SEC NEWS DIGEST Issue 2004-99 May 21, 2004 RULES AND RELATED MATTERS PROPOSED RULE; EXTENSION OF COMMENT PERIOD AND SUPPLEMENTAL REQUEST FOR COMMENT The Commission is extending the comment period on proposed Regulation NMS from May 24, 2004, to June 30, 2004. In addition, the Commission is publishing a supplemental request for comment to reflect matters discussed during the hearing on Regulation NMS that was held on April 21, 2004. The extension of the comment period and supplemental request for comment are intended to afford the public a full opportunity to address in their comment letters the matters discussed at the hearing. (Rel. 34-49749; File No. S7-10-04) ENFORCEMENT PROCEEDINGS IN THE MATTER OF JOHN TURANT, JR. On May 19, an Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions By Default (Default Order) in the Matter of John F. Turant, Jr. The Order Instituting Proceedings alleged that on Jan. 29, 2004, the U.S. District Court for the Middle District of Pennsylvania entered a final judgment permanently enjoining John F. Turant, Jr., 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. The Default Order finds these allegations to be true and bars John F. Turant, Jr., from association with any investment adviser and broker or dealer. (Rels. 34-49735; IA- 2238; File No. 3-11403) COMMISSION INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST DANIEL DYER On May 21, the Commission instituted a public administrative proceeding against Daniel D. Dyer (Dyer) pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940. Dyer, age 49, is a resident of University Place, Washington and the sole owner of Oxbow Capital Partners, LLC. Simultaneous with the institution of the proceeding, Dyer submitted an Offer of Settlement in which, while neither admitting nor denying the Commission's findings, Dyer consented to the entry of an Order barring him from association with any broker, dealer, or investment adviser. The Order was based on the entry of a permanent injunction in a civil action filed against Dyer in Portland, Oregon. The Commission's complaint alleged that Dyer and Oxbow Capital Partners violated the registration and antifraud provisions by, among other things, aiding and abetting a Ponzi scheme perpetrated by Capital Consultants, LLC, formerly an investment adviser in Portland, Oregon, from November 1998 to August 2000 and conducting two offering frauds between April 1999 and October 2000: Oxbow Capital 1999 Fund I, LLC and Washington Motorcycle Partners, LLC. (Rels. 34-49750; IA-2241; File No. 3-11499) JURY RETURNS VERIDCT IN FAVOR OF MICHAEL RIVERS On May 6, after a three day trial, a jury returned a verdict in favor of defendant Michael Rivers (Rivers) finding that he did not violate Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. On Oct. 31, 2002, the Commission filed a complaint in the U.S. District Court for