SEC NEWS DIGEST Issue 2004-215 November 8, 2004 ENFORCEMENT PROCEEDINGS IN THE MATTER OF NEAL WADHWA On November 5, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Neal R. Wadhwa (Wadhwa). The Order finds that Wadhwa, a Geek Securities registered representative, and others, through Geek Securities and Geek Advisors, engaged in pervasive market timing and late trading on behalf of institutional clients. Despite warnings from mutual fund companies, Wadhwa and others used various deceptive activities to evade detection of ongoing market timing and accepted final trade instructions after the 4:00 p.m. EST closing of the market, knowing that the trades received the same-day NAV pricing. On Oct. 14, 2004, a final judgment was entered by consent against Wadhwa, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 15(c)(1) of the Exchange Act, in the civil action entitled SEC v. Geek Securities, Inc. et al., Civil Action No. 04-80525-CIV-PAINE/JOHNSON, in the U.S. District Court for the Southern District of Florida. Based on the above, the Order bars Neal R. Wadhwa from association with any broker, dealer, or investment adviser. Neal R. Wadhwa consented to the issuance of the Order without admitting or denying any of the allegations in the Order, except for the entry of the civil injunction. (Rel. 34-50644; IA-2322; File No. 3-11730) COMMISSION DENIES APPLICATION OF MAXIMUM DYNAMICS, INC. TO WITHDRAW REGISTRATION STATEMENT On November 5, the Commission, pursuant to Rule 477 of Regulation C of the Commission’s General Rules and Regulations under the Securities Act of 1933, denied the application of Maximum Dynamics, Inc., a Colorado corporation, to withdraw its registration statement on Form SB-2 filed on June 29, 2004, and three amendments thereto filed on Aug. 24, 2004, Aug. 25, 2004, and Sept. 1, 2004. The Commission found that granting the withdrawal request would not be consistent with the public interest and the protection of investors because the Commission had previously issued an order pursuant to Section 8(e) of the Securities Act authorizing the making of an examination to determine whether a stop order should be issued against the registration statement pursuant to Section 8(d) of the Securities Act. In addition, on Oct. 26, 2004, Maximum issued a press release inaccurately representing that the withdrawal of its registration statement was already effective and making misleading statements concerning the company’s reasons for withdrawing the registration statement. The Commission’s staff notified Maximum that it had concerns about the accuracy of the company’s press release, including informing Maximum that the requested withdrawal of the registration statement was not yet effective. Notwithstanding the staff’s concerns, Maximum failed to issue a corrective press release or otherwise correct the false and misleading information contained in the press release. (Rel. 33-8502) IN THE MATTER OF CARLOS SOTO On November 8, the Commission issued and simultaneously settled an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings and Imposing Remedial Sanctions (Order) against Carlos H. Soto (Soto). The Order finds that Soto, a resident of San Juan, Puerto Rico was a registered representative associated with Morgan Stanley DW, Inc., a broker-dealer registered with the Commission. On Oct. 14, 2004, Soto pled guilty to twenty counts of mail fraud and one count of securities fraud in violation of Title 18 United States Code, Sections 1341 and 1348, before the U.S District Court for the District of Puerto Rico, in U.S. v. Soto, Case No. 04-CR-00127. The counts of the criminal indictment to which Soto pled guilty allege that Soto defrauded investors and obtained money and property by means of materially false and misleading statements, that he used the United States mail to send false account statements, and that he caused commercial interstate carriers to deliver investors’ checks to him. Without admitting or denying the Commission’s findings, Soto consented to a Commission order barring him from association with any broker or dealer. (Rel. 34-50646; File No. 3-11732) SEC OBTAINS FINAL JUDGMENT AGAINST BENNY MORRIS IN $28 MILLION PONZI SCHEME CASE The Commission announced that on Sept. 29, 2004, the Honorable