SEC NEWS DIGEST Issue 2004-49 March 12, 2004 RULES AND RELATED MATTERS SECURITIES TRANSACTIONS SETTLEMENT CONCEPT RELEASE The Commission has issued a release soliciting comment on what actions it should take to improve the safety and operational efficiency of the U.S. clearance and settlement system and to help the U.S. securities industry achieve straight-through processing. The release discusses confirmation and affirmation processes, shortening the settlement cycle, and reducing the use of physical securities. Comments should be submitted within 90 days of publication of the concept release in the Federal Register. Publication of the concept release is expected in the Federal Register during the week of March 15. (Rels. 33-8398; 34-49405; IC-26384; File No. S7-13-04) REGULATION NMS - PUBLIC HEARINGS The Commission today announced that it will hold public hearings on proposed Regulation NMS, which is designed to enhance and modernize the regulatory structure of the U.S. equity markets, on Thursday, April 1, 2004 and Wednesday, April 21, 2004. Requests for participation in the hearings must be received by Monday, March 22, 2004, and copies of oral statements (or summary of intended testimony) must be submitted by Friday, March 26, 2004. Details on format, participants, and testimony presentation are contained in the Commission's formal Notice of Hearing. Publication of the Notice of Hearings is expected in the Federal Register during the week of March 15. (Rel. 34-49408; Press Rel. 2004- 32) ENFORCEMENT PROCEEDINGS FORMER CEO OF VARI-L COMPANY INDICTED FOR SECURITIES FRAUD AND WIRE FRAUD The U.S. Attorney for the District of Colorado announced that on March 11 David G. Sherman was indicted by a federal grand jury on charges of securities fraud, wire fraud, false statements in reports to the Securities and Exchange Commission, false statements to auditors and keeping false books and records. Sherman, now a resident of Foothill Ranch, California, is the former CFO and CEO of the now defunct Vari-L Company, Inc. The thirteen-count indictment was filed in the U.S. District Court for the District of Colorado. On Sept. 27, 2001, the Commission filed a civil complaint against Sherman in the U.S. District Court for the District of Colorado, alleging that Sherman, other Vari-L employees, and Vari-L engaged in a massive financial reporting fraud designed to show consistently increasing revenue and earnings, instead of losses, from 1996 through the quarter ended March 31, 2000, by recognizing false revenue, improperly capitalizing and depreciating costs, overstating inventory, and improperly deferring period costs. On Sept. 26, 2003, the U.S. District Court entered a final judgment of permanent injunction against Sherman pursuant to his consent. For more information, see Litigation Release Nos. 18598 (Feb. 27, 2004), 17671 (Aug. 9, 2002) and 17155 (Sept. 27, 2001). [U.S. v. David G. Sherman (USDC for the District of Colorado) 04-CR-104RB] (LR-18622; AAE Rel. 1976) INVESTEMENT COMPANY ACT RELEASES NATIONWIDE LIFE INSURANCE COMPANY, ET