SEC NEWS DIGEST Issue 2004-78 April 22, 2004 ENFORCEMENT PROCEEDINGS SEC ORDERS ADMINISTRATIVE PROCEEDINGS AGAINST FRANK GRUTTADAURIA On April 21, the Commission entered an Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Order) against Frank D. Gruttadauria (Gruttadauria). In the Order, the Division of Enforcement alleges that, on March 22, 2004, a final judgment was entered against Gruttadauria, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, in the civil action entitled SEC v. Frank D. Gruttadauria, et al., Civil Action Number 1:02CV324, before the United States District Court for the Northern District of Ohio, Eastern Division. The violations occurred from 1987 through 2002, during which time Gruttadauria was a registered representative at a series of broker- dealers registered with the Commission. In particular, Gruttadauria, 46, was a registered representative of Lehman Brothers, Inc. and the manager of its Cleveland, Ohio branch office from October 2000 through January 2002. From July 1998 to October 2000, Gruttadauria was a registered representative of SG Cowen Securities Corporation and the manager of its Cleveland branch office. At the time of Gruttadauria's employment, Lehman Brothers and SG Cowen were both broker-dealers and investment advisers registered with the Commission. Both firms were also engaged in the business of a municipal securities broker-dealer during the period that they employed Gruttadauria. From May 1989 through July 1998, Gruttadauria was a registered representative of Cowen & Co., and, beginning in 1990, he was also the manager of its Cleveland branch office. Gruttadauria was employed as a registered representative at L.F. Rothschild & Co., Inc. from January 1984 through November 1987, and at Hambrecht & Quist, Inc. from November 1987 through May 1989. At the time of Gruttadauria's employment, Cowen & Co., L.F. Rothschild & Co., and Hambrecht & Quist, Inc. were broker-dealers registered with the Commission. The Commission's complaint alleged that, from 1987 through 2002, in connection with the offer, purchase, or sale of securities, Gruttadauria: (1) lied to customers about the holdings in their accounts; (2) overstated the value of their accounts; (3) falsely told customers that he used the funds that they deposited into their accounts to buy securities; (4) misrepresented that he had bought or sold other securities in their accounts; (5) told customers that they had returns on what were non-existent holdings; (6) misrepresented that the funds used to cover withdrawal requests came from customers' brokerage accounts when those accounts, in fact, had insufficient remaining funds to satisfy those requests; (7) falsely told customers that he had opened accounts for them when, in fact, he took their money; (8) sent customers falsified account statements; (9) made unauthorized transfers out of some customer accounts to other customers (often through intermediary bank and brokerage accounts) to make it appear that the latter customers had sufficient assets in their brokerage accounts to cover their withdrawal requests. Further, the complaint alleged that this conduct of Gruttadauria's operated as a fraud and deceit on his customers. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Gruttadauria an opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. The SEC's investigation is continuing. (Rels. 34-49589; IA-2228; File No. 3-11460) SEC CHARGES ALFRED TEO, SR. AND OTHERS WITH INSIDER TRADING The Commission announced today that it filed securities fraud charges against Alfred S. Teo, Sr., and ten of his relatives, friends and colleagues who collectively received approximately $1.8 million in illicit profits from insider trading in the securities of Musicland Stores Corporation (Musicland) and C-Cube Microsystems, Inc. (C-Cube). Teo, a major Musicland shareholder, learned about a proposed tender offer for Musicland, and then purchased Musicland stock on the basis of this information prior to the company's public announcement of the acquisition on Dec. 7, 2000 (Musicland Announcement). Teo also tipped eight other defendants with this information, who then purchased Musicland stock prior to the Musicland Announcement. Additionally, Teo and two other defendants filed false Forms 13D with the Commission that materially understated their ownership of Musicland stock, so that Teo could continue to buy Musicland stock, but avoid triggering Musicland's "poison pill." By making these secret purchases of Musicland stock, and then subsequently selling these shares, Teo made approximately $22 million in illicit profits. Teo also engaged in insider trading in the securities of C-Cube. Teo, a director of Cirrus Logic, Inc. (Cirrus), which had been negotiating to take-over C-Cube, misappropriated material, non-public information about C-Cube and then purchased C-Cube stock shortly before C-Cube announced on March 26, 2001, that it had agreed to be acquired by another company (C-Cube Announcement). Teo also tipped another defendant with this information, who then purchased C-Cube stock prior to the C-Cube Announcement. The complaint named the following as Defendants: Teo, age 57, is a resident of Kinnelon, New Jersey and Fisher Island, Florida. He is the Chairman of several companies which produce industrial plastics. Teo's companies are the largest producer of plastic bags in North America. Teo has been a director and audit committee member of two