SEC NEWS DIGEST Issue 2003-212 November 6, 2003 COMMISSION ANNOUNCEMENTS PETER BRESNAN NAMED ACTING DISTRICT ADMINISTRATOR OF SEC'S BOSTON DISTRICT OFFICE On November 5, the Commission named Peter H. Bresnan as the Acting District Administrator of its Boston District Office. Mr. Bresnan currently serves as the Deputy Chief Litigation Counsel in the Division of Enforcement at SEC Headquarters in Washington, where he shares responsibility for managing the Commission's nationwide litigation program. He will continue in that position and will split his time between Washington and Boston until a permanent District Administrator is appointed. Mr. Bresnan, who joined the Commission in April 1995 as Assistant Chief Litigation Counsel, has prosecuted a number of ground-breaking cases for the Commission, including its first litigated yield-burning case. He also spearheaded the Commission's first fraud case against an offshore hedge fund, Manhattan Investment Fund Ltd., and its manager Michael Berger, involving an alleged $393 million in investor losses. More recently, Mr. Bresnan was the Commission's lead trial counsel in the WorldCom case in which the Commission obtained the largest civil penalty ever levied for a violation of the federal securities laws. Prior to joining the Commission, Mr. Bresnan was a litigator at the law firm of Davis Polk & Wardwell in New York. Mr. Bresnan, 48, earned his undergraduate degree in history from Kenyon College and his law degree from Fordham University Law School. Stephen M. Cutler, the SEC's Director of Enforcement said, "I am very grateful that Peter has agreed to serve as Acting District Administrator in our Boston Office. He is a brilliant trial lawyer who has achieved superb results in several precedent-setting Commission cases. Together with a fine staff in the Boston Office, Peter will help to maintain the Office's effective presence in both the SEC's enforcement and examination programs in the New England area. I look forward to working with him in his new role during this interim period." Mr. Bresnan said, "In the short time I've been in the SEC's Boston Office, one thing has become immediately clear: that the staff of the office is an extremely talented and dedicated group. They have brought and will continue to bring many significant and well-developed cases, and I look forward to helping them to continue to build upon the office's tradition of excellence." (Press Rel. 2003-152) ENFORCEMENT PROCEEDINGS SEC FINDS KIRKPATRICK, PETTIS, SMITH & POLIAN INC., PETER LAHTI, AND GREGORY ADAMS FAILED TO SUPERVISE On November 5, the Commission entered an Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions Pursuant To Section 15(b) Of The Securities Exchange Act Of 1934 (Order) against Kirkpatrick, Pettis, Smith & Polian Inc. (Kirkpatrick), Peter N. Lahti (Lahti), Kirkpatrick's former Chairman, President and CEO, and Gregory D. Adams (Adams), Kirkpatrick's former branch manager of two Colorado equity retail branch offices, for failure to reasonably supervise a Registered Representative in connection with the Registered Representative's actions to manipulate share prices. While neither admitting nor denying the Order's findings, Kirkpatrick, Lahti, 59, of Omaha, Nebraska, and Adams, 49, of Gulf Breeze, Florida, consented to the entry of the Order. The Commission's Order found that from November 1999 through May 2000 a Registered Representative of Kirkpatrick's Englewood, Colorado equity retail branch office, in concert with others, engaged in a market manipulation scheme to artificially affect the price of Creative Host stock. During the scheme, the Registered Representative caused Creative Host's stock price to rise 3,618% from $0.78 to $29 per share. During the scheme, the Registered Representative received ill-gotten commissions and ill-gotten trading profits totaling $1,497,343. Kirkpatrick, Lahti, and Adams failed reasonably to supervise the Registered Representative with a view to detecting and/or preventing this manipulative scheme. The Commission's Order further found that Kirkpatrick and Lahti failed to develop an adequate system to implement Kirkpatrick's procedures to prevent and detect securities law violations. Additionally, Lahti and Adams disregarded red flags indicating suspicious conduct related to the manipulation of Creative Host's share price. Adams also failed to follow Kirkpatrick's policies and procedures regarding heightened supervision and review of correspondence. As part of their offers to settle the Commission's