SEC NEWS DIGEST Issue 2004-213 November 4, 2004 RULES AND RELATED MATTERS SEC PROPOSES SECURITIES OFFERING REFORM The Commission proposed new rules, rule amendments, and form amendments to modify the registration, communications, and offering processes under the Securities Act of 1933. The proposals address communications related to registered securities offerings, delivery of information to investors, and registration and other procedures in the offering and capital formation processes. Comments on the proposing release should be submitted to the Commission within 75 days of its publication in the Federal Register. The full text of the proposing release can be accessed on the Commission’s web site at http://www.sec.gov/rules/proposed/33-8501.pdf. (Rels. 33-8501; 34-50624, IC-26649; Press Rel. 2004-150) ENFORCEMENT PROCEEDINGS IN THE MATTER OF HAROLD HARRIS An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Harold F. Harris. The Order Instituting Proceedings alleged that on March 13, 2003, the United States District Court for the Southern District of New York entered a final judgment of default against Respondents Harold F. Harris (Harris) and Ronald E. Crews (Crews), permanently enjoining them from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, barring them from acting as officers and directors of public companies pursuant to Section 12 of the Exchange Act, ordering them (jointly and severally) to pay disgorgement and prejudgment interest of $2,350,566.99, and ordering each of them to pay a civil penalty in the amount of $110,000. The Default Order finds these allegations to be true and bars Respondents Harris and Crews from participating in an offering of penny stock. (Rel. 34-50623; File No. 3-11573) PROCEEDINGS AGAINST NICHOLAS HOWARD DISMISSED On remand from the U.S. Court of Appeals for the D.C. Circuit, the Commission determined, in the exercise of its discretion, to dismiss its proceedings against Nicholas P. Howard. The Commission noted that the court had set aside the bulk of the findings against Howard, and that the remanded issues related to conduct that occurred nearly fourteen years ago. (Rel. 34-50630; File No. 3-8873) MORGAN STANLEY CONSENTS TO THE ISSUANCE OF A CEASE-AND-DESIST ORDER The Commission today issued an Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (the “Order”) against Morgan Stanley. In its Order, the Commission found that Morgan Stanley violated financial reporting, record-keeping, and internal controls provisions of the federal securities laws as a result of its conduct related to its valuation of certain aircraft in its aircraft leasing business in late 2001, late 2002, and early 2003, as well as certain bonds in its high-yield bond portfolio in late 2000. Specifically, regarding its aircraft valuations, Morgan Stanley undervalued impairments taken on certain of its aircraft in late 2001, late 2002 and early 2003, which resulted in Morgan Stanley filing financial reports with the Commission that overstated earnings for certain reporting periods in a manner not in conformity with Generally Accepted Accounting Principals (“GAAP”). Regarding its high-yield bond portfolio, Morgan Stanley overvalued certain bonds in the portfolio in 2000, which resulted in the Company filing a financial report with the Commission that understated losses it had incurred on these bonds in a manner not in conformity with GAAP. Morgan Stanley also failed to maintain sufficient underlying documentation supporting its valuations and the Company’s internal controls failed to ensure that it valued both its aircraft and bond positions in accordance with GAAP. Without admitting or denying the Commission’s findings, Morgan Stanley consented to the issuance of the Order, which orders Morgan Stanley to cease and desist from committing or causing violations of, and committing or causing any future violations of, Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 12b-20, 13a-1, 13a-11, and 13a-13. (Rel. 34-50632; AAE Rel. 2132; File No. 3-11725) SEC BRINGS SETTLED ACTION AGAINST FREMONT INVESTMENT ADVISORS, INC. AND NANCY TENGLER AND LITIGATED ACTION AGAINST LARRY ADAMS On November 4, the Commission filed settled administrative proceedings against San Francisco-based mutual fund adviser Fremont Investment Advisors, Inc. (Fremont) and former President and CEO Nancy Tengler. The Commission also brought litigated administrative and cease-and- desist proceedings against former Vice President of Institutional Sales Larry Adams. The Commission found Fremont entered into improper and undisclosed agreements allowing favored large investors to engage in rapid in-and-out securities trading known as market timing and charged Tengler and Adams for their role in Fremont’s misconduct. In addition to the market timing charges, the Commission charged Fremont for allowing mutual fund trades to be placed after the 4:00 p.m. market close. Without admitting or denying the Commission’s findings, Fremont has agreed to pay $4.146 million, including disgorgement of $2.146 million and