SEC NEWS DIGEST Issue 2004-14 January 22, 2004 ENFORCEMENT PROCEEDINGS IN THE MATTER OF MARC BARHONOVICH AND EQUITY ADVISORS, INC. The Commission announced it has asked a federal judge to dismiss its pending civil injunctive action against Marc Barhonovich and his company, Equity Advisors. In connection with that dismissal, on January 21, the SEC entered a cease-and-desist and disgorgement order against Barhonovich and Equity Advisors, to which they consented without admitting or denying the SEC's findings. The Cease-and-Desist Order finds that Barhonovich violated Sections 17(a)(2) and (a)(3) of the Securities Act of 1933 in connection with the preparation and distribution of misleading newsletters touting thinly traded stocks of two public companies whose shares are quoted on the Over-the-Counter Bulletin Board. The Cease-and-Desist Order found that Barhonovich, acting as a consultant for the companies, hired the newsletter writers and paid for the mass faxing but failed to review the newsletters before they were publicly disseminated. The SEC also ordered Barhonovich to pay disgorgement and prejudgment interest stemming from his sales of stock during the faxing periods. The SEC had sued Barhonovich and Equity Advisors in U.S. District Court, alleging their actions violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The District Court Judge subsequently denied the SEC's request for a preliminary injunction against Barhonovich and Equity Advisors, but set trial on the SEC's request for a permanent injunction in September 2004. (Rel. 33-8356; File No. 3- 11379) SEC TO RECOVER ABOUT $4 MILLION IN SETTLEMENTS WITH THE GIRLFRIEND AND ESTRANGED WIFE OF JAILED STOCKBROKER FRANK GRUTTADAURIA The Commission announced today that the federal judge presiding over its lawsuit against former broker Frank Gruttadauria has approved the settlements that the Commission has reached with Sarah Z. Emamy, the girlfriend of Frank Gruttadauria, and Margo Gruttadauria, his estranged wife. Under the settlements, Emamy will disgorge $2.1 million in cash and transfer a residence to a court-appointed liquidation agent. Frank Gruttadauria and Emamy had purchased the residence in early 2001 for about $1.5 million. Margo Gruttadauria will disgorge $400,000 in cash. The total amount to be recovered under these settlements is about $4 million. In February 2002, the Commission sued Frank Gruttadauria in the U.S. District Court for the Northern District of Ohio for perpetrating a massive fraud over a fifteen-year period against scores of his customers. Gruttadauria misappropriated over $115 million during that period and sent falsified account statements that overstated the actual holdings in customer accounts by over $280 million. The Commission also sued Emamy, seeking to recover assets that it alleged Frank Gruttadauria had given her and were the direct or indirect proceeds of his illegal conduct. In June 2002, the Commission amended its complaint to sue Margo Gruttadauria, seeking to recover assets that it alleged Frank Gruttadauria had given her. The Commission did not allege that either Emamy or Margo Gruttadauria had known of, or participated in, Frank Gruttadauria's fraud. On Feb. 26, 2002, Judge Gaughan granted the Commission's motion for a temporary restraining order against Frank Gruttadauria and froze his assets. On March 11, 2002, Judge Gaughan granted the Commission's motion for a preliminary injunction against Frank Gruttadauria, who is presently in federal custody serving a seven-year jail term. On Aug. 14, 2003, the Commission issued administrative orders against SG Cowen Securities Corporation and Lehman Brothers, Inc. for failing to supervise Frank D. Gruttadauria. [SEC v. Frank D. Gruttadauria, DH Strategic Partners, Inc., JYM Trading