SEC NEWS DIGEST Issue 2004-155 August 12, 2004 ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES AN ADMINISTRATIVE PROCEEDING TO DETERMINE IF THE REGISTRATION OF STAN LEE MEDIA, INC.’S SECURITIES SHOULD BE SUSPENDED OR REVOKED On August 11, the Commission instituted an administrative proceeding against Stan Lee Media, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934. The purpose of the proceeding is to determine whether the registration of Stan Lee Media’s securities should be suspended or revoked. Stan Lee Media, a Colorado corporation, based in Encino, California, is an Internet company that created and produced characters and story franchises for entertainment, merchandising and promotional exploitation. The Division of Enforcement (Division) alleges that Stan Lee Media failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder. Specifically, the Division alleges that Stan Lee Media has not filed an Annual Report on either Form 10-K or Form 10-KSB since March 20, 2000, or periodic or quarterly reports on either Form 10-Q or Form 10-QSB for any period subsequent to its quarter ending Sept. 30, 2000. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Stan Lee Media an opportunity to dispute these allegations, and to determine whether it is necessary and appropriate for the protection of investors to suspend or revoke the registration of Stan Lee Media’s securities. The Order requires the Administrative Law Judge to issue an initial decision no later than 120 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-50181; File No. 3-11584) THAYER CAPITAL PARTNERS AND ITS CHAIRMAN FREDERIC MALEK SETTLE SEC CHARGES AND AGREE TO PAY A TOTAL OF $250,000 IN CIVIL PENALTIES On August 12, the Commission instituted settled administrative and cease- and-desist proceedings against Thayer Capital Partners (Thayer), a Washington, DC-based private equity firm; its chairman, Frederic V. Malek (Malek); and two Thayer affiliates, TC Equity Partners IV, L.L.C. and TC Management Partners IV, L.L.C. concerning their failure to disclose material information to an advisory client, the State of Connecticut pension funds, in connection with a $75 million investment by the pension funds in November 1998. According to the Commission’s Order, the Respondents failed to disclose that, at the request of Paul Silvester (Silvester), the then-Connecticut State Treasurer, they paid a consultant nearly $375,000 in connection with an investment of Connecticut pension fund money with a Thayer private equity fund, Thayer Equity Investors IV, L.P. (Thayer IV). Without admitting or denying the Commission’s findings, Thayer, Malek, and the two Thayer affiliates consented to the issuance of an order censuring them and requiring them to cease and desist from violating certain provision of the Securities Act of 1933 (Securities Act) and the Investment Advisers Act (Advisers Act). The Commission also ordered Thayer to pay a civil penalty of $150,000 and Malek to pay a civil penalty of $100,000. According to the Commission’s Order, in connection with the investment of state pension fund money with Thayer IV, Thayer, through Malek, agreed to hire William A. DiBella (DiBella), the former Senate Majority Leader of the Connecticut State Senate, as a consultant at the Treasurer’s request. The Treasurer made this request after due diligence on the proposed investment was already completed and the investment was nearly finalized. DiBella had no previous involvement with the proposed investment and ultimately performed no meaningful work on the deal. Thayer, Malek and the Thayer affiliates failed to disclose this arrangement to the Connecticut pension funds. The Order found that the conduct of Thayer, Malek, and the two Thayer affiliates