SEC NEWS DIGEST Issue 2003-223 November 24, 2003 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #6 FOR FISCAL YEAR 2004 The continuing resolution funding the Securities and Exchange Commission for fiscal 2004 since Oct. 1, 2003, has been extended further through Jan. 31, 2004. Therefore, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates. Five days after enactment of the Commission's regular fiscal year 2004 appropriation, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions will be increased from the current rate of $80.90 per million to $126.70 per million, as previously announced. In addition, thirty days after enactment of the Commission's regular appropriation, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq will be reduced from the current rate of $46.80 per million to $39.00 per million, as previously announced. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the Web sites of The New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasdr.com. A copy of the Commission's April 30, 2003, order regarding fee rates for fiscal year 2003 is available at http://www.sec.gov/news/press/2003-57.htm. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet Web site at http://www.sec.gov. (Press Rel. 2003-163) ------------------------ ENFORCEMENT PROCEEDINGS ------------------------ IN THE MATTER OF INVESTCO, INC. An Administrative Law Judge has issued an Initial Decision in the matter of Investco, Inc. The Initial Decision finds that Investco, Inc. (Investco) violated Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder by failing to file its annual reports on Form 10-K for the years ended Dec. 31, 2001, and Dec. 31, 2002, and its quarterly reports on Form 10-Q for the quarters ended March 31, 2002, June 30, 2002, Sept. 30, 2002, and March 31, 2003. The Initial Decision revokes the registration of all securities of Investco, pursuant to Section 12(j) of the Exchange Act. (Initial Decision No. 240; File No. 3-11228) IN THE MATTER OF MICHAEL FLANAGAN, RONALD KINDSCHI AND SPECTRUM ADMINISTRATION, INC. An Administrative Law Judge has issued an Initial Decision in the matter of Michael Flanagan, Ronald Kindschi and Spectrum Administration, Inc. The Initial Decision finds that the position of the Division of Enforcement in the underlying administrative proceeding was, on the whole, substantially justified. The Initial Decision denies the Application for Fees and Expenses filed pursuant to the Equal Access to Justice Act, 5 U.S.C. § 504, and the Securities and Exchange Commission's regulations, 17 C.F.R. §§ 201.31, et seq. (Initial Decision No. 241; File No. 3-9784-EAJA) SEC BARS LAWRENCE BARSI FROM ASSOCIATING WITH ANY BROKER, DEALER OR INVESTMENT ADVISER The Commission today announced that on November 24 it issued an administrative order barring Lawrence M. Barsi (Barsi), a resident of Chicago, Illinois, from associating with any broker, dealer or investment adviser. Barsi consented to the order, which was based on a criminal conviction. On May 21, 2003, he was convicted, pursuant to a guilty plea, of one count of mail fraud (18 U.S.C. §1341) in a case captioned U.S. v. Lawrence M. Barsi (Case No. 03 CR 0333), in the U.S. District Court for the Northern District of Illinois. The criminal information in that case charged that from the late 1980s to October 2002, Barsi misappropriated over $2,500,000 from approximately 60 investors; he used the money to pay his personal expenses and supposed returns to some investors; and he concealed the fraud by sending account statements to investors representing he had invested their money in profitable securities. On Sept. 5, 2003, Barsi was sentenced to 87 months imprisonment and ordered to pay a restitution penalty of $1,976,129. The case was prosecuted by the U.S. Attorney's Office for the Northern District of Illinois. (Rels. 34-48824; IA-2195; File No. 3-11342) ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST BRUCE FOLLICK, SALVATORE TAVOLACCI, KARL DONOVAN, AARON SANDSTROM, DEREK SHAPIRO AND DONALD BROOKS On November 24, the Commission instituted administrative proceedings against Bruce Follick, Salvatore Tavolacci, Karl Donovan, Aaron Sandstrom, Derek Shapiro, and Donald Brooks. On April 11, 2002, Follick, Tavolacci, Shapiro, and Sandstrom were permanently enjoined by the U.S. District Court for the Southern District of New York from violating the securities registration and antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. Donovan and Brooks were similarly enjoined on May 31, 2002. The complaint in the civil injunctive action alleged that, at various times from at least April 1997 through July 1999, Follick, Tavolacci, Donovan, Sandstrom, Shapiro, and Brooks directed a sales force, which solicited purchases in fraudulent offerings of at least five securities. The sales force sold the stock to retail customers by means of a high-pressure sales pitch that included numerous material misrepresentations and omissions. Follick, Tavolacci, Donovan, Sandstrom, Shapiro, and Brooks all pled guilty to criminal charges arising out of the same conduct that gave rise to the civil injunctive action. Follick was convicted on Aug. 20, 2002, and the other defendants were convicted on various dates between February and May 2001. In particular, they were convicted of securities fraud and conspiracy to commit securities fraud and wire fraud. They received sentences ranging from 18 to 51 months in federal prison. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the respondents an opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. The Commission directed that the Administrative Law Judge issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. For further information about the related civil and criminal proceedings, see Litigation Release No. 16588 (June 14, 2000). (Rel. 34-48826; File No. 3-11343) THOMAS CONWELL, RESIDENT OF LAKE BLUFF, ILLINOIS AND OWNER OF LAKE FOREST FINANCIAL GROUP LTD., PLEADS GUILTY TO FRAUD CHARGES AND OBSTRUCTION OF SEC INVESTIGATION The Commission announced today that on November 19 Thomas V. Conwell, a Lake Bluff, Illinois resident, entered a plea of guilty to one count of wire fraud, three counts of bank fraud and one count of obstructing a Securities and Exchange Commission investigation. Conwell's sentencing was set for Feb. 6, 2004. According to the indictment against Conwell, between April 1998 and March 2001, Conwell, sole owner of Lake Forest Financial Group, Ltd., (LFFG) engaged in a scheme to defraud his clients by making material misstatements and omissions concerning the use of the funds he received for investments and insurance products, and the profitability of these investments. The indictment alleged that Conwell used the money he received for his personal benefit and the benefit of his business, including making payments to earlier investors without disclosing the Ponzi scheme nature of the payments. The indictment also charged that Conwell lied to four different banks to obtain more than $2.5 million in loans, and also, that Conwell made false statements to the staff of the SEC during its investigation into Conwell's activities. The criminal case against Conwell was prosecuted by the U.S. Attorney's office for the Northern District of Illinois In January of 2000, the SEC filed a civil complaint against Conwell and LFFG in connection with the scheme described above, alleging that Conwell and his firm had violated the antifraud provisions of the federal securities laws. On Jan. 31, 2000, the U.S. District Court for the Northern District of Illinois entered a final judgment order against Conwell and LFFG, pursuant to their consent, which enjoined them from further violations of the antifraud provisions of the federal securities laws, ordered them to disgorge more than $780,000 of ill-gotten gains, plus prejudgment interest and a civil penalty of $80,000. In addition, on July 3, 2000, the Commission entered an order in an administrative proceeding filed against Conwell that barred him from further association with any broker or dealer. [U.S. v. Thomas V. Conwell, USDC, NDIll., Case No. 03-CR- 334] (LR-18477) SEC SETTLES FRAUD CHARGES AGAINST TWO FORMER INSURANCE COMPANY EMPLOYEES The Commission announced today that on November 19 the U.S. District Court for the Southern District of New York entered final judgments against Anthony Dong-Yin Shen and Srinivas Anumolu, former employees of New York Life Insurance Company, Inc. (New York Life). The Commission had charged Shen and Anumolu with defrauding New York Life by accepting commission kickbacks and gratuities from registered representatives at several broker-dealers in exchange for directing securities trades on behalf of New York Life to those broker-dealers, sometimes at prices favorable to the broker-dealers and disadvantageous to New York Life. The