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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/2/04 Lord Abbett Affiliated Fund Inc. 40-33 3/2/04 1:2K SEC #7
3/2/04 Axm Pharma Inc. CERTAMX 3/2/04 1:2K SEC #7
3/2/04 Covington Associates LLC NO ACT 1/15/04 1:1K SEC #7
3/2/04 Las Sendas Golf Club Inc. NO ACT 2/6/04 1:2K SEC #7
3/2/04 Las Sendas Golf Club Inc. NO ACT 2/6/04 1:2K SEC #7
3/2/04 Summer Street Research Partners NO ACT 1/16/04 1:2K SEC #7
3/2/04 Quiet Light Securities, LLC X-17A-5 12/31/03 1:2K SEC #7
3/2/04 Prudential Equity Group, LLC X-17A-5 12/31/03 1:2K SEC #7
3/2/04 Prudential Equity Group, LLC FOCUSN 12/31/03 1:2K SEC #7
3/2/04 Primuni LLC X-17A-5 12/31/03 1:2K SEC #7
3/2/04 Robotti Securities, LLC X-17A-5 12/31/03 1:2K SEC #7
3/2/04‡ Commerce Capital Invs, Inc. X-17A-5 12/31/03 1:2K SEC #7
3/2/04‡ One Financial Securities, Ltd. FOCUSN 12/31/03 1:2K SEC #7
3/2/04‡ Aqua Securities L.P. FOCUSN 12/31/03 1:2K SEC #7
3/2/04‡ Commerce Capital Invs, Inc. FOCUSN 12/31/03 1:2K SEC #7
3/2/04‡ One Financial Securities, Ltd. X-17A-5 12/31/03 1:2K SEC #7
3/2/04 ING Inv Management Services LLC FOCUSN 12/31/03 1:2K SEC #7
3/2/04 DKR Capital Securities Corp. FOCUSN 12/31/03 1:2K SEC #7
3/2/04 Credit Agricole Secs (USA) Inc. FOCUSN 12/31/03 1:2K SEC #7
3/2/04 SVB Alliant FOCUSN 12/31/03 1:2K SEC #7
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form Types: -K | | 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. | | CERTAMX | Certification by the American Stock Exchange Approving a Listing — Form CERT. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | NO ACT | SEC No-Action Letter re: a Shareholder Proposal. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
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