SEC NEWS DIGEST Issue 2004-222 November 18, 2004 COMMISSION ANNOUNCEMENTS SEC POSTPONES FINAL PHASE-IN PERIOD FOR ACCELERATION OF PERIODIC REPORT FILING DATES On November 17, the Commission issued a release adopting amendments to postpone, for one year, the final phase-in period for acceleration of periodic report deadlines that apply to larger companies known as "accelerated filers." The primary purpose of the postponement is to allow additional time and opportunity for accelerated filers and their auditors to focus their efforts on complying with new requirements regarding internal control over financial reporting that were mandated by Section 404 of the Sarbanes-Oxley Act of 2002. An accelerated filer must begin to include both a management report and auditor report on the effectiveness of its internal control over financial reporting in its annual report filed for its first fiscal year ending on or after Nov. 15, 2004. Under the amended rules, for an additional year the deadline for accelerated filers will remain at 75 days after year end for annual reports and at 40 days after quarter end for quarterly reports. The accelerated filing phase-in will resume for reports filed for fiscal years ending on or after Dec. 15, 2005, when an accelerated filer will have to file its annual report within 60 days after year end and file its quarterly reports within 35 days after quarter end. This will complete the phase-in and these deadlines will then remain in place for all subsequent periods. SEC rules define an "accelerated filer" as a company that · has a public float of at least $75 million; · has been subject to the SEC's periodic reporting requirements for at least 12 months and has filed one annual report; and · is not eligible to use the SEC's small business reporting forms. The full text of the release describing the proposal has been posted on the SEC Web site at http://www.sec.gov/rules/final/33-8507.htm. (Press Rel. 2004-158) ENFORCEMENT PROCEEDINGS COMMISSION DENIES MOTION FOR RECONSIDERATION FILED BY JOSEPH VASTANO, JR. The Commission has denied the motion for reconsideration filed by Joseph J. Vastano, Jr., formerly an investment company and variable contracts products representative. On Aug. 19, 2004, the Commission found that Vastano had engaged in private securities transactions without giving prior written notice to his firm in violation of NASD Conduct Rules 3040 and 2110. The Commission sustained the sanctions assessed by the NASD, suspending Vastano from association with any NASD member in any capacity for 18 months and fining him $62,000. Vastano asserted in his motion for reconsideration that the Commission had erred in finding that he had engaged in these violations. The Commission rejected Vastano's assertions, noting that Vastano had presented no new facts or arguments in his motion. Vastano also claimed that he was unable to pay the fine. The Commission concluded that Vastano had failed to present evidence necessary to satisfy his burden of demonstrating an inability to pay. (Rel. 34-50691; File No. 3- 11376) COMMISSION DECLARES DECISION AS TO CRAIG CUNNINGHAM FINAL The decision of an administrative law with respect to Craig A. Cunningham has become final. The law judge found that Cunningham was an owner of Currency Trading International, Inc. (CTI), a registered broker-dealer. While associated with CTI, Cunningham and other respondents engaged in illegal boiler room operations and high-pressured sales tactics, through CTI. The law judge also found that, on May 3, 2004, the U.S. District Court of California entered a Revised Final Judgment of Permanent Injunction, Disgorgement, Prejudgment Interest, and Civil Penalties against Cunningham and others. The judgment enjoined Cunningham from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. The court also ordered Cunningham to pay disgorgement of $4,361,993, plus prejudgment interest of $1,142,431, and a civil penalty of $110,000. (Rel. 34-50693; File No. 3-11503) COMMISSION DECLARES DECISION AS TO WICHITA DEVELOPMENT CORP. FINAL The decision of an administrative law judge with respect to Wichita Development Corp. has become final. The law judge found that Wichita violated Section 13(a) of the Securities Exchange Act of 1934, and Exchange Act Rules 13a-1 and 13a-13 by failing to file reports for