Larry J. McKinney, Chief Judge, U.S. District Court for the Southern District of Indiana, entered a final judgment against Benny G. Morris (Morris), which: (1) orders Morris to pay, jointly and severally with defendant Universal Financial Leasing, Inc., disgorgement in the amount of $1,578,438 and prejudgment interest in the amount of $75,054; (2) orders Morris to pay a civil penalty in the amount of $120,000; and (3) permanently enjoins Morris from future violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder. Morris consented to the entry of the final judgment without admitting or denying the allegations contained in the Commission’s complaint. Morris, age 47, is a resident of Palm Harbor, Florida. The Commission’s complaint, filed on Nov. 10, 2003, alleged that Morris, and eleven individuals and entities (the Defendants) offered and sold securities, which were nominally structured as hotel timeshare rental interests, in unregistered transactions as part of a Ponzi scheme that defrauded at least 600 investors of over $28 million in 30 states. Shortly after the filing of the Commission’s complaint, the Court issued a temporary restraining order and subsequently, a preliminary injunction order freezing the Defendants’ assets and prohibiting the Defendants from violating the antifraud and registration provisions of the federal securities laws. During the course of this action, Chief Judge McKinney has entered final judgments against Defendants Lee E. Larscheid (Larscheid), Ozark Ticket and Travel, Inc. (Ozark Ticket), Branson City Limits, Inc. (Branson City Limits), and Resort Hotels, Inc. (Resort Hotels) which: (1) ordered Larscheid and Ozark Ticket to pay, jointly and severally, disgorgement in the amount of $1,792,369.50 and prejudgment interest in the amount of $22,550; (2) ordered Larscheid and Ozark Ticket to each pay civil penalties in the amount of $120,000; (3) ordered Branson City Limits and Resort Hotels to pay, jointly and severally, disgorgement in the amount of $28,976,522.74 and prejudgment interest in the amount of $1,376,858.02; and (4) enjoined Larscheid, Ozark Ticket, Branson City Limits, and Resort Hotels from future violations of Sections 5 and 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. This case is still pending against the remaining Defendants. [SEC v. Patrick Ballinger, et al., No. 1:03-cv-1659 LJM-WTL, SD Ind.] (LR-18963) HOLDING COMPANY ACT RELEASES C&T ENTERPRISES, INC., ET AL. An order has been issued: (1) authorizing Claverack Rural Electric Cooperative, Inc. (Claverack), a rural electric cooperative and holding company exempt by order under Section 3(a)(1) of the Act, and its subsidiary, C&T Enterprises, Inc. (C&T), another holding company exempt by order under Section 3(a)(1) of the Act, to acquire indirectly all of the common stock of Wellsboro Electric Company, a public-utility company; and (2) granting Tri-County Rural Electric Cooperative, Inc. (Tri-County), a rural electric cooperative, holding company exempt by order under Section 3(a)(1) of the Act and the other parent of C&T, as well as Claverack and C&T, exemptions from all provisions of the Act except Section 9(a)(2). (Rel. 35-27908) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-133) to amend NASD Rule 9522 (Initiation of Eligibility Proceeding; Member Regulation Consideration). Publication of the proposal in the Federal Register is expected during the week of November 8. (Rel. 34-50626) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2004-166) to modify its Other Securities Fee Schedule. Publication of the proposal in the Federal Register is expected during the week of November 8. (Rel. 34-50629) IMMEDIATE EFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2004-161) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., establishing a pilot program waiving fees and credits for orders and quotes executed in the Nasdaq Opening Cross has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of November 8. (Rel. 34-50636) 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-4 US LEC CORP, 704-319-1000 - 150,000 ($150,000,000.00) Non-Convertible Debt, (File 333-120232 - Nov. 5) (BR. 37) S-8 MVB FINANCIAL CORP, 301 VIRGINIA AVENUE, FAIRMONT, WV, 26554-2777, 3043634800 - 0 ($643,860.00) Equity, (File 