SEC NEWS DIGEST Issue 2005-11 January 18, 2005 RULES AND RELATED MATTERS EXTENSION OF THE COMMENT PERIOD OF PROPOSED RULE CHANGES On Dec. 28, 2004, a notice of filing was published in the Federal Register regarding the proposed rule changes filed by the New York Stock Exchange, and the National Association of Securities Dealers, SR-NYSE- 2004-12 and SR-NASD-2003-140, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, relating to the prohibition of certain abuses in the allocation and distribution of shares in initial public offerings. The comment period expires on Jan. 18, 2005. The Commission has decided to extend the comment period pursuant to Section 19(b)(2) of the Act. Accordingly, the comment period shall be extended until Feb. 15, 2005. Publication of the extension is expected to in the Federal Register during the week of January 17. (Rel. 34-51039) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ROBERT BEATTY An Administrative Law Judge has issued an Initial Decision in the matter of Robert Cord Beatty barring Mr. Beatty from participating in an offering of penny stock. Chief Judge Brenda P. Murray found that on Aug. 23, 2004, the U.S. District Court for the District of Utah enjoined Robert Cord Beatty (Beatty) from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-2, and from aiding and abetting future violations of Section 13(b)(2)(A) of the Exchange Act. Beatty’s illegal conduct occurred in 1994 while he was president of a company ultimately named AutoCorp Equities, Inc. (AutoCorp). AutoCorp had the right to stage a live production in Las Vegas, Nevada, of the 1980s’ television show, American Gladiators. As AutoCorp’s president, Beatty knew, but did not inform investors or the Commission, that worthless CDs purportedly issued by a Russian bank were shown on AutoCorp’s financials as assets worth almost $4 million. (Initial Decision No. 271; File No. 3-11666) COMMISSION DECLARES DECISION AS TO JOSEPH LENTS FINAL The decision of an administrative law judge barring Joseph L. Lents from participating in an offering of penny stock has become final. The law judge found that Lents was permanently enjoined in 2004 for violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934, and Exchange Act Rule 10b-5. Lents’ wrongdoing occurred from November 2001 through at least April 2002 when he participated in an offering of Investco stock, a penny stock. Lents, among other things, was involved in a fraudulent "pump and dump" scheme to manipulate the price of Investco’s stock. (Rel. 34-51040; File No. 3- 11693) COMMISSION SUSTAINS IN PART NASD DISCIPLINARY ACTION AGAINST GUANG LU The Commission has sustained in part NASD disciplinary action against Guang Lu, a former registered representative with NASD member firm NYLIFE Securities, Inc. NASD found that Lu: (1) exercised discretion in a customer’s account not maintained by NYLIFE and failed to provide prior written notice of his trading in that account to NYLIFE and the executing member firm; (2) failed to obtain written authorization from a discretionary account customer; and (3) provided a false answer on his Form U-4. NASD barred Lu for exercising discretionary authority in trading the customer’s account not maintained by NYLIFE and without giving prior written notice to NYLIFE and the executing member firm, barred him further for providing false information on his Form U-4, and additionally barred him for exercising discretion without written authority and unsuitable trading. In light of these violations and the sanctions imposed, the Commission did not reach the charge of unsuitable trading alleged by NASD. Lu’s misconduct resulted in substantial monetary losses to his customer. NASD concluded that Lu’s conduct was egregious. Lu contended that the sanction of a bar was harsh and excessive. However, NASD identified as aggravating factors Lu’s failure to appreciate the gravity of his misconduct, the potential threat of his actions to the public interest, his failure to accept responsibility for his conduct, and his indifference to NASD’s rules. As noted above, the Commission did not reach the charge of unsuitable transactions. The Commission concluded that, under the circumstances, the sanctions imposed on Lu by NASD for the remaining violations were neither excessive nor oppressive. (Rel. 34-51047; File No. 3-11522) SANCTIONS IMPOSED BY NASD ON PAUL JOSEPH BENZ SUSTAINED The Commission sustained the disciplinary action imposed on Paul Joseph Benz, formerly a general securities principal and the president of Beacon Trading, LLC (Beacon), a former NASD member firm. NASD had found that Benz violated NASD Conduct Rule 2110 by permitting Beacon to conduct a securities business when it did not meet its net capital requirement under Securities Exchange Act of 1934 Rule 15c3-1. The net capital violation was based on Beacon's failure to recognize a $5 million liability arising from a customer's failure to pay a clearing firm for securities purchased through a margin account introduced by Beacon. The Commission