-Oxley Act. The landmark investor protection legislation required adoption of more than fifteen separate rules prepared by the Division, some as quickly as thirty days and virtually all within six months of its enactment. Among Sarbanes-Oxley rules for which the Division was responsible were those requiring certification of the accuracy and completeness of company reports by chief executive officers and chief financial officers; accelerated electronic filing of insider trading reports; and listing standards mandating independent audit committees with increased responsibilities. Mr. Beller led other major Commission initiatives carried out at the Division of Corporation Finance, including the drafting of Commission rules that produced the most significant reforms in decades to the securities offering process. He also led the rulemaking effort that produced the first comprehensive Commission rules for registration and disclosure for the asset-backed securities market, which by 2004 had grown to be larger than the corporate debt market but was not governed by a rules-based regulatory framework. Further, he led the Division's efforts to draft rules adopted by the Commission that accelerated filings of periodic reports and implemented for the first time a real- time current disclosure system for material events. The Division of Corporation Finance is responsible for the review of the filings of the more than 12,000 public companies that file reports with the Commission. Under Mr. Beller's leadership the Division substantially revamped its procedures for selecting filings for review and allocating its review resources to focus on larger companies that represent the vast majority of investment dollars, periodic reports available to trading markets where most investment decisions are made, and financial disclosure that generally contains the most important information for investors. Mr. Beller was also instrumental in last year's establishment of the Commission's Advisory Committee on Smaller Public Companies, which is charged with making recommendations to the Commission regarding improved regulation of smaller companies. The Advisory Committee's final report to the Commission is due in the spring of 2006. He also helped foster unprecedented cooperation between the Division of Corporation Finance and the Commission's Office of the Chief Accountant to implement and refine the requirements of the Commission and the Public Company Accounting Oversight Board for company assessment and auditor attestation of internal controls over financial reporting, as well as the Commission's oversight of the Board. (Press Rel. 2006-6) ENFORCEMENT PROCEEDINGS COMMISSION OBTAINS SUMMARY JUDGMENT AGAINST INSIDER TRADING DEFENDANTS On January 3, U.S. District Judge Michael B. Mukasey granted the Securities and Exchange Commission's motion for summary judgment against insider trading defendants Richard A. Svoboda (Svoboda) and Michael A. Robles (Robles). In granting the Commission's motion for summary judgment Judge Mukasey made the following findings of fact, among others: In late 1994 or early 1995, Svoboda-a NationsBank credit policy officer at the time- devised a scheme with Robles to use NationsBank's confidential information to trade for profit. Svoboda and Robles agreed that Svoboda would furnish Robles with inside information regarding NationsBank clients, including information about prospective acquisitions or negative earnings