SEC NEWS DIGEST Issue 2004-80 April 26, 2004 COMMISSION ANNOUNCEMENTS TEMPORARY SUSPENSION OF TRADING OF THE SECURITIES OF GREEN DOLPHIN SYSTEMS CORPORATION The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Green Dolphin Systems Corporation of Powell, Tennessee at 9:30 a.m. EDT on April 26, 2004, and terminating at 11:59 p.m. EDT on May 7, 2004. The Commission temporarily suspended trading in the securities of GDLS because it appears to the Commission that there is a lack of current and accurate information concerning the securities of GDLS because of questions regarding the accuracy of assertions by GDLS and by others, in press releases and public statements to investors concerning, among other things, GDLS' business relationship with a national restaurant chain. 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 company. Further, 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 unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, he should refrain from entering quotations relating to GDLS' securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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 that may relate to this matter, they should immediately communicate it to Robert Kaplan, Assistant Director, Division of Enforcement at the Securities and Exchange Commission. He can be reached at (202) 942-2803, or by e-mail at KaplanR@SEC.GOV. (Rel. 34-49612) PETER BRESNAN NAMED ASSOCIATE DIRECTOR OF THE DIVISION OF ENFORCEMENT The Commission today announced the appointment of Peter H. Bresnan as an Associate Director in the Division of Enforcement. As Associate Director, Mr. Bresnan will serve as a senior official in the Division of Enforcement and will assist in planning and directing the Commission's investigations and other enforcement efforts. Since November 2001, Mr. Bresnan has served as the Deputy Chief Litigation Counsel of the Commission's Division of Enforcement. In that role, he assisted in managing the Commission's nationwide litigation program. From November 2003 to April 2004, Mr. Bresnan has also served as acting District Administrator in the SEC's Boston District Office. Stephen M. Cutler, the SEC's Director of Enforcement said, "Peter Bresnan is an outstanding lawyer and thinker. He has earned the respect and confidence of everyone with whom he has worked. We are fortunate that Peter will continue to contribute his extraordinary talents to the Commission's enforcement program." Mr. Bresnan, who joined the Commission in April 1995 as Assistant Chief Litigation Counsel, has prosecuted a number of ground-breaking cases for the Commission. Mr. Bresnan was the Commission's lead trial counsel in the WorldCom case in which the Commission obtained the largest civil penalty ever levied for a violation of the federal securities laws. During his tenure as the interim head of the SEC's Boston office, Mr. Bresnan spearheaded the Commission's market timing cases against Putnam, Massachusetts Financial Services Company (MFS), and two subsidiaries of FleetBoston, in which the SEC recovered a total of $420 million on behalf of injured investors. Earlier, he successfully resolved the Commission's first litigated yield-burning case and litigated the Commission's first fraud case against an offshore hedge fund, Manhattan Investment Fund Ltd., and its manager Michael Berger, involving an alleged $393 million in investor losses. Prior to joining the Commission, Mr. Bresnan was a litigator at the law firm of Davis Polk & Wardwell in New York. Mr. Bresnan, 49, earned his undergraduate degree in history from Kenyon College and his law degree from Fordham University Law School. (Press Rel. 2004-56) ENFORCEMENT PROCEEDINGS SEC INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST CDH & AFFILIATES, INC., AND C. DAVID HALLMAN On April 23, the Commission instituted administrative proceedings against CDH & Affiliates, Inc. (CDH) and C. David Hallman, based on the entry, on Oct. 23, 2003, of an injunction by the U.S. District Court for the Northern District of Georgia, Newnan Division. Subsequently, on April 1, 2004, the Court entered a Final Judgment of Permanent Injunction in that civil action, entitled SEC v. CDH & Affiliates, Inc., and C. David Hallman, Civil Action File Number 3:02-CV-17-JTC (N.D. Ga.), which enjoined CDH and Hallman from future violations of Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and set disgorgement and prejudgment interest at $4,207,616.95 and ordered CDH and Hallman to pay civil penalties in the amount of $110,000 each. See Litigation Releases No. 18431 (Oct. 29, 2003), No. 18662 (April 7, 2004). The Commission's complaint alleged that Hallman controlled CDH and that from September 1997 through at least June 1999, Hallman and CDH engaged in the business of effecting transactions in securities and fraudulently raised more than $2.2 million in transaction-related fees from at least 27 customers, purportedly to prepare corporate bond offerings for those customers and then to sell those bonds for the customers. The complaint further alleged that in an effort to avoid detection of their scheme, until at least July 2001, Hallman and CDH continually told their victims that their bond issues would be funded and made other misrepresentations to encourage the victims to believe that funding was imminent. The complaint alleges that CDH never sold bonds for any customer and that no such high-yield investment program exists. Hallman made numerous misrepresentations to his victims, including false claims that some victims' bonds had been successfully sold, that bond sales were imminent and that the proceeds of the bond sales would be invested in a high- yield investment program that would pay 30%-40% every ten days. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later that 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-49606; IA-2229; File No. 3-11463) RAYLEN PARRA BARRED FROM PARTICIPATING IN ANY OFFERING OF A PENNY STOCK On April 24, the Commission reinstituted and simultaneously settled public administrative proceedings against Raylen Parra (Parra), a resident of Orlando, Florida. Without admitting or denying the Commission's findings, Parra consented to the Commission's Order. The Order found that on Sept. 13, 2002, a default judgment of permanent injunction was entered against Parra, which enjoined her from violating Section 17(a) and (b) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5, thereunder, in the district court action SEC v. David S. Heredia and Raylen Parra, Case Number 6:02-CV-218-ORL-19-JGC (M.D.Fla.). The Commission's complaint alleged that Parra, among others, disseminated false and misleading information to the investment community by touting the stock of at least five public companies. The complaint also alleged that while touting the stock of these public companies, Parra, among others, reaped illegal profits of more than $3.4 million by engaging in the practice of "scalping" -- selling the stock of the public companies that she was simultaneously recommending to others to purchase. Based on the injunction entered against her, the Commission ordered that Parra be barred from participating in any offering of a penny stock. (Rel. 34- 49610; File No. 3-11464) COMMISSION ENTERS FINAL ORDER ADOPTING ADMINISTRATIVE LAW JUDGE'S DECISION IN ERNST & YOUNG AUDITOR INDEPENDENCE CASE; ERNST & YOUNG'S SIX-MONTH SUSPENSION COMMENCES TODAY The Commission today entered an order making final the initial decision of the administrative law judge that was issued on April 16 in the Ernst & Young LLP auditor independence case (Rel. Nos. 33-8413; 34-49615; AAE Rel. 1991; File No. 3-10933). The order was issued in response to a joint motion of Ernst & Young LLP, the Division of Enforcement and the Office of the Chief Accountant, seeking expedited entry of an order making the initial decision final and stating that no petition for review would be filed. In its order, the Commission stated that the initial decision of the administrative law judge has become the final decision of the Commission with respect to Ernst & Young LLP, and ordered that Ernst & Young (i) cease and desist from committing or causing any future auditor independence violations; (ii) disgorge $1,686,500 in audit fees it received for its audits of PeopleSoft Inc. during the time period in which it was found to have lacked independence from PeopleSoft, together with $478,050 in prejudgment interest thereon; (iii) retain an independent consultant acceptable to the Commission to review its policies and procedures governing business relationships with audit clients; and (iv) be suspended from accepting audit engagements for new Commission registrant audit clients for a period of six months, commencing today. The Commission order further provides that, pursuant to a voluntary undertaking of Ernst & Young LLP, to the extent that the firm is permitted to audit any new registrant during the six-month suspension period (e.g., a pre-existing private Ernst & Young LLP audit client making an initial public offering), Ernst & Young LLP shall provide, prior to the effective date (unless it obtains an exception from the Office of the Chief Accountant), sworn declarations by both its Chief Executive Officer and its Vice Chair for Quality and Risk Management certifying that Ernst & Young LLP is independent, under SEC rules, PCAOB standards, GAAS and all other applicable standards, with respect to each such new registrant. Today's final order concludes the litigation of this matter. The proceedings commenced on Nov. 13, 2002, when the Commission instituted an Order Instituting Proceedings (OIP) against Ernst & Young LLP for violations of the auditor independence requirements imposed by the Commission's rules and by GAAS. The OIP alleged that, despite having substantial joint business relationships with PeopleSoft Inc. during the period 1994 through 2000, the firm claimed to be "independent" from Peoplesoft in audit reports it issued on PeopleSoft's financial statements throughout the relevant period, each of which was included in PeopleSoft's public filings with the Commission. The matter was tried before Chief Administrative Law Judge Brenda