willfully violated Section 17(a)(2) of the Securities Act and Section 206(2) of the Advisers Act. On the same date, the Commission also filed a separate, but related, civil injunctive action against DiBella and his consulting firm, North Cove Ventures, L.L.C. (North Cove) in Connecticut federal district court. The Commission’s complaint alleges that, beginning in November 1998, DiBella and North Cove participated in a fraudulent scheme with Treasurer Silvester whereby Silvester invested $75 million of the state pension funds with Thayer IV. Silvester used the investment to reward DiBella, his friend and political supporter. In addition, DiBella requested, and Silvester agreed to increase the amount of the pension funds investment with Thayer IV by at least $25 million (to a total of $75 million) to secure a larger fee for DiBella. Thayer contracted to pay DiBella $525,000 in fees through North Cove. DiBella was ultimately paid a total of $374,500. The Complaint alleges that DiBella and North Cove aided and abetted Silvester’s violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and the violations by Thayer and its two affiliates of Section 206(2) of the Advisers Act. In October 2000, Silvester settled related Commission charges concerning his investment of state pension fund money with two other private equity funds. (Rels. 33-8457; Rel IA-2276; File No. 3- 11585) IN THE MATTER OF ASHLEY NEMIROFF, ET AL. AND IN THE MATTER OF JOSEPH CASUCCIO, CPA. On August 12, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) against Ashley Nemiroff, Rocco Siclari, George A. Carhart, Carl D’Elia, Howard C. Zelin, Craig A. Brandwein, and Donald R. Catapano (Respondents). In the Order, the Division of Enforcement alleges that the United States District Court for the Eastern District of New York has entered partial consent judgments against the Respondents enjoining them from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder (antifraud provisions). SEC v. Paul Skulsky, et al., 02 Civ. 1524 (DRH) (E.D.N.Y.). In the underlying injunctive action, the Commission’s complaint alleged that Paul Skulsky, an undisclosed control person of AppOnline.com (AppOnline), a now defunct Melville, New York mortgage banking firm, sought to manipulate the public market for AppOnline securities. As part of the scheme, during 1997 and 1998, Skulsky paid kickbacks in the form of AppOnline stock and cash to the Respondents so that the Respondents would sell, or direct other registered representatives to sell, AppOnline stock to their retail customers. In a separate proceeding, the Commission announced that it has issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Joseph Casuccio. (102(e) Order). The 102(e) Order finds that Casuccio, a certified public accountant licensed in New York, served as the engagement partner for AppOnline’s 1997 and 1998 audits. On May 21, 2002, the United States District Court for the Eastern District of New York entered a partial final judgment permanently enjoining Casuccio from (i) violating the antifraud provisions, and Section 13(b)(5) of the Exchange Act, and Rule 13b2-1 thereunder, and (ii) aiding and abetting violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. Based on the entry of the injunction, the 102(e) Order suspends Casuccio from appearing or practicing before the Commission as an accountant. Casuccio consented to the issuance of the 102(e) Order without admitting or denying any of the allegations in the civil injunctive action. (Casuccio - Rel. 34-50185; AAE Rel. 2079; File No. 3- 11586); (Nemiroff, et al. – 34-50186; File No. 3-11587) SEC FILES FRAUD CHARGES AGAINST WILLIAM DIBELLA, FORMER MAJORITY LEADER OF THE CONNECTICUT STATE SENATE, AND HIS CONSULTING FIRM The