a civil penalty of $2 million, to settle the Commission’s charges. The Commission anticipates distributing the recovered money to investors of the mutual funds affected by the market timing. According to the Commission’s order, Fremont’s mutual fund prospectus prohibited market timing, and the firm enforced this policy by employing a “timing cop” to monitor and block excessive trading. Notwithstanding this policy, Fremont entered into undisclosed agreements in 2001 and 2002 allowing certain large investors to engage in market timing in Fremont’s Global and U.S. Micro-Cap Funds. The Commission’s order found that one of these agreements included a requirement that the investor place a multimillion-dollar long-term investment (or “sticky asset”) in another Fremont fund, one recently established and co-managed by then- CEO Nancy Tengler. The Commission alleges that Sales VP Adams crafted the agreement, and finds that Tengler allowed the arrangement to go forward. The improper market timing arrangements generated additional fees of at least $170,000 for Fremont between 2001 and 2002, while allowing significant growth in the size of the fund founded by Tengler. The Commission also found that a Fremont employee improperly authorized a brokerage firm to place mutual fund orders after the 4:00 p.m. Eastern Time market close, while still receiving the current day’s price. This arrangement conferred an unfair advantage upon the broker’s customers, allowing them the opportunity to profit from post-market close information and stale prices at the expense of other Fremont shareholders. The Order against Fremont finds that Fremont willfully violated Sections 206(1) and 206(2) of the Investment Advisers Act and Sections 17(d) and 34(b) of the Investment Company Act and Rules 17d-1 and 22c-1 thereunder. Fremont has agreed to undertake certain remedial actions and to cease and desist from similar violations in the future. The Order against Tengler finds that Tengler willfully violated Section 206(2) of the Investment Advisers Act and Section 34(b) of the Investment Company Act and caused Fremont’s violation of Section 17(d) of the Investment Company Act and Rule 17d-1 thereunder. Nancy Tengler has agreed, without admitting or denying the Commission’s findings, to cease and desist from committing or causing violations of those provisions in the future. Tengler also has agreed to pay disgorgement of $27,000 and a civil penalty of $100,000, and has consented to an order suspending her from associating with an investment adviser or investment company for 6 months. Finally, the Commission instituted litigated administrative and cease- and-desist proceedings against former Vice President of Institutional Sales Larry Adams, alleging that he negotiated an improper market timing agreement on behalf of Fremont and charging him with willfully aiding and abetting and causing Fremont’s violations of the Investment Advisers Act. (Fremont Investment Advisors, Inc. - Rels. IA-2317, IC-26650, File No. 3-11726, Press Rel. 2004-153); (Nancy Tengler – Rels. IA-2318, IC- 26651, File No. 3-11727); (Larry Adams – Rels. IA-2319, IC-26652, File No. 3-11728) SEC CHARGES TREYTON THOMAS AND PEMBRIDGE GROUP, LTD. WITH SECURITIES FRAUD AND STOCK MANIPULATION The Commission announced that on November 1 it filed civil fraud charges against Treyton L. Thomas, a resident of Boston, Massachusetts, and a company he founded, Pembridge Group, Ltd., for engaging in a scheme to manipulate the securities of Imagis Technologies, Inc., a Canadian software company quoted on the OTC-Bulletin Board. In a complaint filed in U.S. District Court in Boston the SEC alleges that from at least 1999 through 2002, Thomas generated several false press releases in which he claimed to be the chairman of Pembridge, a purported multi-faceted investment firm that managed several hundred million dollars and provided growth capital to formative companies. In fact, it is alleged, Pembridge had no such assets under management and instead was simply a front that Thomas used to gain credibility and further his fraudulent scheme. The Commission charges that, after several of the false press releases were disseminated, Thomas manipulated the stock of Imagis by causing Pembridge to propose a fraudulent cash tender offer for all of Imagis’ outstanding stock. On March 6, 2002, Pembridge publicly announced the proposed tender offer with a potential offer price of over $4.00 per share (almost double the price at which Imagis’ stock was trading in previous months). Pembrdige’s March 6 announcement sent the price of Imagis’ stock up to a 52-week high of $3.40. As alleged, neither Thomas nor Pembridge controlled or had access to hundreds of millions of dollars let alone the resources necessary to buy out Imagis’ shareholders. The SEC further alleges in the complaint that prior to announcing the false tender proposal, Thomas had arranged for an offshore entity – known as Indo Sakura Trust – to acquire over 100,000 warrants of Imagis stock. Shortly before the fraudulent