AL. Nationwide Life Insurance Company (Nationwide Life), Nationwide Variable Account II (VA-II), and Nationwide Investment Services Corporation (collectively, Applicants) filed an application on Aug. 15, 2003, and amended applications on Nov. 5, 2003, and Jan. 9, 2004, for an order of the Commission under Section 6(c) of the Investment Company Act. On Jan. 19, 2000, the Commission issued an order under Section 6(c) of the Act (Rel. IC-24256) (Original Order) which granted exemptions 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, under specified circumstances, the recapture of credits applied to purchase payments made under certain variable annuity contracts issued by Nationwide Life. On Feb. 20, 2003, the Commission issued an amended order pursuant to Section 6(c) of the Act (Rel. IC-25938) (Amended Order) permitting Nationwide to recapture credits applied to purchase payments made under certain variable annuity contracts under circumstances not contemplated under the Original Order. Applicants sought to amend the Amended Order pursuant to Section 6(c) of the Act granting exemptions from the provisions of Sections 2(a)(32), 22(c) and 27(i)(2)(A) of the 1940 Act and Rule 22c-1 thereunder to permit the recapture of credits applied to purchase payments made under certain variable annuity contracts under circumstances not contemplated under either the Original Order or the Amended Order. Applicants also requested that the relief under the order extend to any current or future separate accounts of Nationwide Life which may in the future offer or support contracts that are substantially similar in all material respects to the contracts described in the Application (Other Separate Accounts) and to any other NASD registered broker/dealers under common control with Nationwide Life which may in the future serve as general distributor-principal underwriter of VA-II or Other Separate Accounts that offer or support variable annuity contracts that are substantially similar in all material respects to those described in the application. (Rel. IC-26382- March 11) TRUST INDENTURE ACT RELEASES COVANTA ENERGY CORPORATION The Commission issued a notice giving interested persons until April 12, 2004, to request a hearing on an application by Covanta Energy Corporation under Section 304(d) of the Trust Indenture Act of 1939. The application requests that the Commission exempt from the certificate or opinion delivery requirements of Section 314(d) of the 1939 Act certain provisions of an indenture between Covanta Energy, certain guarantors and U.S. Bank National Association, as trustee. The indenture relates to 8.25% Senior Secured Notes due 2011. (Rel. TI- 2415) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change (SR-ISE-2003-26) and Amendments No. 1, 2 and 3 thereto have been filed by the International Securities Exchange amending its rules governing limits on the entry of orders of less than ten contracts and revising the quotation size requirements for market makers. Publication of the proposal is expected in the Federal