SEC NEWS DIGEST

Issue 2004-213                                               November 4, 2004



RULES AND RELATED MATTERS


SEC PROPOSES SECURITIES OFFERING REFORM

     The  Commission proposed new rules, rule amendments, and form amendments
     to modify the registration, communications, and offering processes under
     the  Securities  Act  of  1933.   The proposals  address  communications
     related  to registered securities offerings, delivery of information  to
     investors,  and  registration and other procedures in the  offering  and
     capital formation processes.
     
     Comments  on the proposing release should be submitted to the Commission
     within 75 days of its publication in the Federal Register.
     
     The  full  text  of  the  proposing  release  can  be  accessed  on  the
     Commissions  web site at http://www.sec.gov/rules/proposed/33-8501.pdf.
     (Rels. 33-8501; 34-50624, IC-26649; Press Rel. 2004-150)
     

ENFORCEMENT PROCEEDINGS


IN THE MATTER OF HAROLD HARRIS

     An  Administrative  Law Judge has issued an Order  Making  Findings  and
     Imposing  Remedial  Sanctions by Default (Default Order)  in  Harold  F.
     Harris.   The  Order Instituting Proceedings alleged that on  March  13,
     2003, the United States District Court for the Southern District of  New
     York  entered a final judgment of default against Respondents Harold  F.
     Harris (Harris) and Ronald E. Crews (Crews), permanently enjoining  them
     from  violating Sections 5(a), 5(c), and 17(a) of the Securities Act  of
     1933,  Section  10(b) of the Securities Exchange Act of  1934  (Exchange
     Act) and Rule 10b-5 thereunder, barring them from acting as officers and
     directors  of  public companies pursuant to Section 12 of  the  Exchange
     Act,  ordering  them  (jointly and severally) to  pay  disgorgement  and
     prejudgment interest of $2,350,566.99, and ordering each of them to  pay
     a  civil  penalty  in the amount of $110,000.  The Default  Order  finds
     these allegations to be true and bars Respondents Harris and Crews  from
     participating in an offering of penny stock.   (Rel. 34-50623; File  No.
     3-11573)

PROCEEDINGS AGAINST NICHOLAS HOWARD DISMISSED

     On  remand  from  the U.S. Court of Appeals for the  D.C.  Circuit,  the
     Commission determined, in the exercise of its discretion, to dismiss its
     proceedings against Nicholas P. Howard.  The Commission noted  that  the
     court  had set aside the bulk of the findings against Howard,  and  that
     the  remanded  issues related to conduct that occurred  nearly  fourteen
     years ago.  (Rel. 34-50630; File No. 3-8873)
     
MORGAN STANLEY CONSENTS TO THE ISSUANCE OF A CEASE-AND-DESIST ORDER

     The  Commission  today  issued  an  Order  Instituting  Cease-and-Desist
     Proceedings,  Making  Findings, and Imposing  a  Cease-and-Desist  Order
     Pursuant  to  Section 21C of the Securities Exchange Act  of  1934  (the
     Order)  against  Morgan Stanley.  In its Order, the  Commission  found
     that  Morgan  Stanley violated financial reporting, record-keeping,  and
     internal controls provisions of the federal securities laws as a  result
     of  its  conduct  related to its valuation of certain  aircraft  in  its
     aircraft  leasing business in late 2001, late 2002, and early  2003,  as
     well  as  certain bonds in its high-yield bond portfolio in  late  2000.
     Specifically,   regarding  its  aircraft  valuations,   Morgan   Stanley
     undervalued impairments taken on certain of its aircraft in  late  2001,
     late  2002  and  early  2003, which resulted in  Morgan  Stanley  filing
     financial  reports  with  the Commission that  overstated  earnings  for
     certain  reporting periods in a manner not in conformity with  Generally
     Accepted Accounting Principals (GAAP).  Regarding its high-yield  bond
     portfolio,  Morgan Stanley overvalued certain bonds in the portfolio  in
     2000,  which resulted in the Company filing a financial report with  the
     Commission that understated losses it had incurred on these bonds  in  a
     manner  not  in  conformity with GAAP. Morgan  Stanley  also  failed  to
     maintain  sufficient underlying documentation supporting its  valuations
     and the Companys internal controls failed to ensure that it valued both
     its  aircraft  and  bond  positions in  accordance  with  GAAP.  Without
     admitting or denying the Commissions findings, Morgan Stanley consented
     to  the issuance of the Order, which orders Morgan Stanley to cease  and
     desist  from  committing or causing violations  of,  and  committing  or
     causing  any  future  violations of, Sections  13(a),  13(b)(2)(A),  and
     13(b)(2)(B)  of the Securities Exchange Act of 1934 (Exchange  Act)  and
     Exchange  Act Rules 12b-20, 13a-1, 13a-11, and 13a-13.  (Rel.  34-50632;
     AAE Rel. 2132; File No. 3-11725)
     
SEC  BRINGS  SETTLED  ACTION AGAINST FREMONT INVESTMENT ADVISORS,  INC.   AND
NANCY TENGLER AND LITIGATED ACTION AGAINST LARRY ADAMS
                                      
     On  November  4, the Commission filed settled administrative proceedings
     against  San  Francisco-based  mutual fund  adviser  Fremont  Investment
     Advisors,  Inc.  (Fremont) and former President and CEO  Nancy  Tengler.
     The  Commission  also  brought litigated administrative  and  cease-and-
     desist proceedings against former Vice President of Institutional  Sales
     Larry  Adams.   The Commission found Fremont entered into  improper  and
     undisclosed  agreements allowing favored large investors  to  engage  in
     rapid  in-and-out securities trading known as market timing and  charged
     Tengler  and Adams for their role in Fremonts misconduct.   In addition
     to  the  market  timing  charges,  the Commission  charged  Fremont  for
     allowing  mutual  fund trades to be placed after the  4:00  p.m.  market
     close.   Without admitting or denying the Commissions findings, Fremont
     has  agreed  to  pay  $4.146 million, including disgorgement  of  $2.146
     million  and  a civil penalty of $2 million, to settle the  Commissions
     charges.  The Commission anticipates distributing the recovered money to
     investors of the mutual funds affected by the market timing.

     According  to  the Commissions order, Fremonts mutual fund  prospectus
     prohibited market timing, and the firm enforced this policy by employing
     a  timing cop to monitor and block excessive trading.  Notwithstanding
     this  policy, Fremont entered into undisclosed agreements  in  2001  and
     2002  allowing  certain large investors to engage in  market  timing  in
     Fremonts Global and U.S. Micro-Cap Funds.  The Commissions order found
     that  one  of these agreements included a requirement that the  investor
     place a multimillion-dollar long-term investment (or sticky asset)  in
     another  Fremont fund, one recently established and co-managed by  then-
     CEO  Nancy Tengler.  The Commission alleges that Sales VP Adams  crafted
     the  agreement,  and finds that Tengler allowed the  arrangement  to  go
     forward.   The improper market timing arrangements generated  additional
     fees  of  at  least $170,000 for Fremont between 2001  and  2002,  while
     allowing significant growth in the size of the fund founded by Tengler.
     
     The  Commission also found that a Fremont employee improperly authorized
     a brokerage firm to place mutual fund orders after the 4:00 p.m. Eastern
     Time market close, while still receiving the current days price.   This
     arrangement  conferred an unfair advantage upon the brokers  customers,
     allowing   them  the  opportunity  to  profit  from  post-market   close
     information   and  stale  prices  at  the  expense  of   other   Fremont
     shareholders.
     
     The Order against Fremont finds that Fremont willfully violated Sections
     206(1) and 206(2) of the Investment Advisers Act and Sections 17(d)  and
     34(b)   of  the  Investment  Company  Act  and  Rules  17d-1  and  22c-1
     thereunder.   Fremont has agreed to undertake certain  remedial  actions
     and to cease and desist from similar violations in the future.

     The  Order against Tengler finds that Tengler willfully violated Section
     206(2)  of  the  Investment  Advisers  Act  and  Section  34(b)  of  the
     Investment  Company Act and caused Fremonts violation of Section  17(d)
     of  the Investment Company Act and Rule 17d-1 thereunder.  Nancy Tengler
     has  agreed, without admitting or denying the Commissions findings,  to
     cease  and  desist  from  committing  or  causing  violations  of  those
     provisions  in the future.  Tengler also has agreed to pay  disgorgement
     of  $27,000  and  a civil penalty of $100,000, and has consented  to  an
     order  suspending  her  from associating with an investment  adviser  or
     investment company for 6 months.
     
     Finally,  the Commission instituted litigated administrative and  cease-
     and-desist  proceedings against former Vice President  of  Institutional
     Sales Larry Adams, alleging that he negotiated an improper market timing
     agreement  on  behalf of Fremont and charging him with willfully  aiding
     and abetting and causing Fremonts violations of the Investment Advisers
     Act.  (Fremont Investment Advisors, Inc. - Rels. IA-2317, IC-26650, File
     No.  3-11726, Press Rel. 2004-153); (Nancy Tengler  Rels. IA-2318,  IC-
     26651,  File No. 3-11727); (Larry Adams  Rels. IA-2319, IC-26652,  File
     No. 3-11728)

SEC  CHARGES  TREYTON THOMAS AND PEMBRIDGE GROUP, LTD. WITH SECURITIES  FRAUD
AND STOCK MANIPULATION

     The Commission announced that on November 1 it filed civil fraud charges
     against  Treyton L. Thomas, a resident of Boston, Massachusetts,  and  a
     company  he founded, Pembridge Group, Ltd., for engaging in a scheme  to
     manipulate  the  securities  of Imagis Technologies,  Inc.,  a  Canadian
     software company quoted on the OTC-Bulletin Board.
     
