SEC NEWS DIGEST Issue 2004-139 July 21, 2004 RULES AND RELATED MATTERS COMMISSION RELEASE PROPOSING RULES THAT WOULD REQUIRE REGISTRATION OF CERTAIN HEDGE FUND ADVISERS UNDER THE INVESTMENT ADVISERS ACT On July 20, the Commission issued its release proposing new Rule 203(b)(3)-2 that would require hedge fund advisers to register with the Commission under the Investment Advisers Act of 1940. The Commission's release also proposes related rule amendments. The Commission's staff estimate that approximately 40 to 50 percent of all hedge fund advisers are currently registered with the Commission. Registration under the new rule would permit the Commission to-- * Collect and provide to the public basic information about hedge funds and hedge fund advisers, including the number of hedge funds operating in the United States, the amount of assets, and the identity of their advisers. * Examine hedge fund advisers to identify compliance problems early and deter questionable practices. If fraud does occur, examinations offer a chance to discover it early and limit the harm to investors. * Require all hedge fund advisers to adopt basic compliance controls to prevent violation of the federal securities laws. * Improve disclosures made to prospective and current hedge fund investors. * Prevent felons or individuals with other serious disciplinary records from managing hedge funds. The proposed new rule would require advisers to "private funds" to register with the Commission by requiring the advisers to "look through" the funds and to count the number of investors (rather than the fund) when determining whether the advisers are eligible for the Adviser Act's exemption for advisers with 14 or fewer clients. A "private fund" would be one that o would be an investment company but for the exceptions in Sections 3(c)(1) or 3(c)(7) of the Investment Company Act of 1940; o permits owners to redeem their ownership interests within two years of purchase; and o is offered based on the investment advisory skills, ability or expertise of the investment adviser. The proposed rule contains special provisions for advisers located outside the United States designed to limit the extraterritorial application of the Advisers Act to offshore advisers to offshore funds that have U.S. investors. (Rel. IA-2266; File No. S7-30-04) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ROBERT BALSAMO, ET AL. On July 20, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to Robert Balsamo (Order). The Order finds that Balsamo, while a registered representative at various broker-dealers, received bribes in exchange for creating retail demand for one penny stock, Hytk Industries, Inc., by recommending that stock to his retail customers. The Order further finds that Balsamo did not disclose to his customers that he received additional compensation to make his penny stock recommendations. Based on the above, the Order finds that Balsamo willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Balsamo to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Balsamo from participating in any offering of penny stock, and (3) bars Balsamo from association with any broker or dealer. Balsamo consented to the issuance of the Order without admitting or denying the factual findings therein. (Rels. 33-8445; 34-50041; File No. 3-10230) IN THE MATTER OF SPIRO LAZARETOS, ET AL. On July 20, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to Spiro Lazaretos (Order). The Order finds that Lazaretos, while a registered representative at various broker-dealers, received bribes in exchange for creating retail