SEC NEWS DIGEST Issue 2004-216 November 9, 2004 INVESTMENT ADVISERS ACT RELEASES THE CHARLES TALBOT FUND A notice has been issued giving interested persons until November 30 to request a hearing on an application filed by the Charles Talbot Fund (Fund) for an order under Section 205(e) of the Investment Advisers Act. The order would permit registered investment advisers to charge the Fund performance-based advisory fees. (Rel. IA-2321 – November 5) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The proposed rule change (SR-PCX-2004-103) filed by the Pacific Exchange relating to changes to PCX's Schedule of Fees and Charges for Exchange Services has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50635) A proposed rule change (SR-Amex-2004-86) filed by the American Stock Exchange relating to the trading of exchange traded fund shares pursuant to unlisted trading privileges has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50637) A proposed rule change (SR-NASD-2004-172) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., regarding pilot modifications and minor modifications to the Nasdaq opening process for Nasdaq-listed stocks, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50640) A proposed rule change (SR-PCX-2004-98) filed by the Pacific Exchange to extend until 1:15 (Pacific Time) the Core Trading Session and change the Closing Auction Time for certain ETFs has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50643) A proposed rule change filed by the National Association of Securities Dealers, Inc. establishing a fee for direct ECN connections to the Nasdaq Market Center (SR-NASD-2004-158) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50647) PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE-2004- 53) and Amendment Nos. 1 and 2 thereto under Rule 19b-4 of the Securities Exchange Act of 1934 relating to a fee for the NYSE Alerts datafeed. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50639) The International Securities Exchange filed a proposed rule change (SR- ISE-2004-29) relating to proposed amendments to its Certificate of Incorporation and Constitution. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50641) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-06) that would allow FICC to institute (i) Mortgage Backed Securities Division (MBSD) fines for the late payment of cash obligation items and margin deficits and (ii) informal hearing procedures for disputed MBSD fines. Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50642) The Pacific Exchange filed a proposed rule change (SR-PCX-2004-59) and Amendment Nos. 1 and 2 thereto relating to a new order modifier entitled "Proactive if Locked Reserve." Publication of the proposal is expected in the Federal Register during the week of November 8. (Rel. 34-50645) 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 ATEL Capital Equipment Fund XI, LLC, 600 CALIFORNIA STREET, 6TH FLOOR, SAN FRANCISCO, CA, 94108, 415-989-8800 - 15,000,000 ($150,000,000.00) Other, (File 333-120276 - Nov. 8) (BR. 06) S-8 