SEC NEWS DIGEST Issue 2004-59 March 26, 2004 COMMISSION ANNOUNCEMENTS COMMISSION INVESTOR EDUCATION PLAN APPROVED; INVESTOR EDUCATION ORGANIZATION LEADERS NAMED On March 25, the Commission announced that the Honorable William H. Pauley III, U.S. District Judge for the Southern District of New York, has approved the Commission's Investor Education Plan, which calls for an unprecedented initiative to fund investor education programs nationwide. The Commission proposed its Plan in connection with the $1.4 billion global settlement of the SEC enforcement actions against ten of the nation's top investment firms and two individuals alleging undue influence of investment banking interests on securities research at brokerage firms (the Global Settlement). Under the Commission's plan, a non-profit organization will be created and funded with $52.5 million over five years from funds that seven of the firms that participated in the Global Settlement agreed to pay as part of the settlement with the SEC, the NASD, and the New York Stock Exchange. The organization is designed to equip Americans with the knowledge and skills necessary to make informed investment decisions. The Judge's Order notes that the entity "will benefit the entire nation at a time when increasing numbers of American households are investing in the equity markets." In separate Orders issued earlier this week, the Court appointed Charles D. Ellis as the Chairman of the Board and George G. Daly as the Executive Director of the new organization. "This new effort will greatly help American families achieve financial security and protect them from financial abuse," said SEC Chairman William H. Donaldson. "Charley and George are absolutely the right people for this important job. I'm confident that under their leadership, the new Investor Education Entity will become a national treasure that will benefit investors for years to come." Ellis is a Senior Advisor and a Director of Greenwich Associates, an international business strategy firm he founded in 1972 and is also currently associated with a group called "Partners of 63," a pro bono organization established by members of Harvard Business School's class of 1963 to promote worthy educational initiatives. He is also the author of a number of books, including "Winning the Loser's Game, Timeless Strategies for Successful Investing." Daly is the Albert Fingerhut Professor of Business Administration at the Stern School of Business of New York University and was the Dean of the Stern School from 1993 to 2002. Ellis will oversee a 5-7 person board which will make all decisions as to the recipients of the investor education money. The Board will seek and consider grant proposals for projects such as grass-roots and community based education, work place investor education initiatives, academic research into techniques or programs most likely to be successful, and programs to educate American investors about how to avoid fraudulent investments. Under the Judge's prior Order of Oct. 31, 2003, the Court had ordered that $52.5 million of the settlement funds would be paid over a period of five years into a new investor education entity. The entity will be organized as a tax-exempt organization and structured so that it can receive additional funds in the future from sources other than the investor education funds paid by the investment bank defendants. (Press Rel. 2004-40) RULES AND RELATED MATTERS THE SEC AND CFTC ISSUE JOINT ORDER RELATING TO VOLATILITY INDEXES The Commission and the Commodity Futures Trading Commission issued a joint order excluding certain security