SEC NEWS DIGEST Issue 2004-48 March 11, 2004 COMMISSION ANNOUNCEMENTS SEC VOTES TO ADOPT ADDITIONAL 8-K REQUIREMENTS AND TO PROPOSE AMENDMENTS TO FORM 20-F AND FUND MANAGER DISCLOSURE REQUIREMENTS The Commission today voted to publish for comment proposed amendments to Form 20-F, to adopt additional reporting requirements on Form 8-K and to publish for comment proposed disclosure requirements for portfolio managers of mutual funds and other registered management investment companies. 1. First-Time Adoption of International Financial Reporting Standards The Commission voted to propose amendments to Form 20-F that would affect foreign private issuers that change their basis of accounting to international accounting standards, known as International Financial Reporting Standards (IFRS). Form 20-F generally requires a company to provide in its SEC filings three years of audited financial statements prepared on a consistent basis of accounting. The proposed amendments would * apply to companies that publish IFRS financial statements for the first time for any financial year beginning no later than Jan. 1, 2007; * allow those companies, for their first year of reporting under IFRS, to include only two years of audited financial statements in their SEC filings; and * require appropriate related disclosure. The proposed amendments also would require any company that adopts IFRS for the first time, in any financial year * to provide disclosure related to exceptions from IFRS on which it relied; and * to include a specified level of information in the reconciliation from its previous system of accounting to IFRS. The proposals are intended to ease the burdens that foreign companies may face when they adopt IFRS for the first time, while improving the quality of financial disclosure that they provide to investors. The proposals are addressed particularly at foreign issuers located in the European Union (EU), which under current EU law will generally be required to adopt IFRS for reporting on their 2005 financial year. The proposals are also intended to encourage other foreign companies to switch their accounting voluntarily to IFRS. These proposals will be open for public comment for a 30-day period following their publication in the Federal Register. 2. Form 8-K Disclosure Requirements and Filing Deadlines The Commission voted to adopt amendments to Form 8-K, the Exchange Act form used by public companies to disclose important corporate events on a current basis. The amendments will add ten disclosure items to Form 8-K, including transferring two items to the current report from the periodic reports. The amendments will also provide investors with timelier disclosure by replacing the current five business and 15 calendar day Form 8-K deadlines with a new four business day deadline. The amendments are responsive to the current disclosure goals of Section 409 of the Sarbanes-Oxley Act by requiring public companies to disclose, on a "rapid and current basis," material information regarding changes in a company's financial condition or operations as the Commission, by rule, determines to be necessary or useful for the protection of investors and in the public interest. The eight new disclosure items include * entry into a material non-ordinary course agreement; * termination of a material non-ordinary course agreement; * creation of a material direct financial obligation or a material obligation under an off-balance sheet arrangement; * triggering events that accelerate or increase a material direct financial obligation or a material obligation under an off-balance sheet arrangement; * material costs associated with exit or disposal activities; * material impairments; * notice of delisting or failure to satisfy a continued listing rule or standard; transfer of listing; and * non-reliance on previously issued financial statements or a related audit report or completed interim review (restatements). The two disclosure items transferred, in part, from the periodic reports are * unregistered sales of equity securities; and * material modifications to rights of security holders. Expanded disclosure items include * departure of directors or principal officers, election of directors, or appointment of principal officers; and * amendments to Articles of Incorporation or Bylaws and change in fiscal year. The amendments will create a limited safe harbor under Exchange Act Section 10(b) and Rule 10b-5 for failure to file timely seven of the new items on Form 8-K. The safe harbor will not apply to, or impact, any other duty to disclose a company may have and extends only until the due date of the company's periodic report for the relevant period. Compliance with these amendments will be required as of Aug. 23, 2004. 