demand for five penny stocks, ATR Industries, Inc., Learner's World, Inc., Rollerball International, Inc., Hytk Industries, Inc., and Healthwatch Inc., by recommending those stocks to his retail customers. The Order further finds that Lazaretos did not disclose to his customers that he received additional compensation to make his penny stock recommendations. Based on the above, the Order finds that Lazaretos willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Lazaretos to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Lazaretos from participating in any offering of penny stock, and (3) bars Lazaretos from association with any broker or dealer. Lazaretos consented to the issuance of the Order without admitting or denying the factual findings therein. (Rels. 33-8446; 34-50042; File No. 3-10230) IN THE MATTER OF KONSTANTINOS DINO SONITIS, ET AL. On July 20, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to Konstantinos Dino Sonitis (Order). The Order finds that Sonitis, while a registered representative at various broker-dealers, received bribes in exchange for creating retail demand for one penny stock, Healthwatch Inc., by recommending that stock to his retail customers. The Order further finds that Sonitis did not disclose to his customers that he received additional compensation to make his penny stock recommendations. Based on the above, the Order finds that Sonitis willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Sonitis to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Sonitis from participating in any offering of penny stock, and (3) bars Sonitis from association with any broker or dealer. Sonitis consented to the issuance of the Order without admitting or denying the factual findings therein. (Rels. 33-8447; 34-50043; File No. 3-10230) IN THE MATTER OF MICHAEL GRECCO, ET AL. On July 20, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to Michael T. Grecco (Order). The Order finds that Grecco, an undisclosed promoter of microcap securities, arranged for the payment of bribes to brokers to induce those brokers to cause their retail customers to purchase five penny stocks, ATR Industries, Inc., Learner's World, Inc., Rollerball International, Inc., Hytk Industries, Inc., and Healthwatch Inc., while associated with DMN Capital Investments, Inc. Grecco received substantial profits for arranging such bribe payments to brokers. Based on the above, the Order finds that Grecco willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Grecco to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Grecco from participating in any offering of penny stock, (3) bars Grecco from association with any broker or dealer, and (4) orders Grecco to pay disgorgement of $45,000 plus prejudgment interest, but waives payment of such amount and does not impose a civil penalty based upon Grecco's sworn representations in his statement of financial condition. Grecco consented to the issuance of the Order without admitting or denying the factual findings therein. (Rels. 33-8448; 34-50044; File No. 3-10230) IN THE MATTER OF VLADIMIR CARVALLO, ET AL. On July 20, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 ) (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to Vladimir Carvallo (Order). The Order finds that Carvallo, while a registered representative at various broker-dealers, received bribes in exchange for creating retail demand for two penny stocks, Power Explorations, Inc. and Hytk Industries, Inc., by recommending those stocks to his retail customers. The Order further finds that Carvallo did not disclose to his customers that