SEC NEWS DIGEST Issue 2004-66 April 6, 2004 COMMISSION ANNOUNCEMENTS MATTHEW WELL NAMED PUBLIC AFFAIRS DIRECTOR On April 5, the Commission announced that Matthew Well has joined the agency as Director of the Office of Public Affairs. In this position, Well will serve as the agency's principal spokesperson, responsible for the agency's day-to-day media relations and public relations about Commission activities. He will report to the Managing Executive for External Affairs, Laura L. Cox, who is responsible for strategic oversight and management of public affairs, legislative and intergovernmental affairs, and investor education for the Commission. Well, 32, is a veteran communications and media affairs strategist with more than 10 years of experience. He most recently served as the Director of Public Affairs for the American Tort Reform Association where he developed and executed national and state communications strategies. SEC Chairman William H. Donaldson said, "We are pleased to welcome Matt to the Commission staff. Communicating the critical work of the Commission has never been more important and I look forward to having Matt join the communications team." Well said, "I am delighted to work under the leadership of Chairman Donaldson and the outstanding team he has assembled. I look forward to helping communicate the SEC's key initiatives as it works to strengthen the integrity and soundness of our nation's securities markets." Well has a bachelor's degree from the University of Kansas and an MBA from Johns Hopkins University. (Press Rel. 2004-47) COMMISSION MEETINGS Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. OPEN MEETING - TUESDAY, APRIL 13, 2004 - 10:00 A.M. The subject matter of the open meeting scheduled for Tuesday, April 13, will be: 1. The Commission will consider whether to adopt a rule to exempt qualified foreign banks from the insider lending prohibition of Securities Exchange Act of 1934 Section 13(k), as added by Section 402 of the Sarbanes-Oxley Act. The rule would exempt foreign banks that meet specified criteria similar to those that qualify domestic banks for the exemption under Section 13(k). The Commission will also consider whether to adopt an amendment to Form 20-F that would require a foreign bank issuer to provide the same disclosure regarding certain loans to insiders as that required for domestic banks under Regulation S-K. For further information contact Elliot Staffin, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance, at (202) 942-2990. 2. The Commission will consider whether to propose amendments to Form S-8 and Form 8-K as well as proposing to define the term "shell company." The proposed amendments would: (1) define the term "shell company" to mean a registrant with no or nominal operations, and with no or nominal assets or assets consisting solely of cash and cash equivalents; (2) prohibit the use of Form S-8 by shell companies; and (3) revise Form 8-K to require a shell company to include current Form 10 or Form 10-SB information, including audited financial statements, in the filing on Form 8-K that it files to report an event that causes it to cease being a shell company. For further information, please contact Gerald J. Laporte, Chief, or Kevin M. O'Neill, Special Counsel, Office of Small Business Policy, Division of Corporation Finance, at (202) 942-2908. 