SEC NEWS DIGEST Issue 2004-100 May 24, 2004 ENFORCEMENT PROCEEDING SEC FILES SETTLED OFFERING FRAUD CASE AGAINST FORMER INVESTMENT MANAGER On May 21, the Commission filed a settled administrative action against Christopher Kent Bagdasarian, the former principal of Normandy America Inc. (Normandy). The order barred Bagdasarian from association with any broker, dealer or investment adviser. The Commission instituted the administrative action following resolution of its civil enforcement against Bagdasarian. The civil complaint in that action alleged that Bagdasarian engaged in material misrepresentations in connection with Normandy's initial public offering (IPO). The Commission obtained a Final Judgment against Bagdasarian in that action, enjoining him from further violations of the federal securities laws. The Commission's order found that the civil complaint alleged that Bagdasarian filed a registration statement for Normandy for a $200 million IPO. According to the registration statement, Bagdasarian planned to operate Normandy as a reinsurance company and invest its premium income in equity securities. Normandy's registration statement became effective on Aug. 11, 1995, and its stock commenced trading on the NADSAQ National Market System on Aug. 15, 1995. On Aug. 16, 1995, Normandy withdrew its offering from the market and rescinded all trades. The Commission's order further found that the civil complaint alleged that in furtherance of the IPO, Bagdasarian engaged in a fraudulent scheme to fabricate an investment track record that was included in the registration statement for Normandy's initial public offering; Bagdasarian perpetrated the fraudulent scheme by repeatedly providing false and misleading information to the underwriters and underwriters' counsel; Bagdasarian falsely represented that he achieved a ten-year average annual return of 29.1% managing assets ranging from $250.6 million in 1990 to $731.3 million during 1994, when in fact Bagdasarian managed no such assets; Bagdasarian falsely represented that the $731.3 million in managed assets were located in approximately thirty offshore structures, when in fact there were no such offshore structures; Bagdasarian falsely represented that all of the assets he managed had been disclosed in Normandy's registration statement, and that he had sole authority to make investment decisions for those assets that were not disclosed; and Bagdasarian directed one of his employees to impersonate an investor and provide false information to the underwriters concerning Bagdasarian's investment performance and assets under management. The Commission's order further found that the U.S. District Court for the Southern District of New York entered a Final Judgment against Bagdasarian in the civil enforcement action filed by the Commission. The Final Judgment permanently restrained and enjoined Bagdasarian from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder, and Section 17(a) of the Securities Act of 1933. Without admitting or denying the findings of the Commission's order, Bagdasarian agreed to be barred from association with any broker, dealer or investment adviser pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Investment Advisers Act. (Rels. 34-49753; IA- 2242; File No. 3-11500) SEC INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST OCUMED GROUP, INC.; FILES RELATED CIVIL COMPLAINT On May 24, the Commission instituted administrative proceedings against Ocumed Group, Inc. to determine whether the registration of Ocumed's securities should be suspended or revoked. Ocumed, a Delaware corporation with its principal office in Roseland, N.J., sells a broad range of ophthalmic products for both the prescription and over-the- counter (OTC) pharmaceutical markets. The Commission's Order alleges that Ocumed failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder when it failed to file with the Commission its required Form 10-KSB annual report for its fiscal year ended April 30, 2003, and its Form 10-QSB quarterly reports for its fiscal quarters ended July 31, 2003, Oct. 31, 2003, and Jan. 31, 2004. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Ocumed an opportunity to establish any defenses, and to determine whether the registration of Ocumed's common stock should be suspended or revoked. Pursuant to the Commission's Rules of Practice, an initial decision shall be issued by the administrative law judge within 120 days from service upon Ocumed of the Order Instituting Proceedings. In a related civil action, the Commission filed a complaint in the U.S. District Court for the District of Columbia against Ocumed and two of the company's officers and directors - Alfred Caggia and Louise Cummings - for violating the antifraud provisions of the federal securities laws by including a forged auditor's report in Ocumed's 2002 10-KSB filing with the Commission. The Commission also charges that Caggia violated the recordkeeping, ownership and disclosure, and certification requirements of the federal securities laws. According to the Commission's complaint, in August 2002, Ocumed filed a Form 10-KSB for the fiscal year ended April 30, 2002, that contained what purported to be an auditor report issued by an independent auditor. The complaint alleges that the auditor report was a forgery fabricated to make it appear as if Ocumed's 2002 financial statements were audited when, in fact, no audit ever occurred. The complaint alleges Caggia and Ocumed's now deceased CFO created the forged auditor report and, with Caggia's knowledge, included the forged report in Ocumed's 10-KSB. Caggia and Cummings signed the 10-KSB. The complaint further alleges that Cummings failed to read or take any steps to ascertain whether the filing was true and accurate. The complaint further alleges that Caggia failed to file with the Commission required ownership and disclosure statements identifying his control of a substantial percentage of the outstanding Ocumed shares and his transfer of several shares to other individuals or entities. According to the complaint, Caggia also failed to file certifications of accuracy and completeness required by Sarbanes-Oxley Rule 13a-14 with Ocumed's 10-QSBs for the quarters ended July 31, 2002, Oct. 31, 2002, and Jan. 31, 2003. The complaint seeks an injunction against Ocumed based on its violations of Sections 10(b) and 13(a) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, and 13a-1. It seeks an injunction, officer and director bar, civil monetary penalty, and order of disgorgement against Caggia based on his violations of Exchange Act Sections 10(b), 13(b)(5), 13(d), and 16(a) and Exchange Act Rules 10b-5, 13a-14, 13d-1, 13d-2, and 16a-3, and his aiding and abetting violations of Exchange Act Section 13(a) and Exchange Act Rules 12b-20 and 13a-1. Lastly, the complaint seeks an injunction, officer and director bar, and civil penalty against Cummings based on her violations of Exchange Act Section 10(b) and Exchange Act Rule 10b-5, and her aiding and abetting violations of Exchange Act Section 13(a) and Exchange Act Rules 12b-20 and 13a-1. (In the Matter of Occumed Group, Inc., Rel. 34-49761; File No. 3-11501) [SEC v. Ocumed Group, Inc., et al, Civil Action No. 1:04CV00829, D.D.C.] (LR-18723) SIX INDICTED IN OPERATION OF INTERNET PONZI SCHEME The Commission announced that on March 16, 2004, a federal grand jury in Oklahoma City, Okla., returned a sealed eleven-count indictment against Donald A. English, George M. Anderton, Ronald L. Warner, Aaron A. Carr, Joan M. Eveleno and Sylvia Regina Smith charging the defendants with wire fraud and mail fraud. Specifically, the indictment charges each defendant with five counts of wire fraud and six counts of mail fraud in connection with the operation of an Internet based investment offering called E-Biz Ventures. As of May 18, 2004, all defendants were arrested and arraigned and the seal lifted on the indictment. The defendants are as follows. Donald A. English, defendant, age 56 and arrested in Missouri, was a co- founder of E-Biz Ventures and the registered operator of the two E-Biz websites, which solicited funds from investors. At the time investor funds were being raised, English operated E-Biz Ventures out of his home in Midwest City, Okla. George M. Anderton, age 46 and arrested in Oregon, was a co-founder of E- Biz Ventures with English. Ronald L. Warner, age 71 and arrested in Utah, was a co-founder of E-Biz Ventures with English. Aaron A. Carr, age 30 and arrested in Michigan, was a co-founder of E- Biz Ventures with English. Joan M. Eveleno, age 47 and arrested in Washington state, was a co- founder of E-Biz Ventures. Sylvia Regina Smith, age unknown and arrested in Missouri, was the treasurer of E-Biz Ventures. Previously, on Jan. 31, 2001, the Commission sought and obtained a Temporary Restraining Order and the appointment or a receiver in a civil suit charging English with creating and organizing an Internet ponzi scheme through which at least 22,000 investor accounts lost at least $8.8 million. The Commission