SEC NEWS DIGEST Issue 2004-6 January 9, 2004 COMMISSION ANNOUNCEMENTS SEC AUTHORIZES FORMAL INVESTIGATION OF MATTERS RAISED IN WEBB REPORT On January 8, the Commission announced that it has authorized the Commission staff to conduct a formal investigation of matters raised in a December 2003 report to the NYSE's Board of Directors prepared by outside counsel Dan K. Webb. The NYSE has referred the Webb report, which focuses on the compensation of former NYSE Chairman and CEO Richard Grasso and the process by which the compensation was determined, to the Commission and the New York Attorney General. The Commission's investigation will seek to determine whether there have been violations of the federal securities laws or NYSE rules. This inquiry should not be construed as an indication by the Commission or its staff that any violation of law has occurred. The Commission will coordinate its investigation with the New York Attorney General, who will seek to determine whether there have been violations of New York laws governing New York nonprofit corporations. The Commission's investigation is the most recent step in its ongoing efforts, which began almost 12 months ago, to address governance issues at the NYSE. In March of last year, Chairman Donaldson wrote to former Chairman Grasso, as well as the heads of each of the other SROs, asking them to undertake an exhaustive review of their SRO's governance practices. The NYSE responded on June 5, 2003 to the SEC's request with an initial governance report and interim structural changes, but indicated that a more thorough review was to be conducted under the direction of a Special Governance Committee. While the NYSE's review was still underway, the Commission learned of the NYSE's extension of former Chairman Grasso's employment agreement, as well as its substantial payout of his deferred compensation and benefits. In response, on September 2, Chairman Donaldson wrote to the head of the NYSE's Compensation Committee and Special Governance Committee noting that the approval of Mr. Grasso's pay package raised serious questions regarding the effectiveness of the NYSE's current governance structure and asking the NYSE to provide detailed information regarding the then-Chairman's compensation arrangement and how it was approved by the NYSE Board. Under interim-Chairman Reed's leadership, on Nov. 7, 2003, the NYSE filed a proposal with the Commission to amend and restate its Constitution to implement a series of important governance changes. On December 17, the Commission approved those changes. (Press Rel. 2004-3) ENFORCEMENT PROCEEDINGS COMMISSION BARS SECURITIES ATTORNEY FROM FUTURE COMMISSION PRACTICE FOR HIS PART IN ILLEGAL SECURITIES OFFERING On January 8, the Commission issued a settled administrative order pursuant to Rule 102(e) of the Commission's Rules of Practice, suspending Michael L. Labertew from appearing or practicing before the Commission as an attorney. The order is based on an agreed final judgment entered against Labertew on Dec. 30, 2003, by the U.S. District Court for the Southern District of Texas in SEC v. Rocky Mountain Energy Corporation, Inc., et al., case number H-03-CV-1133. The agreed final judgment permanently enjoined Labertew from violating the securities- registration provisions of Section 5 of the Securities Act of 1933 and ordered him to pay $87,088 in disgorgement and penalties. Labertew agreed to the entry of the suspension order without admitting or denying the allegations in the Commission's complaint in the civil