SEC NEWS DIGEST Issue 2004-224 November 22, 2004 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #4 FOR FISCAL YEAR 2005 The continuing resolution funding the Securities and Exchange Commission for fiscal 2005 since Oct. 1, 2004, has been extended through Dec. 3, 2004. Therefore, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates. Five days after enactment of the Commission's regular fiscal year 2005 appropriation, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions will decrease from the current rate of $126.70 per million to $117.70 per million, as previously announced. In addition, thirty days after enactment of the Commission's regular appropriation, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq will increase from the current rate of $23.40 per million to $32.90 per million, as previously announced. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the web sites of The New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasdr.com. A copy of the Commission's April 30, 2004, order regarding fee rates for fiscal year 2005 is available at http://www.sec.gov/news/press/2004- 59.htm. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2004-159) ENFORCEMENT PROCEEDINGS REVOCATION OF REGISTRATION OF SECURITIES OF SOULFOOD CONCEPTS, INC. The Commission announced that it revoked the registration of the securities of Soulfood Concepts, Inc., at 9:30 a.m. on November 22, pursuant to Section 12(j) of the Securities Exchange Act of 1934. In its Order revoking the registration of Soulfood’s securities, the Commission found that Soulfood failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file quarterly reports for the quarters ended June 30 and September 30, 2003, and March 31 and June 30, 2004, and by failing to file an annual report for the year ended December 31, 2003. The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked pursuant to the preceding sentence. Without admitting or denying the findings in the Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Soulfood consented to the entry of an order finding that it had violated Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking its registration. (Rel. 34-50711; File No. 3-11703) FINAL JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST EDWARD CHISM, SR. The Commission announced that on November 9 the U.S. District Court for the Southern District of Florida entered a Final Judgment of Permanent Injunction and Other Relief against Defendant Edward Chism, Sr. The Final Judgment, entered with Chism’s consent, enjoins him from violations of 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. It also provides for an Officer and Director Bar. In addition to injunctive relief, the Final Judgment orders Chism to pay disgorgement in the amount of $1,150,000. [SEC v. American Financial Group of Aventura, Inc., David H. Siegel and Edward M. Chism, Sr., Case No. 02-22198-CIV-MARTINEZ/SIMONTON] (LR-18982) THE COMMISSION SUES FORMER LENDINGTREE EMPLOYEES FOR INSIDER TRADING On November 22, the Commission announced that it filed an insider trading complaint in the U.S. District Court for the Western District of North Carolina against Mark P. Mead, Michael J. Ricks, and John H. Woody, former employees of LendingTree, Inc. (LendingTree), a financial services company based in Charlotte, North Carolina. The Commission’s complaint alleges that Mead (Vice President of National Accounts), Ricks (Senior Director of Strategy and Sales) and Woody (Senior Director of Sales and Product Management) purchased LendingTree securities prior to the May 5, 2003, public announcement (Announcement) of the proposed merger between LendingTree and USA Interactive, after learning of the proposed transaction during the course of their employment. As alleged in the complaint, LendingTree’s stock price rose sharply on the day of the Announcement to close at a 41% premium over the closing price of the previous trading day. By trading on this material, nonpublic information, the complaint alleges, Mead, Ricks and Woody realized substantial illicit profits and violated the antifraud provisions of the Securities Exchange Act of 1934 (Exchange Act). Without admitting or denying the allegations in the complaint, Mead, Ricks, and Woody consented to the entry of final judgments against them that permanently enjoin them from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The final judgments also require Mead, Ricks, and Woody to disgorge illegal trading profits of $62,756, $62,102.50, and $86,612.50, respectively, and pay prejudgment interest thereon. Finally, the final judgments order each defendant