SEC NEWS DIGEST Issue 2004-84 April 30, 2004 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #1 FOR FISCAL YEAR 2005 The Investor and Capital Markets Fee Relief Act requires that the Commission make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), and 31 of the Securities Exchange Act of 1934. Effective Oct. 1, 2004, or 5 days after the date on which the Commission receives its fiscal year 2005 regular appropriation, whichever date comes later, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and statements in corporate control transactions will decrease to $117.70 per million from the current rate of $126.70 per million. In addition, effective Oct. 1, 2004, or 30 days after the date on which the Commission receives its fiscal year 2005 regular appropriation, whichever date comes later, the Section 31 fee rate applicable to securities transactions on the exchanges and certain over-the-counter markets will increase to $32.90 per million from the current rate of $23.40 per million. As required by the statute, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment. The adjusted fee rates will not affect the amount of funding available to the Commission. A copy of the Commission's order, including the calculation methodology, is available at http://www.sec.gov. Pursuant to their rules, self-regulatory organizations collect from their members funds to offset the self-regulatory organizations' Section 31 fee obligations. Additional information on the transition to the new Section 31 fee rate will be available shortly on the Internet web sites of The New York Stock Exchange, Inc. and NASD Inc. at http://www.nyse.com and http://www.nasd.com, respectively. The Office of Interpretation and Guidance in the Commission's Division of Market Regulation is also available for questions on Section 31 fees at (202) 942-0069, or by e-mail at marketreg@sec.gov. The Commission will issue further notices as appropriate to keep the public informed of developments relating to the effective dates of the fee rates under Section 6(b), Section 13(e), Section 14(g), and Section 31. These notices will be posted at the Commission's Internet web site at http://www.sec.gov. (Press Rel. 2004-59) ENFORCEMENT PROCEEDINGS CEASE-AND-DESIST PROCEEDINGS INSTITUTED AGAINST CARY KAHN On April 29, the Commission instituted cease-and-desist proceedings against Cary R. Kahn seeking a cease-and-desist order and disgorgement of ill-gotten gains. Kahn is a self-employed investor living in Boulder, Colorado. The Division of Enforcement alleges that Kahn engaged in a fraudulent scheme to take advantage of the Commission's Limit Order Display Rule and manipulate the National Best Bid and Offer (NBBO) for several securities on 52 different occasions. Kahn carried out the scheme, known in the industry as "spoofing," by entering small market moving orders, either to buy or to sell, at prices in between the best bid and offer for a Nasdaq stock. This order became the new best bid or offer. Kahn then entered a larger order on the other side of the market. The second orders were filled by Nasdaq market makers who guaranteed execution of the security at the new NBBO up to a maximum number of shares, regardless of the size of the NBBO quote. Kahn then attempted to cancel the market moving orders before they could be executed, to complete the manipulative scheme. In 49 of the 52 spoofing incidents, Kahn successfully canceled the market moving order. