SEC NEWS DIGEST Issue 2004-29 February 12, 2004 COMMISSION ANNOUNCEMENTS SEC ADOPTS ENHANCED MUTUAL FUND EXPENSE AND PORTFOLIO DISCLOSURE; PROPOSES IMPROVED DISCLOSURE OF BOARD APPROVAL OF INVESTMENT ADVISORY CONTRACTS AND PROHIBITION ON THE USE OF BROKERAGE COMMISSIONS TO FINANCE DISTRIBUTION On February 11, the Commission took the following actions at its open meeting: Shareholder Reports and Quarterly Portfolio Disclosure by Funds The Commission adopted several amendments to its rules and forms that are intended to improve significantly the periodic disclosure that mutual funds and other registered management investment companies provide to their shareholders about their costs, portfolio investments, and performance. The amendments include the following: * Enhanced Mutual Fund Expense Disclosure in Shareholder Reports. The amendments will require open-end management investment companies (mutual funds) to disclose fund expenses borne by shareholders during the reporting period in their shareholder reports. Shareholder reports will be required to include: (i) the cost in dollars associated with an investment of $1,000, based on the fund's actual expenses for the period; and (ii) the cost in dollars, associated with an investment of $1,000, based on the fund's actual expense ratio for the period and an assumed return of 5 percent per year. The first figure is intended to permit investors to estimate the actual costs, in dollars, that they bore over the reporting period. The second figure is intended to provide investors with a basis for comparing the level of current period expenses of different funds. The expense disclosure will also be required to include the fund's expense ratio and the account values as of the end of the period for an initial investment of $1,000. * Quarterly Disclosure of Fund Portfolio Holdings. The amendments will require a registered management investment company (fund) to file its complete portfolio holdings schedule with the Commission on a quarterly basis. These filings will be publicly available through the Commission's Electronic Data Gathering, Analysis, and Retrieval System (EDGAR). This amendment is intended to enable interested investors, through more frequent access to portfolio information, to monitor whether, and how, a fund is complying with its stated investment objective. * Use of Summary Portfolio Schedule. The amendments will permit a fund to include a summary portfolio schedule in its semi-annual reports that are delivered to shareholders in lieu of the complete schedule, provided that the complete portfolio schedule is filed with the Commission and is provided to shareholders upon request, free of charge. The summary portfolio schedule will include each of the fund's 50 largest holdings in unaffiliated issuers and each investment that exceeds one percent of the fund's net asset value. This amendment is intended to provide investors with information about portfolio holdings in a format that is more useful and understandable. * Exemption of Money Market Funds from Portfolio Schedule Delivery Requirements. The amendments will exempt money market funds from including a portfolio schedule in reports to shareholders, provided that this information is filed with the Commission and is provided to shareholders upon request, free of charge. Because the investments of money market funds must be high- quality, are circumscribed by rules under the Investment Company Act of 1940, and have short-term maturities, detailed portfolio information has limited utility for money market fund investors. * Tabular or Graphic Presentation of Portfolio Holdings in Shareholder