SEC NEWS DIGEST Issue 2003-194 October 10, 2003 COMMISSION ANNOUCEMENTS COMMISSIONER ATKINS TO TESTIFY Commissioner Paul S. Atkins will appear before the Senate Committee on Banking, Housing, and Urban Affairs when it takes up his nomination to serve an additional term on the Securities and Exchange Commission at a hearing to be held at 10:00 a.m., on Tuesday, October 14 in Room 538 of the Dirksen Senate Office Building. CHAIRMAN DONALDSON TO TESTIFY Chairman William H. Donaldson will testify before the Senate Subcommittee on Securities and Investment on Wednesday, October 15. The Subcommittee's hearing where this testimony will be presented is entitled "The Future of the Securities Markets" and will begin at 10:00 a.m. in Room 538 of the Dirksen Senate Office Building. JOSEPH HALL NAMED SENIOR POLICY FELLOW IN THE OFFICE OF THE GENERAL COUNSEL The Commission's Office of the General Counsel today announced the appointment of Joseph A. Hall, as Senior Policy Fellow for a two-year term, which will begin on Oct. 20, 2003. Hall, 40, is a partner at the firm of Davis Polk & Wardwell in New York City, where he has worked for 12 years. Hall is a securities lawyer with a transactional practice. Hall also worked for Reuters America Inc. for two years as corporate counsel and clerked for the Hon. Phyllis A. Kravitch, U.S. Court of Appeals for the Eleventh Circuit. Hall received his J.D. from Columbia Law School in New York, where he was an editor of the Law Review, a James Kent Scholar and a Harlan Fiske Stone Scholar. Hall received his B.A. from the University of North Carolina at Chapel Hill, where he graduated Phi Beta Kappa. Hall is a member of the board of directors of Lawyers Alliance for New York, a provider of corporate pro bono legal services. As an Attorney Fellow at the Commission, Hall will provide legal and policy advice on a broad range of issues, work on new regulatory initiatives, and work on continuing implementation of the Sarbanes-Oxley Act. (Press Rel. 2003-137) ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NYSE DISCIPLINARY ACTION AGAINST ANTHONY ADONNINO AND THOMAS CANNIZZARO The Commission has sustained disciplinary action taken by the New York Stock Exchange, Inc. against Anthony A. Adonnino and Thomas Cannizzaro, lessee members of the NYSE. The NYSE found that Adonnino and Cannizzaro had an interest in an account for which they effected transactions on the Exchange floor, in violation of Section 11(a) of the Securities Exchange Act of 1934 and Exchange Act Rule 11a-1, among other regulatory provisions. Further, the NYSE found that Adonnino and Cannizzaro made material misstatements to the Exchange about their conduct with respect to the account. Separately, the NYSE found that Adonnino failed to adhere to principles of good business practice in the conduct of his firm's business affairs; caused his firm to do business with a public customer without complying with the requirements of Exchange rules and the federal securities laws; failed to create and maintain accurate books and records; and failed reasonably to supervise and control the business activities of his firm and its employees. The Commission concluded that the sanctions imposed -- censures, suspensions from membership, allied membership, approved member status, and from employment or association in any capacity with an member or member organization of eighteen months and six months, respectively, and a $200,000 fine to be paid by Adonnino -- were neither excessive nor oppressive, given these serious violations. (Rel. 34-48618; File No. 3-10916) CIVIL ACTION AGAINST AMAZON NATURAL TREASURES, INC. MICHAEL SYLVER AND DOMINGOS LORICCHIO JR. The Commission announced the entry of judgments after trial against Amazon Natural Treasures.com, formerly Amazon Natural Treasures, Inc., and Michael A. Sylver, both of Las Vegas, Nevada. Both were permanently enjoined from further violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Amazon was further enjoined from violations of Sections 13(a), 13(b)(2)(A) and (B) of the Exchange Act and Rules 10b-5, 12b-20, 12b-25, 13a-1, 13a-13, and 13b2-1. Sylver was further enjoined from violations of Rule 13b2-2 of the Exchange Act and from aiding and abetting Amazon's violations of Sections 13(a), 13(b)(2)(A) and (B) of the Exchange Act and Rules 10b-5, 12b-20, 12b-25, 13a-1, 13a-13, and 13b2-1 thereunder. Sylver was permanently barred from serving as an officer or director of a public company, assessed a third-tier civil penalty of $120,000, and ordered to disgorge the following: $32,000, consisting of personal expenses he charged against the company's American Express card; $200,000, consisting of cash withdrawals he made from the company's bank accounts which were not shown to be for corporate purposes; and