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Kahn an opportunity to dispute these allegations, and to determine whether Kahn should be ordered to cease and desist from future violations and pay disgorgement. (Rel. 33-8416; 34-49629; File No. 3- 11468) SEC SUES BARRY KUSATZKY, FORMER CONTROLLER OF CALIFORNIA AMPLIFIER, INC., FOR ACCOUNTING FRAUD AND INSIDER TRADING CEASE-AND-DESIST ORDER ISSUED AGAINST CALIFORNIA AMPLIFIER, INC. On April 28, the Commission filed an injunctive action against Barry Richard Kusatzky (Kusatzky), alleging that during the period November 1999 through January 2001, Kusatzky, the former controller of California Amplifier, Inc. (California Amplifier), engaged in accounting fraud and insider trading. Specifically, the complaint alleges that Kusatzky caused California Amplifier to materially overstate income and equity in its quarterly and annual financial statements for the period Nov. 27, 1999, through Nov. 25, 2000, by hiding $7.8 million in Company expenses. Kusatzky accomplished this fraud by fabricating financial statements and falsifying the Company's books and records. Kusatzky also concealed his fraud by presenting false records to California Amplifier's auditors. According to the complaint, in January 2000, before his fraud was discovered, Kusatzky illegally profited from his misdeeds. At that time, with full knowledge of his wrongdoing, Kusatzky exercised all his vested options and sold all his 15,000 shares of California Amplifier stock while in possession of material, non-public information that the Company's earnings were materially overstated. The complaint alleges that Kusatzky knew that California Amplifier's earnings for the quarter ended Nov. 27, 1999, were materially overstated because he was solely responsible for overstating them. Kusatzky's illegal sales enabled him to avoid losses of over $350,000. The complaint also alleges that in March 2001, on the day before the Company's annual audit was to begin, Kusatzky confessed to his fraud. In a handwritten note provided to Company officials, Kusatzky admitted to hiding expenses and to making California Amplifier's "P+L look better." The complaint alleges that Kusatzky's "confession," neither revealed the extent of his misstatement of California Amplifier's financial statements, nor acknowledged his insider trading. The complaint alleges that Kusatzky violated Section 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2- 1 and 13b2-2 thereunder and aided and abetted California Amplifier's violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The complaint seeks a permanent injunction prohibiting future violations of these provisions, disgorgement including prejudgment interest, and civil penalties pursuant to Sections 21(d)(3) and 21A of the Exchange Act, and Section 20(d)(1) of the Securities Act. The Commission also seeks an order barring Kusatzky from serving as an officer or director of a public company. On April 29, the Commission issued a settled Order against California Amplifier. The Order finds that during fiscal 2000 and much of fiscal 2001, California Amplifier failed to establish or maintain internal accounting controls sufficient to provide reasonable assurance that its financial statements were prepared in accordance with generally accepted accounting principles (GAAP). This lack of adequate internal controls allowed Kusatzky to commit fraud, caused the failure of the company to discover that Kusatzky was not a CPA as he had represented, resulted in books and records that failed to accurately reflect the company's transactions, caused numerous other accounting errors, and caused California Amplifier to file materially false and misleading periodic reports with the Commission. The Order requires that California Amplifier cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 promulgated thereunder. California Amplifier consented to the entry of the Order without admitting or denying the findings therein. [SEC v. Barry Richard Kusatzky, Civil Action No. 1:04CV00700 (JGP) D.D.C.] (LR-18688); (Rel. 34-49630; AAE Rel. 1995; File No. 3-11469) SANCTIONS OF RICHMARK CAPITAL CORP. AND DOYLE MARK WHITE MADE EFFECTIVE On Nov. 7, 2003, the Commission suspended the broker-dealer registration of RichMark Capital Corporation of Irving, Texas for 90 days, suspended Doyle Mark White, RichMark's vice president and secretary, from association with any broker or dealer for 90 days, assessed civil money penalties of $275,00 against RichMark and $55,000 against White, issued a cease-and-desist order, and ordered joint and several disgorgement of $25,617.86 plus prejudgment interest. The sanctions were based on findings that respondents violated antifraud provisions in that they recklessly failed to disclose to customers to whom they recommended and sold stock of PCC Group, Inc. (PCCG) that, at the very same time, respondents were taking action contrary to their recommendation by selling their own shares of PCCG. The Commission also found that respondents were negligent in failing to disclose to PCCG customers that respondents had a strong financial incentive to promote the sale of PCCG because of the PCCG stock and options they received under an investment banking agreement between PCCG and RichMark. The sanctions imposed on RichMark and White were stayed pending their appeal of the Commission's decision to the United States Court of Appeals for the Fifth Circuit. The Court recently affirmed the Commission's decision. Accordingly, the Commission has issued an order making respondents' suspensions effective 14 days from the date of its order, and making the cease-and-desist order and the orders assessing money penalties and disgorgement effective immediately, with payment required within 10 business days. (Rels. 33-8417; 34-49633; File No. 3- 9954) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2004- 11) and Amendments No. 1 and No. 2 thereto to amend its Rule 122 concerning orders with more than one broker. Publication of the proposal is expected in the Federal Register during the week of May 3, 2004. (Rel. 34-49625) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-BSE-2004-11) and Amendment Nos. 1 and 2 thereto filed by the Boston Stock Exchange relating to an interpretation of ITS trade-throughs and locked markets 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 May 3, 2004. (Rel. 34-49626) A proposed rule change (SR-PCX-2004-35) filed by the Pacific Exchange to amend the Market Maker Fees portion of its Schedule of Fees and Charges in order to extend a temporary waiver of the Market Maker fees for those Market Makers that utilize more than one seat 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 May 3, 2004. (Rel. 34-49631) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the International Securities Exchange (SR-ISE-2004-05) relating to customized market data reports (ISEmine). Publication of the order is expected in the Federal Register during the week of May 3, 2004. (Rel. 34-49627) 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 INTERNATIONAL SPORTS & MEDIA GROUP INC, 8584887775 - 30,392,095 ($2,127,446.65) Equity, (File 333-114971 - Apr. 29) (BR. 05) S-4 SOVEREIGN BANCORP INC, 2000 MARKET ST, PHILADELPHIA, PA, 19103, 2155574630 - 0 ($739,195,685.00) Equity, (File 333-114972 - Apr. 29) (BR. 07) F-3 BUNGE LTD, 50 MAIN STREET, WHITE PLAINS, NY, 10606, 9146842800 - 0 ($399,276,000.00) Equity, (File 