years ending Dec. 31, 2002, and 2003, and for failing to file required reports for quarterly periods ending Sept. 30, 2002, March 31, June 30, and Sept. 30, 2003, and March 31 and June 30, 2004. The law judge revoked the registration of Wichita’s securities. (Rel. 34-50694; File No. 3- 11512) IN THE MATTER OF ANTHONY GIANNINOTO AND EILEEN LAINE The Commission today issued Orders Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Orders) against Anthony Gianninoto (Gianninoto) and Eileen Laine (Laine) (collectively, the Respondents). The Order finds that each of the Respondents was a former employee of First Interregional Equity Corporation (FIEC), and First Interregional Advisors Corporation (FIAC). The Order further finds that on November 18, 1998, before the United States Court for the District of New Jersey, Respondents pled guilty to various counts of conspiracy to commit securities fraud, conspiracy to commit tax offenses, tax evasion, and money laundering. In addition, Respondent Gianninoto also pled guilty to two counts of securities fraud. Based on the above, the Order bars each Respondent from association with any broker or dealer. The Respondents consented to the issuance of the Order without admitting or denying any of the findings therein. (Rels. 34-50696; 34-50697; File No. 3-11660) SEC HALTS $18 MILLION SECURITIES FRAUD IN SAN DIEGO On November 16, the Commission filed an emergency action to halt an $18 million, ongoing securities fraud perpetrated by three San Diego-based defendants -- Emvest Mortgage Fund, LLC (the Fund); Emvest, Inc. (Emvest), the Fund’s manager; and Milon Lyle Brock, age 60, the Fund’s chief executive officer. Also on November 16, the Honorable Dana M. Sabraw, U.S. District Judge for the Southern District of California, issued an order appointing a temporary receiver over both companies and freezing distributions, among other things. The Fund purports to raise capital from investors to make and purchase loans secured by California real property. Since 2002, the Fund has raised approximately $18 million from 270 investors. The Commission’s complaint, filed in federal court in San Diego, alleges that the Fund, Emvest, and Brock misrepresented and failed to disclose to potential and existing investors material information regarding the use of investor capital, investor returns, and the preservation of investor capital. The Court issued an order temporarily enjoining all of the defendants from future violations of the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and (1) freezing distributions; (2) appointing a temporary receiver; (3) prohibiting the destruction of documents; (4) expediting discovery; and (5) requiring accountings. The Commission also seeks preliminary and permanent injunctions and disgorgement with prejudgment interest against all defendants, and civil penalties against Brock and Emvest. [SEC v. Emvest Mortgage Fund, LLC, Emvest, Inc., and Milon Lyle Brock, Civil Action No. 04 CV 2295 DMS (LSP) S.D.Cal.] (LR-18978) SEC CHARGES PETER WILSON WITH SCHEME TO DEFRAUD, IMPERSONATING NASDAQ AND AMEX OFFICIALS The Commission today charged Peter J. Wilson, a former licensed registered representative, with securities fraud. In its complaint, filed in the U.S. District Court for the Northern District of Ohio, the Commission charges that Wilson sought to manipulate the price of stocks he traded and illegally obtain material, non-public information from public companies by impersonating officials from the NASDAQ Stock Market and the American Stock Exchange (AMEX). The complaint alleges the following: From at least June 2003 through April 2004, Wilson, a 43-year-old resident of Rocky River, Ohio, engaged in a scheme to profit illegally from trading in the securities of at least five NASDAQ-listed issuers and two AMEX-listed issuers. After seeing an unusual upward spike in the share price or trading volume of a stock, Wilson would telephone the issuer at or about the time he traded the stock. Wilson’s trading strategy generally was to sell the securities short prior to the calls. During these calls, Wilson used an alias and told a corporate officer of the issuer that he was an employee of NASDAQ or AMEX, depending on where the issuer’s stock was listed. Using that false authority, Wilson then asked the corporate officers