SEC NEWS DIGEST Issue 2004-240 December 15, 2004 COMMISSION ANNOUNCEMENTS IN THE MATTER OF ABSOLUTE HEALTH AND FITNESS, INC. The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Absolute Health, Inc. (Absolute Health) (stock symbol AHFI ) at 9:30 a.m. EST, Dec. 15, 2004 through 11:59 p.m. EST, on Dec. 29, 2004. The Commission temporarily suspended trading in the securities of Absolute Health because of questions raised regarding the accuracy of publicly disseminated information concerning, among other things, its corporate status and its ownership of certain health and fitness facilities. The Commission cautions brokers-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, it should refrain from entering quotations relating to Absolute Health securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker dealer or other person has any information which may relate to this matter, they should immediately communicate it to Doreen Mosaphir, Investor Assistance Specialist, Southeast Regional Office of the Securities and Exchange Commission. She can be reached at (305) 982- 6301 or by e-mail at Miami@sec.gov. (Rel. 34-50857) SEC ORDERS A SUSPENSION OF TRADING IN THE STOCK OF AIMSI TECHNOLOGIES, INC. The Commission today announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Aimsi Technologies, Inc. (Aimsi) (stock symbol AIMT) at 9:30 a.m. EST, Dec. 15, 2004 through 11:59 p.m. EST, on Dec. 29, 2004. The Commission temporarily suspended trading in the securities of Aimsi because of questions raised regarding the accuracy and completeness of information about Aimsi in Aimsi’s press releases and in fax tout sheets concerning, among other things, Aimsi’s contract with China Global Distribution Corp. for the distribution of Aimsi’s Automatic Large Area Remote Mapper. The Commission cautions brokers-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, it should refrain from entering quotations relating to Aimsi securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. Any broker, dealer or other person with information relating to this matter is invited to call Andrew M. Calamari, Associate Director, in the Northeast Regional Office of the Securities and Exchange Commission, at (646) 428-1659 or calamaria@sec.gov. (Rel. 34-50858) SEC CHIEF ACCOUNTANT WELCOMES PCAOB INVOLVEMENT IN INDEPENDENCE STANDARDS- SETTING In response to the Public Company Accounting Oversight Board (PCAOB) action earlier today, proposing certain ethics and independence rules for public comment, the Commission’s Chief Accountant, Donald T. Nicolaisen, noted that he welcomed PCAOB involvement in this important area. The PCAOB’s proposed rules grew out of its public roundtable on auditor independence held in July, and address issues relating to tax services and contingent fees. Although the Commission historically has adopted its own rules and interpretations regarding auditor independence issues – and will continue to provide companies and audit committees with guidance on independence issues – Nicolaisen stated that he looks forward to the PCAOB fulfilling its role and becoming the primary standard-setter and source of guidance to auditors on these issues. “It’s appropriate that the PCAOB play a robust role in the area of auditor independence,” Nicolaisen stated. “Since the passage of the Sarbanes-Oxley Act in 2002, there have been many questions about the types of services auditors may provide without compromising their independence, especially with respect to tax services. PCAOB guidance in this area will be helpful to audit committees, in particular, as they consider these issues.” There will be an opportunity for public comment on the PCAOB’s proposed rules before the PCAOB Board takes final action, and Nicolaisen stated that he hoped a broad range of commenters would take the opportunity to participate in that process. The final rules adopted by the Board will be submitted to the Commission for approval. (Press Rel. 2004-169) ENFORCEMENT PROCEEDINGS FIRST COMMAND TO PAY $12 MILLION TO SETTLE SEC AND NASD SALES PRACTICE CHARGES On December 15, the Commission announced the institution of settled public administrative and cease-and-desist proceedings against First Command Financial Planning, Inc. (First Command), a registered broker- dealer whose customer base consists almost entirely of active-duty and retired U.S. Military personnel. The Commission’s Order finds that First Command, which is headquartered in Fort Worth, Texas, violated Section 17(a)(2) of the Securities Act by using misleading sales materials to offer and sell mutual-fund investments through an installment method called a systematic investment plan (systematic plan). The systematic plans allowed investors to accumulate mutual-fund shares indirectly by making fixed monthly contributions over a period of at least 15 years. Systematic-plan investors were charged an upfront load on the plans equal to 50% of the plan’s first 12 monthly payments. The Commission’s Order finds that, since