SEC NEWS DIGEST Issue 2004-108 June 4, 2004 COMMISSION ANNOUNCEMENTS SEC-CESR SET OUT THE SHAPE OF FUTURE COLLABORATION The United States Securities and Exchange Commission (SEC) and the Committee of European Securities Regulators (CESR) announced today that they intend to increase their co-operation and collaboration. In a press conference held in Amsterdam, SEC Commissioner Roel C. Campos and CESR Chairman Arthur Docters van Leeuwen presented the terms of reference establishing the structure of this enhanced dialogue, and set out the subjects that will dominate the agenda during 2004 and 2005. The goal of increased SEC-CESR co-operation and collaboration follows a visit by CESR's Chairman Arthur Docters van Leeuwen to Washington at the end of 2003, and was proposed by SEC Chairman William H. Donaldson in January 2004 during a visit to Brussels. The dialogue has two primary objectives, namely to - identify emerging risks in the US and the EU securities markets for the purpose of improving our ability to address potential regulatory problems at an early stage; and - engage in early discussion of potential regulatory projects in the interest of facilitating converged, or at least compatible, ways of addressing common issues. The SEC and CESR will also share their experiences regarding enforcement matters in transatlantic and European cross-border cases. As set out in the terms of reference, the dialogue will take place several times per year at both the Chairman's level and at a working level. In setting out the areas of dialogue that will define the agenda for the second half of 2004 and for 2005, the following issues for discussion were identified: * market structure issues (the SEC's review of the US national market structure and the CESR work on the implementation of the new Investment Services Directive); * future mutual fund regulation, including with respect to stale price arbitrage, late trading, and corporate governance; * development of an effective infrastructure to support the use of International Financial Reporting Standards, in particular with respect to consistent application, interpretation and enforcement of these standards with the final objective of avoiding reconciliation with local GAAPs; and * credit rating agencies. Furthermore, given the fast-moving nature of financial services markets, Commissioner Campos and Chairman Docters van Leeuwen were keen to stress that this is an indicative list of issues on which the dialogue will focus, and that it may be revised if new regulatory issues affecting the EU and US markets emerge in the course of the year. Finally, the enhanced SEC-CESR relationship will complement other existing bilateral discussions that the SEC and CESR members already conduct with regulators from around the world. Similarly, it will supplement, rather than replace, the EU/US Financial Markets Dialogue, led by the European Commission and the US Treasury Department. It is also worth noting that the scope of the SEC-CESR enhanced relationship will not include the setting of standards. That task remains the purview of the International Organization of Securities Commissions, in which both the SEC and CESR members continue to participate actively. Commissioner Campos noted that, "In today's markets, it is critical that securities regulators around the world work with each other in order to address the risks facing our markets. By discussing emerging