SEC NEWS DIGEST Issue 2005-10 January 14, 2005 INVESTMENT COMPANY ACT RELEASES WACHOVIA CORPORATION, ET AL. The Commission has issued a temporary order to Wachovia Corporation et al. under Section 9(c) of the Investment Company Act (Act) with respect to an order issued by the U.S. District Court for the District of Columbia on or about November 12, 2004. The temporary order exempts applicants and companies of which Wachovia Corporation is or becomes an affiliated person from the provisions of Section 9(a) of the Act, from January 12, 2005 until the Commission takes final action on the application for a permanent order. The Commission has also issued a notice giving interested persons until February 7, 2005 to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-26723 – January 12) HOLDING COMPANY ACT RELEASES KEYSPAN CORP. An order has been issued authorizing a proposal by KeySpan Corp., a registered holding company, to maintain certain guarantees in support of certain of its nonutility subsidiaries after their divestiture and reserving jurisdiction. (35-27936; January 7, 2005). SELF REGULATORY ORGANIZATIONS NOTICE OF FILING OF THE SEVENTH SUBSTANTIVE AMENDMENT TO THE SECOND RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN AND THE FIFTH SUBSTANTIVE AMENDMENT TO THE RESTATED CONSOLIDATED QUOTATION PLAN On December 3, 2004, pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934, the Consolidated Tape Association submitted amendments to the CTA and Consolidated Quotation Plans (collectively the “Plans”) (File No. SR-CTA/CQ-2004-01) to modify the procedures pursuant to which a new national securities exchange or new national securities association may join the Plans as a new Participant. Publication of the proposed amendments is expected to be made in the Federal Register during the week of January 17. (Rel. 34-51012) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Municipal Securities Rulemaking Board (“MSRB”) relating to an Interpretive Reminder Notice Regarding Rule G-17, on Disclosure of Material Facts – Disclosure of Original Issue Discount Bonds (SR-MSRB-2005-01) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of January 17. (Rel. 34-51020) A proposed rule change (SR-Phlx-2004-94) filed by the Philadelphia Stock Exchange to increase the firm-related equity option and index option fee cap 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 January 17. (Rel. 34-51024) A proposed rule change (SR-NASD-2005-01) filed by The National Association of Securities Dealers, Inc., Relating to Changes to Rule 3360, on Short Interest Reproting, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposed rule change is expected to be made in the Federal Register during the week of January 17, 2005. (Rel. 