Commission filed a civil fraud action today against William A. DiBella, the former Majority Leader of the Connecticut State Senate, and his consulting firm, North Cove Ventures, L.L.C., in Connecticut federal district court. The Commission’s complaint alleges that, beginning in November 1998, DiBella and North Cove participated in a fraudulent scheme with the-then Treasurer of the State of Connecticut, Paul J. Silvester, concerning Silvester’s investment of $75 million of the state pension funds with Thayer Capital Partners, a Washington, DC-based private equity firm. According to the complaint, Silvester used the investment to reward DiBella, his friend and political supporter, for past and anticipated future services. In connection with the investment, Silvester requested that Thayer, through its chairman, Frederic V. Malek, hire DiBella. Thayer agreed to retain DiBella and to pay him a percentage of the state pension fund’s total investment with Thayer, even though DiBella had no prior involvement with the transaction and ultimately performed no meaningful work related to the investment. DiBella understood from Silvester that there was no work to be done on the deal. The Complaint also alleges that Silvester increased the amount of the pension fund’s investment with Thayer by at least $25 million (to a total of $75 million) solely to secure a larger fee for DiBella. DiBella was ultimately paid a total of $374,500. The Complaint alleges that DiBella and North Cove aided and abetted Silvester’s violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and the violations by Thayer and its two affiliates of Section 206(2) of the Investment Advisers Act of 1940. The Commission is seeking injunctive relief, disgorgement, and civil penalties, and an order permanently barring defendant DiBella from serving as an officer or director of a public company. In October 2000, Silvester settled related Commission charges concerning his investment of state pension fund money with two other private equity funds. The Commission also instituted separate, but related, settled administrative and cease-and-desist proceedings against Thayer, Malek, and two Thayer affiliates, TC Equity Partners IV, L.L.C. and TC Management Partners IV, L.L.C. concerning their failure to disclose to the state pension fund that, at the request of Silvester, they retained and paid DiBella nearly $375,000 in connection with the state pension fund’s investment with a Thayer private equity fund, Thayer Equity Investors IV, L.P. Without admitting or denying the Commissions findings, Thayer, Malek, and the two Thayer affiliates consented to the issuance of an order censuring them and requiring them to cease and desist from violating certain provisions of the Securities Act of 1933 and the Investment Advisers Act of 1940. The Commission also ordered Thayer to pay a civil penalty of $150,000 and Malek to pay a civil penalty of $100,000. For further information see Thayer Capital Partners et al., Rel. 33-8457; IA- 2276; File No. 3-11585; SEC v. Silvester et al. LR-18461, LR-18436, LR- 16834, and LR-16759. [SEC v. William A. DiBella and North Cove Ventures, LLC, Civil Action No. 304CV1342 (WWE) District of Connecticut] (LR-18829) SEC OBTAINS TRO TO STOP ONGOING BANK STOCK INVESTMENT SCHEME On August 11, the Commission obtained a temporary restraining order against Bradley T. Smith and four companies he controls to stop them from fraudulently raising funds and misusing investor funds. The Commission charged Smith, Continental Midwest Financial, Inc., Bankstock Investment Partners Series #1, LP, Scioto National, Inc. and Bancshareholders of America, Inc., all of Dublin, Ohio, with securities fraud in connection with their offer of interests in entities