SEC NEWS DIGEST Issue 2004-239 December 14, 2004 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING – TUESDAY, DECEMBER 21, 2004 – 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, December 21, will be: Formal orders of investigations; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; a Regulatory matter regarding a financial institution; and an Adjudicatory matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS IN THE MATTER OF MICHAEL CARNICLE An Administrative Law Judge has issued an Order and Imposing Remedial Sanctions by Default Order (Default Order) in the matter of Michael Carnicle. The Order Instituting Proceedings alleged that on Sept. 7, 2004, the U.S. District Court for the District of Utah enjoined Respondent Michael Carnicle (Carnicle) from future violations of 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 (Exchange Act) and Rules 10b-5 and 13b2-1, and from aiding and abetting future violations of Section 13(b)(2)(A) of the Exchange Act. The court’s order required Carnicle to pay disgorgement of $183,186, prejudgment interest of $203,008.94, and a civil penalty of $50,000. The Default Order finds these allegations true and bars Carnicle from participating in an offering of penny stock. Carnicle is a recidivist who has served at least two prison sentences and who was previously enjoined in 1999 from future violations of many of the same statutory provisions. (Rel. 34- 50842; File No. 3-11682) MARKETER OF FIRST CHOICE SECURITIES OFFERINGS PLEADS GUILTY TO MAIL FRAUD CHARGE IN CONNECTION WITH INVOLVEMENT IN FIRST CHOICE OFFERING FRAUD The Commission announced that on October 14 Benny G. Morris pled guilty to one count of mail fraud in the U.S. District Court for the Northern District of Indiana for participating in a scheme to defraud investors in securities offerings by First Choice Management Services (First Choice). The Commission previously charged First Choice and its President, Gary Van Waeyenberghe, with violations of the federal securities laws based on related conduct in July 2000. Van Waeyenberghe was criminally indicted on conspiracy, mail fraud, wire fraud and money laundering charges based on related conduct in September 2004. According to the information to which Morris pled guilty, Morris was President of Integras Capital Group, which became the marketing office for First Choice securities offerings in or around December of 1999. The information alleges that from in or around November 1999 through July 2000, Morris knowingly and intentionally participated in a scheme to defraud prospective First Choice investors through the use of false and fraudulent representations regarding securities offerings by First Choice known as Enhanced Automobile Receivables (EARs) and Realty First Mortgages (RFMs). Shortly after the filing of the Commission's complaint in July 2000, the Court issued a Temporary Restraining Order and subsequently a Preliminary Injunction freezing First Choice's and Van Waeyenberghe's assets and appointed a receiver to manage First Choice's assets during the pendency of the litigation. On Jan. 8, 2003, by consent, the Court permanently enjoined First Choice and Van Waeyenberghe from future violations of the antifraud and securities registration provisions of the federal securities laws, ordered First Choice and Van Waeyenberghe jointly and severally to pay $31.3 