if they knew of a reason for their companies’ unusually high share price or trading volume. Wilson was seeking—and in several of these telephone calls received—material, non-public information: that the company knew of no reason for the increased price or volume. In all but one case, Wilson instructed the company to issue a press release confirming that it knew of no reason for the increased price or volume. Two of the companies followed Wilson’s instructions and issued such releases. Wilson knew that the companies’ stock prices would drop as a result of these press releases. The complaint also alleges that Wilson illegally attempted to drive down the share price of at least one issuer’s stock by posting false and misleading information regarding that issuer on the Yahoo Finance internet message boards. In one such message, the Commission alleges, Wilson falsely stated that the issuer was being investigated for stock manipulation by the Commission. The Commission’s complaint charges that, as a result of his alleged misconduct, Wilson violated three antifraud provisions of the federal securities laws (Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder). The Commission is seeking a permanent injunction, disgorgement of ill- gotten gains, prejudgment interest, penalties and other equitable relief against Wilson. In a related criminal case, the U.S. Attorney's Office for the Northern District of Ohio today announced the filing of an information charging Wilson with one count of securities fraud and one count of making false statements to the Commission during its investigation of this scheme. The Commission wishes to acknowledge the cooperation and assistance provided in this matter by the U.S. Attorney's Office for the Northern District of Ohio, the Federal Bureau of Investigation’s Cleveland, Ohio field office, and the Stock Watch department of the American Stock Exchange. [SEC v. Peter J. Wilson, Civ. Action No. 1:04CV2290 (Judge Gaughan)] (LR-18979) STANDARDS SETTING BOARDS APPROVAL OF PROPOSED CONFORMING AMENDMENTS TO PCAOB INTERIM STANDARDS RESULTING FROM THE ADOPTION OF PCAOB AUDITING STANDARD NO. 2, “AN AUDIT OF INTERNAL CONTROL OVER FINANCIAL REPORTING PERFORMED IN CONJUNCTION WITH AN AUDIT OF THE FINANCIAL STATEMENTS” The Commission approved the proposed Public Company Accounting Oversight Board (PCAOB) Conforming Amendments to PCAOB Interim Standards Resulting from the Adoption of PCAOB Auditing Standard No. 2, “An Audit of Internal Control Over Financial Reporting Performed in Conjunction With An Audit of the Financial Statements” (File No. PCAOB-2004-08) under Section 19(b)(1) of the Exchange Act. The PCAOB’s conforming amendments will change and add to the auditing standards certain text, including references, to assist auditors in performing integrated audits of financial statements and internal control and would apply certain concepts developed in PCAOB Auditing Standard No. 2 to assist an auditor engaged solely to audit the financial statements. Publication of the approved order is expected in the Federal Register during the week of November 22. (Rel. 34-50688) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-08) to provide interpretive guidance regarding the criteria used to place members on surveillance status. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50671) The Philadelphia Stock Exchange filed a proposed rule change (SR-PHLX- 2004-69) and Amendment No. 1 thereto relating to amendments to the Summary of Index Option and FXI Options Charges. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50679) A proposed rule change (SR-CBOE-2004-45) and Amendment Nos. 1 and 2 thereto have been filed by the Chicago Board Options Exchange relating to the trading of complex orders on the CBOE Hybrid System. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50682) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Philadelphia Stock Exchange filed a proposed rule change (SR–Phlx- 2004-67) relating to assessing index option charges for options on the iShares FTSE/Xinhua China 25 Index Fund. The proposed rule change and Amendment No. 1 thereto have become immediately effective under Section 19(b)(3)(A) of the Securities and Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50676) A proposed rule change (SR-PCX-2004-108) filed by the Pacific Exchange to amend the corporate governance requirements for listed companies has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50677) A proposed rule change (SR-NASD-2004-156) filed by the National Association of Securities Dealers relating to the measurement of ECN response times in the Nasdaq Market Center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50678) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2004-107) filed by the National Association of Securities Dealers relating to computer generated quoting in exchange-listed securities. (Rel. 34-50683) WITHDRAWALS GRANTED An order has been issued granting the application of Devon Energy Corporation to withdraw its common stock, $.10 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 17. (Rel. 34-50672) An order has been issued granting the application of AmNet Mortgage, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 18. (Rel. 34-50686) An order has been issued granting the application of Ryder System, Inc. to withdraw its common stock, $.50 par value, from listing and registration on the Archipelago Exchange (a facility of the Pacific Exchange), effective at the opening of business on November 18. (Rel. 34-50687) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until Dec. 13, 2004, to comment on the application of Aberdeen Global Income Fund, Inc., to withdraw its common stock, $.001 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-50685) 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 UTSTARCOM INC, 1275 HARBOR BAY PARKWAY, STE 100, ALAMEDA, CA, 94502, 5108648800 - 0 ($89,986,301.72) Equity, (File 333-120564 - Nov. 17) (BR. 37) S-8 RINKER GROUP LTD, 0 ($87,672,000.00) Equity, (File 333-120566 - Nov. 17) (BR. 06) F-6 NINETOWNS DIGITAL WORLD TRADE HOLDINGS LTD, 5TH FLOOR UNION PLAZA 20 CHAOWAI STREET, CHAOYANG DISTRICT BEIJING 100020, BEIJING, F4, 00000, 85228684186 - 0 ($5,000,000.00) ADRs/ADSs, (File 333-120567 - Nov. 17) (BR. 03) S-8 FROZEN FOOD EXPRESS INDUSTRIES INC, 1145 EMPIRE CENTRAL PLACE, DALLAS, TX, 75247, 2146308090 - 850,000 ($7,922,000.00) Equity, (File 333-120568 - Nov. 17) (BR. 05) S-8 E MED FUTURE INC, 794 MORRISON ROAD, SUITE 911, COLUMBUS, OH, 43230, 8778551319 - 300,000 ($195,000.00) Equity, (File 333-120569 - Nov. 17) (BR. 36) F-3 NATIONAL GRID TRANSCO PLC, 1-3 STRAND, LONDON WC2N 5EH, X0, 1,000,000,000 ($1,000,000,000.00) Non-Convertible Debt, (File 333-120570 - Nov. 17) (BR. 02) F-10 INTRAWEST CORP, STE 800 200 BURRARD ST, VANCOUVER BRITISH CO, A1, 00000, 2066237580 - 0 ($329,889,627.66) Non-Convertible Debt, (File 333-120571 - Nov. 17) (BR. 05) S-8 MARMION INDUSTRIES CORP, 9103 EMMOTT RD, BUILDING 6 SUITE A, HOUSTON, TX, 77040, 7134666585 - 400,000,000 ($400,000.00) Equity, (File 333-120572 - Nov. 17) (BR. 02) SB-2 Cell Power Technologies Inc, 1428 36TH STREET, SUITE 205, BROOKLYN, NY, 11218, 718-436-7931 - 15,586,576 ($11,750,456.00) Equity, (File 333-120573 - Nov. 17) (BR. 08) S-8 CUNO INC, 400 RESEARCH PARKWAY, MERIDEN, CT, 06450, 2032375541 - 1,200,000 ($73,200,000.00) Equity, (File 333-120574 - Nov. 17) (BR. 06) S-3 STRUCTURED ASSET SECURITIES CORP, 2125267000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-120575 - Nov. 17) (BR. 05) S-4 MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 6,000,000 ($258,540,000.00) Equity, (File 333-120576 - Nov. 17) (BR. 07) S-8 UNITED INDUSTRIAL CORP /DE/, 124 INDUSTRY LANE, HUNT VALLEY, MD, 21030, (410) 628-3500 - 0 ($21,408,000.00) Equity, (File 333-120577 - Nov. 17) (BR. 36) S-3 DYNTEK INC, 18881 VON KARMAN AVENUE, SUITE 250, IRVINE, CA, 92612, 949-955-0078 - 0 ($10,819,597.00) Equity, (File 333-120578 - Nov. 17) (BR. 08) S-8 CANCERVAX CORP, 2110 RUTHERFORD, ROAD, CARLSBAD, CA, 92008, 7604944200 - 0 ($69,338,603.00) Equity, (File 333-120579 - Nov. 17) (BR. 01) S-3 IT&E INTERNATIONAL GROUP, 505 LOMAS SANTA FE DRIVE, SUITE 200, SOLANA BEACH, CA, 92075, 858-366-0970 - 11,200,000 ($6,720,000.00) Equity, (File 333-120580 - Nov. 17) (BR. 01) S-3 CANDIES INC, 215 W. 40TH STREET, 6TH FL., NEW YORK, NY, 10018, 212-730-0030 - 314,981 ($1,823,740.00) Equity, (File 333-120581 - Nov. 17) (BR. 02) S-4 ECHOSTAR DBS CORP, 9601 S. MERIDIAN BLVD., ENGLEWOOD, CO, 80112, 3037231277 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-120584 - Nov. 17) (BR. 37) 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 