SEC NEWS DIGEST Issue 2004-129 July 7, 2004 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - WEDNESDAY, JULY 7, 2004 - 3:00 P.M. The subject matter of the closed meeting scheduled for Wednesday, July 7, will be: Institution and settlement of an injunctive action; and Institution of an administrative proceeding of an enforcement nature. 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 REVOCATION OF REGISTRATION OF SECURITIES OF PINNACLE BUSINESS MANAGEMENT, INC., (d/b/a Serac Holdings, Inc.) The Commission announced today that it revoked the registration of the securities of Pinnacle Business Management, Inc. (d/b/a Serac Holdings, Inc.). The Order Instituting Public Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) was issued on July 6, 2004. Pinnacle consented to the entry of the Order revoking its securities registration without admitting or denying the facts or allegations in the Commission's Order. The Order finds that Pinnacle failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13, thereunder because it has not filed an Annual Report on Form 10-K since April 17, 2001, when it filed its annual report for the year ended Dec. 31, 2000. Pinnacle also has not filed quarterly reports on Form 10-Q for any fiscal period subsequent to the quarter ended June 30, 2001. In addition, in a Form 8- K filed with the Commission on Aug. 4, 2003, Pinnacle announced that two officers had resigned and that it had one remaining officer and director. This Form 8-K further disclosed that the company had no assets, no operating business and no sources of revenue. Previously, on May 8, 2002, the Commission filed a civil action in the U.S. District Court for the Middle District of Florida, Tampa Division, alleging that on April 2, 2002, Pinnacle issued a false and misleading press release regarding a proposed spin-off of a subsidiary. SEC v. Pinnacle Business Management, Inc., et al., 8:02-CV-822-T-17 (M.D. Fla.), Litigation Rel. No. 17507. The same day, the Commission also suspended trading in Pinnacle's securities. Exchange Act Rel. No. 34- 45890. On Dec. 15, 2003, the Court for the Middle District of Florida entered an order permanently enjoining Pinnacle and two company officials from violating the antifraud provisions of the federal securities laws. Pinnacle and the company officials consented to the injunctions without admitting or denying the allegations in the Commission's complaint (LR-18506). The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, Section 12(j) provides, in pertinent part: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked. (Rel. 34-49971; File No. 3-11535) COMMISSION DECLARES DECISION AS TO EDWARD BECKER FINAL The decision of an administrative law judge with respect to Edward Becker has become final. The law judge found that Becker pleaded guilty to conspiracy to commit securities fraud, wire fraud and mail fraud in violation of 18 U.S.C. ­ñ 371 and securities fraud in violation of Section 10(b) of the Exchange Act of 1934, and Exchange Act Rule 10b-5. The U.S. District Court for the Southern District of New York sentenced him to thirty-four months of incarceration, followed by three years of supervised release, and payment of $182,006 in restitution to customers. In his allocution, Becker admitted that he made materially false statements to customers concerning the purchase and sale of securities. The Commission barred Becker from association with any broker or dealer and from participating in any offering of penny stock. (Rel. 34-49972; File No. 3-11367) COMMISSION BARS ALEX SOLON FROM ASSOCIATION WITH A BROKER OR DEALER The Commission announced that on July 7 it barred Alex Solon from association with any broker or dealer. Administrative proceedings had previously been instituted against Solon on June 2, 2004, based upon the entry of a permanent injunction against Solon in SEC v. Leonard Alexander Ruge, et al., 97 Civ. 9306 (DAB) (SEC v. Ruge), and Solon's conviction in related