34-51025) A proposed rule change filed with the Commission by the Chicago Board Options Exchange, Inc., relating to fees for transactions in options on the Standard & Poor’s Depositary Receipts® (SR-CBOE-2005-07) has become immediately 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 January 17. (Rel. 34-51027) 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: . F-8 HYDROGENICS CORP, 5985 MCLAUGHLIN ROAD, -, MISSISSAUGA L5R 1B8, A6, 00000, 9053613638 - 0 ($89,447,748.52) Equity, (File 333-122001 - Jan. 13) (BR. 36) F-6 Hurray! Holding Co., Ltd., ROOM 305-306, CHINA RESOURCES BUILDING, 8 JIAN GUO MEN BEI ST,DONGCHENG DISTRICT, BEIJING, F4, 100005, 86-10-6518-8989 - 100,000,000 ($5,000,000.00) Equity, (File 333-122004 - Jan. 13) (BR. ) SB-2 Thrifty Printing Inc., 3702 SOUTH VIRGINIA STREET, #G12-401, RENO, NV, 89502, 604-537-1608 - 1,537,500 ($30,750.00) Equity, (File 333-122005 - Jan. 13) (BR. ) SB-2 PROTOCALL TECHNOLOGIES INC, 47 MALL DRIVE, COMMACK, NY, 11725, 6315433655 - 24,346,710 ($60,866,775.00) Equity, (File 333-122007 - Jan. 13) (BR. 08) F-1 DryShips Inc., 80 KIFISSIAS AVENUE, AMAROUSSION, J3, 15125, 011-30-210-809-0570 - 0 ($146,970,000.00) Equity, (File 333-122008 - Jan. 13) (BR. 05) S-8 MARMION INDUSTRIES CORP, 9103 EMMOTT RD, BUILDING 6 SUITE A, HOUSTON, TX, 77040, 7134666585 - 0 ($750,000.00) Equity, (File 333-122015 - Jan. 13) (BR. 02) S-8 CORGENTECH INC, 650 GATEWAY BOULEVARD, --, SOUTH SAN FRANCISCO, CA, 94080, 6506249600 - 0 ($16,172,319.00) Equity, (File 333-122016 - Jan. 13) (BR. 01) S-8 HILTON HOTELS CORP, 9336 CIVIC CTR DR, BEVERLY HILLS, CA, 90210, 3102784321 - 0 ($50,000,000.00) Other, (File 333-122019 - Jan. 13) (BR. 08) S-3 MICROFINANCIAL INC, 10 M COMMERCE WAY, WOBURN, MA, 01801, 7819944800 - 0 ($1,752,825.25) Equity, (File 333-122020 - Jan. 13) (BR. 07) S-8 CARDIOGENESIS CORP /CA, 4085482100 - 0 ($1,014,000.00) Equity, (File 333-122021 - Jan. 13) (BR. 36) N-2 TORTOISE NORTH AMERICAN ENERGY CORP, 10801 MASTIN BOULEVARD, SUITE 222, OVERLAND PARK, KS, 66210, 913-981-1020 - 200,000 ($5,000,000.00) Equity, (File 333-122022 - Jan. 13) (BR. 22) S-8 NTN COMMUNICATIONS INC, 5966 LA PLACE CT, STE 100, CARLSBAD, CA, 92008, 6194387400 - 2,577,000 ($8,169,090.00) Equity, (File 333-122024 - Jan. 13) (BR. 37) S-8 Novelis Inc., 3399 PEACHTREE ROAD NE, SUITE 1500, ATLANTA, GA, 30326, 404-814-4210 - 5,015,851 ($113,609,025.15) Equity, (File 333-122025 - Jan. 13) (BR. 06) S-3 CORTEX PHARMACEUTICALS INC/DE/, 15241 BARRANCA PKWY, IRVINE, CA, 92718, 7147273157 - 6,562,288 ($17,324,440.00) Equity, (File 333-122026 - Jan. 13) (BR. 01) S-8 ARTISTDIRECT INC, 10900 WILSHIRE BLVD, SUITE 1400, LOS ANGELES, CA, 90024, 3236344000 - 0 ($420,764.68) Equity, (File 333-122027 - Jan. 13) (BR. 08) S-8 