C MOORE ARTS & CRAFTS INC PA 8.01 11/09/04 A.I. RECEIVABLES TRANSFER CORP. 9.01 11/15/04 ADVANCED MICRO DEVICES INC DE 3.02 11/15/04 Aearo CO I DE 5.02 11/17/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01 10/27/04 AFFIRMATIVE INSURANCE HOLDINGS INC DE 7.01,9.01 11/16/04 AGILE SOFTWARE CORP DE 2.02,9.01 11/17/04 AIR T INC DE 4.01 11/10/04 AIRGATE PCS INC /DE/ DE 7.01,9.01 11/17/04 AIRNET SYSTEMS INC OH 2.02 11/15/04 AKORN INC LA 1.01,9.01 11/11/04 ALABAMA NATIONAL BANCORPORATION DE 2.02,9.01 11/16/04 ALADDIN SYSTEMS HOLDINGS INC NV 8.01 11/11/04 ALLIED HEALTHCARE INTERNATIONAL INC NY 1.01,2.02,5.02,9.01 11/17/04 ALLIS CHALMERS CORP DE 2.02,9.01 11/12/04 ALPENA BANCSHARES INC 8.01,9.01 11/12/04 ALPHA TECHNOLOGIES GROUP INC DE 3.01 11/12/04 ALTIGEN COMMUNICATIONS INC 2.02,9.01 11/17/04 AMCORE FINANCIAL INC NV 5.02,9.01 11/17/04 AMERICAN AIRLINES INC DE 5.02 11/17/04 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,9.01 11/11/04 AMERICAN CAPITAL STRATEGIES LTD 1.01,2.03,9.01 11/15/04 AMERICAN MORTGAGE ACCEPTANCE CO MA 8.01 11/17/04 AMERICAN OIL & GAS INC NV 8.01,9.01 11/16/04 AMERICAN TOWER CORP /MA/ DE 5.02 11/12/04 AMERICAN WOODMARK CORP VA 8.01,9.01 11/16/04 AMERIGAS PARTNERS LP DE 2.02,9.01 11/17/04 AMERITYRE CORP NV 5.02,8.01,9.01 11/15/04 AMN HEALTHCARE SERVICES INC DE 5.02 11/17/04 AMR CORP DE 5.02 11/17/04 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 11/17/04 APPLE HOSPITALITY TWO INC VA 2.01 11/10/04 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 11/16/04 APPLIED MATERIALS INC /DE DC 2.02,9.01 11/17/04 AQUENTIUM INC DE 1.01,9.01 11/05/04 ARCHSTONE SMITH OPERATING TRUST MD 7.01,9.01 11/17/04 ARCHSTONE SMITH TRUST CO 7.01,9.01 11/17/04 ARIZONA AIRCRAFT SPARES INC 1.01,2.01,3.02,9.01 11/15/04 ARTISOFT INC DE 1.01,5.02 09/28/04 AMEND ASSET BACKED SECURITIES CORP DE 8.01,9.01 11/17/04 Asset-Backed Funding Corp. ABFC Asset DE 8.01,9.01 10/14/04 ASTRO MED INC /NEW/ RI 2.02,9.01 11/16/04 AVATECH SOLUTIONS INC DE 2.02,5.02,9.01 11/15/04 AVNET INC NY 7.01,9.01 11/17/04 AXA FINANCIAL INC DE 1.01,9.01 11/11/04 B2Digital, Inc. DE 1.02,2.01,9.01 07/23/04 AMEND BA MASTER CREDIT CARD TRUST / 9.01 10/15/04 BA MASTER CREDIT CARD TRUST / 9.01 09/15/04 BANC OF AMERICA FUNDING CORP DE 8.01,9.01 11/17/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 11/16/04 Banc of America Mortgage Securities M DE 8.01,9.01 09/28/04 BEARINGPOINT INC DE 1.01,5.02 11/10/04 BELLACASA PRODUCTIONS INC NV 1.01,2.01,3.02,4.01,9.01 08/19/03 BELLSOUTH CORP GA 2.01 11/15/04 BERKSHIRE INCOME REALTY INC 9.01 11/12/04 BioMed Realty Trust Inc MD 2.02,9.01 11/11/04 BIOPURE CORP DE 7.01 11/16/04 BLACK BOX CORP DE 1.01 11/11/04 BOCA RESORTS INC DE 8.01,9.01 11/16/04 BORLAND SOFTWARE CORP DE 1.01 11/17/04 BOSTON LIFE SCIENCES INC /DE DE 1.01,1.02 11/12/04 BOWATER INC DE 1.01,5.03 11/10/04 BRADY CORP WI 2.02,9.01 11/16/04 BRANDYWINE OPERATING PARTNERSHIP LP / DE 1.01,9.01 11/15/04 BRANDYWINE REALTY TRUST MD 1.01,9.01 11/15/04 BRE PROPERTIES INC /MD/ MD 7.01,9.01 11/17/04 BRITTON & KOONTZ CAPITAL CORP MS 5.02,9.01 11/15/04 BROADVISION INC DE 1.01,9.01 11/15/04 BROWN SHOE CO INC NY 2.02,9.01 11/17/04 C-COR INC PA 1.01,2.03,9.01 11/05/04 CANTERBURY PARK HOLDING CORP MN 2.02,9.01 11/12/04 CARDINAL BANKSHARES CORP VA 5.02,9.01 11/08/04 CARLETON VENTURES CORP NV 5.02 10/26/04 CARROLS CORP DE 8.01 11/16/04 CATALINA MARKETING CORP/DE DE 8.01 11/17/04 CATO CORP DE 2.02,7.01,9.01 11/16/04 CC V HOLDINGS LLC DE 8.01,9.01 11/17/04 CCH II LLC 8.01,9.01 11/17/04 CCO HOLDINGS LLC 8.01,9.01 11/17/04 CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02 11/17/04 CENTENNIAL SPECIALTY FOODS CORP DE 2.02,9.01 11/17/04 CERTRON CORP CA 1.01,8.01,9.01 11/12/04 CHAMPION INDUSTRIES INC WV 7.01 11/17/04 CHARMING SHOPPES INC PA 2.02,9.01 11/17/04 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 11/17/04 CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 11/17/04 CHEMUNG FINANCIAL CORP NY 8.01,9.01 11/17/04 CHINA NETTV HOLDINGS INC NV 1.01,5.01,5.02,9.01 11/17/04 AMEND CI SELL CARS INC TX 3.02,9.01 11/16/04 CITIGROUP MORTGAGELN TR ORIGEN MANU H 8.01,9.01 11/15/04 CLAREMONT TECHNOLOGIES CORP NV 5.02 11/12/04 COMDISCO HOLDING CO INC DE 8.01,9.01 11/17/04 COMMERCE BANCORP INC /NJ/ NJ 8.01 11/17/04 COMMERCE ONE INC / DE/ DE 8.01,9.01 11/17/04 COMMERCIAL FEDERAL CORP NE 5.02,9.01 11/10/04 CONNS INC