333-120234 - Nov. 5) (BR. 07) S-8 TIDELANDS OIL & GAS CORP/WA, 5098918373 - 5,000,000 ($4,350,000.00) Debt Convertible into Equity, (File 333-120235 - Nov. 5) (BR. 04) S-8 REDWOOD EMPIRE BANCORP, 111 SANTA ROSA AVENUE, PO BOX 402, SANTA ROSA, CA, 95404-4905, 7075734800 - 32,000 ($813,120.00) Other, (File 333-120237 - Nov. 5) (BR. 07) S-8 PACCAR INC, PACCAR BUILDING, 777 106TH AVENUE NE, BELLEVUE, WA, 98004, 425 468 7383 - 0 ($25,912,500.00) Equity, (File 333-120238 - Nov. 5) (BR. 05) S-3 AVERY DENNISON CORPORATION, 150 N ORANGE GROVE BLVD, PASADENA, CA, 91103, 6263042000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-120239 - Nov. 5) (BR. 04) S-8 CAPITAL CITY BANK GROUP INC, 217 N MONROE ST, TALLAHASSEE, FL, 32301, 8506710300 - 1,250,000 ($46,473,000.00) Equity, (File 333-120242 - Nov. 5) (BR. 07) S-8 CAL BAY INTERNATIONAL INC, 1582 PARKWAY LOOP SUITE G, TUSTIN, CA, 92780, 7142587070 - 4,000,000 ($80,000.00) Equity, (File 333-120244 - Nov. 5) (BR. 37) S-8 TELEFLEX INC, 155 SOUTH LIMERICK ROAD, CORPORATE OFFICES, LIMERICK, PA, 19468, 610 948-5100 - 25,000,000 ($25,000,000.00) Equity, (File 333-120245 - Nov. 5) (BR. 36) S-3 SCHEIN HENRY INC, 135 DURYEA RD, MELVILLE, NY, 11747, 6318425500X6867 - 0 ($240,000,000.00) Other, (File 333-120246 - Nov. 5) (BR. 01) S-8 CHROMAVISION MEDICAL SYSTEMS INC, 33171 PASEO CORVEZA, SAN JUAN CAPISTRANO, CA, 92675, 9494433355 - 0 ($2,275,000.00) Equity, (File 333-120248 - Nov. 5) (BR. 36) S-8 FORWARD AIR CORP, 430 AIRPORT RD, GREENEVILLE, TN, 37745, 4236367100 - 1,840,000 ($75,145,600.00) Equity, (File 333-120249 - Nov. 5) (BR. 05) S-8 FORWARD AIR CORP, 430 AIRPORT RD, GREENEVILLE, TN, 37745, 4236367100 - 7,500 ($306,300.00) Equity, (File 333-120250 - Nov. 5) (BR. 05) S-3 CAPITAL AUTO RECEIVABLES INC, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 3135561240 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-120252 - Nov. 5) (BR. 05) SB-2 ConsultAmerica, Inc., 13070 ADDISON ROAD, ROSWELL, GA, 30075, 404-915-0570 - 1,195,000 ($11,950.00) Equity, (File 333-120253 - Nov. 5) (BR. ) S-8 BRINKS CO, 1801 BAYBERRY COURT, P O BOX 18100, RICHMOND, VA, 23226-1800, 8042899623 - 500,000 ($15,965,000.00) Equity, (File 333-120254 - Nov. 5) (BR. 05) S-8 ELECTRONIC ARTS INC, 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA, 94065, 650-628-1500 - 136,524 ($219,804.00) Equity, (File 333-120256 - Nov. 5) (BR. 03) S-8 WELLCARE HEALTH PLANS, INC., 8725 HENDERSON ROAD, RENAISSANCE ONE, TAMPA, FL, 33634, 8132906200 - 0 ($129,138,093.00) Equity, (File 333-120257 - Nov. 5) (BR. 01) S-8 GO ONLINE NETWORKS CORP, 5681 BEACH BLVD, SUITE 101/100, BUENA PARK, CA, 90621, 3032217376 - 19,125,000 ($57,375.00) Equity, (File 333-120258 - Nov. 5) (BR. 08) F-3 EXCEL MARITIME CARRIERS LTD, 14 PAR LA VILLE RD, 3RD FL PARLAVILLE RD, HAMILTON HM 08 BERMU, D0, 8092956875 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-120259 - Nov. 5) (BR. 05) S-8 CDW CORP, 200 N MILWAUKEE AVE, VERNON HILLS, IL, 60061, 8474656000 - 0 ($24,232,000.00) Equity, (File 333-120260 - Nov. 5) (BR. 02) S-1 SAFE AUTO GROUP, INC., 3883 EAST BROAD STREET, COLUMBUS, OH, 43213, 614-231-0200 X7701 - 0 ($115,000,000.00) Equity, (File 333-120261 - Nov. 5) (BR. ) S-3 CYTOGEN CORP, 6099878200 - 0 ($70,000,000.00) Unallocated (Universal) Shelf, (File 333-120262 - Nov. 5) (BR. 01) S-3 EP MEDSYSTEMS INC, 100 STIERLI COURT, SUITE 107, MOUNT ARLINGTON, NJ, 07856, 9733982800 - 363,628 ($1,094,520.28) Equity, (File 333-120263 - Nov. 5) (BR. 36) S-3 DSL NET INC, 545 LONG WHARF DR, NEW HAVEN, CT, 06511, 2037721000 - 18,459,864 ($3,322,775.50) Equity, (File 333-120264 - Nov. 5) (BR. 37) SB-2 ELINEAR INC, 2901 WEST SAM HOUSTON PARKWAY NORTH, SUITE E-300, HOUSTON, TX, 77043, 713-896-0500 - 2,590,000 ($2,175,600.00) Equity, (File 333-120265 - Nov. 5) (BR. 03) S-3 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($3,493,080.00) Equity, (File 333-120266 - Nov. 5) (BR. 03) SB-2 IVP TECHNOLOGY CORP, 54 VILLAGE CENTRE, MISSISSAUGA PLACE, TORONTO ONTARIO M5E, A6, 0000, 9053069343 - 296,108,300 ($5,922,166.00) Equity, (File 333-120267 - Nov. 5) (BR. 03) SB-2 POWER TECHNOLOGY INC/CN, 1000 W BONANZA RD, 604-925-0716, LAS VEGAS, NV, 89106, 7023823385 - 202,182,891 ($5,905,487.00) Equity, (File 333-120268 - Nov. 5) (BR. 