     In  a  complaint filed in U.S. District Court in Boston the SEC  alleges
     that  from  at  least 1999 through 2002, Thomas generated several  false
     press  releases in which he claimed to be the chairman of  Pembridge,  a
     purported  multi-faceted  investment firm that managed  several  hundred
     million dollars and provided growth capital to formative companies.   In
     fact,  it is alleged, Pembridge had no such assets under management  and
     instead  was  simply  a front that Thomas used to gain  credibility  and
     further  his  fraudulent  scheme.  The Commission  charges  that,  after
     several   of   the  false  press  releases  were  disseminated,   Thomas
     manipulated  the  stock  of Imagis by causing  Pembridge  to  propose  a
     fraudulent cash tender offer for all of Imagis outstanding  stock.   On
     March  6,  2002, Pembridge publicly announced the proposed tender  offer
     with a potential offer price of over $4.00 per share (almost double  the
     price   at   which  Imagis  stock  was  trading  in  previous  months).
     Pembrdiges March 6 announcement sent the price of Imagis stock up to a
     52-week  high  of  $3.40.   As  alleged, neither  Thomas  nor  Pembridge
     controlled  or had access to hundreds of millions of dollars  let  alone
     the resources necessary to buy out Imagis shareholders.
     
     The  SEC  further alleges in the complaint that prior to announcing  the
     false  tender  proposal, Thomas had arranged for an  offshore  entity  
     known  as Indo Sakura Trust  to acquire over 100,000 warrants of Imagis
     stock.  Shortly before the fraudulent March 6 tender offer announcement,
     Indo  Sakura converted 70,000 warrants to shares and, a few  days  after
     the  bogus release, Indo Sakura exercised its remaining 35,000 warrants.
     Pembridge  also  acquired warrants to purchase 50,000 shares  of  Imagis
     stock  at  $2.20 (CDN) a share.   In addition, Thomas advised  purported
     clients  to  purchase  Imagis  stock.  The  Defendants  illicit  scheme
     artificially inflated the value of Indo Sakura's Imagis stock,  as  well
     as the securities held directly by Pembridge and its purported clients.
     
     The  SEC alleges that Thomas and Pembridge violated Section 10(b) of the
     Exchange  Act, and Rule 10b-5 thereunder, by their fraudulent scheme  to
     manipulate  the market in Imagis stock.  The Commission further  alleges
     that the defendants violated Section 14(e) of the Exchange Act, and Rule
     14e-8  thereunder  by  their false and fraudulent communication  of  the
     tender  offer.   The relief sought in the complaint as to  each  of  the
     Defendants includes permanent injunctions from further violations of the
     general  and tender offer antifraud provisions of the federal securities
     laws, disgorgement of ill-gotten gains with prejudgement interest, civil
     monetary  penalties, penny stock bars, and a permanent  bar  prohibiting
     Thomas  from  serving  as an officer or director of  a  public  company.
     [SEC v. Treyton L. Thomas, et al., Civil Action No. 04-12315 (PBS) D.MA]
     (LR-18957)
     
WACHOVIA AGREES TO AN INJUNCTION AND $37 MILLION PENALTY

     The  Commission today filed a settled civil action in the U.S.  District
     Court   for  the  District  of  Columbia  against  Wachovia  Corporation
     (Wachovia)  for violations of proxy disclosure laws and other  reporting
     rules  involving the 2001 merger between First Union Corporation  (First
     Union)  and  Old  Wachovia  Corporation (Old Wachovia).   The  complaint
     alleges  that  Old  Wachovia  and First  Union  failed  to  disclose  in
     quarterly  reports  and in a joint proxy statement-prospectus  filed  in
     connection  with the merger the total number of shares  of  First  Union
     common stock (FTU) that Old Wachovia intended to and did purchase during
     the  period  when  First Union and SunTrust Corporation (SunTrust)  were
     engaged  in  a  hostile  takeover  battle  for  Old  Wachovia.   Without
     admitting  or  denying  the  allegations  in  the  complaint,   Wachovia
     consented  to  entry  of  a judgment enjoining  it  from  violating  the
     Sections  13(a)  and 14(a) of the Securities Exchange Act  of  1934  and
     Rules 12b-20, 13a-13 and 14a-9 thereunder and to pay a civil penalty  of
     $37  million.   [SEC  v. Wachovia Corporation, Civil Action  No.  041910
     (D.D.C.)] (LR-18958; Press Rel. 2004-152)
     
SEC  OBTAINS  PRELMINARY  INJUNCTION, ASSET  FREEZE,  AND  A  RECEIVER  IN  A
NATIONWIDE $24.5 MILLION PRIME BANK PONZI SCHEME
     
     On  November  1, the Commission obtained a preliminary injunction  in  a
     multi-million  dollar  securities  fraud  scheme  perpetrated  by   five
     defendants: Learn Waterhouse, Inc. (LWI), a Texas corporation  based  in
     Jacksonville,  Florida and Tyler, Texas; Randall T.  Treadwell,  46,  of
     Savannah,  Georgia;  Rick  D. Sluder, 47,  of  Tyler,  Texas;  Larry  C.
     Saturday,  57,  of  Savannah, Georgia; and Arnulfo  M.  Acosta,  41,  of
     Edinburg, Texas.  The defendants have raised at least $24.5 million from
     the  offer  and  sale  of  fictitious  prime  bank  instruments.   The
     Honorable  Thomas  J.  Whelan,  United States  District  Judge  for  the
     Southern District of California, also granted additional relief that the
     Commission  sought,  including  orders  freezing  assets,  appointing  a
     permanent  receiver over LWI, and requiring the defendants to repatriate
     assets from abroad.
     
     The  Commissions complaint, filed on October 12 in federal court in San
     Diego,  alleges that the defendants raised at least $24.5  million  from
     1700  investors nationwide by conducting a fraudulent prime bank scheme.
     According  to  the  complaint, LWI pooled investor funds  to  engage  in
     buy/sell  transactions in a secret, invitation only  bank  trading
     program  that  generated investor returns ranging from  5%  to  50%  per
     month.   The  defendants  represented  that  one  such  trading  program
     purportedly earned investors 500% in just 60 days.  The defendants  also
     represented  that an investors principal was secured by a  pre-funded,
     cash-back  instrument  issued  by a top U.S.  bank,  which  purportedly
     restricted   LWIs   bank  trading  program  to   completely   risk-free
     transactions.
          
     According  to  the  complaint, these representations  were  false.   The
     defendants  instead  were  promoting a  fictitious  prime  bank  trading
     program and operating a Ponzi scheme.  At least $8.2 million, or  46.9%,
     of  the  returns  paid  to  investors came  from  investor  funds.   The
     defendants also misappropriated at least $2.5 million in investor  funds
     to  support themselves and finance other businesses.  The complaint also
     alleges that there was no bank trading program, nor were investor  funds
     secured  by  a  pre-funded,  cash-back instrument;  rather,  the  bank
     trading program and the extraordinary returns promised by the defendants
     were part of a prime bank investment fraud.
     
     In  its  lawsuit, the Commission obtained an order freezing each of  the
     defendants  assets, an order appointing Thomas Lennon  as  a  permanent
     receiver  over  LWI,  an  order requiring the defendants  to  repatriate
     assets  from  abroad, and a preliminary injunction prohibiting  all  the
     defendants  from  future violations of the securities  registration  and
     antifraud  provisions   Sections 5(a), 5(c) and 17(a) of the Securities
     Act  of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act
     of  1934  and Rule 10b-5 thereunder.  In addition to the relief  already
     granted  by  the Court, the Commission will seek permanent  injunctions,
     disgorgement and civil penalties against all defendants.  [SEC v.  Learn
     Waterhouse,  Inc.;  Randall  T. Treadwell;  Rick  D.  Sluder;  Larry  C.
     Saturday;  and  Arnulfo M. Acosta, Civil Action No. 04-CV-2037  W  (LSP)
     SDCA] (LR-18959)
     

SELF-REGULATORY ORGANIZATIONS
     

APPROVAL OF PROPOSED RULE CHANGES

     The  Commission approved a proposed rule change and Amendments No. 1 and
     No.  2  thereto (SR-CHX-2003-07) submitted by the Chicago Stock Exchange
     relating to out-of-range execution rules.  (Rel. 34-50619)
     
     The  Commission  approved  a proposed rule change  (SR-BSE-2004-25)  and
     Amendment  Nos.  1,  2  and 3 thereto and issued notice  of  filing  and
     granted  accelerated approval to Amendment No. 4 to  the  proposed  rule
     change submitted by the Boston Stock Exchange relating to the Specialist
     Performance Evaluation Program.  (Rel. 34-50622)
     
     The  Commission  has  granted approval of a  proposed  rule  change  and
     accelerated approval of Amendment Nos. 2 and 3 thereto (SR-NYSE-2004-41)
     submitted  by the New York Stock Exchange to amend Section 303A  of  the
     NYSE   Listed   Company   Manual  relating  to   corporate   governance.
     Publication  of the proposal is expected in the Federal Register  during
     the week of November 8. (Rel. 34-50625)

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

     A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2004-
     37)   relating  to  the  trading  of  Nasdaq/NM  securities  has  become
     immediately effective under Section 19(b)(3)(A) of the Act.  Publication
     of  the proposal is expected in the Federal Register during the week  of
     November 8. (Rel. 34-50620)

     A  proposed  rule change filed by the National Association of Securities
     Dealers making technical modifications to the NASD Trade Reporting Rules
     (SR-NASD-2004-151) 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 November 8. (Rel. 34-
     50621)
     

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:
     <publicinfo@sec.gov>.  In most cases, this information is also available
     on the Commission's website: <www.sec.gov>.

