SEC NEWS DIGEST Issue 2003-207 October 30, 2003 COMMISSION ANNOUNCEMENTS STEPHEN CUTLER AND PAUL ROYE TO TESTIFY On Monday, Nov. 3, 2003, Stephen M. Cutler, Director of the Commission's Division of Enforcement, and Paul F. Roye, Director of the Commission's Division of Investment, will testify before the Senate Subcommittee on Financial Management, the Budget, and International Security concerning mutual fund issues. The hearing will begin at 10:30 a.m. in Room 342 of the Dirksen Senate Office Building. ENFORCEMENT PROCEEDINGS COMMISSION INITIATES ADMINISTRATIVE PROCEEDINGS AGAINST PAUL BARRIOS III AND DENNIS O'CONNELL, JR. On October 29, the Commission instituted administrative proceedings against Paul A. Barrios III and Dennis P. O'Connell, Jr. based on the entry of a final judgment of permanent injunction against them. The Division of Enforcement alleges that from 2000 to August 2002, the respondents, through Shoreline Development Company (Shoreline), raised at least $3.8 million from more than 120 investors nationwide selling fractional undivided interests in oil and gas rights. The Complaint alleges that Shoreline's principals made material misrepresentations about the performance of Shoreline's wells, a purported business relationship with El Paso Field Services, and their use of investor funds. Shoreline purchased the fractional undivided interests in oil and gas rights in its own name and then resold the interests to public without disclosing to the investors that it was selling its own securities and marking them up in price from 50% to 66%. This mark up was not disclosed to investors. Shoreline's offering materials stated in the "use of proceeds" section that either "all" of the investor funds will be used for well drilling and completion costs, including production equipment and expenses, or that the purchase price of the securities includes the costs of drilling and completing the well, production equipment, and management fees. Roughly 65% of the amount raised from investors was paid to Shoreline's well operators for the purchase of investors' fractional interests in the wells and for drilling and completion costs. About 35% of investor funds was misused by Shoreline's principals for their personal use. A hearing will be held before an Administrative Law Judge to determine whether the Division's allegations are true, to provide respondents an opportunity to dispute the allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Commission directed that an administrative law judge issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. On Oct. 8, 2002, in an action brought by the Commission, the U.S. District Court for the Central District of California entered a final judgment of permanent injunction enjoining Barrios and O'Connell from violating the securities registration provisions of Sections 5(a) and 5(c) of the Securities Act and from committing violations of the broker- dealer registration provisions of Section 15(a) of the Exchange Act. For more information, see Litigation Release Nos. 17702 (Aug. 28, 2002) and 17716 (Sept. 10, 2002). (Rel. 34-48715; File No. 3-11319) SECOND CIRCUIT COURT OF APPEALS AFFIRMS INSIDER TRADING CONVICTION OF CERTIFIED PUBLIC ACCOUNTANT On October 24, the U.S. Court of Appeals for the Second Circuit affirmed a federal jury's conviction of Dallas, Texas certified public accountant Michael A. Robles. In October 2002, the jury found Robles guilty on charges of participating in a massive insider-trading scheme that yielded illegal profits of more than $1.3 million in 31 different stocks. According to the evidence at trial, from 1995 through 1997, Robles received inside information from his long-time friend Richard A. Svoboda, who was employed as a credit policy officer at NationsBank, N.A. In violation of NationsBank's policies, Svoboda misappropriated confidential information about yet-to-be-announced tender offers or financial results. The jury convicted Robles of one count of conspiracy, 9 counts of securities fraud and 4 counts of tender offer fraud. The Honorable Richard N. Berman, United States District Judge for the Southern District of New York, sentenced Robles to be incarcerated for 41 months, and to pay a $300,000 fine. In February 2002, Svoboda pleaded guilty to conspiracy, securities fraud, and tender offer fraud charges. Judge Berman sentenced Svoboda to be incarcerated for 12 months and one day, and to pay a $200,000 fine. The Commission's civil action against Robles and Svoboda, filed at the same time a grand jury in the Southern District of New York indicted them, was stayed pending the outcome of the criminal trial. Once the stay is lifted, the Commission intends to pursue its claims against Robles and Svoboda, for engaging in illegal insider trading in violation of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 14(e) of the Securities Exchange Act of 1934, and Exchange Act Rules 10b-5 and 14e-3, and to seek injunctive relief, disgorgement, and civil money penalties. [U.S., Appellee, v. Richard A. Svoboda, Defendant, Michael A. Robles, Defendant-Appellant (2d Circuit, October 24, 2003); [SEC v. Richard A. Svoboda and Michael A. Robles, 00 Civ. No. 8557 (MBM) (Southern District of New York)] (LR-18433) SEC OBTAINS FINAL JUDGMENT AGAINST RELIEF DEFENDANT GORDON YOCOM On October 21, the Commission accepted the consent of Relief Defendant Gordon L. Yocom and a final judgment was entered by the U.S. District Court for the Southern District of Ohio. The district court's order provides the Commission with a monetary judgment against Yocom in the total amount of $86,495.35, including disgorgement