SEC NEWS DIGEST Issue 2004-67 April 7, 2004 COMMISSION ANNOUNCEMENTS CHAIRMAN DONALDSON TO TESTIFY Chairman William H. Donaldson will testify before the Senate Committee on Banking, Housing and Urban Affairs on Thursday, April 8, concerning Investor Protection Issues Regarding the Regulation of the Mutual Fund Industry. This testimony will begin at 10:00 a.m. in Room 538 of the Dirksen Senate Office Building. ENFORCEMENT PROCEEDINGS SEC V. E. GARRETT BEWKES, JR. AND ROBERT BEWKES The Commission filed and simultaneously settled insider trading charges against E. Garrett Bewkes, Jr. (Garry Bewkes) and his son, Robert D. Bewkes (Robert Bewkes). The Commission's complaint alleges that Garry Bewkes, a director of Interstate Bakeries Corp. (IBC), received adverse material non-public information in advance of an IBC Board of Directors meeting and advised his son to sell his IBC stock. Approximately ten minutes after receiving that advice, Robert Bewkes sold over 16,000 shares of IBC owned by himself, his family, and a number of clients. The Commission filed its complaint against: * Garry Bewkes, 76 years old, a resident of Vero Beach, Fla., and Nantucket, Mass. From 1992 until July 2, 2003, Garry Bewkes was a member of the Board of Directors of IBC, the nation's largest wholesale baker. * Robert Bewkes, 48, a broker from 1991 until June 30, 2003, and a resident of Darien, Conn. The complaint alleges the following: On Jan. 29, 2003, a few days prior to a scheduled IBC Board meeting, Garry Bewkes received a highly confidential IBC report detailing the company's deteriorating financial condition. On Feb. 3, 2003, the day before the Board meeting, Garry Bewkes telephoned Robert Bewkes, told him that IBC's business was "lousy" and advised him to sell any IBC stock that Robert Bewkes owned. Within ten minutes of that phone call, Robert Bewkes sold 16,230 shares of IBC stock owned by himself, family members, and his brokerage clients, at prices ranging from $14.30 to $14.42 per share. On Feb. 11, 2003, IBC announced a reduction in its estimates for earnings during fiscal year 2003 from $1.30 per share to $0.90 to $0.95 per share. On that day, the price of IBC stock fell from $13.64 per share to $10.22 per share. By selling 16,230 shares of IBC stock on February 3, 2003, Robert Bewkes, his family, and his clients avoided losses of approximately $67,517. Simultaneously with the filing of the Commission's complaint, Garry Bewkes and Robert Bewkes, without admitting or denying the allegations contained in the complaint, consented to the entry of final judgments enjoining them from future antifraud violations, ordering Garry Bewkes to pay a civil money penalty of $67,517, plus prejudgment interest, and ordering Robert Bewkes to pay $67,517 in disgorgement and a civil money penalty of $67,517, plus prejudgment interest. Robert Bewkes also consented to the entry of a Commission order barring him from association with any broker, dealer, or investment adviser, with a right to reapply after five years. The Commission acknowledges the extensive assistance provided by New York Stock Exchange, Inc. in connection with this matter. [SEC v. E. Garrett Bewkes, Jr. and Robert D. Bewkes, CV-04-2628(RMB) SDNY] (LR- 18658) INVESTMENT ADVISERS ACT RELEASES EXCELSIOR VENTURE