rejected Benz's contention that payment negotiations between the customer and the clearing firm abrogated Beacon's liability, as set forth in its clearing agreement, to the clearing firm for the customer's nonpayment. The Commission therefore sustained the finding that Benz violated NASD Conduct Rule 2110 and found that the sanctions imposed -- a $5,000 fine, a thirty-day suspension from acting as a general securities principal, and a requirement that Benz requalify as a principal before serving in that capacity -- were neither excessive nor oppressive. (Rel. 34-51046; File No. 3-11523) IN THE MATTER OF FREDERICK WALL An Administrative Law Judge has issued an Initial Decision in the matter of Frederick Wall. The Initial Decision finds that the U.S. District Court for the Southern District of New York convicted Respondent Frederick W. Wall (Wall) for conspiracy to commit securities fraud, wire fraud, and mail fraud based on his involvement in a scheme to sell phony private placements in several companies. The Initial Decision concludes that it is in the public interest to bar Wall from association with any broker or dealer. (Initial Decision No. 270; File No. 3-11529) COMMISSION FILES CIVIL CONTEMPT CHARGES AGAINST CHARLES DYER AND OTHERS IN SECURITIES FRAUD CASE The Commission announced that on January 13 it filed civil contempt charges against Charles G. Dyer and two entities controlled by him, Resource F, LLC, and Bunker Hill Aviation, LLC, concerning their failure to comply with a final judgment entered against them in September 2003 by the U.S. District Court for the District of Massachusetts that ordered payment of disgorgement, interest, and a civil penalty. In its original complaint filed against Dyer, his entities, and others on April 16, 2001, the Commission alleged that, between 1997 and 2000, Dyer and his entities participated in a fraudulent trading scheme that raised approximately $22 million from at least 50 investors, many of whom were members of the Christian Science Church. According to the complaint, Dyer helped promote and administer the trading scheme through his entities and solicited investors using misrepresentations typical of Prime Bank-type investment frauds, including that the investment involved high-quality debt instruments and that investors’ principal was never at risk and could be returned after one year. According to the complaint, during the initial stages of the fraud, investors received monthly payments that the defendants represented were "profits" on their investment. The complaint alleged, however, that monthly payments to investors ceased around May 2000, and no investors are known to have received the return of their investment, as promised by the defendants. The Commission’s contempt motion alleges that on Sept. 15, 2003, the court entered a final judgment by consent against Dyer, Resource F, and Bunker Hill Aviation that held them jointly and severally liable for disgorgement and interest of over $570,000. Dyer was also ordered to pay a civil penalty of $110,000. The final judgment provided that the disgorgement, interest, and penalty would be paid on a payment plan over the course of 11 months after entry of the judgment. In its contempt motion, the Commission alleges that, other than releasing $100,000 that they were required to place in escrow prior to issuance of the final judgment, the defendants have made no further payments to satisfy the final judgment. See Litigation Release Number 19035. For further information, please see Litigation Release No. 18414 (Oct. 16, 2003)[final judgment against Dyer, Resource F, and Bunker Hill Aviation]; and Litigation Release No. 16963 (April 16, 2001) [SEC files emergency enforcement action against Dyer and others]. [SEC v. Eric E. Resteiner, et al., USDC, Mass., C.A. No. 01-10637(PBS)] (LR-19035) KEITH MOHN, MOHN ASSET MANAGEMENT, L.L.C., AND MOHN FINANCIAL GROUP, L.L.C. PERMANENTLY ENJOINED FROM COMMITTING SECURITIES FRAUD The Commission announced today that on January 11, the Honorable Patrick J. Duggan, U.S. District Judge for the Eastern District of Michigan, entered Orders of Permanent Injunction (Orders) against Keith Mohn (Mohn), Mohn Asset Management, L.L.C. (Mohn Asset Management), and Mohn Financial Group, L.L.C. (Mohn Financial Group) (collectively, the Mohn Defendants). The Orders prohibit the Mohn Defendants from engaging in securities fraud in violation of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, Section 15(c)(1) of the Exchange Act and Rule 15c1-2 thereunder, and Sections 206 (1) and 206(2) of the Investment Advisers Act. The Orders further prohibit the Mohn Defendants from acting as unregistered brokers in violation of Section 15(a) of the Exchange Act and selling unregistered securities in violation of Sections 5(a) and 5(c) of the Securities Act. The Orders also provide that the Court will determine whether and to what extent to order disgorgement and impose civil penalties against the Mohn Defendants at a separate hearing upon due notice and motion by