Reports. The amendments will require fund reports to shareholders to include a tabular or graphic presentation of a fund's portfolio holdings by identifiable categories (e.g., industry sector, geographic region, credit quality, or maturity). This presentation is intended to illustrate, in a concise and user-friendly format, the allocation of a fund's investments across asset classes. * Management's Discussion of Fund Performance. The amendments will require a mutual fund to include Management's Discussion of Fund Performance (MDFP) in its annual report to shareholders. Currently, a fund is permitted to include MDFP in either its prospectus or its annual report to shareholders. MDFP is more appropriately located in the annual report, together with other "backward looking" information, such as the fund's financial statements. The new requirements will apply to shareholder reports and quarterly portfolio disclosure for reporting periods ending on or after 120 days following publication in the Federal Register. Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies The Commission proposed amendments to its rules and forms that would improve the disclosure that mutual funds and other registered management investment companies provide to their shareholders regarding the reasons for the fund board's approval of an investment advisory contract. The proposals are intended to encourage fund boards to consider investment advisory contracts more carefully and to encourage investors to consider more carefully the costs and value of the services rendered by the fund's investment adviser. The proposals would require fund shareholder reports to discuss, in reasonable detail, the material factors and the conclusions with respect to these factors that formed the basis for the board of directors' approval of any investment advisory contract. The proposed new disclosure would be similar to disclosure currently required in the fund's Statement of Additional Information, or SAI, and fund proxy statements about the basis for the approval of the fund's existing advisory contract and any board recommendation that shareholders approve an advisory contract. The proposals also include several enhancements to the existing disclosure requirements in the SAI and proxy statements that would parallel the proposed disclosure in fund shareholder reports. These enhancements would require the following: * Selection of Adviser and Approval of Advisory Fee. The proposals would clarify that the fund should discuss both the board's selection of the investment adviser and its approval of amounts to be paid under the advisory contract. * Specific Factors. The fund would be required to include a discussion of (1) the nature, extent, and quality of the services to be provided by the investment adviser; (2) the investment performance of the fund and the investment adviser; (3) the costs of the services to be provided and profits to be realized by the investment adviser and its affiliates from the relationship with the fund; (4) the extent to which economies of scale would be realized as the fund grows; and (5) whether fee levels reflect these economies of scale for the benefit of fund investors. * Comparison of Fees and Services Provided by Adviser. The fund's discussion would be required to indicate whether the board relied upon comparisons of the services to be rendered and the amounts to be paid under the contract with those under other investment advisory contracts, such as contracts of the same and other investment advisers with other registered investment companies or other types of clients (e.g., pension funds and other institutional