PARTNERS III, LLC, ET AL. An order has been issued on an application filed by Excelsior Venture Partners III, LLC (Excelsior), U.S. Trust Company, N.A., on behalf of its separately identified division, U.S. Trust Company, N.A. Asset Management Division (Investment Adviser) and United States Trust Company of New York, on behalf of its separately identified division, U.S. Trust- New York Fund Asset Management Division (Investment Sub-Adviser) under Section 206A of the Investment Advisers Act. The order permits Excelsior to make in-kind distributions of certain of its portfolio securities and, in connection therewith, deem gains or losses on the distributed securities to be realized for purposes of the Investment Adviser's and Investment Sub-Adviser's performance compensation. (Rel. IA-2225 - April 6) STANDARDS SETTING BOARDS SEC PUBLISHES NOTICE OF PCAOB STANDARD ON WORDING IN AUDIT REPORTS; IF APPROVED, SEC INTENDS TO ISSUE GUIDANCE REGARDING RELATED REQUIREMENTS The Commission today published a notice soliciting public comments on Public Company Accounting Oversight Board (PCAOB) Auditing Standard No. 1, entitled "References in Auditors' Reports to the Standards of the Public Company Accounting Oversight Board." If approved by the Commission, Auditing Standard No. 1 would require that an auditor's report issued in connection with any engagement performed in accordance with the auditing and related professional practice standards of the PCAOB state that the engagement was performed in accordance with "the standards of the Public Company Accounting Oversight Board (United States)." As proposed, Auditing Standard No. 1 states that upon its adoption "a reference to generally accepted auditing standards in auditors' reports is no longer appropriate or necessary." (Rel. 34- 49528; File No. PCAOB-2003-10; Press Rel. 2004-48) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2004-049) filed by NASD establishing examination and development fees in connection with Series 86/87 fees for research analysts, 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 5. (Rel. 34-49527) PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2003-21) and Amendment No. 1 under Section 19(b)(2) of the Securities Exchange Act of 1934 to revise its rules governing price improvement for orders executed automatically by the CHX's MAXr execution system. Publication of the proposal is expected in the Federal Register during the week of April 12. (Rel. 34-49530) 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-4 FREEPORT MCMORAN COPPER & GOLD INC, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 350,000 ($350,000,000.00) Non-Convertible Debt, (File 333-114217 - Apr. 6) (BR. 04) S-4 TITANIUM METALS CORP, 1999 BROADWAY, STE 4300, DENVER, CO, 80202, 3032965600 - 4,024,820 ($187,154,130.00) Equity, (File 333-114218 - Apr. 6) (BR. 06) F-1 BRASKEM SA, RUA ETEND NO 1561, CAMARACI BAHIA BRAZIL, 42810-000, 011551134439744 - 0 ($250,000,000.00) Equity, (File 333-114219 - Apr. 6) (BR. 02) S-3 HEALTHTRONICS SURGICAL SERVICES INC, 1841 WEST OAK PARKWAY, SUITE A, MARIETTA, GA, 30062, 7704190691 - 800,000 ($4,888,000.00) Equity, (File 333-114221 - Apr. 6) (BR. 36) S-3 CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY, 10003, 2124604600 - 0 ($730,866,000.00) Unallocated (Universal) Shelf, (File 333-114222 - Apr. 6) (BR. 02) S-8 INFORMATION ARCHITECTS CORP, 7043652324 - 14,600,000 ($4,088,000.00) Equity, (File 333-114223 - Apr. 6) (BR. 03) S-11 KITE REALTY GROUP TRUST, 30 S MERIDIAN STREET, SUITE 1100, INDIANAPOLIS, IN, 46204, 3175775600 - 0 ($300,000,000.00) Equity, (File 333-114224 - Apr. 6) (BR. ) S-8 CNB CORP /MI/, PO BOX 10, CHEBOYGAN, MI, 49721, 6166277111 - 0 ($514,072.00) Equity, (File 333-114225 - Apr. 6) (BR. 07) S-8 PRIME COMPANIES INC, 409 CENTER STREET, 2ND FLOOR, YUBA CITY, CA, 95991, 5307553580 - 650,000 ($19,500.00) Equity, (File 333-114226 - Apr. 6) (BR. 37) S-4 21ST CENTURY INSURANCE GROUP, 6301 OWENSMOUTH AVE STE 700, WOODLAND HILLS, CA, 91367, 8187043700 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-114227 - Apr. 6) (BR. 01) F-10 FAIRMONT HOTELS & RESORTS INC, 100 WELLINGTON STREET W, SUITE 1600 CP TOWER TD CTR, TORONTO ONTARIO, A6, 00000, 4168742847 - 0 ($270,000,000.00) Equity, (File 333-114228 - Apr. 6) (BR. 08) S-8 CELLEGY PHARMACEUTICALS INC, 349 OYSTER POINT BLVD., SUITE 200, SO. SAN FRANCISCO, CA, 94080, 6506262200 - 1,000,000 ($4,160,000.00) Equity, (File 333-114229 - Apr. 6) (BR. 01) S-1 AVATECH SOLUTIONS INC, 11403 CRONHILL DRIVE, SUITE A, OWING MILLS, MD, 21117, 4109026900 - 4,688,020 ($1,968,968.40) Equity, (File 333-114230 - Apr. 6) (BR. 03) S-3 VASCULAR SOLUTIONS INC, 6464 SYCAMORE COURT NORTH, MINNEAPOLIS, MN, 55369, 7636564300 - 888,900 ($8,142,324.00) Equity, (File 333-114231 - Apr. 6) (BR. 36) S-8 TECHNOLOGY ACQUISITION CORP, 2807 WINNETKA, STE 713, DALLAS, TX, 75204, 2149482990 - 1,500,000 ($15,000.00) Equity, (File 333-114234 - Apr. 6) (BR. 05) S-8 INFORMATION ARCHITECTS CORP, 7043652324 - 14,600,000 ($4,088,000.00) Equity, (File 333-114236 - Apr. 6) (BR. 03) S-3D PROGRESS ENERGY INC, 410 S WILMINGTON ST, RALEIGH, NC, 27601, 9195466463 - 12,000,000 ($565,920,000.00) Equity, (File 333-114237 - Apr. 6) (BR. 02) S-3 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 60,000,000 ($60,000,000.00) Other, (File 333-114238 - Apr. 6) (BR. 36) S-3 LYNX THERAPEUTICS INC, 25861 INDUSTRIAL BLVD, HAYWARD, CA, 94545, 5106709300 - 0 ($2,370,854.62) Other, (File 333-114239 - Apr. 6) (BR. 01) S-8 CRAY INC, 411 FIRST AVE SOUTH, SUITE 600, SEATTLE, WA, 98104-2860, 2067012000 - 1,597,008 ($6,595,243.00) Equity, (File 333-114243 - Apr. 6) (BR. 03) S-4 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($350,000,000.00) Other, (File 333-114244 - Apr. 6) (BR. 08) S-3 ANDREA ELECTRONICS CORP, 45 MELVILLE PARK ROAD, MELVILLE, NY, 11747, 5167191800 - 15,439,594 ($3,705,503.00) Equity, (File 333-114245 - Apr. 6) (BR. 37) S-8 ACTION PERFORMANCE COMPANIES INC, 1480 SOUTH HOHOKAM DRIVE, TEMPE, AZ, 85281, 6023373700 - 80,000 ($2,134,400.00) Equity, (File 333-114246 - Apr. 6) (BR. 02) S-2 CELLEGY PHARMACEUTICALS INC, 349 OYSTER POINT BLVD., SUITE 200, SO. SAN FRANCISCO, CA, 94080, 6506262200 - 4,000,000 ($16,367,600.00) Equity, (File 333-114247 - Apr. 6) (BR. 01) S-3 GLOBAL IMAGING SYSTEMS INC, 3820 NORTHDALE BLVD SUITE 200A, TAMPA, FL, 33624, 8139605508 - 813,464 ($26,998,870.00) Equity, (File 333-114248 - Apr. 6) (BR. 02) S-3 CHICAGO BRIDGE & IRON CO N V, P O BOX 74658, 1075 AD AMSTERDAM, P8, 00000, 2,500,000 ($69,200,000.00) Equity, (File 333-114250 - Apr. 6) (BR. 06) S-8 ANALEX CORP, 