SEC NEWS DIGEST Issue 2004-234 December 7, 2004 ENFORCEMENT PROCEEDINGS ADMINISTRATIVE PROCEEDING AGAINST DANIEL CHARBONEAU OF WHITE PLAINS, NEW YORK On December 6, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Daniel E. Charboneau, of White Plains, New York. The Order alleges that Charboneau participated in an offering of penny stock. The Order further alleges that on Nov. 15, 2004, an order of permanent injunction and other relief was entered by consent against Charboneau, permanently enjoining him, among other things, from violating, directly or indirectly, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. FoneCash, Inc., and Daniel E. Charboneau, Civil Action No. 1:02CV00651-RMC, in the U.S. District Court for the District of Columbia. The Commission’s complaint in the district court action alleged that Charboneau was the Chief Executive Officer of FoneCash, Inc. The complaint further alleged that, between 1999 and March 2002, FoneCash filed with the Commission various registration statements, post effective amendments and annual and periodic reports on Forms 10-K and 10-Q, all signed by Charboneau, which contained material misrepresentations and omissions which were known to Charboneau. The complaint alleged that, among other things, the registration statements and amendments, and certain of the reports, claimed that FoneCash manufactured credit card terminals under a specified patent which would run until 2004. In fact, the patent lapsed in 1993. The complaint alleged that certain amendments to a registration statement filed in December 2001 grossly understated the number of outstanding shares. The complaint also alleged that FoneCash maintained a website which grossly misrepresented the company’s business, stating that the company had an active business processing credit card transactions through its servers and received two thirds of its revenues from that activity. In fact, FoneCash had no such business. A hearing will be scheduled before an administrative law judge to determine whether the allegations against Charboneau are true and, if so, what sanctions, if any, are appropriate and in the public interest. The Commission directed that an administrative law judge shall issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-50798; File No. 3- 11765) ORDER APPROVING PLAN OF DISGORGEMENT AND FAIR FUND DISTRIBUTION IN THE MATTER OF FIDELITY NATIONAL CAPITAL INVESTORS, INC. The Commission announced that on December 7, pursuant to Rule 1104 of the Rules on Fair Fun and Disgorgement Plans of the Securities and Exchange Commission, 17 C.F.R. § 201.1104, it approved a plan for distribution of disgorgement and civil money penalty monies placed into a Fair Fund, pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002 (Plan) as previously ordered in the Matter of Fidelity National Capital Investors, Inc. (Fidelity), and appointed Nancy Chase Burton, an Assistant Chief Litigation Counsel in the Washington D.C. Office, Administrator of the Plan. On June 8, 2004, the Commission found that Respondent Fidelity had failed to reasonably supervise one of its registered representatives with a view to preventing his aiding and abetting violation of Section 17(a) of the Securities Act and Section 10b and Rule 10b-5 thereunder. As a result of Fidelity’s inadequate system for implementing its compliance procedures, the registered representative aided and abetted a Ponzi scheme operated by Mark Drucker without Fidelity detecting that its representative was substantially assisting in Drucker’s fraudulent activities. The Commission censured Fidelity for its conduct, and in addition, the Commission ordered Fidelity to pay disgorgement and prejudgment interest in the amount of $25,000 and a civil money penalty in the amount of $75,000. On Oct. 5, 2004, the Commission issued an order approving publication of notice of the proposed Plan, and notice was published. The Commission subsequently approved the Plan on December 7. The Plan provides that the total distribution fun of $125,000 paid by Fidelity be distributed pro rata to investors who had money deposited into the accounts of Mark Drucker at Fidelity from December 1997 through September 1999 or who otherwise participated in the investment scheme of Mark Drucker. (Rel. 34-50801; File No. 3-11514) FINDINGS MADE AND SANCTIONS IMPOSED AGAINST EMANUELE CARDACI On December 7, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Emanuele Cardaci. The Order finds that during the relevant period Respondent Cardaci was associated as a registered representative with at least one registered broker-dealer, and on Dec. 12, 2001, the Commission filed a complaint in the U.S. District Court for the Southern District of Florida alleging, among other things, that Cardaci violated the securities registration and broker-dealer registration provisions of the federal securities laws by offering and selling the unregistered securities of Link Express Delivery Solutions, Inc. and by acting as an unregistered