and prejudgment interest. Yocom consented to the entry of the judgment without admitting or denying the allegations contained in the Commission's complaint. [SEC v. Dunyasha M. Yetts, et al., No. C2-01-1263 (S.D. Ohio)] (LR-18434) SEC CHARGES FORMER CHIEF EXECUTIVE OFFICER OF ENRON NORTH AMERICA AND ENRON ENERGY SERVICES WITH VIOLATING FEDERAL SECURITIES LAWS Defendant Barred From Serving As Officer Or Director of Public Company and Ordered to Pay $3.74 Million; Will Cooperate With Government Investigations The Commission today charged David W. Delainey, the former Chief Executive Officer of Enron North America and Enron Energy Services, with violating the antifraud provisions of the federal securities laws. Without admitting or denying the allegations of the Complaint, Delainey has agreed to be enjoined permanently from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5 and 13b2-1, and aiding and abetting the violation of Sections 13(a), and 13(b)(2)(A) and (B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1 and 13a-13, and to be barred from acting as an officer or director of a public company. As part of the settlement agreement, which is subject to the approval of the U.S. District Court, Delainey will pay nominal disgorgement of $100 and a civil penalty of approximately $3.74 million. The Commission brought this action in coordination with the U.S. Department of Justice Enron Task Force, which filed a related criminal charge against Delainey. Delainey agreed to enter a guilty plea in connection with that charge, forfeit approximately $4.26 million in unlawful proceeds, and cooperate with the government's continuing investigation. As alleged in the complaint, Delainey, along with others at Enron, engaged in a wide-ranging scheme to manipulate Enron's publicly reported earnings through a variety of devices designed to produce materially false and misleading financial results. This scheme included, among other things, the manipulation of reserve accounts, concealment of losses, improper inflation of asset values and use of fraudulent devices designed to "hedge," or lock-in, inflated asset values, and use of improper accounting techniques to achieve earnings objectives and avoid large losses. The Complaint also alleges that Delainey, while in possession of material non-public information, namely, that Enron management was scheming to manipulate Enron's reported financial results, sold large amounts of Enron stock at inflated prices and reaped millions of dollars in profits. Specifically, the Commission's complaint alleges as follows: * Manipulation of Reserves To Manage Earnings: During 2000, Enron's wholesale energy trading business, primarily its ENA business, began generating extraordinary trading profits as a result of rapidly rising energy prices in the western United States, especially in California. Beginning in the first quarter of 2000 and continuing in increasing scope and size throughout 2000 and 2001, Enron improperly reserved (in a ledger designated "Schedule C") hundreds of millions of dollars of earnings, primarily within the ENA business unit, to conceal volatility in its energy trading profits and to use large amounts of those reserves to cover-up losses in ENA's "merchant" asset portfolio and from other business units such as EES. * Concealment of Uncollectible EES Receivables and Losses: Enron also used reserves to conceal huge receivables that California public utilities owed to Enron, incurred during the energy crisis in California, and that Enron believed it would not collect. By December 2000, these uncollectible receivables were valued in the hundreds of millions of dollars. In the fourth quarter of 2000 and again in the first quarter of 2001, Enron and ENA senior commercial and accounting managers concealed the existence of these bad debts by booking them as reserves on the unreported "Schedule C" within ENA, even though they were in fact owed to EES. In the first quarter of 2001, Enron's senior management also concealed huge losses associated with inflated valuations of EES contracts which, if recognized as required, would have wiped out EES's profits and revealed EES to have been a failing business. * Fraudulent Valuation of "Merchant" Assets: During the fourth quarter of 2000, senior Enron and ENA accounting and commercial managers artificially increased the value of ENA's largest merchant asset, Mariner Energy Inc., by approximately $100 million to help cover an earnings shortfall facing the Company that quarter of approximately $200 million. In the third quarter of 2000, other ENA "merchant" assets were similarly manipulated in value before being inserted into an elaborate hedging mechanism known as the "Raptors." This Raptor mechanism was not a legitimate hedge. * Other Manipulative Devices: In 1998, Enron fraudulently avoided a loss in the hundreds of millions of dollars associated with an energy supply contract with the Tennessee Valley Authority ("TVA") by summarily removing the TVA contract from its mark-to-market accounting books. After avoiding immediate disclosure of the TVA loss, senior Enron commercial and accounting managers devised a plan to avoid later disclosure of the loss, which involved the purchase of power-plant turbines and the construction of "peaker" power plants to be used to satisfy Enron's obligations to the TVA. At year-end 1999, Enron entered into back-to-back energy trades with Merrill Lynch & Co., Inc., to sell and then repurchase energy generated from the "peaker" plants. This transaction allowed Enron to meet its year-end earnings targets. Early in the second quarter of 2000 and