SEC NEWS DIGEST Issue 2004-185 September 24, 2004 ENFORCEMENT PROCEEDINGS IN THE MATTER OF ANDREW MARKS FORMER HIGH-RANKING ATTORNEY AT CAMBRIDGE BIOTECH COMPANY SUSPENDED FORTHWITH FROM PRACTICE BEFORE THE COMMISISON PURSUANT TO RULE 102(e)(2) OF THE COMMISSION’S RULES OF PRACTICE On September 23, the Commission issued an Order of Forthwith Suspension Pursuant to Rule 102(e) of the Commission’s Rules of Practice against Andrew S. Marks, of Wayland, Massachusetts. The Commission’s Order finds that Marks, age 44, was, until February 2004, an attorney licensed to practice in the State of New York. He served as the Chief Patent Counsel for Vertex Pharmaceuticals, Inc. (Vertex) from 1999 until he left Vertex in 2003. Vertex was, at all relevant times, a Massachusetts corporation with its principal place of business in Cambridge, Massachusetts. A biotechnology company, Vertex’s common stock was registered with the Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) and traded principally on the NASDAQ National Market System. The Order further finds that, in a parallel criminal proceeding brought in United States District Court for the District of Massachusetts, U.S. v. Andrew S. Marks, No. 03-10297 (DPW), Marks pled guilty, on Oct. 3, 2003, to a one-count Information charging him with violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in connection with his Sept. 21, 2001, sale of Vertex stock while in possession of material, nonpublic information concerning termination of a Vertex clinical trial. As a result of his conviction, Marks was sentenced to serve a year and a day in prison, followed by two years of supervised release and to pay a $3,000 fine. Based on the above, the Order suspends Marks forthwith from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. On Dec. 3, 2002, the Commission filed a complaint against Marks in connection with the same conduct in Massachusetts federal court. The Commission’s complaint alleged that Marks violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. In that action, which is still pending, the Commission seeks injunctive relief, disgorgement plus prejudgment interest, and civil penalties, and further seeks an order barring Marks from acting as an officer or director of any publicly- traded company. (Rel. 34-50432; File No. 3-11680) IN THE MATTER OF KENNETH MACQUEEN On September 23, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 against Kenneth B. MacQueen (Respondent or MacQueen). The proceedings are based on a permanent injunction entered on July 8, 2003, in the case of SEC v. Kenneth B. MacQueen, et al., No. 03 C 1423 (N.D. Ill.) against the Respondent. The Court enjoined the Respondent from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act. The Respondent consented to the entry of the order of permanent injunction and admitted the allegations of the Complaint. The Complaint, filed prior to completion of the Commission’s investigation, alleged that the Respondent operated a fraudulent investment scheme through his investment advisory business, MacQueen Capital Management Corp., raising at least $1,325,000 from at least five investors. In a related criminal case brought by the United States Attorney for the Northern District of Illinois captioned U.S. v. Kenneth MacQueen, No. 03 CR 195-1, MacQueen entered into a Plea Agreement dated October 12, 2003. In the agreement, he admitted that he ultimately misappropriated more than $6.6 million from approximately 92 investors. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondent an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge shall issue an initial decision no later than 210 days from the date of service of the order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rle. IA-2305; File No. 3-11681) IN THE MATTER OF JOHN BLACK, ET AL. On September 23, the Commission issued an Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act) as to John M. Black (Order). The Order finds that Black received bribe payments in exchange for recommending five penny stocks, ATR Industries, Inc., Learner’s World, Inc., Rollerball International, Inc., Hytk Industries, Inc., and Healthwatch Inc., while employed as Chief Compliance Officer of Grady and Hatch & Company, Inc., a registered broker-dealer. The Order further finds that Black did not disclose to his customers that he received additional compensation to make his penny stock recommendations. Based on the above, the Order finds that Black willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Order (1) orders Black to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, (2) bars Black from participating in any offering of penny stock, and (3) bars Black from association with any broker or dealer. Black consented to the issuance of the Order without admitting or denying the factual findings therein. (Rel. 