333-114973 - Apr. 29) (BR. 04) S-1 JOURNAL COMMUNICATIONS INC, 333 WEST STATE STREET, MILWAUKEE, WI, 83203, 0 ($131,997,000.00) Equity, (File 333-114974 - Apr. 29) (BR. 05) S-1 Interactive Health, Inc., 3030 WALNUT AVENUE, LONG BEACH, CA, 90807, 562-426-8700 - 0 ($80,000,000.00) Equity, (File 333-114975 - Apr. 29) (BR. 06) S-1 McCormick & Schmick Holdings, L.L.C., 720 SW WASHINGTON STREET, SUITE 550, PORTLAND, OR, 97205, 503-226-3440 - 0 ($172,500,000.00) Equity, (File 333-114977 - Apr. 29) (BR. 05) S-8 UNITIL CORP, 6 LIBERTY LANE WEST, HAMPTON, NH, 03842, 6037736504 - 177,500 ($4,854,625.00) Equity, (File 333-114978 - Apr. 29) (BR. 02) S-8 MANAGEMENT NETWORK GROUP INC, 7300 COLLEGE BLVD., STE 302, OVERLAND PARK, KS, 66210, 9133459315 - 63,332 ($164,188.21) Equity, (File 333-114979 - Apr. 29) (BR. 08) S-3 CELADON GROUP INC, ONE CELADON DR, INDIANAPOLIS, IN, 46236-4207, 2129774447 - 0 ($43,029,090.00) Equity, (File 333-114980 - Apr. 29) (BR. 05) S-4 PRIMUS TELECOMMUNICATIONS GROUP INC, 1700 OLD MEADOW ROAD, STE 300, MCLEAN, VA, 22102, 7039022800 - 0 ($240,000,000.00) Non-Convertible Debt, (File 333-114981 - Apr. 29) (BR. 37) S-8 SYPRIS SOLUTIONS INC, 101 BULLITT LN, STE 450, LOUISVILLE, KY, 40222, 5023292000 - 3,000,000 ($61,920,000.00) Equity, (File 333-114982 - Apr. 29) (BR. 36) S-8 FIRST ALBANY COMPANIES INC, 30 S PEARL STREET, ALBANY, NY, 12207, 518-447-8673 - 0 ($14,726,805.00) Equity, (File 333-114983 - Apr. 29) (BR. 07) S-1 Google Inc., 1600 AMPHITHEATRE PARKWAY, MOUNTAIN VIEW, CA, 94043, 650 623 4000 - 0 ($2,718,281,828.00) Equity, (File 333-114984 - Apr. 29) (BR. 08) SB-2 GLOBAL BROADCAST GROUP INC, 5770 ROOSEVELT BLVD SUITE 510, CLEARWATER, FL, 33760, 7275338300 - 0 ($1,386,372.00) Equity, (File 333-114985 - Apr. 29) (BR. 09) S-3 AQUACELL TECHNOLOGIES INC, 10410 TRADEMARK ST, RANCHO CUCAMONGA, CA, 91730, 9099870456 - 1,404,346 ($2,179,128.00) Equity, (File 333-114986 - Apr. 29) (BR. 06) S-8 PANTRY INC, 1801 DOUGLAS DR, PO BOX 1410, SANFORD, NC, 27330, 9197746700 - 0 ($17,747,175.55) Equity, (File 333-114987 - Apr. 29) (BR. 02) S-1 PLANETOUT INC, 0 ($75,000,000.00) Equity, (File 333-114988 - Apr. 29) (BR. ) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($3,776,500.00) Equity, (File 333-114989 - Apr. 29) (BR. 07) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($1,530,000.00) Equity, (File 333-114990 - Apr. 29) (BR. 07) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($289,929.00) Equity, (File 333-114991 - Apr. 29) (BR. 07) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($1,759,500.00) Equity, (File 333-114992 - Apr. 29) (BR. 07) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($3,142,784.00) Equity, (File 333-114993 - Apr. 29) (BR. 07) S-8 ALABAMA NATIONAL BANCORPORATION, 1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35209, 2055833600 - 10,000 ($521,000.00) Equity, (File 333-114994 - Apr. 29) (BR. 07) SB-2 SOUND TECHNOLOGY INC, 4425 CECILE ST, PIERREFONDS QUEBEC, A8, H9K 1N1, 6048917723 - 2,990,000 ($448,500.00) Equity, (File 333-114995 - Apr. 29) (BR. ) S-1 CHINDEX INTERNATIONAL INC, 7201 WISCONSIN AVE, STE 703, BETHESDA, MD, 20814, 3012157777 - 2,280,000 ($23,625,000.00) Equity, (File 333-114996 - Apr. 29) (BR. 01) S-8 SOUTHERN COMMUNITY FINANCIAL CORP, 4701 COUNTRY CLUB RD, WINSTON-SALEM, NC, 27104, 3367688500 - 0 ($66,827.00) Equity, (File 333-114997 - Apr. 29) (BR. 07) SB-2 LITHIUM TECHNOLOGY CORP, 5115 CAMPUS DR, PLYMOUTH MEETING, PA, 19462-1129, 6109406090 - 0 ($149,327,685.00) Equity, (File 333-114998 - Apr. 29) (BR. 36) SB-2 NOTIFY TECHNOLOGY CORP, 1054 S DE ANZA BLVD., STE 105, SAN JOSE, CA, 95129, 4087777920 - 0 ($1,494,930.60) Equity, (File 