SEC NEWS DIGEST Issue 2004-142 July 26, 2004 COMMISSION ANNOUNCEMENTS REVOCATION OF REGISTRATION OF SECURITIES OF SPIEGEL, INC. The Commission announced the revocation of the registration of securities of Spiegel, Inc. (Spiegel), of Downer's Grove, Illinois registered with the Commission pursuant to Section 12 of the Exchange Act at 9:30 a.m. on July 23, 2004, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). In its Order revoking the registration of securities of Spiegel registered with the Commission pursuant to Section 12 of the Exchange Act, the Commission found that since April of 2002, Spiegel has been out of compliance with its reporting requirements under Section 13 of the Exchange Act and that it is unclear when, if ever, Spiegel could fully come into compliance with its reporting obligations. 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, Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked pursuant to the preceding sentence. Without admitting or denying the facts or allegations in the Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Spiegel consented the entry of the order revoking its registration. ENFORCEMENT PROCEEDINGS SEC REVOKES REGISTRATION OF SPIEGEL, INC. STOCK On July 23, the Commission instituted and simultaneously settled administrative proceedings against Spiegel, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of the company's stock. The Commission's Order finds that Spiegel Inc.'s stock had been registered with the Commission pursuant to Section 12(g) of the Exchange Act since 1987. The order further finds that since April of 2002, Spiegel has been out of compliance with its reporting requirements under Section 13 of the Exchange Act and that it is unclear when, if ever, Spiegel could fully come into compliance with its reporting obligations. Spiegel Inc. consented, without admitting or denying the Order's findings, to the Order revoking the registration of its stock pursuant to Section 12(j) of the Exchange Act. (Rel. 34-50073; File No. 3-11557) SEC INSTITUTES ENFORCEMENT ACTION AGAINST 2 NYSE SPECIALIST FIRMS FOR VIOLATING FEDERAL SECURITIES LAWS Firms To Pay More Than $5 Million In Disgorgement and Penalties On July 26, the Commission issued administrative and cease-and-desist orders (Orders) against two specialist firms, SIG Specialists, Inc (SSI) and Performance Specialist Group LLC (PSG). Each firm consented to the Orders without admitting or denying the findings contained therein. In the Orders, the Commission finds that the specialist firms violated the federal securities laws and NYSE rules through improper trading practices. The Orders collectively impose a total of $5,205,521 in penalties and disgorgement, consisting of $1,668,779 in civil money penalties and $3,536,742 in disgorgement. The Orders also censure the firms, impose orders to cease-and-desist from future violations, and implement steps to improve the firms' compliance procedures and systems. The Orders find that, between 1999 and 2003, the two firms, through particular transactions by certain of their registered specialists, violated federal securities laws by executing orders for their dealer accounts ahead of executable public customer or "agency" orders. Whether acting as brokers or dealers, specialists are required to hold the public's interest above their own and, as such, are prohibited from trading for their dealers' accounts ahead of pre-existing customer buy or sell orders that are executable against each other. Each firm violated this basic obligation to match executable public customer buy and sell orders and not to fill customer orders through trades from the firm's own account when those customer orders could be matched with other customer orders. Through this conduct, the firms disadvantaged customer orders, which either received inferior prices or went unexecuted altogether, and breached their duty to serve as agents to public customer orders. The illegal conduct took on one of three forms: * Interpositioning. At times from January 1999 through 2003, certain specialists at the two firms bought stock for their firm's dealer account from the customer sell order, and then filled the customer buy order by selling from the dealer account at a higher price - thus realizing a profit for the firm dealer account. Alternatively, the specialists sometimes sold stock into the customer buy order, and then filled the customer sell order by buying for the dealer account at a lower price. In either case, those specialists participated on both sides of trades, thereby capturing the spread between the purchase and sale prices, disadvantaging the other parties to the transaction. Between 1999 and 2003, interpositioning by specialists disadvantaged customers at SSI by $282,983, and customers at PSG by $140,488. Moreover, at each firm, the interpositioning transactions were heavily concentrated in a few stocks traded by a small number of specialists at each firm. With certain interpositioning transactions in six stocks at each firm, certain individual specialists engaged in fraud by violating their implied representations to public customers that they