Register during the week of March 15. (Rel. 34-49393) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-159) to permit Nasdaq to append a new modifier to trade reports of pre-open and after-hours trades not submitted to Nasdaq's Automated Confirmation Transaction Service, and other changes regarding trade reporting. Publication of the proposl in the Federal Register is expected during the week of March 15. (Rel. 34-49404) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-CHX-2003-27) filed by the Chicago Stock Exchange relating to the execution of resting limiting orders in certain exchange-traded funds when the primary market is trading at the limit price. (Rel. 34-49387) The Commission approved a proposed rule change (SR-CBOE-2003-51) and Amendment Nos. 1 and 2 thereto submitted by the Chicago Board Options Exchange relating to the listing and trading of options on certain Russell Indexes. (Rel. 34-49388) The Commission approved a proposed rule change (SR-Amex-2002-35) and Amendment Nos. 1, 2, 3, 4, and 5 thereto submitted by the American Stock Exchange to amend Rules 128A, 1000, and 1000A with respect to the participation in Exchange Traded Fund trades executed on the Exchange by registered traders and specialists and the allocation of those trades to the appropriate party. Publication of the order in the Federal Register is expected during the week of March 15. (Rel. 34-49396) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until April 5, 2004, to comment on the application of Drew Industries Incorporated to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49400) A notice has been issued giving interested persons until April 5, 2004, to comment on the application of SCBT Financial Corporation to withdraw its common stock, $2.50 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49401) DELISTING GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration the common stock, no par value of Bion Environmental Technologies, Inc., effective at the opening of business on March 15. (Rel. 34-49407) 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-11 LUMINENT MORTGAGE CAPITAL INC, 909 MONTGOMERY STREET, SUITE 500, SAN FRANCISCO, CA, 94133, 415-486-6500 - 0 ($172,000,000.00) Equity, (File 333-113493 - Mar. 11) (BR. 08) S-1 BLUE NILE INC, 705 FIFTH AVE S, STE 900, SEATTLE, WA, 98104, 2063366700 - 0 ($75,000,000.00) Equity, (File 333-113494 - Mar. 11) (BR. 02) S-1 KANBAY INTERNATIONAL INC, 6400 SHAFER CT, STE 1000, ROSEMONT, IL, 60018, 8473846100 - 0 ($115,000,000.00) Equity, (File 333-113495 - Mar. 11) (BR. 03) S-8 NEWAVE INC, 404 EAST 1ST STREET, 1345, LONG BEACH, CA, 90802, 562-983-5331 - 30,000 ($104,700.00) Equity, (File 333-113496 - Mar. 11) (BR. 02) S-3 GENCORP INC, HIGHWAY 50 & AEROJET ROAD, RANCHO CORDOVA, CA, 95670, 9163554000 - 125,000,000 ($128,587,500.00) Debt Convertible into Equity, (File 333-113497 - Mar. 11) (BR. 06) S-8 AUGUST TECHNOLOGY CORP, 4900 W 78TH ST, BLOOMINGTON, MN, 55435, 9528200080 - 400,000 ($6,628,000.00) Equity, (File 333-113498 - Mar. 11) (BR. 36) S-1 ADESA INC, 13085 HAMILTON