all purported "promissory notes" which Sylver contended reflected outstanding loans to him from Amazon. The face amount of these purported loans was approximately $1.5 million. On Aug. 2, 2003, the Court denied a motion by Sylver and Amazon for a new trial. The case involved antifraud, bookkeeping, internal controls, reporting and securities registration violations by Sylver and Amazon between 1997 and 2000. At relevant times, Amazon sold dietary supplements derived from plants grown in the Amazon rain forest in Brazil. According to the Commission's complaint, from at least 1997 through March 2000, Amazon and Sylver made numerous false and misleading statements concerning Amazon's operations, products and revenues. Among other misrepresentations, Amazon and Sylver claimed that the company had an "AIDS prevention cream" available for sale. Throughout the period of these ongoing fraudulent public statements, Sylver and Amazon also sold millions of shares of stock to the public in unregistered, non-exempt transactions. Amazon also failed to create and maintain adequate books and records and internal controls, and has failed to file any periodic reports with the Commission since September 1999. [SEC v. Amazon Natural Treasures, Inc., Michael A. Sylver and Domingos Loricchio Jr., Civ. No. CVS-01-0229 (D. Nev.)] (LR-18398) COURT ISSUES PRELIMINARY INJUNCTION AND ASSET FREEZE AGAINST CONNECTICUT MAN AND HIS COMPANY IN CONNECTION WITH INTERNET PONZI SCHEME The Commission announced that on Sept. 26, 2003, a Connecticut federal court issued a written order imposing a preliminary injunction, asset freeze and other ancillary relief against Connecticut resident Blake A. Prater and his Guilford, Connecticut-based company, Wellspring Capital Group, Inc., in connection with an internet Ponzi scheme. The Court had previously issued a temporary restraining order granting substantially the same relief. In ruling on the preliminary injunction, which the Commission had requested in connection with its fraud action filed on Sept. 5, 2003, the Honorable Mark Kravitz, U.S. District Judge for the District of Connecticut, found that the Commission had made a prima facie showing that Prater and Wellspring had engaged in securities fraud and other violations of the federal securities laws. Based on the Commission's prima facie showing, the Court found that Prater and Wellspring operated a sophisticated Internet Ponzi scheme that raised millions of dollars from over twenty thousand investors. On the same basis, the Court also found that Prater's scheme used a series of interrelated Internet web sites and a network of agents operating throughout the United States to guarantee prospective investors exorbitant returns through a variety of programs. Under one set of programs, Prater, through Wellspring, promised that, in exchange for a small sum of money, it would pay investors returns as high as 1,000 percent per year in the form of payments for various living expenses of the investors, such as car loans, rent, or business expenses. In ruling on the preliminary injunction, the Court concluded that the websites operated by the defendants "appear to underscore the wisdom of a tried and true investment axiom: If it looks too good to be true, it probably is." The Court also found at this preliminary stage in the litigation that the Commission's evidence showed that Wellspring claimed to use the investor funds to invest in a portfolio of companies, and that the profits from the portfolio, in turn, paid for the exorbitant returns to investors. The Court noted, however, that "the Court has not been presented with any evidence of any business or investment activity that would allow Defendants to provide the extravagant returns they are promising - that is, short of using the money of later investors to pay off earlier investors." The Court concluded that the SEC was "not required to wait until such a `rob Peter to pay Paul' scheme collapsed of its own weight" and that a preliminary injunction was therefore appropriate. The Court also found that the Commission had produced evidence showing that Prater made material misrepresentations about the portfolio companies and investment offerings and that he failed to disclose his criminal history, which includes forgery and fraud convictions, to investors. In issuing the preliminary injunction, the Court ruled that the Commission had made a prima facie showing that Prater and Wellspring violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. For additional information, see Litigation Release No. 18336. [SEC v. Blake A. Prater and Wellspring Capital Group, Inc., USDC for the District of Connecticut, Civil Action No. 03-CV-01524-MRK] (LR- 18404) FORMER CHAIRMAN AND PRESIDENT OF COMPUTER HORIZONS CORP. CONVICTED