SEC NEWS DIGEST Issue 2004-112 June 10, 2004 ENFORCEMENT PROCEEDINGS INITIAL DECISION IMPOSING SANCTIONS ON LORSIN, INC. AND OTHERS BECOMES FINAL The Initial Decision in Lorsin, Inc., Initial Decision Rel. No. 250 (May 11, 2004), has become the final decision of the Commission with respect to Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, and Harold Engel, Jr. The Commission has ordered the Respondents to cease and desist from to cease and desist from committing or causing any violation or future violations of Sections 5(a) and 5(c) of the Securities Act of 1933. The Commission also orders Respondents to pay disgorgement and prejudgment interest as follows: Lorsin, Inc., Loretta M. Lockhart, and Craig K. Hjalmarson must disgorge jointly and severally $1,920; Russell Management, Inc. and George R. Siembida must disgorge jointly and severally $3,390.40; and Harold Engel, Jr. must disgorge $8,167.50. (Rel. 33-8429; File No. 3- 11310) SEC BRINGS ENFORCEMENT ACTIONS AGAINST i2 TECHNOLOGIES, INC. IN FALSE FINANCIAL REPORTING CASE; i2 AGREES TO PAY $10 MILLION CIVIL PENALTY On June 9, the Commission instituted cease-and-desist proceedings against i2 Technologies, Inc., a Dallas-based developer and marketer of enterprise supply chain software and management solutions, and simultaneously accepted i2's offer of settlement in which it consented, without admitting or denying the Commission's substantive findings, to an order to cease and desist from future violations of the antifraud, internal controls, record-keeping and reporting provisions of the federal securities laws (Order). i2 also has undertaken to continue cooperating with the Commission's ongoing investigation. The Commission also filed a civil complaint against i2 in the U.S. District Court for the Northern District of Texas, Dallas Division, seeking a $10 million civil penalty and nominal $1 disgorgement against i2. Without admitting or denying the Commission's allegations, i2 has consented to pay these amounts. As provided in the Sarbanes-Oxley Act of 2002, the penalty amount will become part of a disgorgement fund for the benefit of injured i2 investors. The Commission finds in the Order, and alleges in its civil complaint, that i2 committed securities fraud in connection with its accounting for certain software license agreements and in connection with four "barter" transactions. As a result, for the four years ended Dec. 31, 2001, and the first three quarters of 2002, i2 misstated approximately $1 billion of software license revenues, including over $125 million of revenues it should never have recognized. According to the Commission, i2's periodic filings with the Commission and press releases during this period were materially false and misleading. [SEC v. i2 Technologies, Inc., Civil Action No. 3:04-CV-1250, USDC, NDTX (Dallas Division)] (LR- 18741, AAE Rel. 2034); (Rels.. 33-8428; 34-49839; File No. 3-11518; AAE Rel 2033; Press Rel. 2004-81) FREDERICK JONES AND MARK GODDEN CHARGED WITH INSIDER TRADING IN GERBER SCIENTIFIC, INC. STOCK The Commission announced today that it filed civil fraud charges in the U.S. District Court