public companies: Navarre Corp. (Navarre), from May 1, 1998, to present; and Cirrus, from July 21, 1998, to April 10, 2001. Teren Seto Handelman (Teren Seto), age 41, is a resident of Montclair, New Jersey. She is Teo's sister-in-law and the sole trustee of the MAAA Trust. MAAA Trust is a New Jersey trust that Teo established for the benefit of his four sons. John D. Reier (Reier), age 44, is a resident of Montville, New Jersey. He is the CFO of Alpha Industries Corp., a company Teo controlled. Charles D. Fortune (Fortune), age 56, is a resident of Norwalk, Connecticut. He sold plastic resin to Teo's plastic manufacturing companies. Jerrold J. Johnston (Johnston), age 57, is a resident of Trumbull, Connecticut. A salesman in the plastics industry, he has had business relationships with Fortune and Teo. Mark J. Lauzon (Lauzon), age 43, is a resident of Flemington, New Jersey. He sold raw material plastic to Teo's companies. Philip Sacks (Phil Sacks), age 74, is a resident of Englewood, New Jersey and Fisher Island, Florida. He and Teo reside in the same luxury apartment building in Fisher Island. Mitchell L. Sacks (Mitchell Sacks), age 40, is a resident of Demarest, New Jersey. Mitchell Sacks is Phil Sacks' son and worked in Teo's offices running a hedge fund in which Teo and Phil Sacks invested. Richard A. Herron (Herron), age 61, is a resident of Fisher Island, Florida. He and Teo docked their yachts next to one another at Fisher Island. Lawrence L. Rosen (Rosen), age 59, is a resident of Old Tappan, New Jersey and Fisher Island, Florida. He was the founder and former CEO of N2K, a publicly traded company that owned music websites, and was later merged into another company that sells CDs over the Internet. David M. Ross (Ross), age 56, is a resident of Manitowoc, Wisconsin. His company manufactured Teo's 118-foot luxury yacht. The complaint alleges the following: Teo (i) engaged in insider trading in securities of Musicland Stores Corporation (Musicland) and tipped other defendants who also traded, (ii) engaged in insider trading in securities of C-Cube Microsystems, Inc. (C-Cube), and (iii) failed to file required reports and made false and misleading disclosures in reports filed with the Commission concerning the true extent of his ownership and control of Musicland stock. On Dec. 7, 2000, Musicland announced that it would be acquired by another company through a tender offer. The price of Musicland stock rose more than 30% following the announcement. As the largest shareholder of Musicland, Teo had learned of the acquisition through several confidential communications with Musicland senior management during the fall of 2000. After learning of the tender offer, but before it was publicly announced, Teo purchased 45,000 shares of Musicland stock. Teo sold those shares after the announcement and realized a profit of approximately $185,275. Teo also tipped defendants Teren Seto, Reir, Fortune, Lauzon, Phil Sacks, Herron, Rosen and Ross (and Fortune then tipped defendant Johnston), all of whom purchased Musicland stock prior to the announcement. Collectively, Teo's tippees realized profits in excess of $1.1 million. On March 26, 2001, C-Cube announced that it would be acquired by another company. The price of C-Cube stock rose more than 40%. Teo learned before the announcement that C-Cube was discussing a potential merger because he was a director of Cirrus Logic, Inc. (Cirrus), one of the companies that was discussing acquiring C-Cube, and Teo attended confidential Cirrus board meetings at which a potential acquisition was discussed. After learning of a potential acquisition of C-Cube, but before it was announced, Teo purchased 35,000 shares of C-Cube stock. Teo sold these shares after the announcement and realized a profit of approximately $180,012. Teo also tipped defendant Mitchell Sacks, who also purchased C-Cube stock prior to the announcement and realized profits of approximately $115,155. Teo also engaged in securities fraud by failing to file required reports and by making false and misleading disclosures in reports filed with the Commission concerning the extent of his ownership and control of Musicland stock. For instance, Teo, the MAAA Trust (a trust for Teo's children), and Teren Seto, as the MAAA Trust's sole trustee, filed Schedules 13D that falsely under-reported the number of shares of Musicland stock that Teo owned and controlled. Teo sought to conceal the true extent of his ownership and control of Musicland stock in order to avoid the risk of triggering Musicland's shareholder rights plan, or "poison pill." Teo thereby concealed his purchase of nearly 6 million shares of Musicland stock above the poison pill trigger. Teo thereafter sold those shares realizing a profit of approximately $22 million. The Commission charged violations of Sections 10(b), 13(d), 14(e) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13d-1, 13d-2, 14e-3, and 16a-3 thereunder. The Commission seeks the following relief from the defendants: (a) permanent injunctions; (b) disgorgement of all illicit profits; (c) civil penalties; and (d) and officer and director bars against Teo and Rosen. The Commission filed its complaint in the U.S. District Court for the District of New Jersey. The Commission also announced that it reached settlements with Fortune, Johnston and Rosen. Without admitting or denying the allegations in the Commission's complaint, Fortune Johnston and Rosen each