SEC NEWS DIGEST Issue 2004-228 November 29, 2004 ENFORCEMENT PROCEEDINGS IN THE MATTER OF MICHAEL NNEBE, NELSON WALKER AND HILDRETH FLEMING, JR. On November 24, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 (Order) as to Hildreth J. Fleming, Jr. (Fleming). The Order sets forth that Fleming has been enjoined from future violations of the antifraud and registration provisions of the securities laws as a result of his involvement in a fraudulent offering of securities by Fargo Holdings, Inc. (Fargo). The Order finds that Commission’s complaint alleged that Fleming induced the investing public to buy shares of stock issued by Fargo, a non- operating Delaware corporation that purported to be a day-trading firm and/or a manufacturer of blue jeans, in an unregistered and non-exempt offering, by: (a) soliciting investors through a series of false or misleading statements including, inter alia, that Fargo would be imminently conducting an IPO and investors could resell their private placement shares at a substantial profit; (b) distributing offering memoranda to investors even though he knew, or was reckless in not knowing, that the materials contained material misstatements and omissions; and (c) failing to register as, or be affiliated with, a broker-dealer at the time he sold shares of Fargo. The Order further finds that, arising from the conduct described above, on March 15, 2004, the U.S. District Court for the Southern District of New York granted a default judgment against, among others, Fleming in an action entitled SEC v. Nnebe, et al., 01 Civ. 5247 (S.D.N.Y.) (KMW), which, among other things, permanently enjoined Fleming from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder (Civil Injunctive Action). The Order bars Fleming from association with any broker or dealer. Fleming consented to the issuance of the Order without admitting or denying any of the findings therein, except as to the Commission’s jurisdiction over him and the entry of the default judgment in the Civil Injunctive Action. (Rel. 34-50738; File No. 3-11647) IN THE MATTER OF STEVEN BOCCHINO, AND SHARON HAROSH In an Order on Reconsideration Making Findings and Imposing Remedial Sanctions by Default, Chief Judge Murray vacated a Nov. 4, 2004, Order dismissing the proceeding against Sharon Harosh without prejudice and found that Mr. Harosh was served with the Order Instituting Proceedings (OIP) based on a Notice of Appearance signed on Nov. 8, 2004, by an attorney who had accepted service for Mr. Harosh. In addition, Chief Judge Murray found Mr. Harosh in default for failing to file an Answer to the OIP and for not appearing at a prehearing conference. Finally, Chief Judge Murray found to be true the allegations in the OIP that on July 15, 2002, the U.S. District Court for the Southern District of New York permanently enjoined Mr. Harosh from future violations of Section 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and in May 2002, the U.S. District Court for the Southern District of New York also entered a judgment against Mr. Harosh in a related criminal case based on his guilty plea to one count of conspiracy to commit securities fraud, mail fraud and wire fraud, one count of securities fraud, two counts of wire fraud, five counts of money laundering, and one count of conspiracy to commit securities fraud. Based on these facts and public interest considerations, Chief Judge Murray barred Sharon Harosh from association with a broker or dealer and from participating in an offering of penny stock. (Rel. 34-50739; File No. 3-11628) PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS INSTITUTED AGAINST BRUCE OAKES On November 29, the Commission instituted and settled public administrative and cease-and-desist proceedings against Bruce D. Oakes (Oakes), the former chief operating officer and financial operations principal of Eisner Securities, Inc. (ESI). ESI was a broker-dealer headquartered in St. Louis, Missouri, which has been in SIPC liquidation since October 2001. In its Order Instituting Proceedings (Order), the Commission found that in September 2000, ESI discovered that one of its branch managers had misappropriated approximately $2 million from at least 11 customer accounts. The Commission’s Order also found that from at least October 2000 until it ceased conducting business in September 2001, ESI failed to include the liability owed to customers as a result of the misappropriations in its net capital computations, quarterly FOCUS reports, underlying books and records, and audited financial statements, all of which Oakes approved for filing. The Commission’s Order also found that those records would have reflected a net capital deficit ranging between $1.7 million and $2 million from at least October 2000 through September 2001 if ESI had accrued the misappropriations as a liability. The Commission also found that Oakes failed reasonably to supervise the branch manager who misappropriated the customer funds. Without admitting or denying the Commission’s findings, Oakes consented to the entry of a cease-and-desist order and to be barred from association with any broker or dealer with the right to reapply for association in a non-supervisory capacity after two years. The Commission did not impose a penalty based on Oakes’ sworn financial statement. (Rel. 34-50743; AAE Rel. 2142; File No. 3-11746) CHARLES DAIRAGHI, CPA, CONSENTS TO ENTRY OF AN ORDER PURSUANT TO RULE 102(e) RELATING TO NET CAPITAL VIOLATIONS On November 29, the Commission instituted and settled public administrative proceedings pursuant to Rule 102(e) of the Commission’s Rules of Practice against Charles A. Dairaghi, CPA, the former chief financial officer of Eisner Securities, Inc. (ESI). ESI was a broker- dealer headquartered in St. Louis, Missouri, which has been in SIPC liquidation since October 2001. In its Order, the Commission found that in September 2000, ESI discovered that one of its branch managers had misappropriated approximately $2 million from at least 11 customer accounts. The Commission’s Order also found that from at least October 2000 until it ceased conducting business in September 2001, ESI failed to include the liability owed to customers as a result of the misappropriations in its net capital computations, quarterly FOCUS reports, and underlying books and records, all of which were prepared by Dairaghi. The Commission’s