SEC NEWS DIGEST Issue 2004-35 February 23, 2004 ENFORCEMENT PROCEEDINGS COMMISSION SANCTIONS CHARLES TRENTO The Commission has barred Charles Trento of Marcy, New York from association with any broker or dealer, assessed a civil money penalty of $500,000, and issued a cease-and-desist order. Trento was a registered representative of A.S. Goldmen and Co., Inc., formerly a registered broker-dealer. Trento was convicted in New York of enterprise corruption, securities fraud, and falsifying business records. In imposing sanctions, the Commission cited Trento's egregious misconduct, and stated that it was unable to find any mitigating circumstances. (Rels. 33-8391; 34-49296; File No. 3-9933) SEC FILES MOTIONS FOR CONTEMPT AGAINST GINO CARLUCCI AND DAVID WOLFSON On February 18, the Commission filed Motions for Contempt Against Gino Carlucci and David M. Wolfson, alleging that Carlucci and Wolfson violated an Oct. 16, 2003, order issued by the U.S. District Court for the District of Utah freezing the assets of certain defendants in SEC v. David M. Wolfson, et al. In October 2003 the Commission filed a complaint against twenty-one individuals and entities involved in a scheme to sell securities in five United States-based microcap issuers to hundreds of investors located primarily in the United Kingdom, Australia and New Zealand through a boiler room located in Vientiane, Laos. The Court issued a temporary restraining order, which, among other things, froze the assets of Carlucci and Wolfson. The contempt motions allege that in violation of the freeze order Carlucci transferred over $400,000 and wrongfully obtained $49,322.00 in relief from the asset freeze and that Wolfson transferred funds and real and personal property and wrongfully obtained $13,458.15 in relief from the asset freeze. The Commission seeks to have Carlucci and Wolfson held in contempt of the court's order, and requests that both defendants be ordered to return all funds and property transferred in violation of the court's asset freeze order as well as the funds wrongfully obtained in relief from the asset freeze order and that Carlucci and Wolfson provide sworn accountings. [SEC v. David M. Wolfson, et al., Docket No. 2:03CV00914DAK, USDC, D.Ut.] (LR-18585) SEC CHARGES IDAHO BEVERAGE COMPANY WITH FRAUDULENT FAXED TOUT SHEETS, UNREGISTERED OFFERINGS, LATE FILINGS On February 23, the Commission filed an action in U.S. District Court in New York charging Aqua Vie Beverage Corp., its CEO Thomas J. Gillespie, and consultant Joseph J. Wozniak with pumping up the price of Aqua Vie stock by means of faxed tout sheets fraudulently describing the company and its prospects, and dumping millions of unregistered into the retail market. The unregistered public offering included 2,750,000 shares offered and sold from November 2002 through May 2003 by a company that distributed Aqua Vie's faxes, Fax.com, Inc. According to the complaint, the defendants dumped millions of shares into a market reflecting demand created by the fax promotion, without disclosing the increase in the public float of Aqua Vie securities. The unregistered offer and sale effectively kept afloat a struggling company that was far more successful at marketing its stock than its only product, bottled water. According to the complaint, the tout sheets presented Aqua Vie, a boutique bottled-water company, in an unrealistically favorable light, projecting high revenues and stock prices, and excluding a dismal history of sales and the expected termination of Aqua Vie's bottling agreement. Neither Aqua Vie's Commission filings nor the tout sheets disclosed the company's substantial and prolonged