SEC NEWS DIGEST Issue 2004-12 January 20, 2004 ENFORCEMENT PROCEEDINGS SEC OBTAINS FEDERAL COURT ORDER TO PROTECT SHAREHOLDERS AND PRESERVE CORPORATE ASSETS OF HOLLINGER INTERNATIONAL, INC. On January 16, the Commission announced that it has obtained a federal court order against Hollinger International, Inc. to ensure that the work of the Special Committee of Hollinger International's board of directors - including its efforts to recover and preserve corporate assets - continues under the jurisdiction and oversight of the court, and without regard to whether there is a change in control at the company. Hollinger International consented to the entry of the order, which also permanently enjoins the company from violating the reporting and internal control provisions of the federal securities laws. The Commission filed a civil injunctive complaint against the Chicago-based Hollinger International in the U.S. District Court for the Northern District of Illinois alleging that, from at least 1999 through 2001, the company's Commission filings contained misstatements and omitted to state material facts regarding transfers of corporate assets to certain of Hollinger International's insiders and related entities. Under the order, Hollinger International is required to maintain its Special Committee to, among other things, continue its investigation of alleged misconduct and its efforts to recover and maintain corporate assets. In the event the Special Committee's authority were in any way impaired, including through a change in control of the company, Richard C. Breeden (the current Counsel to the Special Committee) would serve as a court-ordered Special Monitor to protect the interests of Hollinger International shareholders. A hearing will be set at a later date to determine whether it is appropriate to require Hollinger International to pay disgorgement, prejudgment interest and civil penalties. In addition, Hollinger International has expressly agreed that the Commission may file additional charges against it at a later time, including for the same conduct alleged in the complaint. Stephen M. Cutler, Director of the Commission's Division of Enforcement, said: "This matter involves the improper transfer of corporate assets to corporate insiders and related entities. We are taking these immediate steps to protect the interests of Hollinger International shareholders and to ensure that the ongoing work to recover and protect corporate assets may continue unimpeded. Our work, however, is not finished." Timothy L. Warren, Associate Regional Director of the Commission's Midwest Regional Office, said: "We are taking steps to ensure that the Special Committee of Hollinger International can continue its work under the Court's oversight. The SEC's investigation continues and we intend to bring to justice those responsible for the company's violations." (Press Rel. 2004-8) IN THE MATTER OF KEVIN GOLDSTEIN AND JACKWEST CORPORATION An Administrative Law Judge has issued an Initial Decision imposing sanctions against Kevin H. Goldstein (Goldstein) and Jackwest Corporation (Jackwest) for violating the antifraud provisions of the federal securities laws. The Initial Decision finds that Goldstein and Jackwest made material misrepresentations and omissions in connection with the purchase or sale of Jackwest securities. At the time of the misconduct, Goldstein was associated with a registered broker and dealer. The Initial Decision concludes that Goldstein and Jackwest violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. The Initial Decision imposes a cease-and-desist order against Goldstein and Jackwest and orders them to disgorge $516,000 in ill-gotten gains