the Commission. The Commission sued the Mohn Defendants, among others, on Nov. 21, 2002. The Commission’s Complaint alleged that Mohn, Mohn Asset Management, Mohn Financial Group and J. Patrick Kisor (Kisor) offered and sold investments in Agave, Ltd. (Agave) and Genesis Trading Associates, L.L.C. (Genesis), raising a total of approximately $31 million. The complaint alleged that instead of investing in options, as represented to investors, Kisor misappropriated the vast majority of investor funds for personal purposes and used a significant portion of the funds for illiquid, risky investments in private companies or penny stocks. According to the complaint, when Mohn learned that Kisor was using the funds for undisclosed investments and that Kisor had misappropriated investor funds, Mohn failed to tell investors these facts. Rather, Mohn, through Mohn Asset Management and Mohn Financial Group, continued to send investors statements that overvalued their investments in Agave and Genesis and invested some of their funds in risky and illiquid investments in private companies, without telling investors. The Commission’s complaint also alleged that Mohn, Mohn Asset Management, and Mohn Financial Group sold unregistered securities and acted as an investment adviser and unregistered broker. For further information, see LR-17856. [SEC v. Keith Mohn, Mohn Asset Management, L.L.C., Mohn Financial Group, L.L.C., J. Patrick Kisor, PDK International, Inc., Agave, Ltd., Genesis Trading Associates, L.L.C., NCB Investments, Inc., PCM, L.L.C., Jason Malkin, and Gilbert Howard, Civil Action No. 02-74634, E.D. Mich.] (LR-19036) CHARLES JANNETTI AND KEVIN DEBBS SETTLE INSIDER TRADING CHARGES The Commission announced today that on January 13 it filed a complaint in the U.S. District Court for the District of New Jersey alleging illegal insider trading by Charles Jannetti, 56, of Howell, New Jersey, and Kevin Debbs, 40, of Atlantic Highlands, New Jersey, former employees of Osteotech, Inc. (Osteotech). The Commission’s complaint alleges that Jannetti and Debbs violated Section 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder when they sold shares of Osteotech while in possession of material, nonpublic information. Specifically, the Commission’s complaint alleges that that on September 26 and 27, 2002, Jannetti and Debbs learned about contamination problems at Osteotech’s production facilities. While in possession of this material, nonpublic information, Debbs and Jannetti sold their entire positions in Osteotech stock, illegally avoiding the losses they would have incurred had the information been public. On September 30, 2002, once Osteotech disclosed the contamination problems and the resulting shut down of its last remaining production facility, Osteotech’s stock price fell from $9.47 per share on the previous day to $5.16 per share. Accordingly, Jannetti and Debbs avoided losses of $9,040 and $12,920 by selling when they did. Jannetti and Debbs have agreed to a resolution of this matter, subject to the Court’s approval. Without admitting or denying any of the factual allegations contained in the Commission’s complaint, both defendants have consented to the relief sought in the Commission’s complaint: (i) injunctions barring each of them from future violations of Section 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; (ii) disgorgement of losses avoided, plus prejudgment interest; and (iii) a one time civil penalty in an amount equal to the disgorgement amount. In his consent, Jannetti agreed to pay $18,564.01, comprised of $9,040 in disgorgement of avoided losses, plus $484.01 in prejudgment interest, and a civil penalty in the amount of $9,040. In his consent, Debbs agreed to pay $26,759.51, comprised of $12,920 in disgorgement of his avoided losses, plus $919.51 in prejudgment interest, and a civil penalty in the amount of $12,920. The Commission acknowledges the assistance of the NASD in this investigation. [SEC v. Charles E. Jannetti and Kevin Debbs, 05 Civ. 308 (SRC) D.N.J.] (LR-19037) HOLDING COMPANY ACT RELEASES KEYSPAN CORPORATION, ET AL. A supplemental order has been issued authorizing a tax allocation agreement between KeySpan Corporation (KeySpan), a registered holding company, and its direct and indirect subsidiaries, including The Brooklyn Union Gas Company and its subsidiaries d/b/a KeySpan Energy Delivery New York; KeySpan Generation LLC and its subsidiaries; Boston Gas Company and its subsidiaries d/b/a KeySpan Energy Delivery New England; KeySpan Gas East Corporation and its subsidiaries d/b/a KeySpan Energy Long Island; Essex Gas Company and its subsidiaries d/b/a KeySpan Energy Delivery New England; Colonial Gas Company d/b/a KeySpan Energy Delivery New England; and EnergyNorth Natural Gas, Inc. and its subsidiaries d/b/a KeySpan Energy Delivery New England, all public- utility company subsidiaries of KeySpan, and all of KeySpan nonutility subsidiaries. (Rel. 35-27937) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Pacific Exchange filed a proposed