criminal proceedings. Solon consented to the entry of the bar without admitting or denying the allegations in the Commission's order instituting proceedings against him. The Commission's complaint in SEC v. Ruge, alleged that, from June 1995 through February 1996, Solon and the other defendants engaged in a fraudulent scheme to manipulate the public trading market for the securities of International Investment Group Ltd. (IIGR) through the payment of bribes to various registered representatives and other individuals who sold IIGR stock to retail investors without disclosing the receipt of the bribes. The Commission's complaint charged Solon and the other defendants with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court entered a permanent injunction against Solon on June 26, 2003, and also barred Solon from participating in any offering of a penny stock. The injunction and penny stock bar were entered against Solon by default. Solon was also convicted in a parallel criminal action based on the same conduct underlying the Commission's complaint. For further information, see Litigation Release No. 18736 (June 3, 2004); Exchange Act Release No. 34-49794 (June 2, 2004); Exchange Act Release No. 34-49795 (June 2, 2004); Exchange Act Release No. 34-39605 (Feb. 2, 1998), Litigation Release No. 15595 (Dec. 18, 1997) and Exchange Act Release No. 34-37807 (Oct. 10, 1996). (Rel. 34-49974; File No. 3-11507) ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST JOSE ZOLLINO On July 7, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Order) against Jose P. Zollino (Zollino). In the Order, the Division of Enforcement alleges that on Jan. 7, 2004, the U.S. District Court for the Western District of Texas entered a judgment against Zollino permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and aiding and abetting violations of Sections 206(1) and 206(2) of the Advisers Act (SEC v. Inverworld, Inc., et al., Civil Action Number SA-99-CV-0822 W.D. Tex.). The Commission's complaint alleged that since Jan. 1, 1997, InverWorld, at the direction of Zollino, managed approximately $433 million on behalf of at least 1,000 Mexican and other Latin American investors. Contrary to representations that client funds would be primarily invested in safe, secure investments, InverWorld instead recommended and/or invested a substantial portion of client funds in extremely risky and undisclosed investments. In addition, InverWorld grossly misrepresented the true value of client investments in monthly account statements. Further, InverWorld created a complex web of affiliated offshore entities, such as IWG Services, Ltd. and IG Services, Ltd., to disguise the true nature of InverWorld's investment activities. The Division of Enforcement further alleges that on May 15, 2002, Zollino pleaded guilty to conspiracy to commit fraud in violation of 18 U.S.C. 371 and conspiracy to launder monetary instruments in violation of 18 U.S.C. 1956 (U.S. v. Zollino, Criminal Action Number SA-01-CR- 180 W.D. Tex.). The object of the conspiracy was to commit securities fraud, among other things. Zollino's plea agreement arose out of his involvement in the fraudulent activities of InverWorld. On Oct. 9, 2002, the court sentenced Zollino to 144 months imprisonment and ordered him to pay criminal restitution of $341,787,496. Zollino is currently incarcerated at Forrest City Federal Correctional Facility in Forrest City, Arkansas. A hearing before an administrative law judge will be scheduled to determine whether the allegations in the order are true, to provide the Respondent an opportunity to dispute these allegations, and to determine what remedial action, if any, is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rels. 34-49975; IA-2257; File No. 3-11536) PUBLIC ADMINISTRATIVE PROCEEDINGS SETTLED AGAINST MELVIN LEVINE AND MICHAEL REITER On July 7, the Commission entered an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, against Melvin L. Levine and