SEC NEWS DIGEST Issue 2004-231 December 2, 2004 COMMISSION ANNOUNCEMENTS COMMISSION SUSPENDS TRADING IN 26 COMPANIES THAT FAILED TO MAKE REQUIRED PERIODIC FILINGS On December 1, the Commission announced the temporary suspension of trading of the securities of the following issuers, commencing at 9:30 a.m. EST on Dec. 1, 2004, and terminating at 11:59 p.m. EST on Dec. 14, 2004: * Abacan Resources Corp. (ABACQ) * Advanced Solutions and Technologies, Inc. (ADVK) * American Multiplexer Corp. (AMUT) * Amitelo Communications, Inc. (ALOC) * Comparator Systems Corp. (IDID) * Digi Link Technologies, Inc. (DGLT) * DMT Energy, Inc. (DMTY) * DrKoop.Com, Inc. (KOOP) * Emerging Enterprise Solutions, Inc. (EESI) * First Pacific Networks, Inc. (FPNQ) * Heroes, Inc. (HERS) * Homeland Security Technology, Inc. (HSTJ) * Infotopia, Inc. (IFTA) * JTS Corp. (JTSC) * 1st Miracle Entertainment, Inc. (MEMI) * Shaman Pharmaceuticals, Inc. (SHPH) * United States Crude International, Inc. (USCI) * Webvan Group, Inc. (WBVNQ) * Whitehall Enterprises, Inc. (WTHL) The Commission also announced the temporary suspension of trading of the securities of the following issuers, commencing at 9:30 a.m. EST on Dec. 1, 2004, and terminating at 11:59 p.m. EST on Dec. 14, 2004: * Asset Equity Group, Inc. (ASEQ) * GEMZ, Inc. (GMZP) * Household Direct, Inc. (BYIT) * International Brands, Inc. (INBR) * Interspace Enterprises, Inc. (ITET) * Mega Micro Technologies Group, Inc., (MGGA) * Vertical Computer Systems, Inc. (VCSY) The Commission temporarily suspended trading in the securities of these companies due to a lack of current and accurate information about these companies because they are delinquent in their periodic filing obligations under Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act). These orders were entered pursuant to Section 12(k) of the Exchange Act. The Commission cautions broker-dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the companies. Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of the companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, D.C. at (202) 942-0772. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 824- 5460, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-50760) RULES AND RELATED MATTERS ISSUER RESTRICTIONS OR PROHIBITIONS ON OWNERSHIP BY SECURITIES INTERMEDIARIES The Commission is adopting new Rule 17Ad-20 under the Securities Exchange Act of 1934 (Exchange Act) that prohibits registered transfer agents from effecting any transfer of any equity security registered under Section 12 or any equity security that subjects an issuer to reporting under 15(d) of the Exchange Act if such security is subject to any restriction or prohibition on transfer to or from a securities intermediary. Under the rule, the term “securities intermediary” is defined as a clearing agency registered under Section 17A of the Exchange Act or a person, including a bank, broker, or dealer, that in the ordinary course of its business maintains securities accounts for others. The Commission is excluding from Rule 17Ad-20 any equity security issued by a partnership, as defined in Item 901 of Regulation S- K. The primary purpose of the proposed rule is to promote the integrity and efficiency of the U.S. clearance and settlement system. Publication of the adoption of Rule 17Ad-20 is expected in the Federal Register on December 7, 2004. (Rel. 34-50758) DISPOSAL OF CONSUMER REPORT INFORMATION The Commission has adopted amendments to the rule under Regulation S-P requiring financial institutions to adopt policies and procedures to safeguard customer information. The amendments implement the requirements of Section 216 of the Fair and Accurate Credit Transactions Act of 2003 (FACT Act), which adds new Section 628 to the Fair Credit Reporting Act. Section 216 of the FACT Act directs the Commission, Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Office of Thrift Supervision, National Credit Union Administration, and Federal Trade Commission to coordinate with one another to adopt consistent and comparable rules regarding the disposal of consumer report information. The provision is designed, in general, to protect a consumer against the risks associated with unauthorized access to information about the consumer contained in a consumer report, such as fraud and related crimes, including identity theft. The rule amendments implementing Section 216 of the FACT Act apply to brokers and dealers (other than brokers and dealers registered by notice with the Commission under Section 15(b)(11) of the Exchange Act for the purpose of conducting business in security futures products), investment companies, and investment advisers and transfer agents registered with the Commission. The amendments require that any of these entities that possess consumer report information for a business purpose take reasonable measures to protect against unauthorized access to or use of the information in connection with its disposal. The amendments also require that policies and procedures adopted by entities subject to the Commission’s existing safeguard rule must be in writing. The compliance date for the amendments is July 1, 2005. Existing contracts with service providers involving the disposal or destruction of consumer report information must comply with the requirements for disposing of such information by July 1, 2006. (Rels. 34-50781; IA-2332; IC-26685) ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST 15 DELINQUENT COMPANIES, INCLUDING 6 HIGH VOLUME DELINQUENT PINK SHEET COMPANIES, FOR FAILURE TO MAKE REQUIRED PERIODIC FILINGS On December 1, the Commission instituted three separate public administrative proceedings against a total of fifteen companies to determine whether the registration of each class of their securities should be revoked or suspended for failure to file required periodic reports. In the Matter of Abacan Resources Corp., et al., Administrative Proceeding File No. 3-11759 In this proceeding, the