SEC NEWS DIGEST Issue 2004-31 February 17, 2004 ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD FINDINGS OF VIOLATIONS OF NASD RULES 3040 AND 2110 AND SANCTIONS AGAINST FORMER PAINEWEBBER REPRESENTATIVE The Commission has sustained NASD's findings that Mark H. Love, a former registered representative in the Tucson, Arizona, office of NASD member firm PaineWebber Inc., violated NASD Rule 3040 by participating in private securities transactions without providing prior written notice to PaineWebber. The Commission found that Love had participated in private securities transactions by referring three sets of his PaineWebber clients to an entity called Summit West Partners, which invested in initial public offerings. The Commission found that, among other things, Love's participation in the transactions was established by the facts that he told the customers that a personal friend of Love, who was also a PaineWebber representative, knew the head of Summit West well and was considering leaving PaineWebber to work for Summit West; that Love told at least one of his clients that he personally was interested in investing in Summit West; and that Love personally interceded with Summit West on behalf of his clients when they experienced difficulty withdrawing funds from their Summit West accounts. The Commission held that the thirty business-day suspension, $25,000 fine, and costs imposed by NASD were appropriate under NASD sanctioning guidelines and were neither excessive nor oppressive. (Rel. 34-49248; File No. 3-11164) SEC REVOKES LICENSE OF BROKER-DEALER AND BARS ITS CHAIRMAN FROM FUTURE AFFILIATION WITH ANY BROKER OR DEALER In the Matter of Brownstone Capital Corporation and Gregory Cooper On February 13, the Commission issued 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 Brownstone Capital Corporation (Brownstone Capital), a registered broker-dealer, and Gregory Cooper (Cooper), Brownstone's chairman and general securities principal. The Order revokes Brownstone Capital's registration and bars Cooper from association with any broker or dealer. The Order was based upon the entry of civil judgments against Brownstone Capital and Cooper in the United States District Court for the Southern District of New York on Nov. 17, 2003, and Cooper's guilty plea to one count of mail fraud in violation of Sections 1341 and 1342 of Title 18 of the United States Code in a parallel criminal case in the same District entitled United States v. Gregory Cooper, 99-Crim-298. In the civil action, SEC v. Brownstone Group, et al. 98-CV-8540, the District Court permanently enjoined Brownstone Capital and Cooper from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b), 15(c), 17(a) and 17(b) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-3, 10b-5, 15c1-2, 15c-1-5, and 17a-4(j). The District Court ordered the court-appointed receiver for Brownstone Capital to pay $9,961.48 in disgorgement to the Commission, which was the balance remaining in the receiver's account from the liquidation of Brownstone Capital's assets. Cooper was not ordered to pay disgorgement or a civil penalty based on his financial condition and his restitution obligation in the criminal case. In the civil action, the Commission alleged the following: From March 1997 to in or about December 1998, Brownstone Capital, Cooper, and others, offered and sold unregistered shares of Brownstone Holdings and Blackstone Entertainment to the investing public through three purported private offerings. Cooper controlled Brownstone Capital and each of the issuers whose securities were sold in the offerings. In connection with these offerings, Brownstone Capital, which was the selling agent for these offerings, distributed private placement memoranda to investors that contained numerous material misrepresentations. Additionally, Brownstone Capital registered representatives (brokers) made numerous material misrepresentations to investors to induce them to purchase securities in these offerings. For example, in July 1997, Brownstone Capital brokers told investors in one of the offerings that if they invested they would double their money within one month. Cooper directed brokers at Brownstone Capital to solicit investors to purchase shares through the offerings. Brownstone Capital also failed to make required books and records reasonably accessible, and to furnish copies of some of those records, to the Commission staff. In the criminal case, Cooper was sentenced to 24 months in prison and an additional two years of supervised release and ordered to pay $1,881,242.00 in restitution. Based on the above, the Order revokes Brownstone Capital's registration with the Commission as a broker-dealer and bars Cooper from