09) S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($116,250,000.00) Equity, (File 333-120269 - Nov. 5) (BR. 03) S-8 MB FINANCIAL INC /MD, 801 WEST MADISON STREET, CHICAGO, IL, 60607, 3124217600 - 118,911 ($1,919,658.00) Equity, (File 333-120270 - Nov. 5) (BR. 07) S-3 MAGELLAN HEALTH SERVICES INC, 6950 COLUMBIA GATEWAY, STE 400, COLUMBIA, MD, 21046, 4109531000 - 0 ($314,584,020.00) Equity, (File 333-120271 - Nov. 5) (BR. 01) SB-2 RADIX MARINE INC, 425-315-1772 - 170,000,000 ($8,046,300.00) Equity, (File 333-120272 - Nov. 5) (BR. 06) S-8 LUMERA CORP, 19910 NORTH CREEK PARKWAY, 19910 NORTH CREEK PARKWAY, BOTHELL, WA, 98011-3008, 425-415-6847 - 0 ($35,842,611.20) Equity, (File 333-120273 - Nov. 5) (BR. 36) S-3 GS MORTGAGE SECURITIES CORP, 85 BROAD STREET, NEW YORK, NY, 10004, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-120274 - Nov. 5) (BR. 05) SB-2 GALAXY ENERGY CORP, 1331 17TH STREET, #730, DENVER, CO, 80202, (303) 293-2300 - 5,846,953 ($8,642,603.20) Equity, (File 333-120275 - Nov. 5) (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 ------------------------------------------------------------------------------------------------ 3COM CORP DE 1.01,9.01 10/22/04 AAMES INVESTMENT CORP MD 3.02,8.01 11/01/04 ABATIX CORP DE 2.02 11/04/04 ABLEST INC DE 2.02,7.01,9.01 11/05/04 ACTIVCARD CORP DE 1.01,9.01 11/01/04 AFC ENTERPRISES INC MN 2.01,9.01 11/04/04 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 2.02,9.01 11/04/04 AFLAC INC GA 5.02,9.01 11/01/04 AIRNET SYSTEMS INC OH 2.06,7.01,9.01 11/04/04 ALAMOSA HOLDINGS INC DE 2.02,9.01 11/04/04 AMEND ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 11/04/04 ALLEGHENY ENERGY INC MD 2.02 11/04/04 ALLIN CORP DE 1.01,2.02,9.01 11/03/04 AMERICAN ACCESS TECHNOLOGIES INC FL 2.02,9.01 11/03/04 AMERICAN BAR ASSOCIATION MEMBERS STAT MA 1.01,3.03,5.02,5.03,9.01 11/01/04 AMERICAN BIO MEDICA CORP NY 3.01 11/02/04 AMERICAN MEDICAL SECURITY GROUP INC WI 7.01,9.01 11/01/04 AMERICAN VANGUARD CORP DE 2.02,9.01 11/03/04 AMERICAN WATER STAR INC NV 8.01,9.01 11/05/04 AMERICREDIT CORP TX 1.01,9.01 11/05/04 AMERIGON INC CA 2.02,9.01 11/03/04 AMERIPATH INC DE 1.01 11/01/04 AMERIQUEST MORTGAGE SECURITIES INC DE 8.01,9.01 11/03/04 AML COMMUNICATIONS INC DE 2.02 11/05/04 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 11/04/04 ANCHOR BANCORP WISCONSIN INC WI 9.01 11/05/04 ANDRESMIN GOLD CORP MT 8.01,9.01 11/02/04 ANGELES INCOME PROPERTIES LTD II CA 2.01,9.01 11/01/04 ANSOFT CORP PA 2.02,9.01 11/04/04 APPLIED NEUROSOLUTIONS INC DE 4.01,9.01 10/25/04 AMEND ARAMARK CORP/DE DE 8.01,9.01 11/01/04 ARBIOS SYSTEMS INC NV 5.02,9.01 11/02/04 ARC WIRELESS SOLUTIONS INC UT 7.01 11/05/04 ARGOSY GAMING CO DE 1.01,8.01,9.01 11/03/04 ARMOR HOLDINGS INC DE 8.01,9.01 11/04/04 ARMSTRONG HOLDINGS INC /PA/ PA 2.02,9.01 11/04/04 ART TECHNOLOGY GROUP INC DE 1.01,2.01,9.01 11/01/04 ASHLAND INC KY 9.01 03/18/04 AMEND ASSET ACCEPTANCE CAPITAL CORP 5.02,9.01 11/01/04 ASSURED GUARANTY LTD 2.02,9.01 11/04/04 ASTRO MED INC /NEW/ RI 2.02,9.01 11/05/04 ATLANTIC TELE NETWORK INC /DE DE 7.01,9.01 11/05/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE 8.01,9.01 10/29/04 ATP OIL & GAS CORP TX 2.02,9.01 11/03/04 AUDIOVOX CORP DE 1.01,1.02,2.01,5.02,8.01,9.01 11/01/04 AVATAR HOLDINGS INC DE 2.02,7.01,9.01 11/05/04 AXEDA SYSTEMS INC DE 2.02,9.01 11/04/04 BACKWEB TECHNOLOGIES LTD 1.01 10/29/04 BALLY TOTAL FITNESS HOLDING CORP DE 8.01,9.01 11/01/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE 8.01,9.01 11/05/04 BANKNORTH GROUP INC/ME ME 8.01,9.01 11/05/04 BARNES & NOBLE INC DE 8.01,9.01 11/05/04 BEAR ISLAND PAPER CO LLC VA 2.02,9.01 11/05/04 BEAR STEARNS COMPANIES INC DE 8.01,9.01 10/29/04 BEAZER HOMES USA INC DE 2.02,9.01 11/05/04 BELDEN & BLAKE CORP /OH/ OH 5.02 11/01/04 BELLAVISTA CAPITAL INC MD 7.01 11/05/04 BIO ONE CORP NV 2.01,9.01 03/31/04 AMEND BIODELIVERY SCIENCES INTERNATIONAL IN IN 9.01 08/24/04 AMEND BIOGEN IDEC INC DE 8.01 10/18/04 BLACKHAWK BANCORP INC WI 2.02,9.01 11/02/04 BLACKHAWK BANCORP INC WI 5.02 11/05/04 BMC INDUSTRIES INC/MN/ MN 8.01,9.01 10/28/04 BMC INDUSTRIES INC/MN/ MN 8.01,9.01 11/03/04 BOSTON ACOUSTICS INC MA 2.02,9.01 11/05/04 BRALORNE MINING CO NV 5.02 09/21/04 BRANDYWINE OPERATING PARTNERSHIP LP / DE 2.02,8.01,9.01 11/04/04 BRANDYWINE REALTY TRUST MD 2.02,8.01,9.01 11/04/04 BRICKMAN