million in disgorgement and prejudgment interest and imposed a $110,000 civil penalty on Van Waeyenberghe. On the same day, the Court entered an Order Liquidating First Choice which required the court-appointed receiver for First Choice to liquidate First Choice's remaining assets in order to satisfy, at least in part, First Choice's disgorgement obligation. [US v. Morris, Case No. 3:04CR0103AS, USDC, N.D. Ind.; SEC v. First Choice Management Services, Inc. et al., Case No. 3:00CV0446RM, USDC, N.D. Ind.] (LR-18997) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2004-66) to extend the pilot for its automatic execution facility for certain limit orders (NYSE Direct+) 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 December 13. (Rel. 34-50828) A proposed rule change (SR-Phlx-2004-86) filed by the Philadelphia Stock Exchange relating to the definition of an Exchange-Traded Fund Share has become effective immediately 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 December 13. (Rel. 34-50833) A proposed rule change (SR-BSE-2004-55) and Amendment No. 1 thereto filed by the Boston Stock Exchange relating to trading hours for options contracts overlying the Nasdaq 100 Index Trading Stock on the Boston Options Exchange 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 December 13. (Rel. 34-50834) A proposed rule change (SR-Phlx-2004-70) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange to impose new license fees and to modify the calculation of the firm-related equity option and index option fee cap 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 December 13. (Rel. 34-50836) A proposed rule change (SR-CBOE-2004-76) filed by the Chicago Board Options Exchange relating to a Designated Primary Market-Maker and market-maker transaction fee in options on the Mini-Nasdaq-100 Index 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 December 13. (Rel. 34-50837) A proposed rule change (SR-ISE-2004-39) and Amendment Nos. 1 and 2 thereto filed by the International Securities Exchange relating to the hours of trading for options on Fund Shares, including the Nasdaq 100 Tracking Stock, 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 December 13. (Rel. 34-50839) A proposed rule change (SR-CBOE-2004-79) and Amendment No. 1 thereto filed by the Chicago Board Options Exchange relating to trading hours for options on Units and options on the Nasdaq-100 Index Tracking Stock 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 December 13. (Rel. 34-50840) PROPOSED RULE CHANGE The Pacific Exchange has filed a proposed rule change (SR-PCX-2004-58) relating to PCX’s Rules under the Minor Rule Plan and Recommended Fine Schedule. Publication of the proposal is expected in the Federal Register during the week of December 13. (Rel. 34-50830) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Phlx-2004-62) submitted by the Philadelphia Stock Exchange to waive the options specialist shortfall fee for one specialist unit that did not have a specialized quote feed in place. Publication of the proposal is expected in the Federal Register during the week of December 13. (Rel. 34-50832) The Commission approved a proposed rule change (SR-NASD-2004-128) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. (Nasdaq), to modify the annual fee for certain issuers listed on Nasdaq. Publication of the proposal is expected in the