SEC NEWS DIGEST Issue 2004-205 October 25, 2004 ENFORCEMENT PROCEEDINGS EMEX STOCK REGISTRATION REVOKED The registration of the stock of Emex Corporation (Emex) has been revoked. The revocation was ordered in an administrative proceeding before an administrative law judge. Emex, a bankrupt corporation in the process of liquidation, was purportedly in the gold mining and oil and gas business. Revoking the registration of its stock will help ensure that its corporate shell is not later put to an illicit use. Emex’s stock was registered with the Commission, but it did not file any annual or quarterly reports since the quarter ended Sept. 30, 2002. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. Accordingly, the law judge revoked the registration of its stock to serve the public interest and for the protection of investors. (Initial Decision No. 265; File No. 3-11683) IN THE MATTER OF PLATINUM INVESTMENT CORP. On October 22, an Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions By Default (Default Order) in the matter of Platinum Investment Corp. The Order Instituting Proceedings alleged that the U.S. District Court for the Southern District of New York permanently enjoined Respondents Platinum Investment Corporation (Platinum), Andrew Antonucci (Antonucci), and Mathew Beaulieu (Beaulieu) from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Default Order finds these allegations to be true and bars Antonucci and Beaulieu from association with any broker or dealer, and revokes the registration of Platinum as a broker or dealer. (Rel. 34-50581; File No. 3-11594) COMMISSION INSTITUTES CEASE-AND-DESIST PROCEEDINGS AGAINST HAWAIIAN AIRLINES FOR FAILING TO DISCLOSE ADVERSE FINANCIAL INFORMATION DURING TENDER OFFER On October 22, the Commission instituted cease-and-desist proceedings against Hawaiian Airlines, Inc. for failing to disclose important negative financial information to shareholders in a tender offer. The Commission found that during a June 2002 issuer tender offer in which Hawaiian repurchased $25 million in stock from its shareholders, Hawaiian’s chief executive officer and board learned that the company’s financial condition had significantly deteriorated, but failed to disclose the information to shareholders who were deciding whether or not to tender their shares. Hawaiian’s shareholders found the value of their stock significantly diminished when the negative financial information was made public. Within nine months after the tender offer, Hawaiian was in bankruptcy. The Commission found that Hawaiian initiated the $25 million self-tender offer in June 2002, shortly after the company received $25 million in payments from the federal government to compensate air carriers for losses related to the attacks of Sept. 11, 2001. Materials provided to shareholders represented that the tender offer was a prudent use of the company’s resources, and that the company would remain solvent following completion of the tender offer. According to the Commission, however, the company was experiencing a significant financial decline that was not disclosed to shareholders. Among other things, during the pendency of the tender offer Hawaiian revised its financial projections for 2002 from a $12 million operating profit to a $9.3 million operating loss. The Commission’s Order charged Hawaiian with violating Section 13(e)(1) of the Securities Exchange Act of 1934 and Rule 13(e)-4(j)(2) thereunder, which require a public company conducting a self-tender offer to disclose promptly any material changes in the information provided to securities holders. Without admitting or denying the Commission’s findings, Hawaiian consented to an order that it cease and desist from violating these provisions. (Rel. 34-50584; File No. 3- 11717) JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANTS WILLIAM HICKEY, SEAN OSBORNE AND JON SIMMS The Commission announced that on October 5 the U.S. District Court for the Southern District of Florida entered Judgments of Permanent Injunction and Other Relief (Judgments) against Defendants William J. Hickey (Hickey), Sean A. Osborne (Osborne) and Jon F. Simms (Simms), respectively. The Judgments, entered with the consent of Hickey, Osborne and Simms, without admitting or denying the allegations of the SEC’s complaint, enjoin them from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933. The Judgment against Simms also enjoins him from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to injunctive relief, the Judgments provide for disgorgement, prejudgment interest and the imposition of civil penalties in amounts to be reached by agreement of the parties and/or by