further alleged that English used investor funds to repay earlier investors and to purchase thousands of dollars of personal items, including electronic equipment, vehicles, appliances and furniture. The Commission also filed suit against Anderton, Warner, Carr, Eveleno and Steven Wayne McAllister naming these individuals as relief defendants to recover investor funds transferred to them as a part of the E-Biz operation. On July 9, 2001, the Court entered a final judgment by default against English enjoining him from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court further ordered English to disgorge $284,546 and imposed a $110,000 civil monetary penalty against him for his violations of the securities laws. [SEC v. E-Biz Ventures, et al., USDC WD/OK, CIV-01-223-W] (LR-18722) INVESTMENT COMPANY ACT RELEASES PACIFICARE OF ARIZONA, INC., ET AL. A temporary order has been issued under Section 3(b)(2) of the Investment Company Act granting PacifiCare of Arizona, Inc., PacifiCare of California, PacifiCare of Colorado, Inc., PacifiCare of Nevada, Inc., PacifiCare of Oregon, Inc., PacifiCare of Texas, Inc., and PacifiCare of Washington, Inc. (Applicants) a temporary exemption from all provisions of the Act, effective May 26, 2004. Applicants filed an application on March 31, 2003, and amendments on May 23, 2003, Sept. 15, 2003, Jan. 21, 2004, and May 20, 2004, for an order under Section 3(b)(2) declaring that each Applicant is not an investment company. The temporary order further extends the sixty-day automatic exemption provided by Section 3(b)(2) upon the filing of an application in good faith until Sept. 23, 2004, or until the Commission takes final action on the application, if earlier. Prior to the issuance of a permanent order to one or more of the Applicants, if any, the Commission will issue a notice giving interested persons an opportunity to request a hearing. (Rel. IC-26449 - May 21) HOLDING COMPANY ACT RELEASES CONNECTICUT LIGHT AND POWER COMPANY, ET AL. A notice has been issued giving interested persons until June 15, 2004 to request a hearing on a proposal by Connecticut Light and Power Company (CL&P), an electric public utility subsidiary of Northeast Utilities, a registered holding company, and CL&P's subsidiary, CL&P Receivables Corporation (CRC), to engage in an accounts receivable purchase and sale program and for CRC to pay dividends out of capital to CL&P, both through July 3, 2007. (Rel. 35-27847) ALLEGHENY ENERGY INC. A notice has been issued giving interested persons until June 15, 2004, to request a hearing on a proposal by Allegheny Energy Inc., a registered holding company, to eliminate a stockholder protection rights plan. (Rel. 35-27847) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2004-081) filed by NASD through its wholly owned subsidiary, the Nasdaq Stock Market, Inc., relating to the listing of Income Deposit Securities has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of May 24. (Rel. 34-49746) A proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NASD-2004- 055) filed by NASD through its subsidiary, The Nasdaq Stock Market, Inc., relating to clarification of the price/time execution algorithm in The Nasdaq Market Center 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- 49752) PROPOSED RULE CHANGE AND AMENDMENT NO. 1 THERETO The International Securities Exchange has filed a proposed rule change (SR-ISE-2003-22) and Amendment No. 1 Thereunder under Rule 19b-4 of the Exchange Act to modify its pilot program permitting $5 quotation spreads for equity options to include index options, and to seek permanent approval of the pilot program. Publication of the notice is expected in the Federal Register during the week of May 24. (Rel. 34-49754) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2003-89) filed by the American Stock Exchange pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 which implements a new options trading platform known as the Amex New Trading Environment or ANTE. (Rel. 34- 49747) 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 INTERNET CAPITAL GROUP INC, 690 LEE ROAD, SUITE 310, WAYNE, PA, 19087, 610-727-6900 - 0 ($60,000,000.00) Debt Convertible into Equity, (File 333-115702 - May. 21) (BR. 08) S-8 DORAL FINANCIAL CORP, 1451 FRANKLIN D ROOSEVELT AVENUE, SAN JUAN, PR, 00920-2717, 787-474-6700 - 0 ($124,840,000.00) Equity, (File 333-115703 - May. 21) (BR. 07) S-4 ALLIED WASTE INDUSTRIES INC, 15880 N. GREENWAY-HAYDEN LOOP, SUITE 100, SCOTTSDALE, AZ, 85260, 4806272700 - 1,850,000,000 ($1,850,000,000.00) Non-Convertible Debt, (File 333-115704 - May. 21) (BR. 06) S-3 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045, 4107400081 - 0 ($200,000,000.00) Equity, (File 333-115706 - May. 21) (BR. 01) S-3 RED ROBIN GOURMET BURGERS INC, 6312 FIDDLER'S GREEN CIRCLE, GREENWOOD VILLAGE, CO, 80111, 3038466000 - 0 ($53,264,745.00) Equity, (File 333-115707 - May. 21) (BR. 05) S-1 Commercial Vehicle Group, Inc., 6530 WEST CAMPUS WAY, NEW ALBANY, OH, 43054, 614 289 5360 - 0 ($150,000,000.00) Equity, (File 333-115708 - May. 21) (BR. ) S-1 EAUTOCLAIMS COM INC, 110 EAST DOUGLAS RD, OLDSMAR, FL, 34677, 8137491020X241 - 21,749,289 ($6,524,786.00) Equity, (File 333-115709 - May. 21) (BR. 08) S-8 SYNERGY FINANCIAL GROUP INC /NJ/, 310 NORTH AVE EAST, CRANFORD, NJ, 07016, 8006933838 - 79,281 ($749,998.00) Equity, (File 333-115710 - May. 21) (BR. 07) S-8 SYNERGY FINANCIAL GROUP INC /NJ/, 310 NORTH AVE EAST, CRANFORD, NJ, 07016, 8006933838 - 828,131 ($5,445,989.00) Equity, (File 333-115711 - May. 21) (BR. 07) S-8 FEDERATED DEPARTMENT STORES INC /DE/, 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 39,725 ($1,802,323.25) Equity, (File 333-115712 - May. 21) (BR. 02) S-8 QUAKER CHEMICAL CORP, ONE QUAKER PARK, 901 HECTOR STREET, CONSHOHOCKEN, PA, 19428, 6108324000 - 0 ($1,227,000.00) Equity, (File 333-115713 - May. 21) (BR. 06) S-8 FEDERATED DEPARTMENT STORES INC /DE/, 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 32,083,569 ($1,455,631,525.53) Equity, (File 333-115714 - May. 21) (BR. 02) S-8 DIVERSIFIED FINANCIAL RESOURCES CORP, SANDRA JORGENSEN, 1771 WOLVISON WAY, SAN DIEGO, CA, 92154, 6195757904 - 150,000,000 ($225,000.00) Equity, (File 333-115715 - May. 21) (BR. 07) S-3 NAVISTAR FINANCIAL RETAIL RECEIVABLES CORPORATION, 2850 W GOLF RD, ROLLING MEADOWS, IL, 60008, 8477344286 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-115716 - May. 21) (BR. 05) S-8 ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA, 15212-5858, 4125532576 - 0 ($3,250,031,910.40) Equity, (File 333-115717 - May. 21) (BR. 06) S-8 CONSUMER DIRECT OF AMERICA, 20 CORPORATE PARK, SUITE 285, IRVINE, CA, 92606, 949-260-1801 - 750,000 ($1,650,000.00) Equity, (File 333-115718 - May. 21) (BR. 07) S-8 PALOMAR MEDICAL TECHNOLOGIES INC, 82 CAMBRIDGE STREET, SUITE 1, BURLINGTON, MA, 01803, 7819932300 - 4,180,000 ($66,495,440.00) Equity, (File 333-115719 - May. 21) (BR. 36) S-8 NEXIA HOLDINGS INC, 268 WEST 400 SOUTH, STE 300, SALT LAKE CITY, UT, 84101, 8015758073 - 500,000,000 ($850,000.00) Equity, (File 333-115720 - May. 21) (BR. 09) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 20,000,000 ($2,000,000.00) Equity, (File 333-115721 - May. 21) (BR. 05) S-8 SUNRISE TELECOM INC, 302 ENZO DRIVE, ----------------------------------------, SAN JOSE, CA, 95138, 4083638000 - 500,000 ($1,299,100.00) Equity, (File 333-115722 - May. 21) (BR. 37) S-4 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($250,000,000.00) Other, (File 333-115723 - May. 21) (BR. 08) S-3 MAGNETEK INC, 10900 WILSHIRE BOULEVARD, SUITE 850, LOS ANGELES, CA, 90024, 310-689-1600 - 0 ($9,442,300.00) Equity, (File 333-115724 - May. 21) (BR. 36) S-8 GENTIVA HEALTH SERVICES INC, 3 HUNTINGTON QUADRANGLE 2S, MELVILLE, NY, 11747-8943, 6315017000 - 3,862,590 ($55,486,105.00) Equity, (File 333-115725 - May. 21) (BR. 01) S-8 ROYAL BANK OF SCOTLAND GROUP PLC, 42 ST ANDREW SQ, EDINBURGH ENGLAND, X0, EH2 2YE, 442077148161 - 0 ($23,833,643.41) Equity, (File 333-115726 - May. 21) (BR. 07) S-3 STEAK & SHAKE CO, 36 S PENNSYLVANIA ST, CENTURY BLDG - 500, INDIANAPOLIS, IN, 46236, 3176334100 - 53,832 ($935,600.00) Equity, (File 333-115727 - May. 21) (BR. 05) S-8 STEAK & SHAKE CO, 36 S PENNSYLVANIA ST, CENTURY BLDG - 500, INDIANAPOLIS, IN, 46236, 3176334100 - 640,500 ($11,131,890.00) Equity, (File 333-115728 - May. 21) (BR. 05) S-8 NEORX CORP, 300 ELLIOTT AVENUE WEST, SUITE 500, SEATTLE, WA, 98119-4114, 2062817001 - 0 ($8,520,000.00) Equity, (File 333-115729 - May. 21) (BR. 01) S-8 ENESCO GROUP INC, 6308755300 - 0 ($1,770,000.00) Equity, (File 333-115730 - May. 21) (BR. 02) S-8 ENESCO GROUP INC, 6308755300 - 0 ($13,275,000.00) Equity, (File 333-115731 - May. 21) (BR. 02) S-1 WORLDSPAN L P, 300 GALLERIA PARKWAY NW, ATLANTA, GA, 30339-3196, 7705637400 - 0 ($30,000,000.00) Non-Convertible Debt, (File 333-115732 - May. 21) (BR. 03) S-4 GRIFFON CORP, 100 JERICHO QUADRANGLE, JERICHO, NY, 11753, 5169385544 - 0 ($129,610,000.00) Other, (File 333-115733 - May. 21) (BR. 06) S-8 WESTBANK CORP, 225 PARK AVE, PO BOX 149, WEST SPRINGFIELD, MA, 01090-0149, 