PATCH INTERNATIONAL INC/CN, 666 BURRARD ST., #1220, VANCOUVER BC CANADA, A1, V6C 2X8, 604 685-0002 - 12,000,000 ($948,000.00) Equity, (File 333-120277 - Nov. 8) (BR. 01) S-8 DITECH COMMUNICATIONS CORP, 825 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043, 6506231300 - 0 ($15,730,000.00) Equity, (File 333-120278 - Nov. 8) (BR. 37) S-4 ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60025, 2245218204 - 0 ($212,795,471.00) Other, (File 333-120279 - Nov. 8) (BR. 36) S-1 NITROMED INC, 12 OAK PARK DR, BEDFORD, MA, 01730, 7816859700 - 0 ($75,000,000.00) Equity, (File 333-120280 - Nov. 8) (BR. 01) S-8 CHINA EXPERT TECHNOLOGY INC, RM 2703-4, GREAT EAGLE CENTRE, 23 HARBOUR ROAD, WANCHAI, K3, 00000, (852 2802 1555 - 1,101,205 ($1,101,205.00) Equity, (File 333-120281 - Nov. 8) (BR. 09) SB-2 URANIUM POWER CORP, 206-475 HOWE ST, VANCOUVER BC, A1, 00000, 6046858355 - 27,721,471 ($9,022,514.85) Equity, (File 333-120282 - Nov. 8) (BR. 04) SB-2 SAMDREW I INC, 420 LEXINGTON AVENUE, SUITE 2620, NEW YORK, NY, 10170, 212-869-7000 - 25,000 ($25,000.00) Equity, (File 333-120283 - Nov. 8) (BR. 09) SB-2 SAMDREW II INC, 420 LEXINGTON AVENUE, SUITE 2620, NEW YORK, NY, 10170, 212-869-7000 - 25,000 ($25,000.00) Equity, (File 333-120284 - Nov. 8) (BR. 09) SB-2 SAMDREW III INC, 420 LEXINGTON AVENUE, SUITE 2620, NEW YORK, NY, 10170, 212-869-7000 - 25,000 ($25,000.00) Equity, (File 333-120285 - Nov. 8) (BR. 09) S-8 CHINA ENERGY & CARBON BLACK HOLDINGS, INC., SHENYANG CHINA, NO. 386 QINGNIAN AVENUE, SHENYANG, F4, 00000, 3034943000 - 40,000 ($40,000.00) Equity, (File 333-120287 - Nov. 8) (BR. 04) F-10 PLACER DOME INC, 1055 DUNSMUIR ST STE 1600, PO BOX 49330 BENTALL POSTAL STATION, VANCOUVER BC CANADA, A1, 6046827082 - 1 ($550,000,000.00) Equity, (File 333-120288 - Nov. 8) (BR. 04) S-3 NGAS Resources Inc, 120 PROSPEROUS PLACE, SUITE 201, LEXINGTON, KY, 40509, 6062633948 - 431,565 ($2,317,504.05) Equity, (File 333-120289 - Nov. 8) (BR. 04) S-8 SaVi Media Group, Inc., 9852 WEST KATELLA AVENUE #363, ANAHIEM, CA, 92804, 714.740.0601 - 0 ($860,000.00) Equity, (File 333-120290 - Nov. 8) (BR. 05) S-3 FLEXTRONICS INTERNATIONAL LTD, 0654495255 - 0 ($27,283,272.94) Equity, (File 333-120291 - Nov. 8) (BR. 36) S-8 NOVEN PHARMACEUTICALS INC, 11960 SW 144TH ST, MIAMI, FL, 33186, 3052535099 - 0 ($22,610,000.00) Equity, (File 333-120292 - Nov. 8) (BR. 01) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 14,000,000 ($538,300,000.00) Equity, (File 333-120293 - Nov. 8) (BR. 04) S-3 ALLIANT TECHSYSTEMS INC, 5050 LINCOLN DRIVE, EDINA, MN, 55436-1097, 9523513000 - 0 ($204,000,000.00) Debt Convertible into Equity, (File 333-120294 - Nov. 8) (BR. 05) S-8 LOOKSMART LTD, 625 SECOND STREET, SAN FRANCISCO, CA, 94107, 4153487000 - 0 ($4,025,000.00) Equity, (File 333-120295 - Nov. 8) (BR. 03) S-8 CHART INDUSTRIES INC, 5885 LANDERBROOK DRIVE, SUITE 150, MAYFIELD HEIGHTS, OH, 44124, 4407531490 - 554,703 ($24,268,256.25) Equity, (File 333-120296 - Nov. 8) (BR. 06) S-8 INDUS INTERNATIONAL INC, 3301 WINDY RIDGE PARKWAY, ATLANTA, GA, 30339, 7709528444 - 0 ($7,425,000.00) Equity, (File 333-120297 - Nov. 8) (BR. 03) S-8 VERIDIUM CORP, 4,000,000 ($480,000.00) Equity, (File 333-120298 - Nov. 8) (BR. 06) S-8 DIGENE CORP, 1201 CLOPPER ROAD, GAITHERSBURG, MD, 20878, 3019447000 - 0 ($17,325,000.00) Equity, (File 333-120299 - Nov. 8) (BR. 01) S-4 COVENTRY HEALTH CARE INC, 6705 ROCKLEDGE DRIVE, SUITE 900, BETHESDA, MD, 20817, 3015810600 - 0 ($588,536,350.00) Equity, (File 333-120300 - Nov. 8) (BR. 01) S-3 MILLENNIUM CELL INC, 1 INDUSTRIAL WAY WEST, EATONTOWN, NJ, 07724, 7325424000 - 0 ($4,947,156.23) Equity, (File 333-120301 - Nov. 8) (BR. 36) S-3 CANCERVAX CORP, 2110 RUTHERFORD, ROAD, CARLSBAD, CA, 92008, 7604944200 - 0 ($80,000,000.00) Equity, (File 333-120302 - Nov. 8) (BR. 01) S-8 BLOCKBUSTER INC, 1201 ELM STREET, DALLAS, TX, 75270, 2148543000 - 0 ($107,559,687.50) Equity, (File 333-120303 - Nov. 8) (BR. 05) S-8 BLOCKBUSTER INC, 1201 ELM STREET, DALLAS, TX, 75270, 2148543000 - 0 ($140,200,000.00) Equity, (File 333-120304 - Nov. 8) (BR. 05) 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 ------------------------------------------------------------------------------------------------ AAMES INVESTMENT CORP MD 8.01,9.01 11/08/04 ACADIA REALTY TRUST MD 8.01,9.01 11/04/04 ACCESS INTEGRATED TECHNOLOGIES INC 1.01,9.01 10/19/04 AMEND ACME COMMUNICATIONS INC DE 2.02,8.01,9.01 11/08/04 ADVANCED MICRO DEVICES INC DE 3.02 11/03/04 AEROCENTURY CORP DE 1.01,2.03 11/05/04 AFFILIATED COMPUTER SERVICES INC DE 7.01,9.01 11/08/04 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 1.01,1.02,9.01 11/08/04 AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 2.02,9.01 11/08/04 AIR METHODS CORP DE 4.01 11/03/04 AIRNET COMMUNICATIONS CORP DE 2.02 11/08/04 ALAMO GROUP INC DE 7.01 11/08/04 ALBANY MOLECULAR RESEARCH INC DE 2.02,4.02,9.01 11/03/04 AMEDISYS INC DE 8.01,9.01 11/03/04 AMEDISYS INC DE 8.01,9.01 11/03/04 AMERICAN BILTRITE INC DE 1.01,9.01 11/03/04 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 7.01 11/08/04 AMERICAN GOLDFIELDS INC NV 8.01,9.01 11/04/04 AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01 11/05/04 American Security Resources Corp. NV 5.02,8.01 10/28/04 AMERUS GROUP CO/IA IA 5.02,9.01 11/04/04 AMH Holdings, Inc. DE 2.02,9.01 11/08/04 AMH Holdings, Inc. DE 7.01 11/08/04 AMR CORP DE 7.01 11/08/04 ARAMARK CORP/DE DE 1.01,5.02,9.01 09/21/04 AMEND ARC WIRELESS SOLUTIONS INC UT 2.01,9.01 11/08/04 ARES CAPITAL CORP MD 1.01,2.03,9.01 11/03/04 ARIAD PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/08/04 ARIBA INC DE 1.01 11/04/04 ASA INTERNATIONAL LTD DE 8.01,9.01 11/08/04 ASPECT COMMUNICATIONS CORP CA 2.02,9.01 11/08/04 ASSISTED LIVING CONCEPTS INC NV 1.01,3.03,8.01,9.01 11/04/04 ASSOCIATED MATERIALS INC DE 2.02,9.01 11/08/04 ASSOCIATED MATERIALS INC DE 7.01 11/08/04 ASTRONICS CORP NY 3.01,9.01 11/05/04 ASYST TECHNOLOGIES INC /CA/ CA 2.02,3.01,9.01 11/03/04 ATLAS PIPELINE PARTNERS LP DE 2.02 09/30/04 AVALON DIGITAL MARKETING SYSTEMS INC NV 8.01,9.01 11/08/04 AVANT IMMUNOTHERAPEUTICS INC DE 8.01,9.01 11/05/04 BAKERS FOOTWEAR GROUP INC MO 2.02,7.01,9.01 