SEC NEWS DIGEST Issue 2004-176 September 13, 2004 ENFORCEMENT PROCEEDINGS COMMISSION ISSUES ORDER ALLEGING THAT BROKERS VIOLATED THE SECURITIES LAWS BY PARTICIPATING IN FRAUDULENT STOCK OFFERINGS On September 10, 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 Allen Andrescu, Richard Brower, Mark Coates, Virkam Randhawa, and Tejbir Singh (collectively, the Respondents). The Order alleges that the Respondents are enjoined from future violations of the antifraud and registration provisions of the securities laws resulting from their participation, from at least October 1997 to at least March 1999, in the offering of securities of NNPD Textiles, Inc. (NNPD) (the Offering), and that the defendants raised at least $2.4 million in the Offering. The Commission instituted this administrative proceeding after a federal district court granted the Commission’s motion for summary judgment against Respondents Andrescu and Randhawa on April 17, 2001, and against Respondents Brower, Coates, and Singh on March 24, 2003, in an action entitled SEC v. Renaissance Capital Management, Inc., et al., 00 Civ. 1848 (E.D.N.Y.) (TCP), which, among other things, permanently enjoined each of the Respondents from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. The court also ordered the following monetary relief: (a) on April 17, 2003, Andrescu was ordered to disgorge $1,599,722 of ill-gotten gains derived from his conduct, plus $277,969 in pre-judgment interest, and pay a civil penalty in the amount of $100,000 and Randhawa was ordered to disgorge $278,330 of ill-gotten gains derived from his conduct, plus $48,363 in pre- judgment interest, and pay a civil penalty in the amount of $100,000; and (b) on Oct. 31, 2003, Brower was ordered to disgorge $105,250 of ill- gotten gains derived from his conduct, plus $53,536.53 in pre-judgment interest, and pay a civil penalty in the amount of $105,520; Coates was ordered to disgorge $26,650 of ill-gotten gains derived from his conduct, plus $13,423.34 in pre-judgment interest, and pay a civil penalty in the amount of $26,650; and Singh was ordered to disgorge $10,000 of ill-gotten gains derived from his conduct, plus $4,273.26 in pre-judgment interest, and pay a civil penalty in the amount of $10,000. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against the Respondents are appropriate and in the public interest pursuant to Section 15(b) of the Exchange Act. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-50348; File No. 3-11640) IN THE MATTER OF PA FUND MANAGEMENT LLC f/k/a PIMCO ADVISORS FUND MANAGEMENT LLC, PEA CAPITAL LLC f/k/a PIMCO EQUITY ADVISORS LLC, AND PA DISTRIBUTORS LLC f/k/a PIMCO ADVISORS DISTRIBUTORS LLC On September 13, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order against PA Fund Management LLC, f/k/a PIMCO Advisors Fund Management LLC (PAFM), PEA Capital LLC, f/k/a PIMCO Equity Advisors LLC (PEA), and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC (PAD) to resolve charges that they defrauded investors in the PIMCO Funds: Multi-Manager Series in connection with an undisclosed market timing arrangement. The Commission’s Order finds that from February 2002 to April 2003, PAFM, PEA, and PAD provided Canary Capital Partners with at least $60 million in “timing capacity” in their equity mutual funds in return for as much as $27 million in long-term investments (referred to as “sticky assets”) in an equity mutual fund and a hedge fund from which PAFM and PEA earned management fees. The prospectuses for the mutual funds failed to disclose that an agreement had been made to permit timing in the funds in exchange for sticky assets. In addition, the prospectuses also gave the misleading impression that the PIMCO mutual funds discouraged timing. From February 2002 to April 2003, Canary made over 100 round-trip exchanges exceeding $4 billion in overall dollar volume in several PIMCO equity funds pursuant to its special market timing arrangement. While allowing Canary to engage in this market timing activity, PAD simultaneously prevented hundreds of other accountholders from engaging in the same rapid trading as Canary by issuing warning letters, freezing accounts, or blocking trades. Finally, PEA disclosed nonpublic portfolio holdings to the broker-dealer executing Canary’s trades. Based on the above, the Order (1) censures PAFM, PEA, and PAD; (2) orders PAFM, PEA, and PAD to cease and desist from committing or causing any violations and future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, any violations and future violations of Sections 17(d) and 