CROSSING BLVD, CARMEL, IN, 46032, 8009233725 - 150,000,000 ($150,000,000.00) Equity, (File 333-113499 - Mar. 11) (BR. 05) S-3 DYAX CORP, 7,500,000 ($100,575,000.00) Equity, (File 333-113500 - Mar. 11) (BR. 01) S-3 AVISTA CORP, 1411 E MISSION AVE, SPOKANE, WA, 99202, 5094890500 - 20,000,000 ($20,000,000.00) Other, (File 333-113501 - Mar. 11) (BR. 02) S-8 AQUA AMERICA INC, 762 LANCASTER AVE, BRYN MAWR, PA, 19010, 2155278000 - 4,375,000 ($93,865,625.00) Equity, (File 333-113502 - Mar. 11) (BR. 02) F-6 BASF AKTIENGESELLSCHAFT, 67056 LUDWIGSHAFEN GERMANY, GERMANY, 00000, 0114962160 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-113503 - Mar. 11) (BR. 02) S-3 QUIXOTE CORP, ONE E WACKER DR, STE 3000, CHICAGO, IL, 60601, 3124676755 - 0 ($624,990.00) Equity, (File 333-113504 - Mar. 11) (BR. 06) S-8 MAXXZONE COM INC, 1770 N GREEN VALLEY PARKWAY ST 3214, HENDERSON, NV, 89014, 702-616-7337 - 10,000,000 ($300,000.00) Equity, (File 333-113505 - Mar. 11) (BR. 08) S-8 OXIS INTERNATIONAL INC, 6040 N CUTTER CIRCLE STE 317, PORTLAND, OR, 97217, 5032833911 - 0 ($4,218,000.00) Equity, (File 333-113507 - Mar. 11) (BR. 01) S-3 LEXINGTON CORPORATE PROPERTIES TRUST, 355 LEXINGTON AVE, NEW YORK, NY, 10017, 2126927260 - 63,244 ($1,350,259.40) Equity, (File 333-113508 - Mar. 11) (BR. 08) SB-2 FC FINANCIAL SERVICES INC, 2,000,000 ($200,000.00) Equity, (File 333-113509 - Mar. 11) (BR. ) S-8 ANALOG DEVICES INC, ONE TECHNOLOGY WAY, NORWOOD, MA, 02062, 7813294700 - 100,000,000 ($100,000,000.00) Other, (File 333-113510 - Mar. 11) (BR. 36) S-8 IR BIOSCIENCES HOLDINGS INC, 8655 EAST VIA DE VENTURA, SUITE E-155, SCOTTSDALE, AZ, 85258, 480-922-3926 - 1,800,000 ($1,185,842.00) Equity, (File 333-113511 - Mar. 11) (BR. 09) S-8 AMKOR TECHNOLOGY INC, 1345 ENTERPRISE DR, WEST CHESTER, PA, 19380, 6104319600 - 0 ($109,125,395.00) Equity, (File 333-113512 - Mar. 11) (BR. 36) S-3 AKAMAI TECHNOLOGIES INC, 500 TECHNOLOGY SQ, CAMBRIDGE, MA, 02139, 6172503000 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-113513 - Mar. 11) (BR. 08) S-3 PROCTER & GAMBLE CO, ONE PROCTER & GAMBLE PLZ, CINCINNATI, OH, 45202, 5139831100 - 7,000,000,000 ($7,000,000,000.00) Unallocated (Universal) Shelf, (File 333-113515 - Mar. 11) (BR. 02) F-6 HANNOVER RUCKVERSICHERUNGS AKTIENGESELLSCHAFT, KARL-WIECHERT-ALLEE 50, GERMANY, 2M, 30625, 0114951156040 - 20,000,000 ($1,000,000.00) ADRs/ADSs, (File 333-113516 - Mar. 11) (BR. ) S-8 SCORES HOLDING CO INC, 150 EAST 58TH STREET, SUITE, NEW YORK, NY, 10022, 212-421-8480 - 250,000 ($70,000.00) Equity, (File 333-113517 - Mar. 11) (BR. 05) SB-2 NEXT INC/TN, 7625 HAMILTON PARK DRIVE, SUITE 12, CHATTANOOGA, TN, 37421, 423 296 8213 - 7,000,000 ($9,100,000.00) Equity, (File 333-113518 - Mar. 11) (BR. 08) S-8 INTEGRAL VISION INC, 38700 GRAND RIVER AVE, FARMINGTON HILLS, MI, 48335, 8104773900 - 0 ($1,899,000.00) Equity, (File 333-113519 - Mar. 11) (BR. 36) S-3 CHAMPION ENTERPRISES INC, 2701 CAMBRIDGE COURT, STE 300, AUBURN HILLS, MI, 48326, 2483409090 - 0 ($6,936,106.32) Debt Convertible into Equity, (File 333-113520 - Mar. 11) (BR. 06) S-1 COTHERIX