broker-dealer in connection with those sales. The Order also finds that on March 27, 2002, the District Court entered a Final Judgment of Permanent Injunction and Other Relief by consent against Cardaci, enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934, in the action entitled SEC v. Paul R. Johnson, et al., Case No. 01-7874- HURLEY/LYNCH (S.D. Fla.). Based on the above, the Order bars Cardaci from association with any broker or dealer with the right to reapply for association after three years. (Rel. 34-50802; File No. 3-11637) IN THE MATTER OF THOMAS KEESEE On December 7, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Thomas H. Keesee. The Order finds that on Nov. 18, 2004, a final judgment was entered by consent against Keesee permanently enjoining him from, inter alia, future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 promulgated thereunder, in the civil action entitled Securities and Exchange Commission v. First Access Financial, LLC, et al., Civil Action Number 3:04CV-166-H in the U.S. District Court for the Northern District of Texas. Based on the above, the Order bars Keesee from association with any broker or dealer with the right to reapply for association after three years to the appropriate self-regulatory organization, or if there is none, to the Commission. Keesee consented to the issuance of the Order without admitting or denying findings, except he admitted the entry of the injunction. (Rel. 34-50803; File No. 3-11766) IN THE MATTER OF MICHAEL LOMAS AND MICHAEL YOUNG On December 7, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 as to Respondent Michael A. Lomas (Order). The Order finds that Respondent Lomas was permanently enjoined from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from aiding and abetting future violations of Section 15(a) of the Exchange Act based on the entry, on Sept. 21, 2004, of an order by the U.S. District Court for the Northern District of Georgia in the civil action entitled SEC v. Mobile Billboards of America, Inc., International Payphone Company, Reserve Guaranty Trust, Michael A. Lomas and Michael L. Young, Civil Action No. 1:04-CV-2763 N.D.Ga. Sept. 21, 2004. The Commission’s complaint alleged that, in connection with the unregistered sale of investment contracts, Mobile Billboards, Lomas and Young sold approximately $60.5 million of mobile billboard investments to approximately 700 investors. Outdoor Media Industries leased the billboards back from investors for seven years for monthly payments equivalent to 13.49% annually. Reserve Guaranty Trust purportedly operated as a sinking fund and issued investors certificates that purportedly guaranteed funding for Mobile Billboards’ commitment to buy back the billboards at the full purchase price at the end of the seven- year lease. The complaint alleged that the investment program operated as a Ponzi scheme because the collective business did not generate sufficient advertising revenue to make monthly lease payments to investors and, instead, relied on new investor money. The complaint further alleged that Mobile Billboards’ sales materials made false claims about the number of billboards that were operational and misrepresented the value of assets contributed to Reserve Guaranty. The complaint also alleged that the investment contracts were sold through a network of independent sales agents that were acting as broker-dealers, at least some of whom were not registered with the Commission as brokers or dealers. Lomas and Young controlled the sales agents. Each of them participated in hiring, training, and directing the operations of the independent sales agents. The complaint further alleged that Lomas and Young prepared and provided sales materials to the agents and paid their commissions. Based on the above, the Order bars Lomas from association with any broker or dealer. Respondent Lomas consented to the issuance of the Order without admitting or denying any of the findings in the order. (Rel. 34-50804; File No. 3-11710) IN THE MATTER OF AGRA-TECH, INCORPORATED An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations By Default (Default Order) in the matter of Agra- Tech, Incorporated. The Order Instituting Proceedings alleged that Respondents Agra-Tech, Incorporated, Kilimanjaro Group.Com Inc., Savannah River Group, Inc., 2KSounds Corporation, and Xunantunich, Inc., failed to file required quarterly and annual reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of the securities of Respondents Agra-Tech Incorporated, Kilimanjaro Group.Com Inc., Savannah River Group, Inc., 2KSounds Corporation, and Xunantunich, Inc. (Rel. 34-50805; File No. 3-11690) COURT ORDERS PRELIMINARY INJUNCTION AGAINST BOSTON MONEY MANAGER BRADFORD BLEIDT AND HIS INVESTMENT ADVISORY FIRM The Commission announced that on December 2 U.S. District Judge Nancy Gertner entered a preliminary injunction against Bradford C. Bleidt and his investment advisory firm, Allocation Plus Asset Management Co., Inc. (Allocation