Order also found that those records would have reflected a net capital deficit ranging between $1.7 million and $2 million from at least October 2000 through September 2001 if ESI had accrued the misappropriations as a liability. Without admitting or denying the Commission’s findings, Dairaghi consented to the entry of an order finding that he engaged in improper professional conduct and denying him the privilege of appearing or practicing before the Commission as an accountant with the right to request reinstatement after one year. (Rel. 34-50744; AAE Rel. 2143; File No. 3-11747) PUBLIC ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST KENNETH RUBIN, CPA, AND MICHAEL LEWIS, CPA, ALLEGING IMPROPER PROFESSIONAL CONDUCT On November 29, the Commission instituted public administrative proceedings against Kenneth L. Rubin, CPA, (Rubin) and Michael W. Lewis, CPA, (Lewis), of the St. Louis, Missouri accounting firm of Rubin, Brown, Gornstein & Co., LLP (RBG) in which the Division of Enforcement (Division) and Office of Chief Accountant (OCA) allege that Rubin and Lewis engaged in improper professional conduct in their audit of the financial statements of Eisner Securities, Inc. (ESI) for its fiscal year ended December 31, 2000. ESI was a broker-dealer headquartered in St. Louis, Missouri, which has been in SIPC liquidation since October 2001. In the Order Instituting Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, the Division and OCA allege that Rubin and Lewis failed to conduct their audit of ESI’s financial statement in accordance with generally accepted auditing standards with regard to approximately $2 million in misappropriated customer funds. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Rubin and Lewis an opportunity to dispute these allegations, and to determine what, if any, remedial action is necessary and appropriate pursuant to Rule 102(e). The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-50745; AAE Rel. 2144; File No. 3-11748) HOLDING COMPANY ACT RELEASES AGL RESOURCES, INC., ET AL. An order has been issued on a proposal by AGL Resources Inc. (AGL Resources), a registered public utility holding company; AGL Resources’ subsidiary service company, AGL Services Company, AGL Resources’ gas utility subsidiaries, Atlanta Gas Light Company, Chattanooga Gas Company and Virginia Natural Gas, Inc.; NUI Corporation (NUI), a New Jersey corporation and currently a public utility holding company claiming exemption under Section 3(a)(1) of the Act by Rule 2 under the Act; NUI’s two gas public utility subsidiaries NUI Utilities, Inc. and Virginia Gas Distribution Company and NUI’s direct and indirect nonutility subsidiaries (collectively, Applicants). Applicants request authority for AGL Resources to acquire NUI and its subsidiaries. Applicants further request authority for NUI and its subsidiaries to engage in certain financing activities after the merger. (Rel. 35- 27917) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-101) filed by the National Association of Securities Dealers to amend Rule 10304 of the NASD Code of Arbitration Procedures and issued notice of filing and granted accelerated approval of Amendments Nos. 1 and 2 relating to time limits for submission of claims in arbitration. Publication of the rule and proposal in the Federal Register is expected during the week of November 29. (Rel. 34-50714) The Commission approved a proposed rule change (SR-CBOE-2004-25) and Amendment No. 1 thereto submitted by the Chicago Board Options Exchange relating to Designated Primary Market-Makers obligations. (Rel. 34- 50725) The Commission approved a proposed rule change (SR-NYSE-2004-48) submitted by the New York Stock Exchange to create new NYSE Rule 416A (Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform) and to amend NYSE Rule 476A (Imposition of Fines for Minor Violations of Rules), adding new NYSE Rule 416A to the “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A”. Publication of the order in the Federal Register is expected during the week of November 29. (Rel. 34-50734) IMMEDATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2004-72) filed by the Philadelphia Stock Exchange relating to its equity options payment for order flow program 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 November 29. (Rel. 34-50722) A proposed rule change (SR-Phlx-2004-68) filed by the Philadelphia Stock Exchange relating to its equity options payment for order flow program 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 November 29. (Rel. 34-50723) A proposed rule change (SR-Amex-2004-92) filed by the American Stock Exchange to correct a cross-reference in Section 220 of the Amex Company Guide has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 29. (Rel. 34-50726) A proposed rule change (Phlx-2004-74) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to $5 bid/ask differentials in options traded on the Exchange’s electronic trading platform, Phlx XL, 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 November 29. (Rel. 34-50728) A proposed rule change filed by the Boston Stock Exchange to eliminate a restriction precluding a BSE specialist from trading both Nasdaq-listed and New York Stock Exchange-listed securities simultaneously (SR-BSE- 2004-50) 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 November 29. (Rel. 34-50733) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2004-69) to eliminate the Exchange's marketing fee voting procedures. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 29. (Rel. 34-50735) A proposed rule change (SR-CBOE-2004-68) filed by the Chicago Board Options Exchange to adopt a new marketing fee 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 November 29. (Rel. 34-50736) PROPOSED RULE CHANGES The Philadelphia Stock Exchange filed a proposed rule change (SR–Phlx- 2004-66) to modify Phlx Rule 1009A with respect to certain concentration limit listing standards. Publication of the proposal is expected in the Federal Register during the week of November 29. (Rel. 34-50727) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2004-71) to amend CBOE Rule 8.87 to modify the distribution of the Designated Primary Market-Maker (DPM) participation entitlement for orders specifying a Preferred DPM. Publication of the proposal is expected in the Federal Register during the week of November 29. (Rel. 34-50732) DELISTING GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the common stock, $.02 par value, of Falcon Products, Inc., effective at the opening of business on November 30. (Rel. 34-50746) 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: . F-1 Teekay LNG Partners L.P., TK HOUSE, BAYSIDE EXECUTIVE PARK, WEST BAY ST. & BLAKE RD., PO BOX AP59213, NASSAU, C5, 0000000000, 242-502-8820 - 0 ($132,825,000.00) Equity, (File 333-120727 - Nov. 24) (BR. 05) S-4 FIRST FEDERAL BANC OF THE SOUTHWEST INC, 300 N PENNSYLVANIA AVE, ROSWELL, NM, 88201, 5056226201 - 685,464 ($25,250,515.00) Equity, (File 333-120729 - Nov. 24) (BR. 07) S-4 DATAWAVE SYSTEMS INC, 13575 COMMERCE PARKWAY, SUITE 110, RICHMOND, A1, V6V 2L1, 6042951800 - 43,889,334 ($3,511,147.00) Equity, (File 333-120730 - Nov. 24) (BR. 37) S-8 TURBOSONIC TECHNOLOGIES INC, 550 PARKSIDE DRIVE, STE A-14, WATERLOO, A6, N2L 5V4, 5198855513 - 500,000 ($260,000.00) Equity, (File 333-120731 - Nov. 24) (BR. 06) S-3 TURBOSONIC TECHNOLOGIES INC, 550 PARKSIDE DRIVE, STE A-14, WATERLOO, A6, N2L 5V4, 5198855513 - 500,000 ($260,000.00) Equity, (File 333-120732 - Nov. 24) (BR. 06) S-4 CAMDEN PROPERTY TRUST, 3 GREENWAY PLAZA, SUITE 1300, HOUSTON, TX, 77046, 7133542500 - 0 ($370,099,083.00) Equity, (File 333-120733 - Nov. 24) (BR. 08) S-4 CAMDEN PROPERTY TRUST, 3 GREENWAY PLAZA, SUITE 1300, HOUSTON, TX, 77046, 7133542500 - 0 ($70,193,632.00) Equity, (File 333-120734 - Nov. 24) (BR. 08) S-1 INTERNATIONAL WIRE GROUP INC, 101 SOUTH HANLEY RD, STE 1075, ST LOUIS, MO, 63105, 3147261323 - 0 ($84,147,245.49) Equity, (File 333-120736 - Nov. 24) (BR. 06) S-3 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 1,744,254 ($17,198,345.00) Equity, (File 333-120737 - Nov. 24) (BR. 03) S-8 SUNRISE SENIOR LIVING INC, 7902 WESTPARK DR, MCLEAN, VA, 22102, 7032737500 - 0 ($31,893,750.00) Equity, (File 333-120738 - Nov. 24) (BR. 37) S-8 WACHOVIA CORP NEW, ONE WACHOVIA CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 0 ($500,000,000.00) Other, (File 333-120739 - Nov. 24) (BR. 07) S-3 FIRST MARBLEHEAD CORP, 30 LITTLE HARBOR, MARBLEHEAD, MA, 01945, 7816392000 - 0 ($220,296,369.00) Equity, (File 333-120740 - Nov. 24) (BR. 07) S-3 BOVIE MEDICAL CORP, 734 WALT WHITMAN ROAD, MELVILLE, NY, 11747, 5164215452 - 3,000,000 ($7,500,000.00) Equity, (File 333-120741 - Nov. 24) (BR. 06) S-3 SIGA TECHNOLOGIES INC, 420 LEXINGTON AVE, SUITE 601, NEW YORK, NY, 10170, 2126729100 - 1,000,000 ($1,385,000.00) Equity, (File 333-120742 - Nov. 24) (BR. 01) S-8 WINFIELD FINANCIAL GROUP INC, 1126 WEST FOOTHILL BLVD, SUITE 105, UPLAND, CA, 91786, (909) 608-2035 - 500,000 ($137,500.00) Equity, (File 333-120743 - Nov. 24) (BR. 08) S-3 HEXCEL CORP /DE/, TWO STAMFORD PLAZA, 281 TRESSER BLVD., 16TH FLOOR, STAMFORD, CT, 06901, 203-969-0666 - 0 ($395,335,467.00) Equity, (File 333-120744 - Nov. 24) (BR. 06) S-3 KNOLOGY INC, 1241 O G SKINNER DRIVE, WEST POINT, GA, 31833, 7066458553 - 5,996,281 ($18,768,359.00) Equity, (File 333-120745 - Nov. 24) (BR. 37) SB-2 SKYBRIDGE WIRELESS INC, 6565 SPENCER STREET, STE 205, LAS VEGAS, NV, 89119, (702) 897-8704 - 451,325,711 ($5,158,425.40) Equity, (File 333-120748 - Nov. 24) (BR. 09) S-1 Huntsman CORP, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108, (801) 584-5700 - 0 ($1,610,000,000.00) Equity, (File 333-120749 - Nov. 24) (BR. 02) S-8 UNIFY CORP, 4084674500 - 0 ($178,500.00) Equity, (File 333-120750 - Nov. 24) (BR. 03) S-1 PAV Republic, Inc., 599 LEXINGTON AVENUE, 36TH FLOOR, NEW YORK, NY, 10022, 212-583-4000 - 0 ($115,000,000.00) Equity, (File 333-120751 - Nov. 24) (BR. 06) S-3 ENNIS, INC., 2441 PRESIDENTIAL PARKWAY, MIDLOTHIAN, TX, 76065, 9727759801 - 8,981,041 ($179,261,578.36) Equity, (File 333-120752 - Nov. 24) (BR. 05) S-8 EVCI Career Colleges Holding Corp, 1 VAN DER DONCK STREET, SECOND FLOOR, YONKERS, NY, 10701, 9147873500 - 1,471,131 ($12,372,211.00) Equity, (File 333-120753 - Nov. 24) (BR. 37) S-2 TRAVELERS INSURANCE CO, ONE TOWER SQUARE, ATTN FINANCIAL SERVICES LEGAL DIVISION, HARTFORD, CT, 06183-2020, 860-277-0111 - 0 ($350,000,000.00) Other, (File 333-120754 - Nov. 24) (BR. 20) S-3 DANIELSON HOLDING CORP, 2 NORTH RIVERSIDE PLAZA, SUITE 600, CHICAGO, IL, 60602, 312-466-4030 - 0 ($4,590,000.00) Equity, (File 333-120755 - Nov. 24) (BR. 01) S-8 CREDIT ACCEPTANCE CORPORATION, 25505 W TWELVE MILE RD, STE 3000, SOUTHFIELD, MI, 48034-8334, 8103532700 - 0 ($24,510,000.00) Equity, (File 333-120756 - Nov. 24) (BR. 07) S-1 ALGORX PHARMACEUTICALS INC, 500 PLAZA DRIVE, 2ND FLOOR, SECAUCUS, NJ, 07094, 201-325-6900 - 0 ($75,000,000.00) Equity, (File 333-120757 - Nov. 24) (BR. 01) S-8 MEMS USA INC, 378 N MAIN STREET, SUITE 124, LAYTON, UT, 84041, 8012739300 - 0 ($3,700,000.00) Equity, (File 333-120758 - Nov. 24) (BR. 04) S-3 MARKWEST ENERGY PARTNERS L P, 155 INVERNESS DR WEST, STE 200, ENGLEWOOD, CO, 80112, 303-925-9275 - 0 ($58,738,843.00) Equity, (File 333-120759 - Nov. 24) (BR. 04) S-3 Remote Dynamics Inc, 1155 KAS DRIVE, STE 100, RICHARDSON, TX, 75081, 9723012000 - 0 ($4,000,000.00) Equity, (File 333-120760 - Nov. 24) (BR. 37) S-8 REMOTE KNOWLEDGE INC, 16360 PARK TEN PLACE, SUITE 200, HOUSTON, TX, 77084, 11,000,000 ($9,460,000.00) Equity, (File 333-120761 - Nov. 24) (BR. 36) S-3 REDWOOD TRUST INC, 591 REDWOOD HWY, STE 3100, MILL VALLEY, CA, 94941, 4153897373 - 0 ($500,000,000.00) Equity, (File 333-120762 - Nov. 24) (BR. 08) S-8 VERISITY LTD, 2041 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 4154341665 - 1,646,000 ($12,550,000.00) Equity, (File 333-120763 - Nov. 24) (BR. 03) SB-2 DIOMED HOLDINGS INC, 1 DUNDEE PARK, ANDOVER, MA, 01810, 978-475-7771 - 12,224,717 ($42,419,768.00) Equity, (File 333-120764 - Nov. 24) (BR. 36) S-8 SBC COMMUNICATIONS INC, 175 E HOUSTON, ROOM 9-Q-04, SAN ANTONIO, TX, 78205, 2108214105 - 89,000,000 ($1,437,112,606.00) Equity, 0 ($25,000,000.00) Other, (File 333-120765 - Nov. 24) (BR. 37) S-8 GARTNER INC, 56 TOP GALLANT RD, P O BOX 10212, STAMFORD, CT, 06904-2212, 2039640096 - 0 ($5,820,000.00) Equity, (File 333-120767 - Nov. 24) (BR. 08) S-8 K FED BANCORP, 1359 N GRAND AVE, COVINA, CA, 91724, 8888699358 - 796,145 ($11,780,728.00) Equity, (File 333-120768 - Nov. 24) (BR. 07) S-3 ENERGY TRANSFER PARTNERS LP, 2838 WOODSIDE, -, DALLAS, TX, 75204, 9184927272 - 0 ($812,903,916.00) Equity, (File 333-120770 - Nov. 24) (BR. 02) SB-2 AMEDIA NETWORKS, INC., 4424 16TH AVENUE,, BROOKLYN, NY, 11204, 212-527-7599 - 18,985,844 ($31,584,454.92) Equity, (File 333-120771 - Nov. 