he received additional compensation to make his penny stock recommendations. Based on the above, the Order finds that Carvallo willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Carvallo to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Carvallo from participating in any offering of penny stock, and (3) bars Carvallo from association with any broker or dealer. Carvallo consented to the issuance of the Order without admitting or denying the factual findings therein. (Rels. 33-8449; 34-50045; File No. 3-10230) IN THE MATTER OF CARY KAHN An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions By Default (Default Order) in the Matter of Cary R. Kahn. The Order Instituting Proceedings alleged that Cary R. Kahn violated Section 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 Default Order finds these allegations to be true and orders Cary R. Kahn to cease and desist from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and to disgorge $12,186.21, plus $1,217.54 in prejudgment interest. (Rel. 34-50046; File No. 3-11468) IN THE MATTER OF CURRENCY TRADING INTERNATIONAL, INC., ET AL. An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions By Default Against Currency Trading International, Inc., and Christian J. Weber (Default Order) in the Matter of Currency Trading International, Inc., et al. The Order Instituting Proceedings alleged that on May 3, 2004, the U.S. District Court for the Central District of California entered a final judgment which, among other things, permanently enjoined Currency Trading International, Inc., and Christian J. Weber from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5. The Default Order finds these allegations to be true. It revokes the registration of Currency Trading International, Inc., as a broker-dealer, and bars Christian J. Weber from association with any broker or dealer. (Rel. 34-50050; File No. 3-11503) COURT GRANTS SUMMARY JUDGMENT AGAINST THOMAS CAVANAGH, FRANK NICOLOIS AND EIGHT OTHER DEFENDANTS AND FINDS THAT THEY ENGAGED IN PUMP-AND-DUMP SCHEME COURT ORDERS OVER $18 MILLION IN DISGORGEMENT AND $3.3 MILLION IN PENALTIES On July 15, U.S. District Judge Denise Cote granted summary judgment in favor of the Commission and against the ten remaining defendants in a civil action arising out of the fraudulent offering and sale of securities of Electro-Optical Systems Corporation. In its order, the court found that Thomas Cavanagh, Frank Nicolois, and their company U.S. Milestone had violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and that Thomas Brooksbank, James Franklin, and Thomas Hantges had violated Securities Act Sections 5(a) and 5(c). The Court also granted summary judgment against relief defendants Karen Cavanagh, Beverly Nicolois, their company Cromlix, LLC, and Edward Kaufer. In granting the Commission's motion for summary judgment, the court permanently enjoined Cavanagh, Nicolois, and Milestone from violating, directly or indirectly, Securities Act Sections 5(a), 5(c) and 17(a) and Exchange Act Section 10(b). The court permanently enjoined Brooksbank, Franklin, and Hantges from violating, directly or indirectly, Securities Act Sections 5(a) and 5(c). The court also ordered that Cavanagh, Nicolois, and Milestone pay, jointly and severally, disgorgement of $15,564,863.02 - the total amount of the market fraud - plus interest, less any disgorgement amounts actually paid by other defendants and relief defendants. Cavanagh, Nicolois, and Milestone were also each ordered to pay a civil penalty of $1,000,000. The court ordered Brooksbank, Franklin, and Hantges to