SEC NEWS DIGEST Issue 2004-7 January 12, 2004 RULES AND RELATED MATTERS PROPOSED AMENDMENTS TO THE PENNY STOCK RULES On January 8, the Commission approved the publication of proposed amendments to three of its penny stock rules. The penny stock rules were originally adopted as part of a comprehensive program to reduce fraud and manipulation in the market for low-priced securities. The proposed amendments are designed to update the penny stock rules to address market changes, evolving communications technology, and legislative developments. The Commission also issued an order temporarily exempting security futures products from the definition of penny stock until such time as the Commission takes any further action on the proposed amendments. The release containing detailed descriptions of the proposed amendments is posted on the Commission's Web site at: http://www.sec.gov/rules/proposed/34-49037.htm. Comments are due 60 days after the date of publication of this release in the Federal Register. (Rel. 34-49037; File No. S7-02-04; Rel. 34-49038) ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS EXCHANGE DISCIPLINARY ACTION AGAINST STEPHEN SOHMER AND SPYDER SECURITIES, INC. The Commission has sustained disciplinary action taken by the New York Stock Exchange, Inc. against Stephen Michael Sohmer, a former lessee member of the Exchange, and Spyder Securities, Inc., a former member organization of the Exchange. The Exchange found that Sohmer and Spyder executed trades for two separate accounts maintained by the Oakford Corporation and Generic Trading Associates LLC, respectively, in which Sohmer and Spyder had an interest and in which they shared profits; prepared inaccurate commission statements in violation of Exchange recordkeeping requirements; and improperly crossed trades by accepting orders for securities for execution and filling those orders by buying or selling such securities for an account in which they had an interest. The Exchange also found that Sohmer, individually, made material misstatements to the Exchange. The Exchange censured Sohmer, barred him for three years from Exchange membership, allied membership, approved person status, and from employment or association in any capacity with any member or member organization, and permanently barred him from membership or employment on the Exchange floor. The Exchange further censured and permanently barred Spyder as a member organization of the Exchange. The Commission found that Sohmer and Spyder's misconduct was serious and recurrent. The Commission concluded that the sanctions imposed were neither excessive nor oppressive, and were consistent with sanctions imposed in cases involving similar conduct. (Rel. 34-49052; File No. 3- 11101) SEC SETTLES CHARGES WITH FORMER INTERNET STOCK PROMOTER FOR PARTICIPATING IN UNREGISTERED DISTRIBUTION OF SECURITIES On January 9, the Commission settled administrative cease-and-desist proceedings previously instituted against former internet stock promoter Tyler T. Fleming (Fleming) and his two companies, SmallCap Solutions, Inc. (SmallCap Solutions) and Complete Financial and Operations LLC (Complete Financial). In its action, the Commission found that Fleming, SmallCap Solutions and Complete Financial participated in the unregistered distribution of two OTC Bulletin Board-traded stocks, in violation of Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act). Without admitting or denying the Commission's findings, Fleming, SmallCap Solutions and Complete Financial consented to the entry of the Commission's order ordering that they cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act, and ordering that they pay disgorgement of $24,721.05, representing the proceeds of their unregistered stock sales plus prejudgment interest. (Rel. 33- 8353; File No. 3-11372) CIVIL ACTION AGAINST DOROTHY MAHLER, JOHN BRACEWELL, III AND PATRICIA JONES On Dec. 23, 2003, the Honorable John T. Nixon, U.S. District Judge for the Middle District of Tennessee, entered Final Judgments as to defendants Dorothy L. Mahler (Mahler) and Patricia L. Jones (Jones), restraining and enjoining them from further violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), and from aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13b2-1 thereunder. Mahler and Jones consented to the entries of the judgments without admitting or denying any of the allegations of the Commission's complaint. Further, the court ordered disgorgement and prejudgment interest against Mahler in the respective amounts of $17,675 and $2,300, ordered Mahler to pay a civil penalty of $25,000, and barred Mahler from serving as an officer or director of a public company for ten years. The complaint alleges that the defendants perpetrated a financial reporting fraud involving the financial statements of Genesco, Inc. (Genesco), a footwear and accessories company headquartered in Nashville, Tennessee. Mahler, President of Genesco's Johnston & Murphy division, Bracewell, a division vice president, and Jones, the division's Director of Customer Care, caused Genesco to improperly recognize $2.8 million of sales revenue prior to the end of a quarter and in advance of a customer's requested shipping date. The defendants improperly recorded revenue in the quarter to meet sales targets for the quarter. This overstatement of sales and earnings was reflected on Genesco's financial statements included in its Form 10-K for fiscal year 2001. [SEC v. Dorothy L. Mahler, John W. Bracewell, III, and Patricia L. Jones, Civil Action No. 3:03-CV-1202 (MDTN)] (LR-18536; AAE Rel. 1939) CIVIL ACTION AGAINST FONECASH, INC., AND DANIEL CHARBONEAU On January 6, the Honorable Rosemary M. Collyer, U.S. District Judge for the District of Columbia, entered a Default Judgment against defendant FoneCash, Inc. (FoneCash), restraining and enjoining FoneCash from further violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder. The Court also ordered disgorgement and prejudgment interest against FoneCash in the respective amounts of $49,150 and $12,677, and imposed a civil penalty against FoneCash of $49,150. The Commission's complaint, filed on April 8, 2002, alleged that a registration statement and amendments, filed with the Commission by FoneCash in December 2001, January 2002 and March 2002, and signed by Daniel E. Charboneau (Charboneau), the president of FoneCash, contained material misrepresentations and omissions. Such misrepresentations included, among other things, the claim that FoneCash manufactured credit card terminals under a specified patent to which it obtained the exclusive rights in 1997, when in fact, the patent had lapsed in 1993. The complaint further alleged that Fonecash maintained a website which grossly misrepresented the company's business and, through Charboneau, had distributed via the internet several misleading press releases which falsely described various mergers and acquisitions. For tips on how to avoid Internet "pump-and-dump" stock manipulation schemes, visit http://www.sec.gov/investor/online/pump.htm. For more information about Internet fraud, visit http://www.sec.gov/divisions/enforce/internetenforce.htm. To report suspicious activity involving possible Internet fraud, visit http://www.sec.gov/complaint.shtml. [SEC v. FoneCash, Inc., and Daniel E. Charboneau, Civil Action No. 1:02CV00651RJL (D.D.C.)] (LR-18537) HOLDING COMPANY ACT RELEASES C&T ENTERPRISES, INC. ET AL. A notice has been issued giving interested persons until Feb. 2, 2004, to request a hearing on proposals by C&T Enterprises, Inc. (C&T), a holding company exempt by order under Section 3(a)(1) of the Act from all provisions of the Act except Section 9(a)(2), and its parent companies, Claverack Rural Electric Cooperative, Inc. (Claverack) and Tri-County Rural Electric Cooperative, Inc. (Tri-County), both rural electric cooperatives and holding companies exempt by order under Section 3(a)(1) of the Act from all provisions of the Act except Section 9(a)(2). They request an order: (1) authorizing Claverack and C&T to acquire indirectly all of the common stock of Wellsboro Electric Company, a public-utility company, by acquiring all of the