11/08/04 BANDAG INC IA 8.01,9.01 11/04/04 BERKSHIRE HATHAWAY INC DE 2.02 11/05/04 BESTWAY INC DE 3.01,9.01 11/05/04 BINDVIEW DEVELOPMENT CORP TX 1.01,9.01 11/03/04 BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 11/08/04 BIRDS EYE FOODS INC DE 2.02 11/08/04 BITSTREAM INC DE 2.02,9.01 11/08/04 BLONDER TONGUE LABORATORIES INC DE 2.02,4.02,9.01 11/02/04 BONUSAMERICA WORLDWIDE CORP. NV 4.01,9.01 10/28/04 AMEND BORDEN CHEMICAL INC NJ 2.02,9.01 11/08/04 BORDERS GROUP INC DE 1.01,9.01 11/05/04 BRISTOL MYERS SQUIBB CO DE 1.01 11/02/04 BRITESMILE INC UT 2.02,9.01 11/08/04 BROADVIEW MEDIA INC MN 2.02,9.01 11/08/04 BSQUARE CORP /WA WA 5.02,9.01 11/02/04 BUILD A BEAR WORKSHOP INC DE 5.03,9.01 11/08/04 BULLDOG TECHNOLOGIES INC NV 7.01,9.01 11/08/04 BUREAU OF NATIONAL AFFAIRS INC DE 5.02 11/08/04 CABLEVISION SYSTEMS CORP /NY DE 8.01 11/05/04 Calamos Asset Management, Inc. /DE/ 1.01,9.01 11/02/04 CALLAWAY GOLF CO /CA DE 5.02,9.01 11/08/04 CALPROP CORP CA 5.02 10/29/04 CANCERVAX CORP DE 3.03,5.03,9.01 11/03/04 CANDELA CORP /DE/ DE 8.01 11/08/04 CAPITAL HILL GOLD INC FL 5.02 11/01/04 CAPITOL FIRST CORP NV 5.02 11/08/04 CARTERS INC DE 5.02,9.01 11/04/04 CASCADE NATURAL GAS CORP WA 1.01,9.01 11/08/04 CEDAR SHOPPING CENTERS INC MD 8.01 11/02/04 CELERITEK INC/CA CA 5.02 11/03/04 CELERITY SYSTEMS INC DE 1.01,9.01 11/04/04 CERADYNE INC DE 3.01,9.01 11/02/04 CERADYNE INC DE 9.01 08/23/04 AMEND CGI HOLDING CORP NV 5.02,9.01 08/19/04 AMEND Chembio Diagnostics Inc. NV 8.01,9.01 11/08/04 CHENIERE ENERGY INC DE 8.01,9.01 11/08/04 CHINA FINANCE, INC. UT 1.01,2.01,3.02,5.01,5.02,9.01 10/08/04 AMEND CHINA WORLD TRADE CORP NV 5.02 10/31/04 CITIZENS FIRST FINANCIAL CORP DE 1.01,9.01 11/07/04 CLARUS CORP DE 2.02,9.01 11/05/04 COACHMEN INDUSTRIES INC IN 8.01,9.01 11/05/04 COEUR D ALENE MINES CORP ID 2.02,9.01 11/08/04 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 09/30/04 COMMONWEALTH INDUSTRIES INC/DE/ DE 2.02 09/30/04 COMMUNITY FINANCIAL CORP /VA/ VA 2.02 11/04/04 COMPUTER SCIENCES CORP NV 5.02,5.03 11/08/04 COMSTOCK RESOURCES INC NV 2.02,9.01 11/08/04 COMSYS IT PARTNERS INC DE 2.02,9.01 11/08/04 CONCEPTUS INC DE 2.02,8.01,9.01 11/08/04 CONCORD CAMERA CORP NJ 7.01 11/08/04 CONCUR TECHNOLOGIES INC WA 2.02 11/08/04 CONCUR TECHNOLOGIES INC WA 2.02 11/08/04 AMEND CONMED CORP NY 7.01,9.01 11/03/04 CONSECO INC DE 2.02 11/08/04 COOPER INDUSTRIES LTD 2.03 11/03/04 CORAUTUS GENETICS INC DE 1.01,9.01 11/04/04 COTTON STATES LIFE INSURANCE CO / GA 7.01,9.01 11/08/04 COX COMMUNICATIONS INC /DE/ DE 8.01,9.01 11/03/04 CREDENCE SYSTEMS CORP DE 1.01,5.02,9.01 11/05/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 11/08/04 CRESCENT REAL ESTATE EQUITIES CO TX 2.02,7.01,9.01 11/08/04 CROSSTEX ENERGY INC DE 2.01,9.01 11/08/04 CROSSTEX ENERGY LP DE 2.01,9.01 11/08/04 CRT PROPERTIES INC FL 1.01 11/02/04 CRYOLIFE INC FL 1.01,5.02,5.03,9.01 11/02/04 CWABS Revolving Home Equity Loan Trus DE 8.01,9.01 10/29/04 Cyberkinetics Neurotechnology Systems DE 1.01,5.02,9.01 11/03/04 CYPRESS COMMUNICATIONS HOLDING CO INC DE 1.01,8.01,9.01 11/05/04 DANA CORP