plus $142,409 in prejudgment interest, jointly and severally. The Initial Decision also bars Goldstein from associating with any broker or dealer and assesses a civil penalty of $120,000 against him. (Initial Decision No. 243; File No. 3-11010) SEC OBTAINS EMERGENCY ORDERS FREEZING ASSETS OF SUPERIOR OPPORTUNITIES, INC., J.F. SIMMS & CO., LLC AND JON SIMMS The Commission announced that on January 14 it filed an emergency federal civil action seeking to freeze the assets of two companies and an individual involved in a fraudulent securities offering. The emergency part of this action was filed against defendants Superior Opportunities, Inc. (Superior), J.F. Simms & Co., LLC (J.F. Simms), and Jon F. Simms (Simms). Also named in the civil action are William J. Hickey (Hickey) and Sean A. Osborne (Osborne), the principals of Superior. Defendant Superior is headquartered in Boynton Beach, Florida. Defendant J.F. Simms is based in Madison, Wisconsin. On January 14th, the Honorable Daniel T.K. Hurley, U.S. District Judge for the Southern District of Florida, entered, among other things, a temporary order freezing the assets of Superior, J.F. Simms and Simms. The Commission alleged that Superior, through defendants Hickey, Osborne, J.F. Simms and Simms raised approximately $7.8 million from approximately 200 investors to fund a purported business that purchased credit card debt and receivables. The complaint alleges that in raising money for this enterprise from investors, the defendants falsely represented that all investor principal would be used to purchase the debt and receivables, that the investment was low risk, and that returns could exceed 36%. According to the complaint, defendants J.F. Simms and Simms misappropriated investor funds to the tune of $1.4 million. The Commission's complaint charges J.F. Simms and Simms with violating the antifraud and registration provisions of the federal securities laws. Specifically, the Commission alleges that J.F. Simms and Simms violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. Further, the complaint charges Superior, Hickey and Osborne with negligently making material false statements and omissions, as well as violating the registration provisions of the federal securities laws. Specifically, the Commission alleges that Superior, Hickey and Osborne violated Sections 5(a), 5(c) and 17(a)(2) and (3) of the Securities Act of 1933. In addition to the emergency relief described above, the complaint seeks permanent injunctions prohibiting future violations of the securities laws, disgorgement, and civil penalties against all the defendants. [SEC v. Superior Opportunities, Inc., et al., Case No. 04 80021-CIV-HURLEY/HOPKINS, USDC/SDFL] (LR-18545) CLEALON MANN PLEADS GUILTY IN PONZI SCHEME CASE On January 15, Clealon B. Mann entered a plea of guilty to conspiracy to commit mail and wire fraud and the sale of unregistered securities in connection with an investment scheme called Capital Acquisitions. The indictment, U.S. v. Mann, No. 2:02-0741TC (D. Utah) alleged that Mann and others conspired to solicit and obtain money from investors through misrepresentations, and that the investment program promoted by Mann operated as a Ponzi scheme. Mann has consented to entry of an injunction in a civil case filed by the Commission concerning the same scheme and a similar scheme called Laser Leasing, SEC v. Capital Acquisitions, Inc., et al., No. 2:97-0977B (D. Utah). The injunction prohibits future violations of the registration and antifraud provisions of the federal securities laws. The Commission's case and the criminal case alleged that Mann was primarily responsible for selling interests in the Capital