at least January 1999, First Command offered and sold systematic plans by, in part, making misleading statements and omissions concerning: (a) comparisons between the systematic plan and other mutual-fund investments; (b) the availability of the Thrift Savings Plan, a Federal Government-sponsored retirement savings and investment plan, which offers military investors many of the features of a systematic plan at lower costs; and (c) the efficacy of the upfront load in ensuring that investors remain committed to the systematic plan. The Commission’s Order directs First Command to cease and desist from committing or causing any violations and any future violations of Section 17(a)(2) of the Securities Act and also censures the firm. First Command is also ordered to pay disgorgement and interest of $12 million, which shall be used to make restitution to certain customers and to fund an investor-education program for the U.S. military and their families as provided in a related settled NASD disciplinary action, which was also announced today (NASD Case No. CAF040085). First Command is also required to retain an Independent Consultant for two years to, among other things, review and make recommendations concerning the adequacy of First Command’s sales literature, sales training systems and procedures, and supervisory procedures and systems. First Command consented to the issuance of the Commission’s Order without admitting or denying the Order’s substantive findings. (Rels. 33-8513; 34-50859; File No. 3-11770; Press Rel. 2004-170) PENNY STOCK BAR – JOSEPH LENTS Joseph L. Lents, of Boca Raton, Florida, has been barred from participating in an offering of penny stock. Thus, he is prohibited from engaging in any activities related to the issuance, purchase, or sale of such speculative low-priced securities. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. Lents was permanently enjoined from committing further violations of the antifraud and registration provisions of the securities laws. From November 2001 through April 2002, he and others had carried out a fraudulent “pump and dump” scheme to manipulate the price of stock of Investco, Inc., a penny stock. (Initial Decision No. 267; File No. 3- 11693) SEC CHARGES TWO MERRILL LYNCH DESKTOP PUBLISHERS WITH INSIDER TRADING On December 14, the Commission charged a San Francisco couple, Min T. Ma and Joyce Manni Ng, with reaping approximately $438,000 in illegal profits by trading ahead of mergers they learned about while working as onsite desktop publishers for investment banking firm Merrill Lynch. Ma and Ng were employed by Bowne Business Solutions to work as desktop publishing specialists at Merrill Lynch’s Palo Alto, California office. The Commission’s complaint alleges that from May to November 2003, Ma and Ng invested several times their annual income in the targets of mergers based on information they learned from confidential deal documents and access to Merrill Lynch computer files. Ma and Ng bought stock in three public companies – Oak Technology, Inc., SangStat Medical Corporation, and Applied Molecular Evolution, Inc. – shortly after working on confidential documents. Soon thereafter, when the mergers were announced and the stock prices skyrocketed, Ma and Ng liquidated their shares and doubled their money. The Commission’s complaint charges Ma and Ng with trading on the basis of material, nonpublic information in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks an order requiring Ma and Ng to disgorge their illegal trading profits and pay civil monetary penalties and prejudgment interest, and permanently enjoining Ma and Ng from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. [SEC v. Min T. Ma and Joyce Manni Ng, Case No. C-04-5295 (MHP, N.D. Cal.] (LR-18998) FOUR FORMER PURCHASEPRO EXECUTIVES SETTLE FINANCIAL FRAUD CASE WITH SEC THE FORMER PURCHASEPRO EXECUTIVES ALSO AGREE TO ENTER GUILTY PLEAS TO RELATED FEDERAL CRIMINAL CHARGES The Commission today filed a settled civil injunctive action in the U.S. District Court for the Eastern District of Virginia against four former executives of PurchasePro.com, Inc. for violations of the antifraud, books-and-records, internal accounting controls, periodic reporting and lying-to-auditors provisions of the federal securities laws. According to the complaint, the defendants—R. Geoffrey Layne, James S. Sholeff, Dale Boeth, and Shawn McGhee—participated in a fraudulent scheme to artificially inflate the first quarter 2001 (Q1 2001) revenues of PurchasePro.com, Inc., a Las Vegas-based Internet company now known as Pro-After, Inc. All four individuals, who were officers or senior employees of PurchasePro, settled the charges without admitting or denying the Commission’s allegations. The Commission’s complaint alleges that in Q1 2001 and continuing through April 2001, each defendant took knowing and deliberate steps designed to inflate PurchasePro’s revenues in contravention of generally accepted accounting