SEC NEWS DIGEST Issue 2004-26 February 9, 2004 COMMISSION ANNOUNCEMENTS NOTICE OF ROUNDTABLE DISCUSSION REGARDING PROPOSED RULES RELATING TO SECURITY HOLDER DIRECTOR NOMINATIONS The Commission announced today that it will host a roundtable on March 10, 2004, from 9 a.m. - 5:15 p.m., to discuss the rules proposed by the Commission on Oct. 14, 2003, relating to security holder director nominations. As more fully described in the proposing release, which is available on the Commission's Web site at www.sec.gov, the proposals would, under certain circumstances, require companies to include in their proxy materials disclosure regarding security holder nominees for election as director. The roundtable will take place in the William O. Douglas Room of the Commission's headquarters at 450 Fifth Street, N.W., Washington, D.C. on March 10, 2004. The public is invited to observe the discussion, and seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at www.sec.gov. A final agenda and list of participants will be published in a press release prior to the roundtable discussion. The Commission will accept comments regarding issues addressed in the roundtable discussion and otherwise regarding the proposed rule amendments from March 10, 2004, until March 31, 2004. Any comments should be sent either by U.S. mail or electronic mail. It is not necessary to send the same comments in both formats. Comments should be submitted in triplicate to Jonathan G. Katz, Secretary, U.S. Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549- 0609. Comments also may be submitted electronically at the following e- mail address: rule-comments@sec.gov. All comment letters should refer to File No. S7-19-03. This number should be included in the subject line if sent via electronic mail. Comment letters will be posted on the Commission's Web site at www.sec.gov. We do not edit personal information, such as names or electronic mail addresses, from comment letters. You should submit only information that you wish to make available publicly. For additional information, please contact Lillian C. Brown or Andrew Brady, Division of Corporation Finance, at (202) 824-5250, or, with regard to investment companies, John M. Faust, Division of Investment Management, at (202) 942-0721, U.S. Securities and Exchange Commission, 450 Fifth Street, N.W., Washington D.C. 20549. (Press Rel. 2004-15) ENFORCEMENT PROCEEDINGS ROBERT KUTSENDA, CPA, REINSTATED TO APPEAR AND PRACTICE BEFORE THE COMMISSION AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Robert G. Kutsenda, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Kutsenda, who was denied the privilege of appearing or practicing before the Commission on June 19, 2001, pursuant to a settled proceeding, has represented that he has complied and will continue to comply with the terms of the order that denied him from appearing or practicing before the Commission as an accountant. Mr. Kutsenda's reinstatement is effective immediately. (Rel. 34- 49206; AAE Rel. 1954; File No. 3- 10517) ADMINISTRATIVE PROCEEDINGS AGAINST CERTAIN SALES AGENTS FOR STARCASH On February 9, the Commission settled public administrative and cease- and-desist proceedings against certain sales agents for Starcash, a South Florida payday advance business whom the Commission had previously sued and obtained injunctions against in U.S. District Court. Without admitting or denying the SEC's findings, Michael B. Rawdin and his company, Hard Asset Management, Inc., consented to entry of an order imposing a cease-and-desist order against them and barring them from association with any broker or dealer. The order found that Rawdin, while selling Starcash's unregistered securities in 2001 and 2002, learned of several problems with selling Starcash's securities, but continued to market them and in the process made misrepresentations and omissions to prospective Starcash investors. The order found that, as a result, Rawdin and Hard Asset Management violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Rawdin agreed to pay disgorgement and prejudgment interest of $62,439, which represented more than two-thirds of the commissions Rawdin earned from Starcash. The SEC agreed to waive further disgorgement and not impose a civil penalty based on Rawdin's representations in his Sworn Statement of Financial Condition and other documents submitted to the SEC. Also without admitting or denying the SEC's findings, sales agent David Cohen consented to entry of an order imposing a cease-and-desist order and barring him from association with any broker or dealer. The SEC found that Cohen, while selling Starcash's unregistered securities in 2001 and 2002, also learned of several problems with selling Starcash's securities, but continued to market them and in the process made misrepresentations and omissions to prospective Starcash investors. The order found that, as a result, Cohen violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5. Cohen agreed to pay disgorgement and prejudgment interest of $190,752.60, representing the commissions he made from Starcash. He also agreed to pay a $120,000 civil penalty. (David Cohen - Rels. 33- 8362, 34-49209, File No. 3-11234; Michael Rawdin, and Hard Asset Management, Inc. - 33-8363, 34-49210; File No. 3-11234) COMMISSION ISSUES ORDER SETTLING ADMINISTRATIVE PROCEEDINGS AGAINST NEVIS CAPITAL MANAGEMENT, LLC, DAVID WILMERDING, III, AND JON BAKER On February 9, the Commission settled administrative and cease-and- desist proceedings previously instituted against Nevis Capital Management, LLC, a registered investment adviser, and its principals, David R. Wilmerding, III, and Jon C. Baker. The Commission's Order found that from December 1998 through July 2000, Nevis Capital, Wilmerding, and Baker inequitably allocated all shares of initial public offerings (IPOs) acquired by the firm to only two of their clients, that they failed to disclose this IPO allocation practice, and that they made false and misleading statements, in public filings and in advertising, about the impact of this practice on the performance of the Nevis Fund, a mutual fund managed by Nevis Capital. Without admitting or denying the Commission's findings, Nevis Capital, Wilmerding, and Baker consented to the entry of an Order censuring each of them for their conduct, ordering that they cease and desist from committing or causing any violations and any future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-(1)(a)(5) thereunder, ordering that each pay disgorgement and prejudgment interest in the amount of $10,000.00, and also ordering that Nevis Capital pay a civil penalty in the amount of $1,690,000.00, and that Wilmerding and Baker each pay a civil penalty in the amount of $140,000.00. It is contemplated that the entire $2 million, $30,000.00 in disgorgement and prejudgment interest, and $1,970,000.00 in civil penalties, will be distributed to investors. (Rel. IA-2214; File No. 3-11201) SEC SETTLES FRAUD CHARGES AGAINST PROMOTER OF PRIME BANK SECURITIES FRAUD AND ISSUES BAR ORDER AGAINST HIM On February 3, the U.S. District Court for the Central District of California entered final judgments against both defendants in the Commission's "prime bank" case arising from the promotion of a fraudulent high-yield investment program to investors throughout the U.S., as well as in Canada. The defendants are William R. Kerr and the China Investment Group, Ltd., an entity Kerr controlled. Without admitting or denying the allegations of the Commission's complaint, the defendants consented to the entry of final judgments that permanently enjoin them from violating the antifraud, securities registration, and broker-dealer registration provisions of the federal securities laws. The defendants' disgorgement obligations were waived, and no civil penalties were imposed against them, based on their financial conditions and, in the case of Kerr, based also on recognition of his $10,757,775 restitution order in a parallel criminal case. In related proceedings, the Commission issued an administrative order on Feb. 6, 2004, to which Kerr consented, which bars Kerr from associating with any broker or dealer in the future. In its complaint in federal court, which it filed on Dec. 19, 2002, the Commission alleged that Kerr and his company induced more than sixty investors throughout the U.S., as well as in Canada, to invest over $12 million in his fraudulent investment program, which Kerr falsely promised would yield exorbitant returns within a matter of weeks or months. The complaint further alleged that, in furtherance of this scheme, Kerr posed as a wealthy, politically connected businessman and made numerous false and materially misleading representations to his investor victims and to various intermediaries whom he knew would echo his false claims to other investor victims. These false and materially misleading representations, according to the complaint, included claims (i) that Kerr had control of a $200 million trust; (ii) that Kerr could use the trust as leverage to trade in medium term bank notes (MTNs); (iii) that this MTN trading would yield profits of more than 13,000% of the amount invested; (iv) that Kerr's company, CIG, conducted the MTN trading; (v) that the World Bank supported Kerr's trading program; and (vi) that Kerr's investment program was safe and was backed by Kerr's personal guarantee. Further, the complaint alleged that, instead of investing his victims' funds as he had represented, Kerr misappropriated it, and failed to return either profits or principal to his investor victims. (See SEC v. William R. Kerr and China Investment Group, Ltd., Civil Case No. 02-9659 (C.D. Cal.); Lit. Rel. No. 17908/Dec. 20, 2002.) The court's final judgments permanently enjoin both of the defendants from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. The above-described final judgments and bar order conclude this litigation. In a related criminal matter brought by the U.S. Attorney's Office for the Central District of California, Kerr pleaded guilty to mail fraud