     

S-3     BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA,
        30309-3610, 4042492000 - 0 ($522,900,000.00) Equity, (File 333-120170 -
        Nov. 3) (BR. 37)

S-8     GREAT PLAINS ENERGY INC, 1201 WALNUT, KANSAS CITY, MO, 64106,
        8165562200 - 1,000,000 ($28,550,000.00) Equity, (File 333-120172 -
        Nov. 3) (BR. 02)

S-8     SHEFFIELD PRODUCTS INC / DE, 4750 TABLE MESA DRIVE, BOULDER, CO, 80303,
        3034943000 - 2,000,000 ($200,000.00) Equity, (File 333-120173 - Nov. 3)
        (BR. 09)

SB-2    ZONE 4 PLAY INC, 103 FOULK ROAD SUITE 202, WILMINGTON, DE, 19803,
        302-691-6177 - 16,553,530 ($14,318,803.45) Equity, (File 333-120174 -
        Nov. 3) (BR. 09)

S-8     SCORES HOLDING CO INC, 150 EAST 58TH STREET, SUITE, NEW YORK, NY,
        10022, 212-421-8480 - 1,000,000 ($40,000.00) Equity, (File 333-120178 -
        Nov. 3) (BR. 05)

SB-2    NIGHTHAWK SYSTEMS INC, 8200 EAST PACIFIC PLS, SUITE 204, DENVER, CO,
        80231, 2103414811 - 52,864,500 ($6,343,740.00) Equity,
        (File 333-120179 - Nov. 3) (BR. 37)

S-8     GLOBAL BUSINESS MARKETS INC, 3859 WEKIVA SPRINGS ROAD, SUITE 302,
        LONGWOOD, FL, 32779, 407-884-6859 - 0 ($380,000.00) Equity,
        (File 333-120180 - Nov. 3) (BR. 02)

S-3D    FENTURA FINANCIAL INC, 175 NORTH LAROY, FENTON, MI, 48430-0725,
        8106292263 - 100,000 ($3,940,000.00) Equity, (File 333-120182 - Nov. 3)
        (BR. 07)

S-8     BE AEROSPACE INC, 1400 CORPORATE CTR WY, WELLINGTON, FL, 33414,
        5617915000 - 500,000 ($4,175,000.00) Equity, (File 333-120183 - Nov. 3)
        (BR. 06)

F-1     NINETOWNS DIGITAL WORLD TRADE HOLDINGS LTD,
        9TH FLOOR UNION PLAZA 20 CHAOWAI STREET,
        CHAOYANG DISTRICT BEIJING 100020, BEIJING, F4, 00000, 85228684186 -
        0 ($168,626,324.00) ADRs/ADSs, (File 333-120184 - Nov. 3) (BR. 08)

S-8     SCRIPPS E W CO /DE, 312 WALNUT STREET, CININNATI, OH, 45202,
        5139773000 - 600,000 ($28,446,000.00) Equity, (File 333-120185 -
        Nov. 3) (BR. 05)

S-3     SCRIPPS E W CO /DE, 312 WALNUT STREET, CININNATI, OH, 45202,
        5139773000 - 0 ($5,535,072.00) Equity, (File 333-120186 - Nov. 3)
        (BR. 05)

S-1     Celanese CORP, 1601 WEST LBJ FREEWAY, DALLAS, TX, 75234, 908-901-4500 -
        0 ($750,000,000.00) Equity, (File 333-120187 - Nov. 3) (BR. )

S-3     POPE & TALBOT INC /DE/, 1500 SW FIRST AVE, PORTLAND, OR, 97201,
        5032289161 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
        (File 333-120188 - Nov. 3) (BR. 04)

S-3     CROSS COUNTRY HEALTHCARE INC, 6551 PARK OF COMMERCE BLVD, SUITE 200,
        BOCA RATON, FL, 33487, 8003472264 -
        11,403,455 ($166,547,460.28) Equity, (File 333-120189 - Nov. 3) (BR. 37)

S-3     UNIVERSAL AMERICAN FINANCIAL CORP, SIX INTERNATIONAL DRIVE, SUITE 190,
        RYE BROOK, NY, 10573-1068, 9149345200X253 -
        5,000,000 ($59,400,000.00) Unallocated (Universal) Shelf,
        (File 333-120190 - Nov. 3) (BR. 01)

S-4     CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 -
        0 ($4,084,955,000.00) Non-Convertible Debt, (File 333-120193 - Nov. 3)
        (BR. 07)

S-8     REDBACK NETWORKS INC, 300 HOLGER WAY, SAN JOSE, CA, 95134, 4087505000 -
        1,000,000 ($3,765,000.00) Equity, (File 333-120195 - Nov. 3) (BR. 03)

S-8     SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX,
        77027, 7132358800 - 4,500,000 ($103,725,000.00) Equity,
        (File 333-120196 - Nov. 3) (BR. 07)

S-8     SOUTHWEST BANCORP OF TEXAS INC, 4400 POST OAK PARKWAY, HOUSTON, TX,
        77027, 7132358800 - 200,000 ($4,610,000.00) Equity, (File 333-120197 -
        Nov. 3) (BR. 07)

S-8     POINTE FINANCIAL CORP, 21845 POWERLINE RD, BOCA RATON, FL, 33433,
        4073686300 - 174,330 ($5,927,220.00) Equity, (File 333-120198 - Nov. 3)
        (BR. 07)

S-4     INSIGHT HEALTH SERVICES HOLDINGS CORP, ONE FEDERAL ST, BOSTON, MA,
        02110, 6177531100 - 0 ($25,000,000.00) Non-Convertible Debt,
        (File 333-120199 - Nov. 3) (BR. 01)

SB-2    CENTURION GOLD HOLDINGS INC, SECOND FLOOR - WEST TOWER SANDTON SQUARE,
        CORNER MAUDE AND 5 STREET, SANDTON, T3, 2146, 2711881-5563 -
        4,896,104 ($3,525,194.88) Equity, (File 333-120200 - Nov. 3) (BR. 05)

S-8     ENCISION INC, 4828 STERLING DR, BOULDER, CO, 80302, 3034442600 -
        0 ($1,109,065.00) Equity, (File 333-120201 - Nov. 3) (BR. 36)

F-3     AMERICA MOVIL SA DE CV/, LAGO ALBERTO 366, COLONIA ANAHUAC MEXICO DF,
        MEXICO, O5, 11320, 5257033990 -
        0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-120202 - Nov. 3)
        (BR. 37)

S-1     ARTEMIS INTERNATIONAL SOLUTIONS CORP, 4041 MACARTHUR BLVD., SUITE 260,
        NEWPORT BEACH, CA, 92660, 9496607100 - 0 ($2,172,094.00) Equity,
        (File 333-120204 - Nov. 3) (BR. 03)

S-4     NRG ENERGY INC, 901 MARQUETTE AVE, SUITE 2300, MINNEAPOLIS, MN, 55402,
        6123735300 - 0 ($1,725,000,000.00) Equity, (File 333-120205 - Nov. 3)
        (BR. 02)

S-11    PROVIDENT SENIOR LIVING TRUST, 600 COLLEGE ROAD EAST, SUITE 3400,
        PRINCETON, NJ, 08540, 6097200825 - 0 ($439,000,005.00) Equity,
        (File 333-120206 - Nov. 3) (BR. )

S-8     LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER,
        BRITISH COLUMBIA CN, A1, 6046826541 - 0 ($1,000,000.00) Equity,
        (File 333-120207 - Nov. 3) (BR. 09)

S-1     CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA,
        90049, 310-826-5648 - 8,630,000 ($12,280,200.00) Equity,
        (File 333-120208 - Nov. 3) (BR. 01)



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 Registrants 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 Registrants 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:  <publicinfo@sec.gov>.  In most cases,
this   information   is   also   available  on  the   Commission's   website:
<www.sec.gov>.




