SEC NEWS DIGEST Issue 2004-170 September 2, 2004 ENFORCEMENT PROCEEDINGS PERMANENT INJUNCTION AND CIVIL MONEY PENALTIES ORDERED AGAINST MARSHALL SCHIELD AND SCHIELD MANAGEMENT COMPANY The Commission announced that on Aug. 26, 2004, the U.S. District Court for the District of Colorado entered a Final Judgment of permanent injunction against Schield Management Company and Marshall L. Schield. In its complaint, the Commission alleged that at the direction of its president, Marshall L. Schield, Schield Management Company, an investment adviser registered with the Commission, destroyed and altered documents it was required to produce during the course of a statutorily authorized Commission examination. The complaint also alleged that Marshall Schield directed Schield Management personnel to destroy e- mails, tamper with logs reflecting losses suffered by clients due to trading errors, and destroy Personal Identification Numbers (PINs) used in trading. Schield and Schield Management Company, without admitting or denying the allegations of the complaint, consented to the order which permanently enjoins and restrains them from failing to make and keep such records as the Commission by rule, has prescribed or failing to make all records available for examination by representatives of the Commission in violation of Section 204 of the Investment Advisers Act [15 U.S.C. § 80b- 4] and Rule 204-2 thereunder [17 C.F.R. § 275.240-2]. Schield and Schield Management Company were also ordered to pay a civil money penalty in the amounts of $75,000 and $100,000 respectively. [SEC v. Schield Management Company and Marshall L. Schield, Civil Action No. 03- B-1332 (Dist. of Colo.)] (LR-18865) JUDGMENT OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DEFENDANT STANLEY WASSER The Commission announced that on Aug. 23, 2004, the U.S. District Court for the Southern District of Florida entered a Judgment of Permanent Injunction and Other Relief (Judgment) against Defendant Stanley Wasser (Wasser). The Judgment, entered with Wasser’s consent, enjoins him from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 15(a) and 10b of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Judgment also permanently bars Wasser from participating in a penny stock offering. In addition to injunctive relief, the Judgment provides for disgorgement, prejudgment interest and the imposition of a civil penalty in amounts to be reached by agreement of the parties and/or by the Court upon the SEC’s motion. [SEC v. Vector Medical Technologies, Inc., Michael H. Salit, James P. Farnell, Michael J. Farnell, David A. Zimmerman and Stanley B. Wasser, Case NO. 03-80858-CIV-HURLEY (S.D. FLa.)] (LR-18866) COURT APPROVES COMMISSION’S PLAN FOR DISTRIBUTING TO INJURED SHAREHOLDERS $150,000,001 PAID BY BRISTOL-MYERS SQUIBB COMPANY IN CONNECTION WITH SETTLEMENT OF CASE INVOLVING EARNINGS MANAGEMENT SCHEME The Commission today announced that the Honorable Faith S. Hochberg, United States District Court Judge for the District of New Jersey has entered an order (Order) approving the Commission’s proposed plan (Plan) for distributing the money paid by defendant Bristol-Myers Squibb Company (BMS) in connection with its settlement of the above matter to injured shareholders. On Aug. 4, 2004, BMS consented, without admitting or denying liability, to a permanent injunction enjoining it from violating certain provisions of the federal securities laws, agreed to pay $150,000,001 million in monetary remedies, and undertook to perform numerous remedial measures. The Order provides that the $150,000,001 paid by BMS to settle the SEC’s claims against it (SEC Settlement Fund) will be transferred to the claims administrator appointed in a similar case, In re Bristol-Myers Squibb Securities Litigation, Master File No. 02-CV-2251 (LAP), pending in the United States District Court for the Southern District of New York (BMS Securities Litigation Settlement), by agreement of the parties in order to save substantial administration and distribution costs. The claims administrator is the Garden City Group, 105 Maxess Road, Melville, NY 11747-3836, 1-800-327-3664. The $150,000,001 is eligible to be distributed pro rata to persons and entities