were limiting dealer transactions to those "reasonably necessary to maintain a fair and orderly market." Neither firm had in place reasonable systems or procedures to monitor, detect, or prevent those violations. * Trading Ahead. Specialists at the two firms sometimes filled one agency order through a proprietary trade for the firm's account - and thereby improperly "traded ahead" of the other agency order. As a consequence, the customer order that was traded ahead of was disadvantaged by being executed at a price that was inferior to the price received by the dealer account. Unlike "interpositioning," the "trading ahead" violations did not necessarily involve a second specialist proprietary trade into the opposite, disadvantaged agency order. From January 1999 through 2003, trading ahead by certain specialists at the two firms resulted in customer disadvantage of $1,684,525 at SSI, and $1,283,098 at PSG. * Unexecuted Limit Orders. Sometimes, specialists at the two firms traded ahead of executable limit orders - i.e., they improperly effected proprietary trades with customer orders that they should have paired with marketable limit orders. Unlike the "trading ahead" violations described just above, in these instances, the disadvantaged limit orders were never executed, but rather were cancelled by the customer before receiving an execution. Between 1999 and 2003, trading ahead of unexecuted limit orders disadvantaged customers at SSI by $78,063, and at PSG by $67,585. The Orders provide that in addition to paying disgorgement for each of the three types of illegal trading, SSI is to pay civil monetary penalties of $988,018, and PSG is to pay civil monetary penalties of $680,761, for a total of $1,668,779 in penalties. The Orders provide that, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, the penalties are to be added to the disgorgement payment to create a Distribution Fund for the benefit of injured customers. A fund administrator is to be appointed to coordinate the return of funds to harmed customers. Based on the above, the Commission finds that each firm willfully committed violations of Section 11(b) of the Exchange Act and Rule 11b- 1 thereunder. Moreover, the Commission finds that each firm failed reasonably to supervise certain of its specialists who, through certain transactions in six stocks, committed willful violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, with a view toward preventing violations of the federal securities laws within the meaning of Section 15(b)(4)(E) of the Exchange Act. The Orders order that: (1) pursuant to Section 21C of the Exchange Act, each firm cease and desist from committing or causing any violations and any future violations of Section 11(b) of the Exchange Act and Rule 11b-1 thereunder; (2) pursuant to Section 15(b)(4)(E) of the Exchange Act, each firm is censured; (3) each firm shall pay disgorgement in the amounts identified above; (4) each firm shall pay civil penalties in the amounts identified above; (5) the disgorgement and the civil penalties be added to a Fair Fund which shall be maintained in an interest- bearing account and shall be distributed pursuant to a distribution plan drawn up by an administrator to be chosen by the staff of the Commission and the NYSE; and (6) each firm shall comply with a series of undertakings to improve compliance procedures and systems. (Performance Specialist Group LLC - Rel. 34-50075; File No. 3-11558; SIG Specialists, Inc. - Rel. 34-50076; File No. 3-11559; Press Rel. 2004-99) COMMISSION DECLARES DECISION AS TO BRUCE BERTMAN AND GEOFFREY GAZDA FINAL The Commission declared final the decision of an administrative judge barring Bruce Bertman and Geoffrey W. Gazda from participating in any offer of a penny stock. The law judge determined that Bertman was found guilty of one count of conspiracy to commit wire-fraud, twelve counts of wire fraud, one count of mail fraud, and one count of securities fraud. The court sentenced Bertman to fifty-one months in prison and three years of supervised release. The law judge found that Gazda pled guilty to one count of conspiracy to commit wire and securities fraud in two separate criminal cases. The court sentenced Gazda to forty-six month of incarceration and three years of supervised release on each count, with both sentences running concurrently. (Rel. 34-50078; File No. 3-11419) SEC WINS JURY VERDICT AGAINST FORMER PRESIDENTS OF CHURCH EXTENSION OF THE CHURCH OF GOD, INC. AND UNITED MANAGEMENT SERVICES, INC. The Commission today announced that on July 15 a federal jury found James Perry Grubbs (Grubbs) and Shearon Louis Jackson (Jackson) liable for violating the antifraud provisions of the federal securities laws. The jury found that Grubbs and Jackson each, directly or indirectly, caused Church Extension of the Church of God, Inc. (Church Extension) offering circulars distributed to investors to contain false or misleading information and acted with fraudulent intent and negligence in doing so. The verdicts were returned after a seven and a half day trial in federal court in the Southern District of Indiana, presided over by