Murray in March and April 2003. On April 16, 2004, the chief administrative law judge issued an initial decision, finding, among other things, that "overwhelming evidence" demonstrated that the firm had committed all the violations alleged in the OIP and that the firm's conduct was "reckless, highly unreasonable and negligent." For further information about this case, see Rel. Nos. 33-8146; 34- 46821; AAER 1661 (Nov. 13, 2002); see also Rel. Nos. 34-45964 & AAER 1558 (May 20, 2002); Rel. Nos. 34-46710 & AAER 1654 (Oct. 23, 2002). (Rel. 33-8413; 34-49615; AAE Rel. 1991; File No. 3-10933) FEDERAL DISTRICT COURT PERMANENTLY ENJOINS JAILED STOCKBROKER FRANK GRUTTADAURIA FROM COMMITTING SECURITIES FRAUD AND ORDERS HIM TO DISGORGE COMPENSATION AND MISAPPROPRIATED FUNDS The Honorable Patricia A. Gaughan, U.S. District Court Judge for the Northern District of Ohio, on March 11, 2004, granted the Commission's motion for summary judgment and permanently enjoined Frank D. Gruttadauria, the former Cleveland broker, and two entities that he created to facilitate his fraud from violating certain antifraud provisions of the federal securities laws. Judge Gaughan also ordered Gruttadauria to disgorge monies he misappropriated and compensation he received during the fraud. Gruttadauria is presently in federal custody serving a seven-year jail term. The Commission's lawsuit was filed in February 2002, alleging that Gruttadauria had defrauded scores of his customers over a fifteen-year period. The Commission also alleged that Gruttadauria misappropriated millions of dollars and sent falsified account statements that, at the time the fraud ended in January 2002, overstated the actual holdings in customer accounts by over $280 million. In her March 11 Order, Judge Gaughan found that, from 1987 through January 2002, Gruttadauria engaged in a massive scheme to defraud many of his customers. The court found that, among other things, Gruttadauria lied to customers about purchases and sales of securities in their accounts, falsely told customers that he used the funds deposited into their accounts to buy securities, and created false customer account statements that reflected account values far in excess of their actual balances. Judge Gaughan also found that, to disguise his fraudulent scheme, Gruttadauria misappropriated funds from the accounts of some customers to meet withdrawal requests from other customers. Judge Gaughan permanently enjoined Gruttadauria and two entities he created, DH Strategic Partners, Inc. and JYM Trading Trust, from violating Section 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 Gruttadauria to disgorge the monies that he misappropriated, totaling almost $105 million, and $20.8 million in compensation (salaries, bonuses, and commissions) that he received from his employers while committing his fraud. The Court found that Gruttadauria had received this compensation as a direct result of his fraudulent activities. The Commission is continuing its investigation in this matter. [SEC v. Frank D. Gruttadauria, DH Strategic Partners, Inc., JYM Trading Trust, Laurene English, Defendants, and Sarah Z. Emamy, Charlie Whiskey, LLC, and Margo Gruttadauria, Relief Defendants, Civil Action No. 1:02CV324 (N.D. Ohio) (Judge Gaughan)] (LR- 18678) SEC v. WEALTH INTERNATIONAL NETWORK, ANDRE BRADY, ET AL. The Commission announced today that an application for an order to show cause why defendant Andre Brady (Brady) should not be held in civil contempt was filed by the Commission on April 21, 2004, in the U.S. District Court for the Northern District of Georgia, based on his failure to pay disgorgement as directed by the Court's March 19, 1998, order. That order enjoined Brady from further violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 203, 206(2) and 206(4) of the Investment Advisers Act of 1940. The Court also ordered Brady to pay disgorgement in the amount of $4,031,110.65 plus prejudgment interest. On July 5, 1995, the Commission alleged in its complaint that Wealth International Network (WIN) was a "pyramid" or "Ponzi" scheme and that WIN, Discovery Financial Investments (DFI) and Brady attracted investments in DFI with false claims that such investments earned from 8 to 20 percent per month, with minimal risk of loss of principal. DFI claimed to be investing in "triple AAA rated" securities backed by gold bullion, gold and numismatic coins and foreign currencies. [SEC v. Wealth International Network, Andre Brady, et al., USDC NDGA, Civil Action No. 1:95-CV-1722-CAM] (LR-18679) FORMER STOCK BROKER CHARGED WITH SECURITIES FRAUD AND WIRE FRAUD The Commission announced that on April 21, 2004, a federal grand jury in Dallas, Texas returned a two-count indictment against Larry W. Tyler charging him with securities fraud and wire fraud. The indictment charges Tyler with deceiving his clients in connection with the offer and sale of securities. It is anticipated that Tyler, a former stockbroker, will surrender to federal authorities in Dallas within the next week. Previously, the Commission filed a civil suit against Tyler