Federal Register during the week of December 13. (Rel. 34-50838) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the class A and class B common stock, $.01 par value, of Xcelera Inc., at the opening of business on December 14. (Rel. 34-50846) 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-8 SOLAR ENERGY LTD, 112 C LONGVIEW DRIVE, SUITE 1818, LOS ALAMOS, NM, 87544, 5056722000 - 1,250,000 ($306,250.00) Equity, (File 333-121177 - Dec. 13) (BR. 02) S-3 GREENBRIER COMPANIES INC, ONE CENTERPOINTE DR, STE 200, LAKE OSWEGO, OR, 97035, 5036847000 - 6,000,000 ($191,640,000.00) Equity, (File 333-121181 - Dec. 13) (BR. 05) S-8 PYRAMID BREWERIES INC, 91 SOUTH ROYAL BROUGHAM WAY, SEATTLE, WA, 98134, 2066828322 - 0 ($976,410.38) Equity, (File 333-121182 - Dec. 13) (BR. 02) SB-2 American Metal Technology Group, 600 WILSHIRE BLVD. SUITE 1253, LOS ANGELES, CA, 90017, 2135381204 - 9,950,000 ($9,950,000.00) Equity, (File 333-121183 - Dec. 13) (BR. 09) S-8 ALPHA PRO TECH LTD, 60 CENTURIAN DR, SUITE 112, MARKHAM ONTARIO CANA, A6, 9054790654 - 0 ($4,326,200.00) Equity, (File 333-121184 - Dec. 13) (BR. 36) S-4 CBD Media Holdings LLC, 333 MIDDLEFIELD, SUITE 200, MENLO PARK, CA, 94025, (415) 464-4600 - 100,000,000 ($100,000,000.00) Non-Convertible Debt, (File 333-121185 - Dec. 13) (BR. 05) S-8 SHANNON INTERNATIONAL RESOURCES INC, SUITE 2000, 715 - 5TH AVENUE SW, CALGARY ALBERTA, CANADA T2P XV6, A0, 00000, 403-538-3706 - 3,000,000 ($1,170,000.00) Equity, (File 333-121186 - Dec. 13) (BR. 04) SB-2 New Taohuayuan Culture Tourism Co., Ltd., 1# DONGFENG ROAD, XI'AN WEIYANG TOURISM DEVELOPMENT DISTRI, XI'AN, F4, 710001, 0086-29-86671555 - 0 ($85,136,640.00) Equity, (File 333-121187 - Dec. 13) (BR. ) S-8 OVERSEAS SHIPHOLDING GROUP INC, 511 FIFTH AVENUE, NEW YORK, NY, 10017, 2122511153 - 2,752,360 ($158,136,843.80) Equity, (File 333-121188 - Dec. 13) (BR. 05) S-3 EDISON INTERNATIONAL, 2244 WALNUT GROVE AVE, STE 369, P O BOX 800, ROSEMEAD, CA, 91770, 6263022222 - 10,000,000 ($310,350,000.00) Equity, (File 333-121189 - Dec. 13) (BR. 02) S-8 INTEGRITY BANCSHARES INC, 11130 STATE BRIDGE ROAD, SUITE 0-203, ALPHARETTA, GA, 30022, 7707770324 - 0 ($12,925,000.00) Equity, (File 333-121190 - Dec. 13) (BR. 07) S-8 INTEGRITY BANCSHARES INC, 11130 STATE BRIDGE ROAD, SUITE 0-203, ALPHARETTA, GA, 30022, 7707770324 - 0 ($4,582,500.00) Equity, (File 333-121191 - Dec. 13) (BR. 07) S-3 SOUTHERN CALIFORNIA EDISON CO, 2244 WALNUT GROVE AVE, P O BOX 800, ROSEMEAD, CA, 91770, 6263021212 - 0 ($2,500,000,000.00) Unallocated (Universal) Shelf, (File 333-121192 - Dec. 13) (BR. 02) S-8 LEHMAN BROTHERS HOLDINGS INC, LEHMAN BROTHERS, 745 SEVENTH AVENUE, NEW YORK, NY, 10019, 2125267000 - 90,000,000 ($7,672,950,000.00) Equity, (File 333-121193 - Dec. 13) (BR. 07) S-8 ALEXANDER & BALDWIN INC, 822 BISHOP STREET, PO BOX 3440, HONOLULU, HI, 96801, 8085256611 - 2,250,000 ($97,492,500.00) Equity, (File 333-121194 - Dec. 13) (BR. 05) S-4 XTO ENERGY INC, 810 HOUSTON ST, STE 2000, FORT WORTH, TX, 76102, 8178702800 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-121195 - Dec. 13) (BR. 04) S-8 MINE SAFETY APPLIANCES CO, 121 GAMMA DR, OHARA TOWNSHIP, PITTSBURGH, PA, 15238, 4129673000 - 0 ($24,195,000.00) Equity, (File 333-121196 - Dec. 13) (BR. 36) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 500,000 ($6,500.00) Equity, (File 333-121197 - Dec. 13) (BR. 04) S-8 GLOBAL POWER EQUIPMENT