unregistered offering of securities, nor its arrangement with Fax.com. Further, Aqua Vie has not publicly filed any current financial information with the Commission. The company is delinquent with respect to its most recent Form 10-K and its Form 10-Q for its quarter ended October 31, 2003. The complaint alleges that Aqua Vie and Gillespie violated the antifraud provisions and certification provisions, and that they, along with Wozniak, violated the registration requirement. In addition, Aqua Vie and Gillespie are alleged to have violated the reporting requirements (for the late filing of the company's annual and quarterly report). The Commission is seeking injunctive relief with respect to all three defendants; disgorgement, pre-judgment interest, civil monetary penalties and penny-stock bar from Gillespie and Wozniak, and with respect to Gillespie only, a penny-stock bar. [SEC v. Aqua Vie Beverage Corp., Thomas J. Gillespie, and Joseph J. Wozniak, USDC, SDNY, 04 Civ. 1528 (JK)] (LR-18586) INVESTMENT COMPANY ACT RELEASES IDS LIFE INSURANCE COMPANY, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act to IDS Life Insurance Company (IDS Life), IDS Life Insurance Company of New York (IDS Life of New York), American Enterprise Life Insurance Company, American Centurion Life Assurance Company (collectively, Insurance Companies), American Express Financial Advisors Inc., IDS Life Variable Account 10 (IDS Life Account), IDS Life of New York Variable Annuity Account, American Enterprise Variable Annuity Account and ACL Variable Annuity Account 2 (collectively, Accounts) (collectively, Applicants) exempting them from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to permit the recapture of certain credits applied to contributions made under certain additional, amended deferred variable annuity contracts, including certain data pages and endorsements, that IDS Life will issue through the IDS Life Account (Amended Contracts), and certain additional, amended contracts that the Insurance Companies may in the future issue through the Accounts or any future account that are substantially similar in all material respects to the Amended Contracts described in the application. The order also extends to "Affiliated Broker-Dealers," as defined in the prior application. (Rel. IC-26354 - February 20) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES, ET AL. A notice has been issued giving interested persons until March 16, 2004, to request a hearing on a proposal filed by Northeast Utilities (NU), a registered public-utility holding company, NU Enterprises, Inc. (NUEI), its wholly owned nonutility subsidiary, and Select Energy, Inc. (Select), NUEI's wholly owned subsidiary (Applicants), to, among other things, invest in "energy-related companies," in excess of the amount permitted underRule 58, through June 30, 2007, to make certain guarantees for nonutility affiliates, to engage in certain energy marketing, trading and management services and consulting services activities and in additional exempt wholesale generators, and to engage in certain corporate restructuring transactions. (Rel. 35-27803) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission approved, on an accelerated basis, a proposed rule change (SR-NASD-2004-05) submitted by the National Association of Securities Dealers to amend NASD Rule 2370 to exempt certain types of permissible lending arrangements from the rule's notice and approval requirements and to indicate that the scope of the rule is limited to lending arrangements between registered persons and their own customers, rather than any customer of the firm. (Rel. 34-49269) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-ISE-2003-34), submitted by the International Securities Exchange requiring ISE market makers to be firm for the stated size of their quotations in all instances. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49278) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2003-113) and Amendment No. 1 thereto filed by the American Stock Exchange relating to adoption of a per contract licensing fee for transactions in options on iShares Lehman U.S. Treasury Inflation Protected Securities Fund (TIP) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49273) A proposed rule change (SR-Amex-2003-112) and Amendment No. 1 thereto filed by the American Stock Exchange relating to adoption of a per contract licensing fee for transactions in options on Fidelity Nasdaq Composite Index Tracking Stock (ONEQ) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49274) A proposed rule change (SR-CBOE-2003-47) filed by the Chicago Board Options Exchange to simplify the manner in which contrary exercise advices are submitted and to extend by one hour the time for members and member organizations to submit contrary exercise advices has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49275) A proposed rule change (SR-Phlx-2004-04), filed by the Philadelphia Stock Exchange to amend Phlx Rule 126, to reduce the minimum order size required to use one of the Phlx's procedures for crossing transactions has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49277) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-031) relating to establishing an effective date for amendments to NASD Rule 3370, which became immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49285) A proposed rule change (SR-NASD-2004-004) filed by the National Association of Securities Dealers regarding listing fee waivers under the NASD Rule 4500 series with regard to certain dual listing and transfer situations has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49286) A proposed rule change (SR-BSE-2004-01) filed by the Boston Stock Exchange to initiate a pilot program that will allow the listing of options on selected stocks trading below $20 at one-point intervals has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49292) PROPOSED RULE CHANGES The Pacific Exchange, through its subsidiary PCX Equities, Inc. (PCXE), has filed a proposed rule change (SR-PCX-2003-70) and Amendment No. 1 thereto to amend PCXE Rule 7.40 to provide for the dissemination of a closing price and closing volume. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49276) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2003-25) and Amendments No. 1 and No. 2 thereto relating to stop order handling rules. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49283) A proposed rule change (SR-CBOE-2003-23) filed by the Chicago Board Options Exchange relating to its Autoquote Triggered EBook Execution System has been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 23. (Rel. 34-49287) WITHDRAWAL GRANTED An order has been issued granting the application of Boardwalk Equities Inc., to withdraw its Common Stock, no par value, from listing and registration on the New York Stock Exchange, effective at the opening of business on February 23. (Rel. 34-49288) 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-4 J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY, 10017, 2122706000 - 1,219,212,859 ($64,142,788,512.00) Equity, (File 333-112967 - Feb. 20) (BR. 07) S-3 PS BUSINESS PARKS INC/CA, 701 WESTERN AVE, SUITE 200, GLENDALE, CA, 91201-2397, (818) 244-8080 - 0 ($500,000,000.00) Equity, (File 333-112969 - Feb. 20) (BR. 