INC, 1301 SHOREWAY RD, SUITE 320, BELMONT, CA, 94002, 6504862100 - 0 ($70,000,000.00) Equity, (File 333-113521 - Mar. 11) (BR. ) S-1 MOMENTA PHARMACEUTICALS INC, 45 MOULTON STREET, CAMBRIDGE, MA, 02138, 6174919700 - 0 ($86,250,000.00) Equity, (File 333-113522 - Mar. 11) (BR. ) S-3 ATLAS PIPELINE PARTNERS LP, 311 ROUSER ROAD, MOON TOWNSHIP, PA, 15108, 4122622830 - 0 ($250,000,000.00) Other, (File 333-113523 - Mar. 11) (BR. 02) F-3 AUSTRALIA & NEW ZEALAND BANKING GROUP LTD, LEVEL 6, 100 QUEEN STREET, MELBOURNE, AUSTRALIA, MELBOURNE, C3, 3000, 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-113524 - Mar. 11) (BR. 07) S-4 MAINSOURCE FINANCIAL GROUP, 201 N BROADWAY, PO BOX 87, GREENSBURG, IN, 47240, 8126630157 - 0 ($4,470,770.00) Equity, (File 333-113525 - Mar. 11) (BR. 07) S-1 GREENHILL & CO INC, 300 PARK AVENUE, 23RD FLOOR, NEW YORK, NY, 10022, 0 ($86,250,000.00) Equity, (File 333-113526 - Mar. 11) (BR. ) S-3 FREEDOM DEPOSITORY LLC, 5151 SAN FELIPE, SUITE 1300, HOUSTON, TX, 77056, 7138889100 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-113527 - Mar. 11) (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 ------------------------------------------------------------------------------------------------ ADVANCED HEALTHCARE TECHNOLOGIES INC CO X X 03/05/04 AMEND ADVANCED SPORTS TECHNOLOGIES INC X X 03/04/04 AEARO CORP DE X 03/11/04 AEROPOSTALE INC X X 03/11/04 AEROPOSTALE INC X X 03/11/04 AGWAY INC DE X X 03/11/03 AIR METHODS CORP DE X 03/11/04 AIRPLANES LTD DE X 03/11/04 ALCOA INC PA X 03/08/04 ALEXION PHARMACEUTICALS INC DE X X 03/05/04 ALLEGHENY ENERGY INC MD X 03/11/04 ALLEGHENY TECHNOLOGIES INC DE X X 03/11/04 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 03/09/04 ALLIANCE CAPITAL MANAGEMENT L P DE X X 03/09/04 AMARU INC NV X X X 02/25/04 AMEDISYS INC DE X X 03/09/04 AMERI DREAM ENTERTAINMENT INC CA X 01/13/04 AMEND AMERICAN INTERNATIONAL INDUSTRIES INC NV X X 03/11/04 APEX SILVER MINES LTD X 03/10/04 ARCH COAL INC DE X X 03/11/04 ARDENT HEALTH SERVICES LLC DE X 03/11/04 AUBURN NATIONAL BANCORPORATION INC DE X X 03/09/04 AVATAR HOLDINGS INC DE X X 03/11/04 AVI BIOPHARMA INC OR X X 03/09/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 03/10/04 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 02/27/04 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/04 BARRY R G CORP /OH/ OH X X X 03/10/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 02/25/03 BELK INC X X 03/11/04 BEYOND COM CORP DE X X 02/18/04 BIOVERIS CORP DE X 03/11/04 BON TON STORES INC PA X X 03/10/04 BORDERS GROUP INC DE X X 01/25/04 BUTLER NATIONAL CORP DE X X 03/11/04 CABCO TRUST FOR JC PENNEY DEBENTURES DE X X 03/01/04 CALIFORNIA AMPLIFIER INC DE X 03/10/04 CALIFORNIA COASTAL COMMUNITIES INC DE X X 03/09/04 CALLON PETROLEUM CO DE X X X X 03/08/04 CALLON PETROLEUM CO DE X X 03/09/04 CAPITAL ONE FUNDING LLC X X 03/05/04 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 03/10/04 CASELLA WASTE SYSTEMS INC DE X 03/10/04 CATTLESALE CO DE X X 03/11/04 CELLSTAR CORP DE X X 03/10/04 CERADYNE INC DE X X 03/11/04 CHAMPPS