                                       STATE     8K ITEM NO.
NAME OF ISSUER                         CODE   				    DATE     COMMENT
------------------------------------------------------------------------------------------------
1 800 CONTACTS INC                      DE       2.02,9.01                      11/02/04

1ST COLONIAL BANCORP INC                PA       2.02,9.01                      11/03/04

5 G WIRELESS COMMUNICATIONS INC         NV       5.02,9.01                      10/27/04

AAMES FINANCIAL CORP/DE                 DE       8.01,9.01                      11/02/04

AAMES INVESTMENT CORP                   MD       8.01,9.01                      11/02/04

ABFC ASSET-BACKED CERTIFICATES SERIES   DE       8.01,9.01                      10/25/04

ABFC ASSET-BACKED CERTIFICATES SERIES   DE       8.01,9.01                      10/25/04

ABFC Asset-Backed Certificates, Serie   DE       8.01,9.01                      10/25/04

ABLE LABORATORIES INC                   DE       2.02,9.01                      11/02/04

ABRAXAS PETROLEUM CORP                  NV       1.01,2.03,3.02,9.01            10/28/04

ACADIA REALTY TRUST                     MD       2.02,7.01,9.01                 11/01/04

ACCESS ANYTIME BANCORP INC              DE       2.01,9.01                      11/01/04

ACCREDO HEALTH INC                      DE       2.02,9.01                      11/01/04    AMEND

ACE SECURITIES CORP HOME EQUITY LOAN    DE       8.01,9.01                      10/25/04

ACE SECURITIES CORP HOME EQUITY LOAN    DE       8.01,9.01                      10/25/04

ACE SECURITIES CORP HOME EQUITY LOAN    DE       8.01,9.01                      10/25/04

ACE Securities Corp Series 2004-FM2     DE       8.01,9.01                      10/25/04

ACE Securities Corp Series 2004-IN1     DE       8.01,9.01                      10/25/04

ACE Securities Corp Series 2004-RM1     DE       8.01,9.01                      10/25/04

ADVANCE AUTO PARTS INC                  DE       2.02,9.01                      11/03/04

ADVANCED INTEGRATED MANAGEMENT SERVIC   UT       5.02,5.03,8.01,9.01            10/29/04

ADVENTRX PHARMACEUTICALS INC            DE       8.01,9.01                      11/02/04

AEGIS ASSET BACKED SEC CORP MORT PAS    DE       8.01,9.01                      10/25/04

AEGIS ASSET BACKED SEC TR MORT PASS T   DE       8.01,9.01                      10/25/04

AEGIS ASSET BACKED SECURITIES TRUST M   DE       8.01,9.01                      10/25/04

AEROPOSTALE INC                                  7.01,9.01                      11/03/04

AETHER SYSTEMS INC                      DE       2.02,9.01                      11/02/04

AKSYS LTD                               DE       2.02,9.01                      11/03/04

ALLIANCE IMAGING INC /DE/               DE       2.02,9.01                      11/01/04

ALLIED HOLDINGS INC                     GA       1.01,9.01                      10/29/04

ALLOS THERAPEUTICS INC                  DE       8.01,9.01                      10/31/04

ALPHA TECHNOLOGIES GROUP INC            DE       5.01                           10/29/04

AMERICA WEST HOLDINGS CORP              DE       2.02,9.01                      11/02/04

AMERICAN AIRLINES INC                   DE       8.01                           11/03/04

AMERICAN CAPITAL STRATEGIES LTD                  2.02,9.01                      11/02/04

AMERICAN FINANCIAL REALTY TRUST                  8.01,9.01                      11/03/04

AMERICAN FINANCIAL REALTY TRUST                  9.01                           09/22/04    AMEND

AMERICAN FINANCIAL REALTY TRUST                  9.01                           10/01/04    AMEND

AMERICAN HEALTHWAYS INC                 DE       1.01,1.02,2.03,9.01            10/29/04

AMERICAN HOME MORT SECURITIES HOME MO   DE       8.01,9.01                      10/25/04

AMERICAN HOME MORTGAGE INVESTMENT TRU   DE       8.01,9.01                      10/25/04

AMERICAN HOMEPATIENT INC                DE       2.02,9.01                      11/02/04

AMERICAN IDC CORP                       FL       1.01,3.02,9.01                 10/28/04

AMERICAN MEDICAL SECURITY GROUP INC     WI       2.02,9.01                      09/30/04

AMERICAN TECHNICAL CERAMICS CORP        DE       2.02,9.01                      11/03/04

AMR CORP                                DE       8.01                           11/03/04

ANALEX CORP                             NY       2.02,9.01                      11/03/04

ANALOGIC CORP                           MA       3.01,9.01                      11/02/04

ANDRX CORP /DE/                         DE       2.02,9.01                      11/03/04

ANGELES PARTNERS XI                     CA       5.02                           10/29/04

ANGELES PARTNERS XII                    CA       5.02                           10/29/04

ANTEON INTERNATIONAL CORP               DE       1.01,9.01                      11/03/04

ANTHRACITE CAPITAL INC                  MD       2.02,8.01,9.01                 11/03/04

ANWORTH MORTGAGE ASSET CORP             MD       5.03,8.01,9.01                 11/01/04

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02,9.01                      10/29/04

APPLIED DIGITAL SOLUTIONS INC           MO       1.01,9.01                      11/01/04

APROPOS TECHNOLOGY INC                           4.01,9.01                      10/29/04

ARADYME CORP                            DE       8.01                           11/03/04

ARCHSTONE SMITH TRUST                   CO       2.02,9.01                      11/03/04

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       2.02,9.01                      11/02/04

ARTESIAN RESOURCES CORP                 DE       2.02                           11/01/04

ASA INTERNATIONAL LTD                   DE       8.01,9.01                      11/02/04

Asset Back Pass-Through Certificates,   DE       8.01,9.01                      10/25/04

ASSET BACKED SEC CORP ASSET BACK PASS   DE       8.01,9.01                      10/25/04

ASSET BACKED SECURITIES CORP            DE       8.01,9.01                      11/03/04

ASTRALIS LTD                            CO       1.01,5.02                      10/27/04    AMEND

ATNG INC                                NV       8.01                           04/14/04

AUTOBYTEL  INC                          DE       1.01,9.01                      11/01/04

AUTODESK INC                            DE       1.01,2.03                      10/28/04

AUXILIUM PHARMACEUTICALS INC                     2.02,9.01                      11/02/04

AVATECH SOLUTIONS INC                   DE       1.01,2.03                      10/28/04

AVENUE GROUP INC                        DE       8.01,9.01                      10/31/04

AXCELIS TECHNOLOGIES INC                DE       2.02                           11/03/04

AXESSTEL INC                            NV       2.02,9.01                      11/03/04

AXIS CAPITAL HOLDINGS LTD                        2.02,8.01,9.01                 11/03/04

AXTIVE CORP                             DE       3.02                           11/01/04

BAKER MICHAEL CORP                      PA       2.02,9.01                      11/03/04

BALDWIN TECHNOLOGY CO INC               DE       2.02,8.01,9.01                 10/28/04

BANC CORP                               DE       2.02,9.01                      11/02/04

BANCSHARES OF FLORIDA INC               FL       5.02,9.01                      10/01/04

BANK OF AMERICA CORP /DE/               DE       8.01,9.01                      10/21/04

BARNES & NOBLE INC                      DE       8.01,9.01                      11/03/04

BAYLAKE CORP                            WI       2.02                           11/02/04

BB&T CORP                               NC       5.02                           11/02/04

BEAR STEARNS ASSET BACK SECURITIES TR   DE       8.01,9.01                      10/25/04

BEAR STEARNS ASSET BACKED SECURITIES    DE       8.01,9.01                      10/25/04

BEAR STEARNS ASSET BACKED SECURITIES    DE       8.01,9.01                      07/25/04    AMEND

BEAR STEARNS ASSET-BACKED CERTIFICATE   DE       8.01,9.01                      06/25/04    AMEND

Bear Stearns Commercial Mortgage Secu   DE       8.01,9.01                      10/19/04

BENTLEY COMMERCE CORP                   FL       3.02                           11/03/04

BENTLEY PHARMACEUTICALS INC             DE       2.02,9.01                      11/03/04

BIO ONE CORP                            NV       2.01,9.01                      02/04/04    AMEND

BIOMARIN PHARMACEUTICAL INC             DE       2.02,9.01                      11/03/04

BIOTIME INC                             CA       5.02                           10/28/04

BLUE DOLPHIN ENERGY CO                  DE       1.01,9.01                      11/03/04

BLUEGREEN CORP                          MA       2.03                           10/29/04

BOSTON BEER CO INC                      MA       2.02,9.01                      11/03/04

BOSTON LIFE SCIENCES INC /DE            DE       5.02,9.01                      10/28/04

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       1.01,9.01                      11/01/04