principles (GAAP). In particular, the complaint alleges that, Layne, while serving as PurchasePro’s Executive Vice President, (i) entered into, and concealed the existence of, reciprocal agreements that rendered it improper to recognize $1 million in revenue from two marketplace license sales to PurchasePro customers; and (ii) took steps to make it falsely appear that a purported “Statement of Work” contract between PurchasePro and AOL, valued at $3.65 million, was executed during Q1 2001, when in fact it was never properly executed. The complaint further alleges that Boeth, PurchasePro’s Senior Vice President of Consulting Services, and Sholeff, a PurchasePro Vice President, also took steps to make it falsely appear that the Statement of Work agreement was executed during Q1 2001, and that Sholeff took similar steps with respect to a $3.7 million marketplace license sale. According to the complaint, McGhee, PurchasePro’s Chief Operating Officer during the relevant period, took steps to (i) make it falsely appear that a $3.5 million marketplace license sale had been entered into during Q1 2001; and (ii) conceal the existence of reciprocal agreements that rendered it improper to recognize any revenue from that sale. Each of these transactions had a misleading impact on the revenues announced and reported by PurchasePro. As reflected in the complaint, by including these transactions, PurchasePro artificially and materially inflated its publicly announced revenues by at least 34% and its reported revenues by over 37%. In addition, the complaint alleges that, during April 2001, Layne and Sholeff attempted to conceal their conduct by destroying certain documents. In particular, the complaint alleges that Sholeff and Layne deleted, or requested others to delete, their AOL-related emails, and that Sholeff shredded all of his AOL related documents and destroyed his laptop. The complaint further alleges that in February 2002, Layne and Sholeff lied to the Commission staff during testimony in order to conceal their fraudulent conduct. Finally, the complaint alleges that in April 2001, PurchasePro paid Layne a $200,000 retention bonus and that at or about the same time, PurchasePro paid Boeth a total of $150,000 in retention bonuses. Based on these factual allegations, the Commission charged: (i) Layne and McGhee with violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5, 13b2-1 and 13b2-2, and with aiding and abetting PurchasePro’s violations of Exchange Act Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B), and of Exchange Act Rules 12b-20 and 13a-13; (ii) Sholeff with violating Exchange Act Sections 10(b) and 13(b)(5) and Exchange Act Rules 10b-5 and 13b2-1, and with aiding and abetting PurchasePro’s violations of Exchange Act Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B), and of Exchange Act Rules 12b-20 and 13a-13; and (iii) Boeth with violating Exchange Act Sections 10(b) and 13(b)(5) and Exchange Act Rules 10b-5, 13b2-1 and 13b2-2. Without admitting or denying the Commission’s allegations, each defendant consented to final judgments that would permanently enjoin each of them from violating the foregoing securities law provisions, and that would: (i) in the case of Layne, permanently bar him from acting as an officer or director of any public company, and order Layne to pay disgorgement of $200,000 plus prejudgment interest; (ii) in the case of Sholeff, permanently bar him from acting as an officer or director of any public company, and order Sholeff to pay a $35,000 civil penalty; (iii) in the case of Boeth, permanently bar him from acting as an officer or director of any public company, and order Boeth to pay disgorgement of $150,000 plus prejudgment interest, but waive payment, and not impose a civil penalty, based on Boeth’s demonstrated inability to pay; and (iv) in the case of McGhee, bar him for five years from serving as an officer or director of any public company. The final judgment against Layne permits him to offset his payment of disgorgement by the corresponding amount of any restitution he pays in connection with the parallel criminal proceeding described below; while the final judgment against Sholeff permits him to offset his payment of civil penalties by the corresponding amount of any criminal fine he pays in connection with that same parallel criminal proceeding. The final judgments are subject to the approval of the United States District Court. Also today, in a related criminal proceeding, the United States Attorneys’ office for the Eastern District of Virginia announced that Layne, McGhee, Boeth and Sholeff have each agreed to plead guilty to single felony counts arising from the same circumstances as the Commission’s complaint. In particular, Layne will plead to a single felony count of securities fraud; McGhee and Boeth will each plead to a single felony count of conspiracy to commit securities fraud; and Sholeff will plead to a single felony count of perjury arising from false