investors). Comments on the proposed rule amendments will be due approximately 60 days following their publication in the Federal Register. Prohibition on the Use of Brokerage Commissions to Finance Distribution The Commission proposed an amendment to rule 12b-1 under the Investment Company Act of 1940 that would prohibit open-end investment companies (mutual funds) from directing commissions from their portfolio brokerage transactions to broker-dealers to compensate them for distributing fund shares. The Commission also asked for comment on the need for additional changes to rule 12b-1. In an increasingly competitive marketplace, one way that fund advisers reward broker-dealers for promoting mutual fund shares is through brokerage commissions. Advisers often either select broker-dealers that sell fund shares to execute fund portfolio transactions, or rely on another broker-dealer to execute the transactions, but direct a portion of the brokerage commission to selling brokers. The conflicts of interest that surround the use of brokerage commissions (which are fund assets) to finance distribution may harm funds and their shareholders in a number of ways, including compromising best execution, causing advisers and brokers to circumvent limits on sales charges, increasing portfolio turnover, concealing distribution costs, and influencing broker-dealers' recommendations to their customers. The proposed rule amendment would: * prohibit funds from compensating a broker-dealer for promoting or selling fund shares by directing brokerage transactions to that broker- dealer; * prohibit "step-out" and similar arrangements under which a fund directs brokerage commissions to selling brokers that do not execute fund portfolio securities transactions as compensation for selling fund shares; and * require funds that use a selling broker-dealer to execute portfolio securities transactions to adopt, and the fund's board of directors (including its independent directors) to approve, policies and procedures reasonably designed to prevent: (i) the persons who select executing broker- dealers from taking into account brokers' distribution efforts; and (ii) any agreement under which the fund is expected to direct brokerage commissions for distribution. The Commission also is requesting comment on the need for additional changes to rule 12b-1 to address other issues that have arisen under the rule. One of these issues is the current practice of using 12b-1 fees as a substitute for a sales load. In addition, the Commission is requesting comment on an alternative approach to rule 12b-1 that would require distribution-related costs to be deducted directly from shareholder accounts rather than from fund assets. Finally, the Commission is seeking comment on whether rule 12b-1 continues to serve the purpose for which it was intended, and whether it should be repealed. The comments the Commission receives will determine whether a proposal for further amendments to rule 12b-1 is appropriate. Comments on the proposed rule amendment and additional request for comment will be due approximately 60 days after the proposed rule is published in the Federal Register. (Press Rel. 2004-16) RULES AND RELATED MATTERS DISCLOSURE REGARDING APPROVAL OF INVESTMENT ADVISORY CONTRACTS BY DIRECTORS OF INVESTMENT COMPANIES The Commission proposed amendments to Schedule 14A under the Securities Exchange Act of 1934, and to Forms N-1A, N-2, and N-3 under the Securities Act of 1933 and the Investment Company Act of 1940. The proposals would require a registered management investment company to provide disclosure in its reports to shareholders regarding the