consented to final judgments that permanently enjoined them, ordered them to disgorge their illicit profits plus prejudgment interest, and imposed a civil penalty equal to the illicit profits they obtained. Rosen also agreed to the entry of an order barring him from serving as an officer or director for five years. The Commission expresses its appreciation to the New York Stock Exchange, Inc. for their substantial assistance in the investigation of this matter. [SEC v. Alfred S. Teo, Sr., et al., Civil Action No. CV 04- 1815 (WGB)] (LR-18673) IN THE MATTER OF WILLIAM LYONS The Commission announced today that it has filed a securities fraud lawsuit in the U.S. District Court for the Eastern District of Virginia charging William E. Lyons (Lyons) with offering to sell Bear Stearns & Co. (Bear Stearns) and three other financial institutions a fraudulent foreign bank guarantee for $200 million that Lyons claimed would be worth $220 million in one year. Without admitting or denying the allegations in the Commission's complaint, the defendant consented to the entry of a final judgment that permanently enjoins Lyons from future violations of Section 17(a) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934, and imposes a $25,000 monetary penalty on Lyons. The Commission's complaint alleges that in September 2002, Lyons, operating through SV Group, approached a senior managing director at Bear Stearns - where Lyons had previously been employed as a broker - to sell Bear Stearns a purported "zero coupon bank guarantee note" for $200 million, saying it would be worth $220 million one year after its purchase. Despite significant training and experience in the financial services industry, Lyons failed to conduct any type of independent inquiry into the purported bank guarantees or into the individuals and entities that claimed that they could furnish them. In fact, the investment opportunity that Lyons offered to Bear Stearns did not exist. The Commission's complaint further alleges that during the time that Lyons, through SV Group, were offering the bank guarantee to Bear Stearns and the three other financial institutions, SV Group was not registered with the SEC or the NASD as a broker-dealer and Lyons was associated with an unregistered broker-dealer. [SEC v. William E. Lyons, EDVA, Civil Action No. 04-CV-459] (LR-18674) SEC CHARGES FORMER DIRECTOR OF BANKNORTH GROUP, INC. AND METROWEST BANK IN SETTLED INSIDER TRADING CASE The Commission today filed a settled civil fraud action against Allen M. Glick, a former director of both MetroWest Bank and Banknorth Group, Inc., and four of his associates - Arthur H. Freedman, Jeffrey S. Epstein, Steven T. Moore and Romeo J. Pendolari - for illegal insider trading in three publicly-traded Massachusetts banks - MetroWest Bank, Medford Bancorp and Warren Bancorp. Without admitting or denying the Commission's allegations, Glick, Freedman, Epstein, Moore and Pendolari consented to the entry of final judgments permanently enjoining them from violating the antifraud provisions of the federal securities laws. The defendants also agreed to pay a total of over $437,000 in disgorgement of trading profits, prejudgment interest and civil penalties, and Glick consented to a permanent bar from serving as an officer or director of any publicly-traded company. The Commission's complaint alleges that in May 2001, Glick, then a director of MetroWest, learned that MetroWest would potentially be acquired. Shortly thereafter, Glick tipped Freedman, Epstein and Moore to the acquisition and directly or indirectly caused five other individuals to buy MetroWest stock prior to the public announcement of the acquisition of MetroWest by Banknorth. According to the Commission's complaint, Glick's tippees and the other individuals then purchased a total of 33,140 shares of MetroWest stock. On June 11, 2001, Banknorth announced it was acquiring MetroWest, causing MetroWest's stock price to rise by $1.47, or approximately 15% from its price per share at the close of the market the prior day. The Commission's complaint alleges that Glick's tippees and the others whom he caused to buy MetroWest stock profited by approximately $100,000. According to the Commission's complaint, Glick became a director of Banknorth after it acquired MetroWest. On or about June 6, 2002, Glick learned at a Banknorth board meeting that Medford was seeking to be acquired, and that Banknorth was interested in potentially acquiring Warren. The Commission's complaint alleges that Glick thereafter caused another individual to purchase 3,900 shares of Medford stock and 10,000 shares of Warren stock. Glick also tipped Pendolari to inside information concerning the potential acquisition of Warren. According to the Commission's complaint, Pendolari subsequently purchased 800 shares of Warren stock for himself and caused another individual to purchase 1,100 shares of Warren stock. Glick also illegally purchased a total of 43,700 shares of Warren stock for himself, but sold those shares prior to Banknorth's August 8, 2002 public announcement that it would be acquiring Warren. After the announcement on June 13, 2002 that it was going to be acquired by another bank, Medford's stock price rose $5.37, or approximately 18% from its price per share at the close of the market the prior day, and the individual who Glick caused to buy Medford stock profited by $32,211. Banknorth's August 8, 2002 announcement that it