Novelis Inc., 3399 PEACHTREE ROAD NE, SUITE 1500, ATLANTA, GA, 30326, 404-814-4210 - 525,000 ($11,985,750.00) Equity, (File 333-122028 - Jan. 13) (BR. 06) F-1 SHANDA INTERACTIVE ENTERTAINMENT LTD, 275,000,000 ($275,000,000.00) Equity, (File 333-122029 - Jan. 13) (BR. 08) S-1 IBuyDigital.com, Inc., 252 CONOVER STREET, BROOKLYN, NY, 11231, 415-248-5600 - 0 ($41,400,000.00) Equity, (File 333-122030 - Jan. 13) (BR. ) S-3 CENTRAL GARDEN & PET CO, 1340 TREAT BOULEVARD, SUITE 600, WALNUT CREEK, CA, 94597, 9259484000 - 0 ($300,000,000.00) Other, (File 333-122031 - Jan. 13) (BR. 02) S-4 SOLECTRON CORP, 777 GIBRALTAR DR, MILPITAS, CA, 95035, 4089578500 - 0 ($450,000,000.00) Other, (File 333-122032 - Jan. 13) (BR. 36) S-1 REPUBLIC AIRWAYS HOLDINGS INC, 8909 PURDUE ROAD, SUITE 300, INDIANAPOLIS, IN, 46268, 317-484-6000 - 0 ($77,912,500.00) Equity, (File 333-122033 - Jan. 13) (BR. 05) S-8 IVILLAGE INC, 2126040963 - 471,400 ($2,959,147.12) Equity, (File 333-122034 - Jan. 13) (BR. 05) S-8 PHARMACYCLICS INC, PHARMACYCLICS INC, 995 E ARQUES AVE, SUNNYVALE, CA, 94085-4521, 408 774 0330 - 0 ($57,658,276.20) Equity, (File 333-122035 - Jan. 13) (BR. 01) S-8 IVILLAGE INC, 2126040963 - 500,000 ($861,318.92) Equity, (File 333-122036 - Jan. 13) (BR. 05) S-3 APEX SILVER MINES LTD, CALEDONIAN HOUSE MARY STREET, GEORGETOWN BWI, GRAND CAYMAN ISLAND, 3038395060 - 0 ($139,987,000.00) Debt Convertible into Equity, (File 333-122037 - Jan. 13) (BR. 04) SB-2 HEARTLAND OIL & GAS CORP, 604.693.0177 - 4,411,765 ($6,088,235.70) Equity, (File 333-122038 - Jan. 13) (BR. 04) 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 1ST STATE BANCORP INC VA 4.01,9.01 01/07/05 AAMES INVESTMENT CORP MD 1.01 01/07/05 AASTROM BIOSCIENCES INC MI 3.02,9.01 01/10/05 ACR GROUP INC TX 2.02,9.01 01/12/05 ACTION PRODUCTS INTERNATIONAL INC FL 2.02,9.01 01/12/05 ADAM INC GA 5.02 01/07/05 ADAMS GOLF INC DE 1.01 01/13/05 ADOBE SYSTEMS INC DE 1.01,9.01 11/10/03 ADVANCED MEDICAL OPTICS INC DE 1.01,9.01 01/07/05 ADVANCED NUTRACEUTICALS INC/TX TX 9.01 01/13/05 ADVANCED POWER TECHNOLOGY INC 2.02,7.01 01/10/05 AEP INDUSTRIES INC DE 2.02,9.01 01/12/05 AEP INDUSTRIES INC DE 1.01 01/07/05 AIRPLANES LTD DE 8.01 01/13/05 ALBANY INTERNATIONAL CORP /DE/ DE 1.01 01/12/04 ALKERMES INC PA 1.01 01/10/05 American Community Bancorp, Inc. IN 5.02,9.01 01/07/04 AMERICAN LEISURE HOLDINGS INC NV 1.01,2.03,9.01 11/15/04 AMERICAN LEISURE HOLDINGS INC NV 1.01,2.01,3.03,9.01 12/30/04 AMEND AMERICAN PHARMACEUTICAL PARTNERS INC DE 8.01,9.01 01/07/05 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 01/12/05 ANADARKO PETROLEUM CORP DE 8.01 12/30/04 ANGELICA CORP /NEW/ MO 7.01,9.01 01/13/05 ANNUITY & LIFE RE (HOLDINGS), LTD. D0 8.01 01/10/05 APEX SILVER MINES LTD 1.01 01/07/05 APEX SILVER MINES LTD 