SEC NEWS DIGEST Issue 2004-63 April 1, 2004 COMMISSION ANNOUNCEMENTS IN THE MATTER OF VASO ACTIVE PHARMACEUTICALS, INC. The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Vaso Active Pharmaceuticals, Inc., (VAPH) of Danvers, Massachusetts at 9:30 a.m. on April 1, 2004, and terminating at 11:59 p.m. on April 15, 2004. The Commission temporarily suspended trading in the securities of VAPH because of questions regarding the accuracy of assertions by VAPH and by others, in press releases, its annual report, its registration statement and public statements to investors concerning, among other things: (1) FDA approval of certain key products, and (2) the regulatory consequences of the future application of their primary product. The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, he should refrain from entering quotations relating to VAPH's securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation, which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker dealer or other person has any information which may relate to this matter, the Division of Enforcement of the Securities and Exchange Commission should be telephoned at (202) 942-4677. (Rel. 34- 49513) RULES AND RELATED MATTERS REGULATION NMS - PUBLIC HEARINGS On March 30, the Commission announced a scheduling change to its public hearings on proposed Regulation NMS, a proposal designed to enhance and modernize the regulatory structure of the U.S. equity markets. The first hearing will take place on April 21, 2004, in New York, rather than on Thursday, April 1, in Washington, D.C. to better accommodate the schedules of participants. Subsequent hearings will be scheduled as needed. The Commission also is extending the period of time for requesting to testify. Requests must be received by Friday, April 9, 2004, and copies of oral statements or summaries of intended testimony must be submitted by Monday, April 12, 2004. Details on format, participants, and testimony presentation are contained in the Commission's formal Notice of Hearing (Release No. 34-49408) and in the Commission's Notice of Change in Hearing Schedule. Publication of the Notice of Change in Hearing Schedule is expected in the Federal Register during the week of April 5. (Rel. 34-49511) ENFORCEMENT PROCEEDINGS CEASE-AND-DESIST ORDER ENTERED AGAINST ACCOUNTANT MARGARET GARDNER On March 31, the Commission issued a cease-and-desist order against Margaret M. Gardner, an accountant employed by Michael Johnson & Co., LLC (Johnson & Co.), a Denver, Colorado accounting firm. In the Order the Commission found that, in late 1999 and 2000, Johnson & Co. purported to be the independent auditor for Winners Internet Network, Inc. (Winners), a publicly traded company. Gardner made entries to certain of Winners' accounts, and participated in the preparation, compilation, audits and/or reviews of certain of Winners' financial statements included in a Securities Exchange Act of 1934 (Exchange Act) registration statement, a current report on Form 8-K and quarterly reports on Forms 10-QSB and 10-QSB/A filed with the Commission by Winners between Dec. 23, 1999 and Dec. 6, 2000. The Commission further found that Winners' financial statements prepared, compiled, audited and reviewed by Gardner materially overstated Winners' assets by up to 2,550% and revenues by up to 83%, and understated expenses by up to 16%, by improperly: capitalizing certain expenses, recognizing assets from a transaction that lacked economic substance, recording license fees and receivables, recognizing receivables from licensing fees that Winners had little or no chance of collecting, and recognizing revenue and receivables that had not been realized or earned by Winners. Moreover, the Commission found that, for the year ended Dec. 31, 1999, the overstatements of revenue and understatements of expenses enabled Winners to report net income of $5,067 instead of a net loss of over $501,000. Finally, the Commission found that Gardner caused Johnson & Co. to issue audit reports that falsely stated that the firm's audits of Winners' 1997, 1998 and 1999 financial statements were presented in conformity with Generally Accepted Accounting Principles (GAAP) and that the audit of the 1999 financial statements was conducted in accordance with Generally Accepted Auditing Standards (GAAS). According to the Order, these statements were false because, among other things, by participating in both the preparation and audit of the 1999 financial statements, Gardner failed to maintain her independence from Winners. Without admitting or denying the findings in the Commission's order, Gardner consented to the issuance of an order requiring that she cease and desist from committing or causing any violations and any future violations of Sections 10(b) and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b-5 and 13b2-1; and from causing any violations and any future violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Exchange Act Rules 12b-20, 13a-11 and 13a-13. (Rel. 34-49510; AAE Rel. 1982; File