on Feb. 11, 2002. In its complaint, the Commission alleged that Tyler raised at least $30 million from investors, and personally realized over $5.2 million in undisclosed commissions, by fraudulently enticing more than 480 mostly elderly investors into purchasing investments issued by his company, Advanced Financial Services, Inc. According to the complaint, Tyler deceived the elderly investors with false guarantees about the investment's liquidity, above-market interest rates and "fixed" maturity dates. Tyler used investors' funds to buy viaticals, which rendered the guarantees false because viaticals are illiquid investments with no fixed maturity dates and uncertain rates of return. Tyler hid the fact that the underlying viaticals could not fulfill the promises that he had made to investors and that the investors had to rely on him and his company to carry through on the promises of guaranteed returns, fixed maturities and liquidity. Two weeks before the Commission filed its suit, Tyler and his company both filed for bankruptcy. On Feb. 21, 2002, Judge Jorge Solis of the U.S. District Court for the Northern District of Texas granted the Commission's application for a preliminary injunction and the appointment of a receiver against Tyler and his company, Advanced Financial Services, Inc. The Commission's case against Tyler is pending and litigation is ongoing. [SEC v. Larry W. Tyler, et al., USDC ND/TX, Dallas Division, Civ. 3:02-CV-0282-P]; [U.S. v. Larry W. Tyler, USDC, NDTX, Dallas Division, Criminal Action No. 3-04-CR-145-H] (LR-18680) INVESTMENT COMPANY ACT RELEASES THE VANGUARD GROUP, INC., ET AL. An order has been issued on an application filed by The Vanguard Group, Inc., et al., under Section 12(d)(1)(J) of the Investment Company Act granting an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act granting an exemption from Section 17(a) of the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits (a) certain registered open-end management investment companies to invest uninvested cash and cash collateral in one or more affiliated money market funds and/or short-term bond funds, and (b) the registered investment companies and certain affiliated entities to engage in purchase and sale transactions involving portfolio securities. The order supersedes a prior order. The order also amends two prior orders. (Rel. IC-26436 - April 23) HOLDING COMPANY ACT RELEASES AMERICAN ELECTRIC POWER COMPANY, INC. ET AL. A notice has been issued giving interested persons until May 18, 2004, to request a hearing on a proposal by American Electric Power Company, Inc. (AEP), a registered holding company and its subsidiaries, to replace Commission orders dated Dec. 18, 2002, (HCAR No. 27623) and April 11, 2002, (HCAR No. 27517) with specific requests related to external financing activities, the provision of intrasystem financing, guarantees, and other matters through March 31, 2007. (Rel. 35-27839) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2004-02) amending OCC's by-laws and rules to permit clearing members to open and maintain with OCC two new types of accounts and to clarify that clearing members may carry multiple combined market makers' accounts that are separate from one another. The proposed rule change has become effective under Section 19(b)(3)(A) (iii) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(4) thereunder. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49582) A proposed rule change (SR-NSX-2004-03) filed by the National Stock Exchange to amend its fee schedule to cap members' monthly transaction fees and reduce the Designated Dealer's principal activity fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49586) A proposed rule change (SR-NASD-2004-051) and Amendments No. 1 and No. 2 thereto filed by the National Association of Securities Dealers relating to the use of Summary Orders for NNMS Order-Delivery ECNs using the SIZE MPID in SuperMontage has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34- 49597) A proposed rule change (SR-CBOE-2004-19) and Amendment No. 1 thereto filed by the Chicago Board Options Exchange relating to a DPM and market- maker transaction fee has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49601) A proposed rule change (SR-NASD-2004-062) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to modify the pricing for trading Nasdaq-listed securities on SuperMontage has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49603) PROPOSED RULE CHANGES The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2003-54) to amend rules relating to the minimum net capital for specialists in Index Fund Shares. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34- 49587) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-057) to amend Rule 6230(a) to reduce the period to report a transaction in a TRACE-eligible debt security in two stages: (i) from 45 to 30 minutes in stage one, and (ii) subsequently, from 30 to 15 minutes in stage two. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49607) APPROVAL OF PROPOSED RULE CHANGES The Commission has approved a proposed rule change (SR-NSCC-2003-20) filed by the National Securities Clearing Corporation, which allows NSCC to delete Addendum V to NSCC's Rules thereby eliminating the higher capital requirements imposed on NSCC Mutual Fund/Insurance Services Members and Fund Members processing Investment Funds transactions through NSCC's Mutual Fund Services. Publication of the order is expected in the Federal Register during the week of April 26. (Rel. 34- 49598) The Commission approved a proposed rule change (SR-ISE-2003-26) submitted by the International Securities Exchange amending its rules governing limits on the entry of orders of less than ten contracts and revising the quotation size requirements for market makers. (Rel. 34- 49602) WITHDRAWAL GRANTED An order has been issued granting the application of Scope Industries to withdraw its Common Stock, no par value, from listing and registration on the American Stock Exchange, effective at the opening of business on April 26. (Rel. 34-49608) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the 9.09% Notes (due, Nov. 30, 2004) of Metropolitan Mortgage & Securities, Inc., and the 9.5% Monthly Interest Notes (due, Sept. 15, 2005) of its subsidiary, Summit Securities, Inc., effective at the opening of business on April 26. (Rel. 34-49609) 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 LEXOR HOLDINGS INC, 1621 COLE STREET, BALTIMORE, MD, 21223, 714-849-1522 - 1,500,000 ($2,250,000.00) Equity, (File 333-114743 - Apr. 23) (BR. 04) S-8 CENDANT CORP, 9 WEST 57TH STREET, NEW YORK, NY, 10019, 2124131800 - 77,266,500 ($1,912,345,875.00) Equity, (File 333-114744 - Apr. 23) (BR. 08) SB-2 TISSERA INC, UNIT 130 2188 NO 5 ROAD, RICHMOND BC CANADA, A1, 00000, 6042768324 - 41,396,139 ($146,941,262.06) Equity, (File 333-114745 - Apr. 23) (BR. 01) S-8 ABERDEEN IDAHO MINING CO, 601 W MAIN, SUITE 1017, SPOKANE, WA, 99201, 5094620315 - 19,600,000 ($5,880,000.00) Equity, (File 333-114746 - Apr. 23) (BR. 09) S-8 MISSOURI RIVER & GOLD GEM CORP, 2024 105TH PLACE S E, EVERETT, WA, 98208, 4253377778 - 4,900,000 ($1,176,000.00) Equity, (File 333-114748 - Apr. 23) (BR. 09) S-3 DICKS SPORTING GOODS INC, 200 INDUSTRY DR, PITTSBURGH, PA, 15275, 4128090100 - 255,085,000 ($255,085,000.00) Debt Convertible into Equity, (File 333-114749 - Apr. 23) (BR. 02) S-4 GB&T BANCSHARES INC, P O BOX 2760, 500 JESSE JEWELL PARKWAY S E, GAINSVILLE, GA, 30501, 0 ($9,442,646.00) Equity, (File 333-114750 - Apr. 23) (BR. 07) S-8 MILITARY COMMUNICATIONS TECHNOLOGIES INC, 2222 MICHELSON DRIVE, SUITE 477, IRVINE, CA, 92660, 949-622-8508 - 9,450,000 ($1,039,500.00) Equity, (File 333-114751 - Apr. 23) (BR. 03) S-8 LINKTONE LTD, HARBOUR RING PLAZA 6TH FLOOR, 18 XI ZANG ZHONG ROAD, SHANGHAI, M0, 00000, 862153853800 - 39,601,700 ($23,866,488.57) Equity, (File 333-114752 - Apr. 23) (BR. 03) S-8 ADVEN INC, 3653 HEMLOCK COURT, RENO, NV, 89509, 7028298812 - 8,000,000 ($10,000,000.00) Equity, (File 333-114753 - Apr. 23) (BR. 09) S-8 PURE BIOSCIENCE, 1725 GILLESPIE WAY, STE H, EL CAJON, CA, 92020, 6195968600 - 2,000,000 ($1,340,000.00) Equity, (File 333-114754 - Apr. 23) (BR. 06) SB-2 TRANSCOMMUNITY BANKSHARES INC, 2320 ANDERSON HIGHWAY, POWHATAN, VA, 23219, 8045986839 - 0 ($15,000,000.00) Equity, (File 333-114755 - Apr. 23) (BR. 07) S-3D ENTERPRISE PRODUCTS PARTNERS L P, 2727 NORTH LOOP WEST, HOUSTON, TX, 77008, 7138806500 - 10,000,000 ($222,850,000.00) Limited Partnership Interests, (File 333-114758 - Apr. 23) (BR. 04) F-6 SHANDA INTERACTIVE ENTERTAINMENT LTD, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-114759 - Apr. 23) (BR. 08) S-3 POINT THERAPEUTICS INC, 125 SUMMER STREET, BOSTON, MA, 02110, 6179332130 - 4,150,000 ($26,145,500.00) Other, (File 333-114760 - Apr. 23) (BR. 01) S-4 KB HOME, 10990 WILSHIRE BLVD, LOS ANGELES, CA, 90024, 3102314000 - 250,000,000 ($250,000,000.00) Non-Convertible Debt, (File 333-114761 - Apr. 23) (BR. 06) S-3 CHECKERS DRIVE IN RESTAURANTS INC /DE, 4300 WEST CYPRESS STREET, SUITE 600, TAMPA, FL, 33607, 8132837000 - 0 ($10,757,978.00) Equity, (File 333-114762 - Apr. 23) (BR. 05) S-8 BIB HOLDINGS LTD, 101 E. PANTANO RD, TUCSON, AZ, 85710, 5208859207 - 12,833,333 ($320,834.00) Equity, (File 333-114763 - Apr. 23) (BR. 02) S-8 NETTEL HOLDINGS INC, 2500 COLUMBIA HOUSE, BOULEVARD, VANCOUVER, WA, 98661, 360-696-3412 - 1,800,000 ($792,000.00) Equity, (File 333-114764 - Apr. 23) (BR. 07) S-8 ASPEN INSURANCE HOLDINGS LTD, 5,724,570 ($136,817,223.00) Equity, (File 333-114765 - Apr. 23) (BR. 01) S-8 LEFT RIGHT MARKETING TECHNOLOGY INC, 6600 AMELIA EARHART CT, LAS VEGAS, NV, 89119, 7022604700 - 4,882,000 ($1,513,420.00) Equity, (File 333-114766 - Apr. 23) (BR. 06) S-8 NEW YORK TIMES CO, 229 W 43RD ST, NEW YORK, NY, 10036, 2125561234 - 0 ($22,875,000.00) Equity, (File 333-114767 - Apr. 23) (BR. 05) S-8 CREDENCE SYSTEMS CORP, 215 FOURIER AVE, FREMONT, CA, 94539, 5106577400 - 0 ($31,788,399.00) Equity, (File 333-114768 - Apr. 23) (BR. 36) S-8 GUARDIAN TECHNOLOGIES INTERNATIONAL INC, 21351 RIDGETOP CIRCLE #300, DULLES, VA, 20166, 7036546091 - 30,000,000 ($196,500,000.00) Equity, (File 333-114769 - Apr. 23) (BR. 03) S-3 