basis for the board of directors' approval of an investment advisory contract. They would also enhance existing disclosure requirements in the registration statements of registered management investment companies and in proxy statements regarding the basis for the board's approval of, or recommendation that shareholders approve, an investment advisory contract. For further information, please contact Deborah D. Skeens at (202) 942-0562. (Rels. 33-8364, 34-49219, IC-26350; File No. S7-08-04) ENFORCEMENT PROCEEDINGS INITIAL DECISION IN THE MATTER OF MICHAEL BATTERMAN AND RANDALL BATTERMAN III An Administrative Law Judge has issued an Initial Decision in the matter of Michael Batterman and Randall Batterman III. The Initial Decision finds that the U.S. District Court for the Southern District of New York permanently enjoined Respondents Michael Batterman and Randall B. Batterman III in connection with the offer and sale of the securities of Dynasty Fund, Ltd. The Initial Decision bars Respondents Michael Batterman and Randall B. Batterman III from association with any investment adviser pursuant to Section 203(f) of the Investment Advisers Act of 1940. (Initial Decision No. 246; File No. 3-11259) SEC OBTAINS EMERGENCY ORDERS FREEZING ASSETS OF CARLOS SOTO, BASLE ADVISERS AND ICR CORPORATION The Commission announced that on February 11 a federal court in Puerto Rico, on the basis of allegations brought by the SEC, issued an order freezing the assets of San Juan resident Carlos H. Soto and two companies he controlled. The order, issued by Judge Jaime Pieras, Jr., of the U.S. District Court for the District of Puerto Rico, provides for interim, emergency relief as to Soto and corporate defendants Basle Advisers and ICR Corporation (ICR), pending a preliminary injunction hearing set for February 19, 2004. The SEC's civil complaint, filed with the application for emergency relief, alleges that Soto, a stock broker at Morgan Stanley DW, Inc., raised at least $50 million by telling investors that he would invest their funds in low risk mortgage-backed securities issued by the Government National Mortgage Association (so-called "Ginnie Maes"). According to the complaint, contrary to his representations, Soto diverted the investors' money to accounts in the names of Basle Advisers and ICR. He then used the funds for personal use and to engage in speculative and risky trading, including short sales. Soto, 59 years old, is a resident of San Juan, Puerto Rico. Basle and ICR, upon the SEC's information and belief, are Puerto Rican corporations under the exclusive control of Soto. The SEC's complaint charges Soto with violations of the antifraud provisions of the federal securities laws, specifically Section 17(a)(1) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. Among other things, the SEC seeks preliminary and permanent injunctions against Soto prohibiting further violations of the antifraud provisions, and requests that Soto, Basle Advisers, and ICR disgorge their ill-gotten proceeds and that Soto pay a civil monetary penalty for his misconduct. [SEC v. Carlos H. Soto, et al., Case No. 04-1105JP (USDC/D. Puerto Rico)] (LR-18574) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Commission published for comment a proposed rule change, and Amendment Nos. 1, 2, and 3 thereto, filed by the Chicago Board Options Exchange (SR-CBOE-2003-35), relating to the non-aggregation of accounts for the purpose of calculating position and exercise limits. (Rel. 34- 49213) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2003-71) relating to participation guarantees for floor brokers representing crossing and facilitation