who purchased BMS common stock between Jan. 1, 2000, through and including Dec. 31, 2001, the period of BMS’ fraudulent earnings management scheme. This recovery will be in addition to the $300,000,000 recovered by the plaintiffs in BMS Securities Litigation Settlement. Eligible shareholders must submit a Proof of Claim and Release Form no later than Jan. 31, 2005. The Commission’s investigation is continuing. [SEC v. Bristol-Myers Squibb Company, Civil Action No. 04-3680 (D.N.J.) Hochberg, J.] (LR- 18867) SEC OBTAINS ASSET FREEZE AND ORDER PRESERVING ALL DOCUMENTS AGAINST CHARLES HARRIS, TRADEWINDS INTERNATIONAL, L.L.C. AND TRADEWINDS INTERNATIONAL II, L.P. On September 1, in federal court in Chicago, the Commission obtained an order freezing the assets of Charles L. Harris, of Winnetka, Illinois, Tradewinds International II, LP and Tradewinds International, L.L.C. based on their fraudulent offer and sale of securities in violation of federal securities laws. The Court also ordered the Defendants to preserve all documents. The Commission’s complaint and Motions further request orders of temporary, preliminary and permanent injunction, disgorgement, civil penalties and other relief against the Defendants. In coordination with the SEC, the Commodity Futures Trading Commission simultaneously obtained an order of similar relief for commodities and futures fraud. The Court has set a hearing for Tuesday, September 7 on the other relief sought. The complaint alleges that Defendants fraudulently raised at least $10 million from at least 30 investors for Tradewinds II, a private investment “hedge fund,” since July 2001. The complaint further alleges that the Defendants made false and misleading statements to investors regarding Tradewinds II’s past rates of return, net asset value and the use of investor funds. The complaint alleges that, in July 2004, Harris sent certain investors e-mails and a DVD in which he confessed that he had falsely reported a 12% annual profit to investors in Tradewinds II for 2003, when in reality, Tradewinds II lost a significant amount of money. Harris also claimed to have fled the country and to have taken the claimed remaining investor assets offshore. The complaint also alleges that, while Harris told investors in 2003 that Tradewinds II’s net asset value was between $18 and $23 million, trading account statements reflect a total value of at most $1.1 million during 2003, and approximately $30,000 at the end of the year. The complaint further alleges that, contrary to representations to investors, Harris used investor funds for purposes other than trading. The complaint alleges that, in 2003 and 2004, at least $2.4 million of investor funds were never transferred to the trading accounts, but were used instead for Harris’ personal and business expenses and to repay investors at artificially inflated rates, while Tradewinds II secretly incurred losses. The Court’s Order finds that there is good cause to believe that Defendants have violated and will continue to engage in fraud in violation of Section17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder unless immediately restrained and enjoined. [SEC v. Charles L. Harris, Tradewinds International, L.L.C. and Tradewinds International II, L.P., Civil Action No. 04 C 5725, N.D.Ill.] (LR-18868) HOLDING COMPANY ACT RELEASES NATIONAL GRID TRANSCO, PLC, ET AL. A notice has been issued giving interested persons until September 24 to request a hearing on a proposal by National Grid Transco plc (National Grid Transco), and its registered holding company subsidiaries National Grid Holdings One plc, National Grid (US) Investments, National Grid General Partnership, National Grid USA, and National Grid Holdings Inc, and National Grid USA’s public utility subsidiaries New England Power Company, Massachusetts Electric Company, The Narragansett Electric Company, Granite State Electric Company, Nantucket Electric Company, New England Electric Transmission Corporation, New England Hydro- Transmission Corporation, New England Hydro-Transmission Electric Co. Inc., and Niagara Mohawk Power Corporation and the direct and indirect nonutility subsidiaries of National Grid Transco (collectively, Applicants). Applicants