SEC NEWS DIGEST Issue 2004-217 November 10, 2004 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING – TUESDAY, NOVEMER 16, 2004 – 2:00 P.M. The subject matter of the closed meeting scheduled for November 16 will be: Formal orders of investigations; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings 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. SEC VOTES TO PROPOSE CHANGES IN SRO GOVERNANCE AND ISSUE RELATED CONCEPT RELEASE On November 9, the Commission at an open meeting voted to propose new rules and amend existing rules and forms under the Securities Exchange Act of 1934 relating to the governance, transparency, oversight, and ownership of self-regulatory organizations (SROs), and to issue a concept release examining the efficacy of self-regulation. Rulemaking Proposal Highlights A summary of the rulemaking proposals follows: * Governance Proposal. This proposal would require SROs to adopt specified baseline governance standards, including a majority independent board and fully independent nominating, governance, audit, compensation, and regulatory oversight committees. It also would require each SRO to take steps to separate its regulatory function from its business operations. * Transparency Proposal. This proposal would require SROs to publicly disclose, and update at least annually, specified information about their operation and structure, including their governance processes, regulatory programs, financial condition, and ownership. * SRO Reporting Proposal. This proposal would require SROs to submit quarterly and annual reports to the Commission containing specified information on the operation of their regulatory programs, including their examination, investigation, and enforcement activities. This information is intended to support the Commission’s SRO inspections program. * SRO Ownership Proposal. This proposal would restrict the ownership and voting levels of members that are broker-dealers to no more than 20% with respect to the SRO or any separate facility. It also would require SROs and their members to report to the Commission information about any significant accumulations of SRO ownership interests and voting power. * SRO Self-Listing Proposal. This proposal would require SROs to comply with additional reporting and other requirements in the event they list or trade their own or an affiliate’s securities, or the securities of a facility or an affiliate of a facility. Concept Release The concept release will request public comment on a variety of issues relating to the efficacy of the self-regulatory system, including, the inherent tensions in this model and its strengths and weaknesses. The concept release also will request public comment on the advisability of implementing enhancements to the current SRO system or, alternatively, pursuing an alternative regulatory model. Comments on the proposed rules and rule amendments should be received by the Commission within 45 days of publication in the Federal Register. The comment period for the concept release will be 90 days from the date of its publication in the Federal Register. Full text of the detailed proposing release and concept release will be posted to the SEC Web site as soon as possible. (Press Rel 2004-154) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ADAM KRUGER An Administrative Law Judge has issued an Order Making Findings and Imposing Sanction by Default (Default Order) in the matter of Adam G. Kruger. The Order Instituting Proceedings alleged that on April 13, 2004, the U.S. District Court for the Northern District of Illinois entered a final judgment against Respondent Adam G. Kruger, permanently enjoining him from future violations of 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 Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Default Order finds these allegations to be true and bars Respondent Kruger from association with any investment adviser. (Rel. IA-2323; File No. 3-11664) IN THE MATTER OF BRUCE BARBERS AND CRAIG COLWELL On November 9, the Commission issued an Order Pursuant to Section 15(b)(6) of the Securities and Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Craig H. Colwell. The Order finds that Colwell pled guilty to an information charging him with conspiring with David I. Namer and others to commit securities fraud and other offenses while employed as a Managing Director of Sutter Securities by accepting undisclosed payments from Namer as an incentive to sell securities provided by Namer to the investing public. The payments were concealed from his employer, customers, and brokers and dealers to prevent them from knowing the origin and source of the payments. Based on the above, the Order bars Craig H. Colwell from association with any broker or dealer. Craig H. Colwell consented to the issuance of the order