No. 3-11452) SEC OBTAINS $30 MILLION JUDGMENT AGAINST BRANSON CITY LIMITS, INC. AND RESORT HOTELS, INC. IN NATIONWIDE PONZI SCHEME CASE The Commission announced that on March 30, 2004, the Honorable Larry J. McKinney, Chief Judge, U.S. District Court for the Southern District of Indiana, entered a final judgment against Branson City Limits, Inc. (Branson City Limits) and Resort Hotels, Inc. (Resort Hotels), which: (1) orders Branson City Limits and Resort Hotels to pay, jointly and severally, disgorgement in the amount of $28,976,552.74 and prejudgment interest in the amount of $1,376,858.02, and (2) permanently enjoins Branson City Limits and Resort Hotels from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. Both Branson City Limits and Resort Hotels consented to the entry of the final judgment without admitting or denying the allegations contained in the Commission's Nov. 10, 2003, complaint. The Commission also announced that on March 30, 2004, the Honorable William T. Lawrence, Magistrate Judge, U.S. District Court for the Southern District of Indiana entered an order, which: (1) empowers the Receiver previously appointed in this action to enforce any of the final judgments obtained by the Commission; (2) orders the Receiver to provide injured investors with information concerning this lawsuit; and (3) orders the Receiver to establish a claims process for injured investors and other creditors of the defendants in this action. In its complaint, the Commission alleged that Branson City Limits, and Resort Hotels, through ten individuals and entities (Defendants), offered and sold securities, which were nominally structured as hotel timeshare rental interests, in unregistered transactions as part of a Ponzi scheme that defrauded at least 600 investors of over $28 million in 30 states. On Nov. 10, 2003, Chief Judge McKinney issued a temporary restraining order, which froze the Defendants' assets and temporarily restrained the Defendants from violating the antifraud and registration provisions of the federal securities laws. On Nov. 20, 2003, the Honorable John D. Tinder, U.S. District Court for the Southern District of Indiana, issued preliminary injunctions against each of the Defendants, which continued the asset freeze ordered by Chief Judge McKinney and preliminarily enjoined the Defendants from violating the antifraud and registration provisions of the federal securities laws for the pendency of this action. On March 23, 2004, Chief Judge McKinney entered a final judgment against two other defendants in this action, Lee E. Larscheid (Larscheid) and Ozark Ticket and Travel, Inc. (Ozark Ticket), which: (1) ordered Larscheid and Ozark Ticket to pay, jointly and severally, disgorgement in the amount of $1,792,369.50 and prejudgment interest in the amount of $22,550; (2) ordered Larscheid and Ozark Ticket to each pay civil penalties in the amount of $120,000; and, (3) permanently enjoined Larscheid and Ozark Ticket from future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. This case is still pending against the remaining Defendants. [SEC v. Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc., No. 1:03-cv-1659-LJM-WTL, SD Ind.] (LR-18650) LARRY STOCKETT INDICTED ON CHARGES OF SECURITIES FRAUD, WIRE FRAUD, MONEY LAUNDERING, AIDING AND ABETTING, AND OBSTRUCTION OF JUSTICE The Commission announced that on March 4, 2004, the U.S. District Court for the District of Nevada unsealed a 15-count indictment against Larry Stockett. The indictment charges Stockett with securities fraud, interstate transportation in execution of a scheme to defraud, wire fraud, money laundering, obstruction of justice and aiding and abetting in connection with "pump and dump," loan and joint venture schemes involving Hightec, Inc. (Hightec) a former publicly traded company of which Stockett was the sole officer and director. The alleged criminal violations were, in part, the subject of a successful enforcement action brought against Stockett by the Commission in 2002. The obstruction of justice count charges Stockett with providing false testimony during the Commission's investigation concerning Stockett's activities and with making false statements to the court during the Commission's litigation of its civil action against Stockett. The Commission filed a civil complaint against Stockett in April 2002 alleging that he orchestrated a fraudulent scheme regarding Hightec and The S.I.N.C.L.A.R.E. Group, Inc., a second former publicly traded company he controlled, in which Stockett, among other things, issued numerous false press releases and other public statements concerning the companies and unlawfully sold his restricted shares of Hightec stock in unregistered transactions. A final judgment in the Commission's litigation was entered against Stockett on March 4, 2004, permanently enjoining him from violating numerous provisions of the Securities Act of 1933 and Securities Exchange Act of 1934, prohibiting him from acting as an officer or director of a public company, ordering