the District of Minnesota against Michael Rivers and his former broker at U.S. Bancorp Piper Jaffray (Piper Jaffray), Thomas E. Hall (Hall), alleging that they artificially increased the closing price of First Federal Capital Corporation (First Federal) common stock through "marking the close" transactions and thereby violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. However, the jury found for defendant Rivers and against the Commission on those charges. Previously, Hall consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and imposing a civil penalty of $50,000. Hall was also subsequently barred from association with any broker or dealer (See LR-17828, Nov. 5, 2002). Separately, in a related proceeding, on Nov. 5, 2002, the Commission entered an Order Instituting Proceedings Making Findings and Imposing Remedial Sanctions (Order) against U.S. Bancorp Piper Jaffray Inc. (Piper Jaffray). The Commission's Order found that Piper Jaffray failed to supervise Hall and failed to have adequate systems in place to detect or prevent certain conduct. Piper Jaffray, while neither admitting nor denying the Order's findings, consented to the entry of the Order and the imposition of sanctions against it which included a $100,000 penalty and certain remedial undertakings. [SEC v. Michael J. Rivers and Thomas E. Hall, 02-4213 JRT/FLN, USDC, Minn.] (LR-18721) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CHX-2004-15) filed by the Chicago Stock Exchange to set fees for member firms for computer hardware stored on the Exchange premises and for the connection of that hardware to the CHX system 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 24. (Rel. 34-49728) A proposed rule change filed by the Pacific Exchange (SR-PCX-2004-36) amending its schedule of fees and charges in order to modify the applicability of the broker-dealer transaction fee has become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of May 24. (Rel. 34-49737) A proposed rule change by the National Association of Securities Dealers (SR-NASD-2004-072) has been filed and became immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b- 4(f)(2) thereunder. The proposed rule change establishes fees for use of the Nasdaq Workstation II service via Digital Subscriber Line connections. Publication of the notice in the Federal Register is expected during the week of May 24. (Rel. 34-49738) A proposed rule change (SR-BSE-2004-20) filed by the Boston Stock Exchange relating to its Boston Options Exchange Trading Rules 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 24. (Rel. 34-49742) A proposed rule change (SR-Phlx-2004-34) filed by the Philadelphia Stock Exchange to rescind Commentary .01(f) to Rule 708 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 24. (Rel. 34-49748) APPROVAL OF PROPOSED RULE CHANGE The Commission has approved a proposed rule