SEC NEWS DIGEST Issue 2004-21 February 2, 2004 COMMISSION ANNOUNCEMENTS SEC RELEASES FY 2005 BUDGET INFORMATION As part of the President's budget for fiscal year 2005, the Securities and Exchange Commission today released its Congressional request totaling $913 million for FY 2005. This request is 12.5 percent above the amount recently enacted for the SEC in fiscal 2004. The amount consists of $893 million in new budget authority and $20 million in anticipated balances from the prior year. This budget request --- the first crafted by Chairman Donaldson since his arrival in February 2003 - -- would permit the Commission to hire 106 new employees and continue the agency's recent management and operational initiatives. The Commission currently plans to use these staff to implement initiatives already underway, including the agency's enhanced oversight of mutual funds, and market structure reform initiatives. Should the Commission act to register hedge fund advisers, the additional staff would also be used for this purpose, or for other initiatives as market activities warrant. The request also would allow the Commission to continue implementing a variety of operational reforms, including investing additional funds in information technology, creating the new Office of Risk Assessment and Strategic Planning, and implementing risk-based disclosure reviews and compliance inspections and examinations. In addition to these programmatic activities, the Commission's request would provide the funds necessary for the SEC to move to the agency's previously announced new headquarters building at Station Place and is expected to keep staff salaries comparable with those of other federal financial regulatory agencies next year. Chairman Donaldson will testify before Congress in support of the President's budget request for the Commission this spring. (Press Rel. 2004-11) ENFORCEMENT PROCEEDINGS COMMISSION ISSUES FIRST STATUTORY BAR PURSUANT TO SECTION 604 OF SARBANES- OXLEY On February 2, pursuant to Section 604 of the Sarbanes-Oxley Act of 2002, the Commission barred Rodney L. Hinkle, a 57-year old resident of Jupiter, Florida, from associating with any broker or dealer. The Commission's action is based on the entry of a final order issued by the Commissioner of the Securities Division, State of Maryland, Office of the Attorney General (Maryland Division) that, among other things, permanently bars Hinkle from the securities and investment advisory business in the State of Maryland. This represents the first enforcement sanction ordered pursuant to Section 604 of the Sarbanes- Oxley Act, which authorizes the Commission to censure, restrict, suspend, or bar associated persons of broker-dealers, who are subject to a final order of a State securities commission that either bars such persons from engaging in the securities business or is based upon laws prohibiting fraudulent, manipulative or deceptive conduct. In imposing this bar, the Commission found that: * On June 17, 2003, the Maryland Division, in the Matter of Rodney L. Hinkle, Money Systems, LLC and Energy Resources, Inc., No. 2002-0422, issued a Final Order to Cease and Desist/Order of Permanent Bar (Final Order) against, among others, Rodney L. Hinkle. The Final Order was premised upon Hinkle's violation of: (a) the specific provisions of a June 12, 2000, Consent Order, entered by the Maryland Division; and (b) various provisions of the Maryland Securities Act. The Maryland Division found, among other things, that Hinkle had violated the Maryland Securities Act by engaging in fraud in the offer and sale of securities; engaging in the offer and sale of unregistered, nonexempt securities; engaging in fraud in connection with investment advisory services; employing unregistered agents; and by engaging in unregistered broker-dealer and investment advisory activities; * More specifically, the Maryland Division found in the Final Order that Hinkle and Money Systems LLC (Money Systems), a company owned by Hinkle, used false representations and promises of above-market returns to sell interests in a number of investment contracts to investors in Maryland, West Virginia, and Pennsylvania, including interests in Money Systems and Energy Resources, Inc. (Energy Resources), of which Hinkle is a principal. The Maryland Division also found that Hinkle in some cases deposited investor monies into accounts under his control, pooled investors' monies, and used the accounts for personal expenditures. According to the Final Order, Hinkle sold interests in Energy Resources in July 1997, while still associated with Multi- Financial Securities Corporation (Multi-Financial), a registered broker- dealer. Moreover, the Final Order sets forth that Hinkle sold interests in other entities, including Money Systems, from approximately January 2000 to May 2001; and that * The Final Order permanently bars Hinkle from the securities and investment advisory business in Maryland; orders him to cease and desist from further violations of the Maryland Securities Act; orders him to cease and desist from further violations of the June 12, 2000, Consent Order; and orders him to pay a