disgorgement and prejudgment interest totaling $1,836,181.56, and ordering a civil penalty of $120,000. [U.S. v. Larry Stockett, No. CR-S-03-365-LRH(LRL) (USDC D. Nevada)]; [SEC v. Larry A. Stockett, No. CV-S-02-0607-PMP-LRL (USDC D. Nevada)] (LR-18651) SEC SUES DENVER ACCOUNTANT The Commission filed an injunctive action on March 31, 2004, against Colorado resident Michael B. Johnson, his Colorado-based accounting firm, Michael Johnson & Co., LLC (Johnson & Co.), American Television and Film Company f/k/a Winners Internet Network, Inc. (Winners), a Nevada corporation, and Florida resident David C. Skinner, Jr., Winners' former president and chairman of the board of directors. The Commission's complaint alleges that between December 1999 and December 2000, Winners and Skinner carried out a scheme to defraud investors by filing reports and a registration statement with the Commission containing false financial statements that fraudulently overstated Winners' revenues, income, assets and cash inflows and understated expenses. According to the complaint, Johnson and Johnson & Co. assisted in the scheme by performing a range of accounting functions for Winners, including purporting to audit financial statements they had previously prepared for Winners. Further, between January and October 2000, Skinner and Winners reviewed or disseminated three promotional "analyst reports" containing baseless financial projections. The Commission's complaint alleges that: (1) Johnson, Johnson & Co. and Skinner violated Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and aided and abetted violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-11 and 13a-13 thereunder; and (2) Winners violated Sections 10(b), 13(a) and 13(b)(2) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. The complaint seeks injunctions and third-tier civil penalties against all of the defendants; disgorgement and prejudgment interest from Johnson, Johnson & Co., and Skinner; and officer and director and penny stock bars against Skinner only. Without admitting or denying the Commission's allegations, Skinner has consented to the entry of an order that would enjoin him from future violations of the foregoing provisions and direct him to pay disgorgement and prejudgment interest in an amount to be determined after the completion of the Commission's discovery in this action; and in which he would agree to the Court's continuing jurisdiction over the action for the purpose of determining whether to assess civil penalties against him. [SEC v. Michael B. Johnson, Michael Johnson & Co., LLC, David C. Skinner, Jr. and American Television and Film Company f/k/a Winners Internet Network, Inc., No. 04-RB-0626 (USDC D. Colorado)] (LR-18652; AAE Rel. No. 1983) INVESTMENT COMPANY ACT RELEASES REAL ESTATE INCOME FUND INC., ET AL. An order has been issued on an application filed by Real Estate Income Fund Inc., et al., under Section 6(c) of the Investment Company Act granting an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order permits certain registered closed-end management investment companies to make periodic distributions of long-term capital gains, as often as monthly, on their outstanding common stock and as often as distributions are specified in the terms of any preferred stock. (Rel. IC-26391 - March 23) JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I, and Jackson National Life Distributors, Inc., granting exemptions under Section 6(c) of the Investment Company Act from Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to permit the recapture of certain contract enhancements applied to purchase payments made under certain variable annuity contracts issued by Jackson National. (Rel. IC-26407 - March 29 JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I (the JNL Separate Account), and Jackson National Life Distributors, Inc., granting exemptions from the provisions of Sections 2(a)(32) and 27(i)(2)(A) of the Investment Company Act and Rule 22c-1 thereunder, to the extent necessary to permit the recapture, under specified circumstances, of certain credit enhancements applied to purchase payments made under the flexible premium, deferred variable annuity contracts described in the application that Jackson National will issue through the JNL Separate Account (Contracts), as well as other contracts that Jackson National may issue in the future through its existing or future separate accounts that are substantially similar in all material respects to the Contracts. (Rel. IC- 26408 - March 29) HOLDING COMPANY ACT RELEASES ALLIANT ENERGY CORPORATION A notice has been issued giving interested persons until April 26, 2004, to request a hearing on a proposal by Alliant Energy Corporation (Alliant Energy), a registered holding company, to amend its articles of incorporation to allow the issuance of additional shares of common stock. An order has been issued authorizing Alliant Energy to solicit proxies from its shareholders regarding this proposal. (Rel. 35-27826) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Pacific