Commission issued administrative proceedings against the following issuers: · Abacan Resources Corp. * Heroes, Inc. In this Order, the Division of Enforcement alleges that the two issuers are delinquent in their required periodic filings with the Commission. The Division of Enforcement also alleges that each of these issuers has, at times during the past twelve months, traded at volumes exceeding 100,000 shares per day, placing them among the highest volume delinquent issuers quoted on the Pink Sheets. In the Matter of American Multiplexer Corp., et al., Administrative Proceeding File No. 3-11760 In this proceeding, the Commission instituted administrative proceedings against the following issuers: * American Multiplexer Corp. * DMT Energy, Inc. * JTS Corp. * Webvan Group, Inc. In this Order, the Division of Enforcement alleges that the four issuers are delinquent in their required periodic filings with the Commission. The Division of Enforcement also alleges that each of these issuers has, at times during the past twelve months, traded at volumes exceeding 100,000 shares per day, placing them among the highest volume delinquent issuers quoted on the Pink Sheets. In the Matter of Asset Equity Group, Inc., et al., Administrative Proceeding File No. 3-11761 In this proceeding, the Commission instituted administrative proceedings against the following issuers: * Asset Equity Group, Inc. * Household Direct, Inc. * International Brands, Inc. * Interspace Enterprises, Inc. * JSJ Capital II, Inc. * Mega Micro Technologies Group, Inc. * S D E Holdings 2, Inc. * Vertical Computer Systems, Inc. * VSAT Net, Inc. In this Order, the Division of Enforcement alleges that the nine issuers are or were affiliated with either Scott A. Deitler, of Boulder, Colorado, or Anthony N. DeMint, of Henderson, Nevada, and that they are all delinquent in their periodic filings. The Division of Enforcement also alleges that each of these issuers failed, in whole or in part, to heed delinquency letters sent to them by the Division of Corporation Finance requesting compliance with their periodic filing obligations or did not receive such letters because the last address on file with the Commission for some of the issuers was not valid. In each of these proceedings, instituted pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act), a hearing will be scheduled before an Administrative Law Judge. At those hearings, the judge will hear evidence from the Division of Enforcement and the respondents to determine whether the allegations of the Division of Enforcement contained in the Orders, which the Division alleges constitute violations of Section 13(a) of the Exchange Act and Rules 13a- 1 and 13a-13 thereunder, are true. The judge will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. * See also the Order Instituting Administrative Proceedings, In the Matter of Abacan Resources Corp., et al., Administrative Proceeding File No. 3-11759 * See also the Order Instituting Administrative Proceedings, In the Matter of American Multiplexer Corp., et al., Administrative Proceeding File No. 3-11760 * See also the Order Instituting Administrative Proceedings, In the Matter of Asset Equity Group, Inc., et al., Administrative Proceeding File No. 3-11761 (Rel. 34-50771) SEC INSTITUTES SETTLED CEASE-AND-DESIST PROCEEDINGS AGAINST THOMAS TAYLOR IN THE KMART MATTER AND OBTAINS A PENALTY FROM TAYLOR The Commission today instituted settled cease-and-desist proceedings against Thomas L. Taylor, Director of Sales for PepsiCo’s Frito-Lay division in charge of the Kmart snack account during the relevant period. The Order Instituting Proceedings charges that Kmart “pulled forward,” i.e., recognized prematurely, millions of dollars worth of vendor “allowances” prior to bankruptcy with the result that Kmart’s cost of goods sold was understated, and earnings were materially overstated, for the fourth quarter of fiscal year ended Jan. 31, 2001. The Order further states that the allowances were embodied in Vendor Allowance Tracking System (VATS) forms. According to the Order, toward the end of Kmart’s fiscal year ended Jan. 31, 2001 (fiscal year 2000), Taylor learned that Kmart needed Frito-Lay’s help in overcoming a profit shortfall in the food and consumables division. Accordingly, the Order states that Frito-Lay agreed to make a $2.8 million “space payment” in January 2001. The Order states that Taylor understood that the $2.8 million was a “pre-payment” of allowances to be earned by Kmart during calendar year 2001 because he helped draft a written agreement to that effect and co-signed three VATS forms on Jan. 4, 2001, that misrepresented the effective dates of the allowances as 1/1/01 to 1/31/01. These VATS forms were entered into Kmart’s computerized accounting system and posted to the general ledger. As a result, Kmart’s cost of goods sold was understated by $2.8 million in fiscal year 2000. The Order charges Taylor with violations of Rule 13b2-1 under the Securities Exchange Act of 1934 (Exchange Act) and causing violations of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-1 thereunder. Simultaneously with the institution of the Order, the Commission filed a civil action against three Kmart mid-level officers and five individuals from Kmart’s vendor community, including Taylor, to collect a $25,000 civil penalty from Taylor to which he agreed. [SEC v. John Paul Orr, et al., Civ. 04-74702 (Roberts J.) (E.D.Michigan] (LR-18989) FLORIDA BOILER ROOM OPERATOR SETTLES SEC CHARGES FOR SELLING BOGUS LIMITED LIABILITY PARTNERSHIP INTERESTS On Nov. 29, 2004, the Honorable Joan A. Lenard of the U.S. District Court for the Southern District of Florida entered a final judgment by consent against Sara Jane Peck (Peck), a resident of Aventura, Florida. Without admitting or denying the allegations in the Commission’s complaint, Peck agreed to be enjoined permanently from violating various antifraud and registration provisions of the federal