propose to engage, through Sept. 30, 2007, in a series of financings and activities including issuance of securities, hedging transactions, a money pool agreement, and creation of certain subsidiary companies. (Rel. 35-27888; International Series Rel. 1280) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval to a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2004-02) relating to amendments to the MSRB’s Rule G-12(f) on automated comparison, and G-14 on transaction reporting, and to the implementation of a facility for real-time transaction reporting and price dissemination. (Rel. 34- 50294) The Commission approved a proposed rule change by the Pacific Exchange (SR-PCX-2004-49) submitted amending its rules governing the Archipelago Exchange by adding a new order modifier entitled “Don’t Arb Me.” (Rel. 34-50296) IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC-2004- 08), which became effective upon filing, to enhance DTC’s Investor’s Voluntary Redemptions and Sales service to allow for the communication and processing of unit investment trust rollover instructions. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50279) A proposed rule change (SR-CBOE-2004-39) and Amendment No. 1 thereto filed by the Chicago Board Options Exchange to extend the pilot program for maximum bid/ask differentials has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34-50292) PROPOSED RULE CHANGES The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2004-13) under Section 19(b)(2) of the Securities Exchange Act that would amend the section of OCC’s By-Laws that allows OCC to borrow against its clearing fund. Publication of the proposal is expected in the Federal Register during the week of August 30. (Rel. 34-50280) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2004- 41) and Amendment No. 1 thereto to amend Section 303A of the NYSE Listed Company Manual relating to corporate governance. Publication of the proposal is expected in the Federal Register during the week of September 6. (Rel. 34-50298) 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 MuniHoldings California Fund, Inc., 800 SCUDDERS MILL RD, PLAINSBORO, NJ, 08536, 609-282-5904 - 66,667 ($1,000,005.00) Other, (File 333-118710 - Sep. 1) (BR. 17) N-2 MuniHoldings New York Fund, Inc., 800 SCUDDERS MILL RD, PLAINSBORO, NJ, 08536, 609-282-5904 - 66,667 ($1,000,005.00) Other, (File 333-118711 - Sep. 1) (BR. 17) S-3 FRANKLIN STREET PROPERTIES CORP /MA/, 401 EDGEWATER PL, STE 200, WAKEFIELD, MA, 01880, 7815571300 - 25,000,091 ($442,501,611.00) Equity, (File 333-118712 - Sep. 1) (BR. 08) S-8 CHEMED CORP, 2600 CHEMED CTR, 255 E FIFTH ST, CINCINNATI, OH, 45202, (513)762-6900 - 700,000 ($34,692,000.00) Equity, (File 333-118714 - Sep. 1) (BR. 37) N-2 BLACKROCK GLOBAL FLOATING RATE INCOME TRUST, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 212-754-5336 - 40 ($1,000,000.00) Equity, (File 333-118715 - Sep. 1) (BR. 22) S-3 STARCRAFT CORP /IN/, PO BOX 1903, 1123 SOUTH INDIANA AVENUE, GOSHEN, IN, 46526, 5745347827 - 1,671,539 ($15,394,874.00) Equity, (File 333-118716 - Sep. 1) (BR. 05) S-3 STARCRAFT CORP /IN/, PO BOX 1903, 1123 SOUTH INDIANA AVENUE, GOSHEN, IN, 46526, 5745347827 - 200,000 ($1,842,000.00) Equity, (File 333-118717 - Sep. 1) (BR. 05) S-8 THERMADYNE HOLDINGS CORP /DE, 101 S HANLEY ROAD, ST LOUIS, MO, 63105, 3147215573 - 0 ($24,875,586.00) Equity, (File 333-118718 - Sep. 1) (BR. 36) SB-2 Logicom Inc., #39516, 105-10151 NO.3 ROAD, RICHMOND, A1, V7A 4R6, 6046185547 - 1,375,000 ($27,500.00) Equity, (File 333-118719 - Sep. 1) (BR. 09) S-8 NATIONAL OILWELL INC, 10000 RICHMOND AVENUE, 4TH FLOOR, HOUSTON, TX, 77042-4200, 7133467500 - 3,900,000 ($115,947,000.00) Equity, (File 333-118721 - Sep. 1) (BR. 04) S-3 ACE LTD, ACE BLDG, 30 WOODBOURNE AVE, HAMILTON HM 08 BERMU, D0, 00000, 8092955200 - 0 ($1,075,000,000.00) Other, (File 333-118722 - Sep. 1) (BR. 01) S-8 IAC/INTERACTIVECORP, 152 WEST 57TH ST, 42ND FLOOR, NEW YORK, NY, 10019, 2123147300 - 0 ($11,974,308.36) Equity, (File 333-118724 - Sep. 1) (BR. 05) S-8 AIRTRAX INC, 870B CENTRAL AVENUE, HAMMONTON, NJ, 08037, 609-567-7800 - 40,000 ($39,400.00) Equity, (File 333-118725 - Sep. 1) (BR. 36) S-8 SUEZ, 16 RUE DE LA VILLE L EVEQUE, PARIS