developments. Robles would then execute all of the securities trades and split the illegal profits evenly with Svoboda. Pursuant to their scheme, Robles traded in the securities of over 20 different issuers based on inside information. In addition, Svoboda secretly executed several trades using confidential inside information for his own profit through his own brokerage accounts and brokerage accounts held by his wife, despite the defendants' agreement that Robles would do all of the trading. Judge Mukasey concluded that both Svoboda and Robles violated Section 17(a) of the Securities Act of 1933, and Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Judge Mukasey permanently enjoined both defendants from violating the foregoing antifraud provisions of the federal securities laws and ordered Svoboda to disgorge $219,100 in ill-gotten insider trading gains plus prejudgment interest of $186,911.11 and Robles to disgorge $1,039,252.80 in ill-gotten insider trading gains plus prejudgment interest of $757,821.53. Under the Court's order Svoboda is jointly and severally liable for Robles' disgorgement and prejudgment interest. Judge Mukasey in turn imposed civil money penalties of $150,000 on Svoboda and $250,000 on Robles. The Commission filed its original complaint on Nov. 7, 2000, the same day Svoboda and Robles were indicted in a related criminal case in the U.S. District Court for the Southern District of New York. The Commission's case was put on hold pending the resolution of the related criminal action. In the criminal case, Svoboda pleaded guilty to conspiracy, securities fraud, and tender offer fraud, and was sentenced to be incarcerated for 12 months and one day, and to pay a $200,000 fine. After trial, a federal jury convicted Robles of conspiracy, securities fraud, and tender offer fraud. He was sentenced to be incarcerated for 41 months, and to pay a $300,000 fine. The Second Circuit Court of Appeals affirmed Robles' conviction on Oct. 24, 2003. See United States of America v. Richard A. Svoboda and Michael A. Robles, 347 F.3d 471 (2d Cir. 2003), cert. denied, Robles v. United States, 541 U.S. 1044 (2004). The Commission amended its complaint on March 22, 2005. [SEC v. Richard A. Svoboda and Michael A. Robles, Civil Action No. 00 Civ. 8557 (Mukasey, J.) S.D. New York] (LR-19527) ADDITIONS AND CORRECTIONS ADDITIONAL INFORMATION Yesterday's Digest included an announcement entitled "DANIEL CALUGAR AND SECURITY BROKERAGE, INC. TO PAY OVER $150 MILLION TO SETTLE SEC FRAUD ACTION FOR LATE TRADING AND MARKET TIMING" (Press Rel. 2006-5). For further information regarding this matter, see LR-18524 (Dec. 24, 2003). The litigation cite and release number for the civil action on January 10th is as follows: [SEC v. Daniel Calugar and Security Brokerage, Inc., Case No. CV-S-03-1600-RCJ-RJJ, D. Nev.] (LR-19526) CORRECTION The release number for File No. SR-Phlx-2005-87 included in the January 10th issue of the Digest should have been 34-53068. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-2006-02) to amend CBOE Rule 8.4 relating to Remote Market- Maker appointments has become immediately effective pursuant to Section 19(b) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 9. (Rel. 34-53072) The Commission issued notice of immediate effectiveness of a proposed rule change and Amendment No. 1 thereto (SR-NASD-2005-154) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., under Rule 19b-4 of the Securities Exchange Act of 1934 to modify pricing for NASD members using the Nasdaq Market Center and Nasdaq's Brut facility. Publication of the proposal is expected in the Federal Register during the week of January 9. (Rel. 34-53081) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-NASD-2005-155) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. to modify pricing for non-members using Nasdaq's Brut Facility. Publication of the proposal is expected in the Federal Register during the week of January 9. (Rel. 34-53082) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Amex-2005-064) and Amendment Nos.1 and 2 thereto submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the American Stock Exchange to amend Amex Rule 429 (Telemarketing). Publication of the proposal is expected in the Federal Register during the week of January 9. (Rel. 34-53085) The Commission approved a proposed rule change (SR-CBOE-2005-92) by the Chicago Board Options Exchange 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 January 16. (Rel. 34-53088) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Feb. 2, 2006, to comment on the application of Sony Corporation to withdraw its American Depositary Shares, each representing one share of common stock, no par value, from listing and registration on the Chicago Stock Exchange. (Rel. 34-53079) A notice has been issued giving interested persons until Feb. 2, 2006, to comment on the application of Aquacell Technologies, Inc. to withdraw its common stock, $.001 par value, from listing and registration on the American Stock Exchange. (Rel. 34-53080) DELISTINGS GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.0005 par value, of DSL.net, Inc., effective at the opening of business on January 10. (Rel. 34-53083) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.001 par value, of Prolong International Corporation, effective at the opening of business on January 10. (Rel. 34-53084) 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: . SB-2 Golden Aria Corp., 250-765-6424 - 8,545,000 ($1,281,750.00) Equity, (File 333-130934 - Jan. 10) (BR. 02) S-8 MIRANT CORP, 1155 PERIMETER CENTER WEST, SUITE 100, ATLANTA, GA, 30338, 6785795000 - 0 ($457,708,968.60) Equity, (File 333-130935 - Jan. 10) (BR. 02A) S-3ASR AMERIGAS PARTNERS LP, 460 N GULPH RD, BOX 965, VALLEY FORGE, PA, 19406, 6103377000 - 0 ($0.00) Equity, 0 ($0.00) Non-Convertible Debt, (File 333-130936 - Jan. 10) (BR. 02C) F-6 Mori Seiki Co., Ltd., 2-35-16 MEIEKI, NAKAMURA-KU, NAGOYA, AICHI, M0, 450-0002, 81-52-587-1811 - 25,000,000 ($1,250,000.00) ADRs/ADSs, (File 333-130938 - Jan. 10) (BR. ) S-8 MODERN TECHNOLOGY CORP, 1237 STATE ROAD 30, ., ETTA, MS, 38627, 6622365928 - 3,500,000 ($105,000.00) Equity, (File 333-130939 - Jan. 10) (BR. 08B) S-8 ANGEION CORP/MN, 350 OAK GROVE PARKWAY, ST PAUL, MN, 55127, 6123152000 - 0 ($534,000.00) Equity, (File 333-130940 - Jan. 10) (BR. 10A) S-8 ZIPREALTY INC, 2000 POWELL STREET, SUITE 1555, EMERYVILLE, CA, 94608, 510-735-2600 - 0 ($6,836,157.00) Equity, (File 333-130941 - Jan. 10) (BR. 08B) SB-2 EMERGING MARKETS HOLDINGS INC, 309 CELTIC COURT, OVIEDO, FL, 32765, 407-620-1063 - 5,000,000 ($5,000,000.00) Equity, (File 333-130943 - Jan. 10) (BR. ) S-8 SUSSEX BANCORP, 399 RTE 23, FRANKLIN, NJ, 07416, 9738272914 - 200,000 ($3,000,000.00) Other, (File 333-130944 - Jan. 10) (BR. 07A) S-11 NNN Apartment REIT, Inc., 1551 N. TUSTIN AVENUE, SUITE 200, SANTA ANA, CA, 92705, 714-667-8252 - 0 ($1,047,500,000.00) Equity, (File 333-130945 - Jan. 10) (BR. ) S-8 ev3 Inc., 4600 NATHAN LANE NORTH, PLYMOUTH, MN, 55442, (763) 398-7000 - 0 ($24,408,733.00) Equity, (File 333-130946 - Jan. 10) (BR. 10B) SB-2 REMOTE MDX INC, 5095 WEST 2100 SOUTH, SALT LAKE CITY, UT, 84120, 8019749475 - 11,461,696 ($9,283,974.00) Debt Convertible into Equity, (File 333-130947 - Jan. 10) (BR. 10C) S-3 LIBERTY PROPERTY TRUST, 500 CHESTERFIELD PARKWAY, MALVERN, PA, 19355, 6106481700 - 2,500,000 ($110,425,000.00) Equity, (File 333-130948 - Jan. 10) (BR. 08B) 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 NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------------------- 99 CENTS ONLY STORES CA 2.02,9.01 01/09/06 ACTUATE CORP DE 1.01,2.01,9.01 01/05/06 AFTERMARKET TECHNOLOGY CORP DE 8.01,9.01 01/09/06 AHPC Holdings, Inc. MD 4.01,9.01 01/06/06 ALABAMA POWER CO AL 8.01,9.01 01/10/06 ALBERTO CULVER CO DE 8.01,9.01 01/10/06 ALCOA INC PA 2.02,9.01 01/09/06 ALIGN TECHNOLOGY INC DE 1.01 01/04/06 Alliance Distributors Holding Inc. DE 1.01,9.01 01/05/06 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 01/10/06 ALLSTATE CORP DE 8.01 01/09/06 ALTERNATIVE LOAN TRUST 2005-56 8.01,9.01 09/29/05 ALTERNATIVE LOAN TRUST 2005-62 8.01,9.01 10/31/05 ALTERNATIVE LOAN TRUST 2005-63 8.01,9.01 10/28/05 Alternative Loan Trust 2005-70CB 8.01,9.01 11/29/05 ALTEX INDUSTRIES INC DE 2.01,9.01 01/05/06 AMBIENT CORP /NY DE 8.01,9.01 01/06/06 AMC ENTERTAINMENT INC DE 7.01,9.01 01/10/06 AMCON DISTRIBUTING CO DE 1.01,2.04,8.01,9.01 01/03/06 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 11/25/05 AMEND AMERICAN STATES WATER CO CA 7.01,9.01 01/04/06 Americredit Automobile Receivable Tru DE 8.01,9.01 01/10/06 AMERICREDIT AUTOMOBILE RECEIVABLES TR 8.01,9.01 01/10/06 AmeriCredit Automobile Receivables Tr DE 8.01,9.01 01/10/06 AmeriCredit Automobile Receivables Tr DE 8.01,9.01 01/10/06 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE 8.01,9.01 01/10/06 AMERIGAS PARTNERS LP DE 7.01,9.01 01/09/06 amerimine resources, inc. FL 4.01 09/14/05 AMERISOURCEBERGEN CORP DE 8.01,9.01 01/10/06 AMERITRADE HOLDING CORP DE 5.02 01/04/06 ANNALY MORTGAGE MANAGEMENT INC MD 2.02,9.01 01/10/06 ANTARES PHARMA INC MN 3.01 01/05/06 APPLE COMPUTER INC CA 2.02 01/10/06 APPLIED DIGITAL SOLUTIONS INC MO 1.01,9.01 01/04/06 ASV INC /MN/ MN 8.01,9.01 01/10/06 AUDIBLE INC 2.02,9.01 01/10/06 AUTHENTIDATE HOLDING CORP DE 1.01,1.02,5.02,7.01,9.01 01/09/06 AUTOBYTEL INC DE 1.02,9.01 01/05/06 AVIGEN INC \DE DE 5.02,9.01 01/10/06 AVISTA CORP WA 5.02,9.01 01/06/06 AVON PRODUCTS INC NY 1.01,9.01 01/05/06 BALCHEM CORP MD 1.01,9.01 01/05/06 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 01/09/06 BARR PHARMACEUTICALS INC DE 5.02,9.01 01/10/06 BEAR STEARNS ARM TRUST, MORTGAGE-BACK 8.01,9.01 11/25/05 AMEND BECTON DICKINSON & CO NJ 7.01,9.01 01/10/06 BELL MICROPRODUCTS INC CA 2.02,9.01 01/10/06 BERKSHIRE INCOME REALTY INC 1.01,9.01 01/04/06 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 01/09/06 BIOLASE TECHNOLOGY INC DE 1.01,9.01 12/29/05 BLACK HILLS CORP /SD/ SD 1.01 01/10/06 BLACKROCK INC /NY DE 9.01 01/10/06 BLAIR CORP DE 8.01 01/10/06 BNP RESIDENTIAL PROPERTIES INC MD 8.01,9.01 01/06/06 BNP RESIDENTIAL PROPERTIES INC MD 7.01,9.01 01/09/06 BOSTON LIFE SCIENCES INC /DE DE 1.01 01/06/06 BOSTON SCIENTIFIC CORP DE 8.01,9.01 01/08/06 BOWL AMERICA INC MD 1.01 01/01/06 BRANDYWINE OPERATING PARTNERSHIP LP / DE 1.01,1.02,2.01,2.03,3.02, 01/05/06 5.02,5.03,8.01,9.01 BRANDYWINE REALTY TRUST MD 1.01,1.02,2.01,2.03,3.02, 01/05/06 