for the Southern District of New York against Frederick David Jones (Jones) and Mark Godden (Godden) for engaging in insider trading in the securities of Gerber Scientific, Inc. (Gerber). In its complaint, the Commission alleged that Jones, age 57, was the Group Managing Director of Gerber's Spandex PLC (Spandex) subsidiary and that Godden, age 47, was the vice-president of marketing with Spandex. The Commission further alleged that in early June 1999, Jones learned that Gerber had decided to acquire the assets of Graphic-Cal, Australia's largest sign making materials supplier. On the basis of this information and before the acquisition was made public, Jones, on June 11, 1999, purchased 5,000 shares of Gerber stock. Following the announcement of the acquisition on Sept. 13, 1999, Gerber's stock price increased and Jones made a profit of $5,250 from his trading in advance of the announcement of the Graphic-Cal acquisition. The Commission further alleged that shortly before March 15, 2000, Jones received additional material, nonpublic information indicating that Gerber and its subsidiaries would have significantly worse financial results than previously expected. On the basis of this information, Jones, on March 15, 2000, sold 5,000 shares of Gerber stock. On April 26, 2000, Gerber announced that its results for the fourth quarter of fiscal year 2000 likely would be lower than expected. Gerber's stock price closed that day at $11.50 per share, down $3.63 from the prior day's closing price. Jones thus avoided losses of $47,500. In its complaint, the Commission alleged that Godden also received material, nonpublic information about Gerber and its subsidiaries prior to the April 26, 2000, announcement. Among other things, Godden learned of product problems that a Gerber subsidiary was experiencing and that the subsidiary's operating income for February 2000 was below budget. Godden further learned that Gerber's fourth quarter results would be worse than expected. On the basis of this information and on the first day when he could trade in his recently opened brokerage account, Godden, on April 18, 2000, sold 10,000 shares of Gerber stock. By trading in advance of Gerber's April 26, 2000, announcement, Godden avoided losses of $64,375. The Commission alleged in its complaint that, as a result of their misconduct, Jones and Godden each violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The Commission is seeking a final judgment enjoining Jones and Godden from violating these provisions, compelling each of them to pay monetary penalties, requiring each of them to disgorge his profits and/or the losses avoided from their unlawful trading, with prejudgment interest thereon. In addition to the relief sought in the complaint, the Commission today also sought a temporary freeze of assets of Mr. Jones sufficient to pay disgorgement plus prejudgment interest thereon and penalties that the Court may order. The Court granted the Commission's request, entered an order freezing $300,000 of assets of Mr. Jones until otherwise ordered by the Court, and scheduled a hearing for June 16, 2004, for Mr. Jones to