3. Disclosure Regarding Portfolio Managers of Registered Management Investment Companies The Commission decided to propose amendments to its forms that are designed to improve the disclosure that mutual funds and other registered management investment companies provide about their portfolio managers. These proposals are intended to provide greater transparency regarding portfolio managers, their incentives in managing a fund, and the potential conflicts of interest that may arise when they also manage other investment vehicles. The amendments that the Commission voted to propose include the following: * Identification of Portfolio Management Team Members. The proposals would extend the existing requirement that a fund provide basic information in its prospectus regarding its portfolio managers to include the members of management teams. A fund would be required to state the name, title, length of service, and business experience of each member of a portfolio management team, and to provide a brief description of each member's role on the management team. * Disclosure Regarding Other Accounts Managed and Potential Conflicts of Interest. The proposals would require a fund to provide disclosure in its Statement of Additional Information (SAI) regarding other accounts managed by the fund's portfolio manager (e.g., hedge funds or pension plans), including the number of such accounts and the total assets in the accounts. In addition, the proposals would require a fund to describe any conflicts of interest that may arise in connection with the portfolio manager's simultaneous management of the fund and other accounts, and to include a description of the policies and procedures used to address any such conflicts. * Disclosure of Portfolio Manager Compensation Structure. The proposals would require a fund to describe in its SAI the structure of, and the method used to determine, the compensation of its portfolio managers. * Disclosure of Securities Ownership of Portfolio Managers. The proposals would require a fund to disclose in its SAI the dollar range of shares held in the fund by its portfolio manager, as well as the dollar range of shares held by the portfolio manager in each other account managed by the portfolio manager or the investment adviser. Comments on this proposal should be received by the Commission within 60 days of its publication in the Federal Register. (Press Rel. 2004-31) RULES AND RELATED MATTERS DISCLOSURE REGARDING PORTFOLIO MANAGERS OF REGISTERED INVESTMENT COMPANIES The Commission proposed amendments to Forms N-1A, N-2, and N-3 under the Securities Act of 1933 and the Investment Company Act of 1940, and amendments to Form N-CSR under the Investment Company Act of 1940 and the Securities Exchange Act of 1934, regarding the disclosure provided by registered management investment companies about their portfolio managers. The proposals would extend the existing requirement that a registered management investment company provide basic information in its prospectus regarding its portfolio managers to members of management teams. The proposals would also require a registered management investment company to disclose additional information about its portfolio managers in its Statement of Additional Information, including other accounts they manage, compensation structure, and securities ownership in accounts they manage. For further information, please contact Sanjay Lamba at (202) 942-0721. (Rels. 33-8396; 34-49398; IC-26383; File No. S7-12-04) ENFORCEMENT PROCEEDINGS COMMISSION ORDERS CARMEL, INDIANA BASED CONSECO INC. TO CEASE AND DESIST On March 10, the Commission issued an Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order) against Carmel, Indiana based Conseco, Inc. The Commission ordered Conseco to cease and desist from violating the reporting, record-keeping and internal controls provisions of the federal securities laws. The Commission found that throughout 1999 and early 2000, Conseco and its wholly owned subsidiary, Conseco Finance Corporation, made materially false and misleading statements about their earnings and income in Commission filings and in public statements made announcing their financial results. During this period, Conseco and Conseco Finance overstated their net income and operating income by more than $500 million. The Commission found that this massive overstatement occurred because the companies' then Chief Financial Officer (Rollin M. Dick) and Chief Accounting Officer (James S. Adams) conducted a fraudulent accounting scheme to avoid huge write downs to certain assets held by Conseco Finance and the associated charges to earnings. The Commission also found that Dick and Adams made a number of unsupported and improper adjustments to the books and records of these companies in order to increase earnings. The Commission ordered Conseco to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Securities Exchange Act of 1934, and Rules 12b-20, 13a-13 and 13b2-1 thereunder. Conseco consented to the issuance of the Order without admitting or denying the Commission's findings. In a separate action, the Commission filed a civil fraud complaint against Dick and Adams relating to this scheme. The Commission's action, filed in federal district court in Indianapolis, Indiana, charged Dick and Adams with violating the antifraud provisions of the federal securities laws and with aiding and abetting Conseco and Conseco Finance's violations. (Rel. 34-49392; AAE Rel. 1973; File No. 3-11428) IN THE MATTER OF ROBERT DIMARCO, JR. On March 11, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Robert B. Dimarco, Jr. (DiMarco). The Order finds that on June 26, 2001, DiMarco pled guilty to one count of conspiracy to commit securities, mail and wire fraud in violation of Tile 18 United States Code, Section 371, before the U.S. District Court for the Middle District of Florida, in U.S. v. DiMarco, Case No. 01-CR-166, arising out of his association with The Hamilton Shea Group Inc., a broker-dealer registered with the Commission. The count of the criminal information to which DiMarco pled guilty alleged that DiMarco: (1) used undisclosed nominee