designed to invest in small bank stocks. The Court’s order temporarily bars Smith and the other defendants from fraudulently engaging in their offerings and freezes their assets. The Commission’s complaint alleges that between 2002 and the present, Smith and his affiliated companies, through the private offer and sale of securities, raised approximately $3.3 million from investors in Ohio and six other states. In each of those offerings, Smith and the respective entity represented that the funds raised would be used primarily for investments in small banks. Instead, according to the Commission’s allegations, Smith diverted a significant amount of the proceeds to his own use and to keep his other companies afloat. According to the complaint, Smith misused approximately $1.5 million in investor funds, using the money to pay such expenditures as rent, unrelated business expenses, clothing, skin care products and a dating service. The Commission has charged all the defendants with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission has also charged Bancshareholders of America, Inc. with violations of Sections 206(1) and (2) of the Investment Advisers Act of 1940. The Commission seeks a preliminary and permanent injunction, an accounting, disgorgement of investor funds unjustly received and civil money penalties. The Commission wishes to thank the Ohio Department of Commerce, Division of Securities for its assistance in this matter. [SEC v. Bradley T. Smith, Continental Midwest Financial, Inc., Bankstock Investment Partners Series #1, LP, Scioto National, Inc., and Bankshareholders of America, Inc., Civil Action No. C2-04-739, S.D. Ohio] (LR-18830) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PHLX-2004-52) filed by the Philadelphia Stock Exchange to amend its NASDAQ-100 Index Tracking StockSM equity transaction charge to replace the total shares per transaction charge with a single per share charge 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 August 16. (Rel. 34-50174) 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 SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX, 77027, 7132358800 - 0 ($20,000,000.00) Equity, (File 333-118108 - Aug. 11) (BR. 07) S-4 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-0147 - 7,900,000 ($328,456,187.00) Equity, (File 333-118109 - Aug. 11) (BR. 07) S-8 SS&C TECHNOLOGIES INC, 80 LAMBERTON RD, ., WINDSOR, CT, 06095, 860-298-4500 - 0 ($4,334,625.00) Equity, (File 333-118110 - Aug. 11) (BR. 03) S-8 SHALLBETTER INDUSTRIES INC, 1090 WEST GEORGIA STREET, VANCOUVER, A1, V6E 3V7, 6046859316 - 211,109 ($379,996.20) Equity, (File 333-118111 - Aug. 11) (BR. 09) S-8 SHALLBETTER INDUSTRIES INC, 1090 WEST GEORGIA STREET, VANCOUVER, A1, V6E 3V7, 6046859316 - 186,678 ($336,020.40) Equity, (File 333-118112 - Aug. 11) (BR. 09) S-8 VECTOR GROUP LTD, 100 S E SECOND ST, MIAMI, FL, 33131, 3055798000 - 0 ($130,205,218.00) Equity, (File 333-118113 - Aug. 11) (BR. 04) S-8 ALAMOSA HOLDINGS INC, 5225 S LOOP 289, LUBBOCK, TX, 79424, 8067221100 - 200,000 ($1,404,000.00) Equity, (File 333-118116 - Aug. 11) (BR. 37) S-3 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 10,033,163 ($7,725,535.50) Equity, (File 333-118117 - Aug. 11) (BR. 06) S-8 SOUTHERN STATES POWER CO INC, 4505 ALLSTATE DRIVE, SUITE 108, RIVERSIDE, CA, 92501, 9093672463 - 50,000,000 ($700,000.00) Equity, (File 333-118118 - Aug. 11) (BR. 18) S-8 COMMUNITY BANKSHARES INC /SC/, P O BOX 2086, ORANGEBURG, SC, 29116-2086, 8035351060 - 300,000 ($5,235,000.00) Equity, (File 333-118119 - Aug. 11) (BR. 07) SB-2 B2Digital, Inc., 1926 HOLLYWOOD BLVD, SUITE 208, HOLLYWOOD, FL, 33020, 9546200208 - 255,667,000 ($5,200,000.00) Equity, (File 333-118120 - Aug. 11) (BR. 05) S-8 RADIOSHACK CORP, 100 THROCKMORTON