to pay a civil penalty in an amount equal to their disgorgement obligations, pursuant to Section 21A of the Exchange Act. The Commission’s complaint alleges that while working as LendingTree employees, Mead, Ricks, and Woody learned of the pending merger between LendingTree and USA Interactive by observing unusual activity at LendingTree’s headquarters related to the merger, including a senior management meeting with USA Interactive. The complaint also alleges that Mead, Ricks and Woody worked in close proximity to LendingTree executives and employees who were aware of the merger negotiations -- and all three had access to pertinent information and documents related to the pending merger. The complaint further alleges that just prior to the Announcement, Mead, Ricks, and Woody approached LendingTree’s senior management and asked whether the unusual activity at headquarters signified that LendingTree was going to be acquired. Furthermore, the complaint alleges that most of the illegal trading by Mead, Ricks and Woody in LendingTree securities occurred on Friday, May 2, 2003 -- the last trading day before the Announcement. Finally, the complaint alleges that Mead’s, Ricks’ and Woody’s trades in the days leading up to the Announcement were their first purchases of LendingTree equities in the secondary market – as well as the first purchases by Ricks and Woody of LendingTree option contracts. The Commission wishes to thank the Chicago Board Options Exchange for its assistance in this matter. The Commission’s investigation in this matter is continuing. [SEC v. Michael J. Ricks, John H. Woody, and Mark P. Mead, Civil Action No. 3:04CV576] (LR-18983) INVESTMENT COMPANY ACT RELEASES ALLSTATE LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until Dec. 14, 2004, to request a hearing on an application filed by Allstate Life Insurance Company, et al. seeking an order of exemption pursuant to Section 17(b) of the Investment Company Act from Section 17(a) of the Act. (Rel. IC- 26659 - November 19) PACIFICARE OF ARIZONA, INC., ET AL. An order has been issued under Section 3(b)(2) of the Investment Company Act declaring that each of PacifiCare of Arizona, Inc., PacifiCare of California, PacifiCare of Colorado, Inc., PacifiCare of Nevada, Inc., PacifiCare of Oregon, Inc., PacifiCare of Texas, Inc., and PacifiCare of Washington, Inc. is engaged primarily in a business other than that of investing, reinvesting, owning, holding, or trading in securities. The order also grants confidential treatment under Section 45(a) of the Act with respect to certain financial and other information. (Rel. IC- 26679 – November 22) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY, INC., ET AL. A notice has been issued giving interested persons until Dec. 9, 2004, to request a hearing on a proposal by Utility Holding, LLC, a wholly- owned subsidiary of CenterPoint Energy, Inc. (CenterPoint), a registered holding company, to dividend the proceeds from both phases of the sale of Texas Genco Holdings, Inc. to CenterPoint. Utility Holding proposes to pay the dividends out of its capital account. (Rel. 35-27910) ALLIANT ENERGY CORPORATION ET AL. A notice has been issued on a proposal by Alliant Energy Corporation, Alliant Energy Resources, Inc., Alliant Energy Nuclear LLC and its Subsidiary, Alliant Energy Synfuel LLC and its Subsidiaries, Alliant Energy EPC, LLC, Alliant Energy TransCo LLC and its Subsidiary, Distribution Vision 2010, LLC, Wisconsin Power and Light Company, WPL Transco, LLC, Interstate Power and Light Company, Alliant Energy Corporate Services, Inc., Alliant Energy Transportation, Inc. and its Subsidiaries, Alliant Energy Investments, Inc. and its Subsidiaries, Alliant Energy Integrated Services Company and its Subsidiaries, Wisconsin River Power Company, AEG Worldwide, Inc. and its Subsidiaries, Alliant Energy Neenah, LLC and AER Holding Company (collectively, Applicants). Applicants propose to engage, through December 31, 2007, in a series of financings and activities including issuance of securities, hedging transactions, a money pool agreement, and creation of certain subsidiary companies. (Rel. 35- 27913) BLACK HILLS CORPORATION, ET AL. A notice has been issued giving interested persons until Dec. 13, 2004, to request a hearing on a proposal by Black Hills Corporation (Black Hills), a public-utility holding company exempt under Section 3(a)(1) of the Act by Rule 2, and its subsidiaries (including Black Hills Power, Inc., its subsidiary electric-utility company), that Black Hills be authorized to purchase Cheyenne Light, Fuel & Power Company (Cheyenne), an