Trust, Laurene English, Defendants, And Sarah Z. Emamy, Charlie Whiskey, LLC, And Margo Gruttadauria, Relief Defendants, Civil Action No. 1:02CV324 (Judge Gaughan)] (LR-18549) SEC CHARGES RICHARD CAUSEY, FORMER ENRON CHIEF ACCOUNTING OFFICER, WITH FRAUD The Commission today charged Richard A. Causey, the former Chief Accounting Officer of Enron Corp., with violating, and aiding and abetting the violation of, the antifraud, periodic reporting, books and records, and internal controls provisions of the federal securities laws. [Sections 10(b), 13(a), 13(b)(2) and 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5, 12b-20, 13a1, 13a-13, 13b2-1 and 13b2-2] The Commission is seeking disgorgement of all ill- gotten gains, civil money penalties, a permanent bar from acting as a director or officer of a publicly held company, and an injunction against future violations of the federal securities laws. The Commission brought this action in coordination with the Justice Department's Enron Task Force, which filed related criminal charges against Causey. As alleged in the complaint, Causey, along with others at Enron, engaged in a wide-ranging scheme to manipulate Enron's publicly reported earnings through a variety of devices designed to produce materially false and misleading financial results. As alleged, Causey and others fraudulently manipulated Enron's merchant asset portfolio; improperly used "off-balance-sheet" special purpose entities (SPEs); manipulated Enron's "business segment reporting" to conceal losses at Enron's retail energy business, Enron Energy Services (EES); manipulated expenses to conceal losses at Enron's broadband unit, Enron Broadband Services (EBS); and manipulated reserves in Enron's wholesale energy trading business to conceal earnings volatility and losses. The Complaint also alleges that Causey, and others, made false and misleading statements concerning Enron's financial results and the performance of its businesses, and that these misrepresentations also were reflected in Enron's public filings with the Commission. Specifically, the Commission's complaint alleges as follows: * Manufacturing Earnings by Fraudulently Manipulating Asset Values. Causey and other senior Enron managers artificially increased the book value of certain assets in Enron's "merchant asset portfolio" to manufacture earnings needed to meet Enron internal budget targets. Because the portfolio included many energy-related businesses that were not publicly traded, Enron valued the businesses according to its own internal accounting "models." Enron then manipulated these models in order to produce results necessary to meet internal budget targets. For example, under the direction of Causey and others, Enron personnel fraudulently increased the value of one of the largest of Enron's merchant assets, Mariner Energy, Inc., by $100 million in the fourth quarter of 2000. * Use of SPEs to Manipulate Reported Financial Results. Causey and others entered into fraudulent transactions with LJM Cayman, L.P and LJM2 Co-Investment, L.P. (collectively "LJM"), two "off-balance sheet" SPEs created and managed by Andrew Fastow, Enron's then-Chief Financial Officer, to manipulate Enron's reported financial results. These transactions primarily took the form of purported "asset sales," which were used to manufacture earnings for Enron and conceal debt. The transactions were not arm's-length and could not have been accomplished using legitimate independent counterparties. In many instances, the transactions were conducted pursuant to an undisclosed side agreement between Causey and Fastow that LJM would be guaranteed against loss in certain of its transactions with Enron, and that other losses to LJM would be made up through other transactions with Enron. In