and securities fraud charges stemming from the same fraudulent scheme that is the subject of the Commission's complaint, and is currently serving a 57-month prison sentence imposed on him in that case. See U.S. v. William R. Kerr, No. CR 02-1281 (C.D. Cal.). As noted above, Kerr was also ordered to pay $10.7 million in restitution as part of his criminal sentence. The Commission wishes to thank the U.S. Attorney's Office for the Central District of California, the Los Angles Office of the Federal Bureau of Investigation, the California Department of Corporations, and the Division of Securities of the Utah Department of Commerce for their assistance in connection with this matter. For related cases, see also Lit. Rel. Nos. 17281/Dec. 19, 2001, 17909/Dec. 23, 2002, and 18462/Nov. 17, 2003; for further information regarding "prime bank" fraud in general, see the SEC's Homepage at http://www.sec.gov/divisions/enforce/primebank.shtml. [SEC v. William R. Kerr and China Investment Group, Ltd., Civil Case No. 02-9659, USDC, CDCA] (LR-18568) FINAL JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST ANTHONY MUSSO AND JEFFREY GILL The Commission announced that on Jan. 26, 2004, the USDC for the Southern District of Florida entered Final Judgments of Permanent Injunction and Other Relief (Final Judgments) against Anthony F. Musso (Musso) and Jeffrey Gill (Gill). The Final Judgments, entered by the consents of Musso and Gill, without admitting or denying the allegations of the SEC's complaint, enjoin them from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. Additionally, the Final Judgment against Musso permanently bars him from acting as an officer or director of any issuer registered with the SEC and the Final Judgment against Gill provides for an officer director bar for a period of five years. The Final Judgment as to Musso orders him to pay disgorgement in the amount of $98,927.30, but waives all but $75,000 and does not impose a civil penalty based upon the Sworn Statement of Financial Condition submitted by Musso. The Final Judgment as to Gill orders him to pay $74,573.17, plus prejudgment interest in the amount of $2,513.04, and a civil penalty of $50,000. The SEC commenced this action by filing its complaint on Dec. 10, 2002, against Musso, Gill and others alleging that Defendants violated the antifraud and registration provisions of the federal securities laws in connection with the offer and sale of securities in Nutrition Superstores.com, Inc. and Advanced Wound Care, Inc. between 1998 and 2001. [SEC v. Nutrition Superstores.com, Inc., et al., Case No. 02- 81116-CIV-MIDDLEBROOKS (S.D. Fla.)] (LR-18569) COMPLAINT FILED AGAINST JONATHAN EPSTEIN The Commission filed a complaint on February 4 in the U.S. District Court for the Northern District of Alabama against Jonathan G. Epstein (Epstein), former President and Chief Executive Officer of Fila U.S.A. (Fila), an outside vendor of Just for Feet, Inc. (JFFI) in Birmingham, Alabama. The complaint alleges that Epstein assisted in perpetrating a financial reporting fraud involving the financial statements of JFFI, a former national retailer of athletic and outdoor footwear. Epstein signed an audit confirmation letter stating falsely that Fila owed JFFI $1.38 million in advertising "co-op receivables" which JFFI had improperly recorded. This overstatement of income was reflected on JFFI's financial statements included in its Form 10-K filed for fiscal year 1998, Forms 10-Q filed for the first and second quarters of fiscal year 1999, and in its registration statements on Forms S-8 and S-4 filed in May and June of 1999, respectively. The complaint seeks a permanent injunction enjoining Epstein from further violations or aiding and abetting violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder. The complaint further seeks the imposition of civil monetary penalties against Epstein. [SEC v. Jonathan G. Epstein, Civil Action No. 2:04-CV-0218 NDAL] (LR-18571) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-BSE-2004-03) filed by the Boston Stock Exchange that adds a rule regarding anticipatory hedging to the trading rules of the BSE's Boston Options Exchange 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 February 9. (Rel. 34-49171) A proposed rule change and Amendment No. 1 thereto filed by the Boston Stock Exchange (SR-BSE-2004-04) to amend the Rules of the Boston Options Exchange relating to the exercise and delivery of options contracts have 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 February 9. (Rel. 34-49191) A proposed rule change (SR-Phlx-2004-12) filed by the Philadelphia Stock Exchange relating to member organizations' compliance with Phlx Rule 972 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 February 9. (Rel. 34-49193) Emerging Markets Clearing Corporation filed a proposed rule change (SR- EMCC-2003-06) under Section 19(b)(3)(A) of the Securities Exchange Act, which became effective on filing, amending its Rule 2, Section 6, Admission Criteria for Members. Publication