Plus), thereby extending an asset freeze that the Court had previously entered on Nov. 12, 2004. As the Commission set forth in its complaint and supporting documents, on or about Nov. 11, 2004, Bleidt sent a taped confession to Commission’s Boston office in which he admitted that he had "stolen tens of millions" from clients over a period of 20 years. In its complaint, the SEC charged that Bleidt confessed that he had clients make checks payable to Allocation Plus Management Corp. and then diverted the funds into a bank account that he controlled. The SEC also alleged that in the tape Bleidt stated "the day of reckoning" came about when he no longer had enough funds to cover a client’s requests for a withdrawal. "The money’s gone. I stole it," Bleidt said in the recording, according to the complaint. In its papers filed with the Court in support of the entry of the preliminary injunction, the Commission detailed Bleidt’s fraud and included a transcript of the recorded confession Bleidt sent to the Commission’s Boston office, as well as transcripts of other recorded confessions that Bleidt made for various parties. The Commission also provided the Court a detailed description of Bleidt’s use of investor funds in a bank account that he controlled. Previously, on Nov. 18, 2004, the Court appointed Boston attorney David A. Vicinanzo as receiver to preserve the assets of the defendants, including a radio station and other entities owned or controlled by Bleidt. The appointment of Mr. Vicinanzo came shortly after the Commission commenced the action by seeking and obtaining a temporary restraining order, including an asset freeze, on Nov. 12, 2004. In a parallel criminal proceeding, federal law enforcement authorities arrested Bleidt on Nov. 19, 2004, based on a compliant charging federal criminal mail fraud. On Nov. 20, 2004, Bliedt made an initial appearance in that proceeding before U.S. Magistrate Judge Joyce London Alexander where he was referred for psychiatric evaluation. For more information see Litigation Release No. 18972 (Nov. 16, 2004). [SEC v. Bradford C. Bleidt, et al., Civil Action No. 04-12415-NG, D. Mass.] (LR- 18993) INVESTMENT COMPANY ACT RELEASES SEPARATE ACCOUNT VA G OF TRANSAMERICA OCCIDENTAL LIFE INSURANCE COMPANY An order has been issued on an application by Separate Account VA G of Transamerica Occidental Life Insurance Company under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company as defined by the Act. (Rel. IC-26687 – December 3) SEPARATE ACCOUNT VA H OF TRANSAMERICA OCCIDENTAL LIFE INSURANCE COMPANY An order has been issued on an application by Separate Account VA H of Transamerica Occidental Life Insurance Company under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company as defined by the Act. (Rel. IC-26688 – December 3) HOLDING COMPANY ACT RELEASES ALLEGHENY ENERGY INC., ET AL. A supplemental order has been issued for Allegheny Energy Inc. (Allegheny), a registered holding company, and Allegheny Energy Supply Company, LLC (AE Supply), a registered holding company and subsidiary of Allegheny, authorizing an extension of previously authorized financing transactions and financing parameters through April 30, 2005, and extending the authority for AE Supply to pay dividends out of capital or unearned surplus. (Rel. 35-27920) SELF-REGULATORY ORGANIZATIONS PROPOSED AMENDMENT TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION The Options Price Reporting Authority filed a proposed Plan amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2 thereunder (SR-OPRA-2004-06) to amend Guideline 2 of the Capacity Guidelines adopted in accordance with the Plan. Publication of the proposal is expected in the Federal Register during the week of December 6. (Rel. 34-50785) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NASD-2004-170) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to establish combined Nasdaq Market Center and Brut pricing for non-NASD members. Publication is expected in the Federal Register during the week of December 6. (Rel. 34-50787) The Commission granted accelerated approval to a proposed rule change and Amendments No. 1, 2, 3, and 4 thereto submitted by the Philadelphia Stock Exchange (SR-Phlx-2004-57) relating to the trade allocation algorithm applicable to options traded on the electronic trading platform, Phlx XL. Publication of the notice is expected in the Federal Register during the week of December 6. (Rel. 34-50788) IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENT TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION The Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed Plan amendment pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934 (SR-OPRA-2004-05) to revise two fees charged by OPRA to professional subscribers to OPRA's Basic Service. Publication of the proposal is expected in the Federal Register during the week of December 6. (Rel. 34-50789) WITHDRAWAL OF PROPOSED RULE CHANGE A proposed rule change (SR-CBOE-2003-18) seeking to amend