4137471400 - 92,505 ($1,888,489.58) Equity, (File 333-115734 - May. 21) (BR. 07) S-8 OGE ENERGY CORP, 321 N HARVEY, P O BOX 321, OKLAHOMA CITY, OK, 73101-0321, 4055533000 - 2,700,000 ($63,085,500.00) Equity, (File 333-115735 - May. 21) (BR. 02) S-8 COVALENT GROUP INC, ONE GLENHARDIE CORPORATE CENTER, 1275 DRUMMERS LANE STE 100, WAYNE, PA, 19087, 6109759533 - 0 ($5,088,054.49) Equity, (File 333-115737 - May. 21) (BR. 01) S-3 TAMBORIL CIGAR CO, 1407 N FORT HARRISON AVE, STE F, CLEARWATER, FL, 33755, 727734-7346 - 117,239,736 ($41,033,908.00) Equity, (File 333-115738 - May. 21) (BR. 09) N-2 RMR HEALTHCARE GROWTH & INCOME FUND, 400 CENTRE STREET, NEWTON, MA, 02458-2076, 617-332-9530 - 400,000 ($10,000,000.00) Equity, (File 333-115739 - May. 21) (BR. ) S-3 CSK AUTO CORP, 645 E MISSOURI AVENUE, PHOENIX, AZ, 85012, 6022659200 - 735,613 ($12,233,244.19) Equity, (File 333-115740 - May. 21) (BR. 02) S-8 MERCANTILE BANKSHARES CORP, 2 HOPKINS PLZ, PO BOX 1477, BALTIMORE, MD, 21203, 4102375900 - 0 ($13,372,500.00) Equity, (File 333-115741 - May. 21) (BR. 07) S-4 HOVNANIAN ENTERPRISES INC, 10 HWY 35, PO BOX 500, RED BANK, NJ, 07701, 7327477800 - 0 ($150,000,000.00) Other, (File 333-115742 - May. 21) (BR. 06) S-8 DOCUMENT SCIENCES CORP, 6339 PASEO DEL LAGO, CARLSBAD, CA, 92009, 7606021400 - 1,000,000 ($5,230,000.00) Equity, (File 333-115743 - May. 21) (BR. 03) S-8 PCS EDVENTURES COM INC, 1655 FAIRVIEW AVE, #100, BOISE, ID, 83702, 10,000,000 ($3,500,000.00) Equity, (File 333-115744 - May. 21) (BR. 37) S-8 GRAPHIC PACKAGING CORP, 814 LIVINGSTON COURT, MARIETTA, GA, 30067, 7706443000 - 0 ($116,576,364.30) Equity, (File 333-115745 - May. 21) (BR. 04) S-3 LANNETT CO INC, 9000 STATE RD, PHILADELPHIA, PA, 19136, 2153339000 - 4,000,000 ($64,600,000.00) Equity, (File 333-115746 - May. 21) (BR. 01) S-8 NUVELO INC, 675 ALMANOR AVE, SUNNYVALE, CA, 94085, 4085248100 - 4,750,000 ($38,522,500.00) Equity, (File 333-115747 - May. 21) (BR. 01) F-3 CHIPMOS TECHNOLOGIES BERMUDA LTD, SCIENCE BASED INDUSTRIAL PARK, R&D RD, HSINCHU TAIWAN, F5, 300, 88635770055 - 0 ($156,140,489.00) Equity, (File 333-115748 - May. 21) (BR. 36) S-8 DIRECTVIEW INC, 21218 SAINT ANDREWS BOULEVARD, NO. 323, BOCA RATON, FL, 33432, 5619885554 - 20,000,000 ($1,700,000.00) Equity, (File 333-115749 - May. 21) (BR. 08) S-8 TELUS CORP, 3777 KINGSWAY, BURNABY, D1, 00000, 2,100,000 ($32,539,500.00) Equity, (File 333-115750 - May. 21) (BR. 37) S-8 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 130,000,000 ($436,800,000.00) Equity, (File 333-115751 - May. 21) (BR. 37) SB-2 PATRIOT SCIENTIFIC CORP, 10989 VIA FRONTERA, SAN DIEGO, CA, 92127, 8586745000 - 90,712,470 ($9,298,028.00) Equity, (File 333-115752 - May. 21) (BR. 37) S-8 HANMI FINANCIAL CORP, 3660 WILSHIRE BLVD SUITE PH-A, LOS ANGELES, CA, 90010, 2133822200 - 68,707 ($701,855.75) Equity, (File 333-115753 - May. 21) (BR. 07) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($11,928,750.00) Equity, (File 333-115754 - May. 21) (BR. 02) S-8 AVISTAR COMMUNICATIONS CORP, 555 TWIN DOLPHINS, STE 360, REDWOOD SHORES, CA, 94065, 6506102900 - 0 ($2,200,000.00) Equity, (File 333-115755 - May. 21) (BR. 03) S-3 1 800 CONTACTS INC, 13751 S WADSWORTH PARK DR SUITE D-140, DRAPER, UT, 84020, 8015728225 - 0 ($2,386,742.76) Equity, (File 333-115756 - May. 21) (BR. 02) S-3 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 0 ($168,525,000.00) Debt Convertible into Equity, (File 333-115757 - May. 21) (BR. 04) F-2 CTRIP COM INTERNATIONAL LTD, 3F BUILDING 63-64 NO 421 HONG CAE ROAD, PEOPLES REPUBLIC OF CHINA, SHANGHAI, F4, 00000, 862134064880 - 0 ($61,532,241.00) ADRs/ADSs, (File 333-115758 - May. 21) (BR. 08) S-3 SPECTRUM PHARMACEUTICALS INC, 157 TECHNOLOGY DR, IRVINE, CA, 92618, 9497886700 - 0 ($34,170,053.75) Equity, (File 333-115759 - May. 21) (BR. 01) S-1 ML JWH STRATEGIC ALLOCATION FUND LP, MERRILL LYNCH INVESTMENT PARTNERS, WORLD FINANCIAL CTR SOUTH TOWER 6TH FL, NEW YORK, NY, 10080, 2122364167 - 4,400,000 ($1,000,556,400.00) Other, (File 333-115760 - May. 21) (BR. 08) S-3 ALABAMA NATIONAL BANCORPORATION, 1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35209, 2055833600 - 0 ($75,000,000.00) Equity, (File 333-115761 - May. 21) (BR. 07) S-8 LSI LOGIC CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 0 ($60,600,000.00) Equity, (File 333-115762 - May. 21) (BR. 36) S-8 CORINTHIAN COLLEGES INC, 6 HUTTON CENTRE DR, SUITE 400, SANTA ANA, CA, 92707, 7144273000 - 0 ($148,284,000.00) Equity, (File 333-115763 - May. 21) (BR. 37) S-3 PRICE LEGACY CORP, 17140 BERNARDO CENTER DRIVE, SUITE 300, SAN