March 6 tender offer announcement, Indo Sakura converted 70,000 warrants to shares and, a few days after the bogus release, Indo Sakura exercised its remaining 35,000 warrants. Pembridge also acquired warrants to purchase 50,000 shares of Imagis stock at $2.20 (CDN) a share. In addition, Thomas advised purported clients to purchase Imagis stock. The Defendants’ illicit scheme artificially inflated the value of Indo Sakura's Imagis stock, as well as the securities held directly by Pembridge and its purported clients. The SEC alleges that Thomas and Pembridge violated Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, by their fraudulent scheme to manipulate the market in Imagis stock. The Commission further alleges that the defendants violated Section 14(e) of the Exchange Act, and Rule 14e-8 thereunder by their false and fraudulent communication of the tender offer. The relief sought in the complaint as to each of the Defendants includes permanent injunctions from further violations of the general and tender offer antifraud provisions of the federal securities laws, disgorgement of ill-gotten gains with prejudgement interest, civil monetary penalties, penny stock bars, and a permanent bar prohibiting Thomas from serving as an officer or director of a public company. [SEC v. Treyton L. Thomas, et al., Civil Action No. 04-12315 (PBS) D.MA] (LR-18957) WACHOVIA AGREES TO AN INJUNCTION AND $37 MILLION PENALTY The Commission today filed a settled civil action in the U.S. District Court for the District of Columbia against Wachovia Corporation (Wachovia) for violations of proxy disclosure laws and other reporting rules involving the 2001 merger between First Union Corporation (First Union) and Old Wachovia Corporation (Old Wachovia). The complaint alleges that Old Wachovia and First Union failed to disclose in quarterly reports and in a joint proxy statement-prospectus filed in connection with the merger the total number of shares of First Union common stock (FTU) that Old Wachovia intended to and did purchase during the period when First Union and SunTrust Corporation (SunTrust) were engaged in a hostile takeover battle for Old Wachovia. Without admitting or denying the allegations in the complaint, Wachovia consented to entry of a judgment enjoining it from violating the Sections 13(a) and 14(a) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-13 and 14a-9 thereunder and to pay a civil penalty of $37 million. [SEC v. Wachovia Corporation, Civil Action No. 041910 (D.D.C.)] (LR-18958; Press Rel. 2004-152) SEC OBTAINS PRELMINARY INJUNCTION, ASSET FREEZE, AND A RECEIVER IN A NATIONWIDE $24.5 MILLION “PRIME BANK” PONZI SCHEME On November 1, the Commission obtained a preliminary injunction in a multi-million dollar securities fraud scheme perpetrated by five defendants: Learn Waterhouse, Inc. (LWI), a Texas corporation based in Jacksonville, Florida and Tyler, Texas; Randall T. Treadwell, 46, of Savannah, Georgia; Rick D. Sluder, 47, of Tyler, Texas; Larry C. Saturday, 57, of Savannah, Georgia; and Arnulfo M. Acosta, 41, of Edinburg, Texas. The defendants have raised at least $24.5 million from the offer and sale of fictitious “prime bank” instruments. The Honorable Thomas J. Whelan, United States District Judge for the Southern District of California, also granted additional relief that the Commission sought, including orders freezing assets, appointing a permanent receiver over LWI, and requiring the defendants to repatriate assets from abroad. The Commission’s complaint, filed on October 12 in federal court in San Diego, alleges that the defendants raised at least $24.5 million from 1700 investors nationwide by conducting a fraudulent prime bank scheme. According to the complaint, LWI pooled investor funds to engage in “buy/sell” transactions in a “secret,” “invitation only” bank trading program that generated investor returns ranging from 5% to 50% per month. The defendants represented that one such trading program purportedly earned investors 500% in just 60 days. The defendants also represented that an investor’s principal was secured by a “pre-funded, cash-back instrument” issued by a top U.S. bank, which purportedly restricted LWI’s bank trading program to completely risk-free transactions. According to the complaint, these representations were false. The defendants instead were promoting a fictitious prime bank trading program and operating a Ponzi scheme. At least $8.2 million, or 46.9%, of the returns paid to investors came from investor funds. The defendants also misappropriated at least $2.5 million in investor funds to support themselves and finance other businesses. The complaint also alleges that there was no bank trading program, nor were investor funds secured by a “pre-funded, cash-back instrument”; rather, the bank trading program and the extraordinary returns promised by the defendants were part of a prime bank investment fraud. In its lawsuit, the Commission obtained an order freezing each of the defendants’ assets, an order appointing Thomas Lennon as a permanent receiver over LWI, an order requiring the defendants to repatriate assets from abroad, and a preliminary injunction prohibiting all the defendants from future violations of the securities registration and antifraud provisions – Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to the relief already granted by the Court, the Commission will seek permanent injunctions, disgorgement and civil penalties against all defendants. [SEC v. Learn Waterhouse, Inc.; Randall T. Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta, Civil Action No. 04-CV-2037 W (LSP) SDCA] (LR-18959) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendments No. 1 and No. 2 thereto (SR-CHX-2003-07) submitted by the Chicago Stock Exchange relating to out-of-range execution rules. (Rel. 34-50619) The Commission approved a proposed rule change (SR-BSE-2004-25) and Amendment Nos. 1, 2 and 3 thereto and issued notice of filing and granted accelerated approval to Amendment No. 4 to the proposed rule change submitted by the Boston Stock Exchange relating to the Specialist Performance Evaluation Program. (Rel. 34-50622) The Commission has granted approval of a proposed rule change and accelerated approval of Amendment Nos. 2 and 3 thereto (SR-NYSE-2004-41) submitted by the New York Stock Exchange to amend Section 303A of the NYSE Listed Company Manual relating to corporate governance. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50625) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2004- 37) relating to the trading of Nasdaq/NM securities has become immediately effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50620) A proposed rule change filed by the National Association of Securities Dealers making technical modifications to the NASD Trade Reporting Rules (SR-NASD-2004-151) 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 November 8. (Rel. 34- 50621) 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 BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA, 30309-3610, 4042492000 - 0 ($522,900,000.00) Equity, (File 333-120170 - Nov. 3) (BR. 37) S-8 GREAT PLAINS ENERGY INC, 1201 WALNUT, KANSAS CITY, MO, 64106, 8165562200 - 1,000,000 ($28,550,000.00) Equity, (File 333-120172 - Nov. 3) (BR. 02) S-8 SHEFFIELD PRODUCTS INC / DE, 4750 TABLE MESA DRIVE, BOULDER, CO, 80303, 3034943000 - 2,000,000 ($200,000.00) Equity, (File 333-120173 - Nov. 3) (BR. 09) SB-2 ZONE 4 PLAY INC, 103 FOULK ROAD SUITE 202, WILMINGTON, DE, 19803, 302-691-6177 - 16,553,530 ($14,318,803.45) Equity, (File 333-120174 - Nov. 3) (BR. 09) S-8 SCORES HOLDING CO INC, 150 EAST 58TH STREET, SUITE, NEW YORK, NY, 10022, 212-421-8480 - 1,000,000 ($40,000.00) Equity, (File 333-120178 - Nov. 3) (BR. 05) SB-2 NIGHTHAWK SYSTEMS INC, 8200 EAST PACIFIC PLS, SUITE 204, DENVER, CO, 80231, 2103414811 - 52,864,500 ($6,343,740.00) Equity, (File 333-120179 - Nov. 3) (BR. 37) S-8 GLOBAL BUSINESS MARKETS INC, 3859 WEKIVA SPRINGS ROAD, SUITE 302, LONGWOOD, FL, 32779, 407-884-6859 - 0 ($380,000.00) Equity, (File 333-120180 - Nov. 3) (BR. 02) S-3D FENTURA FINANCIAL INC, 175 NORTH LAROY, FENTON, MI, 48430-0725, 8106292263 - 100,000 ($3,940,000.00) Equity, (File 333-120182 - Nov. 3) (BR. 07) S-8 BE AEROSPACE INC, 1400 CORPORATE CTR WY, WELLINGTON, FL, 33414, 5617915000 - 500,000 ($4,175,000.00) Equity, (File 333-120183 - Nov. 3) (BR. 06) F-1 NINETOWNS DIGITAL WORLD TRADE HOLDINGS LTD, 9TH FLOOR UNION PLAZA 20 CHAOWAI STREET, CHAOYANG DISTRICT BEIJING 100020, BEIJING, F4, 00000, 85228684186 - 0 ($168,626,324.00) ADRs/ADSs, (File 333-120184 - Nov. 3) (BR. 08) S-8 SCRIPPS E W CO /DE, 312 WALNUT STREET, CININNATI, OH, 45202, 5139773000 - 600,000 ($28,446,000.00) Equity, (File 333-120185 - Nov. 3) (BR. 05) S-3 SCRIPPS E W CO /DE, 312 WALNUT STREET, CININNATI, OH, 45202, 5139773000 - 0 ($5,535,072.00) Equity, (File 333-120186 - Nov. 3) (BR. 05) S-1 Celanese CORP, 1601 WEST LBJ FREEWAY, DALLAS, TX, 75234, 908-901-4500 - 0 ($750,000,000.00) Equity, (File 333-120187 - Nov. 3) (BR. ) S-3 POPE & TALBOT INC /DE/, 1500 SW FIRST AVE, PORTLAND, OR, 97201, 5032289161 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-120188 - Nov. 3) (BR. 04) S-3 CROSS COUNTRY HEALTHCARE INC, 6551 PARK OF COMMERCE BLVD, SUITE 200, BOCA RATON, FL, 33487, 8003472264 - 11,403,455 ($166,547,460.28) Equity, (File 333-120189 - Nov. 3) (BR. 37) S-3 UNIVERSAL AMERICAN FINANCIAL CORP, SIX INTERNATIONAL DRIVE, SUITE 190, RYE BROOK, NY, 10573-1068, 9149345200X253 - 5,000,000 ($59,400,000.00) Unallocated (Universal) Shelf, (File 333-120190 - Nov. 3) (BR. 01) S-4 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($4,084,955,000.00) Non-Convertible Debt, (File 333-120193 - Nov. 3) (BR. 07) S-8 REDBACK NETWORKS INC, 300 HOLGER WAY, SAN JOSE, CA, 95134, 4087505000 - 1,000,000 ($3,765,000.00) Equity, (File 333-120195 - Nov. 3) (BR. 03) S-8 SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX, 77027, 7132358800 - 4,500,000 ($103,725,000.00) Equity, (File 333-120196 - Nov. 3) (BR. 07) S-8 SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX, 77027, 7132358800 - 200,000 ($4,610,000.00) Equity, (File 333-120197 - Nov. 3) (BR. 07) S-8 POINTE FINANCIAL CORP, 21845 POWERLINE RD, BOCA RATON, FL, 33433, 4073686300 - 174,330 ($5,927,220.00) Equity, (File 333-120198 - Nov. 3) (BR. 07) S-4 INSIGHT HEALTH SERVICES HOLDINGS CORP, ONE FEDERAL ST, BOSTON, MA, 02110, 6177531100 - 0 ($25,000,000.00) Non-Convertible Debt, (File 333-120199 - Nov. 3) (BR. 01) SB-2 CENTURION GOLD HOLDINGS INC, SECOND FLOOR - WEST TOWER SANDTON SQUARE, CORNER MAUDE AND 5 STREET, SANDTON, T3, 2146, 2711881-5563 - 4,896,104 ($3,525,194.88) Equity, (File 333-120200 - Nov. 3) (BR. 05) S-8 ENCISION INC, 4828 STERLING DR, BOULDER, CO, 80302, 3034442600 - 0 ($1,109,065.00) Equity, (File 333-120201 - Nov. 3) (BR. 36) F-3 AMERICA MOVIL SA DE CV/, LAGO ALBERTO 366, COLONIA ANAHUAC MEXICO DF, MEXICO, O5, 11320, 5257033990 - 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-120202 - Nov. 3) (BR. 37) S-1 ARTEMIS INTERNATIONAL SOLUTIONS CORP, 4041 MACARTHUR BLVD., SUITE 260, NEWPORT BEACH, CA, 92660, 9496607100 - 0 ($2,172,094.00) Equity, (File 333-120204 - Nov. 3) (BR. 03) S-4 NRG ENERGY INC, 901 MARQUETTE AVE, SUITE 2300, MINNEAPOLIS, MN, 55402, 6123735300 - 0 ($1,725,000,000.00) Equity, (File 333-120205 - Nov. 3) (BR. 02) S-11 PROVIDENT SENIOR LIVING TRUST, 600 COLLEGE ROAD EAST, SUITE 3400, PRINCETON, NJ, 08540, 6097200825 - 0 ($439,000,005.00) Equity, (File 333-120206 - Nov. 3) (BR. ) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 0 ($1,000,000.00) Equity, (File 333-120207 - Nov. 3) (BR. 09) S-1 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA, 90049, 310-826-5648 - 8,630,000 ($12,280,200.00) Equity, (File 333-120208 - Nov. 3) (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off- Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE DATE COMMENT ------------------------------------------------------------------------------------------------ 1 800 CONTACTS INC DE 2.02,9.01 11/02/04 1ST COLONIAL BANCORP INC PA 2.02,9.01 11/03/04 5 G WIRELESS COMMUNICATIONS INC NV 5.02,9.01 10/27/04 AAMES FINANCIAL CORP/DE DE 8.01,9.01 11/02/04 AAMES INVESTMENT CORP MD 8.01,9.01 11/02/04 ABFC ASSET-BACKED CERTIFICATES SERIES DE 8.01,9.01 10/25/04 ABFC ASSET-BACKED CERTIFICATES SERIES DE 8.01,9.01 10/25/04 ABFC Asset-Backed Certificates, Serie DE 8.01,9.01 10/25/04 ABLE LABORATORIES INC DE 2.02,9.01 11/02/04 ABRAXAS PETROLEUM CORP NV 1.01,2.03,3.02,9.01 10/28/04 ACADIA REALTY TRUST MD 2.02,7.01,9.01 11/01/04 ACCESS ANYTIME BANCORP INC DE 2.01,9.01 11/01/04 ACCREDO HEALTH INC DE 2.02,9.01 11/01/04 AMEND ACE SECURITIES CORP HOME EQUITY LOAN DE 8.01,9.01 10/25/04 ACE SECURITIES CORP HOME EQUITY LOAN DE 8.01,9.01 10/25/04 ACE SECURITIES CORP HOME EQUITY LOAN DE 8.01,9.01 10/25/04 ACE Securities Corp Series 2004-FM2 DE 8.01,9.01 10/25/04 ACE Securities Corp Series 2004-IN1 DE 8.01,9.01 10/25/04 ACE Securities Corp Series 2004-RM1 DE 8.01,9.01 10/25/04 ADVANCE AUTO PARTS INC DE 2.02,9.01 11/03/04 ADVANCED INTEGRATED MANAGEMENT SERVIC UT 5.02,5.03,8.01,9.01 10/29/04 ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 11/02/04 AEGIS ASSET BACKED SEC CORP MORT PAS DE 8.01,9.01 10/25/04 AEGIS ASSET BACKED SEC TR MORT PASS T DE 8.01,9.01 10/25/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01,9.01 10/25/04 AEROPOSTALE INC 7.01,9.01 11/03/04 AETHER SYSTEMS INC DE 2.02,9.01 11/02/04 AKSYS LTD DE 2.02,9.01 11/03/04 ALLIANCE IMAGING INC /DE/ DE 2.02,9.01 11/01/04 ALLIED HOLDINGS INC GA 1.01,9.01 10/29/04 ALLOS THERAPEUTICS INC DE 8.01,9.01 10/31/04 ALPHA TECHNOLOGIES GROUP INC DE 5.01 10/29/04 AMERICA WEST HOLDINGS CORP DE 2.02,9.01 11/02/04 AMERICAN AIRLINES INC DE 8.01 11/03/04 AMERICAN CAPITAL STRATEGIES LTD 2.02,9.01 11/02/04 AMERICAN FINANCIAL REALTY TRUST 8.01,9.01 11/03/04 AMERICAN FINANCIAL REALTY TRUST 9.01 09/22/04 AMEND AMERICAN FINANCIAL REALTY TRUST 9.01 10/01/04 AMEND AMERICAN HEALTHWAYS INC DE 1.01,1.02,2.03,9.01 10/29/04 AMERICAN HOME MORT SECURITIES HOME MO DE 8.01,9.01 10/25/04 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01,9.01 10/25/04 AMERICAN HOMEPATIENT INC DE 2.02,9.01 11/02/04 AMERICAN IDC CORP FL 1.01,3.02,9.01 10/28/04 AMERICAN MEDICAL SECURITY GROUP INC WI 2.02,9.01 09/30/04 AMERICAN TECHNICAL CERAMICS CORP DE 2.02,9.01 11/03/04 AMR CORP DE 8.01 11/03/04 ANALEX CORP NY 2.02,9.01 11/03/04 ANALOGIC CORP MA 3.01,9.01 11/02/04 ANDRX CORP /DE/ DE 2.02,9.01 11/03/04 ANGELES PARTNERS XI CA 5.02 10/29/04 ANGELES PARTNERS XII CA 5.02 10/29/04 ANTEON INTERNATIONAL CORP DE 1.01,9.01 11/03/04 ANTHRACITE CAPITAL INC MD 2.02,8.01,9.01 11/03/04 ANWORTH MORTGAGE ASSET CORP MD 5.03,8.01,9.01 11/01/04 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 10/29/04 APPLIED DIGITAL SOLUTIONS INC MO 1.01,9.01 11/01/04 APROPOS TECHNOLOGY INC 4.01,9.01 10/29/04 ARADYME CORP DE 8.01 11/03/04 ARCHSTONE SMITH TRUST CO 2.02,9.01 11/03/04 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 11/02/04 ARTESIAN RESOURCES CORP DE 2.02 11/01/04 ASA INTERNATIONAL LTD DE 8.01,9.01 11/02/04 Asset Back Pass-Through Certificates, DE 8.01,9.01 10/25/04 ASSET BACKED SEC CORP ASSET BACK PASS DE 8.01,9.01 