33-8490; 34-50435; File No. 3-10230) PROCEEDINGS UNDER SECTION 15(b)(6) INSTITUTED AGAINST MICHAEL CARNICLE On September 24, the Commission instituted administrative proceedings against Michael Carnicle (Carnicle) pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) with respect to his participation in offerings of penny stock. The proceedings are based on an injunction entered against Carnicle on Sept. 7, 2004, which enjoined Carnicle from future violations of the securities registration, antifraud and lying to auditors provisions of the federal securities laws. In the underlying civil action the Division of Enforcement alleged, among other matters, that in or about December 1993, Carnicle arranged a financing agreement to provide funding for AutoCorp Equities, Inc., to promote a live stage production of the American Gladiators television show in Las Vegas, Nevada. The Division of Enforcement also alleged that the financing transaction involved AutoCorp’s acquisition of $5 million in certificates of deposit, ostensibly issued by a Russian bank. The Division of Enforcement further alleged that while the CDs had a face value of $5 million, Carnicle knew the CDs were worthless because the CDs were not, in fact, issued by the Russian bank, but were instead printed at a Florida Kinko’s copy center by one of Carnicle’s co- defendants in the civil case. The Division of Enforcement also alleged Carnicle arranged for Autocorp to pay for the Russian CDs by issuing Regulation S stock, structuring the transaction to create the appearance that the sale met the requirements of Regulation S under the Securities Act; however, the issuance of stock did not comply with Regulation S because the stock was sold to a United States resident. Finally, the Division of Enforcement alleged that Autocorp included the Russian CDs as assets on its financial statements, which were included in a Form 10- Q filed with the Commission. The Division of Enforcement further alleges that Carnicle was enjoined from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5 and 13b2-1 thereunder and from aiding and abetting violations of Section 13(b)(2)(A) of the Exchange Act. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Carnicle an opportunity to dispute these allegations, and to determine whether, pursuant to 15(b) of the Exchange Act, it is appropriate and in the public interest to bar Carnicle from participating in any offering of penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock; or inducing or attempting to induce the purchase or sale of any penny stock. The Commission directed that the Administrative Law Judge issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-50437; File No. 3-11682) COMMISSION INSTITUTES AN ADMINISTRATIVE PROCEEDING TO DETERMINE IF THE REGISTRATION OF EMEX CORPORATION’S SECURITIES SHOULD BE SUSPENDED OR REVOKED On September 24, the Commission issued an Order Instituting Public Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against Emex Corporation (Emex). Emex, a Nevada corporation formerly headquartered in New York, New York, purportedly was engaged in developing innovative technologies for exploiting energy resources, in particular natural gas, and on mining gold and other metals and minerals. The Division of Enforcement (Division) alleges that Emex failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder. Specifically, the Division alleges that Emex has not filed an annual report on either Form 10-K or Form 10-KSB since April 16, 2002, or periodic or quarterly reports on either Form 10-Q or Form 10-QSB for any period subsequent to its quarter ended September 30, 2002. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Emex an opportunity to dispute these allegations, and to determine whether it is necessary and appropriate for the protection of investors to suspend or revoke registration of Emex’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. 34-50438; File No. 3-11683) IN THE MATTER OF FRANKLIN MARONE On September 24, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Franklin Marone (Order). Franklin Marone was formerly a resident of Fairfield, Connecticut and Windham, New York. The Order, finds that Marone was a registered representative of Generic Trading of Philadelphia, a broker-dealer registered with the Commission, from November 1999 through October 2003. On Feb. 13, 2004, the Commission filed a complaint against Marone and on Feb. 26, 2004, the U.S. District Court for the Southern District of New York issued a permanent injunction against Marone by partial final judgment on consent, enjoining Marone from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, as well as ordering disgorgement of ill-gotten gains and a civil penalty, in amounts to be determined at a later date. [SEC v. Franklin Marone, et al., 04 Civ. 