SEC NEWS DIGEST Issue 2004-199 October 15, 2004 COMMISSION ANNOUNCEMENTS JULIE ERHARDT NAMED AS SEC DEPUTY CHIEF ACCOUNTANT On October 15, Securities and Exchange Commission Chairman William H. Donaldson announced the selection of Julie A. Erhardt to serve as Deputy Chief Accountant for the Commission. As Deputy Chief Accountant, Erhardt will report to Donald T. Nicolaisen, Chief Accountant. She will share responsibilities for the day-to-day operations of the Office of the Chief Accountant with Scott Taub and Andrew Bailey. These responsibilities include resolution of accounting and auditing issues, rulemaking projects, and oversight of private sector standard-setting efforts and regulation of auditors. Erhardt will work closely with various international organizations including the International Accounting Standards Board and the International Federation of Accountants on issues relating to convergence of accounting, auditing and reporting standards. SEC Chief Accountant Donald T. Nicolaisen said, "I am delighted that Julie has agreed to join the Commission. Having a person of her experience, intelligence and enthusiasm will contribute significantly to improvement in accounting and auditing standards and practices worldwide and to the Commission's efforts to encourage convergence in these important areas. I'm confident that Julie's work will greatly benefit the Commission and the investing public." Erhardt spent the last year as a Sloan Fellow at the Graduate School of Business at Stanford University, where she received a Master's Degree in management. Before that, she spent seven months on an interim assignment with the International Accounting Standards Board in London. The bulk of Julie's career was spent at Arthur Andersen LLP where she was admitted as a partner in 1998. Erhardt spent nine years as an auditor in that firm's Detroit office, before spending eight years in Andersen's Professional Standards Group. She also served a two-year fellowship at the Financial Accounting Standards Board in Norwalk, Conn. Erhardt, 43, received her undergraduate degree from Michigan State University in 1983. She is a C.P.A. in Illinois and Michigan. Erhardt will assume her new duties at the SEC in late October. (Press Rel. 2004- 146) ENFORCEMENT PROCEEDINGS COMMISSION ISSUES FINDINGS AND ORDER IN SETTLED ADMINSTRATIVE PROCEEDINGS AGAINST SIX INDIVIDUALS ASSOCIATED WITH PONZI SCHEME On October 14, the Commission issued of an Order imposing remedial sanctions against six individuals associated with a Columbus, Ohio-based Ponzi scheme and named as Defendants in the civil action entitled SEC v. Von Christopher Cummings, et al., Civil Action Number C2 02 629, in the United States District Court for the Southern District of Ohio. The Commission Order, which institutes Administrative Proceedings pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisors Act, finds that: Von Christopher Cummings, John A. Ryan, Kevin L. Grandy and James Curtis Conley were associated with Paramount Financial Partners, L.P. and Paramount Capital Management, LLC, Investment Advisers (collectively, Paramount). On September 27, final judgments were entered against Cummings, Ryan, Grandy and Conley, permanently enjoining them from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act in SEC v. Cummings, et al. Based on the injunctions, the Commission’s Order bars Cummings, Ryan, Grandy and Conley from association with any investment adviser. The Order also bars Conley from association with any broker or dealer. Michael L. Vogt and John E. Hawley, Jr. were licensed brokers who referred clients who participated in Paramount investments. On September 27, final judgments were entered against Vogt and Hawley, permanently enjoining them from future violations of Section 15(a) of the Exchange Act. Based on the injunctions, the Commission’s Order bars Vogt and Hawley from association with any broker or dealer for one year. The Commission’s complaint in the district court action alleged, among other things, that Cummings, Ryan, Grandy, Conley and others defrauded dozens of investors by conducting a Ponzi scheme through a purported hedge fund, Paramount Financial Partners, L.P. The complaint alleged that Cummings and various marketers induced investors to pay at least $15 million into the hedge fund from at least May 2000 through March 2001, but that Cummings and others misappropriated or diverted