08) S-8 HORIZON BANCORP /IN/, 515 FRANKLIN SQ, MICHIGAN CITY, IN, 46360, 2198790211 - 150,000 ($3,633,000.00) Equity, (File 333-112970 - Feb. 20) (BR. 07) F-3 EKSPORTFINANS ASA, DRONNING MAUDS GT 15 0250, OSLO 2 NORWAY, Q8, 2124219210 - 0 ($1,860,000,000.00) Non-Convertible Debt, (File 333-112973 - Feb. 20) (BR. 07) S-8 PEMSTAR INC, 3535 TECHNOLOGY DR NW, ROCHESTER, MN, 55901, 507-288-6720 - 500,000 ($2,110,000.00) Equity, (File 333-112974 - Feb. 20) (BR. 36) S-1 WIN OR LOSE ACQUISITION CORP, 1012 N. OSCEOLA AVE, CLEARWATER, FL, 33755, 7274433434 - 14,600,000 ($3,650,000.00) Equity, (File 333-112975 - Feb. 20) (BR. 09) S-8 SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588, 9254673000 - 15,000,000 ($337,350,000.00) Equity, (File 333-112976 - Feb. 20) (BR. 02) S-4 HALLIBURTON CO, 1401MCKINNEY, 1401 MCKINNEY, HOUSTON, TX, 77010, 7137592600 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-112977 - Feb. 20) (BR. 04) S-1 BLACKBAUD INC, 2000 DANIEL ISLAND DRIVE, CHARLESTON, SC, 24992-7541, 8432166200 - 0 ($115,000,000.00) Equity, (File 333-112978 - Feb. 20) (BR. 03) S-8 MICROSIGNAL CORP/NV, 3927 EDMONTRIE NE BAY 8, CALGARY T2E 6T1, 2,500,000 ($500,000.00) Equity, (File 333-112979 - Feb. 20) (BR. 03) F-6 ARCELOR, 19 AVE DE LA LIBERTE, L-2930 LUXEMBOURG, R.C.S. LUXEMBOURG, N4, 00000, 35247922151 - 25,000,000 ($1,250,000.00) ADRs/ADSs, (File 333-112980 - Feb. 20) (BR. ) S-3 APPLE HOSPITALITY TWO INC, 306 E MAIN STREET, RICHMOND, VA, 23219, 8046431761 - 0 ($24,000,000.00) Equity, (File 333-112981 - Feb. 20) (BR. 08) S-8 CAPITAL TITLE GROUP INC, 2901 EAST CAMELBACK ROAD, PHOENIX, AZ, 85016, 6024838868 - 3,630,000 ($16,407,600.00) Equity, (File 333-112982 - Feb. 20) (BR. 08) S-8 AMERICAN HOSPITAL RESOURCES INC, 1912 W. BAY CREST, SANTA ANA, CA, 92704, 7144440223 - 250,000 ($122,500.00) Equity, (File 333-112985 - Feb. 20) (BR. 01) S-8 MOUNTAIN PROVINCE DIAMONDS INC, SUITE 212 525 SEYMOUR STREET, VANCOUVER, BRITISH COLUMBIA, CANADA V6B 3H7, A1, V6B 3H7, 6046870122 - 2,755,200 ($4,036,461.29) Equity, (File 333-112986 - Feb. 20) (BR. 04) SB-1 BIORAL NUTRIENT DELIVERY LLC, 3,545,431 ($3,545.43) Other, (File 333-112987 - Feb. 20) (BR. 09) SB-2 STERLING GOLD CORP, 2,000,000 ($200,000.00) Equity, (File 333-112988 - Feb. 20) (BR. ) S-8 MERCURY COMPUTER SYSTEMS INC, 199 RIVERNECK RD, CHELMSFORD, MA, 01824, 9782561300 - 0 ($1,500,000.00) Equity, (File 333-112989 - Feb. 20) (BR. 36) S-8 MERCURY COMPUTER SYSTEMS INC, 199 RIVERNECK RD, CHELMSFORD, MA, 01824, 9782561300 - 1,000,000 ($29,640,000.00) Equity, (File 333-112990 - Feb. 20) (BR. 36) S-1 NOVEON INTERNATIONAL INC, 9911 BRECKSVILLE ROAD, CLEVELAND, OH, 44141, 2164475000 - 0 ($345,000,000.00) Equity, (File 333-112991 - Feb. 20) (BR. 06) S-8 HEMPTOWN CLOTHING INC, 1307 VENABLES STREET, VANCOUVER B C, A1, 00000, 6042555005 - 382,000 ($286,500.00) Equity, (File 333-112992 - Feb. 20) (BR. 02) S-8 LIPMAN ELECTRONICS ENGINEERING LTD, 0 ($36,584,587.00) Equity, (File 333-112993 - Feb. 20) (BR. 03) S-8 COUNTRYWIDE FINANCIAL CORP, 4500 PARK GRANADA BLVD, CALABASAS, CA, 91302, 8182253000 - 0 ($10,000,000.00) Other, (File 333-112994 - Feb. 20) (BR. 07) S-4 CASELLA WASTE SYSTEMS INC, 25 GREENS HILL LANE P O BOX 866, RUTLAND, VT, 05701, 8027750325 - 0 ($45,000,000.00) Non-Convertible Debt, (File 333-112996 - Feb. 20) (BR. 06) S-4 BROADCOM CORP, 16215 ALTON PARKWAY, IRVINE, CA, 92618, 9494508700 - 0 ($1,178,100,000.00) Equity, (File 333-112997 - Feb. 20) (BR. 36) S-3 BROADCOM CORP, 16215 ALTON PARKWAY, IRVINE, CA, 92618, 9494508700 - 0 ($750,000,000.00) Other, (File 333-112998 - Feb. 20) (BR. 36) S-8 INFOWAVE SOFTWARE INC, 4664 LOUGHEED HIGHWAY, SUITE 200, BURNABY BC CANADA, A1, V5C 