Michael T. Reiter. The Order finds that Levine and Reiter, both stock promoters, had each pled guilty to one count of conspiracy to commit wire, mail and securities fraud of a ten-count indictment which alleged that they had conspired in a scheme involving the issuance of COI Solutions, Inc. stock through a fraudulent Form S-8 offering. The indictment alleged that Levine, among others, had agreed to sell these shares to an offshore shell company that he controlled and owned, for a nominal amount. The shell company would, in turn, sell the shares to an undercover agent of the FBI, who was posing as a representative of an offshore mutual fund for approximately $16 million. The indictment also alleged that Levine would receive $2.4 million for his role in the scheme and that Reiter had also agreed to help recruit securities brokers who would artificially increase the market price of the COI stock by recommending and selling shares of COI to their customers in exchange for bribes. The Order also finds that Levine pled guilty to conspiracy to commit wire and securities fraud to another indictment concerning the manipulation of Rhino Ecosystems, Inc. stock. In the Rhino indictment, Levine was charged with conspiring with Rhino's officers in another scheme involving the issuance of free trading stock through a fraudulent S-8 offering. On September 15, Levine was sentenced to 37 months in prison and two years of supervised release and Reiter is currently awaiting sentencing. The Order bars Levine and Reiter from participating in any offering of a penny stock. Levine and Reiter both consented to the issuance of the Order without admitting or denying any of the findings contained therein. (Rel. 34-49977; File No. 3-11419) SEC SUES ABB LTD IN FOREIGN BRIBERY CASE ABB SETTLES FEDERAL COURT ACTION AND AGREES TO DISGORGE $5.9 MILLION IN ILLICIT PROFITS TWO ABB AFFILIATES ALSO PLEAD GUILTY AND AGREE TO PAY $10.5 MILLION IN FINES IN CRIMINAL CASE BROUGHT BY THE DEPARTMENT OF JUSTICE On July 6, the Commission filed a settled enforcement action in the U.S. District Court for the District of Columbia charging ABB Ltd, a global provider of power and automation technologies headquartered in Zurich, Switzerland, with violating the anti-bribery, books-and-records, and internal-accounting-controls provisions of the Foreign Corrupt Practices Act (FCPA). Simultaneously with the filing of the complaint, and without admitting or denying its allegations, ABB consented to the entry of a final judgment enjoining it from future FCPA violations, and requiring it (i) to pay $5.9 million in disgorgement and prejudgment interest, (ii) to pay a $10.5 million penalty, which would be deemed satisfied by two of its affiliates' payments of criminal fines totaling the same amount in parallel criminal proceedings brought by the Department of Justice; and (iii) to retain an independent consultant to review the company's FCPA compliance policies and procedures. In its complaint, the Commission charged that, from 1998 through early 2003, ABB's U.S. and foreign-based subsidiaries doing business in Nigeria, Angola and Kazakhstan, offered and made illicit payments totaling over $1.1 million to government officials in these countries. According to the complaint, all of the payments were made to influence acts and decisions by the foreign officials receiving the payments, in order to assist ABB's subsidiaries in obtaining and retaining business. The complaint further alleged that the payments were made with the knowledge and approval of certain management level personnel of the relevant ABB subsidiaries, and that at least $865,726 of the payments were made after ABB became a reporting company in the United States in April 2001. Finally, the complaint charged that ABB improperly recorded these payments in its accounting books and records, and lacked any meaningful internal controls to prevent or detect such illicit payments. According to the Commission, by making these