common stock of its parent company Wilderness Area Utilities, Inc. (Wilderness), a holding company exempt by order under Section 3(a)(1) of the Act from all provisions of the Act except Section 9(a)(2); and (2) exempting Claverack, Tri-County and C&T from all provisions of the Act except Section 9(a)(2). Wilderness is a wholly owned subsidiary company of Tri- County. (Rel. 35-27792) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASD-2003-145) submitted by the National Association of Securities Dealers relating to review of Alternative Display Facility system outage and denial of excused withdrawal determinations. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49029) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2003-87) filed by the Philadelphia Stock Exchange relating to the elimination of a charge for Phlx equity specialists' trades against PACE executions has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49040) The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2003-02) under Section 19(b)(3)(A) of the Securities Exchange Act. The proposed rule change, which became effective on filing, establishes a policy statement with regard to OCC's treatment of confidential information disclosed to it by participant markets. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49043) The Depository Trust Company filed a proposed rule change (SR-DTC-2003- 14), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, to update its Services Guides. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49044) The Options Clearing Corporation filed a proposed rule change (SR-OCC- 2003-01) under Section 19(b)(3)(A) of the Securities Exchange Act. The proposed rule change, which became effective on filing, modifies OCC's practices and policies with respect to exercise by exception processing of expiring equity options. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49045) PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2003-97) filed by the American Stock Exchange relating to the amendment of Amex Rule 590 has been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49041) The American Stock Exchange filed a proposed rule change (SR-Amex-2003- 84), and Amendment No. 1 thereto, to amend Sections 132(c), 623, and 624 of the Amex Company Guide to update the requirements for dissemination of interim reports by listed companies. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49042) The Commission published notice of a proposed rule change (SR-SCCP-2002- 07) filed by the Stock Clearing Corporation of Philadelphia to amend SCCP Rule 11 to include a transaction in an ex-clearing account whereby both sides have agreed not to transmit the transaction via SCCP to the National Securities Clearing Corporation for clearing and settlement. Publication of the notice in the Federal Register is expected during the week of January 12. (Rel. 34-49046) DELISTING GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on January 12: Commercial Federal Corporation (CFB) Potlatch Corporation (PCH) ProBusiness Services, Inc. (PQU/PRBZ) TETRA Technologies, Inc. (TTI) Tri-Continental Corporation (TY) Wallace Computer Services, Inc. (WCS) (Rel. 34-49047) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 NUTEK INC, 6330 MCLEOD DRIVE, SUITE 1, LAS VEGAS, NV, 89120, 7022622061 - 1,512,662 ($90,759.72) Equity, (File 333-111788 - Jan. 9) (BR. 08) SB-2 PEABODYS COFFEE INC/NV, 3845 ATHERTON ROAD, SUITE 9, ROCKLIN, CA, 95765, 9166326090 - 7,075,000 ($2,977,000.00) Equity, (File 333-111789 - Jan. 9) (BR. 05) F-1 TELECOM ARGENTINA STET FRANCE TELECOM SA, MAIPU 1210, PISO 9, BUENOS AIRES ARGENTINA, C1, 1006, 5419684000 - 0 ($903,513,914.59) Other, (File 333-111790 - Jan. 9) (BR. 37) S-3 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($1,000,000,000.00) Other, (File 333-111792 - Jan. 9) (BR. 02) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($1,901,880.00) Equity, (File 333-111793 - Jan. 9) (BR. 02) S-8 CENTRAL FREIGHT LINES INC, 2547722120 - 5,000,000 ($88,450,000.00) Equity, (File 333-111795 - Jan. 9) (BR. 05) S-8 XRG INC, 5301 