3. The Commission will consider whether to adopt amendments to Forms N- 1A, N-3, N-4, and N-6 under the Securities Act of 1933 and the Investment Company Act of 1940. The amendments will (1) require open-end management investment companies and variable insurance products to disclose in their prospectuses information about the risks of, and policies and procedures with respect to, the frequent purchase and redemption of investment company shares; (2) clarify that open-end management investment companies and insurance company managed separate accounts that offer variable annuities are required to explain both the circumstances under which they will use fair value pricing and the effects of using fair value pricing; and (3) require open end management investment companies and insurance company managed separate accounts that offer variable annuities to disclose their policies and procedures with respect to disclosure of portfolio holdings information. For further information, please contact Kieran G. Brown or David Schwartz at (202) 942 0721. CLOSED MEETING - THURSDAY, APRIL 15, 2004 - 2:00 P.M. The subject matter of the closed meeting scheduled for Thursday, April 15, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; Regulatory matter regarding a financial institution; and a litigation matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS FORMER CONTROLLER OF W.R. GRACE SUBSIDIARY SANCTIONED Robert W. Armstrong, III (Armstrong), formerly controller of National Medical Care (NMC), a former subsidiary of W.R. Grace & Co. (W.R. Grace), has been sanctioned after a hearing before an administrative law judge. Armstrong was sanctioned for his role in W.R. Grace's scheme to manipulate NMC's reported earnings to achieve predetermined targets by accruing and then reducing reserves that were not in accordance with Generally Accepted Accounting Principles in order to offset higher-than- expected revenues or make up shortfalls. W.R. Grace's quarterly and annual reports, filed with the Securities and Exchange Commission (SEC) for the years 1991 through 1995, included financial statements that reported the manipulated earnings. The law judge concluded that Armstrong, although a reluctant participant in the scheme, nonetheless violated and caused violations of the antifraud, books and records, and reporting provisions of the federal securities laws and ordered him to cease and desist from such violations. The law judge dismissed additional charges brought pursuant to an SEC rule under which it can sanction accountants who appear or practice before it. (Initial Decision No. 248; File No. 3-9793) COMMISSION OBTAINS PRELIMINARY INJUNCTION AND SECOND TEMPORARY RESTRAINING ORDER IN CONNECTION WITH SUSPICIOUS PURCHASES OF INVISION TECHNOLOGIES, INC. CALL OPTIONS Orders Placed from Foreign Accounts Just Ahead of Acquisition Announcement; $2.7 Million in Resulting Proceeds Now Frozen On April 2, the U.S. District Court for the Southern District of New York issued a Preliminary Injunction continuing a freeze of about $2.7 million in the accounts of certain Unknown Purchasers of the Call Options of InVision Technologies, Inc. The Commission's complaint alleges that the frozen funds result from suspicious trading in call options of InVision Technologies, Inc. in the days immediately prior to a March 15, 2004, joint announcement by General Electric Company (GE) and InVision, a manufacturer of explosive-detection systems, that GE had agreed to acquire InVision in an all-cash transaction valued at approximately $900 million, or $50 per share of InVision common stock. The Preliminary Injunction was issued in