the Court upon the SEC’s motion. [SEC v. Superior Opportunities, Inc., J.F. Simms & Co., LLC, William J. Hickey, Sean A. Osborne and Jon F. Simms, Case No. 04-80021-CIV-Hurley/Hopkins (SD Fla.)] (LR-18937) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT NEAL WADHWA The Commission announced that on October 14 the U.S. District Court for the Southern District of Florida entered a Judgment of Permanent Injunction and Other Relief (Judgment) against Defendant Neal R. Wadhwa (Wadhwa). The Judgment, entered with the consent of Wadhwa, without admitting or denying the allegations of the SEC’s complaint, enjoins him from violations of Section 17(a) of the Securities Act of 1934, Sections 15(c)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to injunctive relief, the Judgment provides for disgorgement, prejudgment interest and the imposition of a civil penalty in amounts to be reached by agreement of the parties and/or by the Court upon the SEC’s motion. [SEC v. Geek Securities, Inc., Geek Advisors, Inc., Kautilya “Tony” Sharma, and Neal R. Wadhwa, Case No. 04-80525-CIV- PAINE/JOHNSON (SD Fla.)] (LR-18938) SEC SUES PLATFORMS WIRELESS INTERNATIONAL CORP. AND FIVE OF ITS CURRENT AND FORMER OFFICERS AND DIRECTORS FOR FRAUD On October 21, the Commission filed a civil securities fraud action in the U.S. District Court for the Southern District of California against Platforms Wireless International Corp. and five of its current and former officers and directors, including: William C. Martin, Chairman of the Board and Chief Executive Officer; Charles B. Nelson, Chief Financial Officer; Robert D. Perry, the former President; Francois M. Draper, the former Chief Operations Officer; and Victor L. Ziller, the former Vice President-Brazil (Defendants). The Commission’s complaint alleges that the Defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder when they made materially false and/or misleading public statements in an effort to manipulate the public trading market for stock issued by Platforms. They issued a series of fraudulent press releases as part of a scheme to falsely portray Platforms’ business activities and support its stock price. Platforms claimed to have an aerial system for transmitting cellular telephone calls and other types of electronic data, using either fixed- wing aircraft or a blimp to carry transmission equipment. In reality Platforms never had a complete ARC System or the means to acquire one. The Commission’s complaint seeks injunctive relief, disgorgement and civil penalties from the Defendants. It also seeks to have the individuals permanently barred from serving as officers or directors of public companies or from participating in the offering of penny stock. [SEC v. Platforms Wireless International Corp., William C. Martin, Charles B. Nelson, Robert D. Perry, Francois M. Draper, and Victor L. Ziller, Civil Action No. 04 CV 2105 JM (AJB), USDC, SDCA] (LR-18939) HOLDING COMPANY ACT RELEASES ENTERGY CORPORATION, ET AL. A notice has been issued giving interested persons until Nov. 15, 2004, to request a hearing on a proposal by Entergy Corporation (Entergy), a registered holding company; Entergy Arkansas, Inc., Entergy Gulf States, Inc., Entergy Louisiana, Inc., Entergy Mississippi, Inc., and Entergy New Orleans, Inc., each a public utility subsidiary of Entergy; System Energy Resources, Inc. a generating company subsidiary of Entergy; Entergy Operations, Inc., a nuclear power plant subsidiary of Entergy; Entergy Services, Inc., a service company subsidiary of Entergy ; and Systems Fuels, Inc., a fuel supply subsidiary of four of the public utility subsidiaries, to engage, through Nov. 30, 2007, in a series of short- term financings, including the issuance of notes and commercial paper, participation in a money pool and the issuance of guarantees by Entergy. (Rel. 35-27903) ROCHESTER GAS & ELECTRIC CORPORATION A notice has been issued giving interested persons until Nov. 15, 2004, to request a hearing on a proposal by Rochester Gas & Electric Corporation (RG&E) a New York corporation and wholly owned subsidiary of RGS Energy Group, Inc., which is a wholly owned subsidiary of Energy East Corporation (Energy East), a registered holding company under the Act. RG&E seeks an order authorizing it to transfer by dividend up to $175 million to an associate company and to use the amount for the reduction of debt held by Energy East. (Rel. 35-27903) SELF-REGULATORY ORGANIZATIONS APPROVAL OF JOINT AMENDMENT NO. 13 The Commission approved an amendment to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage submitted by the American Stock Exchange, Boston Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, Pacific