DIEGO, CA, 92128, 8586759400 - 0 ($429,596,345.00) Equity, (File 333-115764 - May. 21) (BR. 08) S-3 FERRELLGAS PARTNERS L P, ONE LIBERTY PLAZA, LIBERTY, MO, 64068, 8167921600 - 1,528,104 ($32,090,184.00) Limited Partnership Interests, (File 333-115765 - May. 21) (BR. 02) S-8 KOSAN BIOSCIENCES INC, 3832 BAY CENTER PLACE, HAYWARD, CA, 94545, 5107328400 - 1,000,000 ($12,160,000.00) Equity, (File 333-115766 - May. 21) (BR. 01) S-3 BANKUNITED FINANCIAL CORP, 255 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134, 3055692000 - 0 ($120,000,000.00) Debt Convertible into Equity, (File 333-115767 - May. 21) (BR. 07) S-3 DJ ORTHOPEDICS INC, 2985 SCOTT STREET, VISTA, CA, 92083, 7607271280 - 0 ($79,199,078.00) Equity, (File 333-115768 - May. 21) (BR. 36) S-4 Wizards-Patriots Holdings, Inc., 6677 RICHMOND HIGHWAY, ALEXANDRIA, VA, 22306, 703-718-6600 - 0 ($796,047,377.00) Equity, (File 333-115769 - May. 21) (BR. ) S-8 MCDONALDS CORP, ONE MCDONALD'S PLZ, OAK BROOK, IL, 60523, 6306233000 - 0 ($1,353,479,557.00) Equity, (File 333-115770 - May. 21) (BR. 05) S-3 TRIPATH TECHNOLOGY INC, 2560 ORCHARD PARKWAY, SAN JOSE, CA, 95131, 408-750-3000 - 0 ($60,000,000.00) Equity, (File 333-115771 - May. 21) (BR. 36) S-8 ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012, 5405613225 - 5,746,847 ($41.09) Equity, (File 333-115772 - May. 21) (BR. 02) 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 3D SYSTEMS CORP DE X 05/19/04 ABERCROMBIE & FITCH CO /DE/ DE X X 05/20/04 ACCREDITED HOME LENDERS INC DE X X 05/21/04 ALDILA INC DE X X 05/20/04 ALLTEL CORP DE X X 02/23/04 AMERICAN COMMUNITY BANCSHARES INC NC X X 05/20/04 AMERICAN EDUCATION CORP NV X X 05/13/04 AMERICAN EDUCATION CORP NV X X 05/19/04 AMERICAN HONDA REC CORP HONDA AUTO RE CA X X 04/30/04 AMERICAN HONDA RECEIVABLES CORP AUTO CA X X 04/30/04 AMERICAN HONDA RECEIVABLES CORP HONDA CA X X 04/30/04 AMERICAN HONDA RECEIVABLES CORP HONDA CA X X 04/30/04 AMERICAN RIVER HOLDINGS CA X X 05/21/04 AMERICAN WOODMARK CORP VA X 05/21/04 AMERICAN WOODMARK CORP VA X 05/21/04 AMERIQUEST MORTGAGE SECURITIES INC DE X X 05/20/04 AMYLIN PHARMACEUTICALS INC DE X X X 05/20/04 APACHE MOTOR CORP NV X 09/08/03 ARGENT SECURITIES INC ASSET-BACKED PA X X 05/06/04 ARGENT SECURITIES INC ASSET-BACKED PA X X 05/21/04 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE X X 05/07/04 ASPENBIO INC CO X 05/21/04 ATA HOLDINGS CORP IN X X 05/21/04 ATMOSPHERIC GLOW TECHNOLOGIES INC DE X X 03/05/04 AMEND BAIRNCO CORP /DE/ DE X 05/21/04 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 05/21/04 AMEND BCB BANCORP INC X X 05/21/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 05/21/04 AMEND BIG LOTS INC OH X X X 05/19/04 BIOSPHERE MEDICAL INC DE X 05/21/04 BJS WHOLESALE CLUB INC DE X 05/21/04 BLUE RIVER BANCSHARES INC IN X X 05/21/04 BMW FS SECURITIES LLC X 05/20/04 BONUSAMERICA WORLDWIDE CORP. NV X X X 05/12/04 BORLAND SOFTWARE CORP DE X 05/18/04 BRAINTECH INC NV X 05/12/04 BSI2000 INC DE X 05/07/04 BUCKLE INC NE X 05/13/04 BUY IT CHEAP COM INC /DE DE X 05/06/04 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 05/20/04 CARREKER CORP DE X 05/20/04 CATERPILLAR FINANCIAL FUNDING CORP NV X 05/20/04 CEDAR SHOPPING CENTERS INC MD X 03/05/04 AMEND CHAMPION INDUSTRIES INC WV X 05/21/04 CHASE CREDIT CARD MASTER TRUST NY X X 05/17/04 CHASE CREDIT CARD MASTER TRUST NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2001-1 DE X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2001-4 DE X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2001-5 DE X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-1 DE X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-2 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-3 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-4 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-5 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-6 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-7 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2002-8 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-1 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-2 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-3 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-4 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-5 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2003-6 NY X X 05/17/04 CHASE CREDIT CARD OWNER TRUST 2004-1 NY X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2000 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2001 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2001 