34(b) of the Investment Company Act and Rule 17d-1 thereunder; (3) orders PAFM and PEA to cease and desist from committing or causing any violations and future violations of Section 204A of the Advisers Act; (4) requires PAFM, PEA, and PAD jointly and severally to pay disgorgement of $10 million (but to receive credit for a previous payment of $1,616,738 to the PIMCO equity funds); (5) requires PAFM to pay a civil penalty of $10 million; (6) requires PEA to pay a civil penalty of $20 million; (7) requires PAD to pay a civil penalty of $10 million; (8) requires PAFM, PEA, and PAD to implement certain undertakings; and (9) establishes a fund for the benefit of defrauded investors under the Fair Funds provision of Section 308 of the Sarbanes-Oxley Act, to distribute to affected investors the disgorgement and civil penalties paid by PAFM, PEA, and PAD. In May 2004, the Commission brought civil fraud charges against PAFM, PEA, and PAD in United States District Court in Manhattan. Upon the entry of this administrative order, the Commission will dismiss its federal court action against PAFM, PEA, and PAD with prejudice. The Commission’s litigation in federal court continues against Stephen J. Treadway, the former chairman of the board of trustees of the PIMCO Funds and former CEO of PAFM and PAD, and Kenneth W. Corba, the former CEO of PEA. (Rel. 34-50354; IA-2292; IC-26594; File No. 3-11645) COURT ENTERS ORDER HALTING ONGOING SECURITIES FRAUD INVOLVING PURPORTED MANUFACTURER OF CANCER DRUG On September 9, the Honorable Jeffery T. Miller, U.S. District Judge for the Southern District of California, granted the Commission’s application and issued a temporary restraining order halting an ongoing securities fraud by Vince Dory (Dory) and Joshua Adams (Adams), ages and residences unknown, and four entities with which they are affiliated: Global Health, Global Clearing, Global Strategies and Goldman Quintero & Associates (Goldman). The court (1) granted the Commission’s application for a temporary restraining order; (2) placed a freeze on the defendants’ assets; (3) ordered the repatriation of funds; (4) prohibited the destruction of documents by the defendants; (5) ordered accountings from the defendants; and (6) granted expedited discovery. Global Health purports to be a biotechnology company engaged in the development of a cancer treatment, although it does not appear to be organized or registered as any form of business in any state. The other entities and individuals operate as unregistered brokers. The Commission’s complaint, filed today in U.S. District Court in San Diego, alleges that, since early 2003, the brokers have cold called prospective investors and solicited investments in Global Health, which, they represent, has developed a cancer treatment that is on the verge of FDA approval and, subsequently, has obtained FDA approval. To convince prospective investors to invest in Global Health, or to induce existing investors to add to their investment, the defendants have disseminated letters on FDA letterhead that state that Global Health’s cancer treatment has been approved by the FDA and that Global Health can soon begin marketing its product. The defendants instruct investors to send their checks to one of two San Diego-area addresses used by the brokers. The complaint alleges that the FDA letters are forgeries, and the statements contained therein are false. The letters were not authored by any employee or representative of the FDA and, in fact, the FDA has no record of Global Health or of any product purportedly manufactured by it. Contrary to the representations in the letters, Global Health does not have any cancer treatment or other product that is undergoing the FDA’s approval process. Moreover, the addresses for the brokers are merely commercial mail drops from which the proposed defendants take investors’ checks across the border to Mexico, where they cash or deposit them in accounts at a Mexican bank in Tijuana. The Commission obtained an order temporarily restraining Global Clearing, Global Strategies, Goldman, Dory and Adams from committing securities fraud in violation of Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from violating the broker-dealer registration provisions of Section 15(a) of the Exchange Act. The order also temporarily restrains all of the defendants from violating the securities registration provisions of Sections 5(a) and 5(c) of the Securities Act. The Court ordered the temporary restraining order and asset freeze to remain in effect until Sept. 20, 2004, on which