judgments permanently restrain and enjoin Shen and Anumolu from violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which are general antifraud provisions of the federal securities laws. The judgment against Shen orders him to pay $278,000 in disgorgement, of which $40,000 is deemed satisfied by his payment of restitution in a parallel criminal conviction, and the remainder is waived based on his sworn financial representations. The judgment against Anumolu orders him to pay $205,500 in disgorgement, which is deemed satisfied by his prior settlement payment to New York Life in excess of that amount. Shen and Anumolu had pleaded guilty to criminal charges arising from their fraud. The criminal court considered Shen's substantial cooperation during the investigation, and on April 10, 2003, ordered him to pay criminal restitution in the amount of $136,394 jointly and severally with another defendant, serve three years of probation, and perform community service. On Jan. 8, 2003, the court sentenced Anumolu to serve two years of imprisonment and waived restitution in view of Anumolu's settlement payment to New York Life. The Commission also had charged that three registered representatives at three broker- dealers gave kickbacks or gratuities to Shen, Anumolu, or both of them, in order to obtain a flow of New York Life securities trades and favorable prices. The SEC's civil action against those three registered representatives continues. Two of the three were charged also with criminal securities fraud by the United States Attorney's Office for the Southern District of New York. They pleaded guilty and are now serving terms of imprisonment. [SEC v. Anthony Dong-Yin Shen, Srinivas Anumolu, Ronald W. Pinto, Deborah J. Breckenridge, and Dominick J. Savino, 01 Civ. 2438 (GBD) SDNY] (LR- 18478) -------------------------------- INVESTMENT COMPANY ACT RELEASES -------------------------------- JOHN HANCOCK BANK AND THRIFT OPPORTUNITY FUND A notice has been issued giving interested persons until Dec. 15, 2003, to request a hearing on an application filed by John Hancock Bank and Thrift Opportunity Fund for an order under Section 6(c) of the Investment Company Act for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit the applicant to make periodic distributions of long-term capital gains, as often as monthly, on its outstanding common stock so long as it maintains in effect a distribution policy calling for regular periodic distributions of a minimum fixed percentage of net asset value or a fixed dollar amount each taxable year. (Rel. IC-26258 – November 20) DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT For the month of November, 2003, a notice has been issued giving interested persons until Dec. 16, 2003, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: The First Philippine Fund Inc. [File No. 811-5902] Morgan Stanley Strategic Adviser Fund Inc. [File No. 811-8303] Aon Funds [File No. 811-6422] Venus Series Trust [File No. 811-9717] SmithGraham Institutional Funds [File No. 811-21112] Credit Suisse Investment Grade Bond Fund, Inc. [File No. 811-5600] St. Clair Funds, Inc. [File No. 811-4038] The Munder Funds Trust [File No. 811-5899] Credit Suisse Institutional International Fund, Inc. [File No. 811-8933] Credit Suisse Global Health Sciences Fund, Inc. [File No. 811-7901] Credit Suisse Global Technology Fund, Inc. [File No. 811-8935] Oppenheimer Concentrated Growth Fund [File No. 811-10047] (Rel. IC-26259 - November 21) HENNION & WALSH, INC., ET AL. A notice has been issued giving interested persons until Dec. 16, 2003, to request a hearing on an application filed by Hennion & Walsh, Inc., et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Section 12(d)(3) of the Act. The order would permit certain series of unit investment trusts to invest up to 10.5%, 14.5% or 34.5% of their respective total assets in securities of issuers that derived more than 15% of their gross revenues in their most recent fiscal year from securities related activities. (Rel. IC-26260 – November 21) ------------------------------ SELF-REGULATORY ORGANIZATIONS ------------------------------ IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2003-61) filed by the Pacific Exchange to extend for an additional six-month period a pilot rule relating to arbitration 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 24. (Rel. 34- 48806) A proposed rule change filed by