GROUP INC/, 6120 SOUTH YALE, SUITE 1480, TULSA, OK, 74136, 9184880828 - 1,500,000 ($13,380,000.00) Equity, (File 333-121198 - Dec. 13) (BR. 06) S-8 WMS INDUSTRIES INC /DE/, 800 S. NORTHPOINT BLVD., WAUKEGAN, IL, 60085, 847-785-3000 - 0 ($6,500,000.00) Other, (File 333-121199 - Dec. 13) (BR. 06) S-3 SEA CONTAINERS LTD /NY/, 41 CEDAR AVE, P O BOX HM 1179, HAMILTON HM EX BERMU, D0, 4412952244 - 2,400,000 ($44,628,000.00) Equity, (File 333-121200 - Dec. 13) (BR. 05) S-8 CONSOLIDATED GRAPHICS INC /TX/, 5858 WESTHEIMER STE 200, HOUSTON, TX, 77057, 7137870977 - 0 ($27,753,000.00) Equity, (File 333-121201 - Dec. 13) (BR. 05) S-3 GEORGIA POWER CO, 241 RALPH MCGILL BOULEVARD, ATLANTA, GA, 30308, 4045066526 - 1,740,000,000 ($1,740,000,000.00) Unallocated (Universal) Shelf, (File 333-121202 - Dec. 13) (BR. 02) S-3 Boardwalk Mortgage Securities Inc., 1100 TOWN & COUNTRY ROAD, SUITE 1100, ORANGE, CA, 92868, 714-541-9960 - 0 ($6,000,000,000.00) Asset-Backed Securities, (File 333-121203 - Dec. 13) (BR. ) S-3 FOCUS ENHANCEMENTS INC, 1370 DELL AVE, CAMPBELL, CA, 95008, 4088668300 - 8,748,521 ($10,279,512.00) Other, (File 333-121206 - Dec. 13) (BR. 03) S-8 OFFSHORE LOGISTICS INC, 224 RUE DE JEAN, PO BOX 5C, LAFAYETTE, LA, 70505, 3182331221 - 1,000,000 ($33,021,700.00) Equity, (File 333-121207 - Dec. 13) (BR. 05) S-8 GUILFORD PHARMACEUTICALS INC, 6611 TRIBUTARY ST, BALTIMORE, MD, 21224, 4106316300 - 0 ($10,983,000.00) Equity, (File 333-121210 - Dec. 13) (BR. 01) SB-2 VOIP INC, 12330 SW 53RD STREET, SUITE 712, FT. LAUDERDALE, FL, 33330, 954-434-2000 - 4,349,000 ($7,001,890.00) Other, (File 333-121211 - Dec. 13) (BR. 37) S-3 VIISAGE TECHNOLOGY INC, 296 CONCORD ROAD, THIRD FLOOR, BILLERICA, MA, 01821, 9789322466 - 5,717,873 ($44,742,356.22) Equity, (File 333-121212 - Dec. 13) (BR. 03) SB-2 MARCHEX INC, 413 PINE STREET, SUITE 500, SEATTLE, WA, 98101, 206-774-5000 - 0 ($180,000,000.00) Equity, (File 333-121213 - Dec. 13) (BR. 08) S-3 VIISAGE TECHNOLOGY INC, 296 CONCORD ROAD, THIRD FLOOR, BILLERICA, MA, 01821, 9789322466 - 3,908,387 ($30,583,128.27) Equity, (File 333-121214 - Dec. 13) (BR. 03) S-3 AMERISERV FINANCIAL INC /PA/, MAIN & FRANKLIN STS, PO BOX 430, JOHNSTOWN, PA, 15907, 8145335300 - 0 ($25,791,898.50) Equity, (File 333-121215 - Dec. 13) (BR. 07) S-8 HOLLIS EDEN PHARMACEUTICALS INC /DE/, 4435 EASTGATE MALL, SUITE 400, SAN DIEGO, CA, 92121, 858-587-9333 - 0 ($7,702,500.00) Equity, (File 333-121216 - Dec. 13) (BR. 01) S-8 UNITED ONLINE INC, 2555 TOWNGATE ROAD, WESTLAKE VILLAGE, CA, 91361, 0 ($13,865,101.04) Equity, (File 333-121217 - Dec. 13) (BR. 03) S-8 ICOP DIGITAL, INC, 11011 KING STREET, SUITE 260, OVERLAND PARK, KS, 66210, 913-338-5550 - 5,000,000 ($6,250,000.00) Equity, (File 333-121219 - Dec. 13) (BR. 02) S-8 POWERBALL INTERNATIONAL INC, 3001 KNOX STREET, SUITE 407, DALLAS, TX, 75205, 214-389-2151 - 3,000,000 ($2,925,000.00) Equity, (File 333-121221 - Dec. 13) (BR. 06) 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 ------------------------------------------------------------------------------------------------ 21ST CENTURY HOLDING CO FL 1.01,9.01 12/07/04 3CI COMPLETE COMPLIANCE CORP DE 8.01,9.01 12/10/04 ABM INDUSTRIES INC /DE/ DE 2.02,4.02,7.01,8.01,9.01 12/13/04 ACTIVEWORLDS COM INC 1.01,9.01 12/13/04 ADVANCED BATTERY TECHNOLOGIES, INC. DE 2.03 12/01/04 ADVENTRX PHARMACEUTICALS INC DE 5.02,8.01,9.01 12/09/04 AIRPLANES LTD