4.02 01/11/05 APOLLO GOLD CORP 3.02,9.01 01/13/05 APROPOS TECHNOLOGY INC 5.02,9.01 01/13/05 ARENA PHARMACEUTICALS INC DE 8.01 01/13/05 ARGENTEX MINING CORP NV 1.01,2.03,3.02,9.01 01/07/05 ARK RESTAURANTS CORP NY 8.01 01/12/05 ASBURY AUTOMOTIVE GROUP INC DE 5.02 01/10/05 ASSURANT INC 1.01,1.02,9.01 01/13/05 ASTRO MED INC /NEW/ RI 7.01,9.01 01/13/05 ATHEROGENICS INC GA 1.01,2.03,8.01,9.01 01/12/05 BADGER PAPER MILLS INC WI 1.01,5.02,9.01 01/13/05 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 01/12/05 BARRIER THERAPEUTICS INC DE 7.01,9.01 01/12/05 BellaVista Mortgage Trust 2004-2 DE 9.01 12/17/04 BERKSHIRE HATHAWAY INC DE 2.03,9.01 01/11/05 BIOSPECIFICS TECHNOLOGIES CORP DE 4.01,9.01 01/06/05 BIOVERIS CORP DE 8.01 01/13/05 BIRDS EYE FOODS INC DE 5.02 01/12/05 BSI2000 INC DE 1.01,9.01 01/13/05 BUFFETS HOLDINGS, INC. DE 2.02,9.01 01/13/05 CABELAS INC DE 2.02,7.01,9.01 01/13/05 CALTON INC NJ 2.02,9.01 10/15/04 CAMDEN PROPERTY TRUST TX 7.01,9.01 01/12/05 CANGLOBE INTERNATIONAL INC NV 5.01,5.02 12/17/04 AMEND CARRIAGE SERVICES INC DE 7.01,9.01 01/11/05 CELLEGY PHARMACEUTICALS INC CA 1.01,5.02 01/07/05 CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01 01/10/05 CLARCOR INC DE 2.02,9.01 01/12/05 CLEAN HARBORS INC MA 2.02,9.01 01/13/05 CLINICAL DATA INC DE 8.01 01/13/05 COACH INC MD 2.02,9.01 01/12/04 COLLEGIATE PACIFIC INC DE 7.01,9.01 01/13/05 COMCAM INC DE 3.02,3.03,8.01,9.01 01/10/05 COMMERCE BANCORP INC /NJ/ NJ 2.02,9.01 01/13/05 COMPASS MINERALS INTERNATIONAL INC DE 1.01,9.01 01/12/05 CONCORD CAMERA CORP NJ 1.01 01/07/05 COOPER COMPANIES INC DE 1.01 01/06/05 AMEND COOPER TIRE & RUBBER CO DE 1.01,9.01 01/13/05 COX COMMUNICATIONS INC /DE/ DE 8.01 01/09/05 CREDIT & ASSET REP VEHICLE CORP ALLST DE 8.01,9.01 01/01/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 01/13/05 CREDITRISKMONITOR COM INC NV 8.01,9.01 01/13/05 CREE INC NC 2.02,9.01 01/13/05 CRONOS GROUP N4 8.01 12/13/04 CROWN FINANCIAL GROUP INC NJ 8.01,9.01 01/11/05 CWABS Asset Backed Certificates Trust DE 8.01,9.01 01/08/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 12/30/04 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 01/13/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 12/30/04 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 01/06/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 12/29/04 CWMBS INC DE 8.01,9.01 01/11/05 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,2.05,9.01 01/13/05 DANA CORP VA 7.01,9.01 01/13/05 DATALINK CORP MN 2.02,9.01 01/11/05 DAVE & BUSTERS INC MO 7.01,8.01 01/11/05 DEL MONTE FOODS CO DE 8.01,9.01 01/13/05 DELPHI CORP DE 5.02,9.01 01/07/05 DEUTSCHE RECREATIONAL ASSET FUNDING C NV 8.01,9.01 12/31/04 DIGI INTERNATIONAL INC DE 2.02,9.01 01/13/05 DIGITAL LIGHTWAVE INC DE 