BRINKS CO                               VA       2.02,9.01                      09/30/04

BROOKE CORP                             KS       2.02,9.01                      11/02/04

BRUKER BIOSCIENCES CORP                 DE       2.02,9.01                      11/03/04

BUILDING MATERIALS CORP OF AMERICA      DE       2.02,9.01                      11/03/04

BUSINESS OBJECTS S.A.                            2.02,5.02,9.01                 11/01/04

CABCO SERIES 2002-1 TRUST (AOL TIME W   DE       8.01,9.01                      11/01/04

CABELAS INC                                      2.02,7.01,9.01                 10/28/04    AMEND

CANDELA CORP /DE/                       DE       2.02                           11/02/04

CAP ROCK ENERGY CORP                             1.02,2.03,7.01,9.01            10/29/04

CAPITAL LEASE FUNDING INC                        1.01                           11/01/04

CAPITAL LEASE FUNDING INC                        1.01,2.03,9.01                 11/03/04

CAPITAL SENIOR LIVING CORP              DE       2.02,9.01                      11/02/04

CAPITALSOURCE INC                       DE       1.01,2.03,9.01                 10/28/04

CAPTARIS INC                            WA       2.02,9.01                      11/03/04

CARDINAL BANKSHARES CORP                VA       5.02                           11/02/04

CARRIZO OIL & GAS INC                   TX       1.01,2.02,2.03,9.01            10/29/04

CAS MEDICAL SYSTEMS INC                 DE       2.02,9.01                      10/29/04

CELADON GROUP INC                       DE       5.02                           10/28/04

CELERITEK INC/CA                        CA       8.01,9.01                      10/29/04

CENTERPOINT ENERGY INC                           8.01                           11/02/04

CENTRA FINANCIAL HOLDINGS INC           WV       2.02,9.01                      11/03/04

CENTURY PROPERTIES FUND XVI             CA       5.02                           10/29/04

CEPHALON INC                            DE       2.02,9.01                      11/03/04

CEPHALON INC                            DE       4.02,9.01                      11/01/04

CH ENERGY GROUP INC                     NY       8.01,9.01                      10/29/04

CHAMPIONLYTE HOLDINGS INC               FL       8.01,9.01                      11/02/04

CHASE MANHATTAN BANK USA                DE       8.01,9.01                      10/01/04

CHINDEX INTERNATIONAL INC               DE       5.03,9.01                      10/28/04

CIGNA CORP                              DE       2.02                           11/03/04

CIMAREX ENERGY CO                       DE       2.02                           11/03/04

CINCINNATI BELL INC                     OH       2.02,2.05,9.01                 11/03/04

CITIGROUP MORTGAGE LOAN TRUST INC SER            8.01,9.01                      09/30/04

CLARKSTON FINANCIAL CORP                         2.02,9.01                      11/01/04

CLASSIC BANCSHARES INC                  DE       2.02,9.01                      11/01/04

CLECO CORP                              LA       2.02,9.01                      09/30/04

CMS ENERGY CORP                         MI       2.02                           11/03/04

COHERENT INC                            DE       2.02,9.01                      11/03/04

COLDWATER CREEK INC                     DE       7.01,9.01                      11/03/04

COLONIAL PROPERTIES TRUST               AL       1.01,2.03,9.01                 10/28/04

COLONIAL REALTY LIMITED PARTNERSHIP     DE       1.01,2.03,9.01                 10/28/04

COMMUNITY BANKS INC /PA/                PA       8.01,9.01                      11/02/04

COMMUNITY FIRST BANKSHARES INC          DE       3.01                           11/01/04

COMSYS IT PARTNERS INC                  DE       5.02                           10/27/04

CONCORDE CAREER COLLEGES INC            DE       8.01,9.01                      11/02/04

CONNETICS CORP                          DE       8.01                           11/02/04

CONSOLIDATED CAPITAL INSTITUTIONAL PR   CA       5.02                           10/29/04

CONSOLIDATED CAPITAL INSTITUTIONAL PR   CA       5.02                           10/29/04

CONSOLIDATED CAPITAL PROPERTIES IV      CA       2.01,9.01                      10/29/04

CONSOLIDATED CAPITAL PROPERTIES VI      CA       5.02                           10/29/04

CONSTAR INTERNATIONAL INC               DE       2.02,9.01                      11/03/04

CONSTAR INTERNATIONAL INC               DE       1.01,7.01,9.01                 11/01/04

CONSTAR INTERNATIONAL INC               DE       1.01,9.01                      11/01/04

COPPER MOUNTAIN NETWORKS INC            DE       2.02,9.01                      11/01/04    AMEND

CORCEPT THERAPEUTICS INC                         2.02,9.01                      10/28/04

CORRECTIONS CORP OF AMERICA             MD       2.02,9.01                      11/03/04

CREDIT ACCEPTANCE CORPORATION           MI       2.02,9.01                      11/01/04

CRITICAL THERAPEUTICS INC               DE       2.02                           11/03/04

CSFB MORTGAGE BACKED PASS THR CERTS S   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE BACKED PASS THR CERTS S   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE BACKED PASS THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE BACKED PASS THRU CERT S   DE       8.01,9.01                      10/25/04

CSFB Mortgage-Backed Pass-Through Cer   DE       8.01,9.01                      10/25/04

CSFB Mortgage-Backed Pass-Through Cer   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED PASS-THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED PASS-THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED PASS-THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED PASS-THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED PASS-THROUGH CER   DE       8.01,9.01                      10/25/04

CSFB MORTGAGE-BACKED TRUST SERIES 200   DE       8.01,9.01                      10/25/04

CSFB MTG BACKED P/T CERTIFICATES SERI            8.01,9.01                      10/25/04

CURATIVE HEALTH SERVICES INC                     2.02,5.02,9.01                 11/03/04

CUTERA INC                              DE       2.02,9.01                      11/03/04

CYTOGEN CORP                            DE       2.02,9.01                      11/03/04

CYTOMEDIX INC                           DE       5.02,9.01                      11/02/04

DAVE & BUSTERS INC                      MO       2.01                           11/03/04

DAVITA INC                              DE       2.02,9.01                      11/03/04

DAYTON POWER & LIGHT CO                 OH       4.02                           10/28/04

DEAN FOODS CO/                          DE       2.02,7.01,9.01                 11/03/04

DECODE GENETICS INC                     DE       2.02,9.01                      11/02/04

DELTA AIR LINES INC /DE/                DE       8.01,9.01                      11/02/04

DIEDRICH COFFEE INC                     CA       1.01,5.02,9.01                 10/28/04

DIGITAL FUSION INC/NJ/                  DE       1.01,9.01                      10/28/04

DIMON INC                               VA       3.03,9.01                      11/02/04

DITECH COMMUNICATIONS CORP              DE       2.02,9.01                      11/03/04

DIVINE INC                              DE       8.01,9.01                      10/18/04

DORCHESTER MINERALS LP                  DE       2.02,7.01,9.01                 09/30/04

DPL INC                                 OH       4.02                           10/28/04

DRUGSTORE COM INC                       DE       1.01,5.02,9.01                 09/22/04    AMEND

DUKE ENERGY CORP                        NC       2.02,9.01                      11/03/04

DURATEK INC                             DE       5.02                           10/28/04

DYNEX CAPITAL INC                       VA       2.02                           09/30/04

ECOLLEGE COM                            DE       2.02,9.01                      11/03/04

ECOST COM INC                           DE       1.01,2.02,5.02,9.01            09/30/04

EDAC TECHNOLOGIES CORP                  WI       2.02,9.01                      11/02/04

EFUNDS CORP                             DE       2.02,9.01                      11/03/04

EGAIN COMMUNICATIONS CORP               DE       1.01,2.02,9.01                 11/03/04

ELECTRONIC DATA SYSTEMS CORP /DE/       DE       7.01,9.01                      11/03/04

EMAGIN CORP                             DE       1.01,9.01                      11/03/04

ENERGIZER HOLDINGS INC                  MO       2.02                           11/03/04

ENERGY & ENGINE TECHNOLOGY CORP         NV       7.01,9.01                      11/03/04

ENERGY TRANSFER PARTNERS LP             DE       2.01,9.01                      11/02/04

ENESCO GROUP INC                        IL       2.02,9.01                      11/02/04

ENHERENT CORP                           DE       1.01,2.02,3.02,3.03,5.03,8.01  08/16/04

EntreMetrix CORP                                 1.01,3.02,9.01                 10/28/04

EPIX Pharmaceuticals, Inc.                       8.01,9.01                      11/03/04

EQUIFAX INC                             GA       1.01,5.02,9.01                 10/28/04

ERICO INTERNATIONAL CORP                         2.02,9.01                      11/03/04

ESTEE LAUDER COMPANIES INC              DE       2.02,8.01,9.01                 09/30/04

EVERGREEN SOLAR INC                     DE       2.02,9.01                      11/03/04

EXPRESS SCRIPTS INC                     DE       2.02,8.01,9.01                 11/02/04

FAIRCHILD CORP                          DE       8.01                           11/03/04

FALCON PRODUCTS INC /DE/                DE       4.01,5.02,8.01                 10/28/04

FEDERAL REALTY INVESTMENT TRUST         MD       2.02,9.01                      11/03/04

FINDWHAT COM INC                        NV       2.02,9.01                      11/01/04

FIRST ACCEPTANCE CORP /DE/              DE       1.01,9.01                      10/28/04

FIRST ALBANY COMPANIES INC              NY       2.02,9.01                      11/03/04

FIRST AMERICAN CORP                     CA       5.03                           11/03/04

FIRST BANCSHARES INC /MO/               MO       2.02,9.01                      09/30/04

FIRST CENTURY BANKSHARES INC            WV       2.02,9.01                      11/02/04

FIRST COMMUNITY BANCSHARES INC /NV/     NV       8.01,9.01                      11/03/04

FIRST FEDERAL BANCORP INC/OH/           OH       2.02,9.01                      11/01/04

FIRST FINANCIAL CORP /IN/               IN       2.02                           10/27/04

FIRST HORIZON ASSET SECURITIES INC      DE       8.01,9.01                      10/29/04

FIRST HORIZON ASSET SECURITIES INC      DE       8.01,9.01                      10/19/04

FIRST INDIANA CORP                      IN       2.02,9.01                      10/28/04

FIRST INDIANA CORP                      IN       2.01,9.01                      11/01/04

FIRST NORTHERN COMMUNITY BANCORP        CA       2.02,7.01,9.01                 11/01/04

FIRST UNION COMMERCIAL MORTGAGE SECUR   NC       8.01,9.01                      06/18/04    AMEND

FIRST UNION COMMERCIAL MORTGAGE SECUR   NC       8.01,9.01                      07/18/04    AMEND

FIRST UNION COMMERCIAL MORTGAGE SECUR   NC       8.01,9.01                      08/18/04    AMEND

FIRST WASHINGTON FINANCIAL CORP         NJ       2.02,9.01                      10/29/04

FLORIDA EAST COAST INDUSTRIES INC       FL       2.02,9.01                      11/03/04

FORD MOTOR CO                           DE       8.01,9.01                      11/03/04

FOSTER WHEELER LTD                      D0       2.02,9.01                      11/03/04

FOX ENTERTAINMENT GROUP INC             DE       2.02                           11/03/04

FOX STRATEGIC HOUSING INCOME PARTNERS   CA       5.02                           10/29/04

FRANKLIN CAPITAL CORP                   DE       4.01,7.01,9.01                 10/28/04

FREMONT MICHIGAN INSURACORP INC                  3.03,5.03,9.01                 11/01/04

FRIEDMANS INC                           DE       1.01,5.02,8.01,9.01            11/02/04

GENCORP INC                             OH       1.01,7.01,9.01                 11/01/04

GENERAL CABLE CORP /DE/                 DE       5.02,9.01                      11/03/04

GENERAL MOTORS CORP                     DE       8.01                           11/03/04

GEXA CORP                               TX       1.01,9.01                      11/03/04

GFY FOODS INC                           NV       3.02                           11/01/04

GLENAYRE TECHNOLOGIES INC               DE       2.02,9.01                      11/02/04

GLOBECOMM SYSTEMS INC                            1.01,2.03,9.01                 10/29/04

GMACM HOME EQUITY LOAN TRUST 2004-HE3   DE       9.01                           11/03/04

GMACM HOME EQUITY LOAN TRUST 2004-HE3   DE       9.01                           11/03/04

GMACM HOME EQUITY LOAN TRUST 2004-HE3   DE       9.01                           11/03/04

GMACM HOME EQUITY LOAN TRUST 2004-HE3   DE       9.01                           11/03/04

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                           11/03/04