addition, the Commission's complaint describes Causey's role in the infamous "Raptor" transactions. Beginning in the spring of 2000, Enron and LJM engaged in a series of financial transactions with four SPEs called Raptor I, Raptor II, Raptor III and Raptor IV (collectively referred to as the "Raptors"). Raptor I was designed to protect Enron from having to report publicly decreases in value in large portions of its energy "merchant asset portfolio" and technology investments by allowing Enron to "hedge" the value of those investments with an allegedly independent third party, known as Talon. The Raptor I structure, however, was invalid under applicable accounting rules because, among other things, (i) Talon was not independent from Enron and LJM's investment in Talon was not at risk, and (ii) Causey and Fastow had entered into an oral side agreement that LJM would receive its initial investment in Talon ($30 million) plus a large profit ($11 million) from Enron, all prior to Talon engaging in any of the hedging transactions. To satisfy the side deal, Causey, Fastow, and others manufactured a transaction between Enron and Talon that generated a $41 million payment to LJM. Causey and others caused Enron to purchase a "put" on its own stock that had no business purpose, but instead was designed to ensure that LJM was returned its initial investment plus its promised profit. After satisfying the side deal, Enron used Raptor I to hedge the value of Enron's already-inflated assets. Causey and Fastow also used Raptor I to fraudulently misrepresent Enron's financial position by back-dating a hedge so that Enron could capture the all-time high stock value of one of the Enron assets at a time when they knew that the value had already declined. * Concealing EES Failures. Causey and others concealed massive losses at EES by fraudulently manipulating Enron's "business segment reporting." At the close of the first quarter of 2001, Enron, with Causey's approval, "reorganized" its business segments and moved a large portion of EES's business into Enron North America (ENA), part of Enron's wholesale energy business segment. The "reorganization" was fraudulently designed to conceal hundreds of millions of dollars of losses at EES, Enron's heavily touted retail energy trading business, which it would otherwise have had to disclose. Enron moved the losing portion of EES's business into ENA because, as Causey and others knew, ENA had ample earnings, including large reserves accounts as described below, and could cover the EES losses while continuing to meet Enron's internal budget targets. * Concealing EBS Failures. In the first quarter of 2001, Causey and others concealed losses at EBS by fraudulently manipulating EBS's expenses. Causey manipulated EBS's expenses to ensure that EBS did not record first-quarter losses that exceeded the annual losses that Enron had budgeted for EBS and to achieve Causey's dictated first quarter 2001 financial result. * Manipulating Reserves to Conceal Earnings Volatility and Losses. During 2000 and 2001, Enron's wholesale energy trading business, primarily its ENA business, began generating extraordinary trading profits as a result of rapidly rising energy prices in the western United States, especially in California. In order to mask these earnings and preserve them for later use, Causey and others fraudulently created and used reserve accounts within ENA both to conceal the extent of ENA's trading profits and to avoid reporting large losses in other areas of its business. The Commission brought this action in coordination with the U.S. Department of Justice Enron Task Force. The Commission's investigation is continuing. [SEC v. Richard A. Causey, Civil Action No. H-04-0284 (Harmon) SDTX] (LR-18551; AAE Rel. 