OF INSIDER TRADING On October 3, John J. Cassese, the former chairman and president of Computer Horizons Corp., was convicted in Manhattan federal court on one count of insider trading after a one-week jury trial. As alleged in the Indictment and proven at trial, Cassese violated Section 14(e) of the Securities Exchange Act of 1934 and Rule 14e-3 thereunder by engaging in insider trading in the stock of Data Processing Resources Corporation (DPRC) while in possession of material, nonpublic information about a tender offer for DPRC common stock by Compuware Corporation. Computer Horizons (based in New Jersey), DPRC (based in Orange County, California) and Compuware (based in Michigan) each engaged in the business of providing temporary staffing of computer and information technology personnel. According to the Indictment and evidence at trial, on June 21, 1999, Cassese learned through his business relationship with Compuware that Compuware would be making a tender offer to acquire DPRC. Nevertheless, as alleged in the Indictment and proven at trial, the next day, while in possession of this material, nonpublic information, Cassese purchased 15,000 shares of DPRC common stock and subsequently sold these shares at a profit of approximately $150,000. Cassese faces a maximum sentence of 10 years in prison and a maximum fine of $1 million. In an earlier proceeding brought by the Commission, Cassese, without admitting or denying the allegations in the Commission's complaint, consented to the entry of a final judgment that permanently enjoined him from future violations of Section 14(e) of the Exchange Act and Rule 14e- 3 thereunder. Cassese also agreed to disgorge $150,937.50 in ill-gotten gains, plus prejudgment interest, and to pay a civil penalty of $150,937.50 (SEC v. John J. Cassese, Civil Action No. 02-01605 FMC (AJWx) (C.D. Cal.); (LR-17378). [U.S. v. John J. Cassese, 03 CR 302 (RWS) SDNY] (LR-18405) SEC WINS JURY VERDICT AGAINST FORMER DIRECTOR ROBERT HAPP IN INSIDER TRADING CASE The Commission announced that a Massachusetts federal jury today returned a verdict in favor of the SEC after a two-week trial against Robert D. Happ for insider trading in the stock of Galileo Corporation, formerly a Sturbridge, Massachusetts company. The SEC had alleged that, in late June 1998, while Happ was a director of Galileo and the chairman of the board of directors' audit committee, Happ learned from the company's chief executive officer that Galileo was experiencing difficulties in its fiscal 1998 third quarter and that the CEO needed to meet with him to discuss those difficulties. According to the SEC, upon receiving this information, Happ sold all his shares of the company's stock on June 29, 1998. When the company eventually announced these difficulties and their effect on the company's 1998 third quarter results to the public, the stock price dropped 64%. The court will determine the amount of the loss Happ avoided as a result of his June 29 sale. The jury heard closing arguments in the two-week trial yesterday and announced its verdict today. In rendering its verdict, the jury found, among other things, that: * Happ possessed and used material, nonpublic information about the company when he sold his stock as a company insider; * Happ acted with intent, knowledge and recklessness; and * Happ violated the duty of trust and confidence that he owed Galileo and its shareholders. The SEC's complaint, originally filed on Oct. 5, 2000, and amended on May 18, 2001, charged Happ with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Honorable Robert Keeton of the U.S. District for the District of Massachusetts presided over the trial. The SEC and defendant Happ have been given two weeks to submit written arguments regarding the remedies the court should impose against Happ for his insider trading. For further information, see Litigation Release No. 16755 (Oct. 5, 2000). [SEC v. Robert D. Happ, USDC for the District of Massachusetts, C.A. No. 00-12051-REK] (LR-18406) SEC CHARGES DALLAS BROKER, HIS BROTHER, FORMER UNIVISION EMPLOYEE AND HISPANIC BROADCASTING CORPORATION DIRECTOR WITH INSIDER TRADING The Commission filed a civil fraud suit in U.S. District Court in Dallas, Texas, against Stephen A. White, William D. White, III, Ernest Bieling and Robert Hughes (collectively, defendants) alleging that each defendant violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Additionally, the complaint alleges that Hughes violated Section 16(a) of the Exchange Act. The SEC's complaint alleged that the defendants purchased or advised others to purchase shares of Hispanic Broadcasting Corporation (Hispanic) common stock, based on material non-public information that Univision Communications Corporation would acquire Hispanic in an