GREENBRIAR CORP                         NV       3.02,5.02                      11/01/04

GREENFIELD ONLINE INC                   DE       2.02,9.01                      11/03/04

GREENWICH CAPITAL ACC INC PROVIDENT F   DE       8.01,9.01                      10/25/04

GREY WOLF INC                           TX       5.02,9.01                      11/03/04

GSI COMMERCE INC                        DE       7.01,9.01                      11/03/04

GXS CORP                                DE       1.01                           11/01/04

HAIN CELESTIAL GROUP INC                DE       2.02,9.01                      11/03/04

HARRIS CORP /DE/                        DE       2.01,7.01,9.01                 11/03/04

HEALTH FITNESS CORP /MN/                MN       2.02,9.01                      11/03/04

HECTOR COMMUNICATIONS CORP              MN       2.02,9.01                      11/02/04

HOLLY ENERGY PARTNERS LP                DE       8.01,9.01                      11/02/04

HOLLYWOOD CASINO SHREVEPORT             LA       1.03,9.01                      10/30/04

Home Equity Asset Trust 2004-7          DE       8.01,9.01                      11/03/04

Home Equity Loan Asset-Backed Notes,    DE       8.01,9.01                      05/25/04    AMEND

HOME EQUITY LOAN TRUST SERIES 2004-HS   DE       8.01,9.01                      10/25/04

HOMEBANC CORP                           GA       1.01,2.03,9.01                 10/29/04

HOMESTAR MORTGAGE ACCEP CORP ASST BAC   DE       8.01,9.01                      10/25/04

HOMESTORE INC                           DE       2.02                           11/03/04

HOST AMERICA CORP                       DE       1.01,9.01                      10/29/04

HOT TOPIC INC /CA/                      CA       2.02,9.01                      11/03/04

HUDSON TECHNOLOGIES INC /NY             NY       1.01                           10/01/04

HUMAN BIOSYSTEMS INC                    CA       1.01,2.03,3.02,9.01            11/03/04

HUNTINGTON BANCSHARES INC/MD            MD       8.01,9.01                      11/03/04

Huron Consulting Group Inc.             DE       5.02                           10/29/04

I SECTOR CORP                           DE       2.02                           09/30/04

IA GLOBAL INC                           DE       2.02,9.01                      11/01/04

IAC/INTERACTIVECORP                     DE       2.02,7.01                      11/03/04

ID SYSTEMS INC                          DE       2.02,9.01                      11/03/04

ILLINI CORP                             IL       1.01,1.02,3.03,9.01            10/29/04

IMAGEWARE SYSTEMS INC                   CA       5.02                           10/28/04

IMCO RECYCLING INC                      DE       2.02,9.01                      11/02/04

INCO LTD                                         1.01                           10/29/04

INDYMAC INDX MORTGAGE LOAN TRUST 2004            8.01                           10/25/04

INFOSONICS CORP                                  1.01,2.01,8.01,9.01            10/28/04

INSITUFORM TECHNOLOGIES INC             DE       2.02,9.01                      10/28/04

INTELIDATA TECHNOLOGIES CORP            DE       2.02,5.02,9.01                 11/03/04

INTERCARE DX INC                        CA       5.02                           11/03/04

INTEREP NATIONAL RADIO SALES INC        NY       4.01,9.01                      10/08/04    AMEND

INTERFACE INC                           GA       7.01,9.01                      11/02/04

INTERLEUKIN GENETICS INC                DE       2.02,9.01                      11/03/04

INTERMOUNTAIN COMMUNITY BANCORP         ID       2.01,5.02,9.01                 11/02/04

INTERNAP NETWORK SERVICES CORP          DE       5.02,9.01                      09/30/04

INTERNET BUSINESS INTERNATIONAL INC     NV       1.01,8.01,9.01                 11/02/04

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,8.01,9.01                 11/03/04

INTERSTATE HOTELS & RESORTS INC         DE       2.02,9.01                      11/03/04

IPARTY CORP                             DE       2.02,9.01                      11/03/04

IPASS INC                               DE       7.01,9.01                      10/29/04

IPAYMENT INC                            DE       2.02,7.01,9.01                 11/03/04

ISA INTERNATIONALE INC                  DE       1.01                           09/30/04

ISOLAGEN INC                            DE       7.01,9.01                      11/03/04

ITERIS HOLDINGS  INC                    DE       2.01,9.01                      11/03/04

J JILL GROUP INC                        DE       2.02,9.01                      11/03/04

J.P. MORGAN MORTGAGE TRUST 2004-A4      DE       8.01,9.01                      10/25/04

JP MORGAN MORTGAGE TRUST 2004-A1 MORT   DE       8.01,9.01                      10/25/04

K SWISS INC                             DE       8.01,9.01                      11/03/04

K TRON INTERNATIONAL INC                NJ       2.02                           11/03/04

KANA SOFTWARE INC                       DE       5.02                           11/01/04

KANEB PIPE LINE OPERATING PARTNERSHIP   DE       8.01,9.01                      10/31/04

KANEB PIPE LINE PARTNERS L P            DE       1.01,9.01                      10/31/04

KANEB SERVICES LLC                      DE       1.01,9.01                      10/31/04

KANSAS CITY LIFE INSURANCE CO           MO       8.01,9.01                      10/31/04

KENNAMETAL INC                          PA       1.01,2.03,9.01                 10/29/04

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                           11/03/04

KINTERA INC                                      1.01,9.01                      03/18/04    AMEND

KNOLOGY INC                             DE       2.02,9.01                      10/28/04

KOS PHARMACEUTICALS INC                 FL       2.02,9.01                      11/03/04

KV PHARMACEUTICAL CO /DE/               DE       2.02,9.01                      11/01/04

LAFARGE NORTH AMERICA INC               MD       2.02,9.01                      11/02/04

LECG CORP                               DE       1.01,9.01                      10/28/04

LITTLEFIELD CORP                        DE       2.02                           11/02/04

LOJACK CORP                             MA       2.02,9.01                      11/03/04

LOJACK CORP                             MA       2.01,2.03,3.02,9.01            10/29/04

LUBYS INC                               DE       5.02                           10/29/04

MACERICH CO                             MD       1.01                           10/28/04

MAF BANCORP INC                         DE       1.01,2.03,7.01,9.01            11/01/04

MAGNA ENTERTAINMENT CORP                DE       2.02,9.01                      09/30/04

MAGUIRE PROPERTIES INC                  MD       2.02,7.01,9.01                 11/02/04

MAIN STREET RESTAURANT GROUP, INC.      DE       2.02,9.01                      11/03/04

MANNKIND CORP                                    2.02,9.01                      11/03/04

MANOR CARE INC                          DE       7.01,9.01                      11/03/04

MAPICS INC                              GA       2.02                           09/30/04

MARKWEST HYDROCARBON INC                DE       8.01,9.01                      09/28/04

MARVEL ENTERPRISES INC                  DE       2.02,9.01                      10/28/04

MASTR ADJUSTABLE RATE MORTGAGES TRUST   DE       8.01,9.01                      10/25/04

MASTR ADJUSTABLE RATE MORTGAGES TRUST   DE       8.01,9.01                      10/25/04

MASTR Adjustable Rate Mortgages Trust   DE       8.01,9.01                      10/25/04

MASTR Adjustable Rate Mortgages Trust   DE       8.01,9.01                      10/25/04

MASTR Adjustable Rate Mortgages Trust   DE       8.01,9.01                      10/25/04

MASTR Adjustable Rate Mortgages Trust   DE       8.01,9.01                      10/25/04

MASTR ASSET BACKED SECURITIES TRUST 2   DE       8.01,9.01                      07/25/04    AMEND

MATERIAL SCIENCES CORP                  DE       2.02,4.02,9.01                 11/01/04

MATRITECH INC/DE/                       DE       2.02,9.01                      11/03/04

MAX RE CAPITAL LTD                               2.02,8.01,9.01                 10/29/04

MAY DEPARTMENT STORES CO                DE       7.01,9.01                      11/03/04

MDU COMMUNICATIONS INTERNATIONAL INC    DE       8.01                           11/01/04

MEDALLION FINANCIAL CORP                DE       5.02                           11/03/04

MEDICAL STAFFING NETWORK HOLDINGS INC   DE       2.02,9.01                      11/03/04

MENDOCINO BREWING CO INC                CA       1.01,2.03,9.01                 11/01/04

MERCURY AIR GROUP INC                   NY       1.01,9.01                      11/01/04

MERRILL LYNCH INVESTORS TRUST SERIES    DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORT INV INC ASSET BACK   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORT INV INC MLMI Serie   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE ASSET BACK CER   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE ASSET BACK CER   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/19/04