before any energy was exchanged between Enron and Merrill Lynch, Enron completely "unwound," or reversed, its energy trading positions with Merrill Lynch. (See SEC v. Merrill Lynch & Co., Inc., et.al., Civil Action No. H-03-0946 (S.D. Tex.) (filed March 17, 2003). * Insider Trading: Delainey, through his participation in the fraudulent accounting scheme at Enron, knew that Enron's management was manipulating Enron's reported financial results. While in possession of this material non- public information, Delainey sold a large amount of Enron stock, reaping millions of dollars in profits. The Commission brought this action in coordination with the U.S. Department of Justice Enron Task Force. The Commission's investigation is continuing. [SEC v. David W. Delainey, Civil Action No. H-03-4883 (SDTX)] (LR-18435; AAE Rel. 1907) COMMISSION SETTLES FRAUD CHARGES AGAINST BOSTON INVESTMENT FIRM CONSULTANT The Commission announced today that on Sept. 24, 2003, the Connecticut federal district court entered a final judgment against Lisa A. Thiesfield of Hartford, Connecticut, a former consultant for Triumph Capital Group, Inc., an investment firm headquartered in Boston, Massachusetts. The Commission's charges against Thiesfield arose out of an alleged fraudulent scheme involving the former Connecticut State Treasurer's investment of state pension fund money with private equity firms, including Triumph, in exchange for the firms' agreement to pay lucrative fees to the Treasurer's friends and associates. In a complaint filed against eleven defendants in the U.S. District Court for the District of Connecticut on Oct. 10, 2000, the Commission alleged that Paul J. Silvester, the former Treasurer of the State of Connecticut, agreed to invest $200 million of state pension funds with Triumph in November 1998. The complaint alleged that in return, Triumph agreed to provide $1 million consulting contracts to Silvester's friends, Thiesfield and Christopher A. Stack. According to the complaint, Stack then funneled part of his Triumph consulting fees to Silvester through another intermediary, and Silvester also requested and expected to receive part of Thiesfield's Triumph consulting fees. The Commission's complaint alleged that Thiesfield aided and abetted other defendants' violations of the federal securities laws. Thiesfield, without admitting or denying the allegations contained in the Commission's complaint, consented to the entry of final judgment permanently enjoining her from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Commission also announced today that it has instituted related settled administrative proceedings in which Thiesfield was permanently barred from associating with any investment adviser. On Sept. 4, 2003, Thiesfield pleaded guilty to criminal charges stemming from the conduct described in the Commission's complaint. Thiesfield pleaded guilty to one charge of corruptly aiding and abetting a public official in accepting a reward. Under Thiesfield's plea agreement, the U.S. Attorney may seek up to $1 million in criminal penalties from her, subject to her ability to pay, and she may be sentenced to between 10-16 months in prison. She will be sentenced at a later date. Silvester, Stack (and his entity, KCATS), and two other parties (Landmark Partners, Inc. and its chairman, Stanley F. Alfeld) previously settled with the Commission in this matter. The Commission's case remains pending against certain additional defendants. For further information, please see Litigation Release Numbers 16834 (Dec. 19, 2000) and 16759 (Oct. 10, 2000). [SEC v. Paul J. Silvester, et al., USDC for the District of Connecticut, Civil Action No. 3:00 CV 1941 (SRU)]; [U.S. v. Triumph Capital Group, et al., USDC for the District of Connecticut, Criminal Action No. 3:00 CR 217 (EBB)] (LR-18436); (Administrative Proceeding - Rel. IA-2186, File No. 3-11318) INVESTMENT COMPANY ACT RELEASES WNC HOUSING TAX CREDIT FUND VI, L.P., SERIES 11 AND SERIES 12, AND WNC NATIONAL PARTNERS, LLC An order has been issued on an application filed by WNC Housing Tax Credit Fund VI, L.P., Series 11 and Series 12 (Series), and WNC National Partners, LLC under Sections 6(c) and 6(e) of the Investment Company Act exempting each Series from all provisions of the Act, except Sections 37 through 53 of the Act and the rules under those sections. The order permits each Series to invest in limited partnerships that engage in the ownership and operation of apartment complexes for low and moderate income persons. (Rel. IC-26231 - October 27) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY, INC., ET AL. An order has been issued authorizing the release of jurisdiction over the issuance and sale by CenterPoint Energy Resources Corp., an indirect gas public utility subsidiary of CenterPoint Energy, Inc., a registered holding company, of an additional $50 million principal amount of external debt securities. (Rel. 35-27743 - October 28) GULF POWER COMPANY An order has been issued authorizing The Southern Company, a registered holding company, and Gulf Power Company, a wholly owned electric utility subsidiary, to organize one or more subsidiaries to effect various financings by issuing and selling preferred securities in an aggregate principal amount of up to $150,000,000, from time to time, through Dec. 31, 2006. (Rel. 35-27744) E.ON AG, ET AL. A supplemental order has been issued finding that Powergen US Holdings Limited, Powergen US Investments, Powergen Luxembourg Holdings sarl and Powergen Luxembourg sarl have ceased to be holding companies and declaring that their registrations under the Act are no longer