ST, STE 1700, FORT WORTH, TX, 76102, 8174153700 - 10,000,000 ($264,600,000.00) Equity, (File 333-118121 - Aug. 11) (BR. 02) S-8 RADIOSHACK CORP, 100 THROCKMORTON ST, STE 1700, FORT WORTH, TX, 76102, 8174153700 - 0 ($26,460,000.00) Equity, (File 333-118122 - Aug. 11) (BR. 02) S-3 SERACARE LIFE SCIENCES INC, 1935 AVENIDA DEL ORO, SUITE F, OCEANSIDE, CA, 92056, 7608068922 - 0 ($11,722,513.00) Equity, (File 333-118123 - Aug. 11) (BR. 01) S-8 SERACARE LIFE SCIENCES INC, 1935 AVENIDA DEL ORO, SUITE F, OCEANSIDE, CA, 92056, 7608068922 - 0 ($5,500,000.00) Equity, (File 333-118124 - Aug. 11) (BR. 01) S-3 GLYCOGENESYS INC, 31 ST. JAMES AVENUE, 8TH FLOOR, BOSTON, MA, 02116, 6174220674 - 18,366,000 ($7,897,380.00) Equity, (File 333-118125 - Aug. 11) (BR. 01) S-8 COFFEE PACIFICA INC, P O BOX 95012, VANCOUVER BC, A1, V6P 6V4, 6042748004 - 3,000,000 ($900,000.00) Equity, (File 333-118126 - Aug. 11) (BR. 09) S-8 WILLIS LEASE FINANCE CORP, 2320 MARINSHIP WAY, STE 300, SAUSALITO, CA, 94965, 4153315281 - 0 ($773,000.00) Equity, (File 333-118127 - Aug. 11) (BR. 06) F-3 NORDIC AMERICAN TANKER SHIPPING LTD, CANONS COURT, 22 VICTORIA STREET, HAMILTON HM 12, D0, 00000, 4412952244 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-118128 - Aug. 11) (BR. 05) S-8 MIPS TECHNOLOGIES INC, 1225 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043-1353, 6505675000 - 1,908,681 ($7,804,198.00) Equity, (File 333-118129 - Aug. 11) (BR. 36) S-8 VERILINK CORP, 256-327-2001 - 0 ($33,579,697.00) Equity, (File 333-118130 - Aug. 11) (BR. 37) S-3 DIGITAL IMPACT INC /DE/, 177 BOVER ROAD SUITE 200, SAN MATEO, CA, 94402, 6503563404 - 0 ($384,000.00) Equity, (File 333-118133 - Aug. 11) (BR. 08) S-3 CITIZENS INC, 400 EAST ANDERSON LANE, AUSTIN, TX, 78752, 5128377100 - 0 ($34,657,994.00) Equity, (File 333-118134 - Aug. 11) (BR. 01) SB-2 ISECURETRAC CORP, 4024982734 - 39,333,317 ($8,653,329.74) Equity, (File 333-118135 - Aug. 11) (BR. 37) S-3 AMERIQUEST MORTGAGE SECURITIES INC, 1100 TOWN & COUNTRY ROAD, ORANGE, CA, 92868, 7145419960 - 0 ($10,000,000,000.00) Asset-Backed Securities, (File 333-118137 - Aug. 11) (BR. 05) 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 ------------------------------------------------------------------------------------------------ 1ST SOURCE CORP IN X X 08/10/04 AAIPHARMA INC DE X X X 08/09/04 AAR CORP DE X X 08/09/04 ABOVENET INC DE X 08/10/04 ACADIA PHARMACEUTICALS INC DE X X 08/11/04 ACCERIS COMMUNICATIONS INC FL X X 08/06/04 ADEPT TECHNOLOGY INC CA X 08/11/04 ADVANCE AUTO PARTS INC DE X X 08/11/04 ADVANCED PHOTONIX INC DE X 08/10/04 ALLIANT TECHSYSTEMS INC DE X X 08/09/04 ALLIED HEALTHCARE INTERNATIONAL INC NY X 08/11/04 Alternative Loan Trust 2004-10CB X 06/25/04 Alternative Loan Trust 2004-10CB X 06/25/04 AMEDISYS INC DE X X 08/10/04 AMERIQUEST MORTGAGE SECURITIES INC AS DE X 06/30/04 AMEND AMREIT TX X X 08/11/04 ANAREN INC NY X X 08/10/04 ANIKA THERAPEUTICS INC MA X X 08/06/04 APPLETON PAPERS INC/WI X X 08/10/04 ARAMARK CORP/DE DE X 08/11/04 ARK RESTAURANTS CORP NY X 08/09/04 ARROWHEAD RESEARCH CORP DE X 06/04/04 AMEND ART TECHNOLOGY GROUP INC DE X X 08/10/04 ARTEMIS INTERNATIONAL SOLUTIONS CORP DE X X 08/11/04 ASIA PREMIUM TELEVISION GROUP NV X X 07/22/04 ATLANTIC AMERICAN CORP GA X X 06/30/04 AVNET INC NY X 08/11/04 AXEDA SYSTEMS INC DE X 08/11/04 BANC OF AMERICA FUNDING CORP DE X X 08/11/04 BARRIER THERAPEUTICS INC DE X X 08/10/04 BEAR STEARNS ASSET BACKED CERTIFICATE DE X 07/26/04 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X 07/30/04 BELLSOUTH CORP GA X 08/07/04 BIOLASE TECHNOLOGY INC DE X 07/31/04 BIOLASE TECHNOLOGY INC DE X X 08/09/04 BIONUTRICS INC NV X 07/26/04 BITSTREAM INC DE X 08/11/04 BLOCK COMMUNICATIONS INC OH X X 08/10/04 BLUE MOON GROUP INC DE X 08/11/04 AMEND BOTTOMLINE