show cause why the Court should not enter an order extending the asset freeze until there is a final adjudication of the case. [SEC v. Frederick David Jones and Mark Godden, No. 04 CV 4385 (RWS) SDNY] (LR- 18742) SEC SETTLES FRAUD CASE AGAINST FORMER FOUNDER AND PRESIDENT OF IVES HEALTH COMPANY The Commission announced today that it has settled its civil injunctive action against M. Keith Ives, former president of Ives Health Co., for his participation in a scheme to manipulate the stock of Ives Health Co. The Commission's complaint, filed in July 2001, alleged that he violated the registration, reporting and antifraud provisions of the securities laws, by among other things, promoting the stock of Ives Health on the basis of a supposed treatment for HIV, known as T-Factor. Press releases promoting Ives Health falsely claimed that the effectiveness of T-Factor had been proven in tests conducted by an immunologist, in affiliation with the World Health Organization, according to the Commission's complaint. In a parallel criminal action, Ives was charged with securities fraud, wire fraud, and conspiracy to defraud the United States by marketing an unapproved drug. He pled guilty and was sentenced to 51 months in prison and to three years of supervised release. In addition, Ives was ordered to pay restitution of $1,252,907 million to victims of his securities fraud, and $548 to purchasers of T-Factor. United States v. M. Keith Ives, and Ives Health Co., 01 Cr. 691 (RCC) (S.D.N.Y.). Ives is currently incarcerated. The final judgment in the Commission's action, to which Ives consented, permanently enjoins him from violating the registration, reporting and antifraud provisions of the securities laws, and permanently bars Ives from acting as an officer or director of a public company. [SEC v. Ives Health Co. Inc., M. Keith Ives, Michael Harrison and James Kosta, Civil Action No. 01-CV-6999 (GEL) SDNY] (LR-18743) INVESTMENT COMPANY ACT RELEASES J.P. MORGAN INVESTMENT MANAGEMENT INC., ET AL. An order has been issued on an application filed by J.P. Morgan Investment Management Inc., et al., pursuant to Sections 6(c) and 17(b) of the Investment Company granting relief from Section 17(a) of the Act. The order permits certain money market funds (Funds) to engage in principal transactions in tax-exempt money market instruments with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-26466 - June 8) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change and Amendments No. 1, 2, 3, 4, and 5 thereto (SR-Phlx-2003-59) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the implementation of a new electronic trading platform, called "Phlx XL." Publication of the notice is expected in the Federal Register during the week of June 14. (Rel. 34-49832) IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2004-06) under Section 19(b)(1) of the Exchange Act, which became effective upon filing, to amend OCC's rules relating to index option expiration date exercise procedures. Publication of the proposal is expected in the Federal Register during the week of June 14. (Rel. 34- 49834) 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 