without admitting or denying any of the findings contained in the order except as to jurisdiction and the entry of the conviction against him and the facts related to that conviction. (Rel. 34-50648; File No. 3-11549) ORDER APPROVING APPLICATION FOR RELIEF FROM A STATURORY DISQUALIFICATION On November 9, the Commission issued an Order approving the application of NASD for relief from a statutory disqualification to permit the association of Daniel V. Covello, as a general securities representative with Tullett Liberty Securities, Inc. (Tullett), a member of NASD. The Order states that, based on the representations made by NASD and Tullett with respect to the supervision of Mr. Covello and the conditions placed on his employment, the Commission will not institute proceedings pursuant to Sections 15(b)(4), 15(b)(6), 19(h)(2), or 19(h)(3) of the Securities Exchange Act of 1934 and will not direct NASD to bar the proposed association, as provided in Section 15A(g)(2) of the Securities Exchange Act of 1934. (Rel. 34-50649) IN THE MATTER OF WILLIAM BLACK On November 9, 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 against William H. Black. The Order finds that a Final Judgment was entered on May 17, 2004, in favor of the Commission permanently enjoining Mr. Black from violating Section 17(a) of the Securities Act of 1933, Sections 10(b), 15(a) and 15(c) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5 and 15c1-2, and Sections 206(1) and 206(2) of the Investment Advisers Act (Advisers Act). The Commission’s complaint alleged that Respondent acted as an unregistered broker-dealer and unregistered investment adviser, made materially false or misleading statements and omissions to clients concerning the purchase and sale of securities, and misappropriated or diverted client funds for non- investment purposes. Administrative proceedings are being instituted to determine what, if any, remedial action is appropriate in the public interest against Respondent pursuant to Section 15(b)(6) of the Exchange Act and Section 203(f) of the Advisers Act. (Rel. 34-50650; IA-2324; File No. 3-11734) SEC SUES OSF, INC., LLOYD BROUSSARD, WINFRED FIELDS, MONYETTE PRECIADO, RAVEN INTERESTS, INC. AND TENN-STONE, INC. The Commission filed an injunctive action on November 9 against OSF, Inc. (OSF), two of its officers, Lloyd P. Broussard, and Winfred Fields, as well as Broussard’s daughter, Monyette Preciado and two companies with which she was nominally affiliated, Raven Interests, Inc. (Raven) and Tenn-Stone, Inc. (Tenn-Stone). The Commission’s complaint alleges that between August 2003 and June 2004, Broussard and Fields, with the assistance of their nominee Preciado, orchestrated an illegal distribution of approximately 22.2 million shares of OSF stock to the public for total proceeds of approximately $531,238. According to the complaint, Broussard and Fields effected the distribution both personally and through Raven and Tenn-Stone, which they secretly controlled. The complaint further alleges that to facilitate the distribution, Broussard and Fields issued a series of false OSF press releases from June 2003 to September 2003 concerning business relationships with third parties, corporate revenues, and imminent Nasdaq listing. Moreover, the complaint alleges that as recently as January 2004, Broussard and Fields arranged for the dissemination of large numbers of unsolicited junk faxes and spam e-mails, which republished information contained in the false releases. The Commission’s complaint alleges that OSF, Broussard, Fields, Preciado, Raven and Tenn-Stone violated Sections 5(a), and 5(c) of the Securities Act of 1933. Further, the complaint alleges that OSF, Broussard and Fields violated 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 complaint seeks preliminary and permanent injunctions, disgorgement and prejudgment interest, and civil penalties as to all of the defendants; officer and director bars against Broussard and Fields; and penny stock bars against Broussard, Fields and Preciado. [SEC v. OSF, Inc., et al., No. H-04-4291, USDC, SDTX] (LR-18964) COMMISSION FILES CIVIL CONTEMPT CHARGES AGAINST NEW HAMPSHIRE RESIDENT FOR VIOLATING ASSET FREEZE The Commission announced that on November 2 it filed a motion with the federal district court in New Hampshire seeking entry of a civil contempt order against defendant Koji Goto for violating a court-imposed asset freeze entered in the Commission’s enforcement action against Goto. The Commission’s contempt motion alleges that Goto violated the asset freeze order and a subsequent modification of the asset freeze by filing a voluntary petition for bankruptcy under Chapter 11 of the Bankruptcy Code. The Commission’s complaint, filed on November 14, alleges that Goto misappropriated more than $5 million of investor