CBOE Rule 6.24 relating to systematization of orders has been withdrawn by the Chicago Board Options Exchange. Publication of the notice in the Federal Register is expected during the week of December 6. (Rel. 34-50791) PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex-2004- 38) and Amendment Nos. 2, 3 and 4 thereto proposing to list and trade under new Amex Rules 1200A et seq. iShares® COMEX Gold Trust Shares (Gold Shares). Publication of the notice in the Federal Register is expected during the week of December 6. (Rel. 34-50792) The National Stock Exchange filed a proposed rule change (SR-NSX-2004- 12) to eliminate the “CBOE Exerciser Member” membership class, to eliminate NSX’s Special Nominating Committee, and to remove certain special limitations on changes to certain By-Laws and Rules. Publication of the proposal is expected in the Federal Register during the week of December 6. (Rel. 34-50796) 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 YAHOO INC, 4083493300 - 0 ($1,284,852.10) Equity, (File 333-120999 - Dec. 6) (BR. 03) S-8 LANTRONIX INC, 15353 BARRANCA PARKWAY, IRVINE, CA, 92618, 9494533990 - 750,000 ($742,500.00) Equity, (File 333-121000 - Dec. 6) (BR. 03) S-1 ExlService Holdings, Inc., 350 PARK AVENUE, 10TH FLOOR, NEW YORK, X1, 10022, (212) 872-1415 - 0 ($75,000,000.00) Equity, (File 333-121001 - Dec. 6) (BR. 01) S-1 Alpha Natural Resources, Inc., 406 WEST MAIN STREET, ABINGDON, VA, 24212, 276-619-4463 - 0 ($250,000,000.00) Equity, (File 333-121002 - Dec. 6) (BR. 04) S-4 CATERPILLAR INC, 100 NE ADAMS ST, PEORIA, IL, 61629, 3096751000 - 0 ($583,746,925.35) Non-Convertible Debt, (File 333-121003 - Dec. 6) (BR. 36) S-3 APOLLO GOLD CORP, 172 KING STREET EAST, 3RD FLOOR, TORONTO ONTARIO CANA, A6, 24,137,681 ($21,965,289.71) Equity, (File 333-121004 - Dec. 6) (BR. 04) S-8 SIMTEK CORP, 4250 BUCKINGHAM DR 100, COLORADO SPRINGS, CO, 80907, 7195319444 - 2,600,000 ($2,222,568.03) Equity, (File 333-121005 - Dec. 6) (BR. 36) S-8 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 0 ($10,988,366.00) Equity, (File 333-121006 - Dec. 6) (BR. 01) S-8 FLORIDA ROCK INDUSTRIES INC, 155 EAST 21ST STREET, JACKSONVILLE, FL, 32206, 9043551781 - 1,220,000 ($68,015,000.00) Equity, (File 333-121007 - Dec. 6) (BR. 06) S-8 RAMCO GERSHENSON PROPERTIES TRUST, 31500 NORTHWESTERN HWY, SUITE 300, FARMINGTON HILLS, MI, 48334, 2483509900 - 0 ($24,360,000.00) Equity, (File 333-121008 - Dec. 6) (BR. 08) S-4 ADVANCED MEDICAL OPTICS INC, 1700 E. ST. ANDREW PL., SANTA ANA, CA, 92705, 714-247-8200 - 0 ($1,395,120,087.00) Equity, (File 333-121009 - Dec. 6) (BR. 36) S-8 ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304, 9204917015 - 3,630,000 ($120,298,200.00) Equity, (File 333-121010 - Dec. 6) (BR. 07) S-8 ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304, 9204917015 - 4,500,000 ($149,130,000.00) Equity, (File 333-121011 - Dec. 6) (BR. 07) S-8 ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304, 9204917015 - 10,323,862 ($342,132,787.00) Equity, (File 333-121012 - Dec. 6) (BR. 07) S-3 RITA MEDICAL SYSTEMS INC, 967 N SHORELINE BLVD, MOUNTAIN VIEW, CA, 94013, 6503858500 - 0 ($23,023,619.00) Equity, (File 333-121013 - Dec. 6) (BR. 36) N-2 ING SENIOR INCOME FUND, ING SENIOR INCOME FUND, 7337 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ, 85258, 4804773000 - 0 ($454,520,000.00) Equity, (File 333-121014 - Dec. 6) (BR. 17) S-2 NESTOR INC, 400 MASSASOIT AVE, STE 200, PROVIDENCE, RI, 02914, 4014345522 - 1,030,923 ($7,525,737.90) Equity, (File 333-121015 - Dec. 6) (BR. 03) S-8 ALBERTSONS INC /DE/, 250 PARKCENTER BLVD, P O BOX 20, BOISE, ID, 83726, 2083956200 - 0 ($392,480,000.00) Equity, (File 333-121020 - Dec. 6) (BR. 02) S-8 ELAN CORP PLC, LINCOLN HOUSE, LINCOLN PLACE, DUBLIN 2, L2, 35317094000 - 3,000,000 ($78,240,000.00) Equity, (File 333-121021 - Dec. 6) (BR. 01) S-8 TIPPINGPOINT TECHNOLOGIES INC, 7501B NORTH CAPITAL OF TEXAS HIGHWAY, AUSTIN, TX, 78731, 5126818320 - 0 ($36,612,500.00) Equity, (File 333-121022 - Dec. 6) (BR. 03) SB-2 BSI2000 INC, 13525 MIDLAND ROAD, SUITE I, POWAY, CA, 92064, 6196922518 - 100,000,000 ($6,000,000.00) Equity, (File 333-121024 - Dec. 6) (BR. 03) S-8 POWERDSINE LTD, 0 ($57,260,135.88) Equity, (File 333-121025 - Dec. 6) (BR. 37) SB-2 ELECTRO ENERGY INC, 30 SHELTER ROCK ROAD, DANBURY, CT, 06810, 203 797 2699 - 4,071,734 ($35,871,976.54) Equity, (File 333-121026 - Dec. 6) (BR. 09) S-4 MONONGAHELA POWER CO /OH/, 1310 FAIRMONT AVE, PO BOX 1392, FAIRMONT, WV, 26554, 3043663000 - 0 ($120,000,000.00) Mortgage Backed Securities, (File 333-121027 - Dec. 6) (BR. 02) S-1 Ardent Acquisition CORP, 1415 KELLUM PLACE, SUITE 205, GARDEN CITY, NY, 11530, 516-739-1017 - 0 ($58,560,100.00) Equity, (File 333-121028 - Dec. 6) (BR. ) S-2 CHS INC, 5500 CENEX DRIVE, INVER GROVE HEIGHTS, MN, 55077, 651-355-6000 - 0 ($20,000,000.00) Equity, (File 333-121029 - Dec. 6) (BR. 04) S-1 GLOBAL MED TECHNOLOGIES INC, 12600 W COLFAX, SUITE C-420, LAKEWOOD, CO, 80215, 3032382000 - 50,724,329 ($46,159,139.39) Equity, (File 333-121030 - Dec. 6) (BR. 08) 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 ------------------------------------------------------------------------------------------------ 2-Track Global, Inc. 1.01,2.01,3.01,3.02,5.01,5.02 12/06/04 3COM CORP DE 8.01,9.01 12/06/04 AAIPHARMA INC DE 1.01,5.02,9.01 11/30/04 AAMES INVESTMENT CORP MD 1.01,2.03,8.01,9.01 09/30/04 ACCELR8 TECHNOLOGY CORP CO 1.01,9.01 11/24/04 ADAPTEC INC DE 2.05 11/30/04 ADVOCAT INC DE 8.01 12/01/04 AEGIS ASSET BACKED SEC CORP MORT PAS DE 8.01,9.01 11/26/04 AEGIS ASSET BACKED SEC TR MORT PASS T DE 8.01,9.01 11/26/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01,9.01 11/26/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01,9.01 11/26/04 AEROTELESIS INC DE 5.02 11/30/04 AG BAG INTERNATIONAL LTD DE 2.01,5.02,8.01,9.01 11/30/04 AGL RESOURCES INC GA 7.01 11/26/04 AMEND ALEXION PHARMACEUTICALS INC DE 2.02,9.01 12/03/04 ALLEGHENY ENERGY INC MD 8.01,9.01 12/06/04 AMB PROPERTY CORP MD 8.01 12/02/04 AMB PROPERTY LP DE 8.01 12/02/04 AMCAST INDUSTRIAL CORP OH 1.01,1.03,2.03 11/30/04 AMERCO /NV/ NV 1.01 12/06/04 AMERICAN BAR ASSOCIATION MEMBERS STAT MA 5.02 11/01/04 AMEND AMERICAN COMMUNITY BANCSHARES INC NC 7.01,9.01 12/02/04 AMERICAN FINANCIAL GROUP INC OH 8.01,9.01 12/06/04 AMERICAN HOME MORT SECURITIES HOME MO DE 8.01,9.01 11/26/04 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 11/26/04 AMERICAN RIVER BANKSHARES CA 2.01,9.01 12/06/04 AMERICAN TOWER CORP /MA/ DE 1.01,2.03,8.01,9.01 12/06/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 11/26/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE 8.01 11/26/04 AMIS HOLDINGS INC 8.01,9.01 12/03/04 ANCHOR GLASS CONTAINER CORP /NEW DE 5.02 12/02/04 ANDRESMIN GOLD CORP MT 1.01,8.01,9.01 11/30/04 AON CORP DE 8.01,9.01 12/06/04 APPLIED DIGITAL SOLUTIONS INC MO 8.01,9.01 11/29/04 ARCH CAPITAL GROUP LTD DE 7.01,9.01 12/02/04 ARCH CHEMICALS INC VA 1.01,2.01,7.01,9.01 11/30/04 ASPECT COMMUNICATIONS CORP CA 5.02,7.01,9.01 12/06/04 ASPENBIO INC CO 7.01 12/06/04 Asset Back Pass-Through Certificates, DE 8.01,9.01 11/26/04 ASSET BACKED SEC CORP ASSET BACK PASS DE 8.01,9.01 11/26/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 12/06/04 ASSET-BACKED PASS-THROUGH CERTIFICATE DE 8.01 11/26/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01,2.03 11/30/04 AVANEX CORP DE 2.05 12/03/04 BALLISTIC RECOVERY SYSTEMS INC MN 5.02,9.01 12/02/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 12/03/04 BARNEYS NEW YORK INC 1.01,3.03,9.01 12/01/04 Bear Stearns Asset Backed Securities DE 8.01,9.01 11/26/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU 8.01,9.01 12/03/04 BERRY PETROLEUM CO DE 1.01,7.01 12/06/04 BLASTGARD INTERNATIONAL INC CO 1.01,9.01 12/02/04 BLUE DOLPHIN ENERGY CO DE 3.02,9.01 12/06/04 BOEING CO DE 5.02 12/02/04 AMEND BOMBAY COMPANY INC DE 5.02 12/03/04 BOUNDLESS MOTOR SPORTS RACING INC CO 1.01,2.01,3.01,9.01 11/30/04 BOWNE & CO INC DE 1.01,8.01,9.01 12/01/04 BRIGHTPOINT INC IN 1.01 11/11/04 BRINKS CO VA 5.02,5.03,9.01 12/06/04 BROWN JORDAN INTERNATIONAL INC FL 4.01 12/04/04 BUILD A BEAR WORKSHOP INC DE 7.01,9.01 12/06/04 CALLON PETROLEUM CO DE 7.01,9.01 12/03/04 CALYPSO WIRELESS INC DE 5.02,9.01 11/30/04 Camelot Entertainment Group, Inc. DE 5.02 12/03/04 CAREADVANTAGE INC DE 1.01 12/01/04 CARMAX INC VA 9.01 12/06/04 CARNIVAL CORP DE 1.01 11/30/04 CARNIVAL PLC 1.01 11/30/04 CARRIAGE SERVICES INC DE 7.01,9.01 12/03/04 CASE FINANCIAL INC DE 4.01,9.01 11/26/04 CCSB FINANCIAL CORP DE 2.02,9.01 12/06/04 CELLCO PARTNERSHIP 1.01 12/06/04 CENTRA SOFTWARE INC DE 5.02 12/03/04 CENTURY BANCORP INC MA 1.01,2.03,3.02,9.01 12/06/04 CHARLIE MAC TRUST 2004-1, MORTGAGE PA DE 8.01,9.01 11/26/04 CHENIERE ENERGY INC DE 1.01,8.01,9.01 12/02/04 CHESAPEAKE CORP /VA/ VA 8.01,9.01 12/06/04 CIPHERGEN BIOSYSTEMS INC DE 2.01,9.01 11/30/04 CIRCUIT CITY STORES INC VA 2.02,9.01 11/30/04 CIT GROUP INC DE 1.02,9.01 11/30/04 CITIGROUP MORTGAGE LOAN TRUST SERIES 8.01,9.01 11/26/04 CLEVELAND CLIFFS INC OH 8.01,9.01 03/02/04 AMEND CMGI INC DE 2.02,9.01 12/06/04 CMS ENERGY CORP MI 8.01 12/02/04 CNL INCOME FUND II LTD FL 8.01 12/02/04 CNL INCOME FUND IV LTD FL 8.01 12/02/04 CNL INCOME FUND IX LTD FL 8.01 12/02/04 CNL INCOME FUND LTD FL 8.01 12/02/04 CNL INCOME FUND V LTD FL 8.01 12/02/04 CNL INCOME FUND VI LTD FL 8.01 12/02/04 CNL INCOME FUND VII LTD FL 8.01 12/02/04 CNL INCOME FUND VIII LTD FL 8.01 12/02/04 CNL INCOME FUND X LTD FL 8.01 12/02/04 CNL INCOME FUND XI LTD FL 8.01 12/02/04 CNL INCOME FUND XII LTD FL 8.01 12/02/04 CNL INCOME FUND XIII LTD FL 8.01 12/02/04 CNL INCOME FUND XIV LTD FL 8.01 12/02/04 CNL INCOME FUND XV LTD FL 8.01 12/02/04 CNL INCOME FUND XVI LTD FL 8.01 12/02/04 CNL INCOME FUND XVII LTD FL 8.01 12/02/04 CNL INCOME FUND XVIII LTD FL 8.01 12/02/04 CNL RESTAURANT PROPERTIES INC MD 8.01,9.01 12/31/03 AMEND COINSTAR INC DE 8.01,9.01 12/06/04 COLE COMPUTER CORP NV 4.01 12/02/04 COLLEGIATE PACIFIC INC DE 7.01 12/06/04 CONCEPTUS INC DE 1.01,9.01 11/30/04 CONCURRENT COMPUTER CORP/DE DE 5.02 12/06/04 CONSTAR INTERNATIONAL INC