FRANCE, I0, 75008, 01133140066400 - 100,000 ($1,938,000.00) Equity, (File 333-118726 - Sep. 1) (BR. 02) SB-2 IKONA GEAR INTERNATIONAL INC, 609 GRANVILLE STREET - SUITE 880, PO BOX 10321 PACIFIC CENTRE, VANCOUVER, A1, V7Y 1G5, 604-685-5510 - 2,530,493 ($3,226,378.57) Equity, (File 333-118727 - Sep. 1) (BR. 09) S-8 MOTIENT CORP, 300 KNIGHTSBRIDGE, PKY., LINCOLNSHIRE, IL, 60069, 8474784200 - 1,000,000 ($9,850,000.00) Equity, (File 333-118728 - Sep. 1) (BR. 37) S-8 AXONYX INC, 500 7TH AVENUE, 10TH FLOOR, NEW YORK, NY, 10018, 2126457704 - 4,825,000 ($20,199,250.00) Equity, (File 333-118729 - Sep. 1) (BR. 01) S-8 1 800 CONTACTS INC, 13751 S WADSWORTH PARK DR SUITE D-140, DRAPER, UT, 84020, 8015728225 - 0 ($4,879,000.00) Equity, (File 333-118730 - Sep. 1) (BR. 02) S-8 VALERO ENERGY CORP/TX, P.O. BOX 696000, SAN ANTONIO, TX, 78269-6000, 2103452000 - 5,000,000 ($323,800,000.00) Equity, (File 333-118731 - Sep. 1) (BR. 04) S-8 BURLINGTON NORTHERN SANTA FE CORP, 2650 LOU MENK DR, FT WORTH, TX, 76131-2830, 8173526856 - 0 ($249,655,000.00) Equity, (File 333-118732 - Sep. 1) (BR. 05) S-3 HANMI FINANCIAL CORP, 3660 WILSHIRE BLVD SUITE PH-A, LOS ANGELES, CA, 90010, 2133822200 - 3,947,369 ($127,105,281.80) Equity, (File 333-118733 - Sep. 1) (BR. 07) S-3 AVID TECHNOLOGY INC, METROPOLITAN TECHNOLOGY PARK, ONE PARK WEST, TEWKSBURY, MA, 01876, 9786406789 - 0 ($271,808,000.00) Equity, (File 333-118734 - Sep. 1) (BR. 36) S-4 VIALINK CO, 13155 NOEL ROAD SUITE 800, DALLAS, TX, 75240, 4059362500 - 0 ($3,771,244.00) Equity, (File 333-118735 - Sep. 1) (BR. 03) S-8 CAPITAL BANCORP INC, 1816 HAYES STREET, NASHVILLE, TN, 37203, 6153279000 - 0 ($9,550,345.00) Equity, (File 333-118736 - Sep. 1) (BR. 07) F-9 ENCANA CORP, 1800 855 2ND STREET SW, PO BOX 2850, CALGARY, A0, T2P 2S5, (403) 645-2000 - 2,000,000,000 ($2,000,000,000.00) Non-Convertible Debt, (File 333-118737 - Sep. 1) (BR. 04) S-3 CAPITALSOURCE INC, 0 ($330,000,000.00) Debt Convertible into Equity, (File 333-118738 - Sep. 1) (BR. 07) S-3 RENAISSANCE MORTGAGE ACCEPTANCE CORP, MCKEE NELSON LLP, 5 TIMES SQUARE 35TH FLOOR, NEW YORK, NY, 10036, 9177774200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-118739 - Sep. 1) (BR. 05) S-1 HouseValues, Inc., 15 LAKE BELLEVUE, SUITE 202, BELLEVUE, WA, 98005, (425) 454-0088 - 0 ($86,250,000.00) Equity, (File 333-118740 - Sep. 1) (BR. ) S-3 WYNN RESORTS LTD, 3145 LAS VEGAS BLVD S., LAS VEGAS, NV, 89109, 7027334444 - 0 ($51,346,654.00) Equity, (File 333-118741 - Sep. 1) (BR. 05) S-8 STEWART & STEVENSON SERVICES INC, 2707 N LOOP W, HOUSTON, TX, 77008, 7138687700 - 0 ($4,902,000.00) Equity, (File 333-118742 - Sep. 1) (BR. 36) S-8 IPAYMENT INC, 40 BURTON HILLS BLVD, SUITE 415, NASHVILLE, TN, 37215, 6156651856 - 355,326 ($11,679,565.62) Equity, (File 333-118743 - Sep. 1) (BR. 08) S-3 CAPITALSOURCE INC, 0 ($225,000,000.00) Debt Convertible into Equity, (File 333-118744 - Sep. 1) (BR. 07) S-3 ASHFORD HOSPITALITY TRUST INC, 14180 DALLAS PARKWAY 9TH FL, DALLAS, TX, 75254, 9724909600 - 0 ($55,509,137.00) Equity, (File 333-118746 - Sep. 1) (BR. 08) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off- Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 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 DATE COMMENT ------------------------------------------------------------------------------------------------ ABGENIX INC DE 1.01 08/26/04 ACG HOLDINGS INC DE 1.01 08/30/04 ACT TELECONFERENCING INC CO 5.02,9.01 08/30/04 ACTION PERFORMANCE COMPANIES INC AZ 5.02,9.01 08/19/04 AEROCENTURY CORP DE 1.01 08/31/04 AEROCENTURY CORP DE 1.01 08/30/04 AMEND AEROPOSTALE INC 7.01,9.01 09/01/04 AETHER SYSTEMS INC DE 2.04,8.01 08/30/04 ALABAMA POWER CO AL 3.02 08/19/04 ALLOY INC DE 2.02 09/01/04 Alternative Loan Trust 2004-10CB 9.01 08/25/04 Alternative Loan Trust 2004-12CB 9.01 08/25/04 Alternative Loan Trust 2004-13CB 9.01 08/25/04 Alternative Loan Trust 2004-14T2 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-15 9.01 08/25/04 Alternative Loan Trust 2004-16CB 9.01 08/25/04 Alternative Loan Trust 2004-7T1 9.01 08/25/04 Alternative Loan Trust 2004-8CB 9.01 08/25/04 ALTERNATIVE LOAN TRUST 2004-9T1 9.01 08/25/04 AMARILLO BIOSCIENCES INC TX 4.01,9.01 09/01/04 AMEND AMCON DISTRIBUTING CO DE 2.01,9.01 06/17/04 AMEND