CYPRESS STREET, SUITE 111, TAMPA, FL, 33607, 813-637-0700 - 3,000,000 ($990,000.00) Equity, (File 333-111796 - Jan. 9) (BR. 05) S-3 XATA CORP /MN/, 151 E CLIFF RD STE 10, BURNSVILLE, MN, 55337, 6128943680 - 0 ($12,003,726.00) Equity, (File 333-111797 - Jan. 9) (BR. 03) S-3 XATA CORP /MN/, 151 E CLIFF RD STE 10, BURNSVILLE, MN, 55337, 6128943680 - 0 ($84,383.00) Equity, (File 333-111798 - Jan. 9) (BR. 03) S-8 SYNNEX CORP, 3797 SPINNAKER COURT, FREMONT, CA, 94538, 5106563333 - 0 ($209,024,628.00) Equity, (File 333-111799 - Jan. 9) (BR. 03) S-8 DATAKEY INC, 407 W TRAVELERS TRAIL, BURNSVILLE, MN, 55337, 6128906850 - 0 ($66,000.00) Equity, (File 333-111800 - Jan. 9) (BR. 36) F-10 HYDROGENICS CORP, 5985 MCLAUGHLIN ROAD, -, MISSISSAUGA L5R 1B8, A6, 00000, 9053613638 - 12,650,000 ($80,074,500.00) Equity, (File 333-111801 - Jan. 9) (BR. 36) S-8 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 5094583711 - 0 ($19,634,611.00) Equity, (File 333-111802 - Jan. 9) (BR. 07) S-8 BOTTOMLINE TECHNOLOGIES INC /DE/, 325 CORPORATE DRIVE, PORTSMOUTH, NH, 03801, 6034360700 - 463,519 ($4,222,658.09) Equity, (File 333-111803 - Jan. 9) (BR. 03) S-3 CONTANGO OIL & GAS CO, 3700 BUFFALO SPEEDWAY SUITE 960, HOUSTON, TX, 77098, 7139601901 - 0 ($18,138,523.52) Equity, (File 333-111804 - Jan. 9) (BR. 04) S-8 SOUTH FINANCIAL GROUP INC, 102 S MAIN ST, GREENVILLE, SC, 29601, 8642557900 - 79,710 ($806,665.20) Equity, (File 333-111805 - Jan. 9) (BR. 07) S-3D PIEDMONT NATURAL GAS CO INC, 1915 REXFORD RD, CHARLOTTE, NC, 28211, 7043643120 - 0 ($85,260,000.00) Equity, (File 333-111806 - Jan. 9) (BR. 02) S-8 VITAL SIGNS INC, 20 CAMPUS RD, TOTOWA, NJ, 07512, 2017901330 - 1,000,000 ($33,000,000.00) Equity, (File 333-111807 - Jan. 9) (BR. 36) S-8 VITAL SIGNS INC, 20 CAMPUS RD, TOTOWA, NJ, 07512, 2017901330 - 1,000,000 ($33,000,000.00) Equity, (File 333-111808 - Jan. 9) (BR. 36) S-4 BERRY PLASTICS CORP, 101 OAKLEY ST, P O BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 0 ($85,000,000.00) Non-Convertible Debt, (File 333-111809 - Jan. 9) (BR. 06) S-3 PUGET ENERGY INC /WA, 10885 NE 4TH STREET, BELLEVUE, WA, 980045515, 4254546363 - 0 ($500,000,000.00) Equity, (File 333-111810 - Jan. 9) (BR. 02) S-3 PEOPLES CHOICE HOME LOAN SECURITIES CORP, 7515 IRVINE CENTER DR, IRVINE, CA, 92618, 9492651840 - 0 ($2,000,000,000.00) Mortgage Backed Securities, (File 333-111811 - Jan. 9) (BR. 05) S-4 GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214, 6153166000 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-111812 - Jan. 9) (BR. 08) S-3 GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214, 6153166000 - 0 ($500,000,000.00) Other, (File 333-111813 - Jan. 9) (BR. 08) S-8 LTX CORP, LTX PARK AT UNIVERSITY AVE, WESTWOOD, MA, 02090, 7814611000 - 0 ($18,168,000.00) Equity, (File 333-111814 - Jan. 9) (BR. 36) S-3 AVIALL INC, 972-586-1000 - 0 ($306,505,000.00) Unallocated (Universal) Shelf, (File 333-111816 - Jan. 9) (BR. 06) S-3 SUPERCONDUCTOR TECHNOLOGIES INC, 460 WARD DR, STE F, SANTA BARBARA, CA, 93111, 8056837646 - 80,000,000 ($80,000,000.00) Equity, (File 333-111818 - Jan. 9) (BR. 37) SB-2 GRAYMARK PRODUCTIONS INC, 101 N. ROBINSON, SUITE 920, OKLAHOMA CITY, OK, 73102, 4056015300 - 0 ($14,293,500.00) Other, (File 333-111819 - Jan. 9) (BR. ) N-2 COHEN & STEERS SELECT UTILITY FUND INC, 757 HIRD AVENUE, NEW YORK, NY, 10017, 2128323232 - 50,000 ($1,000,000.00) Equity, (File 333-111820 - Jan. 9) (BR. 18) S-3 LEXICON GENETICS INC/TX, 8800 TECHNOLOGY FOREST PLACE, THE WOODLANDS, TX, 77381, 2818633000 - 3,500,000 ($21,000,000.00) Equity, (File 333-111821 - Jan. 9) (BR. 01) S-8 SKYWAY COMMUNICATIONS HOLDING CORP, 1680 MICHIGAN AVENUE, SUITE 1000, MIAMI BEACH, FL, 33139, 15,000,000 ($7,000,000.00) Equity, (File 333-111822 - Jan. 9) (BR. 37) S-8 PETROLEUM DEVELOPMENT CORP, 103 E MAIN ST, BRIDGEPORT, WV, 26330, 3048426256 - 20,000 ($420,000.00) Equity, (File 333-111823 - Jan. 9) (BR. 04) S-8 PETROLEUM DEVELOPMENT CORP, 103 E MAIN ST, BRIDGEPORT, WV, 26330, 3048426256 - 500,000 ($10,500,000.00) Equity, (File 333-111824 - Jan. 9) (BR. 04) S-8 PETROLEUM DEVELOPMENT CORP, 103 E MAIN