date the Court will hold a hearing on the Commission’s motion for a preliminary injunction at 8:30 a.m. In addition to the interim relief granted today, the Commission seeks a final judgment against the defendants enjoining them from future violations of the foregoing antifraud, broker-dealer registration and securities registration provisions, ordering them to disgorge all ill-gotten gains, and assessing civil penalties against them. The Commission would like to acknowledge the assistance of the United States Postal Inspection Service in the investigation of this matter. [SEC v. Global Health; Global Clearing; Global Strategies; Goldman Quintero & Associates; Vince Dory; and Joshua Adams, Civil Action No. 04- CV-1802-JM (BLM) (S.D. Cal.] (LR-18881) COURT ENTERS FINAL JUDGMENTS AGAINST NATIONAL INSTITUTE COMPANIES OF AMERICA, INC., JOHN D’ONOFRIO, RAYMOND SOBIERALSKI, ROBERT WALTERS, DENNIS OSLOSKY AND JASON RILEY The Commission announced that on Aug. 20, 2004, the Honorable Joy Flowers Conti, U.S. District Judge for the Western District of Pennsylvania, entered final judgment orders permanently enjoining National Institute Companies of America, Inc. (NICA), John A. D’Onofrio, Robert C. Walters, Dennis J. Oslosky and Jason J. Riley from violations of certain provisions of the federal securities laws. The orders also barred D’Onofrio from serving as an officer or director of a public company; and set disgorgement against NICA, D’Onofrio, Walters, Oslosky and Riley, respectively, in the amounts of $1,600,000, $287,000, $105,000, $38,875, and $23,000, in each instance together with prejudgment interest. The Court waived payment of all but $75,000 of disgorgement and prejudgment interest owed by D’Onofrio based on his demonstrated inability to pay. The Court also waived payment of disgorgement and prejudgment interest by Riley, and imposed no civil penalty on Riley, D’Onofrio, Walters and Oslosky, based upon their demonstrated inability to pay. All defendants consented to the entry of these judgments. The Court also ordered defendant Raymond P. Sobieralski to pay disgorgement of $198,000, together with prejudgment interest, but waived such payment and did not impose a civil penalty based on his demonstrated inability to pay. Sobieralski consented to the entry of that judgment. Previously, on Dec. 14, 2001, the Court entered an order, by default, enjoining Sobieralski from violations of certain provisions of the federal securities laws. The Commission’s complaint, filed June 22, 2000, alleges that from August 1996 to May 1998, the defendants violated the antifraud provisions of the federal securities laws through their participation in three separate offerings of securities issued by NICA’s predecessor company, Mortgage Bankers Holding Corp. and its subsidiary, Commonwealth Capital Investment Corp. Those offerings, which generally targeted unsophisticated investors, involved fraudulent misrepresentations and omissions regarding, among other things, the risk of the investment, the financial condition of the issuers, and the use of proceeds. In addition, Sobieralski, D’Onofrio, Walters, and Oslosky violated the registration provisions of the Securities Exchange Act of 1934 (Exchange Act) by failing to register as brokers or dealers before offering and selling those securities. The defendants raised more than $2.3 million in these three offerings, and used the money to benefit themselves, pay salaries and other business and personal expenses, and pay existing investors. Little if any of the money raised was used “to grow” the business of Mortgage Bankers or Commonwealth Capital as the defendants had told investors. No registration statement was on file or in effect with the Commission at any time for any of the three securities offerings. As part of the settlement, D’Onofrio, Walters, Oslosky and Riley each agreed to have the Commission impose orders barring them from association with any broker or dealer, and from participating in any offering of a penny stock. Sobieralski previously agreed to the imposition of such an order, which the Commission issued May 24, 2004. For further information see 34-49762. (Rel. 34-50350; File No. 3- 11641); [SEC v. National Institute Companies, Inc., et al., Civil Action No. 00-CV-1216 (W.D.Pa.)] (LR-18882) ADDITIONS AND CORRECTIONS Litigation Release No. 18879, included in the September 10th issue of the Digest, did not contain the Accounting and Auditing release number. The Accounting and Auditing release number is 2096. HOLDING COMPANY ACT RELEASES EXELON CORPORATION, ET AL. A notice