5.02,5.03,8.01,9.01 BRONCO ENERGY FUND, INC. NV 1.01,8.01,9.01 03/14/05 BROOKFIELD HOMES CORP DE 2.02,9.01 01/05/06 BSD MEDICAL CORP DE 5.02,9.01 01/05/06 BUFFETS HOLDINGS, INC. DE 5.02,9.01 01/10/06 CABOT CORP DE 1.01 01/04/06 CADIZ INC DE 5.02 01/06/06 CALIFORNIA PIZZA KITCHEN INC DE 2.02,9.01 01/10/06 CALTON INC NJ 1.01,9.01 01/09/06 CALYPTE BIOMEDICAL CORP DE 5.02,9.01 09/29/05 AMEND CAPITAL BANK CORP NC 9.01 01/03/06 AMEND CAPITAL SENIOR LIVING CORP DE 7.01,9.01 01/10/06 Cascade Energy, Inc. NV 3.02 12/15/05 CASCADE MICROTECH INC 2.02,9.01 01/10/06 CATHAY GENERAL BANCORP DE 8.01,9.01 01/10/06 CAVALIER HOMES INC DE 2.02,9.01 01/09/06 CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 12/31/05 CBS CORP DE 3.02 01/03/06 CCC INFORMATION SERVICES GROUP INC DE 8.01,9.01 01/09/06 AMEND CCH II LLC 1.01,9.01 01/09/06 CCO HOLDINGS LLC 1.01,9.01 01/09/06 CENTENNIAL COMMUNICATIONS CORP /DE DE 1.01 01/09/06 CHAMPPS ENTERTAINMENT INC DE 8.01,9.01 01/10/06 CHARMING SHOPPES INC PA 7.01,9.01 01/09/06 CHARTER COMMUNICATIONS HOLDINGS LLC DE 1.01,9.01 01/09/06 CHARTER COMMUNICATIONS INC /MO/ DE 1.01,9.01 01/09/06 CHEMBIO DIAGNOSTICS, INC. NV 2.02,7.01,9.01 01/09/06 CHESAPEAKE ENERGY CORP OK 8.01,9.01 01/09/06 CHINA MARKETING MEDIA, INC. NV 1.02,5.01,5.02,9.01 12/29/05 AMEND CHIQUITA BRANDS INTERNATIONAL INC NJ 1.01 01/04/06 CHL Mortgage Pass-Through Trust 2005- DE 8.01,9.01 10/28/05 CHL Mortgage Pass-Through Trust 2005- DE 8.01,9.01 10/28/05 CHURCHILL DOWNS INC KY 7.01,9.01 01/09/06 CIB MARINE BANCSHARES INC WI 8.01 01/10/06 CLOROX CO /DE/ DE 5.02,9.01 01/09/06 COHEN & STEERS INC 1.01 01/05/06 COLE KENNETH PRODUCTIONS INC NY 1.01 01/10/06 COLUMBIA LABORATORIES INC DE 1.02,5.02,8.01,9.01 01/05/06 CONNETICS CORP DE 1.01,9.01 01/03/06 CONNETICS CORP DE 1.01,2.02,9.01 01/04/06 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 01/06/06 COSI INC DE 2.02,7.01,9.01 01/10/06 COVENTRY HEALTH CARE INC DE 2.02,7.01 01/10/06 CRDENTIA CORP DE 1.01,2.03,3.02,9.01 01/06/06 CREDIT SUISSE FIRST BOSTON MORTAGAGE DE 8.01,9.01 12/28/05 CRITICAL PATH INC CA 5.02 01/05/06 CRYOLIFE INC FL 2.02,9.01 01/10/06 Cyberkinetics Neurotechnology Systems DE 1.02 01/05/06 DELPHI CORP DE 8.01,9.01 01/09/06 DELTA AIR LINES INC /DE/ DE 8.01,9.01 12/21/05 DIGIRAD CORP DE 1.01,1.02,5.02,9.01 01/10/06 DIGITAL ECOSYSTEMS CORP. NV 5.02,9.01 01/03/06 DIGITAL RECORDERS INC NC 7.01,9.01 01/10/06 DIVERSA CORP DE 2.05,2.06,8.01,9.01 01/04/06 DJ ORTHOPEDICS INC DE 2.02,9.01 01/10/06 DRESS BARN INC CT 2.02,9.01 01/10/06 DRESSER INC DE 5.02,9.01 01/09/06 DSLA MORTGAGE LOAN TRUST 2005-AR5 DE 8.01,9.01 01/10/06 DSLA MORTGAGE LOAN TRUST 2005-AR5 DE 8.01,9.01 01/10/06 DYNASIL CORP OF AMERICA NJ 1.01,1.02,2.03,9.01 01/05/06 EACCELERATION CORP DE 2.01,9.01 01/05/06 EFUNDS CORP DE 1.01 01/06/06 ELITE PHARMACEUTICALS INC /DE/ DE 3.01,9.01 01/04/06 ENERGY EAST CORP NY 5.03,9.01 01/10/06 Energy Transfer Partners, L.P. DE 2.02,7.01,9.01 01/09/06 ENERGY WEST INC MT 1.01 01/05/06 EPIX Pharmaceuticals, Inc. 8.01,9.01 01/10/06 ESS TECHNOLOGY INC CA 2.02,2.06,9.01 01/06/06 EXACT SCIENCES CORP DE 7.01,9.01 01/10/06 EZ EM INC DE 2.02,7.01,9.01 01/10/06 FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 01/10/06 FARGO ELECTRONICS INC 1.01,9.01 12/01/05 FEATHERLITE INC MN 7.01 01/10/06 Federal Home Loan Bank of Boston X1 2.03 01/04/06 Federal Home Loan Bank of New York X1 2.03,9.01 01/04/06 Federal Home Loan Bank of San Francis X1 2.03 01/10/06 FIDELITY BANKSHARES INC DE 8.01,9.01 01/09/06 