problems at an early stage and working to facilitate convergence of regulatory approaches, the SEC and CESR will be able to protect investors while lowering unnecessary administrative barriers to cross-border business. The enhanced relationship between the SEC and CESR builds upon the strong ties that already exist between the US and Europe, and will help bring the global community of securities regulators even closer together." CESR's Chairman Docters van Leeuwen noted that, "Ensuring the integrity of the markets is a common objective which both binds and drives the work of the SEC and CESR on a day to day basis, encouraging us to forge this deeper dialogue. The final results of this transatlantic dialogue and indeed, the outcome of a deepening and widening of both US and EU markets, cannot be predetermined today, nor I hasten to add should it be. Rather, our dialogue will need to be responsive to the needs and developments of the markets we share. The question will therefore not be whether we laboured hard enough, nor even, if the result was worth the effort, but if the results create quality in a globally integrated market." (Press Rel. 2004-75) ENFORCEMENT PROCEEDINGS IN THE MATTER OF FRANK ZANGARA On June 3, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order). The Commission ordered Frank Zangara barred from association with any broker or dealer, with the right to reapply for association after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Zangara consented to the order, which was based on a permanent injunction entered against him on March 26, 2004, 2004 in SEC v. Smath, et al., by the U.S. District Court for the Eastern District of New York (Civil Action Number No. 99-523). Zangara consented to the injunction without admitting or denying the allegations in the Commission's complaint, which prohibited him from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The injunction arose from his alleged involvement in an insider trading scheme involving trading on the basis of non-public information about the contents of the "Inside Wall Street" column in Business Week magazine. The Commission's complaint in the civil action before the U.S. District Court for the Eastern District had alleged that Zangara engaged in insider trading involving nonpublic advance copies of the "Inside Wall Street" (IWS) column of Business Week magazine. Specifically, the Commission alleged that Zangara and others paid another defendant in exchange for communicating the contents of the IWS columns to them before the columns were made public, and that Zangara traded securities while in possession of the nonpublic information obtained from the IWS columns. The Commission's complaint also alleged that Zangara recommended securities mentioned in the IWS columns to his brokerage customers, while in possession of the nonpublic contents of the IWS columns. (Rel. 34-49805; File No. 3-11508) ORDER APPROVING PLAN OF DISGORGEMENT FUND DISTRIBUTION IN THE MATTER OF NEVIS CAPITAL MANAGEMENT, LLC, DAVID WILMERDING, III, AND JON BAKER An order has been issued approving a plan for the distribution of disgorgement fund monies placed into a Fair Fund, pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002 (Plan), as previously ordered in the Matter of Nevis Capital Management, LLC, (Nevis Capital), David R. Wilmerding, III (Wilmerding), and Jon C. Baker (Baker), and appointing Amy J. Greer, a Senior