24) (BR. 03) S-3 LEXAR MEDIA INC, 47421 BAYSIDE PARKWAY, FREMONT, CA, 94538, 5104131200 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-120772 - Nov. 24) (BR. 36) SB-2 CONSPIRACY ENTERTAINMENT HOLDINGS INC, 350 SOUTH 400 EAST, SUITE 105, SALT LAKE CITY, UT, 84111, 8015326202 - 78,850,000 ($9,067,750.00) Equity, (File 333-120773 - Nov. 24) (BR. 09) S-8 BROOKSTONE INC, ONE INNOVATION WAY, MERRIMACK, NH, 03054, 603-880-9500 - 900,000 ($17,073,000.00) Other, (File 333-120774 - Nov. 24) (BR. 02) S-3 NEWS AMERICA INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 0 ($1.00) Other, (File 333-120775 - Nov. 24) (BR. 05) S-3 COORS ADOLPH CO, P.O. BOX 4030, MAIL #NH375, GOLDEN, CO, 80401, 3032773271 - 0 ($3,462,223,176.00) Equity, (File 333-120776 - Nov. 24) (BR. 02) S-8 NEWS CORP, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 212-852-7000 - 0 ($11,703,447.00) Equity, (File 333-120777 - Nov. 24) (BR. 05) S-8 NEWS CORP, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 212-852-7000 - 0 ($3,601,817,154.00) Equity, (File 333-120778 - Nov. 24) (BR. 05) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 1,500,000 ($18,000.00) Equity, (File 333-120779 - Nov. 24) (BR. 04) S-4 CROWN HOLDINGS INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154, 2156985100 - 0 ($600,208,000.00) Non-Convertible Debt, (File 333-120780 - Nov. 24) (BR. 06) S-3 ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 63141, 3149942700 - 1,000,000,000 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-120781 - Nov. 24) (BR. 04) SB-2 SIMTROL INC, 2200 NORCROSS PARKWAY, SUITE 255, NORCROSS, GA, 30071, 7702427566 - 3,891,576 ($5,156,338.00) Equity, (File 333-120782 - Nov. 24) (BR. 37) SB-2 IR BIOSCIENCES HOLDINGS INC, 4021 NORTH. 75TH STREET, SUITE 201, SCOTTSDALE, AZ, 85251, 480-922-3926 - 47,161,581 ($8,489,085.00) Equity, (File 333-120784 - Nov. 24) (BR. 09) S-2 WAVERIDER COMMUNICATIONS INC, 255 CONSUMERS ROAD SUITE 500, TORONTO, ONTARIO CANADA, A6, M2J 1R4, 4165023200 - 13,599,378 ($3,399,846.00) Equity, (File 333-120785 - Nov. 24) (BR. 37) SB-2 ETOTALSOURCE INC, 3034228127 - 59,590,000 ($2,979,500.00) Equity, (File 333-120786 - Nov. 24) (BR. 02) F-10 Jean Coutu Group (PJC) Inc., 530 BERIAULT STREET, LONGUEUIL, A8, J4G 1S8, (450) 646-9760 - 0 ($1,200,000,000.00) Equity, (File 333-120787 - Nov. 24) (BR. ) SB-2 Electrum Mining LTD, 808 NELSON STREET, SUITE 2103, VANCOUVER, A1, V6Z 2H2, (604) 684-7619 - 4,000,000 ($400,000.00) Equity, (File 333-120788 - Nov. 24) (BR. ) SB-2 SONORAN ENERGY INC, 11300 WEST OLYMPIC BLVD., SUITE 800, LOS ANGELES, CA, 90064, 866-599-7676 - 22,370,000 ($11,185,000.00) Equity, (File 333-120789 - Nov. 26) (BR. 04) S-4 UNITED NATIONAL GROUP LTD, PO BOX 908GT, GEORGE TOWN, GRAND CAYMAN ISLAND, GEORGE TOWN, E9, 8,744,778 ($139,253,799.00) Equity, (File 333-120790 - Nov. 26) (BR. 01) S-4 SCOTTS COMPANY, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 6147195500 - 36,623,197 ($2,469,868,405.68) Equity, (File 333-120791 - Nov. 26) (BR. 04) S-1 LHC Group, LLC, 420 WEST PINHOOK ROAD, SUITE A, LAFAYETTE, LA, 70503, 337-233-1307 - 0 ($60,000,000.00) Equity, (File 333-120792 - Nov. 26) (BR. 01) S-3 AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 0 ($5,644,351.44) Equity, (File 333-120793 - Nov. 26) (BR. 08) F-10 ROGERS COMMUNICATIONS INC, 333 BLOOR STREET EAST, 10TH FLOOR, TORONTO, ONTARIO, A6, M4W 1G9, 4160353532 - 0 ($713,920,149.00) Other, (File 333-120794 - Nov. 26) (BR. 37) F-6 SAP AKTIENGESELLSCHAFT SYSTEMS APPLICATIONS PRODUCTS IN DATA, NEUROTTSTRABE 16, WALLDORF, FEDERAL REPUBLIC OF GERMAN, NEW YORK, NY, 69190, 0114962277 - 0 ($7,500,000.00) ADRs/ADSs, (File 333-120795 - Nov. 26) (BR. 03) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000, 4412955950 - 0 ($1,095,014.10) Equity, (File 333-120796 - Nov. 26) (BR. 37) S-8 MANHATTAN SCIENTIFICS INC, 641 FIFTH AVENUE, SUITE 36F, NEW YORK, NY, 10022, 2127520505 - 2,000,000 ($130,000.00) Equity, (File 333-120797 - Nov. 26) (BR. 09) S-8 TELEPLUS ENTERPRISES INC, 465 ST JEAN, SUITE 601, QUEBEC, E6, H2Y 2R6, 5143440778 - 2,000,000 ($720,000.00) Equity, (File 333-120798 - Nov. 26) (BR. 02) F-10 WESTERN SILVER CORP, 604-641-2779 - 0 ($53,200,000.00) Equity, (File 333-120799 - Nov. 26) (BR. 04) S-3 ON2 TECHNOLOGIES INC, 145 HUDSON STREET, NEW YORK, NY, 10013, 9172370500 - 15,496,600 ($7,903,226.00) Equity, (File 333-120801 - Nov. 26) (BR. 03) S-8 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($200,000,000.00) Other, (File 333-120802 - Nov. 26) (BR. 07) S-4 DUANE READE INC, 440 NINTH AVE, NEW YORK, NY, 10001, 2122735700 - 0 ($195,000,000.00) Non-Convertible Debt, (File 333-120803 - Nov. 26) (BR. 01) S-3 PSYCHIATRIC SOLUTIONS INC, 113 SEABOARD LANE, SUITE C-100, FRANKLIN, TN, 37067, 615-312-5700 - 0 ($108,071,250.00) Equity, (File 333-120804 - Nov. 26) (BR. 01) F-6 ReGen Therapeutics Plc, 29 MARGARET STREET, SUITE 406, LONDON, X0, W1W 8SA, 4402079070910 - 25,000,000 ($1,250,000.00) ADRs/ADSs, (File 333-120805 - Nov. 26) (BR. ) S-8 MOST HOME CORP, 11491 KINGSTON STREET, SUITE 100, ., MAPLE RIDGE, A1, V2X 0Y6, 604-460-7634 - 3,000,000 ($2,565,000.00) Equity, (File 333-120806 - Nov. 26) (BR. 08) SB-2 XACT AID INC, 5655 LINDERO CANYON ROAD, SUITE 106, WESTLAKE VILLAGE, CA, 91362, 866-922-8243 - 11,637,362 ($11,637,362.00) Equity, (File 333-120807 - Nov. 26) (BR. ) F-6 ICAP PLC/FI, ADELAIDE HOUSE LONDON BRIDGE, 212-238-8742, LONDON ENGLAND, X0, EC4R 9HN, 30,000,000 ($1,500,000.00) ADRs/ADSs, (File 333-120808 - Nov. 26) (BR. ) SB-2 ENTRADA NETWORKS INC, 5755 OBERLIN DR, SUITE 204, SAN DIEGO, CA, 92121, 8585971102 - 30,500,000 ($4,270,000.00) Equity, (File 333-120809 - Nov. 26) (BR. 03) F-1 The9 LTD, 30/F CITIC SQUARE,, NO. 1168, NANJING ROAD (W), SHANGHAI, F4, 200041, (86)21 3217 4567 - 7,187,500 ($107,812,500.00) Equity, (File 333-120810 - Nov. 26) (BR. ) 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 ------------------------------------------------------------------------------------------------ 5 G WIRELESS COMMUNICATIONS INC NV 3.02,9.01 11/16/04 AAIPHARMA INC DE 5.02,7.01,9.01 11/22/04 AAMES INVESTMENT CORP MD 8.01,9.01 11/24/04 ACCENTURE LTD 1.02 11/22/04 ACCENTURE SCA 1.02 11/22/04 ACCUIMAGE DIAGNOSTICS CORP NV 1.01,7.01,9.01 11/24/04 ACNB CORP PA 1.01,9.01 11/19/04 ACROSS AMERICA REAL ESTATE DEVELOPMEN CO 1.01 11/24/04 ACS HOLDINGS INC 5.02,8.01 11/16/04 ACURA PHARMACEUTICALS, INC NY 2.02,9.01 11/12/04 ADELPHIA COMMUNICATIONS