the Honorable David F. Hamilton. The trial resulted from a complaint the Commission filed on July 22, 2002 charging Church Extension and United Management Services, Inc. (UMS) and the former presidents of those entities, Grubbs and Jackson with fraudulently raising $85 million from the sale of investment notes to thousands of investors nationwide. Church Extension and UMS previously settled the Commission's charges on July 31, 2002. In its complaint, the Commission alleged that in connection with the offer and sale of investment notes, defendants repeatedly made material misrepresentations and omitted to state material facts in Church Extension's solicitation and offering circulars, concerning, among other things, the primary use of investment note proceeds and the financial conditions of Church Extension and UMS. Specifically, the complaint alleged that Grubbs and Jackson, through Church Extension and UMS, embarked on a fraudulent scheme to cover up financial difficulties suffered by Church Extension and UMS from investors. The complaint also alleged that instead of using investment note proceeds primarily to fund church loans as stated in the offering circulars, investor proceeds were used to fund speculative real estate transactions and to make interest and principal payments to prior investors. At trial, the jury determined that Grubbs and Jackson each violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Court will determine at a later date the appropriate sanctions against Grubb and Jackson. The Commission is seeking orders of permanent injunction, disgorgement plus prejudgment interest and civil monetary penalties against Grubbs and Jackson. On July 31, 2002, Church Extension and UMS consented to the entry of permanent injunctions prohibiting future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Church Extension and UMS also agreed to pay disgorgement of approximately $81 million. In consenting to the entry of the civil injunctions and disgorgement, Church Extension and UMS neither admitted nor denied the allegations of the Commission's Complaint. Additionally, on July 31, 2002, the Court appointed Jeff J. Marwil, a partner at the law firm of Jenner & Block in Chicago, Illinois, as an independent Conservator in this case. The Conservator's mandate is to protect the interest of investors who invested or reinvested in the note program. For further information, please see Litigation Release Numbers 17966 (Feb. 4, 2003) [order approving plan for note-holder repayment and related relief], 17656 (Aug. 5, 2002) [final judgment entered against Church Extension and UMS] and 17623 (July 22, 2002) [complaint filed]. [SEC v. Church Extension of the Church of God, Inc., United Management Services, Inc., James Perry Grubbs and Shearon Louis Jackson, U.S. District Court for the Southern District of Indiana, Cause No. IP 02- 1118 C H/S (S.D. Indiana 2002)] (LR-18790; AAE Rel. 2060) SEC OBTAINS TRO TO HALT FRAUDULENT ATM OFFERING On July 20, the Commission filed an emergency action in U.S. District Court in Dallas, Texas to halt a fraudulent investment scheme and freeze assets for the benefit of investors. The Commission charged Cash Link Systems Inc. and its president, Alan Levine, with securities fraud in connection with an unregistered interstate securities offering involving "cashless" automated teller machines (ATMs). The complaint alleges that defendants used fraudulent means to raise over $10 million from at least 680 investors nationwide. At the request of the Commission, the Court entered a temporary restraining order halting the offering, issued orders to conserve assets for the benefit of the scheme's victims, including an asset freeze, the appointment of a receiver, and an accounting. The Commission also named, Alvin-L Consulting, Inc., VC Partners, Inc, and Kimberly M. Ferreiras, as relief defendants, seeking return of investor funds unjustly received. [SEC v. Cash Link Systems Inc., et al., Civil Action No. 3:04-CV-1573 L, U.S.D.C./Northern District of Texas (Dallas Division)] (LR 18791) ORDER OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST JOSEPH ISAAC On July 19, the Honorable Nora M. Manella, U.S. District Court, Central District of California granted the Securities and Exchange Commission's Motion for Default Judgment Against Joseph M. Isaac enjoining him from future violations of the 2000 and raised approximately $17 million from investors by selling the stock through a boiler room established by Johnson, Isaac and Carone in Encino, California. The complaint alleged that in making the offering the defendants failed to disclose the fact that at least $5.1 million, or thirty percent, of the offering proceeds were paid as commissions to the boiler room operations. The complaint also alleged that the defendants made false representations that: (1) a public offering of LinkNet stock was imminent; LinkNet's stock would shortly be listed on NASDAQ; investors could realize phenomenal returns on their investment in a short time; and LinkNet and Latina had contracts for the sale of long distance service in the United States and Mexico which would