DE 1.01,9.01 11/15/04 COORS ADOLPH CO CO 1.01 11/11/04 CORVU CORP MN 3.02,5.03,9.01 10/27/04 CRDENTIA CORP DE 2.01,9.01 08/31/04 AMEND CRESCENT REAL ESTATE EQUITIES CO TX 2.01,9.01 11/10/04 CRESCENT REAL ESTATE EQUITIES LTD PAR DE 2.01,9.01 11/10/04 CSFB ADJUSTABLE RATE MORTGAGE TRUST 2 DE 8.01,9.01 10/28/04 CTS CORP IN 1.01,9.01 11/16/04 CUBIC CORP /DE/ DE 5.02 11/17/04 CUBIST PHARMACEUTICALS INC DE 8.01 11/17/04 CV THERAPEUTICS INC DE 8.01,9.01 11/16/04 D&E COMMUNICATIONS INC PA 7.01,9.01 11/17/04 DAKTRONICS INC /SD/ SD 9.01 10/30/04 DATA SYSTEMS & SOFTWARE INC DE 2.02,3.01,5.02,9.01 11/11/04 DAVEL COMMUNICATIONS INC IL 2.02,7.01,9.01 11/15/04 DEERE JOHN RECEIVABLES INC DE 8.01,9.01 11/17/04 DEL MONTE FOODS CO DE 1.01,9.01 11/11/04 DIAMOND ENTERTAINMENT CORP NJ 2.02,7.01,9.01 11/17/04 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 11/15/04 DIGIMARC CORP DE 1.01,3.03,5.03,9.01 11/16/04 DIGITAL POWER CORP CA 2.02,9.01 11/11/04 Dragon Gold Resources, Inc. NV 2.01,5.01,5.02,8.01,9.01 07/15/04 AMEND DRESS BARN INC CT 1.01,9.01 11/16/04 DRESS BARN INC CT 2.02,9.01 11/17/04 DYNAMIC I-T INC CO 4.01,9.01 11/11/04 EASTMAN KODAK CO NJ 2.05,9.01 11/12/04 EL PASO CORP/DE DE 7.01,9.01 11/17/04 ELCOM INTERNATIONAL INC DE 2.02,9.01 11/15/04 EMERGE INTERACTIVE INC DE 7.01,9.01 11/17/04 EMERSON RADIO CORP DE 2.02,9.01 11/15/04 ENERGY WEST INC MT 5.04,9.01 11/17/04 ENTRADA NETWORKS INC DE 1.01,3.02,9.01 11/10/04 ESPEY MFG & ELECTRONICS CORP NY 5.02,8.01 11/15/04 EVANS BANCORP INC NY 7.01,9.01 11/17/04 EVERGREEN HOLDINGS INC OR 4.01,8.01,9.01 11/16/04 AMEND EVERGREEN SOLAR INC DE 5.02 11/12/04 EWORLDMEDIA HOLDINGS INC NV 5.02 11/17/04 EXELON CORP PA 8.01,9.01 11/16/04 FAIR ISAAC CORP DE 4.01,9.01 11/14/04 FIBERMARK INC DE 2.02 09/30/04 FIDELITY CAPITAL CONCEPTS LTD NV 1.01,3.01,5.01,5.02,8.01,9.01 11/16/04 FIDELITY NATIONAL FINANCIAL INC /DE/ DE 1.01,9.01 11/11/04 FIRST FINANCIAL BANCORP /CA/ CA 2.02,9.01 11/15/04 FIRST MONTAUK FINANCIAL CORP NJ 2.02,9.01 11/16/04 FIRST NATIONAL BANKSHARES OF FLORIDA FL 9.01 09/03/04 AMEND FIRST UNION NATIONAL BANK COM MORT PA NC 9.01 11/12/04 FLUSHING FINANCIAL CORP DE 8.01,9.01 11/16/04 Ford Credit Auto Owner Trust 2004-A DE 8.01,9.01 10/31/04 FTI CONSULTING INC MD 5.02 11/16/04 FUELCELL ENERGY INC DE 3.02 11/17/04 GANDER MOUNTAIN CO MN 2.02,9.01 11/17/04 GAOFENG GOLD CORP NV 5.02 11/17/04 GARDNER DENVER INC DE 9.01 09/02/04 AMEND GAYLORD ENTERTAINMENT CO /DE DE 8.01,9.01 11/17/04 GAYLORD ENTERTAINMENT CO /DE DE 7.01,9.01 11/17/04 GE Capital Credit Card Master Note Tr DE 8.01,9.01 11/15/04 GENERAL MOTORS CORP DE 2.05 11/15/04 GEO GROUP INC FL 5.02,9.01 11/12/04 GEORESOURCES INC CO 2.02 11/17/04 GILMAN & CIOCIA INC DE 5.02 11/15/04 GLOBAL ENVIRONMENTAL ENERGY COPORATIO C5 8.01,9.01 11/16/04 GLYCOGENESYS INC NV 8.01,9.01 11/17/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/16/04 GREATER BAY BANCORP CA 8.01,9.01 11/17/04 GREATER BAY BANCORP CA 8.01,9.01 11/17/04 GreenPoint Home Equity Loan Trust 200 DE 8.01,9.01 11/15/04 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 10/25/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 11/15/04 GSE SYSTEMS INC DE 8.01 11/12/04 GTA-IB, LLC FL 2.01,9.01 07/15/04 AMEND GTECH HOLDINGS CORP DE 8.01 11/16/04 H&E EQUIPMENT SERVICES LLC LA 4.01,9.01 11/02/04 AMEND HALLIBURTON CO DE 7.01,8.01 11/15/04 HANOVER DIRECT INC DE 4.02,9.01 11/09/04 AMEND HELIX TECHNOLOGY CORP DE 5.02 11/17/04 HERITAGE WORLDWIDE INC 2.02,9.01 11/17/04 HEWLETT PACKARD CO DE 2.02,9.01 11/16/04 AMEND HOMEBANC CORP GA 7.01,9.01 11/17/04 HOMESTAR MORTGAGE ACCEPTANCE CORP DE 8.01,9.01 11/17/04 HOUSERAISING, INC. NC 9.01 08/31/04 AMEND IEC ELECTRONICS CORP DE 2.02,9.01 11/17/04 INCENTRA SOLUTIONS, INC. NV 2.02,9.01 11/16/04 INFOTEC BUSINESS SYSTEMS INC NV 1.01,2.01,3.02,5.01,5.02,8.01 11/11/04 INLAND REAL ESTATE CORP MD 7.01 11/17/04 INTERACTIVE INTELLIGENCE INC IN 5.02 11/16/04 INTERWAVE COMMUNICATIONS INTERNATIONA 2.02,9.01 11/11/04 INTUIT INC DE 2.02,9.01 11/17/04 INVESTNET INC NV 1.01,9.01 11/11/04 INVESTOOLS INC DE 7.01,9.01 11/04/04 J C PENNEY CO INC DE 2.02,5.02 11/16/04 J.P.Morgan Chase Commercial Mortgage DE 9.01 11/12/04 JACK IN THE BOX INC /NEW/ DE 1.01,5.02,9.01 11/17/04 James River Coal CO VA 8.01,9.01 11/17/04 JONES APPAREL GROUP INC PA 8.01,9.01 11/17/04 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 7.01,9.01 