DE 8.01,9.01 12/06/04 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01 12/06/04 COST PLUS INC/CA/ CA 1.01,9.01 12/01/04 COUNTY BANK CORP MI 7.01,9.01 12/06/04 COVAD COMMUNICATIONS GROUP INC DE 1.01,9.01 11/30/04 CRIIMI MAE INC MD 8.01,9.01 12/06/04 CSFB HOME EQUITY MORTGAGE TRUST 2004- DE 8.01,9.01 11/26/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE 8.01,9.01 11/26/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE 8.01,9.01 11/26/04 CSFB MORTGAGE BACKED PASS THROUGH CER DE 8.01,9.01 11/26/04 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 11/26/04 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 11/26/04 CSFB MORTGAGE-BACKED TRUST SERIES 200 DE 8.01,9.01 11/26/04 CSFB MTG BACKED P/T CERTIFICATES SERI 8.01,9.01 11/26/04 CYBERGUARD CORP FL 5.02 12/02/04 DELTA AIR LINES INC /DE/ DE 1.01,2.03,9.01 11/30/04 DEUTSCHE MORT SEC INC MORTGAGE LOAN T 8.01,9.01 11/26/04 DEUTSCHE MORTGAGE SEC INC MORT LOAN T 8.01,9.01 11/26/04 Deutsche Mortgage Securities Inc Mort 8.01,9.01 11/26/04 Deutsche Mortgage Securities Inc. Mor 8.01,9.01 11/26/04 DIAMOND TRIUMPH AUTO GLASS INC DE 1.02 12/01/04 DIEDRICH COFFEE INC CA 1.01,9.01 12/05/04 DIGITAL ANGEL CORP DE 1.01,8.01,9.01 12/02/04 DIGITAL DESCRIPTOR SYSTEMS INC DE 1.01,3.02,9.01 11/30/04 DNB FINANCIAL CORP /PA/ PA 1.01,9.01 12/06/04 DOMINION RESOURCES INC /DE/ DE 3.02 12/01/04 DOMINION RESOURCES INC /DE/ DE 3.02 11/08/04 AMEND DOR BIOPHARMA INC DE 3.01 11/30/04 DRAGON INTERNATIONAL GROUP CORP. NV 9.01 09/30/04 AMEND DRESS BARN INC CT 8.01,9.01 12/06/04 ECOLAB INC DE 3.03,8.01,9.01 12/06/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 1.01,8.01 11/30/04 EMPIRE FINANCIAL HOLDING CO FL 8.01,9.01 12/02/04 ENCORE CAPITAL GROUP INC DE 7.01,9.01 12/06/04 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 12/06/04 ENERGY WEST INC MT 1.01,9.01 11/30/04 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01 09/30/04 ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,9.01 09/30/04 AMEND ENTREMED INC DE 1.01,9.01 12/01/04 EQUITABLE RESOURCES INC /PA/ PA 1.01,5.04,9.01 12/01/04 EXTENDICARE HEALTH SERVICES INC DE 8.01,9.01 12/02/04 FACTORY CARD OUTLET CORP DE 8.01,9.01 12/06/04 FEDERAL MOGUL CORP MI 8.01 12/06/04 FelCor Lodging Trust Inc MD 8.01,9.01 12/03/04 FINANCIAL ASSET SEC CORP FIRST FRANK DE 8.01,9.01 11/26/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/06/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 11/06/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/06/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/06/04 FINANCIAL ASSET SECURITIES CORP FIRST DE 8.01,9.01 11/26/04 FINLAY ENTERPRISES INC /DE DE 1.01 11/30/04 FINLAY FINE JEWELRY CORP DE 1.01,9.01 11/30/04 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 11/26/04 First Franklin Mortgage Loan Trust 20 DE 8.01,9.01 11/26/04 First Franklin Mortgage Loan Trust 20 8.01,9.01 11/26/04 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE 8.01,9.01 11/26/04 First Franklin Mortgage Loan Trust 20 8.01,9.01 11/26/04 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE 8.01,9.01 11/26/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 12/06/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/04 FIRST POTOMAC REALTY TRUST MD 1.01,2.03,7.01,9.01 11/30/04 FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 12/03/04 FORMFACTOR INC DE 5.02 11/30/04 FRANKLIN LAKE RESOURCES INC /NV NV 7.01,9.01 12/06/04 FREMONT HOME LOAN TRUST 2004-B DE 8.01,9.01 11/26/04 Fremont Home Loan Trust 2004-C DE 8.01,9.01 11/26/04 FRIEDMANS INC DE 1.01,8.01,9.01 12/06/04 FX ENERGY INC NV 8.01 12/06/04 GADZOOKS INC TX 2.04 11/30/04 GASCO ENERGY INC NV 8.01,9.01 12/06/04 GASCO ENERGY INC NV 8.01,9.01 03/09/04 GENIO GROUP INC DE 5.02 11/29/04 GENTA INC DE/ DE 8.01 12/03/04 GEOKINETICS INC DE 1.01,3.02,3.03,8.01,9.01 11/30/04 GeoPharma, Inc. FL 5.02,9.01 12/03/04 GEXA CORP TX 1.01,2.03,3.02,9.01 12/03/04 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 11/26/04 GS Mortgage GSAMP Trust 2004-WF DE 8.01,9.01 11/23/04 GS MORTGAGE SECURITIES CORP FREMONT H DE 8.01,9.01 11/26/04 GSAA HOME EQUITY TRUST 2004-8 DE 8.01,9.01 11/26/04 GUILFORD PHARMACEUTICALS INC DE 1.01,9.01 12/01/04 HAIGHTS CROSS COMMUNICATIONS INC DE 2.01,9.01 12/03/04 HarborView Mortgage Loan Trust 2004-7 DE 8.01,9.01 12/06/04 HEALTH CARE REIT INC /DE/ DE 8.01 12/03/04 HELMERICH & PAYNE INC DE 1.01,9.01 07/01/04 HINES REAL ESTATE INVESTMENT TRUST IN 2.01,9.01 09/20/04 AMEND HOMESTAR MORTGAGE ACCEP CORP ASST BAC DE 8.01,9.01 11/26/04 HOMESTAR MORTGAGE ACCEP CORP ASST BAC DE 8.01,9.01 11/26/04 Homestar Mortgage Acceptance Corp Ass DE 9.01 11/17/04 HOMESTAR MORTGAGE ACCEPTANCE CORP ASS DE 8.01,9.01 11/26/04 HUDSON UNITED BANCORP NJ 1.01,1.02,9.01 12/01/04 HUFFY CORP OH 2.02,8.01,9.01 11/29/04 ICBS INTERNATIONAL CORP. FL 2.01,5.01,5.03,7.01,9.01 12/06/04 ICO INC TX 1.02,5.02 12/06/04 ICO INC TX 1.02,5.02 12/06/04 IDACORP INC ID 8.01 12/03/04 IMPAX LABORATORIES INC DE 7.01 12/03/04 INDUS INTERNATIONAL INC DE 5.02 12/03/04 INDYMAC MBS INC 9.01 12/06/04 