1947) ADDITIONS AND CORRECTIONS A summary, which appeared in the January 20th issue of the Digest concerning Hollinger International, Inc., omitted pertinent information. The information is as follows: [SEC v. Hollinger International, Inc., USDC, ND Ill., Case No. 04C0336, ND Ill.] (LR-18550; AAE Rel. 1946) INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Mutual Investment Fund of Connecticut, Inc. [File No. 811-752] (Rel. IC -26325 - January 16) The Montgomery Funds [File No. 811-6011] (Rel. IC -26326 - January 16) The Montgomery Funds II [File No. 811-8064] (Rel. IC -26327 - January 16) The Montgomery Funds III [File No. 811-8782] (Rel. IC -26328 - January 16) The Avalon Fund of Maryland, Inc. [File No. 811-8773] (Rel. IC -26329 - January 16) Putnam California Tax Exempt Money Market Fund [File No. 811-5333] (Rel. IC -26330 - January 16) Putnam New York Tax Exempt Money Market Fund [File No. 811-5335] (Rel. IC -26331 - January 16) Avalon Capital, Inc. [File No. 811-9004] (Rel. IC -26332 - January 16) Pioneer Market Neutral Fund [File No. 811-9867] (Rel. IC -26333 - January 16) Oppenheimer Special Value Fund [File No. 811-10257] (Rel. IC -26334 - January 16) The Unified Funds [File No. 811-8968] (Rel. IC -26335 - January 16) UBS Managed Investments Trust [File No. 811-4040] (Rel. IC -26336 - January 16) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Phlx-2003-73), and granted accelerated approval to Amendment No. 3 thereto, submitted by the Philadelphia Stock Exchange relating to the Demutualization of the Philadelphia Stock Exchange. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49098) The Commission approved a proposed rule change submitted by the Boston Stock Exchange (SR-BSE-2003-08) relating to its Instant Liquidity Access Service for certain limit orders. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49105) The Commission approved a proposed rule change (SR-CBOE-2003-37) submitted by the Chicago Board Options Exchange relating to the appointment of the members and chairman of its governance committee. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49107) The Commission approved a proposed rule change (SR-NASD-2003-23) submitted by the National Association of Securities Dealers to clarify the applicability of the Nasdaq corporate governance requirements during the listing review process. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49109) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2004-07) filed by National Association of Securities Dealers, and Amendment No. 1 thereto, relating to terminating Nasdaq's application of the Primex Auction System has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(6) thereunder. Publication of the proposal is expected in the Federal Register during the week of January 19. (Rel. 34-49099) The Depository Trust Company filed a proposed rule change (SR-DTC-2003- 15) under Section 19(b)(3)(A) of the Securities Exchange Act, which became effective on filing, to revise its fee schedule for certain services. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49100) A proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2004-06) related to the Entry of Locking or Crossing Bids or Offers by ECNs Participating in Nasdaq's SuperMontage System has become immediately effective under Section 19(b)(3)(A) of the Securities Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49106) PROPOSED RULE CHANGE The National Association of Securities Dealers a proposed rule change (SR-NASD-2003-184) to require members to review and update Executive Representative contact information on a quarterly basis. Publication of the proposal is expected in the Federal Register during the week of January 26. (Rel. 34-49110) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-4 SOUTHWESTERN