indexes from the definition of "narrow-based security index" pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934. Under the terms of the joint order, security indexes comprised of series of options on broad-based security indexes that meet certain conditions are considered broad-based security indexes. The order is effective March 25, 2004. FOR FURTHER INFORMATION CONTACT: Leah Mesfin, Attorney, Office of Markets, Division of Market Regulation, at (202) 942-0196. (Rel. 34- 49469) ENFORCEMENT PROCEEDINGS COSIMO TACOPINO BARRED FROM ASSOCIATION WITH ANY BROKER-DEALER On March 26, the Commission instituted and simultaneously settled public administrative proceedings against Cosimo Tacopino (Tacopino), a resident of New York. Without admitting or denying the Commission's findings, Tacopino consented to the Commission's Order. The Order found that on Feb. 18, 2004, Tacopino was permanently enjoined from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, in the district court action SEC v. Cavanagh, et al., Action Number 98 Civ.1818 (DLC) (S.D.N.Y.). The complaint in the district court action alleged that Tacopino, and other defendants, artificially inflated the price of Electro-Optical Systems Corporation (Electro-Optical) common stock, through, among other things, material misstatements, and sold in an illegal distribution to unsuspecting investors, at the manipulated price of $5 per share and above, restricted Electro-Optical common stock that the defendants had acquired for pennies per share, for total proceeds conservatively estimated at $10 million. Based on the injunction entered against him, the Commission ordered that Tacopino be barred from association with any broker or dealer. (Rel. 34-49484; File No. 3-11440) IN THE MATTER OF THOMAS BROOKS On March 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Thomas G. Brooks based upon the order of permanent injunction previously entered against him in United States Securities and Exchange Commission v. Thomas G. Brooks (Civil Action No. CV 03-3319 AJB). Brooks consented to the entry of a permanent injunction in that matter and neither admitted nor denied the findings, except as to the Commission's jurisdiction over him and this matter and his failure to collect marks owed to MJK Clearing, Inc. (MJK) from stock loan transactions with Native Nations, Inc. Brooks also consented to the entry of the Order which bars him from association with any broker or dealer. The Order finds that from 1993 through Oct. 3, 2001, Brooks was a registered representative for MJK, a broker-dealer then registered with the Commission. The Order further finds that on December 23, 2003, the United States District Court for the District of Minnesota entered an Order of Permanent Injunction against Brooks, pursuant to his consent and without Brooks admitting or denying the allegations in the Commission's Complaint, enjoining him from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b), 15(c)(3) and 17(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 15c3-3, 17a-3 and 17a-5 thereunder. The Commission's Complaint alleges that from July 2001 through September 2001, Brooks, a resident of Eden Prairie, Minnesota, failed to collect millions of dollars in marks for stock loan transactions involving securities borrowed from Native Nations, Inc. and owed to MJK Clearing, Inc. (MJK), which was a subsidiary of Stockwalk, Inc. The Commission further alleges that Brooks aided and abetted MJK's violations of the customer reserve requirements and record-keeping provisions during this same time period. According to the Complaint, Brooks