generate millions of dollars in revenue to the companies. The complaint further alleged that, while the offerings were ongoing, Isaac sold personal shares of LinkNet and Latina stock through the Encino boiler room and by other means. The order against Issac prohibits him from future violations of Sections 5 and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Securities Exchange Act and Rule 10b-5 promulgated thereunder. In addition, the Order bars Isaac from participating in any offering of penny stock. The order also provides for disgorgement in the amount of $1,819,201.94 along with prejudgment interest of $498,393.77, and a civil penalty in the amount of $110,000.00. [SEC v. Carone, et al., Docket No. CV03-374 NM (FMOx) USDC, C.D. Cal.] (LR-18792) SEC SETTLES FRAUD CLAIMS AGAINST INTERNET COMPANY OFFICERS The Commission announced that on July 19 Judge Barbara M. Lynn, U.S. District Judge for the Northern District of Texas, permanently enjoined Texas residents Timothy Buzzelli and David Dutton from future violations of the federal securities laws and barred both from again serving as officers or directors of public companies. Buzzelli and Dutton, formerly officers of NorthStar Networks, Inc. (NorthStar), a Dallas-based Internet service company, consented to the order. Buzzelli, a CPA, also consented to the entry of an administrative order suspending him from appearing or practicing before the Commission as an accountant. The Commission waived the payment of disgorgement and did not impose civil penalties against the defendants in light of their financial inability to pay. In its civil action, the Commission alleged that Buzzelli and Dutton raised over $1 million from approximately 250 investors through the fraudulent offer and sale of NorthStar's common stock, falsely representing to investors that NorthStar had over $10 million in assets, that major defense contractors were interested in its purportedly patent pending computer cooling system, and that the company had multi-million dollar contracts with large, publicly traded telecommunications companies. Further, the Commission alleged that Buzzelli aided and abetted NorthStar's filing of a misleading registration statement with the Commission and its subsequent failure to file periodic reports. The defendants consented, without admitting or denying the allegations in the complaint, to the entry of a final judgment permanently enjoining each from future violations of 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 Rules 10b-5 thereunder. Buzzelli additionally consented to be enjoined from future violations of Section 13(b)(5) of the Exchange Act and from aiding and abetting violations of Section 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder. NorthStar previously settled the Commission's action against it, consenting to an injunction against future violations of the anti-fraud and reporting provisions of the federal securities laws. Additionally, NorthStar consented to the entry of an administrative order revoking the registration of its securities. [SEC v. NorthStar Networks, Inc., et al., Civil Action No. 3:02-CV-1788M, USDC, NDTX] (LR-18793) INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: T.O. Richardson Trust [File No. 811-8849] (Rel. IC -26501- July 21, 2004) TCW/DW Term Trust 2002 [File No. 811-7146] (Rel. IC -26502- July 21, 2004) TCW/DW Term Trust 2003 [File No. 811-7448] (Rel. IC -26503- July 21, 2004) Morgan Stanley New Discoveries Fund [File No. 811-9951] Rel. IC -26504- July 21, 2004) Morgan Stanley Technology Fund [File No. 811-9983] (Rel. IC -26505 July 21, 2004) Morgan Stanley Select Municipal Reinvestment Fund [File No. 811-3878] (Rel. IC -26506- July 21, 2004) Morgan Stanley S&P 500 Select Fund [File No. 811-8809] (Rel. IC -26507- July 21, 2004) Morgan Stanley Capital Growth Securities [File No. 811-5975] (Rel. IC -26508- July 21, 2004) Morgan Stanley 21st Century Trend Fund [File No. 811-9615] (Rel. IC -26509- July 21, 2004) Morgan Stanley Equity Fund [File No. 811-8739] (Rel. IC -26510- July 21, 2004) Morgan Stanley Tax-Managed Growth Fund [File No. 811-9769] (Rel. IC -26511- July 21, 2004) Morgan Stanley North American Government Income Trust [File No. 811-6572] (Rel. IC -26512 July 21, 2004) Nuveen New York Municipal Income Fund, Inc. [File No. 811-5493] Rel. IC -26513- July 21, 2004) Dunhill Investment Trust [File No. 811-8719] (Rel. IC -26514- July 21, 2004) UBS Financial Sector Fund Inc. [File No. 811-4587] (Rel. IC -26515- July 21, 2004) UBS Mutual Funds Securities Trust [File No. 811-9745] (Rel. IC -26516- July 21, 2004) Oppenheimer Trinity Growth Fund [File No. 811-9363] (Rel. IC -26517- July 21, 2004) Lindner Investments [File No. 811-7932] (Rel. IC -26518- July 21, 2004) WELLS FARGO FUNDS TRUST, ET AL. An order has been issued on an application filed by Wells Fargo Funds Trust, et al. exempting applicants from Section 15(f)(1)(A) of the Investment Company Act. The order permits Wells Fargo Funds Trust not to reconstitute its board of trustees to meet the 75 percent non- interested director requirement of Section 15(f)(1)(A) of the Act in order for Wells Fargo Funds Management, LLC to rely upon the safe harbor provisions of Section 15(f). (Rel. IC- 26519 - July 23) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No. 1 thereto (SR-NASD-2004-021) submitted by the National Association of Securities Dealers to require members to report the cancellation of previously-reported trades. Publication of the notice in the Federal Register is expected during the week of July 26. (Rel. 34-50059) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-2004-49) to allow the Exchange to list up to seven expiration months for certain index options up until the expiration of those options in November 2004. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 26. (Rel. 34-50063) A proposed rule change (SR-PCX-2004-69) filed by the Pacific Exchange relating to PCX Plus priority and order allocation procedures 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 July 26. (Rel. 34-50066) PROPOSED RULE CHANGES The Pacific Exchange filed a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-PCX-2003-64) relating to facilitation crosses. Publication of the proposal is expected in the Federal Register during the week of July 26. (Rel. 34-50064) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2004-101) to provide a monthly flat fee for the internal distribution of PostData as an alternative to the monthly per- subscriber fees presently available under NASD Rule 7010(s). Publication of the notice in the Federal Register is expected during the week of July 26. (Rel. 34-50068) APPROVAL OF AMENDMENT TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION The Commission granted approval to an amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information submitted pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2 thereunder by the Options Price Reporting Authority (SR-OPRA-2004-03) to revise Guideline 1 of the Capacity Guidelines to confirm that it is within the authority of the Independent System Capacity Advisor to make determinations concerning the establishment, modification or removal of output throttles from the OPRA System. (Rel. 34-50067) ACCELERATED APPROVAL TO PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2004-46) has been filed by the Philadelphia Stock Exchange relating to a pilot program to deploy the Exchange's Floor Broker Management System. The Commission granted accelerated approval to the proposed rule change. (Rel. 34-50070) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.01 par value, and common stock purchase warrants, of Equifin, Inc., effective at the opening of business on July 26. (Rel. 34-50071) 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 AXIA GROUP INC/UT, 268 W 400 S STE 300, SALT LAKE CITY, UT, 84101, 8015758073 - 50,000,000 ($1,750,000.00) Equity, (File 333-117588 - Jul. 23) (BR. 08) S-8 FIRST AMERICAN SCIENTIFIC CORP \NV\, 100 PARK ROYAL SOUTH, SUITE 811, WEST VANCOUVER, BC, A1, V7T 1A2, 604-913-9035 - 10,000,000 ($600,000.00) Equity, (File 333-117589 - Jul. 23) (BR. 06) S-8 CENTERSTATE BANKS OF FLORIDA INC, 1101 FIRST ST. S., SUITE 202, WINTER HAVEN, FL, 33880, 8632932600 - 0 ($6,000,000.00) Equity, (File 333-117591 - Jul. 23) (BR. 07) S-3 OMNICELL INC /CA/, 1101 EAST MEADOW DR, PALO ALTO, CA, 94303, 6502516100 - 0 ($100,000,000.00) Equity, (File 333-117592 - Jul. 23) (BR. 03) S-3 BellaVista Finance CORP, 1299 OCEAN AVENUE, SUITE 230, SANTA MONICA, CA, 90401, 310-255-4408 - 0 ($1,000,000.00) Other, (File 333-117593 - Jul. 23) (BR. ) S-8 CARDIOTECH INTERNATIONAL INC, 78-E OLYMPIA AVENUE, WOBURN, MA, 01801-4772, 7819334772 - 0 ($11,190,000.00) Equity, (File 333-117594 - Jul. 23) (BR. 36) S-8 AUXILIUM PHARMACEUTICALS INC, 160 WEST GERMANTOWN PIKE, SUITE D-5, NORRISTOWN, PA, 19401, 610-239-8850 - 0 ($20,049,585.00) Equity, (File 333-117595 - Jul. 23) (BR. 01) S-8 WINWIN GAMING INC, 2980 S RAINBOW BLVD., SUITE 200, LAS VEGAS, NV, 89146, 7022334138 - 5,000,000 ($9,250,000.00) Equity, (File 333-117596 - Jul. 23) (BR. 05) S-4 FELCOR LODGING L P, 545 E. JOHN CARPENTER FREEWAY, SUITE 1300, IRVING, TX, 75062, 9724444900 - 0 ($290,000,000.00) Non-Convertible Debt, (File 333-117598 - Jul. 23) (BR. 08) S-8 MERCURY INTERACTIVE CORP, 379 N. WHISMAN ROAD, MOUNTAIN VIEW, CA, 94043-3969, 6506035300 - 499,774 ($14,388,493.46) Equity, (File 333-117599 - Jul. 23) (BR. 03) S-3 UNIONBANCAL CORP, 400 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104-1476, 4157652969 - 0 ($195,058,000.00) Other, (File 333-117600 - Jul. 23) (BR. 07) S-8 AVANT IMMUNOTHERAPEUTICS INC, 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($3,570,000.00) Equity, (File 333-117601 - Jul. 23) (BR. 01) S-8 AVANT IMMUNOTHERAPEUTICS INC, 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($357,000.00) Equity, (File 333-117602 - Jul. 23) (BR. 01) S-1 PRODUCTIVITY TECHNOLOGIES CORP /, 201 SOUTH MAIN ST, ANN ARBOR, MI, 10022, 7349961700 - 10,909,552 ($5,291,132.72) Equity, (File 333-117603 - Jul. 23) (BR. 36) S-8 FRANKLIN FINANCIAL SERVICES CORP /PA/, 20 S MAIN ST, P O BOX 6010, CHAMBERSBURG, PA, 17201-0819, 7172646116 - 0 ($5,026,000.00) Equity, (File 333-117604 - Jul. 23) (BR. 07) S-8 HEMPTOWN CLOTHING INC, 1307 VENABLES