electric- and gas-utility company subsidiary of Xcel Energy Inc., a registered holding company, and that Black Hills and its subsidiaries be authorized to engage in certain related financing and investment activities, intrasystem services and other activities and transactions through Dec. 31, 2007, to facilitate Cheyenne’s operations in the Black Hills system. (Rel. 35-27914) XCEL ENERGY INC., ET AL. A notice has been issued giving interested persons until Dec. 13, 2004, to request a hearing on a proposal by Xcel Energy Inc. (Xcel Energy), a registered public-utility holding company, to sell Cheyenne Light, Fuel & Power Company (Cheyenne), one of its wholly owned public-utility company subsidiaries, and that Xcel Energy and certain subsidiaries be authorized to provide related services, for a short-term, interim period, to Cheyenne to facilitate the sale. (Rel. 35-27914) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 1 thereto submitted by the American Stock Exchange (SR-Amex-2004-66) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to allocation procedures for relisted options. Publication of the order is expected in the Federal Register during the week of November 22. (Rel. 34-50698) The Commission granted approval of a proposed rule change (SR-FICC-2004- 07) filed by the Fixed Income Clearing Corporation to amend the rules of its Mortgage-Backed Securities Division to eliminate the “mortgage banker” category of membership. Publication of the order is expected in the Federal Register during the week of November 22. (Rel. 34-50612) PROPOSED RULE CHANGE The Depository Trust Company filed a proposed rule change (SR-DTC-2004- 10) that would allow DTC to implement Phase II of the Inventory Management System. Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50690) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the National Stock Exchange relating to the Exchange’s designation of its governing board and members of its governing board has become effective under Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934 (SR-NSX-2004-06). Publication of the proposal is expected in the Federal Register during the week of November 22. (Rel. 34-50708) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.02 par value, of Olympic Cascade Financial Corporation, effective at the opening of business on November 22. (Rel. 34-50709) 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: . SB-2 SpeechSwitch, Inc., 750 HIGHWAY 34, MATAWAN, NJ, 07747, 732-441-7700 - 1,553,781,579 ($15,537,816.00) Equity, (File 333-120610 - Nov. 19) (BR. 03) N-2 Nuveen Equity Premium Opportunity Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($20,000.00) Equity, (File 333-120613 - Nov. 19) (BR. ) S-1 Dolby Laboratories, Inc., 100 POTRERO AVENUE, SAN FRANCISCO, CA, 94103, 415 558 0200 - 0 ($460,000,000.00) Equity, (File 333-120614 - Nov. 19) (BR. ) S-1 UNICA CORP, 170 TRACER LANE, WALTHAM, MA, 02451, 781-259-5900 - 0 ($57,500,000.00) Equity, (File 333-120615 - Nov. 19) (BR. ) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 20,000,000 ($20,000,000.00) Equity, (File 333-120616 - Nov. 19) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 720,000 ($28,641,600.00) Equity, (File 333-120617 - Nov. 19) (BR. 05) S-8 DARK DYNAMITE, INC, 63 WEST 100 SOUTH, SECOND FLOOR STUDIO, SALT LAKE CITY, UT, 84101, 801-575-8073 - 1,400,000 ($140,000.00) Equity, (File 333-120619 - Nov. 19) (BR. 02) S-8 MICRON TECHNOLOGY INC, 8000 S FEDERAL WAY, PO BOX 6, BOISE, ID, 83716-9632, 2083684000 - 0 ($213,480,000.00) Equity, (File 333-120620 - Nov. 19) (BR. 36) S-1 EMAGEON INC, 1200 CORPORATE DRIVE, SUITE 1200, BIRMINGHAM, AL, 35242, (205) 980-9222 - 0 ($75,000,000.00) Equity, (File 333-120621 - Nov. 19) (BR. ) S-8 ALAMOS GOLD INC, SUITE 1400, 400 BURRARD STREET, VANCOUVER, A1, 00000, 6046431787 - 5,072,851 ($10,679,813.00) Equity, (File 333-120622 - Nov. 19) (BR. 04) S-8 UNITED COMMUNITY BANKS INC, P O BOX 398, 59 HIGHWAY 515, BLAIRSVILLE, GA, 30512, 5818073041 - 0 ($43,560,000.00) Equity, (File 333-120623 - Nov. 19) (BR. 07) F-6 MULTIEMEDIA LTD, COLLINS HILL HOUSE LEVEL 6, 412 COLLINS STREET, MELBOURNE, VICTORIA 3000, C3, 00000, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-120625 - Nov. 19) (BR. ) S-8 DIAMOND DISCOVERIES INTERNATIONAL CORP, 119 WEST 23RD ST, STE 508, NEW YORK, NY, 10011, 6464863900 - 0 ($1,190,000.00) Equity, (File 333-120626 - Nov. 19) (BR. 04) S-8 DOCUCORP INTERNATIONAL INC, 5910 NORTH CENTRAL EXPRESSWY, SUITE 800, DALLAS, TX, 75206, 2148916500 - 0 ($1,583,750.00) Equity, (File 333-120627 - Nov. 19) (BR. 03) S-8 FINANCIALCONTENT INC, 4153566800 - 500,000 ($450,000.00) Equity, (File 333-120628 - Nov. 19) (BR. 37) S-8 VERITAS SOFTWARE CORP /DE/, 350 ELLIS STREET, MOUNTAIN VIEW, CA, 94043, 6505278000 - 1,300,000 ($2,327,260.00) Equity, (File 333-120629 - Nov. 19) (BR. 03) S-3 COMMUNITY CENTRAL BANK CORP, P O BOX 7, MOUNT CLEMENS, MI, 48046-0007, 5867834500 - 500,000 ($6,465,000.00) Equity, (File 333-120630 - Nov. 19) (BR. 07) S-8 DEX MEDIA INC, 6,264,150 ($51,425,034.70) Equity, (File 333-120631 - Nov. 19) (BR. 05) S-8 QUANTUM CORP /DE/, 1650 TECHNOLOGY DR, SUITE 800, SAN JOSE, CA, 95110, 4088944000 - 10,819,080 ($31,537,618.20) Equity, (File 333-120632 - Nov. 19) (BR. 03) SB-2 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 9057602987 - 7,912,500 ($7,121,250.00) Equity, (File 333-120633 - Nov. 19) (BR. 06) S-3 FIDELITY BANKSHARES INC, 218 DATURA ST, WEST PALM BEACH, FL, 33401-5679, 5616596600 - 0 ($48,576,000.00) Equity, (File 333-120634 - Nov. 19) (BR. 07) S-8 GLOBECOMM SYSTEMS INC, 45 OSER AVENUE, HAUPPAUGE, NY, 11788, 5162319800 - 0 ($6,280,000.00) Equity, (File 333-120635 - Nov. 19) (BR. 37) SB-2 DUSKA THERAPEUTICS, INC., TWO BALA PLAZA, SUITE 300, BALA CYNWYD, PA, 19004, 610- 660-6690 - 0 ($25,973,668.72) Equity, (File 333-120637 - Nov. 19) (BR. 01) S-8 INTERCHANGE CORP, 24422 AVENIDA DE LA CARLOTA, SUITE 120, LAGUNA HILLS, CA, 92653, (949) 784-0800 - 0 ($11,535,105.38) Equity, (File 333-120638 - Nov. 19) (BR. 09) S-3 INSMED INC, 8088286893 - 0 ($13,847,156.00) Equity, (File 333-120639 - Nov. 19) (BR. 01) S-8 GLOBAL PAYMENTS INC, 10 GLENLAKE PARKWAY, NORTH TOWER, ATLANTA, GA, 30328, 7708298238 - 0 ($226,160,000.00) Equity, (File 333-120640 - Nov. 19) (BR. 08) S-4 PANAMSAT CORP /NEW/, 20 WESTPORT ROAD, WILTON, CT, 06897, 2032108000 - 0 ($1,010,000,000.00) Other, (File 333-120641 - Nov. 19) (BR. 37) S-4 VENTAS INC, 10350 ORMSBY PARK PLACE, SUITE 300, LOUISVILLE, KY, 40223, 5023579000 - 125,000,000 ($125,000,000.00) Equity, (File 333-120642 - Nov. 19) (BR. 08) S-4 FRONTIER OIL CORP /NEW/, 10000 MEMORIAL DRIVE, SUITE 600, HOUSTON, TX, 77024, 7136889600 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-120643 - Nov. 19) (BR. 04) S-4 HOME DEPOT INC, 2455 PACES FERRY ROAD, ATLANTA, GA, 30339-4024, 770-433-82 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-120644 - Nov. 19) (BR. 06) N-2 MANAGED HIGH YIELD PLUS FUND INC, C/O UBS GLOBAL ASSET MANAGEMENT (US) INC, 51 WEST 52ND ST, NEW YORK, NY, 10019, 212 882 5575 - 0 ($1,000,000.00) Equity, (File 333-120645 - Nov. 19) (BR. 16) S-3 HALLIBURTON CO, 1401MCKINNEY, 1401 MCKINNEY, HOUSTON, TX, 77010, 7137592600 - 59,500,000 ($2,216,672,500.00) Equity, (File 333-120646 - Nov. 19) (BR. 04) S-8 ANADYS PHARMACEUTICALS INC, 3115 MERRYFIELD ROW, SAN DIEGO, CA, 92121, 8585303600 - 0 ($8,168,522.22) Equity, (File 333-120647 - Nov. 19) (BR. 01) S-1 STENTOR INC, 3733 BRODERICK STREET, SAN FRANCISCO, CA, 94123, 4154416258 - 0 ($69,000,000.00) Equity, (File 333-120648 - Nov. 19) (BR. ) S-3 INTERNATIONAL LEASE FINANCE CORP, 10250 CONSTELLATION BLVD., SUITE 3400, LOS ANGELES, CA, 90067, 3107881999 - 0 ($5,000,000,000.00) Debt Convertible into Equity, (File 333-120649 - Nov. 19) (BR. 06) 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 ------------------------------------------------------------------------------------------------ ABRAXAS PETROLEUM CORP NV 3.03 11/19/04 ACCESS INTEGRATED TECHNOLOGIES INC 2.01,3.02,9.01 11/17/04 ACE CASH EXPRESS INC/TX TX 1.01,8.01,9.01 11/15/04 ACE GAMING LLC NJ 2.03,8.01,9.01 11/12/04 ACNB CORP PA 2.02,7.01 11/12/04 ACT TELECONFERENCING INC CO 1.01,2.03,9.01 11/11/04 ACTUANT CORP WI 1.01,9.01 11/18/04 ADSTAR INC DE 2.02,9.01 11/15/04 ADVANCED ENERGY RECOVERY, INC DE 8.01 11/19/04 ADVO INC DE 7.01 11/18/04 AFLAC INC GA 5.02,9.01 11/15/04 AG BAG INTERNATIONAL LTD DE 4.01,9.01 10/25/04 AMEND AGILENT TECHNOLOGIES INC DE 1.01,9.01 11/16/04 AGL RESOURCES INC GA 7.01 11/18/04 ALBEMARLE CORP VA 1.01 11/16/04 ALLEN ORGAN CO PA 7.01 11/18/04 ALLIS CHALMERS CORP DE 1.01,9.01 11/15/04 ALPENA BANCSHARES INC 5.02 11/12/04 AMCON DISTRIBUTING CO DE 1.01,2.03,3.03 11/15/04 AMERICAN BANK INC PA 5.02,9.01 11/18/04 AMERICAN BUSINESS FINANCIAL SERVICES DE 1.01,2.03,9.01 11/15/04 AMERICAN HOME MORTGAGE INVESTMENT COR MD 7.01,9.01 11/19/04 AMERICAN PHARMACEUTICAL PARTNERS INC DE 1.01,5.02,9.01 11/15/04 AMERICAN WOODMARK CORP VA 5.02,9.01 11/19/04 AMERIPATH INC DE 5.02 11/15/04 AMGEN INC DE 1.01,2.03,9.01 11/15/04 AMH Holdings, Inc. DE 2.05 11/16/04 ANACOMP INC IN 1.01,9.01 11/17/04 ANADARKO PETROLEUM CORP DE 7.01,9.01 11/18/04 ANDREW CORP DE 1.01,8.01,9.01 11/16/04 ANIKA THERAPEUTICS INC MA 1.01,5.02,9.01 11/15/04 ANSOFT CORP PA 2.02,9.01 