funds by falsely stating that the money would be invested in a Boston-based hedge fund and in a food services business. Instead of investing the funds in the businesses he purported to represent, Goto diverted investor funds to his own bank accounts for his own personal gain. In its contempt motion, the Commission alleges that the asset freeze order and a subsequent modification of the asset freeze order, which subject all of Goto’s assets to the jurisdiction of the federal district court, prohibited Goto from seeking protection of his assets in bankruptcy court. Defendant Goto’s assets have been frozen since November 14, when the Court entered a temporary restraining order and asset freeze against Goto and his wife, a relief defendant in the Commission’s action. On Dec. 3, 2003, the court entered a preliminary injunction and asset freeze against Goto and his wife. The asset freeze was modified by the court on Sept. 13, 2004, to allow two creditors to conduct a foreclosure sale of Goto’s house. In a related criminal action, on Sept. 27, 2004, Goto was found guilty by a jury in New Hampshire Superior Court, Hillsborough County, North, on 23 counts of theft by deception, theft by misapplication, and unlawful securities practice. The case was prosecuted by the New Hampshire Attorney General. Goto’s sentencing is scheduled for Dec. 9, 2004. For further information see LR-18490 and LR-18456. [SEC v. Koji Goto, Civ. A. No. 03 CV 00490-JR (D.N.H.)] (LR-18965) INVESTMENT COMPANY ACT RELEASES PACIFIC CAPITAL FUNDS, ET AL. A notice has been issued giving interested persons until Dec. 6, 2004, to request a hearing on an application filed by Pacific Capital Funds and The Asset Management Group of Bank of Hawaii for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-26653 - November 9) HOLDING COMPANY ACT RELEASES HARBERT DISTRESSED INVESTMENT MASTER FUND, LTD, ET AL. A notice has been issued giving interested persons until Dec. 6, 2004, to request a hearing on an application filed by Harbert Distressed Investment Master Fund, Ltd. (Harbert), on its own behalf and on behalf of funds and managed accounts, requesting an exemption under Section 3(a)(4) of the Act from all provisions of the Act except Section 9(a)(2). The application is filed in connection with Harbert’s anticipation that funds and accounts managed by it will receive, in the aggregate, more than 10% of the voting securities of a public-utility company, the reorganized NorthWestern Corporation, pursuant to that company’s plan of reorganization under Chapter 11 of the U.S. Bankruptcy Code. (Rel. 35-27909) 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-8 T BAY HOLDINGS INC, 2085 ACADEMY AVE, SUITE 105, EAGLE, ID, 83616, 2083428888 - 1,000,000 ($50,000.00) Equity, (File 333-120305 - Nov. 9) (BR. 09) S-3 CENTERPOINT ENERGY INC, 1111 LOUISIANT ST., HOUSTON, TX, 77002, 7132073000 - 3,000,000 ($31,740,000.00) Equity, (File 333-120306 - Nov. 9) (BR. 02) S-4 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 1,050,326 ($10,413,641.00) Equity, (File 333-120307 - Nov. 9) (BR. 07) S-4 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 0 ($8,048,366.00) Equity, (File 333-120308 - Nov. 9) (BR. 07) S-8 UNITEDGLOBALCOM INC, 4643 SOUTH ULSTER STREET SUITE 1300, DENVER, CO, 80237, 3037704001 - 628,558 ($4,667,043.15) Equity, (File 333-120309 - Nov. 9) (BR. 37) S-8 ZOLL MEDICAL CORPORATION, 269 MILL ROAD, CHELMSFORD, MA, 01824-4105, 9784219655 - 885,000 ($27,638,550.00) Equity, (File 333-120310 - Nov. 9) (BR. 36) S-3 VALLEY FINANCIAL CORP /VA/, 36 CHURCH AVENUE SW, ROANOKE, VA, 24011, 5403422265 - 0 ($3,850,000.00) Equity, (File 333-120311 - Nov. 9) (BR. 07) S-8 NEWMARKET CORP, 0 ($19,660,000.00) Equity, (File 333-120312 - Nov. 9) (BR. 06) S-8 CALIFORNIA MICRO DEVICES CORP, 430 N. MCCARTHY BLVD, SUITE 100, MILPITAS, CA, 90535, 4082633214 - 1,070,000 ($8,378,100.00) Equity, (File 333-120313 - Nov. 9) (BR. 36) S-8 KENNAMETAL INC, 1600 TECHNOLOGY WAY, P O BOX 231, LATROBE, PA, 15650, 7245395000 - 2,000,000 ($95,200,000.00) Equity, (File 333-120314 - Nov. 9) (BR. 36) S-8 NETTEL HOLDINGS INC, 2500 COLUMBIA HOUSE, BOULEVARD, VANCOUVER, WA, 98661, 360-696-3412 - 950,000 ($180,500.00) Equity, (File 333-120315 - Nov. 9) (BR. 07) S-8 ADAPTEC INC, 691 S MILPITAS BLVD, M/S25, MILPITAS, CA, 95035, 4089458600 - 0 ($32,950,000.00) Equity, (File 333-120316 - Nov. 9) (BR. 03) S-3 ADVANCED PHOTONIX INC, 1240 AVENIDA ACASCO, CAMARILLO, CA, 93012, 8059870146 - 8,636,276 ($15,504,671.00) Debt Convertible into Equity, (File 333-120317 - Nov. 9) (BR. 36) S-8 DIMON INC, 8047927511 - 3,109,121 ($19,058,912.00) Equity, (File 333-120318 - Nov. 9) (BR. 04) S-8 SAXON CAPITAL INC, 4860 COX RD STE. 300, GLEN ALLEN, VA, 23060, 804 967 7400 - 1,000,000 ($20,550,000.00) Equity, (File 333-120319 - Nov. 9) (BR. 08) S-8 Tower Group, Inc., 