Acquisitions program, and raised approximately $24 million from investors nationwide. It was further alleged that Mann represented to investors that the money would be used to finance acquisition of properties to produce oil and gas, but instead Mann used most of the investor proceeds to make interest payments to earlier investors and to finance other ventures that Mann or co-defendant Peter J. Buffo controlled. Buffo previously pleaded guilty to criminal charges and consented to a permanent injunction involving the same scheme. Sentencing in the criminal case is scheduled for April 15, 2004. [SEC v. Capital Acquisitions, Inc, et al., Civil Action No. 2:97-0977B (D. Utah)]; [U.S. v. Clealon B. Mann, Criminal Action No. 2:02-0741TC (D. Utah)] (LR-18546) SEC CHARGES CORRPRO COMPANIES, INC. WITH FINANCIAL REPORTING, BOOKS AND RECORDS AND INTERNAL CONTROLS VIOLATIONS The Commission announced today that it has filed an injunctive action against Corrpro Companies, Inc. (Corrpro), a U.S. public corporation based in Medina Ohio, alleging that Corrpro had inadequate internal controls during its fiscal years 2001 and the first three quarters of 2002. The complaint alleges that Corrpro engaged in reporting, record keeping and internal control violations. The Commission further announced that, simultaneously with the filing of the Complaint, Corrpro consented to the entry of an injunction from future violations of these provisions. Corrpro's offer of settlement will be submitted to the Court for its approval. According to the complaint, Corrpro misstated its financial statements during 2001 and the first three quarters of 2002, due to fraud in Corrpro's Australian subsidiary, which took place during approximately October 2000 through February 2002. The complaint alleges that the Australian subsidiary's chief executive officer and chief financial officer were falsifying certain of the subsidiary's financial records, and submitting the falsified information to Corrpro for inclusion in Corrpro's financial statements. The complaint alleges that Corrpro discovered the fraud through its own investigation in February 2002. The complaint further alleges, however, that Corrpro failed to discover the falsification of Corrpro Australia's statements until February 2002 due to its inadequate internal controls. Finally, the complaint alleges that following its discovery of the fraud in its Australian subsidiary, Corrpro undertook remedial measures to strengthen its financial reporting policies and internal control structure. The complaint alleges that, as a result of the foregoing, Corrpro violated Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 12b-20, 13a-1 and 13a-13 thereunder, by filing financial statements that contained false financial data. The complaint also alleges that Corrpro violated Section 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, by failing to devise and maintain an adequate system of internal accounting controls. In the current action, Corrpro has consented to the entry of a final judgment that permanently enjoins it from further violations of the provisions of the federal securities laws described above. Corrpro has also agreed to the imposition of certain undertakings during its fiscal years ended March 2004, 2005 and 2006, designed to ensure its compliance with the federal securities laws. In determining to accept Corrpro's settlement offer, the Commission considered that Corrpro undertook remedial actions and substantial cooperation with Commission staff. In 1998, Corrpro was previously sanctioned by the Commission for unrelated reporting and internal control violations. The Commission has also brought separate charges against the two