securities laws and to pay $200,000 in disgorgement. The three other defendants in the case, Larry Grabarnick (Grabarnick), Marc David Shiner (Shiner) and Donald LaBarre (LaBarre) have previously settled to judgments requiring them to collectively pay over $7 million in disgorgement, prejudgment interest and civil penalties. The Commission's complaint alleges that Grabarnick and Shiner promoted investments in unregistered LLP units to the public through bulk e-mails and Internet websites. Interested investors responded over the Internet by providing contact information, which Peck and LaBarre then purchased as “leads” from Grabarnick and Shiner. The complaint alleges that Peck and LaBarre used boiler room sales tactics to offer and sell the LLP units. Investors were told they would benefit from the deregulation of the electric service provider market in California. According to the complaint, more than 580 people nationwide invested over $10 million by purchasing units, or fractions thereof, in eight LLPs. Each LLP consisted of 80 partnership units, each valued at $19,675, for a total of $1,547,000 per fully funded partnership. According to the complaint, Peck made numerous material misrepresentations and omissions to investors regarding, among other things, the use of investor funds, the profitability of the investment, its likelihood of success, the risks associated with the investment, and the need to invest quickly. After all 80 units were sold, or as many as could be, investors were told that the partnerships would not be viable and they were offered Over-the-Counter penny stock in exchange for their remaining escrowed funds. None of the partnerships ever became operational electric companies. Many investors were elderly; many rolled over money from IRA and 401(k) accounts. All of the investors were left with worthless partnership units and delisted penny stock. Peck, without admitting or denying the allegations, settled the action by consenting to entry of a court order that: (i) permanently enjoins her from violating 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; and (ii) requires her to pay $333,725 in disgorgement. Peck has consented to pay $200,000 in disgorgement. She was not ordered to pay a civil penalty and the remainder of her disgorgement obligation was waived based upon a demonstrated inability to pay more. [SEC v. Larry Grabarnick, Marc David Shiner, Donald LaBarre and Sara Jane Peck, Case No. 02 Civ. 20875 (Leonard, J.) S.D. Fla.] (LR-18990) ADDITIONS AND CORRECTIONS A summary, entitled “DISCOVER CAPITAL HOLDINGS, DINOV BROTHERS TO PAY $706,000 IN STOCK FRAUD CASE; DINOVS BARRED FROM INDUSTRY”, included in yesterday’s Digest, should have read as follows: DISCOVER CAPITAL HOLDINGS, DINOV BROTHERS TO PAY $706,000 IN STOCK FRAUD CASE; DINOVS BARRED FROM INDUSTRY On November 19, the Honorable Judge Rosemary M. Collyer of the U.S. District Court for the District of Columbia entered final judgments against Discover Capital Holdings Corp., Indianapolis Securities, Inc., and Eli and Ari Dinov, arising from charges that they participated in the fraudulent, unregistered offering of Discover Capital's preferred shares. Without admitting or denying the allegations of the Commission's complaint, Discover Capital and the Dinov brothers agreed to pay a total of $706,459 in disgorgement, penalties, and prejudgment interest, including a $120,000 penalty imposed on Ari Dinov. In addition, the four defendants consented to being permanently enjoined from violating the antifraud and registration provisions of the federal securities laws, and Eli and Ari Dinov consented to being barred from acting as officers or directors of a public company. In related proceedings, the Commission issued an administrative order on Dec. 2, 2004, to which Eli and Ari Dinov consented, barring them from associating with any broker or dealer. Specifically, Discover Capital, Indianapolis Securities and the Dinovs consented to the entry of final judgments permanently enjoining them from violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. The Commission's complaint, filed on July 9, 2003, alleges that the defendants, Eli Dinov, his brother Ari Dinov, and David Rubin used spam e-mail touts and misleading, high pressure sales calls to raise $1.1 million dollars through the sale of private placement shares of Uniondale, New York-based Discover Capital, a company controlled by the individual defendants, through Discover's wholly owned broker-dealer subsidiary, Indianapolis Securities. The money to be paid in connection with these final judgments, together with the $462,000 in disgorgement, penalty, and pre- judgment interest which co-defendant David Rubin was ordered to pay in March 2004, brings the total amount to be paid by the defendants in this case to over $1.1 million. For further information see Litigation Releases 18222, 18231, 18265 and 18639. [SEC v. Discover Capital Holdings Corp., et al., Civil Action No. 03 Civ. 1496, D.D.C.] (LR-18988); (Rel. 34-50782; File No. 3-11763) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 1 thereto (SR-NASD-2004-147) by the National Association of Securities Dealers to modify the bid price compliance periods on the Nasdaq National Market and SmallCap Market and to require non-Canadian foreign issuers to satisfy the bid price and market value of publicly held shares requirements applicable to domestic issuers for continued listing on the SmallCap Market. Publication is expected in the Federal Register during the week of December 6. (Rel. 34-50753) The Commission has approved a proposed rule change (SR-CBOE-2004-64) submitted by the Chicago Board Options Exchange to amend CBOE Rule 6.45A to eliminate the Designated Primary Market-Maker participation entitlement relating to “N-second group” trades and to eliminate the provision relating to Temporary Order Access Terminals. Publication is expected in the Federal Register during the week of December 6. (Rel. 