333-114999 - Apr. 29) (BR. 37) S-8 BIOGENTECH CORP, 2445 MCCABE WAY, SUITE 150, IRVINE, CA, 92614, 949-757-0001 - 622,084 ($1,119,751.00) Equity, (File 333-115000 - Apr. 29) (BR. 02) S-8 SUPERCLICK INC, 2960 FLEURY EAST, 2960 FLEURY EAST, MONTREAL, A8, H2B 1M4, 5148470333 - 2,000,000 ($1,560,000.00) Equity, (File 333-115001 - Apr. 29) (BR. 37) S-8 APPLIED SIGNAL TECHNOLOGY INC, 400 WEST CALIFORNIA AVENUE, SUNNYVALE, CA, 94086, 4087491888 - 0 ($16,068,000.00) Equity, (File 333-115002 - Apr. 29) (BR. 37) S-8 CLICKSOFTWARE TECHNOLOGIES LTD, 655 CAMPBELL TECHNOLOGY PARKWAY, SUITE 250, CAMPBELL, CA, 95008, 4083776088 - 650,000 ($2,008,500.00) Equity, (File 333-115003 - Apr. 29) (BR. 03) S-8 GUITAR CENTER INC, 8187358800 - 0 ($51,324,000.00) Equity, (File 333-115004 - Apr. 29) (BR. 02) S-8 SEACOAST FINANCIAL SERVICES CORP, ONE COMPASS PLACE, NEW BEDFORD, MA, 02740, 5089846000 - 0 ($7,390,354.50) Equity, (File 333-115005 - Apr. 29) (BR. 07) SB-2 MFIC CORP, 30 OSSIPEE RD, P O BOX 9101, NEWTON, MA, 02464-9101, 6179695452 - 0 ($6,525,766.90) Equity, (File 333-115006 - Apr. 29) (BR. 36) S-3 MONSTER WORLDWIDE INC, 622 THIRD AVE, NEW YORK, NY, 10017, 2129774200 - 0 ($28,620,000.00) Equity, (File 333-115007 - Apr. 29) (BR. 37) S-8 ACLARA BIOSCIENCES INC, 1288 PEAR AVENUE, MOUNTAIN VIEW, CA, 94043, 6502101200 - 0 ($5,610,005.76) Equity, (File 333-115008 - Apr. 29) (BR. 36) S-4 TELEX COMMUNICATIONS INTERMEDIATE HOLDINGS LLC, 12000 PORTLAND AVENUE SOUTH, BURNSVILLE, MN, 55337, 952 884 4041 - 0 ($74,571,244.00) Non-Convertible Debt, (File 333-115009 - Apr. 29) (BR. ) S-8 G III APPAREL GROUP LTD /DE/, 512 SEVENTH AVE, NEW YORK, NY, 10018, 2126298830 - 0 ($3,171,945.50) Equity, (File 333-115010 - Apr. 29) (BR. 02) S-3 FOCUS ENHANCEMENTS INC, 1370 DELL AVE, CAMPBELL, CA, 95008, 4088668300 - 0 ($1,549,747.00) Equity, (File 333-115013 - Apr. 29) (BR. 03) S-8 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP, 1001 AIR BRAKE AVE, WILMERDING, PA, 15148, 4128251000 - 0 ($440,719.00) Equity, (File 333-115014 - Apr. 29) (BR. 05) S-8 RAMBUS INC, 4440 EL CAMINO REAL, LOS ALTOS, CA, 94022, 650-947-5000 - 0 ($89,285,808.41) Equity, (File 333-115015 - Apr. 29) (BR. 36) 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 ------------------------------------------------------------------------------------------------ 724 SOLUTIONS INC X 04/28/04 AASTROM BIOSCIENCES INC MI X X 04/29/04 ABAXIS INC CA X 04/29/04 ACCESS INTEGRATED TECHNOLOGIES INC X X 03/24/04 ACCREDITED HOME LENDERS HOLDING CO DE X X X 04/29/04 ACLARA BIOSCIENCES INC DE X X 04/29/04 ACTIVCARD CORP DE X X 04/29/04 ACTIVCARD SA X X 04/29/04 ADAPTEC INC DE X X 04/29/04 ADEPT TECHNOLOGY INC CA X 04/22/04 ADVANCIS PHARMACEUTICAL CORP X X 04/29/04 ADVANSTAR COMMUNICATIONS INC NY X X 04/29/04 ADVANT E CORP DE X X 04/29/04 AETNA INC /PA/ PA X 04/29/04 AFFILIATED COMPUTER SERVICES INC DE X X X 04/29/04 AFFILIATED MANAGERS GROUP INC DE X 03/30/04 AFTERMARKET TECHNOLOGY CORP DE X X 04/28/04 AIR-Q WI-FI CORP DE X X 04/23/04 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE X X 04/29/04 ALDILA INC DE X X X 04/28/04 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X X 04/29/04 ALLIANCE CAPITAL MANAGEMENT L P DE X X X 04/29/04 ALLIANCE FIBER OPTIC PRODUCTS INC CA X 04/29/04 AMEREN CORP MO X 04/29/04 AMERICAN AXLE & MANUFACTURING HOLDING DE X X 04/29/04 AMERICAN ELECTRIC POWER CO INC NY X X 04/29/04 AMERICAN GOLDFIELDS INC NV X 03/31/04 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE X X 04/29/04 AMERICAN NATIONAL BANKSHARES INC VA X 04/29/04 AMERICAN POWER CONVERSION CORPORATION MA X 04/29/04 AMERICAN SPECTRUM REALTY INC MD X X 