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 01/06/06 FIRST NLC SECURITIZATION, INC. DE 8.01,9.01 01/10/06 FIRSTENERGY CORP OH 8.01,9.01 01/10/06 FLUOR CORP DE 5.02,5.03,9.01 01/07/06 FRANKLIN COVEY CO UT 2.02,9.01 01/10/06 FRANKLIN WIRELESS CORP CA 4.01 12/27/05 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 01/10/06 FUSION TELECOMMUNICATIONS INTERNATION 5.02 01/04/06 GASTAR EXPLORATION LTD A0 4.01,9.01 01/10/06 GENENTECH INC DE 2.02,8.01,9.01 01/10/06 GEORGIA POWER CO GA 1.01,9.01 01/04/06 GLOBAL AXCESS CORP NV 1.01,2.01,9.01 10/27/05 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/06/06 GSI GROUP INC A3 1.01,9.01 01/05/06 GTECH HOLDINGS CORP DE 1.01,8.01,9.01 01/10/06 GUIDANT CORP IN 8.01,9.01 01/10/06 GULFMARK OFFSHORE INC DE 7.01,9.01 01/10/06 HAEMONETICS CORP MA 5.02,9.01 01/09/06 HANOVER COMPRESSOR CO / DE 8.01,9.01 01/10/06 HANSEN NATURAL CORP DE 7.01,9.01 01/10/06 HASBRO INC RI 1.01,9.01 01/06/06 HERITAGE COMMERCE CORP CA 1.01 01/09/06 HIGHER EDUCATION FUNDING I DE 5.03,9.01 12/29/05 HOLLINGER INTERNATIONAL INC DE 1.01,5.02 12/20/05 HOME DEPOT INC DE 7.01,9.01 01/10/06 HOME SOLUTIONS OF AMERICA INC DE 1.01,5.02,7.01,9.01 01/10/06 HORTON D R INC /DE/ DE 2.02,8.01,9.01 01/10/06 HOSPITALITY PROPERTIES TRUST MD 1.01,8.01,9.01 01/06/06 HUGHES SUPPLY INC FL 1.01,3.03,8.01,9.01 01/09/06 HUNTINGTON BANCSHARES INC/MD MD 8.01 01/10/06 HYPERION SOLUTIONS CORP DE 5.02,5.03,9.01 01/10/06 ICT GROUP INC PA 7.01,9.01 01/10/06 Ignis Petroleum Group, Inc. 1.01,2.03,3.02,9.01 01/05/06 IMPAC CMB TRUST SERIES 2005-2, COLLAT DE 8.01,9.01 11/25/05 AMEND IMPAC CMB TRUST SERIES 2005-2, COLLAT DE 8.01,9.01 10/25/05 AMEND IMPAC CMB TRUST SERIES 2005-2, COLLAT DE 8.01,9.01 09/26/05 AMEND IMPAC MORTGAGE HOLDINGS INC MD 1.01,8.01,9.01 01/04/06 IMPCO TECHNOLOGIES INC DE 5.02 01/05/06 Industrial Enterprises of America, In NV 5.02,7.01 02/22/05 AMEND Ingen Technologies, Inc. 3.03,5.02,5.03 12/28/05 Inland American Real Estate Trust, In MD 2.01,9.01 01/04/06 INNKEEPERS USA TRUST/FL MD 1.01,9.01 01/04/06 INTEGRAL SYSTEMS INC /MD/ MD 5.02,9.01 01/09/06 INTERNATIONAL DISPLAYWORKS, INC OR 2.02,9.01 01/10/06 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.05 01/09/06 INTERNET COMMERCE CORP DE 1.01,9.01 01/04/06 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 01/10/06 Irwin Whole Loan Home Equity Trust 20 DE 8.01,9.01 02/25/05 AMEND Island Residences Club, Inc. 1.01,2.01,3.02,4.02,9.01 10/21/05 AMEND ISTAR FINANCIAL INC MD 1.01 01/09/06 IVAX CORP FL 8.01,9.01 01/10/06 J.P. Morgan Mortgage Trust 2005-A8 DE 8.01,9.01 12/27/05 AMEND J.P. Morgan Mortgage Trust 2005-A8 DE 8.01,9.01 11/25/05 AMEND JAMESON INNS INC GA 7.01,9.01 01/10/06 JENNIFER CONVERTIBLES INC DE 3.01,9.01 01/05/06 JMAR TECHNOLOGIES INC DE 1.01,3.02 01/04/06 JMAR TECHNOLOGIES INC DE 9.01 12/28/05 AMEND JOHNSON CONTROLS INC WI 1.01,2.03,9.01 01/09/06 KANSAS CITY SOUTHERN DE 7.01,9.01 01/09/06 KEY ENERGY SERVICES INC MD 5.02,9.01 01/09/06 KEYSPAN CORP NY 8.01,9.01 01/10/06 KIMBALL INTERNATIONAL INC IN 5.02 01/10/06 KINTERA INC 8.01 12/23/05 KOMAG INC /DE/ DE 7.01 01/10/06 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 01/05/06 KRONOS INC MA 2.02 01/04/06 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/10/06 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/10/06 LANDRYS RESTAURANTS INC 2.02,9.01 01/10/06 LASALLE HOTEL PROPERTIES MD 7.01,9.01 01/10/06 LASALLE HOTEL PROPERTIES MD 7.01,9.01 01/10/06 LECROY CORP DE 7.01 01/10/06 Liberty