change and Amendment No. 1 thereto (SR-NYSE-2003-37) filed by the New York Stock Exchange to amend NYSE Rule 124 to change the way odd-lot orders are priced and executed systemically. Publication of the proposal is expected in the Federal Register during the week of May 24. (Rel. 34-49745) 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: . N-2 EATON VANCE TAX ADVANTAGED GLOBAL DIVIDEND OPPORTUNITIES FUN, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 40 ($1,000,000.00) Equity, (File 333-115651 - May. 20) (BR. 16) S-8 QT 5 INC, 5655 LINDERO CANYON ROAD, SUITE 120, WESTLAKE VILLAGE, CA, 91362, (866) 508-8378 - 5,000,000 ($125,000.00) Equity, (File 333-115652 - May. 20) (BR. 01) S-8 ICU MEDICAL INC/DE, 951 CALLE AMANECER, SAN CLEMENTE, CA, 92769, 9493662183 - 3,000,000 ($96,750,000.00) Equity, (File 333-115653 - May. 20) (BR. 36) S-8 ICU MEDICAL INC/DE, 951 CALLE AMANECER, SAN CLEMENTE, CA, 92769, 9493662183 - 1,500,000 ($4,837,500.00) Equity, (File 333-115654 - May. 20) (BR. 36) S-8 BIMS RENEWABLE ENERGY INC, 14 PLACE DU COMMERCE, SUITE 388, MONTREAL, A8, H3E 1T5, 514-362-8188 - 3,200,000 ($544,000.00) Equity, (File 333-115655 - May. 20) (BR. 04) S-8 CHICAGO MERCANTILE EXCHANGE HOLDINGS INC, 20 S. WACKER DR, CHICAGO, IL, 60606, 3129301000 - 0 ($32,928,000.00) Equity, (File 333-115656 - May. 20) (BR. 07) S-1 ZIPREALTY INC, 1401 MARINA WAY SOUTH, RICHMOND, CA, 94804, 510-965-2600 - 0 ($69,000,000.00) Equity, (File 333-115657 - May. 20) (BR. 08) S-8 ALTERA CORP, 101 INNOVATION DR, SAN JOSE, CA, 95134, 4085448000 - 13,000,000 ($262,730,000.00) Equity, (File 333-115658 - May. 20) (BR. 36) S-3 PUBLIC STORAGE INC /CA, 701 WESTERN AVE, STE 200, GLENDALE, CA, 91201-2349, (818) 244-8080 - 0 ($600,000,000.00) Other, (File 333-115660 - May. 20) (BR. 08) S-8 AREL COMMUNICATIONS & SOFTWARE LTD, 3 HAYARDAN ST, PO BOX 76, YAVNE ISRAEL, L3, 70600, 97289420880 - 2,115,000 ($3,780,098.10) Other, (File 333-115661 - May. 20) (BR. 03) S-3 LUBRIZOL CORP, 29400 LAKELAND BLVD, WICKLIFFE, OH, 44092, 2169434200 - 2,000,000,000 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-115662 - May. 20) (BR. 06) S-8 CATTLESALE CO, 9901 IH 10 WEST SUITE 800, SAN ANTONIO, TX, 78230-2292, 2105582898 - 1,500,000 ($150,000.00) Equity, (File 333-115663 - May. 20) (BR. 03) S-8 AQUACELL TECHNOLOGIES INC, 10410 TRADEMARK ST, RANCHO CUCAMONGA, CA, 91730, 9099870456 - 1,500,000 ($1,665,200.00) Equity, (File 333-115664 - May. 20) (BR. 06) SB-2 HUMEDISOFT CORP, 23282 MILL CREEK, SUITE 225, LAGUNA HILLS, CA, 92653, 949-699-6593 - 159,000 ($159,000.00) Equity, (File 333-115665 - May. 20) (BR. 03) S-8 NORTHWEST INDIANA BANCORP, 9204 COLUMBIA AVE, MUNSTER, IN, 46321, 2198369690 - 250,000 ($8,068,750.00) Equity, (File 333-115666 - May. 20) (BR. 07) S-3 AMERICAN ACCESS TECHNOLOGIES INC, 6670 SPRING LAKE ROAD, -, KEYSTONE HEIGHTS, FL, 32656, 3524736673 - 17,709 ($20,897.00) Equity, (File 333-115667 - May. 20) (BR. 06) S-4 ROTO-ROOTER INC, 2600 CHEMED CTR, 255 E FIFTH ST, CINCINNATI, OH, 45202, 5137626900 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-115668 - May. 20) (BR. 37) S-2 PDG ENVIRONMENTAL INC, 300 OXFORD DR, N PARK DR & BROWNING RD, MONROEVILLE, PA, 15146, 4128562200 - 4,750,000 ($5,510,000.00) Equity, (File 333-115669 - May. 20) (BR. 06) S-3 ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($50,000,000.00) Equity, (File 333-115670 - May. 20) (BR. 01) S-8 CHIQUITA BRANDS INTERNATIONAL INC, 5137848880 - 250,000 ($3,945,000.00) Equity, (File 333-115671 - May. 20) (BR. 04) S-8 GETTY REALTY CORP /MD/, 125 JERICHO TURNPIKE, JERICHO, NY, 11753, 5163382600 - 0 ($22,100,000.00) Equity, (File 333-115672 - May. 20) (BR. 08) S-8 CHIQUITA BRANDS INTERNATIONAL INC, 5137848880 - 325,000 ($7,527,000.00) Equity, (File 333-115673 - May. 20) (BR. 04) S-8 TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302, 5183773311 - 2,000,000 ($24,260,000.00) Equity, (File 333-115674 - May. 20) (BR. 07) S-8 CHIQUITA BRANDS INTERNATIONAL INC, 5137848880 - 250,000 ($3,945,000.00) Equity, (File 333-115675 - May. 20) (BR. 04) S-8 APPLEBEES INTERNATIONAL INC, 4551 W 107TH ST STE 100, OVERLAND PARK, KS, 66207, 9139674000 - 150,000 ($5,597,250.00) Face Amount Certificates, (File 333-115677 - May. 20) (BR. 05) S-3 IMMUNE RESPONSE CORP, 5931 DARWIN COURT, CARLSBAD, CA, 92008, 7604317080 - 0 ($13,175,846.00) Equity, (File 333-115678 - May. 20) (BR. 01) S-8 KENTUCKY INVESTORS INC, 200 CAPITAL AVE, P O BOX 717, FRANKFORT, KY, 40602, 5022232361 - 405,000 ($10,712,250.00) Equity, (File 333-115680 - May. 20) (BR. 01) S-3 FAUQUIER BANKSHARES INC, 10 COURTHOUSE, WARREN, VA, 20186, 5403472700 - 0 ($5,382,500.00) Equity, (File 333-115681 - May. 20) (BR. 07) S-8 WABASH NATIONAL CORP /DE, P O BOX 6129, LAFAYETTE, IN, 47905, 7657715310 - 0 ($25,630,000.00) Equity, (File 333-115682 - May. 20) (BR. 05) S-3 GUILFORD PHARMACEUTICALS INC, 6611 TRIBUTARY ST, BALTIMORE, MD, 21224, 4106316300 - 0 ($100,000,000.00) Other, (File 333-115684 - May. 20) (BR. 01) S-8 GLOBAL MED TECHNOLOGIES INC, 12600 W COLFAX, SUITE C-420, LAKEWOOD, CO, 80215, 3032382000 - 5,000,000 ($2,900,000.00) Equity, (File 333-115686 - May. 20) (BR. 08) S-8 NABI BIOPHARMACEUTICALS, 5800 PARK OF COMMERCE BLVD N W, STE 322, BOCA RATON, FL, 33487, 5619895800 - 4,500,000 ($72,427,500.00) Equity, (File 333-115688 - May. 20) (BR. 01) S-8 TRUSTCO BANK CORP N Y, 5 SARNOWSKI DRIVE, GLENVILLE, NY, 12302, 5183773311 - 200,000 ($2,426,000.00) Equity, (File 333-115689 - May. 20) (BR. 07) S-8 NCI HOLDINGS INC, 268 WEST 400 SOUTH, SUITE 300, SALT LAKE CITY, UT, 84101, 801-575-8073 - 50,000,000 ($1,750,000.00) Equity, (File 333-115690 - May. 20) (BR. 02) S-8 NABI BIOPHARMACEUTICALS, 5800 PARK OF COMMERCE BLVD N W, STE 322, BOCA RATON, FL, 33487, 5619895800 - 500,000 ($8,047,500.00) Equity, (File 333-115691 - May. 20) (BR. 01) S-3 EDGE PETROLEUM CORP, 1111 BAGBY, SUITE 2100, HOUSTON, TX, 77002, 7136548960 - 0 ($150,000,000.00) Other, (File 333-115692 - May. 20) (BR. 04) S-3 GENERAL GROWTH PROPERTIES INC, 110 N WACKER DRIVE, STE 3100, CHICAGO, IL, 60606, 3129605000 - 0 ($113,483,499.00) Debt Convertible into Equity, (File 333-115693 - May. 20) (BR. 08) S-3 GENERAL GROWTH PROPERTIES INC, 110 N WACKER DRIVE, STE 3100, CHICAGO, IL, 60606, 3129605000 - 0 ($53,083,739.80) Debt Convertible into Equity, (File 333-115694 - May. 20) (BR. 08) S-3 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 1 ($300,000,000.00) Equity, (File 333-115695 - May. 20) (BR. 37) S-3 UNITED DOMINION REALTY TRUST INC, 400 EAST CARY STREET, RICHMOND, VA, 23219-3802, 8047802691 - 0 ($1,168,667,000.00) Other, (File 333-115696 - May. 20) (BR. 08) S-8 ASIA PAYMENT SYSTEMS, 800 5TH STREET, SUITE 4100, SEATTLE, WA, 98104, 2064471379 - 5,000,000 ($2,500,000.00) Equity, (File 333-115697 - May. 20) (BR. 09) S-3 AIRNET COMMUNICATIONS CORP, 3950 DOW ROAD, -, MELBOURNE, FL, 32934, 3219841990 - 14,215,916 ($12,083,528.60) Equity, (File 333-115698 - May. 20) (BR. 37) S-3 EVCI CAREER COLLEGES INC, 35 EAST GRASSY SPRAIN RD, SUITE 200, YONKERS, NY, 10710, 9147873500 - 500,000 ($4,500,000.00) Equity, (File 333-115699 - May. 20) (BR. 37) S-8 BLUE NILE INC, 705 FIFTH AVE S, STE 900, SEATTLE, WA, 98104, 2063366700 - 0 ($87,155,285.44) Equity, (File 333-115700 - May. 20) (BR. 02) S-8 VASOGEN INC, 2155 DUNVIN DR, SUITE 10 L5L4M1, MISSISSAUGA ONTARIO, A6, 00000, 4,441,693 ($21,897,546.00) Equity, (File 333-115701 - May. 20) (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 ------------------------------------------------------------------------------------------------ 3M CO DE X X 05/12/04 ABC BANCORP GA X X 05/17/04 ABERCROMBIE & FITCH CO /DE/ DE X X 05/20/04 ACCESSITY CORP NY X X 05/17/04 ACCREDITED HOME LENDERS INC DE X X 05/19/04 ACCREDITED HOME LENDERS INC DE X X 05/20/04 ACCUIMAGE DIAGNOSTICS CORP NV X X 02/20/04 ACE SECURITIES CORP DE X X 05/20/04 ACR GROUP INC TX X X 05/20/04 ADVANCE AUTO PARTS INC DE X X 05/19/04 ADVANCED FIBRE COMMUNICATIONS INC DE X X 05/19/04 ADVANTA BUSINESS RECEIVABLES CORP X 05/20/04 AEROPOSTALE INC X X 05/20/04 ALAMO GROUP INC DE X 05/19/04 ALARIS MEDICAL SYSTEMS INC DE X X 05/18/04 ALFA INTERNATIONAL CORP NJ X 05/19/04 ALLEGHENY ENERGY INC MD X X 05/20/04 AMERISOURCEBERGEN CORP DE X X 05/20/04 AMSURG CORP TN X 05/19/04 ANACOMP INC IN X X 05/18/04 ANACOMP INC IN X 05/19/04 ANTON DIST INC X X X 05/07/04 APPLIED MICRO CIRCUITS CORP DE X X 05/05/04 AQUACELL TECHNOLOGIES INC DE X X 05/20/04 ARI NETWORK SERVICES INC /WI WI X 05/20/04 ATLANTIS BUSINESS DEVELOPMENT CORP DE X 05/14/04 BACK YARD BURGERS INC DE X X 05/19/04 BAKBONE SOFTWARE INC X 05/20/04 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 