34-50775) PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2004-77) has been filed by the Chicago Board Options Exchange seeking to amend CBOE Rule 6.24 relating to systematization of orders. Publication is expected in the Federal Register during the week of December 6. (Rel. 34- 50755) The Pacific Exchange filed a proposed rule change (SR-PCX-2004-83), and Amendment No. 1 thereto, relating to changing the opening time and the commencement of the Opening Auction on the Archipelago Exchange facility. (Rel. 34-50756) A proposed rule change (SR-MSRB-2004-08) has been filed by the Municipal Securities Rulemaking Board relating to amendments to MSRB Rule G-34, on CUSIP numbers and new issue requirements, to facilitate real-time transaction reporting of trades in new issue municipal securities. Publication is expected in the Federal Register during the week of December 6. (Rel. 34-50773) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2004-74) relating to options on revised-value versions of the European- style exercise, P.M.-settled option contract on the Standard & Poor’s 100 Stock Index. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 6. (Rel. 34-50759) WITHDRAWAL GRANTED An order has been issued granting the application of American Science and Engineering, Inc. to withdraw its common stock, $.66 2/3 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on December 2. (Rel. 34-50774) 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-10 Ace Aviation Holdings Inc., 7373 COTE VERTU WEST BLVD., SAINT-LAURENT, A8, H4Y 1H4, (514) 422-5000 - 9,802,235 ($232,409,864.81) Equity, (File 333-120880 - Dec. 1) (BR. 05) S-3 PETROHAWK ENERGY CORP, 1100 LOUISIANA SUITE 4400, HOUSTON, TX, 77002, 8322042700 - 0 ($247,398,373.00) Equity, (File 333-120881 - Dec. 1) (BR. 04) S-8 PRICE T ROWE GROUP INC, 100 E PRATT ST, BALTIMORE, MD, 21202, 4103452000 - 0 ($495,507,783.00) Equity, (File 333-120882 - Dec. 1) (BR. 07) S-8 PRICE T ROWE GROUP INC, 100 E PRATT ST, BALTIMORE, MD, 21202, 4103452000 - 0 ($1.00) Equity, (File 333-120883 - Dec. 1) (BR. 07) S-8 DALECO RESOURCES CORP, 6102939400 - 20,000 ($8,340.00) Equity, (File 333-120884 - Dec. 1) (BR. 04) SB-2 NITTANY FINANCIAL CORP, 116 EAST COLLEGE AVE, STATE COLLEGE, PA, 16801, 8144666336 - 150,000 ($3,900,000.00) Equity, (File 333-120885 - Dec. 1) (BR. 07) S-8 MONOLITHIC POWER SYSTEMS INC, 0 ($55,761,157.00) Equity, (File 333-120886 - Dec. 1) (BR. 36) SB-2 ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 27870, 2525379222 - 10,681,026,631 ($16,021,539.95) Equity, (File 333-120887 - Dec. 1) (BR. 08) S-8 SYMYX TECHNOLOGIES INC, 3100 CENTRAL EXPRESS WAY, SANTA CLARA, CA, 95051, 4087642000 - 44,126 ($329,621.22) Equity, (File 333-120888 - Dec. 1) (BR. 01) SB-2 SYDYS CORP, 2741 HASTINGS STREET, SUITE 209, VANCOUVER, A1, V5K 1Z8, (604) 251-1206 - 6,470,000 ($323,500.00) Equity, (File 333-120893 - Dec. 1) (BR. 09) S-8 SBC COMMUNICATIONS INC, 175 E HOUSTON, ROOM 9-Q-04, SAN ANTONIO, TX, 78205, 2108214105 - 55,000,000 ($1,385,450,000.00) Equity, 0 ($25,000,000.00) Other, (File 333-120894 - Dec. 1) (BR. 37) SB-2 NETFONE INC, 2113 TRAFALGAR STREET, VANCOUVER, A1, V6K 3S7, 778-893-9348 - 12,000,000 ($600,000.00) Equity, (File 333-120895 - Dec. 1) (BR. 09) SB-2 california service stations, 24351 PASTO ROAD #8, DANA POINT, CA, 92629, 9494892400 - 1,000,000 ($10,000.00) Equity, (File 333-120903 - Dec. 1) (BR. 09) S-8 CHINA ENERGY & CARBON BLACK HOLDINGS, INC., SHENYANG CHINA, NO. 386 QINGNIAN AVENUE, SHENYANG, F4, 00000, 3034943000 - 600,000 ($600,000.00) Equity, (File 333-120905 - Dec. 1) (BR. 04) S-8 KENDLE INTERNATIONAL INC, 441 VINE ST, STE 1200, CINCINNATI, OH, 45202, 5137631414 - 50,000 ($411,500.00) Equity, (File 333-120906 - Dec. 1) (BR. 01) S-8 INFINIUM LABS INC, 2033 MAIN STREET, SUITE 309, SARASOTA, FL, 34237, 941.917.0788 - 640,000 ($171,520.00) Equity, (File 333-120907 - Dec. 1) (BR. 09) SB-2 Global Music International, Inc., 20 OLD STAGECOACH ROAD, REDDING, CT, 06896, 203 938 1900 - 21,407,000 ($278,780.00) Equity, (File 333-120908 - Dec. 1) (BR. ) N-2 Mount Yale Opportunity Fund, LLC, 8000 NORMAN CENTER DRIVE, SUITE 630, MINNEAPOLIS, MN, 55437, (952) 897-5390 - 50,000 ($50,000,000.00) Other, (File 333-120909 - Dec. 1) (BR. 22) S-3 TRINITY INDUSTRIES INC, 2525 STEMMONS FREEWAY, DALLAS, TX, 75207-2401, 214-631-4420 - 0 ($139,680,000.00) Equity, (File 333-120910 - Dec. 1) (BR. 05) SB-2 GEOCOM RESOURCES INC, 114 WEST MAGNOLIA ST., SUITE 413, BELLINGHAM, WA, 98225, 3603922898 - 6,914,286 ($3,249,714.42) Equity, (File 333-120913 - Dec. 1) (BR. 04) SB-2 VOICE MOBILITY INTERNATIONAL INC, 4190 LOUGHEED HWY., SUITE 100, BURNABY, A1, V5C 6A8, 6044820000 - 7,596,612 ($5,013,763.92) Equity, (File 333-120914 - Dec. 1) (BR. 37) S-8 HEALTH CARE REIT INC /DE/, ONE SEAGATE STE 1500, P O BOX 1475, TOLEDO, OH, 43604, 4192472800 - 344,000 ($12,196,520.00) Equity, (File 333-120915 - Dec. 1) (BR. 08) S-3 STRUCTURED ASSET MORTGAGE INVESTMENTS II INC, 383 MADISON AVENUE, NEW YORK, NY, 10179, 212272-2000 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-120916 - Dec. 1) (BR. 05) S-3 HEALTH CARE REIT INC /DE/, ONE SEAGATE STE 1500, P O BOX 1475, TOLEDO, OH, 43604, 4192472800 - 1,081,794,619 ($1,081,794,619.00) Unallocated (Universal) Shelf, (File 333-120917 - Dec. 1) (BR. 08) S-8 COUSINS PROPERTIES INC, 2500 WINDY RIDGE PKWY STE 1600, ATLANTA, GA, 30339-5683, 7709552200 - 1,669,357 ($53,653,133.98) Equity, (File 333-120918 - Dec. 1) (BR. 08) S-8 GENTEK INC, LIBERTY LANE, HAMPTON, NH, 03842, 6039292606 - 1,000,000 ($48,880,000.00) Equity, (File 333-120919 - Dec. 1) (BR. 05) S-3 ANNALY MORTGAGE MANAGEMENT INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 212 696 0100 - 0 ($750,000,000.00) Equity, (File 333-120920 - Dec. 1) (BR. 08) S-3 PHOTOMEDEX INC, 147 KEYSTONE DRIVE, MONTGOMERYVILLE, PA, 18936, 2156193600 - 814,792 ($1,833,282.00) Equity, (File 333-120921 - Dec. 1) (BR. 36) S-3 WACHOVIA COMMERCIAL MORTGAGE SECURITIES INC, 201 SOUTH COLLEGE STREET, CHARLOTTE, NC, 02110, 