01227, SDNY, NRB] (Lit. Release No. 18601). The Commission’s complaint alleged, among other things, that between January 1999 and January 2004, Marone induced at least 36 individuals to invest at least $3.2 million in Patrollers Capital Fund I, II, III, The Wedel Fund, and the Whistler Fund—fictitious equity funds that Marone purported to manage. The complaint further alleged that Marone misappropriated virtually all of the investors’ funds for his personal use and that of the relief defendant Marita Marone, falsely stated to investors that their funds were invested, disseminated false account statements indicating that investors funds were fully invested and earning returns, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. Based on the above, the Order bars Franklin Marone from association with any broker or dealer. Franklin Marone consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-50439; File No. 3-11631) IN THE MATTER OF DONALD KNIGHT On September 24, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Exchange Act of 1934 against Donald L. Knight (Respondent or Knight). In the Order the Division of Enforcement alleges that on Aug. 21, 2001, in SEC v. Broadband Wireless International Corp., et at., the Court entered a Judgment by Default permanently enjoining Knight from violating Sections 5(a), 5(c), and 17(a) of the Securities Act and Sections 10(b) and 13(d) of the Exchange Act and Rules 10b-5, 13d-1 and 13d-2 thereunder, and from aiding and abetting violations of Section 14(a) of the Exchange Act and Rules 14a-3, 14a-6 and 14a-9. Knight is currently a resident of Alajuela, Costa Rica. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent an opportunity to dispute these allegations, and to determine whether, pursuant to Section 15(b) of the Exchange Act, it is appropriate and in the public interest to bar Respondent from participating in any offering of penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock; or inducing or attempting to induce the purchase or sale of any penny stock. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-50440; File No. 3-11684) IN THE MATTER OF ROBERT SNYDER AND JAMES STAMP The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Robert Snyder and James Stamp. The Order finds that in SEC v. Snyder, et al., Case No. 03 CV 1349, in the United States District Court for the Northern District of Ohio, a Final Judgment was entered by consent against Snyder, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b), 15(a) and 15(c) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b- 5 thereunder and for aiding and abetting AlphaCom in its violation of Section 15(d) of the Exchange Act and Rules 15d-1 and 15d-13 thereunder. The Order also finds that a Final Judgment was entered by consent against Stamp in the same action, permanently enjoining him from future violations of Section 5(a), 5(c), and 17(a) of the Securities Act and Sections 10(b), 15(a) and 15(c) of the Exchange Act and Rule 10b-5 thereunder. The Commission’s complaint alleged that from at least September 1997 through October 2000, Snyder fraudulently offered and sold AlphaCom’s securities, raising at least $8.9 million from over 1,000 investors in at least 22 states. As part of this offering, Stamp offered and sold $1.7 million of AlphaCom’s securities to investors. Snyder and Stamp fraudulently misrepresented to investors in connection with the offer and sale of AlphaCom securities that AlphaCom owned the exclusive rights to certain novel Internet-related technologies. Contrary to these representations, the complaint alleges that AlphaCom never owned exclusive rights to these technologies. Snyder also misrepresented to investors that their funds would be used for working capital for AlphaCom, when Snyder actually misappropriated investors’ funds to purchase a house and to loan funds to a personal business associate. Furthermore, Snyder and Stamp offered and sold AlphaCom securities while no registration statement was filed or in effect with the Commission as to those securities. The complaint further alleges that Snyder and Stamp also acted as unregistered brokers in connection with the sale of AlphaCom securities. Snyder caused AlphaCom to file with the Commission a Form 10-K for the fiscal year ended Dec. 31, 2000, without audited financial statements, and Snyder also failed to have AlphaCom file periodic reports with the Commission since April 2001. Based on the above, the Order bars Snyder and Stamp from association with any broker or dealer pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934. Snyder and Stamp consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-50444; File No. 3-11685) SEC SETTLES CIVIL FRAUD CHARGES AGAINST ALPHACOM, INC., ROBERT SNYDER, JAMES STAMP AND DISGORGEMENT CLAIM AGAINST RELIEF DEFENDANT GARY KENDRON