SEC NEWS DIGEST
Issue 2004-152 August 9, 2004
RULES AND RELATED MATTERS
SHAREHOLDER REPORTS AND QUARTERLY PORTFOLIO DISCLOSURE OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES; TECHNICAL AMENDMENT
On August 9, the Commission issued a release adopting a technical
amendment to the requirement in Form N-1A that a mutual fund include
expense examples in its shareholder reports. The technical amendment
requires mutual funds to round all figures in the table of expense
examples to the nearest cent. (Rels. 33-8393A; 34-49333A; IC-26372A)
ENFORCEMENT PROCEEDINGS
COMMISSION INSTITUTES FIRST ENFORCEMENT ACTION AGAINST INSURANCE COMPANIES
FOR PERMITTING MARKET TIMING OF MUTUAL FUNDS THROUGH VARIABLE ANNUITIES -
- INSURANCE COMPANIES TO PAY $20 MILLION IN SETTLEMENT
The Commission today instituted the first enforcement action charging
insurance companies with securities fraud for facilitating market timing
of mutual funds through the sale of variable annuities. The insurance
companies are subsidiaries of Conseco, Inc. (CIHC, Inc., Conseco
Services, LLC, and Conseco Equity Sales, Inc.), and the company to which
Conseco sold its variable annuity business in 2002, Inviva, Inc., and
its subsidiary Jefferson National Life Insurance Company.
The insurance companies have agreed to settlements that include payment
of $20 million in disgorgement and penalties and undertakings of
compliance reforms. The Commission's Orders find that the prospectuses
through which the insurance companies sold the variable annuities
misleadingly represented, among other things, that the annuities were
"not designed for professional market timing organizations." In fact,
the insurance companies affirmatively marketed and sold the annuities to
professional market timers. Eventually, market timing assets
constituted the majority of assets invested in the variable annuity
products. The insurance companies profited by the fees earned from the
sales of the annuities to the market timers.
The Commission's Orders find:
Variable annuities are combined securities and insurance products
designed primarily for individual retirement and tax purposes.
Nevertheless, from late 1999 through October 2002, Conseco Variable
Insurance Company (CVIC) (CIHC was the corporate parent of CVIC),
Conseco Services, and Conseco Equity Sales, Inc. (CES) sold the Monument
and Advantage Plus variable annuity products to hedge funds and other
individuals and entities to market time the mutual fund portfolios
offered through the variable annuities. Conseco Services employees were
aware that these market timers, in contrast to the typical variable
annuity customer, had no interest in the tax deferral or retirement
features of variable annuities.
The Monument and Advantage Plus prospectuses falsely stated that
these products were "not designed for professional market timing
organizations" and indicated that CVIC in its "sole discretion" could
restrict exchanges "that we consider disadvantageous" to other annuity
contract holders. Further, the prospectuses failed to disclose that
CVIC was marketing and selling the products to market timers. In
addition, the prospectuses failed to disclose the risk that market
timing might have a negative impact on other variable annuity
purchasers' investment returns.
In October 2002, Inviva purchased CVIC and later renamed it
Jefferson National. Inviva and Jefferson National continued to allow a
group of hedge funds and other select customers to engage in market
timing through the Monument and Advantage Plus variable annuity
products.
The Jefferson National prospectuses repeated the above language
from the CVIC prospectuses. Further, the Jefferson National prospectus
reserved the right to limit any "substantive" transfers that it
determined "in its sole discretion, could adversely affect the
management of the investment portfolio." However, as at CVIC, Inviva
and Jefferson National failed to disclose that Jefferson National was
selling the products to market timing customers, and was facilitating
the market timers in carrying out a market timing strategy.
In some cases, mutual fund advisers were aware of and permitted the
market timing of the mutual funds. In other cases, Respondents did not
inform the underlying fund complexes that Conseco Services and Inviva
employees tolerated and actively solicited market timers. Many of these
complexes prohibited market timing or did not tolerate timers.
Ultimately, hedge funds and other market timers invested
approximately $120 million in Monument and Advantage Plus variable
annuities. In the Monument product, the market timing assets dwarfed
the assets of other variable annuity purchasers. Through their frequent
trading, the market timers diluted the value of the underlying mutual
funds that were timed, and caused the funds to incur additional costs.
The Commission's Orders find that CIHC, Conseco Services, CES, Inviva,
and Jefferson National violated Section 17(a) of the Securities Act of
1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-
5 thereunder, and Section 34(b) of the Investment Company Act of 1940.
The Orders require Conseco Services, CES, Inviva, and Jefferson National
to cease and desist from violating these provisions. CIHC, Conseco
Services, CES, Inviva, and Jefferson National consented to entry of the
respective Orders without admitting or denying the findings.
Under the settlements, CIHC, Conseco Services, and CES have agreed to
pay $15 million, including disgorgement of $7.5 million and civil
penalties of $7.5 million. Inviva and Jefferson National will pay $5
million, including disgorgement of $3.5 million and a civil penalty of
$1.5 million. These amounts will be distributed to shareholders of
mutual funds affected by the market timing.
Inviva and Jefferson National will also undertake compliance measures to
protect against future violations. These measures include retaining an
independent consultant to review compliance procedures designed to
prevent and detect market timing.
The Commission acknowledges the assistance of the New York Attorney
General in connection with this matter. (CIHC, Inc., Conseco Services,
LLC, and Conseco Equity Sales, Inc. - Rels. 33-8455; 34-50165; IC-26526;
File No. 3-11578; Press Rel. 2004-109); (Inviva, Inc. and Jefferson
National Life Insurance Company - Rels. 33-8456; 34-50166; IC-26527;
File No. 3-11579; Press Rel. 2004-109)
IN THE MATTER OF FREDERICK HORNICK, JR.
On August 6, the Commission issued an Order Instituting Administrative
Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of
1934 (Exchange Act), Making Findings, and Imposing Remedial Sanctions
(Order) against Frederick B. Hornick, Jr. (Hornick). The Order finds
that since at least 2003, Hornick fraudulently solicited investors.
The Commission sued Hornick and others in an action entitled SEC v.