7043746828 - 0 ($10,000,000,000.00) Mortgage Backed Securities, (File 333-120922 - Dec. 1) (BR. 05) S-4 MAVERICK TUBE CORPORATION, 16401 SWINGLEY RIDGE RD, STE 700, CHESTERFIELD, MO, 63017-1713, 6367331600 - 0 ($161,700,000.00) Debt Convertible into Equity, (File 333-120923 - Dec. 1) (BR. 06) S-3 DELTA PETROLEUM CORP/CO, 475 17TH STREET SUITE 1400, DENVER, CO, 80202, 3032939133 - 675,000 ($10,165,500.00) Equity, (File 333-120924 - Dec. 1) (BR. 04) S-8 VIROPRO INC, 3163 KENNEDY BLVD, JERSEY CITY, NJ, 07306, 9544202882 - 1,000,000 ($470,000.00) Equity, (File 333-120925 - Dec. 1) (BR. 02) 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 ------------------------------------------------------------------------------------------------ 21ST CENTURY INSURANCE GROUP CA 5.02,9.01 11/29/04 ABFC Asset-Backed Certificates, Serie DE 8.01,9.01 11/26/04 ABLE LABORATORIES INC DE 1.01,5.02,9.01 11/30/04 Accredited Mortgage Loan Trust 2004-2 DE 9.01 11/26/04 ACROSS AMERICA REAL ESTATE DEVELOPMEN CO 1.01,9.01 11/30/04 ADSOUTH PARTNERS, INC. NV 8.01 11/16/04 ADVANCE TECHNOLOGIES INC NV 8.01 12/01/04 AEOLUS PHARMACEUTICALS, INC. DE 1.01,9.01 09/22/04 AEROPOSTALE INC 7.01,9.01 12/01/04 AGL RESOURCES INC GA 2.01,9.01 11/30/04 ALASKA AIR GROUP INC DE 5.02 12/01/04 ALLIANCE IMAGING INC /DE/ DE 8.01,9.01 11/30/04 ALLIS CHALMERS CORP DE 9.01 11/24/04 ALLSTATE LIFE GLOBAL FUNDING DE 8.01,9.01 11/24/04 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 11/29/04 ALLSTATE LIFE GLOBAL FUNDING DE 8.01 11/25/04 Alternative Loan Trust 2004-12CB 9.01 11/25/04 Alternative Loan Trust 2004-13CB 9.01 11/25/04 Alternative Loan Trust 2004-14T2 9.01 11/25/04 ALTERNATIVE LOAN TRUST 2004-15 9.01 11/25/04 Alternative Loan Trust 2004-16CB 9.01 11/25/04 ALTERNATIVE LOAN TRUST 2004-17CB 9.01 11/25/04 Alternative Loan Trust 2004-18CB 9.01 11/25/04 ALTERNATIVE LOAN TRUST 2004-20T1 9.01 11/25/04 ALTERNATIVE LOAN TRUST 2004-22CB 9.01 11/25/04 Alternative Loan Trust 2004-7T1 9.01 11/25/04 Alternative Loan Trust 2004-8CB 9.01 11/25/04 ALTERNATIVE LOAN TRUST 2004-9T1 9.01 11/25/04 Alternative Loan Trust 2004-J7 9.01 11/25/04 Alternative Loan Trust 2004-J9 9.01 11/25/04 ALTERNATIVE LOAN TRUST MORT PASS THRO DE 8.01,9.01 11/26/04 AMB PROPERTY CORP MD 2.03,9.01 11/24/04 AMB PROPERTY LP DE 2.03,9.01 11/24/04 AMERIANA BANCORP IN 5.02,9.01 11/30/04 AMERICAN BANK HOLDINGS INC DE 1.01 10/15/04 AMERICAN SKIING CO /ME DE 1.01,1.02,2.03,3.03,9.01 12/01/04 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 11/29/04 AMERIQUEST MORTGAGE SECURITIES INC. A DE 8.01 11/26/04 AMERIVEST PROPERTIES INC MD 7.01,8.01,9.01 11/22/04 AMES NATIONAL CORP IA 8.01,9.01 12/01/04 Ames True Temper, Inc. DE 2.02,9.01 12/01/04 ANGELICA CORP /NEW/ MO 2.02,9.01 11/30/04 AQUILA INC DE 2.04 11/24/04 ARENA PHARMACEUTICALS INC DE 8.01,9.01 11/30/04 ARGENT SECURITIES INC ASSET-BACKED PA 8.01 11/26/04 ARIZONA AIRCRAFT SPARES INC 5.02 11/24/04 ARTISTDIRECT INC DE 5.02 11/29/04 ASCENDANT SOLUTIONS INC DE 4.01,9.01 11/29/04 ASPECT MEDICAL SYSTEMS INC DE 1.01,3.03,5.03,8.01,9.01 11/29/04 ASSET BACKED FUNDING CORP ABFC ASSET DE 8.01,9.01 11/26/04 ASSET-BACKED CERTIFICATES SERIES 2004 DE 9.01 11/26/04 AUTO Q INTERNATIONAL INC DE 5.02 11/22/04 AVALON GOLD CORP NV 5.02,9.01 12/01/04 AXESSTEL INC NV 1.01 11/25/04 B COM INC NV 5.02,5.03,9.01 11/30/04 BALLY TOTAL FITNESS HOLDING CORP DE 1.01,9.01 11/24/04 BANC OF AMERICA ALTERNATIVE LOAN TRU NY 8.01,9.01 11/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE 8.01,9.01 11/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE 8.01,9.01 11/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 Banc of America Alternative Loan Trus DE 8.01,9.01 11/26/04 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY 8.01,9.01 11/26/04 BANC OF AMERICA FUNDING CORP DE 8.01,9.01 11/30/04 BANC OF AMERICA FUNDING CORP MORT PAS DE 9.01 11/25/04 Banc of America Funding Corp. Mortgag DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC ALTERNATIVE DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC ALTERNAT DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANC OF AMERICA MORT SEC INC MORT PS NY 8.01,9.01 11/26/04 BANC OF AMERICA MORTGAGE SEC INC ALTE DE 8.01,9.01 11/26/04 BANC OF AMERICA MORTGAGE SEC INC MORT DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 Banc of America Mortgage Securities M DE 8.01,9.01 11/26/04 BANC OF AMERICA MORTGAGE SECURITIES P DE 8.01,9.01 11/26/04 BANC OF AMERICA MORTGAGE SECURITIES P DE 8.01,9.01 11/26/04 BANC OF AMERICA MTG SEC INC MORT PASS DE 8.01,9.01 11/26/04 BANK OF AMERICA MORT SEC INC MORT PAS DE 9.01 11/25/04 BANK OF AMERICA MORT SEC INC MORT PAS DE 9.01 11/25/04 AMEND BANK OF AMERICA MORT SEC INC MORT PAS DE 9.01 11/25/04 BANK OF AMERICA MORT SEC INC MORT PAS DE 9.01 11/25/04 AMEND BANK OF AMERICA MORT SEC INC MORT PAS DE 8.01,9.01 11/26/04 BANK OF AMERICA MORTGAGE SEC INC MORT DE 9.01 11/25/04 BANK OF AMERICA MORTGAGE SEC INC MORT DE 9.01 11/25/04 BANK OF AMERICA MORTGAGE SEC INC MORT DE 9.01 11/25/04 BANK OF AMERICA MORTGAGE SEC INC MORT DE 9.01 11/25/04 AMEND BANK OF AMERICA MORTGAGE SEC INC MORT DE 9.01 11/25/04 BANK OF AMERICA MORTGAGE SECURITIES I DE 9.01 11/25/04 BANK OF AMERICA MORTGAGE SECURITIES I DE 9.01 11/25/04 BANK OF THE OZARKS INC AR 5.02 11/30/04 BEAR STEARNS ALT A TRUST 2003-2 DE 8.01,9.01 11/26/04 BEAR STEARNS ASSET-BACKED CERTIFICAT DE 9.01 11/26/04 BEAR STEARNS ALT A MORT PASS THR CERT DE 8.01,9.01 11/26/04 BEAR STEARNS ALT A TRUST MORT PASS TH DE 8.01,9.01 11/26/04 BEAR STEARNS ALT A TRUST MORT PASS TH DE 8.01,9.01 11/26/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SEC INC SER DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 10/29/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 Bear Stearns Asset Backed Securities DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 09/27/04 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 10/25/04 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 11/26/04 Bear Stearns Asset Backed Securities DE 9.01 11/26/04 