Exchange and Philadelphia Stock Exchange (File No. 4-429) relating to minimum size guarantees for Linkage orders.. Publication of the proposal is expected in the Federal Register during the week of October 25. (Rel. 34-50561) APPROVAL OF PROPOSED RULE CHANGES The Commission approved proposed rule changes, as amended, filed by the Boston Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, Pacific Exchange and Philadelphia Stock Exchange (SR-BSE-2004-14; SR-CBOE-2004-41; SR-ISE-2004-01; SR-PCX-2004-84; SR- Phlx-2004-16) relating to minimum size guarantees for Linkage orders. Publication of the proposal is expected in the Federal Register during the week of October 25. (Rel. 34-50562) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-PCX-2004-97) submitted by the Pacific Exchange extending its Automated Opening Rotation pilot program for six months. Publication of the proposal is expected in the Federal Register during the week of October 25. (Rel. 34-50579) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.001 par value, of CVF Technologies Corporation, effective at the opening of business on October 25. (Rel. 34-50582) 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: . F-1 RF ODYSSEY INC., 2035 KING VAUGHAN ROAD, MAPLE, A6, L6A 2A1, 1-866-824-8209 - 4,500,000 ($45,000.00) Equity, (File 333-119884 - Oct. 22) (BR. 36) F-3 TOP IMAGE SYSTEMS LTD, 2 HABARZEL ST, TEL AVIV 69710 ISRA, L3, 00000, 01197236487722 - 6,125,713 ($18,775,310.00) Other, (File 333-119885 - Oct. 22) (BR. 03) S-8 DARK DYNAMITE, INC, 61 WEST 100 SOUTH, SECOND FLOOR STUDIO, SALT LAKE CITY, UT, 84101, 801-575-8073 - 1,000,000,000 ($400,000.00) Equity, (File 333-119886 - Oct. 22) (BR. 02) S-8 COMMUNITY BANK SYSTEM INC, 5790 WIDEWATERS PKWY, DEWITT, NY, 13214, 8007242262 - 0 ($51,020,000.00) Equity, (File 333-119887 - Oct. 22) (BR. 07) S-3 PEOPLES CHOICE HOME LOAN SECURITIES CORP, 7515 IRVINE CENTER DR, IRVINE, CA, 92618, 9492651840 - 0 ($2,500,000,000.00) Mortgage Backed Securities, (File 333-119899 - Oct. 22) (BR. 05) S-8 AUTOCARBON INC, 2129309700 - 1,100,000 ($55,000.00) Equity, (File 333-119900 - Oct. 22) (BR. 05) S-4 NORTEK INC, 0 ($625,000,000.00) Debt Convertible into Equity, (File 333-119902 - Oct. 22) (BR. 06) SB-2 IBSG INTERNATIONAL INC, 1132 CELEBRATION BLVD., CELEBRATION, FL, 34747, 321 939 6321 - 7,578,729 ($3,940,939.00) Equity, (File 333-119903 - Oct. 22) (BR. 36) S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 0 ($17,971,097.55) Equity, (File 333-119904 - Oct. 22) (BR. 37) S-8 SOLOMON TECHNOLOGIES INC, 7375 BENEDICT AVENUE, BENEDICT, MD, 20612, 3012744479 - 2,000,000 ($1,500,000.00) Equity, (File 333-119905 - Oct. 22) (BR. 36) S-8 TECHLITE INC, 6106 EAST 32ND PLACE, SUITE 101, TULSA, OK, 74135, 9186641441 - 5,000,000 ($550,000.00) Debt Convertible into Equity, (File 333-119906 - Oct. 22) (BR. 36) S-8 DELTA MUTUAL INC, 111 NORTH BRANCH STREET, SELLERSVILLE, PA, 18960, 2152582800 - 0 ($2,600,000.00) Equity, (File 333-119907 - Oct. 22) (BR. 08) S-1 Hiland Partners, LP, 205 WEST MAPLE, SUITE 1100, ENID, OK, 73701, 580-242-6040 - 0 ($48,300,000.00) Limited Partnership Interests, (File 333-119908 - Oct. 22) (BR. 04) S-3 WESCO INTERNATIONAL INC, COMMERCE COURT 4 STATION SQUARE, STE 700, PITTSBURGH, PA, 15219, 4124542200 - 0 ($400,000,000.00) Unallocated (Universal) Shelf, (File 333-119909 - Oct. 22) (BR. 36) S-8 ISTA PHARMACEUTICALS INC, 15279 ALTON PARKWAY 100, IRVINE, CA, 92618, 9497886000 - 0 ($21,270,188.52) Equity, (File 333-119910 - Oct. 22) (BR. 01) S-8 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 2,500,000 ($2,967,791.00) Equity, (File 333-119911 - Oct. 22) (BR. 36) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 3,297,953 ($3,726,687.00) Debt Convertible into Equity, (File 333-119912 - Oct. 22) (BR. 36) S-8 TREATY OAK BANCORP INC, 0 ($4,165,000.00) Equity, (File 333-119914 - Oct. 22) (BR. 07) SB-2 CANCER THERAPEUTICS INC, 210 WEST HANSELL ST., THOMASVILLE, GA, 31792, 229-403-1282 - 4,097,688 ($409,769.00) Equity, (File 333-119915 - Oct. 22) (BR. ) S-8 PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209, 2058774400 - 2,500,000 ($86,750,000.00) Equity, (File 333-119917 - Oct. 22) (BR. 01) S-8 AXIA GROUP, INC., 1324 N. MAGNOLIA AVE., EL CAJON, CA, 92020, 6194441919 - 500,000,000 ($30,000,000.00) Equity, (File 333-119918 - Oct. 22) (BR. 08) S-3 AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-119921 - Oct. 22) (BR. 02) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off- Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 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 DATE COMMENT ------------------------------------------------------------------------------------------------ @ROAD, INC