Exchange filed a proposed rule change (SR-PCX-2004-22) amending PCXE Rule 7.31 to create a new order type entitled "Auto Q Order." Publication of the notice is expected in the Federal Register during the week of April 5. (Rel. 34-45906) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until April 21, 2004, to comment on the application of Scope Industries to withdraw its Common Stock, no par value, from listing and registration on the American Stock Exchange. (Rel. 34-49508) 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 GREAT LAKES DREDGE & DOCK CORP, 2122 YORK ROAD, OAK BROOK, IL, 60523, 6305743000 - 0 ($175,000,000.00) Other, (File 333-114059 - Mar. 31) (BR. 06) S-4 EXELON GENERATION CO LLC, 0 ($50,000,000.00) Non-Convertible Debt, (File 333-114060 - Mar. 31) (BR. 02) S-4 ELECTRONIC DATA SYSTEMS CORP /DE/, 5400 LEGACY DR, H3-3D-05, PLANO, TX, 75024, 9726046000 - 0 ($492,574,500.00) Equity, (File 333-114061 - Mar. 31) (BR. 03) S-3 ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, PO BOX 77007, MADISON, WI, 53707-1007, 608-458-3314 - 3,354,107 ($85,697,433.85) Equity, (File 333-114062 - Mar. 31) (BR. 02) S-3 WISCONSIN POWER & LIGHT CO, 4902 NORTH BILTMORE LANE, PO BOX 77007, MADISON, WI, 53707-1007, 608-4583314 - 0 ($150,000,000.00) Other, (File 333-114063 - Mar. 31) (BR. 02) S-8 CALYPSO WIRELESS INC, 5979 NW 151ST STREET, MIAMI LAKES, FL, 33014, 7136547777 - 200,000 ($654,000.00) Equity, (File 333-114064 - Mar. 31) (BR. 37) S-3 INTERSTATE POWER & LIGHT CO, 200 FIRST ST SE, ALLIANT ENERGY TOWER, CEDAR RAPIDS, IA, 52401, 3193984411 - 0 ($210,000,000.00) Other, (File 333-114065 - Mar. 31) (BR. 02) S-8 ABIOMED INC, 22 CHERRY HILL DR, DANVERS, MA, 01923, 9787775410 - 0 ($14,328,000.00) Equity, (File 333-114066 - Mar. 31) (BR. 36) S-8 TUFCO TECHNOLOGIES INC, 4800 SIMONTON ROAD, P. O. BOX 23500, GREEN BAY, WI, 54305, 9727891079 - 0 ($737,000.00) Equity, (File 333-114067 - Mar. 31) (BR. 04) S-3 ENGELHARD CORP, 101 WOOD AVENUE, ISELIN, NJ, 08830, 7322055000 - 0 ($450,000,000.00) Other, (File 333-114068 - Mar. 31) (BR. 02) S-3 AMERICAN DENTAL PARTNERS INC, 201 EDGEWATER DRIVE, SUITE 285, WAKEFIELD, MA, 01880-1249, 6172240880 - 0 ($41,666,976.00) Equity, (File 333-114069 - Mar. 31) (BR. 01) S-8 HESPERIA HOLDING INC, 9780 E. AVENUE, 9780 E. AVENUE, HESPERIA, CA, 92345, 760-947-1378 - 100,000 ($100,000.00) Equity, (File 333-114070 - Mar. 31) (BR. 09) S-4 CARNIVAL CORP, 3655 N W 87TH AVE, PO BOX 1347, MIAMI, FL, 33178-2428, 3055992600 - 0 ($550,000,000.00) Non-Convertible Debt, (File 333-114071 - Mar. 31) (BR. 05) S-11 INTERVEST MORTGAGE CORP, 10 ROCKEFELLER PLZ STE 1015, NEW YORK, NY, 10020, 2127577300 - 1,150 ($11,500,000.00) Non-Convertible Debt, (File 333-114072 - Mar. 31) (BR. 08) S-8 FIRST MARINER BANCORP, 1801 S CLINTON STREET, BALTIMORE, MD, 21224, 4103422600 - 100,000 ($1,874,000.00) Equity, (File 333-114073 - Mar. 31) (BR. 07) S-8 CONECTISYS CORP, 24730 AVENUE TIBBITTS #130, VALENCIA, CA, 91355, 6612956763 - 14,000,000 ($36,400.00) Equity, (File 333-114074 - Mar. 31) (BR. 37) S-3 CATERPILLAR FINANCIAL SERVICES CORP, 2120 WEST END AVE, NASHVILLE, TN, 37203, 6153418462 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-114075 - Mar. 31) (BR. 36) S-3 BRE PROPERTIES INC /MD/, 44 MONTGOMERY ST, STE 3600, SAN FRANCISCO, CA, 94104-5525, 4154456530 - 0 ($700,000,000.00) Unallocated (Universal) Shelf, (File 333-114076 - Mar. 31) (BR. 08) S-8 AMDOCS LTD, SUITE 5, TOWER HILL HOUSE LE BORDAGE, ST PETER PORT, ISLAND OF GUERNSEY, X0, GY1 3QT, 011-44-1481-728444 - 0 ($159,120,000.00) Other, (File 333-114077 - Mar. 31) (BR. 03) S-3 VITAL IMAGES INC, 3300 FERNBROOK LANE N, #200, PLYMOUTH, MN, 55447-5341, 7638524100 - 0 ($7,345,970.00) Equity, (File 333-114078 - Mar. 31) (BR. 03) F-3 AMDOCS LTD, SUITE 5, TOWER HILL HOUSE LE BORDAGE, ST PETER PORT, ISLAND OF GUERNSEY, X0, GY1 3QT, 011-44-1481-728444 - 0 ($14,871,806.00) Equity, (File 333-114079 - Mar. 31) (BR. 03) S-8 NBC CAPITAL CORP, NBC PLZ, P O BOX 1187, STARKVILLE, MS, 39759, 6013431341 - 669,840 ($17,181,396.00) Equity, (File 333-114080 - Mar. 31) (BR. 07) S-8 NEXPRISE INC, 5950 LA PLACE COURT, SUITE 200, CARLSBAD, CA, 92008, (760) 804-1333 - 0 ($819,208.25) Equity, (File 333-114081 - Mar. 31) (BR. 03) SB-2 MEDIAWORX INC, 1895 PRESTON WHITE DRIVE, SUITE 250, RESTON, VA, 20191, 7038606580 - 18,229,762 ($24,610,178.70) Other, (File 333-114082 - Mar. 31) (BR. 05) S-8 IONICS INC, 65 GROVE ST, WATERTOWN, MA, 02172, 6179262500 - 1,200,000 ($32,520,000.00) Equity, (File 333-114083 - Mar. 31) (BR. 36) S-3 YAK COMMUNICATIONS INC, 55 TOWN CENTRE COURT, STE 610, TORONTO ONTARIO, A6, M1P 4X4, 416-296-7111 - 1,837,050 ($18,774,651.00) Equity, (File 333-114084 - Mar. 31) (BR. 37) S-8 TAYLOR DEVICES INC, 90 TAYLOR DR, P O BOX 748, NORTH TONAWANDA, NY, 14120, 7166940800 - 295,000 ($669,650.00) Equity, (File 333-114085 - Mar. 31) (BR. 06) S-8 TRANSNET CORP, 45 COLUMBIA RD, SOMERVILLE, NJ, 08876-3576, 9082530500 - 500,000 ($790,000.00) Equity, (File 333-114086 - Mar. 31) (BR. 03) S-4 CASCADE