PUBLIC SERVICE CO, SPS TOWER, TYLER AT SIXTH ST, AMARILLO, TX, 79101, 3035717511 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-112032 - Jan. 21) (BR. 02) S-4 NORTHERN STATES POWER CO /WI/, 1414 W HAMILTON AVE, EAU CLAIRE, WI, 54702, 7158392621 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-112033 - Jan. 21) (BR. 02) S-3 INTERLINK ELECTRONICS INC, 546 FLYNN RD, CAMARILLO, CA, 93012, 8054848855 - 0 ($21,000,000.00) Equity, (File 333-112034 - Jan. 21) (BR. 03) S-8 MDU RESOURCES GROUP INC, 918 EAST DIVIDE AVENUE, BISMARCK, ND, 58506-5650, 7012227900 - 1,500,000 ($35,910,000.00) Equity, (File 333-112035 - Jan. 21) (BR. 04) S-8 MAGNUM HUNTER RESOURCES INC, 600 E LAS COLINAS BLVD, STE 1200, IRVING, TX, 75039, 9724010752 - 3,000,000 ($27,270,000.00) Equity, (File 333-112037 - Jan. 21) (BR. 04) S-8 AVENTIS, 67917 STRASBOURG, CEDEX 9, STRASBOURG FRANCE, I0, 00000, 3314768123 - 0 ($369,980,000.00) ADRs/ADSs, (File 333-112039 - Jan. 21) (BR. 01) S-1 QUADRAMED CORP, 22 PELICAN WAY, 2ND FLOOR, SAN RAFAEL, CA, 94901, 4154822100 - 0 ($36,786,940.00) Equity, 0 ($72,293,780.00) Non-Convertible Debt, (File 333-112040 - Jan. 21) (BR. 03) S-3 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 0 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-112041 - Jan. 21) (BR. 04) S-8 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 650,000 ($11,934,000.00) Other, (File 333-112042 - Jan. 21) (BR. 04) S-3 CORTEX PHARMACEUTICALS INC/DE/, 15241 BARRANCA PKWY, IRVINE, CA, 92718, 7147273157 - 11,743,710 ($36,875,250.00) Equity, (File 333-112043 - Jan. 21) (BR. 01) S-8 OTISH MOUNTAIN DIAMOND CO, SUITE NO. 3362, 349 WEST GEORGIA STREET, VANCOUVER, A1, V6B 3Y3, 604-484-2899 - 300,000 ($189,000.00) Equity, (File 333-112046 - Jan. 21) (BR. 09) S-8 AIR-Q WI-FI CORP, 5555 HILTON AVENUE, SUITE 207, BATON ROUGE, LA, 70808, 225-923-1034 - 100,000 ($375,000.00) Equity, (File 333-112047 - Jan. 21) (BR. 03) S-8 AERO MARINE ENGINE INC, 23960 MADISON STREET, -, TORRANCE, CA, 90505, 310-791-4642 - 5,000,000 ($3,850,000.00) Equity, (File 333-112048 - Jan. 21) (BR. 09) F-9 BRASCAN CORP/, BCE PLACE 181 BAY ST, STE 4400 PO BOX 762, TORONTO ONTARIO, A6, 4163639491 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-112049 - Jan. 21) (BR. 04) S-8 JEFFERSON BANCSHARES INC, JEFFERSON FEDERAL SAVINGS & LOAN ASSOC, 120 EVANS AVENUE, MORRISTOWN, TN, 37814, 4235868421 - 978,250 ($13,304,200.00) Equity, (File 333-112051 - Jan. 21) (BR. 07) S-3 BAM ENTERTAINMENT INC, 333 WEST SANTA CLARA BLVD STE 930, SAN JOSE, CA, 95113, 4082987500 - 1,494,487 ($2,092,281.80) Equity, (File 333-112052 - Jan. 21) (BR. 03) S-8 BAM ENTERTAINMENT INC, 333 WEST SANTA CLARA BLVD STE 930, SAN JOSE, CA, 95113, 4082987500 - 1,500,000 ($1,812,900.00) Equity, (File 333-112053 - Jan. 21) (BR. 03) S-8 MAXXON INC, 9202 SOUTH TOLEDO AVENUE, TULSA, OK, 74137, 9184921257 - 15,500,000 ($1,240,000.00) Equity, (File 333-112054 - Jan. 21) (BR. 36) S-4 JOSTENS HOLDING CORP, 5501 AMERICAN BLVD WEST, MINNEAPOLIS, MN, 55437, 9528303300 - 0 ($150,005,904.00) Non-Convertible Debt, (File 333-112055 - Jan. 21) (BR. 02) S-3 MTC TECHNOLOGIES INC, 4,312,500 ($126,140,625.00) Equity, (File 333-112056 - Jan. 21) (BR. 03) S-8 AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 6,000,000 ($141,480,000.00) Equity, (File 333-112057 - Jan. 21) (BR. 36) S-3 FX ENERGY INC, 3006 HIGHLAND DR, STE 206, SALT LAKE CITY, UT, 84106, 801-486-5555 - 2,376,229 ($14,566,283.77) Equity, (File 333-112058 - Jan. 21) (BR. 04) S-8 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 759,000 ($3,081,540.00) Equity, (File 333-112059 - Jan. 21) (BR. 36) S-8 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 772,392 ($3,135,911.52) Equity, (File 333-112060 - Jan. 21) (BR. 36) S-8 LEGEND MOBILE INC, 450 SOUTH WAGNER, ., ANN ARBOR, MI, 