association with any broker or dealer. Brownstone Capital's receiver and Cooper consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-49249; File No. 3-11397) NASD BAR OF TONI VALENTINO FOR FAILURE TO APPEAR AT INTERVIEWS SUSTAINED The Commission sustained the disciplinary action NASD imposed on Toni Valentino, formerly a general securities representative. NASD had found that Valentino violated Procedural Rule 8210 by failing to appear for two on-the-record interviews requested by NASD staff. NASD had barred Valentino from association with any NASD member firm in any capacity. The Commission found that Valentino, by failing to appear for the interviews, violated NASD Procedural Rule 8210 and that the bar imposed was neither excessive nor oppressive. (Rel. 34-49255; File No. 3-11191) IN THE MATTER OF ANTHONY GIORDANO On February 17, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Anthony F. Giordano (Giordano). According to the Order, between 2002 and 2003, while Chief Executive Officer of the EPG Global Private Equity Fund, Ltd. (EPG), Giordano acted as an unregistered investment adviser and was seeking to become associated with a broker-dealer registered with the Commission. On Feb. 11, 2004, a final judgment was entered by consent against Giordano, permanently enjoining him from future violations of Sections 5(c), 17(a)(1) and 17(a)(3) of the Securities Act of 1933 (Securities Act), and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled SEC v. Anthony F. Giordano, et al., Civil Action Number 04- 60183-CIV-COHN, in the U.S. District Court for the Southern District of Florida. The Commission's complaint alleged, among other things, that in connection with the unregistered offer of shares of EPG Global, Giordano failed to disclose his prior disciplinary history with the NASD and falsely stated to investors that their principal was fully guaranteed, that the EPG Global management team manages over $100 million in assets, and that EPG Global had returns in excess of seventy percent since its inception. Based on the above, the Order bars Giordano from association with any broker, dealer, or investment adviser. Giordano consented to the issuance of the Order without admitting or denying any of the allegations in the Order. (Rels. 34-49258; IA-2216; File No. 3-11400) COMMISSION DENIES MOTION FILED BY THE DIVISION OF ENFORCEMENT FOR RECONSIDERATION OF ITS DECISION DISMISSING DISCIPLINARY ACTION AGAINST PRIVATE BROKERS CORPORATION AND ROBERT ROBERTS The Commission has denied a motion filed by the Division of Enforcement for reconsideration of its decision dismissing disciplinary action against Private Brokers Corporation, a clearing broker-dealer, and its president and partial owner, Robert A. Roberts, in connection with a fraudulent scheme involving the changing of ticket prices by Del Mar Financial Services, Inc., a former registered broker-dealer, and its owner, Kevin C. Dills. The Commission found, as relevant here, that the securities law violations alleged against Private Brokers and Roberts were not proven. It found no evidence that Private Brokers or Roberts engaged in wrongdoing, or that they contributed to Dills' and Del Mar's fraud. The Commission stated that Private Brokers' and Roberts' conduct reflected nothing more than the performance of their activities as clearing brokers in addressing trading problems resulting from an introducing broker's actions. In seeking reconsideration, the Division objected to a single sentence in the Commission's opinion that discussed the lack of evidence that Private Brokers and Roberts initiated or directly participated in the ticket price-changing scheme with intent to deceive and defraud. The Division contended that the sentence at issue could be "misinterpreted to authorize brokers to improperly change the prices of securities transactions retroactively to an `average price' that differs from the market prices that the customers actually received." The Commission rejected this contention, stating that it did not believe the identified sentence could be read to endorse that practice. It accordingly denied the motion for reconsideration. (Rels. 33-8386; 34-49261; File No. 3- 9959) FORMER REGISTERED REPRESENTATIVE TO PAY $50,000 TO SETTLE FRAUD CASE ARISING FROM AN UNREGISTERED OFFERING The Commission announced today that it filed a settled civil injunctive action against EPG Global Private Equity Fund, Ltd. (EPG), a purported "principal guaranteed" hedge fund, and its founder Anthony F. Giordano (Giordano). EPG, with its registered office in Boca Raton, Florida, and Giordano, who also resides in Boca Raton, Florida, consented, without admitting or denying the allegations in the Commission's Complaint, to the entry