BEARD CO /OK OK 7.01,9.01 11/30/04 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 1.01,9.01 12/01/04 BIB HOLDINGS LTD NV 1.01,2.01,2.03,3.02,4.01,5.02 11/24/04 BIOGEN IDEC INC DE 5.02,9.01 11/29/04 BIOPURE CORP DE 8.01 11/29/04 BLOCKBUSTER INC DE 8.01,9.01 12/01/04 BRANDPARTNERS GROUP INC DE 4.01,9.01 10/20/04 AMEND BROADWING CORP DE 1.01 11/26/04 BULOVA CORP NY 7.01,9.01 12/01/04 CALAIS RESOURCES INC 5.03,7.01,9.01 11/10/04 CAPITAL AUTO RECEIVABLES INC DE 8.01,9.01 11/30/04 CAPITAL ONE FUNDING LLC 8.01 11/08/04 CASUAL MALE RETAIL GROUP INC DE 1.01,7.01,9.01 11/30/04 CCH II LLC 8.01,9.01 12/01/04 CCO HOLDINGS LLC 8.01,9.01 12/01/04 CEPHEID CA 1.01,5.02 11/30/04 CHARTER COMMUNICATIONS HOLDINGS LLC DE 8.01,9.01 12/01/04 CHARTER COMMUNICATIONS INC /MO/ DE 8.01,9.01 12/01/04 Chembio Diagnostics Inc. NV 8.01,9.01 11/30/04 CHESAPEAKE ENERGY CORP OK 8.01 11/30/04 CHESAPEAKE ENERGY CORP OK 8.01 11/30/04 CHESAPEAKE ENERGY CORP OK 7.01 11/30/04 CHL Mortgage Pass Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 11/25/04 CHL MORTGAGE PASS-THROUGH TRUST 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHL Mortgage Pass-Through Trust 2004- DE 9.01 11/25/04 CHROMAVISION MEDICAL SYSTEMS INC DE 1.01,8.01,9.01 11/15/04 CIB MARINE BANCSHARES INC WI 2.01 11/30/04 CITIGROUP MORTGAGE LOAN TRUST INC SER 8.01,9.01 11/26/04 CIVITAS BANKGROUP INC TN 1.01,9.01 11/24/04 CLARKSTON FINANCIAL CORP 8.01,9.01 11/30/04 CLOROX CO /DE/ DE 8.01,9.01 11/30/04 CNS INC /DE/ DE 8.01 11/29/04 COLLEGIATE PACIFIC INC DE 8.01,9.01 12/01/04 COMMUNITY BANCORP INC DE 2.02,9.01 12/01/04 COMPASS MINERALS INTERNATIONAL INC DE 7.01,9.01 12/01/04 COMVERSE TECHNOLOGY INC/NY/ NY 2.02,9.01 12/01/04 CONTINENTAL AIRLINES INC /DE/ DE 5.02,9.01 11/30/04 COPART INC CA 2.02,9.01 11/30/04 CORNERSTONE BANCSHARES INC TN 8.01,9.01 12/01/04 CORTEX PHARMACEUTICALS INC/DE/ DE 4.01,9.01 11/10/04 AMEND COVENTURE INTERNATIONAL INC 8.01 11/24/04 CRAFTMADE INTERNATIONAL INC DE 7.01 11/30/04 CRAY INC WA 8.01,9.01 12/01/04 CREATIVE VISTAS INC AZ 2.02,8.01,9.01 11/24/04 CREDENCE SYSTEMS CORP DE 2.02,9.01 12/01/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 9.01 11/30/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 12/01/04 CSFB Home Equity Pass-Through Certifi DE 8.01,9.01 11/25/04 CWABS Asset Backed Certificates Trust DE 9.01 11/25/04 CWABS INC ASSET-BACKED CERTIFICATES DE 9.01 11/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 11/25/04 CWABS INC ASSET-BACKED CERTIFICATES S DE 9.01 11/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 11/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 11/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 11/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 9.01 11/25/04 CWALT INC MORTGAGE PASS THR CERTS SER 9.01 11/25/04 CWALT INC MORTGAGE PASS THR CERTS SER 9.01 11/25/04 CWALT INC MORTGAGE PASS THR CERTS SER DE 9.01 11/25/04 CWALT INC MORTGAGE PASS-THROUGH CERTI 9.01 11/25/04 CWMBS 2004-J4 DE 9.01 11/25/04 CWMBS 2004-J5 DE 9.01 11/25/04 CWMBS 2004-J6 DE 9.01 11/25/04 CWMBS CHL Mortgage Pass-Through Trust DE 9.01 11/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 11/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 11/25/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE 9.01 11/25/04 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE 9.01 11/25/04 DEERE & CO DE 8.01 12/01/04 DELCATH SYSTEMS INC DE 1.01,3.02,9.01 09/30/04 DELTA AIR LINES INC /DE/ DE 3.02,8.01 11/24/04 DENDRITE INTERNATIONAL INC NJ 4.01 11/12/04 DIGITAL LIGHTWAVE INC DE 1.01,2.03,8.01,9.01 11/24/04 DISCOVER CARD MASTER TRUST I DE 8.01 11/30/04 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 12/01/04 DONNKENNY INC DE 2.04 11/30/04 DORAL FINANCIAL CORP PR 8.01 12/01/04 DTE ENERGY CO MI 8.01,9.01 11/30/04 DTE ENERGY CO MI 8.01,9.01 12/01/04 DVI INC DE 1.03,5.02,9.01 11/24/04 EAGLE BROADBAND INC TX 2.02,9.01 11/30/04 ECLIPSYS CORP DE 8.01,9.01 12/01/04 EDGAR ONLINE INC DE 1.01,5.02,9.01 11/29/04 EDUCATION MANAGEMENT CORPORATION 1.01,9.01 11/23/04 ELECTRIC & GAS TECHNOLOGY INC TX 1.01,9.01 11/24/04 EMERITUS CORP\WA\ WA 8.01,9.01 11/24/04 ENCYSIVE PHARMACEUTICALS INC DE 8.01,9.01 11/30/04 ENGELHARD CORP DE 2.05,2.06 11/23/04 ENPRO INDUSTRIES INC NC 8.01,9.01 12/01/04 ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,9.01 12/01/04 ENZON PHARMACEUTICALS INC DE 1.01,5.02 11/30/04 EQUIFIN INC DE 4.01,9.01 11/24/04 EQUISTAR CHEMICALS LP 1.01,5.01,9.01 11/30/04 ESS TECHNOLOGY INC CA 1.01,9.01 11/23/04 EYE CARE CENTERS OF AMERICA INC TX 5.02 12/01/04 FAMILY ROOM ENTERTAINMENT CORP NM 1.01,9.01 11/23/04 FERRO CORP OH 7.01 11/29/04 FIDELITY CAPITAL CONCEPTS LTD NV 1.01 12/01/04 FINANCE AMERICA MORTGAGE LOAN TRUST 2 DE 8.01 11/26/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 11/30/04 FINANCIAL ASSET SECURITIES CORP DE 8.01,9.01 11/15/04 FINANCIAL TELECOM LIMITED USA INC 5.02,9.01 11/30/04 FINOVA GROUP INC DE 8.01 12/01/04 FIRST ADVANTAGE CORP DE 5.02,9.01 11/30/04 FIRST ADVANTAGE CORP DE 5.02 11/29/04 FIRST BANKS INC MO 2.01,9.01 09/30/04 FIRST FEDERAL BANCSHARES OF ARKANSAS TX 8.01,9.01 12/01/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.03,9.01 11/23/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.03,9.01 10/29/04 AMEND FIRST HORIZON ABS NOTES SERIES 2004-H TN 9.01 11/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/04 First Horizon Asset Sec Mort Pas Thr DE 9.01 11/25/04 FIRST HORIZON ASSET SECURITIES INC DE 8.01,9.01 11/30/04 FIRST KEYSTONE CORP PA 8.01 11/30/04 FIRST METROPLEX CAPITAL INC 8.01,9.01 12/01/04 FIRSTENERGY CORP OH 7.01 11/30/04 FLIGHT SAFETY TECHNOLOGIES INC NV 7.01 11/29/04 FORD MOTOR CO DE 8.01,9.01 12/01/04 FORD MOTOR CREDIT CO DE 8.01,9.01 12/01/04 FORECROSS CORP CA 8.01,9.01 11/30/04 FTI CONSULTING INC MD 1.01,9.01 11/23/04 GABRIEL TECHNOLOGIES CORP DE 5.03,9.01 11/30/04 AMEND GAYLORD ENTERTAINMENT CO /DE DE 1.01,2.03,9.01 11/30/04 GENCORP INC OH 9.01 11/23/04 AMEND GENE LOGIC INC DE 5.02,9.01 12/01/04 GENERAL MOTORS CORP DE 8.01 12/01/04 GENEREX BIOTECHNOLOGY