48103, 734-327-0579 - 7,000,000 ($1,750,000.00) Equity, (File 333-112061 - Jan. 21) (BR. 03) S-8 AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 1,700,000 ($6,216,000.00) Equity, (File 333-112062 - Jan. 21) (BR. 36) S-8 AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 1,000,000 ($23,580,000.00) Equity, (File 333-112063 - Jan. 21) (BR. 36) S-8 EGAMES INC, 2000 CABOT BLVD, SUITE 110, LANGHORNE, PA, 19047-1833, 2157506606 - 1,000,000 ($1,240,000.00) Equity, (File 333-112064 - Jan. 21) (BR. 03) N-2 ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND, 40 ($1,000,000.00) Equity, (File 333-112065 - Jan. 21) (BR. 18) S-8 ADVANCED PLANT PHARMACEUTICALS INC, 43 W 33RD STREET, NEW YORK, NY, 10001, 2124027878 - 30,000,000 ($900,000.00) Equity, (File 333-112066 - Jan. 21) (BR. 04) S-8 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 3,030,000 ($36,113,039.00) Equity, (File 333-112067 - Jan. 21) (BR. 03) S-3 RAILAMERICA INC /DE, 5300 BROKEN SOUND BLVD NW, BOCA RATON, FL, 33487, 5619946015 - 0 ($400,000,000.00) Equity, (File 333-112068 - Jan. 21) (BR. 05) S-8 READING INTERNATIONAL INC, 550 SOUTH HOPE STREET, SUITE 1825, LOS ANGELES, CA, 90071, 213 235 2240 - 690,000 ($4,291,800.00) Equity, (File 333-112069 - Jan. 21) (BR. 08) S-8 LOOKSMART LTD, 625 SECOND STREET, SAN FRANCISCO, CA, 94107, 4153487000 - 0 ($5,802,500.00) Equity, (File 333-112070 - Jan. 21) (BR. 03) S-1 JAZZ SEMICONDUCTOR INC, 4321 JAMBOREE ROAD, NEWPORT BEACH, CA, 92660, 9494358000 - 0 ($150,000,000.00) Equity, (File 333-112071 - Jan. 21) (BR. ) SB-2 NETWORK INSTALLATION CORP, 9497537551 - 1,625,000 ($5,703,750.00) Equity, (File 333-112072 - Jan. 21) (BR. 08) S-3 METLIFE INC, ONE MADISON AVENUE, NEW YORK, NY, 10010-3690, 2125782211 - 0 ($5,000,000,000.00) Other, (File 333-112073 - Jan. 21) (BR. 01) S-3 CEPHEID, 1190 BORREGAS AVE, SUNNYVALE, CA, 94089, 4085414191 - 0 ($67,763,750.00) Equity, (File 333-112074 - Jan. 21) (BR. 36) S-3 COLLEGE LOAN LLC, 16855 W. BERNARDO DRIVE, SAN DIEGO, CA, 92127, 3,000,000,000 ($3,000,000,000.00) Asset-Backed Securities, (File 333-112075 - Jan. 21) (BR. ) S-4 MASSEY ENERGY CO, 4 NORTH 4TH STREET, RICHMOND, VA, 23219, 9493492000 - 0 ($385,560,000.00) Non-Convertible Debt, (File 333-112076 - Jan. 21) (BR. 04) S-3 UNIVERSAL DISPLAY CORP \PA\, 6096710980 - 0 ($50,000,000.00) Equity, (File 333-112077 - Jan. 21) (BR. 03) F-1 INROB LTD, 30,000,000 ($3,000,000.00) Equity, (File 333-112078 - Jan. 21) (BR. ) S-3 LYNX THERAPEUTICS INC, 25861 INDUSTRIAL BLVD, HAYWARD, CA, 94545, 5106709300 - 1,000,000 ($6,200,000.00) Equity, (File 333-112080 - Jan. 21) (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 3D SYSTEMS CORP DE X X 01/12/04 3M CO DE X 01/20/04 AMEND ACE SECURITIES CORP DE X X 01/21/04 ACTUATE CORP DE X 01/21/04 ACUITY BRANDS INC DE X X 01/21/04 ACXIOM CORP DE X X X 01/21/04 ADEPT TECHNOLOGY INC CA X 01/21/04 ADTRAN INC DE X X 01/20/04 ADVEN INC WA X X 01/07/04 AEI REAL ESTATE FUND XVIII LIMITED PA MN X X 01/06/04 AGWAY INC DE X X 01/20/04 AIR PRODUCTS & CHEMICALS INC /DE/ DE X X 01/21/04 ALABAMA NATIONAL BANCORPORATION DE X X 01/21/04 ALLEGHENY TECHNOLOGIES INC DE X 01/21/04 ALLIED WASTE INDUSTRIES INC DE X 01/21/04 AMCORE FINANCIAL INC NV X 01/21/04 AMERICAN AIRLINES INC DE X X 01/21/04 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 01/21/04 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 01/21/04 AMERICAN NATIONAL BANKSHARES INC VA X 12/31/03 AMERICAN STATES WATER CO CA X 10/30/03 AMR CORP DE X X 01/21/04 AMSTAR FINANCIAL SERVICES INC FL X 01/20/04 ANACOMP INC IN X X 01/13/04 ANGELO & MAXIES INC DE X X 01/07/04 AP HENDERSON GROUP NV X X X 01/20/04 APOLLO GROUP INC AZ X X 01/14/04 APPLIED FILMS CORP CO X X 01/21/04 ARGENT SECURITIES INC X X 01/21/04 ARGENT SECURITIES INC ASSET BACKED PA X X X 01/16/04 