orders in index options. Publication of the proposal is expected in the Federal Register during the week of February 16. (Rel. 34-49215) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2003-101) submitted by the American Stock Exchange relating to Amex membership's duty to report fraudulent or manipulative conduct. (Rel. 34-49214) WITHDRAWAL GRANTED An order has been issued granting the application of Saga Communications, Inc. to withdraw its Class A Common Stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on February 12. (Rel. 34-49222) DELISTING GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on February 12. AMN Healthcare Services, Inc. (AHS) Compaq Computer Corporation (CPQ) Expedia, Inc. (UED/EXPE) Global Marine, Inc. (GLM) Hotels.com (URD/ROOM) Immunex Corporation (IUQ/IMNX) InterTan, Inc. (ITN) Mueller Industries, Inc. (MLI) NS Group, Inc. (NSS) SCI Systems, Inc. (SCI) SICOR, Inc. (UEC/SCRI) Triton Energy Limited (OIL) (Rel. 34-49223) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-1 B&G FOODS HOLDINGS CORP, FOUR GATEHALL DRIVE, SUITE 110, PARSIPPANY, NJ, 07034, 9734016500 - 0 ($565,000,000.00) Other, (File 333-112680 - Feb. 11) (BR. 04) S-3 CELL THERAPEUTICS INC, 201 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119, 2062707100 - 0 ($75,000,000.00) Equity, (File 333-112681 - Feb. 11) (BR. 01) S-3 PLAYBOY ENTERPRISES INC, 680 NORTH LAKE SHORE DRIVE, CHICAGO, IL, 60611, 3127518000 - 0 ($103,500,000.00) Equity, (File 333-112682 - Feb. 11) (BR. 05) S-8 CENTIV INC, 998 FOREST EDGE DRIVE, VERNON HILLS, IL, 60061, 8478768300 - 0 ($13,700,000.00) Equity, (File 333-112683 - Feb. 11) (BR. 03) S-8 METASOLV INC, 5560 TENNYSON PKWY, PLANO, TX, 75024, 9724038300 - 0 ($1,149,586.00) Equity, (File 333-112684 - Feb. 11) (BR. 03) S-8 METASOLV INC, 5560 TENNYSON PKWY, PLANO, TX, 75024, 9724038300 - 0 ($5,747,928.00) Equity, (File 333-112685 - Feb. 11) (BR. 03) S-8 ATLANTIS BUSINESS DEVELOPMENT CORP, 8 S NEVADA AVE, STE 204, COLORADO SPRINGS, CO, 80903, 7195750044 - 0 ($400,000.00) Equity, (File 333-112686 - Feb. 11) (BR. 07) S-8 LASER CORP, 2417 SOUTH 3850 WEST, SALT LAKE CITY, UT, 84120, 8019721311 - 105,000 ($472,500.00) Equity, (File 333-112687 - Feb. 11) (BR. 08) S-8 CAL BAY INTERNATIONAL INC, 1582 PARKWAY LOOP SUITE G, TUSTIN, CA, 92780, 7142587070 - 1,500,000 ($45,000.00) Equity, (File 333-112688 - Feb. 11) (BR. 02) S-3 ICAD INC, 4 TOWNSEND WEST, SUITE 17, NASHUA, NH, 03063, 603-882-5200 - 750,000 ($3,855,000.00) Equity, (File 333-112689 - Feb. 11) (BR. 03) S-8 SOMERA COMMUNICATIONS INC, 5383 HOLLISTER AVENUE, SANTA BARBARA, CA, 93111, 8056813322 - 299,969 ($692,254.00) Equity, (File 333-112690 - Feb. 11) (BR. 36) SB-2 PANARION INC, 2,000,000 ($6,000,000.00) Equity, (File 333-112691 - Feb. 11) (BR. 09) S-8 BROADBAND WIRELESS INTERNATIONAL CORP, 1301 AVENUE M, C/O PO BOX 31, CISCO, TX, 76437, 2544423968 - 2,000,000 ($80,000.00) Equity, (File 333-112692 - Feb. 11) (BR. 04) S-8 CAPCO ENERGY INC, 1401 BLAKE STREET, SUITE 200, DENVER, CO, 80202, 3035721135 - 600,000 ($121,500.00) Equity, (File 333-112693 - Feb. 11) (BR. 04) S-4 DEX MEDIA WEST LLC, 0 ($1,165,000,000.00) Non-Convertible Debt, (File 333-112694 - Feb. 11) (BR. 05) S-8 GLACIER WATER SERVICES INC, 2651 LA MIRADA DRIVE, SUITE 100, VISTA, CA, 92083-8435, 7605601111 - 666,365 ($6,605,643.00) Other, (File 333-112695 - Feb. 11) (BR. 02) S-3 MOLDFLOW CORP, 430 BOSTON POST ROAD, WAYLAND, MA, 01778, 508-358-5848 - 0 ($1,794,467.00) Equity, (File 333-112696 - Feb. 11) (BR. 03) S-4 SIMMONS FIRST NATIONAL CORP, 501 MAIN STREET, C/O SIMMONS FIRST NATIONAL CORP, PINE BLUFF, AR, 71601, 8705411000 - 545,000 ($1.00) Other, (File 