CA 7.01 10/22/04 1ST CENTENNIAL BANCORP CA 2.02,9.01 10/22/04 1ST INDEPENDENCE FINANCIAL GROUP, INC DE 1.01,9.01 10/22/04 21ST CENTURY INSURANCE GROUP CA 2.02 10/21/04 99 CENT STUFF INC FL 2.02,9.01 10/21/04 99 CENTS ONLY STORES CA 5.02,9.01 10/22/04 AAIPHARMA INC DE 1.01,8.01,9.01 10/22/04 AAMES FINANCIAL CORP/DE DE 8.01,9.01 10/18/04 AAMES FINANCIAL CORP/DE DE 1.01 10/21/04 ABM INDUSTRIES INC /DE/ DE 1.01 10/18/04 ABRAXAS PETROLEUM CORP NV 7.01,9.01 10/22/04 ACTION PRODUCTS INTERNATIONAL INC FL 2.02,9.01 10/20/04 ADESA INC 2.02,9.01 10/21/04 ADVANCED MICRO DEVICES INC DE 8.01,9.01 10/22/04 AETRIUM INC MN 2.02,9.01 10/19/04 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 10/21/04 ALICO INC FL 8.01 10/08/04 ALLEGHENY ENERGY INC MD 7.01 10/22/04 ALLETE INC MN 2.02,5.02 10/20/04 ALLIANCE GAMING CORP NV 2.02 10/21/04 ALLIED CAPITAL CORP MD 2.02 10/22/04 ALPHA SPACECOM INC CO 5.02 10/15/04 AMEREN CORP MO 2.02,9.01 10/22/04 AMERICAN EXPRESS CO NY 7.01 10/22/04 AMERICAN FINANCIAL REALTY TRUST 7.01 10/22/04 AMERICAN TOWER CORP /MA/ DE 1.01,9.01 10/18/04 AMERIQUEST MORTGAGE SECURITIES INC. A DE 8.01,9.01 10/07/04 AMERIQUEST MORTGAGE SECURITIES INC. A DE 2.01,9.01 10/07/04 APPLIED DIGITAL SOLUTIONS INC MO 1.01,3.02,9.01 10/21/04 APRIA HEALTHCARE GROUP INC DE 2.02,7.01 10/21/04 ARADIGM CORP CA 2.02,9.01 10/21/04 ARGONAUT TECHNOLOGIES INC DE 3.01 10/19/04 ARIZONA PUBLIC SERVICE CO AZ 2.02,7.01,9.01 09/30/04 ARTISTDIRECT INC DE 5.02,9.01 10/22/04 ASCENDANT SOLUTIONS INC DE 8.01 10/20/04 ASSET BACKED FUNDING CORP DE 8.01,9.01 10/22/04 ATLANTIS BUSINESS DEVELOPMENT CORP DE 5.02 10/08/04 AMEND ATMOS ENERGY CORP TX 1.01,7.01,9.01 10/18/04 ATMOS ENERGY CORP TX 9.01 09/30/04 AMEND ATRIUM COMPANIES INC DE 4.01,9.01 10/18/04 AUTO UNDERWRITERS OF AMERICA, INC. CA 4.01,9.01 09/17/04 AUTOBYTEL INC DE 2.01,8.01,9.01 10/21/04 AVADO BRANDS INC GA 1.01,9.01 10/22/04 AVALONBAY COMMUNITIES INC MD 2.02 10/21/04 AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 10/21/04 BAD TOYS INC NV 2.01,9.01 08/09/04 BAIRNCO CORP /DE/ DE 2.02,9.01 10/02/04 Banc of America Funding Corp. Mortgag DE 8.01,9.01 10/20/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 10/21/04 BANK MUTUAL CORP WI 2.02 10/20/04 BANK OF SOUTH CAROLINA CORP SC 2.02 10/21/04 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 10/22/04 BAR HARBOR BANKSHARES ME 2.02 10/22/04 BEACON ROOFING SUPPLY INC 5.02,9.01 10/21/04 BEHRINGER HARVARD REIT I INC MD 9.01 10/21/04 AMEND BELO CORP DE 2.02,9.01 10/22/04 BENCHMARK ELECTRONICS INC TX 2.02,9.01 10/21/04 BERKSHIRE HILLS BANCORP INC 7.01,9.01 10/22/04 BEST BUY CO INC MN 7.01 10/20/04 BEVERLY NATIONAL CORP MA 8.01,9.01 10/22/04 BIMINI MORTGAGE MANAGEMENT INC MD 5.02 10/19/04 BIMS RENEWABLE ENERGY INC FL 4.01 10/18/04 BIOSOURCE INTERNATIONAL INC DE 2.02,9.01 10/22/04 BLACK & DECKER CORP MD 7.01,9.01 10/21/04 BLACKHAWK BANCORP INC WI 8.01,9.01 10/22/04 BLAIR CORP DE 2.02,7.01,9.01 09/30/04 BLOCKBUSTER INC DE 3.03 10/22/04 BNCCORP INC DE 2.02 09/30/04 BOUNDLESS MOTOR SPORTS RACING INC CO 9.01 08/06/04 AMEND BPK RESOURCES INC NV 2.01,9.01 07/20/04 AMEND BRADLEY PHARMACEUTICALS INC DE 9.01 08/10/04 AMEND BRANDPARTNERS GROUP INC DE 4.01,9.01 10/22/04 BRANDYWINE OPERATING PARTNERSHIP LP / DE 1.02,8.01,9.01 10/19/04 BRANDYWINE REALTY TRUST MD 1.02,8.01,9.01 10/19/04 BROOKE CORP KS 2.02,9.01 10/22/04 BROWN FORMAN CORP DE 1.01,7.01,9.01 10/20/04 BRYN MAWR BANK CORP PA 2.02,9.01 10/21/04 C-CHIP TECHNOLOGIES CORP NV 5.02 10/21/04 C-COR INC PA 2.02,9.01 10/21/04 C-COR INC PA 1.01,3.02,9.01 10/20/04 CALGON CARBON CORPORATION DE 2.02 10/21/04 CALIFORNIA PIZZA KITCHEN INC CA 2.02,9.01 10/21/04 CAPSTEAD MORTGAGE CORP MD 2.02,9.01 10/21/04 CDMI PRODUCTIONS INC NY 4.01,5.02,9.01 10/18/04 CENTRAL COAST BANCORP CA 2.02,9.01 09/30/04 CENTRUE FINANCIAL CORP DE 2.02,8.01,9.01 10/21/04 CEPHALON INC DE 2.01,9.01 08/12/04 AMEND CERNER CORP /MO/ DE 2.02,9.01 10/20/04 CFS BANCORP INC DE 2.02,2.06,9.01 10/21/04 CH ENERGY GROUP INC NY 2.02,7.01,9.01 09/30/04 CHAMPION ENTERPRISES INC MI 2.02,9.01 10/21/04 CHAMPION ENTERPRISES INC MI 8.01,9.01 10/21/04 CHARTER COMMUNICATIONS INC /MO/ DE 5.02,5.03,9.01 10/21/04 CHARYS HOLDING CO INC 9.01 08/08/04 AMEND CHAUS BERNARD INC NY 5.02 10/18/04 CHINA FUND INC MD 9.01 09/01/04 CHROMAVISION MEDICAL SYSTEMS INC DE 2.02,9.01 10/21/04 CHURCHILL DOWNS INC KY 2.02,9.01 10/20/04 CIRCUIT CITY STORES INC VA 1.01,9.01 10/22/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY 8.01 10/21/04 CITIGROUP INC DE 8.01 10/21/04 CITIZENS FINANCIAL SERVICES INC PA 8.01,9.01 09/30/04 CLAIBORNE LIZ INC DE 1.01,5.02,9.01 10/18/04 CNA FINANCIAL CORP DE 1.01,5.02,9.01 10/22/04 