pay, jointly and severally, disgorgement of $889,275.00 plus interest. In addition, Brooksbank, Franklin, and Hantges were ordered to individually pay disgorgement of $185,337.79, $50,926.50, and $304,654.29, respectively, plus interest. These three defendants were also each ordered to pay a civil penalty of $125,000. Relief defendants Karen Cavanagh, Beverly Nicolois, and their company Cromlix were ordered to pay, jointly and severally, disgorgement of $803,660.75 plus interest. Relief defendant Edward Kaufer and defendant Brooksbank were ordered to pay, jointly and severally, disgorgement of $213,150.97 plus interest. The order granting the Commission's motion for summary judgment resolves all outstanding claims. [SEC v. Thomas Cavanagh, et al., 98 Civ. 1818 (SDNY) DLC] (LR-18787) INVESTMENT COMPANY ACT RELEASES DREYFUS FOUNDERS FUNDS, INC., ET AL. An order has been issued on an application filed by Dreyfus Founders Funds, Inc., et al., under Section 6(c) of the Investment Company Act exempting applicants from Sections 18(f) and 21(b) of the Act, under Section 12(d)(1)(J) of the Act exempting applicants from Section 12(d)(1) of the Act, under Sections 6(c) and 17(b) of the Act exempting applicants from Sections 17(a)(1) and (3) of the Act; and under Section 17(d) of the Act and Rule 17d-1 under the Act permitting certain joint transactions. The order permits certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-26499 - July 20) MMA PRAXIS MUTUAL FUNDS, ET AL. An order has been issued on an application filed by MMA Praxis Mutual Funds, et al. under Section 17(b) of the Investment Company Act granting an exemption from Section 17(a) of the Act. The order permits certain entities excluded from the definition of investment company under Section 3(c)(10) or 3(c)(11) of the Act to transfer certain classes of assets held in separate accounts to two series of a registered open-end management investment company in exchange for shares of the series. (Rel. IC-26500 - July 20) STANDARDS SETTING BOARDS PROPOSED RULES The Commission is publishing for public comment rules proposed by the Public Company Accounting Oversight Board (PCAOB) relating to oversight of non-U.S. registered public accounting firms (PCAOB-2004-04) under Section 19(b)(1) of the Exchange Act. The proposed rules address the PCAOB's oversight of non-U.S. accounting firms that register with the PCAOB and the PCAOB's assistance to non-U.S. authorities in their oversight of U.S. firms. Publication of the proposed rules is expected in the Federal Register during the week of July 19. The comment period will end 21 days after the proposed rules are published in the Federal Register. (Rel. 34-50047) 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 SENECA FOODS CORP /NY/, 3736 SOUTH MAIN STREET, MARION, NY, 14534, 315 926 8100 - 967,742 ($17,670,969.00) Equity, (File 333-117491 - Jul. 20) (BR. 04) S-3 HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, SOUTH JORDAN, UT, 84095, 801-984-9400 - 5,750,000 ($172,500,000.00) Debt Convertible into Equity, (File 333-117492 - Jul. 20) (BR. 06) SB-2 CADENCE RESOURCES CORP, 6 EAST ROSE ST, WALLA WALLA, WA, 99362, 509-526-3491 - 841,500 ($1,632,510.00) Equity, (File 333-117493 - Jul. 20) (BR. 04) S-8 CONNECTICUT WATER SERVICE INC / CT, 93 W MAIN ST, CLINTON, CT, 06413, 8606698630 - 0 ($17,346,000.00) Equity, (File 333-117494 - Jul. 20) (BR. 02) SB-2 Creative Solutions With Art, Inc., 32C HADLEY VILLAGE ROAD, SOUTH HADLEY, MA, 01075, 413-532-4838 - 900,300 ($9,003.00) Equity, (File 333-117495 - Jul. 20) (BR. 09) S-8 PURE WORLD INC, P O BOX 74, 376 