has been issued giving interested persons until Oct. 4, 2004, to request a hearing on a proposal by Exelon Corporation (Exelon) a registered holding company, and three company subsidiaries Commonwealth Edison Company (ComEd), PECO Energy Company (PECO), and Exelon Generation Company, LLC (together, Applicants). Applicants seek an order finding that the interconnection requirement under Section 2(a)(29)(A) of the Public Utility Holding Company Act is satisfied by the membership of ComEd and PECO in PJM Interconnection, LLC (PJM) and further, that upon the integration of certain assets of American Electric Power Company, Inc. into PJM, Exelon will not be required to renew a certain 100 MW firm west-to-east transmission contract that serves as a basis for interconnection under the Act. (Rel. 35-27889) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2004-48) and Amendment No. 1 thereto relating to SIG Indices, LLLP disclaimer. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50333) The National Association of Securities Dealers submitted a proposed rule change (SR-NASD-2004-136), relating to the implementation date of Notice to Members 04-50 (Treatment of Commodity Pool Trail Commissions Under Rule 2810). Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50335) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2004-54), and Amendments No. 1 and 2 thereto relating to continuing education requirements for registered persons. The proposed rule change has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50336) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment Nos. 1 and 2 thereto (SR-NYSE-2004-06) submitted by the New York Stock Exchange to amend Exchange Rules 104.10(6) (Dealings by Specialists) and 123 (Records of Orders) to provide that customers may limit the ability of specialists to trade along with their orders when the specialist is liquidating a position in a specialty security for its dealer account. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50337) The Commission approved a proposed rule change (SR-NASD-2003-176), as amended by Amendments Nos. 1 and 2, submitted by the National Association of Securities Dealers, relating to Chief Executive Officer Certification and Designation of Chief Compliance Officer. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50347) PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2004-84) has been filed by the Pacific Exchange relating to minimum size guarantees for certain Linkage orders. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50339) A proposed rule change (SR-PCX-2004-84) has been filed by the Pacific Exchange relating to minimum size guarantees for certain Linkage orders. Publication of the proposal is expected in the Federal Register during the week of September 13. (Rel. 34-50346) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 DOR BIOPHARMA INC, 1691 MICHIGAN AVE., SUITE 435, MIAMI, FL, 33139, 305-534-3383 - 5,282,743 ($2,535,717.00) Equity, (File 333-118895 - Sep. 10) (BR. 01) S-3 KOLORFUSION INTERNATIONAL INC, 14510 EAST FREMONT AVE, ENGLEWOOD, CO, 80112, 3036902910 - 30,000 ($15,000.00) Equity, (File 333-118896 - Sep. 10) (BR. 05) S-8 NEXUS TELOCATION SYSTEMS LTD, 6B TFUZOT ISRAEL ST, GIVATAYIM 53583 ISRA, L3, 00000, 3014689563 - 3,000,000 ($405,000.00) Other, (File 333-118897 - Sep. 10) (BR. 37) SB-1 S.E. ASIA TRADING COMPANY, INC., 1545 E. INTERSTATE 30, ROCKWALL, TX, 75087, 9727223300 - 1,000,000 ($500,000.00) Other, (File 333-118898 - Sep. 10) (BR. ) S-1 KNOLL INC, 1235 WATER ST, EAST GREENVILLE, PA, 18041, 2156797991 - 0 ($230,000,000.00) Equity, (File 333-118901 - Sep. 10) (BR. 06) SB-2 Siberian Energy Group Inc., 275 MADISON AVE, 6TH FLOOR, NEW YORK, NY, 10016, 212-828-3011 - 17,589,669 ($17,589.69) Equity, (File 333-118902 - Sep. 10) (BR. ) S-8 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 9,000,000 ($23,040,000.00) Equity, (File 333-118903 - Sep. 10) (BR. 01) S-8 VERIZON COMMUNICATIONS INC, 1095 AVE OF THE AMERICAS, NEW YORK, NY, 10036, 2123952121 - 6,500,000 ($258,342,500.00) Equity, (File 333-118904 - Sep. 10) (BR. 37) S-8 FOUNDRY NETWORKS INC, 2100 GOLD STREET, ALVISO, CA, 95002, 4085861700 - 0 ($193,060,000.00) Equity, (File 333-118905 - Sep. 10) (BR. 03) S-3 PENNROCK FINANCIAL SERVICES CORP, 1060 MAIN ST, P O BOX 580, BLUE BALL, PA, 17560, 7173544541 - 0 ($14,645,000.00) Equity, (File 333-118906 - Sep. 10) (BR. 07) S-3 PRO PHARMACEUTICALS INC, 189 WELLS ST, STE 200, NEWTON, MA, 02459, 6175590033 - 4,100,000 ($12,259,000.00) Equity, (File 333-118907 - Sep. 10) (BR. 01) S-4 INTERMOUNTAIN COMMUNITY