officers of Corrpro's Australian subsidiary in connection with this matter (Securities and Exchange Commission v. Waring and Treloar, Case No. 1:03-cv-2030, N. D. Ohio), which are still pending. See Litigation Release Number 18382, and Accounting and Auditing Enforcement Release Number 1883, both dated October 1, 2003. The Commission's complaint in that action seeks injunctive relief against Waring and Treloar as well as the imposition of an officer and director bar. The Australian Commonwealth Director of Public Prosecution in Melbourne in the State of Victoria, Australia, has issued summons to Waring and Treloar for criminal violations of various sections of the Australian Corporations Act, and of the Crimes Act of the State of Victoria, in connection with the same conduct described in the Commission's complaint. [SEC v. Corrpro Companies, Inc., 1:04CV0085 (N.D. Ohio)] (LR- 18547; AAE Rel. 1944) INVESTMENT COMPANY RELEASES AEGON/TRANSAMERICA SERIES FUND ET AL. An order has been issued on an application filed by Aegon/Transamerica Series Fund, Inc. (ATSF) and Aegon/Transamerica Advisers, Inc. (ATFA) granting relief under Section 6(c) of the Investment Company Act, as amended (the Act) from Sections 9(a), 13(a), 15(a), and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder to permit shares of ATSF and shares of any other existing or future investment company that is designed to fund insurance products and for which ATFA or any of their affiliates may serve in the future as investment manager, investment adviser, subadviser, administrator, manager, principal underwriter or sponsor (ATSF and such other investment companies being hereinafter referred to, collectively, as Insurance Investment Companies), or permit shares of any current or future series of any Insurance Investment Company (Insurance Fund), to be sold to and held by: (i) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (ii) qualified pension and retirement plans outside of the separate account context; (iii) any investment manager to an Insurance Fund and affiliates thereof that is permitted to hold shares of an Insurance Fund consistent with the requirements of Treasury Regulation 1.817-5; and (iv) any insurance company that is permitted to hold shares of an Insurance Fund consistent with the requirements of Treasury Regulation 1.817-5. (Rel. IC-26322 - January 14) THE LEGENDS FUND, INC. An order has been issued under Section 8(f) of the Investment Company Act declaring that The Legends Fund, Inc. has ceased to be an investment company. (Rel. IC-26324 - January 16) SELF-REGULATORY ORGANIZATIONS WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Feb. 9, 2004, to comment on the application of Saga Communications, Inc. to withdraw its Class A Common Stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49083) A notice has been issued giving interested persons until Feb. 9, 2004, to comment on the application of Telefonica del Peru S.A.A. to withdraw its American Depositary Shares evidenced by American Depositary Receipts (each American Depositary Share representing ten Class B shares, nominal value S/1.00 each) from listing and registration on the New York Stock Exchange. (Rel. 34-49084) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the common stock, $.01 par value, of Protection One, Inc., effective at the opening of business on January 20. (Rel. 34-49095) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing one half of an Ordinary Share "A") of Pechiney, effective at the opening of business on January 20. (Rel. 34- 49096) 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 COMPASS MINERALS INTERNATIONAL INC, 8300 COLLEGE BOULEVARD, OVERLAND PARK, KS, 66210, 