the New York Stock Exchange to extend the 30-day free trial period for Broker Volume (SR-NYSE-2003-35) 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 24. (Rel. 34-48808) A proposed rule change (SR-ISE-2003-25), and Amendment No. 1 thereto, filed by the International Stock Exchange to amend ISE Rules 713 and 715 to add definitions for all- or-none orders, stop orders and stop limit orders, has become immediately 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 24. (Rel. 34-48811) A proposed rule change (SR-NASD-2003-160) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., regarding reporting of transactions conducted through electronic communications networks to the automated confirmation transaction service 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 24. (Rel. 34-48812) A proposed rule change (SR-Amex-2003-96) filed by the American Stock Exchange to revise its registration fees 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 24. (Rel. 34-48814) PROPOSED RULE CHANGES The Chicago Board of Options Exchange filed a proposed rule change (SR-CBOE-2003- 40) relating to options on certain CBOE volatility indexes. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48807) The American Stock Exchange filed a proposed rule change (SR-Amex-2003-21), and Amendment Nos. 1, 2, and 3 thereto, relating to at-the-close orders and auxiliary opening procedures. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48813) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2003-33), and Amendment No. 1 thereto, relating to non-member market maker transaction fees. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48815) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Phlx-2003-10) filed by the Philadelphia Stock Exchange to permit primary specialists to trade away from the Phlx floor in limited circumstances. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48816) ----------------------------- 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 ARIZONA AIRCRAFT SPARES INC, 3431 E HEMISPHERE LOOP, TUCSON, AZ, 85706, 5208060666 - 0 ($3,500,000.00) Equity, (File 333-110641 - Nov. 21) (BR. 05) S-8 KLEENAIR SYSTEMS INC, 1711 LANGLEY AVENUE, IRVINE, CA, 92614, 949-955-3492 - 1,250,000 ($250,000.00) Equity, (File 333-110642 - Nov. 21) (BR. 36) S-8 EMULEX CORP /DE/, 3535 HARBOR BLVD, COSTA MESA, CA, 92626, 7146625600 - 0 ($24,031,355.00) Equity, (File 333-110643 - Nov. 21) (BR. 03) S-11 CAPITAL LEASE FUNDING INC, 110 MAIDEN LANE, 36TH FLOOR, NEW YORK, NY, 10005, 2122176300 - 0 ($230,000,000.00) Equity, (File 333-110644 - Nov. 21) (BR. 08) S-8 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 - 1,000,000 ($2,930,000.00) Equity, (File 333-110646 - Nov. 21) (BR. 01) S-8 RINKER GROUP LTD, 0 ($129,975,000.00) Equity, (File 333-110647 - Nov. 21) (BR. 06) S-8 RINKER GROUP LTD, 0 ($8,665,000.00) Equity, (File 333-110648 - Nov. 21) (BR. 06) S-8 RESPIRONICS INC, 1010 MURRY RIDGE LANE, MURRYSVILLE, PA, 15668-8525, 7243875200 - 0 ($80,461,640.00) Equity, (File 333-110649 - Nov. 21) (BR. 36) S-8 TEGAL CORP /DE/, 2201 S MCDOWELL BLVD, PO BOX 6020, PETALUMA, CA, 94955, 7077635600 - 4,500,000 ($6,705,000.00) Equity, (File 333-110650 - Nov. 21) (BR. 36) S-8 PALOMAR ENTERPRISES INC, 6196922590 - 130,000,000 ($1,170,000.00) Other, (File 333-110651 - Nov. 21) (BR. 05) S-8 ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 27870, 2525379222 - 300,000,000 ($1,500,000.00) Equity, (File 333-110652 - Nov. 21) (BR. 08) S-8 ACETO CORP, ONE HOLLOW LANE, LAKE SUCCESS, NY, 11042, 5166276000 - 500,000 ($8,850,000.00) Equity, (File 333-110653 - Nov. 21) (BR. 02) S-8 OPTIKA INC, 7450 CAMPUS DR 2ND FLOOR, STE 200, COLORADO SPRINGS, CO, 80920, 7195489800 - 2,300,000 ($8,863,110.00) Equity, (File 333-110654 - Nov. 21) (BR. 03) S-2 HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW ST, P O BOX 2999, SIMSBURY, CT, 06089, 8608435445 - 0 ($1,800,000,000.00) Other, (File 333-110655 - Nov. 21) (BR. 20) S-8 LAFARGE NORTH AMERICA INC, 12950 WORLDGATE DR. SUITE 500, HERNDON, VA, 20170, 7034803600 - 0 ($242,385,000.00) Equity, (File 333-110656 - Nov. 21) (BR. 06) S-8 IDT CORP, 520 BROAD ST, NEWARK, NJ, 07102, 973 438 1000 - 0 ($7,750,000.00) Equity, (File 333-110657 - Nov. 21) (BR. 37) S-3 E LOAN INC, 6230 STONERIDGE MALL ROAD, PLEASANTON, CA, 94588, 925 241 2400 - 378,549 ($1,196,214.84) Equity, (File 333-110658 - Nov. 21) (BR. 07) S-8 ANZA INNOVATIONS, 24843 DEL PRADO, STE 