VISX INC, 3400 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051, 4087332020 - 0 ($73,194,346.53) Equity, (File 333-116302 - Jun. 9) (BR. 36) F-1 GPC BIOTECH AG, FRAUNHOFERSTRABE 20, 82152 MUNCHEN, GERMANY, J0, 00000, 8,579,000 ($140,695,600.00) Equity, (File 333-116303 - Jun. 9) (BR. ) S-3 HUB GROUP INC, 377 E BUTTERFIELD RD, STE 700, LOMBARD, IL, 60148, 7089645800 - 0 ($73,328,600.00) Equity, (File 333-116304 - Jun. 9) (BR. 05) S-4 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($250,000,000.00) Other, (File 333-116305 - Jun. 9) (BR. 08) F-6 GPC BIOTECH AG, FRAUNHOFERSTRABE 20, 82152 MUNCHEN, GERMANY, J0, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-116306 - Jun. 9) (BR. ) SB-2 METALEX RESOURCES INC, 2,000,000 ($200,000.00) Equity, (File 333-116307 - Jun. 9) (BR. ) S-4 CALLON PETROLEUM CO, 200 N CANAL ST, NATCHEZ, MS, 39120, 6014421601 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-116308 - Jun. 9) (BR. 04) F-6 GRUPO FINANCIERO INBURSA S A DE C V /FI, PASEO DELAS PALMAS 736, LOMAS DE CHAPULTEPEC, 11000 MEXICO D F, O5, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-116309 - Jun. 9) (BR. ) S-4 Real Mex Restaurants, Inc., 4001 VIA ORO AVENUE, SUITE 200, LONG BEACH, CA, 90810, 310-513-7500 - 0 ($105,000,000.00) Non-Convertible Debt, (File 333-116310 - Jun. 9) (BR. ) S-4 MIDWEST GENERATION LLC, ONE FINANCIAL PLZ., 4400 S. LASALLE ST. #3500, CHICAGO, IL, 60605, 3125836000 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-116311 - Jun. 9) (BR. 02) SB-2 Roebling Financial Corp, Inc., ROUTE 130 SOUTH AND DELAWARE AVENUE, NEW JERSEY, NJ, 08554, 609 499-0355 - 1,818,438 ($18,184,380.00) Equity, (File 333-116312 - Jun. 9) (BR. ) SB-2 OXFORD VENTURES INC, 4655 EAST IVY STREET, #101, MESA, AZ, 85215, 4026814635 - 251,982,152 ($11,339,196.85) Equity, (File 333-116313 - Jun. 9) (BR. 09) S-3 PARLEX CORP, ONE PARLEX PLACE, METHUEN, MA, 01844, 5086854341 - 962,750 ($6,102,000.00) Equity, (File 333-116314 - Jun. 9) (BR. 36) F-10 PARAMOUNT RESOURCES LTD, 4700 BANKERS HALL WEST, 888-3RD STREET, CALGARY, A1, 00000, 0 ($300,000,000.00) Non-Convertible Debt, (File 333-116315 - Jun. 9) (BR. 04) S-8 RARE HOSPITALITY INTERNATIONAL INC, 8215 ROSWELL RD, BLDG 600, ATLANTA, GA, 30350, 7703999595 - 0 ($74,623,537.54) Equity, (File 333-116316 - Jun. 9) (BR. 05) S-3 DOCUMENT SECURITY SYSTEMS INC, 36 WEST MAIN ST, SUITE 710, ROCHESTER, NY, 14614, 585 232 1500 - 12,500,000 ($2,600,000.00) Other, (File 333-116317 - Jun. 9) (BR. 03) S-8 TELECOMMUNICATION PRODUCTS INC, PO BOX 17013, GOLDEN, CO, 80402, 3032782725 - 40,000,000 ($40,000.00) Equity, (File 333-116319 - Jun. 9) (BR. 05) S-8 RANGE RESOURCES CORP, 777 MAIN STREET, FT WORTH, TX, 76102, 817-870-2601 - 0 ($9,804,000.00) Equity, (File 333-116320 - Jun. 9) (BR. 04) S-8 HYDROGENICS CORP, 5985 MCLAUGHLIN ROAD, -, MISSISSAUGA L5R 1B8, A6, 00000, 9053613638 - 3,500,000 ($16,429,169.00) Equity, (File 333-116321 - Jun. 9) (BR. 36) S-3 EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404, 650-513-7000 - 86,250,000 ($86,250,000.00) Debt Convertible into Equity, (File 333-116322 - Jun. 9) (BR. 37) SB-2 ELECTRIC NETWORK