monetary penalty of $100,000. Hinkle consented to the bar after the Commission instituted public administrative proceedings on Sept. 30, 2003. The Commission acknowledges the assistance of the State of Maryland, Office of the Attorney General, Securities Division. (Rel. 34-49165; File No. 3-11288) SEC STOPS OFFERING FRAUD PURPORTEDLY RAISING MONEY TO BUILD A LAS VEGAS RESORT AND CASINO On, February 2, the Commission issued an order instituting and simultaneously settling cease-and-desist proceedings against Thomas H. Ludeman (Ludeman) and Celebrity Resorts & Casinos Inc (CR&C). The order found that Ludeman and CR&C violated Sections 5(a) and (c) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission's order made the following findings: During the course of the past five years, Thomas H. Ludeman (Ludeman) and Celebrity Resorts & Casinos, Inc. (CR&C) conducted an offering with the stated goal of raising money to build a celebrity-themed resort hotel and casino in Las Vegas, Nevada. To date, Ludeman and CR&C have raised nearly $350,000 from approximately 28 investors. Potential investors were solicited through cold calls and at least one Wall Street Journal advertisement. Those individuals who indicated a potential willingness to invest were provided with documents offering "Convertible Note[s] carrying an interest rate of 5% over the Wall Street Journal first of the month prime rate, accrued monthly from date until maturity." No registration statement was filed with the Commission or was in effect as to the securities described herein, nor were the securities exempt from registration. Furthermore, the offering documents claimed: (1) that a portion of the funds raised would be used for the acquisition of a gaming license; (2) that CR&C had a key strategic relationship with Marriott Vacation Club International, and that Marriott Vacation Club International was under consideration to manage the leasing operations of the resort; (3) that the casino would generate revenues in excess of $700 million in its first year of operation; (4) that a national securities law firm was Legal Counsel for CR&C and (5) that once built, the casino would provide guests an opportunity to personally interact with "world-renowned motion picture, television, modeling, sports celebrities, and public figures." In fact: (1) No significant steps toward the acquisition of a gaming license had been taken; (2) CR&C had no relationship whatsoever with Marriott Vacation Club International; (3) the assumptions used in the calculation of projected revenues lacked any legitimate basis; (4) neither Ludeman nor CR&C was represented by a national securities law firm; and (5) Ludeman had not discussed his plan with a single celebrity. (Rels. 33-8359; 34-49166; File No. 3-11387) SEC FILES SUIT TO HALT BOILER ROOM FOREX TRADING SCAM On Jan. 28, 2004, the Commission filed an action in U.S. District Court in Dallas, Texas charging Thomas H. Keesee, age 45, and Eduardo Lautieri, age 39, both of Fort Lauderdale, Florida, and their companies, First Access Financial, LLC and First Access, Inc., with securities fraud in connection with an unregistered interstate offering and sale of securities in the form of interests in a pooled foreign currency trading account. According to the Commission's complaint, defendants used fraudulent means to raise $243,000 from at least 15 investors in just five months. The defendants consented to an order freezing activity in any accounts to which investor funds can be traced, and to other expedited relief. The Commission also has named Pennsylvania resident James R. Paisley, Jr., age 51, a/k/a James R. Kellier, age 55, a/k/a James R. Keller, and two companies he controls as relief defendants, seeking asset freezes, accountings, disgorgement of assets acquired with investor funds, and document preservation. The District Court has entered orders freezing the relief defendants' assets, requiring accountings and preserving documents. [SEC v. First Access Financial, LLC, et al., USDC, NDTX, Dallas Division, Civil Action No. 3-04-CV-166- H] (LR-18561) COMMISSION SEEKS CONTEMPT ORDER AGAINST CONNECTICUT DEFENDANTS IN CASE INVOLVING INTERNET PONZI SCHEME The Commission announced that on Jan. 13, 2004, the Commission requested that a Connecticut federal court issue an order requiring Connecticut resident Blake A. Prater and his Guilford, Connecticut-based company, Wellspring Capital Group, Inc., to show cause why they should not be held in contempt of court in connection with an SEC case charging them with fraud. The Commission's application for the order alleges that Prater and Wellspring have and violated and continue to violate a court- ordered asset freeze, preliminary injunction, and temporary restraining order (TRO). Specifically, the Commission's application sets forth facts suggesting that, beginning immediately upon their receipt of the asset freeze and TRO, Prater and Wellspring began systematically to transfer frozen assets through a variety of schemes including through the Ebay online auction system and through real estate transactions. In addition, according to the application, Prater and Wellspring