04/23/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/19/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/20/04 BANC ONE HELOC 1999-1 OH X X 05/20/04 BANC ONE HELOC TRUST 1998-1 OH X X 05/20/04 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 05/20/04 BAR HARBOR BANKSHARES ME X 05/20/04 BEACON POWER CORP DE X X 05/19/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 04/23/04 BOMBAY COMPANY INC DE X 05/19/04 BON TON STORES INC PA X X 05/20/04 BOOTS & COOTS INTERNATIONAL WELL CONT DE X 05/12/04 AMEND BPK RESOURCES INC NV X X 04/12/04 BPK RESOURCES INC NV X X 04/19/04 BRE PROPERTIES INC /MD/ MD X X 05/20/04 C-CHIP TECHNOLOGIES CORP NV X X 05/19/04 CALIFORNIA STEEL INDUSTRIES INC X 05/20/04 CANARGO ENERGY CORP DE X 05/20/04 CAPITAL AUTO RECEIVABLES INC DE X X 05/17/04 CAPITOL REVOLVING HOME EQUITY LOAN TR MD X 05/20/04 CAREY W P & CO LLC DE X 05/20/04 CARRIZO OIL & GAS INC TX X 03/31/04 CASH SYSTEMS INC DE X X 03/30/04 CASUAL MALE RETAIL GROUP INC DE X X 05/20/04 CATALINA MARKETING CORP/DE DE X X 05/17/04 CBL & ASSOCIATES PROPERTIES INC DE X 05/19/04 CBRL GROUP INC TN X X X 05/20/04 CENTRAL VALLEY COMMUNITY BANCORP CA X X 05/19/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 05/13/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 05/17/04 CHESAPEAKE ENERGY CORP OK X 05/19/04 CHINA AUTOPARTS, INC. DE X X 05/17/04 CIENA CORP DE X 05/20/04 CIRMAKER TECHNOLOGY CORP NV X 05/20/04 CITIZENS SOUTH BANKING CORP DE X X 05/17/04 CLAIBORNE LIZ INC DE X X 05/20/04 CLAIRES STORES INC DE X X 05/20/04 CLAYTON WILLIAMS ENERGY INC /DE DE X X 05/20/04 COLUMBIA LABORATORIES INC DE X X 05/19/04 COMDIAL CORP DE X X 05/17/04 COMMONWEALTH ENERGY CORP X X 05/20/04 COMPREHENSIVE CARE CORP DE X X 05/20/04 COOPER INDUSTRIES LTD X X 05/20/04 CORPORATE PROPERTY ASSOCIATES 15 INC MD X X X 04/29/04 COST PLUS INC/CA/ CA X X 05/20/04 CRDENTIA CORP DE X X 05/18/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 05/20/04 CREDIT SUISSE FIRST BOSTON USA INC DE X 05/20/04 CSFB COMMERCIAL MORT PASS THR CERTS S DE X X 05/20/04 CSG SYSTEMS INTERNATIONAL INC DE X 05/20/04 CURAGEN CORP DE X X 05/19/04 DARDEN RESTAURANTS INC FL X 05/20/04 DCB FINANCIAL CORP OH X 05/20/04 DEARBORN BANCORP INC /MI/ MI X X 05/18/04 DECKERS OUTDOOR CORP DE X 05/19/04 DELTA & PINE LAND CO DE X X 05/20/04 DIGITAL POWER CORP CA X X 05/13/04 DIGITAL RECORDERS INC NC X 05/20/04 DIRECTVIEW INC NV X X 05/14/04 DOCUCORP INTERNATIONAL INC DE X X 05/19/04 DOCUMENT SCIENCES CORP DE X X 05/20/04 DOLLAR GENERAL CORP TN X X 05/20/04 DTLL INC MN X X 05/20/04 DUPONT E I DE NEMOURS & CO DE X X 05/20/04 DUSA PHARMACEUTICALS INC NJ X X 05/20/04 E CENTIVES INC DE X 04/19/04 EL PASO CORP/DE DE X X 05/20/04 ENVIRONMENTAL POWER CORP DE X X 05/20/04 EQUUS II INC DE X X 05/20/04 EVERTRUST FINANCIAL GROUP INC WA X X 05/19/04 EXCO RESOURCES INC TX X X 05/19/04 EXELON CORP PA X 05/20/04 EXPLORATION CO OF DELAWARE