TECHNOLOGIES INC /DE/ DE X 08/11/04 BOYD BROS TRANSPORTATION INC DE X X 08/11/04 BOYKIN LODGING CO OH X X 07/30/04 BRIGHAM EXPLORATION CO DE X X 08/10/04 BRT REALTY TRUST MA X 06/30/04 BULLDOG TECHNOLOGIES INC NV X 08/09/04 CANCERVAX CORP DE X X 08/11/04 CANO PETROLEUM, INC X X X X 05/26/04 AMEND CAPITAL ONE FINANCIAL CORP DE X 08/10/04 CAPITAL ONE MASTER TRUST NY X X 08/10/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 08/10/04 CASUAL MALE RETAIL GROUP INC DE X 08/10/04 CB RICHARD ELLIS GROUP INC DE X X 08/05/04 CENTURY ALUMINUM CO DE X X 08/06/04 CENTURY BUSINESS SERVICES INC DE X X 08/09/04 CHAMPION PARTS INC IL X X 08/11/04 CHANNELL COMMERCIAL CORP DE X 08/10/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 08/09/04 CHUBB CORP NJ X 08/06/04 CITICORP MORTGAGE SECURITIES INC DE X 08/11/04 CITIGROUP INC DE X 08/09/04 CITIZENS FIRST BANCORP INC DE X X 08/05/04 CITIZENS INC CO X X 08/10/04 CNB FINANCIAL CORP/PA PA X X 08/10/04 CNB HOLDINGS INC /GA/ X 05/28/04 AMEND COLLAGENEX PHARMACEUTICALS INC DE X X 08/09/04 COLLINS & AIKMAN FLOOR COVERINGS INC DE X X 08/10/04 COLONY RIH HOLDINGS INC DE X X 08/11/04 CORVIS CORP DE X X 08/05/04 COSI INC DE X X X 08/11/04 COVALENT GROUP INC NV X X 08/10/04 CREDIT & ASSET REP VEHICLE CORP ALLST DE X X 08/11/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/11/04 CREDITRISKMONITOR COM INC NV X X 08/09/04 CROFF ENTERPRISES INC UT X 08/11/04 CROGHAN BANCSHARES INC OH X X 08/11/04 CROMPTON CORP DE X X 08/11/04 CROSS COUNTRY HEALTHCARE INC DE X X 08/09/04 CROWN CRAFTS INC DE X X 08/11/04 CYBERONICS INC DE X X 08/11/04 DARDEN RESTAURANTS INC FL X 08/11/04 DIXIE GROUP INC TN X 08/11/04 DOBSON COMMUNICATIONS CORP OK X X 08/09/04 DRESSER INC DE X X 06/04/04 AMEND El Pollo Loco, Inc. DE X 08/11/04 ELAMEX SA DE CV X 08/11/04 ELECTRIC & GAS TECHNOLOGY INC TX X X 07/30/04 ELECTRONIC CLEARING HOUSE INC NV X X 08/11/04 ELKCORP DE X X 08/10/04 ENBRIDGE ENERGY PARTNERS LP DE X X 06/30/04 ENESCO GROUP INC IL X 08/11/04 ENSTAR GROUP INC GA X X X 08/09/04 ENTERGY NEW ORLEANS INC LA X X 08/11/04 ENTERPRISE PRODUCTS PARTNERS L P DE X 06/30/04 EPLUS INC DE X X 08/11/04 AMEND EQUUS II INC DE X X 08/11/04 EVANS BOB FARMS INC DE X X 08/10/04 EVANS BOB FARMS INC DE X X 08/11/04 EYE CARE CENTERS OF AMERICA INC TX X 06/26/04 FAB INDUSTRIES INC DE X X 08/11/04 FAIR ISAAC CORP DE X 05/28/04 AMEND FALCON PRODUCTS INC /DE/ DE X X 08/10/04 FEDERAL NATIONAL MORTGAGE ASSOCIATION X 08/11/04 FEDERAL TRUST CORP FL X X 08/10/04 FEDERATED DEPARTMENT STORES INC /DE/ DE X X 08/11/04 FINANCE AMERICA MORTGAGE LOAN TRUST 2 DE X X 07/25/04 AMEND FIRST CAPITAL BANK HOLDING CORP FL X X 08/11/04 FIRST CITIZENS BANCSHARES INC /DE/ DE X X 08/04/04 FIRST FINANCIAL CORP /IN/ IN X 08/11/04 First Franklin Mortgage Loan Trust 20 X X 07/28/04 FIRST LITCHFIELD FINANCIAL CORP DE X 08/10/04 FIRST PLACE FINANCIAL CORP /DE/ DE X X 08/11/04 FIRST PLACE FINANCIAL CORP /DE/ DE X 05/28/04 AMEND FLORIDA PUBLIC UTILITIES CO FL X 08/09/04 Ford Credit Floorplan Master Owner Tr DE X X 07/28/04 FOX ENTERTAINMENT GROUP INC DE X 08/11/04 FRESH BRANDS INC X 08/10/04 FRONT PORCH DIGITAL INC NV X 08/11/04 FX ENERGY INC NV X X 08/10/04 GEO GROUP INC FL X 08/05/04 GEXA CORP TX X X 08/11/04 GLADSTONE CAPITAL CORP MD X X 08/10/04 GLOBAL EPOINT INC NV X X 08/05/04 GLOBAL WIRELESS SATELLITE NETWORKS US DE X 07/27/04 GRANT PARK FUTURES FUND LIMITED PARTN IL X 08/11/04 GS MORTGAGE SECURITIES CORP DE X X 08/09/04 GSI COMMERCE INC DE X 08/11/04 HALLADOR PETROLEUM CO CO X 08/10/04 HANOVER DIRECT INC DE X X X 08/10/04 HARBOR GLOBAL CO LTD X X 08/11/04 HAYES LEMMERZ INTERNATIONAL INC DE X X 08/09/04 HEALTHAXIS INC PA X X 08/10/04 HEALTHTRAC INC X 08/11/04 HENNESSY ADVISORS INC X X 08/10/04 HICKOK INC OH X 06/30/04 HICKOK INC OH X 