SEC NEWS DIGEST Issue 2004-206 October 26, 2004 ENFORCEMENT PROCEEDINGS SEC FILES ACTION AGAINST MICHAEL BECKFORD FOR GAMBLING WITH INVESTOR FUNDS AND ENGAGING IN OTHER FRAUDULENT ACTIVIES On October 22, the Commission filed a complaint in the U.S. District Court for the Northern District of Illinois against Michael G. Beckford, a former managing member of Fanam Capital Management (Fanam). Fanam was an unregistered investment adviser to Fanam Fund I (Fund), which held itself out as a hedge fund. The Commission’s complaint alleges that from at least February 2001 through April 2003, Beckford lost $776,344 of the Fund’s money from gambling related activities. The complaint also alleges that he lost $3,876,775 by trading outside the Fund’s stated investment objectives and risk parameters, and that he misappropriated $175,010 for other personal uses, resulting in total investor losses of $4,828,129. Beckford issued false documents to the Fund’s investors to cover-up his fraud. The complaint alleges that Beckford violated Section 17(a) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and that he willfully aided and abetted Fanam Capital Management’s violations of Sections 206(1) and (2) of the Investment Advisers Act. The complaint requests that the Court enter an order permanently enjoining Beckford from violating Section 17(a) of the Securities Act of 1933, Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934, and Sections 206(1) and (2) of the Investment Advisers Act. The complaint also requests that the Court enter an order requiring Beckford to disgorge his ill-gotten gains and to pay civil penalties. [SEC v. Michael G. Beckford, 04 C 6811, N.D. Ill.] (LR- 18940) FINAL JUDGMENT AGAINST KAY MORGAN On October 22, the Honorable Virginia Emerson Hopkins, U.S. District Judge for the Northern District of Alabama, entered a Final Judgment as to defendant Kay Morgan (Morgan), group vice president, accounting and assistant controller of HealthSouth Corporation. The Final Judgment enjoined her from further violations of Section 17(a) of the Securities Act of 1933 (Securities Act), 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 from aiding and abetting violations of Section 17(a) of the Securities Act, Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13a- 13 thereunder. Morgan was also permanently barred from serving as an officer or director of a public company. Morgan was not ordered to pay disgorgement and civil penalties in view of the forfeiture and fine ordered against her in the related criminal proceeding. Morgan consented to the entry of the judgment without admitting or denying any of the allegations of the Commission’s complaint. The Commission's complaint alleged that Morgan made false accounting entries to inflate reported operating results in order to meet or exceed Wall Street earnings expectations. [SEC v. Kenneth K. Livesay, et al., USDC, ND Alabama, Civil Action No. CV-03-HS-0758-S] (LR-18941; AAE Rel. 2128) COURT ENTERS JUDGMENT IN CASE AGAINST RHODE ISLAND INVESTMENT ADVISER On Sept. 28, 2004, following a bench trial held in July 2003, the federal district court for Rhode Island entered judgment in SEC v. Slocum, Gordon, & Co., et al., a civil action that the Commission filed in August 2002. The Commission ’s complaint had alleged various securities law violations against defendants Slocum, Gordon, & Co. (SGC), a Newport, Rhode Island-based registered investment adviser, and its two founding partners, John J. Slocum, Jr. and Jeffrey L. Gordon. The court found that SGC improperly commingled client funds and securities with firm funds and securities, in violation of Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-2(a)(2) thereunder. The court also found that SGC, in failing to disclose its practice of commingling firm and client assets, a potential conflict of interest, engaged in a course of business which operated as a fraud upon its clients, in violation of Section 206(2) of the Advisers Act. As a result of these violations, the court ordered defendant SGC to pay a civil penalty of $3,000. With respect to the remaining claims of federal securities laws violations, however, the court entered judgment