all-stock transaction. Simultaneously with the filing of its action, the SEC accepted offers of settlement from the defendants in which they agreed, without admitting or denying the allegations in the SEC's complaint, to the entry of an order enjoining them from further violations of the securities laws; to collectively pay civil money penalties in the amount of $224,078; and to collectively disgorge $218,683 in illegal profits, plus $13,192 in prejudgment interest. [SEC v. Stephen A. White, William D. White, III, Ernest Bieling and Robert Hughes, Defendants, Civil Action No. 3:03-CV- 2351-G, USDC, NDTX] (LR-18407) CIVIL ACTION AGAINST JACK WAKSAL, ET AL. Today, the Commission filed a second amended complaint, naming Jack Waksal as a defendant and Patti Waksal as a relief defendant. In its second amended complaint, the Commission charges, among other things, that in late December 2001, Sam Waksal, the then CEO of ImClone Systems, Inc. (IMCL), tipped his father, Jack Waksal, with the disappointing news about ImClone, that the United States Food and Drug Administration (FDA) was expected to soon issue a decision rejecting for review ImClone's pending application to market its cancer treatment, Erbitux. Before this news became public, Jack Waksal sold his own ImClone stock and ImClone stock owned by Patti Waksal, who is Jack Waksal's daughter and Sam Waksal's sister. The Commission's second amended complaint alleges that both Sam Waksal and Jack Waksal violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and that Sam Waksal also violated Section 16(a) of the Exchange Act and Rule 16a-3 thereunder. Specifically, the Commission's complaint alleges as follows: * On the evening of December 26, 2001, Sam Waksal learned that on December 28, 2001, the FDA was expected to issue a Refusal to File (RTF) letter to ImClone rejecting consideration of its Biologics Licensing Application for Erbitux. * Also starting that evening, December 26, and through December 28, Sam Waksal himself tried to sell 79,797 shares of ImClone stock worth nearly $5 million. He was unable to do so only because two different broker-dealers would not execute his orders. * On the evening of December 26, Sam Waksal called Jack Waksal to alert him that ImClone would be receiving the bad news about the RTF letter. * Before the market opened the next morning, December 27, Sam Waksal called his daughter Aliza and directed her to sell all of her ImClone stock. Sam Waksal was Aliza's sole means of support and controlled her bank and brokerage accounts. * As soon as the market opened the next morning, December 27, Jack Waksal sold almost $7 million of ImClone stock. Jack Waksal continued to sell ImClone stock on December 28 and also sold ImClone stock in Patti Waksal's account. In total, Jack Waksal sold more than $8 million of ImClone stock over the next two days. * On December 28, Sam Waksal purchased 210 ImClone put option contracts through a Swiss brokerage account. * As expected, the FDA faxed ImClone the RTF letter at about 4 p.m. on December 28, 2001. At 6 p.m. that day, ImClone publicly announced the FDA decision. By the close of trading on December 31, the next trading day, ImClone's stock price had dropped 16%, from $55.25 to $46.46. * By selling before the announcement that ImClone had received an RTF letter from the FDA, Sam Waksal, Jack Waksal and Patti Waksal illegally avoided trading losses and Sam Waksal received illegal options trading profits. * Sam Waksal failed to file the required documents disclosing his purchase of ImClone put option contracts on December 28. The Commission originally filed insider trading charges against Sam Waksal on June 12, 2002, in the U.S. District Court for the Southern District of New York. On March 11, 2003, the Commission filed an amended complaint against Sam Waksal charging additional insider trading and failure to publicly disclose securities transactions. At that time, without admitting or denying the related allegations, Sam Waksal consented to the entry of a partial final judgment in the Commission's action concerning his own attempted sale of ImClone stock in late December 2001, his options transactions on Dec. 28, 2001, and the sale of ImClone stock in Aliza's brokerage account. Sam Waksal consented to: (a) permanent injunctions from future violations of 17(a) of the Securities Act and Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder; (b) disgorgement of $804,367 representing (i) the losses avoided by the sales of ImClone stock in Aliza's account, plus prejudgment interest, and (ii) Sam Waksal's profits from the options transactions he engaged in on Dec. 28, 2001, plus prejudgment interest; and (c) an officer and director bar. In its second amended complaint the Commission seeks to resolve the remaining issues in the case, including (a) Sam Waksal's and Jack Waksal's liability for Jack Waksal's sales of ImClone stock on December 27 and 28, 2001, and (b) civil penalties concerning the totality of the Commission's allegations against Sam Waksal and Jack Waksal. The Commission's investigation is ongoing. The Commission acknowledges the assistance of the U.S. Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation in the investigation of this matter. [SEC v. Samuel D.Waksal and Jack Waksal, Defendants, and Patti Waksal, Relief Defendants, 02-CIV-4407 (NRB) SDNY] (LR-18408) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Pacific Exchange filed a proposed rule change (SR-PCX-2003-46), and Amendment No. 1 thereto, relating to the transmission of identity orders. Publication of the notice in the Federal Register is expected during the week of October 13. (Rel. 34-48598) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2003-51) relating to listing standards regarding issuers' audit committees and delisting procedures. Publication of the notice in the Federal Register is expected during the week of October 13. (Rel. 34- 48601) The Pacific Exchange filed a proposed rule change (SR-PCX-2003-48), and Amendment No. 1 thereto, relating to the establishment of a new total order imbalance indicator on its Archipelago Exchange Facility. (Rel. 34-48603) The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2003-134), and Amendment No. 1 thereto, to amend Rule 4710 to allow Nasdaq National Market Execution System Order Entry Firms to automatically internalize in SuperMontage. Publication of the notice in the Federal Register is expected during the week of October 13. (Rel. 34-48606) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing ten equity shares) of Silverline Technologies Limited, effective at the opening of business on October 10. (Rel. 34- 48611) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.001 par value, of FiberMark, Inc., effective at the opening of business on October 10. (Rel. 34-48612) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, no par value, of BMC Industries, Inc., effective at the opening of business on October 10. (Rel. 34-48613) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.005 par value and 9.875% Senior Notes (due Feb. 1, 2004) of DVI, Inc., effective at the opening of business on October 10. (Rel. 34-48616) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Northwestern Corporation, Common Stock, $1.75 par value, and related entities, NWPS Capital Financing I, 8 1/8% Trust Preferred Capital Securities, Northwestern Capital Financing I, 7.20% Trust Preferred Capital Securities, Northwestern Capital Financing II, 81/4% Trust Preferred Securities, Northwestern Capital Financing III, 8.10% Trust Preferred Securities, and Montana Power Capital I, 8.45% Cumulative Quarterly Income Preferred Securities, Series A (QUIPS), effective at the opening of business on October 10. (Rel. 34-48617) 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-1 SINGING MACHINE CO INC, 6601 LYONS ROAD, BLDG A-7, COCONUT CREEK, FL, 33073, 9545961000 - 2,755,314 ($11,699,436.63) Equity, (File 333-109574 - Oct. 9) (BR. 02) S-4 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVE, PITTSBURGH, PA, 15265, 4127621553 - 0 ($326,485,504.00) Equity, (File 333-109575 - Oct. 9) (BR. 07) S-2 ISTA PHARMACEUTICALS INC, 15279 ALTON PARKWAY 100, IRVINE, CA, 92618, 9497886000 - 5,175,000 ($45,137,500.00) Equity, (File 333-109576 - Oct. 9) (BR. 01) S-8 ACAMBIS PLC, POWERHOUSE TECHNOLOGY PK 100 FULBOURN RD, CAMBRIDGE CB1 9PT, ENGLAND, X0, 00000, 0114412232 - 0 ($1,775,619.00) Equity, (File 333-109577 - Oct. 9) (BR. 01) S-3 FIRST SUNAMERICA LIFE INSURANCE CO, 733 THIRD AVENUE, NEW YORK, NY, 10017, 2125515440 - 75,000,000 ($75,000,000.00) Other, (File 333-109581 - Oct. 9) (BR. 20) S-3 MARINEMAX INC, 18167 US 19 N, SUITE 499, CLEARWATER, FL, 33764, 8135311700 - 3,147,486 ($47,605,725.75) Equity, (File 333-109582 - Oct. 9) (BR. 02) S-3 AVANT IMMUNOTHERAPEUTICS INC, 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($44,677,500.00) Equity, (File 333-109583 - Oct. 9) (BR. 01) S-3 AXONYX INC, 2126884770 - 0 ($57,144,749.00) Equity, (File 333-109584 - Oct. 9) (BR. 01) S-8 GUARDIAN TECHNOLOGIES INTERNATIONAL INC, 21351 RIDGETOP CIRCLE #300, DULLES, VA, 20166, 7036546091 - 430,000 ($1,225,500.00) Equity, (File 333-109585 - Oct. 9) (BR. 04) S-4 FIRST NATIONAL BANC INC, 2509 OSBORNE RD, ST MARYS, GA, 31556, 9128823400 - 0 ($6,075,000.00) Equity, (File 333-109586 - Oct. 9) (BR. ) S-3 QUANTUM CORP /DE/, 501 SYCAMORE STREET, MILPITAS, CA, 95035, 4088944000 - 160,000,000 ($160,000,000.00) Debt Convertible into Equity, 36,781,616 ($0.00) Equity, (File 333-109587 - Oct. 9) (BR. 03) N-2 EATON VANCE TAX ADVANTAGED DIVIDEND