The Commission settled civil fraud charges against AlphaCom, Inc., Robert Snyder and James Stamp for their fraudulent sale of AlphaCom securities, and against Relief Defendant Gary Kendron. On Sept. 15, 2004, a federal court in Cleveland, Ohio entered Final Judgments enjoining AlphaCom, Snyder and Stamp from violations of the antifraud, securities registration, and reporting provisions of the federal securities laws. AlphaCom and Snyder were ordered to pay disgorgement of $8.24 million and $662,000 respectively. Payment was waived based upon their demonstrated inability to pay. Snyder was barred from serving as an officer or director of a public company. Relief Defendant Gary Kendron was also ordered to pay disgorgement and prejudgment interest totaling $225,000. The defendants consented to the entry of Final Judgments without admitting or denying the allegations of the complaint. The complaint alleged that from September 1997 through October 2000, AlphaCom, Snyder and Stamp raised $8.9 million from the sale of AlphaCom securities by falsely representing that AlphaCom owned exclusive rights to novel Internet technologies. In reality, AlphaCom did not own the technologies. In addition, the complaint alleged that Snyder and AlphaCom misrepresented that investors’ funds would be used for AlphaCom’s business, when in fact Snyder used nearly $1 million for a personal loan and to buy a house. The complaint further alleged that the defendants failed to register the sale of AlphaCom securities with the Commission, Snyder and Stamp acted as unregistered broker-dealers and AlphaCom and Snyder failed to file required financial statements and periodic reports with the Commission. [SEC v. Robert Snyder, AlphaCom, Inc., James Stamp, and Gary Kendron, Civil Action No. 1:03CV1349 (U.S.D.C. N.D. Ohio] (LR-18895) SEC CHARGES FORMER EXECUTIVES OF ELECTRO SCIENTIFIC INDUSTRIES, INC. WITH FINANCIAL FRAUD; SEC ALSO BRINGS ENFORCEMENT ACTION AGAINST FORMER GENERAL COUNSEL On September 23, the Commission filed financial fraud charges against James T. Dooley, who served as Chief Financial Officer and Chief Operating Officer and then Chief Executive Officer of Electro Scientific Industries, Inc. (ESI), and James E. Lorenz, III, the company’s former Corporate Controller. The Commission alleges that Dooley and Lorenz engaged in a scheme to falsely inflate ESI’s declining financial results by covering up significant expenses through various accounting devices. The accounting fraud caused ESI to issue press releases and file quarterly reports with the Commission containing materially false financial statements. After the fraud was discovered, ESI’s net income for the quarter ended Aug. 31, 2002, was restated from $158,000 to a net loss of $3,394,000, and ESI’s net loss for the quarter ended Nov. 30, 2002, was restated from $9,548,000 to $12,908,000. The Commission’s complaint alleges that Dooley and Lorenz violated or aided and abetted violations of the antifraud, internal controls, and books-and-records provisions of the federal securities laws. The complaint also charges that Dooley and Lorenz lied to ESI’s outside auditors and that Dooley falsely certified that ESI’s Commission filings were truthful. The complaint seeks an injunction, civil monetary penalties, disgorgement, and an order barring Dooley and Lorenz from serving as an officer or director of a public company. In a separate settled enforcement action, the Commission charged that John E. Isselmann, Jr., ESI’s former General Counsel, failed to provide important information to ESI’s Audit Committee, Board, and auditors regarding the key accounting transaction that enabled ESI to report a profit rather than a loss in the quarter ended Aug. 31, 2002. The Commission’s lawsuit against Isselmann alleges that he omitted to state necessary material facts to ESI’s auditors. Under the settlement, Mr. Isselmann agreed to pay a $50,000 civil penalty and consented to an injunction against similar securities law violations. [SEC v. James T. Dooley and James E. Lorenz, III, Case No. CV 04-1352 HA (D. Ore.)]; [SEC v. John E. Isselmann, Jr., Case No. CV 04-1350 MO (D. Ore.)] (LR-18896; AAE Rel. 2109) COMMISSION FILES SUBPOENA ENFORCEMENT ACTION AGAINST DAVID GREY On September 23, the Commission filed an application with the U.S. District Court for the Central District of California, Southern Division, for an order to enforce an investigative subpoena served on David M. Grey, 47, an attorney with offices in Irvine, California. The Commission’s application and supporting papers allege that on April 22, 2003, the Commission issued a formal order of private investigation entitled In the Matter of Rockbridge Securities, Inc. On Feb. 19, 2004, the Commission issued an administrative subpoena to Grey in the course of that investigation into possible