of the proposal is expected in the Federal Register during the week of February 9. (Rel. 34-49196) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 1 thereto submitted by the Chicago Stock Exchange (SR-CHX-2003-17), relating to automatic quotations. Publication of the proposal is expected in the Federal Register during the week of February 9. (Rel. 34-49188) The Commission approved a proposed rule change (SR-ISE-2003-38) submitted under Section 19(b)(1) of the Securities Exchange Act of 1934 by the International Securities Exchange to increase the number of authorized shares of Class B Common Stock, Series B-2 from 130 to 160, resulting in the creation of 30 additional Competitive Market Maker Memberships. (Rel. 34-49195) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval of proposed rule change and Amendment No. 1 thereto (SR-BSE-2004-05) submitted by the Boston Stock Exchange to establish a six-month pilot for market opening procedures of the Boston Options Exchange. Publication of the proposal is expected in the Federal Register during the week of February 9. (Rel. 34-49192) APPROVAL OF AMENDMENT TO PLAN The Commission granted approval of an amendment to the plan for the allocation of regulatory responsibilities submitted pursuant to Rule 17d- 2 of the Exchange Act by the American Stock Exchange, the Boston Stock Exchange, the Chicago Board Options Exchange, the International Securities Exchange, the National Association of Securities Dealers, the New York Stock Exchange, the Pacific Exchange, and the Philadelphia Stock Exchange (File No. S7-966). Publication of the amended plan is expected in the Federal Register during the week of February 9. (Rel. 34-49197) IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENTS A proposed amendment to the Options Intermarket Linkage Plan filed by the Boston Stock Exchange, adding the Boston Stock Exchange as a Participant to the Options Linkage Plan, has become immediately effective under Section 11A(a)(3) of the Securities Exchange Act of 1934 and Rule 11Aa3-2(c)(3)(iii) thereunder. Publication of the proposal is expected in the Federal Register during the week of February 9. (Rel. 34-49198) A proposed amendment to the OLPP filed by the Boston Stock Exchange, adding the Boston Stock Exchange as a Plan Sponsor to the OLPP, has become immediately effective under Section 11A(a)(3) of the Securities Exchange Act of 1934 and Rule 11Aa3-2(c)(3)(iii) thereunder. Publication of the proposal is expected in the Federal Register during the week of February 9. (Rel. 34-49199) 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-4 GOLDEN OVAL EGGS LLC, 0 ($30,875,000.00) Equity, (File 333-112533 - Feb. 6) (BR. 04) S-3 TERWIN SECURITIZATION LLC, 3 PARK AVE, 40TH FL, NEW YORK, NY, 10016, 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-112534 - Feb. 6) (BR. 05) S-8 VERILINK CORP, 256-327-2001 - 338,086 ($1,612,671.00) Equity, (File 333-112535 - Feb. 6) (BR. 37) S-8 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 63141, 3149942700 - 0 ($79,890,000.00) Equity, (File 333-112536 - Feb. 6) (BR. 04) S-8 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 63141, 3149942700 - 0 ($13,315,000.00) Equity, (File 333-112537 - Feb. 6) (BR. 04) S-3 AMDL INC, 2492 WALNUT AVENUE, STE 100, TUSTIN, CA, 92780, 7145054460 - 0 ($5,561,841.00) Equity, (File 333-112538 - Feb. 6) (BR. 36) S-1 BARRIER THERAPEUTICS INC, 600 COLLEGE ROAD EAST, SUITE 3200, PRINCETON, NJ, 08540, 6099451200 - 0 ($86,250,000.00) Equity, (File 333-112539 - Feb. 6) (BR. 01) S-3 CEPHALON INC, 145 BRANDYWINE PKWY, WEST CHESTER, PA, 19380, 6103440200 - 0 ($1,000,000,000.00) Other, (File 333-112541 - Feb. 6) (BR. 01) S-3 ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($66,581,644.00) Equity, (File 333-112542 - Feb. 6) (BR. 01) S-4 STELLENT INC, 7777 GOLDEN TRIANGLE DRIVE, ., EDEN PRAIRIE, MN, 55344, 9529032000 - 0 ($31,667,892.00) Equity, (File 333-112543 - Feb. 6) (BR. 03) S-8 CHURCH & DWIGHT CO INC /DE/, 469 N HARRISON ST, PRINCETON, NJ, 08543-5297, 6096835900 - 0 ($20,000,000.00) Other, (File 333-112544 - Feb. 6) (BR. 02) S-8 CHURCH & DWIGHT CO INC /DE/, 469 N HARRISON ST, PRINCETON, NJ, 08543-5297, 6096835900 - 0 ($16,276,000.00) Equity, (File 333-112545 - Feb. 6) (BR. 02) S-8 CHURCH & DWIGHT CO INC /DE/, 469 N HARRISON ST, PRINCETON, NJ, 08543-5297, 6096835900 - 0 ($50,000,000.00) Other, (File 333-112546 - Feb. 6) (BR. 02) S-8 CHURCH & DWIGHT CO INC /DE/, 469 N HARRISON ST, PRINCETON, NJ, 08543-5297, 6096835900 - 0 ($203,450,000.00) Equity, (File 333-112547 - Feb. 6) (BR. 02) S-3D BNP RESIDENTIAL PROPERTIES INC, C/O BODDIE NOELL PROPERTIES INC, 3850 ONE FIRST UNION CENTER, CHARLOTTE, NC, 28202, 7049440100 - 1,000,000 ($11,820,000.00) Equity, (File 333-112549 - Feb. 6) (BR. 08) S-8 CLICKABLE ENTERPRISES INC, 711 SOUTH COLUMBUS AVENUE, ., MOUNT VERNON, NY, 10550, 9146995190 - 10,000,000 ($500,000.00) Equity, (File 333-112551 - Feb. 6) (BR. 02) S-3 PSI ENERGY INC, 1000 EAST MAIN STREET, PO BOX 960, PLAINFIELD, IN, 46168, 3178399611 - 0 ($500,000,000.00) Other, (File 333-112552 - Feb. 6) (BR. 02) S-8 MOBIUS MANAGEMENT SYSTEMS INC, 120 OLD POST ROAD, RYE, NY, 10580, 9146377200 - 1,811,966 ($17,612,309.00) Equity, (File 333-112553 - Feb. 6) (BR. 03) S-1 INTERNATIONAL DISPLAYWORKS INC, 599 MENO DRIVE, STE, ROCKLIN, CA, 95765, 5033759300 - 5,065,263 ($10,351,272.03) Equity, (File 333-112554 - Feb. 6) (BR. 36) S-1 DYNTEK INC, 18881 VON KARMAN AVENUE, SUITE 250, IRVINE, CA, 92612, 949-955-0078 - 8,466,811 ($7,122,123.00) Equity, (File 333-112555 - Feb. 6) (BR. 02) S-8 RJ REYNOLDS TOBACCO HOLDINGS INC, 401 NORTH MAIN STREET, WINSTON-SALEM, NC, 27102, 336-741-5500 - 2,000,000 ($118,320,000.00) Equity, (File 333-112556 - Feb. 6) (BR. 04) S-8 RED HAT INC, 1801 VARSITY DRIVE, RALEIGH, NC, 27606, 9197543700 - 687,533 ($886,917.57) Equity, (File 333-112557 - Feb. 6) (BR. 03) SB-2 SMARTIRE SYSTEMS INC, 150 13151 VANIER PL, RICHMOND BC CANADA, A1, V6V 2J1, 6042769884 - 54,000,000 ($9,774,000.00) Equity, (File 333-112558 - Feb. 6) (BR. 36) S-3 UNIVERSAL AUTOMOTIVE INDUSTRIES INC /DE/, 11859 S CENTRAL AVE, ALSIP, IL, 60803, 708-293-40 - 0 ($10,902,677.00) Equity, (File 333-112559 - Feb. 6) (BR. 05) S-8 MYOGEN INC, 7575 WEST 103RD AVENUE STE 102, WESTMINSTER, CO, 80021, 3034106666 - 0 ($16,200,000.00) Equity, (File 333-112560 - Feb. 6) (BR. 01) S-8 CASUAL MALE RETAIL GROUP INC, 555 TURNPIKE STREET, CANTON, MA, 02021, 7818215900 - 5,580,000 ($36,493,200.00) Equity, (File 333-112561 - Feb. 6) (BR. 02) S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT, CARLSBAD, CA, 92008, 760-918-1860 - 1,000,000 ($465,000.00) Equity, (File 333-112562 - Feb. 6) (BR. 09) S-3 3M CO, 3M CENTER, BLDG. 220-11W-02, ST PAUL, MN, 55144-1000, 6517332204 - 541,581 ($42,560,143.00) Equity, (File 333-112563 - Feb. 6) (BR. 04) S-8 COLLAGENEX PHARMACEUTICALS INC, 41 UNIVERSITY DRIVE, NEWTON, PA, 18940, 2155797388 - 1,300,000 ($13,593,652.00) Equity, (File 333-112564 - Feb. 6) (BR. 01) S-8 CRITICARE SYSTEMS INC /DE/, 20925 CROSSROADS CIRCLE, WAUKESHA, WI, 53186, 4147988282 - 430,000 ($1,883,400.00) Equity, (File 333-112565 - Feb. 6) (BR. 36) S-3 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 0 ($750,000,000.00) Equity, (File 333-112566 - Feb. 6) (BR. 07) SB-2 GRANITE FALLS COMMUNITY ETHANOL PLANT LLC, 2448 540TH STREET SUITE 1, PO BOX 216, GRANITE FALLS, MN, 562410216, 3205643100 - 0 ($30,000,000.00) Other, (File 333-112567 - Feb. 6) (BR. 09) F-3 TRINITY BIOTECH PLC, IDA BUSINESS PARK, BRAY, CO WICKLOW, IRELAND, DUBLIN IRELAND, L2, 18, 01135312955111 - 6,866,912 ($28,429,015.68) Equity, (File 333-112568 - Feb. 6) (BR. 01) S-8 AMBIENT CORP /NY, 270 MAIDOSN AVENUE, BUILDING ONE, NEW YORK, NY, 10016, 8888610205 - 17,000,000 ($3,742,760.00) Equity, (File 333-112569 - Feb. 6) (BR. 37) S-8 TILLMAN INTERNATIONAL INC, 350 S 400 E, NO 105, SALT LAKE CITY, UT, 84111, 8015326200 - 17,500,000 ($21,875,000.00) Equity, (File 333-112570 - Feb. 6) (BR. 09) S-8 OPEN SOLUTIONS INC, 300 WINDING BROOK DRIVE, GLASTONBURY, CT, 06033, 8606523155 - 0 ($111,320,668.10) Equity, (File 333-112571 - Feb. 6) (BR. 03) S-8 QLOGIC CORP, 26650 LAGUNA HILLS DR, ALLISO VIEJO, CA, 92656, 7144382200 - 0 ($90,657,000.00) Equity, (File 333-112572 - Feb. 6) (BR. 36) S-8 CAREDECISION CORP, 2660 TOWNSGATE ROAD, SUITE 300, WESTLAKE VILLAGE, CA, 91361, 8054461973 - 7,000,000 ($420,000.00) Equity, (File 333-112573 - Feb. 6) (BR. 09) S-3 CINCINNATI GAS & ELECTRIC CO, 139 E FOURTH ST ROOM 362-ANNEX, PO BOX 960, CINCINNATI, OH, 45202, 5132872291 - 0 ($700,000,000.00) Other, (File 333-112574 - Feb. 6) (BR. 02) S-8 GTX INC /DE/, 3 NORTH DUNLAP AVE 3RD FL, VAN VLEET BUILDING, MEMPHIS, TN, 38163, 901-523-9700 - 0 ($32,874,489.50) Equity, (File 333-112576 - Feb. 6) (BR. 01) S-8 FONAR CORP, 110 MARCUS DR, MELVILLE, NY, 11747, 6316942929 - 2,000,000 ($2,800,000.00) Equity, (File 333-112577 - Feb. 6) (BR. 01) S-1 GENTEK INC, LIBERTY LANE, HAMPTON, NH, 03842, 6039292606 - 4,256,982 ($168,150,789.00) Equity, (File 333-112578 - Feb. 6) (BR. 05) SB-2 EMAGIN CORP, 2070 ROUTE 52, SUITE 2000 V6E 2K3, HOPEWELL JUNCTION, NY, 12533, 845 892 1900 - 7,654,636 ($18,294,580.04) Equity, (File 333-112579 - Feb. 6) (BR. 36) S-8 DTOMI INC, 200 9TH AVENUE, SUITE 220, SAFETY HARBOR, FL, 34965, (727) 723-8664 - 900,000 ($765,000.00) Equity, (File 333-112580 - Feb. 6) (BR. 08) S-8 ENER1 INC, 550 WEST CYPRESS CREEK ROAD, SUITE 120, FORT LAUDERDALE, FL, 33309, (954) 202-4442 - 25,379,802 ($28,932,974.00) Equity, (File 333-112581 - Feb. 6) (BR. 37) S-8 INVISION TECHNOLOGIES INC, 7151 GATEWAY BLVD, NEWARK, CA, 94560, 5107392400 - 0 ($32,159,780.63) Equity, (File 333-112582 - Feb. 6) (BR. 36) S-8 ENER1 INC, 550 WEST CYPRESS CREEK ROAD, SUITE 120, FORT LAUDERDALE, FL, 33309, (954) 202-4442 - 1,030,000 ($1,174,200.00) Equity, (File 333-112583 - Feb. 6) (BR. 37) N-2 ADVENT CLAYMORE GLOBAL CONVERTIBLE OPPORT INCOME FD, 100,000 ($2,000,000.00) Equity, (File 333-112584 - Feb. 6) (BR. ) SB-2 DYNECO CORP, 564 INTERNATIONAL PL, UNIT C, ROCKLEDGE, FL, 32995, 3216390333 - 8,175,000 ($1,839,375.00) Equity, (File 333-112585 - Feb. 