CORP DE 7.01 11/24/04 ADVANCED FIBRE COMMUNICATIONS INC DE 8.01,9.01 11/24/04 ADVANCED LUMITECH INC NV 5.02 11/24/04 ADVANCED MARKETING SERVICES INC DE 7.01,9.01 11/24/04 AESP INC FL 2.02,9.01 11/17/04 AFFILIATED MANAGERS GROUP INC DE 7.01,8.01,9.01 11/17/04 AFG INVESTMENT TRUST C DE 8.01 11/22/04 ALLEGHENY ENERGY INC MD 1.01,1.02,3.03,9.01 11/24/04 ALLEGHENY ENERGY INC MD 1.01,2.03,8.01,9.01 11/22/04 AMC ENTERTAINMENT INC DE 1.01,9.01 11/24/04 AMERICAN BUSINESS FINANCIAL SERVICES DE 1.01,9.01 11/23/04 AMERICAN EAGLE OUTFITTERS INC DE 1.01,7.01,9.01 11/22/04 AMERICAN ENTERPRISE MVA ACCOUNT 4.01,9.01 11/22/04 AMERICAN EXPRESS CO NY 4.01,9.01 11/22/04 AMERICAN EXPRESS CO NY 4.01,9.01 11/22/04 AMERICAN EXPRESS CREDIT CORP DE 4.01,9.01 11/22/04 AMERICAN HEALTHWAYS INC DE 7.01,9.01 11/23/04 AMERICAN INTERNATIONAL GROUP INC DE 7.01 11/24/04 AMERICAN MEDIA OPERATIONS INC DE 1.01 11/18/04 AMERICAN ORIENTAL BIOENGINEERING INC CO 1.01,3.02,9.01 11/23/04 AMERICAN RIVER BANKSHARES CA 8.01,9.01 11/24/04 AMERIQUEST MORTGAGE SECURITIES INC DE 2.01,9.01 11/01/04 AMPEX CORP /DE/ DE 2.02,9.01 11/22/04 ANTHEM INC IN 1.01,9.01 11/19/04 APPLERA CORP DE 5.02 11/18/04 ARENA RESOURCES INC NV 8.01 11/22/04 ASTRALIS LTD CO 2.02,9.01 11/19/04 AVADO BRANDS INC GA 2.02,9.01 10/24/04 AVADO BRANDS INC GA 4.02 11/24/04 AVAYA INC DE 2.01,9.01 11/18/04 AXCELIS TECHNOLOGIES INC DE 2.05 11/18/04 Banc of America Funding Corp. Mortgag DE 8.01,9.01 11/22/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 11/24/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 11/23/04 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 11/15/04 BEARINGPOINT INC DE 5.02 11/18/04 BEARINGPOINT INC DE 1.01,5.02 11/10/04 AMEND BEBE STORES INC CA 8.01,9.01 11/22/04 BERRY PETROLEUM CO DE 1.01 11/24/04 BERRY PETROLEUM CO DE 1.01 11/24/04 BERRY PETROLEUM CO DE 1.01 11/24/04 BERRY PETROLEUM CO DE 1.01 11/24/04 BERRY PETROLEUM CO DE 1.01 11/24/04 BESTNET COMMUNICATIONS CORP NV 9.01 11/24/04 AMEND BINDVIEW DEVELOPMENT CORP TX 3.01,7.01,9.01 11/23/04 BIOMARIN PHARMACEUTICAL INC DE 8.01,9.01 11/23/04 BIOMERICA INC DE 1.01,9.01 11/19/04 BIOSPHERE MEDICAL INC DE 8.01,9.01 11/22/04 BOSTON SCIENTIFIC CORP DE 1.01,9.01 11/23/04 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 1.01 11/18/04 BRADY CORP WI 1.01,8.01,9.01 11/18/04 BRAZIL FAST FOOD CORP DE 4.01,9.01 11/19/04 BRITTON & KOONTZ CAPITAL CORP MS 5.03,9.01 11/16/04 BROADWING CORP DE 3.02 11/18/04 BRODER BROS CO MI 1.01,2.03,8.01,9.01 11/18/04 BROOKE CORP KS 8.01,9.01 11/24/04 BULLDOG TECHNOLOGIES INC NV 7.01 11/24/04 C-CHIP TECHNOLOGIES CORP NV 7.01,9.01 11/17/04 C-CHIP TECHNOLOGIES CORP NV 7.01,9.01 11/18/04 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 11/15/04 CABLEVISION SYSTEMS CORP /NY DE 1.01 11/22/04 CALIFORNIA COASTAL COMMUNITIES INC DE 8.01 11/24/04 CAMBRIDGE HEART INC DE 4.01,9.01 11/19/04 CAP ROCK ENERGY CORP 2.02,9.01 11/23/04 CAPTEC FRANCHISE CAPITAL PARTNERS LP DE 1.01,9.01 11/19/04 CARRIER ACCESS CORP DE 5.02,9.01 11/18/04 CASCADE NATURAL GAS CORP WA 1.01,9.01 09/29/04 CBRL GROUP INC TN 1.01,7.01,9.01 11/24/04 CC V HOLDINGS LLC DE 8.01,9.01 11/23/04 CCH II LLC 8.01,9.01 11/23/04 CCO HOLDINGS LLC 8.01,9.01 11/23/04 CEF EQUIPMENT HOLDING GE COMMERICAL E DE 8.01,9.01 11/16/04 CENTRAL FEDERAL CORP DE 8.01,9.01 11/24/04 CH ENERGY GROUP INC NY 5.02 11/24/04 CHAMPION ENTERPRISES INC MI 1.01,9.01 11/22/04 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 11/23/04 CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 11/23/04 CHESAPEAKE CORP /VA/ VA 8.01,9.01 11/24/04 CHINA PHARMACEUTICALS INTERNATIONAL C D8 5.02 11/18/03 China Unistone Acquisition CORP DE 8.01,9.01 11/24/04 CHINA WIRELESS COMMUNICATIONS INC NV 5.02,5.03,9.01 11/23/04 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 11/24/04 CNS INC /DE/ DE 8.01,9.01 11/23/04 COBIZ INC CO 1.01,9.01 11/19/04 COMMERCIAL METALS CO DE 7.01,9.01 11/22/04 COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 11/24/04 COMMUNITY SHORES BANK CORP MI 5.02 10/27/04 AMEND COMPASS MINERALS INTERNATIONAL INC DE 1.02,5.02,7.01,9.01 11/23/04 COMPETITIVE TECHNOLOGIES INC DE 5.03,9.01 11/19/04 COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 11/23/04 COMPOSITE TECHNOLOGY CORP NV 8.01,9.01 11/23/04 COMPUCREDIT CORP GA 8.01,9.01 11/24/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE 1.01,5.02,5.03,7.01,9.01 11/18/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE 8.01,9.01 11/24/04 CONCORD CAMERA CORP NJ 3.01,9.01 11/23/04 CONNETICS CORP DE 8.01,9.01 11/23/04 CORN PRODUCTS INTERNATIONAL INC DE 2.05,7.01 11/23/04 CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 11/15/04 CORPORATE PROPERTY ASSOCIATES 15 INC MD 2.02,7.01,9.01 11/16/04 AMEND COUNTRYWIDE FINANCIAL CORP DE 1.02,9.01 11/19/04 COVAD COMMUNICATIONS GROUP INC DE 1.01,5.02,9.01 11/24/04 CRAFTMADE INTERNATIONAL INC DE 1.01,9.01 11/18/04 CREATIVE COMPUTER APPLICATIONS INC CA 7.01,9.01 11/24/04 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/22/04 CUBIST PHARMACEUTICALS INC DE 1.01,8.01,9.01 11/22/04 CUMULUS MEDIA INC DE 1.01 11/18/04 CWALT INC 8.01,9.01 11/23/04 DATAJUNGLE SOFTWARE INC NV 1.01,3.02 11/24/04 DAYTON POWER & LIGHT CO OH 1.01 11/19/04 DELTA AIR LINES INC /DE/ DE 8.01,9.01 11/24/04 DEVRY INC DE 1.01,3.03,9.01 11/23/04 DIRECT INSITE CORP DE 2.02,9.01 11/22/04 DSLA Mortgage Loan Trust 2004-AR1 DE 8.01,9.01 11/19/04 DSLA Mortgage Loan Trust 2004-AR2 DE 8.01,9.01 11/19/04 DWANGO NORTH AMERICA CORP NV 1.01,2.02 11/18/04 EAST PENN FINANCIAL CORP 8.01 11/19/04 EFUNDS CORP DE 2.01,9.01 11/24/04 EGAMES INC PA 2.03,9.01 11/23/04 ELECSYS CORP KS 1.01,5.02,9.01 11/24/04 EMAGIN CORP DE 8.01,9.01 11/24/04 EMERSON ELECTRIC CO MO 7.01 11/24/04 EMPIRE RESORTS INC DE 8.01 11/18/04 ENCYSIVE PHARMACEUTICALS INC DE 1.01,2.03,9.01 11/24/04 ENDOLOGIX INC /DE/ DE 1.01,9.01 11/22/04 ENESCO GROUP INC IL 1.01 11/22/04 ENGLISH LANGUAGE LEARNING & INSTRUCTI DE 8.01 11/23/04 ENNIS, INC. TX 1.01,2.01,2.03,9.01 11/19/04 EQUITABLE RESOURCES INC /PA/ PA 5.04 11/23/04 ESCHELON TELECOM INC 1.01 11/19/04 EXCO RESOURCES INC TX 2.02,9.01 11/18/04 EXCO RESOURCES INC TX 1.01,5.02,8.01,9.01 11/18/04 EXPRESS SCRIPTS INC DE 7.01 11/23/04 EZ EM INC DE 1.01 11/23/04 EZENIA INC DE 5.02 11/24/04 FEDERAL TRUST CORP FL 8.01,9.01 11/18/04 FEDEX CORP DE 1.01,9.01 11/22/04 FIDELITY SOUTHERN CORP GA 1.01 11/19/04 FINANCIAL ASSET SECURITIES CORP FIRST DE 2.01,8.01,9.01 09/01/04 FINLAY ENTERPRISES INC /DE DE 