FINANCIAL CORP, 2828 COLBY AVE, EVERETT, WA, 98201, 4252598551 - 0 ($2,819,203.00) Equity, (File 333-114087 - Mar. 31) (BR. 07) S-3 REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121, 2066742700 - 0 ($8,258,373.00) Equity, (File 333-114088 - Mar. 31) (BR. 03) S-1 APTIMUS INC, 95 S JACKSON, STE 300, SEATTLE, WA, 98104, 2064419100 - 1,340,669 ($7,038,512.00) Equity, (File 333-114089 - Mar. 31) (BR. 08) S-8 STARBUCKS CORP, P O BOX 34067, SEATTLE, WA, 98124-1067, 2064471575 - 0 ($25,966,500.00) Equity, (File 333-114090 - Mar. 31) (BR. 05) S-3 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 0 ($750,000,000.00) Other, (File 333-114091 - Mar. 31) (BR. 07) SB-2 URANIUM POWER CORP, 206-475 HOWE ST, VANCOUVER BC, A1, 00000, 6046858355 - 9,937,777 ($472,000.00) Equity, (File 333-114092 - Mar. 31) (BR. 04) S-1 RECRUITSOFT INC, 595 MARKET STREET 25TH FLR, SAN FRANCISCO, CA, 94105-1902, 4155385171 - 0 ($115,000,000.00) Equity, (File 333-114093 - Mar. 31) (BR. ) S-8 MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152, 4107717301 - 0 ($220,796,000.00) Equity, (File 333-114094 - Mar. 31) (BR. 04) S-3 GENERAL ELECTRIC CAPITAL CORP, 260 LONG RIDGE RD, STAMFORD, CT, 06927, 2033574000 - 0 ($30,000,000,000.00) Other, (File 333-114095 - Mar. 31) (BR. 07) S-3 KROLL INC, 900 THIRD AVENUE, NEW YORK, NY, 10022, (212) 593-1000 - 4,991,087 ($175,000,000.00) Debt Convertible into Equity, (File 333-114096 - Mar. 31) (BR. 08) S-8 SENECA FOODS CORP /NY/, 3736 SOUTH MAIN STREET, MARION, NY, 14534, 315 926 8100 - 50,000 ($947,000.00) Equity, (File 333-114097 - Mar. 31) (BR. 04) S-2 ANTARES PHARMA INC, 707 EAGLEVIEW BOULEVARD, SUITE 414, EXTON, PA, 19341, 610-458-6200 - 21,701,994 ($31,250,871.36) Equity, (File 333-114098 - Mar. 31) (BR. 36) F-3 TRINITY BIOTECH PLC, IDA BUSINESS PARK, BRAY, CO WICKLOW, IRELAND, DUBLIN IRELAND, L2, 18, 01135312955111 - 1,562,500 ($5,906,250.00) Equity, (File 333-114099 - Mar. 31) (BR. 01) S-8 PLUMTREE SOFTWARE INC, 500 SANSOME STREET, SAN FRANCISCO, CA, 94111, 4152638900 - 0 ($1,007,500.00) Equity, (File 333-114100 - Mar. 31) (BR. 03) S-4 BRISTOL MYERS SQUIBB CO, 345 PARK AVE, NEW YORK, NY, 10154, 2125464000 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-114101 - Mar. 31) (BR. 01) S-4 TABLETOP HOLDINGS INC, 10 S RIVERSIDE PLAZA SUITE 850, CHICAGO, IL, 60606, 3128406000 - 0 ($79,700,000.00) Other, (File 333-114102 - Mar. 31) (BR. ) S-8 GLOBAL INTERNET COMMUNICATIONS INC, 650,000 ($1,982,500.00) Equity, (File 333-114103 - Mar. 31) (BR. 03) S-8 BSQUARE CORP /WA, 3150 139TH AVE SE SUITE 500, BELLEVUE, WA, 98005, 4255195900 - 0 ($1,404,788.75) Equity, (File 333-114104 - Mar. 31) (BR. 08) S-4 MERISANT CO, 10 S RIVERSIDE PLAZA SUITE 850, CHICAGO, IL, 60606, 3128406000 - 0 ($225,000,000.00) Other, (File 333-114105 - Mar. 31) (BR. ) N-2 NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3179178146 - 40 ($1,000,000.00) Equity, (File 333-114106 - Mar. 31) (BR. 18) S-3 BRISTOL MYERS SQUIBB CO, 345 PARK AVE, NEW YORK, NY, 10154, 2125464000 - 0 ($1,200,000,000.00) Debt Convertible into Equity, (File 333-114107 - Mar. 31) (BR. 01) S-3 CARRIER ACCESS CORP, 5395 PEARL PARKWAY, BOULDER, CO, 80301, 3034425455 - 0 ($14,466,208.00) Equity, (File 333-114108 - Mar. 31) (BR. 37) S-2 PHOENIX FOOTWEAR GROUP INC, 5759 FLEET STREET, SUITE 220, CARLSBAD, CA, 92008, 760-602-9688 - 575,000 ($5,203,750.00) Equity, (File 333-114109 - Mar. 31) (BR. 02) S-8 CAREMARK RX INC, 3000 GALLERIA TOWER, STE 1000, BIRMINGHAM, AL, 35244, 2057338996 - 55,787,799 ($1,815,056,041.00) Equity, (File 333-114110 - Mar. 31) (BR. 01) N-2 CALAMOS GLOBAL TOTAL RETURN FUND, 1111 EAST WARRENVILLE ROAD, NAPERVILLE, IL, 60563-1493, 8003239943 - 1,000 ($15,000.00) Other, (File 333-114111 - Mar. 31) (BR. ) 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 ------------------------------------------------------------------------------------------------ 8X8 INC /DE/ DE X X 03/31/04 AAIPHARMA INC DE X X 03/30/04 ABM INDUSTRIES INC /DE/ DE X X 03/31/04 ACADIA REALTY TRUST MD X X 03/31/04 ACNB CORP PA X X 03/30/04 ACXIOM CORP DE X X X 03/31/04 ADVANCED FINANCIAL INC DE X X 03/24/04 AFFILIATED COMPUTER SERVICES INC DE X X 03/31/04 ALLEGIANCE TELECOM INC DE X X 03/30/04 ALLIANCE IMAGING INC /DE/ DE X X 03/30/04 ALLIED HOLDINGS INC GA X X 03/30/04 AMCAST INDUSTRIAL CORP OH X 03/30/04 AMEDISYS INC DE X X 03/29/04 AMERICA SERVICE GROUP INC /DE DE X X 03/30/04 AMERICAN BUSING CORP NV X 01/16/04 AMEND AMERICAN GREETINGS CORP OH X X 03/31/04 AMERICAN GREETINGS CORP OH X X 03/31/04 AMERICAN OIL & GAS INC NV X X 03/24/04 AMERON INTERNATIONAL CORP DE X 03/29/04 AMSURG CORP TN X 03/31/04 AMYLIN PHARMACEUTICALS INC DE X X 03/30/04 AMYLIN PHARMACEUTICALS INC DE X X 03/30/04 ARC COMMUNICATIONS INC NJ X X 03/31/04 ARCH COAL INC DE X X 03/30/04 ARCH WIRELESS INC DE X X 03/29/04 ASA INTERNATIONAL LTD DE X X 03/30/04 ASA INTERNATIONAL LTD DE X X 03/31/04 ASSET BACKED SECURITIES CORP DE X 03/31/04 ASTEA INTERNATIONAL INC DE X X 03/30/04 AVIATION GENERAL INC DE X 03/26/04 AZONIC CORP NV X X 03/29/04 