VA 8.01 11/08/04 DDS TECHNOLOGIES USA INC NV 1.01,5.02,8.01,9.01 10/19/04 DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/08/04 DIGIMARC CORP DE 2.02,9.01 11/08/04 DILLARDS INC DE 2.01,9.01 11/01/04 DIMON INC VA 1.01,9.01 11/07/04 DIVIDEND CAPITAL TRUST INC MD 2.01,9.01 11/03/04 DONOBI INC NV 1.01,3.02,9.01 10/27/04 DOVER DOWNS GAMING & ENTERTAINMENT IN DE 1.01,9.01 11/08/04 DREYERS GRAND ICE CREAM HOLDINGS INC DE 2.02,9.01 11/05/04 DUCOMMUN INC /DE/ DE 2.02 11/08/04 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 11/08/04 EASTMAN KODAK CO NJ 5.02,9.01 11/05/04 ECHOSTAR COMMUNICATIONS CORP NV 5.02 11/05/04 ECOLOCLEAN INDUSTRIES INC NV 3.02 11/05/04 EGPI FIRECREEK, INC. NV 3.02 10/31/04 ELECTRONICS BOUTIQUE HOLDINGS CORP DE 2.02,9.01 11/08/04 EMERITUS CORP\WA\ WA 4.02 11/01/04 EMISPHERE TECHNOLOGIES INC DE 2.02 11/08/04 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/08/04 ENERGY PARTNERS LTD DE 8.01,9.01 11/08/04 ENNIS, INC. TX 8.01,9.01 11/05/04 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 4.01 11/05/04 EVANS BOB FARMS INC DE 2.03 11/03/04 AMEND EVOLVING SYSTEMS INC DE 1.01,2.01,2.03,3.02,3.03,5.02 11/02/04 EXCELLIGENCE LEARNING CORP DE 2.02,9.01 11/08/04 EXELIXIS INC DE 2.02,9.01 11/08/04 FACTORY CARD OUTLET CORP DE 8.01,9.01 11/08/04 FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 11/08/04 FALCON NATURAL GAS CORP 1.01,5.01,5.02,9.01 10/18/04 FIRST CITIZENS BANC CORP /OH OH 2.01,9.01 10/08/04 AMEND FLAMEMASTER CORP NV 3.01,9.01 11/05/04 FOSTER WHEELER LTD D0 1.01,9.01 11/05/04 FOSTER WHEELER LTD D0 1.01 11/03/04 FPIC INSURANCE GROUP INC FL 2.02 09/30/04 FRANKFORT FIRST BANCORP INC DE 1.01,9.01 11/03/04 GALAXY MINERALS INC FL 1.01 10/31/04 GAMMACAN INTERNATIONAL INC DE 8.01,9.01 11/04/04 GASCO ENERGY INC NV 7.01,9.01 11/05/04 GENCORP INC OH 7.01,9.01 11/08/04 GENCORP INC OH 7.01,9.01 11/08/04 GENCORP INC OH 7.01,9.01 11/08/04 GENCORP INC OH 1.01,9.01 11/08/04 GENVEC INC DE 2.02,9.01 11/04/04 GLEN BURNIE BANCORP MD 2.03 11/03/04 GLOBAL CROSSING LTD 1.01,2.03,9.01 11/02/04 GLOBAL MATRECHS, INC. DE 3.02,9.01 11/04/04 GMH Communities Trust MD 1.01,8.01,9.01 11/02/04 GOLDEN PATRIOT CORP NV 8.01 11/05/04 GRAMERCY CAPITAL CORP MD 8.01 11/04/04 GREY GLOBAL GROUP INC DE 2.02,9.01 11/08/04 GUILFORD PHARMACEUTICALS INC DE 2.02,9.01 11/08/04 H&E EQUIPMENT SERVICES LLC LA 2.02,5.02,9.01 11/08/04 H&R BLOCK INC MO 7.01,9.01 11/08/04 HAGGAR CORP NV 7.01,9.01 11/08/04 HARBOR GLOBAL CO LTD 2.02,8.01,9.01 11/08/04 HARTVILLE GROUP INC NV 8.01,9.01 11/04/04 HAWKINS INC MN 2.02,9.01 11/08/04 HEALTH NET INC DE 2.02,9.01 11/04/04 HEARST ARGYLE TELEVISION INC DE 7.01,9.01 11/08/04 HELIX BIOMEDIX INC DE 1.01,7.01 11/08/04 Honda Auto Receivables 2004-3 Owner T CA 8.01,9.01 11/08/04 HYPERFEED TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 11/02/04 I SECTOR CORP DE 5.02 11/08/04 I TRAX INC DE 2.02,9.01 11/03/04 IA GLOBAL INC DE 2.01,8.01,9.01 11/05/04 IMAGIS TECHNOLOGIES INC A1 7.01 11/05/04 IMCO RECYCLING INC DE 1.01,2.03,9.01 11/04/04 INAMED CORP DE 5.02 11/02/04 INDEPENDENCE HOLDING CO DE 