10/25/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 11/03/04 ASTRALIS LTD CO 1.01,5.02 10/27/04 AMEND ATNG INC NV 8.01 04/14/04 AUTOBYTEL INC DE 1.01,9.01 11/01/04 AUTODESK INC DE 1.01,2.03 10/28/04 AUXILIUM PHARMACEUTICALS INC 2.02,9.01 11/02/04 AVATECH SOLUTIONS INC DE 1.01,2.03 10/28/04 AVENUE GROUP INC DE 8.01,9.01 10/31/04 AXCELIS TECHNOLOGIES INC DE 2.02 11/03/04 AXESSTEL INC NV 2.02,9.01 11/03/04 AXIS CAPITAL HOLDINGS LTD 2.02,8.01,9.01 11/03/04 AXTIVE CORP DE 3.02 11/01/04 BAKER MICHAEL CORP PA 2.02,9.01 11/03/04 BALDWIN TECHNOLOGY CO INC DE 2.02,8.01,9.01 10/28/04 BANC CORP DE 2.02,9.01 11/02/04 BANCSHARES OF FLORIDA INC FL 5.02,9.01 10/01/04 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 10/21/04 BARNES & NOBLE INC DE 8.01,9.01 11/03/04 BAYLAKE CORP WI 2.02 11/02/04 BB&T CORP NC 5.02 11/02/04 BEAR STEARNS ASSET BACK SECURITIES TR DE 8.01,9.01 10/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 10/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 07/25/04 AMEND BEAR STEARNS ASSET-BACKED CERTIFICATE DE 8.01,9.01 06/25/04 AMEND Bear Stearns Commercial Mortgage Secu DE 8.01,9.01 10/19/04 BENTLEY COMMERCE CORP FL 3.02 11/03/04 BENTLEY PHARMACEUTICALS INC DE 2.02,9.01 11/03/04 BIO ONE CORP NV 2.01,9.01 02/04/04 AMEND BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 11/03/04 BIOTIME INC CA 5.02 10/28/04 BLUE DOLPHIN ENERGY CO DE 1.01,9.01 11/03/04 BLUEGREEN CORP MA 2.03 10/29/04 BOSTON BEER CO INC MA 2.02,9.01 11/03/04 BOSTON LIFE SCIENCES INC /DE DE 5.02,9.01 10/28/04 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 1.01,9.01 11/01/04 BRINKS CO VA 2.02,9.01 09/30/04 BROOKE CORP KS 2.02,9.01 11/02/04 BRUKER BIOSCIENCES CORP DE 2.02,9.01 11/03/04 BUILDING MATERIALS CORP OF AMERICA DE 2.02,9.01 11/03/04 BUSINESS OBJECTS S.A. 2.02,5.02,9.01 11/01/04 CABCO SERIES 2002-1 TRUST (AOL TIME W DE 8.01,9.01 11/01/04 CABELAS INC 2.02,7.01,9.01 10/28/04 AMEND CANDELA CORP /DE/ DE 2.02 11/02/04 CAP ROCK ENERGY CORP 1.02,2.03,7.01,9.01 10/29/04 CAPITAL LEASE FUNDING INC 1.01 11/01/04 CAPITAL LEASE FUNDING INC 1.01,2.03,9.01 11/03/04 CAPITAL SENIOR LIVING CORP DE 2.02,9.01 11/02/04 CAPITALSOURCE INC DE 1.01,2.03,9.01 10/28/04 CAPTARIS INC WA 2.02,9.01 11/03/04 CARDINAL BANKSHARES CORP VA 5.02 11/02/04 CARRIZO OIL & GAS INC TX 1.01,2.02,2.03,9.01 10/29/04 CAS MEDICAL SYSTEMS INC DE 2.02,9.01 10/29/04 CELADON GROUP INC DE 5.02 10/28/04 CELERITEK INC/CA CA 8.01,9.01 10/29/04 CENTERPOINT ENERGY INC 8.01 11/02/04 CENTRA FINANCIAL HOLDINGS INC WV 2.02,9.01 11/03/04 CENTURY PROPERTIES FUND XVI CA 5.02 10/29/04 CEPHALON INC DE 2.02,9.01 11/03/04 CEPHALON INC DE 4.02,9.01 11/01/04 CH ENERGY GROUP INC NY 8.01,9.01 10/29/04 CHAMPIONLYTE HOLDINGS INC FL 8.01,9.01 11/02/04 CHASE MANHATTAN BANK USA DE 8.01,9.01 10/01/04 CHINDEX INTERNATIONAL INC DE 5.03,9.01 10/28/04 CIGNA CORP DE 2.02 11/03/04 CIMAREX ENERGY CO DE 2.02 11/03/04 CINCINNATI BELL INC OH 2.02,2.05,9.01 11/03/04 CITIGROUP MORTGAGE LOAN TRUST INC SER 8.01,9.01 09/30/04 CLARKSTON FINANCIAL CORP 2.02,9.01 11/01/04 CLASSIC BANCSHARES INC DE 2.02,9.01 11/01/04 CLECO CORP LA 2.02,9.01 09/30/04 CMS ENERGY CORP MI 2.02 11/03/04 COHERENT INC DE 2.02,9.01 11/03/04 COLDWATER CREEK INC DE 7.01,9.01 11/03/04 COLONIAL PROPERTIES TRUST AL 1.01,2.03,9.01 10/28/04 COLONIAL REALTY LIMITED PARTNERSHIP DE 1.01,2.03,9.01 10/28/04 COMMUNITY BANKS INC /PA/ PA 8.01,9.01 11/02/04 COMMUNITY FIRST BANKSHARES INC DE 3.01 11/01/04 COMSYS IT PARTNERS INC DE 5.02 10/27/04 CONCORDE CAREER COLLEGES INC DE 8.01,9.01 11/02/04 CONNETICS CORP DE 8.01 11/02/04 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 5.02 10/29/04 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 5.02 10/29/04 CONSOLIDATED CAPITAL PROPERTIES IV CA 2.01,9.01 10/29/04 CONSOLIDATED CAPITAL PROPERTIES VI CA 5.02 10/29/04 CONSTAR INTERNATIONAL INC DE 2.02,9.01 11/03/04 CONSTAR INTERNATIONAL INC DE 1.01,7.01,9.01 11/01/04 CONSTAR INTERNATIONAL INC DE 1.01,9.01 11/01/04 COPPER MOUNTAIN NETWORKS INC DE 2.02,9.01 11/01/04 AMEND CORCEPT THERAPEUTICS INC 2.02,9.01 10/28/04 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 11/03/04 CREDIT ACCEPTANCE CORPORATION MI 2.02,9.01 11/01/04 CRITICAL THERAPEUTICS INC DE 2.02 11/03/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE 8.01,9.01 10/25/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE 8.01,9.01 10/25/04 CSFB MORTGAGE BACKED PASS THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE BACKED PASS THRU CERT S DE 8.01,9.01 10/25/04 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 10/25/04 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 10/25/04 CSFB MORTGAGE-BACKED TRUST SERIES 200 DE 8.01,9.01 10/25/04 CSFB MTG BACKED P/T CERTIFICATES SERI 8.01,9.01 10/25/04 CURATIVE HEALTH SERVICES INC 2.02,5.02,9.01 11/03/04 CUTERA INC DE 2.02,9.01 11/03/04 CYTOGEN CORP DE 2.02,9.01 11/03/04 CYTOMEDIX INC DE 5.02,9.01 11/02/04 DAVE & BUSTERS INC MO 2.01 11/03/04 DAVITA INC DE 2.02,9.01 11/03/04 DAYTON POWER & LIGHT CO OH 4.02 10/28/04 DEAN FOODS CO/ DE 2.02,7.01,9.01 11/03/04 DECODE GENETICS INC DE 2.02,9.01 