11/18/04 ANTHEM INC IN 1.01,9.01 11/15/04 APPLIED IMAGING CORP DE 3.01,9.01 11/17/04 ARDEN GROUP INC DE 2.02 11/18/04 ARDEN GROUP INC DE 4.02 11/15/04 ARLINGTON HOSPITALITY INC DE 8.01,9.01 11/19/04 ASPEN TECHNOLOGY INC /DE/ DE 3.01,9.01 11/16/04 Asset Backed Pass-Through Certificate DE 8.01,9.01 11/19/04 ASSOCIATED MATERIALS INC DE 2.05 11/16/04 ASTRALIS LTD CO 2.02,9.01 11/15/04 ASTRATA GROUP INC NV 5.02 11/15/04 ASYST TECHNOLOGIES INC /CA/ CA 3.01 11/16/04 AUTOBYTEL INC DE 2.02,3.01,4.02,5.02,9.01 11/15/04 AUTONATION INC /FL DE 8.01,9.01 11/18/04 AVICI SYSTEMS INC DE 1.01,5.02,7.01 11/15/04 AXESSTEL INC NV 1.01,9.01 11/15/04 AXM PHARMA INC NV 2.02,9.01 11/19/04 BAIRNCO CORP /DE/ DE 8.01 11/19/04 BAKER MICHAEL CORP PA 5.04,9.01 11/19/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 11/19/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 11/18/04 BANCSHARES OF FLORIDA INC FL 5.02 11/17/04 BANCWEST CORP/HI DE 3.02 11/17/04 BANYAN CORP /OR/ OR 4.01,9.01 09/01/04 AMEND Battle Mountain Gold Exploration Corp 1.01,2.01,3.02,5.01,5.02,8.01 09/09/04 BBMF CORP NV 4.01,9.01 10/25/04 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 11/15/04 Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 11/04/04 BEARINGPOINT INC DE 2.02,9.01 11/04/04 AMEND BELDEN CDT INC. DE 5.05,9.01 11/19/04 BELK INC 2.02,9.01 11/19/04 BellaVista Mortgage Trust 2004-1 DE 9.01 10/28/04 BENTHOS INC MA 2.02,9.01 11/19/04 BICO INC/PA PA 1.03,2.01,5.03,9.01 11/04/04 AMEND BIDVILLE INC NV 5.02,9.01 11/17/04 BIOFIELD CORP \DE\ DE 8.01,9.01 11/16/04 BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,3.02,3.03,5.03,9.01 11/15/04 BMC SOFTWARE INC DE 5.02,9.01 11/18/04 BOMBAY COMPANY INC DE 2.02,2.05,7.01,9.01 11/19/04 BOSTON RESTAURANT ASSOCIATES INC DE 1.01 11/15/04 BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 11/16/04 BROADVISION INC DE 1.01,9.01 11/16/04 BROOKSTONE INC DE 2.02,9.01 11/17/04 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02 11/18/04 CALYPTE BIOMEDICAL CORP DE 1.01,1.02,5.02,9.01 11/15/04 CANYON RESOURCES CORP DE 4.01,9.01 10/11/04 AMEND CAPACITIVE DEIONIZATION TECHNOLOGY SY NV 8.01 11/17/04 CARDIMA INC DE 1.01,3.02,9.01 11/18/04 CATHAY GENERAL BANCORP DE 5.02 11/19/04 CENTERPOINT ENERGY INC 8.01 11/10/04 CERNER CORP /MO/ DE 1.01,7.01,9.01 11/15/04 CERTIFIED SERVICES INC NV 2.02,9.01 11/19/04 CHASE MANHATTAN BANK USA DE 8.01,9.01 10/28/04 CHASE MANHATTAN BANK USA DE 8.01,9.01 11/02/04 CHASE MANHATTAN BANK USA DE 8.01,9.01 11/04/04 CHESAPEAKE ENERGY CORP OK 8.01 11/19/04 CHINA DIGITAL COMMUNICATION GROUP NV 1.01 09/30/04 AMEND CHINA FUND INC MD 9.01 10/01/04 CINCINNATI GAS & ELECTRIC CO OH 2.03,9.01 11/18/04 CINEMARK USA INC /TX TX 7.01 11/19/04 CITIZENS COMMUNICATIONS CO DE 5.02 11/19/04 CITIZENS FINANCIAL SERVICES INC PA 1.01 11/19/04 CLOROX CO /DE/ DE 1.01,2.03 11/15/04 CNH CAPITAL RECEIVABLES INC DE 8.01 11/09/04 COFFEE PACIFICA INC NV 8.01 11/19/04 COHERENT INC DE 5.02 11/17/04 COINMACH CORP DE 5.02 11/19/04 COMMERCE ENERGY GROUP INC DE 5.02,9.01 11/16/04 COMPASS MINERALS INTERNATIONAL INC DE 7.01 11/18/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE 1.01,9.01 11/15/04 CONSUMER PORTFOLIO SERVICES INC CA 4.01,7.01,9.01 11/15/04 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 11/18/04 CONTINENTAL MATERIALS CORP DE 2.02,7.01,9.01 11/16/04 COOPER INDUSTRIES LTD 7.01,9.01 11/19/04 Copano Energy, L.L.C. DE 5.02 11/15/04 CORRPRO COMPANIES INC /OH/ OH 2.02,9.01 11/16/04 COST PLUS INC/CA/ CA 2.02,9.01 11/19/04 COVENTRY HEALTH CARE INC DE 1.01,9.01 11/19/04 CRAFTMADE INTERNATIONAL INC DE 5.02,9.01 11/17/04 CRESCENT REAL ESTATE EQUITIES CO TX 9.01 11/10/04 AMEND CRESCENT REAL ESTATE EQUITIES LTD PAR DE 2.01,9.01 11/10/04 AMEND CROFF ENTERPRISES INC UT 8.01 11/12/04 CROFF ENTERPRISES INC UT 8.01 11/12/04 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 11/19/04 CWABS INC DE 8.01,9.01 11/17/04 CWALT INC 8.01,9.01 11/18/04 CWMBS INC DE 8.01,9.01 09/30/04 CWMBS INC DE 8.01,9.01 10/29/04 CYCO NET INC NV 1.01,2.01,9.01 11/15/04 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.04 11/19/04 DATALINK CORP MN 4.01,9.01 11/19/04 DAVEL COMMUNICATIONS INC IL 1.01,5.01,5.02 11/15/04 DAVITA INC DE 1.01,5.02,8.01,9.01 11/18/04 DDI CORP CA 1.01,5.02,9.01 11/15/04 DEARBORN BANCORP INC /MI/ MI 8.01,9.01 11/17/04 DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/19/04 DELTA PETROLEUM CORP/CO CO 8.01 11/19/04 DEUTSCHE RECREATIONAL ASSET FUNDING C NV 8.01,9.01 10/31/04 DILLARDS INC DE 2.02,9.01 11/18/04 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 11/17/04 DISTRIBUTION FINANCIAL SERVICES MARIN NY 8.01,9.01 10/31/04 DISTRIBUTION FINANCIAL