318, DANA POINT, CA, 92629, 9484877295 - 1,500,000 ($225,000.00) Debt Convertible into Equity, (File 333-110659 - Nov. 21) (BR. 05) S-8 USURF AMERICA INC, 2259227744 - 12,000,000 ($2,040,000.00) Equity, (File 333-110660 - Nov. 21) (BR. 03) S-8 WORLDWIDE RESTAURANT CONCEPTS INC, 6101 W CENTINELA AVE, STE 200, CULVER CITY, CA, 90230, 3105680135 - 1,200,000 ($3,876,000.00) Equity, (File 333-110661 - Nov. 21) (BR. 05) S-8 FIRSTENERGY CORP, 3303845100 - 7,000,000 ($229,397,503.53) Debt Convertible into Equity, (File 333-110662 - Nov. 21) (BR. 02) S-8 AMC ENTERTAINMENT INC, 920 MAIN STREET, N/A, KANSAS CITY, MO, 64105, 8162214000 - 6,500,000 ($92,170,000.00) Other, (File 333-110663 - Nov. 21) (BR. 05) S-8 STRATEX NETWORKS INC, 170 ROSE ORCHARD WAY, SAN JOSE, CA, 95134, 4089430777 - 0 ($673,798.05) Equity, (File 333-110664 - Nov. 21) (BR. 37) F-6 AKTIENGESELLSCHAFT BERU, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-110665 - Nov. 21) (BR. ) S-8 HILB ROGAL & HAMILTON CO /VA/, THE HILB, ROGAL AND HAMILTON BUILDING, 4951 LAKE BROOK DRIVE, SUITE 500, GLEN ALLEN, VA, 23060, 8047476500 - 2,000,000 ($59,600,000.00) Equity, (File 333-110666 - Nov. 21) (BR. 01) S-8 IVOICE COM INC /DE, 750 HIGHWAY 34, 210 SOUTH FOURTH AVE, MATAWAN, NJ, 07747, 7324417700 - 250,000,000 ($950,000.00) Equity, (File 333-110667 - Nov. 21) (BR. 03) S-4 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($546,875,000.00) Non-Convertible Debt, (File 333-110668 - Nov. 21) (BR. 04) S-3 AMLI RESIDENTIAL PROPERTIES TRUST, 125 S WACKER DR, STE 3100, CHICAGO, IL, 60606, 3124431477 - 300,000,000 ($23,250.00) Unallocated (Universal) Shelf, (File 333-110669 - Nov. 21) (BR. 08) S-3 FARO TECHNOLOGIES INC, 125 TECHNOLOGY PARK, LAKE MARY, FL, 32746-6204, 4073339911 - 1,930,000 ($46,513,000.00) Equity, (File 333-110670 - Nov. 21) (BR. 36) S-8 SERVICEMASTER CO, 3250 LACEY ROAD, SUITE 600, DOWNERS GROVE, IL, 60515, 6306632700 - 4,420,068 ($47,405,229.00) Other, (File 333-110672 - Nov. 21) (BR. 08) S-3 ALEXANDERS INC, 888 SEVENTH AVENUE, *****, NEW YORK, NY, 10019, 212-894-7000 - 0 ($1,500,000,000.00) Other, (File 333-110673 - Nov. 21) (BR. 08) S-3 DOUBLE EAGLE PETROLEUM CO, 777 OVERLAND TRAIL, PO BOX 766, CASPER, WY, 82602, 3072379330 - 1,295,000 ($17,871,000.00) Equity, (File 333-110674 - Nov. 21) (BR. 04) S-3 ENTERGY MISSISSIPPI INC, 308 EAST PEARL STREET, JACKSON, MS, 39201, 601-368-5000 - 400,000,000 ($400,000,000.00) Non-Convertible Debt, (File 333-110675 - Nov. 21) (BR. 02) S-8 SAFETY INSURANCE GROUP INC, 20 CUSTOM HOUSE STREET, BOSTON, MA, 02110, 617-951-0600 - 0 ($21,125,000.00) Equity, (File 333-110676 - Nov. 21) (BR. 01) S-3 NEKTAR THERAPEUTICS, 150 INDUSTRIAL RD, SAN CARLOS, CA, 94070, 6506313100 - 0 ($59,279,000.00) Debt Convertible into Equity, (File 333-110677 - Nov. 21) (BR. 01) S-3 AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 0 ($35,536,325.49) Equity, (File 333-110678 - Nov. 21) (BR. 36) S-8 ECHELON CORP, 6508557400 - 2,086,277 ($24,837,127.69) Equity, (File 333-110679 - Nov. 21) (BR. 03) SB-2 GLOBAL WIDE PUBLICATION LTD, 1,800,000 ($270,000.00) Equity, (File 333-110680 - Nov. 21) (BR. ) F-3 RETALIX LTD, 33 BEN GURION STREET, HERZILA 46100 ISRAEL, L3, 00000, 4,100,000 ($83,435,000.00) Other, (File 333-110681 - Nov. 21) (BR. 03) S-4 SILICON GRAPHICS INC, 1600 AMPHITHEATRE PKWY, MOUNTAIN VIEW, CA, 94043-1351, 6509601980 - 0 ($226,411,538.00) Other, (File 333-110683 - Nov. 21) (BR. 03) S-8 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE, MI, 48167, 7347375084 - 3,950,489 ($61,331,341.73) Equity, (File 333-110684 - Nov. 21) (BR. 05) S-8 INFONET SERVICES CORP, 2160 E. GRAND AVE, EL SEGUNDO, CA, 90245-1022, 3103352600 - 2,000,000 ($4,180,000.00) Equity, (File 333-110685 - Nov. 21) (BR. 08) S-8 NS GROUP INC, 530 WEST NINTH ST, NEWPORT, KY, 41071, 6062926809 - 4,100,000 ($29,479,000.00) Equity, (File 333-110687 - Nov. 21) (BR. 06) S-8 INTERGOLD CORP, 5000 BIRCH STREET WEST TOWER STE 4000, NEWPORT BEACH, CA, 92660, 9494763611 - 1,000,000 ($500,000.00) Equity, (File 333-110688 - Nov. 21) (BR. 04) S-8 INFONET SERVICES CORP, 2160 E. GRAND AVE, EL SEGUNDO, CA, 90245-1022, 3103352600 - 32,500,000 ($67,925,000.00) Equity, (File 333-110689 - Nov. 21) (BR. 08) S-8 NANNACO INC, 2935 THOUSAND OAKS, SUITE 6, SAN ANTONIO, TX, 78247, 2105453570 - 65,500,000 ($1,637,500.00) Equity, (File 333-110691 - Nov. 21) (BR. 06) F-3 VOTORANTIM PULP & PAPER INC, ALAMEDA SANTOS 1357-8 ANDAR, 01419-908 SAO PAULO SP, BRAZIL 55-11-269-400, D5, 00000, 5,172,398,201 ($259,602,656.00) Equity, (File 333-110692 - Nov. 21) (BR. 04) S-1 CARDINAL FINANCIAL CORP, 10641 LEE HIGHWAY, FAIRFAX, VA, 22030, 7039349200 - 0 ($43,620,938.00) Equity, (File 333-110693 - Nov. 21) (BR. 07) S-4 MONARCH COMMUNITY BANCORP INC, 375 N WILLOWBROOK RD, COLDWATER, MI, 49036, 5172784566 - 0 ($8,574,720.00) Equity, (File 333-110694 - Nov. 21) (BR. 07) S-8 MYOGEN INC, 7575 WEST 103RD AVENUE STE 102, WESTMINSTER, CO, 80021, 3034106666 - 0 ($18,655,527.04) Equity, (File 333-110695 - Nov. 