11/02/04 DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/02/04 DIEDRICH COFFEE INC CA 1.01,5.02,9.01 10/28/04 DIGITAL FUSION INC/NJ/ DE 1.01,9.01 10/28/04 DIMON INC VA 3.03,9.01 11/02/04 DITECH COMMUNICATIONS CORP DE 2.02,9.01 11/03/04 DIVINE INC DE 8.01,9.01 10/18/04 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 09/30/04 DPL INC OH 4.02 10/28/04 DRUGSTORE COM INC DE 1.01,5.02,9.01 09/22/04 AMEND DUKE ENERGY CORP NC 2.02,9.01 11/03/04 DURATEK INC DE 5.02 10/28/04 DYNEX CAPITAL INC VA 2.02 09/30/04 ECOLLEGE COM DE 2.02,9.01 11/03/04 ECOST COM INC DE 1.01,2.02,5.02,9.01 09/30/04 EDAC TECHNOLOGIES CORP WI 2.02,9.01 11/02/04 EFUNDS CORP DE 2.02,9.01 11/03/04 EGAIN COMMUNICATIONS CORP DE 1.01,2.02,9.01 11/03/04 ELECTRONIC DATA SYSTEMS CORP /DE/ DE 7.01,9.01 11/03/04 EMAGIN CORP DE 1.01,9.01 11/03/04 ENERGIZER HOLDINGS INC MO 2.02 11/03/04 ENERGY & ENGINE TECHNOLOGY CORP NV 7.01,9.01 11/03/04 ENERGY TRANSFER PARTNERS LP DE 2.01,9.01 11/02/04 ENESCO GROUP INC IL 2.02,9.01 11/02/04 ENHERENT CORP DE 1.01,2.02,3.02,3.03,5.03,8.01 08/16/04 EntreMetrix CORP 1.01,3.02,9.01 10/28/04 EPIX Pharmaceuticals, Inc. 8.01,9.01 11/03/04 EQUIFAX INC GA 1.01,5.02,9.01 10/28/04 ERICO INTERNATIONAL CORP 2.02,9.01 11/03/04 ESTEE LAUDER COMPANIES INC DE 2.02,8.01,9.01 09/30/04 EVERGREEN SOLAR INC DE 2.02,9.01 11/03/04 EXPRESS SCRIPTS INC DE 2.02,8.01,9.01 11/02/04 FAIRCHILD CORP DE 8.01 11/03/04 FALCON PRODUCTS INC /DE/ DE 4.01,5.02,8.01 10/28/04 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 11/03/04 FINDWHAT COM INC NV 2.02,9.01 11/01/04 FIRST ACCEPTANCE CORP /DE/ DE 1.01,9.01 10/28/04 FIRST ALBANY COMPANIES INC NY 2.02,9.01 11/03/04 FIRST AMERICAN CORP CA 5.03 11/03/04 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 09/30/04 FIRST CENTURY BANKSHARES INC WV 2.02,9.01 11/02/04 FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 11/03/04 FIRST FEDERAL BANCORP INC/OH/ OH 2.02,9.01 11/01/04 FIRST FINANCIAL CORP /IN/ IN 2.02 10/27/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 10/29/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 10/19/04 FIRST INDIANA CORP IN 2.02,9.01 10/28/04 FIRST INDIANA CORP IN 2.01,9.01 11/01/04 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 11/01/04 FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 06/18/04 AMEND FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 07/18/04 AMEND FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 08/18/04 AMEND FIRST WASHINGTON FINANCIAL CORP NJ 2.02,9.01 10/29/04 FLORIDA EAST COAST INDUSTRIES INC FL 2.02,9.01 11/03/04 FORD MOTOR CO DE 8.01,9.01 11/03/04 FOSTER WHEELER LTD D0 2.02,9.01 11/03/04 FOX ENTERTAINMENT GROUP INC DE 2.02 11/03/04 FOX STRATEGIC HOUSING INCOME PARTNERS CA 5.02 10/29/04 FRANKLIN CAPITAL CORP DE 4.01,7.01,9.01 10/28/04 FREMONT MICHIGAN INSURACORP INC 3.03,5.03,9.01 11/01/04 FRIEDMANS INC DE 1.01,5.02,8.01,9.01 11/02/04 GENCORP INC OH 1.01,7.01,9.01 11/01/04 GENERAL CABLE CORP /DE/ DE 5.02,9.01 11/03/04 GENERAL MOTORS CORP DE 8.01 11/03/04 GEXA CORP TX 1.01,9.01 11/03/04 GFY FOODS INC NV 3.02 11/01/04 GLENAYRE TECHNOLOGIES INC DE 2.02,9.01 11/02/04 GLOBECOMM SYSTEMS INC 1.01,2.03,9.01 10/29/04 GMACM HOME EQUITY LOAN TRUST 2004-HE3 DE 9.01 11/03/04 GMACM HOME EQUITY LOAN TRUST 2004-HE3 DE 9.01 11/03/04 GMACM HOME EQUITY LOAN TRUST 2004-HE3 DE 9.01 11/03/04 GMACM HOME EQUITY LOAN TRUST 2004-HE3 DE 9.01 11/03/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/03/04 GREENBRIAR CORP NV 3.02,5.02 11/01/04 GREENFIELD ONLINE INC DE 2.02,9.01 11/03/04 GREENWICH CAPITAL ACC INC PROVIDENT F DE 8.01,9.01 10/25/04 GREY WOLF INC TX 5.02,9.01 11/03/04 GSI COMMERCE INC DE 7.01,9.01 11/03/04 GXS CORP DE 1.01 11/01/04 HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/03/04 HARRIS CORP /DE/ DE 2.01,7.01,9.01 11/03/04 HEALTH FITNESS CORP /MN/ MN 2.02,9.01 11/03/04 HECTOR COMMUNICATIONS CORP MN 2.02,9.01 11/02/04 HOLLY ENERGY PARTNERS LP DE 8.01,9.01 11/02/04 HOLLYWOOD CASINO SHREVEPORT LA 1.03,9.01 10/30/04 Home Equity Asset Trust 2004-7 DE 8.01,9.01 11/03/04 Home Equity Loan Asset-Backed Notes, DE 8.01,9.01 05/25/04 AMEND HOME EQUITY LOAN TRUST SERIES 2004-HS DE 8.01,9.01 10/25/04 HOMEBANC CORP GA 1.01,2.03,9.01 10/29/04 HOMESTAR MORTGAGE ACCEP CORP ASST BAC DE 8.01,9.01 10/25/04 HOMESTORE INC DE 2.02 11/03/04 HOST AMERICA CORP DE 1.01,9.01 10/29/04 HOT TOPIC INC /CA/ CA 2.02,9.01 11/03/04 HUDSON TECHNOLOGIES INC /NY NY 1.01 10/01/04 HUMAN BIOSYSTEMS INC CA 1.01,2.03,3.02,9.01 11/03/04 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 11/03/04 Huron Consulting Group Inc. DE 5.02 10/29/04 I SECTOR CORP DE 2.02 09/30/04 IA GLOBAL INC DE 2.02,9.01 11/01/04 IAC/INTERACTIVECORP DE 2.02,7.01 11/03/04 ID SYSTEMS INC DE 2.02,9.01 11/03/04 ILLINI CORP IL 1.01,1.02,3.03,9.01 10/29/04 IMAGEWARE SYSTEMS INC CA 5.02 10/28/04 IMCO RECYCLING INC DE 2.02,9.01 11/02/04 INCO LTD 1.01 10/29/04 INDYMAC INDX MORTGAGE LOAN TRUST 2004 8.01 10/25/04 INFOSONICS CORP 1.01,2.01,8.01,9.01 10/28/04 INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 10/28/04 INTELIDATA TECHNOLOGIES CORP DE 2.02,5.02,9.01 