11/15/04 KINDERCARE LEARNING CENTERS INC /DE DE 1.01,9.01 11/12/04 KMART HOLDING CORP DE 2.02,9.01 11/17/04 KMART HOLDING CORP DE 8.01,9.01 11/16/04 KRONOS WORLDWIDE INC 9.01 11/17/04 LABARGE INC DE 7.01,9.01 11/17/04 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/16/04 LAKELAND INDUSTRIES INC DE 7.01,8.01 11/17/04 Lazy Days R.V. Center, Inc. 2.02,9.01 11/17/04 LCA VISION INC DE 8.01,9.01 11/17/04 LEFT RIGHT MARKETING TECHNOLOGY INC DE 5.02,8.01,9.01 09/07/04 LEXINGTON PRECISION CORP DE 2.02,9.01 11/15/04 LONGS DRUG STORES CORP MD 2.02 11/17/04 M&F BANCORP INC /NC/ NC 8.01,9.01 11/16/04 MADISON RIVER CAPITAL LLC DE 7.01,9.01 11/17/04 MASSEY ENERGY CO DE 5.02,5.03,9.01 11/15/04 MATTHEWS INTERNATIONAL CORP PA 2.02 11/16/04 MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01,5.03,8.01,9.01 08/05/04 MEDTRONIC INC MN 2.02,9.01 11/17/04 MELLON BANK N A MA 8.01,9.01 11/17/04 AMEND MELLON BANK N A MA 8.01,9.01 11/17/04 AMEND MENS WEARHOUSE INC TX 2.02,9.01 11/17/04 MEREDITH ENTERPRISES INC DE 3.03,9.01 11/15/04 Merrill Lynch Mortgage Trust 2004-KEY DE 9.01 11/12/04 MGI PHARMA INC MN 8.01,9.01 11/17/04 MIAD SYSTEMS LTD A6 4.01 11/17/04 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 11/17/04 MID WISCONSIN FINANCIAL SERVICES INC WI 3.02 11/17/04 MISSION RESOURCES CORP DE 5.02,9.01 11/16/04 MISSISSIPPI CHEMICAL CORP /MS/ MS 5.02 11/12/04 AMEND MOBILEPRO CORP DE 2.01,2.03,3.02,9.01 11/15/04 MODENA 5 INC DE 5.01 11/17/04 MOMENTA PHARMACEUTICALS INC DE 1.01,9.01 11/15/04 MONDAVI ROBERT CORP CA 8.01,9.01 11/15/04 Morgan Stanley Capital I Trust 2004 I DE 8.01,9.01 11/15/04 Morgan Stanley Capital I Trust Series DE 8.01,9.01 11/15/04 MortgageIT Securities Corp. DE 8.01,9.01 11/16/04 MSX INTERNATIONAL INC DE 2.02,9.01 11/15/04 MTI TECHNOLOGY CORP DE 2.02,9.01 11/15/04 MTS SYSTEMS CORP MN 2.02,9.01 11/17/04 MUNICIPAL MORTGAGE & EQUITY LLC DE 1.01,2.03,9.01 11/12/04 N-VIRO INTERNATIONAL CORP DE 5.02 11/17/04 N-VIRO INTERNATIONAL CORP DE 8.01 11/17/04 NABI BIOPHARMACEUTICALS DE 1.01,8.01 11/11/04 Nalco Holding CO 5.02,9.01 11/16/04 NationsHealth, Inc. DE 7.01,9.01 11/16/04 NATIONWIDE FINANCIAL SERVICES INC/ DE 8.01 11/16/04 NATIONWIDE LIFE INSURANCE CO OH 8.01 11/16/04 NATURAL GAS SYSTEMS INC/NEW NV 1.02 11/12/04 NATURAL GAS SYSTEMS INC/NEW NV 2.01 09/03/04 AMEND NATURE VISION, INC. MN 9.01 08/31/04 AMEND NEOPHARM INC DE 1.01,3.03,5.02,9.01 11/11/04 NET2PHONE INC DE 3.02 11/11/04 NEW CENTURY FINANCIAL CORP MD 1.01,9.01 11/12/04 NEW FRONTIER ENERGY INC CO 1.01,3.02,3.03,5.03,9.01 11/09/04 NEW GERMANY FUND INC MD 7.01 11/17/04 New York & Company, Inc. 5.02 11/17/04 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 5.02,9.01 11/12/04 NORTHERN TRUST CORP DE 5.03,9.01 11/16/04 NORTHROP GRUMMAN CORP /DE/ DE 1.01,8.01,9.01 11/16/04 NOTIFY TECHNOLOGY CORP CA 2.02,9.01 11/17/04 NOTIFY TECHNOLOGY CORP CA 1.01,5.02,9.01 11/17/04 NSTOR TECHNOLOGIES INC DE 2.01,9.01 11/12/04 OCEANEERING INTERNATIONAL INC DE 7.01 11/17/04 ODYSSEY MARINE EXPLORATION INC NV 7.01,9.01 11/17/04 OHIO VALLEY BANC CORP OH 8.01,9.01 11/16/04 OPENTV CORP 8.01 11/15/04 OPENTV CORP 8.01 11/15/04 Origen Residential Securities, Inc. DE 8.01,9.01 11/15/04 PACIFIC ENTERPRISES INC CA 8.01 11/16/04 PANAVISION INC DE 1.01,3.02,5.03,9.01 11/17/04 PAPA JOHNS INTERNATIONAL INC DE 8.01,9.01 11/16/04 PEOPLES EDUCATIONAL HOLDINGS MN 7.01 11/17/04 PETROHAWK ENERGY CORP DE 7.01 11/16/04 PETSMART INC DE 2.02,9.01 11/17/04 PHOENIX COLOR CORP DE 2.02,9.01 11/17/04 PHOTOWORKS INC /WA WA 9.01 11/17/04 PIPELINE DATA INC 7.01 09/30/04 PLATO LEARNING INC DE 1.02,5.02,9.01 11/17/04 POINT 360 CA 1.01,3.03,5.03,8.01,9.01 11/17/04 Polypore International, Inc. 2.02,9.01 11/15/04 POSTER FINANCIAL GROUP INC NV 5.02 11/11/04 PPL CORP PA 1.01,9.01 11/17/04 PREMCOR INC DE 5.02,9.01 11/16/04 PRIMAL SOLUTIONS INC DE 5.02,7.01,9.01 11/12/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/12/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/12/04 PRO-FAC COOPERATIVE INC NY 7.01 11/11/04 PROLONG INTERNATIONAL CORP NV 2.02,9.01 11/15/04 PROTECTION ONE INC DE 1.01,1.02,9.01 11/16/04 PSF GROUP HOLDINGS INC NC 2.02,9.01 11/09/04 R H DONNELLEY CORP DE 9.01 09/01/04 AMEND RADIOLOGIX INC DE 2.01 11/12/04 RAINIER PACIFIC FINANCIAL GROUP INC 8.01,9.01 11/17/04 READERS DIGEST ASSOCIATION INC DE 8.01 11/16/04 REGENCY CENTERS CORP FL 5.03,9.01 