ST, BRIDGEPORT, WV, 26330, 3048426256 - 500,000 ($10,500,000.00) Equity, (File 333-111825 - Jan. 9) (BR. 04) SB-2 HOUSTON AMERICAN ENERGY CORP, 801 TRAVIS STREET, SUITE 2020, HOUSTON, TX, 77002, 7132226966 - 1,633,949 ($1,151,934.05) Equity, (File 333-111826 - Jan. 9) (BR. 04) SB-2 CLICKABLE ENTERPRISES INC, 711 SOUTH COLUMBUS AVENUE, ., MOUNT VERNON, NY, 10550, 9146995190 - 211,435,920 ($10,571,796.00) Equity, (File 333-111827 - Jan. 9) (BR. 04) N-2 CENTRAL EUROPE & RUSSIA FUND INC, 280 PARK AVENUE, NEW YORK, NY, 10017, 2124741694 - 0 ($1,000,000.00) Equity, (File 333-111828 - Jan. 9) (BR. 16) S-8 FIRST AMERICAN CORP, 1 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-800-3000 - 1,000,000 ($29,690,000.00) Equity, (File 333-111829 - Jan. 9) (BR. 01) S-8 VALUECLICK INC/CA, 4360 PARK TERRACE DR, SUITE 100, WESTLAKE VILLAGE, CA, 91361, 8056846060 - 0 ($4,409,784.00) Equity, (File 333-111830 - Jan. 9) (BR. 02) S-8 CREDIT ACCEPTANCE CORPORATION, 25505 W TWELVE MILE RD, STE 3000, SOUTHFIELD, MI, 48034-8334, 8103532700 - 0 ($3,052,000.00) Equity, (File 333-111831 - Jan. 9) (BR. 07) S-3 SAXON ASSET SECURITIES CO, 4880 COX ROAD SUITE 100, GLEN ALLEN, VA, 23060, 8049677400 - 0 ($3,035,499,620.00) Asset-Backed Securities, (File 333-111832 - Jan. 9) (BR. 05) S-3 FNB CORP/FL/, F.N.B. CENTER, 2150 GOODLETTE ROAD NORTH, NAPLES, FL, 34102, 239-262-7600 - 0 ($38,710,000.00) Equity, (File 333-111833 - Jan. 9) (BR. 07) N-2 COHEN & STEERS REIT & UTILITY INCOME FUND INC, 40 ($1,000,000.00) Other, (File 333-111834 - Jan. 9) (BR. 22) N-2 RMR REAL ESTATE FUND, ONE POST OFFICE SQUARE, C/O SULLIVAN & WORCESTER LLP, BOSTON, MA, 02109, 6173382899 - 1,900 ($47,500,000.00) Equity, (File 333-111835 - Jan. 9) (BR. 18) S-3 ACTUANT CORP, 6101 N. BAKER RD., MILWAUKEE, WI, 53209, 4143524160 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-111836 - Jan. 9) (BR. 06) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5084351000 - 6,304,448 ($10,024,072.00) Equity, (File 333-111838 - Jan. 9) (BR. 03) S-3 UNITEDGLOBALCOM INC, 4643 SOUTH ULSTER STREET SUITE 1300, DENVER, CO, 80237, 3037704001 - 0 ($50,316,587.00) Equity, (File 333-111839 - Jan. 9) (BR. 37) 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 ------------------------------------------------------------------------------------------------ 99 CENTS ONLY STORES CA X X 01/08/04 AAMES MORTGAGE TR MORT PAS THRU CERT DE X X 12/25/03 AMEND ABAXIS INC CA X 01/09/04 ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 12/25/03 ACE SEC CORP HOM EQ LN TR SER 2003-O DE X 12/18/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 12/25/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 12/25/03 ACE SECURITIES CORP TERWIN MORT TRUST DE X X 12/25/03 ACR GROUP INC TX X X 01/07/04 AEARO CORP DE X 09/30/03 AIRNET COMMUNICATIONS CORP DE X X 01/09/04 AIRTRAX INC NJ X X 01/01/04 ALCOA INC PA X 01/08/04 ALEXION PHARMACEUTICALS INC DE X X 01/09/04 AMEND ALPHA TECHNOLOGIES GROUP INC DE X X 01/08/04 AMDL INC DE X 01/08/04 AMERICAN EAGLE OUTFITTERS INC DE X X 01/07/04 AMERICAN HEALTHWAYS INC DE X X 01/09/04 AMERIQUEST MORTGAGE SEC INC ASSET BAC DE X X 12/23/03 ANDREW CORP DE X X 01/08/04 ARIZONA PUBLIC SERVICE CO AZ X X 01/08/04 AROTECH CORP DE X X X 01/07/04 ATS MEDICAL INC MN X X 01/09/04 AVI BIOPHARMA INC OR X X X 01/09/04 AVI BIOPHARMA INC OR X X X 01/08/04 AVOCENT CORP DE X X 01/09/04 BACH-HAUSER INC NV X 11/21/03 BALSAM VENTURES INC X X 01/08/04 BANC OF AMERICA ALTERNATIVE LOAN TRU NY X X 12/26/03 BANC OF AMERICA FUNDING MTG PASS THR NY X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PS DE X X 12/26/03 BANC OF AMERICA MORT SEC ALTERNATIVE DE X X 12/26/03 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 12/26/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/26/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/26/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 12/26/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 12/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 12/25/03 BANC OF AMERICA MORTGAGE SEC INC MORT DE X X 12/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 