rule change (SR-PCX-2005-04), amending Electronic Order Capture System or Electronic Tablet Entry Requirements. The proposed rule change 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 January 17. (Rel. 34-51022) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2005-04) relating to an electronic audit trail for orders in options overlying the Standard and Poor’s Depositary Receipts. The proposed rule change 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 January 17. (Rel. 34-51028) A proposed rule change and Amendment No. 1 thereto filed by the Chicago Board Options Exchange (SR-CBOE-2004-91) to extend a pilot program and eliminate the rule prohibiting electronically generated and communicated orders 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 January 17. (Rel. 34-51030) A proposed rule change (SR-BSE-2004-46) filed by the Boston Stock Exchange relating to its Instant Liquidity Access Rules 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 January 17. (Rel. 34-51031) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES A proposed rule change filed by the National Association of Securities Dealers relating to the frequency of updates from the national do-not- call registry (SR-NASD-2004-174), and Amendment No. 1 thereto, has been given accelerated approval under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 17. (Rel. 34-51023) The Commission has approved on an accelerated basis a proposed rule change filed by the Emerging Markets Clearing Corporation (SR-EMCC-2005- 01) under Section 19(b)(1) of the Exchange Act. The proposed rule change will establish cut-off dates for submission and for processing securities transactions and will implement procedures for EMCC to exit open fail positions prior to the dissolution of EMCC. Publication of the proposal is expected in the Federal Register during the week of January 17. (Rel. 34-51026) The Commission granted accelerated approval to a proposed rule change and Amendments No. 1 and 2 thereto submitted by the Philadelphia Stock Exchange (SR-Phlx-2004-92) adopting Phlx Rule 1017, Openings in Options, on a permanent basis. Publication of the notice is expected in the Federal Register during the week of January 17. (Rel. 34-51036) PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2004-07) under Section 19(b)(1) of the Exchange Act that would permit NSCC to amend its rules regarding the membership standards required of insurance companies. Publication of the proposal is expected in the Federal Register during the week of January 17. (Rel. 34-51035) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-18) under Section 19(b)(1) of the Exchange Act that clarifies certain sections of the loss allocation rule of its Government Securities Division. Publication of the proposal is expected in the Federal Register during the week of January 17. (Rel. 34-51037) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 Triton Resources, Inc., 7363 146 A STREET, SURREY, A1, V3S 8Y8, 604 599-8799 - 2,400,000 ($120,000.00) Equity, (File 333-122039 - Jan. 14) (BR. 07) S-8 24/7 REAL MEDIA INC, 1250 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10001, 2122317100 - 0 ($27,612,000.00) Other, (File 333-122041 - Jan. 14) (BR. 37) S-3 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 9,216,346 ($21,566,250.00) Equity, (File 333-122043 - Jan. 14) (BR. 02) S-8 SALON MEDIA GROUP INC, 22 FOURTH STREET, 16TH FLOOR, SAN FRANCISCO, CA, 94103, 4158828720 - 30,000,000 ($3,300,000.00) Equity, (File 333-122044 - Jan. 14) (BR. 37) S-8 SUSSEX BANCORP, 399 RTE 23, FRANKLIN, NJ, 07416, 9738272914 - 173,520 ($2,720,267.50) Other, (File 333-122045 - Jan. 14) (BR. 07) F-6 PETROLEUM GEO SERVICES ASA, STRANDVEIEN 4, N-1366 LYSAKER, NORWAY, Q8, 00000, 0114767526600 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-122046 - Jan. 14) (BR. 04) S-3 LEUCADIA NATIONAL CORP, 315 PARK AVE S, NEW YORK, NY, 10010, 2124601900 - 2,250,000 ($97,267,500.00) Equity, (File 333-122047 - Jan. 14) (BR. 37) S-8 HARRAHS ENTERTAINMENT INC, ONE HARRAHS COURT, LAS VEGAS, NV, 89119, 7024076000 - 0 ($6,357,000.00) Equity, (File 333-122048 - Jan. 14) (BR. 05) S-4 COX COMMUNICATIONS INC /DE/, 1400 LAKE HEARN DR NE, ATLANTA, GA, 30319, 4048435000 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-122050 - Jan. 14) (BR. 37) S-8 ALLIANCE PHARMACEUTICAL CORP, 6175 LUSK BLVD, SAN DIEGO, CA, 92121, 8584105200 - 3,400,000 ($969,000.00) Equity, (File 333-122051 - Jan. 14) (BR. 01) S-B PERU REPUBLIC OF, 241 EAST 49TH ST, NEW YORK, NY, 10017, 0 ($1,565,549,100.00) Other, (File 333-122052 - Jan. 14) (BR. DN) SB-2 OCEAN LIFE SCIENCES I INC, 10990 WISHIRE BOULEVARD, SUITE 1410, LOS ANGELES, CA, 90024, 310-696-0333 - 50,000 ($50,000.00) Equity, (File 333-122053 - Jan. 14) (BR. 09) S-8 F5 NETWORKS INC, 401 ELLIOT AVE WEST, STE 500, SEATTLE, WA, 98119, 2062725555 - 715,000 ($30,417,530.00) Equity, (File 333-122054 - Jan. 14) (BR. 03) S-3 ARDEN REALTY INC, 11601 WILSHIRE BOULEVARD FOURTH FLOOR, E TOWER STE 700, LOS ANGELES, CA, 90025, 3109662600 - 0 ($500,000,000.00) Non-Convertible Debt, 0 ($257,187,398.00) Unallocated (Universal) Shelf, (File 333-122055 - Jan. 14) (BR. 08) SB-2 AMERICAN AMMUNITION INC/FL, 3545 NW 71ST STREET, NONE, MIAMI, FL, 33147, (305) 835-7400 - 42,861,322 ($6,857,811.52) Debt Convertible into Equity, 2,666,350 ($2,666,350.00) Equity, (File 333-122056 - Jan. 14) (BR. 06) S-2 SYNTHETIC BLOOD INTERNATIONAL INC, 3189 AIRWAY AVENUE, BUILDING C, COSTA MESA, CA, 92626, 714-427-6363 - 0 ($5,035,831.51) Equity, (File 333-122057 - Jan. 14) (BR. 01) S-3 BAYVIEW FINANCIAL SECURITIES CO LLC, 4425 PONCE DE LEON BLVD 4TH FLOOR, CORAL GABLES, FL, 33134, 3058548880 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-122059 - Jan. 14) (BR. 05) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 95,000,000 ($95,000.00) Equity, (File 333-122060 - Jan. 14) (BR. 05) S-8 INTERNET BUSINESS INTERNATIONAL INC, 4634 SOUTH MARYLAND PARKWAY SUITE 101, LAS VEGAS, NV, 89119, 7029680008 - 1,000,000,000 ($200,000.00) Equity, (File 333-122061 - Jan. 14) (BR. 03) SB-2 VELOCITY ASSET MANAGEMENT INC, 48 S. FRANKLIN TURNPIKE, 3RD FLOOR, RAMSEY, NJ, 07446, 201-760-1030 - 6,981,412 ($28,972,860.00) Equity, (File 333-122062 - Jan. 14) (BR. 07) S-4 PHIBRO ANIMAL HEALTH CORP, ONE PARKER PLZ, FORT LEE, NJ, 07024, 2019446020 - 0 ($127,491,000.00) Non-Convertible Debt, (File 333-122063 - Jan. 14) (BR. 06) S-8 ALLIANCE GAMING CORP, 6601 S. BERMUDA RD., LAS VEGAS, NV, 89119, 7028967700 - 0 ($29,837,500.00) Equity, (File 333-122064 - Jan. 14) (BR. 05) S-8 ALLIED IRISH BANKS PLC, 25 SOUTH CHARLES ST., SUITE 1300 NC 101-880, BALTIMORE, MD, 21201, 4102443826 - 0 ($4,503,270.00) Equity, (File 333-122065 - Jan. 14) (BR. 07) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 3,649,563 ($4,051,015.00) Equity, (File 333-122066 - Jan. 14) (BR. 36) S-8 ACCREDO HEALTH INC, 1640 CENTURY CENTER PARKWAY, SUITE 101, MEMPHIS, TN, 38134, 9013853688 - 0 ($84,540,000.00) Equity, (File 333-122067 - Jan. 14) (BR. 01) S-3 DIGITAL RIVER INC /DE, 9625 W 76TH STREET SUITE 150, EDEN PRAIRIE, MN, 55344, 9522531234 - 0 ($200,000,000.00) Other, (File 333-122068 - Jan. 14) (BR. 03) S-4 DIGITAL RIVER INC /DE, 9625 W 76TH STREET SUITE 150, EDEN PRAIRIE, MN, 55344, 9522531234 - 0 ($50,053,600.00) Equity, (File 333-122069 - Jan. 14) (BR. 03) S-8 CREE INC, 4600 SILICON DR, DURHAM, NC, 27703, 9193135300 - 5,358,777 ($177,536,282.01) Equity, (File 333-122072 - Jan. 14) (BR. 36) S-8 CREE INC, 4600 SILICON DR, DURHAM, NC, 27703, 9193135300 - 1,901,023 ($62,980,891.99) Equity, (File 333-122073 - Jan. 14) (BR. 36) S-3 MACE SECURITY INTERNATIONAL INC, 1000 CROWFORD PLACE, SUITE 400, MOUNT LAUREL, NJ, 08054, 8567782300 - 1,200,000 ($4,524,000.00) Equity, (File 333-122074 - Jan. 14) (BR. 06) SB-2 SENSE HOLDINGS INC, 7300 W MCNAB ROAD, SUNRISETAMARAC, FL, 33321, 9547471422 - 1,250,000 ($225,000.00) Equity, (File 333-122077 - Jan. 14) (BR. 06) S-3 EXELIXIS INC, 6508252200 - 0 ($21,846,814.00) Equity, (File 333-122079 - Jan. 14) (BR. 01) SB-2 CA Networks, Inc., 111 S. MULBERRY ST. #201, ELIZABETHTOWN, KY, 42701, 270-769-0070 - 30,000,000 ($3,000,000.00) Equity, (File 333-122080 - Jan. 14) (BR. ) S-8 EP MEDSYSTEMS INC, 100 STIERLI COURT, SUITE 107, MOUNT ARLINGTON, NJ, 07856, 9733982800 - 1,000,000 ($2,780,875.00) Equity, (File 333-122081 - Jan. 14) (BR. 36) S-3 EP MEDSYSTEMS INC, 100 STIERLI COURT, SUITE 107, MOUNT ARLINGTON, NJ, 07856, 9733982800 - 1,500,000 ($5,227,500.00) Equity, (File 333-122082 - Jan. 14) (BR. 36) S-3 CARAUSTAR INDUSTRIES INC, 3100 JOE JERKINS BLVD, AUSTELL, GA, 30106, 7709483101 - 0 ($325,000,000.00) Equity, (File 333-122084 - Jan. 14) (BR. 04) S-8 GoRemote Internet Communications, Inc., 1421 MCCARTHY BLVD., MILPITAS, CA, 95035, 4089551920 - 0 ($4,226,690.00) Equity, (File 333-122085 - Jan. 14) (BR. 03) 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 ------------------------------------------------------------------------------------------------ 5 G WIRELESS COMMUNICATIONS INC NV 3.02 01/10/05 A.C. Moore Arts & Crafts, Inc. PA 1.01 01/10/05 AASTROM BIOSCIENCES INC MI 8.01 01/12/05 AB HOLDING GROUP, INC. DE 4.01 01/12/05 ACADIA PHARMACEUTICALS INC DE 1.01,3.02,9.01 01/10/05 ACCESS ANYTIME BANCORP INC DE 2.01,9.01 11/01/04 AMEND ACCURIDE CORP DE 7.01,9.01 01/13/05 ADSOUTH PARTNERS, INC. NV 1.01,7.01,9.01 01/13/05 ALABAMA GAS CORP AL 1.01,7.01,9.01 01/11/05 ALCOA INC PA 1.01,2.02,9.01 01/10/05 ALEXANDRIA HOLDINGS INC NV 5.02 01/14/05 ALLERGAN INC DE 1.01,9.01 01/14/05 ALLIANCE PHARMACEUTICAL CORP NY 1.01,9.01 01/12/05 ALLSTATE LIFE INSURANCE CO OF NEW YOR 1.01 01/11/05 ALPHA TECHNOLOGIES GROUP INC DE 3.01 01/13/05 AMEDIA NETWORKS, INC. DE 1.01,9.01 01/14/05 AMEND AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01,9.01 01/13/05 AMERICAN COMMUNITY PROPERTIES TRUST MD 9.01 10/29/04 AMEND AMERICAN EXPRESS CO NY 7.01 01/14/05 AMERICAN SCIENCE & ENGINEERING INC MA 2.01,9.01 01/11/05 AMERICAN WAGERING INC NV 1.03 01/05/05 AMERICAN WAGERING INC NV 1.01 01/12/05 AMERICHIP INTERNATIONAL INC 8.01,9.01 01/12/05 ANALOGIC CORP MA 2.02,4.02,9.01 01/14/05 