statements that Sholeff made to the SEC staff during the investigation. The Commission acknowledges the assistance of the United States Department of Justice, the United States Attorney’s Office for the Eastern District of Virginia, and the Federal Bureau of Investigation in the investigation of this matter. The Commission’s investigation is continuing. [SEC v. R. Geoffrey Layne, James S. Sholeff, Dale Boeth and Shawn McGhee, C.A. No. 04-1500 (E.D. Va)] (LR-18999; AAE Rel. 2152) SELF-REGULATORY ORGANIZATIONS IMMEDATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2004-91) filed by the American Stock Exchange providing $5 quotation spread parameters for quotations submitted electronically to ANTE and correcting an inaccurate paragraph designation, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of December 20. (Rel. 34-50843) PROPOSED RULE CHANGE The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., has filed a proposed rule change (SR-NASD- 2004-181), concerning modifications to The Nasdaq Market Center execution service. (Rel. 34-50845) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2004-133) submitted by the National Association of Securities Dealers to amend NASD Rule 9522 (Initiation of Eligibility Proceeding; Member Regulation Consideration) to give Member Regulation the authority to approve the MC- 400 applications of statutorily disqualified persons who will be engaged solely in clerical and/or ministerial activities. Publication of the order in the Federal Register is expected during the week of December 20. (Rel. 34-50848) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change submitted by the American Stock Exchange (SR-Amex-2004-87) relating to the listing and trading of contingent principal protected notes linked to the performance of the Standard and Poor’s 500 Composite Stock Price Index. . Publication of the order in the Federal Register is expected during the week of December 20. (Rel. 34-50850) 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: . SB-2 PSYCHIATRIC HEALTH DIRECT CORP, 100 CANIFF LN, CARY, NC, 27519, 9196232554 - 25,000 ($250,000.00) Equity, (File 333-121218 - Dec. 14) (BR. 09) N-2 Lazard Global Mid Cap Fund, Inc., 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10112, (212) 632-6000 - 100,000 ($2,000,000.00) Equity, (File 333-121222 - Dec. 14) (BR. 22) S-8 Orange 21 Inc., 2070 LAS PALMAS DRIVE, CARLSBAD, CA, 92009, (760) 804-8420 - 0 ($10,630,996.00) Equity, (File 333-121223 - Dec. 14) (BR. 36) S-3 REGENERON PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER RD, TARRYTOWN, NY, 10591-6707, 9143477000 - 0 ($200,000,000.00) Other, (File 333-121225 - Dec. 14) (BR. 01) S-3 NASDAQ STOCK MARKET INC, ONE LIBERTY PLAZA, NEW YORK, NY, 10006, 2128584750 - 0 ($100,000,000.00) Equity, (File 333-121226 - Dec. 14) (BR. 07) S-3 CITIBANK SOUTH DAKOTA N A, 425 PARK AVE., 2ND FLOOR, NEW YORK, NY, 10043, 6053312626 - 200 ($1,000,000.00) Other, (File 333-121228 - Dec. 14) (BR. 05) S-8 ALVARION LTD, 21A HABAMEL ST, TEL AVIV ISRAEL, L3, 69710, 01197236454803 - 423,156 ($16,052,660.12) Equity, (File 333-121229 - Dec. 14) (BR. 37) S-8 CONOR MEDSYSTEMS INC, 1003 HAMILTON COURT, MENLO PARK, CA, 94025, (650) 614-4100 - 7,779,014 ($42,465,911.30) Equity, (File 333-121230 - Dec. 14) (BR. 36) S-8 SuperCom Ltd., PO BOX 2094, RA, L3, 43665, 972-9-775-0800 - 0 ($6,288,264.00) Equity, (File 333-121231 - Dec. 14) (BR. 36) S-8 KNOLL INC, 1235 WATER ST, EAST GREENVILLE, PA, 18041, 2156797991 - 0 ($261,999,900.00) Equity, (File 333-121232 - Dec. 14) (BR. 06) F-6 STARPHARMA HOLDINGS LTD, BAKER BUILDING, COMMERCIAL ROAD, MELBOURNE VIC, C3, 00000, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-121233 - Dec. 14) (BR. ) S-8 ADA-ES INC, 320,216 ($3,205,389.55) Equity, (File 333-121234 - Dec. 14) (BR. 06) S-8 CMGI INC, 1100 WINTER STREET, SUITE 4600, WALTHAM, MA, 02451, 781-663-5001 - 15,000,000 ($33,300,000.00) Equity, (File 333-121235 - Dec. 14) (BR. 37) S-3 DAWSON GEOPHYSICAL CO, 508 WEST WALL, SUITE 800, MIDLAND, TX, 79701, 9156843000 - 0 ($37,924,125.00) Equity, (File 333-121236 - Dec. 14) (BR. 04) S-8 POWERBALL INTERNATIONAL INC, 3001 KNOX STREET, SUITE 407, DALLAS, TX, 75205, 214-389-2151 - 0 ($2,925,000.00) Equity, (File 333-121237 - Dec. 14) (BR. 06) S-11 Cornerstone Realty Fund Inc, 4590 MACARTHUR BLVD, SUITE 610, NEWPORT BEACH, CA, 92660, 949-852-1007 - 0 ($438,800,000.00) Equity, (File 333-121238 - Dec. 14) (BR. 05) S-4 MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432, 7635144000 - 0 ($1,968,213,135.00) Debt Convertible into Equity, (File 333-121239 - Dec. 14) (BR. 36) S-8 Texas Roadhouse, Inc., 6040 DUTCHMANS LANE, SUITE 400, LOUISVILLE, KY, 40205, 5024269984 - 0 ($223,040,000.00) Equity, (File 333-121241 - Dec. 14) (BR. 05) S-8 FAIR ISAAC CORP, 200 SMITH RANCH ROAD, SAN RAFAEL, CA, 94903, 4154722211 - 0 ($7,065,588.00) Equity, (File 333-121243 - Dec. 14) (BR. 08) S-8 EDUCATE INC, 1001 FLEET STREET, BALTIMORE, MD, 21022, 410-843-6848 - 0 ($23,179,959.04) Equity, (File 