lawsuit. The Commission's complaint alleges that, from June 2002 to December 2002, Labertew participated in an illegal distribution of approximately 47 million shares of Rocky Mountain stock in four unregistered share- exchange transactions. In connection with each transaction, Labertew, as Rocky Mountain's outside securities counsel, prepared and filed a petition with a Utah state court to obtain a court order approving the transaction pursuant to Section 3(a)(10) of the Securities Act of 1933. Section 3(a)(10) exempts from registration securities exchanged for other securities or property interests, as long as a court approves the transaction after a fairness hearing. The complaint alleges that, notwithstanding the court's approval, the Section 3(a)(10) exemption did not apply because the four transactions were in fact shams forming part of a larger manipulation scheme orchestrated by Rocky Mountain's president, defendant John Ehrman. Labertew received 410,220 shares in the transactions, which he sold into the market for $62,088. For additional information, see LR-18069 (April 3, 2003), LR-18305 (Aug. 22, 2003), and LR-18522 (Dec. 23, 2003) [SEC v. Rocky Mountain Energy Corporation, Inc., John N. Ehrman, W. Roderick Johnson, Sr., Michael L. Labertew, and John W. Ehrman, Jr. (Defendant Solely for Purposes of Equitable Relief) Case No. H-03-CV-1133 (USDC, S.D. Tex.)]. (Rel. 34- 49039; File No. 3- 11371) FRAUD JUDGMENT ENTERED IN MINI-TENDER OFFER CASE On January 6, the Honorable Paul G. Rosenblatt, U.S. District Judge, District of Arizona, entered an Agreed Final Judgment against Ira J. Gaines, which permanently enjoins Gaines from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e-thereunder. Further, under the terms of the order to which Gaines consented, he is prohibited from directly or indirectly, offering, making or engaging in mini-tender offers in the future. In addition, Gaines must also pay $72,413 in disgorgement, including prejudgment interest, and a $50,000 civil penalty. The Commission's complaint charged that Gaines, individually and d/b/a Wrigley Drive Partners and Morten Avenue Partners, from September 1999 through March 2001, made fraudulent "mini-tender offers" to shareholders to purchase up to 1% of the outstanding stock of 287 public companies. "Mini-tender offer" is a securities industry term for a tender offer resulting in ownership by the offeror of not more than 5% of a public company's securities. Gaines deceived the shareholders by failing to disclose in his offers the following material facts: (1) Gaines' offer price was below the prevailing market price; (2) Gaines reserved sole discretion to modify his offers, including such terms as the offer price and the offer period; and (3) Gaines reserved the right to terminate his offers without notice, regardless of how many shareholders had tendered shares. According to the Commission, Gaines knew, or was reckless in not knowing, that the shareholders were not receiving this material information, and supported this allegation by pointing out that in 1999, for virtually identical conduct, Gaines agreed to a Commission order against his previous company, IG Holdings. In the Matter of IG Holdings, Inc., Exchange Act Release No. 41759 (Aug. 19, 1999). [SEC v. Ira J. Gaines, et al. Civil Action No. 02-CV-1685 PHX (PGR), USDC for the District of Arizona] (LR-18535) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2003-06), which was effective upon filing, to amend SCCP's schedule of dues, fees, and charges to provide