MERRILL LYNCH MORTGAGE INVESTORS TRUS   DE       8.01,9.01                      10/25/04

MERRILL LYNCH MRT INV INC MRT LN AST    DE       8.01,9.01                      10/25/04

METASOLV INC                            DE       2.02,9.01                      11/03/04

METRETEK TECHNOLOGIES INC               DE       1.01,9.01                      11/01/04

MFB CORP                                IN       9.01                           09/30/04

MICROTEK MEDICAL HOLDINGS INC           GA       2.02,9.01                      11/03/04

MIKOHN GAMING CORP                      NV       8.01,9.01                      11/03/04

MILACRON INC                            DE       2.02,9.01                      11/03/04

MILLER HERMAN INC                       MI       7.01,9.01                      11/03/04

MINE SAFETY APPLIANCES CO               PA       9.01                           11/03/04

MINGHUA GROUP INTERNATIONAL HOLDINGS    NY       1.01,9.01                      10/29/04

MODTECH HOLDINGS INC                    CA       2.02,9.01                      11/03/04

MOLINA HEALTHCARE INC                   DE       2.02,9.01                      11/03/04

MORGAN STANLEY ABS CAPITAL I INC        DE       8.01,9.01                      11/01/04

MORGAN STANLEY ABS CAPITAL I INC        DE       8.01,9.01                      10/20/04

MORGAN STANLEY DEAN WITTER CAPITAL I    DE       8.01,9.01                      10/25/04

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/25/04

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/25/04

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/25/04

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/25/04

Morgan Stanley Mortgage Loan Trust 20   DE       8.01,9.01                      10/25/04

MORTGAGE ASSET SEC TRANS INC MASTR AD   DE       8.01,9.01                      10/25/04

MORTGAGE ASSET SECURITIZATION TRANSAC   DE       8.01,9.01                      11/03/04

MortgageIT Trust 2004-1                 DE       8.01,9.01                      10/25/04

MYOGEN INC                              DE       2.02,9.01                      11/03/04

NANOGEN INC                             DE       2.02,9.01                      11/03/04

NATIONAL PRESTO INDUSTRIES INC          WI       2.02,9.01                      11/02/04

NATIONAL PROPERTY INVESTORS 8 /CA/      CA       5.02                           10/29/04

NATIONAL RESEARCH CORP                  WI       2.02,9.01                      11/02/04

NATIONAL RURAL UTILITIES COOPERATIVE    DC       8.01                           11/01/04

NATIONAL SECURITY GROUP INC             DE       8.01,9.01                      11/02/04

NATIONAL TAX CREDIT INVESTORS II        CA       5.02                           10/29/04

NATURAL RESOURCE PARTNERS LP            DE       2.02,9.01                      11/03/04

NEKTAR THERAPEUTICS                     DE       2.02                           11/03/04

NEOWARE SYSTEMS INC                     DE       8.01                           11/03/04

NETOPIA INC                             DE       8.01                           10/29/04

NEXEN INC                               A0       1.01,9.01                      10/29/04

NEXMED INC                              NV       5.02,9.01                      11/01/04

NOBLE CORP                                       8.01                           11/02/04

NOBLE ENERGY INC                        DE       1.01,1.02,2.03,9.01            10/28/04

NOFIRE TECHNOLOGIES INC                 DE       5.01                           11/01/04

NORTECH SYSTEMS INC                     MN       5.02                           11/01/04

NOVADEL PHARMA INC                      DE       4.02,9.01                      09/30/04    AMEND

NOVAMED INC                             DE       2.02,9.01                      11/03/04

NOVOSTE CORP /FL/                       FL       2.02,9.01                      11/03/04

NTL INC                                 DE       2.02                           11/03/04

NUTEK OIL INC.                          NV       5.02                           09/30/04

OCEANEERING INTERNATIONAL INC           DE       2.02,9.01                      11/02/04

ODYSSEY HEALTHCARE INC                  DE       5.02                           10/15/04    AMEND

OFFSHORE LOGISTICS INC                  DE       2.02,9.01                      09/30/04

OLYMPIC CASCADE FINANCIAL CORP          DE       8.01,9.01                      11/01/04

ORBITZ INC                              DE       2.02,9.01                      11/03/04

ORTEC INTERNATIONAL INC                 DE       4.01,9.01                      10/29/04

OSI SYSTEMS INC                         CA       2.02,7.01,9.01                 10/28/04

OSULLIVAN INDUSTRIES HOLDINGS INC       DE       2.02,7.01,9.01                 09/30/04

OTISH MOUNTAIN DIAMOND CO               NV       5.02,9.01                      10/27/04

PAC-WEST TELECOMM INC                            2.02,9.01                      11/02/04

PACCAR INC                              DE       8.01,9.01                      11/01/04

PACIFIC ENERGY PARTNERS LP                       1.01,7.01,9.01                 10/29/04

PACIFIC MERCANTILE BANCORP              CA       2.02,9.01                      10/28/04

PACIFICARE HEALTH SYSTEMS INC /DE/      DE       2.02,7.01,9.01                 11/03/04

PANERA BREAD CO                         DE       8.01                           10/30/04

PAPA JOHNS INTERNATIONAL INC            DE       2.02,9.01                      11/02/04

PEGASUS COMMUNICATIONS CORP /           DE       1.02,9.01                      11/03/04

PEMSTAR INC                             MN       2.02,8.01,9.01                 11/03/04

PENN TREATY AMERICAN CORP               PA       1.01                           10/28/04

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       1.01,9.01                      10/28/04

PeopleSupport, Inc.                     DE       2.02,9.01                      11/03/04

PEPSICO INC                             NC       7.01,9.01                      11/03/04

PER SE TECHNOLOGIES INC                 DE       2.02,8.01,9.01                 11/03/04

PEREGRINE SYSTEMS INC                   DE       2.02,9.01                      11/03/04

PINNACLE ENTERTAINMENT INC              DE       2.02                           11/03/04

PIONEER NATURAL RESOURCES CO            DE       8.01,9.01                      11/01/04

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                           11/02/04

PLAINS ALL AMERICAN PIPELINE LP         DE       2.02,7.01,9.01                 11/03/04

PMA CAPITAL CORP                        PA       8.01,9.01                      11/03/04

PMI GROUP INC                           DE       2.02,9.01                      11/03/04

POLO RALPH LAUREN CORP                  DE       2.02,9.01                      11/03/04

POLYMEDICA CORP                         MA       2.02,9.01                      11/03/04

PORTEC RAIL PRODUCTS INC                WV       1.01,9.01                      11/01/04

POWER 3 MEDICAL PRODUCTS INC            NY       1.01,2.03,3.02,3.03,9.01       10/28/04

POWER EFFICIENCY CORP                   DE       2.03,3.02                      10/27/04

PRELUDE VENTURES INC                    NV       8.01                           11/03/04

PRESIDENTIAL LIFE CORP                  DE       9.01                           06/30/04

PRICELINE COM INC                       DE       2.02,7.01,9.01                 11/02/04

PRIME MORTGAGE TRUST 2003-1             NY       8.01,9.01                      10/25/04

PRIME MORTGAGE TRUST MORTGAGE PASS-TH   DE       8.01,9.01                      10/25/04

PRIME MORTGAGE TRUST, MORTGAGE PASS-T   DE       8.01,9.01                      10/25/04

PROGRESS ENERGY INC                     NC       2.03                           10/19/04

PROSPECT ENERGY CORP                    MD       7.01,9.01                      11/02/04

PS BUSINESS PARKS INC/CA                CA       7.01,9.01                      11/01/04

PUBLIX SUPER MARKETS INC                FL       2.02,9.01                      11/01/04

QUALCOMM INC/DE                         DE       2.02,9.01                      11/03/04

QUALITY SYSTEMS INC                     CA       2.02,9.01                      11/03/04

QUANTA SERVICES INC                     DE       2.02,9.01                      11/03/04

QUINTEK TECHNOLOGIES INC                         1.01,2.03,3.02,9.01            07/16/04

R H DONNELLEY CORP                      DE       5.02                           11/01/04

RADNOR HOLDINGS CORP                    DE       7.01                           11/02/04

RALCORP HOLDINGS INC /MO                MO       2.02,9.01                      09/30/04

REAL ESTATE ASSOCIATES LTD IV           CA       5.02                           10/29/04

REDHOOK ALE BREWERY INC                 WA       2.02,9.01                      11/02/04

RELIANT ENERGY INC                      DE       2.02,9.01                      11/03/04

RENAISSANCE HOME EQUITY LOAN TRUST 20   DE       8.01,9.01                      10/25/04

RENAISSANCE MORT ACC CORP RENAISSANCE   DE       8.01,9.01                      10/25/04

REPUBLIC SERVICES INC                   DE       2.02                           11/03/04

REPUBLIC SERVICES INC                   DE       8.01,9.01                      11/03/04

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE       9.01                           11/03/04

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE       9.01                           11/03/04

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE       9.01                           11/03/04