AMEREN CORP MO 5.02,8.01 09/01/04 AMERICAN BIO MEDICA CORP NY 4.01,9.01 08/03/04 AMEND AMERICAN ELECTRIC POWER CO INC NY 1.01,9.01 09/01/04 AMERICAN SCIENCE & ENGINEERING INC MA 1.01 09/01/04 AMERICAN SCIENCE & ENGINEERING INC MA 1.01 09/01/04 American Security Resources Corp. NV 8.01 08/30/04 AMERIGAS PARTNERS LP DE 5.02 09/01/04 AMERITRADE HOLDING CORP DE 7.01 08/30/04 AML COMMUNICATIONS INC DE 1.01,7.01,9.01 08/30/04 AML COMMUNICATIONS INC DE 2.01,9.01 06/18/04 AMEND AMSURG CORP TN 7.01,9.01 09/01/04 AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 09/01/04 APPLEWOODS RESTAURANTS INC NV 5.01,5.02,5.03 08/26/04 ARISTOTLE CORP DE 7.01,9.01 08/30/04 ASCENT ASSURANCE INC DE 1.01,5.02,9.01 09/01/04 ASIA PACIFIC RESOURCES LTD 8.01 09/01/04 ASIAINFO HOLDINGS INC DE 5.02 08/31/04 ASSET-BACKED PASS-THROUGH CERTIFICATE DE 8.01 08/25/04 ATWOOD OCEANICS INC TX 7.01,8.01,9.01 09/01/04 AVANIR PHARMACEUTICALS CA 5.03,9.01 08/26/04 AVID TECHNOLOGY INC DE 9.01 08/20/04 AMEND AVOCENT CORP DE 8.01,9.01 09/01/04 AVONDALE INC GA 1.01,9.01 08/26/04 AXESSTEL INC NV 5.02,8.01,9.01 09/01/04 AXIS CAPITAL HOLDINGS LTD 8.01,9.01 09/01/04 Banc of America Alternative Loan Trus DE 8.01,9.01 08/25/04 Banc of America Mortgage Securities M DE 8.01,9.01 08/25/04 Banc of America Mortgage Securities M DE 8.01,9.01 08/25/04 BARR PHARMACEUTICALS INC DE 2.03 08/30/04 BARRIER THERAPEUTICS INC DE 5.02,7.01,9.01 09/01/04 BAXTER INTERNATIONAL INC DE 5.02,9.01 09/01/04 BEAR STEARNS ARM TRUST, MORTGAGE PASS DE 8.01,9.01 08/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 08/25/04 BEAZER HOMES USA INC DE 1.01,1.02,9.01 09/01/04 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.01,9.01 09/01/04 BELLAVISTA CAPITAL INC MD 7.01 08/31/04 BF ACQUISITION GROUP III INC FL 2.01,3.02,3.03,5.01,5.02,5.03 08/31/04 BIO SOLUTIONS MANUFACTURING, INC. NY 8.01 08/27/04 BIOSANTE PHARMACEUTICALS INC WY 1.01,9.01 08/27/04 BISYS GROUP INC DE 5.02 08/31/04 BLACK & DECKER CORP MD 2.03 09/01/04 BLUE RIVER BANCSHARES INC IN 1.01,9.01 08/31/04 BLUEGREEN CORP MA 2.03 08/26/04 BRINKER INTERNATIONAL INC DE 5.02 08/26/04 BROOKE CORP KS 2.03 09/01/04 BUTLER NATIONAL CORP DE 8.01,9.01 09/01/04 CAMCO FINANCIAL CORP DE 2.01,9.01 08/20/04 CAN AM AUTO SALES INC NV 1.01 08/31/04 CAPITAL SOUTHWEST CORP TX 4.01 08/26/04 CARDINAL HEALTH INC OH 8.01 09/01/04 CARREKER CORP DE 2.02,9.01 08/31/04 CASCADE CORP OR 2.02,9.01 08/26/04 CASCADE CORP OR 2.02,9.01 08/26/04 AMEND CATALINA MARKETING CORP/DE DE 8.01,9.01 09/01/04 CENTENNIAL COMMUNICATIONS CORP /DE DE 2.02,9.01 09/01/04 CENTURY ALUMINUM CO DE 1.01,2.03,8.01,9.01 08/26/04 CHAMPION ENTERPRISES INC MI 1.01,9.01 08/30/04 CHARLIE MAC TRUST 2004-1, MORTGAGE PA DE 8.01,9.01 08/25/04 CHINA WORLD TRADE CORP NV 3.02 08/26/04 CHL Mortgage Pass Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 08/25/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITICORP MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE 8.01 08/25/04 CLIFTON SAVINGS BANCORP INC 7.01,9.01 09/01/04 CMS ENERGY CORP MI 5.02 08/31/04 COCA COLA CO DE 5.02 09/01/04 COLONIAL BANCGROUP INC DE 5.02 08/30/04 COOPER COMPANIES INC DE 2.02,9.01 08/31/04 CORCEPT THERAPEUTICS INC 8.01,9.01 08/30/04 CORINTHIAN COLLEGES INC 2.02 09/01/04 COUNTRYWIDE FINANCIAL CORP DE 5.02 09/01/04 CPI CORP DE 2.02 07/24/04 CRDENTIA CORP DE 1.01,3.02,9.01 08/26/04 CREDITRISKMONITOR COM INC NV 8.01,9.01 08/26/04 CRITICAL HOME CARE INC NV 8.01,9.01 08/25/04 CSFB Mortgage-Backed Pass-Through Cer DE 8.01,9.01 08/25/04 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE 8.01,9.01 08/25/04 CT COMMUNICATIONS INC /NC NC 8.01,9.01 09/01/04 CWABS Asset Backed Certificates Trust DE 9.01 08/25/04 CWABS INC DE 8.01,9.01 08/30/04 CWABS INC ASSET-BACKED CERTIFICATES DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 08/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 08/25/04 CWALT 2004-J3 9.01 08/25/04 CWALT INC 8.01,9.01 08/27/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 08/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 08/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 08/25/04 CWALT INC MORTGAGE PASS-THROUGH CERTI 9.01 08/25/04 CWMBS 2004-HYB2 DE 9.01 08/25/04 CWMBS 2004-J4 DE 9.01 08/25/04 CWMBS 2004-J5 DE 9.01 