Trial Counsel in the Philadelphia District Office, Administrator of the Plan pursuant to the terms of the Plan. On Feb. 9, 2004, the Commission found that Respondents Nevis Capital Management, Wilmerding, and Baker violated Sections 206(1), 206(2), and 206(4) of the Investment Company Act of 1940, and Rule 206(4)-(1)(a)(5) thereunder. The Commission censured Nevis Capital, Wilmerding, and Baker for their conduct, and ordered each to cease and desist from committing or causing any violations or future violations of Sections 206(1), 206(2), and 206(4) of the Investment Company Act, and Rule 206(4)-(1)(a)(5) thereunder. In addition, the Commission ordered each Respondent to pay disgorgement and prejudgment interest in the amount of $10,000, ordered Nevis Capital to pay civil penalties in the amount of $1,690,000, and ordered Wilmerding and Baker to pay civil penalties in the amount of $140,000 each. On April 26, 2004, the Commission issued an order approving publication of notice of the proposed Plan, and notice was published. The Commission subsequently approved the Plan on June 4, 2004. The Plan provides that the total distribution fund of $2,000,000, paid by Nevis Capital, Wilmerding, and Baker, be distributed pro rata to clients of Nevis Capital as of Dec. 1, 1998, who were otherwise eligible but were not given the opportunity to participate in IPO investments. (Rel. IA-2246; File No. 3-11201) MICHAEL FARNELL BARRED FROM ASSOCIATION WITH ANY BROKER OR DEALER On June 4, the Commission instituted and simultaneously settled public administrative proceedings against Michael J. Farnell, a resident of Florida. Without admitting or denying the Commission's findings, except as to jurisdiction and the entry of the injunction which were admitted, Farnell consented to the Commission's Order. The Order found that on May 17, 2004, Farnell was permanently enjoined from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, in the district court action Securities and Exchange Commission v. Vector Medical Technologies, Inc., et al., Civil Action Number 03-80858-HURLEY (S.D. Fla.). The complaint in the district court action alleged that Farnell engaged in a fraudulent, unregistered offering of securities in Vector Medical Technologies, Inc. Based on the injunction entered against him, the Commission ordered that Farnell be barred from association with any broker or dealer. (Rel. 34-49808; File No. 3-11510) COMMISSION OBTAINS FROM FEDERAL DISTRICT COURT A FINAL JUDGMENT AGAINST SCOTT ALEXANDER GRYSKIEWICZ The Commission announced today that on May 20, 2004, the U.S. District Court for the Eastern District of New York entered a Final Judgment on Consent Against Defendant Scott Alexander Gryskiewicz and Relief Defendant American Securities, Inc. (American (NJ)). Gryskiewicz, age 33, and a resident of Nutley, New Jersey, consented on his behalf and on behalf of American (NJ) to the Final Judgment, without admitting or denying the allegations of the Commission's complaint, filed on Dec. 15, 1998, which alleged that: 1. Gryskiewicz, from at least May 1998 through December 1998, unlawfully acted as an unregistered broker, directly and through an office that he operated in Lodi, New Jersey. In the course of his unlawful activity as an unregistered broker, Gryskiewicz obtained approximately $70,000 by offering and selling to at least 71 investors unregistered securities in the form of units consisting of common stock and warrants (Units) issued by Pan American Securities, Inc. (Pan American). 