Uncommon Media Group, Inc., 3rd Dimension, Inc., Lawrence Gallo, Timothy
Rafferty and Frederick Hornick, Jr., Case Number 04-80272-CIV-
Hurley/Hopkins, in the United States District Court for the Southern
District of Florida. The Commission's complaint alleged that, in
connection with the sale of securities, Hornick made false statements to
investors concerning the prospects of the investment, and otherwise
engaged in a variety of conduct which operated as a fraud and deceit on
investors. The complaint also alleged that Hornick sold unregistered
securities.
On June 8, 2004, a final judgment was entered by consent against
Hornick, permanently enjoining him from future violations of Sections
5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b),
15(a)(1), and 21(d)(2) of the Exchange Act and Rule 10b-5 thereunder,
and imposing a penny stock bar.
Based on the above, the Order bars Hornick from association with any
broker or dealer. Hornick consented to the entry of the Order without
admitting or denying the findings of the Commission. (Rel. 34-50161;
File No. 3-11577)
FINAL JUDGMENT ENTERED AGAINST DEFENDANT BRISTOL-MYERS SQUIBB COMPANY
The Commission today announced that the Honorable Faith S. Hochberg,
U.S. District Court Judge for the District of New Jersey has entered a
Final Judgment order (Order) against defendant Bristol-Myers Squibb
Company in a civil action that the Commission filed on Aug. 4, 2004,
against the New York-based pharmaceutical company. The Order requires
Bristol-Myers to pay $150 million for perpetrating a fraud scheme to
overstate its results from the first quarter of 2000 through the fourth
quarter of 2001. Bristol-Myers overstated its results primarily by: (1)
engaging in channel-stuffing near the end of every quarter in amounts
sufficient to meet sales and earnings targets set by officers (channel-
stuffing); and (2) improperly recognizing about $1.5 billion in revenue
from sales associated with the channel-stuffing in violation of
generally accepted accounting principles. When Bristol-Myers' results
fell short of Wall Street analysts' earnings estimates, the Company used
improper accounting, including "cookie jar" reserves, to further inflate
its earnings. Bristol-Myers consented to the entry of the Order without
admitting or denying the allegations in the Commission's Complaint and
agreed to the following relief: (1) a permanent injunction against
future violations of certain antifraud, reporting, books and records and
internal controls provisions of the federal securities laws; (2)
monetary relief for the benefit of shareholders, including a civil
penalty of $100 million plus a $50 million shareholder fund; and (3)
various remedial measures, including the appointment of an independent
advisor to review Bristol-Myers' accounting practices and internal
control systems and periodically assess the status of remedial actions
undertaken or planned by the Company in those and other areas, such as
financial reporting. The Commission's investigation is continuing. [SEC
v. Bristol-Myers Squibb Company, Civil Action No. 04-3680 (D.N.J.)
(Hochberg, J.)] (LR-18822)
SCOTT ANIXTER, FORMER CHAIRMAN OF THE BOARD OF ANICOM, INC., CHARGED WITH
FRAUD
On July 29, 2004, the Commission filed an amended complaint in the U.S.
District Court for the Northern District of Illinois that added Scott C.
Anixter, the former Chairman of the Board of Anicom, Inc., as a
defendant to its lawsuit against six top executives and other employees
of the now-defunct company. Anixter, age 55, is a resident of Glencoe,
Illinois.
The Commission's amended complaint alleges that from Jan. 1, 1998
through March 30, 2000, Anixter and the other defendants carried out a
massive financial fraud at Anicom in which they falsely reported
millions of dollars of non-existent sales, including sales to a
fictitious customer, and used other fraudulent techniques to inflate
Anicom's net income by more than $20 million. To conceal the fraud,
certain of the defendants lied to Anicom's outside auditors, lied to the
Audit Committee of Anicom's Board of Directors in an internal
investigation, and withheld information from the Commission's staff.
When aspects of the fraud were eventually revealed to the public,
Anicom's shareholders lost more than $80 million.
The Commission's amended complaint alleges that the fraud had two
distinct aspects. First, Anixter and his co-defendants, President and
Chief Executive Officer Carl E. Putnam, Vice President of Sales Daryl T.
Spinell, Chief Operating Officer John P. Figurelli, and Billing Manager
Renee L. LeVault, improperly recognized numerous sales that inflated
reported revenues and net profits. Additionally, Chief Financial
Officer Donald C. Welchko, Figurelli, LeVault, and defendant Vice
President of Accounting Ronald M. Bandyk, C.P.A., with Anixter and
Putnam's knowledge, caused Anicom in 1999 to, among other things,
improperly recognize more than $11.7 million in sales to a fictitious
customer called SCL Integration Corp. to minimize the effect on income
of writing off earlier improper sales.
Second, Anixter and Welchko improperly manipulated Anicom's expenses to
bring the company's financial results in line with, or at least closer
to, analysts' expectations. To that end, Welchko and Bandyk engaged in
fraud by improperly charging certain expenses to a reserve account and a
restructuring charge, unjustifiably inflating purchase rebates accrued,
and accelerating the recognition of sales between reporting periods. As
a result of the defendants' misconduct, Anicom filed with the Commission
at least nine materially false and misleading periodic reports on Forms
10-Q and 10-K reports between Jan. 1, 1998, and March 30, 2000, that,
among other things, overstated the company's revenues by more than $38
million.
The Commission's amended complaint alleges that the defendants' conduct
violated the antifraud, periodic reporting, record keeping, internal
controls, and lying to the auditors provisions of the federal securities
laws. The Commission requests that the court issue a final judgment of
permanent injunction and other relief, enjoining certain of the
defendants from violating Sections 17(a)(1) and (3) of the Securities
Act of 1933, Sections 10(b), and 13(b)(5) of the Securities Exchange Act
of 1934 and Rules 10b-5, 13b2-1, and 13b2-2 promulgated thereunder, and
aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and
13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-
1, and 13a-13 promulgated thereunder. The Commission seeks civil
monetary penalties from each of the defendants, and disgorgement of ill-
gotten gains from Anixter, Putnam, Welchko, Figurelli, Bandyk, and
Spinell. The Commission also seeks an order permanently barring
Anixter, Putnam, Welchko, Figurelli, Spinell, and Bandyk from acting as
officers and directors of any public company.
The Commission filed its lawsuit on May 6, 2002. Additional information
regarding the Commission's lawsuit can be found in Litigation Release
No. 17504, May 6, 2002. [SEC v. Scott C. Anixter, et al., No. 02-C-3235
(N.D. Ill.) (Marovich, J.)] (LR-18823; 2077)
HOLDING COMPANY ACT RELEASES
ENRON CORP., ET AL.