06/30/04 HOLLYWOOD MEDIA CORP FL X X 08/11/04 HOME FINANCIAL BANCORP IN X X 08/10/04 HOMEBANC CORP GA X X 08/04/04 HOMETOWN AUTO RETAILERS INC DE X X 08/11/04 HOSPIRA INC DE X X 08/10/04 Household Automotive Trust 2004-1 NV X X 07/28/04 I TRAX INC DE X X 03/19/04 AMEND IBT BANCORP INC /MI/ MI X X 08/08/04 ICO INC TX X X X 08/09/04 IKON OFFICE SOLUTIONS INC OH X X 08/09/04 INDEPENDENT BANK CORP MI X 08/11/04 IndyMac RAST 2004-A5 X 07/26/04 INDYMAC RESIDENTIAL ASSET SECURITIZAT X 07/26/04 INERGY L P DE X X 08/10/04 INFOCROSSING INC DE X X X 06/30/04 INFOSONICS CORP X X X 08/11/04 INSIGHT HEALTH SERVICES HOLDINGS CORP X X 08/09/04 INSITE VISION INC DE X X 08/11/04 INTELLIGROUP INC NJ X X X 08/05/04 INTEREP NATIONAL RADIO SALES INC NY X X 08/10/04 INTERNATIONAL SPEEDWAY CORP FL X 08/11/04 INTRABIOTICS PHARMACEUTICALS INC /DE DE X 08/10/04 IONATRON, INC. DE X 08/11/04 JAMESON INNS INC GA X X 08/11/04 JOHNSON CONTROLS INC WI X 08/10/04 K&F INDUSTRIES INC DE X X 08/11/04 KILROY REALTY CORP MD X 08/10/04 L & L FINANCIAL HOLDINGS INC NV X 08/10/04 LACLEDE GROUP INC MO X X 08/10/04 LEARNING TREE INTERNATIONAL INC DE X 08/11/04 LENNOX INTERNATIONAL INC DE X X 08/10/04 LIGAND PHARMACEUTICALS INC DE X X 08/11/04 LINCOLN BANCORP /IN/ IN X X 08/11/04 LML PAYMENT SYSTEMS INC A1 X X 08/09/04 LONGS DRUG STORES CORP MD X 08/10/04 LUMENIS LTD X X 08/11/04 MAGELLAN PETROLEUM CORP /DE/ DE X X 08/09/04 MAJESCO HOLDINGS INC DE X X 08/10/04 MANCHESTER TECHNOLOGIES INC NY X 05/28/04 AMEND MANOR CARE INC DE X X 08/10/04 MARCONI CORP PLC X0 X 08/11/04 MARKEL CORP VA X X 08/09/04 MARKLAND TECHNOLOGIES INC FL X X X 06/30/04 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 08/11/04 MBNA CORP MD X 08/11/04 MEDIATELEVISION TV INC DE X X 04/01/04 AMEND MELLON BANK N A MA X X 07/09/04 AMEND MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 08/11/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 07/22/04 MICRO LINEAR CORP /CA/ DE X X 07/28/04 MICRONETICS INC DE X X 08/09/04 MILLER INDUSTRIES INC /TN/ TN X X 08/10/04 ML MACADAMIA ORCHARDS L P DE X X 08/10/04 MOLIRIS CORP FL X 08/11/04 MOTOROLA INC DE X 08/10/04 MSC SOFTWARE CORP DE X 08/11/04 Mueller Group, Inc. DE X X 08/11/04 Mueller Holdings (N.A.), Inc. DE X X 08/11/04 NASB FINANCIAL INC MO X 08/11/04 NATIONAL DENTEX CORP /MA/ MA X X 08/10/04 NATIONAL SEMICONDUCTOR CORP DE X X 08/10/04 NEVADA GOLD & CASINOS INC NV X X 08/09/04 NEVADA HOLDING GROUP INC /NV/ NV X X 03/31/04 NEW YORK COMMUNITY BANCORP INC DE X X 08/11/04 NEXTMEDIA OPERATING INC X X 08/11/04 NITROMED INC DE X 08/11/04 NORCROSS SAFETY PRODUCTS LLC DE X 08/11/04 NORTH CENTRAL BANCSHARES INC IA X X 08/09/04 NORTHWESTERN CORP DE X X 08/10/04 NVIDIA CORP DE X X 08/09/04 OCCAM NETWORKS INC/DE DE X X 08/11/04 OGLEBAY NORTON CO /OHIO/ OH X X X 07/23/04 OMEGA PROTEIN CORP NV X X 08/11/04 ORLEANS HOMEBUILDERS INC DE X X 07/28/04 OSI PHARMACEUTICALS INC DE X X 08/10/04 PACIFIC FUEL CELL CORP NV X 05/14/04 AMEND Park Place Securities, Inc. DE X X 08/11/04 Park Place Securities, Inc. DE X X 08/11/04 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X 08/05/04 PEOPLES BANCTRUST CO INC AL X 08/10/04 PEOPLES OHIO FINANCIAL CORP OH X 08/11/04 PETCARE TELEVISION NETWORK INC FL X X 07/28/04 PHILADELPHIA CONSOLIDATED HOLDING COR PA X 08/11/04 PLATO LEARNING INC DE X X 08/11/04 PORTAL SOFTWARE INC DE X X 08/09/04 POSTER FINANCIAL GROUP INC NV X X 08/10/04 PRICE COMMUNICATIONS CORP NY X X 08/11/04 PRICE LEGACY CORP MD X X X 08/09/04 PRIMUS KNOWLEDGE SOLUTIONS INC WA X X 08/10/04 PRINCIPAL LIFE INSURANCE CO IA X 08/11/04 PRINCIPAL LIFE INSURANCE CO IA X 08/11/04 PRINCIPAL LIFE INSURANCE CO IA X 08/11/04 QCR HOLDINGS INC DE X 08/11/04 QUALITY EXCHANGE INC NV X 07/22/04 AMEND QWEST CORP CO X X 08/11/04 RAAC Series 2004-SP1 