333-112697 - Feb. 11) (BR. 07) S-3 CHORDIANT SOFTWARE INC, 20400 STEVENS CREEK BLVD, SUITE 400, CUPERTINO, CA, 95014, 4085176100 - 0 ($25,825,237.76) Equity, (File 333-112698 - Feb. 11) (BR. 03) S-3 IONICS INC, 65 GROVE ST, WATERTOWN, MA, 02172, 6179262500 - 10,000 ($277,300.00) Equity, (File 333-112699 - Feb. 11) (BR. 36) S-8 PROVIDENT FINANCIAL HOLDINGS INC, 3756 CENTRAL AVE, RIVERSIDE, CA, 92506, 9096866060 - 352,500 ($8,044,050.00) Equity, (File 333-112700 - Feb. 11) (BR. 07) S-8 HESKA CORP, 1613 PROSPECT PARKWAY, FORT COLLINS, CO, 80525, 9704937272 - 1,500,000 ($3,930,000.00) Equity, (File 333-112701 - Feb. 11) (BR. 01) N-2 EATON VANCE TAX ADVANTAGED GLOBAL DIVIDEND INCOME FUND, EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 40 ($1,000,000.00) Equity, (File 333-112702 - Feb. 11) (BR. 16) S-8 OMNI MEDICAL HOLDINGS INC, 1107 MT RUSHMORE ROAD, SUITE 2, RAPID CITY, SD, 57701, 605 718 0380 - 293,104 ($8,793.12) Equity, (File 333-112703 - Feb. 11) (BR. 08) S-8 NETSCOUT SYSTEMS INC, 9786144000 - 0 ($6,330,000.00) Equity, (File 333-112704 - Feb. 11) (BR. 03) S-8 VERTICALNET INC, 400 CHESTER FIELD PARKWAY, MALVERN, PA, 19355, 2153286100 - 751,670 ($963,190.35) Equity, (File 333-112705 - Feb. 11) (BR. 02) S-8 ALPHASMART INC, 973 UNIVERSITY AVE, LOS GATOS, CA, 95032, 4083351000 - 1,435,423 ($5,546,133.90) Equity, (File 333-112706 - Feb. 11) (BR. 03) S-1 TENFOLD CORP /UT, 180 W ELECTION ROAD SUITE 100, DRAPER, UT, 84020, 5,000,000 ($18,900,000.00) Equity, (File 333-112707 - Feb. 11) (BR. 03) S-3 BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 0 ($30,000,000,000.00) Unallocated (Universal) Shelf, (File 333-112708 - Feb. 11) (BR. 07) S-8 VIRAGE LOGIC CORP, 47100 BAYSIDE PARKWAY, FREMONT, CA, 94538, 5103608000 - 159,001 ($1,602,730.00) Equity, (File 333-112709 - Feb. 11) (BR. 36) S-4 NCO GROUP INC, 507 PRUDENTIAL ROAD, HORSHAM, PA, 19044, 215-441-3000 - 4,692,429 ($89,249,991.00) Equity, (File 333-112711 - Feb. 11) (BR. 02) S-3 ADVISORY BOARD CO, 600 NEW HAMPSHIRE AVENUE N.W., WASHINGTON, DC, 20037, 0 ($117,063,477.00) Equity, (File 333-112712 - Feb. 11) (BR. 08) S-4 MICHAEL FOODS INC/NEW, 150,000,000 ($150,000,000.00) Non-Convertible Debt, (File 333-112714 - Feb. 11) (BR. ) F-6 AKZO NOBEL NV, 76 VELPERWEG 6824 BM, ARNHEM NETHERLANDS, P8, 00000, 100,000,000 ($5,000,000.00) Equity, (File 333-112715 - Feb. 11) (BR. 02) S-8 FX ENERGY INC, 3006 HIGHLAND DR, STE 206, SALT LAKE CITY, UT, 84106, 801-486-5555 - 5,570,000 ($28,491,273.00) Equity, (File 333-112717 - Feb. 11) (BR. 04) S-1 MARKETAXESS HOLDING INC, 0 ($150,000,000.00) Equity, (File 333-112718 - Feb. 11) (BR. ) S-8 PROVIDE COMMERCE INC, 5005 WATERIDGE VISTA DRIVE, 2ND FLOOR, SAN DIEGO, CA, 92121, 858-638-4900 - 0 ($7,801,767.54) Equity, (File 333-112719 - Feb. 11) (BR. 08) F-1 SEMICONDUCTOR MANUFACTURING INTERNATIONAL CORP, 18 ZHANG JIANG ROAD, PUDONG AREA, SHANGHAI, F4, 00000, 0 ($714,000,000.00) Equity, (File 333-112720 - Feb. 11) (BR. ) S-8 DICUT INC, 2150 NORTHWEST PARKWAY, SE, SUITE H, MARIETTA, GA, 30067, 770-952-2656 - 10,000,000 ($1,400,000.00) Equity, (File 333-112721 - Feb. 11) (BR. 06) S-8 VERISITY LTD, 2041 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 4154341665 - 1,193,192 ($10,498,669.54) Equity, (File 333-112723 - Feb. 11) (BR. 03) S-3 BAM ENTERTAINMENT INC, 333 WEST SANTA CLARA BLVD STE 930, SAN JOSE, CA, 95113, 4082987500 - 10,210,776 ($13,984,409.00) Equity, (File 333-112724 - Feb. 11) (BR. 03) F-6 SEMICONDUCTOR MANUFACTURING INTERNATIONAL CORP, 18 ZHANG JIANG ROAD, PUDONG AREA, SHANGHAI, F4, 00000, 0 ($5,000,000.00) ADRs/ADSs, (File 333-112725 - Feb. 11) (BR. ) SB-2 INFORMEDIX HOLDINGS INC, GEORGETOWNE PARK, 5880 