9133449200 - 0 ($107,891,190.00) Non-Convertible Debt, (File 333-111953 - Jan. 16) (BR. 04) S-8 FLIR SYSTEMS INC, 16505 SW 72ND AVE, PORTLAND, OR, 97224, 5036843731 - 713,366 ($1,904,687.20) Equity, (File 333-111954 - Jan. 16) (BR. 05) S-3 MISSION RESOURCES CORP, 1331 LAMAR, SUITE 1455, HOUSTON, TX, 77010, 7134953000 - 4,500,000 ($10,035,000.00) Equity, (File 333-111955 - Jan. 16) (BR. 04) S-8 SPRINT CORP, PO BOX 11315, KANSAS CITY, MO, 64112, 9136243000 - 20,000,000 ($258,020,000.00) Equity, (File 333-111956 - Jan. 16) (BR. 37) S-3 BLUEFLY INC, 42 WEST 39TH ST, NEW YORK, NY, 10018, 2129448000 - 3,766,510 ($14,384,284.20) Equity, (File 333-111957 - Jan. 16) (BR. 02) S-8 BACH-HAUSER INC, 1561 HIGHWAY 3, -, CAYUGA, ONTARIO, A6, N0A 1E0, 9057725738 - 30,000,000 ($300,000.00) Equity, (File 333-111958 - Jan. 16) (BR. 05) S-3 EDUCATION CAPITAL I LLC, 2,000,000,000 ($2,000,000,000.00) Asset-Backed Securities, (File 333-111959 - Jan. 16) (BR. 05) S-8 INTERNATIONAL TRUST & FINANCIAL SYSTEMS INC, 5169647925 - 0 ($158,956.25) Equity, (File 333-111960 - Jan. 16) (BR. 02) S-8 NETMEASURE TECHNOLOGY INC, 122 HOWE STREET, VICTORIA BC V8V4K4, A1, 00000, 2509204833 - 1,200,000 ($60,000.00) Equity, (File 333-111962 - Jan. 16) (BR. 09) S-8 CASCADE MOUNTAIN MINING CO INC, 601 UNION STREET, 42ND FLOOR, SEATTLE, WA, 98101, 206 652 3280 - 50,000,000 ($1,000,000.00) Equity, (File 333-111963 - Jan. 16) (BR. 08) S-8 TELECOMMUNICATION PRODUCTS INC, PO BOX 17013, GOLDEN, CO, 80402, 3032782725 - 2,525,000 ($378,750.00) Equity, (File 333-111965 - Jan. 16) (BR. 05) S-3 DIGITAL VIDEO SYSTEMS INC, 430 CAMBRIDGE AVENUE, SUITE 110, PALO ALTO, CA, 94306, 6506258200 - 1,227,121 ($3,343,904.73) Equity, (File 333-111966 - Jan. 16) (BR. 36) S-4 SHORE BANCSHARES INC, 18 EAST DOVER STREET, EASTON, MD, 21601-3013, 4108221400 - 85,688 ($80,793.00) Equity, (File 333-111967 - Jan. 16) (BR. 07) S-8 SUN MICROSYSTEMS INC, 4150 NETWORK CIRCLE, SANTA CLARA, CA, 95054, 6509601300 - 3,492,423 ($663,560.37) Equity, (File 333-111968 - Jan. 16) (BR. 03) S-1 CHARDAN CHINA ACQUISITION CORP, 0 ($60,180,100.00) Equity, (File 333-111970 - Jan. 16) (BR. 09) S-3 MDC HOLDINGS INC, 3600 S YOSEMITE ST STE 900, DENVER, CO, 80237, 3037731100 - 0 ($4,042,150.00) Equity, (File 333-111971 - Jan. 16) (BR. 06) S-4 REYNOLDS AMERICAN INC, 0 ($4,985,703,000.00) Equity, (File 333-111972 - Jan. 16) (BR. ) SB-2 SENSE HOLDINGS INC, 7300 W MCNAB ROAD, SUNRISETAMARAC, FL, 33321, 9547471422 - 12,957,709 ($5,312,660.69) Equity, (File 333-111973 - Jan. 16) (BR. 08) S-3 ATRIX LABORATORIES INC, 2579 MIDPOINT DR, FORT COLLINS, CO, 80525, 3034825868 - 0 ($150,000,000.00) Other, (File 333-111974 - Jan. 16) (BR. 01) S-4 PILGRIMS PRIDE CORP, 110 S TEXAS ST, PO BOX 93, PITTSBURG, TX, 75686, 9038554208 - 0 ($100,000,000.00) Equity, (File 333-111975 - Jan. 16) (BR. 04) S-8 O REILLY AUTOMOTIVE INC, 233 S PATTERSON, SPRINGFIELD, MO, 65802, 4178622674 - 6,500,000 ($240,175,000.00) Other, (File 333-111976 - Jan. 16) (BR. 02) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 100,000,000 ($2,259,000,000.00) Equity, (File 333-111977 - Jan. 16) (BR. 03) S-3 GLYCOGENESYS INC, 31 ST. JAMES AVENUE, 8TH FLOOR, BOSTON, MA, 02116, 6174220674 - 15,757,159 ($21,272,164.65) Equity, (File 333-111978 - Jan. 16) (BR. 01) S-8 BLUE VALLEY BAN CORP, 11935 RILEY, OVERLAND PARK, KS, 66225, 9133381000 - 0 ($2,800,000.00) Equity, (File 333-111979 - Jan. 16) (BR. 07) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 10,000,000 ($1,000,000.00) Equity, (File 333-111980 - Jan. 16) (BR. 05) S-3 PROVECTUS PHARMACEUTICALS INC, 7327 OAK RIDGE HWY, SUITE B, KNOXVILLE, TN, 37931, 865-769-4011 - 2,375,004 ($1,947,503.28) Equity, (File 333-111982 - Jan. 16) (BR. 01) S-8 