12/25/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 12/26/03 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 12/25/03 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 12/26/03 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 09/25/03 BANCTRUST FINANCIAL GROUP INC AL X 12/30/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 12/26/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 12/25/03 BARNES & NOBLE INC DE X X 01/08/04 BARNESANDNOBLE COM INC DE X X 01/08/04 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 12/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 12/25/03 BEAR STEARNS ASSET BACK SEC IRWIN WHO DE X X 12/25/03 BEAR STEARNS ASSET BACKED CERTS SERIE DE X X 12/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 12/27/03 BEAR STEARNS COMPANIES INC DE X X 01/07/04 BIDVILLE INC NV X X 01/08/04 BIG LOTS INC OH X X 01/09/04 BIO ONE CORP NV X X 09/11/03 BNP RESIDENTIAL PROPERTIES INC MD X X 01/07/04 BOOKS A MILLION INC DE X 01/08/04 BOUNDLESS MOTOR SPORTS RACING INC CO X 08/01/03 AMEND BRILLIANT DIGITAL ENTERTAINMENT INC DE X X 01/08/03 BROWN SHOE CO INC NY X 01/08/04 BURLINGTON COAT FACTORY WAREHOUSE COR DE X 10/09/03 CALPINE CORP DE X 01/09/04 CALPINE CORP DE X 01/09/04 CALYPTE BIOMEDICAL CORP DE X X 12/23/03 AMEND CENTEX CONSTRUCTION PRODUCTS INC DE X X 07/21/03 AMEND CHAPARRAL RESOURCES INC DE X X 01/08/04 CHART INDUSTRIES INC DE X X 01/09/04 CHASE MORTGAGE FINANCE CORP DE X X 12/26/03 CHESAPEAKE ENERGY CORP OK X 01/08/04 CHIRON CORP DE X X 01/09/04 CITICORP MORTGAGE SECURITIES INC DE X 01/09/04 CITIGROUP MORT LOAN TRUST INC MORT PA X X 12/25/03 CITIZENS & NORTHERN CORP PA X X 12/31/03 CITIZENS FINANCIAL CORP /KY/ KY X 12/23/03 CN BANCORP INC MD X 01/05/04 AMEND COLLINS INDUSTRIES INC MO X 01/08/04 COLONY BANKCORP INC GA X X 01/09/04 COMDIAL CORP DE X X 01/07/04 COMMERCIAL CAPITAL BANCORP INC NV X X 01/09/04 CONNETICS CORP DE X X 01/08/04 COOL CAN TECHNOLOGIES INC/CA MN X X 01/08/04 CORNING NATURAL GAS CORP NY X 01/07/04 COST U LESS INC WA X X 01/08/04 CRAFTY ADMIRAL ENTERPRISES LTD NV X 01/09/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 01/09/04 CREDO PETROLEUM CORP CO X 01/07/04 CRESCENT REAL ESTATE EQUITIES CO TX X X 01/09/04 CROSS COUNTRY HEALTHCARE INC DE X X X 01/08/04 CSFB MORT BACKED PASS THROUGH CERTS S DE X X 12/26/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 12/26/03 CSFB MORTGAGE BACK PASS THR CER SER 2 DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X 01/09/04 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 12/26/03 CSFB MORTGAGE BACKED PASS THRU CERT S DE X X 12/25/03 CSFB MORTGAGE SEC CORP HOME EQ MORT P DE X X 12/26/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 12/26/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 12/26/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 12/26/03 CSFB SEC CORP CSFB MORT BACKED PASS T DE X X 12/26/03 DAIMLERCHRYSLER WHOLESALE RECEIVABLES DE X X 01/07/04 DELTA MUTUAL INC X 01/08/04 DIGIBLUE MEDIA INC NV X 01/06/04 DIODES INC /DEL/ DE X X 01/07/04 DIRECT INSITE CORP DE X 01/02/04 DIVIDEND CAPITAL TRUST INC MD X X 10/29/03 AMEND DOCUMENT SECURITY SYSTEMS INC NY X X X 01/06/04 DOLLAR GENERAL CORP TN X X 01/08/04 DUKE REALTY LIMITED PARTNERSHIP/ IN X 01/07/04 EFC BANCORP INC DE X X 01/09/04 ELIZABETH ARDEN INC FL X X 01/09/04 EMAGIN CORP NV X X 01/09/04 EMC CORP MA X X 01/09/04 EMPIRE FINANCIAL HOLDING CO FL X X 01/05/04 ENBRIDGE ENERGY PARTNERS LP DE X X 01/06/04 EOG RESOURCES INC DE X 01/09/04 ESSEX PROPERTY TRUST INC MD X X 01/08/04 EVOLVING SYSTEMS INC DE X 01/01/04 EZ EM INC DE X X 01/08/04 FACTORY CARD OUTLET CORP DE X X 01/09/04 FIDELITY D & D BANCORP INC PA X X 01/02/04 FIELDSTONE MORTGAGE INVESTMENT CORP S NY X X 11/25/03 FINANCIAL ASSET SEC CORP FIRST FRANKL DE X X 12/25/03 FINANCIAL ASSET SEC CORP FREMONT HOME DE X X 12/25/03 FINANCIAL FEDERAL CORP NV X 01/08/04 FINDWHAT COM INC NV X X 01/09/04 FIRST FINANCIAL HOLDINGS INC /DE/ DE X 01/09/04 FIRST FRANKLIN ASSET BACKED CERTS SER DE X X 12/25/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 