DE 8.01 12/13/04 ALEXION PHARMACEUTICALS INC DE 5.02 12/10/04 ALLETE INC MN 8.01 12/10/04 ALLIANCE DATA SYSTEMS CORP DE 1.01 12/08/04 ALLIS CHALMERS CORP DE 1.01,5.02,9.01 12/07/04 ALTEON INC /DE DE 1.01,5.02 12/07/04 AMERICAN EAGLE OUTFITTERS INC DE 8.01,9.01 12/10/04 AMERICAN ECOLOGY CORP DE 2.06 12/10/04 AMERICAN EXPRESS CO NY 7.01 12/13/04 AMERISERV FINANCIAL INC /PA/ PA 3.02,7.01,9.01 12/10/04 ANALOG DEVICES INC MA 1.01,5.03,9.01 12/07/04 ANALOGIC CORP MA 2.02,4.02,9.01 12/13/04 APPLIED MATERIALS INC /DE DC 1.01 12/07/04 APPLIED MICRO CIRCUITS CORP DE 5.02 12/07/04 ARBOR REALTY TRUST INC MD 1.01,9.01 12/13/04 ASPEN TECHNOLOGY INC /DE/ DE 1.01,5.02,9.01 12/07/04 ASSET BACKED SECURITIES CORP DE 8.01,9.01 12/13/04 ASTROPOWER INC DE 1.03,9.01 12/10/04 ATA HOLDINGS CORP IN 5.02 12/13/04 ATRIUM COMPANIES INC DE 7.01 12/13/04 AUTHENTIDATE HOLDING CORP DE 5.02,8.01,9.01 12/07/04 AUTOBYTEL INC DE 8.01,9.01 12/10/04 AVANIR PHARMACEUTICALS CA 1.01 12/10/04 AVIGEN INC \DE DE 1.02 12/07/04 BANC OF AMERICA MORTGAGE SECURITIES I DE 8.01,9.01 12/13/04 BANK OF THE JAMES FINANCIAL GROUP INC VA 5.02,9.01 12/10/04 BAYVIEW FINANCIAL SECURITIES CO LLC DE 8.01 11/09/04 BCB BANCORP INC 3.03,9.01 12/09/04 BCSB BANKCORP INC 2.02,9.01 12/09/04 BEARD CO /OK OK 8.01,9.01 12/13/04 BIO ONE CORP NV 4.01,9.01 11/02/04 AMEND BIO RAD LABORATORIES INC DE 8.01,9.01 12/13/04 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01 12/07/04 BLUE NILE INC DE 1.01,9.01 10/28/04 BON TON STORES INC PA 5.02 12/13/04 BRUSH ENGINEERED MATERIALS INC 1.01,5.02,8.01,9.01 12/07/04 BUSINESS OBJECTS S.A. 1.01,2.03,9.01 12/08/04 C&D TECHNOLOGIES INC DE 2.02,9.01 12/10/04 CABLEVISION SYSTEMS CORP /NY DE 1.01 12/07/04 CBL & ASSOCIATES PROPERTIES INC DE 5.03,7.01,8.01,9.01 12/08/04 CENTERPOINT ENERGY INC 1.01,3.03,9.01 12/13/04 CENTURY REALTY TRUST IN 1.01,8.01 12/07/04 CHALONE WINE GROUP LTD CA 7.01,8.01,9.01 12/12/04 CHASE FUNDING INC NY 8.01,9.01 11/26/04 CHENIERE ENERGY INC DE 8.01,9.01 12/13/04 CHIRON CORP DE 1.01,9.01 12/13/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 12/10/04 CMS ENERGY CORP MI 8.01,9.01 12/13/04 COCA COLA ENTERPRISES INC DE 2.03 12/08/04 COLLEGIATE PACIFIC INC DE 1.01,8.01,9.01 12/10/04 COLLINS & AIKMAN CORP DE 1.01,2.03,9.01 12/10/04 COMARCO INC CA 8.01,9.01 12/09/04 COMC INC DE 1.01,2.01,3.02,9.01 12/03/04 AMEND COMFORCE CORP DE 3.02,5.03,9.01 12/10/04 CONNS INC DE 1.01,9.01 12/07/04 CONOCOPHILLIPS DE 1.01 12/10/04 CORRPRO COMPANIES INC /OH/ OH 5.02,8.01,9.01 12/08/04 CORTS TRUST FOR INTL BUSINESS MACHINE DE 8.01,9.01 11/29/04 COVISTA COMMUNICATIONS INC NJ 2.02,7.01,9.01 12/13/04 CREDIT & ASSET REP VEHICLE CORP ALLST DE 8.01,9.01 12/01/04 CRESTED CORP CO 1.01 12/08/04 CSG SYSTEMS INTERNATIONAL INC DE 5.02,9.01 12/09/04 CSX CORP VA 1.01,9.01 12/08/04 CTS CORP IN 7.01,9.01 12/13/04 CUBIST PHARMACEUTICALS INC DE 1.01,9.01 12/09/04 CWABS INC DE 8.01,9.01 12/10/04 CWMBS INC DE 8.01,9.01 12/10/04 CYOP SYSTEMS INTERNATIONAL INC NV 8.01 12/08/04 DELUXE CORP MN 5.02,9.01 12/13/04 DENBURY RESOURCES INC DE 5.02,9.01 12/08/04 DENDREON CORP DE 1.01,8.01,9.01 12/08/04 DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 12/13/04 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 12/13/04 DIGITAL INSIGHT CORP DE 1.01,5.02,9.01 12/09/04 DIGITAL LIGHTWAVE INC DE 5.02,9.01 12/07/04 DIGITAL VIDEO SYSTEMS INC DE 3.02 12/08/04 DIVIDEND CAPITAL TRUST INC