the Commission's previously filed civil injunctive action, SEC v. One or More Unknown Purchasers of Call Options for the Common Stock of InVision Technologies, Inc., 04 Civ. 02037 (WHP) (S.D.N.Y.) (filed March 16, 2004). The frozen proceeds are being held in accounts of UBS Securities LLC, a U.S. brokerage firm and resulted from InVision call option purchase orders that came to UBS Securities through certain of its European affiliates. In addition to the freeze provisions, the Preliminary Injunction continues the Temporary Restraining Order's provisions requiring those who purchased the InVision call options through the UBS Securities accounts to identify themselves, and prohibiting the defendants from destroying documents. To date, no defendant has come forward to contact the Commission staff or the District Court. Additionally, on March 31, 2004, the Commission amended its complaint in the civil injunctive action to include additional suspicious trading in InVision call options immediately ahead of the joint GE/InVision announcement. The additional trading took place in accounts of Deutsche Bank Securities Inc., a U.S. brokerage firm, and resulted from purchase orders for InVision call options placed through a Deutsche Bank Securities European affiliate. These trades included orders to buy 1,000 April 45 InVision call options on March 12, 2004, the trading day immediately prior to the GE/InVision joint announcement, at prices ranging between $1.25 and $1.50 per contract. The positions were sold the next trading day, at an average price of $4.25 per contract, for a one-trading-day profit of approximately $286,728. On March 31, 2004, the District Court issued a second Temporary Restraining Order in the Commission's action, this time ordering a freeze of proceeds from the InVision option trading in the Deutsche Bank Securities accounts, requiring those who purchased those InVision call options to identify themselves, imposing an expedited discovery schedule and prohibiting the defendants from destroying documents. [SEC v. One or More Unknown Purchasers of Call Options for the Common Stock of InVision Technologies, Inc., 04 Civ. 02037 (WHP) SDNY] (LR-18657) INVESTMENT COMPANY ACT RELEASES INTEGRITY LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until May 6, 2004, to request a hearing on an application filed by Integrity Life Insurance Company, et al. Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of shares of Fidelity VIP Asset Manager: Growth Portfolio with Fidelity VIP Asset Manager Portfolio, Fidelity VIP Aggressive Growth Portfolio and Janus Growth Portfolio with Fidelity VIP Growth Portfolio, Janus Mid Cap Growth Portfolio with Fidelity VIP Mid Cap Growth Portfolio, Janus International Growth Portfolio and Janus Worldwide Growth Portfolio with Scudder EAFE Equity Index Fund, MFS Investors Trust Portfolio with MFS Capital Opportunities Portfolio, MFS Research Portfolio with MFS Investors Growth Stock Portfolio, and Putnam New Opportunities Fund with Putnam Voyager Fund. (Rel. IC-26411 - April 6) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-CHX-2004-01) and Amendment No. 1 thereto submitted by the Chicago Stock Exchange relating to membership dues and fees. (Rel. 34-49517) The Commission approved a proposed rule change (SR-CBOE-2003-23) and Amendment Nos. 1 and 2 thereto filed by the Chicago Board Options Exchange relating to its Autoquote Triggered EBook Execution System. Publication of the approval order is expected in the