120 BROADWAY, 14TH FLOOR, NEW YORK, NY, 10271, (212) 655-2000 - 1,448,491 ($10,820,229.55) Equity, (File 333-120320 - Nov. 9) (BR. 01) S-3 HARRIS INTERACTIVE INC, 135 CORPORATE WOODS, ROCHESTER, NY, 14623-1457, 7162728400 - 3,524,990 ($23,723,182.70) Equity, (File 333-120321 - Nov. 9) (BR. 08) S-8 ONYX PHARMACEUTICALS INC, 3031 RESEARCH DR, BLDG A, RICHMOND, CA, 94806, 5102229700 - 600,000 ($16,548,000.00) Equity, (File 333-120324 - Nov. 9) (BR. 01) S-8 DEVRY INC, ONE TOWER LN, SUITE 1000, OAKBROOK TERRACE, IL, 60181, 6305717700 - 2,000,000 ($28,970,000.00) Equity, (File 333-120326 - Nov. 9) (BR. 37) S-8 MIKOHN GAMING CORP, 920 PILOT ROAD, LAS VEGAS, NV, 89119, 7028963890 - 0 ($12,399,194.28) Equity, (File 333-120327 - Nov. 9) (BR. 06) S-3 SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX, 77027, 7132358800 - 2,000,000 ($46,100,000.00) Equity, (File 333-120328 - Nov. 9) (BR. 07) S-8 ARRHYTHMIA RESEARCH TECHNOLOGY INC /DE/, 25 SAWYER PASSWAY, FITCHBURG, MA, 01420, 978-345-5000 - 3,000 ($80,100.00) Equity, (File 333-120329 - Nov. 9) (BR. 36) S-4 INVITROGEN CORP, 1600 FARADAY AVE, CARLSBAD, CA, 92008, 7606037200 - 800,000,000 ($798,000,000.00) Equity, (File 333-120330 - Nov. 9) (BR. 01) S-8 FOXHOLLOW TECHNOLOGIES, INC., 740 BAY ROAD, REDWOOD CITY, CA, 94063-2469, 650-421-8400 - 4,030,543 ($20,649,992.60) Equity, (File 333-120331 - Nov. 9) (BR. 36) S-4 COLONIAL BANCGROUP INC, ONE COMMERCE ST STE 800, P O BOX 1108, MONTGOMERY, AL, 36104, 3342405000 - 0 ($1.00) Equity, (File 333-120332 - Nov. 9) (BR. 07) S-8 COPYTELE INC, 900 WALT WHITMAN RD, HUNTINGTON STATION, NY, 11746, 5165495900 - 15,000,000 ($14,475,000.00) Other, (File 333-120333 - Nov. 9) (BR. 03) S-8 COMSYS IT PARTNERS INC, 2709 WATER RIDGE PKWY, 2ND FLOOR, CHARLOTTE, NC, 28217, 7044425100 - 1,954,504 ($15,636,032.00) Equity, (File 333-120334 - Nov. 9) (BR. 37) S-3 VISTA GOLD CORP, 7961 SHAFFER PKWY, SUITE 5, LITTLETOWN, CO, 80127, 3036292450 - 0 ($17,252,261.00) Equity, (File 333-120335 - Nov. 9) (BR. 04) S-3 AMEDISYS INC, 11100 MEAD ROAD STE 300, BATON ROUGE, LA, 70816, 2252922031 - 50,000 ($1,760,500.00) Equity, (File 333-120336 - Nov. 9) (BR. 01) S-8 COOPER INDUSTRIES LTD, 600 TRAVIS, SUITE 5800, HOUSTON, TX, 77002-1001, 7132098400 - 5,000,000 ($315,950,000.00) Equity, (File 333-120337 - Nov. 9) (BR. 36) 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 ------------------------------------------------------------------------------------------------ 3M CO DE 8.01 11/08/04 4 KIDS ENTERTAINMENT INC NY 2.02,8.01,9.01 09/30/04 A CONSULTING TEAM INC NY 2.02,9.01 11/09/04 ABERCROMBIE & FITCH CO /DE/ DE 2.02,8.01,9.01 11/09/04 ABERDENE MINES LTD 7.01,9.01 11/09/04 ABX AIR INC 1.01,2.02,9.01 09/03/04 ACETO CORP NY 2.02,9.01 11/09/04 ACLARA BIOSCIENCES INC DE 2.02,9.01 11/09/04 ADEPT TECHNOLOGY INC CA 8.01 11/04/04 ADSOUTH PARTNERS, INC. NV 2.02 11/08/04 ADVANCE AUTO PARTS INC DE 1.01,2.03,9.01 11/03/04 ADVANCED PHOTONIX INC DE 1.01,9.01 11/09/04 ADVANTA BUSINESS RECEIVABLES CORP 8.01,9.01 11/09/04 ADVANTAGE CAPITAL DEVELOPMENT CORP NV 4.01,9.01 11/02/04 AEROFLEX INC DE 2.02,9.01 09/30/04 AFFIRMATIVE INSURANCE HOLDINGS INC DE 7.01,9.01 11/09/04 AG BAG INTERNATIONAL LTD DE 4.01,9.01 10/25/04 AMEND AGL RESOURCES INC GA 7.01 11/09/04 AGU Entertainment Corp. CO 1.01,5.02,9.01 11/03/04 ALLEGHANY CORP /DE DE 2.02,9.01 11/09/04 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE 7.01,9.01 11/09/04 ALLIANCE CAPITAL MANAGEMENT L P DE 7.01,9.01 11/09/04 ALLOS THERAPEUTICS INC DE 2.02,9.01 11/08/04 AMC ENTERTAINMENT INC DE 7.01,9.01 09/30/04 AMERICAN ACHIEVEMENT CORP DE 8.01,9.01 11/09/04 AMERICAN DAIRY INC UT 3.02,8.01 10/16/04 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01 11/08/04 AMERICAN HOME MORTGAGE INVESTMENT TRU DE 8.01 10/29/04 AMERICAN INDEPENDENCE CORP DE 2.02,7.01,9.01 09/30/04 AMERICAN LAND LEASE INC DE 2.02,9.01 11/03/04 AMERICAN PHYSICIANS CAPITAL INC MI 2.02,9.01 11/08/04 AMERICAN STATES WATER CO CA 2.02 11/04/04 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 11/09/04 AMEND ANACOMP INC IN 1.01,5.02,9.01 11/08/04 ANADYS PHARMACEUTICALS INC 2.02,9.01 11/09/04 ANCHOR GLASS CONTAINER CORP /NEW DE 1.01,2.02,2.05,2.06,5.02,9.01 11/04/04 ANNTAYLOR STORES CORP DE 1.01,5.02,7.01,9.01 11/04/04 ANNUITY & LIFE RE (HOLDINGS), LTD. D0 5.02 11/04/04 ANNUITY & LIFE RE (HOLDINGS), LTD. D0 2.02 11/08/04 APOLLO GOLD CORP 1.01,1.02,2.03,3.02,9.01 11/09/04 APOLLO INVESTMENT CORP MD 9.01 11/08/04 APPLEBEES INTERNATIONAL INC DE 7.01 11/09/04 ARCH WIRELESS INC DE 5.02,8.01,9.01 11/05/04 ARCH WIRELESS INC DE 5.02,8.01,9.01 11/05/04 AMEND AROTECH CORP DE 2.02,9.01 11/09/04 ASSET BACKED SEC CORP FIELDSTONE MORT DE 8.01,9.01 11/09/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 11/09/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 11/09/04 ATMEL CORP DE 2.02,9.01 10/26/04 AMEND