those funds to pay earlier investors and pay personal and business expenses. The Commission’s complaint further alleged that Vogt and Hawley violated Section 15(a) of the Exchange Act by accepting compensation from Paramount and “selling away” from their employer, a brokerage firm. Each of the defendants consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-50544; File No. 3-11709) COMMISSION SUSTAINS NASD FINDINGS AND SANCTIONS AGAINST MICHAEL STUDER AND CASTLE SECURITIES REGARDING CHURNING, FAILURE TO SUPERVISE, AND VIOLATION OF PRINCIPLES OF JUST AND EQUITABLE TRADE On October 14, the Commission sustained NASD's findings and sanctions against Michael T. Studer and Castle Securities Corp. regarding the churning of an elderly customer's discretionary margin account at Castle between 1993 and 1999. There were more than 30,000 transactions in the customer's account over the seventy-seven months the account was active, and the account paid more than $560,000 in commissions over the same period. The Commission found that Castle churned the account and that Studer failed to supervise the trading in the account over that period. The Commission also found that the customer was induced to guarantee the margin accounts of five unrelated Castle customers without receiving any compensation. The Commission sustained NASD's expulsion of Castle from membership and its bar of Studer from association. (Rel. 34-50543; File No. 3-11426) IN THE MATTER OF MICHAEL YENINAS On October 15, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Michael Yeninas. In the Order, the Commission permanently barred Yeninas from association with any broker or dealer. Yeninas consented to the issuance of the Order without admitting or denying any of the allegations therein. In the Order, the Commission found that the United States District Court for the Eastern District of New York had previously entered a partial consent judgment against Yeninas preliminarily enjoining him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder (SEC v. Ardian Finance Group, et al., 02 Civ. 4366, DGT, E.D.N.Y.). In the underlying injunctive action, the Commission’s complaint alleged that Yeninas engaged in fraudulent sales practices in an unregistered offering of securities of Ardian Finance Group. See also Rel. 34-50362/Sept. 14, 2004. (Rel. 34-50547; File No. 3- 11649) SEC OBTAINS ORDER HALTING $24.5 MILLION “PRIME BANK” PONZI SCHEME On October 12, the Commission filed an emergency action to halt an ongoing fraudulent Ponzi scheme perpetrated by five defendants in Florida, Georgia, and Texas in which at least $24.5 million was invested in fictitious “prime bank” instruments. The Commission’s complaint charged Learn Waterhouse, Inc. (LWI), a Texas corporation based in Jacksonville, Fla., and Tyler, Tex., Randall T. Treadwell, 46, of Savannah, Ga., Rick D. Sluder, 47, of Tyler, Tex., Larry C. Saturday, 57, of Savannah, Ga., and Arnulfo M. Acosta, 41, of Pasadena, Tex. The Honorable Irma E. Gonzalez, United States District Judge for the Southern District of California granted the Commission’s emergency application for a temporary restraining order; froze the defendants’ assets; prohibited the destruction of documents; appointed a temporary receiver over LWI; ordered accountings from the defendants; and ordered the repatriation of defendants’ assets held in foreign locations. The Commission’s complaint alleges that, from December 2003 through August 2004, the defendants raised at least $24.5 million from 1700 investors nationwide by conducting a fraudulent prime bank scheme. According to the complaint, LWI pooled investor funds to engage in “buy/sell” transactions in a “secret,” “invitation only” bank trading program that generated investor returns ranging from 5% to 50% per month. The defendants represented that one such trading program purportedly earned investors 500% in just 60 days. The defendants also represented that an investor’s principal was secured by a “pre-funded, cash-back instrument” issued by a top U.S. bank, which purportedly restricted LWI’s bank trading program to completely risk-free transactions. The complaint alleges that, contrary to the defendants’ representations, they were instead promoting a fictitious prime bank trading program and operating a Ponzi scheme. The defendants paid investors and sales agents $17.5 million, but at least $8.2 million, or 46.9%, of those investor