accounts to control and manipulate the prices of securities, (2) filed false documents with the Commission that concealed his part ownership of Hamilton Shea, and (3) directed brokers to make false and misleading statements to the public in connection with the sale of the securities. On Nov. 1, 2002, DiMarco was sentenced to a term of five years probation and was ordered to make restitution in the amount of $300,000. Based on the above, the Order bars DiMarco from association with any broker or dealer and from participation in any offering of a penny stock. DiMarco consented to the issuance of the Order without admitting or denying any of the allegations in the administrative proceeding. (Rel. 34-49394; File No. 3-11429) IN THE MATTER OF JOSEPH DESANTO On March 11, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 (Order) against Joseph F. DeSanto (DeSanto). In the Order, the Division of Enforcement alleges that on May 21, 2002, DeSanto pled guilty to one count of mail fraud in violation of Title 18 United States Code, Section 1341, before the U.S. District Court for the Middle District of Florida, in U.S. v. DeSanto, et al., Case No. 01-CR-350-ALL, arising out of his association with The Hamilton Shea Group Inc. (Hamilton Shea), a broker-dealer registered with the Commission. The count of the criminal indictment to which DeSanto pled guilty alleged that from at least January 1993 through December 1998, DeSanto used undisclosed nominee accounts to gain control over the trading in, and to artificially inflate the prices of, the securities of Novatek International, Inc., among other securities. In addition, the indictment alleged that DeSanto directed registered representatives at Hamilton Shea to: (1) make baseless price predictions and other material misrepresentations and omissions concerning these securities; (2) engage in or enforce a "no-net-sales" policy with respect to these securities by refusing to execute customer sell orders unless the registered representative could find another customer at the firm to purchase the stock; and (3) effect unauthorized purchases of securities in the accounts of firm customers. On Dec. 6, 2002, DeSanto was sentenced to a prison term of five years followed by three years of supervised release and was ordered to pay restitution in the amount of $11,608,758. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide DeSanto an opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. (Rel. 34-49395; File No. 3-11430) JURY FINDS ED JOHNSON, A CONVICTED FELON AND FORMER CEO OF MERL HOLDINGS INC.COM, LIABLE FOR ACCOUNTING FRAUD AND INSIDER TRADING On March 8, following a two-week trial, a federal jury in Trenton, New Jersey found for the Commission on all counts in an accounting fraud, insider trading and false filing case against Ed Johnson, the former Chief Executive Officer, Chairman of the Board, and President of MERL Holdings Inc.com. In its complaint, the Commission had alleged that Johnson inflated the assets and financial results of MERL in two registration statements filed by the company with the Commission and disseminated to the public. According to the complaint, which was filed on Nov. 18, 2002, Johnson orchestrated a fraudulent scheme in which: (1) MERL improperly consolidated a purported subsidiary in its 1997 and 1998 financial statements; (2) MERL artificially inflated the value of certain assets and a customer list recorded in its financial statements; (3) MERL filed with the Commission two registration statements which contained textual sections that materially mischaracterized the financial health of the company; (4) MERL falsely represented that none of its officers or directors had been involved in any legal proceedings material to an evaluation of their ability or integrity, when Johnson had been criminally convicted in 1990 for willful misapplication of funds; and (5) Johnson benefited from his fraudulent scheme by avoiding losses or becoming unjustly enriched by selling MERL stock and using material nonpublic information concerning the company's accounting irregularities. The Court will hold further proceedings concerning remedies. The Commission seeks to enjoin Johnson permanently from violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 promulgated thereunder, and seeks civil monetary penalties against Johnson. The Commission further seeks to bar Johnson permanently from serving as an officer or director of any public company and also seeks under Section 603 of the Sarbanes-Oxley Act of 2002 to bar him permanently from any future participation in the offering of any penny stock. Finally, the Commission seeks disgorgement, prejudgment interest and penalties from Johnson for his insider trading. For further information about this case, see Litigation Release Nos. 18085 (Apr. 14, 2003) and 17846 (Nov. 18, 2002). [SEC v. Ed Johnson and MERL Holdings Inc.com, Civil Action No. 02-5490 (GEB)(DNJ)](LR-18618; AAE Rel. 1974) SEC OBTAINS PRELIMINARY INJUNCTION, ASSET FREEZE, AND A RECEIVER IN A $33.5 MILLION PONZI SCHEME IN SOUTHERN CALIFORNIA On March 8, the Commission obtained a preliminary injunction in a multi- million dollars securities fraud scheme perpetrated by seven Southern California defendants: Mx Factors, LLC of Riverside; BBH Resources, LLC of Palm Springs; JTL Financial Group, LLC of Corona; Richard M. Harkless, 59, of Riverside; Daniel J. Berardi, Jr., 40, of Palm Springs; Thomas Hawkesworth, 49, of Rancho Mirage; and