MD 2.01,9.01 09/28/04 AMEND DOCUMENT SCIENCES CORP DE 1.01,5.02,9.01 12/07/04 DOUBLECLICK INC DE 1.01,9.01 12/09/04 DOW CHEMICAL CO /DE/ DE 1.01 12/09/04 DREYERS GRAND ICE CREAM HOLDINGS INC DE 5.02 12/07/04 DURATEK INC DE 1.01,5.02,9.01 12/10/04 EASTMAN KODAK CO NJ 2.05,9.01 12/08/04 ENER1 INC FL 1.01,3.02,5.02 12/06/04 ENESCO GROUP INC IL 1.01 12/10/04 ENGELHARD CORP DE 1.01 10/07/04 EPIC FINANCIAL CORP NV 3.02,5.03,9.01 12/07/04 ESSENTIAL GROUP INC DE 1.01,9.01 12/10/04 ETERNAL TECHNOLOGIES GROUP INC DE 2.01,9.01 10/31/04 EZCORP INC DE 2.02,9.01 12/13/04 FARGO ELECTRONICS INC 1.01,9.01 12/07/04 FIREARMS TRAINING SYSTEMS INC DE 5.02 12/07/04 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 12/13/04 FIRST CAPITAL INSTITUTIONAL REAL ESTA FL 8.01 12/13/04 FIVE STAR QUALITY CARE INC 8.01,9.01 12/13/04 FLORIDA PUBLIC UTILITIES CO FL 1.01 12/07/04 FRANKLIN ELECTRONIC PUBLISHERS INC PA 1.01,2.03 12/07/04 GE COMMERCIAL MORT CORP PASS THR CERT DE 8.01,9.01 12/10/04 GENENCOR INTERNATIONAL INC DE 1.02 12/09/04 GENENTECH INC DE 5.02 11/10/04 AMEND GENESIS REALTY GROUP INC 4.01 09/15/03 GEXA CORP TX 1.01,9.01 12/08/04 GLEN BURNIE BANCORP MD 5.02 12/09/04 GLENBOROUGH REALTY TRUST INC MD 8.01,9.01 12/09/04 GLOBAL CROSSING LTD 1.01,7.01,8.01,9.01 12/10/04 GLOBAL PAYMENT TECHNOLOGIES INC DE 5.02 12/08/04 GLOBAL SIGNAL INC DE 1.01,2.03,9.01 12/07/04 GLOWPOINT INC DE 5.02,9.01 12/07/04 GLYCOGENESYS INC NV 8.01,9.01 12/13/04 GOTTSCHALKS INC DE 8.01 12/13/04 GVI SECURITY SOLUTIONS INC DE 3.02,9.01 10/29/04 AMEND HEADWATERS INC DE 9.01 09/08/04 AMEND HOMENET CORP DE 8.01,9.01 12/07/04 HONEYWELL INTERNATIONAL INC DE 1.01,2.03,9.01 12/13/04 HOOKER FURNITURE CORP VA 1.01 12/07/04 HOSPITALITY PROPERTIES TRUST MD 8.01,9.01 12/13/04 HRPT PROPERTIES TRUST MD 8.01,9.01 12/13/04 I SECTOR CORP DE 8.01,9.01 12/13/04 I TRAX INC DE 5.02 12/08/04 IESI CORP DE 7.01,9.01 12/10/04 IMAX CORP A6 1.01,9.01 12/13/04 INDEVUS PHARMACEUTICALS INC DE 1.01 12/07/04 INDYMAC ABS INC DE 8.01,9.01 12/13/04 INTEGRAMED AMERICA INC DE 7.01,9.01 12/13/04 INTEGRATED BUSINESS SYSTEMS & SERVICE SC 1.01 12/07/04 INTEGRITY BANCSHARES INC GA 8.01,9.01 12/13/04 INTERFACE INC GA 2.02,7.01 12/13/04 INTRALASE CORP 8.01,9.01 12/08/04 INTREPID TECHNOLOGY & RESOURCE INC ID 1.01,9.01 12/08/04 INVESTOOLS INC DE 1.01,9.01 12/09/04 INVESTOOLS INC DE 5.02,8.01,9.01 12/13/04 IONICS INC MA 1.01,9.01 11/23/04 IQ BIOMETRIX INC DE 1.01,9.01 12/07/04 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 12/08/04 JAKKS PACIFIC INC DE 2.01,9.01 12/13/04 AMEND JP MORTGAGE CHASE COMM MORT PASS THR DE 8.01,9.01 12/13/04 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 12/13/04 KEY ENERGY SERVICES INC MD 1.01,2.05,9.01 12/07/04 LAKELAND INDUSTRIES INC DE 2.02,9.01 12/13/04 LANGER INC NY 9.01 09/30/04 AMEND LEARNING CARE GROUP, INC MI 4.01,9.01 12/09/04 LIBERTY MEDIA INTERNATIONAL INC DE 7.01 12/13/04 LIBERTY MINT LTD CO 2.01,9.01 12/08/04 LIGAND PHARMACEUTICALS INC DE 8.01,9.01 12/09/04 LIGHTEN UP ENTERPRISES INTERNATIONAL NV 5.02,9.01 12/09/04 LIONS GATE ENTERTAINMENT CORP /CN/ 5.02,7.01 12/07/04 LOEWS CORP DE 1.01,9.01 12/13/04 LYDALL INC /DE/ DE 5.02 12/08/04 MARINEMAX INC DE 5.02 12/13/04 MARKETWATCH INC DE 8.01 12/13/04 MARKETWATCH INC DE 8.01 12/13/04 AMEND MARKLAND TECHNOLOGIES INC FL 1.01,8.01,9.01 12/07/04 MARKLAND TECHNOLOGIES INC FL 1.01,5.02 12/07/04 MASTR Adjustable Rate Mortgage Trust