Federal Register during the week of April 5. (Rel. 34-49518) The Commission approved a proposal by the National Association of Securities Dealers (SR-NASD-2003-182) to amend NASD Rule 6210(a) to clarify certain terms used in the definition, "TRACE-eligible security," amend NASD Rule 6230(e)(2) to expand the trade reporting exemption to qualifying transactions in any TRACE-eligible security that is listed and quoted on the Nasdaq Stock Market, Inc., and make conforming amendments to the defined term, "reportable TRACE transaction," in NASD Rule 6210(c). Publication of the order in the Federal Register is expected during the week of April 5. (Rel. 34-49522) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-CBOE-2004-18) filed by the Chicago Board Options Exchange relating to an extension of its Prospective Fee Reduction Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of April 5. (Rel. 34-49524) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-BSE-2004-12) and Amendment Nos. 1 and 2 thereto submitted by the Boston Stock Exchange to retroactively apply and extend its Specialist Evaluation Program pilot. Publication of the notice is expected in the Federal Register during the week of April 5. (Rel. 34-49525) 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-3 INNOVATIVE COMPANIES INC, 6950 BRYAN DAIRY RD, LARGO, FL, 33777, 7275448866 - 4,820,833 ($32,203,164.44) Equity, (File 333-114182 - Apr. 5) (BR. 01) S-3 COMMERCE ONE INC / DE/, ONE MARKET, STEUART TOWER, SUITE 1300, SAN FRANCISCO, CA, 94105, 415-644-8721 - 7,153,840 ($11,839,605.20) Equity, (File 333-114183 - Apr. 5) (BR. 03) S-4 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($1,020,111,762.00) Equity, (File 333-114184 - Apr. 5) (BR. 01) S-1 UNIVERSAL TECHNICAL INSTITUTE INC, 6,325,000 ($246,548,500.00) Equity, (File 333-114185 - Apr. 5) (BR. 08) S-3 EPOCH BIOSCIENCES INC, 21720 23RD DRIVE S E, SUITE 150, BOTHELL, WA, 98021, 4258217535 - 3,286,000 ($6,802,020.00) Equity, (File 333-114186 - Apr. 5) (BR. 01) S-8 DAUGHERTY RESOURCES INC, 120 PROSPEROUS PLACE, SUITE 201, LEXINGTON, KY, 40509, 6062633948 - 37,113 ($220,451.22) Equity, (File 333-114187 - Apr. 5) (BR. 04) S-8 QUADRAMED CORP, 12110 SUNSET HILLS ROAD, SUITE 600, RESTON, VA, 20190, 7037092300 - 0 ($11,957,098.00) Equity, (File 333-114189 - Apr. 5) (BR. 03) S-8 INTERNATIONAL BUSINESS MACHINES CORP, 1 NEW ORCHARD ROAD, ARMONK, NY, 10504, 9144991900 - 175,000 ($1,174,250.00) Equity, (File 333-114190 - Apr. 5) (BR. 03) S-8 GK INTELLIGENT SYSTEMS INC, 2606 YORKTOWN PLACE, HOUSTON, TX, 77056, 7136261504 - 30,000,000 ($900,000.00) Equity, (File 333-114191 - Apr. 5) (BR. 05) S-8 CONCORDE CAREER COLLEGES INC, 8164748002 - 0 ($2,901,250.00) Equity, (File 333-114192 - Apr. 5) (BR. 08) S-8 SPESCOM SOFTWARE INC, 9339 CARROLL PARK DR, SAN DIEGO, CA, 92121, 6196253000 - 0 ($2,441,250.00) Equity, (File 333-114193 - Apr. 5) (BR. 03) S-8 CONCORDE CAREER COLLEGES INC, 8164748002 - 0 ($6,963,000.00) Equity, (File 333-114194 - Apr. 5) (BR. 08) S-8 NORTHEAST PENNSYLVANIA FINANCIAL CORP, 12 E BROAD ST, HAZLETON, PA, 18201, 5704593700 - 205,000 ($3,769,950.00) Equity, (File 333-114195 - Apr. 5) (BR. 07) F-6 AIR FRANCE /FI, 45 RUE DE PARIS, ROISSY DCG CEDEX, FRANCE, I0, 95747, 330141567800 - 100,000,000 ($5,000,000.00) Equity, (File 333-114197 - Apr. 5) (BR. 05) S-8 CONCORDE CAREER COLLEGES INC, 8164748002 - 0 ($4,642,000.00) Equity, (File 333-114198 - Apr. 5) (BR. 08) S-3 LODGENET ENTERTAINMENT CORP, 3900 W. INNOVATION STREET, SIOUX FALLS, SD, 