1.01,9.01 11/19/04 FINLAY FINE JEWELRY CORP DE 1.01,9.01 11/19/04 FIRST BANCSHARES INC /MO/ MO 5.02,9.01 11/24/04 FIRST CASH FINANCIAL SERVICES INC DE 5.02,9.01 11/24/04 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 7.01,9.01 11/24/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/23/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/24/04 FIRST MARBLEHEAD CORP 1.01,3.03,5.02,9.01 11/18/04 FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 11/24/04 FIRST WASHINGTON FINANCIAL CORP NJ 8.01,9.01 11/19/04 FISERV INC WI 8.01,9.01 11/23/04 FLORIDA BUSINESS BANCGROUP INC 5.02 10/21/04 FLUSHING FINANCIAL CORP DE 7.01,9.01 11/24/04 FN ESTATE INC PA 8.01,9.01 09/30/04 FONIX CORP DE 3.02 11/17/04 FORCE PROTECTION INC CO 1.01 11/24/04 FREMONT MORTGAGE SECURITIES CORP DE 8.01,9.01 11/22/04 FRONTIER OIL CORP /NEW/ WY 1.01,2.03,7.01,9.01 11/22/04 FTD INC DE 9.01 11/23/04 GE Capital Credit Card Master Note Tr DE 1.01,9.01 11/21/04 GE Dealer Floorplan Master Note Trust DE 8.01,9.01 11/22/04 GENCORP INC OH 7.01,9.01 11/23/04 GENIO GROUP INC DE 4.02 11/19/04 GEXA CORP TX 1.01,3.02,9.01 11/23/04 GLOBAL POWER EQUIPMENT GROUP INC/ DE 5.02,9.01 11/24/04 GOLDEN PHOENIX MINERALS INC /MN/ MN 5.02,9.01 11/23/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 11/23/04 GreenPoint Home Equity Loan Trust 200 DE 8.01,9.01 11/15/04 GREENPOINT MORTGAGE SECURITIES LLC DE 8.01,9.01 11/15/04 GREENWICH CAPITAL ACCEP MORT LOAN PAS DE 8.01,9.01 11/19/04 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01,9.01 11/24/04 GS MORTGAGE SECURITIES CORP DE 8.01 11/23/04 GSR Mortgage Loan Trust 2004-12 DE 8.01 11/15/04 AMEND GUILFORD PHARMACEUTICALS INC DE 9.01 06/17/04 AMEND GULFPORT ENERGY CORP DE 7.01,9.01 11/19/04 HANDLEMAN CO /MI/ MI 2.02 11/23/04 HARBOR FLORIDA BANCSHARES INC DE 8.01 11/23/04 HarborView Mortgage Loan Trust 2004-4 DE 8.01,9.01 11/19/04 HarborView Mortgage Loan Trust 2004-5 DE 8.01,9.01 11/19/04 HarborView Mortgage Loan Trust 2004-7 DE 8.01,9.01 11/19/04 HAROLDS STORES INC OK 2.02,9.01 10/30/04 HATTERAS INCOME SECURITIES INC 7.01,9.01 11/23/04 HEARTLAND, INC. MD 1.01 11/17/04 HELMERICH & PAYNE INC DE 8.01 11/23/04 HENRY JACK & ASSOCIATES INC DE 8.01,9.01 11/23/04 HERITAGE OAKS BANCORP CA 5.02,9.01 11/23/04 HOLLINGER INTERNATIONAL INC DE 8.01 11/19/04 HOME FEDERAL BANCORP IN 8.01,9.01 11/24/04 HOME PRODUCTS INTERNATIONAL INC DE 5.02,9.01 11/22/04 HONDA AUTO REC 2003-3 OWNER TRUST DE 8.01,9.01 11/22/04 HONDA AUTO REC 2003-4 OWNER TRUST DE 8.01,9.01 11/15/04 HONDA AUTO REC 2003-5 OWNER TRUST DE 8.01,9.01 11/18/04 HONDA AUTO RECEIVABLES 2001-3 OWNER T DE 8.01,9.01 11/18/04 HONDA AUTO RECEIVABLES 2002-1 OWNER T 8.01,9.01 11/15/04 HONDA AUTO RECEIVABLES 2002-2 OWNER T 8.01,9.01 11/15/04 HONDA AUTO RECEIVABLES 2002-3 OWNER T 8.01,9.01 11/18/04 HONDA AUTO RECEIVABLES 2002-4 OWNER T 8.01,9.01 11/15/04 HONDA AUTO RECEIVABLES 2003-1 OWNER T 8.01,9.01 11/18/04 HONDA AUTO RECEIVABLES 2004-1 OWNER T DE 8.01,9.01 11/22/04 Honda Auto Receivables 2004-2 Owner T CA 8.01,9.01 11/15/04 Honda Auto Receivables 2004-3 Owner T CA 8.01,9.01 11/18/04 HONDA RECEIVABLES CORP AUTO REC 2003 DE 8.01,9.01 11/22/04 HORMEL FOODS CORP /DE/ DE 2.02,9.01 11/24/04 HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,2.03,8.01,9.01 11/18/04 HOUSE OF BRUSSELS CHOCOLATES INC NV 5.02,8.01,9.01 11/22/04 HOUSTON EXPLORATION CO DE 8.01,9.01 11/24/04 HOUSTON OPERATING CO DE 1.01,5.01,5.02 11/24/04 HUBEI PHARMACEUTICAL GROUP LTD NV 5.03 11/18/04 HUMPHREY HOSPITALITY TRUST INC VA 8.01 11/24/04 HURCO COMPANIES INC IN 1.01,5.02,9.01 11/24/04 IA GLOBAL INC DE 1.01,9.01 11/19/04 Icoria, Inc. DE 1.02 11/19/04 IDS LIFE INSURANCE CO MN 4.01,9.01 11/22/04 IGI INC DE 1.01,9.01 11/18/04 ILLINI CORP IL 1.01,5.02,9.01 11/23/04 IMH ASSETS CORP DE 2.01,9.01 11/24/04 IMPAX LABORATORIES INC DE 8.01 11/19/04 IMPSAT FIBER NETWORKS INC DE 8.01 11/18/04 INCENTRA SOLUTIONS, INC. NV 2.02,9.01 11/23/04 INDYMAC MBS INC 8.01,9.01 11/05/04 INERGY L P DE 1.01,9.01 11/18/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD 2.01,9.01 11/23/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD 2.01,9.01 11/23/04 INTEGRITY MUTUAL FUNDS INC ND 1.01 11/24/04 INTELLIGENT SYSTEMS CORP GA 4.01,9.01 11/22/04 INTER PARFUMS INC DE 7.01 11/24/04 INTERACTIVE MARKETING TECHNOLOGY INC NV 1.01,2.01,3.02,5.01,5.02,8.01 11/17/04 INTERDIGITAL COMMUNICATIONS CORP PA 7.01,9.01 11/23/04 INTERMET CORP GA 1.01,8.01,9.01 11/19/04 INTERMOST CORP UT 9.01 04/12/04 AMEND INTERNATIONAL ASSETS HOLDING CORP DE 5.02 11/18/04 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 11/19/04 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01 11/24/04 INTERPHARM HOLDINGS INC DE 5.02 11/18/04 INVACARE CORP OH 9.01 09/09/04 AMEND IOMEGA CORP DE 7.01 11/24/04 IONICS INC MA 8.01,9.01 11/24/04 ISLAND PACIFIC INC DE 9.01 01/30/04 AMEND ISLAND PACIFIC INC DE 9.01 06/01/04 AMEND ISLE OF CAPRI CASINOS INC DE 1.01,9.01 11/24/04 IXYS CORP /DE/ DE 5.02 11/19/04 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 11/24/04 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 11/24/04 K&F INDUSTRIES INC DE 1.01,2.03,5.02,9.01 11/18/04 KELLOGG CO DE 1.01,1.02,2.03 11/24/04 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 11/22/04 KEY COMPONENTS LLC DE 1.01,9.01 11/18/04 KEYSPAN CORP NY 8.01,9.01 11/24/04 KFX INC DE 1.01,3.02,9.01 11/19/04 KOSS CORP DE 1.02,7.01,9.01 11/24/04 KRISPY KREME DOUGHNUTS INC NC 2.02,9.01 11/22/04 KRONOS INC MA 2.01 11/18/04 KRONOS INTERNATIONAL INC DE 1.01,2.03,9.01 11/18/04 KRONOS WORLDWIDE INC 1.01,2.03,9.01 11/18/04 AMEND LANCER CORP /TX/ TX 8.01,9.01 11/04/04 LARGE SCALE BIOLOGY CORP DE 3.01 11/18/04 LAS VEGAS SANDS INC NV 1.01 11/18/04 LB-UBS Commercial Mortgage Trust 2004 9.01 11/18/04 LEHMAN ABS CORP AT&T WIRELESS SERV NO DE 8.01 11/24/04 LINENS N THINGS INC DE 9.01 11/24/04 LINENS N THINGS INC DE 9.01 11/24/04 LL&E ROYALTY TRUST TX 2.02,7.01,9.01 11/24/04 LUMENIS LTD 1.02,8.01,9.01 11/24/04 MAGUIRE PROPERTIES INC MD 1.01,2.01 11/24/04 MAINE & MARITIMES CORP 2.03 11/24/04 MAKEMUSIC INC MN 1.01,1.02,9.01 11/24/04 MARINER HEALTH CARE INC DE 1.01 11/23/04 MCDONALDS CORP DE 1.01,5.02,9.01 11/22/04 MDC PARTNERS INC 1.01,3.01,9.01 11/18/04 MEDICSIGHT INC DE 8.01 11/23/04 MERGE TECHNOLOGIES INC WI 1.01,7.01,9.01 11/24/04 MERISEL INC /DE/ DE 1.01,5.02,9.01 11/22/04 MERRILL LYNCH & CO INC DE 1.01 11/24/04 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/17/04 