5T5, 6,518,303 ($1,207,350.00) Equity, (File 333-112999 - Feb. 20) (BR. 03) S-8 OXFORD INDUSTRIES INC, 222 PIEDMONT AVE NE, ATLANTA, GA, 30308, 4046592424 - 1,500,000 ($63,075,000.00) Equity, (File 333-113000 - Feb. 20) (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 ------------------------------------------------------------------------------------------------ 1ST CENTENNIAL BANCORP CA X 02/20/04 AAIPHARMA INC DE X X 02/19/04 ABERDENE MINES LTD X X 02/20/04 ADVANTA BUSINESS RECEIVABLES CORP X 02/20/04 ADVOCAT INC DE X X 02/18/04 AEI INCOME & GROWTH FUND 23 LLC DE X X 02/06/04 AEI INCOME & GROWTH FUND 25 LLC DE X X 02/06/04 AEI INCOME & GROWTH FUND 25 LLC DE X X 02/06/04 AEI NET LEASE INCOME & GROWTH FUND XI MN X X 02/05/04 AEI REAL ESTATE FUND XVIII LIMITED PA MN X X 02/05/04 AIRGATE PCS INC /DE/ DE X X 02/20/04 ALAMOSA HOLDINGS INC DE X 02/20/04 ALPINE AIR EXPRESS INC/DE DE X 07/31/03 AMEND AM COMMUNICATIONS INC DE X 02/13/04 AMC ENTERTAINMENT INC DE X X 02/19/04 AMC ENTERTAINMENT INC DE X X 02/19/04 AMERICAN INSURED MORTGAGE INVESTORS S CA X X 02/18/04 AMERICAN NATURAL ENERGY CORP OK X 02/18/04 AMERICAN RIVER HOLDINGS CA X X 02/19/04 AMERICAN TECHNOLOGY CORP /DE/ DE X 02/18/04 AMERICANA GOLD & DIAMOND HOLDINGS INC CO X X 01/12/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE X X 01/23/04 APOGEE ENTERPRISES INC MN X 02/18/04 ARBOR INC NV X X X X 02/20/04 ARROW ELECTRONICS INC NY X 02/20/04 ARTISTDIRECT INC DE X 02/17/04 ASHFORD HOSPITALITY TRUST INC MD X X 02/20/04 ASPEN INSURANCE HOLDINGS LTD D0 X X X 02/20/04 ASSOCIATED MATERIALS INC DE X X 02/20/04 ASSOCIATED MATERIALS INC DE X X 02/20/04 ASSOCIATED MATERIALS INC DE X X 02/20/04 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 02/20/04 ATWOOD OCEANICS INC TX X X 02/20/04 AUGUST TECHNOLOGY CORP MN X X 02/18/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 02/19/04 BANC ONE HELOC 1999-1 OH X X 02/20/04 BANC ONE HELOC TRUST 1998-1 OH X X 02/20/04 BANK HOLDINGS NV X X 02/20/04 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 02/20/04 BARNES & NOBLE INC DE X X 02/19/04 BARON CAPITAL PROPERTIES LP DE X X 02/11/04 BARON CAPITAL TRUST DE X X 02/11/04 BAY BANKS OF VIRGINIA INC VA X X 02/18/04 BAYMONT CORP NV X 02/10/04 BIOPURE CORP DE X X X 02/19/04 BLOUNT INTERNATIONAL INC DE X X 12/31/03 BNP RESIDENTIAL PROPERTIES INC MD X X 02/18/04 BOISE CASCADE CORP DE X 12/09/03 AMEND BOURBON BANCSHARES INC /KY/ KY X 02/18/03 BOYD BROS TRANSPORTATION INC DE X X 02/20/04 BROWN TOM INC /DE DE X 02/19/04 BUTLER MANUFACTURING CO DE X X 02/10/04 C-CHIP TECHNOLOGIES CORP NV X 02/20/04 CALGON CARBON CORPORATION DE X 02/19/04 CALGON CARBON CORPORATION DE X 02/19/04 AMEND CARMIKE CINEMAS INC DE X X 01/29/04 CARRIAGE SERVICES INC DE X X 02/19/04 CAS MEDICAL SYSTEMS INC DE X X 02/20/04 CEF EQUIPMENT HOLDING LLC DE X X 02/20/04 CENTERPOINT PROPERTIES TRUST MD X X 02/17/04 CERTEGY INC GA X X 02/20/04 CERTEGY INC GA X X 02/20/04 CHINA XIN NETWORK MEDIA CORP FL X X 02/20/04 AMEND CHIPPAC INC CA X 02/10/04 CHRONIMED INC MN X X 12/09/03 AMEND CIB MARINE BANCSHARES INC WI X 02/20/04 CIT HOME EQUITY LOAN TRUST 2003-1 DE X X 01/31/04 CITIBANK OMNI-S MASTER TRUST NY X X 02/19/04 CLOROX CO /DE/ DE X 02/19/04 CNB HOLDINGS INC /GA/ X X 02/20/04 COACHMEN INDUSTRIES INC IN X X 02/20/04 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 02/18/04 COCA COLA CO DE X X 02/19/04 COEUR D ALENE MINES CORP ID X X 02/19/04 COFFEE HOLDING CO INC NV X X X 02/04/04 COGNIGEN NETWORKS INC CO X 02/19/04 COGNIZANT TECHNOLOGY SOLUTIONS CORP X 02/20/04 COLLECTORS UNIVERSE INC DE X 02/19/04 COMMERCIAL CAPITAL BANCORP INC NV X X 02/20/04 COMMUNITY BANCSHARES INC /DE/ DE X X 02/20/04 