was going to acquire Warren caused Warren's stock price to rise by $4.08, or approximately 35% from its price per share at the close of the market the prior day, and Pendolari and the two individuals who Glick and Pendolari caused to buy Warren stock profited by a total of $43,769. The Commission's complaint alleges that Glick breached fiduciary duties he owed to MetroWest, Medford, Warren and/or Banknorth when he disclosed material, nonpublic information to Freedman, Epstein, Moore and Pendolari, and when he caused others to buy MetroWest, Medford and Warren stock while he was in possession of material, nonpublic information concerning those companies. According to the Commission's complaint, Freedman, Moore, Epstein and Pendolari each breached the duty they assumed to MetroWest, Warren and/or Banknorth when they purchased stock, and in certain instances, caused others to buy stock. In its complaint, the Commission charged Glick, Freedman, Epstein, Moore and Pendolari with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, based on their illegal insider trading. Glick, Freedman, Epstein, Moore and Pendolari have each consented to entry of final judgments enjoining them from violating these antifraud provisions. Glick has also agreed to be permanently barred from serving as an officer or director of any publicly-traded company. In addition, Glick has consented to pay a civil penalty in an amount equal to the trading profits of all individuals who he tipped and directly caused to buy stock (a penalty of $165,875.25). Glick also agreed to pay disgorgement of $98,823.50 and prejudgment interest of $10,555.82 for the trading profits of the individuals (other than Freedman, Epstein, Moore and Pendolari) whom he directly caused to buy stock. For their part, Freedman, Epstein, Moore and Pendolari each agreed to pay disgorgement of their respective trading profits plus prejudgment interest (and in the case of Epstein and Pendolari, also the trading profits of those whom they caused to buy stock while they were in possession of material, nonpublic information). Freedman, Epstein, Moore and Pendolari also each agreed to pay a civil penalty equal to their respective trading profits (and in the case of Epstein and Pendolari, also equal to the trading profits of those whom they caused to buy stock while they were in possession of material, nonpublic information). In total, Freedman consented to pay $60,360.10, Epstein consented to pay $72,532.06, Moore agreed to pay $16,056.51, and Pendolari agreed to pay $13,550.96. The Commission acknowledges the assistance of the NASD in this matter. [SEC v. Allen M. Glick et al., U.S. District Court for the District of Massachusetts, C.A. No. 04-CV-10801(MEL)] (LR-18675) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2004-11) filed by the International Securities Exchange to amend its Schedule of Fees to adopt a $.10 per contract surcharge for certain transactions in options on exchange traded funds based on the S&P SmallCap 600 Index and the S&P MidCap 400 Index, 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. 34-49557) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change and accelerated approval of Amendment No. 2 thereto (SR-CBOE-2003-40) submitted by the Chicago Board Options Exchange relating to options on certain CBOE volatility indexes. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34- 49563) PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-CHX-2004-12) relating to the implementation of an automated functionality for the handling of unconditional round-lot limit orders called CHXpress. Publication of the proposal is expected in the Federal Register during the week of April 26. (Rel. 34-49567) WITHDRAWALS GRANTED An order has been issued granting the application of Verizon New England, Inc. to withdraw its Thirty Year 6 7/8% Debentures, (due, Oct. 1, 2023) and Forty Year 7 7/8% Debentures (due, Nov. 15, 2029) from listing and registration on the New York Stock Exchange, effective at the opening of business on April 22. (Rel. 34-49590) An order has been issued granting the application of Verizon New York Inc. to withdraw its Twelve Year 6 «% Debentures (due, March 1, 2005), Twelve Year 6.125% Debentures (due, Jan. 15, 2010) Twenty-One Year 8 5/8% Debentures (due, Nov. 15, 2010), Twenty Year 7% Debentures (due, May 1, 2013), Twenty Year 7% Debentures (due, June 15, 2013), Thirty Year 6.70% Debentures (due, Nov. 1, 2023), Thirty Year 7 ¬% Debentures (due, Feb. 15, 2024), Thirty-Two Year 7% Debentures (due, Aug. 15, 2025), and Forty Year 7% Debentures (due, Dec. 1, 2033) from listing and registration on the New York Stock Exchange effective at the opening of business on April 22. (Rel. 34-49591) An order has been issued granting the application of Price Legacy Corporation to withdraw its common stock, $.0001 par value, from listing and registration on the American Stock Exchange effective at the opening of business on April 22. (Rel. 34-49592) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until May 14, 2004, to comment on the application Holly Corporation to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49593) A notice has been issued giving interested persons until May 14, 2004, to comment on the application of FiberMark, Inc. to withdraw its common stock, $.001 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49594) A notice has been issued giving interested persons until May 14, 2004, to comment