2.02,7.01,9.01 09/30/04 INKINE PHARMACEUTICAL CO INC NY 2.02,9.01 09/30/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD 2.01,9.01 11/03/04 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,9.01 09/30/04 INTERNATIONAL BANCSHARES CORP TX 2.02 11/08/04 INVESTMENT TECHNOLOGY GROUP INC DE 8.01 11/08/04 IOMEGA CORP DE 5.02,9.01 11/03/04 ION NETWORKS INC DE 5.02 11/02/04 ITEC ENVIRONMENTAL GROUP INC DE 3.02,8.01 11/05/04 JAMDAT MOBILE INC 2.02,9.01 11/08/04 JUPITERMEDIA CORP DE 7.01 11/03/04 K&F INDUSTRIES INC DE 8.01,9.01 11/05/04 KCS ENERGY INC DE 2.02,9.01 11/04/04 KERYX BIOPHARMACEUTICALS INC DE 2.02 11/05/04 KNIGHTSBRIDGE FINE WINES INC NV 5.02 11/08/04 LB-UBS Commercial Mortgage Trust 2004 1.01 11/03/04 LCC INTERNATIONAL INC DE 2.02,9.01 11/08/04 LEGAL CLUB OF AMERICA CORP CO 5.04,9.01 11/04/04 LEXAR MEDIA INC CA 2.03 10/19/04 LEXMARK INTERNATIONAL INC /KY/ DE 7.01 11/08/04 LIBERATE TECHNOLOGIES DE 1.01 11/04/04 LIFECORE BIOMEDICAL INC MN 5.02,9.01 11/04/04 LIFETIME HOAN CORP DE 5.02 11/02/04 LSB CORP 5.02 11/08/04 LUBYS INC DE 2.02 08/25/04 LUCENT TECHNOLOGIES INC DE 8.01 11/03/04 M & F WORLDWIDE CORP DE 2.02,9.01 11/05/04 MAF BANCORP INC DE 7.01 11/08/04 MAGUIRE PROPERTIES INC MD 1.01 11/08/04 MAIN STREET TRUST INC IL 1.01,9.01 11/07/04 MANCHESTER TECHNOLOGIES INC NY 8.01 11/08/04 MARSHALL EDWARDS INC DE 8.01,9.01 11/04/04 MARTIN MIDSTREAM PARTNERS LP DE 1.01,9.01 11/03/04 MATERIAL TECHNOLOGIES INC /CA/ DE 3.02 11/01/04 MCDONALDS CORP DE 8.01 11/08/04 MDC PARTNERS INC 2.02,4.02,7.01,9.01 11/04/04 MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,8.01,9.01 11/04/04 MECHANICAL TECHNOLOGY INC NY 2.02,9.01 09/30/04 MED-DESIGN CORP 2.02,9.01 11/08/04 MEDAREX INC NJ 1.01 09/30/04 MEDAREX INC NJ 1.01,3.02,9.01 11/07/04 MEDAREX INC NJ 2.02,9.01 11/08/04 MEDCATH CORP DE 1.01,2.05 11/05/04 MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 11/08/04 MEMBERWORKS INC DE 8.01,9.01 11/08/04 MERCER INTERNATIONAL INC WA 2.02,9.01 11/08/04 MERISEL INC /DE/ DE 2.02,9.01 11/05/04 MERITAGE MORTGAGE LOAN TRUST 2004-2 DE 2.01,8.01,9.01 11/08/04 MERRILL LYNCH & CO INC DE 7.01 11/08/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 11/05/04 Merrill Lynch Mortgage Trust 2004-BPC DE 8.01,9.01 11/03/04 META GROUP INC DE 2.02,9.01 11/08/04 METROCALL HOLDINGS INC DE 8.01,9.01 11/05/04 MICROSOFT CORP WA 2.02 11/08/04 MINUTEMAN INTERNATIONAL INC IL 8.01,9.01 11/08/04 MISONIX INC NY 2.02,9.01 11/08/04 MOMENTUM HOLDINGS CORP DE 4.01 11/08/04 MONDAVI ROBERT CORP CA 1.01,9.01 11/03/04 MONRO MUFFLER BRAKE INC NY 1.01 11/02/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 11/08/04 MOUNTAINS WEST EXPLORATION INC NM 3.02,5.01,5.02,8.01,9.01 08/03/04 MTR GAMING GROUP INC DE 2.02,8.01,9.01 10/26/04 MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/08/04 NASH FINCH CO DE 7.01,9.01 11/08/04 NATHANIEL ENERGY CORP NV 8.01 11/02/04 National Collegiate Student Loan Trus 8.01,9.01 10/28/04 NATIONAL FINANCIAL PARTNERS CORP 4.02 11/03/04 NATIONAL HEALTH REALTY INC MD 2.02 11/08/04 NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 