of a Final Judgment of Permanent Injunction and Other Relief (Final Judgment). According to the Commission's complaint, Giordano, a former registered representative barred by the National Association of Securities Dealers (NASD), attempted to raise investor funds by placing a series of national newspaper advertisements regarding EPG and by mailing EPG offering materials to potential investors. The Commission's Complaint also alleges that, in connection with the offering, EPG and Giordano made numerous material misrepresentations and omissions to potential investors about the guaranteed nature of the investment, the returns that EPG investments would generate, the value of the assets that Giordano had under management, and Giordano's disciplinary history with the NASD. The Final Judgment permanent enjoins EPG from violating Sections 5(c), 17(a)(1) and 17(a)(3) of the Securities Act of 1933 (Securities Act) and enjoins Giordano from violating Sections 5(c), 17(a)(1) and 17(a)(3) of the Securities Act and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). Giordano will also pay $50,000 in civil penalties. [SEC v. EPG Global Private Equity Fund, et al., Civil Action No. 04-60183-CIV-COHN (S.D. Fla.)] (LR-18577) COMMISSION FILES ACTION AGAINST DEAN NICHOLS The Commission announced today that on February 17 it filed a complaint in federal district court in Newark, New Jersey against Dean A. Nichols (Nichols), a certified public accountant and a senior manager at a subsidiary of Performance Food Group Company (PFG), a large public company. The complaint alleges that, during 2000 and 2001, Nichols engaged in a fraudulent course of conduct in which he made numerous improper accounting journal entries on the books of AFI Foodservice Distributor, Inc. (AFI), a subsidiary of PFG. Nichols' conduct caused PFG to overstate its income by a total of $3.8 million in the company's Forms 10-Q filed with the Commission for the second and third quarters of 2000, and for the first and third quarters of 2001. Nichols, an executive vice-president and one time controller of AFI, was responsible for AFI's accounting functions and financial statements. During 2000 and 2001, he repeatedly failed to reconcile imbalances in various AFI accounts, and made improper accounting adjustments in an effort to make the accounts appear to balance. Because AFI's accounts were consolidated with PFG's, Nichols' actions caused PFG materially to overstate its reported net earnings. Nichols never notified PFG's management or accounting personnel of the account imbalances or of his improper accounting adjustments. On March 11, 2002, PFG announced that it had identified accounting errors in the financial statements of a subsidiary. The company later filed a Form 10-K for 2001 in which it reported its corrected net income for all of 2000 and 2001. The complaint against Nichols seeks an injunction, disgorgement plus prejudgment interest, and a civil penalty based on his violation of, and/or aiding and abetting violations of, the antifraud, reporting, and books and records provisions of the federal securities laws (Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-13 and 13b2-1, thereunder). [SEC v. Dean A. Nichols, D.N.J.](LR-18578) ADDITIONS AND CORRECTIONS Certain release numbers were omitted from an article concerning H.D. Vest Investment Securities, Inc., which appeared in the February 13th issue of the Digest. They are as follows: Rels. 33-8384; 33-8385; 34- 49250. HOLDING COMPANY ACT RELEASES PENNSYLVANIA POWER COMPANY A notice has been issued giving interested persons until March 8, 2004, to request a hearing on a proposal by Pennsylvania Power Company (Penn Power), a public utility subsidiary of FirstEnergy Corp., a registered holding company, to form a special purpose entity that will purchase the customer accounts receivables of Penn Power. The special purpose entity will, in turn, sell undivided interests in the pool of receivables to third party purchasers. (Rel. 35-27802) METROPOLITAN EDISON COMPANY A notice has been issued giving interested persons until March 8, 2004, to request a hearing on a proposal by Metropolitan Edison Company (MetEd), a public utility subsidiary of FirstEnergy Corp., a registered holding company, to form a special purpose entity that will purchase the customer accounts receivables of MetEd. The special purpose entity will, in turn, sell undivided interests in the pool of receivables to third party purchasers. (Rel. 35-27802) PENNSYLVANIA ELECTRIC COMPANY A notice has been issued giving interested persons until March 8, 2004, to request a hearing on a proposal by Pennsylvania Electric Company (Penelec), a public utility subsidiary of FirstEnergy Corp., a registered