also violated the preliminary injunction by creating a new internet Ponzi scheme substantially similar to the scheme that was the subject of the Commission's complaint. The Court has scheduled a hearing on this matter for Feb. 6, 2004. Previously, on Nov. 25, 2003, the court upheld the sufficiency of the Commission's allegations that Prater and Wellspring had operated an internet Ponzi scheme. In upholding the Commission's complaint, the Honorable Mark Kravitz, U.S. District Judge for the District of Connecticut, noted that the defendants had "fail[ed] to speak to the allegation at the heart of the SEC's fraud charge" and had provided "no alternative to the SEC's explanation of how Defendants would pay out [the] enormous returns [promised] - which is that early investors would be paid from the proceeds obtained from later investors, the very definition of a `pyramid scheme.'" The Court also denied the defendants' motion to modify the preliminary injunction and asset freeze. The Court's November ruling established that the Commission had stated a cause of action for securities fraud against Prater and Wellspring. The complaint alleges that the defendants operated a sophisticated Internet Ponzi scheme that raised millions of dollars from thousands of investors. It further alleges that Prater's scheme used a series of interrelated Internet web sites and a network of agents operating throughout the United States to guarantee prospective investors exorbitant returns through a variety of programs. Under one set of programs, Prater, through Wellspring, promised that, in exchange for a small sum of money, it would pay investors returns as high as 1,000 percent per year in the form of payments for various living expenses of the investors, such as car loans, rent, or business expenses. In a separate ruling on Sept. 25, 2003, the Court had previously concluded that the Commission had introduced prima facie evidence showing that the allegations were true and had imposed a preliminary injunction against the defendants and had ordered the defendants' assets frozen. In its latest ruling, the Court noted that the defendants had failed to produce any documentary evidence to support modifying this preliminary injunction and asset freeze. The Court also recited facts suggesting that the defendants had made misrepresentations to the Court in their motion to dismiss and noted that the defendants had produced no information refuting or denying that such misrepresentations had occurred. The Court established a schedule to bring the action to trial in late summer of 2004. For additional information, see Litigation Release Nos. 18336 and 18404. [SEC v. Blake A. Prater and Wellspring Capital Group, Inc., USDC for the District of Connecticut, Civil Action No. 303-CV- 01524-MRK] (LR-18562) INVESTMENT COMPANY ACT RELEASES PMC CAPITAL, INC., ET AL. A notice has been issued giving interested persons until February 24 to request a hearing on an application filed by PMC Capital, Inc., et al., for an order under the Investment Company Act that would permit PMC Capital, Inc., a business development company, to merge into PMC Commercial Trust, a real estate investment trust. (Rel. IC-26344 - January 30) HOLDING COMPANY ACT RELEASES ENERGY EAST CORPORATION, ET AL. A supplemental order has been issued authorizing Energy East Corporation and certain subsidiaries to use certain investment grade criteria in the issuance of certain securities. (Rel. 35-27794) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-02), which became effective upon filing, to remove from FICC's Rules the cross-margining agreement with BrokerTec Clearing Company and the cross-margining agreement with The Clearing Corporation. Publication of the proposal is expected in the Federal Register during the week of February 2. (Rel. 34-49142) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2003-50) and Amendment No. 1 thereto, to implement a six-month pilot program permitting quotation spreads of up to $5 on up to 200 option classes trading on the CBOE's Hybrid Trading System. Pursuant to Rule 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19- b(4)(f)(6) thereunder, the proposed rule change, as amended, became effective on Jan. 7, 2004. Publication of the proposal is expected in the Federal Register during the week of February 2. (Rel. 34-49153) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-175) to repeal NASD Rule 4613A(e)(1), which requires members that display priced quotations for a Nasdaq security on multiple market centers to display the same-priced quotations on each market center. Publication of the proposal is expected in the Federal Register during the week of February 2. (Rel. 34-49152) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-MBSCC-2001-06) filed by MBS Clearing Corporation. The proposed rule change enhances MBSCC's monitoring of its participants' financial conditions. Publication of the proposal is expected in the Federal Register during the week of February 2. (Rel. 34-49156) The Commission approved a proposed rule change (SR-FICC-2003-03) filed by the Fixed Income Clearing Corporation, which amends the criteria