11/05/04 Neenah Paper Inc DE 7.01,9.01 11/08/04 NEORX CORP WA 2.02,9.01 11/04/04 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 2.02,9.01 11/08/04 NEW DRAGON ASIA CORP FL 5.02,9.01 11/05/04 NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 11/05/04 NEXMED INC NV 1.01,5.02,9.01 11/01/04 AMEND NEXT INC/TN DE 2.01,9.01 11/08/04 NITROMED INC DE 1.01,1.02,2.02,8.01,9.01 11/04/04 NORDSON CORP OH 1.01,9.01 11/08/04 NORTH FORK BANCORPORATION INC DE 7.01 11/08/04 NORTH PITTSBURGH SYSTEMS INC PA 2.02,9.01 11/08/04 NPS PHARMACEUTICALS INC DE 2.02,9.01 11/08/04 NUCO2 INC /FL FL 2.02,9.01 11/08/04 NUTECH DIGITAL INC CA 7.01,9.01 11/08/04 OMEGA HEALTHCARE INVESTORS INC MD 1.01,2.03,9.01 11/05/04 OPENTV CORP 2.02,9.01 11/04/04 OPTION CARE INC/DE DE 2.02,9.01 11/04/04 P COM INC DE 1.01,2.03,9.01 11/03/04 PACIFIC BIOMETRICS INC DE 1.01,5.02 11/05/04 PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02 11/08/04 PANERA BREAD CO DE 5.02 08/20/04 Park Place Securities, Inc. DE 8.01,9.01 11/01/04 PARTNERRE LTD 8.01 11/08/04 PARTNERRE LTD 7.01 11/08/04 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 11/08/04 PERKINELMER INC MA 1.01,5.02 11/02/04 PETMED EXPRESS INC FL 7.01,9.01 11/04/04 PETRIE STORES LIQUIDATING TRUST NY 4.01 11/08/04 PFSWEB INC DE 2.02 11/08/04 PHARMACYCLICS INC DE 8.01,9.01 11/08/04 PHARMAFRONTIERS CORP TX 8.01,9.01 11/08/04 PHOTOWORKS INC /WA WA 5.02 11/08/04 PIEDMONT NATURAL GAS CO INC NC 8.01,9.01 11/08/04 PILGRIMS PRIDE CORP DE 7.01 11/08/04 PILGRIMS PRIDE CORP DE 7.01 11/05/04 PILGRIMS PRIDE CORP DE 2.02,9.01 11/08/04 PILGRIMS PRIDE CORP DE 7.01 11/08/04 AMEND POINT THERAPEUTICS INC DE 8.01,9.01 11/04/04 POWERBALL INTERNATIONAL INC UT 3.02,5.01 11/05/04 POWERWAVE TECHNOLOGIES INC DE 8.01,9.01 11/05/04 PRICE LEGACY CORP MD 2.02,9.01 11/05/04 PRIMUS GUARANTY LTD 2.02,9.01 11/08/04 PRIORITY HEALTHCARE CORP IN 1.01,9.01 11/02/04 PRO-FAC COOPERATIVE INC NY 2.02,9.01 11/08/04 PROGRESS SOFTWARE CORP /MA MA 1.01,8.01,9.01 11/03/04 PROVIDENCE SERVICE CORP DE 2.02,9.01 11/08/04 QUICKSILVER RESOURCES INC DE 2.02,9.01 11/08/04 RADNOR HOLDINGS CORP DE 2.02,9.01 11/08/04 RED ROBIN GOURMET BURGERS INC DE 5.05 11/03/04 REGENT COMMUNICATIONS INC DE 7.01,9.01 11/08/04 RESMED INC DE 2.02,9.01 11/08/04 RETAIL VENTURES INC OH 1.02,5.02,9.01 11/03/04 RICHARDSON ELECTRONICS LTD/DE DE 1.01 11/01/04 RICHARDSON ELECTRONICS LTD/DE DE 7.01 11/05/04 ROWAN COMPANIES INC DE 1.01,2.05,2.06,9.01 11/08/04 AMEND ROXIO INC DE 2.02 11/03/04 S1 CORP /DE/ DE 1.01,9.01 11/06/04 SAXON CAPITAL INC MD 5.02,9.01 11/08/04 SCANVEC AMIABLE LTD 4.01,9.01 11/02/04 SCP POOL CORP DE 7.01,9.01 11/05/04 SEA CONTAINERS LTD /NY/ 2.02,9.01 11/05/04 Select Notes Trust LT 2004-1 DE 8.01,9.01 11/01/04 SELECTIVE INSURANCE GROUP INC NJ 8.01,9.01 11/08/04 SEMCO ENERGY INC MI 2.02,9.01 11/05/04 SENTO CORP UT 1.01,9.01 11/05/04 Sequoia HELOC Trust 2004-1 MD 8.01,9.01 10/20/04 SERVICE AIR GROUP INC NJ 1.01,2.01,3.02 09/08/04 SERVICE CORPORATION INTERNATIONAL TX 2.02 11/08/04 SFBC INTERNATIONAL INC DE 1.01,7.01,9.01 11/02/04 SHOE PAVILION