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2002 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2002 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE X X 05/17/04 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE X X 05/17/04 CHASE MANHATTAN AUTO TRUST 2004-A DE X X 05/17/04 CHASE MANHATTAN BANK CHASE CREDIT CAR DE X X 05/17/04 CHASE MANHATTAN BANK CHASE CREDIT CAR DE X X 05/17/04 CHASE MANHATTAN BANK CHASE CREDIT CAR DE X X 05/17/04 CHASE MANHATTAN BANK USA CHASE CREDIT DE X X 05/17/04 CHASE MANHATTAN BANK USA CHASE CREDIT DE X X 05/17/04 CHASE MANHATTAN BANK USA CHASE CREDIT DE X X 05/17/04 CHASE MANHATTAN BANK USA CHASE MANHAT DE X X 05/17/04 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 05/17/04 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 05/17/04 CHESAPEAKE ENERGY CORP OK X 05/20/04 CHITTENDEN CORP /VT/ VT X 05/21/04 CHUBB CORP NJ X 05/14/04 CIB MARINE BANCSHARES INC WI X 05/21/04 CNH WHOLESALE RECEIVABLES INC DE X X 05/17/04 COLDWATER CREEK INC DE X X 05/20/04 COMMERCE ONE INC / DE/ DE X 05/20/04 COMMERCIAL NATIONAL FINANCIAL CORP /P PA X 12/31/03 CONCORDE CAREER COLLEGES INC DE X X 05/19/04 CONSOLIDATED CONTAINER CO LLC DE X X 05/21/04 COORS ADOLPH CO CO X 05/21/04 CORPORATE ASSET BACKED CORP CABCO SER DE X X 05/20/04 CPI CORP DE X 05/19/04 CREDIT ACCEPTANCE CORPORATION MI X X 05/19/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 05/21/04 CROSSTEX ENERGY LP DE X X 04/01/04 AMEND CSFB MORTGAGE BACKED PASS THR CERTS S DE X 05/21/04 CUNO INC DE X X 05/19/04 CWMBS INC DE X 05/21/04 DEUTSCHE MORTGAGE SECURITIES INC X X 05/21/04 DOMINION RESOURCES BLACK WARRIOR TRUS DE X X 05/20/04 DYNEGY INC /IL/ IL X X 05/20/04 EASTERN AMERICAN NATURAL GAS TRUST DE X 03/31/04 EDGE PETROLEUM CORP DE X X 05/20/04 EDISON INTERNATIONAL CA X X 05/20/04 ELECTRONICS BOUTIQUE HOLDINGS CORP DE X X 05/20/04 ELITE FLIGHT SOLUTIONS INC DE X 04/26/04 EMULEX CORP /DE/ DE X X 05/21/04 ENERGY EAST CORP NY X X 05/21/04 ENERGY TRANSFER PARTNERS LP DE X X 05/21/04 ENRON CORP/OR/ OR X X 05/21/04 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL X 05/18/04 ENZON PHARMACEUTICALS INC DE X 05/21/04 EVERGREEN RESOURCES INC CO X X 05/20/04 EVERGREENBANCORP INC WA X X 05/20/04 EZCORP INC DE X 05/14/04 FELCOR LODGING L P DE X 05/21/04 FELCOR LODGING TRUST INC MD X 05/17/04 FERRELLGAS PARTNERS L P DE X 05/21/04 FINANCIAL INDUSTRIES CORP TX X X 05/21/04 FINLAY ENTERPRISES INC /DE DE X X 05/21/04 FINLAY FINE JEWELRY CORP DE X X 05/20/04 FINLAY FINE JEWELRY CORP DE X X 05/21/04 FIRST FINANCIAL CORP /IN/ IN X 05/19/04 FIRST HORIZON ASSET SECURITIES INC DE X X 05/20/04 FIRST INDIANA CORP IN X X 05/10/04 FIRST INDIANA CORP IN X X 05/10/04 FIRST LITCHFIELD FINANCIAL CORP DE X 05/19/04 FIRST MONTAUK FINANCIAL CORP NJ X X 05/20/04 FIRST NATIONAL BANC INC GA X X 05/14/04 FIRST NATIONAL BANCSHARES INC/ FL/ FL X X X 05/21/04 FIRST NATIONAL FUNDING LLC NE X 05/17/04 FIRST PLACE FINANCIAL CORP /DE/ DE X X 05/21/04 FREMONT GENERAL CORP NV X 05/20/04 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 05/19/04 GEORGIA PACIFIC CORP GA X X 05/07/04 GETTY REALTY CORP /MD/ MD X X 05/21/04 GEVITY HR INC FL X X 05/21/04 GLOBAL DIGITAL SOLUTIONS INC NJ X 03/25/04 GOLDMAN SACHS ASSET BACKED SECURITIES X X 05/20/04 GS AUTO LOAN TRUST 2004-1 X X 03/22/04 GS MORTGAGE SECURITIES CORP DE X X 05/19/04 HALLIBURTON CO DE X X 05/18/04 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 05/19/04 HARRAHS ENTERTAINMENT INC DE X 05/19/04 HEALTHSOUTH CORP DE X X 05/20/04 HIENERGY TECHNOLOGIES INC DE X 05/21/04 HONDA AUTO RECEIVABLES 2001-2 OWNER T DE X X 04/30/04 HONDA AUTO RECEIVABLES 2001-3 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2002-1 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2002-2 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2002-3 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2002-4 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2003-1 OWNER T CA X X 04/30/04 HONDA AUTO RECEIVABLES 2004-1 OWNER T CA X X 04/30/04 HUDSON CITY BANCORP INC DE X X 05/21/04 I2 TECHNOLOGIES INC DE X X 05/07/04 IGI INC DE X 05/18/04 INFORMATION HOLDINGS INC DE X X 05/21/04 INTERCEPT INC GA X X 05/20/04 INTERNATIONAL BANCSHARES CORP TX X 05/21/04 KERR MCGEE CORP /DE DE X X 05/21/04 KIMCO REALTY CORP MD X 05/20/04 KIRKLANDS INC X 05/19/04 KRONOS WORLDWIDE INC X 05/20/04 LEHMAN ABS CORP DE X 05/21/04 LIBERTY HOMES INC IN X X 05/21/04 LIBERTY SELF STOR INC MD X X 05/20/04 LSB BANCSHARES INC /NC/ NC X X 05/20/04 LUCENT TECHNOLOGIES INC DE X 05/20/04 MADDEN STEVEN LTD