FICC uses to place members on surveillance status. Publication of the proposal is expected in the Federal Register during the week of February 2. (Rel. 34-49158) WITHDRAWALS GRANTED An order has been issued granting the application of Summit Securities, Inc. to withdraw its Variable Rate Cumulative Preferred Stock, Series S- 3, $10.00 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on February 2. (Rel. 34- 49159) An order has been issued granting the application of Metropolitan Mortgage & Securities Co., Inc. to withdraw its Variable Rate Cumulative Preferred Stock, Series E-7, $2.50 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on February 2. (Rel. 34-49160) An order has been issued granting the application of Newtek Business Services, Inc., to withdraw its common stock, $.02 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on February 2. (Rel. 34-49162) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, no par value, of Nematron Corporation, effective at the opening of business on February 2. (Rel. 34-49161) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 RAPIDTRON INC, 3151 AIRWAY AVENUE, BUILDING Q, COSTA MESA, CA, 92626, 949-798-0652 - 0 ($325,200.00) Equity, (File 333-112318 - Jan. 30) (BR. 09) S-3 RAMP CORP, 212-697-2509 - 9,336,000 ($7,375,440.00) Equity, (File 333-112321 - Jan. 30) (BR. 03) S-8 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 - 1,999,062 ($8,116,191.72) Equity, (File 333-112322 - Jan. 30) (BR. 01) S-3 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 - 0 ($50,000,000.00) Equity, (File 333-112323 - Jan. 30) (BR. 01) S-8 MAGMA DESIGN AUTOMATION INC, 2 RESULTS WAY, CUPERTINO, CA, 95014, 4088642000 - 3,522,028 ($88,689,631.90) Equity, (File 333-112326 - Jan. 30) (BR. 03) SB-2 CYBERLUX CORP, 50 ORANGE ROAD, PINEHURST, NC, 28374, 9102350066 - 30,244,704 ($10,434,422.88) Equity, (File 333-112327 - Jan. 30) (BR. 36) S-3 GERON CORPORATION, 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6504737700 - 85,885 ($991,972.00) Equity, (File 333-112328 - Jan. 30) (BR. 01) S-3D UNITED PARCEL SERVICE INC, 55 GLENLAKE PARKWAY NE, ATLANTA, GA, 30328, 4048286000 - 0 ($2,168,100,000.00) Equity, (File 333-112329 - Jan. 30) (BR. 05) S-8 COMPEX TECHNOLOGIES INC, 1811 OLD HIGHWAY 8, NEW BRIGHTON, MN, 55112, 6126310590 - 0 ($6,663,000.00) Equity, (File 333-112330 - Jan. 30) (BR. 36) S-8 AES CORPORATION, 1001 N 19TH ST, STE 2000, ARLINGTON, VA, 22209, 7035221315 - 0 ($157,950,000.00) Equity, (File 333-112331 - Jan. 30) (BR. 02) S-8 UNIVERSAL HEALTH SERVICES INC, 367 S GULPH RD, KING OF PRUSSIA, PA, 19406, 6107683300 - 0 ($14,420,000.00) Equity, (File 333-112332 - Jan. 30) (BR. 01) S-8 WARNING MODEL MANAGEMENT INC, 9440 SANTA MONICA BOULEVARD, SUITE 400, BEVERLY HILLS, CA, 90210, (310) 860-9969 - 60,000,000 ($240,000.00) Equity, (File 333-112333 - Jan. 30) (BR. 08) S-3 SEQUOIA MORTGAGE FUNDING CORP, 591 REDWOOD HWY, STE 3120, MILL VALLEY, CA, 94941, 4153811765 - 6,000,000,000 ($6,000,000,000.00) Asset-Backed Securities, (File 333-112334 - Jan. 30) (BR. 05) SB-2 DESCORP INC, 2631 VIOLET STREET, NORTH VANCOUVER BC, A1, 00000, 6046824272 - 500,000 ($4.60) Other, (File 333-112335 - Jan. 30) (BR. 09) S-8 CYBERGUARD CORP, 2000 WEST COMMERCIAL BLVD, SUITE 200, FORT LAUDERDALE, FL, 33309, 9549583900 - 3,000,000 ($30,600,000.00) Equity, (File 333-112336 - Jan. 30) (BR. 03) S-4 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101, 3367332000 - 0 ($428,015,259.00) Equity, (File 333-112337 - Jan. 30) (BR. 07) S-1 INFOSONICS CORP, 6325 LUSK BLVD, STE A, SAN DIEGO, CA, 92121, 8583731674 - 0 ($18,900,100.00) Equity, (File 333-112339 - Jan. 30) (BR. 36) SB-2 MEDIA SCIENCES INTERNATIONAL INC, 40 BOROLINE ROAD, ALLENDALE, NJ, 07401, 2012361100 - 3,161,701 ($3,383,020.00) Equity, (File 333-112340 - Jan. 30) (BR. 02) S-8 KVH INDUSTRIES INC \DE\, 110 ENTERPRISE CENTER, MIDDLETOWN, RI, 02842, 4018473327 - 0 ($19,178,700.00) Equity, (File 333-112341 - Jan. 30) (BR. 37) F-6 MEXICAN ECONOMIC DEVELOPMENT INC, CUAUHTEMOC 400 SUR APERTADO POSTAL 2001, COLONIA VELLA VISTA, MONTERREY NL, O5, 00000, 5283286000 - 50,000,000 ($2,500,000.00) Unallocated (Universal) Shelf, (File 333-112342 - Jan. 30) (BR. 02) S-8 WALGREEN CO, 200 WILMOT RD, DEERFIELD, IL, 60015, 8479402500 - 42,000,000 ($1,444,170,000.00) Equity, (File 333-112343 - Jan. 30) (BR. 01) S-3 SPSS INC, 233 S WACKER DR, CHICAGO, IL, 60606, 3123292400 - 0 ($6,064,981.60) Equity, (File 333-112344 - Jan. 30) (BR. 03) S-8 REGENT COMMUNICATIONS INC, 100 EAST RIVERCENTER BOULEVARD, 9TH FLOOR, COVINGTON, KY, 41011, 6062920030 - 219,040 ($1,539,851.20) Equity, (File 333-112345 - Jan. 30) (BR. 37) S-8 SILICON GRAPHICS INC, 1500 CRITTENDEN LANE, MOUNTAIN VIEW, CA, 94043, 6509601980 - 12,000,000 ($35,160,000.00) Equity, (File 333-112346 - Jan. 30) (BR. 03) S-3 NAVIGANT INTERNATIONAL INC, 84 INVERNESS CIRCLE EAST, ENGLEWOOD, CO, 80112-5314, 3037060800 - 0 ($72,000,000.00) Debt Convertible into Equity, (File 333-112347 - Jan. 30) (BR. 05) S-8 NATIONAL FINANCIAL PARTNERS CORP, 787 7TH AVE, NEW YORK, NY, 10019, 212-301-4000 - 10,203,282 ($198,986,989.00) Equity, (File 333-112348 - Jan. 30) (BR. 01) S-8 EYETECH PHARMACEUTICALS INC, 500 