in favor of the defendants, finding insufficient evidence to establish that the defendants engaged in "cherry-picking scheme," whereby certain stocks were allegedly re-allocated from client accounts to the firm’s own account after showing a profit. For further information, please see Litigation Release No. 17688 (Aug. 20, 2002). [SEC v. Slocum, Gordon & Co., et al., USDC for the District of Rhode Island, Civil Action No. 02-367L] (LR-18942) SEC FILES CIVIL INJUNCTIVE ACTION AGAINST CURRENT AND FORMER RMS TITANIC, INC. OFFICERS AND FILES ADMINISTRATIVE PROCEEDING AGAINST OTHER INDIVIDUALS IN CONNECTION WITH THEIR 1999 TAKEOVER OF THE COMPANY; CIVIL PENALTIES AND DISGORGEMENT ORDERED The Commission today filed a settled civil injunctive action against Arnold Geller (Geller), current president and director of RMS Titanic, Inc. (RMS), and G. Michael Harris (Harris), a former officer and director of RMS. The Commission also instituted and simultaneously settled administrative and cease-and-desist proceedings against John Joslyn (Joslyn), Joseph Marsh (Marsh), P. David Lucas (Lucas), Steven Sybesma (Sybesma) Jon Thompson (Thompson) and Stanley Thomas (Thomas), all of whom were shareholders of RMS. According to the Commission’s complaint and Order Instituting Proceedings (Order), between May and November 1999, the defendants and respondents were members of a group of insurgent shareholders that, among other things, made materially false and misleading statements in Schedule 13D filings, failed to file and timely amend Schedule 13D filings and failed to comply with certain proxy rules in an effort to acquire control of RMS and remove certain members of its then current management. Without admitting or denying the allegations in the Commission’s complaint, Geller and Harris have consented to the entry of final judgments enjoining them from violating Sections 13(d)(1), 13(d)(2) and 14(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 12b-20, 13d-1(a), 13d-2(a) and 14a-3 through 14a-6. Geller also has consented to pay a civil penalty of $85,000. The final judgment as to Harris does not order him to pay a civil penalty based on his sworn representations and other documents and information submitted to the Commission concerning his financial condition. Without admitting or denying the findings in the Commission’s Order, the respondents agreed to settle the charges against them by consenting to the Order which directs Joslyn, Marsh, Lucas, Sybesma, Thompson and Thomas to cease and desist from committing or causing any violations, and any future violations, of Sections 13(d)(1) and 14(a) of the Exchange Act and Exchange Act Rules 12b-20, 13d-1(a) and 14a-3 through 14a-6 and, additionally as to Joslyn, Marsh and Thompson, Section 13(d)(2) of the Exchange Act and Exchange Act Rule 13d-2(a). The Order also directs Marsh, Lucas and Sybesma to pay disgorgement and prejudgment interest in the total amounts of $35,000, $20,000 and $20,000, respectively, and directs Thomas to pay a civil money penalty of $20,000. Finally, the Order suspends Thomas, who was a registered representative during the relevant time, from association with any broker or dealer for a period of nine months. In a related civil action, Joslyn, Marsh, Lucas, Sybesma and Thompson, without admitting or denying the allegations of the Commission’s complaint, have consented to pay civil penalties in the following amounts: Joslyn, $75,000; Marsh, $75,000; Lucas, $30,000; Sybesma, $30,000; and Thompson, $15,000. (Rel. 34-50588; File No. 3-11718); [SEC v. Arnold Geller, et al., Civil Action No.1:04CV01858 (EGS) D.D.C.; SEC v. John Joslyn, et al., Civil Action No.1:04CV01857 (EGS) D.D.C.] (LR- 18943) IN THE MATTER OF NORMAN PAYSON On October 26, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order) against Dr. Norman C. Payson. In its Order, the Commission found that Dr. Payson violated Section 13(d) of the Securities Exchange Act of 1934 and Rule 13d-1 thereunder when almost ten months late he filed a Schedule 13D disclosing that he was the beneficial owner of over 5% of the outstanding shares of Oxford Health Plans, Inc. common stock. Furthermore, the Commission found that in