ATMOS ENERGY CORP TX 2.02,9.01 11/09/04 ATRIX LABORATORIES INC DE 2.02,9.01 11/09/04 AUTOMATIC DATA PROCESSING INC DE 5.02 11/09/04 AVNET INC NY 7.01,9.01 11/09/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/05/04 BARRIER THERAPEUTICS INC DE 1.01,9.01 11/04/04 BAY VIEW CAPITAL CORP DE 2.02,9.01 11/03/04 BEARINGPOINT INC DE 2.02 11/04/04 AMEND BELDEN CDT INC. DE 2.02,9.01 11/04/04 BELL INDUSTRIES INC /NEW/ CA 2.01,9.01 11/05/04 BERKSHIRE INCOME REALTY INC 2.01,9.01 11/03/04 BEVERLY ENTERPRISES INC DE 2.02,9.01 11/03/04 BIOSPHERE MEDICAL INC DE 1.01,5.02,9.01 11/02/04 BLACKBOARD INC DE 2.02 11/09/04 BLOCK COMMUNICATIONS INC OH 7.01,9.01 11/09/04 BMC INDUSTRIES INC/MN/ MN 5.02,7.01 11/02/04 BOOTS & COOTS INTERNATIONAL WELL CONT DE 2.02,9.01 11/09/04 BRIGGS & STRATTON CORP WI 7.01 11/08/04 BRODER BROS CO MI 2.02,9.01 11/09/04 BRUKER BIOSCIENCES CORP DE 5.02,9.01 11/03/04 BUILD A BEAR WORKSHOP INC DE 2.02,9.01 11/09/04 CALLIDUS SOFTWARE INC 1.01,9.01 11/05/04 CALLON PETROLEUM CO DE 2.02,9.01 11/08/04 CAPITAL AUTOMOTIVE REIT MD 8.01,9.01 03/26/04 AMEND CAPITAL LEASE FUNDING INC 2.02,7.01,9.01 11/09/04 CAPITAL ONE AUTO FINANCE TRUST 2004-A DE 8.01,9.01 11/09/04 Capital One Auto Finance Trust 2004-B DE 8.01,9.01 11/09/04 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 11/08/04 CAPITAL ONE MASTER TRUST NY 8.01,9.01 11/08/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE 8.01,9.01 11/08/04 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE 8.01,9.01 11/09/04 Capital One Prime Auto Receivables Tr DE 8.01,9.01 11/09/04 CAPITAL TRUST INC MD 2.02,9.01 11/03/04 CATALINA MARKETING CORP/DE DE 2.02,9.01 11/04/04 CCC INFORMATION SERVICES GROUP INC DE 5.02,9.01 11/05/04 CELL THERAPEUTICS INC WA 2.02,9.01 11/09/04 CENTENE CORP 1.01,8.01,9.01 11/08/04 CENTERPOINT ENERGY INC 8.01,9.01 11/08/04 CENTERPOINT ENERGY INC 2.02,9.01 11/09/04 CENTRAL FREIGHT LINES INC NV 2.02,9.01 11/05/04 CENTRAL HUDSON GAS & ELECTRIC CORP NY 8.01,9.01 11/09/04 CERIDIAN CORP /DE/ DE 1.01 11/09/04 CERUS CORP DE 2.02,9.01 11/09/04 CHASE FUNDING INC NY 8.01,9.01 11/08/04 CHASE FUNDING INC NY 8.01,9.01 10/25/04 CHASE MORTGAGE FINANCE CORP DE 8.01,9.01 10/25/04 CHENIERE ENERGY INC DE 1.01,9.01 11/08/04 CHENIERE ENERGY INC DE 1.01,9.01 11/09/04 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 11/05/04 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 11/09/04 CISCO SYSTEMS INC CA 2.02 11/09/04 CITGO PETROLEUM CORP DE 8.01 11/09/04 CITIBANK SOUTH DAKOTA N A DE 8.01 09/27/04 CITIZENS FINANCIAL CORP /KY/ KY 2.02,9.01 09/30/04 CMS ENERGY CORP MI 8.01,9.01 11/09/04 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 11/08/04 COASTAL BANKING CO INC SC 2.02,9.01 11/08/04 COLLEGIATE PACIFIC INC DE 2.02,7.01 11/09/04 COLLINS & AIKMAN CORP DE 2.02,9.01 11/09/04 COMMERCIAL CAPITAL BANCORP INC NV 8.01,9.01 11/09/04 COMPEX TECHNOLOGIES INC MN 2.02,9.01 11/09/04 COMPUTER SCIENCES CORP NV 2.02 10/01/04 COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 11/09/04 AMEND COMSYS IT PARTNERS INC DE 7.01,9.01 11/09/04 CONAGRA FOODS INC /DE/ DE 5.02,9.01 11/09/04 CONCENTRA OPERATING CORP NV 2.02,9.01 11/08/04 CONGOLEUM CORP DE 7.01,8.01,9.01 11/08/04 COOPER CAMERON CORP DE 7.01 11/08/04 Copano Energy, L.L.C. DE 7.01,9.01 11/09/04 CORNELL COMPANIES INC DE 2.02 11/09/04 CORNERSTONE REALTY INCOME TRUST INC VA 2.02,9.01 11/09/04 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 11/09/04 COUSINS PROPERTIES INC GA 8.01,9.01 11/09/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 11/09/04 CREE INC NC 1.01,5.02 11/03/04 CRIIMI MAE INC MD 2.02,8.01,9.01 11/08/04 CURON MEDICAL INC DE 2.02,9.01 11/09/04 CV THERAPEUTICS INC DE 8.01,9.01 07/03/03 CYPRESS BIOSCIENCE INC DE 2.02,9.01 11/09/04 CYTRX CORP DE 2.02,9.01 11/09/04 DAOU SYSTEMS INC DE 2.02,9.01 11/09/04 DARK DYNAMITE, INC NV 8.01,9.01 11/08/04 DARLING INTERNATIONAL INC DE 2.02,9.01 10/02/04 DELTA FINANCIAL CORP DE 2.02,9.01 09/30/04 DELTA MUTUAL INC 2.03,3.02 11/02/04 DEX MEDIA EAST LLC DE 7.01 11/09/04 DEX MEDIA EAST LLC DE 2.02,9.01 11/09/04 DEX MEDIA INC DE 2.02,9.01 11/09/04 DEX MEDIA INC DE 7.01 11/09/04 DEX MEDIA WEST LLC DE 7.01 11/09/04 DEX MEDIA WEST LLC DE 2.02,9.01 11/09/04 DHB INDUSTRIES INC DE 2.02,9.01 11/09/04 DIGITAL GENERATION SYSTEMS INC DE 7.01,9.01 11/05/04 DIMON INC VA 2.02,9.01 11/09/04 DIVERSA CORP DE 5.02,9.01 11/04/04 DOMINION HOMES INC OH 2.02,7.01,9.01 11/08/04 DOV PHARMACEUTICAL INC DE 2.02,9.01 11/08/04 DRAGON INTERNATIONAL GROUP CORP. NV 3.02,4.01,9.01 10/20/04 E LOAN INC DE 2.02,4.02,9.01 11/03/04 EAGLE BROADBAND INC TX 5.02 11/01/04 ECHOSTAR COMMUNICATIONS CORP NV 8.01,9.01 11/09/04 EDELBROCK CORP DE 2.02,9.01 11/09/04 ELOYALTY CORP DE 2.02,9.01 11/09/04 ENDOCARE INC DE 2.02,9.01 11/09/04 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/09/04 ENERGY CONVERSION DEVICES INC DE 2.02 09/30/04 EOG