returns came from investor funds. The defendants also misappropriated at least $2.5 million in investor funds to support themselves and finance other businesses. The Commission obtained an order temporarily restraining LWI, Treadwell, Sluder, Saturday, and Acosta from committing securities fraud in violation of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. The order also temporarily restrains the defendants from violating the securities registration provisions of Section 5(a) and 5(c) of the Securities Act. The Court’s order provided that the temporary restraining order and asset freeze would remain in effect until November 1, at which time the Court scheduled a hearing on the Commission’s motion for a preliminary injunction. In addition to the interim relief already granted by the Court, the Commission seeks a final judgment against the defendants enjoining them from future violations of the foregoing antifraud and securities registration laws, ordering them to disgorge all ill-gotten gains, and assessing civil penalties. The Commission would like to acknowledge the substantial assistance of the United States Attorney’s Office for the Southern District of California, the Federal Bureau of Investigation, the Arizona Corporation Commission, Alabama Securities Commission, the Florida Department of Financial Services, the Texas State Securities Board, and the Iowa Insurance Division’s Securities Bureau. For more information about prime bank frauds, visit the SEC’s “Prime Bank Information Center” at http://www.sec.gov/divisions/enforce/primebank.shtml. To report suspicious activity involving possible fraud, visit http://www.sec.gov/complaint.shtm. [SEC v. Learn Waterhouse, Inc.; Randall T. Treadwell; Rick D. Sluder; Larry C. Saturday; and Arnulfo M. Acosta, Civil Action No. 04-CV-2037 W, LSP, S.D. Cal.] (LR-18932) JURY CONVICTS PONZI SCHEME OPERATORS On October 8, a federal jury presided over by U.S. District Judge Terry R. Means, Northern District of Texas, Fort Worth Division, returned a guilty verdict against Gary D. Reeder and Sandra M. Reeder on 14 counts of mail fraud and conspiracy to commit money laundering in a Ponzi investment scam conducted by the Reeders and their Ft. Worth, Tex., company, Cornerstone Prodigy Group, Inc. A sentencing date is scheduled for Jan. 24, 2005. The Reeders and Cornerstone were previously enjoined by the Commission for their fraudulent conduct. During the course of the lawsuit, a court- appointed receiver liquidated all of the defendants’ assets, including the Reeders’ home, which had been paid for with investor funds and distributed these liquidated assets, totaling approximately $7 million, to the victims of the Reeders' fraud. The Commission’s lawsuit, filed in November 1999, alleged that the Reeders fraudulent operation, based in Forth Worth, Tex., raised over $16.5 million from over 600 investors, many of whom were elderly, through internet postings and cold-call sales. The complaint further alleged that the defendants promised investors that their business operations would generate 120% annual returns when, in reality, they had no significant business revenue. Finally, the complaint alleged the Reeders were operating a classic Ponzi scheme wherein the funds of new investors were used to make promised payments to existing investors. On April 14, 2000, Judge Means, who also presided over the civil lawsuit, entered a Permanent Injunction against Cornerstone Prodigy Group, Inc. and its principals Gary Reeder, a convicted felon, and Sandra Reeder, a licensed securities professional. The Court’s order enjoined Cornerstone and the Reeders, who consented to the issuance of the order, from future violations of the anti-fraud and securities registration provisions of the federal securities laws, specifically, Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court also ordered the Reeders to disgorge $16.5 million, less the approximate $6 million of investor funds recovered, but waived the balance based upon the Reeders demonstrated financial inability to pay. The Commission wishes to acknowledge the valuable assistance of the Texas State Securities Board and the Federal Bureau of Investigation. For further information, please see LR-16390 (Dec. 15, 1999) http:// www. sec. gov/ litigation/ litreleases/lr16390.htm and LR-16521 (April 18, 2000) http://www.sec.gov/litigation/litreleases/lr16521.htm. [U.S.v. Reeder, et