CNB FINANCIAL CORP/PA PA 2.02,9.01 10/21/04 COBIZ INC CO 2.02,9.01 10/21/04 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 10/20/04 CODORUS VALLEY BANCORP INC PA 2.02,9.01 10/20/04 COLLEGIATE PACIFIC INC DE 2.02,9.01 10/22/04 COLONIAL COMMERCIAL CORP NY 5.02,9.01 10/19/04 COLONY BANKCORP INC GA 5.02,9.01 10/19/04 COMMERCE GROUP INC /MA MA 2.02 09/30/04 COMMUNITY BANCORP INC DE 2.02,9.01 10/21/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE 1.01,9.01 10/18/04 COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 10/21/04 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 10/22/04 CONMED CORP NY 2.02,9.01 10/21/04 CONSOLIDATED EDISON INC NY 2.02,8.01,9.01 10/21/04 CONSORTIUM SERVICE MANAGEMENT GROUP I TX 8.01 08/24/04 Cord Blood America, Inc. FL 2.04 10/21/04 CORPORATE REALTY INCOME FUND I L P DE 2.01,9.01 10/18/04 CRANE CO /DE/ DE 1.01,2.02,2.03,7.01,8.01,9.01 10/21/04 CRAY INC WA 5.02 10/20/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/22/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 9.01 10/22/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 9.01 10/22/04 CYTEC INDUSTRIES INC/DE/ DE 2.02 10/21/04 D&E COMMUNICATIONS INC PA 4.02 10/18/04 DATAKEY INC MN 5.02,8.01 10/20/04 DATASCENSION INC NV 5.03,8.01 09/30/04 DESIGN WITHIN REACH INC DE 2.02,9.01 10/22/04 DEUTSCHE MORTGAGE & ASSET RECEIVING C DE 8.01,9.01 10/22/04 DGSE COMPANIES INC NV 9.01 10/14/04 AMEND DIGITAL FUSION INC/NJ/ DE 8.01 10/21/04 DIGITAL RECORDERS INC NC 1.01,5.02,9.01 10/21/04 DIRECTV GROUP INC DE 2.06 10/18/04 DIVERSA CORP DE 2.02 10/20/04 DIVERSA CORP DE 5.02,9.01 10/21/04 DOLLAR GENERAL CORP TN 7.01,9.01 10/22/04 DONEGAL GROUP INC DE 2.02,9.01 10/22/04 DOWNEY FINANCIAL CORP DE 8.01,9.01 08/21/04 DRIL-QUIP INC DE 1.01,9.01 10/22/04 DURECT CORP DE 8.01,9.01 10/22/04 DUSA PHARMACEUTICALS INC NJ 8.01,9.01 10/22/04 DYAX CORP DE 2.02,9.01 10/22/04 DYNACQ HEALTHCARE INC DE 2.04 10/06/04 AMEND EDEN ENERGY CORP NV 4.01,9.01 10/20/04 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 10/22/04 ELAMEX SA DE CV 9.01 10/21/04 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 10/22/04 ENDOCARDIAL SOLUTIONS INC DE 2.02,5.02,9.01 10/20/04 ENTERGY CORP /DE/ DE 7.01,9.01 10/22/04 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 4.01,9.01 09/15/04 ENZON PHARMACEUTICALS INC DE 8.01,9.01 10/22/04 ESCALADE INC IN 2.02,9.01 10/22/04 EUREKA FINANCIAL CORP 2.02,9.01 10/22/04 EUREKA FINANCIAL CORP 8.01,9.01 10/22/04 EVERGREENBANCORP INC WA 8.01,9.01 10/22/04 EXPRESSJET HOLDINGS INC DE 7.01 10/21/04 EYETECH PHARMACEUTICALS INC DE 7.01 10/21/04 FAIRPOINT COMMUNICATIONS INC DE 5.02 10/20/04 FARADAY FINANCIAL INC DE 4.01,9.01 01/14/04 FARMERS & MERCHANTS BANCORP INC OH 2.02,9.01 10/20/04 FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 10/22/04 FEDERAL MOGUL CORP MI 2.02,9.01 10/22/04 FIDELITY NATIONAL FINANCIAL INC /DE/ DE 2.02,9.01 10/21/04 FIFTH THIRD AUTO TRUST 2004-A 8.01,9.01 10/20/04 FINISH LINE INC /IN/ IN 8.01,9.01 10/21/04 FIRST ADVANTAGE CORP DE 1.01,2.01,9.01 10/11/04 AMEND FIRST BANCORP /NC/ NC 2.02,9.01 10/21/04 FIRST CITIZENS BANCORPORATION INC SC 2.02,7.01,9.01 10/21/04 FIRST FARMERS & MERCHANTS CORP TN 2.02,9.01 10/22/04 FIRST FEDERAL CAPITAL CORP WI 8.01,9.01 10/22/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 10/21/04 FIRST INDIANA CORP IN 1.01,9.01 10/20/04 FIRST M&F CORP/MS MS 2.02,9.01 10/20/04 FIRST MARINER BANCORP MD 1.01,2.02,2.03,9.01 09/20/04 FIRST MIDWEST FINANCIAL INC DE 2.02,9.01 10/22/04 FIRST RELIANCE BANCSHARES INC SC 2.02 10/21/04 FIRST UNITED CORP/MD/ MD 5.02 09/15/04 AMEND FISERV INC WI 2.02,9.01 10/21/04 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 10/20/04 FLUSHING FINANCIAL CORP DE 5.02,8.01,9.01 10/18/04 FLUSHING FINANCIAL CORP DE 2.02,9.01 09/30/04 FOOTHILL INDEPENDENT BANCORP DE 2.02,9.01 10/20/04 FORCE PROTECTION INC CO 8.01 10/21/04 Ford Credit Auto Owner Trust 2004-A DE 8.01,9.01 09/30/04 FORTUNE BRANDS INC DE 2.02,9.01 10/22/04 FRANKFORT FIRST BANCORP INC DE 2.02,9.01 10/21/04 FRIENDLY ICE CREAM CORP MA 5.02 10/19/04 GEHL CO WI 2.02,9.01 10/22/04 GENE LOGIC INC DE 2.02,9.01 10/22/04 GENERAL BINDING CORP DE 2.02 10/21/04 GENWORTH FINANCIAL INC DE 2.02,9.01 10/21/04 GEVITY HR INC FL 2.02,9.01 10/22/04 GFY FOODS INC NV 3.02,8.01 10/08/04 GLENAYRE TECHNOLOGIES INC DE 5.02 10/18/04 GLOBAL EPOINT INC NV 5.02 10/18/04 GOAMERICA INC DE 5.02,8.01,9.01 10/21/04 GOLD BANC CORP INC KS 2.02,8.01,9.01 10/21/04 GOODRICH CORP NY 1.01 10/18/04 GoRemote Internet Communications, Inc DE 4.01,9.01 10/11/04 AMEND GREAT PLAINS ENERGY INC MO 2.02,9.01 10/21/04 GREENFIELD ONLINE INC DE 2.01,9.01 10/21/04 GRILL CONCEPTS INC DE 4.01,9.01 10/18/04 GS MORTGAGE SECURITIES