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 03/31/04 BEACON POWER CORP DE X 03/30/04 BEAR STEARNS ASST ASSET BACKED CERTS DE X 03/25/04 BELLSOUTH CORP GA X 03/31/04 BEST BUY CO INC MN X X 03/31/04 BIOCRYST PHARMACEUTICALS INC DE X X 03/31/04 BLACKSTOCKS DEVELOPMENT CORP DE X 03/31/04 BLONDER TONGUE LABORATORIES INC DE X X 03/31/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 12/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 02/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 09/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 06/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 09/01/96 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 12/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 08/01/95 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 03/03/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 10/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 12/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 09/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 12/01/97 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/00 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/98 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/01 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/01/01 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 08/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 10/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 05/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 08/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/01/90 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 08/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 06/01/00 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 08/01/99 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/00 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/01/00 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 09/01/00 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 11/01/03 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/26/02 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/26/02 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 07/26/02 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/15/03 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 02/01/03 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 10/01/03 BRANTLEY CAPITAL CORP MD X X 03/31/04 BRE PROPERTIES INC /MD/ MD X X 03/26/04 BRISTOL MYERS SQUIBB CO DE X X 03/31/04 BRITESMILE INC UT X X X 03/15/04 AMEND BRONZE MARKETING INC X X 03/15/04 BROOKE CORP KS X X 03/31/04 BRT REALTY TRUST MA X X 03/31/04 BUSH INDUSTRIES INC DE X 03/30/04 CAP ROCK ENERGY CORP X X 03/30/04 CAPITAL AUTOMOTIVE REIT MD X 03/29/04 CARE CONCEPTS I INC /FL/ DE X X 03/29/04 CASTLE DENTAL CENTERS INC DE X X 03/30/04 CEDAR SHOPPING CENTERS INC MD X X 12/31/03 CENDANT CORP DE X X 03/31/04 CENTEX HOME EQUITY LOAN TRUST 2004-A DE X X 03/25/04 CHARTER COMMUNICATIONS INC /MO/ DE X X 03/31/04 CHARTER COMMUNICATIONS INC /MO/ DE X X 03/31/04 CHENIERE ENERGY INC DE X X 03/26/04 CHEROKEE INC DE X X X 03/31/04 CHILDREN S BOOKS & TOYS INC DE X X 03/19/04 CHINA NETTV HOLDINGS INC NV X 03/19/04 CHINA NETTV HOLDINGS INC NV X 03/30/04 CIRCUIT CITY STORES INC VA X 03/31/04 CITIGROUP MORTGAGE LOAN TRUST INC X 03/31/04 CLEAR CHANNEL COMMUNICATIONS INC TX X X 03/30/04 CNA FINANCIAL CORP DE X X 03/31/04 COGENT COMMUNICATIONS GROUP INC X X 03/30/04 COGENTRIX ENERGY INC NC X X 03/30/04 COLGATE PALMOLIVE CO DE X 03/31/04 COMMERCIAL CAPITAL BANCORP INC NV X X 03/31/04 COMMONWEALTH BIOTECHNOLOGIES INC VA X 03/31/04 COMMUNITY BANCORP /VT VT X 03/26/04 CONSOL ENERGY INC X 03/31/04 CPI AEROSTRUCTURES INC NY X X 03/30/04 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 03/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 03/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 04/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 05/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 06/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 07/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 08/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 09/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 10/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 11/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 12/25/01 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 01/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 02/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 03/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 04/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 05/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 06/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 07/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 08/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 09/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 10/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 11/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 12/25/02 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 