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/17/04 Merrill Lynch Mortgage Trust 2004-BPC DE 1.01,9.01 11/10/04 MICROSOFT CORP WA 7.01 11/09/04 AMEND MISSION COMMUNITY BANCORP CA 8.01,9.01 11/23/04 MOLINA HEALTHCARE INC DE 1.01,8.01,9.01 11/22/04 MONEY TREE LENDING GROUP, INC. 1.01,2.01,3.02,5.01,5.02,9.01 11/15/04 Morgan Stanley Capital I Trust 2004 H DE 8.01,9.01 11/24/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 11/24/04 MortgageIT Securities Corp. DE 8.01,9.01 11/24/04 MortgageIT Securities Corp. DE 8.01,9.01 11/24/04 MULTIBAND CORP MN 3.02 11/16/04 MULTIBAND CORP MN 8.01 11/24/04 MULTIMEDIA GAMES INC TX 2.02,7.01 11/24/04 NanoSignal CORP NV 4.01 11/22/04 NASDAQ STOCK MARKET INC DE 5.02 11/24/04 NASTECH PHARMACEUTICAL CO INC DE 8.01,9.01 11/19/04 NATIONAL BEEF PACKING CO LLC DE 7.01,9.01 11/24/04 NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01 11/22/04 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE 9.01 11/22/04 NDCHEALTH CORP DE 1.01,7.01,9.01 11/23/04 NETEGRITY INC DE 5.01 11/24/04 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE 5.02,9.01 11/18/04 NEWS CORP 3.03,5.03,8.01,9.01 11/24/04 NORTEL NETWORKS CORP 2.02,8.01,9.01 11/24/04 NORTEL NETWORKS LTD 2.02,8.01,9.01 11/24/04 NORTH BAY BANCORP/CA CA 8.01,9.01 11/22/04 NORTHWEST AIRLINES CORP DE 1.01,9.01 11/23/04 NORTHWEST AIRLINES CORP DE 1.01,9.01 11/23/04 AMEND NOVADEL PHARMA INC DE 1.01 11/18/04 NSTOR TECHNOLOGIES INC DE 1.01,9.01 11/15/04 NYMEX HOLDINGS INC DE 5.02 11/24/04 AMEND OIL DRI CORPORATION OF AMERICA DE 2.02,9.01 11/24/04 OLYMPUS COMMUNICATIONS LP DE 7.01 11/24/04 ONEIDA LTD NY 5.02,9.01 11/22/04 ORLEANS HOMEBUILDERS INC DE 8.01,9.01 11/24/04 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 11/24/04 ORTHODONTIX INC FL 4.01,9.01 11/12/04 AMEND OSI PHARMACEUTICALS INC DE 8.01,9.01 11/22/04 OSI PHARMACEUTICALS INC DE 8.01,9.01 11/18/04 AMEND OVERSTOCK COM INC UT 1.01,2.03,9.01 11/23/04 OWENS ILLINOIS GROUP INC DE 7.01 11/22/04 P COM INC DE 5.02 11/23/04 PACIFIC SUNWEAR OF CALIFORNIA INC CA 1.01,5.02,9.01 11/22/04 PARK OHIO HOLDINGS CORP OH 1.01,9.01 11/19/04 PATTERSON COMPANIES, INC. MN 2.02,9.01 11/24/04 PENN TRAFFIC CO DE 4.01,9.01 11/18/04 PERRIGO CO MI 8.01 11/23/04 PETROHAWK ENERGY CORP DE 2.01,2.03,3.02,5.03,9.01 11/23/04 PHARMOS CORP NV 8.01 11/24/04 PHIBRO ANIMAL HEALTH CORP 7.01,9.01 11/24/04 PHILLIPS VAN HEUSEN CORP /DE/ DE 1.01 11/22/04 PINNACLE ENTERTAINMENT INC DE 1.01,8.01,9.01 11/18/04 PLACER SIERRA BANCSHARES CA 1.01,2.03,9.01 11/22/04 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,2.03 11/19/04 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,9.01 11/22/04 POSSIS MEDICAL INC MN 9.01 11/23/04 POTOMAC EDISON CO MD 1.01,2.03,8.01,9.01 11/22/04 PPLUS Trust Series GSC-2 DE 8.01,9.01 08/16/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/19/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/19/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 11/19/04 PROTOCALL TECHNOLOGIES INC NV 5.02 11/24/04 PROVIDIAN FINANCIAL CORP DE 8.01 11/24/04 PS BUSINESS PARKS INC/CA CA 7.01 11/24/04 PSYCHIATRIC SOLUTIONS INC DE 8.01,9.01 11/23/04 RADIAN GROUP INC DE 1.01 11/22/04 RADNOR HOLDINGS CORP DE 2.03 11/19/04 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,9.01 11/19/04 REDWOOD TRUST INC MD 2.02,9.01 11/10/04 REEBOK INTERNATIONAL LTD MA 8.01,9.01 11/24/04 RENAISSANCE MEDIA GROUP LLC DE 8.01,9.01 11/23/04 RENAISSANCERE HOLDINGS LTD 1.01,9.01 11/18/04 RENT WAY INC PA 8.01,9.01 11/23/04 REPUBLIC BANCORP INC /KY/ KY 1.01,9.01 11/18/04 RESIDENTIAL ACCREDIT LOANS INC DE 8.01,9.01 11/24/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 11/24/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 11/24/04 RETAIL VENTURES INC OH 1.01,5.02,9.01 11/18/04 AMEND RF MONOLITHICS INC /DE/ DE 4.01,8.01,9.01 11/24/04 RICA FOODS INC NV 5.02,9.01 11/23/04 ROCHESTER MEDICAL CORPORATION MN 1.01,9.01 11/18/04 ROOMLINX INC NJ 1.01,3.02,9.01 11/19/04 RPM INTERNATIONAL INC/DE/ DE 1.01,1.02,2.03,9.01 11/19/04 RSA SECURITY INC/DE/ DE 1.01,9.01 09/28/04 RUBY TUESDAY INC GA 1.01,2.03,9.01 11/19/04 RUDDICK CORP NC 1.01 11/18/04 RURAL METRO CORP /DE/ DE 8.01,9.01 11/24/04 RYERSON TULL INC /DE/ DE 8.01,9.01 11/23/04 SAFECO CORP WA 8.01 11/23/04 SALISBURY BANCORP INC CT 8.01,9.01 11/23/04 SALISBURY BANCORP INC CT 9.01 09/10/04 AMEND SBC COMMUNICATIONS INC DE 1.01,5.02 11/19/04 SCAN OPTICS INC DE 5.02 11/18/04 SCBT FINANCIAL CORP SC 5.02 11/18/04 SCO GROUP INC DE 5.02 11/24/04 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 11/24/04 SECURITIZED ASSET BACKED RECEIVABLES 8.01,9.01 11/22/04 SECURITY CAPITAL CORP/DE/ DE 2.02,9.01 11/23/04 SEDONA CORP PA 1.01,3.02,9.01 09/15/04 SENTO CORP UT 1.01,9.01 11/23/04 SENTRY BUILDERS CORP DE 2.01 08/15/04 SERENA SOFTWARE INC DE 2.02,9.01 11/18/04 SHARPER IMAGE CORP DE 4.01,9.01 09/17/04 SIERRA HEALTH SERVICES INC NV 7.01 11/23/04 SIGA TECHNOLOGIES INC DE 7.01,9.01 11/24/04 SINOFRESH HEALTHCARE INC FL 5.02 11/18/04 SITESTAR CORP NV 1.01 11/24/04 SiVault Systems, Inc. NV 1.01,2.03,3.02,9.01 11/23/04 SMURFIT-STONE CONTAINER ENTERPRISES I DE 1.01,2.03,9.01 11/24/04 SOURCE INTERLINK COMPANIES INC MO 5.02 11/18/04 SOURCE INTERLINK COMPANIES INC MO 1.01,9.01 11/18/04 SPECTRASITE INC DE 1.01,1.02,2.03,7.01,9.01 11/19/04 SPECTRUM LABORATORIES INC /CA DE 4.01,9.01 11/12/04 AMEND SRI SURGICAL EXPRESS INC FL 1.01,5.02,9.01 11/18/04 STARCRAFT CORP /IN/ IN 1.01,2.02,3.03,9.01 11/23/04 STEEL TECHNOLOGIES INC KY 1.01,9.01 11/23/04 Stereotaxis, Inc. DE 1.01,2.03 11/18/04 STEVEN MADDEN, LTD. DE 8.01,9.01 11/23/04 STEWART ENTERPRISES INC LA 1.01,9.01 11/18/04 STONE ENERGY CORP DE 1.01 11/18/04 STRATS SM TRUST FOR AT&T CORP SEC S 8.01,9.01 11/15/04 STRATS SM TRUST FOR DAIMLERCHRYSLER N 8.01,9.01 11/15/04 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 11/15/04 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 11/15/04 STRATS SM TRUST FOR HISTORIC TW INC S DE 8.01,9.01 11/15/04 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 11/15/04 STRATS TRUST FOR BELLSOUTH TELECOM SE 8.01,9.01 11/15/04 STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 11/15/04 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 11/15/04 STRUCTURED ASSET MORTGAGE INVEST MORT 8.01,9.01 11/19/04 STRUCTURED ASSET SEC CORP LB-UBS COMM 8.01,9.01 11/18/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/24/04 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/23/04 STRUCTURED PROD CORP STEP UP TR CREDI DE 