HUBBARD DR, ROCKVILLE, MD, 20852, 3019841566 - 42,702,972 ($29,596,178.00) Equity, (File 333-112726 - Feb. 11) (BR. 09) S-1 DOV PHARMACEUTICAL INC, 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601, 2019680980 - 2,920,974 ($38,746,720.00) Equity, (File 333-112727 - Feb. 11) (BR. 01) S-8 PDF SOLUTIONS INC, 333 WEST SAN CARLOS STREET, SUITE 700, SAN JOSE, CA, 95110, 4082807900 - 0 ($21,466,549.00) Equity, (File 333-112728 - Feb. 11) (BR. 03) S-3 24/7 REAL MEDIA INC, 1250 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10001, 2122317100 - 0 ($75,000,000.00) Equity, (File 333-112729 - Feb. 11) (BR. 02) 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 ------------------------------------------------------------------------------------------------ 10CHARGE INC DE X 02/01/04 21ST CENTURY INSURANCE GROUP CA X 02/11/04 24/7 REAL MEDIA INC DE X X 02/11/04 ACCESSPOINT CORP /NV/ NV X 02/10/04 ACCREDITED HOME LENDERS INC DE X X 02/11/04 ACCREDO HEALTH INC DE X 02/10/04 ACETO CORP NY X 02/11/04 ACNB CORP PA X X 02/10/04 ADAMS GOLF INC DE X 02/10/04 ADVANCED PHOTONIX INC DE X 02/10/04 ADZONE RESEARCH INC DE X 02/10/04 AFTERMARKET TECHNOLOGY CORP DE X 02/11/04 ALFA CORP DE X 02/11/04 ALIGN TECHNOLOGY INC DE X X X 02/10/04 ALKERMES INC PA X 02/11/04 ALLIED MOTION TECHNOLOGIES INC CO X X 02/10/04 AMERICAN AMMUNITION INC/FL CA X X 02/10/04 AMERICAN AMMUNITION INC/FL CA X X X 02/11/04 AMERICAN INTERNATIONAL GROUP INC DE X 02/11/04 AMERICAN MANAGEMENT SYSTEMS INC DE X 02/11/04 AMERISOURCEBERGEN CORP DE X X 02/11/04 AON CORP DE X X 02/10/04 APPLEBEES INTERNATIONAL INC DE X 02/11/04 APPLEBEES INTERNATIONAL INC DE X 02/11/04 APPLIED INNOVATION INC DE X X 02/11/04 APTARGROUP INC DE X 02/11/04 ARADIGM CORP CA X X 02/11/04 ARAMARK CORP/DE DE X 02/11/04 ARCHON CORP NV X X 02/09/04 ARMANINO FOODS OF DISTINCTION INC /CO CO X X 02/11/04 ARTHROCARE CORP DE X X 01/28/04 ASBURY AUTOMOTIVE GROUP INC DE X 02/11/04 ASSET BACKED FUNDING CORP DE X X 02/11/04 ASTA FUNDING INC DE X X 02/10/04 ATHEROGENICS INC GA X X 02/11/04 ATLAS MINING CO ID X X 02/10/04 ATS MEDICAL INC MN X X 02/11/04 AUGUST TECHNOLOGY CORP MN X X 02/11/04 AULT INC MN X X 02/05/04 AVENUE GROUP INC DE X X 01/22/04 AVIGEN INC \DE DE X 02/11/04 AXIS CAPITAL HOLDINGS LTD X X 02/11/04 AZTAR CORP DE X X 02/11/04 B&G FOODS INC DE X 02/11/04 B&G FOODS INC DE X 02/11/04 BALLISTIC VENTURES INC DE X 02/09/04 BAM ENTERTAINMENT INC X X 02/11/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 11/26/03 BARPOINT COM INC DE X X 02/05/04 BEAZER HOMES USA INC DE X X 02/11/04 BIG 5 SPORTING GOODS CORP DE X 02/11/04 BLACKHAWK BANCORP INC WI X 02/10/04 BORDERS GROUP INC DE X X 01/25/04 BOSTON BEER CO INC MA X 02/11/04 BOSTONFED BANCORP INC DE X X 02/11/04 BRALORNE MINING CO NV X 02/05/04 BROCADE COMMUNICATIONS SYSTEMS INC DE X X 02/11/04 BUTLER NATIONAL CORP DE X X 02/11/04 C-CHIP TECHNOLOGIES CORP NV X X 02/10/04 CADENCE DESIGN SYSTEMS INC DE X 02/10/04 CALGON CARBON CORPORATION DE X 02/10/04 CAPITAL AUTOMOTIVE REIT MD X X 02/11/04 CAPITAL GROWTH SYSTEMS INC /FL/ FL X X 01/28/04 CAPITAL ONE MASTER TRUST NY X X 02/10/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 02/10/04 CARE CONCEPTS I INC /FL/ DE X X 02/11/04 CELL THERAPEUTICS INC WA X X 02/11/04 CENTIV INC DE X X 02/05/04 CENTRAL VERMONT PUBLIC SERVICE CORP VT X X 02/11/04 CENTRAL VIRGINIA BANKSHARES INC VA X 02/03/04 CERTRON CORP CA X 02/11/04 CHARLES RIVER LABORATORIES INTERNATIO X X 02/10/04 CHASE MORTGAGE FINANCE CORP DE X X 01/27/04 CHEESECAKE FACTORY INCORPORATED DE X 02/11/04 CHIPPAC INC CA X X 02/10/04 CHURCHILL DOWNS INC KY X 12/31/03 CIMAREX ENERGY CO 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