holding company, to form a special purpose entity that will purchase the customer accounts receivables of Penelec. The special purpose entity will, in turn, sell undivided interests in the pool of receivables to third party purchasers. (Rel. 35-27802) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No. 1 thereto submitted by the Pacific Exchange, through its wholly owned subsidiary, PCX Equities, Inc., to amend its rules relating to initial listing requirements for securities listed under the Tier I and Tier II designations (SR-PCX-2003-62). (Rel. 34-49225) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, no par value, of Topaz Group, Inc., effective at the opening of business on February 16. (Rel. 34-49254) 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-1 NTL INC, 110 E 59TH ST, 26TH FLOOR, NEW YORK, NY, 10022, 2129068440 - 0 ($595,742,659.39) Equity, (File 333-112787 - Feb. 13) (BR. 37) S-8 CELL THERAPEUTICS INC, 201 ELLIOTT AVE W, STE 400, SEATTLE, WA, 98119, 2062707100 - 0 ($3,291,750.00) Equity, (File 333-112791 - Feb. 13) (BR. 01) S-3 MONTPELIER RE HOLDINGS LTD, MINTFLOWER PLACE, 8 PAR-LA-VILLE ROAD, HAMILTON HM 08, D0, 00000, 441 296 5550 - 0 ($1,718,645,228.00) Unallocated (Universal) Shelf, (File 333-112792 - Feb. 13) (BR. 01) S-8 SBS INTERACTIVE CO, 37 PRINCE ARTHUR ROAD, SUITE 300, TORONTO ONTARIO CANA, A6, M5R1E2, 4169611409 - 7,000,000 ($700,000.00) Equity, (File 333-112793 - Feb. 13) (BR. 08) S-3 SELECT ASSET INC, 745 SEVENTH AVE, NEW YORK, NY, 10019, 2125267000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-112795 - Feb. 13) (BR. 05) S-8 BARCLAYS BANK PLC /ENG/, 54 LOMBARD STREET, EC3P 3AH, LONDON ENGLAND EC3N, X0, 00000, 2124124000 - 0 ($50,000,000.00) Other, (File 333-112796 - Feb. 13) (BR. 07) S-8 BARCLAYS BANK PLC /ENG/, 54 LOMBARD STREET, EC3P 3AH, LONDON ENGLAND EC3N, X0, 00000, 2124124000 - 0 ($100,000,000.00) Other, (File 333-112797 - Feb. 13) (BR. 07) SB-2 COMPOSITE TECHNOLOGY CORP, 18881 VON KARMAN AVE, SUITE 1630, IRVINE, CA, 92612, 28,061,734 ($50,271,830.00) Equity, (File 333-112798 - Feb. 13) (BR. 36) F-1 TOM ONLINE INC, 8TH/F TOWER W3 ORIENTAL PLAZA, NO 1 DONG CAN AN AVE, BEIJING CHINA, F4, 100738, 0 ($160,000,000.00) Equity, (File 333-112800 - Feb. 13) (BR. 08) S-8 BANYAN CORP /OR/, 4740 FORGE ROAD BLDG 112, COLORADO SPRINGS, CO, 80907, 7195315535 - 500,000 ($145,000.00) Equity, (File 333-112801 - Feb. 13) (BR. 01) S-8 VASO ACTIVE PHARMACEUTICALS INC, 99 ROSEWOOD DRIVE, SUITE 260, DANVERS, MA, 01923, 9787500090 - 0 ($450,000.00) Equity, (File 333-112802 - Feb. 13) (BR. 09) S-8 COLUMBIA BANCORP, 10480 LITTLE PATUXENT PKWY, PARK VIEW BUILDING, COLUMBIA, MD, 21044, 3017305000 - 340,505 ($10,593,111.00) Equity, (File 333-112803 - Feb. 13) (BR. 07) S-8 UTAH CLAY TECHNOLOGY INC, 404 EAST 1ST STREET, 1345, LONG BEACH, CA, 90802, 562-983-5331 - 800,000 ($2,000,000.00) Equity, (File 333-112804 - Feb. 13) (BR. 04) S-8 GENOME THERAPEUTICS CORP, 1OO BEAVER ST, WALTHAM, MA, 02453, 7813982300 - 3,311,165 ($1,208,575.20) Equity, (File 333-112810 - Feb. 13) (BR. 01) S-8 XTREME COMPANIES INC, 9116 COVERED WAGON DRIVE, LAS VEGAS, NV, 89117, 7027322253 - 300,000 ($210,000.00) Equity, (File 333-112811 - Feb. 13) (BR. 09) S-1 CDRJ NORTH ATLANTIC LUX S AR L, 0 ($100,000,000.00) Equity, (File 333-112813 - Feb. 13) (BR. 02) S-4 STRATUS SERVICES GROUP INC, 500 CRAIG ROAD, 3RD FL, MANALAPAN, NJ, 07726, 7328660300 - 0 ($26,819,534.00) Equity, (File 333-112814 - Feb. 13) (BR. 08) S-8 ABAXIS INC, 3240 WHIPPLE, ROAD, UNION CITY, CA, 94587, (510) 675-6500 - 500,000 ($9,005,000.00) Equity, (File 333-112815 - Feb. 13) (BR. 01) S-8 SOUND FEDERAL BANCORP INC, 300 MAMARONECK AVE, MAMARONECK, NY, 10543-2647, 9146986400 - 1,089,303 ($16,674,019.36) Equity, (File 333-112816 - Feb. 13) (BR. 07) F-6 TOM ONLINE INC, 8TH/F TOWER W3 ORIENTAL PLAZA, NO 1 DONG CAN AN AVE, BEIJING CHINA, F4, 100738, 5,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-112817 - Feb. 13) (BR. 08) S-8 GLOBAL BUSINESS MARKETS INC, 3859 WEKIVA SPRINGS ROAD, SUITE 302, LONGWOOD, FL, 32779, 407-884-6859 - 1,500,000,000 ($3,000,000.00) Equity, (File 333-112818 - Feb. 13) (BR. 02) S-4 TELEX COMMUNICATIONS INC, 12000 PORTLAND AVENUE SOUTH, BURNSVILLE, MN, 55337, 952-884-4051 - 0 ($125,000,000.00) Non-Convertible Debt, (File 333-112819 - Feb. 13) (BR. 37) S-8 DOUBLECLICK INC, 450 W 33RD ST, 16TH FL, NEW YORK, NY, 10001, 2126830001 - 0 ($33,089,000.00) Equity, (File 333-112820 - Feb. 13) (BR. 03) S-3 VALENTIS INC, 863A MITTEN RD, BURLINGAME, CA, 94010, 6506971900 - 0 ($24,756,067.50) Equity, (File 333-112821 - Feb. 13) (BR. 01) S-3 ACT TELECONFERENCING INC, 1658 COLE BLVD, STE 130, GOLDEN, CO, 80401, 3032359000 - 4,433,334 ($10,999,335.00) Equity, (File 333-112822 - Feb. 