6) (BR. 09) S-8 PROVIDENCE SERVICE CORP, 5524 E. FOURTH ST., TUSCON, AZ, 85711, 5207487108 - 803,336 ($9,589,422.00) Equity, (File 333-112586 - Feb. 6) (BR. 01) S-8 ADA-ES INC, 21,495 ($182,707.50) Equity, (File 333-112587 - Feb. 6) (BR. 02) S-3 ASCONI CORP, 160 INTERNATIONAL PARKWAY, STE 280, HEATHROW, FL, 32746, 4078338000 - 619,386 ($4,366,671.30) Equity, (File 333-112588 - Feb. 6) (BR. 02) S-1 ISHARES COMEX GOLD TRUST, 48,250,000 ($1,978,250,000.00) Asset-Backed Securities, (File 333-112589 - Feb. 6) (BR. ) S-3 PETCO ANIMAL SUPPLIES INC, 9125 REHCO RD, SAN DIEGO, CA, 92121, 6194537845 - 0 ($383,680,405.00) Equity, (File 333-112590 - Feb. 6) (BR. 02) N-2 APOLLO CAPITAL CORP, 0 ($575,000,010.00) Equity, (File 333-112591 - Feb. 6) (BR. ) S-8 DIVERSIFIED FINANCIAL RESOURCES CORP, SANDRA JORGENSEN, 1771 WOLVISON WAY, SAN DIEGO, CA, 92154, 6195757904 - 25,000,000 ($1,750,000.00) Equity, (File 333-112592 - Feb. 6) (BR. 07) S-4 CCO HOLDINGS LLC, 12405 POWERCOURT DR, ST LOUIS, MO, 63131, 314-965-0555 - 0 ($520,000,000.00) Non-Convertible Debt, (File 333-112593 - Feb. 6) (BR. ) S-8 TRINITY LEARNING CORP, 2526 DURANT AVENUE, NONE, BERKELEY, CA, 94704, 510-540-9300 - 6,500,000 ($9,750,000.00) Equity, (File 333-112594 - Feb. 6) (BR. 08) SB-2 MAGNITUDE INFORMATION SYSTEMS INC, 401 ROUTE 24, CHESTER, NJ, 07930, 9088792722 - 26,040,037 ($3,645,605.00) Equity, (File 333-112595 - Feb. 6) (BR. 03) S-8 YAHOO INC, 4083493300 - 0 ($3,532,858.44) Equity, (File 333-112596 - Feb. 6) (BR. 03) S-8 COPART INC, 4665 BUSINESS CENTER DRIVE, FAIRFIELD, CA, 94534, 7076395000 - 0 ($14,008,000.00) Equity, (File 333-112597 - Feb. 6) (BR. 02) S-3 CASUAL MALE RETAIL GROUP INC, 555 TURNPIKE STREET, CANTON, MA, 02021, 7818215900 - 0 ($100,000,000.00) Debt Convertible into Equity, (File 333-112598 - Feb. 6) (BR. 02) S-3 AGERE SYSTEMS INC, 555 UNION BLVD, ALLENTOWN, PA, 18109, 6107124323 - 6,921,188 ($25,816,031.24) Equity, (File 333-112599 - Feb. 6) (BR. 36) S-4 SIX FLAGS INC, 11501 NE EXPWY, OKLAHOMA CITY, OK, 73131, 4054752500 - 0 ($325,000,000.00) Non-Convertible Debt, (File 333-112600 - Feb. 6) (BR. 05) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 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 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ AAIPHARMA INC DE X X 02/05/04 AAIPHARMA INC DE X 02/06/04 AEGIS COMMUNICATIONS GROUP INC DE X X 02/05/04 AMERICAN AXLE & MANUFACTURING HOLDING DE X X X 02/03/04 AMERICAN CLAIMS EVALUATION INC NY X X 02/06/04 AMERICAN COAL CORP NV X 01/30/04 AMERICAN LAWYER MEDIA HOLDINGS INC DE X X 02/06/04 AMERICAN LAWYER MEDIA INC DE X X 02/06/04 ANADARKO PETROLEUM CORP DE X X 02/06/04 ANIXTER INTERNATIONAL INC DE X X 02/03/04 ANNALY MORTGAGE MANAGEMENT INC MD X 02/06/04 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 02/04/04 ARTESIAN RESOURCES CORP DE X 02/06/04 ASHFORD HOSPITALITY TRUST INC MD X 02/05/04 ASSET BACKED FUNDING CORP DE X X 02/02/04 ASSET BACKED FUNDING CORP DE X X 02/03/04 ASSET-BACKED CERTIFICATES SERIES 2003 DE X X 01/26/04 ATLANTIC REALTY TRUST CA X X 02/06/04 ATLAS AIR INC DE X X 02/05/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 02/05/04 AVADO BRANDS INC GA X X 02/05/04 BANKRATE INC FL X X 02/04/04 BARRETT BUSINESS SERVICES INC MD X 02/05/04 BEAR STEARNS ARM TRUST 2002-7 DE X X 01/26/03 BEAR STEARNS ARM TRUST 2003-4 DE X X 01/26/04 BEAR STEARNS ARM TRUST 2003-5 DE X X 01/26/04 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 01/26/04 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 01/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 01/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 01/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 01/26/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/26/04 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 01/26/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 12/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 01/26/04 BEAR STEARNS ASSET BACKED CERTS SERIE DE X X 01/25/04 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 01/25/04 BEAR STEARNS ASSET BACKED SEC INC CER DE X X 01/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/27/04 BEAR STEARNS ASSET BACKED SECURITIES DE X 12/26/03 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/27/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 01/25/04 BEAR STEARNS ASST ASSET BACKED CERTS DE X 01/26/04 AMEND BELO CORP DE X X 02/06/04 BENCHMARK ELECTRONICS INC TX X X 02/05/04 BIRDS EYE FOODS INC DE X 02/06/04 BNS CO DE X X 02/05/04 BUSINESS OBJECTS SA X X 02/05/04 CAGLES INC GA X 02/06/04 CAGLES INC GA X 02/06/04 AMEND CALGON CARBON CORPORATION DE X 02/06/04 CALLON PETROLEUM CO DE X X 02/05/04 CALPINE CORP DE X 02/06/04 CAMDEN PROPERTY TRUST TX X X 02/05/04 CAPITAL AUTOMOTIVE REIT MD X 02/04/04 CARDINAL HEALTH INC OH X 02/06/04 CARE CONCEPTS I INC /FL/ DE X X 02/06/04 CAREDECISION CORP NV X 02/05/04 CEDAR FAIR L P DE X 12/31/03 CENDANT CORP DE X X 02/06/04 CENTENNIAL SPECIALTY FOODS CORP DE X X 02/06/04 CENTERSTATE BANKS OF FLORIDA INC FL X X 02/05/04 CENTIV INC DE X X X X 02/02/04 