December 2000, Dr. Payson violated Section 13(d) of the Securities Exchange Act of 1934 and Rules 13d-1 and 13d-2 thereunder when he inaccurately and incompletely described his contemplated plan to dispose of a portion of his family’s holdings of Oxford Health Plans, Inc. common stock in the Schedule 13D filed on Dec. 15, 2000, and in an amendment to the Schedule 13D filed on Dec. 29, 2000. Based on the above, the Commission ordered Dr. Payson to cease and desist from committing or causing any violations of, and committing or causing any future violations of, Section 13(d) of the Securities Exchange Act of 1934, and Rules 13d-1 and 13d-2 thereunder. Dr. Payson consented to the issuance of the Order without admitting or denying any of the allegations in the Order. (Rel. 34-50589; File No. 3-11719) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2004-18) codifying exceptions for options and stock futures on “fund shares” to OCC’s adjustment policies recently made by panels of OCC’s Securities Committee. The proposed rule change has become effective pursuant to Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 25. (Rel. 34-50585) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 RYLAND GROUP INC, 24025 PARK SORRENTO, SUITE 400, CALABASAS, CA, 91302, 8182237500 - 500,000 ($42,955,000.00) Equity, (File 333-119922 - Oct. 25) (BR. 06) S-8 UNIVERSAL HEALTH SERVICES INC, 367 S GULPH RD, KING OF PRUSSIA, PA, 19406, 6107683300 - 0 ($44,585,888.00) Equity, (File 333-119925 - Oct. 25) (BR. 01) S-3 ENERGEN CORP, 605 RICHARD ARRINGTON JR BLVD N, BIRMINGHAM, AL, 35203-2707, 2053262997 - 600,000,000 ($600,000,000.00) Equity, (File 333-119926 - Oct. 25) (BR. 02) S-8 Valley Bancorp, 3500 WEST SAHARA, LAS VEGAS, X1, 89102, 702-221-8600 - 0 ($7,241,456.20) Equity, (File 333-119927 - Oct. 25) (BR. 07) S-3 BIOENVISION INC, 509 MADISON AVENUE, SUITE 404, NEW YORK, NY, 10022, 212-750-6700 - 0 ($90,000,000.00) Equity, (File 333-119928 - Oct. 25) (BR. 01) S-4 Lakers Holding Corp., 103 POWELL COURT, SUITE 200, BRENTWOOD, TN, 37027, 615-372-8500 - 0 ($2,017,430,136.00) Equity, (File 333-119929 - Oct. 25) (BR. 01) SB-2 ALPHA MOTORSPORT, INC., 240 12TH STREET, NEW WESTMINSTER, A1, V3M 4H2, 604-525-3380 - 2,000,000 ($100,000.00) Equity, (File 333-119930 - Oct. 25) (BR. 09) S-3 ROPER INDUSTRIES INC /DE/, 2160 SATELLITE BLVD, SUITE 200, DULUTH, GA, 30097, 7704955100 - 500,000,000 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-119931 - Oct. 25) (BR. 36) S-3 CENTER BANCORP INC, 2455 MORRIS AVE, UNION, NJ, 07083, 9086889500 - 888,888 ($10,755,545.00) Equity, (File 333-119932 - Oct. 25) (BR. 07) S-8 TALX CORP, 1850 BORMAN CT, ST LOUIS, MO, 63146, 3142147000 - 0 ($1,243,000.00) Equity, (File 333-119933 - Oct. 25) (BR. 03) S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000, 442074964000 - 0 ($100,000,000.00) Other, (File 333-119934 - Oct. 25) (BR. 04) S-8 BASIC EMPIRE CORP, 89,285 ($4,464.25) Debt Convertible into Equity, (File 333-119935 - Oct. 25) (BR. 09) S-8 CIRCUIT CITY STORES INC, 9950 MAYLAND DR, RICHMOND, VA, 23233, 8045274000 - 500,000 ($7,730,000.00) Equity, (File 333-119936 - Oct. 25) (BR. 02) S-1 Millstream II Acquisition CORP, 435 DEVON PARK DRIVE, WAYNE, PA, 19087, 610-975-4909 - 0 ($69,496,100.00) Equity, (File 333-119937 - Oct. 25) (BR. ) S-8 THOMSON, 46 QUAI A LE GALLO, 92100, BOULOGNEFRANCE, I0, 92100, 0000000000 - 4,200,000 ($85,344,000.00) Equity, 2,943,230 ($10,813,076.00) Other, (File 333-119938 - Oct. 25) (BR. 37) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 4807867200 - 0 ($2,761,000.00) Equity, (File 333-119939 - Oct. 25) (BR. 36) S-3D COMMUNITY BANK SYSTEM INC, 5790 WIDEWATERS PKWY, DEWITT, NY, 13214, 8007242262 - 0 ($5,102,000.00) Equity, (File 333-119940 - Oct. 25) (BR. 07) S-8 ITEC ENVIRONMENTAL GROUP INC, 693 HI TECH PARKWAY, SUITE 3, OAKDALE, CA, 95361, 2098483900 - 161,131,962 ($1,127,923.73) Equity, (File 333-119941 - Oct. 25) (BR. 09) S-8 ARTESYN TECHNOLOGIES INC, 7900 GLADES RD STE 500, BOCA RATON, FL, 33434-4105, 5614511000 - 1 ($9.32) Equity, (File 333-119942 - Oct. 25) (BR. 36) S-3 HYBRIDON INC, 345 VASSAR STREET, CAMBRIDGE, MA, 02139, 6176795500 - 11,020,600 ($5,730,712.00) Equity, (File 333-119943 - Oct. 25) (BR. 01) S-3 CENTENE CORP, 7711 CARONDELET AVE, ST LOUIS, MO, 63105, 3147254477 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-119944 - Oct. 25) (BR. 01) S-3 BEHRINGER HARVARD REIT I INC, 88,000,000 ($880,000,000.00) Equity, (File 333-119945 - Oct. 25) (BR. 08) S-8 VNUS MEDICAL TECHNOLOGIES INC, 2200 ZANKER ROAD, SUITE F, SAN JOSE, CA, 95131, 408-473-1100 - 0 ($78,722,227.00) Equity, (File 333-119946 - Oct. 25) (BR. 36) SB-2 PENGE CORP, 1930 VILLAGE CENTER CIRCLE 3 SUITE 446, LAS VEGAS, NV, 89134, 702-562-3176 - 14,925,978 ($4,477,793.00) Equity, (File 333-119947 - Oct. 25) (BR. ) S-8 SMITHFIELD FOODS INC, 200 COMMERCE STREET, EXECUTIVE OFFICE BUILDING, SMITHFIELD, VA, 23430, 7573653000 - 0 ($4,905,000.00) Equity, (File 333-119948 - Oct. 25) (BR. 04) S-8 NATIONAL CITY CORP, 1900 E NINTH ST, CLEVELAND, OH, 44114, 2165752000 - 150,000 ($5,590,500.00) Equity, (File 333-119950 - Oct. 25) (BR. 07) S-1 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA, 19355, 6109890340 - 38,504,248 ($9,920,989.00) Equity, (File 333-119951 - Oct. 25) (BR. 03) 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 ------------------------------------------------------------------------------------------------ A R T INTERNATIONAL INC 8.01,9.01 10/12/04 AAMES FINANCIAL CORP/DE DE 2.02,9.01 10/25/04 AAR CORP DE 2.03,9.01 10/21/04 ABIGAIL ADAMS NATIONAL BANCORP INC DE 2.02,9.01 10/22/04 ACE COMM CORP MD 2.02 10/25/04 ACE SECURITIES CORP DE 8.01,9.01 10/22/04 ACUSPHERE INC DE 3.02 10/20/04 ADELPHIA COMMUNICATIONS CORP DE 7.01 10/25/04 ADEPT TECHNOLOGY INC CA 5.02,9.01 10/19/04 ADVANCED FIBRE COMMUNICATIONS INC DE 2.02 10/25/04 ADVANCED NUTRACEUTICALS INC/TX TX 8.01,9.01 10/25/04 AEI REAL ESTATE FUND XVII LIMITED PAR MN 2.01,9.01 10/19/04 ALLSTATE LIFE INSURANCE CO 2.02 10/25/04 ALTIRIS INC DE 2.02,9.01 10/25/04 AMBASSADORS GROUP INC DE 2.02,9.01 10/21/04 AMERICAN CONSTRUCTION CO NV 1.01,9.01 10/25/04 AMERICAN EXPRESS CO NY 2.02,7.01 10/25/04 AMERICAN HONDA RECEIVABLES CORP CA 9.01 10/25/04 AMERICAN REALTY INVESTORS INC NV 2.01,9.01 10/19/04 AMERICAN RIVER BANKSHARES CA 8.01,9.01 10/25/04 AMLI RESIDENTIAL PROPERTIES TRUST MD 2.01,9.01 10/20/04 AMPEX CORP /DE/ DE 8.01,9.01 10/20/04 ANADIGICS INC DE 2.02 10/25/04 ANNALY MORTGAGE MANAGEMENT INC MD 2.02 10/25/04 ANTHRACITE CAPITAL INC MD 8.01,9.01 10/25/04 AON CORP DE 8.01,9.01 10/22/04 APOLLO GOLD CORP 1.01,2.03,3.02,9.01 10/19/04 APPLEWOODS RESTAURANTS INC NV 2.01,5.03,9.01 10/19/04 APPLIED EXTRUSION TECHNOLOGIES INC /D DE 1.01 10/25/04 APPLIED MATERIALS INC /DE DC 5.02,9.01 10/22/04 APPLIED NEUROSOLUTIONS INC DE 4.01,9.01 10/25/04 ARADIGM CORP CA 2.02,9.01 10/21/04 ARCH CHEMICALS INC VA 1.01,7.01,9.01 10/24/04 ARCHIPELAGO HOLDINGS INC DE 2.02,9.01 10/25/04 ARCHON CORP NV 8.01 10/20/04 AROTECH CORP DE 9.01 08/10/04 AMEND ARTISTDIRECT INC DE 5.02,9.01 10/22/04 ASHLAND INC KY 2.02,9.01 10/25/04 ASHLAND INC KY 7.01,9.01 10/25/04 ASIAINFO HOLDINGS INC DE 2.01,5.02,5.03 10/01/04 ASPEN INSURANCE HOLDINGS LTD D0 2.03 10/25/04 ASSOCIATED ESTATES REALTY CORP OH 5.02,9.01 09/30/04 ATA HOLDINGS CORP IN 1.01,5.02,9.01 10/19/04 ATNG INC NV 9.01 08/10/04 AMEND AUTO Q INTERNATIONAL INC DE 5.01,5.02 10/20/04 AUTOLIV INC DE 5.02 10/25/04 AUTOMATIC DATA PROCESSING INC DE 2.02 09/30/04 AVX CORP DE 2.02,9.01 10/25/04 BAKBONE SOFTWARE INC 4.01,9.01 10/22/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 10/25/04 BANCSHARES OF FLORIDA INC FL 7.01,9.01 10/25/04 BANNER CORP WA 2.02,9.01 10/22/04 BARD C R INC /NJ/ NJ 2.02 10/25/04 BAY VIEW SECURITIZATION CORP DE 9.01 10/25/04 BAY VIEW TRANSACTION CORP 9.01 10/25/04 BB&T CORP NC 8.01,9.01 10/22/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 10/25/04 BEHRINGER HARVARD MID TERM VALUE ENHA TX 2.01,9.01 10/25/04 BELLSOUTH CORP GA 2.02 10/25/04 BELMONT BANCORP OH 7.01,9.01 10/19/04 BIMINI MORTGAGE MANAGEMENT INC MD 2.02,7.01,9.01 10/25/04 BioMed Realty Trust Inc MD 9.01 08/11/04 AMEND BMW VEHICLE OWNER TRUST 2002-A 9.01 10/25/04 BMW VEHICLE OWNER TRUST 2003-A 9.01 10/25/04 BMW Vehicle Owner Trust 2004-A 9.01 10/25/04 BOE FINANCIAL SERVICES OF VIRGINIA IN VA 2.02 10/22/04 BORGWARNER INC DE 2.02 10/25/04 BOSTON PROPERTIES INC DE 1.01,5.02,8.01,9.01 10/21/04 