payments through its subsidiaries, ABB violated the anti-bribery provisions of the FCPA (Section 30A of the Securities Exchange Act of 1934). The Commission further charged that, by improperly recording these payments, ABB violated the books-and-records provisions of the FCPA (Section 13(b)(2)(A) of the Securities Exchange Act of 1934). Finally, the Commission charged that, by failing to devise or maintain an effective system of internal controls to prevent or detect these violations of the FCPA, ABB violated the internal accounting controls provisions of the FCPA (Section 13(b)(2)(B) of the Securities Exchange Act of 1934). In determining to accept ABB's settlement offer, the Commission considered the full cooperation that ABB provided to the Commission staff during its investigation. The Commission also considered the fact that ABB brought this matter to the attention of the Commission's staff and the U.S. Department of Justice. Based in part upon ABB's cooperation, the Commission determined to allow ABB's $10.5 million civil penalty obligation to be deemed satisfied by two of its affiliates' payments of criminal fines totaling $10.5 million in a parallel criminal proceeding brought by the U.S. Department of Justice. In that parallel proceeding, also announced today, the U.S. Department of Justice filed criminal FCPA charges against two ABB subsidiaries, who entered guilty pleas before the Honorable Vanessa Gilmore, United States District Judge for the Southern District of Texas: Houston-based ABB Vetco Gray, Inc., and Aberdeen, Scotland-based ABB Vetco Gray UK, Ltd. (U.S. v. ABB Vetco Gray, Inc. and ABB Vetco Gray UK, Ltd., Case No. 04- CR-279-01 (S.D. Texas)). In particular, ABB Vetco Gray, Inc. and ABB Vetco Gray UK, Ltd. each agreed to plead guilty to two felony counts of violating the anti-bribery provisions of the FCPA and to pay criminal fines that, between them, total $10.5 million. The Commission acknowledges the assistance of the Department of Justice in its investigation, which is continuing. [SEC v. ABB Ltd, Case No. 1:04CV1141, RBW, USDC, D.D.C.] (LR-18775; AAE Rel. 2049) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES, ET AL. A supplemental order has been issued correcting the order dated June 30, 2004, (Holding Co. Act Release No. 27868), authorizing Northeast Utilities (NU), a registered public-utility holding company, NU Enterprises, Inc. (NUEI), its wholly owned nonutility subsidiary, and Select Energy, Inc. (Select), NUEI's wholly owned subsidiary, to, among other things, increase investment in exempt wholesale generators and other related nonutility businesses, engage in financing and related transactions through June 30, 2007. (Rel. 35-27868A) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission has granted accelerated approval to a proposed rule change (SR-Amex-2004-33) submitted by the American Stock Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49963) The Commission has granted accelerated approval to a proposed rule change (SR-BSE-2004-17), and Amendment No. 1 thereto, submitted by the Boston Stock Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49964) The Commission has granted accelerated approval to a proposed rule change (SR-CBOE-2004-30) submitted by the Chicago Board Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49965) The Commission has granted accelerated approval to a proposed rule change (SR-ISE-2004-07) submitted by the International Securities Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49966) The Commission has granted accelerated approval to a proposed rule change (SR-PCX-2004-34), and Amendment No. 1 thereto, submitted by the Pacific Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49967) The Commission has granted accelerated approval to a proposed rule change (SR-Phlx-2004-27) submitted by the Philadelphia Stock Exchange related to the handling of Satisfaction Orders pursuant to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage. Publication