333-121244 - Dec. 14) (BR. 37) S-1 ROME BANCORP INC, 100 WEST DOMINICK STREET, ROME, NY, 13440, 3153367300 - 0 ($119,258,740.00) Equity, (File 333-121245 - Dec. 14) (BR. 07) S-3 FLAG FINANCIAL CORP, 3475 PIEDMONT RD NE, STE 550, ATLANTA, GA, 30305, 4047607700 - 236,723 ($3,354,365.00) Equity, (File 333-121246 - Dec. 14) (BR. 07) S-8 EWORLDMEDIA HOLDINGS INC, 610 NEWPORT CENTER DRIVE, SUITE 210, NEWPORT BEACH, CA, 92660, 949-718-0999 - 199,000,000 ($338,300.00) Equity, (File 333-121247 - Dec. 14) (BR. 08) S-8 NOVELLUS SYSTEMS INC, 4000 N FIRST ST, SAN JOSE, CA, 95134, 4089439700 - 0 ($22,616,360.00) Equity, (File 333-121248 - Dec. 14) (BR. 36) S-3 CWMBS INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, 8183045591 - 5,000,000,000 ($5,000,000,000.00) Mortgage Backed Securities, (File 333-121249 - Dec. 14) (BR. 05) S-8 HARRIS INTERACTIVE INC, 135 CORPORATE WOODS, ROCHESTER, NY, 14623-1457, 7162728400 - 4,500,000 ($32,175,000.00) Equity, (File 333-121250 - Dec. 14) (BR. 08) S-3 VION PHARMACEUTICALS INC, 4 SCIENCE PARK, NEW HAVEN, CT, 06511, 2034984210 - 0 ($75,000,000.00) Equity, (File 333-121251 - Dec. 14) (BR. 01) S-8 POLYMER GROUP INC, 4838 JENKINS AVE, NORTH CHARLESTON, SC, 29405, 8037445174 - 0 ($4,160,000.00) Equity, (File 333-121252 - Dec. 14) (BR. 02) S-8 TRC COMPANIES INC /DE/, 5 WATERSIDE CROSSING, WINDSOR, CT, 06095, 2032898631 - 0 ($17,800,000.00) Equity, (File 333-121253 - Dec. 14) (BR. 06) S-8 POLYMER GROUP INC, 4838 JENKINS AVE, NORTH CHARLESTON, SC, 29405, 8037445174 - 0 ($3,338,096.00) Equity, (File 333-121254 - Dec. 14) (BR. 02) S-1 CENTURY ALUMINUM CO, 2511 GARDEN ROAD, BUILDING A SUITE 200, MONTEREY, CA, 93940, 3042736000 - 0 ($175,000,000.00) Debt Convertible into Equity, (File 333-121255 - Dec. 14) (BR. 04) N-2 Salomon Brothers Convertible & Strategic Income Fund Inc., C/O SALOMON BROTHERS ASSET MANAGEMENT IN, 125 BROAD STREET, NEW YORK, NY, 10004, 800-725-6666 - 50,000 ($1,000,000.00) Equity, (File 333-121256 - Dec. 14) (BR. ) 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 ------------------------------------------------------------------------------------------------ 24/7 REAL MEDIA INC DE 1.01,7.01 12/07/04 ABCI HOLDINGS INC DE 1.01,3.03,8.01,9.01 12/06/04 ACCESSPOINT CORP /NV/ NV 7.01,8.01,9.01 12/13/04 ACUSPHERE INC DE 1.01,9.01 12/10/04 ADC TELECOMMUNICATIONS INC MN 2.02,7.01,9.01 12/14/04 ADVANCED BIO/CHEM INC NV 5.03 12/09/04 ADVANCED COMMUNICATIONS TECHNOLOGIES FL 1.01,3.02 12/10/04 ADVANCED MARKETING SERVICES INC DE 7.01,9.01 12/14/04 ADVO INC DE 5.02,9.01 12/13/04 AEOLUS PHARMACEUTICALS, INC. DE 1.01,5.05,9.01 12/13/04 AFFYMETRIX INC DE 1.01,9.01 12/09/04 AFTERMARKET TECHNOLOGY CORP DE 1.01,9.01 12/08/04 AGU Entertainment Corp. CO 1.01 12/08/04 AIRGATE PCS INC /DE/ DE 2.02,9.01 12/13/04 ALION SCIENCE & TECHNOLOGY CORP DE 1.02 12/09/04 AMERADA HESS CORP DE 1.01,2.03 12/14/04 AMERICAN SCIENCE & ENGINEERING INC MA 1.01,9.01 12/13/04 AMERICAN SEAFOODS GROUP LLC DE 5.02,9.01 12/13/04 ANADARKO PETROLEUM CORP DE 1.01,9.01 12/08/04 ANNTAYLOR STORES CORP DE 5.02 12/13/04 APOGEE ENTERPRISES INC MN 7.01,9.01 12/13/04 APOLLO INVESTMENT CORP MD 7.01 12/14/04 APPLEBEES INTERNATIONAL INC DE 5.02,9.01 12/09/04 APPLIED MATERIALS INC /DE DC 7.01,9.01 12/14/04 ARADYME CORP DE 1.01,2.03,9.01 12/08/04 ARCH CAPITAL GROUP LTD DE 8.01,9.01 12/14/04 ARETE INDUSTRIES INC CO 8.01 12/01/04 ARGON ST, Inc. DE 2.02,9.01 12/14/04 ARI NETWORK SERVICES INC /WI WI 5.05 12/09/04 ARIAD PHARMACEUTICALS INC DE 5.02 12/08/04 AROTECH CORP DE 8.01 12/14/04 ARRAY BIOPHARMA INC DE 8.01,9.01 12/14/04 ASHLAND INC KY 8.01,9.01 12/14/04 AVALONBAY COMMUNITIES INC MD 1.01,9.01 12/08/04 AVID TECHNOLOGY INC DE 1.01 12/14/04 AXEDA SYSTEMS INC DE 1.01,5.02,9.01 12/14/04 Banc of America Commercial Mortgage I DE 8.01,9.01 12/14/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 12/13/04 Banc of America Mortgage Securities M DE 8.01,9.01 06/28/04 AMEND BAY BANKS OF VIRGINIA INC VA 5.02 12/10/04 BAYVIEW FINANCIAL SECURITIES CO LLC DE 8.01 12/14/04 BEACON POWER CORP DE 1.01 12/09/04 BIO RAD LABORATORIES INC DE 1.01,7.01,9.01 12/08/04 BIOSYNERGY INC IL 1.01,9.01 12/10/04 BJ SERVICES CO DE 8.01 12/14/04 BLOCKBUSTER INC DE 8.01,9.01 12/14/04 BLOUNT INC DE 5.02,9.01 12/14/04 BNS HOLDING, INC. DE 1.01,2.01,5.03,8.01,9.01 12/14/04 BOEING CO DE 5.02,5.03,9.01 12/13/04 BORDERS GROUP INC DE 5.03 12/10/04 BREK ENERGY CORP NV 4.01,9.01 11/30/04 BRT REALTY TRUST MA 7.01 12/14/04 BSD MEDICAL CORP DE 7.01,9.01 12/14/04 BUCA INC /MN MN 5.02 12/13/04 BUCKLE INC NE 8.01 12/14/04 BULLDOG TECHNOLOGIES INC NV 7.01,9.01 12/14/04 CABG MEDICAL INC 5.02,8.01,9.01 12/13/04 CALCASIEU REAL ESTATE & OIL CO INC LA 8.01 12/10/04 CALIPER LIFE SCIENCES INC DE 5.02 12/14/04 CANDIES INC DE 2.02,9.01 12/08/04 CARDIMA INC DE 3.01,9.01 12/13/04 CARDINAL HEALTH INC OH 1.01,2.05,2.06,7.01,9.01 12/08/04 CAREDECISION CORP NV 7.01 12/02/04 CAREY W P & CO LLC DE 8.01,9.01 12/13/04 CASCADE CORP OR 2.02,9.01 12/09/04 CBL & ASSOCIATES PROPERTIES INC DE 1.01,3.03,8.01,9.01 12/08/04 