08/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 08/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 08/25/04 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE 9.01 08/25/04 CYCLE COUNTRY ACCESSORIES CORP NV 8.01,9.01 08/31/04 D&E COMMUNICATIONS INC PA 5.02,9.01 08/26/04 DATAMETRICS CORP DE 5.02 08/31/04 DAYTON POWER & LIGHT CO OH 8.01 08/31/04 DEAN FOODS CO/ DE 5.02 09/01/04 DEUTSCHE RECREATIONAL ASSET FUNDING C NV 8.01,9.01 07/31/04 DIAMOND OFFSHORE DRILLING INC DE 1.01,2.03,8.01,9.01 08/27/04 DIGITAL GENERATION SYSTEMS INC DE 7.01,9.01 08/31/04 DIGITAL GENERATION SYSTEMS INC DE 5.02 08/27/04 DISTRIBUTION FINANCIAL SERVICES MARIN NY 8.01,9.01 07/31/04 DISTRIBUTION FINANCIAL SERVICES RV MA NV 8.01,9.01 07/31/04 DISTRIBUTION FINANCIAL SERVICES RV TR NY 8.01,9.01 07/31/04 DISTRIBUTION FINANCIAL SERVICES RV TR NY 8.01,9.01 07/31/04 DORAL FINANCIAL CORP PR 8.01,9.01 09/01/04 DPAC TECHNOLOGIES CORP CA 1.02,2.01,2.05,5.02,9.01 09/01/04 DPL INC OH 8.01 08/31/04 DPL INC OH 8.01 08/31/04 AMEND Dragon Gold Resources, Inc. NV 3.02 08/26/04 DRESSER INC DE 7.01 08/31/04 DUTCHFORK BANCSHARES INC DE 8.01,9.01 08/31/04 DYNACQ HEALTHCARE INC DE 8.01,9.01 08/31/04 EAGLE BROADBAND INC TX 2.01 08/31/04 EMAIL REAL ESTATE COM INC 4.01,9.01 08/11/04 AMEND EMS TECHNOLOGIES INC GA 1.01,9.01 08/31/04 ENDOCARE INC DE 1.01,9.01 08/27/04 ENTERPRISE PRODUCTS PARTNERS L P DE 2.03,9.01 08/26/04 EntreMetrix CORP 5.02,8.01 08/26/04 ENVIRONMENTAL ELEMENTS CORP DE 8.01,9.01 09/01/04 ENVIRONMENTAL SAFEGUARDS INC/TX NV 8.01,9.01 08/30/04 ESSENTIAL REALITY INC NV 5.01,9.01 06/29/04 AMEND ESSEX PROPERTY TRUST INC MD 8.01 09/01/04 EXAM USA, INC. NV 8.01 09/01/04 EXELON CORP PA 8.01 09/01/04 EXPLORATIONS GROUP INC DE 7.01,8.01 07/29/04 AMEND Extra Space Storage Inc. MD 2.01,2.03,9.01 08/26/04 EXXON MOBIL CORP NJ 7.01 08/30/04 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 7.01 09/01/04 FINOVA GROUP INC DE 8.01 09/01/04 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE 8.01,9.01 08/25/04 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE 8.01,9.01 08/25/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 08/24/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 08/30/04 FORD MOTOR CO DE 8.01,9.01 09/01/04 FORD MOTOR CREDIT CO DE 8.01,9.01 09/01/04 FRIEDMANS INC DE 5.03,8.01,9.01 09/01/04 FRIEDMANS INC DE 5.03,8.01,9.01 09/01/04 FURIA ORGANIZATION INC /DE/ DE 2.01,8.01,9.01 08/26/04 GAMMACAN INTERNATIONAL INC DE 2.01,9.01 08/17/04 GARTNER INC DE 2.01,9.01 08/27/04 GENEMAX CORP NV 5.02,9.01 08/30/04 GENERAL MOTORS CORP DE 8.01 09/01/04 GLATFELTER P H CO PA 2.05 09/01/04 GLOBAL ENTERTAINMENT CORP NV 8.01,9.01 08/31/04 GLOBUS GROWTH GROUP INC NY 2.01,5.01,5.02,5.03,9.01 09/01/04 GNC CORP DE 8.01,9.01 09/01/04 GOLDEN OVAL EGGS LLC 8.01,9.01 09/01/04 GRAMERCY CAPITAL CORP MD 1.01,8.01 09/01/04 GRAND TOYS INTERNATIONAL INC NV 2.01,5.01,9.01 08/31/04 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 09/01/04 GS MORTGAGE SECURITIES CORP GSR TRUST DE 8.01,9.01 08/25/04 GS MORTGAGE SECURITIES CORP MOR PASTH DE 8.01,9.01 08/25/04 GS Mortgage Securities Corp. GSAA HOM DE 8.01,9.01 08/25/04 GS MORTGAGE SECURITIES CORP. GSAA TRU DE 8.01,9.01 08/25/04 GSAMP TRUST 2004-SD1 DE 8.01,9.01 08/25/04 HALLWOOD GROUP INC DE 7.01,9.01 09/01/04 Harley-Davidson Motorcycle Trust 2004 NV 8.01,9.01 08/27/04 HARSCO CORP DE 1.01,9.01 08/27/04 HAWAIIAN HOLDINGS INC DE 8.01,9.01 08/26/04 HEARST ARGYLE TELEVISION INC DE 1.01,1.02 08/28/04 HEARTLAND BANCSHARES INC /IN/ IN 1.01,9.01 08/31/04 HEARTLAND OIL & GAS CORP NV 7.01 08/31/04 HERITAGE FINANCIAL CORP /WA/ WA 1.01 08/31/04 HFC REVOLVING CORP HOUSEHOLD HOME EQ DE 9.01 08/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE 9.01 08/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE 9.01 08/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE 9.01 08/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE 9.01 08/20/04 HOLLYWOOD CASINO SHREVEPORT LA 1.01,3.02,3.03,9.01 08/27/04 HOLLYWOOD MEDIA CORP FL 1.01,3.02 08/30/04 HOMEBANC MORTGAGE TRUST 2004-1 DE 8.01,9.01 08/25/04 HOMESTAR MORTGAGE ACCEPTANCE CORP ASS DE 9.01 09/01/04 HORIZON OFFSHORE INC DE 5.02,8.01,9.01 08/30/04 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE 9.01 08/16/04 HOUSEHOLD