SEVENTH AVE 18TH FL, NEW YORK, NY, 10018, 2129979241 - 0 ($113,661,900.00) Equity, (File 333-112350 - Jan. 30) (BR. 01) S-8 GLOBECOMM SYSTEMS INC, 45 OSER AVENUE, HAUPPAUGE, NY, 11788, 5162319800 - 0 ($858,654.00) Equity, (File 333-112351 - Jan. 30) (BR. 37) S-3 SENETEK PLC /ENG/, 23 PALACE STREET, LONDON, UNITED KINGDOM, X0, SW1E 5HW, 7072263900 - 0 ($2,475,000.00) ADRs/ADSs, (File 333-112352 - Jan. 30) (BR. 01) S-1 HYTHIAM INC, 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, CA, 90025, 310 444 4300 - 0 ($83,799,471.00) Equity, (File 333-112353 - Jan. 30) (BR. 01) S-3 WILLIS GROUP HOLDINGS LTD, 0114402074 - 0 ($1,264,806,987.89) Equity, (File 333-112354 - Jan. 30) (BR. 01) S-3 PAINCARE HOLDINGS INC, 22 SHELTER ROCK LANE, DANBURY, CT, 06810, 2037988988 - 36,219,843 ($123,871,863.06) Equity, (File 333-112355 - Jan. 30) (BR. 06) S-3 SIGA TECHNOLOGIES INC, 420 LEXINGTON AVE, SUITE 601, NEW YORK, NY, 10170, 2126729100 - 9,375,000 ($19,312,500.00) Equity, (File 333-112356 - Jan. 30) (BR. 01) S-3 VIISAGE TECHNOLOGY INC, 30 PORTER ROAD, LITTLETON, MA, 01460, 6179522200 - 5,221,454 ($24,123,117.48) Equity, (File 333-112357 - Jan. 30) (BR. 03) S-3 SORRENTO NETWORKS CORP, 9990 MESA RIM ROAD, SAN DIEGO, CA, 92121, 3105814030 - 8,098,580 ($37,982,341.00) Equity, (File 333-112358 - Jan. 30) (BR. 37) S-2 NESTOR INC, 400 MASSASOIT AVE, STE 200, PROVIDENCE, RI, 02914, 4014345522 - 2,843,000 ($9,168,675.00) Equity, (File 333-112359 - Jan. 30) (BR. 03) S-2 ADEPT TECHNOLOGY INC, 3011 TRIAD DRIVE, LIVERMORE, CA, 94551, 9252453400 - 0 ($30,927,510.00) Equity, (File 333-112360 - Jan. 30) (BR. 36) S-3 BRITESMILE INC, 490 NORTH WIGET LANE, WALNUT CREEK, CA, 94598, 9259416260 - 369,577 ($12,107,342.52) Equity, (File 333-112361 - Jan. 30) (BR. 01) SB-2 VENTURES NATIONAL INC, 8133281002 - 0 ($4,887,500.00) Equity, (File 333-112362 - Jan. 30) (BR. 36) S-8 AMERICAN INTERNATIONAL INDUSTRIES INC, 601 CIEN ST, SUITE 235, KEMAH, TX, 77565-2701, 2813349479 - 75,000 ($326,250.00) Equity, (File 333-112363 - Jan. 30) (BR. 07) S-4 UNITED SECURITY BANCSHARES, 1525 E SHAW AVENUE, FRESO, CA, 93710, 0 ($6,628,651.00) Equity, (File 333-112364 - Jan. 30) (BR. 07) S-8 CALIFORNIA PIZZA KITCHEN INC, 6053 W CENUTRY BLVD, 11TH FL, LOS ANGELES, CA, 90045-6442, 3103425000 - 0 ($16,546,250.00) Equity, (File 333-112365 - Jan. 30) (BR. 05) S-4 TEXAS REGIONAL BANCSHARES INC, 3700 N TENTH STE 301, PO BOX 5910, MCALLEN, TX, 78501, 9566315400 - 0 ($110,426,382.00) Equity, (File 333-112366 - Jan. 30) (BR. 07) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($23,000,000,000.00) Other, (File 333-112367 - Jan. 30) (BR. 07) S-4 SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543, 7176264721 - 7,000,000 ($202,510,000.00) Equity, (File 333-112368 - Jan. 30) (BR. 07) S-8 PTS INC/NV/, 3355 SPRING MOUNTAIN ROAD, SUITE 63, LAS VEGAS, NV, 89102, 7028788310 - 70,000,000 ($700,000.00) Equity, (File 333-112369 - Jan. 30) (BR. 36) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 0 ($300,000.00) Equity, (File 333-112370 - Jan. 30) (BR. 09) SB-2 DWANGO NORTH AMERICA CORP, 5847 SAN FELIPE STREET, SUITE 3220, HOUSTON, TX, 77057-3000, (713) 914-9600 - 13,695,247 ($17,803,821.00) Equity, (File 333-112371 - Jan. 30) (BR. 09) S-3 KULICKE & SOFFA INDUSTRIES INC, 2101 BLAIR MILL RD, WILLOW GROVE, PA, 19090, 2157846000 - 0 ($1,242,900.00) Equity, (File 333-112373 - Jan. 30) (BR. 36) S-8 NELNET INC, 121 SOUTH 13TH ST, STE 201, LINCONLN, NE, 68508, 0 ($48,825,000.00) Equity, (File 333-112374 - Jan. 30) (BR. 05) S-1 INFRASOURCE SERVICES INC, 500 WEST DUTTON MILL RD, ASTON, PA, 19014, 6106193000 - 0 ($287,500,000.00) Equity, (File 333-112375 - Jan. 30) (BR. ) S-3 SIRENZA MICRODEVICES INC, 303 S TECHNOLOGY COURT, BROOMFIELD, CO, 80021, 3033273030 - 4,000,000 ($25,140,000.00) Equity, (File 333-112376 - Jan. 30) (BR. 36) S-2 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 6531 NW 18TH COURT, PLANTATION, FL, 33313-4520, 3057460500 - 5,000,000 ($5,150,000.00) Equity, (File 333-112377 - Jan. 30) (BR. 36) S-8 WEATHERFORD INTERNATIONAL LTD, 515 POST OAK BLVD, STE 600, HOUSTON, TX, 77027-3415, 7136934000 - 7,185,000 ($299,398,950.00) Equity, (File 333-112378 - Jan. 30) (BR. 04) S-8 CHENIERE ENERGY INC, THREE ALLEN CENTER, 333 CLAY STREET SUITE 3400, HOUSTON, TX, 77002-4312, 2815784600 - 1,000,000 ($17,240,000.00) Equity, (File 333-112379 - Jan. 30) (BR. 04) S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 - 0 ($13,678,000.00) Equity, (File 333-112380 - Jan. 30) (BR. 01) S-8 PACIFICARE HEALTH SYSTEMS INC /DE/, 3120 LAKE CENTER DRIVE, SANTA ANA, CA, 92704, 7148255200 - 0 ($180,125,000.00) Equity, 0 ($14,500,000.00) Other, (File 333-112381 - Jan. 30) (BR. 01) S-3 SIRENZA MICRODEVICES INC, 303 S TECHNOLOGY COURT, BROOMFIELD, CO, 80021, 3033273030 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-112382 - Jan. 30) (BR. 36) S-3 MICRO THERAPEUTICS INC, 2 GOODYEAR, IRVINE, CA, 92618, 9498373700 - 6,296,565 ($23,297,290.50) Equity, (File 333-112383 - Jan. 30) (BR. 36) S-8 PIPER JAFFRAY COMPANIES, 800 NICOLETT MALL, J1012057, MINNEAPOLIS, MN, 55402-7020, 6123056000 - 0 ($91,650,000.00) Equity, (File 333-112384 - Jan. 30) (BR. 07) SB-2 MILLENNIUM BANKSHARES