ARCHSTONE SMITH TRUST, 9200 E PANORAMA CIRCLE, STE 400, ENGLEWOOD, CO, 80112, 3037085959 - 0 ($68,325,496.00) Equity, (File 333-114770 - Apr. 23) (BR. 08) S-8 KIRLIN HOLDING CORP, 6901 JERICHO TURNPIKE, SYOSSET, NY, 11791, 8008999400 - 0 ($11,762,717.37) Equity, (File 333-114771 - Apr. 23) (BR. 07) S-2 SPECTRX INC, 6025 A UNITY DRIVE, NORCROSS, GA, 30071, 7702428723 - 11,557,385 ($22,190,179.20) Equity, (File 333-114772 - Apr. 23) (BR. 36) S-8 INDEPENDENCE COMMUNITY BANK CORP, 195 MONTAGUE ST, BROOKLYN, NY, 11201, 7187225300 - 0 ($5,553,750.00) Equity, (File 333-114773 - Apr. 23) (BR. 07) S-1 BRANDPARTNERS GROUP INC, 777 THIRD AVENUE, 30TH FLOOR, NEW YORK, NY, 10017, 212-446-0200 - 20,782,923 ($15,795,021.48) Equity, (File 333-114774 - Apr. 23) (BR. 08) S-3 WELLS FARGO & CO/MN, 420 MONTGOMERY STREET, SAN FRANCISCO, CA, 94163, 6126671234 - 0 ($20,000,000,000.00) Other, (File 333-114775 - Apr. 23) (BR. 07) SB-2 HALOZYME THERAPEUTICS INC, 11588 SORRENTO VALLEY ROAD, SUITE 17, SAN DIEGO, CA, 92121, (858) 794-8889 - 29,508,664 ($123,936,389.00) Equity, (File 333-114776 - Apr. 23) (BR. 01) S-1 SALMEDIX INC, 8521 D VILLA LA JOLLA DRIVE, LA JOLLA, CA, 92037, 8584428792 - 0 ($86,250,000.00) Equity, (File 333-114777 - Apr. 23) (BR. ) S-3 SONIC FOUNDRY INC, 222 W. WASHINGTON AVENUE, SUITE 775, MADISON, WI, 53703, 6084431600 - 0 ($381,425.00) Equity, (File 333-114778 - Apr. 23) (BR. 37) S-3 TUMBLEWEED COMMUNICATIONS CORP, 700 SAGINAW DR, REDWOOD CITY, CA, 94063, 6502162000 - 4,956,548 ($35,736,711.00) Equity, (File 333-114779 - Apr. 23) (BR. 03) S-8 TUMBLEWEED COMMUNICATIONS CORP, 700 SAGINAW DR, REDWOOD CITY, CA, 94063, 6502162000 - 3,413,912 ($24,614,306.00) Equity, (File 333-114780 - Apr. 23) (BR. 03) S-8 TIERONE CORP, 1235 N STREET, LINCOLN, NE, 68508, 4024750521 - 0 ($41,461,594.06) Equity, (File 333-114781 - Apr. 23) (BR. 07) S-4 INDEPENDENT BANK CORP /MI/, 230 W MAIN ST, PO BOX 491, IONIA, MI, 48846, 6165279450 - 500,000 ($3,740,000.00) Equity, (File 333-114782 - Apr. 23) (BR. 07) S-8 ASP VENTURES CORP, 1818-1177, WEST HASTINGS STREET, VANCOUVER, A1, V6E2K3, 6046021717 - 3,000,000 ($75,000.00) Equity, (File 333-114783 - Apr. 23) (BR. 09) S-3 POOLED AUTO SECURITIES SHELF LLC, 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-114784 - Apr. 23) (BR. 05) S-3 ACADIA REALTY TRUST, 20 SOUNDVIEW MARKETPLACE, PO BOX 1679, PORT WASHINGTON, NY, 11050, 5167678830 - 312,013 ($3,847,120.20) Equity, (File 333-114785 - Apr. 23) (BR. 08) SB-2 ENER1 INC, 550 WEST CYPRESS CREEK ROAD, SUITE 120, FORT LAUDERDALE, FL, 33309, (954) 202-4442 - 64,060,000 ($50,607,400.00) Equity, (File 333-114786 - Apr. 23) (BR. 37) S-8 ADVANCED REFRIGERATION TECHNOLOGIES INC, 1100 WEST KATELLA AVE., STE J, ORANGE, CA, 92867, 7149970397 - 2,500,000 ($3,750,000.00) Equity, (File 333-114787 - Apr. 23) (BR. 06) S-8 CASH TECHNOLOGIES INC, 1434 WEST 11TH STREET, LOS ANGELES, CA, 90015, 2137452000 - 0 ($75,000.00) Equity, (File 333-114789 - Apr. 23) (BR. 08) S-1 NATIONAL WATERWORKS INC, 0 ($1.00) Non-Convertible Debt, (File 333-114790 - Apr. 23) (BR. 06) SB-2 WIZZARD SOFTWARE CORP /CO, 424 GOLD WAY, PITTSBURGH, PA, 15213, 8014241624 - 2,472,526 ($7,804,943.62) Equity, (File 333-114791 - Apr. 23) (BR. 03) S-8 LEXINGTON RESOURCES INC, 7473 WEST LAKE MEAD RD, LAS VEGAS, NV, 89128, 702-382-5139 - 500,000 ($500,000.00) Equity, (File 333-114792 - Apr. 23) (BR. 04) S-3 EPIMMUNE INC, 5820 NANCY RIDGE DRIVE, SAN DIEGO, CA, 92121, 858-860-2500 - 3,949,567 ($8,412,577.71) Equity, (File 333-114793 - Apr. 23) (BR. 01) S-3 SAFEGUARD SCIENTIFICS INC, 435 DEVON PARK DR, 800 THE SAFEGUARD BLDG, WAYNE, PA, 19087, 6102930600 - 150,000,000 ($150,000,000.00) Debt Convertible into Equity, (File 333-114794 - Apr. 23) (BR. 08) S-4 NORFOLK SOUTHERN RAILWAY CO /VA/, THREE COMMERCIAL PL, NORFOLK, VA, 23510, 7576292682 - 0 ($596,979,500.00) Non-Convertible Debt, (File 333-114795 - Apr. 23) (BR. 05) S-4 CSX TRANSPORTATION INC, 500 WATER STREET, 15TH FLOOR, JACKSONVILLE, FL, 32202, 9043593200 - 0 ($432,715,500.00) Non-Convertible Debt, (File 333-114796 - Apr. 23) (BR. 05) S-8 CNH GLOBAL N V, 100 SOUTH SAUNDERS ROAD, LAKE FOREST, IL, 60045, 0 ($94,824,000.00) Equity, (File 333-114797 - Apr. 23) (BR. 36) SB-2 UNITECH ENERGY CORP, 520 5TH AVE. S.W., SUITE 1250, CALGARY, A0, T2P 3R7, 4032062437 - 6,861,007 ($4,802,704.90) Other, (File 333-114798 - Apr. 23) (BR. 09) S-8 PINNACLE FINANCIAL PARTNERS INC, 6157443742 - 0 ($8,064,437.30) Equity, (File 333-114799 - Apr. 23) (BR. 07) S-3 SPECTRASITE INC, 100 REGENCY FOREST DR, SUITE 400, CARY, NC, 27511, 9194680112 - 0 ($412,941,441.00) Equity, (File 333-114800 - Apr. 23) (BR. 37) S-8 INTERWOVEN INC, C/O INTERWOVEN INC., 803 11TH AVENUE, SUNNYVALE, CA, 94089, 4087742000 - 400,076 ($3,308,628.52) Equity, (File 333-114801 - Apr. 23) (BR. 03) S-11 FIELDSTONE INVESTMENT CORP, 11000 BROKN LAND PARKWAY, SUITE 600, COLUMBIA, MD, 21044, 410-772-7200 - 0 ($857,784,015.00) Equity, (File 333-114802 - Apr. 23) (BR. ) S-8 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 3,600,000 ($141,552,000.00) Equity, (File 333-114803 - Apr. 23) (BR. 05) S-4 GB&T BANCSHARES INC, P