RESIDENTIAL ASSET MORTGAGE PRODUCTS I   DE       9.01                           11/03/04

REYNOLDS & REYNOLDS CO                  OH       8.01                           11/02/04

REYNOLDS & REYNOLDS CO                  OH       2.02                           11/03/04

RITA MEDICAL SYSTEMS INC                DE       8.01                           11/03/04

ROCKWELL COLLINS INC                    DE       9.01                           11/03/04

RSI HOLDINGS INC                        NC       5.02                           11/03/04

SALEM COMMUNICATIONS CORP /DE/          DE       2.02,7.01,9.01                 11/03/04

SANGAMO BIOSCIENCES INC                 DE       2.02,9.01                      11/03/04

SAUER DANFOSS INC                       DE       2.02,9.01                      11/03/04

SAUL CENTERS INC                        MD       2.02,9.01                      11/02/04

SBC COMMUNICATIONS INC                  DE       8.01,9.01                      11/03/04

SCIENTIFIC TECHNOLOGIES INC             OR       2.02,9.01                      11/01/04

SCORES HOLDING CO INC                   UT       8.01                           10/15/04

SCP POOL CORP                           DE       1.01,2.03,7.01,9.01            11/02/04

SECURITIZED ASSET BACKED RECEIVABLES             8.01,9.01                      10/25/04

SEMITOOL INC                            MT       2.02,9.01                      11/03/04

SEQUIAM CORP                            CA       1.01,2.03,3.02,9.01            11/03/04

SERVICE 1ST BANCORP                     CA       2.02,9.01                      11/03/04

SERVICEMASTER CO                        DE       1.01,5.02                      11/03/04

SHELTER PROPERTIES I LTD PARTNERSHIP    SC       5.02                           10/29/04

SHELTER PROPERTIES III LTD PARTNERSHI   CA       2.01,9.01                      10/29/04

SHELTER PROPERTIES VI LIMITED PARTNER   CA       5.02                           10/29/04

SILICON VALLEY BANCSHARES               DE       1.01,9.01                      10/20/04

SILICONIX INC                           DE       2.02,9.01                      11/03/04

SINOFRESH HEALTHCARE INC                FL       7.01,9.01                      11/03/04

SMARTSERV ONLINE INC                    DE       1.01,5.02,9.01                 10/30/04

SMITH & WESSON HOLDING CORP             NV       5.02,9.01                      11/02/04

SMURFIT STONE CONTAINER CORP            DE       1.01,2.03,8.01,9.01            11/02/04

SMURFIT-STONE CONTAINER ENTERPRISES I   DE       1.01,2.01,2.03,9.01            11/02/04

SONUS NETWORKS INC                      DE       2.02,9.01                      11/03/04

SONUS PHARMACEUTICALS INC               DE       2.02,9.01                      11/03/04

SOUTHWEST BANCORP OF TEXAS INC          TX       2.02,7.01,9.01                 11/03/04

SOUTHWEST COMMUNITY BANCORP             CA       5.02,9.01                      10/20/04    AMEND

SOVRAN SELF STORAGE INC                 MD       2.02,9.01                      11/03/04

SPAN AMERICA MEDICAL SYSTEMS INC        SC       2.02,9.01                      11/03/04

SPECTRASITE INC                         DE       2.02,9.01                      11/03/04

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01                      11/03/04

SPORT CHALET INC                        DE       2.02,9.01                      11/02/04

SPORTSMANS GUIDE INC                    MN       2.02,9.01                      11/02/04

SPSS INC                                DE       2.02,9.01                      11/02/04

STAR SCIENTIFIC INC                     DE       5.02,9.01                      10/28/04

STEMCELLS INC                           DE       8.01,9.01                      11/01/04

STRUCTURED ASSET MORT INV II INC BEAR   DE       8.01,9.01                      10/25/04

STRUCTURED ASSET MORT INV II INC PRIM   DE       8.01,9.01                      10/25/04

STRUCTURED ASSET MORT INV INC MORT BA   DE       8.01,9.01                      10/25/04

STRUCTURED ASSET MORTGAGE INVESTMENTS   DE       8.01,9.01                      11/01/04

SULPHCO INC                             NV       3.02,9.01                      11/01/04

SUMMIT FINANCIAL GROUP INC              WV       5.05,9.01                      11/03/04

SUN HYDRAULICS CORP                     FL       2.02,9.01                      11/02/04

SUNTRON CORP                            DE       2.02,9.01                      11/03/04

SUPERIOR ENERGY SERVICES INC            DE       2.02,7.01,9.01                 11/03/04

SYCAMORE NETWORKS INC                   DE       1.01                           11/03/04

SYMANTEC CORP                           DE       1.01,8.01                      10/20/04

TALK AMERICA HOLDINGS INC               DE       2.02,7.01,9.01                 11/03/04

TALX CORP                               MO       7.01,9.01                      11/03/04

TECHNICAL OLYMPIC USA INC               DE       2.02,9.01                      11/02/04

TECHNOLOGY RESEARCH CORP                FL       1.01,9.01                      10/28/04

TEKNOWLEDGE CORP                        DE       8.01                           10/22/04

TELECOMMUNICATION SYSTEMS INC /FA/               2.02,9.01                      11/03/04

TELESTONE TECHNOLOGIES CORP             CO       9.01                           08/23/04    AMEND

TEPPCO PARTNERS LP                      DE       7.01,9.01                      11/03/04

TERREMARK WORLDWIDE INC                 DE       2.02,4.02                      11/01/04

TEXAS GENCO HOLDINGS INC                         2.02,9.01                      10/28/04

THAXTON GROUP INC                       SC       4.01                           10/29/04

THERAVANCE INC                          DE       2.02,9.01                      11/03/04

TIERONE CORP                                     7.01,9.01                      11/01/04

TIME WARNER INC                         DE       2.02,9.01                      11/03/04

TIME WARNER INC                         DE       1.01                           10/28/04

TOLL BROTHERS INC                       DE       1.01,9.01                      10/28/04

TOO INC                                 DE       1.01,9.01                      10/29/04

TOYS R US INC                           DE       1.01                           11/03/04

TRANSAX INTERNATIONAL LTD               CO       1.01,2.03,3.02                 09/30/04

TRANSPRO INC                            DE       1.01,9.01                      10/28/04

TREX CO INC                             DE       7.01                           11/03/04

TRINITY INDUSTRIES INC                  DE       2.02,7.01                      11/02/04

TRM CORP                                OR       7.01,9.01                      11/02/04

TRUSERV CORP                            DE       2.02,9.01                      10/29/04

U S PLASTIC LUMBER CORP                 NV       5.02,9.01                      08/21/04

UNITED NATIONAL GROUP LTD               E9       2.02,8.01,9.01                 11/03/04

UNITED ONLINE INC                       DE       8.01,9.01                      11/03/04

UNITED THERAPEUTICS CORP                DE       2.02,8.01,9.01                 11/03/04

UNITY BANCORP INC /DE/                  DE       8.01,9.01                      10/30/04

UNIVERSAL AMERICAN FINANCIAL CORP       NY       2.02,9.01                      11/03/04

UNIVERSAL HOSPITAL SERVICES INC         MN       2.02,7.01,9.01                 11/02/04

UNIZAN FINANCIAL CORP                   OH       7.01,9.01                      11/03/04

USAutos Series 2004-1 Trust             DE       8.01,9.01                      10/28/04

UWHARRIE CAPITAL CORP                   NC       8.01,9.01                      11/01/04

V I TECHNOLOGIES INC                    DE       2.02,9.01                      11/03/04

VALSPAR CORP                            DE       1.01                           11/01/04

VARIAN INC                              DE       2.02,9.01                      11/03/04

VG TECH INC                             NV       5.02,9.01                      10/20/04

VIASAT INC                              CA       2.02,9.01                      11/03/04

VIRAGE LOGIC CORP                       CA       8.01                           10/28/04

VIROPHARMA INC                          DE       1.01,9.01                      11/03/04

VISHAY INTERTECHNOLOGY INC              DE       2.02,9.01                      11/03/04

VISTA GOLD CORP                                  8.01,9.01                      11/02/04

VISTEON CORP                            DE       5.02                           11/03/04

VITALWORKS INC                          DE       2.02,9.01                      11/02/04

WACHOVIA CORP NEW                       NC       5.04,9.01                      11/01/04

WATTS WATER TECHNOLOGIES INC            DE       2.02,9.01                      11/02/04

WAVERIDER COMMUNICATIONS INC            NV       5.02                           10/28/04

WAYNE SAVINGS BANCSHARES INC /DE/       DE       2.02,9.01                      09/03/04

WEIGHT WATCHERS INTERNATIONAL INC       VA       2.02,9.01                      11/03/04

WENDYS INTERNATIONAL INC                OH       7.01,9.01                      11/03/04

WESTBANK CORP                           MA       2.02,9.01                      11/02/04

WESTLAKE CHEMICAL CORP                           2.02,9.01                      11/03/04

WESTON TECHNOLOGIES CORP                DE       3.02                           11/03/04

WET SEAL INC                            DE       1.01                           10/28/04

WHX CORP                                DE       1.01,9.01                      10/29/04

WILLIS LEASE FINANCE CORP               DE       2.03                           11/03/04

WILSONS THE LEATHER EXPERTS INC         MN       1.01,5.02,9.01                 10/28/04

WINDROSE MEDICAL PROPERTIES TRUST       MD       2.02,9.01                      11/02/04

WORLD AIRWAYS INC /DE/                  DE       3.02,8.01,9.01                 11/01/04

XSUNX INC                               CO       8.01                           10/18/04

YDI WIRELESS INC                        DE       4.01,9.01                      10/28/04

YOUBET COM INC                          DE       2.02,9.01                      11/03/04