that the fees, credits and discounts that apply to Philadelphia Stock Exchange (Phlx) remote competing specialists will also be applicable to Phlx primary remote specialists. Publication of the proposal is expected in the Federal Register during the week of January 12. (Rel. 34-49036) 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 LJ INTERNATIONAL INC, UNIT #12 12/F BLOCK A FOCAL INDUSTRIAL, CENTER 21 MAN LOK ST, HUNG HOM KOWLOON HON, K3, 00000, 0 ($13,026,000.00) Equity, (File 333-111759 - Jan. 8) (BR. 02) S-8 FREDERICK COUNTY BANCORP INC, 30 WEST PATRICK STREET, FREDERICK, MD, 21701, 3016201400 - 71,524 ($1,504,410.50) Equity, (File 333-111761 - Jan. 8) (BR. 07) F-10 PAN AMERICAN SILVER CORP, 3,818,330 ($34,598,652.00) Equity, (File 333-111763 - Jan. 8) (BR. 04) S-8 MICROSIGNAL CORP/NV, 3927 EDMONTRIE NE BAY 8, CALGARY T2E 6T1, 14,200,000 ($2,137,500.00) Equity, (File 333-111764 - Jan. 8) (BR. 03) S-3 ANALEX CORP, 5904 RICHMOND HIGHWAY, SUITE 300, ALEXANDRIA, VA, 22303, 703-329-9400 - 12,057,796 ($42,684,598.00) Equity, (File 333-111765 - Jan. 8) (BR. 03) S-8 MICROSIGNAL CORP/NV, 3927 EDMONTRIE NE BAY 8, CALGARY T2E 6T1, 12,000,000 ($1,800,000.00) Equity, (File 333-111767 - Jan. 8) (BR. 03) S-3 GLOBAL PAYMENTS INC, FOUR CORPORATE SQUARE, ATLANTA, GA, 30329, 4047282363 - 0 ($27,965,411.00) Equity, (File 333-111768 - Jan. 8) (BR. 37) S-8 SEAWRIGHT HOLDINGS INC, 600 CAMERON STREET, 600 CAMERON STREET, ALEXANDRIA, VA, 22134, 7033401629 - 0 ($471,093.00) Equity, (File 333-111769 - Jan. 8) (BR. 08) F-3 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 4,092,849 ($59,305,382.00) Equity, (File 333-111770 - Jan. 8) (BR. 36) S-8 CORONADO INDUSTRIES INC, 16929 EAST ENTERPRISE DRIVE, SUITE 202, FOUNTAIN HILLS, AZ, 85268, 6028376810 - 2,100,000 ($294,000.00) Equity, (File 333-111773 - Jan. 8) (BR. 01) S-8 HUMBOLDT BANCORP, 2998 DOUGLAS BLVD., SUITE 330, ROSEVILLE, CA, 95661, 916.677.1133 - 199,000 ($1,680,976.20) Equity, (File 333-111774 - Jan. 8) (BR. 07) S-3 UNITED RENTALS NORTH AMERICA INC, FIVE GREENWICH OFFICE PARK, GREENWICH, CT, 06830, 2036223131 - 0 ($143,750,000.00) Other, (File 333-111775 - Jan. 8) (BR. 06) S-4 SCOTTS COMPANY, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 6147195500 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-111776 - Jan. 8) (BR. 02) S-3 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 0 ($75,000,000.00) Other, (File 333-111777 - Jan. 8) (BR. 01) S-4 TEKNI PLEX INC, 201 INDUSTRIAL PKWY, SOMERVILLE, NJ, 08876, 9087224800 - 275,000,000 ($275,000,000.00) Equity, (File 333-111778 - Jan. 8) (BR. 06) F-3 MILLICOM INTERNATIONAL CELLULAR SA, 75 ROUTE DE LONGWY, BOX 23 BERTRANGE, GRAND DUCHY OF LUXEN, N4, L8080, 3524571451 - 0 ($63,531,000.00) Debt Convertible into Equity, (File 333-111779 - Jan. 8) (BR. 37) S-8 GLOBETEL COMMUNICATIONS CORP, 444 BRICKELL AVE SUITE 522, MIAMI, FL, 33131, 3055799922 - 33,000,000 ($2,920,500.00) Equity, (File 333-111780 - Jan. 8) (BR. 37) S-4 UNITED RENTALS NORTH AMERICA INC, FIVE GREENWICH OFFICE PARK, GREENWICH, CT, 06830, 2036223131 - 525,000,000 ($525,000,000.00) Non-Convertible Debt, (File 333-111781 - Jan. 8) (BR. 06) S-8 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 0 ($5,668,821.00) Equity, (File 333-111782 - Jan. 8) (BR. 01) S-8 DICUT INC, 2150 NORTHWEST PARKWAY, SE, SUITE H, MARIETTA, GA, 30067, 770-952-2656 - 3,000,000 ($480,000.00) Equity, (File 333-111783 - Jan. 8) (BR. 06) S-3 THORNBURG MORTGAGE INC, 150 WASHINGTON AVE, SUITE 302, SANTA FE, NM, 87501, 5059891900 - 0 ($750,000,000.00) Equity, (File 