Randall W. Harding, 43, of Corona. The defendants have raised at least $33.5 million to date from the sale of Mx Factors' notes. Also today, U.S. District Judge Virginia A. Phillips of the U.S. District Court for the Central District of California granted additional relief that the Commission sought, including issuing orders freezing assets, appointing a permanent receiver over Mx Factors, BBH Resources, and JTL Financial, and requiring Mx Factors and Harkless to repatriate assets from abroad. The Commission's complaint, filed on Feb. 26, 2004, in federal court in Riverside, alleges that the defendants fraudulently induced at least 247 investors nationwide and in Mexico to invest in Mx Factors' notes, which purportedly pay a "guaranteed" return of 12% in 60 or 90 days. Mx Factors claims that it will use the investor funds to provide its clients - construction contractors, wholesalers, and manufacturers - with accounts receivable financing, secured by the client's assignment of its accounts receivable. The defendants also represent that investor funds are safe because at least 70% of the receivables are backed or funded by the government. According to the complaint, these representations are false. Mx Factors has actually been operating a Ponzi scheme, and at least $19.9 million in new investor funds has been used to pay existing investors. At least $5.64 million has been misappropriated (1) to finance a crab fishing business, (2) to pay the personal expenses of Harkless, Berardi, and Hawkesworth, including mortgage payments and credit card bills, and (3) to fund overseas bank accounts. Additionally, the complaint alleges that BBH, Berardi, and Hawkesworth have skimmed $1.3 million in investor funds by failing to turn them over to Mx Factors. The complaint further alleges that BBH Resources and JTL Financial have each received undisclosed sales commissions of at least 12%. In its lawsuit, the Commission obtained an order freezing each of the defendants' assets, an order appointing a permanent receiver over Mx Factors, BBH Resources, and JTL Financial, an order requiring Mx Factors and Harkless to repatriate assets from abroad, and preliminarily enjoining all of the defendants from future violations of the securities registration and antifraud provisions -- and preliminarily enjoining defendants BBH Resources, JTL Financial, Berardi, Hawkesworth, and Harding from future violations of the broker-dealer registration provisions -- of the federal securities laws, Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission also seeks permanent injunctions, and other relief, including disgorgement and civil penalties against all defendants. [SEC v. Mx Factors LLC, BBH Resources LLC, JTL Financial Group, LLC, Richard M. Harkless, Daniel J. Berardi, Jr., Thomas Hawkesworth, and Randall W. Harding, Civil Action No. EDCV-04-223-VAP (SGLx) CDCA] (LR-18619) FORMER eCONNECT CEO SENTENCED TO OVER 8 YEARS IN PRISON FOR SECURITIES FRAUD AND CRIMINAL CONTEMPT The Commission announced today that on March 1 the Honorable Nora M. Manella, U.S. District Judge for the Central District of California, sentenced Thomas S. Hughes, 56, of Rancho Palos Verdes, California, to 97 months in federal prison. Hughes pleaded guilty on Aug. 11, 2003, to three counts of securities fraud and one count of criminal contempt. Hughes was charged by the U.S. Attorney's Office for the Central District of California with orchestrating a fraudulent securities scheme. Specifically, Hughes was accused of issuing false and misleading public statements in July 2002 - press releases and website content - that artificially inflated the price of eConnect, whose stock was then publicly quoted on the Over-The-Counter Bulletin Board. The press releases and website content falsely claimed that eConnect had received a $20 million investment in "AA" asset-backed bonds, that eConnect had begun a stock repurchase program of its shares, and that eConnect had received a $964,000 purchase order for its principal product, suggesting that a legitimate company had a relationship to the company that actually placed the order. In reality, the indictment alleged: (1) the bonds were not "AA" rated or registered so that they could be traded publicly; (2) there was no stock repurchase program; and (3) there was no relationship between the company that placed the $964,000 purchase order and the legitimate company identified in the press release. Hughes was also charged with criminal contempt of a permanent injunction against him obtained by the Commission in April 2000 in the case SEC v. eConnect and Thomas S. Hughes, Civil Action Number CV-00-2959 MMM (RCx) CDCA, Lit. Rel. No. 16481). In a related proceeding, the Commission obtained emergency relief against Hughes and others, including an asset freeze, in Los Angeles federal court on Aug. 8, 2002, alleging that Hughes and others violated the federal securities laws based upon the scheme described above. On Sept. 4, 2003, Judge Manella entered judgment against Hughes pursuant to his consent. The court ordered Hughes to pay a civil penalty in the amount of $120,000, and permanently enjoined him from future violations of the insider transactions reporting provisions of the federal securities laws, Section 16(a) of the Securities Exchange Act of 1934 and Rule 16a-3 thereunder. The Court also prohibited Hughes from acting as an officer or director of a publicly-traded company. The Commission's complaint