in effect. (Rel. 35-27745) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-91) submitted by the American Stock Exchange relating to the listing and trading of notes based on the Morgan Stanley Technology Index. Publication of the proposal is expected in the Federal Register during the week of Nov. 3, 2003. (Rel. 34-48708) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-153) filed by the National Association of Securities Dealers relating to the waiver of California arbitrator disclosure standards 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 Nov. 3, 2003. (Rel. 34-48711) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-157) to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine (TRACE) prior to the expiration of the pilot program for fees on Jan. 31, 2004, and seeks permanent approval of the fee structure. Publication of the proposal is expected in the Federal Register during the week of Nov. 3, 2003. (Rel. 34-48714) DELISTING GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.10 par value, of Cone Mills Corporation, effective at the opening of business on October 30. (Rel. 34-48716) 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-3 CYTOGEN CORP, 6099878200 - 0 ($60,000,000.00) Equity, (File 333-110040 - Oct. 29) (BR. 01) S-8 CYOP SYSTEMS INTERNATIONAL INC, 6046476400 - 500,000 ($55,000.00) Equity, (File 333-110041 - Oct. 29) (BR. 03) S-3 INTERSTATE HOTELS & RESORTS INC, 1010 WISCONSIN AVE NW, WASHINGTON, DC, 20007, 2029654455 - 0 ($73,088,250.00) Equity, (File 333-110046 - Oct. 29) (BR. 08) S-8 WORLDTEQ GROUP INTERNATIONAL INC, 30 WEST GUDE DRIVE, SUITE 470, ROCKVILLE, MD, 20850, 2404032000 - 0 ($240,000.00) Equity, (File 333-110047 - Oct. 29) (BR. 08) SB-2 NORTHWEST PASSAGE VENTURES LTD, 1420 FIFTH AVE, STE 2200, SEATTLE, WA, 98101, 206301344 - 2,000,000 ($200,000.00) Equity, (File 333-110052 - Oct. 29) (BR. 09) SB-2 GALAXY ENERGY CORP, 1001 BRICKELL BAY DR, #2202, MIAMI, FL, 33131, 3053735725 - 23,558,391 ($26,856,566.00) Equity, (File 333-110053 - Oct. 29) (BR. 04) S-8 PALMONE INC, 400 N. MCCARTHY BOULEVARD, MILPITAS, CA, 95035, 4088789000 - 0 ($23,722,820.00) Equity, (File 333-110055 - Oct. 29) (BR. 03) S-B PROVINCE OF MANITOBA, 1251 AVE OF THE AMERICAS, C/O CANADIAN CONSULATE GENERAL, NEW YORK, NY, 10020, 0 ($366,075,000.00) Non-Convertible Debt, (File 333-110056 - Oct. 29) (BR. DN) SB-2 CALIFORNIA CLEAN AIR INC, 10345 SW 69TH AVE, *, TIGARD, OR, 97223, 5035370994 - 2,000,000 ($2,000,000.00) Equity, (File 333-110057 - Oct. 29) (BR. 09) S-8 EPIX MEDICAL INC, 71 ROGERS ST, CAMBRIDGE, MA, 02142-1118, 6172506000 - 0 ($11,667,500.00) Equity, (File 333-110058 - Oct. 29) (BR. 01) S-8 NUTECH DIGITAL INC, 7900 GLORIA AVE, VAN NUYS, CA, 91406, 8189943831X12 - 1,000,000 ($625,000.11) Equity, (File 333-110059 - Oct. 29) (BR. 05) S-3 INVITROGEN CORP, 1600 FARADAY AVE, CARLSBAD, CA, 92008, 7606037200 - 5,129,145 ($350,000,000.00) Debt Convertible into Equity, (File 333-110060 - Oct. 29) (BR. 01) S-8 REGAL BELOIT CORP, 200 STATE ST, BELOIT, WI, 53511, 6083648800 - 1,500,000 ($30,645,000.00) Equity, (File 333-110061 - Oct. 29) (BR. 36) S-8 SKYBRIDGE WIRELESS INC, 6565 SPENCER STREET, STE 205, LAS VEGAS, NV, 89119, (702) 897-8704 - 20,000,000 ($1,360,000.00) Equity, (File 333-110062 - Oct. 29) (BR. 02) S-3 BAM ENTERTAINMENT INC, 333 WEST SANTA CLARA BLVD STE 930, SAN JOSE, CA, 95113, 4082987500 - 5,904,587 ($10,209,539.42) Equity, (File 333-110063 - Oct. 29) (BR. 03) N-2 HARRIS & HARRIS GROUP INC /NY/, 111 WEST 57TH STREET, SUITE 1100, NEW YORK, NY, 10019, 212-582-0900 - 2,000,000 ($13,900,000.00) Equity, (File 333-110064 - Oct. 29) (BR. ) S-3 CORIO INC, 959 SKYWAY ROAD, STE 100, SAN CARLOS, CA, 94070, 650-232-3000 - 0 ($8,413,603.20) Equity, (File 333-110065 - Oct. 29) (BR. 03) S-8 TRUSTMARK CORP, 248 E CAPITOL ST, P O BOX 291, JACKSON, MS, 39201, 6013545111 - 2,500,000 ($70,150,000.00) Other, (File 333-110066 - Oct. 29) (BR. 07) S-3 FINDWHAT COM INC, 5220 SUMMERLIN COMMONS BLVD, N/A, FORT MYERS, FL, 33907, (239) 561-7229 - 1,000,000 ($15,830,000.00) Equity, (File 333-110067 - Oct. 29) (BR. 08) S-8 AGERE SYSTEMS INC, 555 UNION BLVD, ALLENTOWN, PA, 18109, 6107124323 - 30,000,000 ($102,150,000.00) Equity, (File 333-110068 - Oct. 29) (BR. 36) S-8 STAR MULTI CARE SERVICES INC, 33 WALT WHITMAN ROAD, SUITE 302, HUNTINGTON STATION, NY, 11801, 5169382016 - 1,000,000 ($250,000.00) Equity, (File 333-110069 - Oct. 29) (BR. 01) S-8 CENTRAL WIRELESS INC, 4333 S. TAMIAMI TRAIL, SUITE E, SARASOTA, FL, 34231, 941-9291534 - 75,000,000 ($750,000.00) Equity, (File 333-110070 - Oct. 29) (BR. 37) F-1 APEX WEALTH ENTERPRISES LTD, UNIT 1502 15/F WORLD WIDE HOUSE, 19 DES VOEUX ROAD, HONG KONG, K3, 00000, 852 2736 2726 - 2,000,000 ($100,000.00) Face Amount Certificates, (File 333-110071 - Oct. 29) (BR. 09) N-2 MAN GLENWOOD TEI LLC, 123 NORTH WACKER DR, 28TH FLOOR, CHICAGO, IL, 60606, 3128816500 - 10,000 ($1,000,000.00) Equity, (File 333-110072 - Oct. 29) (BR. 18) SB-2 IVP TECHNOLOGY CORP, 54 VILLAGE CENTRE, MISSISSAUGA PLACE, TORONTO ONTARIO M5E, A6, 0000, 9053069343 - 131,886,552 ($4,088,483.00) Other, (File 333-110073 - Oct. 29) (BR. 03) S-8 ALFACELL CORP, 225 BELLEVILLE AVE, BLOOMFIELD, NJ, 07003, 9737488082 - 1,920,000 ($6,175,200.00) Equity, (File 333-110074 - Oct. 29) (BR. 01) S-8 APPLIED MICRO CIRCUITS CORP, 6290 SEQUENCE DR, SAN DIEGO, CA, 92121, 6194509333 - 6,107,452 ($24,149,075.45) Equity, (File 333-110075 - Oct. 29) (BR. 36) S-1 CITIGROUP DIVERSIFIED FUTURES FUND LP, 390 GREENWICH STREET, 7TH FLOOR, NEW YORK, NY, 10013, 2127235424 - 0 ($642,768,000.00) Limited Partnership Interests, (File 333-110076 - Oct. 29) (BR. 08) 