333-111784 - Jan. 8) (BR. 08) S-8 BLUE RHINO CORP, 104 CAMBRIDGE PLAZA DRIVE, WINSTON SALEM, NC, 27104, 3366596900 - 1,000,000 ($13,508,739.00) Equity, (File 333-111785 - Jan. 8) (BR. 02) S-8 BLUE RHINO CORP, 104 CAMBRIDGE PLAZA DRIVE, WINSTON SALEM, NC, 27104, 3366596900 - 400,000 ($5,416,000.00) Equity, (File 333-111786 - Jan. 8) (BR. 02) SB-2 PROCERA NETWORKS INC, 3175 S WINCESTER BLVD, CAMPBELL, CA, 95008, 0 ($31,065,906.00) Equity, (File 333-111787 - Jan. 8) (BR. 03) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 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 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ A C MOORE ARTS & CRAFTS INC PA X 01/08/04 A CONSULTING TEAM INC NY X X 01/06/04 ABERCROMBIE & FITCH CO /DE/ DE X 01/08/04 ACCESSITY CORP NY X X 01/06/04 ACCREDITED MORTGAGE LOAN TRUST 2003-3 DE X 12/26/03 ACE SECURITIES CORP HM EQUITY LN TRUS DE X X 12/25/03 ACE SECURITIES CORP HOME EQ LOAN TR S DE X X 12/25/03 AEGIS ASSET BACKED SEC CORP MORT PASS DE X X 12/25/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 12/25/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 12/25/03 AMEND AGCO CORP /DE DE X X 01/08/04 AKAMAI TECHNOLOGIES INC DE X X 01/07/04 ALBANY INTERNATIONAL CORP /DE/ DE X 01/08/04 ALICO INC FL X 12/31/03 ALLMERICA FINANCIAL CORP DE X 01/08/04 AMERICAN BANK HOLDINGS INC DE X X 01/02/04 AMERICAN RIVER HOLDINGS CA X 01/07/04 AMERIQUEST MORT SEC INC ASSET BACKED DE X X 12/24/03 AMIS HOLDINGS INC X 01/07/04 ANGELES PARTNERS IX CA X X 12/29/03 APACHE CORP DE X X 12/16/03 ASPENBIO INC CO X X 01/08/04 ASSET BACKED FUNDING CORP ABFC ASSET DE X X 12/25/03 ASSET BACKED PASS THROUGH CERTIFICATE DE X 12/26/03 ASSET BACKED SEC CORP HOME EQUITY LN DE X X 12/15/03 ASSET-BACKED CERTIFICATES SERIES 2003 DE X X 12/26/03 AT ROAD INC CA X X 01/08/04 ATMI INC DE X X 01/08/04 ATWOOD OCEANICS INC TX X 01/08/04 AVALON HOLDINGS CORP OH X 01/08/04 AVICI SYSTEMS INC DE X X 01/07/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICAN FUNDING CORP MORT PA DE X X 12/25/03 BANC OF AMERICAN FUNDING CORP MORT PA DE X X 12/25/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 12/27/03 BARRY R G CORP /OH/ OH X X 12/22/03 BAYVIEW FINANCIAL CORP MORTGAGE PASS DE X X 12/25/03 BAYVIEW FINANCIAL SEC CO LLC MORT PAS DE X X 12/25/03 BEAR STEARNS ALT A TRUST 2003-2 DE X X 12/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 12/25/03 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 12/27/03 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 12/27/03 AMEND BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 12/27/03 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 12/25/03 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 12/25/03 AMEND BEAR STEARNS ASSET BACKED SEC INC CER DE X X 12/25/03 BEAR STEARNS ASSET BACKED SEC INC CER DE X X 12/25/03 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 12/27/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 12/27/03 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 12/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 12/25/03 AMEND BEBE STORES INC CA X X 12/31/03 BEST BUY CO INC MN X X 01/08/04 BIG 5 SPORTING GOODS CORP DE X 01/08/04 BIG SKY INDUSTRIES I INC FL X 12/24/03 BIG SKY INDUSTRIES II INC FL X 12/24/03 BIG SKY INDUSTRIES III INC FL X 12/24/03 BIG SKY INDUSTRIES IV INC FL X 12/24/03 BIG SKY INDUSTRIES IX INC FL X 12/24/03 BIG SKY INDUSTRIES V INC FL X 12/24/03 BIG SKY INDUSTRIES VI INC FL X 12/24/03 BIG SKY INDUSTRIES VII INC FL X 12/24/03 BIG SKY INDUSTRIES VIII INC FL X 12/24/03 BIG SKY INDUSTRIES X