A supplemental order has been issued authorizing proposals by Enron
Corp. (Enron), a public utility holding company, and its subsidiaries
(Applicants). Applicants have been authorized to add subsidiaries to
the authority granted under a previously issued financing order.
Applicants have also been authorized to issue letters of credit in
connection with the expiration of the second amended debtor in
possession credit agreement. (Rel. 35-27882)
ALLEGHENY ENERGY, INC.
A notice has been issued giving interested persons until Sept. 3, 2004,
to request a hearing on a proposal by Allegheny Energy, Inc., a
registered holding company, to issue up to 300,000 shares of common
stock, $1.25 par value, to its non-employee directors. (Rel. 35-27883)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission approved a proposed rule change and Amendment No. 1
thereto (SR-PCX-2004-47) submitted by the Pacific Exchange, Inc. to
eliminate the ability of Floor Brokers and Market Makers to manually
trade with orders and Quotes with Size in the Consolidated Book. (Rel.
34-50143)
The Commission approved a proposed rule change and Amendment Nos. 1 and
2 thereto (SR-BSE-2003-09) submitted by the Boston Stock Exchange
relating to the extension of certain of its listed trading rules to the
trading of Nasdaq securities. Publication of the order in the Federal
Register is expected during the week of August 9. (Rel. 34-50154)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
A proposed rule change filed by the National Association of Securities
Dealers to reduce the fee for the Regulatory Element of the Continuing
Education Program (SR-NASD-2004-115) has been given accelerated approval
under Section 19(b)(2) of the Securities Exchange Act of 1934.
Publication of the proposal is expected in the Federal Register during
the week of August 9. (Rel. 34-50144)
A proposed rule change (SR-PCX-2004-61) filed by the Pacific Exchange to
extend PCX's pilot program under which it lists options on selected
stocks trading below $20 at one-point intervals until June 5, 2005, has
been given accelerated approval under Section 19(b)(2) of the Securities
Exchange Act of 1934. Publication of the order is expected in the
Federal Register during the week of August 9. (Rel. 34-50152)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-NSX-2004-11) filed by the National Stock
Exchange relating to changes to NSX's "National Securities Trading
Systems Fees" that will increase NSX's "Workstation Fee" 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 August 9. (Rel. 34-50145)
A proposed rule change (SR-NSX-2004-08) filed by the National Stock
Exchange relating to changes to NSX's "National Securities Trading
Systems Fees" that will add a manual processing fee 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 August 9. (Rel. 34-50146)
A proposed rule change (SR-NASD-2004-099) filed by the National
Association of Securities Dealers, through its subsidiary The Nasdaq
Stock Market, Inc., permitting ITS/CAES market makers to use the
Automatic Quote Refresh functionality for ITS securities 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 August 9. (Rel. 34-50149)
A proposed rule change and Amendment No. 1 thereto (SR-PCX-2004-73)
filed by the Pacific Exchange relating to an administrative change 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 August 9. (Rel. 34-50153)
A proposed rule change filed by National Association of Securities
Dealers (SR-NASD-2004-095) adopting a fingerprinting program for NASD
employees and independent contractors in the State of New York, and, as
dictated by business need, in other jurisdictions 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 August 9. (Rel. 34-50157)
A proposed rule change (SR-NASD-2004-117) filed by the National
Association of Securities Dealers, through its subsidiary The Nasdaq
Stock Market, Inc., extending the operative date for the Short-Sale ACT
reporting requirements for certain securities 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
August 9. (Rel. 34-50158)
PROPOSED RULE CHANGE
The Philadelphia Exchange filed a proposed rule change (SR-Phlx-2004-47)
relating to legal fees incurred by the Exchange. Publication of the
proposal is expected in the Federal Register during the week of August
9. (Rel. 34-50159)