57107-, (605)-988- - 0 ($225,000,000.00) Other, (File 333-114199 - Apr. 5) (BR. 37) N-2 RMR HOSPITALITY & REAL ESTATE FUND, 400 CENTRE STREET, NEWTON, MA, 02458, 400 ($10,000,000.00) Equity, (File 333-114200 - Apr. 5) (BR. 18) S-8 MEMORY PHARMACEUTICALS CORP, 100 PHILIPS PARKWAY, MONTVALE, NJ, 07645, 2018027100 - 0 ($13,906,519.00) Equity, (File 333-114201 - Apr. 5) (BR. 01) F-6 AIR FRANCE /FI, 45 RUE DE PARIS, ROISSY DCG CEDEX, FRANCE, I0, 95747, 330141567800 - 100,000,000 ($5,000,000.00) Equity, (File 333-114204 - Apr. 5) (BR. 05) S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 0 ($5,844,217.00) Equity, (File 333-114206 - Apr. 5) (BR. 07) S-3 GLOWPOINT INC, 225 LONG AVENUE, HILLSIDE, NJ, 07205, 8054828277 - 0 ($100,000.00) Equity, (File 333-114207 - Apr. 5) (BR. 36) S-2 YDI WIRELESS INC, 20 INDUSTRIAL DRIVE EAST, SOUTH DEERFIELD, MA, 01373, 4136658551 - 500,000 ($1,937,500.00) Other, (File 333-114208 - Apr. 5) (BR. 37) S-1 VIACELL INC, 131 CLARENDON ST, BOSTON, MA, 02116, 6172664373 - 0 ($92,000,000.00) Equity, (File 333-114209 - Apr. 5) (BR. 01) S-4 TOWN SPORTS INTERNATIONAL HOLDINGS INC, 0 ($124,807,000.00) Non-Convertible Debt, (File 333-114210 - Apr. 5) (BR. ) S-4 GENESIS HEALTHCARE CORP, 101 E. STATE ST., KENNETT SQUARE, PA, 19348, 6109261124 - 0 ($225,000,000.00) Other, (File 333-114211 - Apr. 5) (BR. 08) S-3D WELLS REAL ESTATE INVESTMENT TRUST INC, 6200 THE CORNERS PARKWAY, SUITE 250, NORCROSS, GA, 30092, 7704497800 - 0 ($955,000,000.00) Equity, (File 333-114212 - Apr. 5) (BR. 08) S-1 DOV PHARMACEUTICAL INC, 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601, 2019680980 - 666,667 ($10,316,672.00) Equity, (File 333-114213 - Apr. 5) (BR. 01) S-3 CHROMAVISION MEDICAL SYSTEMS INC, 33171 PASEO CORVEZA, SAN JUAN CAPISTRANO, CA, 92675, 9494433355 - 0 ($27,289,500.00) Equity, (File 333-114214 - Apr. 5) (BR. 36) N-2 SCUDDER GLOBAL RREEF REAL ESTATE FUND INC, 0 ($15,000.00) Equity, (File 333-114215 - Apr. 5) (BR. ) S-4 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 10,015,813 ($391,582,978.30) Equity, (File 333-114216 - Apr. 5) (BR. 04) 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. STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 1ST CONSTITUTION BANCORP NJ X 04/01/04 ABFC ASSET-BACKED CERTIFICATES SERIES DE X X 03/25/04 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 04/01/04 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 04/01/04 ABN AMRO MORT SEC MULTI CLASS MORT PS DE X X 04/01/04 ABN AMRO MORTGAGE CORP SERIES 2001-1 DE X X 04/01/04 ABN AMRO MORTGAGE CORP SERIES 2001-4 DE X X 04/01/04 ABN AMRO MORTGAGE CORP SERIES 2002-9 DE X X 04/01/04 ABN AMRO MORTGAGE MULTI-CLASS MOR PAS DE X X 04/01/04 ACE CASH EXPRESS INC/TX TX X X X 04/05/04 AEGIS ASSET BACKED SEC TR MORT PASS T DE X X 03/25/04 AEGIS COMMUNICATIONS GROUP INC DE X X 04/02/04 AES CORPORATION DE X 04/01/04 AFFILIATED COMPUTER SERVICES INC DE X X 04/05/04 ALLOY INC DE X X 03/30/04 ALTERNATIVE LOAN TRUST MORT PASS THRO DE X X 03/26/04 ALTRIA GROUP INC VA X 04/03/04 AMERICAN ACCESS TECHNOLOGIES INC FL X X 03/30/04 AMERICAN AXLE & MANUFACTURING HOLDING DE X X 04/05/04 AMERICAN BUSING CORP NV X X 04/05/04 AMERON INTERNATIONAL CORP DE X 04/02/04 AMIS HOLDINGS INC X 04/02/04 APPLERA CORP DE X X 04/05/04 APPLIED DIGITAL SOLUTIONS INC MO X 04/05/04 ARCH CHEMICALS INC VA X X 04/05/04 ARRAY BIOPHARMA INC DE X X 04/05/04 ASHFORD HOSPITALITY TRUST INC MD X 04/02/04 ASSET BACKED SECURITIES CORP DE X 04/05/04 B&G FOODS INC DE X X 04/02/04 BANC OF AMERICA