DE 8.01,9.01 08/27/04 AMEND MASTR Adjustable Rate Mortgages 2004- DE 8.01,9.01 11/30/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 09/29/04 AMEND MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/29/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 11/29/04 MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 09/29/04 AMEND MAXYGEN INC DE 1.01,9.01 12/10/04 MCDONALDS CORP DE 1.01,8.01 12/09/04 MED GEN INC NV 8.01 08/10/04 MEDICAL DISCOVERIES INC UT 1.01,3.02,7.01,9.01 12/07/04 MENDOCINO BREWING CO INC CA 8.01,9.01 11/25/04 MERIDIAN BIOSCIENCE INC OH 1.01,4.01,9.01 12/07/04 MERRIMAC INDUSTRIES INC DE 1.02,8.01,9.01 12/13/04 METRON TECHNOLOGY N V 8.01 12/10/04 MINE SAFETY APPLIANCES CO PA 9.01 12/13/04 MITCHAM INDUSTRIES INC TX 1.01,5.02,9.01 12/10/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE 8.01,9.01 12/08/04 MOTIVE INC DE 1.01,1.02,2.03,9.01 12/10/04 MTM Technologies, Inc. NY 1.01,2.01,3.02,3.03,5.02,7.01 12/07/04 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,9.01 12/09/04 NanoSignal CORP NV 5.02 12/10/04 NATIONAL CITY CORP DE 7.01,9.01 12/13/04 NATIONAL LAMPOON INC CA 3.02,9.01 12/09/04 NATURAL RESOURCE PARTNERS LP DE 1.01,9.01 12/08/04 NAVISITE INC DE 8.01,9.01 12/10/04 NEW PLAN EXCEL REALTY TRUST INC MD 8.01 12/13/04 NEWMONT MINING CORP /DE/ DE 1.01,9.01 12/07/04 NEXTEL COMMUNICATIONS INC DE 1.01,9.01 12/07/04 NGAS Resources Inc 9.01 10/12/04 AMEND NITROMED INC DE 1.01,8.01,9.01 12/07/04 NOBLE ENERGY INC DE 1.01,5.02 11/30/04 AMEND NOMURA ASSET ACCEPTANCE CORP DE 8.01,9.01 12/10/04 NORTHERN TRUST CORP DE 5.02 12/09/04 NOVADEL PHARMA INC DE 5.03,9.01 12/07/04 OMEGA HEALTHCARE INVESTORS INC MD 1.01,1.02,8.01,9.01 12/13/04 ORACLE CORP /DE/ DE 2.02,9.01 12/13/04 ORGANITECH USA INC DE 8.01 12/13/04 ORTHOLOGIC CORP DE 7.01,9.01 12/10/04 AMEND OSULLIVAN INDUSTRIES HOLDINGS INC DE 1.01,9.01 12/13/04 OSULLIVAN INDUSTRIES INC DE 1.01,9.01 12/13/04 OTTER TAIL CORP MN 8.01,9.01 12/07/04 OVERSEAS SHIPHOLDING GROUP INC DE 9.01 12/13/04 PACIFIC CONTINENTAL CORP OR 4.01,9.01 11/12/04 AMEND PARALLEL PETROLEUM CORP DE 9.01 12/13/04 AMEND PARAMETRIC TECHNOLOGY CORP MA 1.01 12/07/04 PARK NATIONAL CORP /OH/ OH 8.01,9.01 12/10/04 PEETS COFFEE & TEA INC WA 5.02,7.01,9.01 12/07/04 PEGASUS COMMUNICATIONS CORP / DE 3.01,9.01 12/07/04 PEGASUS SOLUTIONS INC DE 1.01,5.02 12/07/04 PENINSULA HOLDINGS GROUP LTD NV 5.02 12/09/04 PENTAIR INC MN 1.01,1.02,5.03,9.01 12/10/04 PEOPLES BANCORP INC OH 8.01,9.01 12/10/04 PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 12/13/04 PEOPLESOFT INC DE 8.01,9.01 12/13/04 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 1.01,9.01 12/07/04 PHARMAFRONTIERS CORP TX 5.02,9.01 12/07/04 PHARMANETICS INC NC 5.02 12/09/04 PIONEER OIL & GAS UT 8.01 12/10/04 PivX Solutions, Inc. NV 1.02 12/13/04 PLAYTEX PRODUCTS INC DE 5.02,9.01 12/10/04 POWER ONE INC DE 7.01 12/13/04 PRG SCHULTZ INTERNATIONAL INC GA 1.01,9.01 12/07/04 PRICE LEGACY CORP MD 8.01,9.01 12/10/04 PRICELINE COM INC DE 1.01,9.01 12/13/04 PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.02,9.01 12/13/04 PRO-FAC COOPERATIVE INC NY 7.01 12/10/04 PROGRESS ENERGY INC NC 1.01,9.01 12/07/04 PROVIDIAN FINANCIAL CORP DE 8.01 11/30/04 PRUDENTIAL FINANCIAL INC NJ 2.03 12/13/04 PRUDENTIAL FINANCIAL INC NJ 2.03 12/13/04 PUBLIC CO MANAGEMENT CORP NV 8.01,9.01 12/13/04 QUALCOMM INC/DE DE 1.01,9.01 11/22/04 QUANTA SERVICES INC DE 