8.01,9.01 01/08/05 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 01/13/05 DIVIDEND CAPITAL TRUST INC MD 2.01,9.01 11/03/04 AMEND DOBSON COMMUNICATIONS CORP OK 2.02,9.01 01/11/05 DONALDSON CO INC DE 8.01,9.01 01/13/05 DPAC TECHNOLOGIES CORP CA 2.02,9.01 01/13/05 DURECT CORP DE 8.01,9.01 01/12/05 DUSA PHARMACEUTICALS INC NJ 8.01,9.01 01/13/05 EAGLE MATERIALS INC DE 2.01,2.03,7.01,9.01 01/11/05 EDUCATE INC DE 8.01,9.01 01/13/05 EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 01/13/05 EMERGE INTERACTIVE INC DE 3.02,7.01,9.01 01/12/05 ENCYSIVE PHARMACEUTICALS INC DE 7.01,9.01 01/13/05 ENDOCARE INC DE 7.01,9.01 01/13/05 ENER1 INC FL 8.01,9.01 01/07/05 EPIXTAR CORP FL 2.01,2.03,9.01 01/07/05 EQUINOX HOLDINGS INC DE 1.02,5.02,9.01 01/13/05 EVANS BOB FARMS INC DE 7.01,9.01 01/11/05 EVEREST RE GROUP LTD C8 7.01,9.01 01/13/05 EXPONENT INC DE 2.02,7.01,9.01 01/13/05 FBL FINANCIAL GROUP INC IA 7.01 01/13/05 FC BANC CORP OH 1.02,5.02 01/07/05 FEDERAL SECURITY PROTECTION SERVICES DE 4.01,5.01,9.01 01/13/05 AMEND FINANCE AMERICA MORTGAGE LOAN TRUST 2 DE 8.01,9.01 12/25/04 AMEND FINISAR CORP DE 8.01,9.01 01/13/05 First Franklin Mortgage Loan Trust 20 8.01,9.01 12/30/04 First Franklin Mortgage Loan Trust 20 DE 2.01,9.01 12/29/04 FIRST HEALTH GROUP CORP DE 8.01,9.01 01/13/05 FIRST HORIZON PHARMACEUTICAL CORP DE 2.02,9.01 01/12/05 FIRST NATIONAL BANCSHARES INC/ FL/ FL 2.02,9.01 01/11/05 FIRST NATIONAL LINCOLN CORP /ME/ ME 8.01 01/11/05 FISHER SCIENTIFIC INTERNATIONAL INC DE 2.02,7.01,9.01 01/12/05 FRESH BRANDS INC 5.02 01/11/05 FRESH CHOICE INC DE 5.02 01/07/05 FRIEDMANS INC DE 8.01,9.01 01/12/05 G III APPAREL GROUP LTD /DE/ DE 7.01,9.01 01/10/05 GAMMACAN INTERNATIONAL INC DE 4.02 01/13/05 GENCORP INC OH 8.01,9.01 01/11/05 GENERAL MOTORS ACCEPTANCE CORP DE 8.01,9.01 01/13/05 GENERAL MOTORS CORP DE 8.01 01/13/05 GENETRONICS BIOMEDICAL CORP 1.01,3.02,9.01 01/10/05 GERON CORPORATION DE 8.01,9.01 01/10/05 GLOBAL INNOVATIVE SYSTEMS INC NV 1.01 01/07/05 GLOWPOINT INC DE 8.01,9.01 01/12/05 Google Inc. DE 8.01,9.01 01/13/05 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 12/27/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 01/11/05 GSI COMMERCE INC DE 7.01 01/13/05 GUARANTY FEDERAL BANCSHARES INC DE 2.02,7.01,9.01 12/31/04 GYMBOREE CORP DE 1.01,9.01 01/10/05 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 01/13/05 HARBOR FLORIDA BANCSHARES INC DE 2.02 12/31/04 HarborView Mortgage Loan Trust 2004-1 DE 8.01,9.01 01/13/05 HARMONIC INC DE 2.02,9.01 01/13/05 HARTFORD LIFE INSURANCE CO CT 9.01 01/13/05 HEI INC MN 1.01,9.01 01/12/05 HEICO CORP FL 4.02 01/13/05 HICKORY TECH CORP MN 8.01,9.01 01/12/05 HONEYWELL INTERNATIONAL INC DE 1.01 01/07/05 HUDSON UNITED BANCORP NJ 5.02 12/30/04 AMEND IBASIS INC DE 2.02,9.01 