CORP DE 3.01 11/24/04 GENIO GROUP INC DE 9.01 11/19/04 AMEND GEORGIA GULF CORP /DE/ DE 7.01,9.01 12/01/04 GLOBAL CASINOS INC UT 2.02,9.01 12/01/04 GMACM Mortgage Pass-Through Certifica DE 8.01,9.01 11/25/04 GOLDEN SPIRIT MINING LTD DE 5.02,9.01 12/01/04 GOVERNMENT PROPERTIES TRUST INC 2.01,9.01 09/21/04 AMEND GP STRATEGIES CORP DE 8.01,9.01 11/30/04 GP STRATEGIES CORP DE 2.01,9.01 11/24/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 12/01/04 GS MORTGAGE SEC CORP MORT PASS THR CE DE 8.01,9.01 10/25/04 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE 8.01,9.01 11/26/04 GS Mortgage Securities Corp GSAMP Tru DE 8.01 11/26/04 GS MORTGAGE SECURITIES CORP GSR MORTG DE 8.01,9.01 11/26/04 GS MORTGAGE SECURITIES CORP GSR TRUST DE 8.01,9.01 11/26/04 GS MORTGAGE SECURITIES CORP MOR PASTH DE 8.01,9.01 11/26/04 GS MORTGAGE SECURITIES CORP. GSAMP TR DE 8.01 11/26/04 GSAA HOME EQUITY TRUST 2004-6 DE 8.01 11/26/04 GSR Mortgage Loan Trust 2004-6F DE 8.01,9.01 11/26/04 GURUNET CORP 2.02,9.01 12/01/04 HAIGHTS CROSS COMMUNICATIONS INC DE 1.01,7.01,9.01 12/01/04 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,1.02,2.03,9.01 11/24/04 HCC INSURANCE HOLDINGS INC/DE/ DE 8.01,9.01 11/29/04 HIRSCH INTERNATIONAL CORP NY 3.01 11/24/04 HOME FINANCIAL BANCORP IN 8.01,9.01 11/30/04 HOMESTAR MORTGAGE ACCEPTANCE CORP DE 8.01 12/01/04 HORNBECK OFFSHORE SERVICES INC /LA DE 7.01,9.01 11/29/04 HUMANA INC DE 7.01,9.01 12/01/04 IMEDIA INTERNATIONAL INC DE 2.02,9.01 11/30/04 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE 8.01 11/26/04 IMPAC CMB TRUST SERIES 2004-8 DE 8.01 11/26/04 IndyMac ABS Inc. Home Equity Mortgage 8.01 11/26/04 IndyMac ABS, Inc., Home Equity Mortga 8.01 11/26/04 INDYMAC BANCORP INC DE 8.01,9.01 12/01/04 IndyMac INDX Mortgage Loan Trust 2004 8.01 11/26/04 IndyMac INDX Mortgage Loan Trust 2004 8.01 11/26/04 INDYMAC INDX MORTGAGE LOAN TRUST 2004 8.01 11/26/04 Indymac INDX Mortgage Loan Trust 2004 8.01 11/26/04 IndyMac MBS, Inc. Residential Asset S 8.01 11/26/04 IndyMac MBS, Inc. Residential Asset S 8.01 11/26/04 IndyMac RAST 2004-A8 8.01 11/26/04 INFOSPACE INC DE 8.01,9.01 12/01/04 INFRASOURCE SERVICES INC DE 1.01,9.01 11/24/04 INTEGRATED ELECTRICAL SERVICES INC DE 1.01,2.03,9.01 11/24/04 INTEGRATED PERFORMANCE SYSTEMS INC NY 1.01,2.01,2.03,3.02,5.02,9.01 11/24/04 INTELLIGROUP INC NJ 5.02 11/29/04 IRWIN FINANCIAL CORP IN 8.01,9.01 12/01/04 ISONICS CORP CA 4.01,7.01,9.01 11/24/04 IWO HOLDINGS INC DE 7.01,9.01 12/01/04 IXYS CORP /DE/ DE 4.01,9.01 11/24/04 J CREW GROUP INC NY 1.01 11/24/04 J P MORGAN ACCEPTANCE CORP I DE 8.01,9.01 10/28/04 AMEND JAG MEDIA HOLDINGS INC NV 1.01,2.01 11/24/04 JLG INDUSTRIES INC PA 1.01 11/19/04 JLG INDUSTRIES INC PA 1.01 11/19/04 AMEND KESTREL ENERGY INC CO 8.01,9.01 11/29/04 KH FUNDING CO MD 4.01 11/29/04 KINGTHOMASON GROUP INC NV 5.03,9.01 11/16/04 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/30/04 LANVISION SYSTEMS INC DE 2.02,9.01 12/01/04 LEHMAN ABS CORP MORTGAGE PASS-THROUGH DE 9.01 11/26/04 LEVCOR INTERNATIONAL INC DE 1.01,1.02 11/30/04 LEXINGTON CORPORATE PROPERTIES TRUST MD 8.01,9.01 12/01/04 LIFEPOINT INC DE 8.01,9.01 12/01/04 LIGAND PHARMACEUTICALS INC DE 8.01,9.01 11/29/04 LMI AEROSPACE INC MO 1.01,7.01,9.01 11/30/04 LOCKHEED MARTIN CORP MD 8.01,9.01 12/01/04 Long Beach Mortgage Loan Trust 2004-4 DE 8.01 11/26/04 Long Beach Mortgage Loan Trust 2004-6 DE 8.01 11/26/04 LYONDELL CHEMICAL CO DE 1.01,1.02,2.01,2.04,3.03,5.02 11/30/04 MANPOWER INC /WI/ WI 8.01,9.01 11/30/04 MANU FORTI GROUP INC 8.01 12/01/04 MARISA CHRISTINA INC DE 3.01 12/01/04 MARKET CENTRAL INC DE 5.02,8.01,9.01 12/01/04 MASTR ASSET BACKED SECURITIES TRUST 2 DE 8.01,9.01 11/25/04 MASTR Seasoned Securitization Trust 2 DE 8.01,9.01 11/26/04 MATRIX SERVICE CO DE 8.01,9.01 12/01/04 MAYORS JEWELERS INC/DE DE 4.02,9.01 11/29/04 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 12/01/04 MDC PARTNERS INC 7.01,9.01 12/01/04 MERCHANTS GROUP INC DE 1.01,1.02,5.02,9.01 11/30/04 METROPCS COMMUNICATIONS INC 1.01,5.02,9.01 10/05/04 METROPCS INC 1.01,9.01 11/28/04 MICREL INC CA 8.01 11/29/04 MILLENNIUM CHEMICALS INC DE 1.01,1.02,2.01,2.04,3.01,3.03 11/30/04 MIM CORP DE 1.01,9.01 12/01/04 MOLEX INC DE 4.01,9.01 11/13/04 AMEND MOOG INC NY 1.01,9.01 12/01/04 Morgan Stanley ABS Capital I Inc CDC DE 8.01,9.01 11/25/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 11/26/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 11/26/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 11/26/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 11/17/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01 11/26/04 MORTGAGE PASS THROUGH CERTIFICATES SE DE 9.01 11/25/04 AMEND MORTGAGE PASS THROUGH CERTIFICATES SE DE 9.01 11/25/04 AMEND MORTGAGE PASS-THROUGH CERTIFICATES SE DE 8.01,9.01 11/26/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE 8.01,9.01 11/26/04 Mortgage Pass-Through Certificates, S 9.01 11/25/04 Mortgage Pass-Through Certificates, S 9.01 11/25/04 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 9.01 11/26/04 MYOGEN INC DE 8.01 11/30/04 N-VIRO INTERNATIONAL CORP DE 5.02,9.01 11/24/04 NANOPIERCE TECHNOLOGIES INC NV 3.03 11/19/04 AMEND NASDAQ STOCK MARKET INC DE 1.01,3.02,5.03,9.01 11/29/04 NASSDA CORP DE 1.01,2.02,9.01 11/30/04 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 12/01/04 NATIONAL PATENT DEVELOPMENT CORP DE 8.01,9.01 11/30/04 NATURAL HEALTH TRENDS CORP FL 5.02,9.01 11/23/04 NBTY INC DE 5.04 11/29/04 NEIMAN MARCUS GROUP INC DE 2.02,9.01 12/01/04 NEIMAN MARCUS GROUP INC DE 2.02,7.01 12/01/04 NETWORK 1 SECURITY SOLUTIONS INC DE 1.01,9.01 11/26/04 New Century Energy Corp. CO 4.01,9.01 11/12/04 NEWALLIANCE BANCSHARES INC 3.01 12/01/04 NIKU CORP DE 5.02 11/29/04 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA 9.01 11/30/04 NORTHWEST PIPELINE CORP DE 8.01,9.01 11/29/04 NovaStar Mortgage Funding Trust, Seri DE 2.01,8.01,9.01 11/30/04 NTN COMMUNICATIONS INC DE 8.01 11/30/04 NUI CORP /NJ/ NJ 1.02,2.01,3.01,3.03,5.01,5.03 11/30/04 OMNICARE INC DE 