violations of the federal securities laws. Grey and others may have raised approximately $11.45 million in securities offerings from investors when no registration statement has been filed with the Commission or was in effect as to such securities. The subpoena required Grey to produce documents relevant to the investigation. The Commission further alleges that, as of the date of the Commission’s application, Grey failed to produce any of the subpoenaed documents, has no valid justification for his failure to comply, and a court order is necessary to compel Grey to provide the subpoenaed documents. A hearing on the Commission’s application has not yet been scheduled. [SEC v. David M. Grey, (Case No. SACV 04-1116 CBM (VBKx)(C.D. Cal.)] (LR- 18897) COURT ORDERS SOUTHERN CALIFORNIA REAL ESTATE DEVELOPER AND ITS MANAGER TO PAY $5.9 MILLION PENALTY FOR BOND FRAUD The Commission announced that on September 23, U.S. District Judge Cormac J. Carney in Los Angeles found a Southern California real estate developer and its manager committed securities fraud and ordered them to pay a total of $5.9 million in penalties. The Court found that the developer, Pacific Golf Community Development LLC (Pacific Golf), and its manager, Manoucher Sarbaz, misled purchasers of municipal bonds used to finance a portion of the planned Rancho Lucerne housing development and golf course. In a 24-page decision, Judge Carney found that Pacific Golf and Sarbaz knew that land purchased with the bond proceed and pledged as security for repayment was not worth $28,000 per acre – the amount stated in documents offering the bonds to the public. The Court found that various companies controlled by Sarbaz acquired the land for an average price of $1,812 per acre. The Court further found that Pacific Golf and Sarbaz had no reasonable basis for their projections that they could sell hundreds of lots within the development each year. The Court observed that, to date, not a single lot had been sold nor had the golf course been completed. The Court found that more than $53 million in bonds were in default. The Court entered a judgment ordering Pacific Golf to pay a civil penalty of $4,900,000 and ordering Sarbaz to pay a civil penalty of $980,000. The Court also issued an injunction that ordered both parties to refrain from fraudulent activities in the future. A third defendant in the action, appraiser Lee Andrew Hill, settled with the Commission prior to trial. As part of the settlement, the Court ordered Hill to refrain from future securities fraud. The case against Pacific Golf and Sarbaz was the second action brought by the Commission concerning municipal bonds sold for the Rancho Lucerne development. In December 2000, the Commission sued the an investment banker, David Fitzgerald, and the underwriter of the Rancho Lucerne bond offerings, Pacific Genesis Group, for misrepresentations to investors purchasing the bonds. Judge Charles Breyer found the defendants liable and ordered Fitzgerald and the firm to refund the proceeds of a $13 million bond offering. Later, the Court entered judgments against Fitzgerald and Pacific Genesis pursuant to settlements. In the case against Pacific Golf and Sarbaz, the Court found violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [SEC v. Manoucher Sarbaz, et al. Case No. CV 03-881 CJC (C.D. Cal.)] (LR-18898) 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-1 CardioVascular BioTherapeutics, Inc., 1700 W. HORIZON RIDGE PARKWAY, SUITE 100, HENDERSON, X1, 92617, 702-248-1174 - 0 ($27,940,200.00) Other, (File 333-119199 - Sep. 23) (BR. 01) S-11 Permanent Financing (No. 6) PLC, BLACKWELL HOUSE, GUILDHALL YARD, LONDON, X0, EC2V 5AE, 44 (0)20 7556 0972 - 2,250,000,000 ($2,250,000,000.00) Mortgage Backed Securities, (File 333-119202 - Sep. 23) (BR. 05) S-8 E MED FUTURE INC, 794 MORRISON ROAD, SUITE 911, COLUMBUS, OH, 43230, 8778551319 - 0 ($1,080,000.00) Equity, (File 333-119203 - Sep. 23) (BR. 36) S-8 AXIA GROUP, INC., 1324 N. MAGNOLIA AVE., EL CAJON, CA, 92020, 6194441919 - 500,000,000 ($200,000.00) Equity, (File 333-119204 - Sep. 23) (BR. 08) S-3 ACTION PRODUCTS INTERNATIONAL INC, 1101 NORTH KELLER RD, ORLANDO, FL, 32810, 4074818007 - 0 ($200,000.00) Equity, (File 333-119205 - Sep. 23) (BR. 05) SB-2 TORRENT ENERGY CORP, 3400-666 BURRARD STREET, VANCOUVER, A1, V6C 2X8, 604-639-3118 - 10,945,860 ($8,509,377.00) Equity, (File 333-119206 - Sep. 23) (BR. 02) S-4 AUTOCAM CORP/MI, 4070 EAST PARIS AVE, KENTWOOD, MI, 49512, 6166980707 - 0 ($140,000,000.00) Non-Convertible Debt, (File 333-119215 - Sep. 23) (BR. 05) S-1 BankFinancial CORP, 15W060 NORTH FRONTAGE ROAD, BURR RIDGE, IL, 60527, (800) 894-6900 - 0 ($198,375,000.00) Equity, (File 333-119217 - Sep. 23) (BR. ) S-8 CEC ENTERTAINMENT INC, PO BOX 152077, IRVING, TX, 75015, 9722585403 - 600,000 ($21,527,280.00) Equity, (File 