NPTEST HOLDING CORP, 3,821,851 ($33,324,445.00) Equity, (File 333-111983 - Jan. 16) (BR. 36) S-8 CH ENERGY GROUP INC, 284 SOUTH AVE, POUGHKEEPSIE, NY, 12601, 9144522000 - 2,000,000 ($91,860,000.00) Equity, (File 333-111984 - Jan. 16) (BR. 02) S-8 DYNEGY INC /IL/, 1000 LOUISIANA, STE 5800, HOUSTON, TX, 77002, 7133677600 - 0 ($476,000.00) Equity, (File 333-111985 - Jan. 16) (BR. 04) S-8 MAY DEPARTMENT STORES CO, 611 OLIVE ST, ST LOUIS, MO, 63101, 3143426300 - 11,000,000 ($345,400,000.00) Equity, (File 333-111987 - Jan. 16) (BR. 02) S-1 IMPCO TECHNOLOGIES INC, 16804 GRIDLEY PLACE, CERRITOS, CA, 90701, 5628606666 - 1,500,000 ($12,660,000.00) Equity, (File 333-111988 - Jan. 16) (BR. 05) S-8 STILLWATER MINING CO /DE/, 536 E PIKE, 536 E PIKE, COLUMBUS, MT, 59019, 4063228700 - 300,000 ($2,842,500.00) Equity, (File 333-111989 - Jan. 16) (BR. 04) N-2 RMK STRATEGIC INCOME FUND INC, MORGAN KEEGAN TOWER, 50 FRONT ST, MEMPHIS, TN, 38103, 9015244100 - 4,600,000 ($69,000,000.00) Equity, (File 333-111990 - Jan. 16) (BR. ) S-3 24/7 REAL MEDIA INC, 1250 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10001, 2122317100 - 0 ($17,436,653.84) Equity, (File 333-111991 - Jan. 16) (BR. 02) S-2 PEOPLES COMMUNITY BANCORP INC /MD/, PEOPLES COMMUNITY BANCORP INC, 6100 WEST CHESTER ROAD, WEST CHESTER, OH, 45069, 5138703530 - 0 ($27,313,480.00) Equity, (File 333-111992 - Jan. 16) (BR. 07) S-3 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 2,596,117 ($10,644,080.00) Equity, (File 333-111993 - Jan. 16) (BR. 36) S-8 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 1,900,000 ($7,790,000.00) Equity, (File 333-111994 - Jan. 16) (BR. 36) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 492,985 ($14,784,620.15) Equity, (File 333-111995 - Jan. 16) (BR. 03) SB-2 SALMON EXPRESS INC, 5,029,200 ($1,257,300.00) Equity, (File 333-111996 - Jan. 16) (BR. ) 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 ------------------------------------------------------------------------------------------------ ABBOTT LABORATORIES IL X X 01/16/04 ABFS MORTGAGE LOAN TRUST 2003 1 DE X X 01/15/04 ACT TELECONFERENCING INC CO X X 01/15/04 ACTION PRODUCTS INTERNATIONAL INC FL X X 01/16/04 AGILYSYS INC OH X 01/16/04 AK STEEL HOLDING CORP DE X X 01/15/04 ALAMOGORDO FINANCIAL CORP X X 01/14/04 ALAMOSA DELAWARE INC DE X X 01/16/04 ALAMOSA HOLDINGS INC DE X X 01/16/04 ALLIED HEALTHCARE INTERNATIONAL INC NY X 01/15/04 ALPHA NUTRACEUTICALS INC CA X X X X 01/01/04 AMERICAN REAL ESTATE PARTNERS L P DE X X 01/16/04 ANNALY MORTGAGE MANAGEMENT INC MD X X 01/04/04 ANWORTH MORTGAGE ASSET CORP MD X X 01/15/04 ARK RESTAURANTS CORP NY X X 01/09/04 AMEND AVAILENT FINANCIAL INC DE X X 01/15/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 01/15/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 01/16/04 BEAR STEARNS ASSET BACKED FUND INC WH DE X X 01/15/04 BEAR STEARNS ASSET BACKED WHOLE AUTO DE X X 01/15/04 BIG LOTS INC OH X 01/14/04 BLUEFLY INC DE X X 01/15/04 BROOKLINE BANCORP INC MA X X 01/15/04 BROWN JORDAN INTERNATIONAL INC FL X 01/09/04 BRYN MAWR BANK CORP PA X X 01/15/04 CARDIAC SCIENCE INC DE X 01/05/04 AMEND CARDINAL FINANCIAL CORP VA X 01/14/04 CAREDECISION CORP NV X 12/29/03 CENTRAL FEDERAL CORP DE X X 01/16/04 CENTRAL VALLEY COMMUNITY BANCORP CA X X 01/15/04 CHENIERE ENERGY INC DE X X 01/15/04 CHESAPEAKE ENERGY CORP OK X 01/15/04 CLINICAL DATA INC DE X 01/16/04 COASTAL BANCORP INC TX X X X 12/31/03 COASTAL BANCORP INC TX X X X 12/31/03 AMEND COGENTRIX ENERGY INC NC X 01/16/04 COLLEGE LOAN CORP TRUST I DE X X 12/31/03 COMMUNITY VALLEY BANCORP CA X X 01/16/04 COMVERSE TECHNOLOGY INC/NY/ NY X 01/16/04 CONTINENTAL AIRLINES INC /DE/ DE X X 01/16/04 CPI AEROSTRUCTURES INC NY X X 