INC DE X X 05/14/04 FCCC INC CT X X 05/19/04 FINLAY ENTERPRISES INC /DE DE X X 05/06/04 FINLAY ENTERPRISES INC /DE DE X X 05/20/04 FINLAY ENTERPRISES INC /DE DE X X 05/20/04 FINLAY FINE JEWELRY CORP DE X X 05/06/04 FIRST COMMUNITY BANCORP /CA/ CA X X 05/14/04 FIRST HORIZON PHARMACEUTICAL CORP DE X X 05/17/04 FIRST HORIZON PHARMACEUTICAL CORP DE X X 05/19/04 FIRST MIDWEST BANCORP INC DE X X 05/20/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 05/17/04 FIRST VIRTUAL COMMUNICATIONS INC DE X 05/19/04 FIRSTFED FINANCIAL CORP DE X 04/30/04 FLEET HOME EQUITY LOAN LLC DE X 05/20/04 FLEETWOOD ENTERPRISES INC/DE/ DE X X 05/14/04 FLIGHT SAFETY TECHNOLOGIES INC NV X 05/20/04 FMC CORP DE X 05/19/04 FOSTER WHEELER LTD D0 X X 05/14/04 FRANKLIN AUTO TRUST 2003-2 DE X X 04/30/04 FRANKLIN CREDIT MANAGEMENT CORP/DE/ DE X X 05/19/04 FRANKLIN ELECTRONIC PUBLISHERS INC PA X X 05/18/04 FREDS INC TN X X 05/20/04 FREESTAR TECHNOLOGY CORP NV X X 05/04/04 FTI CONSULTING INC MD X X 05/19/04 GANDER MOUNTAIN CO MN X X 05/19/04 GAP INC DE X X X 05/20/04 GENAERA CORP DE X X 05/19/04 GENERAL MOTORS CORP DE X 05/20/04 GEORESOURCES INC CO X 05/20/04 GEORGIA PACIFIC CORP GA X X 05/20/04 GLOBAL MED TECHNOLOGIES INC CO X 05/20/04 GOAMERICA INC DE X X 05/20/04 GOVERNMENT BACKED TRUST T-1 NY X 05/17/04 GROUP 1 AUTOMOTIVE INC DE X X 05/19/04 GSE SYSTEMS INC DE X 03/31/04 GUILFORD PHARMACEUTICALS INC DE X X 05/05/04 HALLIBURTON CO DE X 05/19/04 HALOZYME THERAPEUTICS INC NV X X 03/11/04 AMEND HARVEY ELECTRONICS INC NY X 05/19/04 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 05/18/04 HEALTH FITNESS CORP /MN/ MN X X 05/19/04 HEALTH NET INC DE X X 05/14/04 HIBBETT SPORTING GOODS INC DE X X 05/01/04 HORMEL FOODS CORP /DE/ DE X X 05/20/04 IMMERSION CORP DE X X 05/19/04 INFORMATION ANALYSIS INC VA X X X 03/18/04 INNKEEPERS USA TRUST/FL MD X 05/19/04 INTEGRAMED AMERICA INC DE X X 05/20/04 INTELLISYNC CORP DE X X 05/20/04 INTERNATIONAL MULTIFOODS CORP DE X 05/17/04 INTERNATIONAL STEEL GROUP INC DE X 05/20/04 INVESTOOLS INC DE X 05/20/04 ITRONICS INC TX X 05/14/04 J C PENNEY CO INC DE X 05/18/04 JLG INDUSTRIES INC PA X 05/20/04 JLG INDUSTRIES INC PA X X 05/20/04 JOHNSON OUTDOORS INC WI X X 05/05/04 KIMCO REALTY CORP MD X X 05/18/04 KROLL INC DE X X 05/18/04 LABORATORY CORP OF AMERICA HOLDINGS DE X 05/20/04 LABRANCHE & CO INC DE X X 05/19/04 LACLEDE STEEL CO /DE/ DE X X 04/23/04 LAKELAND INDUSTRIES INC DE X 05/19/04 LASERSIGHT INC /DE DE X X X X X 05/04/04 LEHMAN ABS CORP DE X 05/20/04 LIBERATE TECHNOLOGIES DE X X X 05/17/04 LINCOLN NATIONAL CORP IN X 03/31/04 LNB BANCORP INC OH X 05/19/04 LNB BANCORP INC OH X X 05/20/04 LOCAL FINANCIAL CORP /NV DE X X 05/20/04 LSB BANCSHARES INC /NC/ NC X X 05/19/04 LTV CORP DE X X 05/20/04 LUBRIZOL CORP OH X X 05/20/04 M WAVE INC DE X 05/18/04 MAGNUS INTERNATIONAL RESOURCES, INC. 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