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 01/14/05 ARBIOS SYSTEMS INC NV 1.01,3.02 01/11/05 ARBOR REALTY TRUST INC MD 8.01,9.01 01/13/05 ARMOR HOLDINGS INC DE 1.01 01/01/05 ARRIS GROUP INC DE 2.02,7.01,9.01 01/13/05 ARTEMIS INTERNATIONAL SOLUTIONS CORP DE 1.01,1.02,9.01 01/11/05 ASCENDANT SOLUTIONS INC DE 1.01,2.01 01/10/05 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 01/13/05 ASPEN TECHNOLOGY INC /DE/ DE 3.01 01/10/05 Asset Backed Pass-Through Certificate DE 8.01,9.01 01/14/05 ATA HOLDINGS CORP IN 5.02,9.01 01/10/05 ATC HEALTHCARE INC /DE/ DE 7.01,9.01 01/14/05 ATWOOD OCEANICS INC TX 8.01,9.01 01/14/05 AUTOBYTEL INC DE 3.01 01/12/05 AVALON DIGITAL MARKETING SYSTEMS INC NV 1.01,1.03,5.03,9.01 11/03/04 BAB INC DE 8.01 01/14/05 BAKER HUGHES INC DE 7.01,9.01 01/14/05 BASSETT FURNITURE INDUSTRIES INC VA 2.02 01/10/05 BB&T CORP NC 2.02,9.01 01/14/05 BEACON ROOFING SUPPLY INC 5.02,9.01 01/14/05 Bear Stearns ARM Trust 2004-12 DE 9.01 12/30/04 Bear Stearns BSALTA 2004-13 DE 8.01,9.01 12/30/04 BILL BARRETT CORP 5.02,7.01,9.01 01/10/05 BioMed Realty Trust Inc MD 1.01,5.02,9.01 01/10/05 BJs RESTAURANTS INC CA 7.01,9.01 01/13/05 BLACKBOARD INC DE 2.02,9.01 01/12/05 BLACKSTOCKS DEVELOPMENT CORP DE 9.01 01/14/05 BLACKSTOCKS DEVELOPMENT CORP DE 4.02 06/30/03 AMEND BLUE VALLEY BAN CORP KS 2.02,7.01,9.01 01/14/05 BUCA INC /MN MN 5.02 12/02/04 AMEND C-CHIP TECHNOLOGIES CORP NV 7.01,9.01 01/13/05 CABCO TRUST FOR BELLSOUTH DEBENTURES DE 8.01,9.01 12/17/04 CABG MEDICAL INC 8.01,9.01 01/14/05 CAL BAY INTERNATIONAL INC NV 2.01,5.02,8.01,9.01 01/10/05 CALCASIEU REAL ESTATE & OIL CO INC LA 8.01 01/13/05 CALYPSO WIRELESS INC DE 1.01,5.02,9.01 12/23/04 CANYON RESOURCES CORP DE 5.02,9.01 01/11/05 CAPE COASTAL TRADING CORP NY 1.01 01/13/05 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 01/11/05 CASCADE NATURAL GAS CORP WA 1.01,5.02,9.01 01/10/05 CASEYS GENERAL STORES INC IA 7.01 01/14/05 CASH 4 HOMES 247 8.01 01/14/05 CCC INFORMATION SERVICES GROUP INC DE 5.02,9.01 01/14/05 CDMI PRODUCTIONS INC NY 5.02,5.03,9.01 01/10/05 CENTENE CORP 1.01 01/10/05 CERIDIAN CORP /DE/ DE 1.01 01/14/05 CHAMPION INDUSTRIES INC WV 2.02 01/14/05 CHARTWELL INTERNATIONAL INC CO 3.02,8.01 01/03/05 CHASE CORP MA 1.01,9.01 01/10/05 CHASE CORP MA 2.02,9.01 01/13/05 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 7.01 01/13/05 CHINA DIRECT TRADING CORP FL 7.01,9.01 01/13/05 CIRMAKER TECHNOLOGY CORP NV 4.01,9.01 01/14/05 CITIGROUP INC DE 1.01,9.01 01/14/05 Citigroup Mortgage Loan Trust Inc. Se 2.01,9.01 12/29/04 CMS ENERGY CORP MI 8.01 01/14/05 CNE GROUP INC DE 5.02,8.01 01/14/05 CNL INCOME PROPERTIES INC MD 1.01,8.01,9.01 01/14/05 COHEN & STEERS INC 1.01 01/12/05 Collegiate Funding Services Education DE 8.01,9.01 12/31/04 COLLEGIATE PACIFIC INC DE 2.02,9.01 01/14/05 COLONY BANKCORP INC GA 2.02,7.01,9.01 01/14/05 COMMERCE BANCSHARES INC /MO/ MO 2.02 01/13/05 COMMUNITY BANCORP /VT VT 8.01 01/14/05 Comtech Group Inc MD 5.03,9.01 01/14/05 CONCEPTUS INC DE 2.02,8.01,9.01 01/13/05 CONCORDE CAREER COLLEGES INC DE 2.02,9.01 01/14/05 CONSOLIDATED ENERGY INC WY 2.03,3.02,7.01,9.01 12/13/04 CONSTELLATION BRANDS, INC. DE 2.05 01/10/05 CONVERGYS CORP OH 5.02 01/13/05 COORS ADOLPH CO CO 1.01,9.01 01/13/05 CORGENIX MEDICAL CORP/CO NV 1.02 01/14/05 COSI INC DE 2.02,9.01 01/13/05 COVENTRY HEALTH CARE INC DE 7.01,9.01 01/14/05 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 01/14/05 CREDO PETROLEUM CORP CO 2.02 01/11/05 CRT PROPERTIES INC FL 1.01,9.01 01/13/05 CSP INC /MA/ MA 2.02,9.01 09/30/04 CUBIC ENERGY INC TX 3.02 01/11/05 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 12/30/04 CWABS INC ASSET BACKED CERTIFICATES S DE 8.01,9.01 12/30/04 CWALT INC 8.01,9.01 12/30/04 CWMBS INC DE 8.01,9.01 12/23/04 CWMBS INC DE 8.01,9.01 11/30/04 CWMBS INC DE 8.01,9.01 01/12/05 CYCLE COUNTRY ACCESSORIES CORP NV 8.01,9.01 01/11/05 DATAWATCH CORP DE 1.01,5.02,9.01 01/10/05 DEL LABORATORIES INC DE 7.01,9.01 01/14/05 DIGENE CORP DE 8.01 01/05/05 DIGITAL COLOR PRINT INC DE 4.01 11/05/04 DISCOVER CARD MASTER TRUST I DE 8.01,9.01 01/13/04 DISTRIBUTED ENERGY SYSTEMS CORP DE 1.01,9.01 09/21/04 Douglas Lake Minerals Inc. 3.02,9.01 12/22/04 AMEND DreamWorks Animation SKG, Inc. DE 1.01 01/13/05 DYADIC INTERNATIONAL INC 1.01,5.02,9.01 01/10/05 EFUNDS CORP DE 1.01 01/11/05 EL PASO CORP/DE DE 2.01,9.01 01/14/05 EMPIRE RESORTS INC DE 9.01 01/11/05 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 01/13/05 ENTERASYS NETWORKS INC /DE/ DE 2.05,9.01 01/14/05 ENTERTAINMENT PROPERTIES TRUST MD 5.03,8.01,9.01 01/11/05 EPIX Pharmaceuticals, Inc. 8.01,9.01 01/14/05 EVANS & SUTHERLAND COMPUTER CORP UT 1.01,2.03 12/14/04 EVERGREEN SOLAR INC DE 1.01,2.02,7.01,9.01 01/14/05 EYETECH PHARMACEUTICALS INC DE 1.01 01/13/05 FARMER BROTHERS CO CA 8.01 01/14/05 FFLC BANCORP INC DE 2.02 01/14/05 FINDWHAT COM INC NV 1.01 01/10/05 FIRST CAPITAL BANCORP, INC. 7.01 01/14/05 FIRST CHARTER CORP /NC/ NC 2.02,9.01 01/13/05 FIRST REGIONAL BANCORP CA 2.02,9.01 01/13/05 FUELCELL ENERGY INC DE 2.02 12/13/04 AMEND GARDENBURGER INC OR 8.01,9.01 01/13/05 GENERAL