01/16/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/16/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 12/18/03 CWMBS INC DE X X 10/21/03 DEL MONTE FOODS CO DE X X 01/14/04 DEUTSCHE MORTGAGE SECURITIES INC X X 01/16/04 DEUTSCHE MORTGAGE SECURITIES INC X X 01/16/04 DEVELOPERS DIVERSIFIED REALTY CORP OH X 11/14/03 DIGI INTERNATIONAL INC DE X X 01/15/04 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE X 01/15/04 DONEGAL GROUP INC DE X X 01/02/04 DOR BIOPHARMA INC DE X X 01/12/04 DORCHESTER MINERALS LP DE X X 12/31/03 DOV PHARMACEUTICAL INC DE X X 01/15/04 DOWNEY FINANCIAL CORP DE X X 12/31/03 DWANGO NORTH AMERICA CORP NV X X 12/12/03 E DEAL NET INC NV X X 01/12/04 EAGLE BANCORP INC MD X X X 01/15/04 EAGLE EXPLORATION CO CO X X 12/26/03 EDWARDS LIFESCIENCES CORP DE X X 01/16/04 EL PASO CORP/DE DE X X 01/16/04 ELKCORP DE X X X 01/15/04 ENCORE WIRE CORP /DE/ DE X X 01/16/04 ENTERPRISE TECHNOLOGIES INC DE X X 01/16/04 ENTHEOS TECHNOLOGIES INC NV X X 01/12/04 ENVIRONMENTAL POWER CORP DE X X 01/16/04 ENVIRONMENTAL TECTONICS CORP PA X X 01/16/04 EQUITY ONE ABS INC DE X X 01/14/04 FACTORY 2 U STORES INC DE X X X X 01/13/04 FENTURA FINANCIAL INC MI X X 01/16/04 FFLC BANCORP INC DE X 01/16/04 FIRST DELTAVISION INC NV X X X X 01/01/04 FIRST FINANCIAL BANKSHARES INC TX X 12/31/03 FIRST NATIONAL BANCSHARES INC /SC/ SC X X 01/14/04 FIRST NATIONAL CORP /SC/ SC X X 01/16/04 FIRST NIAGARA FINANCIAL GROUP INC DE X X 01/16/04 FIRSTBANK NW CORP WA X X 10/31/03 AMEND FOOT LOCKER INC NY X 01/14/04 FOOTSTAR INC DE X X 01/15/04 GALAXY ENERGY CORP CO X X 01/15/04 GALAXY ENERGY CORP CO X X 01/15/04 AMEND GE COMMERCIAL MORT PASS THROUGH CERTS DE X 01/01/04 GENERAL ELECTRIC CO NY X X 01/16/04 GLADSTONE COMMERCIAL CORP MD X X 12/23/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X 01/01/04 GRAFTECH INTERNATIONAL LTD DE X 01/15/04 GREAT AMERICAN BANCORP INC DE X X 01/16/04 GREAT PEE DEE BANCORP INC DE X X 01/12/04 GREENVILLE FIRST BANCSHARES INC SC X X 01/13/04 GRIFFIN LAND & NURSERIES INC DE X X 01/16/04 GROUP 1 SOFTWARE INC DE X 01/16/04 GS AUTO LOAN TRUST 2003-1 X X 01/15/04 GUARANTY FEDERAL BANCSHARES INC DE X X X 01/16/04 HARLEYSVILLE NATIONAL CORP PA X 12/31/03 HAYES LEMMERZ INTERNATIONAL INC DE X X 01/16/04 HCB BANCSHARES INC OK X X 01/13/04 HEALTHCARE REALTY TRUST INC MD X X 01/16/04 HEALTHSOUTH CORP DE X X 01/16/04 HELOC ASSET-BACKED NOTES SERIES 2003- DE X X 10/21/03 HEPALIFE TECHNOLOGIES INC FL X X 01/12/04 HOLLY CORP DE X X 01/15/04 HOME SERVICES INTERNATIONAL INC NV X X X X 12/31/03 HORIZON MEDICAL PRODUCTS INC GA X X 01/16/04 HUDSON HIGHLAND GROUP INC DE X X X 01/15/04 HUDSONS GRILL INTERNATIONAL INC TX X 01/15/04 HUMANA TRANS SERVICES HOLDING CORP DE X X 07/01/03 AMEND HUNTINGTON BANCSHARES INC/MD MD X X X 01/16/04 ICU MEDICAL INC/DE DE X X 01/15/04 IMPCO TECHNOLOGIES INC DE X 01/09/04 INTERCARE DX INC CA X 01/16/04 INTUITIVE SURGICAL INC DE X X 01/14/04 INVICTA GROUP INC X X 01/16/04 IRON MOUNTAIN INC/PA PA X X 01/15/04 IRONSTONE GROUP INC DE X 12/30/03 ISTAR FINANCIAL INC MD X X 01/15/04 IXYS CORP /DE/ DE X X 01/13/04 JLM INDUSTRIES INC DE X X 01/13/04 JOHNSON & JOHNSON NJ X 01/15/04 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 01/12/04 KEYCORP /NEW/ OH X X 01/16/04 LA QUINTA CORP DE X 01/16/04 LEE ENTERPRISES INC DE X 01/15/04 LIONBRIDGE TECHNOLOGIES INC /DE/ DE X X 01/15/04 LIQUIDMETAL TECHNOLOGIES INC X 01/16/04 LISTO INC NV X 01/16/04 LONG ISLAND FINANCIAL CORP DE X X 01/15/04 LYONDELL CHEMICAL CO DE X 01/16/04 MARCONI CORP PLC X0 X 01/16/04 MBNA AMERICA BK NAT ASSOC MBNA MASTER X 12/31/03 MBNA CREDIT CARD MASTER NOTE TRUST X 12/31/03 MBT FINANCIAL CORP MI X X 01/15/04 MCMORAN EXPLORATION CO /DE/ DE X 01/16/04 MECHANICAL TECHNOLOGY