GROUP LTD 2.02,8.01 11/05/04 BROOKSTONE INC DE 2.02,9.01 11/04/04 BRUSH ENGINEERED MATERIALS INC 8.01,9.01 11/05/04 BUFFETS HOLDINGS, INC. DE 8.01,9.01 11/05/04 BURLINGTON COAT FACTORY WAREHOUSE COR DE 8.01 11/05/04 CALIFORNIA COASTAL COMMUNITIES INC DE 2.02,9.01 11/04/04 CALPINE CORP DE 2.03,8.01 10/27/04 CALPINE CORP DE 2.02,9.01 11/04/04 CAMDEN PROPERTY TRUST TX 2.02,9.01 11/04/04 CAMPBELL SOUP CO NJ 1.01 11/05/04 CAPITAL LEASE FUNDING INC 2.01,9.01 10/27/04 CARDINAL HEALTH INC OH 2.02,9.01 11/04/04 CARMAX INC VA 9.01 11/01/04 CARRIER ACCESS CORP DE 1.01,1.02 09/15/04 CATUITY INC DE 4.01,9.01 11/04/04 CATUITY INC DE 3.01 11/05/04 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 11/04/04 CCP WORLDWIDE INC 1.01,2.01,2.02,3.02,5.01,5.02 10/29/04 CD&L INC DE 4.01,9.01 11/05/04 CEDAR FAIR L P DE 9.01 09/26/04 CEDAR SHOPPING CENTERS INC MD 2.01,9.01 11/01/04 CELLCO PARTNERSHIP 8.01,9.01 11/04/04 CENTRAL PARKING CORP TN 2.02,9.01 11/03/04 CENTURY PROPERTIES FUND XIV CA 2.01,9.01 11/01/04 CERAMICS PROCESS SYSTEMS CORP/DE/ DE 2.02 09/25/04 CH2M HILL COMPANIES LTD OR 8.01 11/05/04 CH2M HILL COMPANIES LTD OR 5.02 11/05/04 CHAD THERAPEUTICS INC CA 2.02 11/04/04 CHEETAH OIL & GAS LTD. NV 1.01,9.01 11/03/04 CHEMED CORP DE 5.03,9.01 11/05/04 CHIRON CORP DE 5.02,9.01 11/03/04 CITIGROUP INC DE 9.01 11/05/04 CITIGROUP INC DE 9.01 11/05/04 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/05/04 CNA FINANCIAL CORP DE 5.02,9.01 11/05/04 COGENT COMMUNICATIONS GROUP INC 5.02 11/05/04 COGNIGEN NETWORKS INC CO 2.02,9.01 11/04/04 COLLEGIATE PACIFIC INC DE 7.01 11/04/04 COMERICA INC /NEW/ DE 1.01,5.02,9.01 11/03/04 COMFORCE CORP DE 2.02,9.01 11/04/04 COMMUNITY BANKS INC /PA/ PA 7.01,9.01 11/05/04 CONCEPTUS INC DE 8.01 11/04/04 COORS ADOLPH CO CO 1.01,9.01 11/05/04 CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 11/04/04 COST PLUS INC/CA/ CA 2.02,9.01 11/04/04 CRAY INC WA 8.01,9.01 11/04/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 11/05/04 CUISINE SOLUTIONS INC DE 8.01 11/05/04 CUMULUS MEDIA INC DE 2.02,9.01 11/04/04 Cyberkinetics Neurotechnology Systems DE 1.01,3.02,9.01 11/04/04 DAIMLERCHRYSLER SERVICES NORTH AMERIC MI 8.01,9.01 11/03/04 DAKOTA GROWERS PASTA CO INC ND 1.01,9.01 11/03/04 DANKA BUSINESS SYSTEMS PLC 2.02 11/04/04 DAVE & BUSTERS INC MO 1.01,2.01,9.01 11/01/04 DAYBREAK MINES INC WA 3.02,9.01 11/02/04 DEB SHOPS INC PA 2.02,9.01 11/04/04 DEEP WELL OIL & GAS INC NV 7.01,8.01,9.01 07/08/04 DENTAL PATIENT CARE AMERICA INC UT 4.02 11/02/04 DENTSPLY INTERNATIONAL INC /DE/ DE 5.02,9.01 11/02/04 DEVELOPERS DIVERSIFIED REALTY CORP OH 1.01,9.01 11/02/04 DEVON ENERGY CORP/DE DE 2.02,9.01 11/04/04 DIATECT INTERNATIONAL CORP CA 4.01,9.01 11/04/04 DIGENE CORP DE 2.02,9.01 11/03/04 DILLARDS INC DE 7.01,9.01 11/04/04 DIOMED HOLDINGS INC NV 3.02 11/05/04 AMEND DISCOVER CARD MASTER TRUST I DE 8.01,9.01 11/03/04 DISTRIBUTED ENERGY SYSTEMS CORP DE 2.02,9.01 11/04/04 DOBI MEDICAL INTERNATIONAL INC NV 2.02,9.01 11/04/04 DOBSON COMMUNICATIONS CORP OK 1.01,3.03,9.01 11/05/04 DOLLAR TREE STORES INC VA 2.02,7.01,9.01 11/03/04 DOVER CORP DE 5.02,9.01 11/04/04 DOVER CORP DE 5.02 11/04/04 DRS TECHNOLOGIES INC DE 2.02,9.01 11/05/04 DTE ENERGY CO MI 7.01,9.01 11/05/04 DYNACQ HEALTHCARE INC DE 1.01,2.04,9.01 11/04/04 DYNEGY INC /IL/ IL 1.01,9.01 11/01/04 EACO CORP FL 2.02 09/29/04 EARTHFIRST TECHNOLOGIES INC FL 9.01 08/20/04 AMEND EDEN ENERGY CORP NV 4.01,9.01 10/20/04 AMEND EDISON INTERNATIONAL CA 2.02,9.01 11/05/04 EFJ INC DE 1.02,9.01 11/05/04 EFUNDS CORP DE 1.01 11/05/04 EMCORE CORP NJ 2.02,7.01,9.01 11/04/04 ENDOVASC INC NV 5.02 10/22/04 ENDOVASC INC NV 5.02 11/04/04 ENEFTECH CORP TX 5.02,8.01 11/05/04 ENERGY & ENGINE TECHNOLOGY CORP NV 3.02 11/05/04 ENERGY CONVERSION DEVICES INC DE 5.03 11/04/04 ENERGY EAST CORP NY 2.02,7.01,9.01 11/04/04 ENERGY WEST INC MT 1.01,9.01 11/02/04 ENRON CORP/OR/ OR 8.01,9.01 11/02/04 ENZON PHARMACEUTICALS INC DE 8.01,9.01 11/05/04 EQUITY ONE INC MD 2.01 11/04/04 ESPEED INC DE 2.02,9.01 11/04/04 ESSEX CORPORATION VA 8.01 11/05/04 EVANS BOB FARMS INC DE 2.03 11/03/04 EVEREST RE GROUP LTD C8 7.01 11/03/04 EVOLVING SYSTEMS INC DE 7.01 11/04/04 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02 11/02/04 EXTENDED SYSTEMS INC DE 2.02,9.01 11/03/04 EXTENDICARE HEALTH SERVICES INC DE 2.02,9.01 