1.01,9.01 12/09/04 QUIDEL CORP /DE/ DE 5.02,9.01 12/07/04 R H DONNELLEY CORP DE 1.01 12/10/04 RADIATION THERAPY SERVICES INC FL 8.01 12/09/04 RALI Series 2004-QA5 Trust DE 8.01,9.01 12/13/04 RALI Series 2004-QS15 Trust DE 8.01,9.01 12/13/04 RARE HOSPITALITY INTERNATIONAL INC GA 2.06 12/08/04 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 12/13/04 RELIANT ENERGY INC DE 8.01 12/13/04 REMEDYTEMP INC CA 1.01,9.01 12/07/04 ROBBINS & MYERS INC OH 1.01,9.01 12/08/04 RYERSON TULL INC /DE/ DE 8.01,9.01 12/13/04 SALIX PHARMACEUTICALS LTD 1.01,9.01 12/07/04 SALON MEDIA GROUP INC DE 8.01,9.01 11/17/04 SANDERSON FARMS INC MS 2.02,9.01 12/07/04 SANDY SPRING BANCORP INC MD 1.01,1.02,7.01,9.01 12/08/04 SCHLOTZSKYS INC TX 1.01,9.01 12/13/04 SCRIPPS E W CO /DE OH 8.01,9.01 12/13/04 SEAGATE TECHNOLOGY E9 7.01,8.01,9.01 12/09/04 SELECT MEDICAL CORP DE 7.01 12/13/04 SELIGMAN NEW TECHNOLOGIES FUND INC 7.01 12/13/04 SENETEK PLC /ENG/ 8.01,9.01 12/10/04 SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 12/13/04 SERACARE LIFE SCIENCES INC 1.01,2.02,5.02,9.01 12/13/04 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 12/13/04 SHOPPING COM LTD NY 1.01 12/07/04 SIMMONS BEDDING CO DE 8.01,9.01 12/10/04 SKYWORKS SOLUTIONS INC DE 7.01 10/13/04 SPECTRUM PHARMACEUTICALS INC DE 3.02 12/13/04 STANLEY WORKS CT 8.01,9.01 12/13/04 STEEL DYNAMICS INC IN 5.02 12/07/04 STEREO VISION ENTERTAINMENT INC NV 5.02,9.01 12/05/04 STOCKERYALE INC MA 1.01,3.02,9.01 12/07/04 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 12/01/04 STRUCTURED PRODUCTS CORP TIERS CORP B DE 8.01,9.01 12/01/04 SUREWEST COMMUNICATIONS CA 2.03 12/13/04 SYNALLOY CORP DE 1.01,9.01 12/09/04 SYNALLOY CORP DE 1.01 12/13/04 AMEND TAUBMAN CENTERS INC MI 1.01,9.01 12/07/04 TEAM INC TX 2.01,9.01 08/11/04 AMEND TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,2.03,9.01 12/09/04 TEXEN OIL & GAS INC NV 7.01 12/13/04 TRANSACTION SYSTEMS ARCHITECTS INC DE 7.01 12/13/04 TRANSACTION SYSTEMS ARCHITECTS INC DE 9.01 09/24/04 AMEND TRANSCEND SERVICES INC DE 1.01 12/08/04 TRI COUNTY FINANCIAL CORP /MD/ MD 2.01,9.01 12/10/04 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 CA 8.01,9.01 12/13/04 TRINITY LEARNING CORP UT 4.01 12/13/04 TUESDAY MORNING CORP/DE DE 2.02,9.01 12/13/04 TULLYS COFFEE CORP 1.01,8.01,9.01 12/09/04 U.S. Shipping Partners L.P. DE 2.02,9.01 12/13/04 UBIQUITEL INC DE 1.01,9.01 12/08/04 ULTIMATE ELECTRONICS INC DE 2.02,8.01 12/10/04 UNITED DOMINION REALTY TRUST INC MD 3.02 12/10/04 UNITED DOMINION REALTY TRUST INC MD 8.01,9.01 12/13/04 UNITED DOMINION REALTY TRUST INC MD 8.01,9.01 09/28/04 AMEND UNITED STATES CELLULAR CORP DE 1.01,2.03,9.01 12/09/04 UNITEDHEALTH GROUP INC MN 7.01 12/13/04 UNIVERSAL AMERICAN FINANCIAL CORP NY 8.01 12/13/04 US AIRWAYS GROUP INC DE 5.02 12/08/04 AMEND US DATAWORKS INC NV 1.01,9.01 12/10/04 US ENERGY CORP WY 1.01,3.02 12/08/04 VALCOM INC DE 5.02,9.01 12/10/04 VITAL IMAGES INC MN 8.01,9.01 12/13/04 VSUS TECHNOLOGIES INC DE 1.02,5.02,9.01 12/07/04 WARP TECHNOLOGY HOLDINGS INC NV 1.01,3.02 12/10/04 WATERS INSTRUMENTS INC MN 9.01 09/27/04 AMEND WELLCO ENTERPRISES INC NC 8.01 12/13/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 12/09/04 WORLDWIDE RESTAURANT CONCEPTS INC DE 8.01,9.01 12/08/04 WPS RESOURCES CORP WI 1.01,9.01 12/09/04 WYNN RESORTS LTD 8.01,9.01 12/13/04 XILINX INC DE 7.01,9.01 12/08/04 YELLOW ROADWAY CORP DE 1.01,9.01 12/09/04