INC NY X 09/22/03 AMEND MEGOLA INC X X X 11/26/03 METAWAVE COMMUNICATIONS CORP DE X X 12/31/03 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 01/15/04 MONEY STORE INVESTMENT CORP NJ X X 01/15/04 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 01/15/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 01/16/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 01/15/04 MULTI COLOR CORP OH X X 01/16/04 NATIONAL COMMERCE FINANCIAL CORP TN X X 01/15/04 NETBANK INC GA X X 01/16/04 NEW YORK COMMUNITY BANCORP INC DE X X 01/15/04 NEWHALL LAND & FARMING CO /CA/ CA X X 01/14/04 NICOR INC IL X 01/15/04 NOBLE ENERGY INC DE X X 01/16/04 NORTHERN BORDER PARTNERS LP DE X X 01/16/04 NOVO NETWORKS INC DE X 01/13/04 OGE ENERGY CORP OK X X 01/16/04 OKLAHOMA GAS & ELECTRIC CO OK X X 01/16/04 OLD SECOND BANCORP INC DE X X 01/16/04 ONEOK INC /NEW/ OK X X 01/15/04 OPTICAL CABLE CORP VA X X 01/15/04 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 01/08/04 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 01/08/04 OREGON STEEL MILLS INC DE X 01/16/04 OSTEOTECH INC DE X 01/16/04 PEOPLES SIDNEY FINANCIAL CORP DE X X X 01/15/04 PEPCO HOLDINGS INC DE X X 01/16/04 PHILADELPHIA SUBURBAN CORP PA X 01/16/04 PHOSPHATE RESOURCE PARTNERS LIMITED P DE X X 01/14/04 PIVOTAL CORP X 01/15/04 POLYCOM INC DE X X 01/05/04 PORTLAND GENERAL ELECTRIC CO /OR/ OR X 01/09/04 PREMCOR INC DE X X X 01/14/04 PREMIER COMMUNITY BANKSHARES INC VA X 01/14/04 PREMIER DEVELOPMENT & INVESTMENT INC NV X X 01/13/04 PRIME HOLDINGS & INVESTMENTS INC NV X 11/21/03 AMEND PROSPERITY BANCSHARES INC TX X X 01/16/04 PROTOSOURCE CORP CA X X 02/13/03 AMEND PS BUSINESS PARKS INC/CA CA X X 01/15/04 PVF CAPITAL CORP OH X X 01/15/04 RECKSON ASSOCIATES REALTY CORP MD X X 01/14/04 REGIONS FINANCIAL CORP DE X X X 01/16/04 REPUBLIC BANCORP INC /KY/ KY X 01/16/04 RESPIRONICS INC DE X 01/16/04 S&T BANCORP INC PA X 12/31/03 SCHOOL SPECIALTY INC WI X X 01/16/04 SCRIPPS E W CO /DE OH X X 01/16/04 SECOND BANCORP INC OH X X 01/15/04 AMEND SECURITY CAPITAL CORP/DE/ DE X X 01/14/04 SIEBEL SYSTEMS INC DE X 11/03/03 AMEND SIMMONS FIRST NATIONAL CORP AR X 01/15/04 SLC STUDENT LOAN RECEIVABLES I INC DE X X 12/31/03 SPEAR & JACKSON INC X 01/16/04 SPORTSMANS GUIDE INC MN X X 01/14/04 STELLENT INC MN X X 01/11/04 STERLING FINANCIAL CORP /WA/ WA X X 01/02/04 SYNBIOTICS CORP CA X X 01/14/04 TELE OPTICS INC DE X X 01/15/04 TELECOM COMMUNICATIONS INC X 12/31/03 TELLABS INC DE X 01/14/04 TGC INDUSTRIES INC TX X X 01/14/04 TRANSGENOMIC INC DE X X 01/15/04 TRANSTECHNOLOGY CORP DE X X 01/14/04 TRANSTECHNOLOGY CORP DE X X 01/13/04 TRESTLE HOLDINGS INC DE X X 01/15/04 TRINITY LEARNING CORP UT X X 01/16/04 TWIN DISC INC WI X 12/31/03 TXU CORP /TX/ TX X 01/16/04 U S CANADIAN MINERALS INC CA X 01/05/04 UCBH HOLDINGS INC DE X 01/15/04 UMPQUA HOLDINGS CORP OR X X 01/15/04 UNITED AGRI PRODUCTS INC X X 01/15/04 UNITED HERITAGE CORP UT X X 01/08/04 UPC POLSKA LLC DE X X 01/15/04 V I TECHNOLOGIES INC DE X X 01/14/04 VASOMEDICAL INC DE X X 01/14/04 VENTURES NATIONAL INC UT X 12/31/03 VISTEON CORP DE X X 01/16/04 VISUAL NETWORKS INC DE X X X 01/15/04 VISUAL NETWORKS INC DE X X X 01/15/04 W HOLDING CO INC PR X X 01/07/04 WASHINGTON FEDERAL INC WA X X 01/16/04 WCI COMMUNITIES INC X X 01/14/04 WHOLE FOODS MARKET INC TX X X 01/16/04 WICKES INC DE X 01/16/04 WILMINGTON TRUST CORP DE X 01/16/04 WINFIELD FINANCIAL GROUP INC NV X X 09/22/03 WIRELESS FACILITIES INC DE X X 01/05/04 WORLD AIRWAYS INC /DE/ DE X X 01/16/04 WORLDCOM INC GA X X 01/15/04 WORLDCOM INC GA X X 01/16/04 WSFS FINANCIAL CORP DE X X 12/29/03 XERION ECOSOLUTIONS GROUP INC CO X 01/07/04 XTO ENERGY INC DE X X 01/16/04 GUARANTY FEDERAL BANCSHARES INC DE X X X X 01/16/04 AMEND