SERVICES RV MA NV 8.01,9.01 10/31/04 DISTRIBUTION FINANCIAL SERVICES RV TR NY 8.01,9.01 10/31/04 DISTRIBUTION FINANCIAL SERVICES RV TR NY 8.01,9.01 10/31/04 DIVALL INSURED INCOME PROPERTIES 2 LI WI 4.01 11/15/04 DOCUCORP INTERNATIONAL INC DE 2.02,9.01 11/18/04 DPL INC OH 2.02,9.01 11/15/04 DPL INC OH 5.02 11/15/04 AMEND DRESSER INC DE 2.02 11/19/04 DSL NET INC DE 5.02,8.01 11/19/04 DYNTEK INC DE 1.01,3.02 11/15/04 E DIGITAL CORP DE 3.02,7.01 11/19/04 EDELBROCK CORP DE 7.01,9.01 11/19/04 EDUCATION LOANS INC /DE DE 8.01,9.01 11/18/04 EDUCATION LOANS INC /DE DE 8.01,9.01 11/18/04 EDUCATION LOANS INC /DE DE 8.01,9.01 11/18/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 4.02 11/15/04 ELECTRONICS BOUTIQUE HOLDINGS CORP DE 2.02,9.01 11/18/04 ELKCORP DE 1.01,2.03,9.01 11/15/04 EMPIRE DISTRICT ELECTRIC CO KS 5.02,9.01 11/18/04 ENCORE ACQUISITION CO DE 8.01,9.01 11/18/04 ENDURANCE SPECIALTY HOLDINGS LTD 5.02 11/18/04 ENERGEN CORP AL 1.01,7.01,9.01 11/16/04 ENERGYSOUTH INC AL 2.02,9.01 11/05/04 ESTERLINE TECHNOLOGIES CORP DE 8.01,9.01 11/19/04 EVOLVE ONE INC DE 5.02 11/12/04 EXIDE TECHNOLOGIES DE 2.02,9.01 11/16/04 EXPRESSJET HOLDINGS INC DE 8.01,9.01 11/18/04 Extra Space Storage Inc. MD 2.02,9.01 11/19/04 EZ EM INC DE 1.01 11/15/04 FARNSWORTH BANCORP INC NJ 5.02 11/15/04 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 11/19/04 FEDERAL TRUST CORP FL 8.01,9.01 11/18/04 FIDELITY BANKSHARES INC DE 8.01,9.01 11/19/04 FINLAY ENTERPRISES INC /DE DE 2.02,9.01 11/18/04 FINLAY FINE JEWELRY CORP DE 2.02,9.01 11/18/04 FIRST CENTURY BANKSHARES INC WV 8.01,9.01 11/18/04 FIRST FINANCIAL CORP /IN/ IN 7.01,9.01 11/19/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/19/04 FIRST INVESTORS FINANCIAL SERVICES GR TX 3.01,9.01 11/18/04 FIRST IPSWICH BANCORP /MA MA 2.02,9.01 11/19/04 FIRST MIDWEST BANCORP INC DE 5.02,8.01,9.01 11/19/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC 8.01,9.01 11/15/04 FIRST UNION NATIONAL BANK COM MORT PA NC 8.01,9.01 11/15/04 FIRST UNITED CORP/MD/ MD 5.02 11/17/04 FIRST VIRTUAL COMMUNICATIONS INC DE 1.01,4.02,7.01 11/15/04 FIRSTFED FINANCIAL CORP DE 7.01,9.01 10/31/04 FLEXTRONICS INTERNATIONAL LTD 1.01,2.03,9.01 11/17/04 FLORIDA ROCK INDUSTRIES INC FL 7.01 11/19/04 FNB BANCORP/CA/ 8.01,9.01 11/19/04 FOOT LOCKER INC NY 2.02,9.01 11/18/04 FOOT LOCKER INC NY 5.02,8.01,9.01 11/17/04 Ford Credit Floorplan Master Owner Tr DE 8.01,9.01 10/31/04 FRANKFORT TOWER INDUSTRIES INC DE 1.03,9.01 11/16/04 FRANKLIN CAPITAL CORP DE 3.02,7.01,9.01 11/15/04 FRANKLIN COVEY CO UT 1.01,9.01 11/15/04 FRANKLIN RESOURCES INC DE 1.01,9.01 11/15/04 FREESCALE SEMICONDUCTOR INC DE 5.05,9.01 11/16/04 FRONTIER OIL CORP /NEW/ WY 8.01,9.01 11/05/04 FTS GROUP, INC. CO 4.01 11/02/04 AMEND FULTON FINANCIAL CORP PA 7.01,9.01 11/19/04 FX ENERGY INC NV 1.01 11/16/04 G&K SERVICES INC MN 1.01,2.03 11/19/04 GCI INC AK 2.03,9.01 11/18/04 GCI INC AK 2.03,9.01 11/18/04 GENCORP INC OH 7.01,9.01 11/17/04 GENCORP INC OH 9.01 11/17/04 GENERAL COMMUNICATION INC AK 2.03,9.01 11/18/04 GENERAL COMMUNICATION INC AK 2.03,9.01 11/18/04 GENESIS MICROCHIP INC /DE DE 5.02,9.01 11/10/04 GK INTELLIGENT SYSTEMS INC DE 9.01 08/13/04 AMEND GLOBAL PREFERRED HOLDINGS INC DE 2.02,7.01,9.01 11/15/04 GLOBAL SIGNAL INC DE 8.01,9.01 11/18/04 GLYCOGENESYS INC NV 3.01 11/17/04 GMAC COMMERCIAL MORTGAGE SECURITIES I DE 8.01,9.01 11/19/04 GMACM Mortgage Pass-Through Certifica DE 8.01,9.01 11/19/04 Google Inc. DE 8.01 11/19/04 GRAMERCY CAPITAL CORP MD 8.01,9.01 11/16/04 GRUBB & ELLIS CO DE 8.01,9.01 11/15/04 GS MORTGAGE SECURITIES CORP DE 8.01 11/19/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 11/17/04 GUILFORD PHARMACEUTICALS INC DE 1.01,5.02,9.01 11/16/04 HCA INC/TN DE 1.01,2.03,9.01 11/16/04 HIBBETT SPORTING GOODS INC DE 1.01,2.02,7.01,9.01 10/30/04 HMI INDUSTRIES INC DE 5.02 11/19/04 HOMESTAR MORTGAGE ACCEPTANCE CORP DE 2.01,8.01,9.01 11/19/04 HOUSTON EXPLORATION CO DE 8.01,9.01 11/19/04 HUGOTON ROYALTY TRUST TX 2.02,9.01 11/19/04 IMMUCELL CORP /DE/ DE 1.01,7.01,9.01 11/17/04 IMMUNICON CORP 7.01,9.01 11/18/04 IMMUNICON CORP 8.01,9.01 11/19/04 IMPAC MORTGAGE HOLDINGS INC MD 1.01,9.01 11/18/04 IMPAC MORTGAGE HOLDINGS INC MD 1.01,9.01 11/18/04 INDEPENDENT BANK CORP MI 2.01 11/19/04 INFODATA SYSTEMS INC VA 5.02,9.01 11/14/04 INFORMATICA CORP DE 1.01 11/19/04 INFOUSA INC DE 5.04,9.01 11/19/04 INFRASOURCE SERVICES INC DE 9.01 09/03/04 AMEND INTEGRITY FINANCIAL CORP NC 3.01,5.02,5.03,9.01 11/17/04 INTERACTIVE MARKETING TECHNOLOGY INC NV 3.03 11/12/04 INTERPUBLIC GROUP OF COMPANIES, INC. DE 1.01,2.03,2.04,9.01 11/15/04 INTERSTATE GENERAL CO L P DE 9.01 09/30/04 INTERVOICE INC TX 1.01,1.02,9.01 