on the application of Iris International, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-49595) 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: . N-2 ARES CAPITAL CORP, 1999 AVENUE OF THE STARS, SUITE 1900, LOS ANGELES, CA, 900067, 3102014100 - 0 ($450,000,000.00) Equity, (File 333-114656 - Apr. 21) (BR. ) S-8 WALKER FINANCIAL CORP, 370 OLD COUNTRY ROAD, SUITE 200, GARDEN CITY, NY, 11530, 5167464141 - 711,463 ($834,394.00) Equity, (File 333-114658 - Apr. 21) (BR. 37) SB-2 INGENIUM CAPITAL CORP, 2,402,000 ($240,200.00) Equity, (File 333-114660 - Apr. 21) (BR. ) S-3 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE, 68164, 4027385480 - 0 ($6,188,250.00) Equity, (File 333-114661 - Apr. 21) (BR. 36) N-2 BLACKROCK GLOBAL INFLATION PROTECTED SECURITIES TRUST, 50,000 ($1,000,000.00) Equity, (File 333-114662 - Apr. 21) (BR. ) S-8 DIVERSIFIED SECURITY SOLUTIONS INC, 280 MIDLAND AVE, SADDLE BROOK, NJ, 07662, 2017946500 - 230,000 ($1,679,000.00) Equity, (File 333-114664 - Apr. 21) (BR. 37) S-3 PUBLIC SERVICE CO OF OKLAHOMA, 212 E 6TH ST, TULSA, OK, 74119, 9185992000 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-114665 - Apr. 21) (BR. 02) SB-2 PROJECT GROUP INC, 1770 ST. JAMES PLACE, -, HOUSTON, TX, 77056, 7136221100 - 27,234,040 ($3,948,936.00) Equity, (File 333-114666 - Apr. 21) (BR. 08) S-8 RADWARE LTD, 22 RAOUL WALLENBERG STREET, TEL AVIV, L3, 69710, 2,091,691 ($31,414,646.95) Equity, (File 333-114668 - Apr. 21) (BR. 08) S-11 GRAMERCY CAPITAL CORP, 420 LEXINGTON AVE, NEW YORK, NY, 10170, 2125942700 - 0 ($200,000,000.00) Equity, (File 333-114673 - Apr. 21) (BR. ) S-8 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1801, TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 - 1,190,000 ($2,106,300.00) Equity, (File 333-114674 - Apr. 21) (BR. 03) S-11 NORTHSTAR REALTY, 0 ($253,000,000.00) Equity, (File 333-114675 - Apr. 21) (BR. ) S-8 PHOENIX TECHNOLOGIES LTD, 411 E. PLUMERIA DRIVE, SAN JOSE, CA, 95134, 4085701000 - 250,000 ($1,240,000.00) Equity, (File 333-114676 - Apr. 21) (BR. 03) S-8 GLOBAL LINKS CORP, 949-451-4518 - 0 ($1,485,000.00) Equity, (File 333-114677 - Apr. 21) (BR. 03) S-8 SPECTRUM SCIENCES & SOFTWARE HOLDINGS INC, 91 HILL AVE NW, FT WALTON BEACH, FL, 32548, 8507960909 - 20,000,000 ($62,000,000.00) Equity, (File 333-114680 - Apr. 21) (BR. 06) SB-2 OCEANIC EXPLORATION CO, 7800 E DORADO PLACE, SUITE 250, GREENWOOD VILLAGE, CO, 80111, 3032208330 - 0 ($2,150,660.00) Equity, (File 333-114681 - Apr. 21) (BR. 08) S-8 MONSANTO CO /NEW/, 800 N LINDBERGH BLVD, ST LOUIS, MO, 63167, 3146944296 - 1,000,000 ($35,800,000.00) Equity, 0 ($25,000,000.00) Other, (File 333-114682 - Apr. 21) (BR. 02) S-8 JACKSON RIVERS CO, 5619677300 - 0 ($2,700,000.00) Equity, (File 333-114684 - Apr. 21) (BR. 07) S-1 AUXILIUM PHARMACEUTICALS INC, 160 WEST GERMANTOWN PIKE, SUITE D-5, NORRISTOWN, PA, 19401, 610-239-8850 - 0 ($86,250,000.00) Equity, (File 333-114685 - Apr. 21) (BR. ) S-8 WESTSIDE ENERGY CORP, 2100 WEST LOOP SOUTH, SUITE 900, HOUSTON, TX, 77027, 7135903791 - 500,000 ($725,000.00) Equity, (File 333-114686 - Apr. 21) (BR. 09) S-8 NANNACO INC, 7235 NORTH CREEK LOOP, ., GIG HARBOR, WA, 98335, (253) 853-3632 - 11,000,000 ($88,000.00) Equity, (File 333-114687 - Apr. 21) (BR. 06) S-8 JUNIPER NETWORKS INC, 1194 NORTH MATHILDA AVE, SUNNYVALE, CA, 94089, 6505268000 - 0 ($642,812,940.00) Equity, (File 333-114688 - Apr. 21) (BR. 03) S-8 HUDSON UNITED BANCORP, 1000 MACARTHUR BLVD, MAHWAH, NJ, 07430, 2012362600 - 1,000,000 ($35,725,000.00) Equity, (File 333-114689 - Apr. 21) (BR. 07) S-8 CENTREX INC, 9202 S. TOLEDO, AVENUE, TULSA, OK, 74137, 918-494-2880 - 17,500,000 ($875,000.00) Equity, (File 333-114690 - Apr. 21) (BR. 36) S-4 WILLIAM LYON HOMES, 4490 VON KARMAN AVENUE, NEWPORT BEACH, CA, 92660, 9498333600 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-114691 - Apr. 21) (BR. 06) S-1 KINDERCARE LEARNING CENTERS INC /DE, 650 NE HOLLADAY STREET, SUITE 1400, PORTLAND, OR, 97232, (503) 872-1300 - 0 ($625,000,000.00) Other, (File 333-114693 - Apr. 21) (BR. 01) S-8 APRIA HEALTHCARE GROUP INC, C/O APRIA HEALTHCARE GROUP INC., 26220 ENTERPRISE COURT, LAKE FOREST, CA, 92630, 949-639-2094 - 6,500,000 ($186,875,000.00) Equity, (File 333-114694 - Apr. 21) (BR. 01) S-4 SEMINIS VEGETABLE SEEDS INC, 2700 CAMINO DEL SOL, OXNARD, CA, 93030-7967, 140,000,000 ($140,000,000.00) Non-Convertible Debt, (File 333-114695 - Apr. 21) (BR. 04) F-9 CANADIAN PACIFIC RAILWAY CO/NEW, SUITE 500, 401-9TH AVENUE SW, CALGARY ALBERTA, A0, T2P 4Z4, 4033196171 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-114696 - Apr. 21) (BR. 05) S-1 GOLDSPRING, 14354 N. LLOYD WRIGHT BLVD, SUITE 4, SCOTTSDALE, AZ, 85260, 480-477-6440 - 43,689,945 ($28,907,331.00) Equity, (File 333-114697 - Apr. 21) (BR. 08) 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 ------------------------------------------------------------------------------------------------ A C MOORE ARTS & CRAFTS INC PA X 04/21/04 AAIPHARMA INC DE X X 04/20/04 ACACIA RESEARCH CORP DE X X 04/21/04 ACCUPOLL HOLDING CORP NV X X 04/19/04 ACE SEC CORP WELLS FARGO FINANCIAL AU DE X X 04/13/04 ADEPT TECHNOLOGY INC CA X 04/21/04 AFFYMETRIX INC DE X X 04/21/04 AFFYMETRIX INC DE X X 04/21/04 AGWAY INC DE X X 04/19/04 ALABAMA NATIONAL BANCORPORATION DE X X 04/20/04 ALABAMA POWER CO AL X X 04/07/04 ALBEMARLE CORP VA X X 04/21/04 ALFA CORP DE X 04/21/04 ALLEGHENY TECHNOLOGIES INC DE X 04/21/04 ALLEGIANCE TELECOM INC DE X X 04/14/04 ALLIANCE DATA SYSTEMS CORP