INC FL X 12/24/03 BIOPURE CORP DE X X 01/08/04 BRIAZZ INC WA X X 12/17/03 AMEND BROWN SHOE CO INC NY X 01/08/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 01/08/04 CDMC MORTGAGE PASS THROUGH CERTIFICAT DE X 12/26/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 12/26/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 12/26/03 CENDANT MORT CAPITAL LLC CDMC MORT PA DE X 12/26/03 CENDANT MORTGAGE CAP LLC CDMC MORT PA DE X 12/26/03 CENDANT MORTGAGE CAPITAL CDMC MORT PA DE X 12/26/03 CENTEX CORP NV X X 07/22/03 AMEND CENTRAL VERMONT PUBLIC SERVICE CORP VT X 01/01/04 CENTURY CONTROLS INC X 01/05/04 CERES GROUP INC DE X X 12/23/03 CFS BANCORP INC DE X X 01/07/04 CHALONE WINE GROUP LTD CA X 11/14/03 CHASE FUNDING INC NY X X 12/19/03 CHASE MORTGAGE FINANCE CORP DE X X 01/07/04 CHOICE HOTELS INTERNATIONAL INC /DE DE X X 01/06/04 CIMNET INC/PA DE X X 01/07/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X 12/26/03 CLAIRES STORES INC DE X X 01/08/04 COGENT COMMUNICATIONS GROUP INC X X 01/07/04 COMDISCO HOLDING CO INC DE X X 01/07/04 COMMERCE ONE INC / DE/ DE X X 12/31/03 COMPASS MINERALS INTERNATIONAL INC DE X X 01/08/04 CONOCOPHILLIPS DE X X 01/08/04 CORIXA CORP DE X 12/22/03 CREDIT & ASSET REP VEHICLE CORP ALLST DE X 01/01/04 CREDIT ACCEPTANCE CORPORATION MI X X 01/07/04 CRESCENT REAL ESTATE EQUITIES CO TX X X 01/06/04 CRESCENT REAL ESTATE EQUITIES CO TX X X 12/31/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 11/25/03 CSFB MORTGAGE ACCEPTANCE CORP MORT BA DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 12/25/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 09/25/03 AMEND CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 12/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 12/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 12/22/03 CSFB MORTGAGE BACKED PASS THRU CERT S DE X X 12/26/03 CYBERLUX CORP NV X X 12/31/03 DARLING INTERNATIONAL INC DE X 01/02/04 DEUTSCHE ALT A SECURITIES INC MORT LO X X 12/27/03 DEUTSCHE ALT-A SEC INC MTG P/T CERTS X X 12/25/03 DEUTSCHE ALT-A SECURITIES INC MORT LO X X 12/25/03 DICUT INC DE X X 01/08/04 DIGITAL IMPACT INC /DE/ DE X X 01/05/04 DIGITALPREVIEWS COM INC NV X 12/30/03 DIOMED HOLDINGS INC NV X 01/08/03 DOLLAR GENERAL CORP TN X X 01/07/04 DOLLAR GENERAL CORP TN X X 01/08/04 EAGLE BUILDING TECHNOLOGIES INC NV X X X 11/15/03 AMEND EARTHLINK INC DE X X 01/06/04 EDISON MISSION ENERGY CA X 01/07/04 EDUCATIONAL DEVELOPMENT CORP DE X X 01/08/04 EL PASO CORP/DE DE X X 01/08/04 ELECTRO SCIENTIFIC INDUSTRIES INC OR X 01/08/04 ELITE PHARMACEUTICALS INC /DE/ DE X X 12/23/03 EMMIS COMMUNICATIONS CORP IN X 01/07/04 EMMIS COMMUNICATIONS CORP IN X 01/08/04 AMEND EMPIRE DISTRICT ELECTRIC CO KS X X 01/08/04 ENCORE CREDIT CORP MORTGAGE PASS THRO DE X X 12/25/03 ENZON PHARMACEUTICALS INC DE X 01/02/04 EXPERTELLIGENCE INC CA X 12/31/03 FINANCIAL ASSET SEC CORP C BASS MORT DE X X 12/26/03 FINANCIAL INDUSTRIES CORP TX X X 01/07/04 FIRST BUSEY CORP /NV/ NV X X 01/05/04 FIRST CAPITAL INC IN X X 01/07/04 FIRST SOUTH BANCORP INC /VA/ VA X X 10/20/03 FRANKLIN BANK CORP X X 12/30/03 FRONTIER OIL CORP /NEW/ WY X X 01/06/04 GAP INC DE X X 01/08/04 GATEWAY INDUSTRIES INC /DE/ DE X X 01/08/04 GENERAL DATACOMM INDUSTRIES INC DE X X 12/30/03 GENERAL MOTORS CORP DE X 01/08/04 GLOBAL BUSINESS MARKETS INC NV X 01/08/04 GLOBALSANTAFE CORP X 01/08/04 GLYCOGENESYS INC NV X X 01/08/04 GREY GLOBAL GROUP INC DE X 12/31/03 HANOVER DIRECT INC DE X 01/07/04 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 01/06/04 HEPALIFE TECHNOLOGIES INC FL X X 01/07/04 