O BOX 2760, 500 JESSE JEWELL PARKWAY S E, GAINSVILLE, GA, 30501, 0 ($4,178,749.00) Equity, (File 333-114805 - Apr. 23) (BR. 07) S-8 RPM TECHNOLOGIES INC, 21061 WEST BRAXTON, SUITE 800, PLAINFIELD, IL, 60544, 815-293-1190 - 750,000 ($412,500.00) Equity, (File 333-114806 - Apr. 23) (BR. 06) S-3 VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 212-894-7000 - 0 ($5,153,930.00) Equity, (File 333-114807 - Apr. 23) (BR. 08) N-2 TORTOISE ENERGY INFRASTRUCTURE CORP, 10801 MASTEIN BLVD, OVERLAND PARK, KS, 66210, 9139811020 - 0 ($1,000,000.00) Equity, (File 333-114808 - Apr. 23) (BR. 16) S-8 APPLIED FILMS CORP, 9586 I-25 FRONTAGE ROAD, LONGMONT, CO, 80504, 303-774-3200 - 1,224,000 ($33,684,480.00) Equity, (File 333-114809 - Apr. 23) (BR. 36) S-3 IMMUNOMEDICS INC, 300 AMERICAN RD, MORRIS PLAINS, NJ, 07950, 9736058200 - 0 ($70,000,000.00) Other, (File 333-114810 - Apr. 23) (BR. 01) F-10 CP SHIPS LTD, 62-65 TRAFALGAR SQUARE, LONDON ENGLAND, X0, WC2N 5DY, 8132764600 - 200,000,000 ($200,000,000.00) Other, (File 333-114811 - Apr. 23) (BR. 05) S-3 ISTA PHARMACEUTICALS INC, 15279 ALTON PARKWAY 100, IRVINE, CA, 92618, 9497886000 - 0 ($47,826,000.00) Equity, 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-114815 - Apr. 23) (BR. 01) S-1 ARPEGGIO ACQUISITION CORP, 10 EAST 53RD STREET, 36TH FLOOR, NEW YORK, NY, 10022, 2123197676 - 0 ($97,100,100.00) Equity, (File 333-114816 - Apr. 23) (BR. ) 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 ------------------------------------------------------------------------------------------------ 21ST CENTURY INSURANCE GROUP CA X 04/22/04 ACADIA REALTY TRUST MD X X X 04/22/04 ACCENTURE LTD X 04/23/04 ACTEL CORP CA X 04/23/04 ADVENTRX PHARMACEUTICALS INC DE X X 04/22/04 AMEND AFC ENTERPRISES INC MN X X 04/20/04 AGCO CORP /DE DE X X 04/23/04 AGREE REALTY CORP DE X X 04/23/04 AIRNET COMMUNICATIONS CORP DE X X 04/22/04 ALASKA AIR GROUP INC DE X 04/23/04 ALLEGHANY CORP /DE DE X X 04/22/04 ALLIANCE RESOURCE PARTNERS LP DE X X 04/23/04 ALLTEL CORP DE X 04/23/04 ALTEON INC /DE DE X 04/20/04 AMERICAN COMMUNITY BANCSHARES INC NC X X X 04/20/04 AMERICAN REAL ESTATE PARTNERS L P DE X X 04/23/04 AMERIQUEST MORTGAGE SEC INC ASSET BK DE X X 04/23/04 AMSOUTH AUTO RECEIVABLES LLC X X 04/15/04 APPLEBEES INTERNATIONAL INC DE X 04/22/04 ARADYME CORP DE X X 04/20/04 ARCH COAL INC DE X X X 03/31/04 ARGENT SECURITIES INC ASSET BACK PASS X X 04/06/04 AMEND ARGENT SECURITIES INC ASSET BACK PASS X X 04/06/04 ARROWHEAD RESEARCH CORP DE X X 04/15/04 ARVINMERITOR INC IN X X 04/23/04 ASPENBIO INC CO X 04/05/04 ASSOCIATED BANC-CORP WI X 04/22/04 ASTORIA FINANCIAL CORP DE X X 04/22/04 AT&T WIRELESS SERVICES INC DE X X X 04/23/04 ATLANTIC LIBERTY FINANCIAL CORP DE X 03/31/04 ATLANTIC LIBERTY FINANCIAL CORP DE X 03/31/04 ATMI INC DE X X 04/21/04 ATP OIL & GAS CORP TX X X 04/16/04 AUBURN NATIONAL BANCORPORATION INC DE X X 04/22/04 AUSTRALIAN SECURIT MANAGEMENT PTY ARM X X 04/23/04 AUSTRALIAN SECURIT MANAGEMENT PTY ARM X X 04/23/04 AUTOCARBON INC DE X 10/16/03 AMEND AVADO BRANDS INC GA X X 04/23/04 AVNET INC NY X 04/20/04 AXSYS TECHNOLOGIES INC DE X X X 04/08/04 BAD TOYS INC NV X X 02/04/04 AMEND BADGER PAPER MILLS INC WI X X 04/22/04 BANC CORP DE X X 04/22/04 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 04/23/04 BANK MUTUAL CORP WI X 04/21/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 04/23/04 BIOSOURCE INTERNATIONAL INC DE X X 02/23/04 BRANDYWINE REALTY TRUST MD X X 04/22/04 BRITTON & KOONTZ CAPITAL CORP MS X X X 04/21/04 BROOKE CORP KS X 04/23/04 BROWN & BROWN INC FL X 04/23/04 BRUKER BIOSCIENCES CORP DE X 04/23/04 BUCKEYE TECHNOLOGIES INC DE X 04/23/04 BUTLER MANUFACTURING CO DE X X 04/23/04 BUTLER MANUFACTURING CO DE X X 04/23/04 BWC FINANCIAL CORP CA X 03/31/04 C COR NET CORP PA X X 04/22/04 CAM COMMERCE SOLUTIONS INC DE X 04/23/04 CAMBREX CORP DE X X 04/22/04 CAPITOL BANCORP LTD MI X X 04/23/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 04/22/04 CARE CONCEPTS I INC /FL/ DE X X 04/13/04 CARPENTER TECHNOLOGY CORP DE X X 04/23/04 CASH AMERICA INTERNATIONAL INC TX X X 04/22/04 CEDAR FAIR L P DE X 04/08/04 CENDANT MORTGAGE CAPITAL LLC DE X X 04/23/04 CENTRAL PACIFIC FINANCIAL CORP HI X X 04/22/04 CENTRAL PACIFIC FINANCIAL CORP HI X 04/23/04 CERTIFIED SERVICES INC NV X 04/07/04 CFC INTERNATIONAL INC DE X X 03/31/04 CHASE MANHATTAN BANK /NY/ NY X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN BANK USA DE X X 04/15/04 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 04/15/04 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 04/15/04 CHEMICAL FINANCIAL CORP MI X X 04/23/04 CHESAPEAKE CORP /VA/ VA X 04/23/04 CHESTERFIELD FINANCIAL CORP X X 04/22/04 CHOICEONE FINANCIAL SERVICES INC MI X 04/23/04 CHRISKEN PARTNERS CASH INCOME FUND L DE X 04/14/04 CIRCOR INTERNATIONAL INC DE X X 04/21/04 CIT RV TRUST 1996-B DE X 04/21/04 CIT RV TRUST 1997 A DE X 04/21/04 CIT RV TRUST 1998-A DE X 04/21/04 CIT RV TRUST 1999-A DE X 04/21/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X X 03/31/04 CLEAN HARBORS INC MA X 04/23/04 CLICK COMMERCE INC X X X 04/22/04 CNET NETWORKS INC DE X 04/21/04 COACHMEN