ALTERNATIVE LOAN TRU NY X X 03/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 03/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 03/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 03/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 03/26/04 BANC OF AMERICA MORT SEC ALTERNATIVE DE X X 03/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 03/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 03/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 03/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 03/25/04 BANC OF AMERICA MORT SEC INC MORT PS DE X X 03/25/04 BANC OF AMERICA MORTGAGE SEC INC ALTE DE X X 03/26/04 BANC OF AMERICA MORTGAGE SEC INC MORT DE X X 03/25/04 BARRY R G CORP /OH/ OH X X 04/02/04 BAYVIEW FINANCIAL SECURITIES CO LLC DE X 04/01/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 03/25/04 BIO KEY INTERNATIONAL INC MN X X 04/05/04 BLUE RIVER BANCSHARES INC IN X 03/30/04 BRADY CORP WI X X 04/02/04 BRENEX OIL CORP UT X 03/26/04 BROOKTROUT INC MA X 04/05/04 BUILDING MATERIALS HOLDING CORP DE X 04/01/04 CADENCE RESOURCES CORP UT X X 04/05/04 CATUITY INC DE X 04/05/04 CCF HOLDING CO GA X X 03/30/04 CEF EQUIPMENT HOLDING LLC DE X X 03/22/04 AMEND CENTRA SOFTWARE INC DE X 04/05/04 CHARTER ONE FINANCIAL INC DE X 04/05/04 CHESAPEAKE CORP /VA/ VA X 04/05/04 CIGNA CORP DE X 04/05/04 CITIZENS BANKING CORP MI X X 04/02/04 COMDIAL CORP DE X X 03/31/04 COMMUNITY NATIONAL CORP /OH OH X 04/05/04 CONCORD COMMUNICATIONS INC MA X 04/05/04 CONOCOPHILLIPS DE X X 04/05/04 CONRAD INDUSTRIES INC DE X X 04/02/04 CREATIVE HOST SERVICES INC CA X X 04/02/04 CRIIMI MAE INC MD X X 04/02/04 CRUM & FORSTER HOLDINGS CORP DE X 04/02/04 D&E COMMUNICATIONS INC PA X 04/05/04 DANIELSON HOLDING CORP DE X X 04/05/04 DATA SYSTEMS & SOFTWARE INC DE X X 03/31/04 DIGITAL IMPACT INC /DE/ DE X X 04/05/04 DIRECTV GROUP INC DE X X 04/02/04 DIVIDEND CAPITAL TRUST INC MD X X X 03/19/04 DOT HILL SYSTEMS CORP NY X X 04/05/04 E PIPHANY INC DE X X X 04/05/04 E THE MOVIE NETWORKS FL X X X 11/05/03 AMEND EDISON MISSION ENERGY CA X 04/02/04 EGAIN COMMUNICATIONS CORP DE X X 03/31/04 EGAMES INC PA X X 04/05/04 EMERSON RADIO CORP DE X X 03/31/04 ENERGY TRANSFER PARTNERS LP DE X 01/20/04 AMEND ENTERTAINMENT PROPERTIES TRUST MD X X 03/29/04 ENVIRONMENTAL POWER CORP DE X X 03/30/04 EOG RESOURCES INC DE X 04/05/04 ESCO TECHNOLOGIES INC MO X 04/02/04 EXPLORATION CO OF DELAWARE INC DE X 04/02/04 FALCON PRODUCTS INC /DE/ DE X X 04/01/04 FEDERAL MOGUL CORP MI X 04/05/04 FEDERAL REALTY INVESTMENT TRUST MD X 04/02/04 FINOVA GROUP INC DE X 04/05/04 FIRST INDIANA CORP IN X X 04/05/04 FIRSTMERIT CORP /OH/ OH X X 04/05/04 FNBH BANCORP INC MI X X 12/30/03 AMEND FREEPCSQUOTE COM NV X X 03/30/04 FX ENERGY INC NV X 04/05/04 GENERAL DATACOMM INDUSTRIES INC DE X X 04/01/04 GENESIS TECHNOLOGY GROUP INC FL X 03/31/04 GOLDMAN SACHS ASSET BACKED SECURITIES X X 03/22/04 GREAT WESTERN BANCORPORATION INC IA X 03/31/04 GS AUTO LOAN TRUST 2004-1 X X 03/22/04 HILFIGER TOMMY CORP X X 04/01/04 HOLLYWOOD MEDIA CORP FL X X X 03/30/04 HORIZON HEALTH CORP /DE/ DE X X 04/05/04 HUDSON RIVER BANCORP INC DE X X 04/01/04 HUMANA TRANS SERVICES HOLDING CORP DE X X X 04/05/04 I2 TECHNOLOGIES INC DE X 04/01/04 IA GLOBAL INC DE X X 04/05/04 IBIZ TECHNOLOGY CORP FL X 01/20/04 AMEND IMAGING3 INC CA X 03/29/04 INTELLIGROUP INC NJ X X X 03/31/04 IPVOICE COMMUNICATIONS INC NV X X 12/16/03 JAG MEDIA HOLDINGS INC NV X X 03/30/04 JANUS CAPITAL GROUP INC DE X 04/05/04 JASMINES GARDEN NV X X 03/31/04 JOHNSON & JOHNSON