01/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 02/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 03/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 04/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 05/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 06/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 07/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 08/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 09/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 10/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 11/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 12/25/03 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 01/25/04 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 02/25/04 CREDIT SUISSE FIR BO MO SEC CORP CDMC DE X 03/25/04 CROMPTON CORP DE X 03/31/04 CTS CORP IN X X 03/31/04 CV THERAPEUTICS INC DE X X 03/30/04 CWABS INC DE X X 03/31/04 CWABS INC DE X X 03/31/04 CWABS INC DE X X 03/31/04 CWABS INC DE X X 03/31/04 DAISYTEK INTERNATIONAL CORP /DE/ DE X X 03/17/04 DAN RIVER INC /GA/ GA X X X 03/31/04 DAVEL COMMUNICATIONS INC IL X X 03/31/04 DELCO REMY INTERNATIONAL INC DE X X 03/30/04 DELCO REMY INTERNATIONAL INC DE X X 03/31/04 DEUTSCHE COMMERCIAL MORTGAGE PASS THR DE X X 03/17/04 DIAMOND TRIUMPH AUTO GLASS INC DE X X 03/31/04 DOLLAR TREE STORES INC VA X 03/31/04 DOUBLE EAGLE PETROLEUM CO MD X X 03/31/04 DRACO HOLDING CORP/NV NV X X 03/29/04 AMEND DYNEGY INC /IL/ IL X X 03/31/04 ECOM ECOM COM INC FL X X 03/31/04 EDUCATION LOANS INC /DE DE X X 03/30/04 EGAN SYSTEMS INC DE X X 03/23/04 ENCORE ACQUISITION CO DE X X 03/30/04 ENGLOBAL CORP NV X X 03/30/04 EQUITY ONE INC MD X X 03/23/04 EVANS BOB FARMS INC DE X X X 03/30/04 EVCI CAREER COLLEGES INC DE X X 03/29/04 EVERLAST WORLDWIDE INC DE X 03/30/04 EXABYTE CORP /DE/ DE X 03/31/04 EXTENDED STAY AMERICA INC DE X X 03/31/04 FARMER MAC MORTGAGE SECURITIES CORP DE X 03/31/04 FC BANC CORP OH X X 03/31/04 FIRST CHARTER CORP /NC/ NC X 03/31/04 FIRST FEDERAL BANCSHARES INC /DE DE X X 03/31/04 FIRST HORIZON ASSET SECURITIES INC DE X X 03/30/04 FIRST SECURITY BANCORP INC /KY/ KY X 03/31/04 FIRST UNITED CORP/MD/ MD X X 03/30/04 FLANDERS CORP NC X 03/30/04 FLEETWOOD ENTERPRISES INC/DE/ DE X 03/30/04 FLEMING COMPANIES INC /OK/ OK X 01/21/04 FMC CORP DE X 03/29/04 FNB FINANCIAL CORP /PA/ PA X X 03/31/04 FREEPORT MCMORAN COPPER & GOLD INC DE X 03/30/04 FTS APPAREL INC CO X 03/15/04 GENCORP INC OH X X X 03/31/04 GENTEK INC DE X 03/31/04 GENTEK INC DE X 03/30/04 GEXA CORP TX X X 03/30/04 GOLF ROUNDS COM INC DE X X 09/19/03 AMEND GP STRATEGIES CORP DE X X 12/31/03 GRAHAM CORP DE X X 09/30/03 GREENWICH CAPITAL ACCEPTANCE INC DE X 03/31/04 GREENWICH CAPITAL ACCEPTANCE INC DE X 03/31/04 GREENWICH CAPITAL ACCEPTANCE INC DE X 03/31/04 GRILL CONCEPTS INC DE X X 03/29/04 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X X 03/25/04 GS MORTGAGE SECURITIES CORP DE X 03/30/04 HALLMARK FINANCIAL SERVICES INC NV X X X 03/30/04 HALLWOOD GROUP INC DE X X 03/29/04 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD X X 03/30/04 HERITAGE FINANCIAL HOLDING X X 02/12/04 AMEND HERSHA HOSPITALITY TRUST MD X X 03/29/04 HOST AMERICA CORP DE X X 03/19/04 HUNTSMAN INTERNATIONAL HOLDINGS LLC DE X X 03/30/04 HUNTSMAN INTERNATIONAL LLC DE X X 03/30/04 HUNTSMAN LLC UT X X 03/30/04 IDX SYSTEMS CORP VT X 03/30/04 IMH ASSETS CORP DE X X 03/30/04 IMMUCOR INC GA X X 02/29/04 IMPAC MORTGAGE HOLDINGS INC MD X 03/31/04 IMPAX LABORATORIES INC DE X 03/30/04 IMPERIAL INDUSTRIES INC DE X X 03/31/04 INDYMAC MBS INC X X 03/29/04 INSTAPAY SYSTEMS INC UT X X 03/12/04 AMEND INTEGRITY MEDIA INC DE X 03/30/04 INTERCHANGE FINANCIAL SERVICES CORP / NJ X 03/31/04 INTERNATIONAL MULTIFOODS CORP DE X X 03/31/04 INTERSTATE BAKERIES CORP/DE/ DE X X 03/31/04 INTERSTATE GENERAL CO L P DE X X 12/31/03 INTERTAN INC DE X 03/31/04 INTERWAVE COMMUNICATIONS INTERNATIONA X 03/31/04 ISRAMCO INC DE X X 03/31/04 ISRAMCO INC DE X X 03/25/04 ITRONICS INC TX X 03/24/04 JETBLUE AIRWAYS CORP DE X 03/24/04 JOHNSONDIVERSEY INC DE X X 03/31/04 JONES APPAREL GROUP INC PA X X 03/23/04 K FED BANCORP X X 03/31/04 KANSAS CITY SOUTHERN DE X X 03/31/04 KFX INC DE X X 03/30/04 KFX INC DE X X 03/31/04 KIRLIN HOLDING CORP DE X X 03/30/04 LABRANCHE & CO INC DE X X 03/30/04 LANGER INC NY X X 03/30/04 LASON INC DE X X 03/29/04 LAYNE CHRISTENSEN CO DE X X 03/31/04 LEVITT CORP X X 03/31/04 LINK ENERGY LLC DE X X 03/31/04 LMI AEROSPACE INC MO X X 03/30/04 LOEWS CORP DE X X 03/31/04 LONE STAR TECHNOLOGIES INC DE X 03/31/04 LYNX THERAPEUTICS INC DE X 03/31/04 MAGELLAN HEALTH SERVICES INC DE X X 03/30/04 MAGNITUDE INFORMATION SYSTEMS INC DE X 03/31/04 MANUGISTICS GROUP INC DE X 03/31/04 MARATHON OIL CORP DE X X 03/25/04 MARCONI CORP PLC X0 X 03/31/04 MASSEY ENERGY CO DE X X 03/31/04 MAXWELL TECHNOLOGIES INC DE X X 03/29/04 MAXWELL TECHNOLOGIES INC DE X X 03/30/04 AMEND MEADOWBROOK INSURANCE GROUP INC MI X X 03/30/04 MEADWESTVACO CORP DE X 03/31/04 MEDALLION FINANCIAL CORP DE X X 