INDUSTRIES INC IN X 04/23/04 COAST FINANCIAL HOLDINGS INC X X 04/22/04 COBIZ INC CO X 04/22/04 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 04/21/04 COMMONWEALTH INDUSTRIES INC/DE/ DE X 04/23/04 COMMUNICATION INTELLIGENCE CORP DE X 03/31/04 COMMUNITY FIRST INC TN X 04/23/04 COMMUNITY HEALTH SYSTEMS INC DE X X 04/19/04 COMPUTER PROGRAMS & SYSTEMS INC DE X X 04/22/04 CONMED CORP NY X X 04/22/04 CONNS INC DE X X 04/23/04 CONTINUCARE CORP FL X X 04/23/04 CORAM HEALTHCARE CORP DE X X 04/15/04 CT COMMUNICATIONS INC /NC NC X X 04/23/04 CUMMINS INC IN X 04/23/04 CWMBS INC DE X X 04/23/04 CYTEC INDUSTRIES INC/DE/ DE X 04/22/04 CYTRX CORP DE X X 04/23/04 DALEEN TECHNOLOGIES INC DE X 04/23/04 DATAJUNGLE SOFTWARE INC NV X 04/16/04 DATAJUNGLE SOFTWARE INC NV X 10/01/03 AMEND DATAWAVE SYSTEMS INC B0 X 04/23/04 DEL GLOBAL TECHNOLOGIES CORP NY X X 04/22/04 DEL GLOBAL TECHNOLOGIES CORP NY X X 04/17/04 DENNYS CORP DE X X 04/22/04 DEUTSCHE MORTGAGE SECURITIES INC X X 04/23/04 DEUTSCHE MORTGAGE SECURITIES INC X X 04/23/04 DIEBOLD INC OH X 04/23/04 DIGITAL ANGEL CORP DE X X 04/19/04 DIME COMMUNITY BANCSHARES INC DE X 04/22/04 DOLLAR GENERAL CORP TN X X 04/23/04 E THE MOVIE NETWORKS FL X 04/22/04 EARTHLINK INC DE X X 04/22/04 EMPIRE DISTRICT ELECTRIC CO KS X X X 04/22/04 EXPLORATION CO OF DELAWARE INC DE X 04/19/04 EXTENDICARE HEALTH SERVICES INC DE X X 04/22/04 EXULT INC DE X X 04/22/04 FAMILY DOLLAR STORES INC DE X 04/22/04 FARMERS & MERCHANTS BANCORP DE X X 04/19/04 FAUQUIER BANKSHARES INC VA X X 04/22/04 FINANCIAL ASSET SEC CORP MERITAGE MOR DE X X 03/30/04 FINANCIAL INDUSTRIES CORP TX X X 12/31/03 FIRST BANCTRUST CORP DE X X 04/19/04 FIRST BANKS INC MO X 03/31/04 FIRST CASH FINANCIAL SERVICES INC DE X X 03/12/04 AMEND FIRST CITIZENS BANCORPORATION OF SOUT SC X X X 04/22/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE X 04/23/04 FIRST INDIANA CORP IN X X 04/21/04 FIRST OTTAWA BANCSHARES INC DE X X 04/23/04 FIRST PACTRUST BANCORP INC MD X X 04/23/04 FIRST SENTINEL BANCORP INC DE X X 04/23/04 FIRSTFED AMERICA BANCORP INC DE X X 04/22/04 FLIR SYSTEMS INC OR X X 04/21/04 AMEND FLUSHING FINANCIAL CORP DE X X 03/31/04 FNBH BANCORP INC MI X X 03/31/04 FORTUNE BRANDS INC DE X X 04/23/04 FRANKLIN LAKE RESOURCES INC /NV NV X X 04/22/04 FRESH BRANDS INC X X 04/23/04 FULLER H B CO MN X X 04/15/04 GB&T BANCSHARES INC GA X 04/22/04 GE COMMERCIAL MORT CORP PASS THR CERT DE X X 04/22/04 GEHL CO WI X X 04/23/04 GENAERA CORP DE X X 04/22/04 GENE LOGIC INC DE X X 04/23/04 GETTY REALTY CORP /MD/ MD X 04/22/04 GIANT GROUP LTD DE X X 04/23/04 GOLDEN EAGLE INTERNATIONAL INC CO X X 04/16/04 GOLDEN STATE VINTNERS INC X X 04/23/04 GREATER COMMUNITY BANCORP NJ X X 04/21/04 GS MORTGAGE SECURITIES CORP DE X X 04/22/04 GS MORTGAGE SECURITIES CORP DE X X 04/21/04 GUARANTY BANCSHARES INC /TX/ TX X X 04/22/04 HANCOCK HOLDING CO MS X 04/22/04 HARRIS & HARRIS GROUP INC /NY/ NY X 04/22/04 HAWTHORNE FINANCIAL CORP CA X 04/22/04 HAYES LEMMERZ INTERNATIONAL INC DE X X 04/15/04 HEARTLAND FINANCIAL USA INC DE X 04/23/04 IBERIABANK CORP LA X 04/22/04 IEC ELECTRONICS CORP DE X X 04/22/04 IHOP CORP DE X X 04/22/04 ILINC COMMUNICATIONS INC DE X 04/23/04 IMCOR PHARMACEUTICAL CO NV X 04/14/04 IMPAC MEDICAL SYSTEMS INC X X 12/23/03 AMEND INLAND REAL ESTATE CORP MD X 04/22/04 INSURANCE AUTO AUCTIONS INC /CA IL X X 04/23/04 INTEGRATED CIRCUIT SYSTEMS INC PA X 04/21/04 INTELLI CHECK INC DE X X 04/21/04 INTERCHANGE FINANCIAL SERVICES CORP / NJ X X 04/23/04 INTERNATIONAL LEASE FINANCE CORP CA X 04/23/04 INTERNATIONAL PAPER CO /NEW/ NY X 04/23/04 INTERNATIONAL SPEEDWAY CORP FL X X 04/23/04 INTERNATIONAL WIRELESS INC MD X 04/23/04 INTERNET AMERICA INC TX X 04/23/04 INTEVAC INC CA X X 04/23/04 ISOLAGEN INC DE X X X 04/23/04 ISTA PHARMACEUTICALS INC CA X X 04/23/04 JACOBS ENGINEERING GROUP INC /DE/ DE X 04/21/04 JEFFERSON BANCSHARES INC TN X X 04/23/04 KAISER ALUMINUM & CHEMICAL CORP DE X X 04/21/04 KAISER ALUMINUM CORP DE X X 04/21/04 KEYSTONE CONSOLIDATED INDUSTRIES INC DE X 04/16/04 LABRANCHE & CO INC DE X X 04/23/04 LADISH CO INC WI X X 04/22/04 LATTICE SEMICONDUCTOR CORP DE X X 04/23/04 LECTEC CORP /MN/ MN X X 04/23/04 LL&E ROYALTY TRUST TX X X X 04/23/04 LOCAL FINANCIAL CORP /NV DE X X 04/23/04 LOGANSPORT FINANCIAL CORP IN X X 04/22/04 LONE STAR STEAKHOUSE & SALOON INC DE X X 04/23/04 LONG BEACH SECURITIES CORP DE X X 04/20/04 LUBRIZOL CORP OH X X 04/23/04 MANOR CARE INC DE X X 04/23/04 MARCONI CORP PLC X0 X 04/23/04 MARLIN BUSINESS SERVICES CORP X 04/22/04 MASSEY ENERGY CO DE X X 04/22/04 MATRIA HEALTHCARE INC DE X X 04/22/04 MCI INC DE X X 04/20/04 MCMORAN EXPLORATION CO /DE/ DE X 04/22/04 MERCURY COMPUTER SYSTEMS INC MA X X 04/23/04 MERITAGE CORP MD X 04/23/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 04/20/04 METRO ONE TELECOMMUNICATIONS INC OR X X 04/23/04 METROLOGIC INSTRUMENTS INC NJ X 04/22/04 MFA MORTGAGE INVESTMENTS MD X X 04/23/04 MICRO COMPONENT TECHNOLOGY INC MN X X 04/21/04 MICROHELIX INC OR X X 04/22/04 MICROSOFT CORP WA X 04/22/04 MIDCAROLINA FINANCIAL CORP NC X X 04/23/04 MIDDLEFIELD BANC CORP OH X 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