MAIN ST, BEDMINSTER, NJ, 07921, 9082349220 - 1,986,400 ($4,508,818.00) Equity, (File 333-117496 - Jul. 20) (BR. 07) S-8 SYNGENTA AG, SCHWARZWALDALLEE 215, (41-61) 697-1111, BASEL SWITZERLAND, V8, 4058, 660,000 ($11,193,600.00) Equity, (File 333-117497 - Jul. 20) (BR. 04) S-8 BOSTON COMMUNICATIONS GROUP INC, 100 SYLVAN RD, STE 100, WOBURN, MA, 01801-1830, 7819045000 - 750,000 ($7,110,000.00) Equity, (File 333-117498 - Jul. 20) (BR. 37) SB-2 12 TO 20 PLUS INC, 3485 SACRAMENTO DRIVE, SUITE F, SAN LUIS OBISPO, CA, 93401, 8055437228 - 25,000,000 ($1,000,000.00) Other, (File 333-117499 - Jul. 20) (BR. 06) SB-2 OXFORD TECHNOLOGIES INC, 80 WALL STREET, SUITE 818, NEW YORK, NY, 10005, 2128091200 - 5,213,000 ($5,213,000.00) Equity, (File 333-117500 - Jul. 20) (BR. 09) S-8 TASTY FRIES INC, 650 SENTRY PKWY STE ONE, BLUE BELL, PA, 19422, 6109412109 - 200,000 ($32,000.00) Equity, (File 333-117501 - Jul. 20) (BR. 04) S-8 VOICE DIARY INC, PO BOX BOX 30, 200 ROBBINS LANE, JERICHO, NY, 11753, 1,000 ($120,000.00) Equity, (File 333-117503 - Jul. 20) (BR. 37) S-8 BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827, 7139188800 - 2,363,716 ($34,734,806.62) Equity, (File 333-117504 - Jul. 20) (BR. 03) S-8 AUTOLIV INC, 3350 AIRPORT RD, OGDEN, UT, 84405, 8016299800 - 2,000,000 ($81,000,000.00) Equity, (File 333-117505 - Jul. 20) (BR. 05) S-8 CYBERSOURCE CORP, 1295 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043, 4085569100 - 0 ($11,264,000.00) Equity, (File 333-117507 - Jul. 20) (BR. 03) S-8 SOUTH FINANCIAL GROUP INC, 102 S MAIN ST, GREENVILLE, SC, 29601, 8642557900 - 1,009,936 ($12,655,432.00) Equity, (File 333-117508 - Jul. 20) (BR. 07) S-8 ELBIT MEDICAL IMAGING LTD, ADVANCED TECHNOLOGY CENTER, HAIFA ISRAEL, L3, 31053, 584,500 ($5,187,437.50) Equity, (File 333-117509 - Jul. 20) (BR. 36) S-8 DIAMOND OFFSHORE DRILLING INC, 15415 KATY FREEWAY, HOUSTON, TX, 77094, 7134925300 - 750,000 ($17,670,000.00) Equity, (File 333-117512 - Jul. 20) (BR. 04) S-8 EXCEL TECHNOLOGY INC, 41 RESEARCH WAY, E SETUAKET, NY, 11733, 631-784-6175 - 1,000,000 ($29,046,500.00) Equity, (File 333-117513 - Jul. 20) (BR. 36) S-3 MSC INDUSTRIAL DIRECT CO INC, 75 MAXESS RD, MELVILLE, NY, 11747, 516-812-2000 - 0 ($176,312,250.00) Equity, (File 333-117514 - Jul. 20) (BR. 06) S-3 SEAGATE TECHNOLOGY, P.O. BOX 309GT, UGLAND HOUSE, SOUTH CHURCH STREET, GEORGE TOWN, GRAND CAYMAN, E9, 00000, 345-949-8066 - 60,000,000 ($751,200,000.00) Equity, (File 333-117517 - Jul. 20) (BR. 03) SB-2 POP N GO INC, 12429 E PUTNAM ST, WHITTIER, CA, 90602, 5629459351 - 123,209,165 ($3,326,647.46) Equity, (File 333-117518 - Jul. 20) (BR. 06) S-8 ELSCINT LTD, 13 MOZES STREET, TEL AVIV ISRAEL, L3, 67442, 01197236086011 - 0 ($3,935,250.00) Equity, (File 333-117519 - Jul. 20) (BR. 36) S-3 ROXIO INC, 461 S MILPITAS BLVD, MILPITAS, CA, 95035, 4089572553 - 5,025,000 ($20,703,000.00) Equity, (File 333-117520 - Jul. 20) (BR. 03) S-8 ADZONE RESEARCH INC, 4062-80 GRUMMAN BLVD, SUITE 201, CALVERTON, NY, 11933, 631-369-1100 - 5,000,000 ($1,450,000.00) Equity, (File 333-117521 - Jul. 20) (BR. 02) SB-2 LOCATEPLUS HOLDINGS CORP, 100 CUMMINGS CENTER, SUITE 235M, BEVERLY, MA, 01915, 978-921-2727 - 12,820,000 ($4,230,600.00) Equity, (File 333-117522 - Jul. 20) (BR. 03) S-3 VALENTIS INC, 863A MITTEN RD, BURLINGAME, CA, 94010, 6506971900 - 0 ($25,983,753.84) Equity, (File 333-117523 - Jul. 20) (BR. 01) S-8 NEW YORK MORTGAGE TRUST INC, 1301 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, 2126349400 - 0 ($3,758,580.00) Equity, (File 333-117524 - Jul. 20) (BR. 08) S-8 INAMED CORP, 5540 EKWILL STREET, SUITE D, SANTA BARBARA, CA, 93111-2919, 8056925400 - 0 ($38,239,500.00) Equity, (File 333-117525 - Jul. 