DE X 04/21/04 ALLIANCE FINANCIAL CORP /NY/ NY X X 04/21/04 ALLIANCE GAMING CORP NV X 04/21/04 ALTERA CORP DE X 04/21/04 AMBASSADORS GROUP INC DE X X 04/19/04 AMERICAN DENTAL PARTNERS INC DE X X 04/16/04 AMERICAN ECOLOGY CORP DE X X 04/20/04 AMERICAN INTERNATIONAL VENTURES INC / DE X 04/10/04 AMERICAN NATIONAL BANKSHARES INC VA X 04/21/04 AMERICAN RIVER HOLDINGS CA X X 04/21/04 AMERICANA PUBLISHING INC CO X 04/20/04 AMG OIL LTD NV X 04/21/04 AMPCO PITTSBURGH CORP PA X 03/31/04 AMPHENOL CORP /DE/ DE X X 04/21/04 APPLIED FILMS CORP CO X X 03/27/04 ARENA PHARMACEUTICALS INC DE X X 04/20/04 ARGENT SECURITIES INC ASSET BACK PASS X X 04/21/04 ARIZONA PUBLIC SERVICE CO AZ X X 04/16/04 ARKANSAS BEST CORP /DE/ DE X X 04/21/04 ARQULE INC DE X 04/21/04 ARVINMERITOR INC IN X X 04/21/04 ASCENTIAL SOFTWARE CORP DE X 04/12/04 ASIAINFO HOLDINGS INC DE X 04/21/04 ASPECT COMMUNICATIONS CORP CA X X 04/20/04 ASPECT MEDICAL SYSTEMS INC DE X 04/21/04 ASSURETEC HOLDINGS INC DE X X 04/21/04 ASTEC INDUSTRIES INC TN X 03/31/04 ASTRO MED INC /NEW/ RI X X 04/20/04 ATMEL CORP DE X X 04/21/04 AVALONBAY COMMUNITIES INC MD X 04/21/04 AVALONBAY COMMUNITIES INC MD X X 04/14/04 AVANT IMMUNOTHERAPEUTICS INC DE X X 04/21/04 AVX CORP DE X 04/20/04 AZTAR CORP DE X X 04/21/04 BANCFIRST CORP /OK/ OK X 04/20/04 BANDAG INC IA X X 04/20/04 BANK JOS A CLOTHIERS INC /DE/ DE X X 04/19/04 BANK OF NEW YORK CO INC NY X X X 03/31/04 BANK OF THE JAMES FINANCIAL GROUP INC VA X X 04/20/04 BAR HARBOR BANKSHARES ME X 04/21/04 BAUSCH & LOMB INC NY X 04/21/04 BE AEROSPACE INC DE X 04/21/04 BEACH FIRST NATIONAL BANCSHARES INC SC X X 04/21/04 BEARINGPOINT INC DE X X 04/16/04 BELMONT BANCORP OH X X 04/20/04 BELO CORP DE X X 04/21/04 BHA GROUP INC DE X X 04/21/04 BIOCRYST PHARMACEUTICALS INC DE X X 04/21/04 BLOCKBUSTER INC DE X 04/21/04 BRALORNE MINING CO NV X X 04/19/04 BRIAZZ INC WA X 04/05/04 BRIGHT HORIZONS FAMILY SOLUTIONS INC DE X 04/21/04 BRINKER INTERNATIONAL INC DE X X 04/20/04 BROADVISION INC DE X 04/21/04 BROOKE CORP KS X X 04/21/04 BROOKTROUT INC MA X 04/21/04 BRUKER BIOSCIENCES CORP DE X 04/21/04 BRYN MAWR BANK CORP PA X X 04/20/04 BUCKEYE TECHNOLOGIES INC DE X 04/20/04 BUILDING MATERIALS CORP OF AMERICA DE X 04/04/04 BUTLER MANUFACTURING CO DE X X 04/21/04 BUTLER NATIONAL CORP DE X X 04/21/04 C & F FINANCIAL CORP VA X X 04/20/04 C H ROBINSON WORLDWIDE INC DE X X 04/20/04 CADENCE DESIGN SYSTEMS INC DE X 04/21/04 CALGON CARBON CORPORATION DE X 04/20/04 CALIFORNIA AMPLIFIER INC DE X 04/20/04 CALIFORNIA FIRST NATIONAL BANCORP CA X 04/21/04 CALLIDUS SOFTWARE INC X X X 04/21/04 CAPITAL ONE FINANCIAL CORP DE X X 04/21/04 CAPITAL ONE FINANCIAL CORP DE X 04/21/04 CARBO CERAMICS INC DE X X 04/21/04 CARDINAL FINANCIAL CORP VA X 04/14/04 CAREER EDUCATION CORP DE X 04/20/04 CARREKER CORP DE X X 04/21/04 CASCADE NATURAL GAS CORP WA X X 04/19/04 CASS INFORMATION SYSTEMS INC MO X X 04/19/04 CCC INFORMATION SERVICES GROUP INC DE X X 04/20/04 CCC INFORMATION SERVICES GROUP INC DE X X 04/21/04 CENTER BANCORP INC NJ X X 04/21/04 CENTRAL COAST BANCORP CA X X 04/20/04 CERNER CORP /MO/ DE X X 04/21/04 CERTEGY INC GA X X 04/21/04 CH2M HILL COMPANIES LTD OR X 12/12/03 AMEND CHAMPION ENTERPRISES INC MI X X 04/21/04 CHAMPION ENTERPRISES INC MI X X 04/21/04 CHARLOTTE RUSSE HOLDING INC X X 04/20/04 CHARTER COMMUNICATIONS INC /MO/ DE X X 04/20/04 CHEFS INTERNATIONAL INC DE X X 04/21/04 CHIRON CORP DE X 04/21/04 CHOICE HOTELS INTERNATIONAL INC /DE DE X X 04/21/04 CHOLESTECH CORPORATION CA X X 04/21/04 CITIZENS SOUTH BANKING CORP DE X X X 04/21/04 CITRIX SYSTEMS INC DE X 04/21/04 CNB FINANCIAL CORP/PA PA X X 04/21/04 CNL RETIREMENT PROPERTIES INC MD X 02/06/04 AMEND COACH INC MD X X 04/20/04 COCA COLA CO DE X X 03/31/04 COLGATE PALMOLIVE CO DE X X X 04/21/04 COLONIAL BANCGROUP INC DE X X 04/21/04 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 04/16/04 COMMUNITY BANKSHARES INC /SC/ SC X X 04/20/04 COMMUNITY WEST BANCSHARES / CA X X 04/20/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 04/21/04 CONCEPTUS INC DE X 04/15/04 CONCORDE CAREER COLLEGES INC DE X X 04/21/04 CONSECO INC DE X X 04/20/04 CONSOLIDATED TOMOKA LAND CO FL X X 04/20/04 COSTAR GROUP INC DE X 04/20/04 COUNTRYWIDE FINANCIAL CORP DE X 03/31/04 COVENANT TRANSPORT INC NV X X 04/20/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/21/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/21/04 AMEND CSFB MORTGAGE BACKED PASS THRU CERT S DE X 04/21/04 AMEND CTS CORP IN X X 03/28/04 CURAGEN CORP DE X X 04/21/04 CV THERAPEUTICS INC DE X X 04/20/04 D & K HEALTHCARE RESOURCES INC DE X X 04/21/04 DANA CORP VA X X X 04/21/04 DELTA WOODSIDE INDUSTRIES INC /SC/ SC X X X 04/20/04 DENNYS CORP DE X X 04/21/04 DEVRY INC DE X 04/20/04 DIGITALNET HOLDINGS INC DE X X 04/21/04 DIVINE INC DE X X 03/24/04 DONEGAL GROUP INC DE X 04/21/04 DPAC TECHNOLOGIES CORP CA X X 04/21/04 DREW INDUSTRIES INC DE X X 04/20/04 DSP GROUP INC /DE/ DE X X 04/21/04 DUANE READE INC DE X X 04/21/04 EASTMAN KODAK CO NJ X X 04/21/04 EBAY INC DE X X 04/21/04 EDGEWATER TECHNOLOGY INC/DE/ DE X 04/21/04 EL PASO CORP/DE DE X X 04/21/04 ELDORADO RESORTS LLC NV X X 04/21/04 ELECTRONICS FOR IMAGING INC DE X X 04/21/04 EMPIRE RESORTS INC DE X X 04/20/04 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 04/21/04 ENESCO GROUP INC MA X X 04/21/04 ENTERPRISE FINANCIAL SERVICES CORP DE X X 04/20/04 ENTERPRISE PRODUCTS PARTNERS L P DE X X 04/20/04 ENTERTAINMENT PROPERTIES TRUST MD X 04/20/04 ENTRUST INC MD X 04/20/04 EPICOR SOFTWARE