CENTRAL EUROPEAN DISTRIBUTION CORP DE X X 02/06/04 CENTRAL VALLEY COMMUNITY BANCORP CA X X 02/05/04 CHAMPION INDUSTRIES INC WV X X 02/03/04 CHARTER COMMUNICATIONS INC /MO/ DE X 02/06/04 CHASE FUNDING INC NY X X 01/26/04 CHASE MORTGAGE FINANCE CORP DE X X 01/26/04 CIGNA CORP DE X 02/06/04 CITADEL BROADCASTING CORP DE X 02/06/04 CITIZENS BANCORP OF VIRGINIA INC VA X 01/30/04 CLAIRES STORES INC DE X X 02/05/04 COMMUNITY CENTRAL BANK CORP MI X 02/03/04 COMPUCOM SYSTEMS INC DE X X 02/04/04 COMPUWARE CORPORATION MI X X 02/05/04 CONCERTO SOFTWARE INC DE X X 02/06/04 CONNECTIV CORP DE X 02/06/04 CONSOLIDATED FREIGHTWAYS CORP DE X 02/06/04 COOLSAVINGS INC DE X X 02/04/04 CREDIT & ASSET REP VEHICLE CORP ALLST DE X 02/01/04 CULLEN FROST BANKERS INC TX X 02/06/04 CURAGEN CORP DE X 02/05/04 CURIS INC DE X 02/05/03 CURON MEDICAL INC DE X X 02/06/04 CURTISS WRIGHT CORP DE X X 02/04/04 DANAHER CORP /DE/ DE X X 01/27/04 DEB SHOPS INC PA X X 02/05/04 DEL MONTE FOODS CO DE X X 02/06/04 DELPHAX TECHNOLOGIES INC MN X X 02/05/04 DEPARTMENT 56 INC DE X X 02/05/04 DERMA SCIENCES INC PA X X 01/09/04 AMEND DIGITALNET HOLDINGS INC DE X X 02/05/04 DIGITALNET INC DE X X 02/05/04 DISCOVERY LABORATORIES INC /DE/ DE X X 02/06/04 DIVERSIFIED FINANCIAL RESOURCES CORP DE X 02/05/04 DTE ENERGY CO MI X X 02/05/04 DTE ENERGY CO MI X X 02/06/04 DYNABAZAAR INC DE X 02/02/04 ECOLAB INC DE X X 02/06/04 EDGAR ONLINE INC DE X 02/02/04 EDWARDS LIFESCIENCES CORP DE X X 01/27/04 ENER1 INC FL X 02/04/04 ENERGAS RESOURCES INC DE X 02/02/04 ENTRADA NETWORKS INC DE X X 02/06/04 EQUINIX INC DE X X 02/05/04 EUNIVERSE INC DE X X 02/05/04 EXPLORATION CO OF DELAWARE INC DE X 02/02/04 FEDERAL AGRICULTURAL MORTGAGE CORP X 02/06/04 FIBERNET TELECOM GROUP INC\ DE X X 01/30/04 FINANCIAL SECURITY ASSURANCE HOLDINGS NY X X 01/30/04 FINLAY ENTERPRISES INC /DE DE X X 02/05/04 FINLAY FINE JEWELRY CORP DE X X 02/05/04 FIRST CAPITAL INC IN X X 02/05/04 FIRST CENTURY BANKSHARES INC WV X X X 02/06/04 FIRST DATA CORP DE X X 02/05/04 FIRST DATA CORP DE X X 02/06/04 FIRST FINANCIAL CORP /IN/ IN X X 02/05/04 FIRST REAL ESTATE INVESTMENT TRUST OF NJ X 02/02/04 FIRST SOUTHERN BANCSHARES INC/DE DE X X 02/05/04 FLANIGANS ENTERPRISES INC FL X 01/22/04 FRANKLIN ELECTRONIC PUBLISHERS INC PA X X 02/05/04 FRANKLIN LAKE RESOURCES INC /NV NV X 02/06/04 FRANKLIN STREET PROPERTIES CORP /MA/ X 02/06/04 FULTON FINANCIAL CORP PA X X 02/04/04 GATEWAY ENERGY CORP/NE DE X X 01/23/04 AMEND GAVELLA CORP DE X 02/02/04 GENESCO INC TN X 02/05/04 GEO GROUP INC FL X 02/05/04 GLACIER BANCORP INC DE X X 02/05/04 GLATFELTER P H CO PA X X 02/06/04 GLOBAL WIRELESS SATELLITE NETWORKS US DE X X 02/06/04 GLOBIX CORP DE X 02/06/04 GOLDMAN SACHS ASSET BACKED SECURITIES X X 02/06/04 GORMAN RUPP CO OH X 02/06/04 GRAPHON CORP/DE DE X 02/06/04 GREAT AMERICAN BANCORP INC DE X X 02/05/04 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 01/15/04 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 01/26/04 GREER BANCSHARES INC SC X X 02/06/04 GRIFFON CORP DE X X 12/31/03 HANCOCK JOHN FINANCIAL SERVICES INC X 02/05/04 HANCOCK JOHN LIFE INSURANCE CO MA X 02/05/04 HAYES LEMMERZ INTERNATIONAL INC DE X X 02/06/04 HEALTH FITNESS CORP /MN/ MN X 12/08/03 AMEND HESPERIA HOLDING INC NV X X 01/26/04 HIGH COUNTRY BANCORP INC CO X X 02/05/04 HOLLYWOOD CASINO SHREVEPORT LA X X 02/03/04 HOME PROPERTIES INC MD X X 12/31/03 HOST MARRIOTT CORP/ MD X 02/05/04 HOST MARRIOTT L P DE X 02/05/04 HOUSE OF BRUSSELS CHOCOLATES INC NV X X 02/02/04 HURRY INC GA X X 02/02/04 HYPERCOM CORP DE X 02/06/04 IMPAC MORTGAGE HOLDINGS INC MD X X 02/05/04 INFOCROSSING INC DE X 04/10/03 AMEND INFOCROSSING INC DE X 05/07/03 AMEND INFOCROSSING INC DE X 08/07/03 AMEND INFOCROSSING INC DE X 09/19/03 AMEND INFOCROSSING INC DE X X 10/22/03 AMEND INFOCROSSING INC DE X 11/13/03 AMEND INTERNATIONAL PAPER CO /NEW/ NY X X X X 02/02/04 AMEND INTERNATIONAL RECTIFIER CORP /DE/ DE X 02/06/04 L O M MEDICAL INTERNATIONAL INC X 02/06/04 LAFARGE NORTH AMERICA INC MD X X 02/05/04 LAKES ENTERTAINMENT INC MN X X 02/06/04 LANDMARK BANCORP INC DE X X 02/06/04 LANTRONIX INC DE X X 02/05/04 LEHMAN ABS CORP MORTGAGE PASS THR CER DE X 12/26/03 AMEND LEHMAN BROTHERS HOLDINGS INC DE X 02/06/04 LEOPARD CAPITAL INC NV X X 01/31/04 LEVEL 8 SYSTEMS INC DE X 02/02/04 LIFE ENERGY & TECHNOLOGY HOLDINGS INC DE X 02/06/03 LODGENET ENTERTAINMENT CORP DE X 02/05/04 LONGS DRUG STORES CORP MD X 02/06/04 LORAL ORION INC DE X 02/04/04 LTC PROPERTIES INC MD X X 02/06/04 LUBRIZOL CORP OH X X 02/06/04 LYNCH INTERACTIVE CORP DE X 02/06/04 MAGNA ENTERTAINMENT CORP DE X X 02/05/04 MAGNITUDE INFORMATION SYSTEMS INC DE X X 02/06/04 MARCONI CORP PLC X0 X 02/06/04 MCMORAN EXPLORATION CO /DE/ DE X 02/06/04 MEGADATA CORP NY X X 02/06/04 MERRILL LYNCH & CO INC DE X X 02/06/04 METROPOLITAN MORTGAGE & SECURITIES CO WA X X X 02/04/04 MGI PHARMA INC MN X 02/06/04 MGP INGREDIENTS INC KS X X X 02/04/04 AMEND MICRONETICS INC DE X X 01/30/04 MICROS TO MAINFRAMES INC NY X X 01/29/04 MICROSOFT CORP WA X 02/06/04 MICROTEK MEDICAL HOLDINGS INC GA X 02/05/04 MID WISCONSIN