falsified two stock loan reports which were used by MJK's accounting department to incorrectly compute MJK's customer reserve deposit. The false information was subsequently incorporated into MJK's FOCUS reports which Brooks subsequently provided to broker-dealers doing business with the SL Department. (Rel. 34-49485; File No. 3-11441) [SEC v. Thomas G. Brooks, U.S. District Court for the District of Minnesota, Civil Action No. CV 03-3319 AJB (D. Minn.)] (LR-18641) SECURITIES AND EXCHANGE COMMISSION v. WILLIAM H. BORDERS II The Commission announced that on March 5, following a five-day trial, a jury in Bowling Green, Kentucky returned a verdict in favor of the defendant, William H. Borders II. The Commission had charged that Mr. Borders, 41, had engaged in insider trading in violation of the federal securities laws, specifically Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. During the relevant time period, Borders was a stockbroker employed by brokerage firm Morgan Keegan & Co., Inc. in its Bowling Green, Kentucky branch office. This action was filed on March 14, 2000, against Mr. Borders and eighteen other defendants in the U.S. District Court for the Southern District of New York as SEC v. John Freeman, et al., No. 00 Civ. 1963 (VM). Criminal charges were filed on the same day by the United States Attorney for the Southern District of New York against these defendants for the same conduct. Each of the other eighteen defendants was convicted of insider trading by guilty plea or following a criminal trial. Criminal charges against Borders were dismissed, and the SEC's claims against Borders were severed and transferred to the federal district court in Bowling Green, Kentucky for trial. The SEC's claims against the other eighteen defendants have all been resolved. The Commission alleged that from 1997 through January 2000, Mr. Borders and others engaged in a widespread insider trading scheme that produced over $8 million in illegal profits from trading in the securities of 23 public companies. The Commission alleged that John Freeman, a temporary word-processing employee at Goldman Sachs & Co., Inc. and later Credit Suisse First Boston, tipped a number of defendants about merger and acquisition transactions involving clients of those investment banking firms. The Complaint further alleged that Borders participated in and profited from the scheme through a chain of tipping and trading that originated with Freeman and ultimately led to Morgan Keegan's Bowling Green branch office. For additional information, see: Securities and Exchange Commission v. John Freeman, James Cooper, Benton Erskine, Anthony Seminara, Norman Lehrman, Linda Karlsen, Timothy Siemers, Norman Grossman, Lawrence Schwartz, Michael Akva, Robert Fricker, Richard Zelman, Bradley Burke, Benjamin Cooper, Chad L. Conner, Deon Benson, Gordon K. Allen, Jr., Jon Geibel, and William H. Borders II, 00 Civ. 1963 (Southern District of New York), Litigation Release No. 18193 (June 18, 2003). See also: LR- 16469 (March 14, 2000); LR-17267 (Dec. 12, 2001); LR-17501 (May 2, 2002); LR-17912 (Jan. 2, 2003); LR-18149 (May 20, 2003); LR-18175 (June 5, 2003); LR-18502 (Dec. 12, 2003). [SEC v. William H. Borders II, 1:03 CV-134-R, USDC WDKY] (LR-18640) INVESTMENT COMPANY ACT RELEASES DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of March, 2004, a notice has been issued giving interested persons until April 20, 2004, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Emigrant Securities Corp. [File No. 811-9559] Advantus Money Market Fund, Inc. [File No. 811-4141] Advantus Horizon Fund, Inc. [File No. 