333-119218 - Sep. 23) (BR. 05) S-8 NEOPROBE CORP, 425 METRO PLACE N, STE 400, DUBLIN, OH, 43017, 6147937500 - 3,000,000 ($1,260,000.00) Equity, (File 333-119219 - Sep. 23) (BR. 36) S-8 WEST AFRICA GOLD INC, 245 PARK AVENUE, 39TH FLOOR, NEW YORK, NY, 10167, 212 672 1878 - 300,000,000 ($6,000,000.00) Equity, (File 333-119221 - Sep. 23) (BR. 09) S-8 BARNABUS ENTERPRISES LTD, 2006-1500 HORNBY STREET, VANCOUVER BC, A1, V6Z 2R1, 6048897675 - 9,771,000 ($4,494,660.00) Equity, (File 333-119222 - Sep. 23) (BR. 09) SB-2 M.E.R. CORP, 2400, 10303 JASPER AVENUE, EDMONTON, A0, T5J 3T8, 780-918-0918 - 500,000 ($50,000.00) Other, (File 333-119223 - Sep. 23) (BR. ) S-4 Polypore, Inc., 13800 SOUTH LAKES DRIVE, CHARLOTTE, NC, 28273, 704.588.5310 - 0 ($407,655,011.83) Other, (File 333-119224 - Sep. 23) (BR. ) S-8 CEC ENTERTAINMENT INC, PO BOX 152077, IRVING, TX, 75015, 9722585403 - 100,000 ($3,587,880.00) Equity, (File 333-119225 - Sep. 23) (BR. 05) S-8 AMERICA SERVICE GROUP INC /DE, 105 WESTPARK DR, STE 200, BRENTWOOD, TN, 37027, 6153761317 - 1,626,000 ($30,804,570.00) Equity, (File 333-119226 - Sep. 23) (BR. 01) S-4 ARGO TECH CORP, 23555 EUCLID AVENUE, CLEVELAND, OH, 44114, 2166926000 - 250,000,000 ($250,000,000.00) Non-Convertible Debt, (File 333-119227 - Sep. 23) (BR. 05) S-4 KB HOME, 10990 WILSHIRE BLVD, LOS ANGELES, CA, 90024, 3102314000 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-119228 - Sep. 23) (BR. 06) S-3 OSI PHARMACEUTICALS INC, 58 SOUTH SERVICE RD., SUITE 110, MELVILLE, NY, 11747, 631-962-2000 - 0 ($430,795,750.00) Equity, (File 333-119229 - Sep. 23) (BR. 01) S-4 BEVERLY ENTERPRISES INC, ONE THOUSAND BEVERLY WAY, FORT SMITH, AR, 72919, 5014526712 - 0 ($211,383,700.00) Non-Convertible Debt, (File 333-119230 - Sep. 23) (BR. 37) S-4 Nalco Finance Holdings LLC, 1601 WEST DIEHL ROAD, NAPERVILLE, IL, 60563, (630) 305-1000 - 0 ($694,000,000.00) Debt Convertible into Equity, (File 333-119231 - Sep. 23) (BR. ) S-8 CEC ENTERTAINMENT INC, PO BOX 152077, IRVING, TX, 75015, 9722585403 - 500,000 ($17,939,400.00) Equity, (File 333-119232 - Sep. 23) (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 ------------------------------------------------------------------------------------------------ 1ST INDEPENDENCE FINANCIAL GROUP, INC DE 2.01 09/21/04 AAMES FINANCIAL CORP/DE DE 8.01,9.01 06/30/04 AAMES FINANCIAL CORP/DE DE 8.01,9.01 07/31/04 AETHER SYSTEMS INC DE 2.01,9.01 09/17/04 AFC ENTERPRISES INC MN 2.02,9.01 09/21/04 AGERE SYSTEMS INC DE 1.01,9.01 09/17/04 AGL RESOURCES INC GA 7.01 09/22/04 AIR METHODS CORP DE 2.02 09/23/04 AIRNET SYSTEMS INC OH 8.01,9.01 09/21/04 ALLEGHANY CORP /DE DE 1.01,5.02,5.03,9.01 09/21/04 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 09/23/04 AMERICAN EXPRESS CREDIT CORP DE 2.03 09/17/04 AMERICAN HEALTHWAYS INC DE 7.01,9.01 09/23/04 AMERICAN MEDICAL SECURITY GROUP INC WI 8.01,9.01 09/23/04 AMERICAN STATES WATER CO CA 8.01,9.01 09/22/04 AMERON INTERNATIONAL CORP DE 2.02 09/23/04 APPLIED FILMS CORP CO 8.01,9.01 09/22/04 APPLIED MATERIALS INC /DE DC 1.01,2.03 09/17/04 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/23/04 ARIAD PHARMACEUTICALS INC DE 5.02,9.01 09/23/04 ARVINMERITOR INC IN 1.01,9.01 09/23/04 AUGUST TECHNOLOGY CORP MN 2.02,9.01 09/22/04 AURORA GOLD CORP DE 1.01,9.01 09/20/04 AUTHENTIDATE HOLDING CORP DE 1.01,9.01 09/20/04 AUTOZONE INC NV 7.01,9.01 09/23/04 AVANEX CORP DE 4.01,9.01 09/17/04 AZZ INC TX 2.02,8.01,9.01 09/23/04 BAKER MICHAEL CORP PA 1.01,2.03,9.01 09/17/04 BANC CORP DE 7.01,9.01 09/23/04 Banc of America Funding Corp. Mortgag DE 8.01,9.01 08/27/04 BEAR STEARNS COMPANIES INC DE 2.02,9.01 09/22/04 BEAR STEARNS COMPANIES INC DE 5.02 09/22/04 BELL INDUSTRIES INC /NEW/ CA 5.02,9.01 09/23/04 BEVERLY ENTERPRISES INC DE 8.01,9.01 09/23/04 BEVERLY ENTERPRISES INC DE 2.01,9.01 07/30/04 AMEND BEVERLY ENTERPRISES INC /DE/ DE 8.01,9.01 09/23/04 BRIGHTPOINT INC IN 1.01,9.01 09/20/04 BROADCOM CORP CA 3.02 09/17/04 BRODER BROS CO MI 3.02 08/31/04 AMEND CANARGO ENERGY CORP DE 7.01,9.01 09/22/04 CARDIODYNAMICS INTERNATIONAL CORP CA 2.02,9.01 09/22/04 CENTER BANCORP INC NJ 5.02 09/22/04 CENTURY PENSION INCOME FUND XXIII CA 8.01 08/17/04 CENTURY PROPERTIES FUND XX CA 8.01 08/17/04 CHEC FUNDING LLC DE 8.01,9.01 09/23/04 CHISTE CORP 1.01,3.02,3.03,5.01,9.01 09/21/04 CHURCHILL DOWNS INC KY 1.01 09/17/04 CODORUS VALLEY BANCORP INC PA 5.02 09/22/04 COGNIGEN NETWORKS INC CO 2.02,9.01 06/30/04 COMARCO INC CA 2.02,9.01 09/21/04 COMMERCE ONE INC / DE/ DE 8.01 09/22/04 COMMUNITY BANCORP /VT VT 8.01 09/22/04 COMMUNITY FIRST INC TN 1.01,9.01 09/21/04 COMMUNITY INVESTORS BANCORP INC OH 1.01,9.01 09/17/04 Comtech Group Inc MD 5.01 07/22/04 AMEND CONCORD CAMERA CORP NJ 5.02 09/23/04 CONVERGYS CORP OH 1.01,2.03,9.01 09/21/04 CORNERSTONE BANCORP INC CT 8.01,9.01 09/22/04 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,8.01,9.01 