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 ------------------------------------------------------------------------------------------------ 1ST CONSTITUTION BANCORP NJ X 10/20/03 AARON RENTS INC GA X X 10/28/03 ABGENIX INC DE X X 10/29/03 ABN AMRO MORT CORP MULTI-CLASS MORT P DE X 10/01/03 ABN AMRO MORTGAGE CORP MORT PS THR CR DE X 10/01/03 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X 10/01/03 ABN AMRO MORTGAGE CORP MUL CL MORT PA DE X 10/01/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 10/01/03 ABN AMRO MORTGAGE CORP MULTI CL MORT DE X 10/01/03 ABSC HOME EQUITY LOAN TRUST SERIES 20 NY X X 10/15/03 ACCREDITED MORT LOAN TRUST ASSET BAC DE X 10/27/03 ACCREDITED MORTGAGE LOAN TRUST 2003-2 DE X 10/27/03 ACE LTD D0 X X 10/28/03 ACE SECURITIES CORP DE X X 10/29/03 ACRES GAMING INC NV X X 10/27/03 ACTUATE CORP DE X X X 10/28/03 ADVANCED BIOTHERAPY INC DE X X 10/29/03 ADVANCED BIOTHERAPY INC DE X X 10/29/03 AFTERMARKET TECHNOLOGY CORP DE X 10/28/03 AGREE REALTY CORP DE X X 10/29/03 AKAMAI TECHNOLOGIES INC DE X 10/29/03 AKORN INC LA X 10/22/03 ALCOA INC PA X 10/23/03 ALDILA INC DE X X X 10/29/03 ALLIED HOLDINGS INC GA X X 10/29/03 AMB PROPERTY CORP MD X X X 10/28/03 AMC ENTERTAINMENT INC DE X X X 10/02/03 AMERADA HESS CORP DE X X X 10/29/03 AMERICAN EDUCATION CORP CO X X X X 10/29/03 AMERICAN FINANCIAL GROUP INC OH X X 10/29/03 AMERICAN INDEPENDENCE CORP DE X 09/30/03 AMERICAN NATURAL ENERGY CORP OK X 10/28/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X X 10/10/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X 10/27/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X 10/27/03 AMERIQUEST MORT SEC INC ASSET BACK PS DE X 10/27/03 AMERIQUEST MORT SEC INC ASSET BACKED DE X 10/27/03 AMERIQUEST MORT SEC INC ASST BACK PAS DE X 10/27/03 AMERIQUEST MORTGAGE SEC AS-BCKD PASS- DE X 10/27/03 AMERIQUEST MORTGAGE SEC INC ASSET BAC DE X 10/27/03 AMERIQUEST MORTGAGE SEC INC ASSET BCK DE X 10/27/03 AMERIQUEST MORTGAGE SEC INC ASST BACK DE X 10/27/03 AMERIQUEST MORTGAGE SEC INC AST BACK DE X 10/27/03 AMERIQUEST MORTGAGE SECURITIES INC SE DE X 10/27/03 AMERISTAR CASINOS INC NV X X X 10/28/03 AMG OIL LTD NV X 10/29/03 AML COMMUNICATIONS INC DE X 10/29/03 AMLI RESIDENTIAL PROPERTIES TRUST MD X X 10/28/03 AMR CORP DE X 10/29/03 AMSOUTH AUTO RECEIVABLES LLC X X 10/15/03 ANCHOR BANCORP WISCONSIN INC WI X X 09/30/03 ANTEON INTERNATIONAL CORP DE X 09/30/03 APPLIED IMAGING CORP DE X X 10/29/03 ARDEN REALTY INC MD X 10/28/03 ARGENT SEC INC ASSET BACKED PAS THR C X 10/27/03 ARGENT SECURITIES INC X X 10/28/03 ARGENT SECURITIES INC ASSET-BK PAS TH X 10/27/03 ARGENT SECURITIES INC ASST BACK PASS X 10/27/03 ASPEN TECHNOLOGY INC /DE/ DE X X 10/29/03 ASSET BACKED PASS THROUGH CERTIFICATE DE X 10/27/03 ASSET BACKED SEC CORP HOME EQU LOAN T DE X X 10/15/03 AVI BIOPHARMA INC OR X X 10/29/03 AVI BIOPHARMA INC OR X X 10/29/03 AVIGEN INC \DE DE X 10/29/03 B2B INTERNET HOLDRSSM TRUST NY X 10/29/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 07/25/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 08/25/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 04/25/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 09/25/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 10/27/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 05/27/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 06/25/03 BALDWIN & LYONS INC IN X X 10/28/03 BALLY TOTAL FITNESS HOLDING CORP DE X X 10/28/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X X 10/20/03 BANCINSURANCE CORP OH X X 10/29/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 10/20/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 10/24/03 BARNESANDNOBLE COM INC DE X X 10/28/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU X X 10/01/03 AMEND BEL FUSE INC /NJ NJ X X 10/29/03 BELL MICROPRODUCTS INC CA X X 10/29/03 BENTLEY PHARMACEUTICALS INC DE X X 10/29/03 BHA GROUP INC DE X X 10/28/03 BIG 5 SPORTING GOODS CORP DE X 10/29/03 BIO KEY INTERNATIONAL INC MN X X 10/28/03 BIOSPHERE MEDICAL INC DE X 10/29/03 BIOTECH HOLDRS TRUST X 10/29/03 BLACK BOX CORP DE X 10/28/03 BOE FINANCIAL SERVICES OF VIRGINIA IN VA X 10/27/03 BOEING CO DE X 10/29/03 BOYD GAMING CORP NV X 10/29/03 BRIGHT HORIZONS FAMILY SOLUTIONS INC DE X 10/23/03 BROADBAND HOLDRS TRUST X 10/29/03 BROOKE CORP KS X X 10/28/03 BUFFETS INC MN X X 10/29/03 BUILDING MATERIALS HOLDING CORP DE X 10/28/03 BUTLER NATIONAL CORP DE X X 10/29/03 C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 10/27/03 C BASS MORTGAGE LOAN ASST BACK CERTS DE X X 10/27/03 CANDELA CORP /DE/ DE X X 10/28/03 CAPITOL FIRST CORP NV X X 10/29/03 CENTERPOINT ENERGY INC X X 10/28/03 CENTERPOINT ENERGY RESOURCES CORP DE X X 10/29/03 CENTRA SOFTWARE INC DE X X 10/28/03 CENTRA SOFTWARE INC DE X X 10/28/03 AMEND CENTRAL FEDERAL CORP DE X X 10/28/03 CERADYNE INC DE X X 10/29/03 CHAMPPS ENTERTAINMENT INC DE X 09/28/03 CHASE MORTGAGE FINANCE CORP DE X X 10/22/03 CHINA XIN NETWORK MEDIA CORP FL X X X 10/29/03 CHIPPAC INC CA X X 10/29/03 CHIRON CORP DE X 10/29/03 CIT HOME EQUITY LOAN TRUST 2002-1 DE X X 09/30/03 CIT HOME EQUITY TRUST 2002-2 DE X X 09/30/03 CITICORP MORTGAGE SECURITIES INC DE X 10/29/03 CLARKSTON FINANCIAL CORP X X 10/28/03 CLEVELAND CLIFFS INC OH X X 10/29/03 COLE KENNETH PRODUCTIONS INC NY X 09/30/03 COLONY RIH HOLDINGS INC DE X 10/29/03 COMMERCIAL CAPITAL BANCORP INC NV X X 10/27/03 COMMUNITY TRUST BANCORP INC /KY/ KY X 10/29/03 COMPUTER HORIZONS CORP NY X X X 10/29/03 CONMED CORP NY X X 10/24/03 CONOCOPHILLIPS DE X X 10/29/03 CONSTAR INTERNATIONAL INC DE X 10/29/03 CORINTHIAN COLLEGES INC X 10/29/03 CORIO INC DE X X 10/22/03 CORPORATE OFFICE PROPERTIES TRUST MD X X 