NJ X 04/02/04 JOHNSON OUTDOORS INC WI X X 03/29/04 JONING CORP NV X X 02/26/04 KANA SOFTWARE INC DE X 03/31/04 KANA SOFTWARE INC DE X 03/31/04 KELLOGG CO DE X 04/05/04 LANVISION SYSTEMS INC DE X 04/05/04 LIBERTY STAR GOLD CORP NV X 03/29/04 LIGHTBRIDGE INC DE X X X 03/31/04 LONGBOW MINING CORP NV X 03/29/04 LOWES COMPANIES INC NC X 04/02/04 LOWES COMPANIES INC NC X X 04/05/04 MAI SYSTEMS CORP DE X X 04/01/04 MANDALAY RESORT GROUP NV X X 04/05/04 MARIMBA INC DE X 04/05/04 MARLTON TECHNOLOGIES INC NJ X X X 03/31/04 MAXWELL TECHNOLOGIES INC DE X X 04/05/04 AMEND MC SHIPPING INC X 04/02/04 MED DIVERSIFIED INC NV X X 03/12/04 AMEND MEMBERWORKS INC DE X X 04/01/04 METALDYNE CORP DE X X 04/02/04 METROMEDIA INTERNATIONAL GROUP INC DE X 04/05/04 MICROTEK MEDICAL HOLDINGS INC GA X 04/05/04 MIDWEST GENERATION LLC CA X X 04/05/04 MIDWEST GENERATION LLC CA X 04/02/04 MILACRON INC DE X X 04/05/04 MINUTEMAN INTERNATIONAL INC IL X X 04/05/04 MISSION ENERGY HOLDING CO DE X 04/02/04 MITEK SYSTEMS INC DE X X 04/05/04 MONSANTO CO /NEW/ DE X 03/31/04 MORTGAGE ASSET SEC TRANS INC MASTR AS DE X X 03/25/03 MORTGAGE ASSET SEC TRANS MORT PASS TH DE X X 03/25/03 MORTGAGE PASS- THROUGH CERTIFICATES S DE X X 04/01/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 03/26/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 03/25/04 MOSCOW CABLECOM CORP DE X X 04/02/04 MSC MORTGAGE PASS THROUGH CERTIFICATE DE X X 04/01/04 MSC SOFTWARE CORP DE X 04/05/04 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X X 04/01/04 MYLAN LABORATORIES INC PA X X 04/02/04 NAVIGATOR VENTURES INC NV X 04/01/04 NAVISTAR FINANCIAL RETAIL REC CORP NA DE X X 04/01/04 NEW YORK HEALTH CARE INC NY X X 04/05/04 NOBLE CORP X X 04/05/04 NORTEL NETWORKS CORP X X 04/05/04 NORTEL NETWORKS LTD X X 04/05/04 NTL INC DE X 04/05/04 NYFIX INC DE X X 04/02/04 OCCUPATIONAL HEALTH & REHABILITATION DE X X 04/02/04 OMNICELL INC /CA/ CA X X 04/05/04 OPTIKA INC DE X 01/20/04 OPTIMAL ROBOTICS CORP X 04/04/04 ORYX TECHNOLOGY CORP DE X X 02/03/04 AMEND OSPREY GOLD CORP NV X 01/29/04 AMEND OSTEOTECH INC DE X 04/05/04 P F CHANGS CHINA BISTRO INC X X 03/31/04 PACER HEALTH CORP FL X X 03/22/04 PACIFICHEALTH LABORATORIES INC DE X 03/29/04 PASS THROUGH CERTIFICATES SERIES 200 DE X X 04/01/04 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 04/01/04 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 04/01/04 PATRIOT TRANSPORTATION HOLDING INC FL X 03/29/04 PENWEST PHARMACEUTICALS CO WA X X 03/31/04 PER SE TECHNOLOGIES INC DE X X 04/05/04 PHARMACEUTICAL FORMULATIONS INC DE X 04/02/04 PLYMOUTH RUBBER CO INC MA X 02/27/04 PNC FINANCIAL SERVICES GROUP INC PA X X 04/05/04 PNC MORTGAGE SEC CORP MORT PASS THR C DE X X 04/01/04 PPOL INC CA X 04/02/04 PRIME MORTGAGE TRUST 2003-1 NY X X 03/25/04 PRIME MORTGAGE TRUST MORTGAGE PASS-TH DE X X 03/26/04 REDWOOD EMPIRE BANCORP CA X X 04/05/04 REMOTE KNOWLEDGE INC DE X X 04/01/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 03/25/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 03/25/04 SATELLITE ENTERPRISES CORP NV X 03/10/04 SECURITISATION ADVISORY SERVICES PTY X 03/25/04 SEEBEYOND TECHNOLOGY CORP CA X X 04/05/04 SEQUOIA MORTGAGE FUNDING CORP MD X X 03/19/04 SEQUOIA MORTGAGE FUNDING CORP MD X X 03/22/04 SEQUOIA MORTGAGE FUNDING CORP MD X X 03/30/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/20/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SEQUOIA RESIDENTIAL FUNDING INC X X 03/22/04 SIERRA BANCORP CA X X 03/29/04 SILICON IMAGE INC DE X X 04/01/04 SPEEDEMISSIONS