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 ------------------------------------------------------------------------------------------------ AAMES FINANCIAL CORP/DE DE X X 11/20/03 ABOVENET INC DE X 11/20/03 ACCREDITED HOME LENDERS INC DE X X 11/21/03 ACE SECURITIES CORP DE X X 11/12/03 ACE SECURITIES CORP HM EQUITY LN TRUS DE X 10/31/03 ADVANCED MARKETING SERVICES INC DE X 11/21/03 ADVOCAT INC DE X X 11/21/03 AES CORPORATION DE X 11/21/03 AESP INC FL X 11/14/03 AFFILIATED COMPUTER SERVICES INC DE X X 11/20/03 AG SERVICES OF AMERICA INC IA X 11/21/03 ALLEGIANT BANCORP INC/MO/ MO X X 11/20/03 ALLERGAN INC DE X X 11/10/03 ALLETE INC MN X X 11/20/03 ALLIS CHALMERS CORP DE X X 11/20/03 ALLOS THERAPEUTICS INC DE X X 11/20/03 AMB PROPERTY CORP MD X X 11/18/03 AMB PROPERTY LP DE X X 11/18/03 AMERICAN ENTERPRISE MVA ACCOUNT X 11/15/03 AMERICAN EXPRESS CERTIFICATE CO DE X 11/15/03 AMERICAN EXPRESS CO NY X X 11/21/03 AMERICAN FINANCIAL GROUP INC OH X X 11/20/03 AMERICAN NATIONAL BANKSHARES INC VA X 11/21/03 AMERICAN OIL & GAS INC NV X X 11/21/03 AMERICAN REAL ESTATE PARTNERS L P DE X X 11/19/03 AMERICANA PUBLISHING INC CO X 11/20/03 AMLI RESIDENTIAL PROPERTIES TRUST MD X X 08/14/03 AMPEX CORP /DE/ DE X X 11/19/03 ANGLOTAJIK MINERALS INC NV X 10/23/03 AMEND APPLIED MOLECULAR EVOLUTION INC DE X X 11/21/03 APPLIED MOLECULAR EVOLUTION INC DE X X 11/21/03 ARC WIRELESS SOLUTIONS INC UT X X 11/14/03 ASSET BACKED SEC CORP HOME EQU LOAN T DE X X 11/15/03 ASSET BACKED SECURITIES CORP DE X 11/21/03 ASSET-BACKED PASS-THROUGH CERTIFICATE X X 11/20/03 ASYST TECHNOLOGIES INC /CA/ CA X X 11/20/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 11/19/03 ATP OIL & GAS CORP TX X X 11/19/03 ATX COMMUNICATIONS INC DE X 11/19/03 AVANEX CORP DE X X 11/21/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X X 11/20/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 11/21/03 BARNES & NOBLE INC DE X X 11/20/03 BEAR STEARN COMMERCIAL MORT PASS THRO DE X X 11/21/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 11/21/03 BEAR STEARNS COMPANIES INC DE X X 11/21/03 BENCHMARK ELECTRONICS INC TX X 11/13/03 BIG LOTS INC OH X X 11/21/03 BIOGEN IDEC INC DE X X 11/17/03 BIOMARIN PHARMACEUTICAL INC DE X 11/20/03 BIOMASSE INTERNATIONAL INC FL X 11/21/03 BIOMODA INC/NM X 11/12/03 AMEND BLUEFLY INC DE X X 11/21/03 BOMBAY COMPANY INC DE X 11/19/03 BOMBAY COMPANY INC DE X 11/20/03 BOOKS A MILLION INC DE X 11/01/03 BROWN FORMAN CORP DE X X 11/21/03 BUFFALO WILD WINGS INC MN X X 11/20/03 CARACO PHARMACEUTICAL LABORATORIES LT MI X X 11/19/03 CARCO AUTO LOAN MASTER TRUST DE X X 11/17/03 CARDIOGENESIS CORP /CA CA X X 11/21/03 CENTRAL BANCORP INC /MA/ MA X X 11/21/03 CENTRAL VALLEY COMMUNITY BANCORP CA X X 11/19/03 CHEFS INTERNATIONAL INC DE X X 11/21/03 CHYRON CORP NY X X 11/06/03 CINCINNATI BELL INC OH X 11/21/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 11/18/03 CIT EQUIPMENT COLLATERAL 2003-EF1 DE X 11/18/03 CIT EQUIPMENT COLLATERAL 2003-VT1 DE X 11/18/03 CIT HOME EQUITY LOAN TRUST 2003-1 DE X X 10/31/03 CITIZENS FINANCIAL CORP /KY/ KY X X 11/14/03 COMDISCO HOLDING CO INC DE X X 11/20/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 11/15/03 COMMUNICATIONS & POWER INDUSTRIES INC DE X 11/20/03 CONCENTRA OPERATING CORP NV X 11/20/03 CONCENTRAX INC NV X X 10/09/03 CONCEPTUS INC DE X 11/17/03 CONSOLIDATED EDISON INC NY X 11/21/03 CONSOLIDATED MEDICAL MANAGEMENT INC MT X 11/21/03 CONSTAR INTERNATIONAL INC DE X X 11/14/03 CORRPRO COMPANIES INC /OH/ OH X X 11/17/03 CORVU CORP MN X X 11/20/03 CRDENTIA CORP DE X 11/17/03 CREDIT SUISSE FIRST BOSTON MOR SEC CO DE X X 11/15/03 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE X X 11/21/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/21/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 11/21/03 CROWN RESOURCES CORP WA X 11/20/03 CSFB MORT SEC CORP COM MORT PAS THR C DE X X 11/15/03 