BOSTON PROPERTIES LTD PARTNERSHIP 1.01,5.02,8.01,9.01 10/21/04 BRIDGE STREET FINANCIAL INC NY 2.02,9.01 10/25/04 BROADVISION INC DE 1.01,9.01 09/29/04 BROOKLINE BANCORP INC DE 2.02,9.01 10/22/04 BROOKS AUTOMATION INC DE 2.06 10/20/04 BROWN SHOE CO INC NY 7.01 10/25/04 CABCO TRUST FOR BELLSOUTH DEBENTURES DE 8.01,9.01 10/15/04 CALGON CARBON CORPORATION DE 8.01 10/22/04 CALIFORNIA MICRO DEVICES CORP CA 2.05 10/19/04 CALPINE CORP DE 8.01 10/21/04 CAPITAL AUTO RECEIVABLES INC DE 8.01,9.01 10/15/04 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 10/25/04 CASCADE CORP OR 8.01 10/22/04 CATERPILLAR FINANCIAL FUNDING CORP NV 8.01,9.01 10/25/04 CAVCO INDUSTRIES INC DE 1.01,2.02,9.01 10/25/04 CELL THERAPEUTICS INC WA 8.01 10/22/04 CENTRAL VERMONT PUBLIC SERVICE CORP VT 2.02 10/22/04 CENUCO INC DE 1.01,8.01,9.01 10/21/04 CFC INTERNATIONAL INC DE 2.02,9.01 09/30/04 CHASE CORP MA 5.02 10/21/04 Chase Funding Loan Acquisition Trust, 8.01,9.01 10/08/04 CHESTER VALLEY BANCORP INC PA 2.02,9.01 10/25/04 CHESTERFIELD FINANCIAL CORP 1.01 10/19/04 CHUBB CORP NJ 7.01 10/22/04 CHURCHILL DOWNS INC KY 1.01,2.03,3.02,7.01,9.01 10/19/04 CNF INC DE 2.02 09/30/04 COHU INC DE 2.02,9.01 10/22/04 COMMERCE BANCSHARES INC /MO/ MO 8.01 10/22/04 COMMERCE GROUP INC /MA MA 8.01 10/22/04 COMMERCIAL CAPITAL BANCORP INC NV 2.02,9.01 10/25/04 COMMERCIAL CAPITAL BANCORP INC NV 2.02,9.01 10/25/04 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 10/25/04 COMPUTER TASK GROUP INC NY 2.02,9.01 10/19/04 COMPUWARE CORPORATION MI 2.02,9.01 10/21/04 CONNETICS CORP DE 2.02,9.01 10/25/04 CORGENTECH INC DE 2.02 10/25/04 COX COMMUNICATIONS INC /DE/ DE 1.01,8.01,9.01 10/19/04 CRAWFORD & CO GA 2.02,9.01 10/25/04 CRDENTIA CORP DE 8.01,9.01 08/31/04 CREDENCE SYSTEMS CORP DE 5.02 10/22/04 CROWN CASTLE INTERNATIONAL CORP DE 2.01,9.01 08/31/04 AMEND CSFB MORT SEC CORP COMM MORT PAS THR DE 8.01,9.01 10/15/04 CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 10/25/04 CVB FINANCIAL CORP CA 2.02,9.01 09/30/04 CVF TECHNOLOGIES CORP NV 2.01 10/25/04 CWALT INC 8.01 09/30/04 AMEND CYBER MERCHANTS EXCHANGE INC CA 4.01,9.01 10/21/04 CYTEC INDUSTRIES INC/DE/ DE 2.02 10/21/04 DANA CORP VA 1.01,9.01 10/19/04 DATA I/O CORP WA 2.02 09/30/04 DATAWATCH CORP DE 9.01 08/20/04 AMEND DAVI SKIN, INC. NV 2.01,5.01,9.01 06/21/04 AMEND DELTA AIR LINES INC /DE/ DE 8.01,9.01 10/25/04 DELTA MUTUAL INC 2.03,3.02 10/19/04 DEX MEDIA INC DE 5.02 10/21/04 DIGITAL RECORDERS INC NC 7.01,9.01 10/25/04 DIME COMMUNITY BANCSHARES INC DE 7.01 10/22/04 DIMECO INC PA 2.02 10/22/04 DIMECO INC PA 8.01 10/21/04 DOVER INVESTMENTS CORP DE 7.01,9.01 10/22/04 DREW INDUSTRIES INC DE 8.01 10/08/04 DREW INDUSTRIES INC DE 8.01,9.01 10/25/04 DRUCKER INC DE 1.01,9.01 10/19/04 DSLA Mortgage Loan Trust 2004-AR1 DE 8.01,9.01 10/25/04 DUQUESNE LIGHT HOLDINGS INC PA 7.01,9.01 10/25/04 DURATEK INC DE 5.02 10/25/04 DURECT CORP DE 8.01,9.01 10/25/04 DURECT CORP DE 2.02,8.01,9.01 10/25/04 EAST PENN FINANCIAL CORP 2.02,9.01 10/21/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 1.01,9.01 10/19/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 1.01 10/19/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 2.02 10/25/04 EMERSON RADIO CORP DE 5.02,9.01 10/19/04 ENCORE WIRE CORP /DE/ DE 2.02,7.01,9.01 10/25/04 ENERGIZER HOLDINGS INC MO 1.01 10/25/04 ENERGY PARTNERS LTD DE 1.01,5.02,9.01 10/19/02 ENERGY TRANSFER PARTNERS LP DE 8.01,9.01 10/22/04 ENGELHARD CORP DE 2.02 09/30/04 ENTERGY CORP /DE/ DE 7.01,9.01 10/22/04 AMEND EXELON CORP PA 7.01,9.01 10/25/04 FAUQUIER BANKSHARES INC VA 2.02,9.01 10/21/04 FIDELITY BANKSHARES INC DE 8.01,9.01 10/21/04 FIDELITY BANKSHARES INC DE 2.02,9.01 10/21/04 FIDELITY SOUTHERN CORP GA 2.02,9.01 10/21/04 FIRST CAPITAL INC IN 2.02,9.01 10/22/04 FIRST CITIZENS BANCSHARES INC /DE/ DE 7.01,9.01 10/25/04 FIRST INDUSTRIAL LP DE 4.02 10/22/04 FIRST INDUSTRIAL REALTY TRUST INC MD 4.02 10/22/04 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,7.01,9.01 10/25/04 FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 10/25/04 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 10/25/04 FLAG FINANCIAL CORP GA 2.02,9.01 09/30/04 FLAGSTAR BANCORP INC MI 2.02,9.01 10/19/04 FLANDERS CORP NC 2.02 10/25/04 FLEXTRONICS