CORP, 1601 WASHINGTON PLAZA, RESTON, VA, 20190, 0 ($26,772,000.00) Equity, (File 333-112385 - Jan. 30) (BR. 07) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 7 ELEVEN INC TX X X 01/29/04 ABERDEEN IDAHO MINING CO ID X 12/10/03 ABERDENE MINES LTD X X 01/29/04 ACCESS ANYTIME BANCORP INC DE X 01/30/04 ACCESS ANYTIME BANCORP INC DE X 01/30/04 ACTUATE CORP DE X X X 01/29/04 ADELPHIA COMMUNICATIONS CORP DE X 01/26/04 AK STEEL HOLDING CORP DE X X 01/30/04 AK STEEL HOLDING CORP DE X 01/30/04 ALLETE INC MN X 01/30/04 ALLIANT ENERGY CORP WI X X 01/30/04 ALLMERICA FINANCIAL CORP DE X X 01/29/04 AMBAC FINANCIAL GROUP INC DE X X 01/28/04 AMERICA SERVICE GROUP INC /DE DE X X 01/29/04 AMERICAN BIO MEDICA CORP NY X X 01/28/04 AMERICAN FINANCIAL GROUP INC OH X X 01/28/04 AMERICAN LAWYER MEDIA HOLDINGS INC DE X X 01/30/04 AMERICAN LAWYER MEDIA INC DE X X 01/30/04 AMERICAN NATIONAL BANKSHARES INC VA X 01/30/04 AMERICAN PHYSICIANS CAPITAL INC MI X X 01/29/04 AMERICANWEST BANCORPORATION WA X X X 01/29/04 AMF BOWLING WORLDWIDE INC DE X X 01/29/04 AMPCO PITTSBURGH CORP PA X 12/31/03 ANADARKO PETROLEUM CORP DE X X X 01/30/04 APACHE CORP DE X 01/30/04 ARAHOVA COMMUNICATIONS INC DE X 01/26/04 ARBIOS SYSTEMS INC NV X X 01/27/04 ARCH COAL INC DE X X X 12/31/03 ARCHER DANIELS MIDLAND CO DE X 12/31/03 ARKONA INC DE X 01/27/04 ASTRONICS CORP NY X X 12/31/03 ATA HOLDINGS CORP IN X X 01/30/04 ATA HOLDINGS CORP IN X X 01/30/04 ATA HOLDINGS CORP IN X 01/30/04 ATLANTIC BANCGROUP INC FL X 01/29/04 AVALON HOLDINGS CORP OH X 01/30/04 AVISTA CORP WA X X 01/28/04 AMEND BA MASTER CREDIT CARD TRUST / X X 01/15/04 BA MASTER CREDIT CARD TRUST / X 01/15/04 BAKER HUGHES INC DE X X 01/30/04 BALDWIN TECHNOLOGY CO INC DE X X 01/29/04 BALDWIN TECHNOLOGY CO INC DE X X 01/29/04 BALTIMORE GAS & ELECTRIC CO MD X X 01/29/04 BARNESANDNOBLE COM INC DE X X 01/29/04 BARON CAPITAL PROPERTIES LP DE X 01/30/04 BARON CAPITAL TRUST DE X 01/30/04 BAY VIEW CAPITAL CORP DE X X 01/27/04 BECKMAN COULTER INC DE X X 01/30/04 BECTON DICKINSON & CO NJ X X 01/29/04 BEI TECHNOLOGIES INC DE X 01/29/04 BEST BUY CO INC MN X X 01/30/04 BLYTH INC DE X 01/29/04 BRIDGE STREET FINANCIAL INC NY X X 01/26/04 BROADVIEW MEDIA INC MN X X 01/29/04 BSB BANCORP INC DE X X 01/28/04 BSQUARE CORP /WA WA X 01/29/04 CADMUS COMMUNICATIONS CORP/NEW VA X X 01/28/04 CAGLES INC GA X 01/30/04 CALLISTO PHARMACEUTICALS INC DE X X 01/21/04 AMEND CAM COMMERCE SOLUTIONS INC DE X 01/30/04 CAPITAL SENIOR LIVING CORP DE X X 01/29/04 CAPITOL BANCORP LTD MI X 01/30/04 CAPTARIS INC WA X X 01/30/04 CAREDECISION CORP NV X 01/21/04 CARVER BANCORP INC DE X X 01/29/04 CASCADE NATURAL GAS CORP WA X X 01/22/04 CATERPILLAR FINANCIAL SERVICES CORP DE X 12/31/03 CAVALRY BANCORP INC TN X 12/31/03 CDF FINANCING LLC DE X X 12/31/03 CDF FLOORPLAN RECEIVABLES LP DE X X 12/31/03 CE GENERATION LLC DE X X 01/30/04 CENTEX CORP NV X X 07/22/03 AMEND CH ENERGY GROUP INC NY X 01/30/04 CHECKPOINT SYSTEMS INC PA X 01/29/04 CHEFS INTERNATIONAL INC DE X X 01/30/04 CHEMUNG FINANCIAL CORP NY X X 12/31/03 CHESTER VALLEY BANCORP INC PA X X 01/28/04 CHEVRONTEXACO CORP DE X 01/30/04 CHICOS FAS INC FL X X 01/29/04 CITIBANK SOUTH DAKOTA N A DE X 01/30/04 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 01/26/04 CNB FLORIDA BANCSHARES INC FL X 01/28/04 CNH CAPITAL RECEIVABLES INC DE X X 11/17/03 CNH RECEIVABLES INC DE X X 11/17/03 COACHMEN INDUSTRIES INC IN X 01/30/04 COASTAL FINANCIAL CORP /DE DE X X 01/28/04 COGENTRIX ENERGY INC NC X X 01/29/04 COGNIGEN NETWORKS INC CO X 12/05/03 COLE NATIONAL CORP /DE/ DE X X 01/30/04 COLE NATIONAL GROUP INC DE X X 01/30/04 COLORADO WYOMING RESERVE CO WY X 12/17/03 COLUMBIA BANCORP MD X X 01/26/04 COLUMBIA BANKING SYSTEM INC WA X X 01/27/04 COMBANC INC DE X X 01/28/04 COMMERCE GROUP INC /MA MA X 12/31/03 COMMERCIAL CAPITAL BANCORP INC NV X X 01/26/04 COMMUNITY BANCORP INC DE X X 01/29/04 COMMUNITY FIRST BANCORP SC X X 01/29/04 CONE MILLS CORP NC X X X X 01/30/04 CONSECO INC DE X X 01/29/04 CORNERSTONE BANCORP INC CT X 01/28/04 CRAY INC WA X X 01/29/04 CREDIT ACCEPTANCE CORPORATION MI X X 01/28/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/30/04 CULP INC NC X 01/29/04 CWALT INC X 01/30/04 CWALT INC X X 01/30/04 CWMBS INC DE X 01/30/04 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 06/30/03 CWMBS INC DE X X 01/30/04 CYOKONOS CORP X X X X X 01/13/04 CYTRX CORP DE X 01/30/04 DANIELSON HOLDING CORP DE X X 12/02/03 AMEND DELIVERY NOW CORP DE X X X X 12/18/03 AMEND DELTA APPAREL INC GA X X X 01/30/04 DENDRITE INTERNATIONAL INC NJ X 01/29/04 AMEND DENDRITE INTERNATIONAL INC NJ X 01/29/04 AMEND DISTRIBUTION FINANCIAL SERVICES FLOOR NY X X 12/31/03 DISTRIBUTION FINANCIAL SERVICES FLOOR NY X X 12/31/03 DUQUESNE LIGHT CO PA X 01/29/04 DUQUESNE LIGHT HOLDINGS INC PA X 01/29/04 DWANGO NORTH AMERICA CORP NV X X 01/14/04 EAGLE BUILDING TECHNOLOGIES INC NV X 01/30/04 EAGLE FINANCIAL SERVICES INC VA X 01/30/04 EAGLE MATERIALS INC DE X X 07/21/03 AMEND EMPIRE DISTRICT ELECTRIC CO KS X X X 01/29/04 ENERGY EAST CORP NY X X 01/30/04 ENTERPRISE FINANCIAL SERVICES CORP DE X X 01/30/04 ENVIRONMENTAL POWER CORP DE X X 01/30/04 EPICUS COMMUNICATIONS GROUP INC FL X 01/21/04 EQUITABLE RESOURCES INC /PA/ PA X 01/30/04 EQUITABLE RESOURCES INC /PA/ PA X 01/30/04 AMEND EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X 01/30/04 EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X X 01/30/04 FEDERAL SIGNAL CORP /DE/ DE X X 01/29/04 FEDERAL TRUST CORP FL X 01/28/04 FFW CORP DE X X 01/28/04 FIRST AMERICAN CAPITAL CORP /KS KS X X 01/29/04 FIRST CHARTER CORP /NC/ NC X X 01/30/04 FIRST HORIZON ASSET SECURITIES INC DE X X 01/30/04 FIRST HORIZON ASSET SECURITIES INC DE X X 01/30/04 FIRST HORIZON ASSET SECURITIES INC DE X X 01/27/04 AMEND FIRST HORIZON ASSET SECURITIES INC DE X X 01/27/04 AMEND FIRST KEYSTONE CORP PA X 01/30/04 FIRST KEYSTONE CORP PA X 01/30/04 FIRST OTTAWA BANCSHARES INC DE X X 01/30/04 FIRST SECURITY BANCORP INC /KY/ KY X 01/15/04 FIRST SENTINEL BANCORP INC DE X X 01/29/04 FIRST WASHINGTON FINANCIAL CORP NJ X X 01/27/04 FIRST WASHINGTON FINANCIAL CORP NJ X X 01/29/03 FLEXIINTERNATIONAL SOFTWARE INC/CT DE X 01/30/04 FMC TECHNOLOGIES INC X X 01/29/04 FNB CORP \VA\ VA X X 01/30/04 FOCUS ENHANCEMENTS INC DE X X 01/28/04 FOOTSTAR INC DE X X 01/30/04 FREEPCSQUOTE COM NV X X X 01/16/04 FRONTIER AIRLINES INC /CO/ CO X 12/31/03 FRONTIERVISION HOLDINGS LP DE X 01/26/04 FRONTIERVISION OPERATING PARTNERS LP DE X 01/26/04 G&G RETAIL INC DE X X 01/30/04 G2 COMPANIES INC DE X X 04/01/03 GATEWAY ENERGY CORP/NE DE X 01/23/04 GATEWAY INC DE X X 01/29/04 GB&T BANCSHARES INC GA X 01/26/04 GENOME THERAPEUTICS CORP MA X X 01/30/04 AMEND GLOBAL POWER EQUIPMENT GROUP INC/ DE X X 01/30/04 GLOBESPANVIRATA INC DE X X 01/29/04 GOLDEN TELECOM INC DE X X 12/15/03 AMEND GREAT WEST LIFE & ANNUITY INSURANCE C CO X X X 01/29/04 GREATER ATLANTIC FINANCIAL CORP DE X X 01/30/04 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE X X X 12/19/03 GWL&A FINANCIAL INC DE X X X 01/29/04 HABERSHAM BANCORP GA X X 01/30/04 HALLIBURTON CO DE X 01/29/04 HANMI FINANCIAL CORP DE X 01/30/04 HARRIS PREFERRED CAPITAL CORP MD X X 01/27/04 HARTFORD FINANCIAL SERVICES GROUP INC DE X 01/15/04 HARTFORD FINANCIAL SERVICES GROUP INC DE X 12/31/03 HEALTHCARE REALTY TRUST INC MD X X X 01/27/04 HEARTLAND BANCSHARES INC /IN/ IN X X 01/29/04 HELIX TECHNOLOGY CORP DE X X 12/31/03 HERITAGE FINANCIAL CORP /WA/ WA X X 01/29/04 HFC REVOLVING CORP HOUSEHOLD HOME EQ DE X 01/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 01/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 01/20/04 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 01/20/04 HOUSEHOLD HOME EQUITY LOAN TRUST 1999 DE X 01/20/04 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 X 01/20/04 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 DE X 01/20/04 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 01/20/04 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 01/20/04 IASIS HEALTHCARE CORP DE X X 01/30/04 ICO INC TX X X 01/29/04 II-VI INC PA X 01/29/04 IMPAC MORTGAGE HOLDINGS INC MD X X X 01/29/04 IMPERIAL OIL LTD X 01/27/04 IN STORE MEDIA SYSTEMS INC NV X X 12/01/03 INSPIRE PHARMACEUTICALS INC DE X 01/30/04 INTERNATIONAL SHIPHOLDING CORP DE X X 01/30/04 INTERNATIONAL TRAVEL CD S INC CO X X X X 01/15/04 INTRUSION INC DE X X 01/29/04 INVERNESS MEDICAL INNOVATIONS INC DE X 01/28/04 IRIS INTERNATIONAL INC DE X X 01/28/04 ISONICS CORP CA X X 01/28/04 ITERIS HOLDINGS INC DE X X 01/29/04 KANSAS CITY SOUTHERN DE X X 01/29/04 KEITHLEY INSTRUMENTS INC OH X 01/30/04 KUPPER PARKER COMMUNICATIONS INC NY X X X 01/30/04 LADISH CO INC WI X 01/29/04 LANCE INC NC X X 01/29/04 LEHMAN BROTHERS HOLDINGS INC DE X 01/30/04 LINCOLN LOGS LTD NY X 01/30/04 AMEND LOGIC DEVICES INC CA X 01/28/04 LONE STAR STEAKHOUSE & SALOON INC DE X X 01/28/04 M WAVE INC DE X X 01/29/04 MAGNETEK INC DE X X 01/30/04 MANOR CARE INC DE X X 01/30/04 MAPICS INC GA X X 01/29/04 MARCONI CORP PLC X0 X 01/30/04 MARCONI CORP PLC X0 X 01/29/04 MARCONI CORP PLC X0 X 01/30/04 MARTEN TRANSPORT LTD DE X X 01/30/04 MASSEY ENERGY CO DE X X 01/29/04 MASSEY ENERGY CO DE X X 01/20/04 MATRIX BANCORP INC CO X X 01/30/04 MAVERICK TUBE CORPORATION DE X 01/30/04 MB FINANCIAL INC /MD MD X 01/30/04 MCCORMICK & CO INC MD X X 01/28/04 MEDIABAY INC FL X X 01/29/04 MEDICSIGHT INC DE X X 12/22/03 MEDSOURCE TECHNOLOGIES INC X X 01/30/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 01/29/04 MESA AIR GROUP INC NV X X 01/29/04 MICROS SYSTEMS INC MD X 01/29/04 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA X X 01/30/04 MIDLAND CAPITAL HOLDINGS CORP X X 01/30/04 MIDWEST BANC HOLDINGS INC DE X 01/29/04 MOHEGAN TRIBAL GAMING AUTHORITY X X 01/30/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/28/04 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/13/04 MOTHERS WORK INC DE X 01/27/04 MULTIMEDIA GAMES INC TX X X 01/30/04 NABORS INDUSTRIES LTD D0 X X 01/30/04 NANOPIERCE TECHNOLOGIES INC NV X X 01/20/04 AMEND NATIONAL FUEL GAS CO NJ X 12/31/03 NATIONAL FUEL GAS CO NJ X 12/31/03 NATIONAL PROPERTY INVESTORS III CA X X 01/15/04 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA X X X 01/23/04 NATIONSBANK OF DELAWARE NA DE X X 01/15/04 NATIONWIDE HEALTH PROPERTIES INC MD X 01/30/04 NATUS MEDICAL INC DE X X 01/30/04 NAUTILUS GROUP INC WA X X 01/29/04 NEIGHBORCARE INC PA X 12/09/03 AMEND NEUROCRINE BIOSCIENCES