INGLES MARKETS INC NC 2.02,4.02,9.01 12/06/04 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,7.01,9.01 11/30/04 INTERMET CORP GA 7.01,8.01,9.01 12/03/04 Interstar Millennium Series 2003-1G 8.01,9.01 11/29/04 IPALCO ENTERPRISES, INC. IN 8.01 11/30/04 IPC ACQUISITION CORP 1.01,9.01 12/06/04 ISLE OF CAPRI CASINOS INC DE 1.01 12/06/04 ITEX CORP NV 1.01,2.03,9.01 12/03/04 JAMESON INNS INC GA 7.01,9.01 12/06/04 JCM PARTNERS LLC DE 3.02 12/01/04 KELLWOOD CO DE 1.01,9.01 12/02/04 KENNAMETAL INC PA 5.02,9.01 11/30/04 KEYNOTE SYSTEMS INC DE 9.01 09/16/04 AMEND KEYSPAN CORP NY 8.01,9.01 12/06/04 KID CASTLE EDUCATIONAL CORP FL 8.01 11/29/04 KITE REALTY GROUP TRUST MD 2.03 11/30/04 KOMAG INC /DE/ DE 7.01,9.01 12/06/04 LACLEDE STEEL CO /DE/ DE 8.01,9.01 10/31/04 LAIDLAW INTERNATIONAL INC DE 1.01,9.01 12/06/04 LAKELAND INDUSTRIES INC DE 4.01,9.01 12/01/04 LAKELAND INDUSTRIES INC DE 2.02 12/03/04 LANDEC CORP \CA\ CA 5.02,5.03,9.01 12/02/04 LASALLE RE HOLDINGS LTD 7.01,9.01 11/22/04 LB-UBS Commercial Mortgage Trust 2004 1.01 12/02/04 LEHMAN BROTHERS HOLDINGS INC DE 1.01,9.01 12/03/04 LENNAR CORP /NEW/ DE 5.02,9.01 12/01/04 LEVI STRAUSS & CO DE 2.05,9.01 12/03/04 LEXINGTON CORPORATE PROPERTIES TRUST MD 7.01,8.01,9.01 11/30/04 LOCKHEED MARTIN CORP MD 5.03,9.01 12/02/04 LUCILLE FARMS INC DE 2.03,9.01 12/06/04 LUXEMBURG BANCSHARES INC WI 1.01,9.01 12/06/04 MAINSTREET BANKSHARES INC VA 3.02 12/06/04 MASTR ADJUSTABLE RATE MORTGAGES TRUST DE 8.01,9.01 11/26/04 MASTR ADJUSTABLE RATE MORTGAGES TRUST DE 8.01,9.01 11/26/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/26/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/26/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/26/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/26/04 MASTR ASSET SECURITIZATION TRUST 2003 DE 8.01,9.01 11/26/04 MASTR Asset Securitization Trust 2004 DE 8.01,9.01 11/26/04 MATRIX BANCORP INC CO 1.01,2.01,8.01,9.01 12/01/04 MCLEODUSA INC DE 1.01,9.01 12/03/04 MEADE INSTRUMENTS CORP DE 1.01,9.01 12/01/04 MEADWESTVACO CORP DE 1.01,1.02,2.03,9.01 12/02/04 MEDICAL STAFFING SOLUTIONS INC NV 8.01,9.01 12/01/04 MEDTRONIC INC MN 2.02,9.01 12/06/04 MERISTAR HOSPITALITY CORP MD 1.01 12/06/04 MERISTAR HOSPITALITY OPERATING PARTNE DE 1.01 12/06/04 MERRILL LYNCH & CO INC DE 8.01,9.01 12/06/04 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 11/26/04 MERRILL LYNCH MORTGAGE LN ASST BACK C DE 8.01,9.01 11/26/04 METLIFE INC DE 2.02,7.01,9.01 12/06/04 MGP INGREDIENTS INC KS 7.01,9.01 12/06/04 MIDCAROLINA FINANCIAL CORP NC 5.02 12/06/04 MIKOHN GAMING CORP NV 8.01,9.01 12/05/04 MINDSPEED TECHNOLOGIES, INC DE 8.01,9.01 12/06/04 MONONGAHELA POWER CO /OH/ OH 8.01,9.01 12/06/04 MORTGAGE ASSET SEC TRANS INC MASTR AD DE 8.01,9.01 11/26/04 MORTGAGE ASSET SEC TRANS INC MORT PAS DE 8.01,9.01 11/26/04 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE 8.01,9.01 11/26/04 MORTGAGE ASSET SECZT TRANS INC MORT P DE 8.01,9.01 11/26/04 MORTGAGE LOAN TRUST SERIES 2004-3 8.01,9.01 11/26/04 MOSAIC CO 1.01,9.01 11/30/04 MS STRUCTURED SATURNS SERIES 2001-1 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2002-11 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2002-9 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2003-1 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2003-15 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2003-8 DE 9.01 12/01/04 MS STRUCTURED SATURNS SERIES 2004-1 DE 9.01 12/01/04 MTI TECHNOLOGY CORP DE 1.01,9.01 11/30/04 NATIONAL PENN BANCSHARES INC PA 1.01,9.01 12/02/04 NATURAL GAS SERVICES GROUP INC 1.01,9.01 12/06/04 NAVIDEC INC CO 9.01 09/10/04 AMEND NAVISTAR FINANCIAL CORP DE 4.02 12/06/04 NAVISTAR INTERNATIONAL CORP DE 1.01,2.02,8.01,9.01 12/06/04 NES RENTALS HOLDINGS INC DE 1.01 12/01/04 NET2PHONE INC DE 3.02 12/01/04 NEW WORLD BRANDS INC DE 8.01,9.01 12/01/04 NEW YORK COMMUNITY BANCORP INC DE 1.01,9.01 11/30/04 NEXPRISE INC DE 5.02 11/30/04 NOBLE ENERGY INC DE 5.02,9.01 11/30/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 12/02/04 NS GROUP INC KY 7.01,9.01 12/06/04 NUCLEAR SOLUTIONS INC NV 3.02 12/06/04 OFFICE DEPOT INC DE 1.01 11/30/04 ONE LIBERTY PROPERTIES INC MD 2.01,9.01 12/06/04 OPEN TEXT CORP K6 1.01 12/06/04 OPTION ONE MORTGAGE LOAN TRUST 2004-3 DE 8.01,9.01 11/26/04 ORLEANS HOMEBUILDERS INC DE 1.01,9.01 12/02/04 PARALLEL PETROLEUM CORP DE 1.01,9.01 11/30/04 PARK OHIO HOLDINGS CORP OH 1.01,2.03,9.01 11/30/04 PATIENT INFOSYSTEMS INC DE 9.01 09/24/04 AMEND PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.03 11/30/04 PHOTON DYNAMICS INC CA 1.01 10/25/04 PIONEER COMPANIES INC DE 8.01,9.01 12/06/04 PLANET TECHNOLOGIES, INC CA 2.01,3.03,5.02,5.03,8.01,9.01 11/29/04 PLAYBOY ENTERPRISES INC DE 7.01,9.01 12/06/04 PLM EQUIPMENT GROWTH FUND II CA 8.01 12/06/04 POINT THERAPEUTICS INC DE 8.01,9.01 12/04/04 POWERWAVE TECHNOLOGIES INC DE 8.01,9.01 12/01/04 PRAECIS PHARMACEUTICALS INC DE 7.01 12/06/04 PREMIER FINANCIAL BANCORP INC KY 8.01,9.01 12/03/04 PRG SCHULTZ INTERNATIONAL INC GA 1.01,1.02,2.03,9.01 11/30/04 PRIME MORTGAGE TRUST 2003-1 