charged Hughes with violations of Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. This case is the product of an investigation by the Securities and Exchange Commission, the U.S. Attorney's Office in Los Angeles, and the Federal Bureau of Investigation, which received assistance from NASD Regulation, Inc. For further information, please see Litigation Release Nos. 17670, 17694, 17709, and 18326. [U.S. v. Thomas S. Hughes, Case No. CR-02-M- 1648 (C.D. Cal.)] (LR-18620) SEC FILES FRAUD CHARGES AGAINST FORMER CHIEF FINANCIAL OFFICER AND CHIEF ACCOUNTING OFFICER OF CONSECO, INC. AND CONSECO FINANCE CORPORATION Conseco, Inc. Agrees to Issuance of a Cease-and-Desist Order The Commission announced that on March 10 it filed civil fraud charges against Rollin S. Dick and James S. Adams, formerly Chief Financial Officer and Chief Accounting Officer of Carmel, Indiana based Conseco, Inc., and its then wholly owned subsidiary, Conseco Finance Corporation. In its complaint, filed in the U.S. District Court for the Southern District of Indiana, the Commission alleged that throughout 1999 and early 2000, Conseco and Conseco Finance made false and misleading statements about their earnings in filings made with the Commission and in public statements announcing their earnings and income, overstating their results by hundreds of millions of dollars. This massive overstatement occurred because defendants Dick and Adams conducted a fraudulent scheme to avoid huge write downs of certain assets held by Conseco Finance, known as interest-only securities. The complaint alleged that in order to avoid charges to earnings associated with these write downs, Dick and Adams made improper adjustments to the historical basis of these securities, and also manipulated the equation used to value the expected income stream from these securities. Dick and Adams also made a number of unsupported and improper adjustments to the books and records of these companies to increase earnings. The complaint alleged that as a result of their activities, Dick and Adams violated the antifraud provisions of the federal securities laws and aided and abetted Conseco and Conseco Finance's violations of the reporting, record keeping and internal controls provisions. The complaint seeks an injunction against further violations of the above provisions of the federal securities laws, disgorgement of the salaries and bonuses earned by Dick and Adams during their fraudulent scheme, civil penalties and officer and director bars. In separate administrative proceedings, the Commission ordered Conseco, Inc. to cease-and-desist from violating the reporting, record-keeping and internal controls provisions of the federal securities laws. Conseco, without admitting or denying the Commission's findings, agreed to the entry of the Commission's order. [SEC v. Rollin M. Dick and James S. Adams, USDC, SD of Indiana, Case No. 01:04-cv-0457-SEB-VSS] (LR- 18621; AAE Rel. 1975) HOLDING COMPANY ACT RELEASES AGL RESOURCES INC., ET AL. A notice has been issued giving interested persons until March 31 to request a hearing on a proposal by AGL Resources, Inc. (AGL Resources), AGL Resources' public utility subsidiaries Atlanta Gas Light Company, Chattanooga Gas Company, Virginia Natural Gas, Inc., and AGL Resources' direct and indirect nonutility subsidiaries Georgia Natural Gas Company, AGL Investments, Inc., AGL Services Company, AGL Capital Corporation, Global Energy Resource Insurance Corporation, Pivotal Energy Services, Inc., AGL Rome Holdings, Inc., Pivotal Propane of Virginia, Inc., Southeastern LNG, Inc., AGL Capital Trust I; AGL Capital Trust II; AGL Capital Trust III; Trustees Investments, Inc.; Customer Care Services, Inc., AGL Networks, LLC, AGL Energy Corporation, and AGL Propane Services, Inc., SouthStar Energy Services, LLC, Sequent Energy Management, LP; Sequent Holdings, LLC; Sequent, LLC; Sequent Energy Marketing, LP (collectively, Applicants), through April 15, 2007, in a series of financings and activities including issuance of securities, hedging transactions, a money pool agreement, and creation of certain subsidiary companies. (Rel. 35-27812) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2004-11) filed by the Pacific Exchange relating to the Exchange's Designated Examination Fee exemption has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of March 15. (Rel. 34-49381) 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 INFOWAVE SOFTWARE INC, 4664 LOUGHEED HIGHWAY, SUITE 200, BURNABY BC CANADA, A1, V5C 5T5, 2,500,000 ($398,500.00) Equity, (File 333-113441 - Mar. 10) (BR. 03) S-8 NUWAY MEDICAL INC, 23461 SOUTH POINTE DRIVE, SUITE 200, LUGANA, HILLS, CA, 92653, 949-454-9011 - 20,000,000 ($600,000.00) Equity, (File 333-113443 - Mar. 10) (BR. 02) S-8 CONTINENTAL AIRLINES INC /DE/, 1600 SMITH STREET 3303D, DEPT HQSEO, HOUSTON, TX, 77002, 7133245000 - 3,000,000 ($42,270,000.00) Equity, (File 333-113444 - Mar. 10) (BR. 05) S-8 TINTIC GOLD MINING CO, 3098 SOUTH HIGHLAND DRIVE, #323, SALT LAKE CITY, UT, 84106-3085, (801) 467-2021 - 80,556 ($32,222.40) Equity, (File 333-113445 - Mar. 10) (BR. 09) S-1 SEITEL INC, 10811 S. WESTVIEW CIRCLE, BUILDING C, SUITE 100, HOUSTON, TX, 77043, 7138818900 - 136,606,306 ($81,963,783.60) Equity, (File 333-113446 - Mar. 10) (BR. 04) S-3 GREY WOLF INC, 10370 RICHMOND AVE, SUITE 600, HOUSTON, TX, 77042-4136, 7138740202 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-113447 - Mar. 10) (BR. 04) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 2,000,000 ($50,000.00) Equity, (File 333-113451 - Mar. 10) (BR. 04) S-8 BAYMONT CORP, 4734 SOUTH GOLF COURSE DRIVE, BLAINE, WA, 98230, 3603713995 - 5,000,000 ($53,000.00) Equity, (File 333-113453 - Mar. 10) (BR. 04) S-8 PARAMETRIC TECHNOLOGY CORP, 140 KENDRICK STREET, NEEDHAM, MA, 02494, 7813705000 - 8,000,000 ($36,200,000.00) Equity, (File 333-113455 - Mar. 10) (BR. 03) S-3 ROUSE COMPANY, 10275 LITTLE PATUXENT PKWY, COLUMBIA, MD, 21044-3456, 4109926000 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-113461 - Mar. 10) (BR. 08) S-2 TRANSBOTICS CORP, 3400 LATROBE DRIVE, CHARLOTTE, NC, 28211, 7043621115 - 3,276,420 ($2,948,778.00) Other, (File 333-113465 - Mar. 10) (BR. 36) S-8 CROWN PARTNERS INC, 21800 OXNARD STREET, SUITE 440, WOODLAND HILLS, CA, 91367, 8185986780 - 1,780,000 ($534,000.00) Equity, (File 333-113468 - Mar. 10) (BR. 05) SB-2 DORANETTI MUSIC INC, 1030 WEST GEORGIA ST, SUITE 1208, VANCOUVER BC, A1, V6E 2Y3, 7753382598 - 2,000,000 ($300,000.00) Equity, (File 333-113469 - Mar. 10) (BR. ) S-1 CARDTRONICS INC, 3110 HAYES ROAD, SUITE 300, HOUSTON, TX, 77082, 2815969988 - 0 ($115,000,000.00) Equity, (File 333-113470 - Mar. 10) (BR. ) S-3 AMERICA WEST AIRLINES INC, 4000 E SKY HARBOR BLVD, STE 2100, PHOENIX, AZ, 85034, 6026930800 - 0 ($500,000,000.00) Other, (File 333-113471 - Mar. 10) (BR. 05) S-8 EXELIXIS INC, 6508252200 - 1,599,429 ($14,010,998.00) Equity, (File 333-113472 - Mar. 10) (BR. 01) S-1 ACCLAIM ENTERTAINMENT INC, ONE ACCLAIM PLAZA, GLEN COVE, NY, 11542, 5166565000 - 0 ($37,080,000.00) Other, (File 333-113473 - Mar. 10) (BR. 03) S-8 SENTICORE INC, 2410 HOLLYWOOD BLVD., HOLLYWOOD, FL, 33020, 954 927 0866 - 7,500,000 ($900,000.00) Equity, (File 333-113474 - Mar. 10) (BR. 09) S-8 ESTERLINE TECHNOLOGIES CORP, 500 - 108TH AVENUE NE, SUITE 1500, BELLEVUE, WA, 98004, 2064539400 - 1,849,500 ($50,435,865.00) Equity, (File 333-113475 - Mar. 10) (BR. 36) S-3 WHOLE FOODS MARKET INC, 601 N LAMAR BLVD, STE 300, AUSTIN, TX, 78703, 5124774455 - 0 ($18,482,864.00) Equity, (File 333-113476 - Mar. 10) (BR. 02) S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 9057602987 - 700,000 ($52,500.00) Equity, (File 333-113477 - Mar. 10) (BR. 06) S-3 EAST WEST BANCORP INC, 415 HUNTINGTON DRIVE, SAN MARINO, CA, 91108, 6267995700 - 0 ($42,469,827.48) Equity, (File 333-113478 - Mar. 10) (BR. 07) S-8 POTOMAC BANCSHARES INC, 111 EAST WASHINGTON ST, CHARLES TOWN, WV, 25414, 3047258431 - 90,000 ($1,127,700.00) Equity, (File 333-113479 - Mar. 10) (BR. 07) S-4 ANNALY MORTGAGE MANAGEMENT INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 212 696 0100 - 0 ($40,500,000.00) Equity, (File 333-113480 - Mar. 10) (BR. 08) SB-2 GALAXY ENERGY CORP, 1001 BRICKELL BAY DR, #2202, MIAMI, FL, 33131, 3053735725 - 4,577,588 ($16,067,334.00) Equity, (File 333-113481 - Mar. 10) (BR. 04) SB-2 GALAXY ENERGY CORP, 1001 BRICKELL BAY DR, #2202, MIAMI, FL, 33131, 3053735725 - 9,289,425 ($34,501,282.00) Equity, (File 333-113482 - Mar. 10) (BR. 04) S-1 INNOVO GROUP INC, 5804 EAST SLAUSON AVENUE, -, COMMERCE, CA, 90040, 3237255516 - 298,590 ($792,756.45) Equity, (File 333-113483 - Mar. 10) (BR. 02) S-4 GEORGIA PACIFIC CORP, 133 PEACHTREE ST NE, 41ST FL, ATLANTA, GA, 30303, 4046524000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-113484 - Mar. 10) (BR. 04) S-4 TYCO INTERNATIONAL LTD /BER/, 90 PITTS BAY ROAD, THE ZURICH CENTRE SECOND FLOOR, PEMROKE HM 08 BERMU, D0, 4412928674 - 0 ($1,000,000,000.00) Other, (File 333-113485 - Mar. 10) (BR. 36) S-3 GOAMERICA INC, C/O GOAMERICA, INC., 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601, 2019961717 - 117,774,503 ($54,765,144.00) Equity, (File 333-113486 - Mar. 10) (BR. 37) S-3 EMULEX CORP /DE/, 3333 SUSAN STREET, COSTA MESA, CA, 92626, 7146625600 - 0 ($517,500,000.00) Other, (File 333-113487 - Mar. 10) (BR. 03) S-3 DISCOVERY PARTNERS INTERNATIONAL INC, 9640 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 0 ($50,662,330.00) Equity, (File 333-113488 - Mar. 10) (BR. 01) S-3 TIB FINANCIAL CORP, 99451 OVERSEAS HIGHWAY, KEY LARGO, FL, 33037, 3054514660 - 0 ($26,151,000.00) Equity, (File 333-113489 - Mar. 10) (BR. 07) S-8 AMERICAN PETRO-HUNTER INC, 16055 FRASER HIGHWAY SUITE 205, V3S 2W9, SURREY BC, A1, V3S2W9, 6045970036 - 475,000 ($57,000.00) Equity, (File 333-113490 - Mar. 10) (BR. 04) S-8 GENESIS BIOVENTURES INC, 1A - 3033 KING GEORGE HIGHWAY, SURREY, BRITISH COLUMBIA CAN, A1, V4P 1B8, 6045420820 - 18,977 ($189.77) Other, (File 333-113491 - Mar. 10) (BR. 01) S-11 ME PORTFOLIO MANAGEMENT LTD, LEVEL 23 360 COLLINS STREET, MELBOURNE VIC, C3, 00000, 0 ($1,000,000.00) Equity, (File 333-113492 - Mar. 10) (BR. 05) 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 ------------------------------------------------------------------------------------------------ 3D SYSTEMS CORP DE X X X 03/04/04 ABFC ASSET-BACKED CERTIFICATES SERIES DE X X 02/25/04 ABSS CORP DE X 02/16/04 AMEND ALBANY INTERNATIONAL CORP /DE/ DE X 03/09/04 ALPHA TECHNOLOGIES GROUP INC DE X X 03/10/04 AMALGAMATED TECHNOLOGIES INC DE X X 03/09/04 AMEDISYS INC DE X X 03/09/04 AMERICAN BUSING CORP NV X X X 03/03/04 AMERICAN ENTERTAINMENT & ANIMATION CO DE X 03/08/04 AMERICAN SKIING CO /ME DE X 03/10/04 ANSWERTHINK INC FL X X 02/26/04 ANTARES PHARMA INC MN X X 03/09/04 AQUILA INC DE X X 03/10/04 ARGENT SECURITIES ASSET BCKED PASS TH DE X 03/09/04 ARROWHEAD RESEARCH CORP DE X X 03/05/04 ASSET ACCEPTANCE CAPITAL CORP X X 03/10/04 ASSET BACKED FUNDING CORP