al., Criminal Action No. 4:02-CR-00128 USDC, NDTX, Ft. Worth Division; SEC v. Cornerstone Prodigy Group, Inc., Gary D. Reeder, Sandra Reeder, Case No. 4:99-CV-0978-Y USDC, NDTX, Ft. Worth Division] (LR-18933) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change and Amendment No. 1 thereto submitted by the Chicago Board Options Exchange (SR-CBOE-2004-57) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to the permanent approval of Autobook. Publication of the proposal is expected in the Federal Register during the week of October 18. (Rel. 34-50540) PROPOSED RULE CHANGES The Commission issued a notice of filing of a proposed rule change (SR- MSRB-2004-05) by the Municipal Securities Rulemaking Board pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 to offer a new historical data product. Publication of the notice in the Federal Register is expected during the week of October 18. (Rel. 34-50491) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-07) under Section 19(b)(1) of the Exchange Act that would allow FICC to eliminate the “mortgage banker” category of membership in its Mortgage-Backed Securities Division. Publication of the proposal is expected to be made in the Federal Register during the week of October 18. (Rel. 34-50536) The Chicago Board Options Exchange has filed a proposed rule change (SR- CBOE-2004-50) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its rules regarding limitations on Designated Primary Market-Makers putting into effect stop and stop limit orders. Publication of the proposal is expected in the Federal Register during the week of October 18. (Rel. 34-50542) WITHDRAWAL An order has been issued granting the application of Redline Performance Products, Inc., to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on October 15. (Rel 34-50546) 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 SPROUT DEVELOPMENT INC., SUITE 702, 505-4 AVENUE S.W., CALGARY, A0, T2P 0J8, 403-262-6641 - 10,000,000 ($1,000,000.00) Equity, (File 333-119735 - Oct. 14) (BR. 03) S-4 WESBANCO INC, 1 BANK PLAZA, WHEELING, WV, 26003, 3042349000 - 0 ($68,209,730.00) Equity, (File 333-119736 - Oct. 14) (BR. 07) S-1 TRI-S SECURITY CORP, 3700 MANSELL ROAD, SUITE 220, ALPHARETTA, GA, 30022, 770-625-4945 - 0 ($14,625,000.00) Equity, (File 333-119737 - Oct. 14) (BR. 08) S-1 PLAINS ALL AMERICAN PIPELINE LP, 333 CLAY STREET, SUITE 1600, HOUSTON, TX, 77002, 7136544100 - 0 ($118,143,480.00) Limited Partnership Interests, (File 333-119738 - Oct. 14) (BR. 04) S-8 MANATRON INC, 510 E MILHAM AVENUE, PORTAGE, MI, 49002, 6163755300 - 200,000 ($1,596,000.00) Equity, (File 333-119740 - Oct. 14) (BR. 03) SB-2 Tintic Gold Mining CO, 3131 TETON DRIVE, SALT LAKE CITY, UT, 84109, 801-468-3340 - 1,009,643 ($100,964.30) Equity, (File 333-119742 - Oct. 14) (BR. 09) S-8 ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 0 ($96,686,949.50) Equity, (File 333-119746 - Oct. 14) (BR. 37) S-8 BEACON ROOFING SUPPLY INC, 50 WEBSTER AVE, SOMERVILLE, MA, 02143, 3,696,039 ($41,738,893.60) Equity, (File 333-119747 - Oct. 14) (BR. 06) S-3 QUIGLEY CORP, KELLS BUILDING, 621 SHADY RETREAT RD, DOYLESTOWN, PA, 18901, 2153450919 - 113,097 ($1,022,396.88) Equity, (File 333-119748 - Oct. 14) (BR. 01) S-8 ALEXION PHARMACEUTICALS INC, 352 KNOTTER DRIVE, CHESHIRE, CT, 06511, 2037761790 - 0 ($17,640,000.00) Equity, (File 333-119749 - Oct. 14) (BR. 01) F-3 WORLD HEART CORP, 1 LASER STREET, OTTAWA, ONTARIO CANADA, A6, K2E 7V1, 6132374278 - 23,972,446 ($28,287,486.28) Equity, (File 333-119750 - Oct. 14) (BR. 36) S-3 ANALEX CORP, 5904 RICHMOND HIGHWAY, SUITE 300, ALEXANDRIA, VA, 22303, 703-329-9400 - 0 ($23,646,319.00) Equity, (File 333-119751 - Oct. 14) (BR. 03) S-3 ACCELRYS, INC., 9685 SCRANTON ROAD, SAN DIEGO, CA, 92121-3752, (858) 799-5000 - 0 ($7,943,974.20) Equity, (File 333-119752 - Oct. 14) (BR. 03) S-3 NEW CENTURY FINANCIAL CORP, 18400 VON KARMAN, SUITE 1000, IRVINE, CA, 92612, 9494407030 - 0 ($426,207,417.00) Equity, (File 333-119753 - Oct. 14) (BR. 08) SB-2 ANMORE INC, 4770 BISCAYNE BLVD., SUITE 1470, MIAMI, FL, 33137, (305)-576-6833 - 6,600,000 ($132,000.00) Equity, (File 333-119754 - Oct. 14) (BR. 09) SB-2 WIRELESS FRONTIER INTERNET INC, 104 WEST CALLAGHAN, FORT STOCKTON, TX, 79735, 4323360336 - 42,785,382 ($7,084,140.70) Equity, (File 333-119755 - Oct. 14) (BR. 03) S-3 TERRA INDUSTRIES INC, 600 FOURTH ST, PO BOX 6000, SIOUX CITY, IA, 51102-6000, 7122771340 - 0 ($176,400,000.00) Equity, (File 333-119756 - Oct. 14) (BR. 04) S-3 STEELCASE INC, 901 44TH ST, GRAND RAPIDS, MI, 49508, 6162472710 - 0 ($301,400,000.00) Other, (File 333-119757 - Oct. 14) (BR. 06) 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 ABBOTT LABORATORIES IL 2.02,9.01 10/14/04 ACTION PERFORMANCE COMPANIES INC AZ 5.02,9.01 10/12/04 AETHER SYSTEMS INC DE 5.02 10/13/04 AKORN INC LA 1.01,9.01 10/08/04 ALBEMARLE CORP VA 8.01,9.01 10/13/04 ALLIANCE BANKSHARES CORP 1.02,9.01 10/07/04 ALLOS THERAPEUTICS INC DE 1.01,5.02,8.01,9.01 10/11/04 ALPHASMART INC DE 2.02,9.01 10/14/04 ALTEX INDUSTRIES INC DE 4.01,9.01 10/12/04 AMCON DISTRIBUTING CO DE 3.02,5.02 10/08/04 AMCORE FINANCIAL INC NV 2.02,9.01 10/14/04 AMEREN CORP MO 5.02,5.03,9.01 10/14/04 AMERICAN BUSINESS FINANCIAL SERVICES DE 2.02,9.01 10/13/04 AMERICAN INTERNATIONAL GROUP INC DE 7.01 10/14/04 AMERICAN LOCKER GROUP INC DE 1.01,9.01 10/08/04 AMERICAN VANGUARD CORP DE 1.01,8.01,9.01 10/07/04 Amortizing Residential Collateral Tru DE 8.01 09/30/04 ANGELICA CORP /NEW/ MO 9.01 07/31/04 AMEND ANMORE INC NJ 4.01 10/15/03 APTARGROUP INC DE 2.02,9.01 10/14/04 ARCH COAL INC DE 2.01,9.01 07/31/04 AMEND ARI NETWORK SERVICES INC /WI WI 2.02,9.01 10/14/04 ARIBA INC DE 1.01 10/08/04 ARTS WAY MANUFACTURING CO INC DE 8.01 08/31/04 ASHFORD HOSPITALITY TRUST INC MD 2.01,9.01 09/02/04 AMEND ASSET BACKED FUNDING CORP DE 8.01,9.01 10/14/04 ATWOOD OCEANICS INC TX 1.01,8.01,9.01 10/13/04 BANK OF AMERICA CORP /DE/ DE 2.02,7.01,8.01,9.01 10/14/04 BANK OF AMERICA CORP /DE/ DE 8.01 10/13/04 BANK OF AMERICA CORP /DE/ DE 9.01 10/14/04 AMEND BB&T CORP NC 2.02,9.01 10/14/04 BEAR STEARNS ASSET BACKED SECURITIES DE 9.01 10/13/04 Bear Stearns Asset Backed Securities DE 8.01,9.01 09/30/04 BellaVista Funding CORP DE 9.01 10/13/04 BELLSOUTH CORP GA 2.01,8.01 10/13/04 BIGGEST LITTLE INVESTMENTS LP DE 7.01 10/14/04 BIO SOLUTIONS INTERNATIONAL INC NV 2.01 08/31/04 BIOPURE CORP DE 5.02 10/08/04 BLUE MOON GROUP INC DE 4.01,9.01 10/13/04 AMEND BOOKHAM, INC. DE 2.02,9.01 10/12/04 BRE PROPERTIES INC /MD/ MD 2.02,9.01 10/13/04 BRE PROPERTIES INC /MD/ MD 4.02,8.01 10/08/04 BRIGHTPOINT INC IN 1.01,9.01 10/12/04 BROWN JORDAN INTERNATIONAL INC FL 1.01,1.02,5.02,9.01 09/29/04 BUCKEYE PARTNERS L P DE 8.01,9.01 10/12/04 BULLDOG TECHNOLOGIES INC NV 7.01 10/14/04 BURZYNSKI RESEARCH INSTITUTE INC DE 5.02 10/14/04 CANEUM INC NV 1.01,9.01 10/08/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE 8.01,9.01 10/08/04 CARDIAC SCIENCE INC DE 2.02,9.01 10/14/04 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 10/13/04 CAS MEDICAL SYSTEMS INC DE 4.01,9.01 10/07/04 CASE FINANCIAL INC DE 5.02,7.01 10/08/04 CASEYS GENERAL STORES INC IA 7.01 10/14/04 CEC ENTERTAINMENT INC KS 2.02 09/26/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 7.01,9.01 10/13/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 2.02,9.01 10/14/04 CHEMUNG FINANCIAL CORP NY 2.02,9.01 09/30/04 CHENIERE ENERGY INC DE 1.01,3.03,5.03,8.01,9.01 10/13/04 CHINA GRANITE CORP NV 4.01,9.01 10/04/04 CHINA XIN NETWORK MEDIA CORP FL 5.02,7.01,9.01 10/06/04 CHOLESTECH CORPORATION CA 1.01,5.02,9.01 10/12/04 CIROND CORP NV 1.01,1.02,3.02,9.01 09/20/04 AMEND CITIGROUP GLOBAL MARKETS HOLDINGS INC NY 9.01 09/30/04 CITIGROUP INC DE 2.02,9.01 10/14/04 CITIZENS FINANCIAL CORP /KY/ KY 2.03,9.01 10/08/04 CLAYTON WILLIAMS ENERGY INC /DE DE 2.01,9.01 05/21/04 AMEND CLOSURE MEDICAL CORP DE 2.02,9.01 10/13/04 CNET NETWORKS INC DE 2.02,7.01 09/30/04 COFFEE PACIFICA INC NV 8.01 09/23/04 COGNOS INC CA 8.01 10/14/04 COMDIAL CORP DE 4.01,9.01 10/07/04 COMDIAL CORP DE 2.02,9.01 10/13/04 COMMONWEALTH BANKSHARES INC VA 3.02,8.01,9.01 10/14/04 COMMUNITY BANCORP /VT VT 8.01 10/14/04 AMEND COMPETITIVE TECHNOLOGIES INC DE 8.01,9.01 10/13/04 CONCORD COMMUNICATIONS INC MA 5.02,9.01 10/14/04 CORNERSTONE REALTY FUND LLC CA 5.02 10/13/04 CORVIS CORP DE 5.03,9.01 10/08/04 COSTCO WHOLESALE CORP /NEW WA 5.02 10/12/04 COTELLIGENT INC DE 1.01,2.03,9.01 10/08/04 COVENTRY HEALTH CARE INC DE 1.01,2.02,9.01 10/13/04 CRANE CO /DE/ DE 5.02,9.01 10/14/04 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE 9.01 10/14/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 10/13/04 CREE INC NC 2.02,9.01 10/14/04 CRITICAL THERAPEUTICS INC DE 5.02 10/13/04 CROWN HOLDINGS INC PA 2.02 10/13/04 CUNO INC DE 2.01 08/02/04 AMEND CURAGEN CORP DE 7.01,9.01 10/13/04 CURIS INC DE 1.01,8.01,9.01 10/11/04 CWABS INC DE 8.01,9.01 10/14/04 CWALT INC 