811-4142] Advantus Index 500 Fund, Inc. [File No. 811-7815] Advantus Enterprise Fund, Inc. [File No. 811-8588] Advantus Mortgage Securities Fund, Inc. [File No. 811-4140] Advantus Spectrum Fund, Inc. [File No. 811-4143] Advantus Bond Fund, Inc. [File No. 811-5026] Advantus Venture Fund, Inc. [File No. 811-7817] Advantus Cornerstone Fund, Inc. [File No. 811-8586] Advantus Real Estate Securities Fund, Inc. [File No. 811-9139] Van Kampen U.S. Government Trust for Income [File No. 811-6724] Van Kampen Senior Floating Rate Fund [File No. 811-8589] PIMCO Diversified Income Fund [File No. 811-21361] Separate Account Ten of Integrity Life Insurance Co. [File No. 811- 08645] (Rel. IC-26403 - March 26) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2004-040) filed by the National Association of Securities Dealers to extend, for an additional six-month period, a pilot rule regarding waiver of California Arbitrator Disclosure Standards, 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 March 29. (Rel. 34- 49452) A proposed rule change and Amendment No. 1 thereto filed by NQLX LLC (SR- NQLX-2004-02) to amend its Rule 419 relating to block trades has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49458) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-04), which was effective upon filing, to make several technical corrections to FICC's Mortgage-Backed Securities Division's rules. Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49463) A proposed rule change (SR-PCX-2004-21) filed by the Pacific Exchange amending its schedule of fees and charges for services 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 March 29. (Rel. 34-49466) A proposed rule change (SR-Phlx-2004-17) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to equity and index option fees 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 March 29. (Rel. 34- 49467) A proposed rule change (SR-NASD-2004-037) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., revising the pilot relating to the issuance of market participant identifiers, 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 March 29. (Rel. 34-49471) PROPOSED RULE CHANGES A proposed rule change has been filed by the Chicago Board Options Exchange to amend the obvious error rule relating to "no-bid" options (SR-CBOE-2004-02). Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49462) The American Stock Exchange filed a proposed rule change and Amendments No. 1, 2, 3, 4, 5 and 6 thereto (SR-Amex-2003-89) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to implement a new options trading platform known as the Amex New Trading Environment or Ante. Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49465) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2004-11) and Amendments Nos. 1 and 2 thereto relating to a pilot program for modification of ROS on the settlement date of futures and options on Volatility Indexes has been filed by the Chicago Board Options Exchange, Inc. and has been granted accelerated approval as a pilot to run though Nov. 17, 2004. Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49468) The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2004-03) amending OCC's rules to provide for OCC's use of a "give-up service provider" that will act as an intermediary in reporting certain futures and futures option transactions to OCC and revising OCC's fee schedule to offset the costs OCC will incur in utilizing a give-up service provider. The Commission has approved the proposed rule change on an accelerated basis. Publication of the proposal is expected in the Federal Register during the week of