INCOME FUND, EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 40 ($1,000,000.00) Equity, (File 333-109588 - Oct. 9) (BR. 16) S-3 LYNX THERAPEUTICS INC, 5106709300 - 930,000 ($5,161,500.00) Equity, (File 333-109589 - Oct. 9) (BR. 01) S-11 ME PORTFOLIO MANAGEMENT LTD, LEVEL 23 360 COLLINS STREET, MELBOURNE VIC, C3, 00000, 0 ($1,000,000.00) Debt Convertible into Equity, (File 333-109590 - Oct. 9) (BR. 05) S-3D DTE ENERGY CO, 2000 2ND AVENUE, ROOM 2412, DETRIOT, MI, 48226-1279, 3132354000 - 0 ($369,800,000.00) Equity, (File 333-109591 - Oct. 9) (BR. 02) SB-2 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215, WEST HENRIETTA, NY, 14586, 5852142441 - 11,000,000 ($2,475,000.00) Equity, (File 333-109592 - Oct. 9) (BR. 36) S-3 ZIX CORP, 2711 NORTH HASKELL AVENUE, SUITE 2300, LB 36, DALLAS, TX, 75204-2960, 214-370-2000 - 0 ($16,110,223.00) Equity, (File 333-109593 - Oct. 9) (BR. 03) S-8 SPATIALIGHT INC, 9 COMMERICAL BLVD STE 200, ST C, NOVATO, CA, 94949, 4158831693 - 2,700,000 ($13,959,000.00) Equity, (File 333-109595 - Oct. 9) (BR. 36) S-3 INTEGRATED CIRCUIT SYSTEMS INC, 2435 BLVD OF THE GENERALS, NORRISTOWN, PA, 19403, 6106305300 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-109596 - Oct. 9) (BR. 36) S-3 NEWCASTLE INVESTMENT CORP, C/O FORTRESS, 1251 AVENUE OF THE AMERICAS 16TH FL, NEW YORK, NY, 10020, 2127986100 - 0 ($750,000,000.00) Other, (File 333-109597 - Oct. 9) (BR. 08) S-3 MONSTER WORLDWIDE INC, 622 THIRD AVE, NEW YORK, NY, 10017, 2129774200 - 0 ($192,786,000.00) Equity, (File 333-109598 - Oct. 9) (BR. 02) S-3 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($1,000,000,000.00) Equity, (File 333-109599 - Oct. 9) (BR. 08) S-8 VIROPHARMA INC, 405 EAGLEVIEW BLVD, PO BOX 5000, EXTON, PA, 19341, 6104587300 - 0 ($9,145,000.00) Equity, (File 333-109600 - Oct. 9) (BR. 01) S-4 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($195,000,000.00) Non-Convertible Debt, (File 333-109601 - Oct. 9) (BR. 02) S-3 OWENS ILLINOIS INC /DE/, ONE SEAGATE, TOLEDO, OH, 43666, 4192475000 - 0 ($422,280,000.00) Equity, (File 333-109602 - Oct. 9) (BR. 06) 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 10/07/03 AAMES FINANCIAL CORP/DE DE X X 10/09/03 ABBOTT LABORATORIES IL X X 10/09/03 ABERCROMBIE & FITCH CO /DE/ DE X X 10/09/03 ACCENTURE LTD X 10/09/03 ACCENTURE SCA X 10/09/03 ACE SECURITIES CORP DE X X 10/07/03 AEARO CORP DE X 09/30/03 AEROPOSTALE INC X X 10/08/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X 10/02/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 10/09/03 ALLIANCE CAPITAL MANAGEMENT L P DE X 10/02/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 10/09/03 AMERI DREAM ENTERTAINMENT INC CA X X 09/25/03 AMERICAN HEALTHWAYS INC DE X X 10/09/03 AMERICAN HOMESTAR CORP TX X X 10/06/03 AMERICAN SKANDIA LIFE ASSURANCE CORP/ CT X 10/03/03 AMERITRANS CAPITAL CORP DE X X 10/08/03 AMR CORP DE X 10/09/03 ARI NETWORK SERVICES INC /WI WI X 10/09/03 ASBURY AUTOMOTIVE GROUP INC DE X 10/09/03 ASHFORD HOSPITALITY TRUST INC MD X 10/08/03 AT&T CORP NY X 10/08/03 AVALON HOLDINGS CORP OH X 10/08/03 AVENUE GROUP INC DE X X 10/08/03 AWARE INC /MA/ MA X X 10/09/03 BANC OF AMERICAN FUNDING CORP MORT PA DE X X 07/30/03 BANK OF THE OZARKS INC AR X X X 10/09/03 BEBE STORES INC CA X X 10/09/03 BESTNET COMMUNICATIONS CORP NV X 10/08/03 BORDEN CHEMICAL INC NJ X X 10/08/03 BOYD GAMING CORP NV X 10/09/03 BREMER FINANCIAL CORP MN X 10/08/03 BURLINGTON COAT FACTORY WAREHOUSE COR DE X 10/09/03 CANADA SOUTHERN PETROLEUM LTD CT X 10/08/03 CAPITAL ONE MASTER TRUST NY X X 10/08/03 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 10/08/03 CASCADE BANCORP OR X X 10/09/03 CDMC MORTGAGE PASS THROUGH CERTIFICAT DE X 09/25/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 09/25/03 CE CASECNAN WATER & ENERGY CO INC X X 10/09/03 CEF EQUIPMENT HOLDING LLC DE X X 10/08/03 CENDANT MORT CAPITAL LLC CDMC MORT PA DE X 09/25/03 CENTRAL COAST BANCORP CA X 10/09/03 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X X X 10/09/03 CENTRUE FINANCIAL CORP DE X X X 10/09/03 CHASE FUNDING INC NY X X 09/25/03 CHINA CABLE & COMMUNICATION INC DE X 10/07/03 CITIZENS & NORTHERN CORP PA X X 09/30/03 CITIZENS FIRST CORP KY X X 10/03/03 CITY HOLDING CO WV X X 10/09/03 CLAIRES STORES INC DE X 10/09/03 CLEVELAND CLIFFS INC OH X 10/08/03 COAST CASINOS INC NV X X 10/09/03 COAST HOTELS & CASINOS INC NV X X 10/09/03 COMMUNITY BANCORP /VT VT X 10/08/03 COMMUNITY BANCSHARES INC /DE/ DE X 10/03/03 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 10/08/03 CONE MILLS CORP NC X X X 10/08/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/09/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/09/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X 10/09/03 CSFB MORTGAGE SEC CORP HOME EQ PASS T DE X X 09/25/03 CYGNUS INC /DE/ DE X X 10/09/03 