BANCORP, 0 ($2,963,689.00) Equity, (File 333-118908 - Sep. 10) (BR. 07) S-8 GANDER MOUNTAIN CO, 4567 AMERICAN BLVD., MINNEAPOLIS, MN, 55437, 0 ($47,542,823.00) Equity, (File 333-118909 - Sep. 10) (BR. 02) S-3 REGENCY CENTERS CORP, 121 WEST FORSYTH ST, STE 200, JACKSONVILLE, FL, 32202, 9043567000 - 0 ($400,000,000.00) Equity, (File 333-118910 - Sep. 10) (BR. 08) S-8 AMCORE FINANCIAL INC, 501 SEVENTH ST, P O BOX 1537, ROCKFORD, IL, 61104, 8159682241 - 350,000 ($9,961,000.00) Equity, (File 333-118911 - Sep. 10) (BR. 07) S-8 I CRYSTAL INC, 5555 HILTON AVENUE, SUITE 207, BATON ROUGE, LA, 70808, 225-923-1034 - 25,000,000 ($750,000.00) Equity, (File 333-118912 - Sep. 10) (BR. 03) S-8 SNB Bancshares Inc, 14060 SOUTHWEST FREEWAY, SUGAR LAND, TX, 77478, 281-269-7200 - 1,300,000 ($12,084,365.00) Equity, (File 333-118914 - Sep. 10) (BR. 07) S-3 BRT REALTY TRUST, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, NY, 11021-3190, 5164663100 - 750,000 ($15,765.00) Equity, (File 333-118915 - Sep. 10) (BR. 08) S-1 ALLIS CHALMERS CORP, 5075 WESTHEIMER #890, HOUSTON, TX, 77056, 713-369-0550 - 12,464,760 ($72,925,166.00) Equity, (File 333-118916 - Sep. 10) (BR. 06) S-3 AMERICAN FINANCIAL REALTY TRUST, 1725 THE FAIRWAY, JENKINTOWN, PA, 19046, 215-887-2280 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-118917 - Sep. 10) (BR. 08) S-3 AMERICAN FINANCIAL REALTY TRUST, 1725 THE FAIRWAY, JENKINTOWN, PA, 19046, 215-887-2280 - 0 ($750,000,000.00) Equity, (File 333-118918 - Sep. 10) (BR. 08) S-3 LABONE INC/, 10101 RENNER BLVD, P. O. BOX 7568, LENEXA, KS, 66219, 9138881770 - 2,633,692 ($103,500,000.00) Debt Convertible into Equity, (File 333-118919 - Sep. 10) (BR. 01) S-3 R&G FINANCIAL CORP, 280 JESUS T. PINERO AVE, HATO REY, SAN JUAN, PR, 00918, 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-118920 - Sep. 10) (BR. 07) SB-2 AXTIVE CORP, 1445 ROSS AVENUE, SUITE 4500, DALLAS, TX, 75202, 214.397.0200 - 0 ($17,232,188.40) Equity, (File 333-118921 - Sep. 10) (BR. 03) S-3 ADVANCED MEDICAL OPTICS INC, 1700 E. ST. ANDREW PL., SANTA ANA, CA, 92705, 714-247-8200 - 0 ($350,000,000.00) Debt Convertible into Equity, (File 333-118922 - Sep. 10) (BR. 36) S-4 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 0 ($20,850,965.00) Equity, (File 333-118923 - Sep. 10) (BR. 07) SB-2 HOME DIRECTOR INC, 2525 COLLIER CANYON ROAD, -, LIVERMORE, CA, 94551, (925) 373 - 0438 - 0 ($25,982,759.25) Equity, (File 333-118924 - Sep. 10) (BR. 37) N-2 Kiewit Employees Diversified Investment Fund L.P., 1000 KIEWIT PLAZA, OMAHA, NE, 68131, 402-342-2052 - 640 ($16,000,000.00) Equity, (File 333-118925 - Sep. 10) (BR. ) S-3 CWABS INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, (818) 225-4898 - 76,193,723,432 ($50,000,000,000.00) Asset-Backed Securities, (File 333-118926 - Sep. 10) (BR. 05) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: 1.01 Entry into a Material Definitive Agreement 1.02 Termination of a Material Definitive Agreement 1.03 Bankruptcy or Receivership 2.01 Completion of Acquisition or Disposition of Assets 2.02 Results of Operations and Financial Condition 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off- Balance Sheet Arrangement of a Registrant 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement 2.05 Cost Associated with Exit or Disposal Activities 2.06 Material Impairments 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 3.02 Unregistered Sales of Equity Securities 3.03 Material Modifications to Rights of Security Holders 4.01 Changes in Registrant’s Certifying Accountant 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review 5.01 Changes in Control of Registrant 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year 5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics 7.01 Regulation FD Disclosure 8.01 Other Events 9.01 Financial Statements and Exhibits 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 DATE COMMENT ------------------------------------------------------------------------------------------------ 21ST CENTURY INSURANCE GROUP CA 5.02,9.01 09/10/04 ACETO CORP NY 2.02 09/10/04 ACUSPHERE INC DE 5.02,9.01 09/08/04 ADVANCE TECHNOLOGIES INC NV 8.01 09/09/04 AEGIS ASSET BACKED SECURITIES TRUST M DE 8.01 08/27/04 AKI INC DE 7.01,9.01 09/10/04 ALASKA AIR GROUP INC DE 2.05,9.01 09/09/04 ALASKA AIRLINES INC AK 2.05,9.01 09/09/04 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE 7.01,9.01 09/10/04 ALLIANCE CAPITAL MANAGEMENT L P DE 7.01,9.01 09/10/04 AMERICAN PHYSICIANS CAPITAL INC MI 7.01,9.01 09/10/04 AMPHENOL CORP /DE/ DE 8.01,9.01 09/09/04 ANADARKO PETROLEUM CORP DE 7.01,9.01 