ENTERTAINMENT INC DE X 03/10/04 CHASE MORTGAGE FINANCE CORP CHASE MOR DE X X 02/25/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 03/11/04 CHESAPEAKE CORP /VA/ VA X 03/09/04 CHINA ENERGY VENTURES CORP NV X 02/27/04 CITGO PETROLEUM CORP DE X X 03/11/04 CLAIRES STORES INC DE X X 03/11/04 CLARUS CORP DE X X 03/10/04 COGENTRIX ENERGY INC NC X 03/11/04 COMDIAL CORP DE X X 03/09/04 COMERICA INC /NEW/ DE X 03/11/04 COMMONWEALTH BIOTECHNOLOGIES INC VA X 03/10/04 COMMONWEALTH INDUSTRIES INC/DE/ DE X 03/11/04 COMMUNICATIONS SYSTEMS INC MN X 03/09/04 COMMUNITY CAPITAL CORP /SC/ SC X X 03/04/04 CONSECO INC DE X X 03/10/04 CONSTAR INTERNATIONAL INC DE X X 03/11/04 CONSTAR INTERNATIONAL INC DE X X 03/11/04 AMEND CONVERA CORP DE X 03/10/04 CORNELL COMPANIES INC DE X 03/11/04 COVANTA ENERGY CORP DE X X 03/11/04 CREDIT ACCEPTANCE CORPORATION MI X X 03/10/04 CRIIMI MAE INC MD X X 03/09/04 CRIIMI MAE INC MD X X 03/09/04 CWABS INC ASSET BACKED CERTIFICATES S DE X X 02/26/04 DANIELSON HOLDING CORP DE X X X 03/10/04 DELBROOK CORP NV X X X X 03/04/04 DELCATH SYSTEMS INC DE X X 03/11/04 DEUTSCHE MORTGAGE SEC INC MORT LOAN T X 01/06/04 AMEND DICKS SPORTING GOODS INC DE X X 03/11/04 DILLARDS INC DE X X 03/10/04 DOANE PET CARE CO DE X X 03/11/04 DPAC TECHNOLOGIES CORP CA X 03/08/04 DPAC TECHNOLOGIES CORP CA X X 03/05/04 AMEND DRS TECHNOLOGIES INC DE X X 03/11/04 DSL NET INC DE X 03/11/04 DT INDUSTRIES INC DE X X 03/11/04 ECHOSTAR COMMUNICATIONS CORP NV X X 03/11/04 ECHOSTAR DBS CORP CO X X 03/11/04 EDAC TECHNOLOGIES CORP WI X X 03/10/04 EDUCATIONAL DEVELOPMENT CORP DE X X 03/11/04 ELIZABETH ARDEN INC FL X X 03/11/04 ENDOLOGIX INC /DE/ DE X X 03/10/04 EQUITY INNS INC TN X 03/11/04 EXELON CORP PA X 03/10/04 EXPERIENTIAL AGENCY INC NV X X 02/24/03 FALCON PRODUCTS INC /DE/ DE X X 03/10/04 FEDERAL REALTY INVESTMENT TRUST MD X 03/10/04 FINANCIAL FEDERAL CORP NV X 03/08/04 FIRST DELTAVISION INC NV X 03/10/04 FLEETWOOD ENTERPRISES INC/DE/ DE X 03/09/04 FOREST CITY ENTERPRISES INC OH X 03/11/04 FOREST CITY ENTERPRISES INC OH X X 03/11/04 FOUNDATION REALTY FUND LTD FL X 03/01/04 FREDS INC TN X X 03/11/04 FREEPCSQUOTE COM NV X X 02/27/04 GARDNER DENVER INC DE X X X 01/02/04 GATEWAY INC DE X X 03/04/04 GATEWAY INC DE X X 03/08/04 GLADSTONE COMMERCIAL CORP MD X X 03/10/04 GLOBAL CROSSING LTD X X 03/10/04 GLOBAL PRECISION MEDICAL INC WY X X 03/10/04 GRAY TELEVISION INC GA X X 03/08/04 GS MORTGAGE SECURITIES CORP DE X 03/10/04 GS MORTGAGE SECURITIES CORP GSAA TRUS DE X X 02/26/04 HALLIBURTON CO DE X 03/11/04 HCA INC/TN DE X X 03/08/04 HECLA MINING CO/DE/ DE X 03/10/04 HEINZ H J CO PA X X 03/10/04 HOST MARRIOTT CORP/ MD X X 03/09/04 HOST MARRIOTT L P DE X X 03/09/04 I MANY INC DE X X 03/02/04 AMEND IMAX CORP A6 X 03/09/04 IMPAC CMB TRUST SERIES 2004-2 DE X X X 02/26/04 INDEPENDENT BANK CORP MI X 03/11/04 INTEREP NATIONAL RADIO SALES INC NY X X 03/08/04 INTERNATIONAL MULTIFOODS CORP DE X X 03/07/04 INVICTA GROUP INC X X 03/10/04 IPVOICE COMMUNICATIONS INC NV X X 03/08/04 JEFFERIES GROUP INC /DE/ DE X X 03/08/04 JPS INDUSTRIES INC DE X X 03/11/04 KINETIC CONCEPTS