INC CA X X 12/31/03 NEUROGENESIS INC DE X 09/17/03 AMEND NEW COMMERCE BANCORP SC X X 01/30/04 NEW YORK COMMUNITY BANCORP INC DE X X 01/30/04 NIC INC CO X X X 01/29/04 NISOURCE INC/DE DE X X 01/30/04 NORTEL NETWORKS CORP X X 01/29/04 NORTEL NETWORKS LTD X X 01/29/04 NORTH EUROPEAN OIL ROYALTY TRUST DE X X 01/30/04 NORTHEAST BANCORP /ME/ ME X X 01/30/04 NRG ENERGY INC DE X X 01/28/04 OLIN CORP VA X X X 01/29/04 OLYMPUS COMMUNICATIONS LP DE X 01/26/04 ON SITE SOURCING INC DE X X 12/30/03 AMEND ONEOK INC /NEW/ OK X X 01/30/04 OSI PHARMACEUTICALS INC DE X 01/28/04 OVERNITE CORP VA X X 01/29/04 OYO GEOSPACE CORP DE X X 01/30/04 PARADIGM GENETICS INC X X 01/29/04 PARALLEL PETROLEUM CORP /DE/ DE X 01/29/04 PATRIOT BANK CORP DE X X 01/30/04 PATRIOT BANK CORP DE X X 01/29/04 PC CONNECTION INC DE X 01/29/04 AMEND PENN ENGINEERING & MANUFACTURING CORP DE X X 01/28/04 PENNFED FINANCIAL SERVICES INC DE X X 01/28/04 PETRO FINANCIAL CORP DE X 01/28/04 PETRO STOPPING CENTERS L P DE X 01/28/04 PFS BANCORP INC IN X X 01/29/04 PHAR MOR INC PA X 01/20/04 PINNACLE ENTERTAINMENT INC DE X X 01/27/04 PLAYTEX PRODUCTS INC DE X X X 01/30/04 PLIANT CORP UT X 01/30/04 PRAECIS PHARMACEUTICALS INC DE X 01/30/04 PREMCOR INC DE X X 01/29/04 PRICE T ROWE GROUP INC MD X X 01/30/04 PROVINCE HEALTHCARE CO DE X 01/30/04 QNB CORP PA X X 01/30/04 QUIXOTE CORP DE X X X 01/29/04 REDWOOD TRUST INC MD X X 01/29/04 REGAN HOLDING CORP CA X X 01/29/04 REGIONS FINANCIAL CORP DE X 01/22/04 ROGERS CORP MA X X 01/30/04 ROLLINS INC DE X 01/29/04 ROWAN COMPANIES INC DE X X X 01/30/04 ROXIO INC DE X X 01/30/04 RUDDICK CORP NC X 01/29/04 RUSSELL CORP AL X X 01/30/04 RYERSON TULL INC /DE/ DE X X 01/29/04 SALTON SEA FUNDING CORP DE X X 01/30/04 SAPIENT CORP DE X 01/29/04 SAVANNAH BANCORP INC GA X 01/27/04 SAXON CAPITAL INC DE X X X 12/31/03 SCHLUMBERGER LTD /NV/ P8 X 01/29/04 SEABULK INTERNATIONAL INC DE X 01/30/04 SECOND STAGE VENTURES INC NV X 01/30/04 SHARPS COMPLIANCE CORP DE X X 01/29/04 SHELLS SEAFOOD RESTAURANTS INC DE X 01/30/04 SHILOH INDUSTRIES INC DE X X 01/27/04 SHOPSMITH INC OH X 01/30/04 SIGA TECHNOLOGIES INC DE X 01/30/04 SILVER STAR ENERGY INC NY X X X 01/29/04 AMEND SIRENZA MICRODEVICES INC DE X X 01/30/04 SKYWORKS SOLUTIONS INC DE X 01/28/04 SLM FUNDING LLC DE X X 01/26/04 SMARTSERV ONLINE INC DE X X 01/29/04 SMARTSERV ONLINE INC DE X X 01/30/04 SMITH INTERNATIONAL INC DE X X 01/30/04 SORRENTO NETWORKS CORP NJ X X 08/08/03 AMEND SOUTHERN HERITAGE BANCORP INC GA X X 01/30/04 SOUTHERN PERU COPPER CORP/ DE X 01/29/04 SOUTHERN PERU COPPER CORP/ DE X X 01/30/04 SRA INTERNATIONAL INC DE X X 01/30/04 ST JUDE MEDICAL INC MN X 01/30/04 STATEN ISLAND BANCORP INC DE X X X 01/29/04 STRUCTURED ASSET SEC CORP II LB UBS C X X 01/28/04 STRUCTURED ASSET SEC CORP MOR PASS TH DE X 12/26/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 10/27/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 11/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 12/26/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 11/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 12/26/03 STRUCTURED ASSET SECURITIES CORP DE X X 01/28/04 STRUCTURED ASSET SECURITIES CORP DE X 01/27/04 SUMMIT PROPERTIES INC MD X X 01/30/04 SUMMIT PROPERTIES PARTNERSHIP L P DE X X 01/30/04 SUN & SURF INC NY X 01/29/04 SUN BANCORP INC PA X X 01/29/04 SUPREME INDUSTRIES INC DE X 01/30/04 SUSQUEHANNA BANCSHARES INC PA X X 01/27/04 SYBASE INC DE X X 01/27/04 TALX CORP MO X X 01/28/04 TC PIPELINES LP DE X 01/29/04 TECUMSEH PRODUCTS CO MI X X X 01/29/04 TEXAS PACIFIC LAND TRUST X 01/30/04 THERMADYNE HOLDINGS CORP /DE DE X X 01/29/04 TODD SHIPYARDS CORP WA X X 01/29/04 TORVEC INC NY X 01/29/04 TOYOTA AUTO RECEIVABLES 2003 B OWNER DE X X 01/15/04 TRANSACTION SYSTEMS ARCHITECTS INC DE X X 01/27/04 TRIAD GUARANTY INC DE X 01/29/04 TRICO BANCSHARES / CA X X 01/29/04 TXU EUROPE CAPITAL I X 11/19/02 UNION PLANTERS CORP TN X X 01/22/04 UNITED PAN AM FINANCIAL CORP CA X X 01/30/04 UNITED REFINING CO PA X X 01/30/04 UNITED STATES STEEL CORP DE X X 01/04/04 UNITED STATIONERS INC DE X X 01/29/04 UNIVERSAL HEALTH SERVICES INC DE X X 01/29/04 USA TRUCK INC DE X X 01/30/04 USF CORP DE X 12/31/03 USF CORP DE X X 01/30/04 UWHARRIE CAPITAL CORP NC X 01/30/04 VECTREN CORP IN X X 12/31/03 VENTAS INC DE X X 01/29/04 VIISAGE TECHNOLOGY INC DE X X 01/23/04 VIRCO MFG CORPORATION DE X 01/27/04 VIVUS INC CA X X 01/30/04 W-H ENERGY SERVICES INC TX X X 01/29/04 WASHINGTON BANKING CO WA X 12/31/03 WASHINGTON POST CO DE X X 01/30/04 WAYNE SAVINGS BANCSHARES INC /DE/ DE X X X 01/29/04 WEATHERFORD INTERNATIONAL LTD D0 X X X 01/30/04 WENDYS INTERNATIONAL INC OH X X 01/30/04 WESTBOROUGH FINANCIAL SERVICES INC MA X X 01/29/04 WESTBOROUGH FINANCIAL SERVICES INC MA X X 01/29/04 WESTPORT RESOURCES CORP /NV/ NV X X 01/30/04 WGL HOLDINGS INC VA X 01/28/04 WICKES INC DE X 01/30/04 WILLOW GROVE BANCORP INC/NEW PA X X 01/28/04 WINN DIXIE STORES INC FL X 01/30/04 WORLD OMNI AUTO RECEIVABLES TRUST 200 DE X 12/01/03 WVS FINANCIAL CORP PA X X 01/30/04 XATA CORP /MN/ MN X 01/30/04 XEROX CORP NY X 01/27/04 XTRANA INC DE X X 01/29/04 YELLOW ROADWAY CORP DE X X 01/29/04 YUM BRANDS INC NC X X 01/29/04 INTEVAC INC CA X X 01/30/04