RESOURCES INC DE 5.04,9.01 11/08/04 EPIMMUNE INC DE 2.02,9.01 11/09/04 ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 11/08/04 EURONET WORLDWIDE INC DE 9.01 11/08/04 EURONET WORLDWIDE INC DE 1.01,8.01 11/03/04 EXPLORATION CO OF DELAWARE INC DE 2.02,8.01,9.01 11/04/04 EXPRESSJET HOLDINGS INC DE 7.01 11/08/04 EXTENDED SYSTEMS INC DE 2.02,9.01 11/03/04 EXTENDICARE HEALTH SERVICES INC DE 1.01,9.01 11/04/04 FARMERS & MERCHANTS BANCORP DE 2.02 09/30/04 FIDELITY BANCORP INC PA 2.02,9.01 11/09/04 FIRST AVENUE NETWORKS INC DE 1.01,3.02,8.01,9.01 11/08/04 FIRST FEDERAL BANCSHARES INC /DE DE 2.02,9.01 11/09/04 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 09/30/04 FIRST NATIONAL CORP /VA/ VA 8.01,9.01 11/05/04 FIRST PACTRUST BANCORP INC MD 2.02,9.01 11/09/04 FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 11/09/04 FLATBUSH FEDERAL BANCORP INC 2.02,9.01 11/09/04 FMC TECHNOLOGIES INC 7.01,9.01 11/09/04 FNB BANCORP/CA/ 1.01,9.01 11/05/04 FONAR CORP DE 2.02 09/30/04 FONIX CORP DE 3.02 11/09/04 FORMFACTOR INC DE 5.02 11/09/04 FOSSIL INC DE 2.02,9.01 11/09/04 FOUNDRY NETWORKS INC DE 2.02,9.01 11/09/04 FRANKLIN CAPITAL CORP DE 1.01,3.02,7.01,9.01 11/03/04 FTS APPAREL INC CO 4.01 11/02/04 GALAXY MINERALS INC FL 5.02 10/29/04 GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 11/08/04 GEMSTAR TV GUIDE INTERNATIONAL INC DE 2.02 11/09/04 GENAERA CORP DE 8.01,9.01 11/08/04 GENAISSANCE PHARMACEUTICALS INC DE 1.01,2.02,2.04,8.01,9.01 11/08/04 GENTA INC DE/ DE 1.02,2.02,8.01 11/08/04 GENTEK INC DE 7.01,9.01 11/09/04 GLOBAL WIRELESS SATELLITE NETWORKS US DE 4.01 10/25/04 AMEND GMX RESOURCES INC OK 8.01 11/08/04 GOLDEN HAND RESOURCES INC WA 1.01,3.02,5.02,8.01,9.01 11/04/04 GOLDEN PATRIOT CORP NV 8.01 11/05/04 AMEND GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 11/09/04 AMEND GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/09/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/09/04 GREG MANNING AUCTIONS INC NY 2.02,9.01 11/04/04 GVI SECURITY SOLUTIONS INC DE 1.01,2.02,3.02,9.01 11/05/04 HAIGHTS CROSS COMMUNICATIONS INC DE 2.02,9.01 11/09/04 HANCOCK JOHN LIFE INSURANCE CO MA 8.01,9.01 11/08/04 HANMI FINANCIAL CORP DE 7.01,9.01 11/09/04 HANMI FINANCIAL CORP DE 5.02,9.01 11/04/04 HARBOR FLORIDA BANCSHARES INC DE 8.01 11/08/04 HARRIS INTERACTIVE INC DE 2.01,9.01 09/08/04 AMEND HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/04/04 HASTINGS ENTERTAINMENT INC TX 2.03 11/09/04 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 11/08/04 HEALTHTRAC INC 5.02 11/07/04 HEARUSA INC DE 2.02 11/09/04 HEWITT ASSOCIATES INC DE 2.02,9.01 11/05/04 HOLLIS EDEN PHARMACEUTICALS INC /DE/ DE 2.02,9.01 11/09/04 HOME PROPERTIES INC MD 2.02,9.01 11/05/04 AMEND HORIZON OFFSHORE INC DE 1.01,2.02,9.01 11/08/04 HOSPIRA INC DE 2.02,9.01 11/09/04 HUMANA TRANS SERVICES HOLDING CORP DE 7.01,9.01 10/31/04 AMEND Huron Consulting Group Inc. DE 2.02 11/09/04 Icoria, Inc. DE 2.02,5.02,7.01,9.01 11/08/04 IMPAX LABORATORIES INC DE 2.02,4.02,9.01 11/09/04 INCENTRA SOLUTIONS, INC. NV 4.01,9.01 11/05/04 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 11/08/04 INDUSTRIES INTERNATIONAL INC NV 8.01 11/09/04 INFINIUM LABS INC DE 4.01,9.01 01/05/04 INFINIUM LABS INC DE 9.01 01/05/04 AMEND INFONET SERVICES CORP 1.01,8.01,9.01 11/09/04 INNOVEX INC MN 2.02,9.01 11/08/04 INSMED INC VA 2.02 11/08/04 INTEGRATED DATA CORP DE 8.01 11/09/04 INTERDIGITAL COMMUNICATIONS CORP PA 2.02,9.01 11/09/04 INTERNATIONAL PAPER CO /NEW/ NY 8.01,9.01 11/09/04 INTERNATIONAL SURFACING INC DE 4.01,9.01 11/09/04 AMEND INTERNATIONAL SURFACING INC DE 4.01,9.01 11/09/04 AMEND INTERNATIONAL SURFACING INC DE 5.01,9.01 11/09/04 AMEND INTEVAC INC CA 7.01,9.01 11/09/04 INVITROGEN CORP DE 8.01,9.01 11/09/04 ISTAR FINANCIAL INC MD 5.02,9.01 11/09/04 ITLA CAPITAL CORP CA 2.02 11/03/04 JAMDAT MOBILE INC 2.02,9.01 11/08/04 JED OIL INC. 2.02,9.01 11/09/04 K TRONIK INTERNATIONAL CORP 8.01 11/05/04 K&F INDUSTRIES INC DE 8.01,9.01 11/08/04 KAMAN CORP CT 2.02,9.01 09/30/04 KANSAS CITY LIFE INSURANCE CO MO 8.01,9.01 11/08/04 KANSAS CITY SOUTHERN DE 5.02,9.01 11/09/04 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA 2.02,9.01 11/09/04 KINDERCARE LEARNING CENTERS INC /DE DE 1.01,9.01 11/05/04 KINDERCARE LEARNING CENTERS INC /DE DE 1.01,9.01 11/05/03 KRAMONT REALTY TRUST MD 2.02,9.01 11/04/04 KRONOS WORLDWIDE INC 2.02,7.01,9.01 11/08/04 LABONE INC/ MO 2.02 11/08/04 LAM RESEARCH CORP DE 5.02,9.01 11/03/04 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 11/09/04 LANTRONIX INC DE 2.02,9.01 11/08/04 LARGE SCALE BIOLOGY CORP DE 2.02,9.01 11/03/04 LB-UBS Commercial Mortgage Trust 2004 1.01,9.01 11/03/04 LEATHER FACTORY INC DE 2.02,9.01 11/02/04 LEGGETT & PLATT INC MO 1.01,9.01 11/04/04 LENNOX INTERNATIONAL INC DE 2.02,9.01 11/09/04 LEUCADIA NATIONAL CORP NY 8.01,9.01 11/09/04 LIBERTY MEDIA CORP /DE/ DE 2.02 11/09/04 