5904 RICHMOND HIGHWAY, SUITE 300, ALEXANDRIA, VA, 22303, 703-329-9400 - 0 ($7,860,000.00) Equity, (File 333-114251 - Apr. 6) (BR. 03) S-4 MB FINANCIAL INC /MD, 801 WEST MADISON STREET, CHICAGO, IL, 60607, 3124217600 - 0 ($83,273,031.00) Equity, (File 333-114252 - Apr. 6) (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 ------------------------------------------------------------------------------------------------ 99 CENTS ONLY STORES CA X X 04/06/04 AASTROM BIOSCIENCES INC MI X X 04/05/04 ABBOTT LABORATORIES IL X 04/06/04 ABERDEEN IDAHO MINING CO ID X X 03/17/04 ABERDENE MINES LTD X X 04/06/04 ABOVENET INC DE X 04/06/04 ACCESSITY CORP NY X X 03/31/04 ACUITY BRANDS INC DE X X 04/06/04 ADAPTEC INC DE X X 04/06/04 ADVANCED POWER TECHNOLOGY INC X 04/05/04 AEGIS ASSESSMENTS INC DE X 03/25/04 AGCO CORP /DE DE X 04/05/04 AIRGAS INC DE X X 04/05/04 ALLIANT TECHSYSTEMS INC DE X X 03/31/04 ALLIED WASTE INDUSTRIES INC DE X 04/06/04 ALLIED WASTE INDUSTRIES INC DE X 04/06/04 AMERICA WEST HOLDINGS CORP DE X 04/05/04 AMERICAN LEISURE HOLDINGS INC NV X X 04/05/04 AMERICAN NATIONAL BANKSHARES INC VA X 04/06/04 AMERICAN REAL ESTATE PARTNERS L P DE X 04/01/04 AMERICAN SAFETY INSURANCE HOLDINGS LT X 03/31/04 AMERIQUEST MORTGAGE SECURITIES INC DE X 04/05/04 AMYLIN PHARMACEUTICALS INC DE X X 04/05/04 ANDREW CORP DE X X 04/06/04 ANNUITY & LIFE RE HOLDINGS LTD X X 03/30/04 APOLLO INVESTMENT CORP MD X 04/06/04 ARGENT SECURITIES INC X X 04/05/04 ARROWHEAD RESEARCH CORP DE X X X 03/31/04 ATLANTIC CITY ELECTRIC CO NJ X X 04/01/04 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 04/05/04 AUTO DATA NETWORK DE X X 03/15/04 AVANIR PHARMACEUTICALS CA X X 04/01/04 BALLISTIC VENTURES INC DE X 04/06/04 BEAR STEARNS ALT A TRUST 2003-2 DE X X 03/27/04 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 03/26/04 BEAR STEARNS ALT A TRUST MORT PASS TH DE X X 03/25/04 BEAR STEARNS ARM TRUST 2002-7 DE X X 03/25/04 BEAR STEARNS ARM TRUST 2003-4 DE X X 03/25/04 BEAR STEARNS ARM TRUST 2003-5 DE X X 03/25/04 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 03/25/04 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/04 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/04 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 03/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 03/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 03/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X 03/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 03/25/04 BEAR STEARNS ASSET BACKED SECURITIES DE X X 03/25/04 BEAZER HOMES USA INC DE X X 04/06/04 BF ENTERPRISES INC DE X X 12/31/03 BGR CORP NV X X 04/06/04 BLACK & DECKER CORP MD X X 04/06/04 BORGWARNER INC DE X 04/05/04 BOWL AMERICA INC MD X X 03/31/04 BURKE MILLS INC NC X 01/03/04 C H ROBINSON WORLDWIDE INC DE X X 04/05/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 04/06/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 04/06/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 04/06/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 04/06/04 CASTLE A M & CO MD X 04/05/04 CBD MEDIA LLC DE X X 04/06/04 CEMTECH INDUSTRIES LTD X X 04/05/04 CENDANT MORTGAGE CAPITAL LLC CDMC MO DE X 03/25/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X 03/25/04 COMPUTER TASK GROUP INC NY X X X 04/05/04 CONCEPTUS