11/15/04 INVVISION CAPITAL INC NV 2.01,9.01 11/19/04 AMEND ISRAMCO INC DE 2.02,9.01 11/15/04 ITRON INC /WA/ WA 8.01 11/19/04 J C PENNEY CO INC DE 3.02 11/15/04 J NET ENTERPRISES INC NV 1.01,7.01,8.01 11/18/04 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 11/15/04 JLG INDUSTRIES INC PA 1.01 11/19/04 Jostens IH Corp. DE 2.02,9.01 11/19/04 KEYSPAN CORP NY 8.01,9.01 11/19/04 KIMBERLY CLARK CORP DE 3.03,5.03,9.01 11/19/04 KINTERA INC 1.01,9.01 11/15/04 KMG CHEMICALS INC TX 2.02 11/18/04 KNOBIAS, INC. DE 1.01,2.01,2.03,3.02,3.03,4.01 11/15/04 KRONOS WORLDWIDE INC 2.03,7.01,9.01 11/18/04 KV PHARMACEUTICAL CO /DE/ DE 7.01 11/16/04 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 11/18/04 LECROY CORP DE 1.01,1.02,9.01 11/19/04 LIFELINE SYSTEMS INC MA 1.01,3.03,9.01 11/19/04 LIFEWAY FOODS INC IL 2.02,5.02,9.01 11/15/04 LSB INDUSTRIES INC DE 2.02,9.01 11/17/04 LTV CORP DE 8.01,9.01 11/19/04 MANOR CARE INC DE 7.01,9.01 11/19/04 MANTECH INTERNATIONAL CORP DE 5.02 11/11/04 MARSH & MCLENNAN COMPANIES INC DE 5.02,8.01,9.01 11/18/04 MASTERCARD INC DE 1.01,9.01 11/17/04 MAUI GENERAL STORE INC NY 4.01 11/16/04 MAUI LAND & PINEAPPLE CO INC HI 5.02 11/15/04 AMEND MBIA INC CT 8.01,9.01 11/18/04 MCDATA CORP DE 2.02,7.01 11/18/04 MDC PARTNERS INC 4.02 11/17/04 MEDICORE INC FL 8.01,9.01 10/21/04 MEDQUIST INC NJ 1.01,9.01 11/15/04 MEREDITH ENTERPRISES INC DE 8.01 11/19/04 MESA OFFSHORE TRUST TX 7.01,9.01 11/19/04 MESA ROYALTY TRUST/TX TX 7.01,9.01 11/19/04 METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 11/18/04 MGI PHARMA INC MN 9.01 09/03/04 AMEND MICRO INTERCONNECT TECHNOLOGY INC NV 5.03,9.01 11/12/04 MICRON ENVIRO SYSTEMS INC NV 8.01 11/19/04 MICROSEMI CORP DE 1.01,2.02,9.01 11/15/04 MICROWAVE FILTER CO INC /NY/ NY 5.02 11/19/04 MIDLAND CO OH 8.01,9.01 11/18/04 MINE SAFETY APPLIANCES CO PA 2.02,9.01 11/18/04 AMEND MONEY STORE COMMERCIAL MORTGAGE INC NJ 8.01,9.01 11/15/04 MONEY STORE INVESTMENT CORP NJ 8.01,9.01 11/15/04 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ 8.01,9.01 11/15/04 MONEYGRAM INTERNATIONAL INC 8.01 11/18/04 MONTPELIER RE HOLDINGS LTD D0 8.01,9.01 11/16/04 MOSAIC GLOBAL HOLDINGS INC. DE 8.01,9.01 11/19/04 MOVIE GALLERY INC DE 8.01,9.01 11/19/04 MRU HOLDINGS INC DE 1.01,9.01 11/17/04 MSX INTERNATIONAL INC DE 4.01,9.01 11/17/04 MULTIBAND CORP MN 2.03,3.02 11/12/04 N-VIRO INTERNATIONAL CORP DE 2.02,9.01 11/19/04 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 11/19/04 NANOPIERCE TECHNOLOGIES INC NV 3.03 11/19/04 NATIONAL COAL CORP FL 1.01 11/16/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01,9.01 10/31/04 NAVISTAR FINANCIAL RETAIL REC CORP NA DE 8.01,9.01 10/31/04 Neenah Paper Inc DE 1.01,2.03,7.01,9.01 11/18/04 NEIGHBORCARE INC PA 2.02,9.01 11/18/04 NETWOLVES CORP NY 2.02,9.01 11/16/04 NETWORK 1 SECURITY SOLUTIONS INC DE 2.02,9.01 11/15/04 New Century Energy Corp. CO 2.01,9.01 09/30/04 AMEND NEW VISUAL CORP UT 5.02,9.01 11/19/04 NEXTMEDIA OPERATING INC 2.02,9.01 11/05/04 NORTEL NETWORKS CORP 1.01,9.01 11/19/04 NORTEL NETWORKS LTD 1.01,9.01 11/19/04 NORTHWEST BANCORP INC PA 8.01,9.01 11/19/04 NOVEN PHARMACEUTICALS INC DE 5.02,9.01 11/16/04 NUCLEAR SOLUTIONS INC NV 4.01,9.01 11/19/04 NYER MEDICAL GROUP INC FL 5.02 11/18/04 OCTEL CORP DE 8.01,9.01 11/19/04 ODYSSEY PICTURES CORP NV 5.02 11/19/04 OGLEBAY NORTON CO /OHIO/ OH 1.01,9.01 11/15/04 OGLEBAY NORTON CO /OHIO/ OH 1.03,9.01 11/16/04 OGLEBAY NORTON CO /OHIO/ OH 9.01 11/15/04 AMEND OMI CORP/M I 8.01,9.01 11/17/04 ON THE GO HEALTHCARE INC DE 4.01 11/04/04 AMEND ONEOK INC /NEW/ OK 8.01,9.01 11/19/04 ONVIA INC DE 5.02,9.01 11/19/04 ORBIMAGE INC DE 1.01,3.02 11/16/04 ORLEANS HOMEBUILDERS INC DE 1.01,2.03,8.01 11/17/04 OSHKOSH TRUCK CORP WI 1.01,9.01 10/01/04 OSI PHARMACEUTICALS INC DE 8.01 11/18/04 OXFORD VENTURES INC NV 4.02,5.02 11/15/04 PARKER DRILLING CO /DE/ DE 1.01,2.05 11/15/04 PARKERVISION INC FL 5.02,9.01 11/19/04 PATIENT INFOSYSTEMS INC DE 5.02 11/17/04 PEMSTAR INC MN 3.01 11/15/04 PHARMACYCLICS INC DE 8.01,9.01 11/19/04 PHOTOWORKS INC /WA WA 5.02 11/18/04 PINNACLE DATA SYSTEMS INC OH 8.01,9.01 11/18/04 PLACER SIERRA BANCSHARES CA 8.01,9.01 11/19/04 PLANET POLYMER TECHNOLOGIES INC CA 2.02,8.01,9.01 11/19/04 PLEXUS CORP WI 5.02 11/18/04 PRAXAIR INC DE 8.01 11/15/04 PREMIER ALLIANCE GROUP, INC. NV 5.03,9.01 11/15/04 PRESIDENT CASINOS INC DE 1.01,9.01 11/15/04 PRIVATEBANCORP INC DE 7.01 11/19/04 PROTALEX INC NM 1.01 11/15/04 PROTALEX INC NM 1.01,5.02 11/15/04 PROTECTIVE LIFE SECURED TRUST 2004-26 DE 1.03,2.01,8.01,9.01 11/15/04 Protective Life Secured Trust 2004-27 DE 1.03,2.01,8.01,9.01 11/15/04 Protective life Secured Trust 2004-28 DE 1.03,2.01,8.01,9.01 