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:
<publicinfo@sec.gov>. In most cases, this information is also available
on the Commission's website: <www.sec.gov>.
F-9 HUSKY ENERGY INC, 707 EIGHTH AVE, PO BOX 6525 STATION D,
CALGARY ALBERTA, A0, T2P 1H5, 4032986111 -
0 ($1,000,000,000.00) Debt Convertible into Equity, (File 333-117972 -
Aug. 6) (BR. 04)
S-8 FIRST SECURITY GROUP INC/TN, 817 BROAD STREET, CHATTANOOGA, TN, 37402,
4233082000 - 0 ($3,125,644.91) Equity, (File 333-117973 - Aug. 6)
(BR. 07)
S-8 PROVIDENCE SERVICE CORP, 5524 E. FOURTH ST., TUSCON, AZ, 85711,
5207487108 - 0 ($9,110,000.00) Equity, (File 333-117974 - Aug. 6)
(BR. 01)
S-8 NEKTAR THERAPEUTICS, 150 INDUSTRIAL RD, SAN CARLOS, CA, 94070,
6506313100 - 0 ($28,204,000.00) Equity, (File 333-117975 - Aug. 6)
(BR. 01)
S-8 BioMed Realty Trust Inc, 17140 BERNARDO CENTER DRIVE, SUITE 195,
SAN DIEGO, CA, 92128, 858-485-9840 - 2,500,000 ($37,500,000.00) Equity,
(File 333-117977 - Aug. 6) (BR. 08)
SB-2 VENTURES NATIONAL INC, 8133281002 - 9,862,500 ($4,675,312.50) Equity,
(File 333-117978 - Aug. 6) (BR. 36)
S-8 ABLEAUCTIONS COM INC, 1963 LOUGHEED HIGHWAY, COQUITLAM, A1, V3K 3T8,
604-521-3369 - 9,000,000 ($4,590,000.00) Equity, (File 333-117979 -
Aug. 6) (BR. 08)
S-8 EXXON MOBIL CORP, 5959 LAS COLINAS BLVD, IRVING, TX, 75039-2298,
9724441000 - 1,000,000 ($46,140,000.00) Equity, (File 333-117980 -
Aug. 6) (BR. 04)
S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6,
00000, 6137381440 - 1,800,000 ($58,068,000.00) Equity,
(File 333-117981 - Aug. 6) (BR. 03)
S-8 NEW COMMERCE BANCORP, 501 NEW COMMERCE COURT, GREENVILLE, SC, 29607,
864 297 6333 - 340,000 ($3,475,000.00) Equity, (File 333-117982 -
Aug. 6) (BR. 07)
S-11 ME PORTFOLIO MANAGEMENT LTD, LEVEL 23 360 COLLINS STREET,
MELBOURNE VIC, C3, 00000,
0 ($1,000,000.00) Debt Convertible into Equity, (File 333-117983 -
Aug. 6) (BR. 05)
S-8 MAXXON INC, 9202 SOUTH TOLEDO AVENUE, TULSA, OK, 74137, 9184921257 -
3,000,000 ($150,000.00) Equity, (File 333-117984 - Aug. 6) (BR. 36)
S-8 Corridor Communications Corp, 3450 HILLVIEW AVENUE, PALO ALTO, CA,
94304, 6508550200 - 200,000,000 ($2,000,000.00) Equity,
(File 333-117985 - Aug. 6) (BR. 37)
S-8 COLUMBIA SPORTSWEAR CO, 14375 NW SCIENCE PARK DRIVE, PORTLAND, OR,
97229, 503 985 4000 - 2,000,000 ($109,020,000.00) Equity,
(File 333-117986 - Aug. 6) (BR. 02)
S-8 PEOPLES HOLDING CO, 209 TROY ST, P O BOX 709, TUPELO, MS, 38802,
6016801001 - 104,139 ($1,267,605.00) Equity, (File 333-117987 - Aug. 6)
(BR. 07)
S-8 YORK INTERNATIONAL CORP /DE/, 631 S RICHLAND AVE, YORK, PA, 17403,
7177717890 - 500,000 ($17,855,000.00) Equity, (File 333-117988 -
Aug. 6) (BR. 06)
S-8 YORK INTERNATIONAL CORP /DE/, 631 S RICHLAND AVE, YORK, PA, 17403,
7177717890 - 1,750,000 ($62,492,500.00) Equity, (File 333-117989 -
Aug. 6) (BR. 06)
S-8 ELECTRONIC ARTS INC, 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA,
94065, 650-628-1500 - 12,500,000 ($617,750,000.00) Equity,
(File 333-117990 - Aug. 6) (BR. 03)
S-3 IMPAC SECURED ASSETS CORP, 1401 DOVE STREET, SUITE 200, NEWPORT BEACH,
CA, 92660, 949-475-3700 -
0 ($5,000,000,000.00) Mortgage Backed Securities, (File 333-117991 -
Aug. 6) (BR. 05)
S-8 KEITHLEY INSTRUMENTS INC, 28775 AURORA RD, SOLON, OH, 44139,
2162480400 - 20,000 ($393,400.00) Equity, (File 333-117992 - Aug. 6)
(BR. 36)
S-8 RADIOLOGIX INC, 3600 CHASE TOWER, 2200 ROSS AVENUE, DALLAS, TX, 75201,
2143032776 - 3,205,833 ($12,685,165.80) Equity, (File 333-117993 -
Aug. 6) (BR. 01)
SB-2 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT,
CARLSBAD, CA, 92008, 760-918-1860 - 12,498,286 ($4,499,382.00) Equity,
(File 333-117994 - Aug. 6) (BR. 06)
S-8 IMCLONE SYSTEMS INC/DE, 180 VARICK ST, NEW YORK, NY, 10014,
2126451405 - 0 ($194,469,000.00) Equity, (File 333-117995 - Aug. 6)
(BR. 01)
S-4 MIDSOUTH BANCORP INC, 102 VERSAILLES BLVD, VERSAILLES CENTRE,
LAFAYETTE, LA, 70501, 3182378343 - 398,616 ($12,931,236.24) Equity,
(File 333-117996 - Aug. 6) (BR. 07)
S-8 TASTY BAKING CO, 2801 HUNTING PARK AVE, PHILADELPHIA, PA, 19129,
2152218500 - 400,000 ($4,016,143.00) Equity, (File 333-117999 - Aug. 6)
(BR. 04)
S-1 LIGHTFIRST INC, 25 NORTHWEST BLVVD., SUITE 700, ELK GROVE VILLAGE, IL,
60007, 8476408880 - 0 ($20,000,000.00) Equity, (File 333-118000 -
Aug. 6) (BR. 08)
S-3 RECKSON ASSOCIATES REALTY CORP, 225 BROADHOLLOW RD, MELVILLE, NY,