Global, Inc. DE 7.01 01/10/06 Lifeline Systems, Inc. MA 1.01,9.01 01/06/06 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 8.01,9.01 01/10/06 LQ CORP INC DE 2.01,5.06,9.01 01/01/06 M I HOMES INC OH 7.01,9.01 01/10/06 MAGELLAN HEALTH SERVICES INC DE 8.01 01/09/06 MAGSTAR TECHNOLOGIES INC MN 5.02 01/03/06 Marquee Holdings Inc. DE 7.01,9.01 01/10/06 Marvel Entertainment, Inc. DE 1.01,9.01 01/06/06 MASTR ALTERNATIVE LOAN TRUST 2005-1 DE 8.01,9.01 11/25/05 AMEND MASTR ALTERNATIVE LOAN TRUST 2005-1 DE 8.01,9.01 12/27/05 AMEND MATERIAL SCIENCES CORP DE 2.02,9.01 01/10/06 MAXXAM INC DE 8.01 01/10/06 McAfee, Inc. DE 5.02,9.01 01/05/06 MD TECHNOLOGIES INC 2.01,9.01 10/31/05 AMEND MDI, INC. DE 1.01,1.02,2.01,3.02,5.02,9.01 01/06/06 MDU RESOURCES GROUP INC DE 5.02 01/10/06 MEDTRONIC INC MN 8.01,9.01 01/06/06 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 09/26/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 10/25/05 AMEND MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 09/26/05 AMEND METLIFE INC DE 1.01,9.01 01/06/06 MGI PHARMA INC MN 2.02,9.01 01/10/06 MGN TECHNOLOGIES, INC. A1 8.01 01/10/06 MIDDLETON DOLL CO WI 1.01,2.01,9.01 01/04/06 MONOLITHIC SYSTEM TECHNOLOGY INC CA 7.01,9.01 01/10/06 MORGAN BEAUMONT INC NV 8.01,9.01 12/16/05 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 08/25/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/26/05 AMEND Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 10/25/05 AMEND MotivNation, Inc. 5.02 01/06/06 MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 01/03/06 MS STRUCTURED SATURNS SERIES 2002-1 DE 8.01,9.01 01/03/06 MS STRUCTURED SATURNS SERIES 2003-10 DE 8.01,9.01 12/27/05 MS STRUCTURED SATURNS SERIES 2003-3 DE 8.01,9.01 01/03/06 MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 01/03/06 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,9.01 01/04/06 NATCO GROUP INC DE 1.01,7.01,9.01 01/10/06 NESCO INDUSTRIES INC NV 4.02 01/06/06 AMEND NESTOR INC DE 5.02 01/10/06 NETIQ CORP 5.02,8.01,9.01 01/10/06 NETSMART TECHNOLOGIES INC DE 9.01 09/28/05 AMEND NETWORK ENGINES INC DE 1.01,5.02 01/09/06 NEXT INC/TN DE 7.01,9.01 01/08/06 NITCHES INC CA 1.01,2.01,9.01 10/24/05 AMEND NORTHRIM BANCORP INC AK 8.01,9.01 01/10/06 NOVA COMMUNICATIONS LTD NV 1.01,9.01 01/10/06 NOVASTAR RESOURCES LTD. NV 1.01,9.01 12/31/05 NUVEEN INVESTMENTS INC DE 1.01,9.01 12/30/05 OFFICEMAX INC DE 2.05,2.06 01/04/06 ON SEMICONDUCTOR CORP DE 8.01 01/10/06 Optionable Inc 1.01 01/10/06 ORACLE CORP /DE/ DE 7.01,9.01 01/10/06 ORASURE TECHNOLOGIES INC DE 5.02,7.01,9.01 01/09/06 OSCIENT PHARMACEUTICALS CORP MA 2.02,9.01 01/09/06 OXFORD INDUSTRIES INC GA 2.02,9.01 01/10/06 OXIS INTERNATIONAL INC DE 1.01,5.02,9.01 01/06/06 PARLUX FRAGRANCES INC DE 2.02,9.01 01/09/06 Patient Safety Technologies, Inc DE 1.01,2.03,5.02,9.01 01/05/06 PC TEL INC DE 1.01,9.01 01/06/06 PEAK ENTERTAINMENT HOLDINGS INC NV 3.02,9.01 12/23/05 PERFORMANCE FOOD GROUP CO TN 2.02,9.01 01/05/06 PHANTOM FIBER CORP DE 1.01,2.03,3.02,9.01 01/05/06 PHELPS DODGE CORP NY 2.02,9.01 01/10/06 PHILLIPS VAN HEUSEN CORP /DE/ DE 7.01,9.01 01/10/06 PHOENIX TECHNOLOGIES LTD DE 5.02 01/10/06 PHOTRONICS INC CT 8.01 01/09/06 PINNACLE ENTERTAINMENT INC DE 1.01,9.01 01/04/06 PINNACLE WEST CAPITAL CORP AZ 8.01 01/10/06 PLANAR SYSTEMS INC OR 2.02,9.01 01/09/06 POWERCOLD CORP NV 8.01 01/06/06 PROASSURANCE CORP DE 8.01,9.01 01/09/06 PROCTER & GAMBLE CO OH 7.01 01/10/06 PROGRESS ENERGY INC NC 8.01,9.01 01/10/06 PROLOGIS MD 2.01,2.03,9.01 01/04/06 