DE X X 03/09/04 AVIATION GENERAL INC DE X 11/04/03 AVIC TECHNOLOGIES LTD DE X 03/01/04 BAKER MICHAEL CORP PA X X 03/09/04 BAKERS FOOTWEAR GROUP INC MO X X 03/04/04 BANC OF AMERICA MORT SEC INC MORT PS DE X X 02/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 02/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/26/04 BANC OF AMERICA MORT SEC INC MORT PS NY X X 02/25/04 BANC OF AMERICA MORT SEC INC MORT PS DE X X 02/25/04 BANC OF AMERICA MORTGAGE PASS-THROUGH DE X X 02/26/04 BANC OF AMERICA MORTGAGE SEC INC MORT DE X X 02/25/04 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 02/25/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 02/26/04 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 02/25/04 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 02/26/04 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 02/25/04 BANC OF AMERICA MTG SEC INC MORT PASS DE X X 02/26/04 BANK OF AMERICA CORP /DE/ DE X 03/09/04 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 02/26/04 BEAR STEARNS ALT A TRUST 2003-2 DE X X 02/27/04 BEAR STEARNS ALT A MORT PASS THR CERT DE X X 02/26/04 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 02/26/04 BEAR STEARNS ALT A TRUST MORT PASS TH DE X X 02/25/04 BEAR STEARNS ALT A TRUST MORT PASS TH DE X X 02/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 02/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 02/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 02/25/04 BELDEN & BLAKE CORP /OH/ OH X 03/09/04 BELK INC X X 03/10/04 BELLSOUTH CORP GA X 03/05/04 BERKELEY TECHNOLOGY LTD X X 12/31/03 BI-OPTIC VENTURES INC X 03/09/04 BIG LOTS INC OH X 03/10/04 BIONOVA HOLDING CORP DE X X 03/09/04 BORDEN CHEMICAL INC NJ X 03/10/04 BRESLER & REINER INC DE X X 02/26/04 BULLDOG TECHNOLOGIES INC NV X 02/18/04 CALPINE CORP DE X 03/10/04 CANYON RESOURCES CORP DE X X 03/10/04 CAPITAL ONE MASTER TRUST NY X X 03/09/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 03/09/04 CAPITAL TRUST INC MD X X 03/04/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 03/10/04 CATALINA MARKETING CORP/DE DE X X 03/09/04 CENTERPOINT ENERGY INC X 03/04/04 CENTURY BANCORP INC MA X X 03/10/04 CENTURY CASINOS INC /CO/ DE X 03/09/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 03/10/04 CIGNA CORP DE X 03/10/04 CMS ENERGY CORP MI X 03/10/04 COLDWATER CREEK INC DE X X 03/10/04 COLE NATIONAL CORP /DE/ DE X X 03/10/04 COLE NATIONAL GROUP INC DE X X 03/10/04 COMTECH TELECOMMUNICATIONS CORP /DE/ DE X X 03/10/04 COMVERSE TECHNOLOGY INC/NY/ NY X X 03/10/04 CONNETICS CORP DE X 03/08/04 CONSOL ENERGY INC X 03/09/04 CONSUMER DIRECT OF AMERICA NV X 02/20/02 AMEND CORNING NATURAL GAS CORP NY X 01/07/04 AMEND CORPORATE ASSET BACKED CORP CABCO SER DE X X 03/08/04 CORRPRO COMPANIES INC /OH/ OH X X 03/10/04 COUNTRYWIDE FINANCIAL CORP DE X 02/29/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 02/26/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 03/10/04 CRITICAL PATH INC CA X X 03/09/04 CRITICAL PATH INC CA X X 03/09/04 CROWN FINANCIAL GROUP INC NJ X X 03/09/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 02/25/04 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 02/25/03 CWABS INC DE X X 03/09/04 CWABS INC DE X X 03/09/04 CWABS INC DE X X 03/09/04 CWABS INC DE X X 03/09/04 CWABS INC DE X X 03/09/04 CWABS REVOLVING HOME EQUITY LN ASSET DE X X 05/28/03 CYTYC CORP DE X 03/09/04 DELTA FINANCIAL CORP DE X 12/31/03 DWANGO NORTH AMERICA CORP NV X 02/19/04 EARTHSHELL CORP DE X X 03/05/04 EL PASO CGP CO DE X X 03/10/04 EL PASO CORP/DE DE X X 03/10/04 EL PASO PRODUCTION HOLDING CO DE X X 03/10/04 ELECTRO RENT CORP CA X 03/10/04 ELITE PHARMACEUTICALS INC /DE/ DE X X 03/09/04 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 03/10/04 ENDOLOGIX INC /DE/ DE X X 03/08/04 ENRON CORP/OR/ OR X 03/09/04 ENXNET INC OK X X 03/09/04 ESSEX CORPORATION VA X X 03/09/04 EXPLORATION CO OF DELAWARE INC DE X X 03/04/04 EZ EM INC DE X 03/05/04 FIFTH THIRD BANCORP OH X X X 03/10/04 FINANCIAL INDUSTRIES CORP TX X X 03/10/04 FIRST INVESTORS FINANCIAL SERVICES GR TX X X 03/10/04 FLORIDA PUBLIC UTILITIES CO FL X X 03/05/04 FLORIDA ROCK INDUSTRIES INC FL X 08/12/03 AMEND GENVEC INC DE X X 03/10/04 GERON CORPORATION DE X X 03/10/04 GEXA CORP TX X X 03/10/03 GLENBOROUGH REALTY TRUST INC MD X X 03/08/04 GOLDEN STATE VINTNERS INC X X 03/07/04 GRANT PARK FUTURES FUND LIMITED PARTN IL X 03/10/04 GRIFFIN LAND & NURSERIES INC DE X 02/27/04 GRIFFIN LAND & NURSERIES INC DE X 03/10/04 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X 01/30/04 GTC TELECOM CORP NV X 03/03/04 GUARANTY FEDERAL BANCSHARES INC DE X 03/09/04 H&E EQUIPMENT SERVICES LLC LA X X 03/10/04 HALLWOOD REALTY PARTNERS L P DE X X 03/09/04 HANMI FINANCIAL CORP DE X X 03/09/04 HARD ROCK HOTEL INC NV X 03/09/04 HARRIS CORP /DE/ DE X 03/10/04 HAYNES INTERNATIONAL INC DE X X 03/05/04 HEARTLAND EXPRESS INC NV X X 03/10/04 HERBST GAMING INC NV X X 03/09/04 HIBBETT SPORTING GOODS INC DE X X X 03/10/04 HUGHES SUPPLY INC FL X 03/09/04 HUMBOLDT BANCORP CA X X 03/08/04 IMCO RECYCLING INC DE X 03/09/04 INFOTECH USA INC DE X X 03/03/04 INGERSOLL RAND CO LTD X 03/10/04 INTER PARFUMS INC DE X 03/10/04 INTERDIGITAL COMMUNICATIONS CORP PA X X 03/10/04 INTERNATIONAL BUSINESS MACHINES CORP NY X 03/10/04 INTERPUBLIC GROUP OF COMPANIES INC DE X X X 03/10/04 INTERPUBLIC GROUP OF COMPANIES INC DE X X 03/10/04 INTERWAVE COMMUNICATIONS INTERNATIONA X X 03/09/04 INTEVAC INC CA X X 03/10/04 INVESTOOLS INC DE X X 02/26/04 ISLAND PACIFIC INC