STREET, VANCOUVER B C, A1, 00000, 6042555005 - 1,541,000 ($1,386,900.00) Equity, (File 333-117605 - Jul. 23) (BR. 02) S-8 THOMAS INDUSTRIES INC, 4360 BROWNBORO ROAD, SUITE 300, LOUISVILLE, KY, 40207, 5028934600 - 0 ($17,402,000.00) Other, (File 333-117606 - Jul. 23) (BR. 36) S-3 STANLEY WORKS, 1000 STANLEY DR, P O BOX 7000, NEW BRITAIN, CT, 06053, 8602255111 - 900,000,000 ($1.00) Equity, (File 333-117607 - Jul. 23) (BR. 06) S-8 DIGITAL IMPACT INC /DE/, 177 BOVER ROAD SUITE 200, SAN MATEO, CA, 94402, 6503563404 - 0 ($85,526.46) Equity, (File 333-117608 - Jul. 23) (BR. 08) S-8 PETROGEN CORP, 3200 SOUTHWEST FRWY, SUITE 3300, HOUSTON, TX, 77027, 888-875-1155 - 5,000,000 ($1,900,000.00) Equity, (File 333-117609 - Jul. 23) (BR. 04) SB-2 NANOSENSORS INC, 1800 WYATT DR, SUITE 2, SANTA CLARA, CA, 95054, 408-855-0051 - 8,450,000 ($2,092,500.00) Equity, (File 333-117610 - Jul. 23) (BR. ) S-8 MINEFINDERS CORP LTD, 1 DUNDAS ST WEST STE 2402 BOX 13, TORONTO ONTARIO M5S, A6, 00000, 1,045,882 ($7,050,419.68) Equity, (File 333-117611 - Jul. 23) (BR. 04) S-8 AMERICAN INTERNATIONAL INDUSTRIES INC, 601 CIEN ST, SUITE 235, KEMAH, TX, 77565-2701, 2813349479 - 150,000 ($975,000.00) Equity, (File 333-117612 - Jul. 23) (BR. 07) S-8 DYNEGY INC /IL/, 1000 LOUISIANA, STE 5800, HOUSTON, TX, 77002, 7133677600 - 0 ($10,520,000.00) Other, (File 333-117613 - Jul. 23) (BR. 04) S-8 ECOLOCLEAN INDUSTRIES INC, 2242 SOUTH HIGHWAY 83, 2242 SOUTH HIGHWAY 83, CRYSTAL CITY, TX, 78839, 830-374-9100 - 5,000,000 ($4,250,000.00) Debt Convertible into Equity, (File 333-117614 - Jul. 23) (BR. 06) S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($30,000,000,000.00) Other, (File 333-117615 - Jul. 23) (BR. 07) S-8 AirRover Wi-Fi Corp., 5555 HILTON AVENUE, SUITE 207, BATON ROUGE, LA, 70808, 225-923-1034 - 20,000 ($17,000.00) Equity, (File 333-117616 - Jul. 23) (BR. 03) S-8 NETLOGIC MICROSYSTEMS INC, 450 NATIONAL AVENUE SUITE 101, MOUNTAIN VIEW, CA, 94043, 6509616676 - 5,979,429 ($45,689,242.98) Equity, (File 333-117619 - Jul. 23) (BR. 36) S-8 ARC COMMUNICATIONS INC, 788 SHREWSBURY AVE, TINTON, NJ, 07724, 25,000,000 ($5,750,000.00) Equity, (File 333-117620 - Jul. 23) (BR. 08) S-8 SOVEREIGN BANCORP INC, 2000 MARKET ST, PHILADELPHIA, PA, 19103, 2155574630 - 2,351,313 ($51,728,886.00) Equity, (File 333-117621 - Jul. 23) (BR. 07) S-4 Wise Metals Group LLC, 857 ELKRIDGE LANDING RD, SUITE 600, LINTHICUM, MD, 21090, 410-636-6500 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-117622 - Jul. 23) (BR. ) S-3 FIRST ADVANTAGE CORP, ONE PROGRESS PLAZA STE 2400, STE 2400, ST PETERSBURG, FL, 33701, 7272143411 - 0 ($1,740,078.00) Equity, (File 333-117624 - Jul. 23) (BR. 08) S-3 RAINMAKER SYSTEMS INC, 1800 GREEN HILLS ROAD, SCOTTS VALLEY, CA, 95006, 8314617299 - 9,003,565 ($17,016,737.85) Equity, (File 333-117625 - Jul. 23) (BR. 08) S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 0 ($2,196,800,000.00) Equity, (File 333-117626 - Jul. 23) (BR. 37) S-3 PINNACLE FINANCIAL PARTNERS INC, 6157443742 - 977,500 ($18,406,325.00) Equity, (File 333-117627 - Jul. 23) (BR. 07) S-2 UNIFY CORP, 4084674500 - 0 ($5,757,846.00) Equity, (File 333-117628 - Jul. 23) (BR. 03) S-8 PARAGON REAL ESTATE EQUITY & INVESTMENT TRUST, 2164302706 - 4,000,000 ($943,600.00) Equity, (File 333-117629 - Jul. 23) (BR. 08) S-8 BROWN FORMAN CORP, 850 DIXIE HWY, LOUISVILLE, KY, 40210, 5025851100 - 10,596,938 ($494,294,173.00) Equity, (File 333-117630 - Jul. 23) (BR. 02) S-3 LEUCADIA NATIONAL CORP, 315 PARK AVE S, NEW YORK, NY, 10010, 2124601900 - 400,000 ($20,384,000.00) Equity, (File 333-117632 - Jul. 23) (BR. 37) S-4 Seneca Gaming Corp, 310 FOURTH STREET, NIAGARA FALLS, NY, 14303, (716) 299-1100 - 0 ($300,000,000.00) Other, (File 333-117633 - Jul. 23) (BR. ) S-8 CYBERTEL COMMUNICATIONS CORP, 2820 LA MIRADA DRIVE, #H, VISTA, CA, 92083, 8006455557 - 900,000,000 ($450,000.00) Equity, (File 333-117634 - Jul. 23) (BR. 37) S-2 FAR EAST ENERGY CORP, 400 N. SAM HOUSTON PARKWAY E., SUITE 205, HOUSTON, TX, 77060, 7135861900 - 1,600,000 ($1,936,000.00) Equity, (File 333-117635 - Jul. 23) (BR. 04) S-3 CIRCLE GROUP HOLDINGS INC, 1011 CAMPUS DRIVE, 310-556-0080, MUNDELEIN, IL, 60060, 847-549-60 - 0 ($44,450,720.00) Equity, (File 333-117636 - Jul. 23) (BR. 08) S-8 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA, 02141, 6179491000 - 0 ($40,032,000.00) Equity, (File 333-117637 - Jul. 23) (BR. 03) S-8 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA, 02141, 6179491000 - 0 ($200,067.00) Equity, (File 333-117638 - Jul. 23) (BR. 03) S-1 China Unistone Acquisition CORP, 4 COLUMBUS CIRCLE, 5TH FLOOR, NEW YORK, NY, 10019, 212-259-2672 - 11,070,000 ($60,576,000.00) Equity, (File 333-117639 - Jul. 23) (BR. ) S-1 VNUS MEDICAL TECHNOLOGIES INC, 4087471200 - 0 ($80,500,000.00) Equity, (File 333-117640 - Jul. 23) (BR. 36) SB-2 WORLDGATE COMMUNICATIONS INC, 3190 TREMONT AVENUE, TREVOSE, PA, 19053, 2153545437 - 0 ($22,446,473.00) Equity, (File 333-117641 - Jul. 23) (BR. 37) SB-2 INTEGRATED BUSINESS SYSTEMS & SERVICES INC, 1601 SHOP ROAD, SUITE E, COLUMBIA, SC, 29201-4588, 8037365595 - 23,733,930 ($6,750,072.00) Equity, (File 333-117642 - Jul. 23) (BR. 03) S-2 ADZONE RESEARCH INC, 