PROTEIN DESIGN LABS INC/DE DE 5.03,9.01 01/09/06 PXRE GROUP LTD 1.01,9.01 01/09/06 QUADRAMED CORP DE 5.02,9.01 01/06/06 RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 01/10/06 Remote Dynamics Inc DE 5.02 01/04/06 RENAISSANCE MEDIA GROUP LLC DE 1.01,9.01 01/09/06 REPLIGEN CORP DE 1.01,5.02 01/04/06 REYNOLDS & REYNOLDS CO OH 8.01 01/10/06 ROWE COMPANIES NV 5.02,8.01 01/04/06 SAKS INC TN 5.02,8.01,9.01 01/06/06 SCHNITZER STEEL INDUSTRIES INC OR 1.01,5.02,9.01 01/06/06 SCIENCE APPLICATIONS INTERNATIONAL CO DE 8.01,9.01 01/10/06 SEACHANGE INTERNATIONAL INC DE 8.01,9.01 01/10/06 SELECT MEDICAL CORP DE 7.01 01/10/06 SEMITOOL INC MT 2.02,9.01 01/10/06 SEROLOGICALS CORP DE 7.01,9.01 01/06/06 Shire plc 8.01,9.01 01/10/06 SIERRA PACIFIC RESOURCES /NV/ NV 7.01,8.01,9.01 01/10/06 SIERRA PACIFIC RESOURCES /NV/ NV 2.03,8.01,9.01 01/10/06 SMART ONLINE INC 3.01 01/06/06 Smart-tek Solutions Inc NV 8.01,9.01 01/10/06 SMITH & WOLLENSKY RESTAURANT GROUP IN DE 2.02,9.01 01/06/06 SOUTHERN CONNECTICUT BANCORP INC CT 1.01,9.01 01/05/06 SPARTAN MOTORS INC MI 8.01,9.01 01/10/06 SPORTS RESORTS INTERNATIONAL INC MI 3.01,9.01 01/09/06 STILLWATER MINING CO /DE/ DE 8.01,9.01 01/09/06 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 12/22/05 STUDENT LOAN CONSOLIDATION CENTER STU DE 5.03,9.01 12/29/05 SUMMIT FINANCIAL GROUP INC WV 2.02,8.01,9.01 01/09/06 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.05,9.01 01/06/05 SUPERVALU INC DE 2.02,9.01 01/10/06 SYNIVERSE HOLDINGS INC DE 1.01,5.02,9.01 01/09/06 SYNTHETECH INC OR 1.01,9.01 01/06/06 TD BANKNORTH INC. DE 8.01,9.01 01/10/06 TECH LABORATORIES INC NJ 1.01,5.02,9.01 12/27/05 TECHE HOLDING CO LA 5.02 12/31/05 TECUMSEH PRODUCTS CO MI 1.01,9.01 01/09/06 TEPPCO PARTNERS LP DE 5.02 01/06/06 TERAYON COMMUNICATION SYSTEMS DE 3.01,8.01,9.01 01/04/06 TEREX CORP DE 8.01,9.01 01/10/06 TEXOLA ENERGY CORP NV 2.01 01/05/06 TIDEWATER INC DE 2.02,9.01 01/10/06 TIFFANY & CO DE 7.01,9.01 01/10/06 TORO CO DE 5.02 01/09/06 TORVEC INC NY 3.02 01/10/06 TRANS WORLD ENTERTAINMENT CORP NY 1.01,1.02,2.03,9.01 01/10/06 TRANSCOMMUNITY FINANCIAL CORP VA 5.02,9.01 01/04/06 TRI VALLEY CORP DE 2.01,9.01 01/03/06 TRIAD HOSPITALS INC DE 2.02,9.01 01/09/06 TRINITY CAPITAL CORP 4.01 01/04/06 TRIPOS INC UT 8.01 01/09/06 TRUE RELIGION APPAREL INC NV 1.01,9.01 01/04/06 TRUMP ENTERTAINMENT RESORTS, INC. DE 8.01 01/10/06 TRUSTCO BANK CORP N Y NY 8.01,9.01 01/10/06 TUMBLEWEED COMMUNICATIONS CORP DE 2.02,5.02,9.01 01/08/06 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,9.01 01/10/06 VASCULAR SOLUTIONS INC DE 2.03 01/06/06 VERINT SYSTEMS INC 1.01,8.01,9.01 01/10/06 VERINT SYSTEMS INC 2.01,9.01 01/09/06 VERITAS DGC INC DE 7.01,9.01 01/04/06 Vistula Communications Services, Inc. DE 1.01,5.02,9.01 01/05/06 VITRO DIAGNOSTICS INC NV 4.01,9.01 01/05/06 VOIP INC 5.02 12/20/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 01/10/06 WARNACO GROUP INC /DE/ DE 2.02,9.01 01/10/06 WARRANTECH CORP DE 8.01,9.01 12/19/05 WATER PIK TECHNOLOGIES INC DE 1.01,3.03,8.01,9.01 01/06/06 WESTAFF INC DE 2.02,9.01 01/09/06 WESTERN PLAINS ENERGY LLC KS 7.01 01/09/06 WESTLAKE CHEMICAL CORP 1.01,8.01 01/06/06 WESTSIDE ENERGY CORP NV 3.02 01/09/06 White River Capital Inc 1.01,9.01 01/06/06 WHITEHALL JEWELLERS INC DE 8.01,9.01 01/09/06 WHITEHALL JEWELLERS INC DE 8.01 01/05/06 WILLBROS GROUP INC R1 5.04,9.01 01/10/06 WINDSWEPT ENVIRONMENTAL GROUP INC DE 1.01,8.01,9.01 11/23/05 AMEND XL CAPITAL LTD 8.01,9.01 01/09/06 ZONAGEN INC DE 8.01,9.01 01/09/06