of the proposal is expected in the Federal Register during the week of July 5. (Rel. 34-49968) APPROVAL OF JOINT AMENDMENT NO. 11 TO THE PLAN FOR THE PURPOSE OF CREATING AND OPERATING AN INTERMARKET OPTION LINKAGE The Commission approved an amendment to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage submitted by American Stock Exchange, Boston Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, Pacific Exchange, and Philadelphia Stock Exchange (File No. 4-429) relating to the processing of Satisfaction Orders. (Rel. 34-49969) 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 PHC INC /MA/, 200 LAKE ST STE 102, PEABODY, MA, 01960, 9785362777 - 3,941,342 ($4,335,476.00) Other, (File 333-117146 - Jul. 6) (BR. 01) S-1 MOTIENT CORP, 10802 PARKRIDGE BLVD, RESTON, VA, 20191-5416, 7037586000 - 15,314,444 ($179,178,995.00) Equity, (File 333-117147 - Jul. 6) (BR. 37) S-8 MOTIENT CORP, 10802 PARKRIDGE BLVD, RESTON, VA, 20191-5416, 7037586000 - 36,331 ($425,073.00) Equity, (File 333-117148 - Jul. 6) (BR. 37) F-6 LG.Philips LCD Co., Ltd., 17TH FLOOR, WEST TOWER, LG TWIN TOWERS, 20 YOIDO-DONG, YOUNGDUNGPO-GU, SEOUL, M5, 150-721, 82-2-3777-0790 - 300,000,000 ($15,000,000.00) ADRs/ADSs, (File 333-117149 - Jul. 6) (BR. 36) S-8 DAXOR CORP, 350 FIFTH AVENUE, SUITE 7120, NEW YORK, NY, 10118, 2122440555 - 200,000 ($4,718,000.00) Equity, (File 333-117150 - Jul. 6) (BR. 36) S-8 CERES GROUP INC, 17800 ROYALTON RD, STRONGSVILLE, OH, 44136, 2165722400 - 1,000,000 ($6,155,000.00) Equity, (File 333-117151 - Jul. 6) (BR. 01) S-4 Prestige Brands, Inc., 90 NORTH BROADWAY, IRVINGTON, NY, 10533, (914) 524-6810 - 0 ($210,000,000.00) Other, (File 333-117152 - Jul. 6) (BR. 01) S-3 ODYSSEY MARINE EXPLORATION INC, PO BOX 320057, 3604 SAWANN AVE, TAMPA, FL, 33609, 8132820855 - 3,500,000 ($9,660,000.00) Equity, (File 333-117153 - Jul. 6) (BR. 08) S-8 NATCO GROUP INC, BROOKHOLLOW CENTRAL III, 2950 NORTH LOOP WEST STE 750, HOUSTON, TX, 77092, 7136839292 - 904,915 ($6,015,722.45) Equity, (File 333-117164 - Jul. 6) (BR. 06) S-8 NEXSTAR BROADCASTING GROUP INC, 909 LAKE CAROLYN PARKWAY, SUITE 1450, IRVING, TX, 75039, 972-373-8800 - 0 ($36,913,400.00) Equity, (File 333-117166 - Jul. 6) (BR. 37) S-3 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626, 7145498211 - 1,617,643 ($3,963,225.35) Equity, (File 333-117167 - Jul. 6) (BR. 36) F-3 COCA COLA FEMSA SA DE CV, GUILLERMO GONZALEZ CAMARENA NO. 600, COL. CENTRO DE CIUDAD SANTA FE, DELEGACION ALVARO OB, O5, DF 01210, 5255335300 - 0 ($219,031,347.98) Equity, (File 333-117168 - Jul. 6) (BR. 02) S-8 NOVELLUS SYSTEMS INC, 4000 N FIRST ST, SAN JOSE, CA, 95134, 4089439700 - 0 ($16,297,037.00) Equity, (File 333-117169 - Jul. 6) (BR. 36) S-3 ELECTRIC CITY CORP, 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($55,476,074.00) Equity, (File 333-117170 - Jul. 6) (BR. 36) S-8 BORGWARNER INC, 200 S MICHIGAN AVE, CHICAGO, IL, 60604, 3123228500 - 150,000 ($6,486,000.00) Equity, (File 333-117171 - Jul. 6) (BR. 05) S-8 MOMENTA PHARMACEUTICALS INC, 43 MOULTON STREET, CAMBRIDGE, MA, 02138, 6174919700 - 5,653,857 ($39,204,026.55) Equity, (File 333-117173 - Jul. 6) (BR. 01) S-3 PACIFIC CMA INC, 1350 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, 2122470049 - 0 ($4,527,137.15) Equity, (File 333-117174 - Jul. 6) (BR. 05) SB-2 ZYNEX MEDICAL HOLDINGS INC, 8100 SOUTH PARK WAY, SUITE A-9, LITTLETON, CO, 80120, (303) 703-4906 - 1,782,862 ($3,922,296.40) Equity, (File 333-117175 - Jul. 6) (BR. 36) S-8 SYMANTEC CORP, 20330 STEVENS CREEK BLVD, CUPERTINO, CA, 95014, 4082539600 - 0 ($3,837,938.00) Equity, (File 333-117176 - Jul. 6) (BR. 03) SB-2 AMERICHIP INTERNATIONAL INC, 12933 WEST EIGHT MILE ROAD, DETROIT, MI, 48235, 81,119,403 ($5,840,597.00) Equity, (File 333-117177 - Jul. 6) (BR. 36) S-1 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 1,336,039 ($5,972,772.00) Equity, (File 333-117178 - Jul. 6) (BR. 01) S-4 DOLLAR FINANCIAL GROUP INC, 1436 LANCASTER AVE, STE 210, BERWYN, PA, 19312-1288, 6102963400 - 0 ($21,200,000.00) Non-Convertible Debt, (File 333-117179 - Jul. 6) (BR. 07) S-3 BAM ENTERTAINMENT INC, 333 WEST SANTA CLARA BLVD STE 930, SAN JOSE, CA, 95113, 4082987500 - 33,813,961 ($21,979,074.65) Equity, (File 333-117180 - Jul. 6) (BR. 03) 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 ------------------------------------------------------------------------------------------------ ACR GROUP INC TX X X 07/06/04 ACTION PERFORMANCE COMPANIES INC AZ X X 07/01/04 ACTION PERFORMANCE COMPANIES INC AZ X X 07/01/04 ACUITY BRANDS INC DE X X 07/06/04 AEGIS ASSET BACKED SECURITIES CORP DE X X 07/02/04 AIRSPAN NETWORKS INC WA X 07/06/04 AMEND ALLIANCE GAMING CORP NV X X X 06/30/04 ALLIANCE IMAGING INC /DE/ DE X X 07/01/04 AML COMMUNICATIONS INC DE X X 06/18/04 ASCENTIAL SOFTWARE CORP DE X 07/06/04 ASPEN TECHNOLOGY INC /DE/ DE X X 07/06/04 ASSET BACKED FUNDING CORP C BASS MOR DE X X 06/25/04 AVATECH SOLUTIONS INC DE X X 06/30/04 Banc of America Funding Corp. Mortgag DE X X 06/25/04 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 03/16/04 BEAR STEARNS ARM TRUST, MORTGAGE PASS DE X 06/18/04 BENCHMARK ELECTRONICS INC TX X X 07/02/04 BINGO COM INC FL X 07/02/04 BSQUARE CORP /WA WA X 07/01/04 CALIFORNIA STEEL INDUSTRIES INC X 07/06/04 CANADIAN DERIVATIVES CLEARING CORP A6 X 07/03/04 CANARGO ENERGY CORP DE X X 07/02/04 CB RICHARD ELLIS GROUP INC DE X X 07/06/04 CENDANT MORTGAGE CAPITAL LLC CDMC MO DE X 06/25/04 CENDANT MORTGAGE CAPITAL LLC CDMC MOR DE X 06/25/04 CENDANT MORTGAGE CAPITAL LLC CDMC MOR DE X 06/25/04 CHAMPION PARTS INC IL X X 07/06/04 CHINA ENERGY VENTURES CORP NV X 07/06/04 CHIPPAC INC CA X X 07/02/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X 06/25/04 CITY NATIONAL CORP DE X X 07/06/04 CLECO CORP LA X X 07/06/04 CLICK COMMERCE INC X X 07/06/04 CNL RETIREMENT PROPERTIES INC MD X 03/31/04 AMEND COMPUWARE CORPORATION MI X X 06/29/04 CONTANGO OIL & GAS CO DE X X 07/06/04 COST U LESS INC WA X X 07/01/04 COVANSYS CORP MI X 07/01/04 DATAMEG CORP NY X 07/06/04 DEERE & CO DE X 07/06/04 DOLLAR TREE STORES INC VA X 07/06/04 DURECT CORP DE X 07/06/04 DYNAMIC HEALTH PRODUCTS INC FL X X 07/06/04 ELECTRO ENERGY INC FL X X 07/01/04 EN POINTE TECHNOLOGIES INC DE X X 06/28/04 ENCYSIVE PHARMACEUTICALS INC DE X X 07/06/04 ENESCO GROUP INC MA X X 07/06/04 ENTRAVISION COMMUNICATIONS CORP DE X 07/06/04 ENTRUST INC MD X X 07/05/04 ENVIRONMENTAL POWER CORP DE X X 07/06/04 EOG RESOURCES INC DE X 07/06/04 ESSEX CORPORATION VA X X 06/28/04 FARMERS CAPITAL BANK CORP KY X X 07/02/04 FARMERS CAPITAL BANK CORP KY X X 07/02/04 FEDERATED INVESTORS INC /PA/ PA X 07/06/04 FONIX CORP DE X X 02/24/04 AMEND FOREST OIL CORP NY X X 06/28/04 FREDERICK COUNTY BANCORP INC MD X 07/06/04 GEOCOM RESOURCES INC NV X X 07/06/04 GEORGIA PACIFIC CORP GA X X 07/02/04 GERBER SCIENTIFIC INC CT X 07/02/04 AMEND GMAC Mortgage Pass-Through Certificat DE X X 06/25/04 GMACM Mortgage Pass-Through Certifica DE X X 06/25/04 GOLDEN TELECOM INC DE X X 07/06/04 GRANITE FALLS COMMUNITY ETHANOL PLANT MN X 07/01/04 GRAYSTONE WORLD WIDE INC DE X X X 06/15/04 GREEN MOUNTAIN COFFEE ROASTERS INC DE X 07/02/04 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 06/25/04 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X X 06/25/04 GS MORTGAGE SECURITIES CORP DE X X 07/01/04 GS MORTGAGE SECURITIES CORP DE X X 07/02/04 GS MORTGAGE SECURITIES CORP GSAMP TRU DE X X 06/25/04 GS MORTGAGE SECURITIES CORP GSR MORTG DE X X 06/25/04 GS MORTGAGE SECURITIES CORP MOR PASTH DE X X 06/25/04 GS MORTGAGE SECURITIES CORP. GSAA TRU DE X X 06/25/04 HEALTH SYSTEMS SOLUTIONS INC NV X X 07/06/04 HERITAGE OAKS BANCORP CA X 06/30/04 HOST AMERICA CORP DE X X 06/23/04 HUB INTERNATIONAL LTD A6 X X X 07/01/04 HUMATECH INC IL X 06/21/04 HUSKER AG LLC NE X X 06/07/04 INFOCROSSING INC DE X 07/06/04 INTEGRATED SILICON SOLUTION INC DE X X 07/01/04 INTERNATIONAL THOROUGHBRED BREEDERS I DE X X 06/16/04 INTERPUBLIC GROUP OF COMPANIES, INC. 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