HOME EQUITY LOAN TRUST SERIES 2003-HE DE X X 12/15/03 HOME EQUITY LOAN TRUST SERIES 2003-NC DE X X 12/25/03 HOME EQUITY MORTGAGE PASS-THROUGH CER DE X X 12/26/03 HUGHES SUPPLY INC FL X X 12/19/03 AMEND INDIGINET INC/FL FL X X X 10/28/03 INTERNATIONAL BUSINESS MACHINES CORP NY X 01/08/04 INTERNATIONAL WIRELESS INC MD X 01/08/04 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 12/27/03 J P MORGAN ACCEPTANCE CORP I MORTGAGE DE X X 12/25/03 J2 GLOBAL COMMUNICATIONS INC DE X X X 01/08/04 JACO ELECTRONICS INC NY X 01/08/04 JO-ANN STORES INC OH X 01/08/04 JONES LANG LASALLE INC MD X X 01/08/04 KENT FINANCIAL SERVICES INC DE X 01/08/04 KOGER EQUITY INC FL X X 01/07/04 KOHLS CORPORATION WI X 01/08/04 KONTRON MOBILE COMPUTING INC MN X 01/08/04 LANDEC CORP \CA\ CA X X 01/08/04 LEAR CORP /DE/ DE X X 01/08/04 LIFEPOINT HOSPITALS INC DE X X 01/07/04 LIVESTAR ENTERTAINMENT GROUP INC NV X 01/08/04 AMEND LNR PROPERTY CORP DE X X 01/08/04 LOUD TECHNOLOGIES INC WA X X 12/10/03 AMEND MANATRON INC MI X 01/08/04 MARGO CARIBE INC PR X 01/07/03 MATRIX SERVICE CO DE X X 01/08/04 MATRIXX INITIATIVES INC DE X X 01/07/04 MCMORAN EXPLORATION CO /DE/ DE X 01/07/04 MERCHANTS BANCORP INC/OH OH X 01/08/04 MERRILL LYNCH MORTGAGE ASST BACK CERT DE X X 12/25/03 METHODE ELECTRONICS INC DE X X 01/08/04 MICRON ENVIRO SYSTEMS INC NV X 01/08/04 MICROSIGNAL CORP/NV NV X X 12/30/03 MIDAS INC DE X 01/07/04 MIDLAND CO OH X 01/07/04 MISSION ENERGY HOLDING CO DE X 01/07/04 MORGAN STANLEY DE X X 01/07/04 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 12/25/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 12/26/03 MSC INDUSTRIAL DIRECT CO INC NY X X 01/06/04 MSC INDUSTRIAL DIRECT CO INC NY X X X 01/08/04 NATIONAL FINANCIAL PARTNERS CORP X X 01/08/04 NATIONAL FINANCIAL PARTNERS CORP X X 01/08/04 NATURAL RESOURCE PARTNERS LP DE X X X 01/08/04 NATUROL HOLDINGS LTD DE X 12/11/03 NBC ACQUISITION CORP DE X X 12/10/03 NEBRASKA BOOK CO KS X X 12/10/03 NEIMAN MARCUS GROUP INC DE X X 01/08/04 NEOGEN CORP MI X X 01/07/04 NEOPHARM INC DE X X 01/07/04 NEW CENTURY MORT SEC INC HOME EQUITY DE X X 11/14/03 NEW CENTURY MORT SEC INC HOME EQUITY DE X X 12/18/03 NEWCASTLE INVESTMENT CORP MD X X 01/06/04 NORDSTROM INC WA X X 01/08/04 NU HORIZONS ELECTRONICS CORP DE X X 11/30/03 OCEANEERING INTERNATIONAL INC DE X 01/08/04 OPEN TEXT CORP K6 X 01/08/04 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 01/08/04 ORTHOFIX INTERNATIONAL N V X X 01/07/04 OYO GEOSPACE CORP DE X X 01/08/04 P F CHANGS CHINA BISTRO INC X X 01/07/04 PANERA BREAD CO DE X X X 01/08/04 PARK CITY GROUP INC DE X 01/07/04 PARTY CITY CORP DE X 01/08/04 PEGASUS COMMUNICATIONS CORP / DE X 01/08/04 PETROQUEST ENERGY INC DE X X 01/08/04 PHASE III MEDICAL INC/DE DE X X 01/06/04 PLAYTEX PRODUCTS INC DE X X 01/08/04 PLM EQUIPMENT GROWTH FUND II CA X X 12/31/03 PLM EQUIPMENT GROWTH FUND III CA X X 12/31/03 POWERCERV CORP FL X X 01/08/04 PPOL INC CA X 01/07/04 PRINTRONIX INC DE X X 01/08/04 PROVIDENT FUNDING MORTGAGE PASS-THROU DE X X 12/25/03 QEP CO INC DE X X 01/08/04 R H DONNELLEY CORP DE X 01/08/04 RADIOLOGIX INC DE X X 12/31/03 REGIS CORP MN X X 01/08/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 01/07/04 RESOURCES CONNECTION INC DE X 01/08/04 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO X X 01/08/04 ROSS SYSTEMS INC/CA DE X X 01/07/04 ROXIO INC DE X X 01/08/04 RPM INTERNATIONAL INC/DE/ DE X 01/08/04 RYLAND GROUP INC MD X X 01/08/04 SAFE ID CORP X X X X 12/31/03 SAKS INC TN X X 01/08/04 SALOMON BRO MOR SEC 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