1.01,9.01 12/01/04 ON SEMICONDUCTOR CORP DE 8.01 12/01/04 ONE LIBERTY PROPERTIES INC MD 7.01 12/01/04 ORAGENICS INC FL 7.01,8.01,9.01 12/01/04 P COM INC DE 1.01,2.03,3.02,8.01,9.01 11/26/04 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 12/01/04 PACIFICNET INC DE 3.02 11/17/04 Park Place Securities, Inc., Asset-Ba DE 8.01 11/12/04 PEDIATRIC SERVICES OF AMERICA INC DE 5.02 12/01/04 PELICAN FINANCIAL INC DE 1.01 12/01/04 PENN TREATY AMERICAN CORP PA 1.01,2.03,3.02,9.01 11/24/04 PERINI CORP MA 8.01 11/30/04 PETROHAWK ENERGY CORP DE 9.01 11/23/04 AMEND PHARMACOPEIA DRUG DISCOVERY INC DE 7.01,9.01 12/01/04 PHARMAFRONTIERS CORP TX 5.02,9.01 11/24/04 PHIBRO ANIMAL HEALTH CORP 7.01,9.01 11/30/04 PILGRIMS PRIDE CORP DE 7.01 12/01/04 PIONEER COMPANIES INC DE 1.01,7.01,9.01 12/01/04 PIPELINE DATA INC 7.01 09/30/04 PortalPlayer, Inc. CA 5.02 11/24/04 PORTEC RAIL PRODUCTS INC WV 2.01,9.01 11/30/04 PREMCOR INC DE 7.01,9.01 11/29/04 PRICE LEGACY CORP MD 8.01,9.01 11/30/04 Prime Mortgage Trust 2004-2 DE 8.01,9.01 11/26/04 PROTECTIVE LIFE INSURANCE CO TN 9.01 11/26/04 PROVIDENT BANCORP INC/NY/ DE 5.02,9.01 12/01/04 PROVO INTERNATIONAL INC DE 7.01,9.01 11/24/04 PTEK HOLDINGS INC GA 7.01,9.01 12/01/04 PUBLIC CO MANAGEMENT CORP NV 8.01,9.01 12/01/04 QUESTAR PIPELINE CO UT 8.01 11/26/04 R&G FINANCIAL CORP PR 7.01,9.01 11/30/04 RAYTHEON CO/ DE 7.01,9.01 12/01/04 RCG COMPANIES INC DE 1.01,7.01,9.01 11/30/04 REDWOOD EMPIRE BANCORP CA 1.01 11/29/04 REGAL ENTERTAINMENT GROUP DE 1.01,9.01 11/24/04 REMEDENT USA INC/AZ NV 4.02 11/24/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS G DE 8.01,9.01 11/25/04 RESOURCE AMERICA INC DE 2.02,7.01,9.01 12/01/04 ROBBINS & MYERS INC OH 1.01,2.03,9.01 11/24/04 ROPER INDUSTRIES INC /DE/ DE 7.01 11/30/04 SABRE HOLDINGS CORP DE 2.05 12/01/04 SAFEGUARD SCIENTIFICS INC PA 8.01,9.01 12/01/04 Saxon Asset Securities Trust 2004-3 VA 8.01 11/26/04 SCIENTIFIC GAMES CORP DE 8.01,9.01 11/24/04 SCIENTIFIC GAMES CORP DE 8.01,9.01 11/30/04 SEACOAST BANKING CORP OF FLORIDA FL 1.01,8.01,9.01 11/30/04 SECURITY CAPITAL CORP/DE/ DE 3.01,9.01 11/24/04 SEMCO ENERGY INC MI 8.01 11/24/04 SENTRY BUILDERS CORP DE 2.01 06/19/00 SERVICE CORPORATION INTERNATIONAL TX 1.01 11/30/04 SHOPSMITH INC OH 2.02,9.01 11/16/04 SI Financial Group, Inc. X1 8.01,9.01 11/19/04 SI INTERNATIONAL INC DE 7.01 12/01/04 SJW CORP CA 7.01,9.01 11/29/04 SKYWAY COMMUNICATIONS HOLDING CORP FL 9.01 11/30/04 SOLAR ENERGY LTD DE 1.01,9.01 11/17/04 SOLAR ENERGY LTD DE 5.02 11/24/04 SOUTHERN CO DE 7.01 11/24/04 SOUTHERN POWER CO 8.01 11/24/04 SOUTHERN UNION CO DE 5.02,9.01 12/01/04 SPECTRX INC DE 5.02 12/01/04 SSI SURGICAL SERVICES INC NY 2.05,2.06 11/29/04 STANCORP FINANCIAL GROUP INC OR 1.01,5.02 11/08/04 STARSOFT INC 5.02 11/30/04 STRATEGIC HOTEL CAPITAL INC 1.01,5.02,9.01 11/29/04 STRUCT ASS MORT INV INC BS ALTA MORT DE 8.01,9.01 11/26/04 STRUCTURED ADJUSTABLE RATE MORTGAGE L DE 8.01,9.01 11/26/04 Structured Asset Investment Loan Trus DE 8.01,9.01 11/26/04 STRUCTURED ASSET INVESTMENT LOAN TRUS DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV INC BEAR ST DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV INC MORT PA DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORT INV INC MORT PA DE 8.01,9.01 11/26/04 STRUCTURED ASSET MORTGAGE INVESTMENTS 8.01,9.01 11/25/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/04 STRUCTURED ASSET SECURITIES CORP DE 8.01,9.01 11/24/04 STRUCTURED ASSET SECURITIES CORP DE 8.01 11/30/04 Structured Asset Securities Corp Mort DE 9.01 11/26/04 Structured Asset Securities Corp Mort DE 9.01 11/26/04 Structured Asset Securities CORP Mort DE 9.01 11/26/04 Structured Asset Securities Corp Mort DE 9.01 11/26/04 Structured Asset Securities Corp Mort DE 9.01 11/26/04 Structured Asset Securities Corp Mort DE 9.01 11/26/04 SUNOCO LOGISTICS PARTNERS LP DE 8.01,9.01 11/30/04 SUPERGEN INC DE 8.01,9.01 11/29/04 SYNOPSYS INC DE 2.02,9.01 12/01/04 SYNOVIS LIFE TECHNOLOGIES INC MN 2.02,8.01,9.01 12/01/04 TECHNOLOGY INVESTMENT CAPITAL CORP MD 8.01,9.01 11/29/04 TECHNOLOGY VISIONS GROUP INC DE 1.01,7.01,9.01 11/22/04 TELLABS INC DE 8.01,9.01 11/30/04 THAXTON GROUP INC SC 8.01 10/26/04 THOR INDUSTRIES INC DE 2.02,9.01 11/29/04 TITAN INTERNATIONAL INC IL 8.01,9.01 12/01/04 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 11/30/04 TRANSCAT INC OH 5.02,9.01 11/30/04 TRUSERV CORP DE 1.01,1.02 11/24/04 ULTICOM INC NJ 2.02,9.01 12/01/04 UNITED NATURAL FOODS INC DE 2.02,9.01 11/30/04 UNITED ONLINE INC DE 8.01 11/24/04 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 12/01/04 UPFC Auto Receivables Trust 2004-A DE 8.01,9.01 11/15/04 AMEND US AIRWAYS GROUP INC DE 8.01,9.01 11/26/04 V I TECHNOLOGIES INC DE 1.01 11/28/04 VALENCE TECHNOLOGY INC DE 1.01,3.02,5.03,9.01 11/30/04 VALUE LINE INC NY 5.05,9.01 12/01/04 VARIAN INC DE 1.01 12/01/04 VCA ANTECH INC DE 1.01,9.01 12/01/04 VECTREN CORP IN 8.01 11/30/04 VENDINGDATA CORP NV 8.01,9.01 11/29/04 VENTURES NATIONAL INC UT 2.03,3.02,5.02 11/30/04 VERINT SYSTEMS INC 2.02,9.01 12/01/04 VICTOR INDUSTRIES INC 4.01 11/12/04 VINEYARD NATIONAL BANCORP CA 2.02,9.01 12/01/04 VIROPRO INC NV 7.01 12/01/04 VORNADO OPERATING CO DE 1.01,8.01,9.01 11/24/04 VTEX ENERGY INC NV 8.01,9.01 11/18/04 WALKER FINANCIAL CORP DE 1.01,9.01 11/30/04 WARREN RESOURCES INC NY 3.02,9.01 12/01/04 WATSON WYATT & CO HOLDINGS DE 1.01 11/19/04 WEATHERFORD INTERNATIONAL LTD D0 8.01,9.01 11/30/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 11/26/04 WESTMORELAND COAL CO DE 1.01,9.01 12/01/04 WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01 12/01/04 WHITEHALL JEWELLERS INC DE 1.01,5.02 11/30/04 WINDROSE MEDICAL PROPERTIES TRUST MD 2.02,9.01 11/02/04 AMEND WINLAND ELECTRONICS INC MN 8.01,9.01 11/23/04 WOLVERINE TUBE INC DE 1.01,5.02,9.01 12/01/04 WOODHEAD INDUSTRIES INC DE 1.01,9.01 11/24/04 Wornick CO DE 2.02,7.01,9.01 11/30/04 XRG INC DE 5.02,7.01 11/30/04 YELLOW ROADWAY CORP DE 7.01,9.01 11/30/04 ZannWell Inc NV 1.02,5.01,5.02,9.01 11/23/04 ZONE 4 PLAY INC NV 1.01,9.01 11/18/04 AMEND