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 ------------------------------------------------------------------------------------------------ 3COM CORP DE X 07/20/04 99 CENTS ONLY STORES CA X X 07/20/04 ACS HOLDINGS INC X X X 06/14/04 AMEND ACXIOM CORP DE X X X 07/20/04 ADVANCED FIBRE COMMUNICATIONS INC DE X 07/20/04 ADVANCED REFRIGERATION TECHNOLOGIES I CA X 06/15/04 ADVANTA BUSINESS RECEIVABLES CORP X 07/20/04 AEHR TEST SYSTEMS CA X X 07/20/04 AEOLUS PHARMACEUTICALS, INC. DE X 07/20/04 AK STEEL HOLDING CORP DE X X 07/20/04 AK STEEL HOLDING CORP DE X 07/20/04 ALEXION PHARMACEUTICALS INC DE X X 07/20/04 ALLEGHENY TECHNOLOGIES INC DE X X X 07/20/04 ALTRIA GROUP INC VA X X 07/20/04 AMERICAN ECOLOGY CORP DE X X 07/20/04 AMERICAN RETIREMENT CORP TN X 07/20/04 AMERISERV FINANCIAL INC /PA/ PA X 06/30/04 AMERITRADE HOLDING CORP DE X X 07/20/04 AMPCO PITTSBURGH CORP PA X 06/30/04 APPLIED MICRO CIRCUITS CORP DE X X 07/20/04 AQUILA INC DE X X 07/19/04 ARENA PHARMACEUTICALS INC DE X X 07/20/04 ARKANSAS BEST CORP /DE/ DE X X 07/20/04 ARLINGTON HOSPITALITY INC DE X X 07/15/04 ARROW FINANCIAL CORP NY X X 07/20/04 ASK JEEVES INC DE X 05/06/04 AMEND ASSET BACKED SECURITIES CORP DE X 07/20/04 ATMI INC DE X X 07/19/04 AUDIOVOX CORP DE X X 07/15/04 AUTONATION INC /FL DE X 07/20/04 AVALONBAY COMMUNITIES INC MD X 07/19/04 AVERY DENNISON CORPORATION DE X X 07/20/04 AVNET INC NY X 07/19/04 BAIRNCO CORP /DE/ DE X X 07/03/04 BANC ONE HELOC 1999-1 OH X X 07/20/04 BANC ONE HELOC TRUST 1998-1 OH X X 07/20/04 BANCORP RHODE ISLAND INC X X 07/20/04 BANK ONE AUTO SECURITIZATION TRUST 20 DE X X 07/20/04 BARD C R INC /NJ/ NJ X 07/20/04 BEACH FIRST NATIONAL BANCSHARES INC SC X X 07/20/04 BEARD CO /OK OK X X 07/20/04 BELLAVISTA CAPITAL INC MD X X 07/19/04 BIG LOTS INC OH X 07/19/04 BIOMARIN PHARMACEUTICAL INC DE X X 07/20/04 BIOVERIS CORP DE X 07/20/04 BLACKROCK INC /NY DE X X 07/20/04 BLOUNT INTERNATIONAL INC DE X X 07/20/04 BLUE MARTINI SOFTWARE INC X X 07/20/04 BNP RESIDENTIAL PROPERTIES INC MD X X 07/19/04 BOISE CASCADE CORP DE X X 07/20/04 BOSTON PROPERTIES INC DE X X 07/20/04 BOSTON PROPERTIES LTD PARTNERSHIP X X 07/20/04 BRIDGE BANCORP INC NY X X 07/19/04 BRIGHAM EXPLORATION CO DE X X 07/19/04 CACI INTERNATIONAL INC /DE/ DE X 07/20/04 CAPITAL BANK CORP NC X X 07/16/04 CAPITAL ONE FUNDING LLC X X 07/14/04 CAREMARK RX INC DE X 07/20/04 CARRIER ACCESS CORP DE X X 07/20/04 CDW CORP IL X X 07/20/04 CENTRAL COAST BANCORP CA X X 06/30/04 CERIDIAN CORP /DE/ DE X X 07/19/04 CHAMPPS ENTERTAINMENT INC DE X 07/19/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 07/19/04 CHEESECAKE FACTORY INCORPORATED DE X X 07/20/04 CHUBB CORP NJ X 07/19/04 CITIGROUP INC DE X 07/20/04 CITIGROUP MORTGAGELN TR ORIGEN MANU H X X 07/15/04 CITY HOLDING CO WV X X 07/19/04 CNA FINANCIAL CORP DE X 07/15/04 CNF INC DE X 06/30/04 COLE NATIONAL CORP /DE/ DE X X 07/20/04 COLE NATIONAL GROUP INC DE X X 07/20/04 CONSOL ENERGY INC X 07/20/04 CONSOLIDATED FREIGHTWAYS CORP DE X 07/20/04 CONTINENTAL AIRLINES INC /DE/ DE X X 07/20/04 COORS ADOLPH CO CO X 07/19/04 COPPER MOUNTAIN NETWORKS INC DE X X 07/20/04 CORGENTECH INC DE X 07/20/04 CORRECTIONAL PROPERTIES TRUST MD X X 07/19/04 CORUS BANKSHARES INC MN X X 07/20/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 07/20/04 CRESCENT FINANCIAL CORP NC X X X 07/19/04 CROMPTON CORP DE X X 07/19/04 CROSS TIMBERS ROYALTY TRUST TX X 07/20/04 CROWN FINANCIAL GROUP INC NJ X X X 06/23/04 CROWN MEDICAL SYSTEMS INC X 07/18/04 AMEND CURIS INC DE X 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