INTERNATIONAL LTD 2.02,9.01 10/25/04 FLUSHING FINANCIAL CORP DE 7.01,9.01 10/25/04 FOODARAMA SUPERMARKETS INC NJ 8.01 10/25/04 FORCE PROTECTION INC CO 5.02 10/22/04 FORCE PROTECTION INC CO 5.02 10/25/04 FRANKLIN AUTO TRUST 2003-2 DE 8.01,9.01 09/30/04 Franklin Auto Trust 2004-1 DE 8.01,9.01 09/30/04 FRESH CHOICE INC DE 4.01,9.01 10/20/04 AMEND FUELCELL ENERGY INC DE 1.01,2.05 10/19/04 GABELLI ASSET MANAGEMENT INC NY 2.02,7.01 10/22/04 GARTNER INC DE 5.02,9.01 10/19/04 GENAISSANCE PHARMACEUTICALS INC DE 8.01,9.01 10/21/04 GENERAL CABLE CORP /DE/ DE 1.01,9.01 10/25/04 GENERAL GROWTH PROPERTIES INC DE 7.01,9.01 10/22/04 GENERAL GROWTH PROPERTIES INC DE 8.01,9.01 10/25/04 GENESIS MICROCHIP INC /DE DE 2.02,9.01 10/25/04 GOLD KIST INC GA 1.01,5.03,8.01,9.01 10/20/04 GORMAN RUPP CO OH 2.02 10/22/04 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01,9.01 10/25/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 10/21/04 HALLIBURTON CO DE 7.01 10/21/04 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD 5.02,9.01 10/25/04 HarborView Mortgage Loan Trust 2004-2 DE 8.01,9.01 10/19/04 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,8.01 10/25/04 HCA INC/TN DE 9.01 10/13/04 AMEND HEARTLAND FINANCIAL USA INC DE 8.01,9.01 10/25/04 HESPERIA HOLDING INC 5.02 10/22/04 HIGH INCOME OPPORTUNITY FUND INC MD 7.01,9.01 10/25/04 HILTON HOTELS CORP DE 2.02,9.01 10/25/04 HMN FINANCIAL INC DE 2.02,9.01 10/21/04 HMS HOLDINGS CORP 2.02,9.01 10/25/04 HOOPER HOLMES INC NY 5.05,8.01,9.01 10/22/04 HORIZON FINANCIAL CORP WA 2.02,9.01 10/21/04 HORIZON HEALTH CORP /DE/ DE 2.02,9.01 10/25/04 IMMERSION CORP DE 2.02,9.01 10/25/04 IMPAC MORTGAGE HOLDINGS INC MD 2.02,8.01,9.01 10/25/04 IMPCO TECHNOLOGIES INC DE 1.01,8.01,9.01 10/22/04 IMPERIAL OIL LTD 2.02,9.01 10/25/04 INFOSPACE INC DE 1.01,2.02,9.01 10/25/04 INLAND REAL ESTATE CORP MD 1.01,8.01,9.01 10/22/04 AMEND INTEGRA BANK CORP IN 2.02,9.01 10/25/04 INTEGRATED ALARM SERVICES GROUP INC DE 7.01,8.01,9.01 10/25/04 INTERMEDIATE MUNI FUND INC MD 7.01,9.01 10/25/04 INTERMUNE INC DE 1.01,5.02 10/25/04 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 10/25/04 INTERNATIONAL STEEL GROUP INC DE 7.01,8.01,9.01 10/25/04 INTERNET SECURITY SYSTEMS INC/GA DE 2.02,9.01 10/25/04 INVESTOOLS INC DE 1.01,9.01 10/19/04 IPIX CORP DE 2.02,9.01 10/21/04 ISOLAGEN INC DE 7.01,9.01 10/25/04 ISONICS CORP CA 3.02 10/18/04 JED OIL INC. 5.01,9.01 10/21/04 JEFFERSON BANCSHARES INC TN 2.02,9.01 10/22/04 JO-ANN STORES INC OH 5.02 10/20/04 KELLOGG CO DE 2.02 09/25/04 KEYNOTE SYSTEMS INC DE 2.02,9.01 10/25/04 KIMBERLY CLARK CORP DE 2.02 09/30/04 KS BANCORP INC NC 2.02,9.01 10/22/04 LABRANCHE & CO INC DE 2.02,9.01 10/25/04 LANNETT CO INC DE 1.01,2.01,9.01 04/20/04 AMEND LEVEL 3 COMMUNICATIONS INC DE 8.01,9.01 10/20/04 AMEND LIBERATE TECHNOLOGIES DE 1.01 10/19/04 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 2.02,5.02,9.01 10/25/04 LITHIA MOTORS INC OR 8.01,9.01 10/22/04 LIVESTAR ENTERTAINMENT GROUP INC NV 3.02 10/19/04 LORAL SPACE & COMMUNICATIONS LTD D0 7.01,8.01,9.01 10/25/04 MAILKEY CORP NV 1.02,9.01 10/19/04 MAIN STREET TRUST INC IL 2.02,9.01 10/25/04 MANAGED HIGH INCOME PORTFOLIO INC NY 7.01,9.01 10/25/04 MANAGED MUNICIPALS PORTFOLIO INC 7.01,9.01 10/25/04 MARINE JET TECHNOLOGY CORP NV 5.02 10/25/04 MARKWEST ENERGY PARTNERS L P 1.01,2.03,9.01 10/19/04 MARSH & MCLENNAN COMPANIES INC DE 8.01,9.01 10/22/04 MARSH & MCLENNAN COMPANIES INC DE 5.02,5.03,8.01,9.01 10/25/04 MATRIA HEALTHCARE INC DE 5.02,5.05,9.01 10/19/04 MATRIXX INITIATIVES INC DE 2.02,9.01 10/25/04 MAXIM MORTGAGE CORP/ DE 5.03,8.01,9.01 10/19/04 McCormick & Schmicks Seafood Restaura 3.02 10/20/04 MERCANTILE BANKSHARES CORP MD 1.01 10/20/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/21/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/04/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/25/04 MIDCAROLINA FINANCIAL CORP NC 2.02,9.01 10/22/04 MIDDLEFIELD BANC CORP OH 2.02 10/25/04 MIDWESTONE FINANCIAL GROUP INC IA 2.02,9.01 10/25/04 MIKOHN GAMING CORP NV 2.02,9.01 10/25/04 MILLENIUM HOLDING GROUP INC /AZ/ NV 8.01 10/25/04 AMEND MILLIPORE CORP /MA MA 5.02,8.01,9.01 10/25/04 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 10/25/04 