EMPLOYMENT ENTERPRISES INC IL 2.03 01/12/05 GENERAL MOTORS ACCEPTANCE CORP DE 7.01,9.01 01/13/05 GENERAL MOTORS CORP DE 7.01,9.01 01/13/05 GEORGIA POWER CO GA 1.01 01/10/05 GERON CORPORATION DE 1.01 01/14/05 GIGABEAM CORP DE 1.01,5.02 01/10/05 GMACM Mortgage Pass-Through Certifica DE 8.01,9.01 01/14/05 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02 01/14/05 GRAFTECH INTERNATIONAL LTD DE 7.01,9.01 01/13/05 HARLEYSVILLE GROUP INC DE 1.01,9.01 01/10/05 HAWAIIAN HOLDINGS INC DE 4.01,8.01 01/13/05 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01 01/13/05 HEALTH & NUTRITION SYSTEMS INTERNATIO FL 1.03,9.01 01/10/05 HEINZ H J CO PA 5.02 01/14/05 HEINZ HJ FINANCE CO DE 5.02 01/13/05 HELM CAPITAL GROUP INC DE 1.01,9.01 12/31/04 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 01/10/04 HEPALIFE TECHNOLOGIES INC FL 7.01,9.01 01/10/04 HOME INTERIORS & GIFTS INC TX 5.02 01/11/05 HORIZON BANCORP /IN/ IN 5.02 01/11/05 HOST AMERICA CORP DE 7.01,9.01 01/13/05 HUBEI PHARMACEUTICAL GROUP LTD NV 5.03,8.01 01/06/05 HUTTIG BUILDING PRODUCTS INC DE 1.01,2.01,2.02,9.01 01/10/05 ICOP DIGITAL, INC CO 7.01,9.01 01/13/05 ICOS CORP / DE DE 5.02 01/13/05 IDACORP INC ID 5.02 01/11/05 IMAGEWARE SYSTEMS INC CA 5.02 01/12/05 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 2.01,8.01,9.01 12/30/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 9.01 01/14/05 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 2.01,9.01 12/30/04 IMMUNICON CORP 7.01,9.01 01/14/05 IMPAC SECURED ASSETS CORP MORTGAGE PA CA 9.01 12/31/04 INDYMAC MBS INC 8.01,9.01 12/09/04 INFINITY INC CO 1.01,1.02,2.03,3.02,9.01 01/13/05 INFINITY INC CO 1.02,8.01 01/07/05 INFINIUM LABS INC DE 1.01,3.02,9.01 01/06/05 INGRAM MICRO INC DE 7.01,9.01 01/14/05 INLAND FIBER GROUP LLC DE 2.04 01/13/05 INPUT OUTPUT INC DE 7.01 01/13/05 INSIGHT HEALTH SERVICES HOLDINGS CORP 1.01,5.02,9.01 01/10/05 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01,9.01 01/14/05 Interactive Brand Development Inc. DE 3.01 01/10/05 INTERFACE INC GA 1.01 01/10/05 INTERMET CORP GA 7.01,9.01 01/14/05 INTERWEST MEDICAL CORP OK 3.02,8.01 01/14/05 INTREPID TECHNOLOGY & RESOURCE INC ID 5.02 01/14/05 INVISA INC 5.02,9.01 01/10/05 IPAYMENT INC DE 7.01,9.01 01/13/05 ISA INTERNATIONALE INC DE 1.01 12/31/04 ISCO INTERNATIONAL INC DE 2.03 01/10/05 ISLAND PACIFIC INC DE 5.02 01/10/05 ITRONICS INC TX 2.02 01/11/05 JEFFERSONVILLE BANCORP NY 5.02 09/14/04 KENNAMETAL INC PA 5.02,7.01,9.01 01/11/05 KENTUCKY INVESTORS INC KY 1.01 01/13/05 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 7.01,9.01 01/10/05 KULICKE & SOFFA INDUSTRIES INC PA 2.05 01/12/05 LABORATORY CORP OF AMERICA HOLDINGS DE 1.01 01/13/05 LAKES ENTERTAINMENT INC MN 7.01,9.01 01/14/05 LEAP WIRELESS INTERNATIONAL INC DE 1.01,2.03,9.01 01/10/05 LEAP WIRELESS INTERNATIONAL INC DE 5.02,9.01 01/10/05 LECROY CORP DE 9.01 10/29/04 AMEND LEVI STRAUSS & CO DE 8.01,9.01 01/13/05 LIFEWAY FOODS INC IL 8.01,9.01 01/13/05 LIN TV CORP DE 8.01,9.01 01/14/05 LIVESTAR ENTERTAINMENT GROUP INC NV 3.02 01/06/05 LOGICVISION INC DE 9.01 11/05/04 AMEND LUXEMBURG BANCSHARES INC WI 1.01,9.01 01/11/05 MAC-GRAY CORP DE 1.01,1.02,2.01,2.03,7.01,9.01 01/10/05 MACK CALI REALTY CORP MD 1.01,9.01 01/12/05 MACK CALI REALTY L P DE 1.01,9.01 01/12/05 MANAKOA SERVICES CORP NV 2.01,9.01 08/04/04 AMEND MARATHON OIL CORP DE 2.02,7.01,9.01 01/13/05 MARSHALL & ILSLEY CORP/WI/ WI 1.01,1.02,9.01 01/12/05 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,9.01 01/14/05 MASSBANK CORP DE 8.01,9.01 01/14/05 MAVERICK TUBE CORPORATION DE 1.01,5.02,9.01 01/14/05 MAXIM PHARMACEUTICALS INC DE 5.02 01/11/05 MAY DEPARTMENT STORES CO DE 5.02,9.01 01/14/05 MBT FINANCIAL CORP MI 7.01,9.01 01/13/05 MEASUREMENT SPECIALTIES INC NJ 8.01,9.01 01/13/05 MEDAREX INC NJ 8.01,9.01 01/14/05 MEDICAL MAKEOVER CORP OF AMERICA DE 4.01,9.01 12/23/04 AMEND MEDICAL STAFFING SOLUTIONS INC NV 3.02 01/12/05 MEDICALCV INC MN 1.01,3.02,9.01 01/13/05 MEDICIS PHARMACEUTICAL CORP DE 1.01,8.01,9.01 01/12/05 MEDITECH PHARMACEUTICALS INC NV 3.02,9.01 01/12/05 MERCANTILE BANKSHARES CORP MD 1.01,5.02,9.01 01/11/04 METRIS RECEIVABLES INC DE 8.01,9.01 12/31/04 MEXCO ENERGY CORP CO 8.01,9.01 01/14/05 MICRON ENVIRO SYSTEMS INC NV 8.01 01/14/05 MIDWEST AIR GROUP INC WI 2.02,9.01 01/11/05 MITEK SYSTEMS INC DE 4.02,9.01 01/13/05 MONRO MUFFLER BRAKE INC NY 3.02,9.01 01/11/05 MortgageIT Securities Corp. DE 2.01,9.01 11/30/04 MOSAIC CO 7.01,9.01 01/14/05 MOTOROLA INC DE 5.02,9.01 01/11/05 Mueller Water Products, Inc. DE 8.01,9.01 01/14/05 MULTIBAND CORP MN 3.02 01/10/05 NAVARRE CORP /MN/ MN 2.03,9.01 01/10/05 NEIMAN MARCUS GROUP INC DE 8.01 01/14/05 NETWORK ENGINES INC DE 1.01 01/11/05 Nissan Auto Receivables 2005-A Owner 8.01,9.01 01/13/05 NORTEL NETWORKS CORP 1.01,9.01 01/14/05 NORTEL NETWORKS LTD 1.01,9.01 01/14/05 NORTHWESTERN CORP DE 7.01,9.01 01/11/05 NOVELL INC DE 4.01 01/12/05 NUVELO INC DE 1.01 01/11/05 OCEAN BIO CHEM INC FL 4.01 01/14/05 AMEND OFFICEMAX INC DE 2.02,7.01,9.01 01/13/05 OHIO CASUALTY CORP OH 1.01,5.02,9.01 11/02/04 OHIO VALLEY BANC CORP OH 2.02,9.01 12/31/04 