AUTO RECEIVABLES CORP ASSET NV 9.01 08/17/04 HOUSEHOLD AUTO RECEIVABLES CORP SERIE NV 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST 2001-1 DE 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST 2001-3 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST 2002-1 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST 2003-1 NV 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST 2003-2 NV 9.01 08/17/04 Household Automotive Trust 2004-1 NV 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST IV SERIES DE 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST SERIES 200 DE 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST V SERIES 2 DE 9.01 08/17/04 HOUSEHOLD AUTOMOTIVE TRUST VI SERIES NV 9.01 08/17/04 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE 9.01 08/16/04 HOUSEHOLD HOME EQUITY LOAN TRUST 1999 DE 9.01 08/20/04 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 9.01 08/20/04 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 DE 9.01 08/20/04 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC 9.01 08/20/04 HOUSEHOLD MORTGAGE LOAN TRUST 2003-HC DE 9.01 08/20/04 HOUSEHOLD MORTGAGE LOAN TRUST 2003-HC DE 9.01 08/20/04 HOUSEHOLD PRIVATE LABEL CREDIT CARD M DE 9.01 08/16/04 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE 9.01 08/20/04 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE 9.01 08/20/04 HUDSON VALLEY HOLDING CORP NY 8.01,9.01 08/31/04 IEC ELECTRONICS CORP DE 5.05,9.01 08/26/04 IMPAC SECURED ASSETS CORP CA 2.01,8.01,9.01 09/01/04 IMPAX LABORATORIES INC DE 8.01 09/01/04 IMPLANT SCIENCES CORP MA 4.02,9.01 08/26/04 IMPLANT SCIENCES CORP MA 4.02,9.01 08/26/04 AMEND INDYMAC MBS INC 8.01,9.01 08/31/04 INFOCROSSING INC DE 1.01 09/01/04 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,7.01,9.01 09/01/04 IOMED INC UT 2.02,9.01 08/30/04 IRVINE SENSORS CORP/DE/ DE 5.02,5.03,9.01 08/27/04 JITSOURCE INC DE 2.01,3.02,5.01,5.02,9.01 08/26/04 KAISER GROUP HOLDINGS INC DE 1.02,5.02,9.01 08/31/04 KEY GOLD CORP NV 8.01,9.01 09/01/04 KIWI NETWORK SOLUTIONS INC NV 5.02 08/23/04 AMEND KRONOS WORLDWIDE INC 7.01,9.01 08/31/04 LABONE INC/ MO 7.01 08/31/04 LEGGETT & PLATT INC MO 1.01,2.03,9.01 08/27/04 LEVI STRAUSS & CO DE 1.01,2.05,9.01 08/26/04 LINCOLN NATIONAL CORP IN 2.04,9.01 09/01/04 LITERARY PLAYPEN INC DE 8.01 09/01/04 LNR PROPERTY CORP DE 1.01,9.01 08/29/04 LODGIAN INC DE 5.02 09/01/04 LOJACK CORP MA 5.02,8.01,9.01 09/01/04 MANNKIND CORP 2.02,9.01 09/01/04 MARKET CENTRAL INC DE 8.01,9.01 08/20/04 MATRIX BANCORP INC CO 2.03 08/30/04 MEDIANEWS GROUP INC DE 1.01,2.03 08/30/04 MERRILL LYNCH MORT INV INC MORT LN AS DE 8.01,9.01 08/25/04 MERRILL LYNCH MORTGAGE ASSET BACK CER DE 8.01,9.01 08/25/04 MONTPELIER RE HOLDINGS LTD D0 1.01,9.01 08/27/04 MORGAN BEAUMONT INC NV 2.01,5.01,5.02,8.01,9.01 08/06/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 08/30/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 08/31/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 9.01 09/01/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 09/01/04 Mortgage Pass-Through Certificates, S 9.01 08/25/04 Mortgage Pass-Through Certificates, S 9.01 08/25/04 MOSSIMO INC DE 5.02,9.01 08/26/04 MOVADO GROUP INC NY 1.01 08/27/04 MULTI TECH INTERNATIONAL CORP NV 1.01 09/01/04 NanoSignal CORP NV 8.01 08/30/04 NATIONAL WESTERN LIFE INSURANCE CO CO 8.01 08/23/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE 8.01 07/31/04 NAVISTAR FINANCIAL RETAIL REC CORP NA DE 8.01 07/31/04 NEW CENTURY FINANCIAL CORP DE 1.01,9.01 08/27/04 NEW MILLENNIUM DEVELOPMENT GROUP INC/ NV 2.01,5.01,5.03,9.01 01/31/04 NL INDUSTRIES INC NJ 7.01,9.01 08/31/04 NOBEL LEARNING COMMUNITIES INC DE 4.02,8.01,9.01 08/19/04 NOMURA ASSET ACCEPTANCE CORPORATION, DE 8.01,9.01 08/25/04 NORTEK INC DE 1.01,2.03,5.01,5.02,9.01 08/26/04 NORTH VALLEY BANCORP CA 2.01,9.01 09/01/04 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 5.02 09/01/04 OKID INTERACTIVE CORP DE 2.01,5.01,9.01 08/13/04 OLD LINE BANCSHARES INC 5.02 09/01/04 OPEN SOLUTIONS INC DE 2.01,9.01 06/18/04 AMEND OPSWARE INC DE 8.01 09/01/04 OPTICARE HEALTH SYSTEMS INC DE 1.01,9.01 08/27/04 PAB BANKSHARES INC GA 8.01 09/01/04 PACIFIC ENERGY PARTNERS LP 8.01 09/01/04 PACIFIC GAS & ELECTRIC CO CA 7.01,9.01 08/31/04 