2. Gryskiewicz made telephonic "cold calls" and offered and sold the Pan American Units to investors by means of a variety of false and misleading representations, including false claims that: a) Pan American was about to make an initial public offering (IPO); b) the Pan American Units were freely tradable, when they were restricted; and c) the Pan American Units could be sold for a substantial profit after the purported IPO. 3. Gryskiewicz also conducted another fraudulent offering. Between at least October 1998 through December 1998, Gryskiewicz attempted to solicit investments in a purported private placement of unregistered common stock and warrants issued by Freetrade.com, Inc. (Freetrade). In the course of offering Freetrade securities, Gryskiewicz disseminated a private placement memorandum that falsely represented that the offered Freetrade securities are "immediately tradable," when they are, in fact, restricted. The Final Judgment, which incorporates the relief obtained by the Commission in an earlier Partial Judgment on Consent against Gryskiewicz, entered on July 16, 2003, permanently enjoins Gryskiewicz from committing future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), 15 U.S.C. 77q(a), and Sections 10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. 78j(b), 78o(a)(1) and 78o(c)(1), and Rules 10b-3, 10b- 5 and 15c1-2 thereunder, 17 C.F.R. 240.10b-3, 240.10b-5 and 240.15c1- 2. The Final Judgment also contains an equitable bar that prevents Gryskiewicz from participating in the offer or sale of unregistered securities. Specifically, it enjoins Gryskiewicz from participating in the offer to sell or offer to buy any security, while acting as, or on behalf of, or in association with, an issuer, underwriter, broker or dealer involved in such offer, unless a registration statement has been filed with respect to such security. The Final Judgment orders Gryskiewicz and American and (NJ) to jointly and severally pay disgorgement of $70,461.73 with prejudgment interest of $29,544.40, for a total of $100,006.13. In settling with Gryskiewicz without insisting on a civil monetary penalty, the Commission recognizes Gryskiewicz' substantial cooperation with criminal authorities. Previously, Gryskiewicz consented to a Commission order, dated Sept. 2, 2003, which barred Gryskiewicz from associating with any broker or dealer. [SEC v. Scott Alexander Gryskiewicz, USDC, EDNY, Civil Action No. 98 Civ. 7688 (NG)] (LR-18737) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES, ET AL. A notice has been issued giving interested persons until June 25 to request a hearing on proposals by Northeast Utilities (NU), a registered holding company, Yankee Energy System, Inc. (YES), a wholly owned, direct holding company subsidiary of NU that claims exemption under Section 3(a)(1) by Rule 2, and their utility and nonutility subsidiaries (collectively, Applicants). Specifically, Applicants request that the Commission authorize through June 30, 2007: (1) the issuance and sale of short-term debt by NU, YES and certain of their public-utility company subsidiaries to unaffiliated third parties; (2) the issuance and sale of short-term debt by certain of NU's public-utility company subsidiaries to affiliates through the system money pool; (3) the participation by Applicants in a system money pool; and (4) entry into interest rate hedges by NU and certain of its public-utility company subsidiaries. Applicants also request that the Commission release of jurisdiction over their request to remove limits on borrowings through the system money pool by all participant nonutility subsidiaries, and authorize a nonutility subsidiary to participate in the system money pool both as borrower and lender. (Rel. 35-27852) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-CBOE-2004-20) and Amendment No. 1 submitted by the Chicago Board Options Exchange that revises the CBOE's $5 quote spread pilot program to permit $5 quote spreads only for quotes that are electronically submitted in the Hybrid system. Publication of the order is expected in the Federal Register during the week of June 7. (Rel. 34-49791) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by National Stock Exchange to extend the liquidity provider fee and rebate pilot program (SR-NSX-2004-05) 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 June 7. (Rel. 34-49792) 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 DELTA PETROLEUM CORP/CO, 475 17TH STREET SUITE 1400, DENVER, CO, 80202, 3032939133 - 1,525,000 ($19,420,875.00) Equity, (File 333-116111 - Jun. 3) (BR. 04) S-4 SUNTRUST BANKS INC, 919 E MAIN ST, RICHMOND, VA, 23219, 8047827107 - 83,845,637 ($5,482,579,481.00) Equity, (File 333-116112 - Jun. 3) (BR. 07) S-8 HOUSE OF BRUSSELS CHOCOLATES INC, 208-750 TERMINAL AVENUE, -, VANCOUVER, A1, V6A 2M5, 604-484-4940 - 1,250,000 ($2,462,500.00) Equity, (File 333-116113 - Jun. 3) (BR. 04) S-8 DIRECTV GROUP INC, 2250 EAST IMPERIAL HIGHWAY, EL SEGUNDO, CA, 90245-0956, 310-964-0808 - 0 ($403,650,000.00) Equity, (File 333-116114 - Jun. 3) (BR. 37) S-8 ADVANCED PLANT PHARMACEUTICALS INC, 43 W 33RD STREET, NEW YORK, NY, 10001, 2124027878 - 15,000,000 ($150,000.00) Equity, (File 333-116115 - Jun. 3) (BR. 04) S-8 EMERGENSYS CORP, 400 JEAN LESAGE BLVD, SUITE 045, QUEBEC, A8, G1K8W1, 9199602750 - 50,000 ($20,000.00) Equity, (File 333-116116 - Jun. 3) (BR. 08) SB-2 HEADLINERS ENTERTAINMENT GROUP, INC., 501 BLOOMFIELD AVENUE, MONTCLAIR, NJ, 07042, 973-233-1233 - 373,100,000 ($55,965,000.00) Equity, (File 333-116117 - Jun. 3) (BR. 05) S-8 TIME WARNER INC, ONE TIME WARNER CENTER, NEW YORK, NY, 10019, 2124848000 - 5,000,000 ($84,875,000.00) Equity, (File 333-116118 - Jun. 3) (BR. 05) S-8 KINGDOM VENTURES INC, 1045 STEPHANIE WAY, MINDEN, NV, 89423, 775-267-2242 - 2,500,000 ($550,000.00) Equity, (File 333-116119 - Jun. 3) (BR. 02) S-8 KEYCORP /NEW/, 127 PUBLIC SQ, CLEVELAND, OH, 44114-1306, 2166896300 - 70,000,000 ($2,173,850,000.00) Equity, (File 333-116120 - Jun. 3) (BR. 07) S-8 US AIRWAYS GROUP INC, 2345 CRYSTAL DR, ARLINGTON, VA, 22227, 7038725306 - 0 ($2,445,000.00) Equity, (File 333-116122 - Jun. 3) (BR. 05) S-8 NEXTEL COMMUNICATIONS INC, 2001 EDMUND HALLEY DRIVE, RESTON, VA, 20191, 7034334000 - 0 ($228,100,000.00) Equity, (File 333-116123 - Jun. 3) (BR. 37) S-8 US AIRWAYS GROUP INC, 2345 CRYSTAL DR, ARLINGTON, VA, 22227, 7038725306 - 0 ($1,222,500.00) Equity, (File 333-116124 - Jun. 3) (BR. 05) S-2 COMMUNITY CAPITAL BANCSHARES INC, 430 TIFT AVENUE, ALBANY, GA, 31701, 9124462265 - 1,000,000 ($11,720,000.00) Equity, (File 333-116125 - Jun. 3) (BR. 07) S-8 CORCEPT THERAPEUTICS INC, 275 MIDDLEFIELD ROAD, SUITE A, MENLO PARK, CA, 94025, 0 ($34,133,134.00) Equity, (File 333-116127 - Jun. 3) (BR. 01) S-3 BELL MICROPRODUCTS INC, 1941 