March 29. (Rel. 34-49470) APPROVAL OF PROPOSED RULE CHANGE The Commission has approved a proposed rule change (SR-CBOE-2003-35) and Amendment Nos. 1, 2, and 3 thereto submitted by the Chicago Board Options Exchange. relating to non-aggregation treatment of trading units of member firms for position and exercise limits. (Rel. 34-49472) WITHDRAWALS GRANTED An order has been issued granting the application of Proterion Corporation to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on March 26. (Rel. 34-49479) An order has been issued granting the application of Allied Healthcare International Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on March 26. (Rel. 34-49480) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until April 19, 2004, to comment on the application of Verizon New York Inc., to withdraw its Twelve Year 6 «% Debentures (due March 1, 2005), Twelve Year 6.125% Debentures (due Jan. 15, 2010) Twenty-One Year 8 5/8% Debentures (due Nov. 15, 2010), Twenty Year 7% Debentures (due May 1, 2013), Twenty Year 7% Debentures (due June 15, 2013), Thirty Year 6.70% Debentures (due November 1, 2023), Thirty Year 7 ¬% Debentures (due Feb. 15, 2024), Thirty-Two Year 7% Debentures (due Aug. 15, 2025), and Forty Year 7% Debentures (due Dec. 1, 2033) from listing and registration on the New York Stock Exchange. (Rel. 34-49481) A notice has been issued giving interested persons until April 19, 2004, to comment on the application of Verizon New England, Inc. to withdraw its Thirty Year 6 7/8% Debentures, (due Oct. 1, 2023) and Forty Year 7 7/8% Debentures (due Nov. 15, 2029) from listing and registration on the New York Stock Exchange. (Rel. 34-49482) A notice has been issued giving interested persons until April 19, 2004, to comment on the application of Price Legacy Corporation, to withdraw its common stock, $.0001 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49483) 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-3 FINISAR CORP, 1308 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 0 ($1,290,000.00) Equity, (File 333-113916 - Mar. 25) (BR. 36) S-1 TRIMAS CORP, 2486315400 - 0 ($230,000,000.00) Equity, (File 333-113917 - Mar. 25) (BR. 06) S-8 INTERNATIONAL MICROCOMPUTER SOFTWARE INC /CA/, 75 ROWLAND WAY, NOVATO, CA, 94945, 4158784000 - 4,141,667 ($5,838,700.00) Equity, (File 333-113918 - Mar. 25) (BR. 03) S-8 CHEVIOT FINANCIAL CORP, 3723 GLENMORE AVE, CHEVIOT, OH, 45211-4711, 5136610457 - 100,000 ($1,362,500.00) Equity, (File 333-113919 - Mar. 25) (BR. 07) S-4 PRECISION CASTPARTS CORP, 4650 SW MACADAM AVE, STE 440, PORTLAND, OR, 97239, 503.417.4800 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-113920 - Mar. 25) (BR. 06) S-8 HERITAGE WORLDWIDE INC, 712 FIFTH AVE, 7TH FL, NEW YORK, NY, 85003, 212 582 3400 - 35,000 ($131,250.00) Equity, (File 333-113921 - Mar. 25) (BR. 09) S-3 CITADEL SECURITY SOFTWARE INC, 0 ($45,703,208.00) Equity, (File 333-113922 - Mar. 25) (BR. 03) S-1 ATLANTIC COAST FEDERAL CORP, 505 HAINES AVENU, WAYCROSS, GA, 31501, 9122834711 - 6,348,000 ($63,480,000.00) Equity, (File 333-113923 - Mar. 25) (BR. 07) S-4 EXCO RESOURCES INC, 12377 MERIT DR, SUITE 1700, DALLAS, TX, 75251, 2143682084 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-113924 - Mar. 25) (BR. 04) SB-2 KAHIKI FOODS INC, 3004 EAST 14TH AVE, COLUMBUS, OH, 43219, 6142533040 - 1,939,408 ($2,713,114.00) Equity, (File 333-113925 - Mar. 25) (BR. 09) S-4 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001, 5635892000 - 0 ($20,677,075.00) Equity, (File 333-113926 - Mar. 25) (BR. 07) S-8 QUEST SOFTWARE INC, 8001 IRVINE CENTER DRIVE, IRVINE, CA, 92618, 