12/25/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 12/27/03 FIRST HORIZON PHARMACEUTICAL CORP DE X X 01/08/04 FIRST INDIANA CORP IN X X 01/09/04 FIRST SOUTH BANCORP INC SC X X 01/02/04 FIRSTMERIT CORP /OH/ OH X X 01/08/04 FLAG TELECOM GROUP LTD X 01/09/04 FNB CORP/FL/ FL X X 01/01/04 FORD MOTOR CO DE X X 01/09/04 FORD MOTOR CREDIT CO DE X X 01/09/04 G REIT INC VA X X 12/30/03 GAYLORD ENTERTAINMENT CO /DE DE X 01/09/04 GELSTAT CORP MN X X 01/09/04 GENERAL CABLE CORP /DE/ DE X X 11/18/03 AMEND GENOME THERAPEUTICS CORP MA X X 01/09/04 GENOME THERAPEUTICS CORP MA X X 01/09/04 GREAT ATLANTIC & PACIFIC TEA CO INC MD X X 01/09/04 GREAT PEE DEE BANCORP INC DE X X 01/02/04 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 12/15/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 12/26/03 GREENTECH USA INC FL X 12/01/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 12/25/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 12/25/03 GS MORTGAGE SECURITIES CORP DE X X 01/07/04 GS MORTGAGE SECURITIES CORP DE X X 01/07/04 HANMI FINANCIAL CORP DE X X 01/09/04 HAWAIIAN HOLDINGS INC DE X X 12/19/03 HELOC ASSET-BACKED NOTES SERIES 2003- DE X X 12/25/03 HERITAGE PROPANE PARTNERS L P DE X X 01/08/04 HERITAGE PROPANE PARTNERS L P DE X X 01/08/04 HORTON D R INC /DE/ DE X X 01/08/04 HRPT PROPERTIES TRUST MD X X 01/07/04 IMAGEMAX INC PA X X 01/08/04 INDEPENDENT BANK CORP MI X X X X 01/08/04 INFINITY PROPERTY & CASUALTY CORP OH X 12/17/03 INNKEEPERS USA TRUST/FL MD X X 01/09/04 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA X X 01/02/04 INSIGNIA SOLUTIONS PLC X X 01/07/04 INSTINET GROUP INC DE X X 01/08/04 INTER PARFUMS INC DE X 01/09/04 INTERACTIVE GROUP INC SD X X 01/07/04 INVISA INC X 01/06/04 IRON MOUNTAIN INC/PA PA X 01/09/04 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 11/25/03 JP MORGAN MORTGAGE TRUST 2003-A2 DE X X 12/25/03 KANSAS CITY SOUTHERN DE X X 01/08/04 KELLWOOD CO DE X X 01/08/04 KULICKE & SOFFA INDUSTRIES INC PA X X 01/09/04 LABONE INC/ MO X 01/09/04 LANDRYS RESTAURANTS INC DE X 01/09/04 LIGHTPATH TECHNOLOGIES INC DE X X 01/09/04 LMIC INC DE X X 07/17/03 AMEND LOUDEYE CORP DE X X 12/31/03 MAGNUM HUNTER RESOURCES INC NV X 01/08/04 MAGUIRE PROPERTIES INC MD X 11/06/03 AMEND MARCONI CORP PLC X0 X 01/09/04 MARCONI CORP PLC X0 X 01/09/04 MASTR ASSET SECURITIZATION TRUST 2003 DE X 01/09/04 MASTR SEASONED SECURITIZATION TRUST 2 DE X X 12/25/03 MAYORS JEWELERS INC/DE DE X X 01/05/04 MCDATA CORP DE X 01/08/04 MEDIMMUNE INC /DE DE X 01/08/04 MELLON BANK N A MA X 01/09/04 MELLON BANK N A MA X 01/09/04 MERITAGE CORP MD X X X 01/08/04 MERITAGE HOSPITALITY GROUP INC MI X X 01/09/04 MERRILL LYNCH MORT INV INC LOAN AST B DE X X 12/26/03 MERRILL LYNCH MORT INV INC MO PASS TH DE X X 12/26/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 12/25/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 12/25/03 MERRILL LYNCH MORT INVEST INC MLCC 20 DE X X 12/26/03 MERRILL LYNCH MORT INVEST INC MORT LN DE X X 12/25/03 MERRILL LYNCH MORT INVESTORS INC TRUS DE X X 12/26/03 MERRILL LYNCH MORTGAGE ASST BACK CERT DE X X 12/25/03 MERRILL LYNCH MORTGAGE INV TRUST SER DE X X 12/26/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 12/25/03 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE X X 12/26/03 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE X X 12/25/03 METHODE ELECTRONICS INC DE X X 01/08/04 MEXICAN RESTAURANTS INC TX X X 01/08/03 MONDAVI ROBERT CORP CA X 01/09/04 MORGAN STANLEY ABS CAPITAL 1 INC TRUS DE X X 12/27/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 12/25/03 MORGAN STANLEY COMM MORT PASS THR CER DE X X 12/18/03 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 12/25/03 MORTGAGE ASSET SEC TRANS ALTER LN NY X X 11/25/03 MORTGAGE ASSET SEC TRANS MASTR ADJUST DE X X 12/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 12/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 01/09/04 NAPCO SECURITY SYSTEMS INC DE X X 09/30/03 NATIONAL VISION INC GA X 01/09/04 NATIONSRX INC NV X X X X 11/24/03 NEBO PRODUCTS INC UT X 01/07/04 NEBO PRODUCTS INC UT X 01/07/04 AMEND NETEGRITY INC DE X X 01/09/04 NEW CENTURY BANCORP