09/23/04 COVENTRY HEALTH CARE INC DE 1.01,5.02,9.01 09/23/04 CRAFTMADE INTERNATIONAL INC DE 5.02 09/17/04 CRUSADE MANAGEMENT LTD GLOBAL TRUST N 8.01,9.01 09/20/04 CRUSADE MANAGEMENT LTD GLOBAL TRUST N 8.01,9.01 09/20/04 CWMBS INC DE 8.01,9.01 09/21/04 CYBEX INTERNATIONAL INC NY 3.02 09/20/04 DA-LITE SCREEN CO INC IN 1.01,9.01 09/22/04 DIAL THRU INTERNATIONAL CORP DE 5.02 09/19/04 DIGITALNET HOLDINGS INC DE 7.01,9.01 09/22/04 DIMENSIONAL VISIONS INC/ DE DE 8.01 05/06/04 AMEND DOVER INVESTMENTS CORP DE 7.01,9.01 09/23/04 DPL INC OH 1.01,9.01 09/23/04 DRESS BARN INC CT 5.02,9.01 09/22/04 DRUGSTORE COM INC DE 1.01,5.02,9.01 09/22/04 DTE ENERGY CO MI 8.01,9.01 09/21/04 DYNAMIC MATERIALS CORP DE 1.01,2.01,9.01 09/17/04 DYNEGY HOLDINGS INC DE 2.02,4.02,9.01 09/21/04 E TRADE FINANCIAL CORP DE 5.05,9.01 09/20/04 EDWARDS A G INC DE 2.02 09/23/04 EFUNDS CORP DE 1.01,9.01 09/23/04 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 09/23/04 EMERSON ELECTRIC CO MO 7.01 09/23/04 EMULEX CORP /DE/ DE 8.01,9.01 09/23/04 ENERGY & ENGINE TECHNOLOGY CORP NV 9.01 07/01/04 AMEND ENERGY TRANSFER PARTNERS LP DE 8.01,9.01 09/22/04 ENTERGY CORP /DE/ DE 7.01,9.01 09/23/04 ENTHEOS TECHNOLOGIES INC NV 8.01,9.01 09/22/04 ENVIRONMENTAL MONITORING & TESTING CO DE 4.01,9.01 06/03/04 AMEND EQUITY OFFICE PROPERTIES TRUST MD 1.01,9.01 09/20/04 ESTEE LAUDER COMPANIES INC DE 1.01,9.01 09/21/04 EXELIXIS INC DE 1.01,9.01 09/23/04 FAIRPOINT COMMUNICATIONS INC DE 5.02 09/20/04 FEDERAL NATIONAL MORTGAGE ASSOCIATION 1.01,9.01 09/17/04 FIDELITY SOUTHERN CORP GA 5.02 09/23/04 FINISH LINE INC /IN/ IN 2.02,9.01 09/23/04 FIRST BANCTRUST CORP DE 7.01,9.01 09/21/04 FIRST FEDERAL BANKSHARES INC DE 8.01 09/20/04 FLYI INC DE 1.01,1.02 09/23/04 FREMONT HOME LOAN TRUST 2004-2 DE 2.01,9.01 09/08/04 FTI CONSULTING INC MD 1.01,5.02,5.03,5.05,7.01,8.01 09/17/04 GEN PROBE INC DE 1.01 09/17/04 GENAISSANCE PHARMACEUTICALS INC DE 1.01,7.01,9.01 09/22/04 GENESIS BIOVENTURES INC NY 1.01,3.02,9.01 09/17/04 GEORGIA PACIFIC CORP GA 2.04,9.01 09/21/04 GLOWPOINT INC DE 5.02 09/21/04 Grande Communications Holdings, Inc. DE 8.01 09/23/04 GS MORTGAGE SECURITIES CORP DE 8.01,9.01 09/21/04 HANOVER DIRECT INC DE 5.02,9.01 09/22/04 HARTFORD LIFE INSURANCE CO CT 9.01 09/23/04 HAUSER INC DE 8.01,9.01 09/15/04 HAWAIIAN HOLDINGS INC DE 8.01,9.01 09/21/04 HEALTHAXIS INC PA 4.01,9.01 09/20/04 HEALTHSOUTH CORP DE 8.01,9.01 09/22/04 HESKA CORP DE 1.01 09/23/04 HI TECH PHARMACAL CO INC NY 5.02 09/21/04 HICKORY TECH CORP MN 5.02,9.01 09/22/04 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 09/23/04 HIRSCH INTERNATIONAL CORP NY 5.02 09/17/04 HOLOGIC INC DE 9.01 09/23/04 HUBEI PHARMACEUTICAL GROUP LTD NV 2.02 09/23/04 IA GLOBAL INC DE 9.01 09/20/04 IKON OFFICE SOLUTIONS INC OH 1.01,5.02,9.01 09/23/04 ILINC COMMUNICATIONS INC DE 5.02 09/20/04 IMAGE INNOVATIONS HOLDINGS INC NV 5.02,9.01 09/22/04 IMAGIS TECHNOLOGIES INC A1 9.01 09/23/04 AMEND INDYMAC MBS INC 9.01 09/23/04 INNOVATIVE DESIGNS INC DE 8.01 09/23/04 INTEGRATED BIOPHARMA INC DE 7.01,9.01 09/23/04 INTEGRATED ENVIRONMENTAL TECHNOLOGIES DE 8.01,9.01 09/16/04 INTERLINK ELECTRONICS INC DE 1.01,9.01 09/22/04 INVESTORS REAL ESTATE TRUST ND 5.02 09/21/04 J P MORGAN CHASE & CO DE 9.01 09/16/04 J P MORGAN CHASE & CO DE 5.02 09/21/04 J2 GLOBAL COMMUNICATIONS INC DE 7.01,9.01 09/23/04 JACO ELECTRONICS INC NY 2.01 09/23/04 JARDEN CORP DE 1.01,2.03,3.02,3.03,9.01 09/19/04 JUNO LIGHTING INC DE 2.02,5.02,7.01,9.01 08/31/04 KERYX BIOPHARMACEUTICALS INC DE 5.02,9.01 09/21/04 KNIGHT TRADING GROUP INC DE 7.01,9.01 09/23/04 LEHMAN ABS CORP DE 8.01,9.01 09/23/04 LIFECORE BIOMEDICAL INC MN 1.02,9.01 09/20/04 LISKA BIOMETRY INC FL 5.02,9.01 09/23/04 LYNCH CORP IN 5.02 09/20/04 M&F BANCORP INC /NC/ NC 5.02,7.01,9.01 09/23/04 MADISON RIVER CAPITAL LLC DE 7.01,9.01 09/23/04 MANUGISTICS GROUP INC DE 1.01,2.02,9.01 09/22/04 MARKLAND TECHNOLOGIES INC FL 1.01,2.01,3.02 09/21/04 MARKLAND TECHNOLOGIES INC FL 8.01,9.01 09/23/04 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,1.02,3.02,9.01 09/17/04 MCMORAN EXPLORATION CO /DE/ DE 8.01 09/23/04 MEDICALCV INC MN 5.02,8.01,9.01 09/17/04 MEDSTRONG INTERNATIONAL CORP 5.02,9.01 09/19/04 MELLON FINANCIAL CORP PA 8.01,9.01 09/21/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE 8.01,9.01 09/23/04 METALDYNE CORP DE 2.02,2.06,4.02,7.01,9.01 09/23/04 MONARCH COMMUNITY BANCORP INC MD 1.01,5.02,9.01 09/16/04 AMEND MONEYGRAM INTERNATIONAL INC 7.01,9.01 09/22/04 Morgan Stanley ABS Capital I Inc. Tru DE 8.01,9.01 09/08/04 Morgan Stanley Capital I Trust 2004 I DE 8.01,9.01 09/23/04 AMEND MULTI LINK TELECOMMUNICATIONS INC CO 4.01 08/04/04 AMEND NBTY INC DE 8.01 09/23/04 NELNET INC NE 8.01,9.01 09/22/04 NEW CENTURY MORTGAGE SECURITIES INC DE 8.01,9.01 09/23/04 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 09/23/04 NORFOLK SOUTHERN CORP VA 8.01,9.01 09/17/04 