11747, 6316946900 - 465,845 ($13,029,685.00) Equity, (File 333-118001 -
Aug. 6) (BR. 08)
S-8 LANDAMERICA FINANCIAL GROUP INC, 101 GATEWAY CTR PKWAY, GATEWAY ONE,
RICHMOND, VA, 23235, 8042678000 - 0 ($23,586,000.00) Equity,
(File 333-118002 - Aug. 6) (BR. 01)
S-8 ADVANCIS PHARMACEUTICAL CORP, 20425 SENECA MEADOWS PARKWAY, GERMANTOWN,
MD, 20878, (301) 944-6600 - 0 ($10,087,500.00) Equity,
(File 333-118003 - Aug. 6) (BR. 01)
S-8 OCEAN RESOURCES INC, 3001 KNOX STREET, SUITE 403, DALLAS, TX, 75205,
214-389-9800 - 0 ($1,980,000.00) Equity, (File 333-118004 - Aug. 6)
(BR. 08)
S-8 LIFESTREAM TECHNOLOGIES INC, 510 CLEARWATER LOOP, STE 101, POST FALLS,
ID, 83854, 2084579409 - 25,000,000 ($875,000.00) Equity,
(File 333-118005 - Aug. 6) (BR. 36)
S-8 VOLTERRA SEMICONDUCTOR CORP, 3839 SPINNAKER COURT, FREMONT, CA, 94538,
510-743-1200 - 0 ($38,345,178.00) Equity, (File 333-118006 - Aug. 6)
(BR. 36)
S-8 INFINIUM LABS INC, 2033 MAIN STREET, SUITE 309, SARASOTA, FL, 34237,
941.917.0788 - 2,000,000 ($1,760,000.00) Equity, (File 333-118007 -
Aug. 6) (BR. 09)
S-8 CSS INDUSTRIES INC, 1845 WALNUT ST, PHILADELPHIA, PA, 19103,
2155699900 - 2,000,000 ($60,600,000.00) Equity, (File 333-118008 -
Aug. 6) (BR. 05)
S-8 TRIPATH TECHNOLOGY INC, 2560 ORCHARD PARKWAY, SAN JOSE, CA, 95131,
408-750-3000 - 2,000,000 ($3,660,000.00) Equity, (File 333-118010 -
Aug. 6) (BR. 36)
S-8 GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214,
6153166000 - 0 ($279,000.00) Equity, (File 333-118011 - Aug. 6) (BR. 08)
S-1 ADEZA BIOMEDICAL CORP, 1240 ELKO DR, SUNNYVALE, CA, 94089,
0 ($69,000,000.00) Equity, (File 333-118012 - Aug. 6) (BR. 01)
N-2 MEXICO FUND INC, 1775 EYE STREET NW, WASHINGTON, DC, 20006-2401,
2026263300 - 51,840 ($1,000,000.00) Equity, (File 333-118013 - Aug. 6)
(BR. 22)
S-4 SAMSONITE CORP/FL, 11200 EAST 45TH AVENUE, DENVER, CO, 80239,
3033732000 - 0 ($325,240,000.00) Non-Convertible Debt,
(File 333-118014 - Aug. 6) (BR. 02)
S-3 MERCURY COMPUTER SYSTEMS INC, 199 RIVERNECK RD, CHELMSFORD, MA, 01824,
9782561300 - 125,000,000 ($125,000,000.00) Other, (File 333-118015 -
Aug. 6) (BR. 36)
S-8 CELL THERAPEUTICS INC, 501 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119,
2062707100 - 0 ($26,520,000.00) Equity, (File 333-118016 - Aug. 6)
(BR. 01)
S-1 ROBOTIC VISION SYSTEMS INC, 486 AMHERST STREET, NASHUA, NH, 03063,
(603) 598-8400 - 0 ($6,972,405.65) Equity, (File 333-118017 - Aug. 6)
(BR. 36)
S-8 SEALIFE CORP, 5601 SLAUSON AVENUE, SUITE 283, CULVER CITY, CA, 90230,
3103389757 - 400,000 ($280,000.00) Equity, (File 333-118018 - Aug. 6)
(BR. 08)
S-8 NEXEN INC, 801-7TH AVENUE SW, CALGARY ALBERTA CANA, A0, T2P 3P7,
4036994000 - 400,000 ($15,224,000.00) Equity, (File 333-118019 -
Aug. 6) (BR. 04)
S-3 BLOCK FINANCIAL CORP, 4400 MAIN STREET, SUITE 500, KANSAS CITY, MO,
64111, 8167536900 - 0 ($1,000,000,000.00) Non-Convertible Debt,
(File 333-118020 - Aug. 6) (BR. 37)
S-4 AMERICAN REAL ESTATE PARTNERS L P, 100 SOUTH BEDFORD ROAD, MT KISCO,
NY, 10549, 9142427700 - 0 ($353,000,000.00) Non-Convertible Debt,
(File 333-118021 - Aug. 6) (BR. 08)
S-8 SFBC INTERNATIONAL INC, 11190 BISCAYNE BLVD, NORTH MIAMI, FL, 33181,
3058950304 - 150,000 ($4,564,500.00) Equity, (File 333-118022 - Aug. 6)
(BR. 01)
S-3 AXIS CAPITAL HOLDINGS LTD, 106 PITTS BAY ROAD, PEMBROKE, D0, 00000,
4412962600 - 0 ($2,413,788,655.00) Other, (File 333-118023 - Aug. 6)
(BR. 01)
S-3 LANDAMERICA FINANCIAL GROUP INC, 101 GATEWAY CTR PKWAY, GATEWAY ONE,
RICHMOND, VA, 23235, 8042678000 -
0 ($125,000,000.00) Debt Convertible into Equity, (File 333-118024 -
Aug. 6) (BR. 01)
S-8 ENERGY PRODUCERS INC, 7944 E BECK LANE, SUITE 200, SCOTTSDALE, AZ,
85260, 1,400,000 ($126,000.00) Equity, (File 333-118025 - Aug. 6)
(BR. 08)
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: <publicinfo@sec.gov>. In
most cases, this information is also available on the Commission's website:
<www.sec.gov>.
STATE 8K ITEM NO.
NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT
------------------------------------------------------------------------------------------------
ABATIX CORP DE X 08/06/04
ADVANCED INTEGRATED MANAGEMENT SERVIC UT X X X X X 08/06/04
AETHER SYSTEMS INC DE X X 08/05/04
AFC ENTERPRISES INC MN X X 08/05/04
ALLEGHENY ENERGY INC MD X X 08/04/04
ALLEGHENY ENERGY INC MD X 08/05/04
ALLIN CORP DE X 08/04/04
ALPINE AIR EXPRESS INC/DE DE X X 12/15/03 AMEND