01/13/05 IDAHO GENERAL MINES INC ID 5.02 01/06/05 IEC ELECTRONICS CORP DE 2.03,9.01 01/07/05 IMAGISTICS INTERNATIONAL INC DE 1.01,9.01 01/07/05 INDEPENDENT BANK CORP MI 2.02,7.01,9.01 01/13/05 IndyMac RAST 2004-A8 8.01,9.01 09/29/04 INFOCROSSING INC DE 5.02,9.01 01/07/05 INNKEEPERS USA TRUST/FL MD 8.01,9.01 01/05/05 INNOVEX INC MN 2.02,9.01 01/12/05 INNOVO GROUP INC DE 7.01,9.01 01/13/05 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,9.01 01/07/05 INTERDIGITAL COMMUNICATIONS CORP PA 7.01 01/12/05 IPORUSSIA INC DE 8.01,9.01 01/13/05 IR BIOSCIENCES HOLDINGS INC DE 4.01,9.01 04/21/04 AMEND IVILLAGE INC DE 1.01,2.01,7.01,9.01 01/07/05 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 01/13/05 JMAR TECHNOLOGIES INC DE 1.01,8.01,9.01 01/07/05 JONES SODA CO WA 7.01,9.01 01/12/05 KAISER ALUMINUM & CHEMICAL CORP DE 1.01 01/10/05 KAISER ALUMINUM CORP DE 1.01 01/10/05 KELLWOOD CO DE 7.01 01/12/05 KENTUCKY BANCSHARES INC /KY/ 5.02 01/13/05 AMEND Knockout Holdings, Inc. DE 1.01,3.02,9.01 01/10/05 KNOT INC DE 8.01 01/13/05 KRAFT FOODS INC VA 2.02,9.01 01/10/05 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 01/13/05 LEAR CORP /DE/ DE 7.01,9.01 01/13/05 LECROY CORP DE 7.01,9.01 01/13/05 LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 01/01/05 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 01/01/05 LEVEL 3 COMMUNICATIONS INC DE 2.05,7.01,9.01 01/12/05 LIBERATE TECHNOLOGIES DE 1.01,3.03,9.01 01/09/05 LIFECORE BIOMEDICAL INC MN 1.01 01/07/05 LIFESTREAM TECHNOLOGIES INC NV 8.01,9.01 01/13/05 LIGHTBRIDGE INC DE 1.01,9.01 01/07/05 LIN TV CORP DE 2.02,9.01 01/13/05 LIN TV CORP DE 8.01,9.01 01/13/05 LNR PROPERTY CORP DE 8.01,9.01 01/11/05 LOOKSMART LTD DE 2.02,9.01 01/13/05 LOYALTYPOINT INC DE 1.01,2.03 01/07/05 MARSHALL & ILSLEY CORP/WI/ WI 2.02,9.01 01/13/05 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/29/04 AMEND MASTR ALTERNATIVE LOAN TRUST 2004-11 DE 8.01,9.01 10/28/04 AMEND MDC HOLDINGS INC DE 2.02,7.01,9.01 01/12/05 MEDAREX INC NJ 8.01,9.01 01/13/05 MEDICAL STAFFING SOLUTIONS INC NV 8.01,9.01 01/11/05 MEDWAVE INC DE 2.02,9.01 01/11/05 MELLON BANK N A MA 8.01,9.01 01/11/05 MELLON BANK N A MA 8.01,9.01 01/11/05 MEMORY PHARMACEUTICALS CORP 8.01 01/12/05 MERCK & CO INC NJ 8.01,9.01 01/12/05 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 2.01,9.01 12/29/04 METROPOLITAN HEALTH NETWORKS INC FL 5.02 01/13/05 MGIC INVESTMENT CORP WI 2.02,9.01 01/13/05 MICREL INC CA 5.02 01/11/05 MICRO THERAPEUTICS INC DE 1.01 01/10/05 MIDLAND CO OH 2.02 01/12/05 MODTECH HOLDINGS INC CA 1.01,2.03,3.02,9.01 01/07/05 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 01/12/05 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 01/12/05 AMEND MULTIBAND CORP MN 1.01 01/06/05 NATIONAL PENN BANCSHARES