4062-80 GRUMMAN BLVD, SUITE 201, CALVERTON, NY, 11933, 631-369-1100 - 32,935,460 ($8,563,219.00) Equity, (File 333-117643 - Jul. 23) (BR. 02) 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 07/22/04 ABIGAIL ADAMS NATIONAL BANCORP INC DE X X 07/22/04 ACME UNITED CORP CT X 07/22/04 ACUSPHERE INC DE X X 07/23/04 ADSOUTH PARTNERS, INC. NV X 07/23/04 AJS BANCORP INC DE X X 07/21/04 AKI INC DE X X 07/21/04 ALBANY INTERNATIONAL CORP /DE/ DE X 07/22/04 ALDERWOODS GROUP INC DE X X 07/22/04 ALDERWOODS GROUP INC DE X X 07/22/04 ALEXANDERS J CORP TN X 07/22/04 ALLEGHENY TECHNOLOGIES INC DE X X 07/22/04 ALLIED CAPITAL CORP MD X X 07/22/04 ALLSTATE LIFE INSURANCE CO X 07/22/04 AMBASSADORS INTERNATIONAL INC DE X X 07/21/04 AMC ENTERTAINMENT INC DE X X 07/22/04 AMERICAN FINANCIAL REALTY TRUST X X 05/11/04 AMERICAN SOIL TECHNOLOGIES INC NV X 07/21/04 AMEND AMYLIN PHARMACEUTICALS INC DE X 07/22/04 ANNALY MORTGAGE MANAGEMENT INC MD X 07/23/04 ANTHEM INC IN X X 07/23/04 APOLLO GROUP INC AZ X X 07/23/04 APPLIED EXTRUSION TECHNOLOGIES INC /D DE X 07/20/04 ARCH COAL INC DE X X 07/22/04 ARKANSAS BEST CORP /DE/ DE X X 07/22/04 ARKANSAS BEST CORP /DE/ DE X X 07/23/04 ARQULE INC DE X 07/23/04 ARRIS GROUP INC DE X X 07/21/04 ARVINMERITOR INC IN X X 07/21/04 ASSOCIATED BANC-CORP WI X 07/22/04 ASTRONICS CORP NY X 07/23/04 AT&T CORP NY X X 07/22/04 ATLANTIC SYNERGY INC NV X X X X 07/02/04 AMEND ATLAS AIR INC DE X X 07/23/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 07/23/04 AUSTRALIAN SECURIT MANAGEMENT PTY ARM X X 07/23/04 AUSTRALIAN SECURIT MANAGEMENT PTY ARM X X 07/23/04 AXIA GROUP INC/UT NV X X X 06/30/04 BALDWIN TECHNOLOGY CO INC DE X X 07/23/04 BANCFIRST CORP /OK/ OK X 07/22/04 Bank of Commerce Holdings CA X X 07/22/04 Bank of Commerce Holdings CA X 07/23/04 BANK ONE DELAWARE NATIONAL ASSOCIAT X 07/01/04 BELO CORP DE X X 07/23/04 BIG 5 SPORTING GOODS CORP DE X 07/22/04 BIOGEN IDEC INC DE X 07/08/04 BJ SERVICES CO DE X X X 07/22/04 BLACK HILLS CORP /SD/ SD X 07/22/04 BLAIR CORP DE X X 06/30/04 BOCA RESORTS INC DE X 07/22/04 BORDEN CHEMICAL INC NJ X 07/23/04 BORDEN CHEMICAL INC NJ X 07/23/04 BORGWARNER INC DE X 07/23/04 BRANDYWINE REALTY TRUST MD X X 07/22/04 BRESLER & REINER INC DE X X 07/23/04 BRIGHAM EXPLORATION CO DE X X 07/23/04 BROWN SHOE CO INC NY X X 07/21/04 BRYN MAWR BANK CORP PA X X 07/23/04 BUCYRUS INTERNATIONAL INC DE X X 07/22/04 CACI INTERNATIONAL INC /DE/ DE X 07/23/04 CAM COMMERCE SOLUTIONS INC DE X 07/21/04 CAMBREX CORP DE X X 07/22/04 CAN CAL RESOURCES LTD NV X 07/22/04 CAPITAL TRUST INC MD X X 07/22/04 CAPITOL BANCORP LTD MI X X 07/23/04 CAPSTEAD MORTGAGE CORP MD X X 07/22/04 CARPENTER TECHNOLOGY CORP DE X X 07/23/04 CARROLLTON BANCORP MD X X 07/23/04 CASH AMERICA INTERNATIONAL INC TX X X 07/22/04 CENTRUE FINANCIAL CORP DE X X 07/23/04 CFS BANCORP INC DE X X 07/22/04 CHAMPION ENTERPRISES INC MI X X 07/23/04 CHAMPION ENTERPRISES INC MI X X 07/23/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 07/21/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 07/23/04 CHIPPAC INC CA X X 07/23/04 CHOICEONE FINANCIAL SERVICES INC MI X X 07/23/04 CHROMAVISION MEDICAL SYSTEMS INC DE X X 07/22/04 CIGNA CORP DE X 07/22/04 CIRCOR INTERNATIONAL INC DE X X 07/21/04 CITIZENS SOUTH BANKING CORP DE X X 07/23/04 CLEVELAND CLIFFS INC OH X 07/22/04 COAST FINANCIAL HOLDINGS INC X X 07/22/04 COBIZ INC CO X 07/22/04 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 07/21/04 COHU INC DE X X 07/22/04 COMMUNITY BANCORP INC DE X X 07/22/04 COMMUNITY BANK SYSTEM INC DE X X 07/22/04 COMMUNITY CAPITAL CORP /SC/ SC X 07/22/04 COMMUNITY FIRST INC TN X X 07/23/04 COMPASS MINERALS INTERNATIONAL INC DE X 07/23/04 COMPUTER PROGRAMS & SYSTEMS INC DE X X 07/22/04 COMSTOCK RESOURCES INC NV X X 07/16/04 CONMED CORP NY X X 07/22/04 CONTINENTAL GLOBAL GROUP INC DE X X 07/22/04 CORNERSTONE BANCSHARES INC TN X X 07/23/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 07/23/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 07/23/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 07/23/04 CRITICAL HOME CARE INC NV X X X X 05/07/04 AMEND CROSSTEX ENERGY INC DE X X 07/22/04 CROSSTEX ENERGY LP DE X X 07/22/04 CROWLEY MARITIME CORP DE X 07/23/04 CSFB COMMERCIAL MORT PASS THR CERTS S DE X X 07/15/04 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 07/16/04 CUMMINS INC IN X 07/23/04 DANIELSON HOLDING CORP DE X 07/19/04 DEARBORN BANCORP INC /MI/ MI X X 07/23/04 DECRANE AIRCRAFT HOLDINGS INC DE X 07/23/04 DECRANE HOLDINGS CO DE X 07/23/04 DEL MONTE FOODS CO DE X 07/23/04 DIGITAL FUSION INC/NJ/ DE X 07/22/04 DIME COMMUNITY BANCSHARES INC DE X 07/22/04 DREW INDUSTRIES INC DE X X 07/21/04 ECOLOGICAL SERVICES INC DE X X X 12/31/03 AMEND EDGETECH SERVICES INC NV X X 07/23/04 ELECSYS CORP KS X X 07/23/04 EMPIRE DISTRICT ELECTRIC CO KS X X X 07/22/04 ENERGY TRANSFER PARTNERS LP DE X X 07/23/04 ENTERPRISE FINANCIAL SERVICES CORP DE X X 07/22/04 Epic Bancorp X X 07/22/04 FARMERS & MERCHANTS BANCORP DE X 06/30/04 FARMSTEAD TELEPHONE GROUP INC DE X X 07/19/04 FERRO CORP OH X 07/23/04 FFLC BANCORP INC DE X 07/23/04 FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 07/22/04 FIDELITY SOUTHERN CORP