DAIMLERCHRYSLER AUTO TRUST 2003-A MI X X 11/10/03 DAIMLERCHRYSLER MASTER OWNER TRUST X X 11/17/03 DAIMLERCHRYSLER SERVICES NORTH AMERIC MI X X 11/21/03 DALEEN TECHNOLOGIES INC DE X 11/19/03 DANKA BUSINESS SYSTEMS PLC X X 11/19/03 AMEND DEL LABORATORIES INC DE X X 11/20/03 DIGITAL GENERATION SYSTEMS INC DE X X 11/18/03 DIGITAL GENERATION SYSTEMS INC DE X X 11/19/03 DIGITAS INC DE X X 11/20/03 DILLARDS INC DE X X 11/20/03 DIRECTV HOLDINGS LLC DE X X 11/21/03 DOUBLE EAGLE PETROLEUM CO MD X X 11/18/03 DYNAMICS RESEARCH CORP MA X X 11/13/03 E DIGITAL CORP DE X X 11/19/03 EFUNDS CORP DE X X 11/14/03 ELECTRONICS BOUTIQUE HOLDINGS CORP DE X X 11/20/03 ENCORE MEDICAL CORP DE X X 11/20/03 ENERGY WEST INC MT X X 11/20/03 ENTRUST FINANCIAL SERVICES INC CO X X 11/21/03 FAIRPOINT COMMUNICATIONS INC DE X X 11/21/03 FANSTEEL INC DE X 11/20/03 FEDERAL NATIONAL MORTGAGE ASSOCIATION X 11/21/03 FEMINIQUE CORP DE X X 07/27/03 FERRELLGAS PARTNERS L P DE X X 11/21/03 FIDELITY BANCORP INC PA X X 11/19/03 FIRST FEDERAL BANCORP INC/OH/ OH X X 11/20/03 FIRST FINANCIAL CORP /IN/ IN X X 11/20/03 FIRST HORIZON ASSET SECURITIES INC DE X X 11/20/03 FIRST HORIZON ASSET SECURITIES INC DE X X 11/20/03 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 11/01/03 FIRST UNION NATIONAL BANK COM MORT PA NC X X 11/21/03 FIRSTENERGY CORP OH X 11/12/03 FIRSTFED FINANCIAL CORP DE X 10/31/03 FLAG TELECOM GROUP LTD X 11/21/03 FLORIDA POWER CORP / FL X X 11/18/03 FRANKLIN COVEY CO UT X X 11/21/03 FRANKLIN RECEIVABLES LLC DE X 11/21/03 FRANKLIN RECEIVABLES LLC DE X 11/21/03 FRONT RANGE CAPITAL CORP DE X X 11/17/03 GARDNER DENVER INC DE X 11/13/03 AMEND GATEWAY ENERGY CORP/NE DE X X 11/19/03 GE COMMERCIAL MORT CORP COM MORT PS T DE X X 11/19/03 GEN PROBE INC DE X X 11/20/03 GENERAL MOTORS CORP DE X 11/21/03 GEODYNE ENERGY INCOME LIMITED PARTNER OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 11/21/03 GLOBAL CROSSING LTD X X 11/07/03 GMAC COMMERICAL MORT SECS INC SERS 20 DE X X 11/10/03 GOLFGEAR INTERNATIONAL INC NV X 11/21/03 GREEN MOUNTAIN COFFEE ROASTERS INC DE X 11/20/03 GREENE COUNTY BANCSHARES INC TN X 11/21/03 GS MORTGAGE SEC CORP II COMM MORT PAS DE X X 10/10/03 HAMPSHIRE GROUP LTD DE X 11/21/03 HAUSER INC DE X X 10/14/03 HF FINANCIAL CORP DE X 11/19/03 HOUSEHOLD AUTO RECEIVABLES CORP NV X X 11/20/03 HUGHES ELECTRONICS CORP DE X X 11/21/03 IDS LIFE INSURANCE CO MN X 11/15/03 IMAX CORP A6 X 11/21/03 IMPSAT FIBER NETWORKS INC DE X X 11/20/03 INDIGINET INC/FL FL X X 11/18/03 INERGY L P DE X X 11/19/03 INFORMATION ANALYSIS INC VA X X X 11/18/03 INGLES MARKETS INC NC X X 11/19/03 INSITE VISION INC DE X X 10/21/03 AMEND INTEGRATED ALARM SERVICES GROUP INC X X 11/21/03 INTEGRATED SECURITY SYSTEMS INC DE X X 09/05/03 AMEND INTEGRITY MEDIA INC DE X X 11/20/03 INTERDIGITAL COMMUNICATIONS CORP PA X X 11/21/03 INTERGOLD CORP NV X X 11/20/03 INTERMUNE INC DE X X 11/21/03 INTERNATIONAL REMOTE IMAGING SYSTEMS DE X 11/20/03 INTERPUBLIC GROUP OF COMPANIES INC DE X X 11/21/03 JOSTENS INC MN X 11/21/03 JP MORGAN CHASE COM MORT SEC CORP PAS DE X X 11/18/03 K SWISS INC DE X 11/21/03 KCS ENERGY INC DE X X X 11/20/03 KELLER MANUFACTURING CO IN X X 11/20/03 KELLER MANUFACTURING CO IN X X 11/21/03 KEWAUNEE SCIENTIFIC CORP /DE/ DE X X 11/21/03 KINDRED HEALTHCARE INC DE X X 11/20/03 KOGER EQUITY INC FL X X 11/21/03 KRISPY KREME DOUGHNUTS INC NC X 11/21/03 KULICKE & SOFFA INDUSTRIES INC PA X X 11/20/03 LANDAMERICA FINANCIAL GROUP INC VA X X 11/20/03 LANDMARK BANCORP INC DE X X 11/21/03 LBI MEDIA INC CA X X 11/14/03 LEOPARD CAPITAL INC NV X 11/20/03 LNB BANCORP INC OH X X 11/21/03 LOEWS CORP DE X X 11/21/03 LONG BEACH ACCEPTANCE CORP X 11/19/03 LONG BEACH ACCEPTANCE CORP X 11/19/03 LYNCH INTERACTIVE CORP DE X 11/14/03 MAGELLAN HEALTH SERVICES INC DE X X 11/21/03 MAGELLAN HEALTH SERVICES INC DE X X 11/20/03 MALAN REALTY INVESTORS INC MI X 11/17/03 MALAN REALTY INVESTORS INC MI X X 11/19/03 MANITOWOC CO INC WI X 11/21/03 MATTEL INC /DE/ DE X X 11/21/03 MAXIMUS INC VA X 11/21/03 MAYTAG CORP DE X X 11/21/03 MB SOFTWARE CORP CO X X 11/13/03 MEDICIS PHARMACEUTICAL CORP DE X 11/21/03 MEDICSIGHT INC DE X 11/18/03 MEDIFAST INC DE X 11/21/03 MERIDIAN BIOSCIENCE INC OH X 11/18/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/19/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/20/03 METLIFE INC DE X X 11/21/03 METRIS RECEIVABLES INC DE X 10/31/03 AMEND METROCALL HOLDINGS INC DE X X 11/18/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 