04/29/04 AMERIGAS PARTNERS LP DE X X 04/27/04 AMERIGROUP CORP X X 04/29/04 AMERIQUEST MORTGAGE SEC INC AS BK PAS DE X X 04/29/04 AMERIQUEST MORTGAGE SEC INC ASSET BK DE X X 04/05/04 AMERISOURCEBERGEN CORP DE X X 04/28/04 AMN HEALTHCARE SERVICES INC DE X 04/28/04 AMSCAN HOLDINGS INC DE X X 04/23/04 ANIKA THERAPEUTICS INC MA X X 04/29/04 APOGENT TECHNOLOGIES INC WI X X X 04/28/04 APPLETON PAPERS INC/WI X X 04/29/04 APPLIED EXTRUSION TECHNOLOGIES INC /D DE X 04/27/04 APPLIX INC /MA/ MA X 04/29/04 ARCHSTONE SMITH TRUST CO X 04/29/04 ARDEN REALTY INC MD X 04/28/04 ARGENT SECURITIES ASSET BCKED PASS TH DE X 04/26/04 ARGENT SECURITIES INC ASSET BACK PASS X 04/26/04 ARGONAUT TECHNOLOGIES INC DE X 04/29/04 ARRAY BIOPHARMA INC DE X X 04/29/04 ARTHROCARE CORP DE X X 04/28/04 ARTISOFT INC DE X 04/29/04 ASIA PAYMENT SYSTEMS NV X 04/29/04 ASPEN TECHNOLOGY INC /DE/ DE X 04/29/04 ASSET ACCEPTANCE CAPITAL CORP X X 04/29/04 ASSET BACKED FUNDING CORP ABFC ASSET DE X X 04/26/04 ASSET BACKED PASS THRU CERTS SERIES 2 DE X X 04/15/04 ASSET BACKED SEC CORP FIELDSTONE MORT DE X 04/29/04 ASSET-BACKED CERTIFICATES SERIES 2004 DE X 03/25/04 AMEND ASSOCIATED ESTATES REALTY CORP OH X 03/31/04 ASTRONICS CORP NY X 04/29/04 AUTONATION INC /FL DE X 04/29/04 AVNET INC NY X 04/29/04 BAKER HUGHES INC DE X X 04/28/04 BALDWIN TECHNOLOGY CO INC DE X X 04/29/04 BALL CORP IN X 04/29/04 BALLY TOTAL FITNESS HOLDING CORP DE X X 04/28/04 BANCWEST CORP/HI DE X X 04/27/04 BARRETT BUSINESS SERVICES INC MD X 04/28/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE X 03/25/04 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 04/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 04/29/04 BEAR STEARNS ASSET BACKED SECURITIES DE X 04/27/04 BEI TECHNOLOGIES INC DE X 04/28/04 BEL FUSE INC /NJ NJ X X 04/29/04 BERKSHIRE HILLS BANCORP INC X X 04/28/04 BIG 5 SPORTING GOODS CORP DE X 04/29/04 BINDVIEW DEVELOPMENT CORP TX X X X 04/29/04 BIOANALYTICAL SYSTEMS INC IN X 04/28/04 BIOGENTECH CORP NV X 04/27/04 BIOJECT MEDICAL TECHNOLOGIES INC OR X X 04/28/04 BIOSPHERE MEDICAL INC DE X 04/29/04 BLUEFLY INC DE X X 04/28/04 BMC SOFTWARE INC DE X X 04/29/04 BONE CARE INTERNATIONAL INC WI X X 04/28/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/01/99 BOWNE & CO INC DE X X 04/28/04 BRADLEY PHARMACEUTICALS INC DE X X 04/29/04 BRAVO FOODS INTERNATIONAL CORP DE X X 04/20/04 BROWN TOM INC /DE DE X 04/28/04 BRUSH ENGINEERED MATERIALS INC X 04/29/04 BUSINESS OBJECTS SA X X 04/29/04 C-CHIP TECHNOLOGIES CORP NV X X 04/29/04 CADMUS COMMUNICATIONS CORP/NEW VA X X X 04/29/04 CALIFORNIA WATER SERVICE GROUP DE X 04/28/04 CALTON INC NJ X 04/27/04 CAM COMMERCE SOLUTIONS INC DE X 04/29/04 CAMCO FINANCIAL CORP DE X X 04/23/04 CAPITAL TITLE GROUP INC DE X 04/29/04 CAPITOL FEDERAL FINANCIAL X X 04/28/04 CAVALIER HOMES INC DE X X 03/27/04 CAVCO INDUSTRIES INC DE X X X 04/28/04 CELADON GROUP INC DE X X 04/29/04 CENTRAL FREIGHT LINES INC NV X X 04/28/04 CENTURYTEL INC LA X 03/31/04 CHAMPPS ENTERTAINMENT INC DE X 03/28/04 CHARLES RIVER LABORATORIES INTERNATIO X 04/28/04 CHEC FUNDING LLC CENTEX HOME EQUITY L DE X X 04/26/04 CHEESECAKE FACTORY INCORPORATED DE X 04/29/04 CHESAPEAKE CORP /VA/ VA X 04/28/04 CHICAGO BRIDGE & IRON CO N V X 04/29/04 CHIPPAC INC CA X X 04/29/04 CIT EQUIPMENT COLLATERAL 2004-VT1 DE X X 04/20/04 CITADEL BROADCASTING CORP DE X 04/29/04 CIVITAS BANKGROUP INC TN X X 04/26/04 CLAIBORNE LIZ INC DE X X 04/29/04 CLEVELAND CLIFFS INC OH X X 04/28/04 CLICKSOFTWARE TECHNOLOGIES LTD L3 X X 04/29/04 CNS INC /DE/ DE X X X 04/28/04 COASTAL FINANCIAL CORP /DE DE X X 04/28/04 COINSTAR INC DE X X 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