MOBILITY ELECTRONICS INC DE 2.02,9.01 10/25/04 MOD PAC CORP NY 7.01 10/02/04 MODINE MANUFACTURING CO WI 8.01,9.01 10/25/04 MRU HOLDINGS INC DE 1.01,9.01 10/25/04 MRV COMMUNICATIONS INC DE 2.02,8.01,9.01 10/21/04 MTC TECHNOLOGIES INC DE 2.02,9.01 10/25/04 MUELLER INDUSTRIES INC DE 2.02,9.01 10/25/04 MULTI COLOR CORP OH 2.02,9.01 10/25/04 MUNICIPAL HIGH INCOME FUND INC 7.01,9.01 10/25/04 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,9.01 10/21/04 MYMETICS CORP DE 8.01 10/19/04 NATIONAL PROPERTY INVESTORS 5 CA 8.01,9.01 10/19/04 NATIONWIDE FINANCIAL SERVICES INC/ DE 2.02,7.01 10/25/04 NATIONWIDE LIFE INSURANCE CO OH 8.01,9.01 10/25/04 NAVISTAR INTERNATIONAL CORP DE 1.01,7.01 10/25/04 NEOFORMA INC DE 2.02,9.01 10/25/04 NEORX CORP WA 5.02,9.01 10/20/04 NEOWARE SYSTEMS INC DE 2.02,9.01 10/25/04 NETMANAGE INC DE 5.02 10/25/04 NETWOLVES CORP NY 9.01 10/15/04 AMEND NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 10/25/04 NORDSON CORP OH 1.01,2.03,9.01 10/19/04 NORTHEAST UTILITIES SYSTEM MA 2.02,9.01 10/25/04 NORTHEAST UTILITIES SYSTEM MA 7.01,9.01 10/25/04 OGE ENERGY CORP OK 1.01,1.02,2.03,8.01,9.01 10/25/04 OKLAHOMA GAS & ELECTRIC CO OK 1.01,1.02,2.03,8.01,9.01 10/25/04 OLYMPUS COMMUNICATIONS LP DE 7.01 10/25/04 OMTOOL LTD DE 5.02,9.01 10/20/04 ONEIDA FINANCIAL CORP DE 2.02 10/21/04 ONYX PHARMACEUTICALS INC DE 8.01,9.01 10/25/04 OPTION ONE MORTGAGE LOAN TRUST 2004-3 DE 2.01,9.01 10/05/04 ORRSTOWN FINANCIAL SERVICES INC PA 2.02 10/25/04 PARKVALE FINANCIAL CORP PA 2.02,9.01 10/21/04 PEAK INTERNATIONAL LTD D0 2.02,9.01 10/22/04 PEOPLES FINANCIAL SERVICES CORP/ PA 5.02 10/25/04 PEOPLESOFT INC DE 5.04,9.01 10/22/04 PHARSIGHT CORP CA 2.02,9.01 10/25/04 PHOTONIC PRODUCTS GROUP INC NJ 1.01,2.01,9.01 10/19/04 PINGCHUAN PHARMACEUTICAL INC NC 9.01 08/13/04 AMEND PINNACLE ENTERTAINMENT INC DE 1.01,8.01,9.01 10/19/04 PINNACLE WEST CAPITAL CORP AZ 1.01,1.02,2.03 10/19/04 PITNEY BOWES INC /DE/ DE 2.02,9.01 09/30/04 PIZZA INN INC /MO/ MO 8.01 10/22/04 PLUM CREEK TIMBER CO INC DE 2.02,9.01 09/30/04 POINT THERAPEUTICS INC DE 8.01,9.01 10/25/04 POPE RESOURCES LTD PARTNERSHIP DE 2.01,9.01 10/25/04 POWER INTEGRATIONS INC CA 2.02,9.01 10/20/04 PRICESMART INC DE 8.01 09/02/04 PRIMEDEX HEALTH SYSTEMS INC NY 7.01,9.01 10/25/04 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 10/25/04 PROTECTIVE LIFE INSURANCE CO TN 9.01 10/21/04 PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/25/04 PROVIDIAN FINANCIAL CORP DE 1.01,9.01 10/19/04 PUGET ENERGY INC /WA WA 2.02 10/22/04 QUALITY DINING INC IN 2.05 09/25/04 QUANTUM CORP /DE/ DE 1.01,7.01 10/25/04 QUEST DIAGNOSTICS INC DE 2.02,9.01 10/25/04 Quest Minerals & Mining Corp UT 9.01 10/19/04 QUEST RESOURCE CORP NV 8.01 10/22/04 REAL ESTATE INCOME FUND INC 7.01,9.01 10/25/04 Real Mex Restaurants, Inc. DE 8.01,9.01 10/22/04 REDDY ICE HOLDINGS INC DE 1.01 10/19/04 REMY INTERNATIONAL, INC. DE 8.01 09/30/04 RENAISSANCE LEARNING INC WI 2.02,8.01,9.01 10/20/04 REPUBLIC FIRST BANCORP INC PA 7.01,9.01 10/25/04 REPUBLIC FIRST BANCORP INC PA 1.01 10/19/04 REYNOLDS AMERICAN INC 2.02,9.01 10/25/04 RIGHTNOW TECHNOLOGIES INC MT 2.02,9.01 10/25/04 ROPER INDUSTRIES INC /DE/ DE 9.01 10/25/04 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 2.02,9.01 09/30/04 RUSH ENTERPRISES INC \TX\ TX 8.01,9.01 10/22/04 RYDER SYSTEM INC FL 2.02,9.01 10/25/04 S1 CORP /DE/ DE 1.01,9.01 10/20/04 SAFEGUARD SCIENTIFICS INC PA 1.01,9.01 10/20/04 SALOMON BROTHERS 2008 WORLDWIDE DOLLA MD 7.01,9.01 10/25/04 SALOMON BROTHERS CAPITAL & INCOME FUN MD 7.01,9.01 10/25/04 SALOMON BROTHERS EMERGING MARKETS DEB 7.01,9.01 10/25/04 SALOMON BROTHERS EMERGING MARKETS FLO MD 7.01,9.01 10/25/04 SALOMON BROTHERS EMERGING MARKETS INC MD 7.01,9.01 10/25/04 SALOMON BROTHERS EMERGING MARKETS INC MD 7.01,9.01 10/25/04 SALOMON BROTHERS FUND INC /DE/ MD 7.01,9.01 10/25/04 SALOMON BROTHERS GLOBAL HIGH INCOME F 7.01,9.01 10/25/04 SALOMON BROTHERS GLOBAL PARTNERS INCO MD 7.01,9.01 10/25/04 SALOMON BROTHERS HIGH INCOME FUND II 7.01,9.01 10/25/04 SALOMON BROTHERS HIGH INCOME FUND INC MD 7.01,9.01 10/25/04 SALOMON BROTHERS INFLATION MANAGEMENT 7.01,9.01 10/25/04 SALOMON BROTHERS MUNICIPAL PARTNERS F MD 7.01,9.01 10/25/04 SALOMON BROTHERS MUNICIPAL PARTNERS F MD 