13) (BR. 37) S-3 AMEREN CORP, 1901 CHOUTEAU AVE, MC 1370, ST LOUIS, MO, 63166-6149, 431723446 - 6,000,000 ($277,980,000.00) Equity, (File 333-112823 - Feb. 13) (BR. 02) S-3 HYDRON TECHNOLOGIES INC, 1001 YAMATO RD STE 403, BOCA RATON, FL, 33431, 5619946191 - 8,766,500 ($6,356,075.00) Equity, (File 333-112824 - Feb. 13) (BR. 02) S-8 SOVEREIGN BANCORP INC, 2000 MARKET ST, PHILADELPHIA, PA, 19103, 2155574630 - 0 ($7,549,413.13) Equity, (File 333-112825 - Feb. 13) (BR. 07) S-8 RENOVIS INC, TWO CORPORATE DR, SOUTH SAN FRANCISCO, CA, 94080, 650-266-1400 - 0 ($20,785,276.00) Equity, (File 333-112826 - Feb. 13) (BR. 01) S-4 ATA HOLDINGS CORP, 7337 W WASHINGTON ST, INDIANAPOLIS, IN, 46231, 3172474000 - 273,297,000 ($273,297,000.00) Debt Convertible into Equity, (File 333-112827 - Feb. 13) (BR. 05) S-1 AMERICAN CAPITAL ACCESS HOLDINGS LTD, 140 BROADWAY, NEW YORK, NY, 10005, 2123752000 - 0 ($125,000,000.00) Equity, (File 333-112828 - Feb. 13) (BR. ) S-1 WELLCARE GROUP INC, 68000 NORTH DALE MABRY HWY, SUITE 268, TAMPA, FL, 33614, 8132906200 - 0 ($100,000,000.00) Equity, (File 333-112829 - Feb. 13) (BR. ) SB-2 MONGOLIAN EXPLORATIONS LTD, 9,350,000 ($467,500.00) Equity, (File 333-112830 - Feb. 13) (BR. ) S-8 EXTREME NETWORKS INC, 3585 MONROE STREET, SANTA CLARA, CA, 95051, 4085792800 - 8,801,295 ($71,733,124.05) Equity, (File 333-112831 - Feb. 13) (BR. 03) N-2 TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND, C/O CLAYMORE SECURITIES, 210 N. HALE ST., WHEATON, IL, 60187, 6303152058 - 50,000 ($1,000,000.00) Equity, (File 333-112832 - Feb. 13) (BR. 17) S-8 LEOPARD CAPITAL INC, 1574 GULF ROAD #1505, N/A, POINT ROBERTS, WA, 98281, 604-879-9001 - 200,000 ($420,000.00) Equity, (File 333-112833 - Feb. 13) (BR. 09) S-4 SAXON REIT INC, 0 ($908,435,983.65) Equity, (File 333-112834 - Feb. 13) (BR. ) S-4 DELTA AIR LINES INC /DE/, HARTSFIELD ATLANTA INTL AIRPORT, 1030 DELTA BLVD, ATLANTA, GA, 30354-1989, 4047152600 - 247,772,000 ($247,772,000.00) Non-Convertible Debt, (File 333-112835 - Feb. 13) (BR. 05) S-3 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002, 4087476080 - 0 ($3,843,178.44) Equity, (File 333-112836 - Feb. 13) (BR. 37) SB-2 ENER1 INC, 550 WEST CYPRESS CREEK ROAD, SUITE 120, FORT LAUDERDALE, FL, 33309, (954) 202-4442 - 53,756,467 ($60,207,243.04) Equity, (File 333-112837 - Feb. 13) (BR. 37) S-8 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002, 4087476080 - 0 ($92,407,412.52) Equity, (File 333-112838 - Feb. 13) (BR. 37) S-11 GLOBAL SIGNAL INC, 0 ($200,000,000.00) Equity, (File 333-112839 - Feb. 13) (BR. ) S-3 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 - 892,273,000 ($897,805,092.60) Debt Convertible into Equity, (File 333-112840 - Feb. 13) (BR. 02) S-3 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 - 847,134,000 ($849,148,577.50) Debt Convertible into Equity, (File 333-112841 - Feb. 13) (BR. 02) S-8 PBSJ CORP /FL/, 2001 NW 107TH AVE, MIAMI, FL, 33172, 3055927275 - 3,000,000 ($67,500,000.00) Equity, (File 333-112842 - Feb. 13) (BR. 06) S-3 AIRGATE PCS INC /DE/, 233 PEACHTREE ST NE, SUITE 1700, ATLANTA, GA, 30303, 4045257272 - 0 ($15,767,795.00) Equity, 0 ($107,689,900.00) Non-Convertible Debt, (File 333-112843 - Feb. 13) (BR. 37) S-8 MAGNUM DIOR RESOURCES INC, 3266 YONGE STREET STE 1208, BC, TORONTO ONTARIO CANA, A6, 00000, 25,000,000 ($3,750,000.00) Equity, (File 333-112844 - Feb. 13) (BR. 08) S-4 UPSON BANKSHARES INC, 108 SOUTH CHURCH STREET, THOMASTON, GA, 30286, 1,484,029 ($18,758,126.56) Equity, (File 333-112845 - Feb. 13) (BR. ) S-11 STRATEGIC HOTEL CAPITAL INC, 77 W WACKER DR STE 4600, CHICAGO, IL, 60601, 0 ($325,000,000.00) Equity, (File 333-112846 - Feb. 13) (BR. ) S-3 VICURON PHARMACEUTICALS INC, 455 SOUTH GULPH ROAD, SUITE 305, KING OF PRUSSIA, PA, 19406, 610-491-2200 - 0 ($190,380,741.00) Other, (File 333-112847 - Feb. 13) (BR. 01) S-4 MEDEX INC, 2231 RUTHERFORD RD, CARLSBAD, CA, 92008, 7606024400 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-112848 - Feb. 13) (BR. 01) S-3 INFINITY INC, 211 W 14TH ST, STE 260, CHANUTE, KS, 66720, 3164316200 - 2,626,000 ($12,565,410.00) Equity, (File 333-112849 - Feb. 13) (BR. 04) S-8 BRISTOL WEST HOLDINGS INC, 0 ($79,034,974.00) Equity, (File 333-112850 - Feb. 13) (BR. 01) S-4 CALIFORNIA AMPLIFIER INC, 1401 N RICE AVENUE, OXNARD, CA, 93030, 8059879000 - 0 ($136,021.00) Equity, (File 333-112851 - Feb. 13) (BR. 37) SB-2 NOVADEL PHARMA INC, 31 STATE HIGHWAY 12, FLEMINGTON, NJ, 08822, 908-782-3431 - 20,484,217 ($32,979,589.37) Equity, (File 333-112852 - Feb. 13) (BR. 01) S-8 DDI CORP, 1220 SAMON CIRCLE, AHAMEIM, CA, 92806, 7145887200 - 6,190,120 ($38,254,941.60) Equity, (File 333-112853 - Feb. 13) (BR. 36) S-3 ACCENTURE LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, HAMILTON, D0, HM12, 