INC PA 8.01,9.01 01/13/05 NATURAL GAS SERVICES GROUP INC 9.01 10/18/04 AMEND NDCHEALTH CORP DE 8.01,9.01 01/13/05 NEOFORMA INC DE 1.01 01/09/05 NEW ALLIED DEVELOPMENT CORP CO 1.01,3.02,5.01,8.01,9.01 11/11/04 NEW CENTURY FINANCIAL CORP MD 1.01,8.01,9.01 01/07/05 NEW WORLD RESTAURANT GROUP INC DE 8.01,9.01 01/13/05 NEWELL RUBBERMAID INC DE 1.01,2.05 01/07/05 NORTEL NETWORKS CORP 5.02 01/13/05 NORTEL NETWORKS LTD 5.02 01/13/05 NSTOR TECHNOLOGIES INC DE 1.01,3.02,9.01 01/13/05 OCCAM NETWORKS INC/DE DE 1.01,3.02,3.03,9.01 01/07/05 OCTEL CORP DE 5.02 01/13/05 OFFICEMAX INC DE 5.02,8.01,9.01 01/11/05 OLD DOMINION ELECTRIC COOPERATIVE VA 1.01,5.02,9.01 01/11/05 OMNICELL INC /CA/ CA 5.02,9.01 01/13/05 ONYX SOFTWARE CORP/WA WA 2.02,9.01 01/13/05 OPEN SOLUTIONS INC DE 9.01 10/29/04 AMEND OPENWAVE SYSTEMS INC DE 8.01,9.01 01/10/05 OPTICARE HEALTH SYSTEMS INC DE 7.01 01/13/05 PARAMCO FINANCIAL GROUP INC NV 4.01 01/10/05 Park Place Securities, Inc., Asset-Ba DE 2.01,8.01,9.01 11/18/04 PARKWAY PROPERTIES INC MD 1.01,9.01 01/10/05 PARKWAY PROPERTIES INC MD 1.01,9.01 01/05/05 AMEND PARLUX FRAGRANCES INC DE 1.01 01/07/05 PC TEL INC DE 2.02,7.01,9.01 01/13/05 PEMSTAR INC MN 2.02,4.02,9.01 01/11/05 PEOPLES FINANCIAL SERVICES CORP/ PA 9.01 01/13/05 PERFECTDATA CORP CA 8.01,9.01 01/10/05 PIERRE FOODS INC NC 5.02 01/11/05 PINNACLE AIRLINES CORP DE 7.01,9.01 01/12/05 PIONEER DRILLING CO TX 2.01,9.01 11/11/04 PIONEER DRILLING CO TX 2.01,9.01 11/30/04 POMEROY IT SOLUTIONS INC DE 8.01,9.01 01/10/05 POPULAR ABS, INC. DE 8.01,9.01 01/11/05 POPULAR ABS, INC. DE 8.01,9.01 01/12/05 POZEN INC /NC 1.01,3.03,5.03,8.01,9.01 01/12/05 PRESIDION CORP FL 2.01 01/13/05 AMEND PUBLIC CO MANAGEMENT CORP NV 8.01,9.01 01/13/05 PVF CAPITAL CORP OH 2.02,8.01,9.01 01/12/05 QEP CO INC DE 2.02,9.01 01/11/05 RADIOSHACK CORP DE 1.01,1.02,2.02,5.02,9.01 01/13/05 RALI Series 2004-QS16 Trust DE 8.01,9.01 01/13/05 RAMBUS INC DE 1.01,3.01,5.02,9.01 01/09/05 RAMP Series 2004-R12 Trust DE 8.01,9.01 01/13/05 RC2 CORP DE 2.02,9.01 01/12/05 REALMARK PROPERTY INVESTORS LIMITED P DE 2.01,9.01 12/30/04 RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 01/12/05 REPUBLIC BANCORP INC MI 2.02 12/31/04 RESIDENTIAL ASSET SECURITIES CORP DE 8.01,9.01 01/13/05 RESOLVE STAFFING INC NV 5.01 01/12/05 RITE AID CORP DE 1.01,2.03,9.01 01/13/05 RUB A DUB SOAP INC CO 4.01,9.01 01/10/05 SAND HILL IT SECURITY ACQUISITION COR CA 5.02,9.01 01/10/05 SCHLOTZSKYS INC TX 2.01,2.05,5.02,5.03,7.01,9.01 01/13/05 SCHUFF INTERNATIONAL INC DE 1.01,9.01 01/12/05 SELECT COMFORT CORP MN 7.01,9.01 01/13/05 Select Notes Trust LT 2004-1 DE 8.01,9.01 01/03/05 Seneca Gaming Corp XX 8.01,9.01 01/01/05 SEQUOIA MORTGAGE FUNDING CORP MD 8.01,9.01 12/30/04 SKYWAY COMMUNICATIONS HOLDING CORP 9.01 01/10/05 SLADES