DE X 03/09/04 ISTAR FINANCIAL INC MD X X 03/05/04 JACKSON RIVERS CO FL X X 02/24/04 JL FRENCH AUTOMOTIVE CASTING INC DE X X 03/10/04 JP MORGAN COMMERCIAL MORT PASS THR CE DE X X 02/01/04 KMART HOLDING CORP DE X X 03/08/04 KRISPY KREME DOUGHNUTS INC NC X 03/10/04 LA JOLLA PHARMACEUTICAL CO DE X X 03/09/04 LABORATORY CORP OF AMERICA HOLDINGS DE X 03/10/04 LANCER CORP /TX/ TX X X 02/03/04 AMEND LAWSON SOFTWARE INC DE X 03/09/04 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE X 03/10/04 MACROCHEM CORP DE X 03/10/04 MANTECH INTERNATIONAL CORP DE X X 03/03/04 MARTEK BIOSCIENCES CORP DE X X 03/10/04 MASS MEGAWATTS WIND POWER INC MA X 03/09/04 MCCARTHY GRENACHE INC NV X 02/24/04 MECHANICAL TECHNOLOGY INC NY X X 12/31/03 MERCANTILE BANKSHARES CORP MD X X 03/09/04 MERCANTILE BANKSHARES CORP MD X X 03/09/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/08/04 MERRILL LYNCH MRT INV INC MRT LN AST DE X X 02/25/04 METAL MANAGEMENT INC DE X X 03/08/04 MICROISLET INC NV X X 03/10/04 MICROVISION INC WA X X 03/10/04 MILLSTREAM ACQUISITION CORP DE X X 03/09/04 MINN DAK FARMERS COOPERATIVE ND X 03/09/04 MORGAN STANLEY ABS CAP I INC MORT PA DE X X 03/09/04 AMEND MORGAN STANLEY SPECTRUM TECHNICAL LP DE X 01/01/04 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/08/04 MORGAN STANLEY CHARTER CAMPBELL LP X 07/31/03 MORGAN STANLEY SPECTRUM SELECT LP DE X 01/01/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 03/10/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 02/26/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 02/25/04 MTR GAMING GROUP INC DE X X 03/10/04 MUELLER PAUL CO MO X 12/31/03 MUZAK HOLDINGS LLC DE X X 03/10/04 NARA BANCORP INC DE X X 03/10/04 NASTECH PHARMACEUTICAL CO INC DE X X 03/10/04 NASTECH PHARMACEUTICAL CO INC DE X X 03/10/04 NATIONAL CITY AUTO RECEIVABLES TRUST X X 02/25/04 NAVIGATORS GROUP INC DE X X 03/09/04 NEOPROBE CORP DE X X 03/10/04 NEW YORK COMMUNITY BANCORP INC DE X X 03/10/04 NORTHERN BORDER PARTNERS LP DE X X 03/10/04 NORTHERN BORDER PIPELINE CO TX X X 03/10/04 NOVA BIOGENETICS INC DE X X 03/05/04 NOVA OIL INC NV X 02/27/04 NOVOSTE CORP /FL/ FL X X 03/10/04 OCEANEERING INTERNATIONAL INC DE X 03/10/04 OMI CORP/M I X X 03/09/04 OPTIMAL ROBOTICS CORP X 03/05/04 OSPREY GOLD CORP NV X 12/31/03 PACIFIC CAPITAL BANCORP /CA/ CA X X 03/05/04 PACIFIC GAS & ELECTRIC CO CA X X 03/09/04 PARK OHIO HOLDINGS CORP OH X X 03/09/04 PEABODY ENERGY CORP DE X X 02/29/04 PEOPLES EDUCATIONAL HOLDINGS MN X X 03/10/04 PEPCO HOLDINGS INC DE X X 03/10/04 PERFECTDATA CORP CA X 03/03/04 PG&E CORP CA X X 03/09/04 PHARMION CORP X X 03/09/04 PHILLIPS VAN HEUSEN CORP /DE/ DE X 03/09/04 PLAINS EXPLORATION & PRODUCTION CO DE X 03/10/04 PNC FINANCIAL SERVICES GROUP INC PA X X 03/10/04 POTLATCH CORP DE X 03/05/04 PREMIER FINANCIAL BANCORP INC KY X 03/10/04 PRIME MORTGAGE TRUST MORTGAGE PASS-TH DE X X 02/26/04 PROTECTIVE LIFE INSURANCE CO TN X 03/01/04 QUIKSILVER INC DE X X X 03/10/04 QUINTILES TRANSNATIONAL CORP NC X 03/09/04 REDDI BRAKE SUPPLY CORP NV X X 03/09/04 AMEND RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/10/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 03/10/04 RESOURCES PENSION SHARES 5 LP DE X 02/06/04 ROLLINS INC DE X 03/08/04 RTW INC /MN/ MN X X 03/09/04 RUBIOS RESTAURANTS INC DE X X 03/09/04 SCPIE HOLDINGS INC DE X X X 03/09/04 SCPIE HOLDINGS INC DE X X X 03/09/04 AMEND SEA PINES ASSOCIATES INC SC X 03/10/04 SEALY CORP DE X X 03/08/04 SENTICORE INC DE X 01/03/04 SENTRY TECHNOLOGY CORP X X 03/09/04 SHIRE PHARMACEUTICALS GROUP PLC X X 03/10/04 SHUFFLE MASTER INC MN X 02/24/04 SIMULATIONS PLUS INC X X 03/10/04 SIX FLAGS INC DE X X 03/10/04 SKYTERRA COMMUNICATIONS INC DE X X 03/09/04 SLM FUNDING LLC DE X X 03/04/04 SPECTRALINK CORP CO X 03/09/04 SPECTRE GAMING INC MN X X 03/09/04 SPIDERBOY INTERNATIONAL INC MN X X X 02/27/04 STAAR SURGICAL COMPANY DE X X 03/03/04 STANLEY FURNITURE CO INC/ DE X X 03/09/04 STARTEC GLOBAL COMMUNICATIONS CORP DE X X 03/10/04 STATEN ISLAND BANCORP INC DE X X 03/08/04 STERIS CORP OH X 03/10/04 STRATEGIC DIAGNOSTICS INC/DE/ DE X 03/09/04 STRAYER EDUCATION INC MD X X 03/09/04 STRONGHOLD TECHNOLOGIES INC NV X X 03/08/04 STRUCT ASS MORT INV INC BS ALTA MORT DE X X 02/25/04 STRUCTURED ASSET MORT INV II INC BEAR DE X 03/10/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 02/27/04 STRUCTURED ASSET MORT INV INC MORT BA DE X X 02/26/04 STRUCTURED ASSET MORT INV INC MORT PA DE X X 02/27/04 STRUCTURED ASSET MORT INV INC MORT PA DE X X 02/27/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 02/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 02/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 02/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 02/25/04 SUPERGEN INC DE X X 03/05/04 SYMBOL TECHNOLOGIES INC DE X X X 03/04/04 TALBOTS INC DE X 03/10/04 TAUBMAN CENTERS INC MI X 03/09/04 TECH DATA CORP FL X X X 03/10/04 TECHNICAL OLYMPIC USA INC DE X X 03/10/04 TELETECH HOLDINGS INC DE X 03/08/04 TENET HEALTHCARE CORP NV X 03/09/04 TENNECO AUTOMOTIVE INC DE X X 03/10/04 THERMOGENESIS CORP DE X X 03/10/04 THORNBURG MORTGAGE SECURITIES TRUST DE X X 02/25/04 TIMEBEAT COM ENTERPRISES INC / X X 03/06/04 TRIAD FINANCIAL CORP CA X X 03/09/04 TRINITY INDUSTRIES INC DE X X 03/10/04 TURBOCHEF TECHNOLOGIES INC DE X X 03/08/04 TYCO INTERNATIONAL LTD /BER/ D0 X X 03/10/04 U S GOLD CORP CO X X 03/09/04 ULTICOM INC NJ X X 03/10/04 UNION PACIFIC CORP UT X X 03/10/04 UNITED STATES 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