DELCO REMY INTERNATIONAL INC DE X 10/09/03 DI GIORGIO CORP DE X 10/09/03 DIRECT WIRELESS COMMUNICATIONS INC TX X 09/24/03 DJ ORTHOPEDICS INC DE X X 10/09/03 DOLLAR FINANCIAL GROUP INC NY X X 10/09/03 DOLLAR GENERAL CORP TN X X 10/09/03 DORAL FINANCIAL CORP PR X X 10/08/03 DURECT CORP DE X 10/09/03 EASTMAN CHEMICAL CO DE X X 10/03/03 ELDER BEERMAN STORES CORP OH X X 10/09/03 ELECTRO SCIENTIFIC INDUSTRIES INC OR X X X 10/09/03 EMPS RESEARCH CORP UT X X 09/22/03 ENCYSIVE PHARMACEUTICALS INC DE X X 10/09/03 ENERGY WEST INC MT X X 09/30/03 AMEND ENGAGE INC DE X X 09/18/03 ENTERASYS NETWORKS INC /DE/ DE X X 09/29/03 ENTERGY CORP /DE/ DE X X X 10/09/03 ENTERPRISE PRODUCTS PARTNERS L P DE X X X 10/08/03 ENTERPRISE PRODUCTS PARTNERS L P DE X X 06/30/03 EQUITY MARKETING INC DE X X 10/08/03 EQUITY ONE ABS INC DE X X 10/07/03 EQUITY ONE ABS INC DE X X 10/07/03 EXACT SCIENCES CORP DE X 10/09/03 EXPLORATION CO OF DELAWARE INC DE X X X 10/06/03 EXX INC/NV/ NV X X 10/03/03 EZ EM INC DE X X 10/09/03 FANSTEEL INC DE X X 10/09/03 FARO TECHNOLOGIES INC FL X X 10/09/03 FINISAR CORP DE X X 10/09/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 10/09/03 AMEND FIRST GROWTH INVESTORS INC NV X 09/22/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 10/09/03 FIRSTFED AMERICA BANCORP INC DE X X 10/06/03 FLEMING COMPANIES INC /OK/ OK X X X 10/01/03 FOOTSTAR INC DE X 10/09/03 GAP INC DE X X 10/09/03 GENCORP INC OH X X 10/03/03 GLATFELTER P H CO PA X 10/01/03 AMEND GOLF TRUST OF AMERICA INC MD X X 08/29/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 09/25/03 GS MORTGAGE SECURITIES CORP DE X X 10/09/03 AMEND HANDSPRING INC CA X X 10/09/03 HEALTHETECH INC X X 09/30/03 HEARUSA INC DE X X 10/03/03 HELEN OF TROY LTD X X 10/02/03 HERITAGE BANKSHARES INC /VA VA X X 10/09/03 HERITAGE OAKS BANCORP CA X X 10/09/03 HORTON D R INC /DE/ DE X 10/07/03 HOUSEHOLD MORTGAGE FUNDING CORP III DE X 10/08/03 HUDSON RESPIRATORY CARE INC CA X X 10/09/03 IDINE REWARDS NETWORK INC DE X X 10/09/03 IMPATH INC DE X 09/30/03 INDEPENDENT BANK CORP MI X X X 10/09/03 INFOWAVE SOFTWARE INC X X 10/06/03 INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 09/09/03 INTERNATIONAL SPEEDWAY CORP FL X X 10/08/03 INTERTAN INC DE X X 10/09/03 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 10/06/03 INVERNESS MEDICAL INNOVATIONS INC DE X X 09/30/03 ISTA PHARMACEUTICALS INC CA X X 10/09/03 ISTA PHARMACEUTICALS INC CA X X 10/07/03 J2 GLOBAL COMMUNICATIONS INC DE X X 10/08/03 JLG INDUSTRIES INC PA X X 10/03/03 JO-ANN STORES INC OH X 10/09/03 JRE INC NY X X X 10/08/03 JUNIPER NETWORKS INC DE X X 10/09/03 KANSAS CITY SOUTHERN DE X X 10/08/03 KAYENTA KREATIONS INC NV X 09/22/03 KOHLS CORPORATION WI X 10/09/03 L O M MEDICAL INTERNATIONAL INC X 10/08/03 LACLEDE STEEL CO /DE/ DE X X 09/26/03 LANDRYS RESTAURANTS INC DE X X 10/09/03 LEFT RIGHT MARKETING TECHNOLOGY INC DE X 10/08/03 LEVI STRAUSS & CO DE X X 10/09/03 LIQUIDMETAL TECHNOLOGIES X X 10/09/03 LML PAYMENT SYSTEMS INC A1 X 06/18/03 AMEND LOCH HARRIS INC NV X X 10/09/03 LORAL ORION INC DE X X 10/06/03 LYONDELL CHEMICAL CO DE X X 10/07/03 MAGELLAN HEALTH SERVICES INC DE X X 10/08/03 MAIN STREET BANKS INC /NEW/ GA X X 10/09/03 MAIR HOLDINGS INC MN X X 10/07/03 AMEND MARRIOTT INTERNATIONAL INC /MD/ DE X 10/09/03 MARVEL ENTERPRISES INC DE X X 09/30/03 MATERIAL SCIENCES CORP DE X 10/09/03 MDC HOLDINGS INC DE X X 10/08/03 MERRILL LYNCH MORT INV MORT LN ASST B DE X X 09/25/03 MERRIMAC INDUSTRIES INC DE X X 10/08/03 METRON TECHNOLOGY N V X X 10/09/03 MGP INGREDIENTS INC KS X X 10/09/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X 10/08/03 MONROE JAMES BANCORP INC VA X X X 10/09/03 MONSTER WORLDWIDE INC DE X X 10/09/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 10/09/03 MORTGAGE PASS- THROUGH CERTIFICATES S DE X X 10/01/03 MORTGAGE PASS-THROUGH CERTIFICATES S DE X 07/25/03 MORTGAGE PASS-THROUGH CERTIFICATES S DE X 08/25/03 MOVIE GALLERY INC DE X X 10/08/03 MSC MORTGAGE PASS THROUGH CERTIFICATE DE X X 10/01/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X X 10/08/03 NABI BIOPHARMACEUTICALS DE X 10/09/03 NANO PROPRIETARY INC TX X X 10/06/03 NEIMAN MARCUS GROUP INC DE X X 10/09/03 NEOMEDIA TECHNOLOGIES INC DE X X 10/07/03 NEW CENTURY EQUITY HOLDINGS CORP DE X X 10/09/03 NOMURA ASSET ACCEPTANCE CORP DE X X 10/07/03 NORDSTROM INC WA X X 10/09/03 NORTH STATE BANCORP NC X X 10/09/03 NOVA BIOGENETICS INC DE X 10/08/03 OFFICE DEPOT INC DE X X 10/09/03 OLYMPIC CASCADE FINANCIAL CORP DE X X 04/17/02 ONESOURCE INFORMATION SERVICES INC DE X X 10/05/03 ORTHOLOGIC CORP DE X X 10/09/03 PAPA JOHNS INTERNATIONAL INC DE X X 10/07/03 PARTY CITY CORP DE X X 10/09/03 PASS THROUGH CERTIFICATES SERIES 200 DE X X 10/01/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 10/01/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 