CENTURY ALUMINUM CO DE 8.01 10/01/04 CEPHALON INC DE 1.01 12/08/04 CHESAPEAKE ENERGY CORP OK 2.03 12/08/04 CHESAPEAKE ENERGY CORP OK 8.01 12/13/04 CHINA ENERGY SAVINGS TECHNOLOGY, INC. NV 5.02 12/08/04 CHORDIANT SOFTWARE INC DE 1.01,3.02 12/14/04 CHS INC MN 1.01,9.01 12/10/04 CINERGY CORP DE 1.01,9.01 12/09/04 CIRCOR INTERNATIONAL INC DE 7.01 12/10/04 CKE RESTAURANTS INC DE 2.02,9.01 12/13/04 CMGI INC DE 1.01,9.01 12/08/04 CNA FINANCIAL CORP DE 1.01,9.01 12/08/04 CNF INC DE 1.01,5.02 12/14/04 CNL RESTAURANT PROPERTIES INC MD 8.01 12/31/03 Cobalis Corp NV 8.01 12/01/04 COLLEGE PARTNERSHIP INC NV 2.01 12/13/04 Collegiate Funding Services Education DE 8.01,9.01 11/30/04 COMMERCE ONE INC / DE/ DE 1.01,2.01,5.02,9.01 12/10/04 COMPUTER PROGRAMS & SYSTEMS INC DE 8.01 12/07/04 COMPUTER SCIENCES CORP NV 1.01 12/12/04 CONVERGYS CORP OH 1.01,2.03,9.01 12/10/04 CORIXA CORP DE 1.01,1.02,2.05,9.01 12/12/04 CORPORATE PROPERTY ASSOCIATES 12 INC MD 8.01,9.01 12/13/04 CORPORATE PROPERTY ASSOCIATES 14 INC MD 8.01,9.01 12/13/04 CORPORATE PROPERTY ASSOCIATES 15 INC MD 8.01,9.01 12/13/04 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 8.01,9.01 12/13/04 COTT CORP /CN/ 1.01,9.01 12/08/04 COX COMMUNICATIONS INC /DE/ DE 7.01,9.01 12/09/04 AMEND CREDIT & ASSET REP VEHICLE CORP KEYCO DE 8.01,9.01 12/01/04 CRT PROPERTIES INC FL 8.01,9.01 12/13/04 CRT PROPERTIES INC FL 7.01,9.01 12/13/04 CSX CORP VA 1.01,5.03,8.01,9.01 12/08/04 CTI GROUP HOLDINGS INC DE 1.01 12/14/04 CUTTER & BUCK INC WA 1.01,5.02,7.01,9.01 12/13/04 CWALT INC 8.01,9.01 10/28/04 CWMBS INC DE 8.01,9.01 12/10/04 CWMBS INC DE 8.01,9.01 10/28/04 CYANOTECH CORP NV 7.01,9.01 12/14/04 CYBERLUX CORP NV 7.01,9.01 12/13/04 CYGENE LABORATORIES INC DE 1.01,8.01,9.01 07/08/04 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01 12/13/04 D&E COMMUNICATIONS INC PA 7.01,9.01 12/14/04 DAN RIVER INC /GA/ GA 1.01,9.01 12/10/04 DAYBREAK MINES INC WA 5.02 12/07/04 DEERE & CO DE 1.01 12/13/04 DEL GLOBAL TECHNOLOGIES CORP NY 2.02,9.01 12/13/04 DELPHI CORP DE 1.01 12/08/04 DEPOMED INC CA 1.01,3.02,9.01 12/10/04 DIVIDEND CAPITAL TRUST INC MD 2.01,9.01 12/09/04 DOR BIOPHARMA INC DE 5.02 12/07/04 DREAMS INC UT 5.02 12/13/04 DUNE ENERGY INC DE 8.01,9.01 12/13/04 E COM VENTURES INC FL 1.01,2.03,9.01 12/09/04 EAGLE FAMILY FOODS HOLDINGS INC DE 8.01,9.01 12/10/04 EASTERN AMERICAN NATURAL GAS TRUST DE 8.01 12/14/04 ECB BANCORP INC NC 7.01,9.01 12/14/04 EDUCATE INC DE 5.02,9.01 12/10/04 EFOODSAFETY COM INC NV 8.01 11/05/04 ELITE TECHNOLOGIES INC /TX/ TX 5.02,8.01 12/07/04 EMERSON RADIO CORP DE 1.01 12/08/04 EMTEC INC/NJ UT 1.01,2.03,9.01 12/10/04 ENERGY & ENGINE TECHNOLOGY CORP NV 1.01 12/08/04 ENESCO GROUP INC IL 8.01 12/10/04 ENGINEERED SUPPORT SYSTEMS INC MO 1.01,9.01 12/09/04 ENZO BIOCHEM INC NY 2.02 12/13/04 EQUIFIRST MORTGAGE LOAN TRUST 2004-3 DE 2.01,9.01 11/16/04 ERF Wireless, Inc. NV 9.01 09/30/04 AMEND EURONET WORLDWIDE INC DE 7.01,9.01 12/10/04 EVEREST RE GROUP LTD C8 1.01,2.03,9.01 12/14/04 FARMER MAC MORTGAGE SECURITIES CORP DE 9.01 12/12/04 FARMER MAC MORTGAGE SECURITIES CORP DE 9.01 12/12/04 FARMER MAC MORTGAGE SECURITIES CORP DE 9.01 12/12/04 FARMER MAC MORTGAGE SECURITIES CORP DE 9.01 12/12/04 Finance America Mortgage Loan Trust 2 DE 2.01,9.01 12/14/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/13/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/13/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/06/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 12/14/04 FIRST AVENUE NETWORKS INC DE 1.01,3.02,5.03,9.01 12/08/04 FIRST DATA CORP DE 5.02,9.01 12/08/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 12/14/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 12/14/04 FIRST MARBLEHEAD CORP 1.01,9.01 12/14/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC 8.01,9.01 12/14/04 FIRST UNION NATIONAL BANK COM MORT PA NC 8.01,9.01 12/14/04 FIRST UNION REAL ESTATE EQUITY & MORT OH 8.01 12/08/04 FORD MOTOR CO DE 1.01,5.02 12/08/04 FORD MOTOR CREDIT CO DE 8.01,9.01 12/08/04 FORMFACTOR INC DE 1.01 12/08/04 FOSTER WHEELER LTD D0 8.01,9.01 12/13/04 FRANKLIN COVEY CO UT 1.01,1.02,9.01 12/08/04 FRIEDMAN INDUSTRIES INC TX 1.01,9.01 12/13/04 FRIEDMANS INC DE 1.01,1.02,5.02,9.01 12/14/04 GE COMM MORT PASS THROUGH CERT SERIES DE 8.01,9.01 12/10/04 GEMSTAR TV GUIDE INTERNATIONAL INC DE 1.01,5.02,9.01 12/14/04 GENAERA CORP DE 1.01 12/08/04 GENWORTH FINANCIAL INC DE 2.02,9.01 12/14/04 GLOBAL CONCEPTS, LTD. CO 4.01 12/08/04 GLOBAL ENVIRONMENTAL ENERGY COPORATIO C5 8.01,9.01 12/04/04 GMACM Mortgage Loan Trust 2004-GH1 DE 8.01,9.01 12/14/04 GOLDSPRING INC FL 5.02,9.01 12/09/04 GRANITE CITY FOOD & BREWERY LTD MN 1.01 12/13/04 Green Mountain Capital Inc. NH 5.02,5.03,9.01 12/09/04 GTREX INC DE 3.01,4.01 12/09/04 GTX INC /DE/ DE 1.01,7.01,9.01 12/13/04 HALOZYME THERAPEUTICS INC NV 5.03,9.01 12/14/04 HANCOCK JOHN LIFE INSURANCE CO MA 8.01,9.01 12/13/04 HANOVER DIRECT INC DE 3.01,5.04,9.01 12/09/04 HARLEY DAVIDSON INC WI 5.02,9.01 12/09/04 HARLEY DAVIDSON INC WI 5.02,9.01 11/18/04 AMEND