Alternative Loan Trust 2004-13CB X 06/25/04
Alternative Loan Trust 2004-13CB X 06/25/04
AMERICAN EAGLE OUTFITTERS INC DE X X 08/04/04
AMERICAN HOMEPATIENT INC DE X X 08/04/04
AMERICAN LEISURE HOLDINGS INC NV X X 06/17/04 AMEND
AMERICAN PACIFIC CORP DE X X 08/03/04
ANACOMP INC IN X X X 08/05/04
ANCHOR GLASS CONTAINER CORP /NEW DE X X X 08/05/04
ANNUITY & LIFE RE HOLDINGS LTD X 08/05/04
ANSWERTHINK INC FL X X 08/05/04
ANTEON INTERNATIONAL CORP DE X 08/06/04
ANTHRACITE CAPITAL INC MD X X X 08/06/04
APPLIED EXTRUSION TECHNOLOGIES INC /D DE X 06/30/04
ARCHSTONE SMITH TRUST CO X 08/06/04
ARGONAUT TECHNOLOGIES INC DE X X 08/05/04
ATARI INC DE X 08/06/04
ATLANTIC REALTY TRUST CA X X 04/03/04
AVADO BRANDS INC GA X 08/06/04
AVALON DIGITAL MARKETING SYSTEMS INC NV X X 08/05/04
AVALON DIGITAL MARKETING SYSTEMS INC NV X X 08/06/04
AXA FINANCIAL INC DE X X X 08/06/04
B COM INC NV X 08/04/04
BANC OF AMERICA MORTGAGE SECURITIES I DE X X 08/05/04
BANK HOLDINGS NV X X 08/05/04
BAY VIEW CAPITAL CORP DE X 07/26/04 AMEND
BELO CORP DE X X 08/05/04
BIO RAD LABORATORIES INC DE X X 03/31/04
BIODELIVERY SCIENCES INTERNATIONAL IN IN X X 08/03/04
BLUE RIDGE REAL ESTATE CO PA X 06/01/04 AMEND
BOSTON ACOUSTICS INC MA X X 08/06/04
BOSTON SCIENTIFIC CORP DE X X 06/01/04 AMEND
BOULDER ACQUISITIONS INC NV X X 08/06/04
BOUNDLESS MOTOR SPORTS RACING INC CO X 07/29/04
BRESLER & REINER INC DE X X 08/05/04
BRIGGS & STRATTON CORP WI X 08/04/04
BURLINGTON COAT FACTORY WAREHOUSE COR DE X 08/05/04
C-Bass Mtg Ln As Bk Cert Ser 2004-CB4 DE X X 07/25/04
CALPINE CORP DE X 08/05/04
CALPROP CORP CA X X 07/07/04 AMEND
CAMDEN PROPERTY TRUST TX X X 08/05/04
CAPITAL CITY BANK GROUP INC FL X 07/30/04
CENTERPOINT ENERGY INC X X 08/06/04
CENTRAL GARDEN & PET COMPANY DE X 08/05/04
CERAMICS PROCESS SYSTEMS CORP/DE/ DE X 06/26/04
CH2M HILL COMPANIES LTD OR X 08/06/04
CHANNELL COMMERCIAL CORP DE X X 08/03/04
CHARTER COMMUNICATIONS INC /MO/ DE X X 08/05/04
CHEESECAKE FACTORY INCORPORATED DE X 08/05/04
CHINA ENERGY VENTURES CORP NV X 05/07/04 AMEND
CITIBANK CREDIT CARD MASTER TRUST I DE X 06/26/04
CITIBANK SOUTH DAKOTA N A DE X 06/26/04
CLARUS CORP DE X X 08/05/03
CNB HOLDINGS INC /GA/ X 07/30/04
COACHMEN INDUSTRIES INC IN X X 08/06/04
COMFORCE CORP DE X X 08/05/04
COMMONWEALTH INDUSTRIES INC/DE/ DE X X 08/06/04
COMPASS MINERALS INTERNATIONAL INC DE X X 08/06/04
COMPETITIVE TECHNOLOGIES INC DE X X 08/05/04
CORNING INC /NY NY X X 08/06/04
COSI INC DE X X 06/11/04 AMEND
COST PLUS INC/CA/ CA X X 08/05/04
CREDIT ACCEPTANCE CORPORATION MI X X 08/04/04
CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/05/04
CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/06/04
CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/06/04
CROWN FINANCIAL GROUP INC NJ X X 06/30/04
CSX CORP VA X 08/06/04
CSX TRANSPORTATION INC VA X 08/06/04
CWMBS INC DE X X 05/28/04
CYBEX INTERNATIONAL INC NY X X 08/06/04
DAKOTA GROWERS PASTA CO INC ND X X 07/30/04
DANKA BUSINESS SYSTEMS PLC X 08/06/04
DELTA PETROLEUM CORP/CO CO X 08/06/04
DENNYS CORP DE X X 07/28/04
DIVERSIFIED CORPORATE RESOURCES INC TX X X 08/05/04
DOBI MEDICAL INTERNATIONAL INC NV X X 08/05/04
DOTRONIX INC MN X 08/05/04
DOV PHARMACEUTICAL INC DE X X 08/05/04
DYNAVAX TECHNOLOGIES CORP DE X X 08/05/04
EAGLE SUPPLY GROUP INC DE X X 08/05/04
EBS LITIGATION LLC DE X 07/01/04
ELIZABETH ARDEN INC FL X X 06/30/04
ELMERS RESTAURANTS INC OR X X 08/06/04
ENDOLOGIX INC /DE/ DE X 06/30/04
ENERGY EAST CORP NY X X X 08/05/04
ENGINEERED SUPPORT SYSTEMS INC MO X X 08/04/04
ENTRAVISION COMMUNICATIONS CORP DE X 08/05/04
EQUITY TECHNOLOGIES & RESOURCES INC DE X 08/02/04
ESPEED INC DE X X 08/05/04
EXCALIBUR INDUSTRIES INC DE X 08/03/04
EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 08/05/04
EXPERIENTIAL AGENCY INC NV X X X 07/28/04
F5 NETWORKS INC WA X 05/31/04 AMEND
FACTORY CARD OUTLET CORP DE X X 08/06/04
FEDERAL AGRICULTURAL MORTGAGE CORP X 08/06/04
FINANCIAL ASSET SECURITIES CORP DE X X 08/06/04
FIRST CHESTER COUNTY CORP PA X 06/30/04 AMEND
FIRST DEFIANCE FINANCIAL CORP OH X X 08/04/04
FIRST HORIZON ASSET SECURITIES INC DE X X 07/30/04
FIRST NORTHERN COMMUNITY BANCORP CA X 08/05/04
FIRSTFED BANCORP INC DE X 07/30/04
FLEMING COMPANIES INC /OK/ OK X X 07/26/04
FOREST OIL CORP NY X X 06/28/04 AMEND
FPIC INSURANCE GROUP INC FL X X 08/06/04
FRIEDMANS INC DE X X 08/06/04