03/30/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/30/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/30/04 METROCALL HOLDINGS INC DE X X 03/28/04 METROCALL HOLDINGS INC DE X X X 03/28/04 METROMEDIA INTERNATIONAL GROUP INC DE X X 03/31/04 MGCC INVESTMENT STRATEGIES INC NV X X 03/16/04 MICRO COMPONENT TECHNOLOGY INC MN X X 02/17/04 MIIX GROUP INC DE X X X 03/31/04 MONMOUTH COMMUNITY BANCORP NJ X 03/26/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 03/31/04 MS STRUCTURED ASSET CORP CBT SERIES 2 DE X 03/25/04 MSC INDUSTRIAL DIRECT CO INC NY X X 03/30/04 MSC SOFTWARE CORP DE X 03/30/04 NATIONAL PENN BANCSHARES INC PA X X X 03/25/04 NATROL INC DE X X 03/31/04 NEORX CORP WA X X 03/29/04 NETWORK EQUIPMENT TECHNOLOGIES INC DE X 03/26/04 NEW MEDIA INC DE X 03/31/04 NEW MEDIA INC DE X 03/31/04 AMEND NEW WORLD PASTA CO DE X X 03/16/04 NEWALLIANCE BANCSHARES INC X 03/30/04 NORTEK HOLDINGS INC DE X 03/30/04 NORTEK INC DE X 03/30/04 NORTEK INC DE X 03/30/04 NORTH FORK BANCORPORATION INC DE X 03/31/04 NORTHEAST INDIANA BANCORP INC DE X X 03/31/04 OILGEAR CO WI X 03/30/04 OMNI ENERGY SERVICES CORP LA X 03/25/04 ON SEMICONDUCTOR CORP DE X 03/30/04 ON SEMICONDUCTOR CORP DE X X 03/30/04 ON SEMICONDUCTOR CORP DE X X 03/30/04 OPTICARE HEALTH SYSTEMS INC DE X X 03/30/04 ORCHID BIOSCIENCES INC X X 03/31/04 OXIS INTERNATIONAL INC DE X X 03/30/04 PACIFIC GAS & ELECTRIC CO CA X X 03/31/04 PACIFIC PREMIER BANCORP INC DE X 03/31/04 PATIENT INFOSYSTEMS INC DE X 03/31/04 PATRIOT NATIONAL BANCORP INC CT X X 03/31/04 PAXAR CORP NY X X 03/30/04 PENN AMERICA GROUP INC PA X 03/31/04 PG&E CORP CA X X 03/31/04 PHOENIX GROUP CORP DE X 03/31/04 PLAINS EXPLORATION & PRODUCTION CO DE X X 03/31/04 POLYMER GROUP INC DE X 03/11/04 POWERHOUSE TECHNOLOGIES GROUP INC DE X X 03/31/04 PPL CORP PA X 03/31/04 PRAECIS PHARMACEUTICALS INC DE X 03/31/04 PREMCOR INC DE X X 03/30/04 PREMIERWEST BANCORP OR X X 01/23/04 AMEND PROLONG INTERNATIONAL CORP NV X X 03/16/04 PULASKI FINANCIAL CORP DE X X 03/30/04 QLOGIC CORP DE X X 03/30/04 QUALITY DINING INC IN X 08/03/03 QUINTEK TECHNOLOGIES INC CA X 03/31/04 RADNOR HOLDINGS CORP DE X X 03/29/04 RAILAMERICA INC /DE DE X X 03/29/04 RAMP CORP DE X 03/31/04 REALNETWORKS INC WA X X 03/31/04 REFAC DE X X 03/30/04 REGAL BELOIT CORP WI X X 03/31/03 REGENCY CENTERS LP FL X 03/31/04 RENOVIS INC DE X X 03/30/04 RESIDENTIAL ASSET MORT PROD INC GMACM DE X 03/31/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/31/04 RESIDENTIAL ASSET SECURITIZATION TRUS X X 03/31/04 RESIDENTIAL ASSET SECURITIZATION TRUS X X 02/23/04 RETAIL VENTURES INC OH X X 03/31/04 ROYAL BANCSHARES OF PENNSYLVANIA INC PA X 03/31/04 SABRE HOLDINGS CORP DE X 03/31/04 SAVOY CAPITAL INVESTMENTS INC CO X 03/31/04 SCAN OPTICS INC DE X X 03/31/04 SENECA FOODS CORP /NY/ NY X 03/31/04 SENETEK PLC /ENG/ X X 03/30/04 SINOFRESH HEALTHCARE INC FL X X 03/31/04 SLM EDUCATION CREDIT FUNDING LLC X X 03/25/04 SMART VIDEO TECHNOLOGIES INC X 03/31/04 SOMERA COMMUNICATIONS INC DE X X 03/31/04 SPEAKING ROSES INTERNATIONAL INC NV X 03/31/04 SPECTRX INC DE X X 03/31/04 SPHERIX INC DE X 03/30/04 STERIS CORP OH X 03/29/04 STEWART & STEVENSON SERVICES INC TX X X 03/31/04 STRATASYS INC DE X X 02/20/04 STRUCTURED ASSET SECURITIES CORP DE X X 03/29/04 STRUCTURED ASSET SECURITIES CORP DE X 03/30/04 SYSTEMONE TECHNOLOGIES INC FL X X 03/25/04 TAIWAN FUND INC DE X 01/01/04 TECHLABS INC FL X X 03/09/04 TECHNOLOGY INVESTMENT CAPITAL CORP MD X X 03/31/04 TERRA INDUSTRIES INC MD X X 03/31/04 TERRA NITROGEN CO L P /DE DE X 03/31/04 THACKERAY CORP DE X 03/29/04 THAXTON GROUP INC SC X X 03/12/04 TIERONE CORP X X 03/31/04 TIMKEN CO OH X 03/30/04 TORVEC INC NY X 03/31/04 TOYOTA AUTO RECEIVABLES 2003 B OWNER DE X X 03/15/04 TRANS ENERGY INC NV X 12/31/03 TRANSGENOMIC INC DE X 03/30/04 TRANSTECH INDUSTRIES INC DE X 03/30/04 TRESTLE HOLDINGS INC DE X X 03/30/04 TRIDENT SYSTEMS INTERNATIONAL INC NV X 03/24/04 TRIPOS INC UT X 12/31/03 TRUE RELIGION APPAREL INC NV X X 03/29/04 UNIFIRST CORP MA X X 03/31/04 UNISOURCE ENERGY CORP AZ X X 03/25/04 UNITED MEDICORP INC DE X X X 03/30/04 UNITY WIRELESS CORP DE X 12/31/03 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE X 03/30/04 VAXGEN INC DE X X 03/30/04 VERINT SYSTEMS INC X X 03/31/04 VFINANCE INC DE X 03/30/04 VISTA GOLD CORP X X 03/30/04 WELLS REAL ESTATE INVESTMENT TRUST II MD X 03/31/04 WELLS REAL ESTATE INVESTMENT TRUST IN DE X 03/19/04 WESTPOINT STEVENS INC DE X 02/29/04 WFS FINANCIAL 2003 4 OWNER TRUST CA X X 03/22/04 WFS FINANCIAL 2003-1 OWNER TRUST CA X X 03/22/04 WFS FINANCIAL 2003-2 OWNER TRUST CA X X 03/22/04 WILLIAMS COMPANIES INC DE X 03/31/04 WILLIAMS INDUSTRIES INC VA X X 03/11/02 AMEND WILSHIRE OIL CO OF TEXAS DE X X 03/30/04 WINMILL & CO INC DE X 12/31/03 WORKFLOW MANAGEMENT INC DE X X 03/29/04 WRC MEDIA INC DE X X 03/30/04 WRIGHT MEDICAL GROUP INC DE X X X 03/25/04 XM SATELLITE RADIO HOLDINGS INC DE X X 03/29/04 XYNERGY CORP NV X X X 02/05/04 AMEND ZIMMER HOLDINGS INC DE X 10/02/03 AMEND ZONE 4 PLAY INC NV X 03/30/04 PEMCO AVIATION GROUP INC DE X X 03/31/04 SCHLOTZSKYS INC TX X 03/30/04 TOREADOR RESOURCES CORP DE X X 03/25/