11/04/04 FARNSWORTH BANCORP INC NJ 3.02 11/05/04 FARO TECHNOLOGIES INC FL 2.02,7.01 11/05/04 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 11/03/04 AMEND FERRELLGAS PARTNERS L P DE 2.02,7.01,8.01,9.01 11/05/04 FINANCIAL SECURITY ASSURANCE HOLDINGS NY 2.02,9.01 11/04/04 FIRST FINANCIAL BANCORP /CA/ CA 8.01,9.01 11/04/04 FIRST SECURITY GROUP INC/TN TN 2.02 11/05/04 FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 08/18/04 AMEND FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 09/18/04 AMEND FIRST UNION COMMERCIAL MORTGAGE SECUR NC 8.01,9.01 10/18/04 AMEND FIRSTCITY FINANCIAL CORP DE 1.01,2.01,5.02,9.01 11/01/04 FIRSTMERIT CORP /OH/ OH 1.01,9.01 11/05/04 FISHER COMMUNICATIONS INC WA 2.02,9.01 11/04/04 FISHER COMMUNICATIONS INC WA 1.02,9.01 11/04/04 FLORIDA EAST COAST INDUSTRIES INC FL 7.01,9.01 11/05/04 FOAMEX INTERNATIONAL INC DE 2.02,9.01 11/05/04 FOAMEX INTERNATIONAL INC DE 2.02,9.01 11/05/04 AMEND FOREST OIL CORP NY 2.02,7.01,9.01 11/03/04 Fremont Home Loan Trust 2004-3 DE 8.01 10/22/04 FUELCELL ENERGY INC DE 2.01,9.01 11/01/04 FULTON FINANCIAL CORP PA 7.01,9.01 11/05/04 FULTON FINANCIAL CORP PA 7.01,9.01 11/05/04 GAS TRANSMISSION NORTHWEST CORP CA 5.01,5.02 11/01/04 GATEWAY ENERGY CORP/NE DE 5.02 11/01/04 GATEWAY INC DE 1.01,2.03,9.01 11/01/04 GENCORP INC OH 8.01,9.01 11/04/04 GENERAL MOTORS ACCEPTANCE CORP DE 8.01 11/04/04 GENERAL MOTORS CORP DE 8.01 11/04/04 GENIO GROUP INC DE 3.02,5.02,8.01,9.01 10/29/04 GENUS INC CA 2.02,9.01 11/04/04 GEORGIA CAROLINA BANCSHARES INC GA 2.02,9.01 10/28/04 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 11/05/04 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,4.02 11/04/04 GOVERNMENT PROPERTIES TRUST INC 2.01,9.01 11/05/04 GREEN MOUNTAIN POWER CORP VT 8.01,9.01 11/03/04 GRIFFON CORP DE 2.02,9.01 09/30/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 11/03/04 GULFMARK OFFSHORE INC DE 2.02,9.01 11/04/04 HAMPSHIRE GROUP LTD DE 2.02,9.01 10/02/04 HANCOCK HOLDING CO MS 7.01,8.01,9.01 11/04/04 HARDINGE INC NY 2.01,9.01 11/03/04 HARDINGE INC NY 2.02,9.01 11/04/04 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/04/04 HARTMAN COMMERCIAL PROPERTIES REIT TX 2.02,9.01 11/05/04 HEALTHTRAC INC 1.01,9.01 11/05/04 HEALTHTRONICS SURGICAL SERVICES INC GA 2.02 11/05/04 HEARTLAND BANCSHARES INC /IN/ IN 2.02,9.01 11/05/04 HERBST GAMING INC NV 7.01,9.01 11/05/04 HERITAGE FINANCIAL HOLDING 2.02,9.01 11/05/04 HEWITT ASSOCIATES INC DE 5.02 10/01/04 AMEND HOLLY CORP DE 1.01,9.01 11/04/04 HOLLY CORP DE 2.02,9.01 11/04/04 Home Equity Asset Trust 2004-7 DE 8.01,9.01 10/25/04 HOME FINANCIAL BANCORP IN 2.02,9.01 11/04/04 HOME PROPERTIES INC MD 7.01,9.01 09/30/04 HORIZON OFFSHORE INC DE 1.01,3.02,3.03,8.01,9.01 11/04/04 HRPT PROPERTIES TRUST MD 2.02,9.01 11/03/04 HUBBELL INC CT 5.02,9.01 11/05/04 HUMANA TRANS SERVICES HOLDING CORP DE 8.01,9.01 11/01/04 IMAGIS TECHNOLOGIES INC A1 7.01 11/05/04 IMMUCOR INC GA 5.02 11/05/04 INDYMAC MBS INC 9.01 11/05/04 INFOCROSSING INC DE 5.02,9.01 11/03/04 INLAND REAL ESTATE CORP MD 8.01,9.01 11/05/04 INNOVATE ONCOLOGY, INC. NV 9.01 11/05/04 INSCI CORP DE 1.01,5.03,9.01 11/02/04 INTERPOOL INC DE 1.01,2.03,9.01 11/05/04 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 11/04/04 INTERSTATE BAKERIES CORP/DE/ DE 1.01,9.01 11/01/04 INVITROGEN CORP DE 9.01 02/06/04 AMEND ISPAT INLAND INC DE 4.02 10/29/04 IVAX CORP FL 8.01,9.01 10/22/04 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 11/03/04 JB OXFORD HOLDINGS INC DE 8.01 09/13/04 JCM PARTNERS LLC DE 3.02 11/01/04 KINDER MORGAN ENERGY PARTNERS L P DE 7.01,9.01 11/04/04 KITE REALTY GROUP TRUST MD 2.02,5.03,9.01 11/02/04 KIWI NETWORK SOLUTIONS INC NV 8.01 11/04/04 KOPPERS INC PA 2.02 11/02/04 L 3 COMMUNICATIONS HOLDINGS INC DE 8.01,9.01 11/01/04 LACLEDE GROUP INC MO 1.02,9.01 11/03/04 LAKES ENTERTAINMENT INC MN 2.02,9.01 11/05/04 LANCER CORP /TX/ TX 2.02,9.01 11/05/04 LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 11/05/04 AMEND LEATHER FACTORY INC DE 8.01,9.01 11/01/04 LEXICON GENETICS INC/TX DE 5.02,9.01 11/02/04 LONGS DRUG STORES CORP MD 7.01,9.01 11/05/04 LUMERA CORP 1.01,2.02,9.01 11/04/04 MACERICH CO MD 9.01 09/30/04 MADISON RIVER CAPITAL LLC DE 2.02,9.01 11/04/04 MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 11/05/04 MAGNA ENTERTAINMENT CORP DE 9.01 