8.01,9.01 04/30/04 CWMBS INC DE 8.01,9.01 06/28/04 CWMBS INC DE 8.01,9.01 08/30/04 CWMBS INC DE 8.01,9.01 08/30/04 CYBERSOURCE CORP DE 2.02,9.01 10/14/04 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/14/04 DALEEN TECHNOLOGIES INC DE 8.01,9.01 10/13/04 DECODE GENETICS INC DE 8.01 10/08/04 DENDO GLOBAL CORP NV 1.01 10/11/04 DGSE COMPANIES INC NV 4.01,9.01 10/14/04 DIGENE CORP DE 1.01 10/14/04 DIGENE CORP DE 7.01,9.01 10/14/04 DOMINION HOMES INC OH 1.01,5.02,7.01,9.01 10/14/04 DORAL FINANCIAL CORP PR 2.02,8.01,9.01 10/13/04 DORCHESTER MINERALS LP DE 2.02,7.01,9.01 10/13/04 DOW JONES & CO INC DE 2.02,9.01 09/30/04 DPAC TECHNOLOGIES CORP CA 2.02,9.01 10/14/04 DPL INC OH 8.01 10/08/04 DSLA Mortgage Loan Trust 2004-AR1 DE 8.01,9.01 10/14/04 DUPONT PHOTOMASKS INC DE 8.01 10/08/04 EASTMAN KODAK CO NJ 1.01,9.01 10/07/04 EATON CORP OH 2.02,9.01 10/14/04 EDUCATION LOANS INC /DE DE 8.01,9.01 10/13/04 ELINEAR INC DE 4.01,9.01 10/12/04 ENCORE MEDICAL CORP DE 7.01,9.01 09/29/04 AMEND ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 09/21/04 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 10/14/04 ENRON CORP/OR/ OR 8.01,9.01 10/12/04 ENTERGY LOUISIANA INC LA 2.02,9.01 10/12/04 ENZO BIOCHEM INC NY 2.02 10/14/04 Epic Bancorp 2.02,9.01 10/14/04 EVEREST RE GROUP LTD C8 7.01,9.01 10/14/04 eXegenics Inc DE 3.01 10/12/04 EXULT INC DE 5.02 10/13/04 EYETECH PHARMACEUTICALS INC DE 5.02 10/14/04 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/14/04 FALCON NATURAL GAS CORP 1.01,3.02,9.01 10/08/04 FIDELITY FEDERAL BANCORP IN 2.02,9.01 10/12/04 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 10/14/04 FIRST ADVANTAGE CORP DE 1.01,2.01,9.01 10/11/04 FIRST BANCSHARES INC /MO/ MO 8.01,9.01 09/30/04 FIRST CHARTER CORP /NC/ NC 2.02,9.01 10/14/04 FIRST DATA CORP DE 2.02,9.01 10/14/04 FIRST HEALTH GROUP CORP DE 1.01,9.01 10/14/04 FIRST IPSWICH BANCORP /MA MA 1.01,8.01,9.01 10/14/04 FIRST SECURITY GROUP INC/TN TN 5.05,9.01 09/28/04 GAMMACAN INTERNATIONAL INC DE 5.02,9.01 10/12/04 GASCO ENERGY INC NV 8.01,9.01 03/09/04 GASCO ENERGY INC NV 1.01,8.01,9.01 10/11/04 GASCO ENERGY INC NV 8.01,9.01 10/14/04 GASCO ENERGY INC NV 2.01,9.01 08/20/04 AMEND GB&T BANCSHARES INC GA 2.02,9.01 10/13/04 GENERAL MILLS INC DE 1.01,2.01,3.02,3.03 10/08/04 GENERAL MOTORS ACCEPTANCE CORP DE 2.02 10/14/04 GENERAL MOTORS CORP DE 2.02 10/14/04 GENERAL MOTORS CORP DE 2.05 10/14/04 GENERAL MOTORS CORP DE 2.02 10/14/04 GENERAL MOTORS CORP DE 8.01 10/14/04 GENSYM CORP DE 5.02 10/07/04 GLOBAL GOLF HOLDINGS INC /DE/ DE 1.01,2.01,8.01,9.01 10/13/04 GLOBAL GOLF HOLDINGS INC /DE/ DE 1.01,8.01,9.01 10/14/04 AMEND GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 10/14/04 GRACO INC MN 2.02,9.01 09/24/04 GRAHAM PACKAGING HOLDINGS CO DE 1.01,2.01,9.01 10/07/04 GRANT VENTURES INC NV 5.02,9.01 10/11/04 GRAY TELEVISION INC GA 8.01,9.01 10/13/04 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01 10/14/04 GREAT LAKES CHEMICAL CORP DE 7.01,9.01 10/11/04 GREAT WESTERN LAND RECREATION INC NV 8.01 10/14/04 Greenpoint Mortgage Loan Trust 2004-1 DE 8.01 09/30/04 GS MORTGAGE SECURITIES CORP DE 8.01 10/12/04 HANOVER GOLD CO INC DE 5.02 10/12/04 HARLEY DAVIDSON INC WI 2.02,9.01 10/13/04 HEALTH SCIENCES GROUP INC CO 2.04 10/08/04 HELEN OF TROY LTD 2.02,9.01 10/12/04 HELMERICH & PAYNE INC DE 1.01,9.01 10/13/04 HERCULES INC DE 8.01 10/08/04 HIBERNIA CORP LA 2.02,7.01,9.01 09/30/04 HIGHLAND HOSPITALITY CORP MD 2.01,2.03,9.01 08/02/04 AMEND HOLLYWOOD ENTERTAINMENT CORP OR 1.01,9.01 10/14/04 Home Equity Loan Trust 2004-HS3 DE 8.01,9.01 10/14/04 HOMEBANC CORP GA 1.01,2.04 10/12/04 HOOKER FURNITURE CORP VA 2.02,9.01 10/12/04 HORTON D R INC /DE/ DE 8.01,9.01 10/07/04 HUTCHINSON TECHNOLOGY INC MN 1.01,9.01 10/08/04 ICON CASH FLOW PARTNERS L P SEVEN DE 2.01,9.01 10/08/04 IDEAL ACCENTS INC 1.03 10/13/04 IDT CORP DE 2.02,9.01 10/14/04 ILX RESORTS INC AZ 7.01 10/14/04 IMH ASSETS CORP DE 2.01,8.01,9.01 09/29/04 IMH ASSETS CORP DE 2.01,9.01 09/29/04 IMPAC MORTGAGE HOLDINGS INC MD 4.02 08/25/04 AMEND INDEPENDENT BANK CORP MI 1.01,2.02,7.01,9.01 10/08/04 INNOVATION HOLDINGS NV 4.01,9.01 10/06/04 INSPIRE PHARMACEUTICALS INC DE 1.01,5.02,9.01 10/11/04 INTEGRATED ELECTRICAL SERVICES INC DE 7.01,9.01 10/14/04 INTER TEL INC AZ 8.01,9.01 10/08/04 INTERDIGITAL COMMUNICATIONS CORP PA 8.01 10/14/04 INTERNATIONAL ASSETS HOLDING CORP DE 1.01,9.01 10/11/04 INTERNATIONAL LEASE FINANCE CORP CA 3.03,9.01 10/08/04 INTERPLAY ENTERTAINMENT