10/29/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/29/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/29/03 CROWN CASTLE INTERNATIONAL CORP DE X X 10/28/03 CSFB MORT SEC CORP COM MORT PAS THR C DE X X 10/15/03 CV THERAPEUTICS INC DE X X 10/28/03 CVS CORP DE X X 10/29/03 CWMBS INC DE X X 10/28/03 CWMBS INC DE X X 10/28/03 CWMBS INC DE X X 10/28/03 CWMBS INC DE X X 10/29/03 DATASCOPE CORP DE X 10/28/03 DEL LABORATORIES INC DE X X 10/28/03 DELTIC TIMBER CORP DE X X 10/29/03 DENNYS CORP DE X X 09/24/03 DHB INDUSTRIES INC DE X X 10/24/03 AMEND DIGITAS INC DE X X 10/29/03 DNB FINANCIAL CORP /PA/ PA X X 10/27/03 DOBSON COMMUNICATIONS CORP OK X X 10/23/03 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE X 10/29/03 DOT HILL SYSTEMS CORP NY X 10/22/03 DURATEK INC DE X X 10/29/03 DVI RECEIVABLES CORP VIII DE X X 10/29/03 DWANGO NORTH AMERICA CORP NV X 10/13/03 E LOAN INC DE X X 10/23/03 EARTHLINK INC DE X X 10/23/03 EASTERN CO CT X X X 10/29/03 EDISON INTERNATIONAL CA X 10/28/03 EDISON MISSION ENERGY CA X 10/28/03 EDUCATION MANAGEMENT CORPORATION X X 10/28/03 EFUNDS CORP DE X X X 10/29/03 EGL INC TX X X 10/27/03 ELECSYS CORP KS X X 10/29/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 10/28/03 EME HOMER CITY GENERATION LP CA X 10/28/03 ENCORE CAPITAL GROUP INC DE X 10/28/03 ENCORE MEDICAL CORP DE X X X 10/27/03 AMEND ENCORE WIRE CORP /DE/ DE X X X 10/23/03 ENERGEN CORP AL X 09/30/03 ENTRUST INC MD X X 10/29/03 ENZO BIOCHEM INC NY X 10/29/03 EQUITY ONE ABS MORTGAGE PASS THROUGH DE X 10/27/03 EQUITY ONE ABS INC EQUITY ONE MORT P DE X 10/27/03 EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X 10/27/03 ERIE FAMILY LIFE INSURANCE CO PA X 10/29/03 ERIE INDEMNITY CO PA X 10/29/03 ESS TECHNOLOGY INC CA X X 10/29/03 ESSEX CORPORATION VA X X 10/29/03 ETHYL CORP VA X X 10/29/03 EUROPE 2001 HOLDRS TRUST NY X 10/29/03 EVERTRUST FINANCIAL GROUP INC WA X X 10/28/03 EXTENDED STAY AMERICA INC DE X X 10/28/03 EXTENDED STAY AMERICA INC DE X X 10/29/03 F5 NETWORKS INC WA X X 10/29/03 FBL FINANCIAL GROUP INC IA X X 10/29/03 FEDERAL NATIONAL MORTGAGE ASSOCIATION X X 10/16/03 AMEND FINANCIAL ASSET SEC CORP ASSET BACKED DE X 10/27/03 FINANCIAL ASSET SECURITIES CORP ASSET DE X 10/27/03 FINANCIAL ASSET SECURITIES CORP ASSET DE X 10/27/03 FINANCIAL ASSET SECURITIES CORP FREMO DE X 10/27/03 FIRST FEDERAL BANCSHARES INC /DE DE X X 10/24/03 FIRST FEDERAL BANCSHARES OF ARKANSAS TX X X 10/29/03 FIRST KEYSTONE CORP PA X 10/29/03 FIRST MID ILLINOIS BANCSHARES INC DE X X 10/29/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/15/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/15/03 FIRST UNION LEH BRO BANK OF AMER COM NY X X 10/17/03 FIRSTBANK CORP/ID WA X X 10/28/03 FLUOR CORP DE X X 10/28/03 FREMONT GENERAL CORP NV X 10/29/03 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 10/28/03 FSF FINANCIAL CORP MN X X 10/28/03 FX ENERGY INC NV X 10/29/03 GABELLI ASSET MANAGEMENT INC NY X X 10/15/03 GAIAM INC CO X X 10/29/03 GARMIN LTD X X 10/29/03 GATX CORP NY X X 10/23/03 GAYLORD ENTERTAINMENT CO /DE DE X X 10/29/03 GENAERA CORP DE X X 10/27/03 GENERAL ELECTRIC CO NY X X 10/21/03 GENTA INC DE/ DE X X 10/28/03 GENUITY INC DE X X 10/29/03 GEOCOM RESOURCES INC NV X 10/28/03 GERON CORPORATION DE X X 10/29/03 GERON CORPORATION DE X X 10/29/03 GEXA CORP TX X X 10/29/03 GLIMCHER REALTY TRUST MD X X 10/25/03 GODDARD INDUSTRIES INC MA X 10/27/03 GRAND PRIX SPORTS INC WA X 10/27/03 GREATER BAY BANCORP CA X X X 10/29/03 GREENWICH CAPITAL ACCEPT INC HARBORVI DE X X 10/25/03 GREENWICH CAPITAL ACCEPTANCE INC DE X 10/29/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X 10/27/03 GS MORTGAGE SECURITIES CORP MORT PASS DE X 10/27/03 GSAMP TRUST 2003-HE1 DE X 10/27/03 GSI COMMERCE INC DE X X 10/29/03 GTSI CORP DE X 10/28/03 GULFMARK OFFSHORE INC DE X 10/29/03 HABERSHAM BANCORP GA X X 10/28/03 HALL KINION & ASSOCIATES INC DE X X 10/29/03 HALLIBURTON CO DE X 10/27/03 HANMI FINANCIAL CORP DE X 10/28/03 HARBORVIEW MORTGAGE LOAN TRUST 2003 1 DE X X 10/19/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 10/24/03 HARVARD BIOSCIENCE INC DE X X 10/28/03 HAWAIIAN HOLDINGS INC DE X X 10/20/03 HAWK CORP DE X 10/29/03 HEALTHEXTRAS INC DE X X 10/28/03 HEALTHSTREAM INC TN X 10/28/03 HEARST ARGYLE TELEVISION INC DE X X X 10/29/03 HMN FINANCIAL INC DE X 10/23/03 HOME PROPERTIES INC MD X 10/29/03 HOUSTON EXPLORATION CO DE X X 10/15/03 HUDSON VALLEY HOLDING CORP NY X X 10/28/03 HYDRIL CO DE X X 10/28/03 I MANY INC DE X 10/28/03 IEC ELECTRONICS CORP DE X X 10/28/03 ILX RESORTS INC AZ X X 10/28/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE CA X 10/27/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/27/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/27/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/27/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/27/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/27/03 IMH ASSETS CORP IPAC CMB TRUST SERIES DE X 10/27/03 IMPAC CMB TRUST COLLATERLIZED AB BOND DE X 10/27/03 IMPAC CMB TRUST SERIES 2003-8 DE X 10/27/03 IMPAC SECURED ASSETS CORP MOR PASS TH CA X 10/27/03 IMPAC SECURED ASSETS CORP MORT PASS T CA X 10/27/03 IMPAC SECURED ASSETS CORP MORTGAGE PA CA X 10/27/03 INAMED CORP DE X X 10/29/03 INDUS INTERNATIONAL INC DE X 10/29/03 INDUSTRIAL MINERALS INC DE X 10/28/03 INDYMAC MBS INC ASSET SECUR TRUST 200 X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/27/03 INSIGHT COMMUNICATIONS CO INC DE X 10/29/03 INSILCO HOLDING CO DE X X 10/29/03 INTERDIGITAL COMMUNICATIONS CORP PA X X 02/21/03 AMEND INTERNET ARCHITECTURE HOLDRSSM TRUST NY X 10/29/03 INTERNET HOLDRS TRUST NY X X 10/29/03 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY X 10/29/03 INTERSTATE HOTELS & RESORTS INC DE X 10/29/03 INTERWAVE COMMUNICATIONS INTERNATIONA X 10/29/03 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 10/29/03 INTRUSION INC DE X X 10/29/03 INVERESK RESEARCH GROUP INC DE X X 10/28/03 IRON MOUNTAIN INC/PA PA X 10/29/03 IRVINE PACIFIC CORP CO X X 10/27/03 IT GROUP INC DE X X 10/29/03 ITLA CAPITAL CORP CA X 10/29/03 JACOBSON STORES INC MI X X 10/22/03 JAFRA WORLDWIDE HOLDINGS LUX SARL N4 X X X 10/28/03 JANUS CAPITAL GROUP INC DE X X 10/29/03 JUNIATA VALLEY FINANCIAL CORP PA X 09/30/03 K2 INC DE X X 10/16/03 KCS ENERGY INC DE X 10/01/03 KENNAMETAL INC PA X 10/29/03 KERR MCGEE CORP /DE DE X X 10/29/03 KERR MCGEE CORP /DE DE X 10/29/03 KERR MCGEE CORP /DE DE X X 10/29/03 KERR MCGEE CORP /DE DE X X 10/29/03 KEY ENERGY SERVICES INC MD X 10/29/03 KFORCE INC FL X X 10/29/03 KINDRED HEALTHCARE INC DE X X 10/28/03 KYPHON INC DE X X 10/29/03 LAKELAND BANCORP INC NJ X X 10/24/03 LANNETT CO INC DE X X 10/29/03 LEATHER FACTORY INC DE X X 10/27/03 LEHMAN ABS CORP BOEING SECURITIES BAC DE X 10/28/03 LEHMAN ABS CORP SEARS ROEBUCK ACCEP N DE X 10/20/03 LEHMAN ABS CORP SEARS ROEBUCK ACCEP N DE X 10/20/03 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE X 10/29/03 LEOPARD CAPITAL INC NV X 10/29/03 LINCOLN NATIONAL CORP IN X 09/30/03 LION INC/WA WA X X X 09/30/03 LITHIA MOTORS INC OR X X 09/30/03 LIVEPERSON INC DE X X 10/28/03 LONG BEACH LOAN 2003-2 DE X 10/27/03 LONG BEACH SECURITIES CORP ASSET BACK DE X 10/27/03 LONG BEACH SECURITIES CORP ASSET BACK DE X 10/27/03 LONG BEACH SECURITIES CORP CERTS SERI DE X 10/27/03 LUMENIS LTD X X 10/29/03 MACE SECURITY INTERNATIONAL INC DE X X 10/15/03 MAGNETEK INC DE X X 10/29/03 MANTECH INTERNATIONAL CORP DE X X 09/30/03 MARCONI CORP PLC X0 X 10/29/03 MARINE PRODUCTS CORP DE X X 10/29/03 MARINE PRODUCTS CORP DE X X 10/29/03 MARKEL CORP VA X X 10/28/03 MARKET 2000 PLUS HOLDRS SM TRUST NY X X 10/29/03 MARKWEST ENERGY PARTNERS L P DE X X 10/23/03 MARKWEST HYDROCARBON INC DE X X 10/23/03 MARSH & MCLENNAN COMPANIES INC DE X X 10/28/03 MAVERICK TUBE CORPORATION DE X 10/29/03 MEDAMICUS INC MN X X 10/22/03 MEDAREX INC NJ X 10/28/03 MEIER WORLDWIDE INTERMEDIA INC NV X X 06/26/03 AMEND MENTOR GRAPHICS CORP OR X X 10/22/03 AMEND MEREDITH CORP IA X 10/29/03 MEREDITH CORP IA X 10/29/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 10/27/03 METROCORP BANCSHARES INC X X 10/28/03 MFA MORTGAGE INVESTMENTS MD X X X 09/29/03 MICROMUSE INC DE X X 10/29/03 MIDWEST GENERATION LLC CA X 10/28/03 MIM CORP DE X X 09/30/03 MINDSPEED TECHNOLOGIES INC DE X X 10/29/03 MINN DAK FARMERS COOPERATIVE ND X 10/28/03 MISSION ENERGY HOLDING CO DE X 10/28/03 MITY ENTERPRISES INC UT X 10/29/03 MOBILE MINI INC DE X X 10/29/03 MONSTER WORLDWIDE INC DE X X 10/28/03 MOODYS CORP /DE/ DE X X 10/28/03 MORGAN STANLEY ABS CAPITAL I - MOR PA DE X 10/27/03 MORGAN STANLEY ABS CAPITAL I INC CDC DE X 10/27/03 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X 10/27/03 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X 10/27/03 MORGAN STANLEY ABS CAPITAL I MORT PS- DE X 10/27/03 MORGAN STANLEY ABS CAPITAL I TRUST 20 DE X 10/27/03 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 10/25/03 MORGAN STANLEY DEAN WITTER CAP I MRT DE X 10/27/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 10/27/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 10/27/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 10/27/03 MORGAN STANLEY MORTGAGE PASS THR CERT DE X 10/27/03 MORT ASSET SEC TRANSACTIONS INC MASTR DE X X 10/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/27/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 10/29/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X 10/27/03 MSC SOFTWARE CORP DE X 10/22/03 AMEND MTC TECHNOLOGIES INC DE X X 10/24/03 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X 10/01/03 MURPHY OIL CORP /DE DE X X 10/28/03 NABORS INDUSTRIES LTD D0 X X 10/29/03 NABORS INDUSTRIES LTD D0 X X 10/29/03 NASB FINANCIAL INC MO X 10/28/03 NATIONAL RV HOLDINGS INC DE X 10/29/03 NELNET STUDENT LOAN FUNDING LLC X X 10/27/03 NELSON THOMAS INC TN X X 10/28/03 NETSCREEN TECHNOLOGIES INC DE X 10/29/03 NEW CENTURY HOME EQUITY LOAN TRUST SE DE X 10/27/03 NEW CENTURY HOME EQUITY LOAN TRUST SE DE X 10/27/03 NEW CENTURY MORT SEC INC HOME EQUITY DE X 10/27/03 NEW CENTURY MORTGAGE SEC HOME EQUITY DE X 10/27/03 NEW JERSEY RESOURCES CORP NJ X X 10/28/03 NEW YORK COMMUNITY BANCORP INC DE X X 10/28/03 NEW YORK COMMUNITY BANCORP INC DE X X 10/29/03 NEWHALL LAND & FARMING CO /CA/ CA X X 10/27/03 NEWMONT MINING CORP /DE/ DE X 10/29/03 NEWPORT CORP NV X 10/29/03 NII HOLDINGS INC DE X 10/29/03 NISSAN AUTO LEASE TRUST 2003-A DE X X 10/29/03 NOMURA ASSET ACCEPT CORP ALTERNATIVE DE X X 10/27/03 NOMURA ASSET ACCEPTANCE CORP ALT LOAN DE X X 10/27/03 NORFOLK SOUTHERN CORP VA X 10/29/03 NORTH AMERICAN VAN LINES INC /DE DE X X X 10/29/03 NORTHROP GRUMMAN CORP /DE/ DE X X 10/29/03 NOVA COMMUNICATIONS LTD NV X 10/29/03 NOVASTAR MORTGAGE FUNDING CORP HOME E NY X X 10/27/03 NOVASTAR MORTGAGE FUNDING CORP HOME E DE X X 10/27/03 NUTEK INC NV X 09/30/03 NYFIX INC NY X X 10/29/03 O CHARLEYS INC TN X 10/29/03 OBAN MINING INC NV X X 10/28/03 OCULAR SCIENCES INC /DE/ DE X X 10/29/03 OFFICE DEPOT INC DE X 10/29/03 OIL SERVICE HOLDRS TRUST NY X 10/29/03 OLD REPUBLIC INTERNATIONAL CORP DE X 10/28/03 ONEOK INC /NEW/ OK X X 10/28/03 OPENTV CORP X X 10/29/03 OPINION RESEARCH CORP DE X X 10/29/03 ORIENTAL FINANCIAL GROUP INC PR X X 10/27/03 OUTBACK STEAKHOUSE INC DE X X 10/23/03 PACER INTERNATIONAL INC TN X X 10/29/03 PACER TECHNOLOGY CA X X 07/29/03 AMEND PALMSOURCE INC DE X X 10/29/03 PARALLEL PETROLEUM