11/15/03 MORGAN STANLEY DEAN WITTER CAPITAL TR DE X 11/01/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 11/17/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 11/17/03 NEOPROBE CORP DE X X X 11/13/03 NETMEASURE TECHNOLOGY INC NV X X 08/21/03 AMEND NETWORKS ASSOCIATES INC/ DE X X 11/21/03 NEW WORLD RESTAURANT GROUP INC DE X X 11/14/03 NEW YORK HEALTH CARE INC NY X X 11/20/03 NEXTEL PARTNERS INC DE X 11/20/03 NICOR INC IL X 11/21/03 NN INC DE X X 11/21/03 NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL X 11/21/03 O A K FINANCIAL CORP MI X X 11/21/03 OCCAM NETWORKS INC/DE DE X X 11/19/03 OMNI MEDICAL HOLDINGS INC UT X 09/05/03 AMEND OMNOVA SOLUTIONS INC OH X X 11/21/03 ON COMMAND CORP DE X X 11/20/03 ONE LIBERTY PROPERTIES INC MD X 11/19/03 ONEOK INC /NEW/ OK X X 11/21/03 OPTICAL CONCEPTS OF AMERICA INC X X X X 11/21/03 PACIFIC ENERGY PARTNERS LP X X 11/20/03 PENNICHUCK CORP NH X X 11/21/03 PENWEST PHARMACEUTICALS CO WA X 11/14/03 PEPSICO INC NC X 11/21/03 PHILIP SERVICES CORP/DE DE X X 11/21/03 PHOENIX COMPANIES INC/DE DE X X 11/20/03 PILGRIMS PRIDE CORP DE X X 11/20/03 PLAINS RESOURCES INC DE X X 11/20/03 PLANET POLYMER TECHNOLOGIES INC CA X X 11/14/03 PNM RESOURCES INC NM X 11/21/03 AMEND POINT THERAPEUTICS INC DE X X 11/20/03 POORE BROTHERS INC DE X 11/17/03 POTOMAC ELECTRIC POWER CO VA X X 11/21/03 POWERHOUSE TECHNOLOGIES GROUP INC DE X 11/19/03 PROSOFTTRAINING COM NV X X 11/19/03 PRUDENTIAL SECURITIES SEC FIN CORP CO DE X X 11/11/03 RAYONIER INC NC X X 11/21/03 RECKSON ASSOCIATES REALTY CORP MD X X X 11/21/03 RELIANT RESOURCES INC DE X 11/21/03 RENAISSANCE MORTGAGE ACCEPTANCE CORP DE X 11/21/03 REPUBLIC BANCORP INC MI X 11/20/03 RES CARE INC /KY/ KY X 11/21/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 06/25/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 11/21/03 RIVIERA HOLDINGS CORP NV X X 11/19/03 ROCKWELL COLLINS INC DE X X 11/20/03 ROGERS CORP MA X X 11/15/03 AMEND SAFENET INC DE X X 11/17/03 SBS TECHNOLOGIES INC NM X X 11/14/03 SCB COMPUTER TECHNOLOGY INC TN X 11/21/03 SCHERING PLOUGH CORP NJ X X 11/20/03 SCHERING PLOUGH CORP NJ X X 11/18/03 SCOTIA PACIFIC CO LLC DE X 11/20/03 SEQUOIA RESIDENTIAL FUNDING INC X 11/21/03 SERENA SOFTWARE INC DE X X X 11/20/03 SHARPER IMAGE CORP DE X X X 11/20/03 SHAW GROUP INC LA X X 11/21/03 SONIC AUTOMOTIVE INC DE X 11/21/03 SOUTH JERSEY INDUSTRIES INC NJ X 11/21/03 SOUTH JERSEY INDUSTRIES INC NJ X 11/21/03 SOUTHERN STATES POWER CO INC CA X 11/14/03 AMEND SOUTHWESTERN WATER EXPLORATION CO CO X X 10/21/03 SPORT SUPPLY GROUP INC DE X X 11/20/03 SSP SOLUTIONS INC DE X X X 11/17/03 STAGE STORES INC NV X X X 11/21/03 STERLING BANCORP NY X X 11/20/03 STRUCTURED ASSET MORT INV INC MORT P DE X X 11/19/03 STRUCTURED ASSET MORT INV INC MORT PS DE X X 11/21/03 STRUCTURED ASSET MORTGAGE INVEST MORT X X 11/19/03 STRUCTURED ASSET MORTGAGE INVEST TRUS NY X X 11/19/03 STRUCTURED ASSET SEC CORP II COM MORT X 11/01/03 SUNSHINE PCS CORP DE X 11/14/03 SUPERIOR GALLERIES INC DE X X 11/18/03 SUTTER HOLDING CO INC DE X 11/18/03 TARRANT APPAREL GROUP CA X X 11/12/03 TERAYON COMMUNICATION SYSTEMS DE X X 11/21/03 TEXAS REGIONAL BANCSHARES INC TX X X 11/19/03 TORCH ENERGY ROYALTY TRUST DE X 11/21/03 TRIBUNE CO DE X 11/21/03 TRUE HEALTH INC UT X X 07/30/03 AMEND UNIT CORP DE X X 11/21/03 UNIZAN FINANCIAL CORP OH X X 11/21/03 URBANFIND INC DE X 11/19/03 VALENTIS INC DE X X 11/14/03 VANGUARD AIRLINES INC \DE\ DE X X 10/31/03 VCAMPUS CORP DE X X 11/20/03 AMEND VENTAS INC DE X X 11/20/03 VENTAS INC DE X 11/19/03 VENUS EXPLORATION INC DE X X 11/20/03 VIROPRO INC NV X 11/21/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 11/15/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 11/15/03 WACHOVIA COMMERCIAL MORT SEC INC COM NC X X 11/15/03 WALT DISNEY CO/ DE X X 11/20/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 11/21/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 11/21/03 WELLS FARGO ASSET SECURITIES CORP DE X X 11/21/03 WELLS FARGO ASSET SECURITIES CORP DE X X 11/21/03 WELLS FARGO ASSET SECURITIES CORP DE X X 11/21/03 WESTAR ENERGY INC /KS KS X 11/21/03 WET SEAL INC DE X X X 11/20/03 WHISTLER INVESTMENTS INC /NV/ NV X 10/21/03 WHITEHALL JEWELLERS INC DE X X 11/21/03 WILLIAMS COMPANIES INC DE X X 11/20/03 WILLIAMS COMPANIES INC DE X X 11/21/03 WOODHEAD INDUSTRIES INC DE X X 11/14/03 YAHOO INC DE X X 11/21/03 YELLOW CORP DE X X 11/20/03 YUM BRANDS INC NC X X 11/21/03