CORP DE X X 04/20/04 ERESEARCHTECHNOLOGY INC /DE/ DE X X 04/21/04 ERXSYS INC NV X X 04/07/04 ESCALON MEDICAL CORP DE X X 04/20/04 EXACT SCIENCES CORP DE X X 04/20/04 EXAR CORP DE X X 04/21/04 EXTREME NETWORKS INC DE X X 04/14/04 EZCORP INC DE X X 04/20/04 F5 NETWORKS INC WA X X 04/21/04 FARGO ELECTRONICS INC X X 04/21/04 FIBERSTARS INC /CA/ CA X 04/21/04 FIRST ADVANTAGE CORP DE X X 04/20/04 FIRST AMERICAN CAPITAL CORP /KS KS X 04/15/04 FIRST AMERICAN CORP CA X X 04/21/04 FIRST DEFIANCE FINANCIAL CORP OH X X 01/19/04 FIRST FEDERAL BANKSHARES INC DE X X 01/20/04 FIRST FEDERAL CAPITAL CORP WI X X 04/21/04 FIRST FEDERAL CAPITAL CORP WI X X 04/21/04 FIRST FEDERAL CAPITAL CORP WI X X 04/21/04 FIRST FINANCIAL BANKSHARES INC TX X 03/31/04 FIRST MIDWEST BANCORP INC DE X X 04/21/04 FIRST MIDWEST FINANCIAL INC DE X X 02/23/04 FIRST NATIONAL FUNDING LLC NE X 04/15/04 FIRST OAK BROOK BANCSHARES INC DE X X 04/21/04 FIRST RELIANCE BANCSHARES INC SC X 04/09/04 FIRST TENNESSEE NATIONAL CORP TN X X 04/20/04 FIRST UNION COM MOR SEC INC COM MOR P NY X X 04/18/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/15/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/16/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/15/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/15/04 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/17/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC X X 04/17/04 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 04/15/04 FIRST UNION LEH BRO BANK OF AMER COM NY X X 04/16/04 FIRST UNION NATIONAL BANK COM MORT PA NC X X 04/18/04 FLAGSTAR BANCORP INC MI X 04/20/04 FLANDERS CORP NC X 04/21/04 FLEXSTEEL INDUSTRIES INC MN X 04/20/04 FLIGHT SAFETY TECHNOLOGIES INC NV X 02/21/04 FLIR SYSTEMS INC OR X X 04/21/04 FLORIDA ROCK INDUSTRIES INC FL X 04/16/04 FLORIDA ROCK INDUSTRIES INC FL X X X 04/20/04 FOODARAMA SUPERMARKETS INC NJ X 04/14/04 FORD MOTOR CO DE X X 04/21/04 FORD MOTOR CREDIT CO DE X X 04/21/04 FORWARD INDUSTRIES INC NY X X 04/21/04 FRONTIER FINANCIAL CORP /WA/ WA X X 04/21/04 FSF FINANCIAL CORP MN X X 04/20/04 GENERAL CABLE CORP /DE/ DE X X 04/20/04 GENERAL COMMUNICATION INC AK X X 04/20/04 GENERAL DYNAMICS CORP DE X 04/21/04 GEORGIA BANK FINANCIAL CORP /GA GA X X 04/15/04 GFY FOODS INC NV X 04/20/04 GFY FOODS INC NV X 01/07/04 AMEND GIANT MOTORSPORTS INC NV X X 04/20/04 GOLD BANC CORP INC KS X X 04/20/04 GOLDEN PATRIOT CORP NV X 04/20/04 GRAFTECH INTERNATIONAL LTD DE X 04/20/04 GREAT LAKES DREDGE & DOCK CORP DE X X 04/21/04 GREAT PEE DEE BANCORP INC DE X X 04/16/04 GREATER BAY BANCORP CA X 04/21/04 GREENWICH CAPITAL ACCEPTANCE INC DE X 04/21/04 GS MORTGAGE SECURITIES CORP DE X X 04/19/04 GULFTERRA ENERGY PARTNERS L P DE X X 04/20/04 GUNDLE SLT ENVIRONMENTAL INC DE X X 04/21/04 HARRAHS ENTERTAINMENT INC DE X X 04/21/04 HARTE HANKS INC DE X X 04/21/04 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 04/20/04 HENRY JACK & ASSOCIATES INC DE X X 04/20/04 HENRY JACK & ASSOCIATES INC DE X X 04/21/04 HI/FN INC DE X 04/21/04 HILB ROGAL & HAMILTON CO /VA/ VA X 04/21/04 HOME SOLUTIONS OF AMERICA INC DE X X 02/06/04 AMEND HON INDUSTRIES INC IA X 04/21/04 HONEYWELL INTERNATIONAL INC DE X 04/21/04 HORIZON MEDICAL PRODUCTS INC GA X X 04/15/04 HUDSON CITY BANCORP INC DE X X 04/20/04 HUDSON UNITED BANCORP NJ X 04/21/04 HYPERION SOLUTIONS CORP DE X X 04/21/04 IBIS TECHNOLOGY CORP MA X X X 04/21/04 ILLUMINA INC CA X X 04/20/04 IMATION CORP DE X 04/21/04 INCARA PHARMACEUTICALS CORP DE X X 04/19/04 INDEPENDENCE COMMUNITY BANK CORP DE X X 04/20/04 INFORTE CORP DE X 04/20/04 INTEGRA BANK CORP IN X X 04/21/04 INTEGRATED BIOPHARMA INC DE X 04/20/04 INTEGRATED SECURITY SYSTEMS INC DE X X 04/14/04 INTEGRATED SECURITY SYSTEMS INC DE X 04/19/04 INTERACTIVE MARKETING TECHNOLOGY INC NV X 03/24/04 AMEND INTERCHANGE FINANCIAL SERVICES CORP / NJ X X 04/21/04 INTERNATIONAL MICROCOMPUTER SOFTWARE CA X X 04/20/03 INTERPLAY ENTERTAINMENT CORP DE X X 04/20/04 INTERSIL CORP/DE DE X 04/21/04 INTERSIL CORP/DE DE X X X 04/21/04 INTERSTAR MILLENNIUM SERIES 2002-1G T X X 04/21/04 INTERWOVEN INC CA X X 04/21/04 INVITROGEN CORP DE X X 02/06/04 AMEND IPC HOLDINGS LTD X 04/20/04 ITLA CAPITAL CORP CA X X 04/19/04 J P MORGAN CHASE & CO DE X X X 04/21/04 J2 GLOBAL COMMUNICATIONS INC DE X X 04/19/04 AMEND JAKKS PACIFIC INC DE X X 04/20/04 JAKKS PACIFIC INC DE X X 04/20/04 JOURNAL REGISTER CO DE X X 04/16/04 JUNIPER NETWORKS INC DE X X 04/21/04 KAMAN CORP CT X 04/20/04 KENSEY NASH CORP DE X 03/31/04 KERR MCGEE CORP /DE DE X X 04/21/04 KEYSTONE PROPERTY TRUST MD X X 04/21/04 KINDER MORGAN ENERGY PARTNERS L P DE X 03/31/04 KINDER MORGAN INC KS X 03/31/04 KLA TENCOR CORP DE X X 04/21/04 KNIGHT TRADING GROUP INC DE X X 04/21/04 KULICKE & SOFFA INDUSTRIES INC PA X X 04/21/04 LA JOLLA PHARMACEUTICAL CO DE X X 04/21/04 LABOR READY INC WA X 04/21/04 LABRANCHE & CO INC DE X X 04/20/04 LASALLE HOTEL PROPERTIES MD X X 04/21/04 LAWSON PRODUCTS INC/NEW/DE/ DE X X 04/21/04 LEAPFROG ENTERPRISES INC X X 04/21/04 LEGGETT & PLATT INC MO X 04/21/04 LEUCADIA NATIONAL CORP NY X 03/30/04 LEXINGTON BARRON TECHNOLOGIES INC CO X X X X X 04/01/04 AMEND LUMINEX CORP DE X 04/21/04 M WAVE INC DE X 04/15/04 MAIN STREET BANKS INC /NEW/ GA X X X 04/21/04 MAPINFO CORP DE X 03/31/04 MARSH & MCLENNAN COMPANIES INC DE X X 04/21/04 MATTHEWS INTERNATIONAL CORP PA X 04/20/04 MAVERICK TUBE CORPORATION DE X 04/21/04 MAXTOR CORP DE X X X 04/21/04 MAYTAG CORP DE X X 04/21/04 MB FINANCIAL INC /MD MD X 04/21/04 MCI INC DE X X 