AROTECH CORP DE X X 01/21/04 ARROW FINANCIAL CORP NY X X 01/21/04 ASTRALIS LTD CO X 01/20/04 ASTRALIS LTD CO X X 01/21/04 ATC HEALTHCARE INC /DE/ DE X 01/21/04 AVATECH SOLUTIONS INC DE X 01/20/04 BANK OF NEW YORK CO INC NY X X X 12/31/03 BAR HARBOR BANKSHARES ME X 01/20/04 BARRA INC /CA DE X X 01/21/04 BHA GROUP INC DE X X 01/21/04 BIB HOLDINGS LTD NV X 01/21/03 BIGGEST LITTLE INVESTMENTS LP DE X 12/17/03 BIOLIFE SOLUTIONS INC DE X 01/16/04 BISYS GROUP INC DE X 01/21/04 BLACKROCK INC /NY DE X X 01/21/04 BLUEGREEN CORP MA X 01/20/04 BOLT TECHNOLOGY CORP CT X X 01/21/04 BOSTON LIFE SCIENCES INC /DE DE X 01/16/04 BRE PROPERTIES INC /MD/ MD X X 01/20/04 BRIAZZ INC WA X 01/15/04 BUCKEYE TECHNOLOGIES INC DE X 12/31/03 CABLETEL COMMUNICATIONS CORP X X 01/16/04 CADEMA CORP DE X 10/16/03 AMEND CALPROP CORP CA X X 01/15/04 CAPITAL ONE FINANCIAL CORP DE X X X 01/21/04 CAPITAL ONE FINANCIAL CORP DE X 01/20/04 CARDIMA INC DE X X 01/21/04 CDW CORP IL X X 01/21/04 CE CASECNAN WATER & ENERGY CO INC X X 01/21/04 CELLEGY PHARMACEUTICALS INC CA X X 01/16/04 CENDANT MORTGAGE CAPITAL LLC DE X X 01/21/04 CENTEX CORP NV X X 01/20/04 CERISTAR INC DE X X 01/20/04 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 01/20/04 CHARTER ONE FINANCIAL INC DE X 01/21/04 CHASE CREDIT CARD MASTER TRUST NY X X 01/15/04 CHASE CREDIT CARD MASTER TRUST NY X X 01/15/04 CHASE MANHATTAN BANK USA DE X X 01/15/04 CHASE MANHATTAN BANK USA DE X X 01/15/04 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 01/15/04 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 01/15/04 CHASE MORTGAGE FINANCE CORP DE X X 01/20/04 CHINA FUND INC MD X 12/01/03 CHOLESTECH CORPORATION CA X X 01/21/04 CIRRUS LOGIC INC DE X X 01/21/04 CITIZENS FINANCIAL SERVICES INC PA X X 12/31/03 CITRIX SYSTEMS INC DE X 01/21/04 CITY HOLDING CO WV X X 01/20/04 COACH INC MD X X 01/21/04 COCA COLA ENTERPRISES INC DE X 01/21/04 COLUMBUS MCKINNON CORP NY X X 01/20/04 COMM BANCORP INC PA X X 01/20/04 COMMERCIAL BANKSHARES INC FL X 01/20/04 COMMERCIAL NET LEASE REALTY INC MD X X 01/21/04 COMMUNITY BANCORP OF NEW JERSEY NJ X X 01/21/04 COMMUNITY BANKS INC /PA/ PA X 12/31/03 COMMUNITY SHORES BANK CORP MI X X 01/20/04 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 01/21/04 COMTECH TELECOMMUNICATIONS CORP /DE/ DE X X 01/21/04 CONVERGYS CORP OH X X 01/20/04 CORNERSTONE BANCSHARES INC TN X X 01/21/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/21/04 CRITICAL PATH INC CA X X 01/16/04 CRITICAL PATH INC CA X X 01/16/04 CROGHAN BANCSHARES INC OH X X 01/21/04 CROWN ANDERSEN INC DE X X 01/21/04 CWMBS INC DE X X 09/30/03 CYCLE COUNTRY ACCESSORIES CORP NV X X 01/20/04 DIGIBLUE MEDIA INC NV X 01/14/04 DIGIMARC CORP DE X X X 01/20/04 DIGITAL RECORDERS INC NC X 01/20/04 DILLARD ASSET FUNDING CO DE X X 12/15/03 DIONEX CORP /DE CA X 01/21/04 DUPONT PHOTOMASKS INC DE X X 01/21/04 DVI INC DE X X 01/20/04 DYNEGY HOLDINGS INC DE X X 01/20/04 DYNEGY INC /IL/ IL X X 01/20/04 E TRADE FINANCIAL CORP DE X X 01/21/04 EAGLE BROADBAND INC TX X 01/20/04 EATON CORP OH X 01/21/04 EBAY INC DE X X 01/21/04 ECLIPSYS CORP DE X X 01/21/04 ECOLLEGE COM DE X X 01/21/04 EMCORE CORP NJ X X 11/03/03 EMCORE CORP NJ X 01/21/04 ENDOCARE INC DE X X 01/19/04 ENER1 INC FL X X 01/20/04 ENERGY PRODUCERS INC NV X 12/29/03 ENZON PHARMACEUTICALS INC DE X 01/19/04 EQUITY ONE ABS INC DE X X 01/16/04 EQUITY ONE ABS INC DE X X 01/20/04 ESPEY MFG & ELECTRONICS CORP NY X X 11/24/03 EVERGREENBANCORP INC WA X X 01/20/04 EVOLVING SYSTEMS INC DE X X X 01/21/04 EXPLORATION CO OF DELAWARE INC DE X 01/19/04 EYI INDUSTRIES INC X 01/15/04 F5 NETWORKS INC WA X X 01/21/04 FARMLAND INDUSTRIES INC KS X X 01/21/04 FIBERSTARS INC /CA/ CA X X 01/06/04 FIDELITY BANKSHARES INC DE X X 12/31/03 FIRST BUSEY CORP /NV/ NV X 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