7.01,9.01 10/25/04 SALOMON BROTHERS WORLDWIDE INCOME FUN MD 7.01,9.01 10/25/04 SASCO MORTGAGE LOAN TRUST SERIES 2004 DE 8.01,9.01 10/25/04 SAVANNAH ELECTRIC & POWER CO GA 8.01 10/25/04 SCANTEK MEDICAL INC DE 4.01,9.01 09/27/04 AMEND SCIENTIFIC ATLANTA INC GA 2.02,9.01 10/21/04 SCIENTIFIC LEARNING CORP DE 2.02 10/19/04 SEEBEYOND TECHNOLOGY CORP CA 2.02,9.01 10/25/04 SIERRA PACIFIC RESOURCES /NV/ NV 2.03 10/22/04 SIGA TECHNOLOGIES INC DE 7.01,9.01 10/25/04 SILICON IMAGE INC DE 2.02,9.01 10/19/04 SILICON LABORATORIES INC DE 2.02,9.01 10/25/04 SILICON VALLEY BANCSHARES DE 7.01 10/25/04 SIRNA THERAPEUTICS INC CO 3.02,8.01 10/19/04 SLM FUNDING LLC DE 1.01,2.01,9.01 10/20/04 SMALL WORLD KIDS INC UT 5.02,9.01 10/14/04 SMITH INTERNATIONAL INC DE 2.02,9.01 10/25/04 SONICWALL INC CA 1.01,9.01 10/11/04 AMEND SONOSITE INC 1.01 10/20/04 SOUTHERN COMMUNITY FINANCIAL CORP NC 8.01,9.01 10/25/04 SOUTHWEST CASINO CORP 7.01,9.01 10/21/04 SOUTHWEST GAS CORP CA 1.01,1.02,2.03 10/19/04 SOUTHWEST WATER CO DE 1.01,2.03 10/19/04 SPINNAKER EXPLORATION CO DE 2.02,9.01 10/22/04 STEMCELLS INC DE 5.03,9.01 05/25/04 STERLING BANCORP NY 7.01,9.01 10/22/04 STRATEX NETWORKS INC DE 2.02,9.01 10/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01 10/25/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/22/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/22/04 STURM RUGER & CO INC DE 8.01,9.01 10/21/04 SUBURBAN PROPANE PARTNERS LP DE 8.01,9.01 10/22/04 SUMMIT PROPERTIES INC MD 2.06,8.01 10/19/04 SUMMIT PROPERTIES PARTNERSHIP L P DE 2.06,8.01 10/19/04 SUPERIOR UNIFORM GROUP INC FL 2.02 10/25/04 SYBASE INC DE 2.02,9.01 10/21/04 TARANTELLA INC CA 1.01,9.01 10/19/04 TARRANT APPAREL GROUP CA 3.01 10/21/04 TEAM INC TX 2.01,9.01 08/11/04 AMEND TECHNE CORP /MN/ MN 2.02,9.01 10/21/04 TECHNE CORP /MN/ MN 5.02 10/21/04 TECHNITROL INC PA 2.05 10/25/04 TEMPLE INLAND INC DE 2.02,9.01 10/25/04 THOMAS & BETTS CORP TN 2.02,9.01 10/25/04 TIMKEN CO OH 2.02 10/25/04 TOYOTA MOTOR CREDIT CORP CA 2.02,4.02 10/19/04 TRAVELERS CORP LOAN FUND INC MD 7.01,9.01 10/25/04 TRI COUNTY FINANCIAL CORP /MD/ MD 7.01,9.01 10/25/04 TXU CORP /TX/ TX 7.01,8.01,9.01 10/22/04 ULTRA PETROLEUM CORP 2.02 10/25/04 UNION BANKSHARES CO/ME ME 2.02,9.01 10/21/04 UNITED ONLINE INC DE 2.02,9.01 10/25/04 UNITED ONLINE INC DE 1.01 10/25/04 UNITED PARCEL SERVICE INC DE 2.02,9.01 10/21/04 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE 5.02 10/21/04 UQM TECHNOLOGIES INC CO 8.01 10/22/04 V F CORP PA 5.02,9.01 10/22/04 VAIL RESORTS INC DE 5.04 10/25/04 VALERO ENERGY CORP/TX DE 1.01 10/21/04 VEECO INSTRUMENTS INC DE 2.02,9.01 10/25/04 VELOCITY EXPRESS CORP DE 3.01,9.01 10/21/04 VENDINGDATA CORP NV 8.01,9.01 10/25/04 VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 10/25/04 VIE FINANCIAL GROUP INC DE 8.01 10/22/04 VINEYARD NATIONAL BANCORP CA 7.01,9.01 10/25/04 VIRGINIA FINANCIAL GROUP INC VA 2.02,9.01 10/20/04 VITRAN CORP INC 8.01 10/21/04 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 10/25/04 WABASH NATIONAL CORP /DE DE 5.02,9.01 10/20/04 WASHINGTON MUTUAL INC WA 1.01 10/19/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/22/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/22/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/07/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/25/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/22/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 10/25/04 WEBMD CORP /NEW/ DE 2.01,9.01 08/11/04 AMEND WEIS MARKETS INC PA 2.02 10/25/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 10/22/04 WESTERN DIGITAL CORP DE 2.02 10/25/04 WEYERHAEUSER CO WA 8.01 10/22/04 WEYERHAEUSER CO WA 2.02 09/26/04 WEYERHAEUSER CO WA 1.01 10/22/04 WFN CREDIT CO LLC DE 8.01,9.01 10/15/04 WILD OATS MARKETS INC DE 2.02,9.01 10/25/04 WIRELESS AGE COMMUNICATIONS INC NV 2.01,9.01 07/30/04 AMEND WISCONSIN ENERGY CORP WI 2.05,2.06 10/20/04 WORLD WIDE WEB INC NV 2.01,9.01 08/26/04 AMEND WORLDQUEST NETWORKS INC DE 7.01,9.01 10/22/04 WRAP N ROLL USA INC NV 1.01,2.01,3.03,5.01,9.01 10/19/04 YOUNG INNOVATIONS INC MO 2.02,9.01 10/20/04 ZENITH NATIONAL INSURANCE CORP DE 2.02,9.01 10/25/04 ZENIX INCOME FUND INC 7.01,9.01 10/25/04 ZIMMER HOLDINGS INC DE 2.02,9.01 10/25/04