COMMUNITY CAPITAL CORP /SC/ SC X 02/20/04 COMMUNITY VALLEY BANCORP CA X X 02/20/04 COMPUTER PROGRAMS & SYSTEMS INC DE X 02/19/04 CONSOLIDATED WATER CO LTD E6 X X 02/18/04 COOLSAVINGS INC DE X X 02/20/04 COOPER INDUSTRIES LTD X X 02/20/04 CRDENTIA CORP DE X X 02/04/04 CREATIVE HOST SERVICES INC CA X X 02/18/04 CRIIMI MAE INC MD X X 02/19/04 CROSS COUNTRY HEALTHCARE INC DE X X 02/18/04 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 02/20/04 CWABS INC DE X X 02/20/04 DADE BEHRING HOLDINGS INC DE X X 02/19/04 DEERE JOHN RECEIVABLES INC DE X X 02/18/04 DENNYS CORP DE X X 02/18/04 DEPARTMENT 56 INC DE X X 02/19/04 DEUTSCHE MORTGAGE SECURITIES INC X X 02/19/04 DEUTSCHE MORTGAGE SECURITIES INC X X 02/20/04 DIGITAL GENERATION SYSTEMS INC DE X X 02/13/04 DIGITAL GENERATION SYSTEMS INC DE X X 02/13/04 DIMON INC VA X 02/19/04 DISTRIBUTED ENERGY SYSTEMS CORP DE X 02/20/04 AMEND DIXIE GROUP INC TN X 02/20/04 DONNELLEY R R & SONS CO DE X X 02/19/04 DOTRONIX INC MN X 02/20/04 DRUGSTORE COM INC DE X X 12/08/03 AMEND DTE ENERGY CO MI X X 02/20/04 DUSA PHARMACEUTICALS INC NJ X 02/19/04 DVI INC DE X X 02/20/04 ENCORE CAPITAL GROUP INC DE X 02/06/04 ENCORE CAPITAL GROUP INC DE X X 02/18/04 ENTREMED INC DE X X 02/20/04 EQUINIX INC DE X X 02/19/04 EURONET WORLDWIDE INC DE X X 02/20/04 EXELON CORP PA X X 02/20/04 EXPLORATION CO OF DELAWARE INC DE X 02/19/04 EXTENDICARE HEALTH SERVICES INC DE X X 02/19/04 FARMERS CAPITAL BANK CORP KY X 02/13/04 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 01/29/04 FIRST FEDERAL BANCSHARES INC /DE DE X X 02/18/04 FIRST MIDWEST FINANCIAL INC DE X X X 02/20/04 FIRST NATIONAL CORP /SC/ SC X 02/20/04 FIRST SECURITYFED FINANCIAL INC DE X X 02/17/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 02/17/04 FLEET HOME EQUITY LOAN LLC DE X 02/20/04 FLUSHING FINANCIAL CORP DE X X 02/20/04 FURNITURE BRANDS INTERNATIONAL INC DE X 02/18/04 AMEND GALLAGHER ARTHUR J & CO DE X X 02/20/04 GENIUS PRODUCTS INC NV X X 02/05/04 GEORGIAN BANCORPORATION GA X X 02/02/04 GLIMCHER REALTY TRUST MD X X 02/20/04 GLOBAL PAYMENTS INC GA X X 02/20/04 GLYCOGENESYS INC NV X 02/18/04 GOODYEAR TIRE & RUBBER CO /OH/ OH X X 02/12/04 GRAVITAS INTERNATIONAL INC FL X 01/07/04 GRAY TELEVISION INC GA X X 02/13/04 GREAT LAKES BANCORP INC DE X X 02/20/04 GREG MANNING AUCTIONS INC NY X X 02/19/04 GREG MANNING AUCTIONS INC NY X X 02/19/04 AMEND GULF ISLAND FABRICATION INC LA X X 02/19/04 HAWKINS INC MN X X 02/19/04 HEIDRICK & STRUGGLES INTERNATIONAL IN DE X X 02/20/04 HEWLETT PACKARD CO DE X X 02/20/04 HOLLY CORP DE X X 02/19/04 HOSPITALITY PROPERTIES TRUST MD X X 02/18/04 HUB INTERNATIONAL LTD A6 X 02/20/04 HURCO COMPANIES INC IN X 01/31/04 ICEWEB INC DE X X 02/19/04 ICEWEB INC DE X X 02/17/04 AMEND INKINE PHARMACEUTICAL CO INC NY X X 12/31/03 INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 02/20/04 INTERNATIONAL RECTIFIER CORP /DE/ DE X 02/20/04 INVITROGEN CORP DE X X 02/06/04 IRWIN FINANCIAL CORPORATION IN X X 02/20/04 IRWIN FINANCIAL CORPORATION IN X X 02/20/04 JACKSONVILLE BANCORP INC /FL/ FL X X 02/19/04 JOHNSON OUTDOORS INC WI X X 02/20/04 KERYX BIOPHARMACEUTICALS INC DE X X X 02/05/04 KEYCORP STUDENT LOAN TRUST 1999 B DE X 02/19/04 KEYCORP STUDENT LOAN TRUST 2000-A OH X 02/19/04 KEYCORP STUDENT LOAN TRUST 2000-B DE X 02/19/04 KEYCORP STUDENT LOAN TRUST 2001-A X 02/19/04 KEYCORP STUDENT LOAN TRUST 2002-A OH X 02/19/04 KEYCORP STUDENT LOAN TRUST 2003-A DE X 02/19/04 KRONOS WORLDWIDE INC X 02/19/04 LA JOLLA PHARMACEUTICAL CO DE X X 02/19/04 LINCOLN NATIONAL CORP IN X 02/19/04 LOCATEPLUS HOLDINGS CORP X X 02/17/04 MAGELLAN PETROLEUM CORP /DE/ DE X 02/20/04 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