Onstream Media CORP FL 8.01,9.01 01/13/05 OPTA CORP DE 2.02,9.01 01/14/05 OPTICAL COMMUNICATION PRODUCTS INC DE 5.02,9.01 01/13/05 OPTION ONE MORTGAGE ACCEPTANCE CORP DE 9.01 01/13/05 OSPREY GOLD CORP NV 4.02,8.01 01/14/05 OXFORD INDUSTRIES INC GA 1.01,9.01 01/10/05 PARAMCO FINANCIAL GROUP INC NV 4.01 01/10/05 AMEND PETCO ANIMAL SUPPLIES INC DE 1.01,2.01,5.03,8.01,9.01 01/13/05 PETCO ANIMAL SUPPLIES INC DE 1.01,2.03,9.01 01/13/05 PHH CORP MD 2.04,9.01 01/14/05 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 01/10/04 PINNACLE ENTERTAINMENT INC DE 2.04,8.01,9.01 01/12/05 PIONEER NATURAL RESOURCES CO DE 7.01,9.01 01/12/05 PLAINS EXPLORATION & PRODUCTION CO DE 2.02 01/14/05 PNM RESOURCES INC NM 7.01 12/31/04 POPULAR ABS, INC. DE 8.01,9.01 01/12/05 PORTAGE PARTNERS LTD 5.01 01/03/05 POTOMAC BANCSHARES INC WV 2.02 01/14/05 POWER TECHNOLOGY INC/CN NV 1.01,9.01 01/06/05 PREMIER COMMUNITY BANKSHARES INC VA 2.02,9.01 01/12/05 Prescient Applied Intelligence, Inc. DE 5.02 01/11/05 PRICESMART INC DE 2.02,9.01 01/10/05 PRINCIPAL LIFE INSURANCE CO IA 9.01 01/14/05 PRIVATE BUSINESS INC TN 5.02,9.01 01/12/05 PROGENICS PHARMACEUTICALS INC DE 1.01,9.01 01/10/05 PROGENICS PHARMACEUTICALS INC DE 1.01 10/01/04 PROGINET CORP DE 1.01,2.01,2.03,9.01 01/10/05 PROTEIN DESIGN LABS INC/DE DE 7.01,9.01 01/12/05 PROVIDIAN FINANCIAL CORP DE 8.01 12/31/04 PUBLIC CO MANAGEMENT CORP NV 8.01,9.01 01/14/05 PUBLIC SERVICE CO OF NEW MEXICO NM 7.01 12/31/04 PULASKI FINANCIAL CORP DE 7.01,9.01 01/14/05 PYR ENERGY CORP DE 8.01,9.01 01/12/05 QUANEX CORP DE 7.01 01/14/05 RADALE IMPORTS INC 4.01,9.01 12/01/04 RAMP CORP DE 1.01,2.03,3.02,9.01 01/12/05 RAYOVAC CORP WI 7.01,8.01,9.01 01/11/05 RENAISSANCERE HOLDINGS LTD 8.01 01/12/05 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 01/14/05 RESOURCES CONNECTION INC DE 8.01 01/10/05 REWARDS NETWORK INC DE 2.02,9.01 01/14/05 RFMSI Series 2004-S9 Trust DE 8.01,9.01 01/14/05 ROBOTIC VISION SYSTEMS INC DE 8.01 01/13/05 SEPRACOR INC /DE/ DE 1.01,8.01 01/10/05 SEQUA CORP /DE/ DE 2.06 01/14/05 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 01/14/05 SHOPSMITH INC OH 2.04,9.01 01/10/05 SIGHT RESOURCE CORP DE 1.01,9.01 12/31/04 SILICON GRAPHICS INC DE 1.01,1.02,9.01 01/10/05 SITI-SITES COM INC DE 2.01 01/13/05 SIZELER PROPERTY INVESTORS INC DE 1.01,5.02,9.01 01/11/05 SKREEM ENTERTAINMENT CORP DE 4.01,9.01 01/07/05 AMEND SLADES FERRY BANCORP MA 1.01,9.01 01/10/05 SMUCKER J M CO OH 1.01,9.01 01/13/05 SOLA INTERNATIONAL INC DE 8.01,9.01 01/14/05 SOUTHERN CALIFORNIA EDISON CO CA 5.03,9.01 01/12/04 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 01/11/05 SPECTRUM CONTROL INC PA 7.01 01/10/05 ST JUDE MEDICAL INC MN 8.01,9.01 01/13/05 STATE AUTO FINANCIAL CORP OH 1.01 01/12/05 STATION CASINOS INC NV 8.01 01/14/05 STEELCLOUD INC VA 2.02,9.01 01/13/04 STELLAR TECHNOLOGIES, INC. CO 7.01,9.01 01/13/05 STERLING CONSTRUCTION CO INC DE 8.01 01/14/05 STOCKERYALE INC MA 1.01,3.02,9.01 12/07/04 AMEND STRATTEC SECURITY CORP WI 2.02,9.01 01/13/05 STRATUS SERVICES GROUP INC DE 2.02,9.01 01/13/05 Structured Adjustable Rate Mortgage L DE 8.01,9.01 12/30/04 Structured Adjustable Rate Mortgage L DE 8.01,9.01 12/30/04 Structured Asset Investment Loan Trus DE 8.01 12/30/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE 8.01,9.01 01/12/05 SUN HYDRAULICS CORP FL 3.02,9.01 01/10/05 SUNSET FINANCIAL RESOURCES INC 5.02,9.01 01/11/05 TALK AMERICA HOLDINGS INC DE 2.02,7.01,9.01 01/13/05 TEDA TRAVEL GROUP INC DE 1.01,9.01 01/14/05 TERRA BLOCK INTERNATIONAL NV 5.02,9.01 01/14/05 TERWIN MORTGAGE TRUST, SERIES TMTS 20 DE 2.01,9.01 12/30/04 TESORO CORP /NEW/ DE 2.02,9.01 01/14/05 TGT PIPELINE LLC DE 1.01,9.01 01/14/05 TIPPINGPOINT TECHNOLOGIES INC DE 8.01,9.01 01/13/05 TOTAL IDENTITY CORP FL 8.01 01/13/05 TRANSTECHNOLOGY CORP DE 2.02,9.01 01/12/05 TRINITY LEARNING CORP UT 3.02 01/07/05 TRIZETTO GROUP INC DE 2.02,9.01 01/14/05 TSR INC DE 5.02 01/14/05 U S GOLD CORP CO 7.01,9.01 01/14/05 UMB FINANCIAL CORP MO 1.01 01/10/05 UNION PACIFIC CORP UT 7.01,9.01 01/13/05 UNION PACIFIC RAILROAD CO/DE DE 7.01,9.01 01/13/05 UNITED INDUSTRIES CORP DE 1.01,9.01 01/10/05 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02 01/12/05 UTSTARCOM INC DE 8.01 11/01/04 AMEND VAIL RESORTS INC DE 7.01 01/11/05 VALSPAR CORP DE 1.01,5.02,7.01,9.01 01/14/05 VALUEVISION MEDIA INC MN 9.01 01/14/05 VINEYARD NATIONAL BANCORP CA 5.02,9.01 01/14/05 VIPER NETWORKS INC UT 4.01,7.01,9.01 08/31/04 AMEND VITRIA TECHNOLOGY INC DE 2.02,9.01 01/14/05 VOLT INFORMATION SCIENCES, INC. NY 4.02 01/10/05 W R GRACE & CO DE 7.01 01/13/05 Wachovia Bank Commercial Mortgage Tru NC 8.01,9.01 01/14/05 WACHOVIA CORP NEW NC 2.02,9.01 01/14/05 WASHINGTON MUTUAL INC WA 1.01,9.01 01/10/05 WASHINGTON MUTUAL MORTGAGE SECURITIES DE 9.01 01/12/05 WEBSIDESTORY INC CA 2.02,9.01 01/12/05 WELLPOINT INC IN 5.02 01/14/05 WFS RECEIVABLES CORP 3 CA 8.01,9.01 01/12/05 WILEY JOHN & SONS INC NY 1.01 01/14/05 WORKSTREAM INC 2.02,9.01 01/14/05 WORLD FUEL SERVICES CORP FL 7.01,9.01 01/14/05 XENOGEN CORP DE 5.02 01/13/05 ZORAN CORP \DE\ DE 2.02,9.01 01/12/05