FINANCIAL SERVICES INC WI X X X X 02/06/04 MIDLAND CO OH X X 02/05/04 MK GOLD CO DE X X 02/04/04 MOLECULAR DEVICES CORP DE X 12/31/03 MONARCH CASINO & RESORT INC NV X 02/05/04 MONMOUTH COMMUNITY BANCORP NJ X X 02/04/04 MOORE WALLACE INC X X 02/05/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 02/04/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 02/06/04 MOUNTAIN OIL INC UT X X 01/22/04 MRS FIELDS ORIGINAL COOKIES INC DE X X 02/06/04 NANOBAC PHARMACEUTICALS INC FL X X 02/06/04 NAVISTAR INTERNATIONAL CORP DE X 02/06/04 NBO SYSTEMS INC MD X 02/04/04 NETEGRITY INC DE X 12/30/03 AMEND NEW YORK COMMUNITY BANCORP INC DE X X 02/06/04 NEW YORK FILM WORKS INC NY X 02/06/04 NEWPARK RESOURCES INC DE X X 02/05/04 NEWPOWER HOLDINGS INC DE X 02/04/04 NORSTAN INC MN X X 02/05/04 NORTH AMERICAN SCIENTIFIC INC DE X 02/05/04 NORTH AMERICAN TECHNOLOGIES GROUP INC DE X X X 01/26/04 NORTH BAY BANCORP/CA CA X X X 02/06/04 NORTHEAST PENNSYLVANIA FINANCIAL CORP DE X X X 02/05/04 NTS PROPERTIES III GA X 02/04/04 NTS PROPERTIES IV KY X 02/04/04 NTS PROPERTIES V MD X 02/04/04 NTS PROPERTIES VI MD X 02/04/04 NTS PROPERTIES VII FL X 02/04/04 NUTECH DIGITAL INC CA X X 02/02/04 O CHARLEYS INC TN X X 02/06/04 O2DIESEL CORP X X 02/04/04 OAKWOOD HOMES CORP NC X 02/06/04 OLD GOAT ENTERPRISES INC NV X X X X 02/02/04 ONVIA COM INC DE X X 02/06/04 OPEN TEXT CORP K6 X 02/05/04 ORYX TECHNOLOGY CORP DE X X 02/03/04 OXFORD FINANCE CORP X X 01/28/04 PANERA BREAD CO DE X X X 02/05/04 PARTY CITY CORP DE X 02/06/04 PATTERSON UTI ENERGY INC DE X X 02/06/04 PDS GAMING CORP MN X X 01/27/04 PEGASUS COMMUNICATIONS CORP / DE X X 02/05/04 PEGASUS SATELLITE COMMUNICATIONS INC DE X X 02/06/04 PENN NATIONAL GAMING INC PA X X X 02/03/04 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X 02/06/04 PERFORMANCE TECHNOLOGIES INC \DE\ DE X 12/31/03 PHOENIX GOLD INTERNATIONAL INC OR X X 02/06/04 POLYONE CORP X X 02/04/04 PORTOLA PACKAGING INC DE X X 12/09/03 POTOMAC BANCSHARES INC WV X X 02/05/04 PREMIER DEVELOPMENT & INVESTMENT INC NV X 01/22/04 PRIME MORTGAGE TRUST 2003-1 NY X X 01/25/04 PRIMUS TELECOMMUNICATIONS GROUP INC DE X X 02/06/04 QUALITY SYSTEMS INC CA X X 02/02/04 QUANTUM GROUP INC /FL NV X X 02/05/04 REDHOOK ALE BREWERY INC WA X X 02/04/04 RESTORATION HARDWARE INC CA X X X 02/05/04 ROLLINS INC DE X 02/04/04 ROTO-ROOTER INC DE X X 02/05/04 SCIQUEST INC DE X X X 02/05/04 SEITEL INC DE X X 01/28/04 SEQUIAM CORP CA X X 01/29/04 SHARPER IMAGE CORP DE X X 02/06/04 SHILOH INDUSTRIES INC DE X 02/06/04 SHIRE PHARMACEUTICALS GROUP PLC X X 02/06/04 SILICONIX INC DE X X 02/06/04 SILVER BUTTE MINING CO X 02/04/04 SIMON PROPERTY GROUP INC /DE/ DE X X X 02/05/04 SIRNA THERAPEUTICS INC CO X X 02/05/04 SOHU COM INC DE X 11/24/03 AMEND SONTRA MEDICAL CORP MN X X 02/06/04 SOTHEBYS HOLDINGS INC MI X X 02/05/04 SOUTHERN COMMUNITY FINANCIAL CORP NC X X 02/06/04 STAGE STORES INC NV X X 02/06/04 STARRETT L S CO MA X 12/27/03 STERION INC MN X X 11/26/03 AMEND STRUCTURED ASSET MORT INV II INC BEAR DE X X 01/26/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/26/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/26/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/26/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/26/04 STRUCTURED ASSET SEC CORP LB UBS COM X 12/17/03 AMEND SUMMIT BANCSHARES INC /TX/ TX X X 02/06/04 SUMMIT SECURITIES INC /ID/ ID X X X 02/04/04 SUNOCO INC PA X X 02/06/04 SUPERGEN INC DE X X 01/26/04 SUREWEST COMMUNICATIONS CA X X 02/05/04 SWEETHEART HOLDINGS INC \DE\ DE X X 02/06/04 TASER INTERNATIONAL INC X X 02/06/04 TEAM FINANCIAL INC /KS KS X 02/05/04 TECHNICAL COMMUNICATIONS CORP MA X X 02/06/04 TEMECULA VALLEY BANCORP INC DE X 02/06/04 THERMADYNE HOLDINGS CORP /DE DE X X 02/05/04 TIME AMERICA INC NV X X 02/05/04 TOTAL ENTERTAINMENT RESTAURANT CORP DE X 02/05/04 TOYOTA MOTOR CREDIT CORP CA X 12/31/03 TRADING SOLUTIONS COM INC NV X 01/30/04 TRESTLE HOLDINGS INC DE X X 02/05/04 TS ELECTRONICS INC DE X 02/04/04 UNITED FINANCIAL INC NC X X X 02/06/04 UNITIL CORP NH X X 12/31/03 UNOCAL CORP DE X 01/27/04 UNUMPROVIDENT CORP DE X 02/06/04 US AIRWAYS GROUP INC DE X X 02/06/04 USA BROADBAND INC DE X 01/20/04 VEECO INSTRUMENTS INC DE X X 02/06/04 VION PHARMACEUTICALS INC DE X X 02/06/04 VIRILITEC INDUSTRIES INC DE X X X 01/23/04 VIROPHARMA INC DE X X 02/05/04 VISHAY INTERTECHNOLOGY INC DE X X 02/05/04 VITESSE SEMICONDUCTOR CORP DE X X 02/04/04 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X X 02/04/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 02/05/03 WELLS GARDNER ELECTRONICS CORP IL X X 02/06/04 WET SEAL INC DE X X 02/05/04 WILD OATS MARKETS INC DE X X 02/05/04 WILSONS THE LEATHER EXPERTS INC MN X X 01/22/04 WIZZARD SOFTWARE CORP /CO CO X X 02/06/04 WORLD INFORMATION TECHNOLOGY INC NV X X X 01/26/04 WORLD OMNI AUTO RECEIVABLES TRUST 200 DE X X 12/09/03 WORLD OMNI AUTO RECEIVABLES TRUST 200 DE X 01/28/04 ZENITH NATIONAL INSURANCE CORP DE X 02/06/04 ZHONE TECHNOLOGIES INC DE X X X 11/13/03 AMEND CENTRAL FREIGHT LINES INC NV X X 02/05/04 SMITH MICRO SOFTWARE INC DE X X 02/05/04