GA X X 04/19/04 FIRST BANCORP /PR/ PR X X 07/22/04 FIRST BANKS INC MO X 06/30/04 FIRST CAPITAL INC IN X X 07/23/04 FIRST CITIZENS BANCORPORATION INC SC X X X 07/22/04 FIRST COMMUNITY BANCORP /CA/ CA X X 07/22/04 FIRST COMMUNITY BANCSHARES INC /NV/ NV X X 07/22/04 FIRST FARMERS & MERCHANTS CORP TN X X 07/22/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE X 07/23/04 FIRST OTTAWA BANCSHARES INC DE X X 07/23/04 FIRST ROBINSON FINANCIAL CORP DE X 07/23/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 07/15/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 07/16/04 FIRST UNION LEH BRO BANK OF AMER COM NY X X 07/19/04 FIRST YEARS INC MA X X 07/23/04 FIRSTBANK NW CORP WA X X 07/23/04 FIRSTFED FINANCIAL CORP DE X 06/30/04 FIRSTFED FINANCIAL CORP DE X 06/30/04 FNB CORP/NC NC X X 07/23/04 FNB FINANCIAL SERVICES CORP NC X 07/20/04 FNB FINANCIAL SERVICES CORP NC X X 06/30/04 AMEND FOG CUTTER CAPITAL GROUP INC MD X X 07/16/04 FORTUNE BRANDS INC DE X X 07/22/04 FOSTER WHEELER LTD D0 X X 07/23/04 FPL GROUP INC FL X 07/23/04 FRANKLIN CAPITAL CORP DE X X 07/05/04 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 07/21/04 GAIAM INC CO X X 07/23/04 GARTNER INC DE X X 07/23/04 GATEWAY FINANCIAL HOLDINGS INC NC X X 07/22/04 GB HOLDINGS INC DE X X 07/22/04 GB HOLDINGS INC DE X 07/22/04 GB&T BANCSHARES INC GA X 07/20/04 GENE LOGIC INC DE X X 07/23/04 GENWORTH FINANCIAL INC DE X 07/23/04 GIGA TRONICS INC CA X 07/22/04 GLACIER BANCORP INC DE X X 07/22/04 GLAS-AIRE INDUSTRIES GROUP LTD NV X 06/17/04 GoRemote Internet Communications, Inc DE X X 07/22/04 GORMAN RUPP CO OH X 07/20/04 GREAT ATLANTIC & PACIFIC TEA CO INC MD X X 07/23/04 GS FINANCIAL CORP LA X X 06/30/04 GS MORTGAGE SECURITIES CORP DE X X 07/21/04 GS MORTGAGE SECURITIES CORP II DE X X 07/21/04 HALLIBURTON CO DE X X 07/23/04 HALLWOOD GROUP INC DE X 07/16/04 HARBOR FLORIDA BANCSHARES INC DE X 07/20/04 HARLEY DAVIDSON MOTORCYCLE TRUST 2004 NV X X 07/15/04 Harley-Davidson Motorcycle Trust 2004 NV X X 07/15/04 HARTMARX CORP/DE DE X X 07/20/04 HEARTLAND EXPRESS INC NV X X 06/30/04 HERITAGE OAKS BANCORP CA X 07/23/04 HEXCEL CORP /DE/ DE X X X 07/23/04 HIGH INCOME OPPORTUNITY FUND INC MD X X 07/22/04 HIGHLAND HOSPITALITY CORP MD X X 05/10/04 AMEND HOME CITY FINANCIAL CORP OH X 07/20/04 HORIZON FINANCIAL CORP WA X X 07/22/04 HORNBECK OFFSHORE SERVICES INC /LA DE X X 07/23/04 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE X 07/15/04 HOUSEHOLD PRIVATE LABEL CREDIT CARD M DE X 07/15/04 HUMPHREY HOSPITALITY TRUST INC VA X X 07/23/04 HUTCHINSON TECHNOLOGY INC MN X X 07/22/04 ICEWEB INC DE X X 05/13/04 IDEXX LABORATORIES INC /DE DE X 07/23/04 IHOP CORP DE X X 07/22/04 ILINC COMMUNICATIONS INC DE X X 07/22/04 IMPAC MORTGAGE HOLDINGS INC MD X X 07/22/04 IMPERIAL PETROLEUM INC NV X X 07/23/04 INFORMATION HOLDINGS INC DE X X 07/22/04 INSURANCE AUTO AUCTIONS INC /CA IL X X 07/23/04 INTERMEDIATE MUNI FUND INC MD X X 07/22/04 INTERNATIONAL ASSETS HOLDING CORP DE X X X 07/09/04 INTERNATIONAL PAPER CO /NEW/ NY X X X X 07/21/04 INVISION TECHNOLOGIES INC DE X X 07/22/04 ITT INDUSTRIES INC IN X X 07/23/04 JOSTENS HOLDING CORP DE X X 07/21/04 JOSTENS INC MN X X 07/21/04 K2 INC DE X X 07/21/04 KEITHLEY INSTRUMENTS INC OH X 07/23/04 KIWA BIO-TECH PRODUCTS GROUP CORP UT X X 07/22/04 LABRANCHE & CO INC DE X X 07/23/04 LADISH CO INC WI X X 07/23/04 LATTICE SEMICONDUCTOR CORP DE X X 07/23/04 LECTEC CORP /MN/ MN X 07/19/04 LIBERTY MEDIA INTERNATIONAL INC DE X 07/22/04 LINCOLN ELECTRIC HOLDINGS INC OH X X 07/20/04 LITTLEFIELD CORP DE X X 07/23/04 LODGENET ENTERTAINMENT CORP DE X 07/22/04 LOGAN COUNTY BANCSHARES INC WV X 07/09/04 LONE MOOSE ADVENTURES INC X X 07/23/04 LORAL SPACE & COMMUNICATIONS LTD D0 X 07/22/04 LSB CORP X X X 07/23/04 MADDEN STEVEN LTD DE X X 07/22/04 MAF BANCORP INC DE X 07/23/04 MALAN REALTY INVESTORS INC MI X X 07/22/04 MANAGED HIGH INCOME PORTFOLIO INC NY X X 07/22/04 MANAGED MUNICIPALS PORTFOLIO INC MD X X 07/22/04 MANOR CARE INC DE X X 07/23/04 MARLIN BUSINESS SERVICES CORP X X 07/22/04 MARMION INDUSTRIES CORP NV X X 07/12/04 MATRIA HEALTHCARE INC DE X X 07/22/04 MAYTAG CORP DE X X 07/23/04 MC SHIPPING INC X 07/22/04 MCG CAPITAL CORP DE X X 07/22/04 MEASUREMENT SPECIALTIES INC NJ X X 07/16/04 MEASUREMENT SPECIALTIES INC NJ X X 07/16/04 MED DIVERSIFIED INC NV X X 03/12/04 AMEND MEDICAL ACTION INDUSTRIES INC DE X X 07/23/04 MERIDIAN BIOSCIENCE INC OH X 07/22/04 METASOLV INC DE X X 07/22/04 METLIFE INC DE X X 07/23/04 METROCALL HOLDINGS INC DE X 05/14/04 AMEND MID-STATE BANCSHARES CA X X 07/22/04 MIDDLEBY CORP DE X X 07/22/04 MIDLAND CAPITAL HOLDINGS CORP X X 07/23/04 MK RESOURCES CO DE X X 07/09/04 MOD PAC CORP NY X 07/04/04 MOLECULAR DEVICES CORP DE X X 07/22/04 MORGAN STANLEY ABS CAPITAL I INC DE X X 07/16/04 MUNICIPAL HIGH INCOME FUND INC MD X X 07/22/04 MYSTIC FINANCIAL INC DE X X 07/21/04 NASB FINANCIAL INC MO X 07/22/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 2 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP 20 DE X 06/30/04 NAVISTAR FINANCIAL RETAIL REC CORP NA DE X 06/30/04 NBTY INC DE X X 07/22/04 NESTOR INC DE X X 07/23/04 NETSOLVE INC 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