11/12/04 REGENCY CENTERS LP FL 5.03,9.01 11/11/04 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 11/15/04 REGENERON PHARMACEUTICALS INC NY 1.01,9.01 11/15/04 RENAISSANCE MEDIA GROUP LLC DE 8.01,9.01 11/17/04 REWARDS NETWORK INC DE 5.03,9.01 11/16/04 ROBOTIC VISION SYSTEMS INC DE 8.01 11/05/04 AMEND ROYSTER-CLARK INC DE 1.01,9.01 08/12/04 AMEND RUDDICK CORP NC 8.01,9.01 11/17/04 SALESFORCE COM INC DE 2.02,9.01 11/17/04 SALESFORCE COM INC DE 5.02 11/17/04 SAN DIEGO GAS & ELECTRIC CO CA 8.01 11/16/04 SANDS REGENT NV 1.01,3.02,9.01 11/12/04 SANDY SPRING BANCORP INC MD 8.01,9.01 11/17/04 SANGUI BIOTECH INTERNATIONAL INC CO 7.01 11/16/04 SANTARUS INC DE 8.01 11/12/04 SANTARUS INC DE 3.03,9.01 11/11/04 SCHUFF INTERNATIONAL INC DE 3.01,8.01 11/16/04 SCHUFF INTERNATIONAL INC DE 8.01,9.01 11/17/04 SCIENTIFIC LEARNING CORP DE 3.01 11/16/04 SEARS ROEBUCK & CO NY 8.01,9.01 11/16/04 SEMPRA ENERGY CA 8.01 11/16/04 SEQUOIA MORTGAGE FUNDING CORP MD 8.01,9.01 10/28/04 SERACARE LIFE SCIENCES INC 1.01,5.03,8.01,9.01 11/12/04 SEVERN BANCORP INC MD 7.01 09/17/04 SILVERADO FINANCIAL INC NV 5.02 11/15/04 SKYWAY COMMUNICATIONS HOLDING CORP FL 9.01 11/16/04 SKYWORKS SOLUTIONS INC DE 8.01 11/10/04 SMARTSERV ONLINE INC DE 2.02,9.01 11/16/04 SMITHFIELD FOODS INC VA 2.02,9.01 11/15/04 SMTEK INTERNATIONAL INC DE 1.01,8.01,9.01 11/16/04 SOLECTRON CORP DE 8.01 11/15/04 SONOMAWEST HOLDINGS INC DE 3.03,9.01 11/15/04 SOURCECORP INC DE 1.01,8.01,9.01 11/12/04 SPECTRE GAMING INC MN 3.02,9.01 11/12/04 STANDARD PARKING CORP DE 1.01,9.01 11/15/04 STERIS CORP OH 1.01,9.01 11/15/04 STEWART INFORMATION SERVICES CORP DE 5.02 11/15/04 STORAGE COMPUTER CORP DE 3.01,7.01 11/17/04 STORAGE COMPUTER CORP DE 3.01,7.01 11/17/04 STRATEGIC DISTRIBUTION INC DE 2.02 11/17/04 STRATEGIC DISTRIBUTION INC DE 5.02 11/17/04 Structured Asset Investment Loan Trus DE 8.01 10/29/04 AMEND SUN HEALTHCARE GROUP INC DE 5.02 11/11/04 SUNAIR ELECTRONICS INC FL 1.01,3.02,8.01,9.01 11/17/04 SUNRISE SENIOR LIVING INC DE 5.02 11/17/04 SURMODICS INC MN 5.02 11/11/04 SYMBOL TECHNOLOGIES INC DE 2.02,9.01 10/26/04 AMEND SYSCO CORP DE 1.01,9.01 11/11/04 TALBOTS INC DE 2.02,9.01 11/17/04 TALX CORP MO 8.01 11/17/04 TEXEN OIL & GAS INC NV 5.02,7.01 11/17/04 TITAN CORP DE 7.01,9.01 11/17/04 TITANIUM METALS CORP DE 1.01,1.02,9.01 11/17/04 TOO INC DE 2.02,8.01,9.01 11/17/04 TRANSGENOMIC INC DE 2.01,9.01 11/11/04 TREASURE MOUNTAIN HOLDINGS INC NV 4.01,9.01 11/10/04 AMEND TRUST CREATED FEBRUARY 25 1986 4.01,8.01,9.01 11/16/04 AMEND TRW AUTOMOTIVE HOLDINGS CORP DE 5.03,9.01 11/16/04 Trycera Financial, Inc. NV 9.01 11/02/04 AMEND UGI CORP /PA/ PA 2.02,9.01 11/17/04 UGI UTILITIES INC PA 2.02,9.01 11/17/04 UNION BANKSHARES INC VT 4.01,9.01 11/17/04 UNITED INDUSTRIAL CORP /DE/ DE 8.01,9.01 11/17/04 UNITRIN INC DE 5.02 11/16/04 URSTADT BIDDLE PROPERTIES INC MD 8.01 11/17/04 US CONCRETE INC DE 1.01,5.02,9.01 11/11/04 USG CORP DE 1.01,8.01,9.01 11/09/04 VAXGEN INC DE 1.01,9.01 11/04/04 VAXGEN INC DE 1.01,9.01 11/04/04 AMEND VECTOR GROUP LTD DE 1.01,2.03,3.02,9.01 11/16/04 VELOCITY EXPRESS CORP DE 3.01,9.01 11/16/04 VERSO TECHNOLOGIES INC MN 1.01,3.01 11/11/04 VICURON PHARMACEUTICALS INC DE 7.01 11/15/04 VISHAY INTERTECHNOLOGY INC DE 8.01 11/17/04 VOIP INC 3.03,9.01 11/11/04 VPGI CORP TX 1.01,2.01,2.03,3.02,9.01 11/10/04 WACHOVIA COMM MORT SEC INC COM MORT P NC 8.01,9.01 11/15/04 WACHOVIA COMMERCIAL MORT PASS THRU CE NC 8.01,9.01 11/15/04 WACHOVIA COMMERCIAL MORT PASS THRU CE NC 8.01,9.01 11/15/04 WACHOVIA COMMERCIAL MORT SEC INC PAS NC 8.01,9.01 11/15/04 WACHOVIA COMMERCIAL MORT SEC INC COM NC 8.01,9.01 11/15/04 WACHOVIA COMMERCIAL MORT SEC INC COM NC 8.01,9.01 11/15/04 WARRANTECH CORP DE 1.01 11/11/04 WARRANTECH CORP DE 2.02,9.01 11/17/04 WEBB INTERACTIVE SERVICES INC CO 2.02,9.01 11/15/04 WEBMETHODS INC DE 3.01,7.01,9.01 11/17/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 11/15/04 WEST CORP DE 1.01 11/15/04 WHITING PETROLEUM CORP DE 8.01,9.01 11/16/04 WINTRUST FINANCIAL CORP IL 8.01,9.01 11/17/04 WMS INDUSTRIES INC /DE/ DE 5.02,9.01 11/11/04 WORLD AM, INC. 3.02,5.02,5.03,9.01 09/01/04 AMEND WORLDGATE COMMUNICATIONS INC DE 2.02,4.02,9.01 11/10/04 WRC MEDIA INC DE 7.01,9.01 11/17/04 XTO ENERGY INC DE 1.01,2.03 11/10/04 YOUNG BROADCASTING INC /DE/ DE 5.02 11/15/04 ZANETT INC DE 2.03 11/16/04 ZENITH NATIONAL INSURANCE CORP DE 7.01,9.01 11/17/04