09/10/04 ANTIGENICS INC /DE/ DE 5.02,9.01 09/09/04 APOLLO INVESTMENT CORP MD 7.01 09/10/04 APPLEBEES INTERNATIONAL INC DE 3.03 09/10/04 ARLINGTON HOSPITALITY INC DE 1.01,8.01,9.01 09/02/04 ARROWHEAD RESEARCH CORP DE 5.02,9.01 09/07/04 ARTESYN TECHNOLOGIES INC FL 8.01,9.01 09/09/04 ASTEC INDUSTRIES INC TN 4.01,9.01 09/10/04 ATLAS AIR INC DE 7.01 09/09/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE 7.01 09/09/04 ATLAS AMERICA INC DE 1.01 09/10/04 AUSTRALIAN OIL & GAS CORP DE 8.01,9.01 09/10/04 BAKERS FOOTWEAR GROUP INC MO 1.01,1.02,9.01 09/08/04 BAM ENTERTAINMENT INC 4.01,9.01 09/07/04 BANK OF NEW YORK CO INC NY 8.01,9.01 09/10/04 BANKNORTH GROUP INC/ME ME 8.01,9.01 09/10/04 BARRIER THERAPEUTICS INC DE 1.01,9.01 09/07/04 BAY VIEW CAPITAL CORP DE 1.01,8.01,9.01 09/03/04 BEAR STEARNS ASSET BACKED SECURITIES DE 8.01,9.01 09/02/04 BEL FUSE INC /NJ NJ 8.01 09/09/04 BIDVILLE INC NV 3.02,9.01 08/20/04 BIOMASS PROCESSING TECHNOLOGY INC DE 7.01,9.01 09/07/04 BIOPURE CORP DE 8.01,9.01 09/10/04 BJs RESTAURANTS INC CA 5.02,9.01 09/10/04 BOOKHAM TECHNOLOGY PLC 8.01,9.01 09/10/04 BOWLIN TRAVEL CENTERS INC NV 2.02,9.01 09/10/04 BRT REALTY TRUST MA 8.01 09/10/04 BULLDOG TECHNOLOGIES INC NV 7.01 09/10/04 CAMDEN MINES LTD 5.02,8.01,9.01 09/03/04 CAPITAL ONE AUTO FINANCE TRUST 2004-A DE 8.01,9.01 09/10/04 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 09/09/04 CAPITAL ONE MASTER TRUST NY 8.01,9.01 09/09/04 CAPITAL ONE MULTI ASSET EXECUTION TRU DE 8.01,9.01 09/09/04 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE 8.01,9.01 09/10/04 Capital One Prime Auto Receivables Tr DE 8.01,9.01 09/10/04 CARREKER CORP DE 5.02,9.01 09/10/04 CASH AMERICA INTERNATIONAL INC TX 7.01 09/08/04 CAVALIER HOMES INC DE 5.02,9.01 09/09/04 CDI CORP PA 8.01,9.01 09/09/04 CDSI HOLDINGS INC DE 4.01,9.01 09/07/04 CELL THERAPEUTICS INC WA 4.01,9.01 08/31/04 AMEND CHAD THERAPEUTICS INC CA 5.02 09/09/04 CHAMPION INDUSTRIES INC WV 1.01,2.01,9.01 09/07/04 CHECKERS DRIVE IN RESTAURANTS INC /DE DE 7.01 09/10/04 Chembio Diagnostics Inc. NV 4.01 06/01/04 AMEND Chembio Diagnostics Inc. NV 4.01 06/01/04 AMEND CHEYENNE RESOURCES INC WY 3.02,5.01,8.01,9.01 09/01/04 CHIRON CORP DE 5.02,9.01 09/08/04 CHIRON CORP DE 1.01,9.01 09/09/04 CITIGROUP MORTGAGE LOAN TRUST INC 8.01,9.01 09/09/04 CLEVELAND CLIFFS INC OH 8.01 09/09/04 COLLECTORS UNIVERSE INC DE 2.02 09/10/04 COMMUNITY VALLEY BANCORP CA 8.01,9.01 09/10/04 COMPEX TECHNOLOGIES INC MN 2.02,9.01 09/10/04 COMPUTER HORIZONS CORP NY 7.01,9.01 09/08/04 CONTINENTAL AIRLINES INC /DE/ DE 1.01 09/10/04 CORRECTIONS CORP OF AMERICA MD 7.01 09/10/04 COUNTRYWIDE FINANCIAL CORP DE 2.02,9.01 09/10/04 COVISTA COMMUNICATIONS INC NJ 2.02 09/09/04 CREDIT & ASSET REP VEHICLE CORP ALLST DE 8.01,9.01 09/01/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE 8.01,9.01 09/10/04 CRITICAL PATH INC CA 3.01 09/09/04 CROSS MEDIA MARKETING CORP DE 8.01 08/12/04 CUTTER & BUCK INC WA 2.02,7.01,9.01 09/09/04 CVS CORP DE 8.01,9.01 09/09/04 CWABS INC DE 8.01,9.01 09/07/04 CWALT INC 8.01,9.01 03/25/04 CWMBS INC DE 8.01,9.01 04/29/04 CYTOKINETICS INC 1.01,5.02 09/07/04 DATA SYSTEMS & SOFTWARE INC DE 1.01 09/08/04 DATAKEY INC MN 1.01,9.01 09/09/04 DEAN FOODS CO/ DE 2.05 09/07/04 DEAN HOLDING CO 2.05 09/07/04 DECODE GENETICS INC DE 4.01 09/10/04 DEL GLOBAL TECHNOLOGIES CORP NY 1.01,9.01 09/08/04 DELUXE CORP MN 2.01,9.01 06/25/04 AMEND DELUXE CORP MN 2.01,9.01 06/25/04 AMEND DENDO GLOBAL CORP NV 1.01 09/07/04 DENNYS CORP DE 8.01,9.01 09/07/04 DIGITAL RECORDERS INC NC 4.01,9.01 09/03/04 DIRECTV GROUP INC DE 8.01,9.01 09/10/04 DIVERSIFIED SECURITY SOLUTIONS INC DE 8.01 09/07/04 DIVIDEND CAPITAL TRUST INC MD 1.01 06/22/04 DOMINION RESOURCES INC /VA/ VA 2.03,8.01 09/07/04 DSL NET INC DE 5.02 09/08/04 DYNAMIC HEALTH PRODUCTS INC FL 1.01,7.01,9.01 09/10/04 EASTMAN KODAK CO NJ 2.05,9.01 09/07/04 ECOLLEGE COM DE 8.01 09/09/04 EDELBROCK CORP DE 2.02,7.01,9.01 09/10/04 EMPIRE DISTRICT ELECTRIC CO KS 5.02,9.01 09/10/04 ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 09/09/04 ENCORE MEDICAL CORP DE 1.01,1.02,9.01 09/03/04 ENER1 INC FL 8.01 09/10/04 ENERGAS RESOURCES INC DE 5.02 08/31/04 ENERGAS RESOURCES INC DE 5.02 08/31/04 ENERGAS RESOURCES INC DE 5.02,7.01,8.01 09/10/04 ENERGY PRODUCERS INC NV 7.01,8.01 08/08/04 AMEND ENVIRONMENTAL TECTONICS CORP PA 1.01,9.01 08/24/04 EPIC FINANCIAL CORP NV 3.02,5.02,9.01 09/07/04 ERP OPERATING LTD PARTNERSHIP MD 8.01,9.01 07/26/04 eXegenics Inc DE 1.01,3.01,8.01,9.01 09/01/04 FIFTH THIRD BANCORP OH 7.01,9.01 09/10/04 FINLAY ENTERPRISES INC /DE DE 1.01,9.01 09/08/04 FINLAY FINE JEWELRY CORP DE 1.01,9.01 09/08/04 