04/20/04 ME PORTFOLIO MANAGEMENT LTD SMHL GLO X X 04/13/04 MEDIMMUNE INC /DE DE X 04/21/04 MEDIMMUNE INC /DE DE X 04/21/04 MELLON FINANCIAL CORP PA X X 04/20/04 MELLON FINANCIAL CORP PA X X 03/05/04 MERITAGE CORP MD X X X 04/20/04 MERITAGE CORP MD X X 04/21/04 MERRILL LYNCH MORTGAGE ASSET BACK CER DE X X 04/07/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 04/20/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 04/19/04 MFB CORP IN X 03/31/04 MGM MIRAGE DE X X 04/21/04 MGP INGREDIENTS INC KS X X 04/20/04 MID-STATE BANCSHARES CA X X 04/19/04 MIDSOUTH BANCORP INC LA X 04/21/04 MIDWAY GAMES INC DE X X 04/20/04 MIDWEST AIR GROUP INC WI X X 04/21/04 MINERALS TECHNOLOGIES INC DE X 04/21/04 MIPS TECHNOLOGIES INC DE X 03/31/04 MOHAWK INDUSTRIES INC DE X 04/21/04 MPS GROUP INC FL X X 04/21/04 MTC TECHNOLOGIES INC DE X X 04/21/04 NABI BIOPHARMACEUTICALS DE X 04/21/04 NACCO INDUSTRIES INC DE X X 04/21/04 NASTECH PHARMACEUTICAL CO INC DE X X 04/21/04 NBC CAPITAL CORP MS X X 04/20/04 NCRIC GROUP INC DC X X 04/19/04 NEOFORMA INC DE X X 02/17/04 NET PERCEPTIONS INC DE X X 04/21/04 NEW CENTURY MORTGAGE SECURITIES INC DE X 04/15/04 NEW YORK COMMUNITY BANCORP INC DE X X X 04/20/04 NEWMIL BANCORP INC DE X 04/21/04 NEWPOWER HOLDINGS INC DE X X 04/15/04 NORFOLK SOUTHERN CORP VA X 04/21/04 NORTHERN STATES FINANCIAL CORP /DE/ DE X 04/21/04 NORTHWEST AIRLINES CORP DE X X 04/21/04 NORTHWEST INDIANA BANCORP IN X X 04/21/04 NORWOOD FINANCIAL CORP PA X X 04/20/04 NSD BANCORP INC PA X X 04/21/04 NSTOR TECHNOLOGIES INC DE X X 04/21/04 NU SKIN ENTERPRISES INC DE X 04/21/04 NUANCE COMMUNICATIONS CA X 03/31/04 OMEGA FINANCIAL CORP /PA/ PA X X X 04/21/04 OMI CORP/M I X X 04/20/04 ONLINE RESOURCES CORP DE X 04/21/04 OPTIMAL GROUP INC X X 04/06/04 OSHKOSH B GOSH INC DE X 04/21/04 OUTDOOR CHANNEL HOLDINGS INC AK X X 04/21/04 PARADYNE NETWORKS INC DE X 04/21/04 PARAMETRIC TECHNOLOGY CORP MA X 04/21/04 PARKVALE FINANCIAL CORP PA X X 04/15/04 PECO ENERGY CO PA X X 04/16/04 PEMCO AVIATION GROUP INC DE X X 04/19/04 PENNICHUCK CORP NH X X 04/20/04 PENNROCK FINANCIAL SERVICES CORP PA X 04/20/04 PENTHOUSE INTERNATIONAL INC FL X X 04/15/04 PEOPLES COMMUNITY CAPITAL CORP SC X X 04/21/04 PEOPLES FIRST INC PA X X 04/20/04 PEOPLES HOLDING CO MS X X X 04/21/04 PERMIAN BASIN ROYALTY TRUST TX X X 04/20/04 PERVASIVE SOFTWARE INC DE X X 04/21/04 PFF BANCORP INC DE X 04/19/04 PHOTOMEDEX INC DE X 04/20/04 PHOTOWORKS INC /WA WA X 03/27/04 PINNACLE DATA SYSTEMS INC OH X X 04/21/04 PINNACLE WEST CAPITAL CORP AZ X X 04/16/04 PIPER JAFFRAY COMPANIES X X 04/21/04 PLEXUS CORP WI X 04/21/04 PLUMAS BANCORP CA X X 04/21/04 PNC FINANCIAL SERVICES GROUP INC PA X X 04/21/04 PNC FINANCIAL SERVICES GROUP INC PA X X 04/21/04 POSSIS MEDICAL INC MN X 04/20/04 POTOMAC BANCSHARES INC WV X X 04/20/04 PPOL INC CA X 04/20/04 PREMIER FINANCIAL BANCORP INC KY X 04/21/04 PRIVATEBANCORP INC DE X X 04/21/04 PROGRESS ENERGY INC NC X X 03/31/04 PROVIDENT FINANCIAL GROUP INC OH X 04/21/04 QUALCOMM INC/DE DE X X 04/21/04 QUICKLOGIC CORPORATION CA X X 04/21/04 RAINIER PACIFIC FINANCIAL GROUP INC X X 04/21/04 RARE HOSPITALITY INTERNATIONAL INC GA X X 04/21/04 RCG COMPANIES INC DE X X 04/20/04 REALITY INTERACTIVE INC MN X 04/02/03 REDWOOD EMPIRE BANCORP CA X X 04/21/04 RETRACTABLE TECHNOLOGIES INC TX X 04/06/04 REWARDS NETWORK INC DE X X 04/21/04 REYNOLDS & REYNOLDS CO OH X 04/21/04 ROSEDALE DECORATIVE PRODUCTS LTD X X 04/21/04 RUBY MINING CO CO X 04/21/04 RUSH ENTERPRISES INC \TX\ TX X X 04/20/04 RYANS FAMILY STEAKHOUSES INC SC X 03/31/04 RYLAND GROUP INC MD X X 04/21/04 S Y BANCORP INC KY X X 04/21/04 SAFLINK CORP DE X 12/28/03 AMEND SALIX PHARMACEUTICALS LTD X X 04/21/04 SAN JUAN BASIN ROYALTY TRUST TX X X 04/20/04 SBC COMMUNICATIONS INC DE X 03/31/04 SBS TECHNOLOGIES INC NM X X 04/21/04 SCBT FINANCIAL CORP SC X X 04/21/04 SCHAWK INC DE X 04/20/04 SCS TRANSPORTATION INC DE X 04/21/04 SCS TRANSPORTATION INC DE X X 04/21/04 SEARS ROEBUCK & CO NY X X 04/21/04 SENTO CORP UT X X 04/20/04 SEROLOGICALS CORP DE X X 04/21/04 SIGA TECHNOLOGIES INC DE X 04/21/04 SILICON GRAPHICS INC DE X X 04/20/04 SILICON STORAGE TECHNOLOGY INC CA X 04/21/04 SINEWIRE NETWORKS INC NV X X 04/15/04 SIRIUS SATELLITE RADIO INC DE X X 04/21/04 SKY FINANCIAL GROUP INC OH X X 04/21/04 SKYWEST INC UT X X 04/21/04 SL GREEN REALTY CORP MD X X 04/20/04 SOCKET COMMUNICATIONS INC DE X X 03/31/04 SOMERA COMMUNICATIONS INC DE X X X 04/21/04 SONOCO PRODUCTS CO SC X X 04/21/04 SONUS PHARMACEUTICALS INC DE X X 04/21/04 SOUTHERN PERU COPPER CORP/ DE X X 04/20/04 SOUTHTRUST CORP DE X X 04/21/04 SOVEREIGN BANCORP INC PA X X 04/20/04 SPECIALTY LABORATORIES INC X X X 04/21/04 SPECTRANETICS CORP DE X X 04/21/04 SPECTRASITE INC DE X X 04/21/04 SPECTRUM PHARMACEUTICALS INC DE X X 04/20/04 SPECTRUM SCIENCES & SOFTWARE HOLDINGS DE X X 04/20/04 SPESCOM SOFTWARE INC CA X 04/15/04 SPESCOM SOFTWARE INC CA X 04/15/04 SPIDERBOY INTERNATIONAL INC MN X X 04/13/04 ST JUDE MEDICAL INC MN X 04/21/04 STARBUCKS CORP WA X 04/21/04 STERLING BANCSHARES INC TX X X X 04/21/04 STORAGE TECHNOLOGY CORP DE X X 04/20/04 STRUCTURED ASSET SEC CORP II LB UBS C X 04/16/04 STRUCTURED ASSET SECURITIES CORP MORT DE X 03/25/04 SUMMIT FINANCIAL CORP SC X X 04/20/04 SUN BANCORP INC /NJ/ NJ X X 04/19/04 SUN BANCORP INC /NJ/ NJ X X 04/19/04 SURMODICS INC MN X 04/21/04 SYMYX TECHNOLOGIES INC DE X X 04/21/04 TANDY BRANDS ACCESSORIES INC DE X X 04/21/04 TARGET RECEIVABLES CORP MN X 04/21/04 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