11/15/04 PROTECTIVE LIFE SECURED TRUST 2004-29 DE 1.03,2.01,8.01,9.01 11/15/04 Protective Life Secured Trust 2004-33 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-35 TN 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-37 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-38 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-40 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-41 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-43 DE 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-45 TN 1.03,2.01,8.01,9.01 11/10/04 Protective Life Secured Trust 2004-47 TN 1.03,2.01,8.01,9.01 11/10/04 PROTEIN POLYMER TECHNOLOGIES INC DE 2.02,9.01 11/19/04 PROVECTUS PHARMACEUTICALS INC NV 3.02,9.01 11/16/04 PROXYMED INC /FT LAUDERDALE/ FL 3.01,9.01 11/16/04 QUIXOTE CORP DE 1.01,9.01 11/18/04 R&G FINANCIAL CORP PR 2.01,9.01 11/09/04 AMEND RADISYS CORP OR 8.01 11/15/04 RAYMOND JAMES FINANCIAL INC FL 7.01 10/29/04 REMINGTON ARMS CO INC/ DE 1.01,1.02,5.02,9.01 11/19/04 Remote Dynamics Inc DE 8.01 11/15/04 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE 8.01,9.01 11/19/04 RESERVE PETROLEUM CO DE 5.03 11/16/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 9.01 11/19/04 REZCONNECT TECHNOLOGIES INC NY 1.01,8.01 11/19/04 RICH HOLDINGS GROUP INC DE 5.01,5.02,9.01 10/13/04 AMEND ROANOKE TECHNOLOGY CORP 3.02 11/19/04 ROPER INDUSTRIES INC /DE/ DE 8.01,9.01 11/19/04 ROYAL BODYCARE INC/NV DE 2.02 11/17/04 RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 11/18/04 SAFEGUARD SCIENTIFICS INC PA 1.01,9.01 11/17/04 SCANVEC AMIABLE LTD 1.01,5.02 11/15/04 SCIENTIFIC TECHNOLOGIES INC OR 5.02 11/16/04 SCOTTS COMPANY OH 1.01,1.02,9.01 09/16/04 SEMCO ENERGY INC MI 8.01,9.01 11/15/04 SHARPER IMAGE CORP DE 2.02,5.02,9.01 11/18/04 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 11/18/04 SIGNATURE LEISURE INC CO 3.02 10/24/04 AMEND SIMPSON MANUFACTURING CO INC /CA/ DE 5.05,9.01 11/18/04 SIRIUS SATELLITE RADIO INC DE 1.01,5.02 11/18/04 SMART & FINAL INC/DE DE 1.01 11/18/04 SMITHFIELD FOODS INC VA 1.01,2.03,8.01,9.01 11/15/04 SMITHTOWN BANCORP INC NY 8.01 11/19/04 SMUCKER J M CO OH 2.02,9.01 11/19/04 SOUTH JERSEY INDUSTRIES INC NJ 7.01 08/27/04 SOUTH JERSEY INDUSTRIES INC NJ 7.01 11/19/04 SPACEDEV INC CO 5.02 11/18/04 SPECTRUM SCIENCES & SOFTWARE HOLDINGS DE 1.01,9.01 11/15/04 SPESCOM SOFTWARE INC CA 2.02,5.02,9.01 11/17/04 SPINDLETOP OIL & GAS CO TX 2.02 11/19/04 SPORT HALEY INC CO 2.02,9.01 11/18/04 SPORTS RESORTS INTERNATIONAL INC MI 8.01,9.01 11/18/04 STAGE STORES INC NV 2.02,9.01 11/19/04 STAR GAS PARTNERS LP DE 1.01,2.04,5.03,9.01 11/18/04 STERLING BANCORP NY 7.01,8.01 11/18/04 STONE ENERGY CORP DE 8.01,9.01 11/19/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 10/17/04 SUREWEST COMMUNICATIONS CA 5.02 11/19/04 SURMODICS INC MN 1.01 11/15/04 SYNERGY BRANDS INC DE 3.02,7.01 11/01/04 AMEND TAPESTRY PHARMACEUTICALS, INC DE 2.05,9.01 11/16/04 TARRAGON CORP NV 1.01 11/16/04 TECHNICAL COMMUNICATIONS CORP MA 2.02,9.01 11/19/04 TEKTRONIX INC OR 7.01,9.01 11/19/04 TIMCO AVIATION SERVICES INC DE 2.02,9.01 11/19/04 TOTAL ENTERTAINMENT RESTAURANT CORP DE 8.01 11/19/04 TRAILER BRIDGE INC 8.01,9.01 11/18/04 TRANSPRO INC DE 1.01,2.03,9.01 11/19/04 TRANSWITCH CORP /DE DE 2.05 11/16/04 TRANSWITCH CORP /DE DE 3.02 11/18/04 TREY INDUSTRIES INC DE 1.01,2.02,9.01 11/11/04 TULLYS COFFEE CORP 7.01,9.01 11/18/04 UMPQUA HOLDINGS CORP OR 7.01,9.01 11/18/04 UMPQUA HOLDINGS CORP OR 7.01,9.01 11/19/04 UNITED FIRE & CASUALTY CO IA 8.01,9.01 11/19/04 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE 1.01 11/18/04 URBAN OUTFITTERS INC PA 1.01 11/15/04 USEC INC DE 1.01,9.01 11/15/04 USEC INC DE 1.01,8.01,9.01 11/18/04 UTi WORLDWIDE INC 5.02,5.03,9.01 11/18/04 VAALCO ENERGY INC /DE/ DE 5.02,9.01 11/18/04 VAXGEN INC DE 4.01,9.01 04/06/04 AMEND VAXGEN INC DE 4.02,9.01 07/20/04 AMEND VERILINK CORP DE 1.01,9.01 11/15/04 VESTA INSURANCE GROUP INC DE 4.02 11/15/04 VITAL IMAGES INC MN 3.01,8.01,9.01 11/16/04 VOIP INC 2.01,9.01 11/16/04 AMEND WASHINGTON REAL ESTATE INVESTMENT TRU MD 1.01 11/15/04 WASTE CONNECTIONS INC/DE DE 1.01,2.03 11/17/04 WCA WASTE CORP 8.01,9.01 11/15/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 11/17/04 WEYERHAEUSER CO WA 8.01 11/19/04 WEYERHAEUSER CO WA 8.01 11/19/04 WILLIAM LYON HOMES DE 1.01,2.03,9.01 11/15/04 WILLIAMS COMPANIES INC DE 5.02,7.01,8.01,9.01 11/16/04 WILSON BROTHERS USA INC IL 1.01,1.02,2.03 11/15/04 WJ COMMUNICATIONS INC CA 5.02,7.01,9.01 11/19/04 WPCS INTERNATIONAL INC DE 1.01,3.02,9.01 11/18/04 WYNN RESORTS LTD 8.01 11/15/04 YDI WIRELESS INC DE 1.02,9.01 11/18/04 ZION OIL & GAS INC DE 1.01,3.02,5.02,5.03 11/19/04