CORP DE 8.01 10/13/04 INTRALASE CORP 5.02,9.01 10/14/04 INVICTA GROUP INC 4.02 10/13/04 INVICTA GROUP INC 4.02 10/13/04 ITRON INC /WA/ WA 5.02,9.01 10/14/04 IVILLAGE INC DE 1.01 09/28/04 JASMINES GARDEN NV 1.01,9.01 10/12/04 JDS UNIPHASE CORP /CA/ DE 7.01 10/13/04 JITSOURCE INC DE 5.02,9.01 10/08/04 JP MORTGAGE CHASE COMM MORT PASS THR DE 8.01,9.01 10/12/04 JPMorgan Chase Commercial Mortgage Se DE 8.01,9.01 10/12/04 JUNIPER NETWORKS INC DE 2.02,9.01 10/14/04 KANA SOFTWARE INC DE 1.01,5.02 10/08/04 KEYCORP /NEW/ OH 2.02,9.01 10/14/04 KNAPE & VOGT MANUFACTURING CO MI 2.02,9.01 10/14/04 KNIGHT RIDDER INC FL 2.02,9.01 10/14/04 LAKELAND BANCORP INC NJ 2.02 10/14/04 LANDSTAR SYSTEM INC DE 2.02,9.01 10/14/04 LEXAR MEDIA INC CA 2.02,9.01 10/14/04 LIFELINE SYSTEMS INC MA 2.02,9.01 10/13/04 LINENS N THINGS INC DE 2.02,9.01 10/13/04 LITHIA MOTORS INC OR 7.01,9.01 10/13/04 LONE STAR STEAKHOUSE & SALOON INC DE 1.01,2.03,9.01 10/08/04 MACROVISION CORP DE 5.02,9.01 10/08/04 MAGNA ENTERTAINMENT CORP DE 2.03,9.01 10/08/04 MAIN STREET BANKS INC /NEW/ GA 8.01,9.01 10/14/04 MANPOWER INC /WI/ WI 1.01,1.02,2.03,9.01 10/08/04 MARATHON OIL CORP DE 2.02 10/14/04 MARCONI CORP PLC X0 2.02 10/14/04 MASTR Alternative Loan Trust 2004-10 DE 8.01,9.01 09/29/04 MAYS J W INC NY 2.02 07/31/04 MBT FINANCIAL CORP MI 2.02,9.01 10/14/04 MC SHIPPING INC 1.01 10/11/04 MCI INC DE 5.02 10/14/04 MEDTOX SCIENTIFIC INC DE 2.02,9.01 10/14/04 MERCURY COMPUTER SYSTEMS INC MA 2.02,9.01 10/14/04 Merrill Lynch Mortgage Trust 2004-KEY DE 1.01,9.01 09/29/04 METRETEK TECHNOLOGIES INC DE 4.01,9.01 09/30/04 AMEND METROCALL HOLDINGS INC DE 8.01 10/12/04 METRON TECHNOLOGY N V 2.02,9.01 10/13/04 METWOOD INC NV 9.01 10/08/04 MGIC INVESTMENT CORP WI 2.02,9.01 10/14/04 MICRON ENVIRO SYSTEMS INC NV 5.01 10/13/04 MILLENNIUM CELL INC DE 3.01 10/07/04 MILLION DOLLAR SALOON INC NV 4.01 10/08/04 MINDEN BANCORP INC 7.01,9.01 10/13/04 MISSION WEST PROPERTIES INC CA 2.02 09/30/04 MK RESOURCES CO DE 1.01,2.03,9.01 10/13/04 MODINE MANUFACTURING CO WI 3.01,9.01 10/14/04 MONRO MUFFLER BRAKE INC NY 2.02,9.01 10/14/04 MORGAN STANLEY DE 2.02,4.02,9.01 10/08/04 MOVADO GROUP INC NY 1.01,2.03,9.01 10/08/04 MUELLER INDUSTRIES INC DE 2.02,9.01 10/14/04 MULTIBAND CORP MN 1.01 10/12/04 NASH FINCH CO DE 1.01,5.02,9.01 10/13/04 NATIONAL CITY CORP DE 2.02,9.01 10/14/04 NATIONAL CITY CORP DE 2.02,9.01 10/14/04 AMEND NATIONAL PENN BANCSHARES INC PA 2.02 10/14/04 NAVIGATORS GROUP INC DE 7.01,9.01 10/14/04 NET 1 UEPS TECHNOLOGIES INC FL 2.02,9.01 10/13/04 NETFLIX INC DE 2.02,9.01 10/14/04 NETSCOUT SYSTEMS INC DE 2.02 10/14/04 NEW CENTURY FINANCIAL CORP MD 1.01,8.01,9.01 10/12/04 NEW WORLD RESTAURANT GROUP INC DE 5.02,8.01,9.01 10/13/04 NEWAVE INC UT 1.01,7.01,9.01 09/15/04 NEXEN INC A0 2.02 10/14/04 NMS COMMUNICATIONS CORP DE 7.01,9.01 10/14/04 NORTEL NETWORKS CORP 2.02,8.01,9.01 10/14/04 NORTEL NETWORKS LTD 2.02,8.01,9.01 10/14/04 NORTH FORK BANCORPORATION INC DE 2.05,9.01 10/08/04 NS GROUP INC KY 1.01 10/08/04 NUTECH DIGITAL INC CA 7.01,9.01 10/14/04 OAK HILL FINANCIAL INC OH 1.01,9.01 10/09/04 OHIO VALLEY BANC CORP OH 2.02,9.01 09/30/04 OPENLIMIT INC FL 5.02 10/09/04 OWENS ILLINOIS INC /DE/ DE 1.01,2.01,9.01 10/07/04 P COM INC DE 5.03,8.01,9.01 10/08/04 PACIFIC MERCANTILE BANCORP CA 2.03,9.01 10/08/04 PANTRY INC DE 1.01,9.01 10/14/04 PARALLEL PETROLEUM CORP DE 1.01,9.01 08/10/04 PARK CITY GROUP INC DE 7.01 10/14/04 Park Place Securities, Inc., Asset-Ba DE 8.01,9.01 10/08/04 PENTAIR INC MN 9.01 07/31/04 AMEND PG&E CORP CA 8.01 10/14/04 PHOTON DYNAMICS INC CA 2.02,5.02,9.01 10/12/04 PHYTOMEDICAL TECHNOLOGIES INC NV 7.01,9.01 10/07/04 PLAINS ALL AMERICAN PIPELINE LP DE 8.01 10/14/04 PLANTRONICS INC /CA/ DE 1.01,9.01 10/14/04 PLM EQUIPMENT GROWTH & INCOME FUND VI CA 4.01,9.01 09/27/04 AMEND PLM EQUIPMENT GROWTH FUND V CA 4.01,9.01 09/27/04 AMEND PLM EQUIPMENT GROWTH FUND VI CA 4.01,9.01 09/27/04 AMEND PLYMOUTH RUBBER CO INC MA 2.02 10/12/04 POLARIS INDUSTRIES INC/MN MN 2.02 10/14/04 PORTEC RAIL PRODUCTS INC WV 1.01,9.01 10/12/04 PRENTISS PROPERTIES TRUST/MD MD 8.01,9.01 04/22/04 PRIDE INTERNATIONAL INC DE 1.01,1.02,9.01 10/08/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/08/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/08/04 PRINCIPAL LIFE INSURANCE CO IA 9.01 10/08/04 PROFESSIONAL LEASE MANAGEMENT INCOME DE 4.01,9.01 09/27/04 AMEND PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 10/14/04 PROSPECT ENERGY CORP MD 