DE X X 05/20/04 MAGELLAN MIDSTREAM PARTNERS LP DE X 05/20/04 MAINSOURCE FINANCIAL GROUP IN X X 05/21/04 MARCONI CORP PLC X0 X 05/21/04 MARTEK BIOSCIENCES CORP DE X X 05/21/04 MAXWELL TECHNOLOGIES INC DE X X 05/20/04 AMEND MED DIVERSIFIED INC NV X 03/12/04 AMEND MEDTOX SCIENTIFIC INC DE X X 05/19/04 MERRILL LYNCH & CO INC DE X X 05/21/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 05/06/04 MERRITT VENTURES CORP NV X X 05/05/04 MESA OFFSHORE TRUST TX X X 05/21/04 MESA ROYALTY TRUST/TX TX X X 05/21/04 MGI PHARMA INC MN X X 05/20/04 MIDDLEBY CORP DE X X 05/19/04 MIDWAY GAMES INC DE X X X 05/07/04 MONRO MUFFLER BRAKE INC NY X X 05/20/04 MORGAN STAN DEAN WIT CAP COM MORT PS DE X X 05/13/04 MORTGAGE PASS THROUGH CERTIFICATES SE DE X X 05/20/04 NATIONAL COMMERCE FINANCIAL CORP TN X X 05/10/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 04/30/04 NAVISTAR FINANCIAL RETAIL REC CORP NA DE X 04/30/04 NELSON THOMAS INC TN X X 05/20/04 NEOSE TECHNOLOGIES INC DE X X 05/20/04 NEW CENTURY HOME EQUITY LOAN TRUST 20 DE X X 04/21/04 NEW YORK COMMUNITY BANCORP INC DE X X 05/19/04 NL INDUSTRIES INC NJ X 05/20/04 NOMURA ASSET ACCEPTANCE CORP DE X X 05/20/04 NORTHERN BORDER PARTNERS LP DE X X 05/21/04 NORTHERN BORDER PIPELINE CO TX X X 05/21/04 ONEOK INC /NEW/ OK X X 05/20/04 ORION POWER HOLDINGS INC X X 05/18/04 PACIFIC CAPITAL BANCORP /CA/ CA X 05/11/04 AMEND PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 05/21/04 PARTNERS TRUST FINANCIAL GROUP INC X 04/15/04 PENNSYLVANIA COMMERCE BANCORP INC X 05/21/04 PEREGRINE SYSTEMS INC DE X 05/19/04 PHARMION CORP X X 05/19/04 PLUG POWER INC DE X X 05/19/04 PRIME GROUP REALTY TRUST MD X 05/20/04 PROVIDENT BANKSHARES CORP MD X 05/18/04 PROVIDIAN MASTER TRUST X X 05/17/04 PURE CYCLE CORP DE X X 05/14/04 REGAL ENTERTAINMENT GROUP DE X X 05/20/04 REHABCARE GROUP INC DE X X 05/21/04 RELIANT ENERGY INC DE X X 05/18/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 05/20/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 05/21/04 RIVERSIDE PARK ASSOCIATES LP DE X 04/30/04 ROCKFORD CORP AZ X X 05/13/04 ROUSE COMPANY MD X 05/21/04 SAVE THE WORLD AIR INC NV X 05/20/04 SCARAB SYSTEMS INC NV X 05/20/04 SELECT COMFORT CORP MN X 05/20/04 SERENA SOFTWARE INC DE X X X 05/20/04 SHIRE PHARMACEUTICALS GROUP PLC X X 05/21/04 SL GREEN REALTY CORP MD X X 05/14/04 SOURCE INTERLINK COMPANIES INC MO X 05/21/04 SOURCECORP INC DE X X 05/21/04 SOUTHERN CALIFORNIA EDISON CO CA X X 05/20/04 SPACEHAB INC \WA\ WA X X 05/17/04 AMEND SPRINGHILL LAKE INVESTORS LTD PARTNER MD X 03/29/04 ST JOSEPH CAPITAL CORP DE X 05/20/04 STEELCLOUD INC VA X X 05/21/04 STERLING BANCORP NY X X 05/20/04 STRUCTURED ASSET MORT INV INC MORT P DE X X 05/20/04 STRUCTURED ASSET MORT INV INC MORT PA DE X X 05/20/04 STRUCTURED ASSET MORT INV INC MORT PS DE X X 05/20/04 STRUCTURED ASSET MORT PASS THRU CERTS DE X X 05/20/04 STRUCTURED ASSET MORTGAGE INVEST MORT X X 05/20/04 STRUCTURED ASSET MORTGAGE INVEST TRUS NY X X 05/20/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 05/20/04 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 05/20/04 SUN VACATION PROPERTIES CORP NV X 05/21/04 SUPERCONDUCTOR TECHNOLOGIES INC DE X 05/20/04 TANKLESS SYSTEMS WORLDWIDE INC NV X 02/23/04 AMEND TAYLOR ANN STORES CORP DE X X 05/20/04 TAYLOR CAPITAL GROUP INC DE X 05/21/04 TBX RESOURCES INC TX X X 11/30/03 AMEND TECUMSEH PRODUCTS CO MI X X 05/21/04 TELKONET INC X X X 05/19/04 THOMAS INDUSTRIES INC DE X X 05/20/04 TORCH ENERGY ROYALTY TRUST DE X 05/21/04 TOREADOR RESOURCES CORP DE X 05/20/04 UNIVERSAL CORP /VA/ VA X X 05/20/04 US ONCOLOGY INC DE X X 05/21/04 USF CORP DE X 05/21/04 USI HOLDINGS CORP DE X X 05/21/04 VAXGEN INC DE X X 05/20/04 VERIZON COMMUNICATIONS INC DE X X 05/21/04 VIISAGE TECHNOLOGY INC DE X 01/23/04 WACHOVIA ASSET SEC INC ASST BACK NOTE NC X X 02/25/04 WACHOVIA ASSET SEC INC ASST BACK NOTE NC X X 03/25/04 WACHOVIA ASSET SEC INC ASST BACK NOTE NC X X 04/26/04 WACHOVIA ASSET SECURITIZATION INC 200 NC X X 02/25/04 WACHOVIA ASSET SECURITIZATION INC 200 NC X X 03/25/04 WACHOVIA ASSET SECURITIZATION INC 200 NC X X 04/26/04 WAL MART STORES INC DE X 05/21/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 05/20/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 05/20/04 WELLS FARGO ASSET SECURITIES CORP DE X X 05/20/04 WET SEAL INC DE X X 05/20/04 WFN CREDIT CO LLC DE X 05/17/04 WHIRLPOOL CORP /DE/ DE X X 05/20/04 WINLAND ELECTRONICS INC MN X X 05/19/04 YELLOW ROADWAY CORP DE X 05/21/04 YUM BRANDS INC NC X X 05/20/04 ZKID NETWORK CO NV X X 05/19/04 ZYMOGENETICS INC WA X X 05/20/04