FIRST ADVANTAGE CORP DE 1.01,2.03 09/07/04 FIRST FINANCIAL BANCORP /CA/ CA 1.01,9.01 09/07/04 First Franklin Mortgage Loan Trust 20 DE 8.01 08/27/04 FIRST INVESTORS FINANCIAL SERVICES GR TX 7.01,9.01 09/10/04 FIRST NATIONAL BANKSHARES OF FLORIDA FL 2.01,9.01 09/03/04 FIRST YEARS INC MA 8.01,9.01 09/10/04 FNB BANCORP/CA/ 1.01,9.01 09/09/04 FNB CORP \VA\ VA 1.02,5.02,9.01 09/10/04 FOREST CITY ENTERPRISES INC OH 2.02 09/09/04 FOUNTAIN POWERBOAT INDUSTRIES INC 2.02,9.01 09/09/04 FRANKLIN BANK CORP 1.01,3.02,9.01 09/03/04 FRANKS NURSERY & CRAFTS INC MI 1.01,1.03,9.01 09/03/04 FTD INC DE 5.02,9.01 09/09/04 FUELCELL ENERGY INC DE 9.01 11/03/03 AMEND GABRIEL TECHNOLOGIES CORP DE 4.01,9.01 07/26/04 AMEND GATEWAY FINANCIAL HOLDINGS INC NC 8.01,9.01 09/09/04 GENESIS ENERGY LP DE 1.01 08/26/04 GETTY REALTY CORP /MD/ MD 8.01,9.01 09/08/04 GLOBAL LINKS CORP NV 3.02 08/31/04 GOODRICH CORP NY 5.02 09/07/04 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.05 09/03/04 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 09/10/04 GREENWICH CAPITAL ACCEPTANCE INC DE 8.01,9.01 09/10/04 GSR Mortgage Loan Trust 2004-11 DE 8.01 08/27/04 H&R BLOCK INC MO 5.02 09/09/04 HALLIBURTON CO DE 7.01 09/09/04 AMEND HARTVILLE GROUP INC NV 8.01,9.01 09/08/04 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 09/09/04 HEALTHSOUTH CORP DE 1.01,5.02,9.01 09/03/04 HEARTLAND EXPRESS INC NV 8.01,9.01 09/10/04 HI TECH PHARMACAL CO INC NY 5.02 09/09/04 HIGHLAND CLAN CREATIONS CORP NV 4.01,9.01 09/08/04 HILLENBRAND INDUSTRIES INC IN 1.01,5.02,9.01 09/09/04 I CRYSTAL INC DE 7.01 09/09/04 IMPERIAL SUGAR CO /NEW/ TX 5.02,9.01 09/08/04 INFOSONICS CORP 7.01,9.01 09/09/04 INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 09/09/04 Interstar Millennium Series 2003-1G 8.01,9.01 09/09/04 Intrepid Holdings, Inc. NV 8.01 09/10/04 ISOLAGEN INC DE 7.01,9.01 09/10/04 ITC DELTACOM INC DE 1.01,9.01 09/08/04 AMEND J CREW GROUP INC NY 4.02 09/09/04 JOSTENS HOLDING CORP DE 7.01,9.01 09/10/04 JOSTENS INC MN 7.01,9.01 09/10/04 KAISER GROUP HOLDINGS INC DE 5.02,9.01 09/09/04 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 09/09/04 LAKELAND INDUSTRIES INC DE 7.01 09/10/04 LANTRONIX INC DE 2.02,9.01 09/09/04 LARGE SCALE BIOLOGY CORP DE 5.02 09/07/04 LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 09/10/04 LEGGETT & PLATT INC MO 7.01,9.01 09/10/04 LEXINGTON PRECISION CORP DE 1.01,2.03,9.01 09/03/04 LIBERTY SELF STOR INC MD 1.01,9.01 09/07/04 LIMELIGHT MEDIA GROUP INC NV 8.01 08/17/04 LUNA TECHNOLOGIES INTERNATIONAL INC 5.02 08/31/04 MAF BANCORP INC DE 7.01 09/09/04 MAINE & MARITIMES CORP 8.01 09/10/04 MAJOR AUTOMOTIVE COMPANIES INC NV 8.01 09/07/04 MANUGISTICS GROUP INC DE 1.01,8.01,9.01 09/03/04 MAPINFO CORP DE 2.01,9.01 09/07/04 MARCUS CORP WI 2.05,9.01 09/03/04 MARKETING EDUCATIONAL CORP 2.01,4.01,5.01,8.01 09/09/04 MASTR Adjustable Rate Mortgage Trust DE 8.01,9.01 08/27/04 MASTR Alternative Loan Trust 2004-9 DE 8.01,9.01 08/27/04 MATRIX ENERGY SERVICES CORP NV 2.01 09/09/04 MAXUS REALTY TRUST INC MO 2.04 09/03/04 MCDONALDS CORP DE 8.01 09/08/04 MCRAE INDUSTRIES INC DE 1.01,2.01,9.01 09/09/04 MED DIVERSIFIED INC NV 5.02 09/03/04 MEDALLION FINANCIAL CORP DE 1.01,2.01,9.01 09/03/04 MEDICAL TECHNOLOGY SYSTEMS INC /DE/ DE 8.01,9.01 09/10/04 MEDIFAST INC DE 8.01 09/10/04 MEMBERWORKS INC DE 8.01,9.01 09/10/04 MEREDITH CORP IA 8.01,9.01 09/08/04 MERIDIAN RESOURCE CORP TX 5.02 09/03/04 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE 8.01,9.01 08/05/04 METASOLV INC DE 9.01 09/09/04 METROCALL HOLDINGS INC DE 9.01 05/14/04 AMEND METROPCS INC 8.01,9.01 09/09/04 METTLER TOLEDO INTERNATIONAL INC/ DE 5.02,5.03,9.01 09/10/04 MGI PHARMA INC MN 2.01,9.01 09/03/04 MGM MIRAGE DE 7.01,9.01 09/10/04 MICROVISION INC WA 1.01,3.02,9.01 09/09/04 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 2.06 09/10/04 MILLENNIUM CELL INC DE 7.01,9.01 09/10/04 MOBILEPRO CORP DE 9.01 06/21/04 AMEND MODENA 2 INC DE 5.01,5.02 09/08/04 MODTECH HOLDINGS INC CA 1.01,5.02 09/08/04 MONADNOCK COMMUNITY BANCORP INC 5.02,9.01 09/09/04 Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 06/30/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE 8.01,9.01 09/07/04 MT ULTIMATE HEALTHCARE CORP NV 1.01,3.02 08/31/04 N-VIRO INTERNATIONAL CORP DE 1.01,9.01 09/09/04 NASDAQ STOCK MARKET INC DE 5.02 09/07/04 NATIONAL HEALTH INVESTORS INC MD 4.01 09/10/04 NATIONAL HEALTH REALTY INC MD 4.01 09/10/04 NATIONAL HEALTHCARE CORP DE 4.01 09/10/04 NEW CENTURY FINANCIAL CORP DE 1.01,9.01 09/08/04 NEW ENGLAND REALTY ASSOCIATES LIMITED MA 2.01,9.01 08/25/04 NEW FRONTIER MEDIA INC CO 1.01,9.01 09/05/04 