Trust DE X X 08/10/04 RALI 2004-QS5 DE X X 08/10/04 RALI Series 2004-QA2 Trust DE X X 08/10/04 RALI Series 2004-QS1 Trust DE X X 08/09/04 RALI Series 2004-QS2 Trust DE X X 08/09/04 RALI Series 2004-QS8 Trust DE X X 08/10/04 RALI Series 2004-QS9 Trust DE X X 08/10/04 RAMP CORP DE X 08/11/04 RAMP Series 2004-RS1 Trust DE X X 08/10/04 RAMP Series 2004-RS2 Trust DE X X 08/10/04 RAMP SERIES 2004-RS4 TRUST DE X X 08/10/04 Ramp Series 2004-RS5 Trus DE X X 06/25/04 Ramp Series 2004-RS5 Trus DE X X 06/25/04 RAMP Series 2004-RS6 Trust DE X X 08/10/04 RAMP Series 2004-RZ2 Trust DE X X 08/10/04 RAMP Series 2004-SL2 Trust DE X X 08/10/04 REHABCARE GROUP INC DE X X 08/11/04 RENAL CARE GROUP INC DE X X 08/11/04 RESIDENTIAL ACCREDIT LOANS INC RALI S DE X X 08/10/04 RESIDENTIAL ACCREDIT LOANS INC RALI S DE X X 08/09/04 RESIDENTIAL ASSET MORT PROD INC RAMP DE X X 08/10/04 RESIDENTIAL ASSET MORT PROD INC RAMP DE X X 08/10/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS R DE X X 08/10/04 RESUDENTIAL ACRREDIT LOANS RALI SERIE DE X X 08/09/04 RFC RALI Series 2004-QS6 DE X X 08/10/04 RFC RALI Series 2004-QS7 DE X X 08/10/04 RIGGS NATIONAL CORP DE X X 08/09/04 ROFIN SINAR TECHNOLOGIES INC DE X 06/30/04 ROWAN COMPANIES INC DE X X 08/11/04 SABA SOFTWARE INC DE X X 08/09/04 SAFLINK CORP DE X X X 08/06/04 SANFILIPPO JOHN B & SON INC DE X X 08/04/04 SANTARUS INC DE X X 08/11/04 SAVIENT PHARMACEUTICALS INC DE X 08/09/04 SBA COMMUNICATIONS CORP FL X 08/10/04 SCHERING PLOUGH CORP NJ X X 08/11/04 SCOTTS LIQUID GOLD INC CO X 06/30/04 SCRIPPS E W CO /DE OH X X 08/11/04 SECURED DATA INC /NV/ NV X X 07/15/04 SERACARE LIFE SCIENCES INC X X 06/03/04 AMEND SHERWIN WILLIAMS CO OH X X 08/10/04 SIGMA ALDRICH CORP DE X 08/10/04 SIMON PROPERTY GROUP INC /DE/ DE X X 08/09/04 SIMPLETECH INC CA X X 08/05/04 SMTC CORP DE X X 08/09/04 SPECIALIZED HEALTH PRODUCTS INTERNATI DE X X 08/10/04 SPECTRX INC DE X X 08/11/04 ST PAUL TRAVELERS COMPANIES INC MN X 08/11/04 STEELCLOUD INC VA X X 08/10/04 STEIN MART INC FL X 08/05/04 STREICHER MOBILE FUELING INC FL X 08/10/04 Structured Asset Mortgage Investments DE X 07/30/04 SUPERCLICK INC WA X X 08/09/04 SURGICARE INC/DE DE X 07/27/04 SYSTEMAX INC DE X 08/10/04 TAG IT PACIFIC INC DE X X 08/11/04 TARGETED GENETICS CORP /WA/ WA X X 07/27/04 TAYLOR ANN STORES CORP DE X 08/11/04 TECHNE CORP /MN/ MN X X 08/10/04 TEDA TRAVEL GROUP INC DE X X 08/11/04 TELEFLEX INC DE X X 08/10/04 TEXEN OIL & GAS INC NV X 08/11/04 THACKERAY CORP DE X 08/10/04 TIDEL TECHNOLOGIES INC DE X X 08/11/04 TIMELINE INC WA X X 08/09/04 TITANIUM METALS CORP DE X 08/10/04 TITANIUM METALS CORP DE X 08/11/04 TIVO INC DE X 08/09/04 TOR MINERALS INTERNATIONAL INC DE X X 08/11/04 TORCH ENERGY ROYALTY TRUST DE X X 08/10/04 TOYS R US INC DE X X X 08/11/04 TRANSMETA CORP DE X 08/11/04 TRM CORP OR X X 08/10/04 TRUE TEMPER SPORTS INC X X 08/10/04 TULARIK INC DE X 08/10/04 TXU CORP /TX/ TX X X 07/30/04 UNIVERSAL TECHNICAL INSTITUTE INC DE X X 08/11/04 UTAH MEDICAL PRODUCTS INC UT X 08/10/04 V ONE CORP/ DE DE X X 08/11/04 VALLEY NATIONAL GASES INC WV X X X 08/10/04 VERILINK CORP DE X X 07/28/04 VICURON PHARMACEUTICALS INC DE X 08/10/04 VISION BANCSHARES INC AL X X 08/11/04 VON HOFFMANN CORP X X 08/11/04 WaMu Mortgage Pass-Through Certificat DE X 07/27/04 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 08/09/04 WELLCARE HEALTH PLANS, INC. DE X X 08/11/04 WESTERN POWER & EQUIPMENT CORP DE X 08/11/04 WORKSTREAM INC X X 07/28/04 WORKSTREAM INC X X 08/03/04 WYETH DE X 08/11/04 XENOGEN CORP DE X X 08/11/04 XML GLOBAL TECHNOLOGIES INC CO X X 08/09/04 YORK WATER CO PA X 08/11/04 ZAMBA CORP DE X X 08/10/04 AMEND ZEPPELIN ENERGY INC DE X 08/10/04 BARRIER THERAPEUTICS INC DE X X 08/10/04 MEDVEST HOLDINGS CORP X X 08/10/04 TEAM HEALTH INC TN X X 08/10/04