8.01,9.01 11/15/04 STRUCTURED PRODUCTS CORP CAST SM STEP DE 8.01,9.01 11/15/04 STRUCTURED PRODUCTS CORP CAST STEP-UP DE 8.01,9.01 11/15/04 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 11/15/04 SUFFOLK BANCORP NY 8.01 11/22/04 SUMMIT ENVIRONMENTAL CORP INC TX 4.01,9.01 11/22/04 SUPERCONDUCTOR TECHNOLOGIES INC 1.01,9.01 11/23/04 SYNBIOTICS CORP CA 1.01 11/18/04 SYNERGY FINANCIAL GROUP INC /NJ/ NJ 8.01,9.01 11/23/04 TARRAGON CORP NV 1.01,2.03,3.02,7.01,9.01 11/19/04 TENNECO AUTOMOTIVE INC DE 2.03,3.03,7.01,8.01,9.01 11/19/04 TENNECO AUTOMOTIVE INC DE 1.01,2.03,3.03,8.01,9.01 11/19/04 AMEND THERMADYNE HOLDINGS CORP /DE DE 2.03,9.01 11/22/04 THORNBURG MORTGAGE INC MD 8.01,9.01 11/24/04 TIERONE CORP 7.01,9.01 11/22/04 TMSF HOLDINGS INC UT 2.02,9.01 11/19/04 TODCO DE 1.01,9.01 11/24/04 Tower Group, Inc. DE 8.01 11/24/04 TRESTLE HOLDINGS INC DE 8.01,9.01 11/23/04 TRI STATE 1ST BANK INC OH 8.01,9.01 11/23/04 TRINITY INDUSTRIES INC DE 1.01 11/23/04 TRIPATH TECHNOLOGY INC 4.01 11/21/04 TRUMP HOTELS & CASINO RESORTS INC DE 1.01,1.03,2.03,2.04,7.01,9.01 11/21/04 TWEETER HOME ENTERTAINMENT GROUP INC DE 1.01,2.02,9.01 11/22/04 UMPQUA HOLDINGS CORP OR 5.04,9.01 11/23/04 UNITED MOBILE HOMES INC NJ 7.01 11/24/04 UNIVERSAL LIFE HOLDING CORP/MD IL 8.01 11/17/04 UNIVERSAL LIFE HOLDING CORP/MD IL 5.02 11/17/04 UNIVERSAL LIFE HOLDING CORP/MD IL 2.01 11/17/04 UNIVERSAL LIFE HOLDING CORP/MD IL 5.01,9.01 11/22/04 UPFC Auto Receivables Trust 2004-A DE 8.01,9.01 11/15/04 URS CORP /NEW/ DE 1.01,9.01 11/18/04 VALHI INC /DE/ DE 1.01,2.03,9.01 11/18/04 VARIAN MEDICAL SYSTEMS INC DE 1.01,9.01 11/18/04 VAXGEN INC DE 3.02,9.01 11/19/04 VENTAS INC DE 7.01 11/22/04 VESTA INSURANCE GROUP INC DE 7.01 11/23/04 VIROPHARMA INC DE 9.01 11/09/04 AMEND VIRTGAME COM CORP DE 4.02 11/18/04 VITAL IMAGES INC MN 8.01,9.01 11/23/04 VITAL IMAGES INC MN 8.01,9.01 11/24/04 VITALSTREAM HOLDINGS INC NV 1.01,5.02,9.01 11/24/04 WELLS REAL ESTATE FUND IX LP GA 1.01 11/24/04 WELLS REAL ESTATE FUND VIII LP GA 1.01 11/24/04 WESTAR ENERGY INC /KS KS 8.01,9.01 11/23/04 WESTAR ENERGY INC /KS KS 5.02 10/20/04 AMEND WFS FINANCIAL 2004-1 OWNER TRUST 8.01,9.01 11/22/04 WFS FINANCIAL 2004-2 OWNER TRUST CA 8.01,9.01 11/22/04 WFS Financial 2004-3 Owner Trust CA 8.01,9.01 11/17/04 WILSHIRE BANCORP INC CA 8.01,9.01 11/22/04 WILSONS THE LEATHER EXPERTS INC MN 1.01,5.02,9.01 11/22/04 WINFIELD FINANCIAL GROUP INC NV 4.01,5.02,5.03,9.01 10/28/04 WIRELESS FACILITIES INC DE 1.01,9.01 11/18/04 WOODHEAD INDUSTRIES INC DE 2.02,9.01 11/19/04 WOODWARD GOVERNOR CO DE 1.01,5.02,9.01 11/24/04 WORLDSPAN L P DE 5.02 11/22/04 XECHEM INTERNATIONAL INC DE 4.01 11/18/04 XM SATELLITE RADIO HOLDINGS INC DE 1.01,2.03,3.02,9.01 11/23/04 YAK COMMUNICATIONS INC FL 5.02 11/19/04 ZannWell Inc NV 5.02 11/23/04 ADC TELECOMMUNICATIONS INC MN 2.01,9.01 11/19/04 ALFACELL CORP DE 7.01 11/24/04 ALTUS EXPLORATIONS INC NV 1.01,9.01 11/19/04 AMBASSADORS INTERNATIONAL INC DE 1.01 11/19/04 AMERICAN CAMPUS COMMUNITIES INC MD 8.01 11/18/04 ARTHROCARE CORP DE 4.02,8.01 11/19/04 ASTA FUNDING INC DE 2.02,9.01 11/23/04 AVAX TECHNOLOGIES INC DE 4.01 11/26/04 AMEND BELMONT BANCORP OH 1.01 11/24/04 BENIHANA INC DE 4.02 11/23/04 BIO ONE CORP NV 2.01,9.01 04/05/04 AMEND BROADCOM CORP CA 8.01 11/24/04 BUSINESS OBJECTS S.A. 5.02 11/19/04 CARDIMA INC DE 3.02,9.01 11/24/04 CENTRAL PACIFIC FINANCIAL CORP HI 9.01 09/14/04 AMEND FASTFUNDS FINANCIAL CORP NV 5.02 11/19/04 FIRST IPSWICH BANCORP /MA MA 1.01,8.01,9.01 11/26/04 FIVE STAR QUALITY CARE INC 1.01,2.01,2.03 11/18/04 FLUSHING FINANCIAL CORP DE 1.01 11/26/04 FLUSHING FINANCIAL CORP DE 1.01,9.01 11/26/04 GENEREX BIOTECHNOLOGY CORP DE 3.01 11/19/04 GeoPharma, Inc. FL 7.01,9.01 11/16/04 GIGABEAM CORP DE 1.01,9.01 11/21/04 GLOBAL CROSSING LTD 1.01 11/19/04 GOLDMAN SACHS GROUP INC/ DE 1.01 11/19/04 GPS INDUSTRIES, INC. NV 1.01,2.01,9.01 11/26/04 GREATER BAY BANCORP CA 1.01,8.01,9.01 11/22/04 GS MORTGAGE SECURITIES CORP DE 8.01 11/26/04 HarborView Mortgage Loan Trust 2004-8 DE 8.01,9.01 11/19/04 HYPERFEED TECHNOLOGIES INC DE 1.02 11/19/04 IMH ASSETS CORP DE 8.01,9.01 11/24/04 IMH ASSETS CORP DE 8.01,9.01 11/24/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 2.01,8.01,9.01 11/24/04 INFORMATION HOLDINGS INC DE 8.01,9.01 11/24/04 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01 11/23/04 INTELLISYNC CORP DE 1.01 11/23/04 KFX INC DE 1.01,3.02,9.01 11/19/04 AMEND KNIGHT RIDDER INC FL 5.02 11/26/04 KNOBIAS, INC. DE 1.01,5.02,9.01 11/19/04 LEE ENTERPRISES INC DE 1.01 11/19/04 LOCKHEED MARTIN CORP MD 8.01 11/24/04 LOCKHEED MARTIN CORP MD 8.01 11/24/04 AMEND MEDIACOM COMMUNICATIONS CORP DE 8.01 11/23/04 MONTPELIER RE HOLDINGS LTD D0 1.01 11/19/04 MOTHERS WORK INC DE 2.02,9.01 11/23/04 MTM Technologies, Inc. NY 1.01 11/19/04 NATIONSRENT COMPANIES INC DE 4.02 11/19/04 NATROL INC DE 1.01,9.01 11/04/04 NETSOL TECHNOLOGIES INC NV 3.02 11/26/04 NUTRACEA CA 4.02,5.02 11/19/04 ONYX ACCEPTANCE OWNER TRUST 2004-A DE 8.01 10/31/04 Onyx Acceptance Owner Trust 2004-B DE 8.01 10/31/04 Onyx Acceptance Owner Trust 2004-C DE 8.01 10/31/04 P D C INNOVATIVE INDUSTRIES INC NV 2.02,9.01 11/23/04 PARAMCO FINANCIAL GROUP INC NV 5.01,8.01 11/22/04 PEOPLES BANCORP IN 2.02,7.01,9.01 09/30/04 PRICELINE COM INC DE 2.01,9.01 09/21/04 AMEND PUBLIC STORAGE INC /CA CA 8.01 11/24/04 RITA MEDICAL SYSTEMS INC DE 1.01,3.02,8.01 11/24/04 River Rock Entertainment Authority XX 5.02,9.01 11/20/04 RS GROUP OF COMPANIES INC FL 2.02,8.01,9.01 11/19/04 SASCO MORTGAGE LOAN TRUST SERIES 2004 DE 8.01,9.01 11/25/04 SBS TECHNOLOGIES INC NM 7.01,9.01 11/26/04 SENIOR HOUSING PROPERTIES TRUST MD 1.01,2.01,2.03 11/18/04 SIGNATURE LEISURE INC CO 8.01 10/24/04 SKYLYNX COMMUNICATIONS INC DE 5.02 11/18/04 STRUCTURED ASSET MORT PASS THRU CERTS DE 8.01,9.01 11/19/04 STRUCTURED ASSET MORTGAGE INVEST TRUS NY 8.01,9.01 11/19/04 Structured Asset Mortgage Investments DE 8.01,9.01 11/19/04 STRUCTURED ASSET MORTGAGE INVESTMENTS 8.01,9.01 11/19/04 SUREWEST COMMUNICATIONS CA 1.01,9.01 11/24/04 Surge Global Energy, Inc. 1.01,5.02,8.01 11/04/04 TechAlt, Inc. NV 1.01,5.02 11/22/04 TRM CORP OR 1.01,2.01,2.03,9.01 11/19/04 TXU CORP /TX/ TX 1.01 11/22/04 UMB FINANCIAL CORP MO 5.02 11/23/04 UNIFY CORP DE 2.02,9.01 11/24/04 VARIAN MEDICAL SYSTEMS INC DE 1.01 11/19/04 VERTICALNET INC PA 3.02,9.01 11/24/04 W R GRACE & CO DE 8.01 11/22/04 WILLAMETTE VALLEY VINEYARDS INC OR 2.02 09/30/04 WORKSTREAM INC 5.02 11/22/04 WYNN RESORTS LTD 8.01,9.01 11/24/04