COM INC, 1500 W. GEORGIA STREET, SUITE 1400, VANCOUVER, A1, V6G 2Z6, 604-255-3111 - 8,713,000 ($2,178,250.00) Equity, (File 333-116325 - Jun. 9) (BR. 08) SB-2 STELLAR TECHNOLOGIES, INC., 2 N CASCADE AVE, SUITE 1100, COLORADO SPRINGS, CO, 80903, 7193811928 - 7,957,966 ($25,067,593.00) Equity, (File 333-116327 - Jun. 9) (BR. 09) S-8 CARDIMA INC, 47266 BENICIA STREET, FREMONT, CA, 94538, 5103540300 - 2,000,000 ($1,060,000.00) Equity, (File 333-116328 - Jun. 9) (BR. 36) S-3 CAPTIVA SOFTWARE CORP, 10145 PACIFIC HEIGHTS BLVD., SAN DIEGO, CA, 92121, 858-320-1000 - 0 ($21,087,000.00) Equity, (File 333-116329 - Jun. 9) (BR. 03) S-4 LEESPORT FINANCIAL CORP, 1240 BROADCASTING ROAD, WYOMISSING, PA, 19610, 6102080966 - 0 ($24,417,821.75) Equity, (File 333-116331 - Jun. 9) (BR. 07) SB-2 US MEDSYS CORP, 1401 17TH STREET, SUITE 1150, DENVER, CO, 80202, 3032962690 - 0 ($13,358,265.00) Equity, (File 333-116332 - Jun. 9) (BR. 08) S-4 SALISBURY BANCORP INC, 5 BISSELL ST, LAKEVILLE, CT, 06039-1868, 8604359801 - 257,670 ($3,422,494.00) Other, (File 333-116333 - Jun. 9) (BR. 07) 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 ------------------------------------------------------------------------------------------------ ABFC ASSET-BACKED CERTIFICATES SERIES DE X X 03/30/04 ABLEAUCTIONS COM INC FL X X 06/08/04 ACTEL CORP CA X 06/09/04 ACTION PRODUCTS INTERNATIONAL INC FL X X 06/03/04 ADVANCED BIOTHERAPY INC DE X 06/03/04 ADVANCED MARKETING SERVICES INC DE X 06/01/04 ADVANCED MATERIALS GROUP INC NV X X 05/28/04 AEROTELESIS INC DE X 06/07/04 AETHLON MEDICAL INC NV X X 06/07/04 ALLOY INC DE X X 05/28/04 AMEND AMERICAN COMMUNITY BANCSHARES INC NC X X X 04/15/04 AMEND AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE X X 06/02/04 AMERICAN LAND LEASE INC DE X 06/07/04 AMERICAN ORIENTAL BIOENGINEERING INC CO X X 05/26/04 AMERICAN SKIING CO /ME DE X 05/18/04 AMERICAN SKIING CO /ME DE X 06/09/04 AMERICAN WOODMARK CORP VA X X 06/09/04 AMERIQUEST MORTGAGE SECURITIES INC DE X X 06/09/04 AMERIQUEST MORTGAGE SECURITIES INC DE X 06/09/04 ANADARKO PETROLEUM CORP DE X X 06/09/04 ANNUITY & LIFE RE HOLDINGS LTD X 06/09/04 AQUA AMERICA INC PA X 05/06/04 AMEND ARIAD PHARMACEUTICALS INC DE X X 06/09/04 ARIAD PHARMACEUTICALS INC DE X X 06/09/04 Asset Backed Funding Corp. ABFC Asset DE X X 04/30/04 ATLAS AIR INC DE X X 06/08/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 06/08/04 ATLAS AMERICA INC DE X X 06/04/04 ATLAS PIPELINE PARTNERS LP DE X X 06/04/04 AUDIBLE INC X X 06/03/04 AVNET INC NY X X 06/07/04 BANC OF AMERICA FUNDING CORP MORT PAS DE X X 06/08/04 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/08/04 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/09/04 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/08/04 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/08/04 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/08/04 AMEND BANC OF AMERICA MORTGAGE PASS-THROUGH DE X X 06/09/04 AMEND BANC OF AMERICA MORTGAGE SECURITIES I DE X X 06/08/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 06/08/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 06/09/04 AMEND BANC OF AMERICA MORTGAGE