FX ENERGY INC NV X X 08/06/04
GAP INC DE X X X 08/05/04
GE COMM MORT PASS THROUGH CERT SERIES DE X X 07/23/04
GENVEC INC DE X X 08/05/04
GLACIER WATER SERVICES INC DE X 08/06/04
GMAC Mortgage Pass-Through Certificat DE X X 07/25/04
GMACM Mortgage Pass-Through Certifica DE X X 07/25/04
GRANITE BROADCASTING CORP DE X X 08/06/04
GRANT VENTURES INC NV X X X 06/30/04
HAMPSHIRE GROUP LTD DE X X 07/03/04
HANOVER DIRECT INC DE X X 08/03/04
HARTFORD FINANCIAL SERVICES GROUP INC DE X 08/04/04
HAUSER INC DE X X 07/08/04
HEMISPHERX BIOPHARMA INC DE X X 08/06/04
HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X X 07/22/04
HOLLYWOOD ENTERTAINMENT CORP OR X X 08/06/04
HOME PROPERTIES INC MD X X 06/30/04
HOMEBANC CORP GA X X 08/06/04
HRPT PROPERTIES TRUST MD X X 08/04/04
ICU MEDICAL INC/DE DE X X 08/05/04
IMAGIS TECHNOLOGIES INC A1 X 08/05/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
IMC SECURITIES INC DE X 08/04/04
INDUSTRIAL MINERALS INC DE X 08/06/04
INDYMAC MBS INC X X 08/06/04
INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 08/02/04
INSILCO HOLDING CO DE X X 08/06/04
INTEGRAMED AMERICA INC DE X X 08/06/04
INTERPUBLIC GROUP OF COMPANIES, INC. DE X X X 08/06/04
INYX INC NV X X 08/04/04
IRIS INTERNATIONAL INC DE X X 08/05/04
ISTA PHARMACEUTICALS INC CA X X 08/05/04
JACOBS ENTERTAINMENT INC DE X X 08/06/04
JAFRA WORLDWIDE HOLDINGS LUX SARL N4 X X 07/28/04
JAKKS PACIFIC INC DE X X 06/10/04 AMEND
JARDEN CORP DE X 08/05/04 AMEND
K-SEA TRANSPORTATION PARTNERS LP DE X X 08/05/04
KANEB PIPE LINE OPERATING PARTNERSHIP DE X 06/30/04
KANEB PIPE LINE PARTNERS L P DE X X 06/30/04
KANEB SERVICES LLC DE X 06/30/04
KCS ENERGY INC DE X X 08/04/04
KEYSTONE AUTOMOTIVE INDUSTRIES INC CA X X 08/05/04
KEYSTONE CONSOLIDATED INDUSTRIES INC DE X 08/06/04
KOPPERS INC PA X 08/05/04
KRONOS WORLDWIDE INC X X 08/05/04
KV PHARMACEUTICAL CO /DE/ DE X 08/03/04
KYZEN CORP TN X X X 08/04/04
LA QUINTA CORP DE X X 08/04/04
LACLEDE STEEL CO /DE/ DE X X 06/30/04
LAKELAND BANCORP INC NJ X X 07/01/04 AMEND
LEATHER FACTORY INC DE X X 08/03/04
LEUCADIA NATIONAL CORP NY X X 08/06/04
LIBERTY PROPERTY TRUST MD X X 01/10/03
LINENS N THINGS INC DE X X 06/14/04
LONGS DRUG STORES CORP MD X 08/06/04
LSI INDUSTRIES INC OH X 08/03/04
MAGUIRE PROPERTIES INC MD X 08/05/04
MANAGEMENT NETWORK GROUP INC X X 08/05/04
MAXIM INTEGRATED PRODUCTS INC DE X X 08/06/04
MCI INC DE X X 08/05/04
MEADWESTVACO CORP DE X 08/06/04
MELLON FINANCIAL CORP PA X 08/06/04
MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 08/02/04
MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 08/05/04
METRIS COMPANIES INC DE X 08/05/04
METROCALL HOLDINGS INC DE X X 08/06/04
MGP INGREDIENTS INC KS X X X 08/05/04 AMEND
MICROVISION INC WA X X 08/05/04
MIDDLEBURG FINANCIAL CORP VA X 07/30/04
MMI PRODUCTS INC DE X 08/05/04
MOOG INC NY X X 09/30/03 AMEND
MORGAN BEAUMONT INC NV X X X X X 08/06/04
MOVIE STAR INC /NY/ NY X X 08/03/04
MULTIBAND CORP MN X 04/02/04 AMEND
MURPHY OIL CORP /DE DE X 08/04/04
MUZAK HOLDINGS LLC DE X X 08/06/04
NACCO INDUSTRIES INC DE X X 08/06/04
NATHANIEL ENERGY CORP NV X X 07/26/04
NATIONAL HEALTH INVESTORS INC MD X 06/30/04
NATIONAL HEALTH REALTY INC MD X 06/30/04
NATIONAL WESTERN LIFE INSURANCE CO CO X X 08/06/04
NEOPHARM INC DE X X 08/06/04
NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE X 07/14/04 AMEND
NEW PEOPLES BANKSHARES INC VA X 08/05/04
NEWFIELD EXPLORATION CO /DE/ DE X X X 08/06/04
NEWTEK BUSINESS SERVICES INC NY X 08/05/04
NIC INC CO X X 08/06/04
NL INDUSTRIES INC NJ X X 08/05/04
NORTH VALLEY BANCORP CA X X 08/06/04
NORTHWEST BIOTHERAPEUTICS INC DE X 07/30/04
NORTHWESTERN CORP DE X X 08/06/04
NOTIFY TECHNOLOGY CORP CA X 07/23/04
O CHARLEYS INC TN X X 08/06/04
OCEAN RESOURCES INC DE X 08/05/04
OKLAHOMA GAS & ELECTRIC CO OK X X 08/04/04
OLD DOMINION FREIGHT LINE INC/VA VA X 08/06/04
OLD LINE BANCSHARES INC X X X 08/05/04
ONE LINK 4 TRAVEL INC DE X X 08/02/04
ONEIDA LTD NY X 08/03/04
OPENWAVE SYSTEMS INC DE X X 07/30/04
ORASURE TECHNOLOGIES INC DE X X 08/06/04
ORBIT INTERNATIONAL CORP DE X 08/05/04
ORTHOLOGIC CORP DE X X 08/06/04
PACKAGING DYNAMICS CORP DE X X 08/06/04
PAINCARE HOLDINGS INC CT X X 05/26/04
PALMETTO BANCSHARES INC SC X X 08/02/04
PARADYNE NETWORKS INC DE X 07/30/04
PARK ELECTROCHEMICAL CORP NY X 08/05/04
PARKER DRILLING CO /DE/ DE X 08/06/04