0 ($1,355,301,500.00) Equity, (File 333-112854 - Feb. 13) (BR. 08) S-1 FRANKLIN BANK CORP, 9800 RICHMOND AVE, SUITE 680, HOUSTON, TX, 77042, 713-339-8900 - 8,440,500 ($158,259,375.00) Equity, (File 333-112856 - Feb. 13) (BR. 07) S-3 NOVATEL WIRELESS INC, 9255 TOWNE CENTRE DR, SUITE 225, SAN DIEGO, CA, 92121, 8583208800 - 1,371,420 ($16,649,038.80) Equity, (File 333-112857 - Feb. 13) (BR. 03) S-3 ASPECT COMMUNICATIONS CORP, 1320 RIDDER PARK DRIVE, SAN JOSE, CA, 95131, 4083252200 - 0 ($257,922,000.00) Equity, (File 333-112858 - Feb. 13) (BR. 03) SB-2 TRUE RELIGION APPAREL INC, 201 EAST ARENA STREET, EL SEGUNDO, CA, 90245, 310.615.1978 - 3,400,000 ($3,655,000.00) Equity, (File 333-112859 - Feb. 13) (BR. 02) S-4 FIDELITY NATIONAL FINANCIAL INC /DE/, 601 RIVERSIDE AVENUE, ,, JACKSONVILLE, FL, 32204, 904-854-8100 - 108,848,678 ($108,848,678.00) Equity, (File 333-112860 - Feb. 13) (BR. 01) 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 ------------------------------------------------------------------------------------------------ AAIPHARMA INC DE X 12/02/03 AMEND ABLEST INC DE X X X 02/13/04 ACE SECURITIES CORP HOME EQUITY LOAN DE X 01/28/04 ACTIVISION INC /NY DE X X 02/12/04 AES CORPORATION DE X X 02/13/04 AIR T INC DE X 12/31/03 AK STEEL HOLDING CORP DE X X 02/13/04 ALEXANDRIA REAL ESTATE EQUITIES INC MD X X 02/12/04 ALION SCIENCE & TECHNOLOGY CORP DE X X 02/13/04 ALLEN ORGAN CO PA X 02/12/04 ALLIANT TECHSYSTEMS INC DE X X 02/11/04 ALTIRIS INC DE X X 12/01/03 AMEND AMERICA FIRST APARTMENT INVESTORS INC MD X 12/31/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X X 02/06/04 AMERICAN INSURED MORTGAGE INVESTORS CA X X 02/13/04 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE X X 02/12/04 AMERICAN ORIENTAL BIOENGINEERING INC CO X X 02/06/04 AMERICAN PHYSICIANS CAPITAL INC MI X 02/12/04 AMERICAN VANTAGE COMPANIES NV X X 01/30/04 AMERICAN VANTAGE COMPANIES NV X 02/02/04 AMERICAS CARMART INC TX X 02/11/04 AMERIFIRST FUND I LLC DE X X 02/09/03 AMERON INTERNATIONAL CORP DE X 02/12/04 AMF BOWLING WORLDWIDE INC DE X X 02/11/04 AMPCO PITTSBURGH CORP PA X 12/31/03 ANCHOR GLASS CONTAINER CORP /NEW DE X X 02/12/04 APARTMENT INVESTMENT & MANAGEMENT CO MD X 02/12/04 APEX SILVER MINES LTD X 02/12/04 ARGENT SECURITIES INC X X 02/13/04 ASIAINFO HOLDINGS INC DE X 02/13/04 ASSET BACKED SECURITIES CORP DE X 02/13/04 ASSET BACKED SECURITIES CORP DE X 02/13/04 ATRION CORP DE X X 02/12/04 AUBURN NATIONAL BANCORPORATION INC DE X X 02/12/04 AUTHENTIDATE HOLDING CORP DE X X 02/13/04 AVALONBAY COMMUNITIES INC MD X 02/13/04 AVANEX CORP DE X X 02/11/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 02/13/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 02/12/04 BANCTRUST FINANCIAL GROUP INC AL X X 02/12/04 BANCTRUST FINANCIAL GROUP INC AL X X 02/12/04 AMEND BAR HARBOR BANKSHARES ME X X 02/13/04 BARNES GROUP INC DE X X 02/13/04 BARNWELL INDUSTRIES INC DE X X 02/13/04 BAY VIEW CAPITAL CORP DE X X 02/10/04 BB&T CORP NC X X 02/06/04 BCSB BANKCORP INC X X 02/12/04 BEAR ISLAND PAPER CO LLC VA X X 02/09/04 BEST COMPUTERS SERVICES INC NV X 02/10/04 BETA OIL & GAS INC NV X X 02/12/04 BEVERLY ENTERPRISES INC DE X 02/11/04 BINGHAM CANYON CORP NV X X 02/09/04 BIO KEY INTERNATIONAL INC MN X X 02/10/04 BIO ONE CORP NV X X 02/04/04 BIOGEN IDEC INC DE X X 02/11/04 BIOZHEM COSMECEUTICALS INC TX X X 01/05/04 BLAIR CORP DE X X 02/13/04 BOURBON BANCSHARES INC /KY/ KY X 12/31/03 BRIAZZ INC WA X X 12/17/03 BROOKE CORP KS X X 02/13/04 BROWN TOM INC /DE DE X 02/12/04 BUFFETS INC MN X X 02/13/04 CACI INTERNATIONAL INC /DE/ DE X 02/13/04 CAGLES INC GA X X 02/13/04 CANCER CAPITAL CORP NV X X 02/09/04 CAPTIVA SOFTWARE CORP DE X 02/01/04 CASH TECHNOLOGIES INC DE X 02/06/04 CENDANT MORTGAGE CAPITAL LLC CDMC MO DE X 01/29/04 CH2M HILL COMPANIES LTD OR X 02/13/04 CHAD THERAPEUTICS INC CA X X 02/12/04 CITADEL SECURITY SOFTWARE INC DE X X X 02/12/04 CNA FINANCIAL CORP DE X X 02/13/04 CNL HOSPITALITY PROPERTIES INC MD X X 02/12/04 COLLEGIATE FUNDING SERVICES EDUCATION DE X X 01/31/04 COLLEGIATE FUNDING SERVICES EDUCATION DE X X 01/31/04 COLLEGIATE PACIFIC INC DE X 02/13/04 COMDISCO HOLDING CO INC DE X X 02/13/04 COMMERCE BANCSHARES INC /MO/ MO X 02/12/04 COMMERCIAL CAPITAL BANCORP INC NV X X 02/13/04 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 02/12/04 COMMUNICATIONS RESEARCH INC NJ X X 02/12/04 CONNETICS CORP DE X X 02/12/04 CONTANGO OIL & GAS CO DE X X X 02/13/04 CONTINUCARE CORP FL X X 02/13/04 CONTINUCARE CORP FL X X 02/13/04 CORDIA CORP NV X 02/06/04 CORTEX PHARMACEUTICALS INC/DE/ DE X X 02/12/04 CPI CORP DE X 02/13/04 CSFB MORTGAGE SEC CORP HM EQ PASS THR DE X 02/13/04 CT COMMUNICATIONS INC /NC NC X 02/13/04 CULLEN FROST BANKERS INC TX X 02/13/04 CUMMINS INC IN X X 01/28/04 AMEND CV