7.01,9.01 10/13/04 PUBLICARD INC PA 1.01,2.03,9.01 10/07/04 QLT INC/BC A1 8.01,9.01 10/14/04 QMED INC DE 2.02,9.01 10/13/04 QNB CORP PA 7.01,9.01 10/13/04 QUAKER CHEMICAL CORP PA 2.02,9.01 10/14/04 QUIPP INC FL 5.02 10/11/04 RALI Series 2004-QS12 Trust DE 8.01,9.01 10/13/04 RAMBUS INC DE 2.02,9.01 10/14/04 RAMP Series 2004-RS9 Trust DE 8.01,9.01 10/14/04 RAMP Series 2004-RZ3 Trust DE 8.01,9.01 10/14/04 RAMP Series 2004-SL3 Trust DE 8.01,9.01 10/14/04 RAYTECH CORP DE 1.01,9.01 10/12/04 RED ROBIN GOURMET BURGERS INC DE 5.02,9.01 10/12/04 REFOCUS GROUP INC TX 1.01,1.02,2.03,3.02,5.03,8.01 10/08/04 REHABCARE GROUP INC DE 2.03,9.01 10/14/04 RENOVIS INC DE 8.01,9.01 10/14/04 RF MONOLITHICS INC /DE/ DE 2.02,9.01 10/14/04 RFMSI Series 2004-S8 Trust DE 8.01,9.01 10/13/04 RFMSII 2004-HI3 DE 8.01,9.01 10/13/04 RICHARDSON ELECTRONICS LTD/DE DE 7.01 10/13/04 RIVERSTONE NETWORKS INC DE 7.01,9.01 10/14/04 RIVERSTONE NETWORKS INC DE 1.01 10/11/04 RLI CORP IL 2.02,9.01 10/14/04 ROAMING MESSENGER INC NV 5.02 10/08/04 ROCKWOOD SPECIALTIES GROUP INC 7.01,9.01 10/14/04 ROCKWOOD SPECIALTIES GROUP INC 2.01,9.01 07/31/04 AMEND ROWAN COMPANIES INC DE 2.02,8.01,9.01 10/14/04 ROWAN COMPANIES INC DE 1.01,9.01 10/14/04 SALIX PHARMACEUTICALS LTD 8.01,9.01 10/14/04 SBE INC DE 5.02,9.01 10/12/04 SCHICK TECHNOLOGIES INC DE 5.02,9.01 10/14/04 SCHICK TECHNOLOGIES INC DE 5.02,9.01 10/14/04 SCRIPPS E W CO /DE OH 2.02,9.01 10/14/04 Securitized Asset Back Receivables LL 8.01,9.01 09/29/04 SEQUOIA MORTGAGE TRUST 2004-9 8.01,9.01 09/29/04 SERACARE LIFE SCIENCES INC 8.01,9.01 10/14/04 SHAW GROUP INC LA 2.02,9.01 10/14/04 SIMTEK CORP CO 1.01,3.02,9.01 10/12/04 SIX FLAGS INC DE 2.02 10/14/04 SMITH A O CORP DE 2.02,9.01 10/14/04 SOUTHWEST AIRLINES CO TX 2.02 09/30/04 SOUTHWEST AIRLINES CO TX 1.01 10/14/04 SPORT HALEY INC CO 2.02,9.01 10/13/04 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02 10/14/04 Structured Asset Investment Loan Trus DE 8.01 09/30/04 Structured Asset Mortgage Investments DE 8.01 09/30/04 Structured Asset Mortgage Investments DE 8.01,9.01 10/14/04 Structured Asset Securities Corp 2004 DE 8.01 09/30/04 Structured Asset Securities Corp Mort DE 8.01 09/30/04 STRUCTURED PROD CORP TIERS CORP BND-B DE 8.01,9.01 10/01/04 STRUCTURED PRODUCTS CORP CAST STEP UP DE 8.01,9.01 10/02/04 STRUCTURED PRODUCTS CORP CAST STEP UP DE 8.01,9.01 10/01/04 STRUCTURED PRODUCTS CORP CASTSM STEP DE 8.01,9.01 10/01/04 STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01,9.01 10/01/04 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 10/01/04 STRYKER CORP MI 2.02 10/14/04 STUDENT LOAN CORP DE 2.02,9.01 09/30/04 SUN MICROSYSTEMS INC DE 2.02,9.01 10/14/04 SUPERVALU INC DE 2.02 10/14/04 SVC FINANCIAL SERVICES INC CO 2.01,9.01 10/01/03 AMEND SYNTROLEUM CORP DE 1.01,2.03 08/27/04 AMEND TCF FINANCIAL CORP DE 2.02,9.01 10/14/04 TECHNICAL OLYMPIC USA INC DE 7.01,9.01 10/14/04 TEDA TRAVEL INC FL 5.03,9.01 09/17/04 TEXAS PACIFIC LAND TRUST 4.01 10/13/04 TEXAS PACIFIC LAND TRUST 7.01 10/14/04 THOMAS & BETTS CORP TN 5.02 10/11/04 Thornburg Mortgage Securities Trust 2 DE 8.01 09/29/04 TRADESTATION GROUP INC FL 2.02,9.01 10/14/04 TRANSOCEAN INC E9 5.02 10/14/04 TRANSTECHNOLOGY CORP DE 2.02,9.01 10/13/04 U. S. Premium Beef, Inc. DE 7.01 10/14/04 UNION BANKSHARES INC VT 2.02,7.01 10/13/04 UNION BANKSHARES INC VT 2.02,9.01 06/30/04 UNION FINANCIAL BANCSHARES INC DE 2.02,9.01 10/14/04 UNISOURCE ENERGY CORP AZ 8.01 10/12/04 UNISYS CORP DE 2.02,9.01 10/14/04 UNITED INDUSTRIES CORP DE 2.01,9.01 07/30/04 AMEND UNITED SECURITY BANCSHARES CA 8.01,9.01 10/13/04 UNITEDHEALTH GROUP INC MN 2.02 10/14/04 VALLEY NATIONAL BANCORP NJ 2.02,9.01 10/13/04 VASCULAR SOLUTIONS INC DE 2.02,9.01 10/14/04 VECTREN CORP IN 7.01 10/12/04 VENTURE FINANCIAL GROUP INC WA 2.01,7.01,9.01 10/13/04 VERITAS DGC INC DE 2.01,8.01,9.01 10/13/04 VIA NET WORKS INC DE 9.01 09/27/04 VIKING SYSTEMS INC NV 8.01,9.01 10/13/04 VIRAGE LOGIC CORP CA 2.02,9.01 10/14/04 VISIJET INC DE 1.01,2.03,3.02 10/08/04 VOXWARE INC DE 8.01,9.01 10/14/04 W WAVES USA INC NV 1.01,5.01 10/07/04 WADDELL & REED FINANCIAL INC DE 1.01,1.02,2.03 10/08/04 WEBMD CORP /NEW/ DE 2.02,9.01 10/12/04 WEST BANCORPORATION INC IA 5.02,7.01,9.01 10/13/04 WILSON GREATBATCH TECHNOLOGIES INC DE 1.01 10/08/04 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 10/14/04 WORLDGATE COMMUNICATIONS INC DE 8.01,9.01 10/13/04 XML GLOBAL TECHNOLOGIES INC CO 7.01,9.01 10/08/04 XRG INC DE 4.01 10/12/04