RINGWOOD AVE, SAN JOSE, CA, 95131-1721, 4084519400 - 0 ($110,000,000.00) Debt Convertible into Equity, (File 333-116130 - Jun. 3) (BR. 36) S-8 GOLDEN SPIRIT MINERALS LTD, 1288 ALBERNI ST STE 806, VANCOUVER BRITISH COLUMBIACANADAV6E4N5, BELLINGHAM, A2, 00000, 6046640484 - 7,600,000 ($76,000.00) Equity, (File 333-116131 - Jun. 3) (BR. 03) S-8 STERLING BANCSHARES INC, 15000 NORTHWEST FRWY STE 308, HOUSTON, TX, 77040, 7134668300 - 0 ($19,620,000.00) Equity, (File 333-116132 - Jun. 3) (BR. 07) S-3 US DATAWORKS INC, 5301 HOLLISTER ROAD, SUITE 250, HOUSTON, TX, 77040, 713-934-3856 - 6,459,632 ($9,366,466.00) Equity, (File 333-116134 - Jun. 3) (BR. 03) S-8 SLM CORP, 11600 SALLIE MAE DR, RESTON, VA, 20193, 7038103000 - 0 ($575,100,000.00) Equity, (File 333-116136 - Jun. 3) (BR. 07) S-2 ING USA ANNUITY & LIFE INSURANCE CO, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-1478, 610-425-3400 - 1,000,000 ($10,000.00) Other, (File 333-116137 - Jun. 3) (BR. 20) S-3 MARSHALL & ILSLEY CORP/WI/, ATTN: OFFICE OF THE GENERAL COUNSEL, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 4147657801 - 0 ($3,000,000,000.00) Unallocated (Universal) Shelf, (File 333-116138 - Jun. 3) (BR. 07) S-8 BACH-HAUSER INC, 1561 HIGHWAY 3, -, CAYUGA, ONTARIO, A6, N0A 1E0, 9057725738 - 30,000,000 ($300,000.00) Equity, (File 333-116140 - Jun. 3) (BR. 05) S-8 CITADEL BROADCASTING CORP, 7201 W LAKE MEAD BLVD, SUITE 400, LAS VEGAS, NV, 89128, 7028048204 - 1,000,000 ($15,715,000.00) Equity, (File 333-116141 - Jun. 3) (BR. 37) S-1 FIRST MARBLEHEAD CORP, 30 LITTLE HARBOR, MARBLEHEAD, MA, 01945, 7816392000 - 0 ($251,592,419.00) Equity, (File 333-116142 - Jun. 3) (BR. 07) S-8 ASK JEEVES INC, 5858 HORTON ST, SUITE 350, EMERYVILLE, CA, 94608, 9256039071 - 0 ($8,532,066.00) Equity, (File 333-116143 - Jun. 3) (BR. 08) S-3 ID SYSTEMS INC, ONE UNIVERSITY PLAZA, HACKENSACK, NJ, 07601, 2016709000 - 200,000 ($2,310,000.00) Equity, (File 333-116144 - Jun. 3) (BR. 08) S-8 ASK JEEVES INC, 5858 HORTON ST, SUITE 350, EMERYVILLE, CA, 94608, 9256039071 - 0 ($140,658,000.00) Equity, (File 333-116145 - Jun. 3) (BR. 08) S-3 INTELLISYNC CORP, 2550 N FIRST ST, STE 500, SAN JOSE, CA, 95131, 4083217650 - 0 ($60,000,000.00) Debt Convertible into Equity, (File 333-116146 - Jun. 3) (BR. 03) S-3 MAGIC LANTERN GROUP INC, 1075 NORTH SERVICE ROAD WEST, SUITE 27, OAKVILLE, A6, L6M 2G2, 905-827-2755 X454 - 10,304,000 ($9,273,600.00) Equity, (File 333-116147 - Jun. 3) (BR. 37) S-8 STELLENT INC, 7777 GOLDEN TRIANGLE DRIVE, ., EDEN PRAIRIE, MN, 55344, 9529032000 - 0 ($6,629,199.00) Equity, (File 333-116148 - Jun. 3) (BR. 03) S-4 MISSION RESOURCES CORP, 1331 LAMAR, SUITE 1455, HOUSTON, TX, 77010, 7134953000 - 0 ($130,000,000.00) Non-Convertible Debt, (File 333-116149 - Jun. 3) (BR. 04) S-8 ALNYLAM PHARMACEUTICALS INC, 790 MEMORIAL DR, CAMBRIDGE, MA, 02139, 6172520700 - 0 ($33,006,015.00) Equity, (File 333-116151 - Jun. 3) (BR. 01) S-4 ORTHOLOGIC CORP, 1275 WEST WASHINGTON STREET, TEMPE, AZ, 85281, 6024375520 - 3,708,648 ($37,040,057.00) Equity, (File 333-116153 - Jun. 3) (BR. 36) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ABERCROMBIE & FITCH CO /DE/ DE X 06/03/04 ABRAXAS PETROLEUM CORP NV X 06/03/04 ACCESS INTEGRATED TECHNOLOGIES INC X X 06/01/04 ADELPHIA COMMUNICATIONS CORP DE X X 06/03/04 ADVANCED FIBRE COMMUNICATIONS INC DE X 06/02/04 AEROSONIC CORP /DE/ DE X 06/03/04 ALBERTSONS INC /DE/ DE X 06/02/04 ALEXION PHARMACEUTICALS INC DE X X 06/03/04 