NEW WORLD BRANDS INC DE 5.02 09/08/04 NOBEL LEARNING COMMUNITIES INC DE 8.01,9.01 09/08/04 NORTH AMERICAN TECHNOLOGIES GROUP INC DE 4.02 09/10/04 NOVELLUS SYSTEMS INC CA 2.01,9.01 06/28/04 AMEND NS GROUP INC KY 7.01,9.01 09/10/04 NUWAY MEDICAL INC DE 4.01,9.01 09/09/04 NWH INC DE 7.01,8.01 09/08/04 OHARA RESOURCES LTD NV 5.01 09/09/04 OMI CORP/M I 8.01,9.01 09/09/04 OPENTV CORP 8.01,9.01 09/08/04 ORASURE TECHNOLOGIES INC DE 1.01,9.01 09/08/04 OSI SYSTEMS INC CA 8.01,9.01 09/09/04 OSPREY GOLD CORP NV 5.02,9.01 08/13/04 OUTBACK STEAKHOUSE INC DE 7.01,9.01 09/08/04 OUTBACK STEAKHOUSE INC DE 1.01,9.01 09/03/04 P&F INDUSTRIES INC DE 2.01,9.01 06/30/04 AMEND PACIFIC CONTINENTAL CORP OR 1.01 09/10/04 Park Place Securities, Inc. DE 8.01,9.01 09/10/04 PELICAN FINANCIAL INC DE 1.01 09/10/04 PEOPLES CHOICE HOME LOAN SECURITIES T 9.01 08/27/04 PEOPLES CHOICE HOME LOAN SECURITIES T 9.01 08/27/04 PEREGRINE SYSTEMS INC DE 2.02,9.01 09/09/04 PHARMOS CORP NV 8.01,9.01 09/06/04 PILGRIMS PRIDE CORP DE 1.01,9.01 09/07/04 PNM RESOURCES INC NM 8.01 09/10/04 POPULAR ABS, INC. DE 8.01,9.01 09/08/04 PREMIER FINANCIAL BANCORP INC KY 8.01 09/10/04 PRIDE INTERNATIONAL INC DE 1.01,9.01 09/09/04 PRIME HOSPITALITY CORP DE 8.01,9.01 09/09/04 PRO TECH COMMUNICATIONS INC FL 5.02 09/03/04 PROSPECT ENERGY CORP MD 9.01 09/09/04 Q COMM INTERNATIONAL INC UT 4.01,9.01 09/10/04 RAYMOND JAMES FINANCIAL INC FL 7.01 08/31/04 REINSURANCE GROUP OF AMERICA INC MO 8.01,9.01 09/10/04 REMINGTON ARMS CO INC/ DE 8.01,9.01 09/08/04 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE 8.01,9.01 09/10/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 7.01,9.01 09/09/04 RYANS RESTAURANT GROUP INC SC 5.02 09/10/04 SALTON SEA FUNDING CORP DE 2.05,2.06 09/10/04 SBS INTERACTIVE CO FL 8.01 08/19/04 AMEND SECURITY CAPITAL CORP/DE/ DE 8.01,9.01 09/08/04 SEPRACOR INC /DE/ DE 3.02 09/08/04 SEROLOGICALS CORP DE 1.01,9.01 09/07/04 SHIRE PHARMACEUTICALS GROUP PLC 8.01,9.01 09/09/04 SIMULATIONS PLUS INC 2.02,7.01 09/09/04 SK TECHNOLOGIES CORP DE 3.02,9.01 08/20/04 SMITH & WESSON HOLDING CORP NV 2.02 09/09/04 SONUS NETWORKS INC DE 8.01 09/10/04 SOUTHERN BANC CO INC DE 2.02,8.01,9.01 09/08/04 SOUTHERN CALIFORNIA EDISON CO CA 1.01,2.03,9.01 09/08/04 SPACEHAB INC \WA\ WA 2.02,9.01 09/08/04 SPORT HALEY INC CO 8.01,9.01 09/08/04 STARRETT L S CO MA 8.01 09/10/04 Structured Asset Investment Loan Trus DE 8.01 08/27/04 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 08/20/04 SYSCO CORP DE 1.01,9.01 09/03/04 TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 09/09/04 TARRAGON CORP NV 8.01,9.01 09/09/04 TECHNOLOGY INVESTMENT CAPITAL CORP MD 8.01,9.01 09/08/04 TEXAS GENCO HOLDINGS INC 1.01,2.03 09/03/04 THERMOGENESIS CORP DE 2.02,9.01 09/10/04 TICKETS COM INC DE 5.02 09/03/04 TITANIUM METALS CORP DE 7.01,9.01 09/10/04 TODCO DE 1.01,9.01 09/10/04 TORTUGA MEXICAN IMPORTS INC NV 4.01,9.01 09/08/04 TOUCH AMERICA HOLDINGS INC DE 1.03,9.01 04/02/04 TOUCH AMERICA HOLDINGS INC DE 1.03,9.01 04/02/04 TRANSMETA CORP DE 7.01,9.01 09/10/04 TRIBUNE CO DE 8.01,9.01 09/10/04 TRICO MARINE SERVICES INC DE 1.01,7.01,9.01 09/10/04 TRIKON TECHNOLOGIES INC DE 1.01,9.01 09/07/04 TRIMEDIA ENTERTAINMENT GROUP INC DE 1.01,3.02,9.01 09/03/04 TRIMERIS INC DE 1.01,5.02,9.01 09/08/04 TYSON FOODS INC DE 5.02 09/10/04 UBIQUITEL INC DE 7.01 09/10/04 UCLUELET EXPLORATION CORP 4.01,9.01 09/08/04 ULTIMATE ELECTRONICS INC DE 4.01,9.01 09/07/04 UNION BANKSHARES CORP VA 5.02,9.01 09/08/04 UNITED AUTO GROUP INC DE 1.01,2.03,9.01 09/08/04 UNITED INDUSTRIAL CORP /DE/ DE 1.01,8.01,9.01 09/08/04 UNITEDHEALTH GROUP INC MN 7.01 09/10/04 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE 4.01 09/03/04 URSTADT BIDDLE PROPERTIES INC MD 2.02 07/31/04 VECTORIA INC NV 1.01,5.01,5.02 08/30/04 VENTURI PARTNERS INC DE 1.01,9.01 09/03/04 VERITAS SOFTWARE CORP /DE/ DE 8.01 09/08/04 VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 06/11/04 AMEND VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 05/24/04 AMEND VG TECH INC NV 1.01,3.02,9.01 09/10/04 VIASYSTEMS INC DE 8.01,9.01 09/03/04 VON HOFFMANN HOLDINGS INC 7.01,9.01 09/10/04 VSOURCE INC DE 7.01,9.01 09/10/04 WALT DISNEY CO/ DE 7.01,9.01 09/09/04 WCA WASTE CORP 1.01,2.03,8.01,9.01 09/03/04 WELLCHOICE INC DE 7.01 09/10/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 09/09/04 WELLS FARGO ASSET SECURITIES CORP DE 8.01,9.01 09/10/04 WESTPAC SECURITISATION MGT PTY LTD SE 9.01 09/07/04 YOUBET COM INC DE 8.01,9.01 09/09/04 YUM BRANDS INC NC 8.01,9.01 09/09/04 YUM BRANDS INC NC 1.01,2.03 09/07/04 ZANETT INC DE 5.02 09/09/04 ZYMOGENETICS INC WA 1.01,3.02,9.01 09/07/04