NY 8.01,9.01 11/26/04 PRIME MORTGAGE TRUST, MORTGAGE PASS-T DE 8.01,9.01 11/26/04 PRIVATEBANCORP INC DE 7.01 12/06/04 PROCYTE CORP /WA/ WA 1.01,3.03,9.01 12/01/04 PROTALEX INC NM 1.01,3.03,9.01 12/03/04 PUREZZA GROUP INC 5.03 12/01/04 QUANEX CORP DE 7.01 12/06/04 QUESTAR PIPELINE CO UT 1.01,5.02,9.01 12/06/04 RAM VENTURE HOLDINGS CORP FL 1.02 12/01/04 RANGE RESOURCES CORP DE 2.01,9.01 06/23/04 AMEND RAPTOR NETWORKS TECHNOLOGY INC 5.02 12/02/04 RCG COMPANIES INC DE 7.01,9.01 11/30/04 AMEND REEF GLOBAL ENERGY VENTURES NV 8.01,9.01 12/01/04 RETURN ON INVESTMENT CORP DE 8.01,9.01 12/06/04 REYNOLDS AMERICAN INC 1.01,9.01 11/30/04 ROWE COMPANIES NV 1.01,2.04,2.05,9.01 11/30/04 SABINE ROYALTY TRUST TX 2.02,9.01 12/03/04 SALEM COMMUNICATIONS CORP /DE/ DE 7.01 12/06/04 SANFILIPPO JOHN B & SON INC DE 1.01,9.01 12/01/04 SAVOY RESOURCES CORP CO 3.02,9.01 12/02/04 SCHEIN HENRY INC DE 1.01,8.01,9.01 12/06/04 SELECT COMFORT CORP MN 7.01,9.01 12/03/04 SENETEK PLC /ENG/ 5.02,8.01,9.01 11/30/04 SEQUOIA MORTGAGE FUNDING CORP MD 8.01,9.01 12/01/04 Sequoia Mortgage Trust 2004-11 8.01,9.01 11/23/04 SEROLOGICALS CORP DE 9.01 10/14/04 AMEND SI INTERNATIONAL INC DE 1.01,9.01 11/30/04 SIERRA PACIFIC RESOURCES /NV/ NV 8.01,9.01 12/02/04 SIMMONS FIRST NATIONAL CORP AR 7.01 12/03/04 SINA CORP 9.01 10/19/04 AMEND SINGING MACHINE CO INC DE 5.02,9.01 12/01/04 SINGING MACHINE CO INC DE 4.01,9.01 10/15/04 AMEND SKY FINANCIAL GROUP INC OH 8.01,9.01 11/30/04 SKYWAY COMMUNICATIONS HOLDING CORP FL 5.02,9.01 11/30/04 SL GREEN REALTY CORP MD 8.01,9.01 12/06/04 SMITH & WESSON HOLDING CORP NV 1.01,5.02,9.01 12/06/04 SOLA INTERNATIONAL INC DE 1.01,3.03,9.01 12/05/04 SPATIALIGHT INC NY 1.01,2.03,2.04,3.02,9.01 11/30/04 STAGE STORES INC NV 2.02,9.01 12/03/04 STANDARD MANAGEMENT CORP IN 2.03,3.02,9.01 11/30/04 STANLEY WORKS CT 8.01,9.01 12/06/04 STATION CASINOS INC NV 5.02 12/01/04 STELLAR TECHNOLOGIES, INC. CO 2.02,9.01 11/30/04 STRUCTURED ASSET MORT INV II INC MORT DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV II INC PRIM DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV INC MORT BA DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV MORT PASS T NY 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INVEST INC MORT DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORTGAGE INV INC MOR NY 8.01,9.01 11/26/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 12/06/04 SULPHCO INC NV 5.02 12/03/04 SUNTERRA CORP MD 2.02,9.01 12/06/04 Surge Global Energy, Inc. 1.01,8.01,9.01 12/06/04 Surge Global Energy, Inc. 1.01,5.02,8.01 12/06/04 AMEND SYNTHETIC BLOOD INTERNATIONAL INC NJ 3.02 11/30/04 TAYLOR CAPITAL GROUP INC DE 1.01,5.02,9.01 12/01/04 TECO ENERGY INC FL 8.01 12/06/04 TEKELEC CA 9.01 09/24/04 AMEND TELCOBLUE INC DE 8.01 12/06/04 TEN STIX INC. NV 1.01,2.01,3.02,5.03 12/03/04 TERAYON COMMUNICATION SYSTEMS DE 1.01,5.02 11/30/04 TERRA INDUSTRIES INC MD 8.01,9.01 11/30/04 TEXEN OIL & GAS INC NV 7.01 11/17/04 THEGLOBE COM INC DE 9.01 12/03/04 AMEND TIBCO SOFTWARE INC DE 1.01 11/30/04 TOWER AUTOMOTIVE INC DE 8.01,9.01 12/03/04 TRANSCEND SERVICES INC DE 1.01 12/01/04 TRAVELCENTERS OF AMERICA INC DE 1.01,1.02,2.01,7.01,9.01 12/01/04 TRENWICK AMERICA CORP DE 7.01,9.01 11/22/04 TRENWICK GROUP LTD 7.01,9.01 11/22/04 TRITON PCS HOLDINGS INC 1.01,2.01,8.01,9.01 11/29/04 U-Store-It Trust MD 2.02,9.01 12/02/04 UNITED INVESTORS GROWTH PROPERTIES MO 2.03,9.01 12/01/04 UNOCAL CORP DE 1.01,9.01 12/03/04 US BIODEFENSE INC UT 1.01,7.01,9.01 11/08/04 USB HOLDING CO INC DE 2.06,9.01 12/03/04 VALENCE TECHNOLOGY INC DE 8.01 12/01/04 VCG HOLDING CORP CO 8.01,9.01 07/27/04 AMEND VENTAS INC DE 8.01,9.01 12/03/04 VERITY INC \DE\ DE 7.01 12/03/04 VERITY INC \DE\ DE 1.01 12/03/04 VERTICAL COMPUTER SYSTEMS INC NV 3.01,7.01,8.01 12/03/04 VIE FINANCIAL GROUP INC DE 8.01 12/03/04 VINTAGE PETROLEUM INC DE 2.01,9.01 11/30/04 VIRAL GENETICS INC /DE/ DE 9.01 09/20/04 AMEND VISTACARE, INC. DE 2.02,9.01 12/06/04 VISX INC DE 1.01,9.01 12/03/04 VSOURCE INC DE 5.02,9.01 12/06/04 WAL MART STORES INC DE 5.02,9.01 12/06/04 WALT DISNEY CO/ DE 5.02 12/01/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 12/06/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 11/30/04 WCA WASTE CORP 1.01,3.02,9.01 11/30/04 WEBSTER FINANCIAL CORP DE 8.01,9.01 12/03/04 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 12/01/04 WELLPOINT INC IN 2.03,9.01 12/06/04 AMEND WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 12/01/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 12/03/04 Wells Fargo Asset Securities Corp Mor DE 8.01,9.01 11/26/04 Wells Fargo Asset Securities Series 2 DE 8.01,9.01 11/26/04 Wells Fargo Home Equity Asset-Backed DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 WELLSFORD REAL PROPERTIES INC MD 8.01,9.01 11/30/04 WHITNEY HOLDING CORP LA 1.01 11/30/04 WORLD GOLF LEAGUE INC DE 5.02 08/08/04 AMEND WORLDWIDE RESTAURANT CONCEPTS INC DE 1.01,9.01 11/30/04 WYETH DE 8.01,9.01 12/06/04 XFormity Technologies, Inc. CO 9.01 09/27/04 AMEND Z TEL TECHNOLOGIES INC DE 3.02,5.03 11/30/04