INC FL X 01/21/04 AMEND SPRINT CORP KS X 04/05/04 STANLEY WORKS CT X 04/05/04 STATE STREET CORP MA X X 04/05/04 STELLENT INC MN X X 04/05/04 STORAGE ENGINE INC NJ X X 03/05/04 AMEND STRUCTURED ASSET MORT INV II INC MORT DE X X 03/25/04 STRUCTURED ASSET MORT INV II INC PRIM DE X X 03/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/04 STRUCTURED ASSET MORT INV INC THORNBU NY X X 03/26/04 STRUCTURED ASSET MORT INV MORT PASS T DE X X 03/25/04 STRUCTURED ASSET MORT INVEST INC MORT DE X X 03/25/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 04/02/04 SUNOCO LOGISTICS PARTNERS LP DE X X 04/01/04 TELECOMMUNICATION PRODUCTS INC CO X 04/05/04 TENET INFORMATION SERVICES INC UT X 03/17/04 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 03/26/04 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 03/26/04 TOYOTA MOTOR CREDIT CORP CA X 04/02/04 UNITED SURGICAL PARTNERS INTERNATIONA DE X X 04/05/04 USA TELCOM INTERNATIONALE NV X X X 04/05/04 VIA NET WORKS INC DE X 03/29/03 VIRAGEN INC DE X X 04/01/04 WAMU MORTAGE PASS THRU CERT SER 2003- DE X X 04/01/04 WAMU MORTAGE PASS THRU CERT SERIES 20 DE X X 04/01/04 WAMU MORTGAGE PASS THR CERTS SER 2003 DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CER SER 20 DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT 2002- DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT SER 2 DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT SER 2 DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SER DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SERI DE X X 04/01/04 WAMU MORTGAGE PASS THROUGH CERTS SERI DE X X 04/01/04 WAMU MORTGAGE PASS THRU CERTIFICATE S DE X X 04/01/04 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 04/01/04 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 04/01/04 WAMU MORTGAGE PASS THRU CERTS SERIES DE X X 04/01/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 04/01/04 WAMU MORTGAGE PASS-THRU CERT SERIES 2 DE X X 04/01/04 WASHINGTON MORTGAGE SEC CORP MORT PAS DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 04/01/04 WASHINGTON MUTUAL MOR SEC CORP MOR PS DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP MOR P DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP PASS DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 04/01/04 WASHINGTON MUTUAL MORT SEC WAMU MOR P DE X X 04/01/04 WASHINGTON MUTUAL MORTGAGE SEC CORP M DE X X 04/01/04 WASHINGTON MUTUAL MORTGAGE SEC CORP P DE X X 04/01/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PA THR CER DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PAS THR CE DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THR C DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORT PASS-THROU DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 04/01/04 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE X X 04/01/04 WEIRTON STEEL CORP DE X 04/05/04 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 03/25/04 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 03/25/04 WELLS FARGO ASSET SEC CORP MORT PS TH DE X X 03/25/04 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 03/25/04 WESBANCO INC WV X X 04/01/04 WESTERN OHIO FINANCIAL CORP DE X X 04/01/03 WILMINGTON TRUST CORP DE X 04/02/04 WILSHIRE FINANCIAL SERVICES GROUP INC DE X X 12/31/03 WINMILL & CO INC DE X X 12/31/03 AMEND WMAU MORTGAGE PASS THROUGH CERTIFICAT DE X X 04/01/04 WRC MEDIA INC DE X X 04/05/04 YAMAHA MOTOR RECEIVABLES CORP DE X 04/05/04 ZONE 4 PLAY INC NV X X 03/30/04 ZONE 4 PLAY INC NV X X X X 02/02/04 AMEND