NORTH AMERICAN SCIENTIFIC INC DE 2.02,9.01 09/21/04 O CHARLEYS INC TN 7.01,9.01 09/22/04 OCCAM NETWORKS INC/DE DE 5.02 09/23/04 OLD LINE BANCSHARES INC 5.02 09/23/04 OMNOVA SOLUTIONS INC OH 2.02,9.01 09/22/04 ONEIDA LTD NY 2.05 09/08/04 AMEND ONYX ACCEPTANCE CORP DE 1.01,7.01,9.01 09/21/04 ONYX ACCEPTANCE OWNER TRUST 2004-A DE 8.01 08/31/04 Onyx Acceptance Owner Trust 2004-B DE 8.01 07/31/04 Onyx Acceptance Owner Trust 2004-C DE 8.01 08/31/04 OVERHILL FARMS INC NV 5.02,9.01 09/17/04 OVERNITE CORP VA 5.02 09/23/04 P COM INC DE 8.01,9.01 09/23/04 PALMSOURCE INC DE 2.02,9.01 09/23/04 PHC INC /MA/ MA 8.01 09/23/04 PIONEER RAILCORP IA 8.01 09/23/04 AMEND PLEXUS CORP WI 5.03 09/17/04 POTLATCH CORP DE 5.03 09/17/04 POWER INTEGRATIONS INC CA 7.01 09/20/04 POWER ONE INC DE 7.01 09/22/04 POWERLINX INC NV 1.01 09/23/04 PRAXAIR INC DE 5.02 07/27/04 AMEND PRAXAIR INC DE 5.02 08/24/04 AMEND PRICELINE COM INC DE 1.01,2.01,7.01,9.01 09/21/04 PRIMAL SOLUTIONS INC DE 5.02 09/20/04 PRIME GROUP REALTY TRUST MD 8.01 09/23/04 PRIMEDIA INC DE 8.01 09/16/04 Principal Life Income Fundings Trust DE 8.01,9.01 09/15/04 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/15/04 Principal Life Income Fundings Trust DE 8.01,9.01 09/15/04 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/15/04 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/15/04 PRINCIPAL LIFE INCOME FUNDINGS TRUST DE 8.01,9.01 09/15/04 PRIVATEBANCORP INC DE 7.01 09/23/04 PRO-FAC COOPERATIVE INC NY 2.02,9.01 09/23/04 PUREZZA GROUP INC 3.02 09/21/04 QT 5 INC DE 5.03 09/07/04 AMEND QUALITY DINING INC IN 2.05 09/17/04 QUANEX CORP DE 8.01,9.01 09/23/04 QUEST RESOURCE CORP NV 5.02 09/22/04 QUEST RESOURCE CORP NV 2.02,9.01 09/23/04 RAMTRON INTERNATIONAL CORP DE 5.02,9.01 09/23/04 RED HAT INC DE 1.01,9.01 09/21/04 REDWOOD TRUST INC MD 8.01,9.01 09/21/04 REEF GLOBAL ENERGY VENTURES NV 8.01,9.01 09/21/04 REGIS CORP MN 2.02,9.01 09/22/04 RENTECH INC /CO/ CO 1.01,2.03,3.02,9.01 09/17/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE 8.01,9.01 09/20/04 RESIDENTIAL ASSET SECURITIES CORP DE 8.01,9.01 09/20/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE 8.01,9.01 09/23/04 RESOLVE STAFFING INC NV 4.01,5.02,9.01 09/22/04 RITA MEDICAL SYSTEMS INC DE 8.01 09/23/04 RITE AID CORP DE 2.02,9.01 09/23/04 SAN JUAN FINANCIAL INC CO 5.02 09/17/04 SCIENTIFIC INDUSTRIES INC DE 8.01 09/21/04 SEABULK INTERNATIONAL INC DE 7.01 09/23/04 SEAGATE TECHNOLOGY E9 8.01,9.01 09/20/04 SECURED DIGITAL APPLICATIONS INC DE 1.01,9.01 09/23/04 SHELLS SEAFOOD RESTAURANTS INC DE 8.01 09/23/04 SHURGARD STORAGE CENTERS INC WA 1.01,1.02 09/16/04 SIRVA INC DE 8.01,9.01 09/17/04 SMALL WORLD KIDS INC UT 1.01,8.01,9.01 09/15/04 SNB Bancshares Inc TX 8.01,9.01 09/20/04 SoftNet Technology Corp. NV 8.01,9.01 09/16/04 SOUTHWEST BANCORP OF TEXAS INC TX 7.01,9.01 09/23/04 ST JOE CO FL 1.01 09/20/04 STATE AUTO FINANCIAL CORP OH 8.01,9.01 09/22/04 STEELCASE INC MI 2.02 09/23/04 STEWART ENTERPRISES INC LA 5.02,9.01 09/23/04 STRATS SM TRUST FOR MORGAN STANLEY SE 8.01,9.01 09/09/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 03/25/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 04/25/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 05/25/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 06/25/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 07/25/04 STRUCTURED ASSET MORT INVEST INC CDMC DE 9.01 08/25/04 STRUTHERS INC/SC NV 2.01,2.02,2.06,9.01 09/10/04 SUREWEST COMMUNICATIONS CA 5.02,9.01 09/22/04 SYNNEX CORP DE 1.01,9.01 09/17/04 TELECOM COMMUNICATIONS INC 4.01,8.01,9.01 09/17/04 TELEMETRIX INC DE 5.02,8.01,9.01 09/10/04 TEMPLE INLAND INC DE 7.01,9.01 09/15/04 THREE FIVE SYSTEMS INC DE 7.01,9.01 09/23/04 TIVO INC DE 8.01 09/23/04 TOUCHTUNES MUSIC CORP NV 5.02 03/18/04 TOWER AUTOMOTIVE INC DE 5.02 09/20/04 TOWER AUTOMOTIVE INC DE 8.01 09/20/04 TRANS ENERGY INC NV 8.01,9.01 09/20/04 TRESTLE HOLDINGS INC DE 8.01,9.01 09/22/04 TRIMERIS INC DE 5.02 09/23/04 TRIZEC PROPERTIES INC DE 1.01,1.02,5.02,9.01 09/17/04 UAL CORP /DE/ DE 8.01,9.01 08/31/04 UNION ELECTRIC CO MO 8.01,9.01 09/23/04 UNITECH ENERGY CORP 2.01,5.01,5.02,5.03,9.01 12/30/03 VASCULAR SOLUTIONS INC DE 1.01,9.01 09/22/04 VETERINARY PET SERVICES INC 5.02,9.01 09/23/04 VIKING SYSTEMS INC NV 1.01,9.01 09/21/04 VITESSE SEMICONDUCTOR CORP DE 1.01,2.03,9.01 09/22/04 WALT DISNEY CO/ DE 1.01 09/19/04 WARWICK VALLEY TELEPHONE CO NY 5.02,9.01 09/23/04 WAYNE BANCORP INC /OH/ OH 7.01,9.01 09/21/04 WAYNE BANCORP INC /OH/ OH 7.01,9.01 09/22/04 WEBSTER CITY FEDERAL BANCORP 3.01,9.01 09/22/04 WESTAFF INC DE 1.01,9.01 09/20/04 WHOLE FOODS MARKET INC TX 8.01,9.01 09/22/04 WHOLESALE AUTO RECEIVABLES CORP DE 9.01 09/22/04 WORLD AIRWAYS INC /DE/ DE 3.02,9.01 09/21/04 XENOMICS INC FL 7.01 09/08/04 XEROX CORP NY 8.01,9.01 09/23/04 XOMA LTD /DE/ DE 8.01,9.01 09/23/04 XTO ENERGY INC DE 8.01,9.01 09/23/04