10/01/03 PIEDMONT NATURAL GAS CO INC NC X X 09/30/03 PINNACLE SYSTEMS INC CA X 10/07/03 PLAINS EXPLORATION & PRODUCTION CO CA X 10/09/03 PLUG POWER INC DE X 10/09/03 PNC MORTGAGE SEC CORP MORT PASS THR C DE X X 10/01/03 POINT GROUP HOLDINGS INCORP NV X X 09/25/03 PRANDIUM INC DE X 10/08/03 PREMIERWEST BANCORP OR X X 10/09/03 QUANTA SERVICES INC DE X X 10/09/03 REDWOOD EMPIRE BANCORP CA X 10/09/03 REINSURANCE GROUP OF AMERICA INC MO X X 09/22/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 10/09/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 10/08/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/09/03 RMH TELESERVICES INC PA X X 10/03/03 ROUGE INDUSTRIES INC DE X X 10/09/03 SAKS INC TN X X 10/09/03 SAVIENT PHARMACEUTICALS INC DE X X 10/08/03 SCANSOURCE INC SC X X 10/08/03 SECURE BLUE INC NV X X 10/09/03 AMEND SECURED SERVICES INC DE X X 07/18/03 AMEND SELIGMAN NEW TECHNOLOGIES FUND II INC MD X X 09/30/03 SELIGMAN NEW TECHNOLOGIES FUND INC X X 09/30/03 SEMPRA ENERGY CA X X X 10/07/03 SIGA TECHNOLOGIES INC DE X X 10/08/03 SIMMONS FIRST NATIONAL CORP AR X 10/08/03 SKYWAY COMMUNICATIONS HOLDING CORP FL X X 10/09/03 SPANISH BROADCASTING SYSTEM INC DE X X X 10/02/03 SPORTS CLUB CO INC DE X X 10/07/03 SPORTSLINE COM INC DE X X 10/09/03 STEINWAY MUSICAL INSTRUMENTS INC DE X 10/08/03 STEPHAN CO FL X X 10/08/03 AMEND STRUCTURED ASSET SEC CORP MORT BACK P DE X 08/25/03 STRUCTURED ASSET SEC CORP MORT BACK P DE X 07/25/03 STRUCTURED ASSET SEC CORP MORT BACK P DE X 08/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 07/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 08/25/03 STRUCTURED ASSET SECURITIES CORP SERI DE X 07/25/03 STRUCTURED ASSET SECURITIES CORP SERI DE X 08/25/03 SUBURBAN PROPANE PARTNERS LP DE X 10/09/03 SUNOCO LOGISTICS PARTNERS LP DE X X 10/09/03 SUNTRUST BANKS INC GA X X X 10/09/03 T REIT INC VA X X 09/25/03 TALBOTS INC DE X 10/09/03 TAYLOR ANN STORES CORP DE X X 10/09/03 TECHSYS INC NJ X X 10/02/03 AMEND TELECOMMUNICATION PRODUCTS INC CO X 08/18/03 AMEND TERAYON COMMUNICATION SYSTEMS DE X X 10/07/03 TGFIN HOLDINGS INC DE X X 09/15/03 AMEND TIDEWATER INC DE X 10/09/03 TRANS GLOBAL SERVICES INC DE X X 10/06/03 TRANSTECHNOLOGY CORP DE X X 10/03/03 TRINITY INDUSTRIES INC DE X X 10/08/03 U S GOLD CORP CO X X 10/09/03 UNIVERSAL HOSPITAL SERVICES INC MN X X 10/08/03 US DATAWORKS INC NV X X 10/02/03 USI HOLDINGS CORP DE X X 10/08/03 WALT DISNEY CO/ DE X X 10/08/03 WAMU MOR PASS THRU CERT SER 2001-AR1 DE X X 10/01/03 WAMU MORTAGE PASS THRU CERT SER 2003- DE X X 10/01/03 WAMU MORTAGE PASS THRU CERT SERIES 20 DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CER SER 20 DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT 2002- DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT SER 2 DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT SER 2 DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERT SERIE DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS THROUGH CERTS SER DE X 10/09/03 WAMU MORTGAGE PASS THROUGH CERTS SERI DE X X 10/01/03 WAMU MORTGAGE PASS THRU CERTIFICATE S DE X X 10/01/03 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 10/01/03 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 10/01/03 WAMU MORTGAGE PASS THRU CERTS SERIES DE X X 10/01/03 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 10/01/03 WAMU MORTGAGE PASS-THRU CERT SERIES 2 DE X X 10/01/03 WASHINGTON MORTGAGE SEC CORP MORT PAS DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 10/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PS DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP MOR P DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP PASS DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 10/01/03 WASHINGTON MUTUAL MORT SEC WAMU MOR P DE X X 10/01/03 WASHINGTON MUTUAL MORTGAGE SEC CORP M DE X X 10/01/03 WASHINGTON MUTUAL MORTGAGE SEC CORP P DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PA THR CER DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PAS THR CE DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THR C DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THR C DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORT PASS-THROU DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 10/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE X X 10/01/03 WATTS INDUSTRIES INC DE X 10/09/03 WEST BANCORPORATION INC IA X 10/09/03 WESTERN WATER CO DE X 10/03/03 WHITEWING ENVIRONMENTAL CORP CA X X X 09/30/03 WINN DIXIE STORES INC FL X 10/07/03 WMAU MORTGAGE PASS THROUGH CERTIFICAT DE X X 10/01/03 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 10/08/03 XETA TECHNOLOGIES INC OK X 10/03/03 XTREME COMPANIES INC NV X X X X 10/08/03 YORK WATER CO PA X X 10/09/03 ZAPATA CORP NV X X 09/23/03 AMEND FIRSTWAVE TECHNOLOGIES INC GA X X 10/08/03