THERAPEUTICS INC DE X 02/10/04 CWALT INC X X 02/12/04 D & K HEALTHCARE RESOURCES INC DE X 12/05/03 AMEND DATALINK CORP MN X X 02/12/04 DATATEC SYSTEMS INC DE X X 02/13/04 DAYTON SUPERIOR CORP OH X 02/13/04 DEUTSCHE MORTGAGE & ASSET RECEIVING C DE X X 02/11/04 DONALDSON CO INC DE X X 02/12/04 DOW CHEMICAL CO /DE/ DE X X 02/13/04 DURECT CORP DE X X 02/13/04 DUSA PHARMACEUTICALS INC NJ X X 02/12/04 EARTH PRODUCTS & TECHNOLOGIES INC NV X X 02/09/04 EARTHLINK INC DE X X 02/12/04 EAST COAST AIRLINES INC X 02/13/04 ELECTRONIC CORPORATE FILING SERVICES NV X 02/10/04 ENERGY PRODUCERS INC NV X 12/24/03 ENTRAVISION COMMUNICATIONS CORP DE X 02/12/04 ENVIRO ENERGY CORP DE X X 01/15/04 AMEND EPIQ SYSTEMS INC MO X X 01/30/04 EPLUS INC DE X 02/13/04 ERIE INDEMNITY CO PA X X 02/13/04 ESCALADE INC IN X 02/13/04 EVERGREENBANCORP INC WA X X 02/09/04 EXACTECH INC FL X X X 02/11/04 EXCHANGE NATIONAL BANCSHARES INC MO X X 02/11/04 EXCHANGE NATIONAL BANCSHARES INC MO X X 02/13/04 FAIRCHILD CORP DE X X 02/12/04 FAMILY HEALTHCARE SOLUTIONS INC NV X 02/10/04 FARMERS NATIONAL BANC CORP /OH/ OH X X 02/13/04 FERRELLGAS PARTNERS L P DE X X 02/08/04 FIDELITY D & D BANCORP INC PA X X 02/13/04 FIRST AUTO INC NV X 02/10/04 FIRST MERCHANTS CORP IN X X 02/13/04 FONAR CORP DE X 12/31/03 FOOTSTAR INC DE X X 02/12/04 GENELABS TECHNOLOGIES INC /CA CA X X 02/13/04 GLOBALSCAPE INC DE X 02/12/04 GLOBALWISE INVESTMENTS INC NV X X 02/09/04 GLOBE BANCORP INC LA X 12/31/03 GLOBECOMM SYSTEMS INC X X 02/12/04 GMAC COMMERICA MOR SEC INC PASS THRU DE X 02/10/04 GREAT AMERICAN FINANCIAL RESOURCES IN DE X 12/31/03 GREAT LAKES REIT MD X X 02/13/04 GREEN MOUNTAIN POWER CORP VT X 02/11/04 GRIC COMMUNICATIONS INC CA X X 02/12/04 GRIC COMMUNICATIONS INC CA X 11/25/03 AMEND GRIFFIN LAND & NURSERIES INC DE X X 02/13/04 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X 01/30/04 GS MORTGAGE SECURITIES CORP DE X X 02/11/04 GS MORTGAGE SECURITIES CORP DE X 02/12/04 GYK VENTURES INC NV X 02/10/04 HANCOCK HOLDING CO MS X 01/20/04 AMEND HANOVER DIRECT INC DE X X 02/13/04 HANOVER DIRECT INC DE X X 02/13/04 HARLEYSVILLE NATIONAL CORP PA X 02/13/04 HARTVILLE GROUP INC NV X X 10/31/03 HAWAIIAN HOLDINGS INC DE X X 02/10/04 HAWKINS INC MN X X 02/13/04 HEALTH NET INC DE X 02/11/04 HEILIG MEYERS CO VA X 12/31/03 HEMOXYMED INC DE X X 02/06/04 HIGHLANDS BANKSHARES INC /WV/ WV X 02/13/04 HOME EQUITY PASS-THROUGH CERTIFICATES DE X 02/13/04 HOME FINANCIAL BANCORP IN X X 02/10/04 HORTON D R INC /DE/ DE X X 02/13/04 HPL TECHNOLOGIES INC DE X 12/31/03 HUDSON VALLEY HOLDING CORP NY X X 02/12/04 HYUNDAI ABS FUNDING CORP DE X X 02/09/04 IDENTIX INC DE X 02/13/04 IGEN INTERNATIONAL INC /DE DE X X 02/13/04 IMCLONE SYSTEMS INC/DE DE X X 02/12/04 IMCLONE SYSTEMS INC/DE DE X X 02/12/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 01/29/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X X 01/29/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X X X 01/29/04 INCYTE CORP DE X X 02/12/04 INNOVATIVE COMPANIES INC FL X X 01/30/04 INPUT OUTPUT INC DE X 02/12/04 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE X X 02/13/04 INTERNATIONAL DISPLAYWORKS INC OR X X 02/06/04 INVISA INC X 01/28/04 JANUS CAPITAL GROUP INC DE X X 12/01/03 AMEND KANSAS CITY LIFE INSURANCE CO MO X 12/31/03 KESTREL ENERGY INC CO X 02/12/04 KNW NETWORKS INC NV X 02/10/04 LEXON TECHNOLOGIES INC DE X X 02/09/04 LIBRA ALLIANCE CORP NV X X 02/09/04 LIFEWAY FOODS INC IL X X 02/12/04 LIGHTEN UP ENTERPRISES INTERNATIONAL NV X X 02/11/04 LOCKHEED MARTIN CORP MD X X 02/13/04 LOEWS CORP DE X X 02/12/04 LTX CORP MA X X 02/12/04 MACK CALI REALTY CORP MD X X 02/09/04 MACK CALI REALTY L P DE X X 02/09/04 MAGNUM DIOR RESOURCES INC X 02/13/04 MAINSOURCE FINANCIAL GROUP IN X X 02/12/04 MANAGEMENT NETWORK GROUP INC X X 02/12/04 MARCONI CORP PLC X0 X 02/13/04 MARCONI CORP PLC X0 X 02/13/04 MASCO CORP /DE/ DE X X 02/13/04 MEASUREMENT SPECIALTIES INC NJ X 02/13/04 MEDIA SCIENCES INTERNATIONAL INC DE X 02/10/04 MEDICAL LICENSING INTERNATIONAL CORP DE X X 02/10/04 MERRILL LYNCH COMM MORT PS THR CERTS DE X 02/12/04 METRIS RECEIVABLES INC DE X X 01/31/04 METRIS RECEIVABLES INC DE X X 01/31/04 METROLOGIC INSTRUMENTS INC NJ X 12/31/03 MFA MORTGAGE INVESTMENTS MD X X 02/13/04 MFIC CORP DE X X 02/09/04 MICRO THERAPEUTICS INC DE X X 02/11/04 MID AMERICA APARTMENT COMMUNITIES INC TN X X 02/12/04 MILLENNIUM CAPITAL VENTURE HOLDINGS I DE X 02/13/04 MILLENNIUM ELECTRONICS INC NV X X 02/06/04 MOORE WALLACE INC X 02/12/04 MORGAN STANLEY ABS CAP I INC MORT PA DE X X 01/29/04 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X X 02/12/04 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 02/09/04 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 02/09/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 