INC DE 2.02,9.01 11/04/04 SIX FLAGS INC DE 2.02 11/08/04 SMITH & WOLLENSKY RESTAURANT GROUP IN DE 9.01 11/04/04 AMEND SOHU COM INC DE 1.01 11/03/04 SOLOMON TECHNOLOGIES INC DE 1.01,7.01 11/04/04 SOMERA COMMUNICATIONS INC DE 1.01,5.02,9.01 11/08/04 SONIC SOLUTIONS/CA/ CA 2.02,9.01 11/08/04 SONUS PHARMACEUTICALS INC DE 1.01,3.02,5.02,9.01 11/08/04 SOUTHERN STAR CENTRAL CORP DE 8.01,9.01 11/08/04 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 11/08/04 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 11/04/04 SPSS INC DE 1.01 11/05/04 SRI SURGICAL EXPRESS INC FL 2.02,9.01 11/08/04 STAGE STORES INC NV 2.02,9.01 11/08/04 STANDARD COMMERCIAL CORP NC 1.01,9.01 11/07/04 STANDARD COMMERCIAL CORP NC 2.02,9.01 11/08/04 STARTEK INC DE 2.02,9.01 11/04/04 STATION CASINOS INC NV 8.01 11/08/04 SUNRISE REAL ESTATE DEVELOPMENT GROUP TX 4.01,9.01 11/03/04 SYMANTEC CORP DE 3.02 11/02/04 SYMBOL TECHNOLOGIES INC DE 2.02 11/08/04 SYMBOLLON CORP DE 3.02,9.01 09/01/04 SYNTHETECH INC OR 2.02,9.01 11/04/04 TASER INTERNATIONAL INC 8.01,9.01 11/04/04 Taylor Madison Corp 1.01,3.02,5.01,5.02,9.01 11/01/04 TEAM FINANCIAL INC /KS KS 2.02,9.01 11/04/04 TECHNOLOGY FUNDING MEDICAL PARTNERS I DE 8.01,9.01 11/08/04 TEMPLE INLAND INC DE 8.01,9.01 11/08/04 TIME WARNER INC DE 4.02 11/02/04 TRUSERV CORP DE 5.02,9.01 11/02/04 Trust Licensing, Inc., F/K/A New Moun 9.01 12/31/03 AMEND Trycera Financial, Inc. NV 1.01,2.01,3.02,9.01 11/02/04 TUPPERWARE CORP DE 1.01,2.03,5.02,9.01 11/03/04 ULTIMATE ELECTRONICS INC DE 2.02,9.01 11/04/04 UNICO AMERICAN CORP NV 2.02 11/08/04 UNITEDHEALTH GROUP INC MN 7.01 11/08/04 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 11/04/04 URANIUM RESOURCES INC /DE/ DE 7.01,8.01,9.01 11/08/04 V I TECHNOLOGIES INC DE 8.01,9.01 11/08/04 VALENCE TECHNOLOGY INC DE 3.02 11/03/04 VALHI INC /DE/ DE 2.01,7.01,9.01 11/08/04 VALHI INC /DE/ DE 2.02,7.01,9.01 11/08/04 AMEND VENTIV HEALTH INC DE 2.02,9.01 11/08/04 VERTICALNET INC PA 2.02 11/04/04 VESTIN GROUP INC NV 2.02,9.01 11/05/04 VFINANCE INC DE 2.01,3.02 11/02/04 VIGNETTE CORP DE 2.05 11/08/04 AMEND VION PHARMACEUTICALS INC DE 2.01,9.01 11/08/04 VMS NATIONAL PROPERTIES JOINT VENTURE IL 1.01,2.03,9.01 11/02/04 VSUS TECHNOLOGIES INC DE 1.01,3.02,9.01 11/03/04 VYYO INC DE 2.02,9.01 11/08/04 WAVERIDER COMMUNICATIONS INC NV 2.02 11/08/04 WEBEX COMMUNICATIONS INC 5.02,9.01 11/08/04 WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 11/03/04 WESCO FINANCIAL CORP CA 2.02 11/05/04 WESTAR ENERGY INC /KS KS 2.02,9.01 11/08/04 WESTERN WIRELESS CORP WA 2.02,4.02,9.01 11/02/04 WESTSIDE ENERGY CORP NV 3.02,8.01,9.01 11/02/04 WHITTIER ENERGY CORP NV 8.01,9.01 11/04/04 WINDSORTECH INC DE 2.02 11/03/04 WOODWARD GOVERNOR CO DE 2.05,9.01 11/08/04 WORLD TRANSPORT AUTHORITY INC 8.01 09/30/04 WORLD WASTE TECHNOLOGIES INC CA 9.01 08/24/04 AMEND WORLDSPAN L P DE 2.02,9.01 11/08/04 WPT ENTERPRISES INC 2.02,9.01 11/05/04 XL CAPITAL LTD 8.01,9.01 11/08/04 YOCREAM INTERNATIONAL INC OR 8.01,9.01 11/08/04 YORK WATER CO PA 2.02,9.01 11/08/04 YOUNG BROADCASTING INC /DE/ DE 2.02,9.01 11/08/04