SECURITIES S DE X X 06/08/04 AMEND BANK JOS A CLOTHIERS INC /DE/ DE X X 06/08/04 BARRY R G CORP /OH/ OH X X 06/08/04 BEAR STEARNS ASSET BACKED SECURITIES DE X 05/27/04 BEARD CO /OK OK X X 06/08/04 BESTWAY INC DE X 06/09/04 BETTER MINERALS & AGGREGATES CO DE X X 06/09/04 BLACK & DECKER CORP MD X X 06/09/04 BOWLIN TRAVEL CENTERS INC NV X X 06/09/04 BULLDOG TECHNOLOGIES INC NV X 06/09/04 BYRON RESOURCES INC X 06/09/04 CALPINE CORP DE X 06/03/04 CAPITAL ENVIRONMENTAL RESOURCE INC A6 X X 04/30/04 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 05/25/04 CAPITOL CITY BANCSHARES INC GA X X 05/18/04 AMEND CARDINAL FINANCIAL CORP VA X X 06/08/04 CASCADE FINANCIAL CORP DE X X 06/04/04 CATERPILLAR INC DE X 06/09/04 CENTRA SOFTWARE INC DE X 06/08/04 CGI HOLDING CORP NV X 06/04/04 CGI HOLDING CORP NV X 06/04/04 CHEC FUNDING LLC DE X 06/09/04 CHESTERFIELD FINANCIAL CORP X X 06/05/04 CIT GROUP INC DE X X 06/09/04 CITIGROUP INC DE X 06/02/04 CITIGROUP MORTGAGELN TR ORIGEN MANU H X X 03/15/04 CITIGROUP MORTGAGELN TR ORIGEN MANU H X X 04/15/04 CITIGROUP MORTGAGELN TR ORIGEN MANU H X X 05/17/04 CLARCOR INC DE X 06/07/04 CLX ENERGY INC CO X 05/25/04 CNB HOLDINGS INC /GA/ X X 05/28/04 COCA COLA CO DE X X 06/09/04 COLUMBIA BANKING SYSTEM INC WA X X 06/07/04 COMPETITIVE TECHNOLOGIES INC DE X X 06/08/04 CONCENTRA OPERATING CORP NV X X 06/08/04 COORS ADOLPH CO CO X 06/09/04 CORE BOND PRODUCTS LLC DE X X 06/01/04 COX COMMUNICATIONS INC /DE/ DE X X 06/04/04 CSK AUTO CORP DE X 06/09/04 CUTERA INC DE X 06/09/04 DILLARD ASSET FUNDING CO DE X X 05/17/04 DOUBLE EAGLE PETROLEUM CO MD X X 06/08/04 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 06/09/04 ENHANCE BIOTECH INC DE X X 06/04/04 ENZO BIOCHEM INC NY X 06/08/04 EPICOR SOFTWARE CORP DE X 06/08/04 EXELON CORP PA X X 05/25/04 FARMER MAC MORTGAGE SECURITIES CORP DE X X 05/28/04 FMC CORP DE X 06/08/04 FONEFRIEND INC DE X X 06/07/04 Ford Credit Auto Owner Trust 2004-A DE X X 05/25/04 FORTUNE BRANDS INC DE X X 06/09/04 FTI CONSULTING INC MD X X 06/07/04 GENAERA CORP DE X X 06/07/04 GOAMERICA INC DE X 06/03/04 GOLDEN PATRIOT CORP NV X 06/08/04 GOTTSCHALKS INC DE X 05/25/04 GS MORTGAGE SECURITIES CORP DE X 06/07/04 GS MORTGAGE SECURITIES CORP MOR PASTH DE X X 06/07/04 HANDLEMAN CO /MI/ MI X 06/08/04 HAWKINS INC MN X X 06/09/04 HAYES LEMMERZ INTERNATIONAL INC DE X X X 06/09/04 HIENERGY TECHNOLOGIES INC DE X X 06/09/04 HILFIGER TOMMY CORP X X 06/09/04 HORSESHOE GAMING HOLDING CORP DE X 06/07/04 HOSPIRA INC DE X X 06/07/04 HUNTSMAN INTERNATIONAL HOLDINGS LLC DE X 06/08/04 HUNTSMAN INTERNATIONAL LLC DE X 06/08/04 IA GLOBAL INC DE X 06/09/04 IDACORP INC ID X 05/27/04 IMPATH INC DE X X 06/08/04 INCARA PHARMACEUTICALS CORP DE X X 06/09/04 INDEPENDENCE HOLDING CO DE X 06/09/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 06/01/04 INTERNATIONAL BANCSHARES CORP TX X 06/09/04 INVESTMENT TECHNOLOGY GROUP INC DE X 06/09/04 IRWIN WHOLE LOAN HOME EQUITY TRUST 20 DE X X 06/09/04 AMEND ISTA PHARMACEUTICALS INC CA X X 06/07/04 ITERIS HOLDINGS INC DE X X 06/08/04 KEY ENERGY SERVICES INC MD X X 06/07/04 LOCAL FINANCIAL CORP /NV DE X X 06/09/04 MARCONI CORP PLC X0 X 06/09/04 