11/04/04 MAGUIRE PROPERTIES INC MD 1.01,1.02 11/05/04 MANUFACTURED HOME COMMUNITIES INC MD 8.01 11/05/04 MANUFACTURED HOME COMMUNITIES INC MD 8.01 11/05/04 MARCONI CORP PLC X0 8.01 11/05/04 MARINER HEALTH CARE INC DE 2.02 11/05/04 MARKLAND TECHNOLOGIES INC FL 1.01,5.02 11/05/04 MAXTOR CORP DE 2.02,8.01,9.01 11/04/04 AMEND MB FINANCIAL INC /MD MD 1.01,9.01 11/03/04 MC SHIPPING INC 1.01 10/30/04 McCormick & Schmicks Seafood Restaura 2.02,9.01 11/03/04 MCLEODUSA INC DE 1.02 11/01/04 MEDALLION FINANCIAL CORP DE 8.01 11/05/04 MEDQUIST INC NJ 1.01,1.02,9.01 11/04/04 MELLON FINANCIAL CORP PA 9.01 11/05/04 MEMS USA INC NV 5.02 11/01/04 MERRILL LYNCH & CO INC DE 8.01,9.01 11/05/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 10/21/04 METALINE CONTACT MINES WA 5.02,8.01,9.01 09/08/04 MICRO INTERCONNECT TECHNOLOGY INC NV 3.02,5.01,5.02,9.01 11/03/04 MICRO INTERCONNECT TECHNOLOGY INC NV 4.01,9.01 11/04/04 MICROTUNE INC DE 2.02 07/29/04 MILLS CORP DE 5.02 11/01/04 MineCore International, Inc CO 4.01,8.01,9.01 11/01/04 MineCore International, Inc CO 4.01,8.01,9.01 11/04/04 AMEND MISSION ENERGY HOLDING CO DE 2.02,9.01 11/05/04 MMI PRODUCTS INC DE 2.02,9.01 11/05/04 MOOG INC NY 2.02,9.01 11/05/04 MORGAN STANLEY ABS CAPITAL I INC DE 8.01,9.01 11/03/04 Morgan Stanley Capital I Trust 2004 H DE 8.01,9.01 10/01/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 2.01,9.01 10/13/04 MOSCOW CABLECOM CORP DE 2.03,9.01 11/01/04 MTM Technologies, Inc. NY 1.01 11/02/04 AMEND MYOFFIZ, INC. NV 8.01,9.01 10/13/04 MYOFFIZ, INC. NV 8.01,9.01 10/13/04 NELNET INC NE 2.02,9.01 11/05/04 NEUROGEN CORP DE 9.01 09/30/04 NEWFIELD EXPLORATION CO /DE/ DE 5.02 11/05/04 NN INC DE 2.02,9.01 11/02/04 NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 11/03/04 NORTHERN BORDER PARTNERS LP DE 1.01,9.01 10/25/04 NORTHWESTERN CORP DE 1.01,1.02,2.03,7.01,9.01 11/01/04 NOXSO CORP VA 1.01,9.01 11/01/04 NUWAVE TECHNOLOGIES INC DE 2.03,3.02,9.01 11/05/04 NYER MEDICAL GROUP INC FL 5.02 11/04/04 OGE ENERGY CORP OK 8.01 11/05/04 OHIO LEGACY CORP OH 2.02,9.01 11/05/04 OKLAHOMA GAS & ELECTRIC CO OK 8.01 11/05/04 OLD LINE BANCSHARES INC 2.02,9.01 11/04/04 OMEGA FINANCIAL CORP /PA/ PA 2.02,9.01 11/05/04 OPENWAVE SYSTEMS INC DE 1.01,5.02,5.03,9.01 11/01/04 ORBIT INTERNATIONAL CORP DE 2.02 11/04/04 OVERNITE CORP VA 1.01 11/03/04 Oxford Media Corp DE 1.01,3.02,7.01,9.01 08/17/04 PACER INTERNATIONAL INC TN 1.01,9.01 11/01/04 PACIFIC ENTERPRISES INC CA 8.01 11/04/04 PACKAGING DYNAMICS CORP DE 2.02,9.01 11/04/04 PC TEL INC DE 1.01 11/01/04 PENN NATIONAL GAMING INC PA 1.01,8.01,9.01 11/03/04 PENN VIRGINIA CORP VA 2.02,7.01,9.01 11/04/04 AMEND PEREGRINE SYSTEMS INC DE 1.01,5.02,9.01 11/01/04 PERFICIENT INC DE 2.02,9.01 11/03/04 PETROL OIL & GAS INC 8.01 10/27/04 PETROLEUM DEVELOPMENT CORP NV 2.02 09/30/04 PHAR MOR INC PA 7.01 10/18/04 PHARMACOPEIA DRUG DISCOVERY INC DE 2.02,9.01 11/04/04 PHOENIX INTERESTS INC 4.01,9.01 10/25/04 PHOTON DYNAMICS INC CA 1.01 11/03/04 PIONEER DRILLING CO TX 2.02,9.01 11/04/04 PIONEER NATURAL RESOURCES CO DE 1.01,9.01 09/30/04 PIONEER NATURAL RESOURCES CO DE 1.01,9.01 09/28/04 AMEND PLUMTREE SOFTWARE INC DE 8.01 11/03/04 POGO PRODUCING CO DE 5.02,9.01 11/05/04 POLARIS INDUSTRIES INC/MN MN 2.02 11/05/04 POLYMEDICA CORP MA 8.01,9.01 11/03/04 POWER 3 MEDICAL PRODUCTS INC NY 3.03,5.03,8.01,9.01 11/01/04 POWERWAVE TECHNOLOGIES INC DE 8.01,9.01 11/04/04 PRECIS INC OK 2.02,9.01 08/04/04 PRIME GROUP REALTY TRUST MD 2.02,9.01 11/05/04 PRINCETON REVIEW INC DE 2.02,9.01 11/05/04 PRO PHARMACEUTICALS INC NV 5.02 11/01/04 PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 11/02/04 PROVIDENCE SERVICE CORP DE 4.01 10/21/04 AMEND PROXYMED INC /FT LAUDERDALE/ FL 5.02 11/03/04 PUBLIC STORAGE INC /CA CA 2.02 09/30/04 QEP CO INC DE 8.01,9.01 11/01/04 QUANTA CAPITAL HOLDINGS LTD 2.02,9.01 11/02/04 Quest Minerals & Mining Corp UT 2.01,9.01 04/28/04 AMEND RAYONIER INC NC 8.01 11/05/04 RELIV INTERNATIONAL INC IL 8.01,9.01 11/04/04 RENTECH INC /CO/ CO 1.01,9.01 11/05/04 AMEND RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 11/05/04 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 11/05/04 ROCKWELL COLLINS INC DE 1.01,5.02,9.01 11/02/04 ROO GROUP INC DE 2.01,9.01 09/15/04 AMEND ROUSE COMPANY MD 8.01,9.01 11/04/04 RUDDICK CORP NC 2.02,9.01 11/04/04 