PATRIOT TRANSPORTATION HOLDING INC FL X 07/27/04
PEABODY ENERGY CORP DE X 08/06/04
PENTAIR INC MN X 08/05/04
PEOPLESOFT INC DE X X 07/13/04
PEPCO HOLDINGS INC DE X X 08/06/04
PHARMACOPEIA DRUG DISCOVERY INC DE X X 08/05/04
PINNACLE BANKSHARES CORP VA X 08/06/04
PIONEER DRILLING CO TX X X 08/05/04
PLM EQUIPMENT GROWTH FUND CA X X 08/04/04
PLM EQUIPMENT GROWTH FUND II CA X X 08/04/04
PLM EQUIPMENT GROWTH FUND IV CA X X 08/04/04
PMA CAPITAL CORP PA X 08/06/04
PMC COMMERCIAL TRUST /TX TX X X 08/05/04
PRIDE INTERNATIONAL INC DE X X 08/06/04
PRIME GROUP REALTY TRUST MD X 08/02/04
PUBLIC STORAGE INC /CA CA X 06/30/04
PURE WORLD INC DE X X 08/06/04
QUADRAMED CORP DE X X 08/04/04
QUALITY EXCHANGE INC NV X X X 07/22/04
QUANTA CAPITAL HOLDINGS LTD X 08/05/04
QUANTA SERVICES INC DE X X 08/06/04
QUESTCOR PHARMACEUTICALS INC CA X X 08/06/04
RCN CORP /DE/ DE X X 08/06/04
RF MICRO DEVICES INC NC X 05/24/04 AMEND
RICA FOODS INC NV X 08/01/04
ROBOTIC VISION SYSTEMS INC DE X 08/03/04
ROCK OF AGES CORP DE X X 08/06/04
ROUNDYS INC WI X X 07/03/04
SABINE ROYALTY TRUST TX X X 08/05/04
SAUL CENTERS INC MD X X 08/03/04
SCAN OPTICS INC DE X X 08/06/04
SCP POOL CORP DE X 06/30/04
SCP POOL CORP DE X 06/30/04
SEA CONTAINERS LTD /NY/ X X 08/05/04
Select Notes Trust LT 2004-1 DE X X 08/02/04
SEMCO ENERGY INC MI X X 08/05/04
SENTIGEN HOLDING CORP DE X X 08/03/04
SEROLOGICALS CORP DE X X 06/30/04
SHIRE PHARMACEUTICALS GROUP PLC X X 08/06/04
SIMTEK CORP CO X X 08/05/04
SIPEX CORP MA X X 08/05/04
SK TECHNOLOGIES CORP DE X X X 08/06/04 AMEND
SOLECTRON CORP DE X 08/05/04
SOUTHWEST CASINO CORP X X 07/22/04
SPECTRASCIENCE INC MN X X X X X 08/03/04
SPSS INC DE X X 08/05/04
STAGE STORES INC NV X X 08/06/04
STANDARD COMMERCIAL CORP NC X X 08/05/04
STERIS CORP OH X 08/06/04
STONEPATH GROUP INC DE X X X 08/04/04
STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 08/02/04
STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 07/26/04
STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 07/26/04
STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 07/26/04
STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 07/26/04
STRUCTURED ASSET SECURITIES CORP II X X 08/05/04
STRUTHERS INC/SC NV X 08/02/04
SUN HYDRAULICS CORP FL X 08/02/04
SYNIVERSE TECHNOLOGIES INC DE X 08/03/04
TARRAGON CORP NV X X 08/06/04
TECHNICAL COMMUNICATIONS CORP MA X X 08/05/04
TELETECH HOLDINGS INC DE X 08/04/04
TEXAS GENCO HOLDINGS INC X X 08/06/04
TOR MINERALS INTERNATIONAL INC DE X X 08/06/04
TOYOTA MOTOR CREDIT CORP CA X 06/30/04
TRIARC COMPANIES INC DE X 08/06/04
TRICO BANCSHARES / CA X X 07/21/04
TRINITY INDUSTRIES INC DE X X 08/05/04
TRUDY CORP DE X 08/06/04
TUFCO TECHNOLOGIES INC DE X X 08/05/04
UIL HOLDINGS CORP CT X X 06/30/04
UNISOURCE ENERGY CORP AZ X 08/05/04
UNITED FINANCIAL INC NC X X 08/05/04
UNITED INDUSTRIES CORP DE X 08/06/04
UNITEDHEALTH GROUP INC MN X 08/06/04
UNITRIN INC DE X X 08/04/04
UNITY WIRELESS CORP DE X 06/30/04
US DATAWORKS INC NV X 08/05/04
VALHI INC /DE/ DE X X 08/06/04
VANTAGEMED CORP DE X X 08/05/04
VAXGEN INC DE X X 08/06/04
VENTIV HEALTH INC DE X 08/05/04
VENTURI PARTNERS INC DE X X X 08/05/04
VERTICALNET INC PA X X 08/05/04
VERTICALNET INC PA X X 08/06/04
VIROPHARMA INC DE X 08/05/04
VISTACARE, INC. DE X X 08/05/04
VOIP INC X X 05/25/04 AMEND
WATERFORD GAMING LLC DE X 08/06/04
WATTS WATER TECHNOLOGIES INC DE X 08/06/04
WELLS REAL ESTATE FUND II GA X 08/06/04
WELLS REAL ESTATE FUND II-OW GA X 08/06/04
WELLS REAL ESTATE FUND III L P GA X 08/06/04
WELLS REAL ESTATE FUND IV L P GA X 08/06/04
WELLS REAL ESTATE FUND IX LP GA X 08/06/04
WELLS REAL ESTATE FUND V L P GA X 08/06/04
WELLS REAL ESTATE FUND VI L P GA X 08/06/04
WELLS REAL ESTATE FUND VII L P GA X 08/06/04
WELLS REAL ESTATE FUND VIII LP GA X 08/06/04
WELLS REAL ESTATE FUND X L P GA X 08/06/04
WELLS REAL ESTATE FUND XI L P GA X 08/06/04
WELLS REAL ESTATE FUND XII LP GA X 08/06/04
WELLS REAL ESTATE FUND XIII L P GA X 08/06/04
WELLS REAL ESTATE FUND XIV LP GA X 08/06/04
WELLS REAL ESTATE INVESTMENT TRUST II MD X X 07/23/04
WORLD FUEL SERVICES CORP FL X X 08/05/04
XANSER CORP DE X 06/30/04
YORK WATER CO PA X X 08/06/04
ZIX CORP TX X 08/05/04
ZYMOGENETICS INC WA X X 08/05/04
APPLIED INDUSTRIAL TECHNOLOGIES INC OH X 08/06/04
EGL INC TX X X 08/06/04
STIFEL FINANCIAL CORP DE X 08/04/04
UNITED INDUSTRIAL CORP /DE/ DE X X 08/06/04