9497548000 - 0 ($4,143,952.00) Equity, (File 333-113927 - Mar. 25) (BR. 03) SB-2 NEXT INC/TN, 7625 HAMILTON PARK DRIVE, SUITE 12, CHATTANOOGA, TN, 37421, 423 296 8213 - 0 ($96,000.00) Equity, (File 333-113928 - Mar. 25) (BR. 08) S-4 VAIL RESORTS INC, 137 BENCHMARK ROAD, C/O ANACONDA TOWER, AVON, CO, 81620, 9708452950 - 0 ($390,000,000.00) Non-Convertible Debt, (File 333-113929 - Mar. 25) (BR. 05) S-3 CURAGEN CORP, 555 LONG WHARF DRIVE, 11TH FL, NEW HAVEN, CT, 06511, 2034013330 - 0 ($110,000,000.00) Other, (File 333-113930 - Mar. 25) (BR. 01) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 0 ($5,693,490.00) Equity, (File 333-113931 - Mar. 25) (BR. 07) S-8 GILAT SATELLITE NETWORKS LTD, 7037349401 - 1,500,000 ($12,855,000.00) Other, (File 333-113932 - Mar. 25) (BR. 37) S-4 PROVIDENT FINANCIAL SERVICES INC, 830 BERGEN AVENUE, JERSEY CITY, NJ, 07306, 2013331000 - 0 ($621,066,957.00) Equity, (File 333-113933 - Mar. 25) (BR. 07) S-8 INDIGENOUS GLOBAL DEVELOPMENT CORP, 100 BUSH STREET, SUITE 225, SAN FRANCISCO, CA, 94104, 415-283-4757 - 5,000,000 ($500,000.00) Equity, (File 333-113934 - Mar. 25) (BR. 08) S-3 IDENTIX INC, 4087312000 - 0 ($7,478,250.00) Equity, (File 333-113935 - Mar. 25) (BR. 03) S-8 INDIGENOUS GLOBAL DEVELOPMENT CORP, 100 BUSH STREET, SUITE 225, SAN FRANCISCO, CA, 94104, 415-283-4757 - 5,000,000 ($500,000.00) Equity, (File 333-113936 - Mar. 25) (BR. 08) S-1 FAIRPOINT COMMUNICATIONS INC, 521 EAST MOREHEAD ST, STE 250, CHARLOTTE, NC, 28202, 7043448150 - 0 ($750,000,000.00) Other, (File 333-113937 - Mar. 25) (BR. 37) S-8 CIPHERGEN BIOSYSTEMS INC, 5105052100 - 0 ($13,111,518.97) Equity, (File 333-113938 - Mar. 25) (BR. 36) F-10 CENTRAL FUND OF CANADA LTD, #805-1323 15TH AVE SW, HALLMARK ESTATES, CALGARY ALBERTA CANA, A6, T3C 0X8, 4062285861 - 0 ($100,000,005.00) Other, (File 333-113939 - Mar. 25) (BR. 07) S-8 DONINI INC, 4555 BOUL DES GRANDES PRAIRIES #30, ST LEONARD, MONTREAL QUE, H1R 1A5, 9732264600 - 2,300,000 ($23,000.00) Equity, (File 333-113940 - Mar. 25) (BR. 09) F-3 EBOOKERS PLC, 34/42 WOBURN PLACE, 44-207-757-2600, LONDON ENGLAND, X0, WC1H, 0 ($200,000,000.00) Equity, (File 333-113941 - Mar. 25) (BR. 05) S-8 CRIIMI MAE INC, 11200 ROCKVILLE PIKE, ROCKVILLE, MD, 20852, 3018162300 - 0 ($432,000.00) Equity, (File 333-113942 - Mar. 25) (BR. 08) S-8 TYCO INTERNATIONAL LTD /BER/, 90 PITTS BAY ROAD, THE ZURICH CENTRE SECOND FLOOR, PEMROKE HM 08 BERMU, D0, 4412928674 - 0 ($5,356,925,790.00) Equity, (File 333-113943 - Mar. 25) (BR. 36) N-2 COHEN & STEERS SELECT UTILITY FUND INC, 757 HIRD AVENUE, NEW YORK, NY, 10017, 2128323232 - 25,000 ($1,000,000.00) Equity, (File 333-113944 - Mar. 25) (BR. 22) S-8 POTASH CORP OF SASKATCHEWAN INC, 122 1ST AVE S, STE 500, SASKATOON, SASKATCHEWAN CANADA, A9, S7K 7G3, 3069338500 - 4,000,000 ($311,200,000.00) Equity, (File 333-113945 - Mar. 25) (BR. 02) S-8 DICUT INC, 2150 NORTHWEST PARKWAY, SE, SUITE H, MARIETTA, GA, 30067, 770-952-2656 - 10,000,000 ($900,000.00) Equity, (File 333-113946 - Mar. 25) (BR. 06) S-8 GLOBETECH VENTURES CORP, SUITE 1105, 13700 MAYFIELD PLACE, RICHMOND, A1, V6V 2E4, 604-270-3597 - 3,025,000 ($4,386,250.00) Equity, (File 333-113947 - Mar. 25) (BR. 04) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 21ST CENTURY TECHNOLOGIES INC NV X 03/24/04 ACCESS PHARMACEUTICALS INC DE X 03/25/04 ACL SEMICONDUCTOR INC X X 12/29/03 ACTIVISION INC /NY DE X X 03/25/04 ADC TELECOMMUNICATIONS INC MN X X 03/25/04 ADELPHIA COMMUNICATIONS CORP DE X 03/25/04 ADVANTAGE MARKETING SYSTEMS INC/OK OK X X X 03/25/04 ADVO INC DE X 03/25/04 AEHR TEST SYSTEMS CA X X 03/25/04 ALTAIR NANOTECHNOLOGIES INC A6 X 03/25/04 ALTERNATIVE