RUSH FINANCIAL TECHNOLOGIES INC TX 7.01,9.01 11/04/04 RYERSON TULL INC /DE/ DE 3.02 11/04/04 SAFECO CORP WA 1.01,5.02,9.01 11/02/04 SalesTactix, Inc. DE 5.02 09/27/04 AMEND SAN DIEGO GAS & ELECTRIC CO CA 8.01 11/04/04 SANDS REGENT NV 1.01,9.01 11/01/04 SCOTTS LIQUID GOLD INC CO 2.02,9.01 09/30/04 SEABOARD CORP /DE/ DE 2.02,9.01 11/05/04 SEMPRA ENERGY CA 8.01 11/04/04 Sequoia Mortgage Trust 2004-6 8.01,9.01 10/20/04 Sequoia Mortgage Trust 2004-7 8.01,9.01 10/20/04 Sequoia Mortgage Trust 2004-8 8.01,9.01 10/20/04 SEQUOIA MORTGAGE TRUST 2004-9 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SEQUOIA RESIDENTIAL FUNDING INC 8.01,9.01 10/20/04 SERVICE CORPORATION INTERNATIONAL TX 7.01 11/05/04 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 11/05/04 SILGAN HOLDINGS INC DE 8.01,9.01 11/05/04 SILICON VALLEY BANCSHARES DE 1.01,9.01 11/02/04 SILVERADO GOLD MINES LTD A1 3.02 11/04/04 SILVERSTAR HOLDINGS LTD B0 2.02 11/04/04 SIMON PROPERTY GROUP INC /DE/ DE 9.01 10/13/04 AMEND SIMTEK CORP CO 2.02,9.01 11/04/04 SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 11/05/04 SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 11/04/04 SPECIALIZED HEALTH PRODUCTS INTERNATI DE 8.01 10/26/04 SPORT HALEY INC CO 5.02 10/29/04 SPSS INC DE 2.02,9.01 11/03/04 STAR GAS PARTNERS LP DE 1.01 11/05/04 STEEL TECHNOLOGIES INC KY 8.01,9.01 09/30/04 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,5.02,9.01 11/04/04 STRATUS PROPERTIES INC DE 2.02,9.01 11/05/04 Structured Asset Mortgage Investments DE 2.01,9.01 11/05/04 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02 11/01/04 SWIFT TRANSPORTATION CO INC NV 1.01,5.02,5.03,9.01 11/03/04 SYNAGRO TECHNOLOGIES INC DE 2.02,9.01 11/04/04 TECH LABORATORIES INC NJ 4.01,9.01 11/04/04 TELETECH HOLDINGS INC DE 7.01 11/03/04 TEMPLE INLAND INC DE 8.01,9.01 11/05/04 TEREX CORP DE 8.01 11/05/04 TIENS BIOTECH GROUP USA INC 8.01 10/28/04 TIME AMERICA INC NV 2.02,9.01 11/03/04 TITANIUM METALS CORP DE 2.02,7.01,9.01 11/05/04 TOREADOR RESOURCES CORP DE 2.02,7.01,9.01 11/04/04 TREASURE MOUNTAIN HOLDINGS INC NV 7.01 09/29/04 TREASURE MOUNTAIN HOLDINGS INC NV 2.01,4.01,5.02,9.01 09/29/04 AMEND TRIARC COMPANIES INC DE 2.02,5.03,9.01 11/04/04 TRIMERIS INC DE 8.01,9.01 11/01/04 TRIMERIS INC DE 8.01,9.01 10/31/04 TRIZETTO GROUP INC DE 2.02,8.01,9.01 11/03/04 TURBOSONIC TECHNOLOGIES INC DE 4.01 11/04/04 TWIN DISC INC WI 3.01 10/15/04 AMEND U S RESTAURANT PROPERTIES INC MD 8.01,9.01 11/04/04 UCAP INC CO 1.03,8.01,9.01 10/29/04 UFP TECHNOLOGIES INC DE 2.02,9.01 11/04/04 UGI CORP /PA/ PA 1.01 11/01/04 UGI UTILITIES INC PA 1.01 11/01/04 UNISOURCE ENERGY CORP AZ 2.02 11/04/04 UNITED FINANCIAL INC NC 2.02,9.01 11/05/04 UNITED GUARDIAN INC DE 2.02,9.01 11/05/04 UNITED PAN AM FINANCIAL CORP CA 4.02,9.01 11/01/04 UNITY BANCORP INC /DE/ DE 7.01,9.01 11/03/04 UQM TECHNOLOGIES INC CO 1.01,8.01,9.01 11/01/04 US CAN CORP DE 9.01 11/05/04 US UNWIRED INC LA 2.02,9.01 11/02/04 USURF AMERICA INC NV 1.01,3.02,9.01 10/29/04 VALENCE TECHNOLOGY INC DE 2.02,9.01 11/04/04 VALENCE TECHNOLOGY INC DE 1.01,9.01 11/03/04 VALUECLICK INC/CA DE 2.02,9.01 11/04/04 VARCO INTERNATIONAL INC /DE/ DE 2.02,9.01 11/02/04 VERINT SYSTEMS INC 5.02 11/01/04 VIROPHARMA INC DE 2.02,9.01 11/05/04 VISION SCIENCES INC /DE/ DE 2.02,9.01 11/04/04 VITACUBE SYSTEMS HOLDINGS INC NV 1.01,9.01 09/14/04 VYYO INC DE 1.01 11/01/04 WARRANTECH CORP DE 1.01,9.01 11/02/04 WASHTENAW GROUP INC 2.02 11/05/04 WELLS FARGO & CO/MN DE 9.01 11/05/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 11/05/04 WESTBRIDGE RESEARCH GROUP CA 5.02 11/03/04 WESTERN GAS RESOURCES INC DE 2.02,9.01 11/05/04 WGL HOLDINGS INC VA 2.02,9.01 11/04/04 WILLIAM LYON HOMES DE 2.02,9.01 11/04/04 WILLIAMS COAL SEAM GAS ROYALTY TRUST DE 2.02,9.01 11/04/04 WILLIAMS COMPANIES INC DE 8.01,9.01 06/01/04 WILLIAMS SCOTSMAN INC MD 2.02,9.01 09/30/04 WINFIELD FINANCIAL GROUP INC NV 2.01,5.01,5.02,8.01,9.01 04/30/04 AMEND WISCONSIN ENERGY CORP WI 1.01,2.03 11/01/04 WORLD WASTE TECHNOLOGIES INC CA 5.02,9.01 11/05/04 XCYTE THERAPIES INC WA 3.03,5.03,7.01,9.01 11/01/04 XEROX CORP NY 8.01 11/04/04 XYBERNAUT CORP DE 1.01,3.02 11/01/04 YFC 355 CORP NV 1.02 11/03/04 ZAP CA 7.01,8.01,9.01 11/05/04 ZEOLITE EXPLORATION CO 4.01,9.01 11/05/04 ZIX CORP TX 2.02,9.01 11/04/04 ZKID NETWORK CO NV 5.02 11/05/04