INC DE X 04/01/04 CONSOLIDATED FREIGHTWAYS CORP DE X 04/05/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/06/04 CURATIVE HEALTH SERVICES INC X X 04/06/04 CVS CORP DE X X 04/04/04 CWALT INC X X 04/06/04 DELCO REMY INTERNATIONAL INC DE X X 03/31/04 AMEND DEVCON INTERNATIONAL CORP FL X 04/05/04 DOLLAR TREE STORES INC VA X 04/06/04 DORAL FINANCIAL CORP PR X X 04/05/04 DPL INC OH X X 04/06/04 DWANGO NORTH AMERICA CORP NV X X 03/22/04 DYNACQ HEALTHCARE INC DE X X X X 12/17/03 AMEND DYNAMIC MATERIALS CORP DE X X 04/06/04 EDGAR ONLINE INC DE X 04/06/04 EDGAR ONLINE INC DE X 03/31/04 EDIETS COM INC DE X 04/06/04 ELECTRO SCIENTIFIC INDUSTRIES INC OR X 04/06/04 EMERGING VISION INC NY X 04/06/04 ENTRADA NETWORKS INC DE X X X 01/31/04 FALCON PRODUCTS INC /DE/ DE X X 04/06/04 FEDERAL AGRICULTURAL MORTGAGE CORP X 04/06/04 FELCOR LODGING TRUST INC MD X X 03/30/04 FIBERMARK INC DE X 03/31/04 FINANCIAL INDUSTRIES CORP TX X X 04/06/04 FINDWHAT COM INC NV X X 03/22/04 FRISCHS RESTAURANTS INC OH X 04/06/04 FRONT PORCH DIGITAL INC NV X 04/01/04 GENERAL ELECTRIC CO NY X X 03/08/04 GLAS-AIRE INDUSTRIES GROUP LTD NV X 03/25/04 GULFMARK OFFSHORE INC DE X 04/06/04 HALOZYME THERAPEUTICS INC NV X X 04/06/04 HANCOCK JOHN LIFE INSURANCE CO MA X X 04/05/04 HAYES LEMMERZ INTERNATIONAL INC DE X X X 04/06/04 HECHINGER LIQUIDATION TRUST X 03/28/04 IKON OFFICE SOLUTIONS INC OH X X 03/31/04 IMAGING3 INC CA X 04/05/04 INFORMATION ARCHITECTS CORP NC X 11/19/03 INFORMATION ARCHITECTS CORP NC X 12/18/03 INFORMATION ARCHITECTS CORP NC X 12/17/03 INFORMATION ARCHITECTS CORP NC X 12/18/03 INFORMATION ARCHITECTS CORP NC X 12/17/03 INFORMATION ARCHITECTS CORP NC X 02/10/04 INFORMATION ARCHITECTS CORP NC X 02/25/04 INFORMATION ARCHITECTS CORP NC X 02/25/04 INFORMATION ARCHITECTS CORP NC X 03/02/04 INFORMATION ARCHITECTS CORP NC X 03/09/04 INFORMATION ARCHITECTS CORP NC X 03/15/04 INTEGRA BANK CORP IN X X 04/06/04 INTEGRAMED AMERICA INC DE X X 04/06/04 INTERDIGITAL COMMUNICATIONS CORP PA X 04/05/04 INTERNATIONAL SPEEDWAY CORP FL X X 04/06/04 INTERTAN INC DE X 03/31/04 INTREPID TECHNOLOGY & RESOURCE INC ID X 04/06/04 AMEND INVESTMENT TECHNOLOGY GROUP INC DE X 04/06/04 IROQUOIS BIO ENERGY CO LLC IN X 04/06/04 ITRONICS INC TX X 03/30/04 JANUS CAPITAL GROUP INC DE X X 04/05/04 KANSAS CITY SOUTHERN DE X X 04/05/04 KFORCE INC FL X X 04/06/04 KUBLA KHAN INC UT X 03/31/04 LABOR READY INC WA X 04/05/04 LAMSON & SESSIONS CO OH X X 04/06/04 LORAL ORION INC DE X 04/05/04 LUCENT TECHNOLOGIES INC DE X 04/06/04 MARCONI CORP PLC X0 X 04/06/04 MARKWEST HYDROCARBON INC DE X X 02/23/04 AMEND MASTR ASSET SECURITIZATION TRUST 2003 DE X X 03/25/03 MAXTOR CORP DE X 04/06/04 MBT FINANCIAL CORP MI X 04/05/04 MDC HOLDINGS INC DE X X X 04/05/04 MERRILL LYNCH & CO INC DE X 04/06/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/22/04 MFIC CORP DE X X 03/30/04 MIDWAY GAMES INC DE X X X 04/05/04 MILACRON INC DE X X 04/05/04 MISSOURI RIVER & GOLD GEM CORP MT X X 03/17/04 MORGAN STANLEY ABS CAPITAL I INC DE X X 04/02/04 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X 04/06/04 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 03/27/03 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE X X 03/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 04/05/04 NATIONAL CITY CORP DE X X 04/06/04 NATURAL