INC /TX/ TX X X 03/10/04 KLONDIKE STAR MINERAL CORP DE X 03/03/04 AMEND KORN FERRY INTERNATIONAL DE X X 03/10/04 KRYSTAL DIGITAL CORP DE X X 02/29/04 LA JOLLA PHARMACEUTICAL CO DE X X 03/11/04 LEE ENTERPRISES INC DE X 03/11/04 LEHMAN ABS CORP DE X 03/11/04 LENNOX INTERNATIONAL INC DE X X 03/11/04 LEOPARD CAPITAL INC NV X X 03/10/04 LINCOLN BANCORP /IN/ IN X X 03/11/04 LIPID SCIENCES INC/ AZ X 03/08/04 LOCKHEED MARTIN CORP MD X 03/10/04 LODGIAN INC DE X X X 03/09/04 LOEWS CORP DE X X 03/11/04 LOUDEYE CORP DE X 03/10/04 LUBYS INC DE X 03/11/04 M&T BANK CORP NY X X 03/11/04 MANNATECH INC TX X 03/10/04 MARCONI CORP PLC X0 X 03/11/04 MARKWEST ENERGY PARTNERS L P DE X 03/11/04 MASTER ADJUSTABLE RATE MORTGAGES TRUS DE X X 02/26/04 MEDIS TECHNOLOGIES LTD DE X 03/11/04 MICROFINANCIAL INC MA X X 03/10/04 MILACRON INC DE X X 03/11/04 MILACRON INC DE X X 03/11/04 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/09/04 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 02/25/04 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X 03/11/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 02/27/04 MOSSIMO INC DE X X X 03/11/04 MRS FIELDS ORIGINAL COOKIES INC DE X X 03/10/04 MS STRUCTURED SATURNS SERIES 2004-4 DE X 03/11/04 MYERS INDUSTRIES INC OH X 03/11/04 NAPRO BIOTHERAPEUTICS INC DE X X 03/11/04 NATIONAL CITY CORP DE X X 03/11/04 NATIONAL HEALTH INVESTORS INC MD X 03/10/04 NATIONAL SEMICONDUCTOR CORP DE X X X 02/29/04 NATURAL GAS SERVICES GROUP INC X X 03/01/04 NATURAL RESOURCE PARTNERS LP DE X X 03/10/04 NEKTAR THERAPEUTICS DE X X 03/08/04 NETWORKS ASSOCIATES INC/ DE X X 03/09/04 NEW HORIZONS WORLDWIDE INC DE X 12/31/03 NEXTMEDIA OPERATING INC X X 03/11/04 NII HOLDINGS INC DE X 03/10/04 NORTEL NETWORKS CORP X X X 03/10/04 NORTEL NETWORKS LTD X X 03/10/04 NORTH VALLEY BANCORP CA X X 03/05/04 NORTHWEST BANCORP INC PA X X 03/09/04 NOVAVAX INC DE X X 03/10/04 NPS PHARMACEUTICALS INC DE X 03/11/04 NRG ENERGY INC DE X X 03/11/04 NUTRA PHARMA CORP CA X 01/13/04 OMEGA HEALTHCARE INVESTORS INC MD X X 03/08/04 OMI CORP/M I X X X 03/11/04 ONECAP NV X X 02/25/04 AMEND ORACLE CORP /DE/ DE X X 03/11/04 ORION ACQUISITION CORP II DE X X 03/09/04 PARKERVISION INC FL X 03/11/04 PENNROCK FINANCIAL SERVICES CORP PA X 03/10/04 PETCO ANIMAL SUPPLIES INC DE X 03/11/04 PETCO ANIMAL SUPPLIES INC DE X X 03/11/04 PHARMACEUTICAL RESOURCES INC NJ X 03/11/04 PINNACLE AIRLINES CORP DE X X 03/10/04 POTLATCH CORP DE X 03/10/04 PREMIER DEVELOPMENT & INVESTMENT INC NV X X 03/10/04 PRIMA ENERGY CORP DE X X 03/10/04 PROSOFTTRAINING COM NV X X 03/10/04 PSB BANCORP INC PA X X 03/09/04 Q COMM INTERNATIONAL INC UT X X 03/09/04 Q NET TECHNOLOGIES INC DE X X 03/10/04 RADIOLOGIX INC DE X X 03/11/04 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE X 03/11/04 REPTRON ELECTRONICS INC FL X X 03/11/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/11/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 03/11/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 03/11/04 RITA MEDICAL SYSTEMS INC DE X 03/11/04 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