INC NC X 01/09/04 NOBEL LEARNING COMMUNITIES INC DE X X 01/07/04 NOVASTAR FINANCIAL INC MD X X 01/09/04 NU SKIN ENTERPRISES INC DE X X X 01/07/04 OAK HILL FINANCIAL INC OH X 01/09/04 OM GROUP INC DE X 01/07/04 OPINION RESEARCH CORP DE X 12/30/03 AMEND OUTLOOK GROUP CORP WI X 01/07/04 PACIFIC FINANCIAL CORP WA X 01/08/04 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 01/09/04 PATAPSCO BANCORP INC MD X X 01/02/04 PATIENT INFOSYSTEMS INC DE X 01/09/04 PEMSTAR INC MN X X 01/07/04 PETRIE STORES LIQUIDATING TRUST NY X X 01/09/04 PETROLEUM DEVELOPMENT CORP NV X 01/09/04 PHSB FINANCIAL CORP PA X X 01/09/04 PIEDMONT NATURAL GAS CO INC NC X 01/09/04 PINNACLE WEST CAPITAL CORP AZ X X 01/08/04 PLATO LEARNING INC DE X X 11/17/03 AMEND PPL CORP PA X X 12/19/03 PRIME MORTGAGE TRUST 2003-1 NY X X 12/25/03 PULTE HOMES INC/MI/ MI X 01/09/04 RAYOVAC CORP WI X X 01/08/04 RCG COMPANIES INC DE X X 11/07/03 AMEND RED HAT INC DE X X 01/06/04 AMEND REDENVELOPE INC DE X X X 01/09/04 REDWOOD EMPIRE BANCORP CA X 01/08/04 REHABCARE GROUP INC DE X 01/09/04 RENAISSANCE MORT ACCEPT CORP HOME EQ DE X X 12/27/03 RESIDENTIAL ASSET MORT PROD GMACM PS DE X X 12/25/03 AMEND RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/09/04 RESTORATION HARDWARE INC CA X X 01/08/04 RPC INC DE X X 01/09/04 RSA SECURITY INC/DE/ DE X X X 01/08/04 SALOMON MORTGAGE LOAN TRUST SERIES 20 DE X X 12/25/03 SAUL B F REAL ESTATE INVESTMENT TRUST MD X 01/09/04 SAXON CAPITAL INC DE X 01/09/04 SCHEIN HENRY INC DE X X 01/09/04 SEA PINES ASSOCIATES INC SC X X 01/08/04 SEACOAST BANKING CORP OF FLORIDA FL X 01/07/04 SECOND BANCORP INC OH X 01/09/04 SECURED DATA INC /NV/ NV X 01/09/04 SELECT COMFORT CORP MN X 01/08/04 SELECTICA INC DE X X X 01/06/04 SEQUOIA MORTGAGE FUNDING CORP MD X X 12/31/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 11/19/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SEQUOIA RESIDENTIAL FUNDING INC X X 12/22/03 SHILOH INDUSTRIES INC DE X X 01/07/04 SIMMONS FIRST NATIONAL CORP AR X 01/08/04 SL GREEN REALTY CORP MD X 12/29/03 SOUTHERN CALIFORNIA EDISON CO CA X 01/07/04 SOUTHFIRST BANCSHARES INC DE X X 01/07/04 SOUTHWALL TECHNOLOGIES INC /DE/ DE X 01/09/04 SPEEDEMISSIONS INC FL X 06/16/03 AMEND STAAR SURGICAL COMPANY DE X X X X 01/07/04 STRUCTURED ASSET INVESTMENT LOAN TRUS DE X X 12/25/03 STRUCTURED ASSET MORT INV II INC PRIM DE X X 12/25/03 STRUCTURED ASSET MORT INV MORT PASS T NY X X 12/27/03 STRUCTURED ASSET MORT INVEST INC MORT DE X X 12/25/03 STRUCTURED ASSET MORTGAGE INV INC MOR NY X X 12/27/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/20/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/27/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/27/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 12/25/03 STRUCTURED ASSET SECURITIES CORP MOR DE X X 12/25/03 SUITE 101 COM INC DE X 01/09/04 SUTTER HOLDING CO INC DE X X 01/09/04 TELEVIDEO INC DE X X 01/09/04 TRESTLE HOLDINGS INC DE X X 01/08/04 TTM TECHNOLOGIES INC WA X 01/08/04 U S GOLD CORP CO X X 01/08/04 ULTRADATA SYSTEMS INC DE X 01/09/04 UNITED DOMINION REALTY TRUST INC MD X X 11/25/03 URBAN OUTFITTERS INC PA X X 01/08/04 US AIRWAYS GROUP INC DE X X 01/09/04 US BANCORP \DE\ DE X X 01/08/04 USA BROADBAND INC DE X 12/23/03 USANA HEALTH SCIENCES INC UT X 01/06/04 VERSO TECHNOLOGIES INC MN X X 01/08/04 WD 40 CO DE X 01/08/04 WELLPOINT HEALTH NETWORKS INC /DE/ DE X X 01/06/04 WELLS FARGO ASSET SEC CORP MOR BACKED DE X X 12/25/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 08/26/03 WELLS FARGO ASSET SEC MOR BACKED SER DE X X 12/25/03 WELLS FARGO ASSET SECURITES CORP 2003 NY X X 12/25/03 WELLS FARGO ASSET SECURITIES CORP DE X X 01/09/04 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 12/25/03 WET SEAL INC DE X X X 01/07/04 WGNB CORP GA X X 01/07/04 WICKES INC DE X 01/09/04 WINTHROP RESIDENTIAL ASSOCIATES III MD X 12/31/03 WJ COMMUNICATIONS INC CA X X X X 01/08/04 WSI INDUSTRIES INC MN X X 01/08/04 XM SATELLITE RADIO HOLDINGS INC DE X 01/09/04 XOMA LTD /DE/ DE X X 12/18/03 AMEND YP NET INC NV X X 01/08/04 ZIM CORP A6 X X 01/07/04 BROOKFIELD HOMES CORP DE X X 01/06/04