GAS SERVICES GROUP INC X X 03/30/04 NATURAL RESOURCE PARTNERS LP DE X X 04/06/04 NEORX CORP WA X X 04/05/04 NEW PACIFIC VENTURES INC CO X 03/31/04 NS GROUP INC KY X X 04/06/04 NUANCE COMMUNICATIONS CA X 03/31/04 ONYX PHARMACEUTICALS INC DE X X 04/05/04 OPTIMAL ROBOTICS CORP X 04/05/04 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 04/06/04 PENTHOUSE INTERNATIONAL INC FL X X X X 03/22/04 PHARMACYCLICS INC DE X X 04/05/04 PHOENIX COLOR CORP DE X X 04/06/04 POINT WEST CAPITAL CORP DE X 04/06/04 POKER COM INC FL X 04/06/04 POPULAR INC PR X X 04/05/04 PPL CORP PA X X 04/05/04 PUGET ENERGY INC /WA WA X 04/05/04 PYR ENERGY CORP DE X X 04/05/04 QUADRAMED CORP DE X 03/31/04 RADVIEW SOFTWARE LTD X X X 04/05/04 RESIDENTIAL ACCREDIT LOANS INC DE X X 03/25/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/25/04 RESIDENTIAL ASSET SECURITIES CORP DE X X 03/25/04 REX STORES CORP DE X X 03/31/04 ROCKFORD CORP AZ X X 03/29/04 RUBY TUESDAY INC GA X X 03/02/04 SABINE ROYALTY TRUST TX X X 04/05/04 SAXON CAPITAL INC DE X 04/05/04 SCANSOURCE INC SC X X 04/05/04 SEAGATE TECHNOLOGY E9 X X 04/06/04 SIMPLETECH INC CA X 03/31/04 SIRIUS SATELLITE RADIO INC DE X 04/06/04 SPIEGEL INC DE X 04/06/04 STEEL DYNAMICS INC IN X 04/06/04 STRUCT ASS MORT INV INC BS ALTA MORT DE X X 03/25/04 STRUCTURED ASSET MORT INV II INC BEAR DE X X 03/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/27/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/04 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/04 STRUCTURED ASSET MORT INV INC MORT PA DE X X 03/27/04 STRUCTURED ASSET MORTGAGE INVESTMENTS X X 03/28/04 STRUCTURED ASSET SEC CORP MORT PASS T DE X 03/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 03/25/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 03/25/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 02/25/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 02/25/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 02/25/04 STUDENT LOAN CORP DE X 04/05/04 SUNLINK HEALTH SYSTEMS INC OH X 04/05/04 SYLVAN INC NV X X 04/02/04 TARANTELLA INC CA X X 04/06/04 TARANTELLA INC CA X X 03/29/04 TARGETED GENETICS CORP /WA/ WA X X 03/31/04 TBX RESOURCES INC TX X X 11/30/03 AMEND TEAM HEALTH INC TN X 03/09/04 TEAM HEALTH INC TN X 03/30/04 THIRD MILLENNIUM INDUSTRIES INC NV X X X 03/09/04 THOR INDUSTRIES INC DE X X 04/01/04 TOPPS CO INC DE X 04/06/04 TOUCH AMERICA HOLDINGS INC DE X X 04/02/04 TOWER AUTOMOTIVE INC DE X X 04/06/04 TOWER BANCORP INC PA X 03/31/04 TRADING SOLUTIONS COM INC NV X 03/31/04 TUPPERWARE CORP DE X X 04/06/04 UNISYS CORP DE X X 04/06/04 UNITED INDUSTRIAL CORP /DE/ DE X X 04/05/04 USI HOLDINGS CORP DE X 04/05/04 UTI WORLDWIDE INC X X X 04/06/04 VENTURE HOLDINGS CO LLC MI X 04/05/04 VIALINK CO DE X 03/31/04 WARNACO GROUP INC /DE/ DE X X 04/05/04 WASHINGTON CORP MD X X 03/22/04 WASHINGTON MUTUAL MORT PS THR CERTS DE X 03/25/04 WATER PIK TECHNOLOGIES INC DE X X 04/06/04 WENDYS INTERNATIONAL INC OH X X 04/05/04 WHITEWING ENVIRONMENTAL CORP CA X 03/18/04 AMEND WINTHROP PARTNERS 79 LTD PARTNERSHIP MA X 04/01/04 WOLVERINE TUBE INC DE X 04/06/04 WORLDSPAN L P DE X X 03/31/04 WORLDWATER CORP NV X X 04/06/04 YAHOO INC DE X 03/26/04 AMEND YDI WIRELESS INC DE X X 04/01/04 ZIMMER HOLDINGS INC DE X X 04/02/04 ZOLL MEDICAL CORPORATION MA X 04/04/04