LIGAND PHARMACEUTICALS INC DE 2.02,9.01 09/30/04 LIONS GATE ENTERTAINMENT CORP /CN/ 2.02,9.01 11/09/04 LIPID SCIENCES INC/ AZ 2.02 11/09/04 LITTELFUSE INC /DE DE 5.02,9.01 11/05/04 Logistical Support, Inc UT 1.01,1.02,9.01 11/03/04 LUMINENT MORTGAGE CAPITAL INC 2.02,9.01 11/09/04 MADISON GAS & ELECTRIC CO WI 2.02,9.01 11/09/04 MAGNUM HUNTER RESOURCES INC NV 2.02 11/09/04 MAINE & MARITIMES CORP 2.02,9.01 09/30/04 MAJOR AUTOMOTIVE COMPANIES INC NV 3.01,9.01 11/08/04 MARKWEST HYDROCARBON INC DE 2.02,9.01 11/04/04 MARSH & MCLENNAN COMPANIES INC DE 2.02,9.01 11/09/04 MATERIAL TECHNOLOGIES INC /CA/ DE 2.01 11/08/04 MAXWELL TECHNOLOGIES INC DE 1.01,2.02,9.01 11/05/04 MAY DEPARTMENT STORES CO DE 2.02,9.01 11/09/04 MAYORS JEWELERS INC/DE DE 4.02 11/03/04 MAYTAG CORP DE 7.01,9.01 11/09/04 MBNA CORP MD 8.01 11/09/04 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 11/09/04 MCLEODUSA INC DE 2.02,9.01 11/09/04 MEDIA & ENTERTAINMENT COM INC NV 5.02,9.01 11/05/04 MEDIALINK WORLDWIDE INC DE 1.01,2.03,3.02,8.01,9.01 11/08/04 MEDIS TECHNOLOGIES LTD DE 2.02,9.01 11/09/04 MERRILL LYNCH DEPOSITOR INC PREFERRED NY 8.01,9.01 11/01/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 11/05/04 METROCALL HOLDINGS INC DE 8.01,9.01 11/08/04 METROCALL HOLDINGS INC DE 8.01,9.01 11/09/04 METROCORP BANCSHARES INC 7.01,9.01 11/09/04 MGE ENERGY INC WI 2.02,9.01 11/09/04 MGP INGREDIENTS INC KS 2.02,7.01,9.01 11/08/04 MICRO THERAPEUTICS INC DE 2.02,9.01 11/04/04 MIDWAY GAMES INC DE 2.02,9.01 11/08/04 MILLENNIUM CHEMICALS INC DE 2.02,9.01 11/09/04 MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 11/09/04 MILLS CORP DE 2.02,9.01 09/30/04 MISSION RESOURCES CORP DE 2.02 11/09/04 Morgan Stanley Capital I Trust Series DE 8.01,9.01 07/12/04 Morgan Stanley Capital I Trust Series DE 8.01,9.01 07/20/04 Morgan Stanley Capital I Trust Series DE 8.01,9.01 07/21/04 MORRIS PUBLISHING GROUP LLC GA 2.02,9.01 11/09/04 MortgageIT Holdings, Inc. MD 2.02,9.01 11/09/04 MUTUALFIRST FINANCIAL INC MD 1.01,1.02,5.02,9.01 11/05/04 MYRIAD GENETICS INC DE 2.02,9.01 11/09/04 NANOGEN INC DE 2.02,9.01 11/03/04 NATURADE INC DE 1.01,2.01,7.01,9.01 11/02/04 NATUS MEDICAL INC DE 2.02,9.01 11/09/04 NCI BUILDING SYSTEMS INC DE 2.02,9.01 11/08/04 NCI BUILDING SYSTEMS INC DE 7.01,9.01 11/08/04 NDCHEALTH CORP DE 7.01,9.01 11/09/04 Neenah Paper Inc DE 7.01 11/09/04 NEIGHBORCARE INC PA 7.01,9.01 11/09/04 NEOSE TECHNOLOGIES INC DE 1.01,9.01 11/09/04 NETSOL TECHNOLOGIES INC NV 2.02 11/09/04 NEW FRONTIER MEDIA INC CO 2.02,9.01 11/09/04 NEW MEDIA INC DE 2.01 11/08/04 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 11/05/04 NEWELL RUBBERMAID INC DE 5.02 11/03/04 NEXMED INC NV 2.02,9.01 11/09/04 NEXMED INC NV 8.01 11/09/04 NL INDUSTRIES INC NJ 2.02,7.01,9.01 11/08/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 11/09/04 NOVEN PHARMACEUTICALS INC DE 2.02,9.01 11/09/04 NRG ENERGY INC DE 2.02,9.01 11/09/04 NUMEREX CORP /PA/ PA 2.02 11/09/04 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 11/09/04 OCULAR SCIENCES INC /DE/ DE 2.02,9.01 11/08/04 ODYSSEY HEALTHCARE INC DE 1.01 11/01/04 AMEND OMEGA HEALTHCARE INVESTORS INC MD 1.01,2.03,9.01 11/09/04 ON THE GO HEALTHCARE INC DE 4.01 11/04/04 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 11/08/04 ORLEANS HOMEBUILDERS INC DE 2.02,9.01 11/08/04 ORTHOLOGIC CORP DE 2.02,9.01 11/09/04 OSTEOTECH INC DE 8.01 11/09/04 OVERSEAS SHIPHOLDING GROUP INC DE 8.01,9.01 11/08/04 P COM INC DE 1.01,9.01 11/03/04 PAINCARE HOLDINGS INC CT 2.02,9.01 11/09/04 PALMETTO BANCSHARES INC SC 2.02,9.01 11/05/04 Park Place Securities, Inc., Asset-Ba DE 2.01,9.01 10/07/04 PARTY CITY CORP DE 2.02,9.01 11/09/04 PEOPLES BANCTRUST CO INC AL 2.02,9.01 11/09/04 PEPCO HOLDINGS INC DE 2.02,9.01 11/08/04 PINNACLE BANCSHARES INC AL 2.02,9.01 11/08/04 PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 11/08/04 PLATINUM UNDERWRITERS HOLDINGS LTD D0 1.01,9.01 11/05/04 POLYMEDICA CORP MA 1.01,8.01,9.01 11/03/04 PORTAL SOFTWARE INC DE 1.01,5.02,9.01 11/03/04 PPT VISION INC MN 3.01 11/02/04 PROASSURANCE CORP DE 2.02,9.01 11/09/04 PROCENTURY CORP 2.02,9.01 11/08/04 PRODUCTIVITY TECHNOLOGIES CORP / DE 4.01 11/08/04 PROFILE TECHNOLOGIES INC DE 4.01,9.01 11/04/04 PROVIDENCE SERVICE CORP DE 4.01,9.01 10/18/04 AMEND PROVIDENT FINANCIAL HOLDINGS INC DE 5.02,9.01 11/08/04 PROXYMED INC /FT LAUDERDALE/ FL 2.02,9.01 11/05/04 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 11/09/04 PURADYN FILTER TECHNOLOGIES INC DE 5.02 11/08/04 QUADRAMED CORP DE 2.02,8.01,9.01 11/03/04 QUALITY DISTRIBUTION INC FL 1.01,5.02,9.01 11/03/04 QUALITY SYSTEMS INC CA 8.01,9.01 11/09/04 QUOVADX INC DE 2.02,9.01 11/09/04 R&G FINANCIAL CORP PR 7.01,9.01 11/09/04 REGENCY AFFILIATES INC DE 8.01,9.01 11/05/04 REGISTER COM INC DE 4.02 11/08/04 REGISTER COM INC DE 2.02,9.01 11/09/04 RESOLUTION PERFORMANCE PRODUCTS LLC DE 5.02,9.01 