CORP DE 8.01 10/21/04 HANMI FINANCIAL CORP DE 2.02,9.01 10/21/04 HarborView Mortgage Loan Trust 2004-3 DE 8.01 10/19/04 HarborView Mortgage Loan Trust 2004-7 DE 8.01,9.01 10/19/04 HARD ROCK HOTEL INC NV 2.02 10/19/04 HCA INC/TN DE 2.02,7.01,9.01 10/22/04 HEALTH CARE REIT INC /DE/ DE 8.01 10/21/04 HELIX TECHNOLOGY CORP DE 2.02,9.01 10/01/04 HERITAGE CAPITAL GROUP, INC. DE 5.01,5.02 10/18/04 HEXCEL CORP /DE/ DE 2.02,7.01,9.01 10/22/04 HMI INDUSTRIES INC DE 4.02 10/19/04 HOLLYWOOD CASINO SHREVEPORT LA 1.01,3.02,3.03,9.01 10/18/04 HOME LOAN FINANCIAL CORP OH 2.02,9.01 10/18/04 HOME PRODUCTS INTERNATIONAL INC DE 7.01,8.01 10/20/04 HOMEBANC CORP GA 5.02,9.01 10/21/04 Huron Consulting Group Inc. DE 8.01,9.01 10/22/04 IC ISAACS & CO INC DE 1.01,5.02,9.01 10/19/04 ICO INC TX 5.04,9.01 10/21/04 ICOS CORP / DE DE 2.02 10/21/03 IDEXX LABORATORIES INC /DE DE 2.02,9.01 10/22/04 ILX RESORTS INC AZ 2.02,9.01 10/22/04 IMPERIAL PETROLEUM INC NV 1.01,9.01 10/20/04 INLAND REAL ESTATE CORP MD 1.01,8.01,9.01 10/22/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD 2.01,9.01 10/18/04 INSIGNIA SOLUTIONS PLC 1.01,3.02,9.01 10/18/04 INSTEEL INDUSTRIES INC NC 2.02 10/22/04 INSURANCE AUTO AUCTIONS, INC IL 2.02,9.01 10/22/04 INTEGRAMED AMERICA INC DE 7.01,9.01 10/22/04 INTEGRATED BIOPHARMA INC DE 7.01,9.01 10/22/04 INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,7.01,9.01 10/21/04 INTEGRITY BANCSHARES INC GA 2.01,9.01 10/22/04 INTEREP NATIONAL RADIO SALES INC NY 4.01 10/21/04 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,2.05,7.01,9.01 10/22/04 INTERSIL CORP/DE DE 2.02,7.01,9.01 10/22/04 AMEND ISOLAGEN INC DE 7.01,9.01 10/20/04 ISTA PHARMACEUTICALS INC CA 2.02,9.01 10/20/04 IT&E INTERNATIONAL GROUP 1.01,3.02,9.01 10/18/04 JACKSONVILLE BANCORP INC IL 4.01,9.01 10/19/04 JACOBS ENTERTAINMENT INC DE 2.06,9.01 10/20/04 JANUS CAPITAL GROUP INC DE 1.01,2.03 10/20/04 KANSAS GAS & ELECTRIC CO /KS/ KS 8.01 10/22/04 KENTUCKY UTILITIES CO KY 2.03,9.01 10/20/04 KRONOS WORLDWIDE INC 7.01,9.01 10/21/04 LADISH CO INC WI 2.02,9.01 10/21/04 LAS VEGAS SANDS INC NV 8.01,9.01 10/21/04 LATTICE SEMICONDUCTOR CORP DE 2.02 10/21/04 Lehman Home Equity Loan Trust 2004-3 DE 8.01 10/15/04 LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 10/20/04 LINCOLN BANCORP /IN/ IN 2.02,9.01 10/19/04 LNB BANCORP INC OH 2.02,9.01 10/19/04 LONG BEACH SECURITIES CORP DE 8.01,9.01 10/21/04 LOOKSMART LTD DE 9.01 10/22/04 LUFKIN INDUSTRIES INC TX 2.02,9.01 10/20/04 LUMINEX CORP DE 1.01,5.02,9.01 10/22/04 MACROMEDIA INC DE 5.03,9.01 10/18/04 MAIR HOLDINGS INC MN 1.01,9.01 10/21/04 MAJESCO HOLDINGS INC DE 5.02 10/18/04 MAJESCO HOLDINGS INC DE 8.01,9.01 10/22/04 MAJESCO HOLDINGS INC DE 8.01,9.01 08/22/04 AMEND MANOR CARE INC DE 2.02,9.01 10/22/04 MARINER HEALTH CARE INC DE 1.01,9.01 10/21/04 MARSHALL & ILSLEY CORP/WI/ WI 1.01,5.02,9.01 08/26/04 AMEND MASTEC INC FL 5.02,9.01 10/19/04 MASTR Asset Securitization Trust 2004 DE 8.01,9.01 10/22/04 MATTSON TECHNOLOGY INC DE 2.02,9.01 10/20/04 McAfee, Inc. DE 2.05 09/17/04 MCKESSON CORP DE 1.01,3.03,9.01 10/22/04 MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 10/21/04 MEDICAL DISCOVERIES INC UT 1.01,3.02,7.01,9.01 10/18/04 MEDIMMUNE INC /DE DE 7.01,8.01,9.01 10/22/04 MEDITECH PHARMACEUTICALS INC NV 3.03,5.01,9.01 10/22/04 MERCANTILE BANK CORP MI 1.01,9.01 10/18/04 MERCHANTS BANCSHARES INC DE 2.02,9.01 10/21/04 MERCK & CO INC NJ 8.01,9.01 10/22/04 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 10/15/04 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 10/15/04 MERRILL LYNCH DEPOSITOR INC PUBLIC ST DE 8.01,9.01 10/15/04 MERRILL MERCHANTS BANCSHARES INC ME 2.02,9.01 10/22/04 MFA MORTGAGE INVESTMENTS MD 1.01,9.01 10/21/04 MGP INGREDIENTS INC KS 7.01,9.01 10/21/04 MID-STATE BANCSHARES CA 2.02,9.01 10/21/04 MIKOHN GAMING CORP NV 8.01,9.01 10/21/04 MILACRON INC DE 5.04,9.01 10/22/04 MUELLER PAUL CO MO 9.01 09/30/04 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 10/21/04 MYERS INDUSTRIES INC OH 2.02,9.01 09/30/04 MYSTIC FINANCIAL INC DE 2.01,9.01 10/20/04 NANOPHASE TECHNOLOGIES CORPORATION IL 1.01,9.01 10/19/04 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01 10/22/04 NAVTEQ CORP DE 5.02,9.01 10/20/04 NET2PHONE INC DE 1.01,5.02,9.01 09/23/04 AMEND NETIQ CORP 1.01,9.01 10/18/04 NETOPIA INC DE 3.01,9.01 10/20/04 NEW COMMERCE BANCORP SC 2.02,9.01 10/22/04 NEXPRISE INC DE 2.02,9.01 10/21/04 NEXTEL COMMUNICATIONS INC DE 2.02,8.01,9.01 10/22/04 NL INDUSTRIES INC NJ 7.01,9.01 10/21/04 NOBLE INTERNATIONAL LTD DE 7.01,9.01 10/20/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 10/18/04 NORFOLK SOUTHERN CORP VA 8.01 10/20/04 NORTH COUNTRY FINANCIAL CORP MI 2.02,9.01 10/18/04 NORTHWEST