11/03/04 INTERCARE DX INC CA 5.02 11/03/04 INTEREP NATIONAL RADIO SALES INC NY 4.01,9.01 10/08/04 AMEND INTERFACE INC GA 7.01,9.01 11/02/04 INTERLEUKIN GENETICS INC DE 2.02,9.01 11/03/04 INTERMOUNTAIN COMMUNITY BANCORP ID 2.01,5.02,9.01 11/02/04 INTERNAP NETWORK SERVICES CORP DE 5.02,9.01 09/30/04 INTERNET BUSINESS INTERNATIONAL INC NV 1.01,8.01,9.01 11/02/04 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,8.01,9.01 11/03/04 INTERSTATE HOTELS & RESORTS INC DE 2.02,9.01 11/03/04 IPARTY CORP DE 2.02,9.01 11/03/04 IPASS INC DE 7.01,9.01 10/29/04 IPAYMENT INC DE 2.02,7.01,9.01 11/03/04 ISA INTERNATIONALE INC DE 1.01 09/30/04 ISOLAGEN INC DE 7.01,9.01 11/03/04 ITERIS HOLDINGS INC DE 2.01,9.01 11/03/04 J JILL GROUP INC DE 2.02,9.01 11/03/04 J.P. MORGAN MORTGAGE TRUST 2004-A4 DE 8.01,9.01 10/25/04 JP MORGAN MORTGAGE TRUST 2004-A1 MORT DE 8.01,9.01 10/25/04 K SWISS INC DE 8.01,9.01 11/03/04 K TRON INTERNATIONAL INC NJ 2.02 11/03/04 KANA SOFTWARE INC DE 5.02 11/01/04 KANEB PIPE LINE OPERATING PARTNERSHIP DE 8.01,9.01 10/31/04 KANEB PIPE LINE PARTNERS L P DE 1.01,9.01 10/31/04 KANEB SERVICES LLC DE 1.01,9.01 10/31/04 KANSAS CITY LIFE INSURANCE CO MO 8.01,9.01 10/31/04 KENNAMETAL INC PA 1.01,2.03,9.01 10/29/04 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 11/03/04 KINTERA INC 1.01,9.01 03/18/04 AMEND KNOLOGY INC DE 2.02,9.01 10/28/04 KOS PHARMACEUTICALS INC FL 2.02,9.01 11/03/04 KV PHARMACEUTICAL CO /DE/ DE 2.02,9.01 11/01/04 LAFARGE NORTH AMERICA INC MD 2.02,9.01 11/02/04 LECG CORP DE 1.01,9.01 10/28/04 LITTLEFIELD CORP DE 2.02 11/02/04 LOJACK CORP MA 2.02,9.01 11/03/04 LOJACK CORP MA 2.01,2.03,3.02,9.01 10/29/04 LUBYS INC DE 5.02 10/29/04 MACERICH CO MD 1.01 10/28/04 MAF BANCORP INC DE 1.01,2.03,7.01,9.01 11/01/04 MAGNA ENTERTAINMENT CORP DE 2.02,9.01 09/30/04 MAGUIRE PROPERTIES INC MD 2.02,7.01,9.01 11/02/04 MAIN STREET RESTAURANT GROUP, INC. 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NV 5.02 09/30/04 OCEANEERING INTERNATIONAL INC DE 2.02,9.01 11/02/04 ODYSSEY HEALTHCARE INC DE 5.02 10/15/04 AMEND OFFSHORE LOGISTICS INC DE 2.02,9.01 09/30/04 OLYMPIC CASCADE FINANCIAL CORP DE 8.01,9.01 11/01/04 ORBITZ INC DE 2.02,9.01 11/03/04 ORTEC INTERNATIONAL INC DE 4.01,9.01 10/29/04 OSI SYSTEMS INC CA 2.02,7.01,9.01 10/28/04 OSULLIVAN INDUSTRIES HOLDINGS INC DE 2.02,7.01,9.01 09/30/04 OTISH MOUNTAIN DIAMOND CO NV 5.02,9.01 10/27/04 PAC-WEST TELECOMM INC 2.02,9.01 11/02/04 PACCAR INC DE 8.01,9.01 11/01/04 PACIFIC ENERGY PARTNERS LP 1.01,7.01,9.01 10/29/04 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 10/28/04 PACIFICARE HEALTH SYSTEMS INC /DE/ DE 2.02,7.01,9.01 11/03/04 PANERA BREAD CO DE 8.01 10/30/04 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 11/02/04 PEGASUS COMMUNICATIONS CORP / DE 1.02,9.01 11/03/04 PEMSTAR INC MN 2.02,8.01,9.01 11/03/04 PENN TREATY AMERICAN CORP PA 1.01 10/28/04 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,9.01 10/28/04 PeopleSupport, Inc. DE 2.02,9.01 11/03/04 PEPSICO INC NC 7.01,9.01 11/03/04 PER SE TECHNOLOGIES INC DE 2.02,8.01,9.01 11/03/04 PEREGRINE SYSTEMS INC DE 2.02,9.01 11/03/04 PINNACLE ENTERTAINMENT INC DE 2.02 11/03/04 PIONEER NATURAL RESOURCES CO DE 8.01,9.01 11/01/04 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 11/02/04 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/03/04 PMA CAPITAL CORP PA 8.01,9.01 11/03/04 PMI GROUP INC DE 2.02,9.01 11/03/04 POLO RALPH LAUREN CORP DE 2.02,9.01 11/03/04 POLYMEDICA CORP MA 2.02,9.01 11/03/04 PORTEC RAIL PRODUCTS INC WV 1.01,9.01 11/01/04 POWER 3 MEDICAL PRODUCTS INC NY 1.01,2.03,3.02,3.03,9.01 10/28/04 POWER EFFICIENCY CORP DE 2.03,3.02 10/27/04 PRELUDE VENTURES INC NV 8.01 11/03/04 PRESIDENTIAL LIFE CORP DE 9.01 06/30/04 PRICELINE COM INC DE 2.02,7.01,9.01 11/02/04 PRIME MORTGAGE TRUST 2003-1 NY 8.01,9.01 10/25/04 PRIME MORTGAGE TRUST MORTGAGE PASS-TH DE 8.01,9.01 10/25/04 PRIME MORTGAGE TRUST, MORTGAGE PASS-T DE 8.01,9.01 10/25/04 PROGRESS ENERGY INC NC 2.03 10/19/04 PROSPECT ENERGY CORP MD 7.01,9.01 11/02/04 PS BUSINESS PARKS INC/CA CA 7.01,9.01 11/01/04 PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/01/04 QUALCOMM INC/DE DE 2.02,9.01 11/03/04 QUALITY SYSTEMS INC CA 2.02,9.01 11/03/04 QUANTA SERVICES INC DE 2.02,9.01 11/03/04 QUINTEK TECHNOLOGIES INC 1.01,2.03,3.02,9.01 07/16/04 R H DONNELLEY CORP DE 5.02 11/01/04 RADNOR HOLDINGS CORP DE 7.01 11/02/04 RALCORP HOLDINGS INC /MO MO 2.02,9.01 09/30/04 REAL ESTATE ASSOCIATES LTD IV CA 5.02 10/29/04 REDHOOK ALE BREWERY INC WA 2.02,9.01 11/02/04 RELIANT ENERGY INC DE 2.02,9.01 11/03/04 RENAISSANCE HOME EQUITY LOAN TRUST 20 DE 8.01,9.01 10/25/04 RENAISSANCE MORT ACC CORP RENAISSANCE DE 8.01,9.01 10/25/04 REPUBLIC SERVICES INC DE 2.02 11/03/04 REPUBLIC SERVICES INC DE 8.01,9.01 11/03/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 9.01 11/03/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 9.01 11/03/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 9.01 11/03/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 9.01 11/03/04 REYNOLDS 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