PALWEB CORP 2.02,9.01 08/31/04 PARKVALE FINANCIAL CORP PA 1.01,9.01 09/01/04 PATIENT INFOSYSTEMS INC DE 1.01,9.01 08/26/04 PEOPLES EDUCATIONAL HOLDINGS MN 2.02,9.01 09/01/04 PETMED EXPRESS INC FL 8.01 08/31/04 PG&E CORP CA 7.01,9.01 08/31/04 PHC INC /MA/ MA 9.01 09/01/04 PHOTO CONTROL CORP MN 7.01,9.01 08/31/04 PLATINUM UNDERWRITERS HOLDINGS LTD D0 8.01,9.01 09/01/04 PRECIS INC OK 5.02,9.01 08/31/04 PRECIS INC OK 9.01 06/18/04 AMEND PRINCIPAL LIFE INSURANCE CO IA 9.01 08/27/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/27/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 08/27/04 PROCTER & GAMBLE CO OH 8.01 09/01/04 PROLOGIS MD 5.02 09/01/04 ProsoftTraining NV 1.01,2.03,3.01,3.02,9.01 08/30/04 PSB GROUP INC MI 5.04 09/01/04 QUANTUM CORP /DE/ DE 2.05 09/01/04 QUEST DIAGNOSTICS INC DE 1.01,9.01 08/26/04 QUOVADX INC DE 8.01 08/31/04 R F INDUSTRIES LTD NV 9.01 08/31/04 RAAC Series 2004-SP1 Trust DE 8.01,9.01 08/31/04 RAAC Series 2004-SP2 DE 8.01,9.01 08/31/04 RAMP Series 2004-RS1 Trust DE 8.01,9.01 08/31/04 RAMP Series 2004-RS2 Trust DE 8.01,9.01 08/31/04 RAMP SERIES 2004-RS4 TRUST DE 8.01,9.01 08/31/04 Ramp Series 2004-RS5 Trus DE 8.01,9.01 08/31/04 RAMP Series 2004-RS6 Trust DE 8.01,9.01 08/31/04 RAMP Series 2004-RS7 Trust DE 8.01,9.01 08/31/04 RAMP Series 2004-SL2 Trust DE 8.01,9.01 08/31/04 REGIONS FINANCIAL CORP DE 9.01 07/01/04 AMEND RESIDENTIAL ASSET MORT PROD INC RAMP DE 8.01,9.01 08/31/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS R DE 8.01,9.01 08/31/04 ROGERS CORP MA 5.03,9.01 08/26/04 ROYAL GOLD INC DE 7.01 09/01/04 SAKS CREDIT CARD MASTER TRUST NV 9.01 08/16/04 SALIX PHARMACEUTICALS LTD 5.02,9.01 09/01/04 SALIX PHARMACEUTICALS LTD 8.01,9.01 09/01/04 SAVVIS COMMUNICATIONS CORP DE 9.01 03/05/04 AMEND SBC COMMUNICATIONS INC DE 8.01 09/01/04 SCHEIB EARL INC DE 1.02,9.01 08/31/04 SCIENTIFIC INDUSTRIES INC DE 1.01 08/30/04 SCO GROUP INC DE 2.02,7.01,8.01,9.01 08/31/04 SCO GROUP INC DE 3.03,5.03,9.01 08/27/04 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 09/01/04 SKILLSOFT PUBLIC LIMITED CO 2.02,9.01 09/01/04 SMART & FINAL INC/DE DE 8.01 08/31/04 SMITHFIELD FOODS INC VA 2.02,9.01 08/26/04 SMTEK INTERNATIONAL INC DE 1.02,5.02,7.01,9.01 08/27/04 SOLOMON TECHNOLOGIES INC DE 5.02 08/19/04 SPACEDEV INC CO 1.01,9.01 08/23/04 SPHERIX INC DE 1.01,5.02 08/31/04 ST JUDE MEDICAL INC MN 8.01 08/31/04 ST PAUL TRAVELERS COMPANIES INC MN 8.01,9.01 09/01/04 STARRETT L S CO MA 8.01 09/01/04 STRUCTURED ASSET MORT INV II INC BEAR DE 8.01,9.01 08/25/04 STRUCTURED ASSET MORT INV II INC BEAR DE 8.01,9.01 08/25/04 STRUCTURED ASSET MORT INV II INC BEAR DE 8.01,9.01 08/25/04 Structured Asset Mortgage Investments DE 8.01,9.01 09/01/04 SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01 08/31/04 TALK AMERICA HOLDINGS INC DE 7.01,9.01 09/01/04 TECH DATA CORP FL 1.01,9.01 08/27/04 TECO ENERGY INC FL 2.01,9.01 08/30/04 TODCO DE 7.01,9.01 08/31/04 TORCHMARK CORP DE 1.01,9.01 08/27/04 TORRENT ENERGY CORP CO 5.03,7.01,9.01 08/24/04 TRANSOCEAN INC E9 7.01 08/31/04 U S GOLD CORP CO 8.01,9.01 08/31/04 UCBH HOLDINGS INC DE 5.05 08/26/04 UGI CORP /PA/ PA 1.01 08/26/04 UGI UTILITIES INC PA 1.01 08/26/04 ULTIMATE ELECTRONICS INC DE 2.02 08/26/04 UNIMARK GROUP INC TX 1.01,2.01,9.01 08/30/04 UNISOURCE ENERGY CORP AZ 8.01 08/30/04 UNOCAL CORP DE 5.03,9.01 09/01/04 UTAH MEDICAL PRODUCTS INC UT 1.01 08/30/04 UTEK CORP 3.02 08/27/04 VALHI INC /DE/ DE 7.01,9.01 08/31/04 VERILINK CORP DE 1.01 08/26/04 VIEW SYSTEMS INC NV 8.01 09/01/04 VSOURCE INC DE 7.01,9.01 09/01/04 WATERS CORP /DE/ DE 5.02 09/01/04 WAUSAU MOSINEE PAPER CORP WI 1.01,2.03 08/31/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 05/26/04 WENDYS INTERNATIONAL INC OH 7.01,9.01 09/01/04 WESTERN WATER CO DE 8.01 08/25/04 WFS FINANCIAL 2004-1 OWNER TRUST 8.01,9.01 08/20/04 WFS FINANCIAL 2004-2 OWNER TRUST CA 8.01,9.01 08/20/04 WILLIAMS SCOTSMAN INC MD 5.02,9.01 08/30/04 WILTEX A INC NV 1.01,9.01 08/26/04 AMEND WIRELESS XCESSORIES GROUP INC DE 8.01 09/01/04 WITS BASIN PRECIOUS MINERALS INC MN 1.01,9.01 08/30/04 WJ COMMUNICATIONS INC CA 2.01,9.01 06/18/04 AMEND WORLD TRANSPORT AUTHORITY INC 8.01 08/31/04 YOUBET COM INC DE 4.01,9.01 08/18/04 AMEND Z TEL TECHNOLOGIES INC DE 3.01 08/30/04 ZANETT INC DE 8.01 09/01/04