MARTEK BIOSCIENCES CORP DE X X 06/09/04 MAXUS REALTY TRUST INC MO X 06/07/04 MAYORS JEWELERS INC/DE DE X X 06/08/04 MERCANTILE BANKSHARES CORP MD X X 06/08/04 MERRILL LYNCH DEPOSITOR INC DE X X 06/01/04 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 06/01/04 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 06/01/04 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 06/01/04 MGM MIRAGE DE X X 06/08/04 MICRON ENVIRO SYSTEMS INC NV X 06/09/04 MIDWEST GENERATION LLC CA X X 06/08/04 MILACRON INC DE X X 06/09/04 MILACRON INC DE X X 06/09/04 MOLECULAR IMAGING CORP DE X X 06/09/04 MONARCH COMMUNITY BANCORP INC MD X X 06/08/04 MS STRUCTURED SATURNS SERIES 2004-1 DE X 06/01/04 NATIONAL CITY CORP DE X X 06/08/04 NATIONAL HEALTHCARE CORP DE X 06/08/04 NATROL INC DE X X 06/09/04 NAVIGANT INTERNATIONAL INC DE X X 06/03/04 NESCO INDUSTRIES INC NV X X X X 05/25/04 NET 1 UEPS TECHNOLOGIES INC FL X X 06/07/04 NET2PHONE INC DE X 06/09/04 NICHOLAS FINANCIAL INC FL X X 06/08/04 NORTHERN BORDER PARTNERS LP DE X 06/03/04 NORTHERN BORDER PIPELINE CO TX X 06/03/04 NOVASTAR MORTGAGE FUNDING CORP DE X X 06/09/04 NYMEX HOLDINGS INC DE X 06/03/04 O REILLY AUTOMOTIVE INC MO X 06/09/04 ODYSSEY MARINE EXPLORATION INC NV X 05/26/04 OLD NATIONAL BANCORP /IN/ IN X 06/09/04 OMNIVISION TECHNOLOGIES INC DE X X 06/09/04 ONE LIBERTY PROPERTIES INC MD X X 06/07/04 ONYX SOFTWARE CORP/WA WA X X 06/07/04 OPTIO SOFTWARE INC GA X X X 06/09/04 ORYX TECHNOLOGY CORP DE X 06/03/04 OSI PHARMACEUTICALS INC DE X X 06/08/04 OSULLIVAN INDUSTRIES HOLDINGS INC DE X X 03/31/04 PAINCARE HOLDINGS INC CT X X 06/03/04 PHARMION CORP X X 06/09/04 PIZZA INN INC /MO/ MO X 06/08/04 PLANETLINK COMMUNICATIONS INC GA X X 06/02/04 POLYONE CORP X X 06/09/04 PREMIER DEVELOPMENT & INVESTMENT INC NV X X 06/09/04 PRICE LEGACY CORP MD X X 06/07/04 PRINCETON REVIEW INC DE X X 06/04/04 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE X X 06/01/04 PRINCIPAL LIFE INSURANCE CO IA X 06/09/04 PRINCIPAL LIFE INSURANCE CO IA X 06/09/04 PRINCIPAL LIFE INSURANCE CO IA X 06/09/04 PROSOFTTRAINING COM NV X X 06/04/04 PSS WORLD MEDICAL INC FL X X 06/08/04 QUADRAMED CORP DE X X 06/04/04 RAE SYSTEMS INC DE X X 05/27/04 RAMP CORP DE X 06/09/04 RANGE RESOURCES CORP DE X X 06/07/04 RED ROBIN GOURMET BURGERS INC DE X 06/02/04 RENAL CARE GROUP INC DE X X 06/08/04 RENAL CARE GROUP INC DE X X 06/08/04 AMEND RESIDENTIAL ASSET MORT PROD INC GMACM DE X X 06/09/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/09/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 06/09/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 06/09/04 RESOURCE AMERICA INC DE X X 06/04/04 RITA MEDICAL SYSTEMS INC DE X 06/08/04 ROANOKE ELECTRIC STEEL CORP VA X X 06/08/04 RUSSELL CORP AL X X 06/07/04 S/M REAL ESTATE FUND VII LTD/TX TX X X 05/26/04 SAFE TECHNOLOGIES INTERNATIONAL INC DE X X 06/08/04 SAVOY CAPITAL INVESTMENTS INC CO X 06/08/04 SCHICK TECHNOLOGIES INC DE X 06/09/04 SCHICK TECHNOLOGIES INC DE X X 06/09/04 SENSYTECH INC DE X 06/09/04 SIGA TECHNOLOGIES INC DE X X 06/09/04 SIRNA THERAPEUTICS INC CO X X 06/07/04 SMITHFIELD FOODS INC 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