CORP /DE/ DE X X 10/29/03 PATRIOT NATIONAL BANCORP INC CT X X 10/28/03 PATTERSON UTI ENERGY INC DE X X 10/29/03 PAXAR CORP NY X X 10/29/03 PEETS COFFEE & TEA INC WA X 10/29/03 PELICAN FINANCIAL INC DE X 10/29/03 PENN NATIONAL GAMING INC PA X X 10/23/03 PENNFED FINANCIAL SERVICES INC DE X X X 10/29/03 PEROT SYSTEMS CORP DE X X 10/27/03 PHARMACEUTICAL HOLDRS TRUST X X 10/29/03 PHELPS DODGE CORP NY X 10/29/03 PHOTOMEDEX INC DE X 10/28/03 PHOTON DYNAMICS INC CA X X 10/29/03 PIXELWORKS INC OR X 10/24/03 PLAINS ALL AMERICAN PIPELINE LP DE X X X 10/28/03 AMEND PLC SYSTEMS INC X 10/29/03 PRAXAIR INC DE X 10/29/03 PRAXAIR INC DE X 10/29/03 PREFORMED LINE PRODUCTS CO OH X 10/29/03 PROCYTE CORP /WA/ WA X X 10/29/03 PROVIDIAN FINANCIAL CORP DE X X 10/29/03 PSS WORLD MEDICAL INC FL X 10/03/03 PTEK HOLDINGS INC GA X 10/29/03 QRS CORP DE X X 10/29/03 QUESTAR CORP UT X X 10/29/03 QUIPP INC FL X 10/27/03 QUIXOTE CORP DE X X X 10/28/03 QUOTESMITH COM INC DE X 10/28/03 R H DONNELLEY CORP DE X 10/28/03 RAINBOW RENTALS INC OH X X 10/29/03 RALCORP HOLDINGS INC /MO MO X X 10/29/03 REALNETWORKS INC WA X X 10/28/03 REGIONAL BANK HOLDERS SM TRUST NY X 10/29/03 RENAL CARE GROUP INC DE X 10/28/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 10/29/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 10/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/27/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 10/27/03 RESIDENTIAL ASSET SECURITIZATION TRUS X 10/27/03 RESIDENTIAL ASSET SECURITIZATION TRUS X 10/27/03 RESIDENTIAL ASSET SECURITIZATION TRUS X 10/27/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/27/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/27/03 RETAIL HOLDRS TRUST NY X 10/29/03 REUNION INDUSTRIES INC DE X X 10/29/03 RIDGESTONE FINANCIAL SERVICES INC WI X X 10/28/03 ROCKY SHOES & BOOTS INC OH X X 10/29/03 ROHM & HAAS CO DE X X 10/29/03 ROLLINS INC DE X 10/29/03 ROLLINS INC DE X 10/29/03 ROTO-ROOTER INC DE X X 10/14/03 RPC INC DE X X 10/29/03 RPC INC DE X X 10/29/03 SAFEGUARD SCIENTIFICS INC PA X 10/29/03 SAFEWAY INC DE X X 10/29/03 SALOMON BROTHERS MORTGAGE SECURITIES DE X 10/29/03 SALOMON BROTHERS MORTGAGE SECURITIES DE X X 10/29/03 SANDALWOOD LODGING INVESTMENT CORP MD X X 10/23/03 SAUER DANFOSS INC DE X X 10/29/03 SAXON ASSET SEC CO MORT LOAN ASSET BA VA X 10/27/03 SAXON ASSET SECURITIES CO MORT LOAN A VA X 10/27/03 SAXON ASSET SECURITIES TRUST 2003-2 VA X 10/27/03 SCM MICROSYSTEMS INC DE X X 10/29/03 SECURITY CAPITAL CORP/DE/ DE X 10/29/03 SEMICONDUCTOR HOLDRS TRUST NY X 10/29/03 SFBC INTERNATIONAL INC DE X 10/24/03 SHAW GROUP INC LA X X 10/29/03 SHERWIN WILLIAMS CO OH X 10/28/03 AMEND SIGMATEL INC DE X X 10/29/03 SILICONIX INC DE X X 10/29/03 SIRIUS SATELLITE RADIO INC DE X X 10/29/03 SKYWEST INC UT X X 10/29/03 SMITHWAY MOTOR XPRESS CORP NV X X 10/24/03 SMTEK INTERNATIONAL INC DE X X 10/29/03 SMURFIT STONE CONTAINER CORP DE X X 10/29/03 SOFTWARE HOLDRS TRUST NY X 10/29/03 SOLA INTERNATIONAL INC DE X 10/29/03 SOUTHERN UNION CO DE X X 09/30/03 SOUTHWEST GAS CORP CA X 10/29/03 SPORTSMANS GUIDE INC MN X X 10/28/03 STEELCLOUD INC VA X 10/29/03 STRATASYS INC DE X X 10/29/03 STRUCTURED ASSET MORT INV INC MORT P DE X X 10/19/03 STRUCTURED ASSET MORT INV INC MORT PA DE X X 10/19/03 STRUCTURED ASSET MORT INV INC MORT PS DE X X 10/21/03 STRUCTURED ASSET MORTGAGE INVEST MORT X X 10/19/03 STRUCTURED ASSET MORTGAGE INVEST TRUS NY X X 10/19/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 10/28/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 10/19/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 10/01/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 10/01/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 10/01/03 STRUCTURED ASSET SEC CORP MORT PS THR DE X 10/01/03 STRUCTURED ASSET SECURITIES CORP DE X 10/24/03 STRUCTURED ASSET SECURITIES CORP DE X X 10/28/03 STRUCTURED ASSET SECURITIES CORP DE X 10/29/03 SUB SURFACE WASTE MANAGEMENT OF DELAW DE X 12/10/02 AMEND SUMMUS INC USA FL X X 10/28/03 SUN COMMUNITIES INC MD X X 10/29/03 SURMODICS INC MN X 10/29/03 TECHE BANCSHARES INC LA X X 10/27/03 AMEND TECHE BANCSHARES INC LA X X 10/27/03 AMEND TELECOM HOLDRS TRUST NY X 10/29/03 THOMAS GROUP INC DE X 10/29/03 TNP ENTERPRISES INC TX X X 10/28/03 TOLL BROTHERS INC DE X X 10/28/03 TRANS WORLD ENTERTAINMENT CORP NY X X 10/27/03 TRANSKARYOTIC THERAPIES INC DE X 10/29/03 TRIAD GUARANTY INC DE X 10/28/03 TUT SYSTEMS INC DE X 10/29/03 ULTRA PETROLEUM CORP X 10/28/03 UNITED RENTALS INC /DE DE X X 10/29/03 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE X 10/29/03 UNIVERSAL CORP /VA/ VA X X 10/28/03 UTILITIES HOLDERS SM TRUST NY X 10/29/03 VALLEY NATIONAL GASES INC WV X X 10/28/03 VALSPAR CORP DE X X 10/29/03 VERITY INC \DE\ DE X X 10/22/03 VIASYS HEALTHCARE INC DE X X 10/29/03 VITAL LIVING INC AZ X X 10/14/03 VITRIA TECHNOLOGY INC DE X 10/29/03 VOICE MOBILITY INTERNATIONAL INC NV X 10/24/03 VOLKSWAGEN PUBLIC AUTO LOAN SECURITIZ X X 10/29/03 WASHINGTON BANKING CO WA X 09/30/03 WASTE INDUSTRIES USA INC NC X X 10/29/03 WAYNE SAVINGS BANCSHARES INC /DE/ DE X X 10/28/03 WCI COMMUNITIES INC X 10/28/03 WCI COMMUNITIES INC X 10/28/03 WEINGARTEN REALTY INVESTORS /TX/ TX X X 09/30/03 WELLS FARGO ASSET SECURITIES CORP DE X X 10/28/03 WEST POINTE BANCORP INC IL X X 10/29/03 WESTWOOD ONE INC /DE/ DE X 09/30/03 WILD OATS MARKETS INC DE X 10/29/03 WIRELESS HOLDRS TRUST NY X X 10/29/03 WOODWORKERS WAREHOUSE INC DE X X 10/27/03 XSUNX INC CO X X X X X 10/15/03 AMEND ZIFF DAVIS HOLDINGS INC DE X X 10/29/03 ZOOM TECHNOLOGIES INC DE X 09/30/03 ADAM INC GA X X X 10/29/03 BOEING CAPITAL CORP DE X X X 10/29/03 TANGRAM ENTERPRISE SOLUTIONS INC PA X X 10/29/03