FERRY BANCORP MA 1.01,9.01 01/10/05 SMARTSERV ONLINE INC DE 1.01,2.01,2.03,9.01 01/07/05 SOLECTRON CORP DE 8.01,9.01 01/13/05 SOMANETICS CORP MI 2.02,9.01 01/13/05 SONO TEK CORP NY 2.02 01/13/05 SOUTHWALL TECHNOLOGIES INC /DE/ DE 7.01,9.01 01/13/05 Specialty Underwriting & Residential DE 8.01,9.01 12/29/04 SPORTS AUTHORITY INC /DE/ DE 8.01,9.01 01/12/05 ST JOHN KNITS INTERNATIONAL INC DE 1.01,5.02 01/12/05 STARSOFT INC NV 5.03,9.01 01/10/05 STEPHAN CO FL 8.01 01/11/05 STERLING BANCSHARES INC TX 1.01,9.01 01/07/05 STRIDE RITE CORP MA 2.02 12/03/04 Structured Asset Mortgage Investments DE 9.01 12/30/04 SUN MICROSYSTEMS INC DE 2.02,9.01 01/13/05 SUNRISE TELECOM INC 2.02 01/06/05 SVB FINANCIAL SERVICES INC NJ 1.01,9.01 01/11/05 SYMYX TECHNOLOGIES INC DE 8.01,9.01 01/13/05 SYNDICATION NET COM INC DE 8.01 01/06/05 TB WOODS CORP DE 1.01 01/07/05 TCF FINANCIAL CORP DE 2.02,9.01 01/13/05 TEAM INC TX 8.01,9.01 01/12/05 TECHNICAL OLYMPIC USA INC DE 7.01,9.01 01/12/05 TECO ENERGY INC FL 1.01,2.01,2.05,2.06,9.01 01/07/05 TENNECO AUTOMOTIVE INC DE 1.01,9.01 01/13/05 TEREX CORP DE 4.02,9.01 01/12/05 TETRA TECHNOLOGIES INC DE 2.02,9.01 01/13/05 TIMKEN CO OH 2.02 01/13/05 TODD SHIPYARDS CORP WA 8.01 01/12/05 AMEND TORCH EXECUTIVE SERVICES LTD NV 1.01,7.01,9.01 01/13/05 TORCH OFFSHORE INC DE 2.04,3.01 01/13/05 TRESTLE HOLDINGS INC DE 8.01 01/12/05 TRINITY ENERGY RESOURCES INC 7.01,9.01 12/21/04 TRIPATH IMAGING INC DE 2.02,9.01 01/13/05 U S WIRELESS DATA INC DE 4.01,9.01 01/07/05 UNITED INDUSTRIAL CORP /DE/ DE 8.01,9.01 01/10/05 UNITED REFINING CO PA 8.01,9.01 01/11/05 UNIVERSAL CORP /VA/ VA 1.01,9.01 01/07/05 URS CORP /NEW/ DE 2.02,9.01 01/13/05 URSTADT BIDDLE PROPERTIES INC MD 2.01 01/13/05 VENTANA MEDICAL SYSTEMS INC DE 2.02,9.01 01/13/05 VERISIGN INC/CA DE 1.01 01/10/05 VERISITY LTD 1.01,9.01 01/12/05 VINEYARD NATIONAL BANCORP CA 5.02,9.01 01/13/05 VIRBAC CORP DE 8.01,9.01 01/13/05 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 01/12/05 VIRGINIA FINANCIAL GROUP INC VA 8.01 01/13/05 VIROPHARMA INC DE 7.01 01/13/05 VisualMED Clinical Solutions Corp. NV 7.01,9.01 01/13/05 VITA FOOD PRODUCTS INC NV 1.02,9.01 01/07/05 VSB BANCORP INC NY 2.02,9.01 01/12/05 WACCAMAW BANKSHARES INC NC 8.01 01/12/05 WESCO INTERNATIONAL INC DE 8.01 01/06/05 WEST BANCORPORATION INC IA 8.01,9.01 01/13/05 WESTCOAST HOSPITALITY CORP WA 5.02,9.01 01/10/05 WESTERN WIRELESS CORP WA 1.01,9.01 01/09/05 WESTPOINT STEVENS INC DE 2.05 01/10/05 WINFIELD FINANCIAL GROUP INC NV 8.01,9.01 01/13/05 WMS INDUSTRIES INC /DE/ DE 1.01 01/07/05 XENOMICS INC FL 1.01,3.02,9.01 01/10/05 XOMA LTD /DE/ DE 1.01,9.01 01/12/05 XTO ENERGY INC DE 1.01,3.02,7.01 01/09/05 YANKEE CANDLE CO INC 1.01 01/07/05 YUM BRANDS INC NC 5.02,9.01 01/10/05 ZALE CORP DE 1.01,9.01 01/05/05