ALFACELL CORP DE X 05/28/04 ALLIS CHALMERS CORP DE X X 06/02/04 AMEDISYS INC DE X X 06/02/04 AMERADA HESS CORP DE X 06/03/04 AMERICAN AIRLINES INC DE X 06/03/04 AMERICAN EXPRESS CO NY X 06/03/04 AMERICAN UTILICRAFT CORP X 06/03/04 AMERICREDIT FINANCIAL SERVICES INC DE X X 05/28/04 AMR CORP DE X 06/03/04 ANTARES PHARMA INC MN X X 06/03/04 ARGENT SECURITIES INC ASSET BACK PASS X 05/25/04 ARGENT SECURITIES INC ASSET BACK PASS X 05/25/04 ARRAY BIOPHARMA INC DE X X 06/03/04 AZTAR CORP DE X X 06/02/04 BAM ENTERTAINMENT INC X X 05/20/04 Banc of America Alternative Loan Trus DE X X 05/25/04 Banc of America Funding Corp. Mortgag DE X X 05/25/04 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 05/25/04 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 05/25/04 BANC OF AMERICA MTG SEC INC MORT PASS DE X X 05/25/04 BARNES & NOBLE INC DE X X 06/03/04 BEAR STEARNS ARM TRUST 2002-7 DE X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 05/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 05/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 05/25/04 Bear Stearns Asset Backed Securities DE X X 05/26/04 BEAR STEARNS TRUST MORTGAGE PASS-THRO DE X X 05/25/04 BEAZER HOMES USA INC DE X X 06/03/04 BEBE STORES INC CA X X 05/31/04 BEST BUY CO INC MN X X 05/28/04 BIOMERICA INC DE X X 06/02/04 BMC INDUSTRIES INC/MN/ MN X X 06/01/04 AMEND BRIGHTPOINT INC DE X X 06/03/04 BROWN SHOE CO INC NY X 06/03/04 C-CHIP TECHNOLOGIES CORP NV X X 06/03/04 CALYPTE BIOMEDICAL CORP DE X X 03/19/04 CANARGO ENERGY CORP DE X X X 05/19/04 CAPSTONE TURBINE CORP DE X 06/03/04 CARVER BANCORP INC DE X 06/01/04 CFS BANCORP INC DE X X 06/02/04 Chase Credit Card Owner Trust 2004-2 NY X X 06/01/04 CHEC FUNDING LLC DE X 06/03/04 CHENIERE ENERGY INC DE X X 05/28/04 CHESAPEAKE ENERGY CORP OK X X 05/28/04 CHILDRENS PLACE RETAIL STORES INC X X X 06/03/04 CINCINNATI FINANCIAL CORP DE X 06/03/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 05/25/04 CLAIRES STORES INC DE X X 06/03/04 CLAYTON WILLIAMS ENERGY INC /DE DE X X 05/21/04 CMS ENERGY CORP MI X X 05/28/04 COACH INDUSTRIES GROUP INC NV X X 05/19/04 COEUR D ALENE MINES CORP ID X X 06/03/04 COGNIGEN NETWORKS INC CO X X 05/21/04 COLLEGE LOAN CORP TRUST I DE X X 05/20/04 COMMERCIAL CAPITAL BANCORP INC NV X X 06/03/04 COMMERCIAL METALS CO DE X X 06/03/04 CONSUMER PORTFOLIO SERVICES INC CA X X 04/02/04 AMEND CORIXA CORP DE X 05/28/04 COVANTA ENERGY CORP DE X X 06/02/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 06/03/04 Credit Suisse First Boston Mortgage S DE X X 05/25/04 CSG SYSTEMS INTERNATIONAL INC DE X X 06/02/04 CSG SYSTEMS INTERNATIONAL INC DE X X 06/02/04 CSG SYSTEMS INTERNATIONAL INC DE X X 06/02/04 CSK AUTO CORP DE X X 06/03/04 CV THERAPEUTICS INC DE X X 06/02/04 CWABS INC ASSET BACKED CERTIFICATES S DE X 04/25/04 CWALT INC MORTGAGE PASS-THROUGH CERTI X 04/25/04 CWMBS INC DE X X 02/26/04 CWMBS INC DE X X 04/30/04 DATARAM CORP NJ X X 06/03/04 DATAWATCH CORP DE X 06/03/04 DDS TECHNOLOGIES USA INC NV X X 06/03/04 DEERE & CO DE X 06/03/04 DENBURY RESOURCES INC DE X X 05/31/04 DILLARDS INC DE X X 06/03/04 DIONICS INC DE X X 05/24/04 DIRECTV GROUP INC DE X X 06/02/04 DIRECTV GROUP INC DE X X 06/01/04 DIRECTV HOLDINGS LLC DE X X 06/01/04 DOLLAR GENERAL CORP TN X X 06/03/04 DUNE ENERGY INC DE X X 06/03/04 DWANGO NORTH AMERICA CORP NV X 06/01/04 DYNAMEX INC DE X X 06/02/04 EASTMAN KODAK CO NJ X 12/31/03 EDGAR 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