11/09/04 RESTORATION HARDWARE INC CA 1.01,9.01 11/04/04 RGC RESOURCES INC VA 1.01,9.01 11/03/04 ROO GROUP INC DE 2.01,9.01 09/15/04 AMEND RUBIOS RESTAURANTS INC DE 5.02,9.01 11/05/04 RUSH ENTERPRISES INC \TX\ TX 1.01,9.01 11/08/04 SALIX PHARMACEUTICALS LTD 2.02,9.01 11/09/04 SALIX PHARMACEUTICALS LTD 8.01,9.01 11/09/04 SANDS REGENT NV 8.01,9.01 11/04/04 SANTARUS INC DE 2.02,9.01 11/09/04 SCANVEC AMIABLE LTD 1.02,5.02 11/05/04 SCHOOL SPECIALTY INC WI 2.02,9.01 11/09/04 SCOTTISH RE GROUP LTD E9 5.02 11/03/04 SCOTTISH RE GROUP LTD E9 2.02,9.01 11/04/04 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/09/04 SENETEK PLC /ENG/ 3.01,8.01,9.01 11/09/04 SHOPPING COM LTD NY 5.02 11/03/04 SHORE BANCSHARES INC MD 2.02,5.02,9.01 11/04/04 SIERRA PACIFIC RESOURCES /NV/ NV 2.02,9.01 11/09/04 SIMMONS FIRST NATIONAL CORP AR 8.01 11/08/04 SIPEX CORP MA 2.02,9.01 11/09/04 SmartPros Ltd. DE 2.02,3.03,9.01 11/09/04 SMTC CORP DE 2.02,4.02,9.01 11/03/04 SOHU COM INC DE 5.02 11/04/04 SOLOMON TECHNOLOGIES INC DE 3.02,9.01 11/05/04 SOUTHWALL TECHNOLOGIES INC /DE/ DE 3.02 11/04/04 SOUTHWEST BANCORP OF TEXAS INC TX 5.02 11/03/04 SOUTHWEST WATER CO DE 2.02,9.01 11/09/04 SRS LABS INC DE 2.02,9.01 11/09/04 STAAR SURGICAL CO DE 2.02,9.01 11/02/04 STEIN MART INC FL 2.02 11/04/04 STEMCELLS INC DE 5.02,9.01 11/08/04 Stereotaxis, Inc. DE 1.01,9.01 11/03/04 STOCKERYALE INC MA 7.01,9.01 11/09/04 STRATAGENE CORP DE 2.02,9.01 11/09/04 STRATEGIC HOTEL CAPITAL INC 2.02,9.01 11/09/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 11/05/04 SUMMIT PROPERTIES INC MD 2.02,9.01 11/09/04 SUMMIT PROPERTIES PARTNERSHIP L P DE 2.02,9.01 11/09/04 SUNTRUST BANKS INC GA 5.02 11/08/04 SUPERCONDUCTIVE COMPONENTS INC OH 1.01,2.03 11/03/04 SUREWEST COMMUNICATIONS CA 2.02,9.01 11/09/04 SWANK, INC. DE 2.02,9.01 09/30/04 SWIFT TRANSPORTATION CO INC NV 1.01,9.01 11/03/04 AMEND SYNIVERSE TECHNOLOGIES INC DE 2.02,9.01 11/03/04 SYSTEMAX INC DE 2.02,9.01 11/09/04 TAITRON COMPONENTS INC CA 2.02 11/08/04 TEAM INC TX 2.01,9.01 08/11/04 AMEND TESORO CORP /NEW/ DE 5.03,7.01,9.01 11/08/04 TETRA TECH INC DE 7.01,9.01 11/09/04 TEXAS UNITED BANCSHARES INC TX 4.01,9.01 11/09/04 THOMAS NELSON INC TN 7.01,8.01 11/09/04 TII NETWORK TECHNOLOGIES INC DE 2.02 09/24/04 TIME WARNER TELECOM INC DE 3.01 11/03/04 TITAN PHARMACEUTICALS INC DE 4.01,9.01 08/31/04 AMEND TLC VISION CORP A6 2.02,9.01 11/08/04 TOLL BROTHERS INC DE 2.02,9.01 11/09/04 TOWN & COUNTRY TRUST MD 5.02,9.01 11/05/04 TRANSKARYOTIC THERAPIES INC DE 2.02,9.01 11/09/04 TRANSMONTAIGNE INC DE 1.01,9.01 11/04/04 TRANSTECHNOLOGY CORP DE 7.01,9.01 11/08/04 TRAVIS BOATS & MOTORS INC TX 1.01,2.04,3.01,8.01,9.01 11/02/04 TRIMEDIA ENTERTAINMENT GROUP INC DE 5.02,9.01 11/04/04 TRIMFAST GROUP INC NV 7.01,8.01,9.01 11/09/04 TRIZETTO GROUP INC DE 5.02,9.01 11/08/04 TRUE RELIGION APPAREL INC NV 2.02,9.01 11/09/04 TRUE TEMPER SPORTS INC 2.02,7.01 11/09/04 TVI CORP MD 2.02,9.01 11/08/04 TYCO INTERNATIONAL LTD /BER/ D0 5.03 11/04/04 UCN INC DE 2.02,9.01 11/08/04 UNITED INDUSTRIAL CORP /DE/ DE 2.02,9.01 11/09/04 UNITEDGLOBALCOM INC DE 2.02,9.01 11/09/04 UQM TECHNOLOGIES INC CO 8.01 11/09/04 URECOATS INDUSTRIES INC DE 2.01,8.01 11/05/04 USAA ACCEPTANCE LLC 8.01,9.01 11/05/04 USEC INC DE 2.02,9.01 11/03/04 VAXGEN INC DE 1.01,8.01,9.01 11/04/04 VAXGEN INC DE 4.01 04/06/04 AMEND VAXGEN INC DE 4.02 07/20/04 AMEND VECTOR GROUP LTD DE 2.02,9.01 11/09/04 VECTREN CORP IN 7.01 11/08/04 VERSO TECHNOLOGIES INC MN 5.02,5.03,9.01 11/03/04 VESTA INSURANCE GROUP INC DE 7.01 11/08/04 VESTA INSURANCE GROUP INC DE 1.01,1.02,9.01 11/03/04 VION PHARMACEUTICALS INC DE 9.01 10/15/04 AMEND VIRBAC CORP DE 8.01,9.01 11/08/04 VIROPRO INC NV 3.02 11/08/04 VITAL LIVING INC AZ 4.01,9.01 11/03/04 VITALSTREAM HOLDINGS INC NV 2.02 09/30/04 VOUGHT AIRCRAFT INDUSTRIES INC 2.02,9.01 11/09/04 WABASH NATIONAL CORP /DE DE 7.01,9.01 11/09/04 WARRANTECH CORP DE 5.02 11/08/04 WARWICK VALLEY TELEPHONE CO NY 8.01 11/09/04 WATERS INSTRUMENTS INC MN 5.02,8.01,9.01 11/04/04 WELLPOINT HEALTH NETWORKS INC /DE/ DE 2.02,9.01 11/08/04 WELLS FARGO & CO/MN DE 8.01,9.01 11/08/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 11/05/04 WESTECH CAPITAL CORP DE 1.01,9.01 09/15/04 WESTERN POWER & EQUIPMENT CORP DE 5.02 11/01/04 WET SEAL INC DE 1.01,9.01 11/03/04 WHEELING PITTSBURGH CORP /DE/ DE 2.02,9.01 09/08/04 WILLIAMS COMPANIES INC DE 1.01,9.01 11/04/04 WILLIS GROUP HOLDINGS LTD D0 8.01,9.01 11/09/04 WILSON GREATBATCH TECHNOLOGIES INC DE 2.02,9.01 11/09/04 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 11/05/04 WORLD WRESTLING ENTERTAINMENTINC DE 8.01,9.01 10/29/04 WRC MEDIA INC DE 7.01,9.01 11/09/04 WYNDHAM INTERNATIONAL INC DE 2.02 11/09/04 WYNN RESORTS LTD 8.01,9.01 11/08/04 WYNN RESORTS LTD 1.01,8.01,9.01 11/08/04 YDI WIRELESS INC DE 2.02,9.01 11/09/04 YP CORP NV 1.01,1.02 11/04/04 ZYMOGENETICS INC WA 2.02,9.01 11/04/04