HCSB FINANCIAL CORP SC 5.02 12/10/04 HEADLINERS ENTERTAINMENT GROUP, INC. DE 4.01 12/08/04 HEALTHTRONICS, INC. GA 7.01,9.01 12/14/04 HENNESSY ADVISORS INC 2.01,9.01 12/14/04 HMS HOLDINGS CORP 1.01,9.01 12/14/04 HORTON D R INC /DE/ DE 8.01,9.01 12/08/04 HOUSTON EXPLORATION CO DE 1.02,5.02,7.01,9.01 12/14/04 HUMANA INC DE 1.01,7.01,9.01 12/14/04 HUNGARIAN TELEPHONE & CABLE CORP DE 5.02 12/09/04 HyperSpace Communications, Inc. CO 8.01,9.01 12/14/04 IGIA, Inc. DE 1.01,2.03,9.01 12/08/04 II-VI INC PA 1.01,2.01,2.03,9.01 12/10/04 IKON OFFICE SOLUTIONS INC OH 1.01 12/14/04 IMCO RECYCLING INC DE 1.01,2.01,2.03,3.03,5.02,5.03 12/08/04 INFOCUS CORP OR 8.01,9.01 12/14/04 INLAND REAL ESTATE CORP MD 7.01 12/13/04 INLAND REAL ESTATE CORP MD 8.01,9.01 12/13/04 INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 12/13/04 INSIGHT ENTERPRISES INC DE 7.01,9.01 12/14/04 INTELLI CHECK INC DE 5.02,9.01 12/03/04 Interactive Brand Development Inc. DE 1.02,9.01 12/06/04 International Development Corp DE 1.01,5.03 12/09/04 INTERPLAY ENTERTAINMENT CORP DE 5.02 12/14/04 INTERSTATE GENERAL CO L P DE 3.01,9.01 12/14/04 INTRA ASIA ENTERTAINMENT CORP NV 4.01 11/29/04 INVERNESS MEDICAL INNOVATIONS INC DE 3.02 12/08/04 IRIDEX CORP DE 7.01,9.01 12/13/04 ITT INDUSTRIES INC IN 7.01,9.01 12/14/04 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 11/23/04 AMEND James River Coal CO VA 2.02,9.01 12/13/04 JCM PARTNERS LLC DE 5.02 12/08/04 JOHNSON OUTDOORS INC WI 5.02 12/08/04 JOSTENS HOLDING CORP DE 8.01 12/10/04 JUNIPER NETWORKS INC DE 1.01,5.02 12/13/04 KAYDON CORP DE 1.01 09/02/04 KEY ENERGY SERVICES INC MD 8.01,9.01 12/09/04 KEY ENERGY SERVICES INC MD 1.01,2.05,2.06,9.01 12/07/04 AMEND KNBT BANCORP INC PA 1.01,9.01 12/08/04 AMEND LAIDLAW INTERNATIONAL INC DE 1.01,9.01 12/13/04 LAIDLAW INTERNATIONAL INC DE 7.01,9.01 12/14/04 LEGEND MOBILE INC DE 2.02,9.01 12/07/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP BELLSOUTH DEB BCKD SE DE 8.01,9.01 12/01/04 LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 12/01/04 LEHMAN ABS CORP CORPORATE BACKED TRUS DE 8.01,9.01 12/01/04 LEHMAN ABS CORP NEWS AMERICA DEBENTUR DE 8.01,9.01 12/01/04 LENNOX INTERNATIONAL INC DE 5.02 12/10/04 LEXINGTON CORPORATE PROPERTIES TRUST MD 1.01,3.02,9.01 12/08/04 LIFEPOINT INC DE 5.02,9.01 12/14/04 LOOKSMART LTD DE 1.01,9.01 11/19/04 LOUDEYE CORP DE 8.01,9.01 12/13/04 LYONDELL CHEMICAL CO DE 8.01,9.01 12/14/04 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 12/09/04 MANCHESTER TECHNOLOGIES INC NY 8.01 12/13/04 MARCHEX INC DE 7.01,9.01 12/13/04 MASS MEGAWATTS WIND POWER INC MA 2.02,9.01 12/14/04 MATRIX ENERGY SERVICES CORP NV 8.01 09/09/04 AMEND MAXIM PHARMACEUTICALS INC DE 2.02,9.01 12/13/04 MB FINANCIAL INC /MD MD 1.01,9.01 12/08/04 McAfee, Inc. DE 1.01,5.02,9.01 12/10/04 MDC HOLDINGS INC DE 2.03,9.01 12/14/04 MEADOW VALLEY CORP NV 8.01 12/10/04 MEDALLION CREST MANAGEMENT INC FL 1.01,2.01,3.02,4.01,5.01,5.02 12/09/04 MEDAREX INC NJ 8.01,9.01 12/14/04 MEDQUIST INC NJ 1.01,1.02,5.02 12/10/04 MEGOLA INC 8.01 12/13/04 MEGOLA INC 8.01 12/13/04 MELLON BANK N A MA 8.01,9.01 12/09/04 MELLON BANK N A MA 8.01,9.01 12/09/04 MEMORY PHARMACEUTICALS CORP 1.01,1.02,5.02,9.01 12/08/04 MEMRY CORP DE 1.01,5.02,7.01,9.01 12/08/04 MERCANTILE BANKSHARES CORP MD 8.01,9.01 12/14/04 MERCK & CO INC NJ 7.01,9.01 12/14/04 MERCK & CO INC NJ 7.01,9.01 12/14/04 MERIDIAN BIOSCIENCE INC OH 4.01 12/14/04 MERRILL LYNCH & CO INC DE 8.01,9.01 12/14/04 METRETEK TECHNOLOGIES INC DE 1.01,2.03,3.03,9.01 12/08/04 METROPCS COMMUNICATIONS INC 5.02 12/09/04 MGI PHARMA INC MN 9.01 09/28/04 AMEND MILACRON INC DE 8.01,9.01 12/13/04 MISSISSIPPI CHEMICAL CORP /MS/ MS 1.03,9.01 12/08/04 MORTON INDUSTRIAL GROUP INC GA 5.03 12/08/04 MOVIE STAR INC /NY/ NY 1.01,9.01 12/06/04 NANOGEN INC DE 7.01,9.01 12/14/04 NATIONAL CONSUMER COOPERATIVE BANK /D DC 5.02 12/08/04 NATIONAL FUEL GAS CO NJ 5.02,5.03,9.01 12/09/04 NATIONAL HOME HEALTH CARE CORP DE 2.02 12/14/04 NATIONAL MEDICAL HEALTH CARD SYSTEMS NY 1.01 12/10/04 NAVIGATORS GROUP INC DE 1.01 12/09/04 NeuroMetrix, Inc. 5.02,9.01 11/16/04 AMEND NEW ENGLAND POWER CO MA 1.01 12/09/04 NEWPORT INTERNATIONAL GROUP INC DE 3.02 12/08/04 NORTH BAY BANCORP/CA CA 5.03,9.01 12/11/04 NORTH FORK BANCORPORATION INC DE 9.01 10/01/04 AMEND NRG ENERGY, INC. DE 7.01,8.01,9.01 12/13/04 NRG ENERGY, INC. DE 1.01,1.02,5.02,7.01,9.01 12/13/04 NRG ENERGY, INC. DE 8.01,9.01 12/13/04 NRG ENERGY, INC. DE 1.01,9.01 12/13/04 AMEND NUCO2 INC /FL FL 1.01,3.02,5.02,9.01 12/08/04 ON ASSIGNMENT INC DE 5.02 12/10/04 ONLINE RESOURCES CORP DE 2.02 12/14/04 ORACLE CORP /DE/ DE 1.01,9.01 12/12/04 ORTEC INTERNATIONAL INC DE 1.01,9.01 12/13/04 OSHKOSH TRUCK CORP WI 1.01 09/13/04 OWENS CORNING DE 5.02 12/09/04 OXFORD VENTURES INC NV 4.02,5.02,9.01 11/15/04 AMEND OXIS INTERNATIONAL INC DE 5.02 12/14/04 PALMSOURCE INC DE 1.01,9.01 12/08/04 PATRIOT TRANSPORTATION HOLDING INC FL 7.01 12/14/04 PAYCHEX INC DE 5.02 12/13/04 PEDIATRIC SERVICES OF AMERICA INC DE 2.02 12/14/04 PEGASUS SOLUTIONS INC DE 2.02 12/14/04 