RESOURCES CORP DE X X 03/25/04 AMERICAN ENTERPRISE MVA ACCOUNT X 03/22/04 AMERICAN INSURED MORTGAGE INVESTORS S CA X X 03/25/04 AMERICAN MEDICAL SECURITY GROUP INC WI X X 03/25/04 AMERISOURCEBERGEN CORP DE X X 03/25/04 AMERON INTERNATIONAL CORP DE X 03/24/04 AMSURG CORP TN X 03/25/04 ASCENDANT SOLUTIONS INC DE X 03/23/04 ASCONI CORP NV X X X 03/24/04 ASHFORD HOSPITALITY TRUST INC MD X X 03/25/04 ATLAS MINING CO ID X 02/10/04 AMEND ATMI INC DE X X 03/25/04 ATRIUM COMPANIES INC DE X X 03/24/04 AVITAR INC /DE/ DE X X 03/24/04 AXESSTEL INC NV X X 03/25/04 AXESSTEL INC NV X X 03/25/04 AZCO MINING INC DE X 02/13/04 AMEND BALLANTYNE OF OMAHA INC DE X X 03/22/04 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 03/24/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 03/25/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 03/25/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 03/25/04 BANCFIRST CORP /OK/ OK X X 03/24/04 BEAR STEARNS COMPANIES INC DE X X 03/18/04 BI-OPTIC VENTURES INC X 03/23/04 BIOENVISION INC DE X 03/22/04 BIOGEN IDEC INC DE X 03/22/04 BLUE RIDGE REAL ESTATE CO PA X 03/10/04 BLYTH INC DE X X 03/16/04 AMEND BMW VEHICLE OWNER TRUST 2001-A DE X 03/25/04 BMW VEHICLE OWNER TRUST 2002-A X 03/25/04 BMW VEHICLE OWNER TRUST 2003-A X 03/25/04 BRIGHTPOINT INC DE X X 03/18/04 CAMCO FINANCIAL CORP DE X X 03/23/04 CARDIOGENESIS CORP /CA CA X X 03/25/04 CAREY INSTITUTIONAL PROPERTIES INC /M MD X X 03/23/04 CARRIZO OIL & GAS INC TX X 03/25/04 CASINO JOURNAL PUBLISHING GROUP INC NV X 03/18/04 CASUAL MALE RETAIL GROUP INC DE X X 03/25/04 CEDAR MOUNTAIN DISTRIBUTORS INC NV X 03/24/04 CELLEGY PHARMACEUTICALS INC CA X X X 03/24/04 CHARTER COMMUNICATIONS INC /MO/ DE X 09/24/03 CHESAPEAKE ENERGY CORP OK X X X 03/23/04 CHESAPEAKE ENERGY CORP OK X 03/24/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 02/29/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 02/29/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 02/29/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 02/29/04 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 02/29/04 CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 02/29/04 CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 02/29/04 CHIPPAC INC CA X 03/23/04 CITICORP MORTGAGE SECURITIES INC DE X X 03/24/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X X 02/02/04 CITY NATIONAL CORP DE X X 03/24/04 COCA COLA ENTERPRISES INC DE X 03/23/04 COGENTRIX ENERGY INC NC X 03/25/04 COGNOS INC CA X 03/25/04 COGNOS INC CA X 03/25/04 COLE KENNETH PRODUCTIONS INC NY X 03/25/04 COLLEGIATE PACIFIC INC DE X 03/25/04 COMARCO INC CA X X 03/25/04 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 03/16/04 CONAGRA FOODS INC /DE/ DE X 03/25/03 CONOLOG CORP DE X 03/22/04 CONOLOG CORP DE X 03/22/04 AMEND CONVERGYS CORP OH X 03/24/04 COOPER INDUSTRIES LTD X X 03/25/04 CORPORATE PROPERTY ASSOCIATES 12 INC MD X X 03/23/04 CORPORATE PROPERTY ASSOCIATES 14 INC MD X X 03/23/04 CORPORATE PROPERTY ASSOCIATES 15 INC MD X X 03/23/04 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD X X 03/23/04 COUNTRYSIDE REVIEW INC NV X X 03/22/04 COVAD COMMUNICATIONS GROUP INC DE X 03/03/04 COVANSYS CORP MI X X 03/18/04 CPI CORP DE X 03/18/04 CREATIVE BEAUTY SUPPLY INC NJ X 03/19/04 CRESCENT BANKING CO GA X X 11/10/03 CRESCENT BANKING CO GA X X 02/27/04 CWABS INC DE X X 03/15/04 CWABS INC REVOLVING HOME EQ LN ASST B DE X X 12/29/03 CWALT INC X X 03/25/04 CWALT INC X 03/25/04 CYGNUS INC /DE/ DE X X 03/23/04 DEX MEDIA EAST LLC DE X X 03/19/04 DIAPULSE CORP OF AMERICA DE X X 03/25/04 DICUT INC DE X X 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