BANCORP INC PA 2.02,9.01 10/21/04 NUTRACEUTICAL INTERNATIONAL CORP DE 8.01,9.01 10/22/04 O A K FINANCIAL CORP MI 2.02,9.01 10/22/04 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 10/22/04 OMEGA PROTEIN CORP NV 8.01,9.01 10/21/04 OPTIO SOFTWARE INC GA 9.01 08/10/04 AMEND ORPHAN MEDICAL INC MN 2.02,9.01 10/20/04 AMEND ORTEC INTERNATIONAL INC DE 1.01,9.01 10/18/04 PAC-WEST TELECOMM INC 1.01 10/21/04 PACIFIC GAS & ELECTRIC CO CA 8.01 10/22/04 PALL CORP NY 5.02 10/18/04 PALOMAR ENTERPRISES INC NV 1.01,8.01,9.01 10/07/04 PATTERSON COMPANIES, INC. MN 5.02,9.01 10/18/04 PAVILION BANCORP INC 5.02 10/22/04 PEOPLES HOLDING CO MS 2.02,9.01 10/19/04 AMEND PG&E CORP CA 8.01 10/22/04 PHASE FORWARD INC DE 1.01,1.02,2.02,5.02,7.01,9.01 10/21/04 PHC INC /MA/ MA 1.01,9.01 10/19/04 PHILADELPHIA CONSOLIDATED HOLDING COR PA 2.02,9.01 10/21/04 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 09/30/04 PIONEER NATURAL RESOURCES CO DE 7.01,9.01 10/19/04 PIONEER NATURAL RESOURCES CO DE 2.06 10/19/04 PLUMAS BANCORP CA 8.01,9.01 10/22/04 PLURISTEM LIFE SYSTEMS INC NV 5.02 10/21/04 PNM RESOURCES INC NM 2.02 09/30/04 POORE BROTHERS INC DE 2.02 10/21/04 PPG INDUSTRIES INC PA 2.02,9.01 10/22/04 PRIDE BUSINESS DEVELOPMENT HOLDINGS, 3.02,5.03 10/04/04 AMEND PRIME GROUP REALTY TRUST MD 1.01,9.01 10/21/04 PRO SQUARED INC 4.01,9.01 10/19/04 PROCTER & GAMBLE CO OH 8.01 10/22/04 PROJECT GROUP INC NV 4.01,9.01 10/18/04 PROTECTIVE LIFE SECURED TRUST 2004 18 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004 19 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-20 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-21 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-22 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-23 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-24 DE 1.03,2.01,8.01,9.01 10/15/04 PROTECTIVE LIFE SECURED TRUST 2004-25 DE 1.03,2.01,8.01,9.01 10/15/04 Protective Life Secured Trust 2004-33 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-35 TN 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-37 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-38 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-40 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-41 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-43 DE 1.03,2.01,8.01,9.01 10/12/04 Protective Life Secured Trust 2004-B DE 1.03,2.01,8.01,9.01 10/13/04 PROVIDENCE SERVICE CORP DE 4.01,9.01 10/18/04 PROVIDENCE SERVICE CORP DE 4.01 10/21/04 PUBLIC SERVICE CO OF NEW MEXICO NM 2.02 09/30/04 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,8.01,9.01 10/18/04 PULASKI FINANCIAL CORP DE 7.01,9.01 10/21/04 PVF CAPITAL CORP OH 2.02,8.01,9.01 10/20/04 QUAKER FABRIC CORP /DE/ DE 2.02,9.01 10/21/04 QUALMARK CORP CO 2.02,9.01 10/20/04 R&G FINANCIAL CORP PR 2.02,9.01 10/22/04 RAM VENTURE HOLDINGS CORP FL 5.02 10/18/04 RAMCO GERSHENSON PROPERTIES TRUST MA 2.01,9.01 09/09/04 RAMCO GERSHENSON PROPERTIES TRUST MA 2.02,9.01 10/20/04 RAPTOR NETWORKS TECHNOLOGY INC 5.02 10/18/04 RCN CORP /DE/ DE 8.01,9.01 10/22/04 REEBOK INTERNATIONAL LTD MA 2.02,9.01 10/21/04 REPUBLIC BANCORP INC MI 7.01 10/22/04 RESCON TECHNOLOGY CORP WY 1.01,8.01,9.01 10/15/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 10/22/04 RIVERSTONE NETWORKS INC DE 4.01 10/13/04 AMEND ROYAL PHOENIX 8.01,9.01 09/29/04 RYERSON TULL INC /DE/ DE 2.02,9.01 10/21/04 S&K FAMOUS BRANDS INC VA 1.01,9.01 10/21/04 SalesTactix, Inc. DE 8.01 10/22/04 SASCO Mortgage Loan Trust 2004-GEL3 DE 8.01 10/08/04 SCANA CORP SC 2.02,8.01,9.01 09/30/04 SCHLUMBERGER LTD /NV/ P8 2.02,9.01 10/22/04 SCIENCE DYNAMICS CORP DE 1.01,2.01,9.01 09/01/04 SCS TRANSPORTATION INC DE 7.01,9.01 10/20/04 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 10/18/04 SECURE COMPUTING CORP DE 2.02,9.01 10/21/04 SECURITY BANK CORP GA 2.02,9.01 10/20/04 SECURITY FEDERAL CORPORATION SC 2.02,9.01 10/22/04 SEGMENTZ INC DE 2.01,9.01 09/01/04 AMEND Seneca Gaming Corp XX 5.02 10/18/04 SEROLOGICALS CORP DE 2.02,9.01 10/21/04 SHEFFIELD PRODUCTS INC / DE DE 1.01,2.01,3.02,5.02,9.01 08/13/04 SIGMA ALDRICH CORP DE 2.02,7.01,9.01 10/22/04 SIGMATEL INC DE 5.02,9.01 10/19/04 SILICON VALLEY BANCSHARES DE 5.02,9.01 10/20/04 SILICON VALLEY BANCSHARES DE 1.02,9.01 09/15/04 AMEND SIMCLAR INC FL 1.01,2.01,2.03,9.01 10/20/04 SIMMONS FIRST NATIONAL CORP AR 2.02 10/21/04 SINA CORP 2.01,9.01 10/19/04 SINOFRESH HEALTHCARE INC FL 3.02,9.01 10/18/04 SMITHTOWN BANCORP INC NY 9.01 10/21/04 SMURFIT STONE CONTAINER CORP DE 5.02,9.01 10/22/04 SONORAN ENERGY INC WA 1.01,2.03,3.02,9.01 10/18/04 SOUTHEASTERN BANKING CORP GA 2.02,9.01 10/21/04 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,9.01 09/14/04 SOUTHERN CONNECTICUT BANCORP