PENNROCK FINANCIAL SERVICES CORP PA 7.01 12/14/04 PEOPLES ENERGY CORP IL 2.02,7.01 12/14/04 PEPCO HOLDINGS INC DE 8.01,9.01 12/14/04 PEPSICO INC NC 8.01,9.01 11/11/04 PETRIE STORES LIQUIDATING TRUST NY 4.01 12/10/04 PIZZA INN INC /MO/ MO 1.02,5.02,7.01,9.01 12/11/04 PLANAR SYSTEMS INC OR 5.02,9.01 12/14/04 PNC FINANCIAL SERVICES GROUP INC PA 2.03 12/10/04 POLYCOM INC DE 5.02 12/08/04 POPE & TALBOT INC /DE/ DE 1.01,1.02,9.01 12/14/04 PORTSMOUTH SQUARE INC CA 8.01 12/10/04 PPOL INC CA 5.02 11/24/04 PRESIDION CORP FL 1.01 12/13/04 PRIME COMPANIES INC DE 8.01 12/13/04 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 12/14/04 PROGRESS ENERGY INC NC 8.01 12/08/04 PROGRESS ENERGY INC NC 1.01,1.02,5.02 12/08/04 PROTECTIVE LIFE INSURANCE CO TN 9.01 12/09/04 PROVO INTERNATIONAL INC DE 1.01,3.02,9.01 12/08/04 PRUCO LIFE INSURANCE CO AZ 4.02 12/09/04 PTEK HOLDINGS INC GA 8.01,9.01 12/14/04 PULTE HOMES INC/MI/ MI 5.02 12/14/04 QUANEX CORP DE 1.01,2.01,2.03,9.01 12/09/04 QUEST OIL CORP NV 1.01,9.01 11/22/04 RAE SYSTEMS INC DE 8.01 12/14/04 RALI Series 2004-QR1 Trust DE 8.01,9.01 12/14/04 RAMP Series 2004-RS11 Trust DE 8.01,9.01 12/14/04 RCN CORP /DE/ DE 1.01,2.03,9.01 12/07/04 RECKSON ASSOCIATES REALTY CORP MD 8.01,9.01 12/09/04 REGAL BELOIT CORP WI 1.01,8.01,9.01 12/09/04 RETURN ON INVESTMENT CORP DE 1.01,9.01 12/06/04 AMEND REZCONNECT TECHNOLOGIES INC NY 2.01,3.02,5.01,5.02,5.03,9.01 12/08/04 ROCKWOOD SPECIALTIES GROUP INC 1.01,2.03,9.01 12/10/04 ROGERS CORP MA 8.01,9.01 12/14/04 RURAL METRO CORP /DE/ DE 1.01,5.02 12/08/04 SANTA FE FINANCIAL CORP NV 8.01 12/10/04 SAVVIS COMMUNICATIONS CORP DE 3.02 12/09/04 SCHEIB EARL INC DE 7.01,9.01 12/13/04 SEARS ROEBUCK & CO NY 1.01 12/08/04 SEEBEYOND TECHNOLOGY CORP CA 1.01,9.01 12/09/04 Select Notes Trust LT 2004-1 DE 8.01,9.01 12/01/04 SEMCO ENERGY INC MI 1.01,5.02,9.01 12/09/04 SEMCO ENERGY INC MI 1.01,5.02,9.01 09/09/04 AMEND SENETEK PLC /ENG/ 8.01,9.01 12/14/04 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 12/14/04 SENTO CORP UT 1.01,9.01 12/13/04 SHILOH INDUSTRIES INC DE 1.01 12/08/04 SJW CORP CA 1.01,9.01 12/14/04 SMARTIRE SYSTEMS INC 2.02 12/14/04 SPARTECH CORP DE 1.01,5.02,9.01 12/08/04 SPEEDWAY MOTORSPORTS INC DE 1.01,9.01 12/08/04 SPX CORP DE 1.01,1.02,5.02,9.01 12/08/04 SRA INTERNATIONAL INC DE 1.01,9.01 12/14/04 STANADYNE CORP DE 8.01,9.01 12/14/04 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 12/14/04 STOCKERYALE INC MA 5.02 12/06/04 STRATOS INTERNATIONAL INC DE 2.02,9.01 12/07/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 12/14/04 Structured Asset Mortgage Investments DE 9.01 11/30/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 12/14/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 12/10/04 Structured Asset Securities Corp Mort DE 8.01 11/30/04 STRUCTURED PROD CORP CORTS TR II FOR DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP CORTS TR IV DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 12/01/04 Surge Global Energy, Inc. 1.01,2.01,3.02,5.02,7.01,9.01 12/07/04 SYMBION INC/TN DE 1.01,9.01 12/10/04 SYMBION INC/TN DE 9.01 12/14/04 AMEND TECH DATA CORP FL 1.01,9.01 12/08/04 Tejas Inc DE 5.02,8.01,9.01 12/10/04 TELEWEST GLOBAL INC 5.03 12/08/04 TENET HEALTHCARE CORP NV 8.01 12/13/04 TERRA INDUSTRIES INC MD 1.01,8.01,9.01 12/13/04 TERRA TREMA INC NV 5.02 12/13/04 TEXAS REGIONAL BANCSHARES INC TX 8.01,9.01 12/14/04 TRANSOCEAN INC E9 8.01,9.01 12/10/04 TREND MINING CO DE 8.01,9.01 12/14/04 TREND MINING CO DE 1.01 12/08/04 AMEND TRESTLE HOLDINGS INC DE 7.01 12/14/04 TRIAD GUARANTY INC DE 1.01,1.02 12/09/04 TRICO MARINE SERVICES INC DE 3.01,7.01,9.01 12/13/04 TRINITY INDUSTRIES INC DE 1.01,5.02 12/14/04 TRIPATH TECHNOLOGY INC 5.02,9.01 12/13/04 TRIQUINT SEMICONDUCTOR INC DE 1.01 12/14/04 ULTRALIFE BATTERIES INC DE 7.01,9.01 10/14/04 UNITED FINANCIAL INC 8.01,9.01 12/14/04 UNITED FINANCIAL MORTGAGE CORP IL 2.02,9.01 12/09/04 UNITED INVESTORS INCOME PROPERTIES MO 1.02 12/10/04 UNITED ONLINE INC DE 1.01,2.03,9.01 12/13/04 UNITEDGLOBALCOM INC DE 1.01 12/07/04 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE 8.01,9.01 12/08/04 V I TECHNOLOGIES INC DE 5.02,9.01 12/14/04 VAIL RESORTS INC DE 2.01 12/08/04 VALERO L P DE 7.01,9.01 12/14/04 VINEYARD NATIONAL BANCORP CA 5.02 12/14/04 VION PHARMACEUTICALS INC DE 8.01,9.01 12/14/04 VSOURCE INC DE 7.01,9.01 12/06/04 W HOLDING CO INC PR 8.01,9.01 10/13/04 WATERS CORP /DE/ DE 1.01 12/08/04 WATLEY A B GROUP INC DE 8.01 12/09/04 WAVE SYSTEMS CORP DE 1.01,9.01 12/14/04 WELLS REAL ESTATE FUND VII L P GA 1.01 12/14/04 WELLS REAL ESTATE FUND VIII LP GA 1.01 12/14/04 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 12/08/04 WELLS REAL ESTATE INVESTMENT TRUST IN DE 8.01 12/13/04 WET SEAL INC DE 1.01,9.01 12/13/04 WEYERHAEUSER CO WA 2.06 12/14/04 WINTRUST FINANCIAL CORP IL 1.01,2.03 12/13/04 WINTRUST FINANCIAL CORP IL 8.01,9.01 12/14/04 WPT ENTERPRISES INC 1.01 12/10/04 XECHEM INTERNATIONAL INC DE 1.01,8.01,9.01 12/09/04 XL CAPITAL LTD 8.01,9.01 12/10/04 XLR MEDICAL CORP. NV 5.02,7.01,9.01 12/10/04