02/12/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 02/11/04 MOTIENT CORP DE X X 02/10/04 NAVIGANT INTERNATIONAL INC DE X X 01/30/04 NAVIGATORS GROUP INC DE X X 02/13/04 NCO GROUP INC PA X X X 02/10/04 NETSCREEN TECHNOLOGIES INC DE X X 02/09/04 NEUROLOGIX INC/DE DE X X X 02/10/04 NEWFIELD EXPLORATION CO /DE/ DE X X 02/11/04 NEWPORT INTERNATIONAL GROUP INC DE X X 02/10/04 NEXEN INC A0 X 02/12/04 NORSTAN INC MN X X 02/13/04 NORTEK HOLDINGS INC DE X 02/12/04 NORTEK INC DE X 02/12/04 NORTH EUROPEAN OIL ROYALTY TRUST DE X X 01/30/04 NOVA STAR INNOVATIONS INC NV X X 02/09/04 NUTECH DIGITAL INC CA X X 02/11/04 OLIN CORP VA X X 02/13/04 OMNI ENERGY SERVICES CORP LA X X 02/13/04 ONYX ACCEPTANCE CORP DE X X 01/29/04 OPTICAL CONCEPTS OF AMERICA INC X X 02/13/04 ORCHID BIOSCIENCES INC X X 02/10/04 OWENS CORNING DE X X 12/31/03 PACKAGING CORP OF AMERICA X 02/12/04 PANHANDLE ROYALTY CO OK X 02/11/04 PEGASUS SOLUTIONS INC DE X 12/01/03 AMEND PEOPLES BANCORP INC OH X 02/13/04 PEOPLES BANCORPORATION INC /SC/ SC X X 02/11/04 PHILADELPHIA CONSOLIDATED HOLDING COR PA X X X 02/12/04 PHOENIX FOOTWEAR GROUP INC DE X X 02/12/04 PIERRE FOODS INC NC X 01/30/04 PINECREST SERVICES INC NV X X 02/09/04 PIONEER OIL & GAS UT X 02/13/04 POWERBALL INTERNATIONAL INC UT X X 02/09/04 PROGRESSIVE CORP/OH/ OH X 02/13/04 PSF GROUP HOLDINGS INC NC X X 02/10/04 QUICKSILVER RESOURCES INC DE X 02/12/04 RAMBUS INC DE X X 02/13/04 RAYMOND JAMES FINANCIAL INC FL X 02/12/04 RENTRAK CORP OR X 12/31/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 02/13/04 AMEND RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 02/13/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 02/13/04 REZCONNECT TECHNOLOGIES INC NY X 02/09/03 RITA MEDICAL SYSTEMS INC DE X 02/11/04 ROBOTIC VISION SYSTEMS INC DE X 02/13/04 ROFIN SINAR TECHNOLOGIES INC DE X 02/12/04 ROSS SYSTEMS INC/CA DE X 02/11/04 ROYAL GOLD INC DE X 02/13/04 RUBINCON VENTURES INC DE X 02/05/04 RURAL METRO CORP /DE/ DE X 02/13/04 RXBAZAAR INC DE X 02/13/04 SALEM COMMUNICATIONS CORP /DE/ DE X 02/12/04 SANDS REGENT NV X X 02/13/04 SATCON TECHNOLOGY CORP DE X X 02/10/04 SCANA CORP SC X X 02/13/04 SEMOTUS SOLUTIONS INC NV X 01/26/04 SENESCO TECHNOLOGIES INC DE X 02/12/04 SERACARE LIFE SCIENCES INC X 02/12/04 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA X 02/12/04 SKINOVATION PHARMACEUTICAL INC NV X X 02/09/04 SMUCKER J M CO OH X X 02/13/04 SOLECTRON CORP DE X X 02/09/04 SOUTHERN PERU COPPER CORP/ DE X 02/12/04 SOUTHERN STAR CENTRAL CORP DE X X 02/13/04 SPACEHAB INC \WA\ WA X X 02/10/04 SPARTON CORP OH X X 02/13/04 SPORTSMANS GUIDE INC MN X X 02/13/04 STANDARD CAPITAL CORP DE X 02/05/04 STERLING EQUITY HOLDINGS INC NV X X 01/13/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 01/30/04 SUNCREST GLOBAL ENERGY CORP NV X X 02/09/04 SUNGARD DATA SYSTEMS INC DE X X 02/12/04 SUNLINK HEALTH SYSTEMS INC OH X X 02/12/04 SUPERIOR INDUSTRIES INTERNATIONAL INC CA X 02/06/04 SUPREME INDUSTRIES INC DE X 02/13/04 AMEND SYSTEMONE TECHNOLOGIES INC FL X 02/13/04 TAG IT PACIFIC INC DE X 02/11/04 TANGRAM ENTERPRISE SOLUTIONS INC PA X X 02/12/04 TBC CORP DE X 11/29/03 AMEND TBC CORP DE X X 11/29/03 AMEND TEAM HEALTH INC TN X X 02/11/04 TEGAL CORP /DE/ DE X X 02/12/04 TELEPLUS ENTERPRISES INC X X X X 10/10/03 AMEND TELEVIDEO INC DE X 02/13/04 THOMAS & BETTS CORP TN X X X 02/11/04 TIMELINE INC WA X X 02/12/04 TITAN CORP DE X X 02/13/04 TOTAL ENTERTAINMENT RESTAURANT CORP DE X 02/12/04 TRANSNET CORP DE X 02/12/04 TRI-CONTINENTAL CORP MD X X 02/13/04 TRICO MARINE SERVICES INC DE X X 02/12/04 TUFCO TECHNOLOGIES INC DE X X 02/12/04 TURNER VALLEY OIL & GAS INC NV X 02/10/04 U S GLOBAL INVESTORS INC TX X 09/30/03 UNITECH ENERGY CORP X X X X X 12/30/03 UNITED DOMINION REALTY TRUST INC MD X X 11/25/03 AMEND UNITEDGLOBALCOM INC DE X X 02/13/04 UNIVERSAL EXPRESS INC/ NV X X 12/01/03 UNOVA INC DE X X 02/12/04 USI HOLDINGS CORP DE X X 02/12/04 USI HOLDINGS CORP DE X X 02/12/04 VASCO DATA SECURITY INTERNATIONAL INC DE X X X 02/12/04 VASO ACTIVE PHARMACEUTICALS INC DE X X 02/13/04 VERSAR INC DE X 12/31/03 VESTIN GROUP INC NV X X 02/05/04 VISTA GOLD CORP X X 02/12/04 VISUAL DATA CORP FL X X 02/13/04 WARRANTECH CORP DE X X X 02/12/04 WARWICK COMMUNITY BANCORP INC DE X 02/10/04 WATERLINK INC DE X 02/12/04 WATLEY A B GROUP INC DE X 02/13/04 WATTS WATER TECHNOLOGIES INC DE X 02/13/04 WAVE SYSTEMS CORP DE X X 11/18/03 AMEND WESTERN GAS RESOURCES INC DE X X 02/13/04 WESTERN GAS RESOURCES INC DE X X 02/13/04 WHITEHALL JEWELLERS INC DE X X 02/13/04 WINGS & THINGS INC NV X X 02/09/04 WINNEBAGO INDUSTRIES INC IA X X 02/12/04 WORLDNET INC OF NEVADA NV X X 02/09/04 X-CHANGE CORP NV X 02/09/04 ZENITH TECHNOLOGY INC NV X X 02/09/04 MONTPELIER RE HOLDINGS LTD D0 X X X 02/12/04