INC CT 2.02,9.01 09/14/04 SOUTHERN PERU COPPER CORP/ DE 1.01,9.01 10/21/04 SOUTHERN PERU COPPER CORP/ DE 1.01,9.01 10/21/04 SOUTHERN PERU COPPER CORP/ DE 5.02,5.05,9.01 10/21/04 SOUTHERN PERU COPPER CORP/ DE 2.02,9.01 10/21/04 SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 10/21/04 SOUTHWEST BANCORP OF TEXAS INC TX 1.01,9.01 10/19/04 SPECTRALINK CORP CO 2.02,9.01 10/20/04 SPORT HALEY INC CO 5.02,8.01 10/18/04 SPSS INC DE 2.02,9.01 10/21/04 SRI SURGICAL EXPRESS INC FL 1.01,9.01 10/20/04 ST JUDE MEDICAL INC MN 8.01 10/22/04 ST MARY LAND & EXPLORATION CO DE 2.02,7.01,9.01 10/22/04 STAAR SURGICAL CO DE 8.01 10/22/04 STAMPS.COM INC DE 2.02,9.01 10/22/04 STANDARD COMMERCIAL CORP NC 8.01,9.01 10/20/04 STANDARD REGISTER CO OH 2.02 10/22/04 STATE BANCORP INC NY 2.02,9.01 10/22/04 STATE STREET CORP MA 1.01 10/21/04 STERLING BANCORP NY 2.02,7.01,9.01 10/21/04 STERLING CONSTRUCTION CO INC DE 8.01 10/22/04 STRUCTURED ASSET MORT INV INC MORT PA DE 8.01,9.01 10/20/04 Structured Asset Mort Pass Thru Certs DE 8.01,9.01 10/20/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 10/20/04 Structured Asset Mortgage Investments DE 8.01,9.01 10/20/04 Structured Asset Mortgage Investments DE 8.01,9.01 10/20/04 STRUCTURED ASSET MORTGAGE INVESTMENTS 8.01,9.01 10/20/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/22/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/04 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 10/15/04 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/04 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 10/15/04 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 10/20/04 SUSSEX BANCORP NJ 2.02,9.01 10/21/04 TAMARACK VENTURES INC NV 5.02 10/21/04 TARPON COAST BANCORP INC FL 2.02 10/22/04 TECO ENERGY INC FL 2.02,9.01 10/22/04 TECO ENERGY INC FL 1.01,1.02,2.03,9.01 10/22/04 TELEWEST GLOBAL INC 1.01 10/22/04 TELTRONICS INC DE 1.01,3.02,9.01 10/19/04 TENGTU INTERNATIONAL CORP DE 8.01 10/22/04 TEXAS CAPITAL BANCSHARES INC/TX DE 2.02,9.01 10/20/04 TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.02,9.01 10/21/04 TOMS FOODS INC DE 2.02 10/21/04 TOWER AUTOMOTIVE INC DE 8.01,9.01 10/20/04 AMEND TRANSATLANTIC HOLDINGS INC DE 2.02 10/21/04 TRI CITY BANKSHARES CORP WI 2.02,9.01 10/22/04 TRICO BANCSHARES / CA 2.02,9.01 10/21/04 TRIPATH TECHNOLOGY INC 4.01,8.01,9.01 10/18/04 Trust Licensing, Inc., F/K/A New Moun 4.01,9.01 10/11/04 AMEND TXU CORP /TX/ TX 2.02 10/22/04 UCBH HOLDINGS INC DE 2.02 10/21/04 UIL HOLDINGS CORP CT 2.02,9.01 10/22/04 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 10/21/04 UNIFI INC NY 2.05,8.01,9.01 10/19/04 UNIFI INC NY 8.01,9.01 10/21/04 UNION FINANCIAL BANCSHARES INC DE 5.02 10/19/04 UNISYS CORP DE 5.02 10/22/04 UNITED SECURITY BANCSHARES INC DE 2.02,9.01 10/22/04 UNIVERSAL CORP /VA/ VA 8.01,9.01 10/21/04 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 10/22/04 USA TRUCK INC DE 2.02,9.01 10/21/04 USF CORP DE 2.02,9.01 10/22/04 USI HOLDINGS CORP DE 8.01,9.01 10/21/04 UTAH MEDICAL PRODUCTS INC UT 8.01 10/22/04 Valley Bancorp NV 2.02,9.01 10/21/04 VALLEY FINANCIAL CORP /VA/ VA 8.01 10/22/04 VALMONT INDUSTRIES INC DE 9.01 08/02/04 AMEND VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01,9.01 10/22/04 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/21/04 VASCULAR SOLUTIONS INC DE 4.01,9.01 09/28/04 AMEND VENTANA MEDICAL SYSTEMS INC DE 2.02,9.01 10/22/04 VENTURE FINANCIAL GROUP INC WA 2.02,9.01 10/21/04 VISTA MEDICAL TECHNOLOGIES INC DE 1.01 10/20/04 VISX INC DE 2.02,9.01 10/21/04 VITESSE SEMICONDUCTOR CORP DE 7.01 10/21/04 VIVUS INC CA 2.02,9.01 10/22/04 VOLT INC NV 5.03 10/19/04 W R GRACE & CO DE 2.02 10/20/04 Wachovia Auto Owner Trust 2004-A 8.01,9.01 10/20/04 Wachovia Auto Owner Trust 2004-B DE 8.01,9.01 10/20/04 WACHOVIA CORP NEW NC 5.02,9.01 10/18/04 WAYPOINT FINANCIAL CORP PA 2.02 10/21/04 WEBCO INDUSTRIES INC OK 8.01 10/22/04 WEBMETHODS INC DE 2.02,9.01 10/21/04 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,2.03 10/19/04 WELLSFORD REAL PROPERTIES INC MD 1.01,9.01 10/22/04 WENDYS INTERNATIONAL INC OH 2.02,9.01 10/21/04 WESTAR ENERGY INC /KS KS 7.01,9.01 10/22/04 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,9.01 10/21/04 Wilber CORP 2.02,9.01 10/22/04 WILMINGTON TRUST CORP DE 1.01,2.02 10/15/04 WILSHIRE BANCORP INC CA 2.02,9.01 10/18/04 WPT ENTERPRISES INC 8.01,9.01 10/19/04 XCEL ENERGY INC MN 2.02,9.01 10/22/04 XCEL ENERGY INC MN 2.02,9.01 10/22/04 YARDVILLE NATIONAL BANCORP NJ 2.02,9.01 10/20/04 YELLOW ROADWAY CORP DE 7.01,9.01 10/21/04 YOUNG INNOVATIONS INC MO 5.02,5.03,9.01 10/20/04 ZILOG INC CA 2.02,9.01 10/21/04 AMEND ZIONS BANCORPORATION /UT/ UT 2.02,9.01 10/19/04 ZONAGEN INC DE 7.01,8.01,9.01 10/20/04