administrative proceeding, Kirkpatrick agreed to a censure, Lahti agreed to be suspended from acting in a supervisory capacity at a broker or dealer for 12 months, and Adams agreed to be suspended from association with any broker or dealer for six months and barred from acting in a supervisory capacity at a broker or dealer. In addition the Order imposes a $100,000 penalty against Kirkpatrick, a $40,000 penalty against Lahti, and a $20,000 penalty against Adams. (Rel. 34-48748; File No. 3-11328) CIVIL ACTION AGAINST DIAGNOSTIC PROFESSIONAL IMAGING SERVICES, INC., ET AL. On Oct. 29, 2003, the Honorable Naomi Reice Buchwald, U.S. District Court Judge for the Southern District of New York, entered Final Consent Judgments against defendants Marat "Mark" Zayats (Zayats) and Gregory Levin (Levin), thereby concluding this action. The judgments permanently enjoin Zayats and Levin 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. Zayats and Levin were also enjoined from acting as officers or directors of any public company, and from participating in an offering of penny stock. The Commission's complaint, filed on June 14, 2000, alleged that Zayats and Levin conducted a fraudulent offering of securities issued by defendants Diagnostic Professional Imaging Services, Inc. (Diagnostic), a magnetic resonance imaging company located in Brooklyn, New York, and Nationwide Medical Supplies, Inc. (Nationwide), a supplier of medical products located in Brooklyn, New York. The complaint alleges that Zayats and Levin, directly and indirectly, made material misrepresentations to investors concerning Diagnostic's and Nationwide's business prospects, plans for an initial public offering, and anticipated use of offering proceeds. In a parallel criminal case brought by the U.S. Attorney's Office for the Southern District of New York, Zayats and Levin were both sentenced to three years probation and were both ordered to pay restitution of $2,072,000, of which $760,000 is related to the fraudulent schemes alleged in the Commission's complaint. With the entry of the judgments against Zayats and Levin, the Commission has now obtained injunctive and other relief against all of the defendants named in the Commission's complaint through settlement or default. There are no other claims pending in this action. [SEC v. Diagnostic Professional Imaging Services, Inc., et al., 00 Civ. 4386 (NRB) SDNY] (LR-18445) LARRY OSAKI, OPERATOR OF $230 MILLION WALLENBROCK PONZI SCHEME, IS INDICTED The Commission announced today that on Oct. 22, 2003, Larry T. Osaki (Osaki) of Upland, California, and others, were indicted by a grand jury in the Central District of California for continuing to operate a Ponzi scheme after Osaki was already subject to a preliminary injunction in the SEC's action. The indictment charged Osaki with fourteen counts of securities fraud, twelve counts of mail fraud, nine counts of wire fraud, one count of obstruction of justice before the District Court issued a Temporary Restraining Order (TRO) in the SEC action, two counts of obstruction of justice after the TRO, seven counts of money laundering and one count of criminal contempt. The indictment charges that from at least 1997 until it was shutdown in early 2002, Osaki ran J.T. Wallenbrock & Associates (Wallenbrock), located in Pasadena, California, which purportedly offered investments in accounts receivable financing, also called factoring. Wallenbrock told investors that the company purchased the accounts receivable of latex glove manufacturing companies based in Asia and that investments would yield returns of 20 percent every 90 days. The indictment alleges that Wallenbrock did not purchase any accounts receivable and did not operate a factoring business. Instead, Osaki, and others, diverted and lost more than $100 million of investor money to improperly pay salaries to themselves, to fund high-risk start-up ventures and other businesses through Wallenbrock's sister company, Citadel Capital Management Group, Inc., and to make purported interest payments to investors. The indictment further alleges that Wallenbrock used investor funds to pay a portion of Osaki's restitution owed as a result of a prior felony grand theft conviction. The indictment further alleges that, after the Central District of California entered a preliminary injunction in SEC v. J.T. Wallenbrock, et. al., Osaki, and others, relocated the Wallenbrock Ponzi scheme offshore and continued to run the same investment scam through a new company, Village Capital Trust, operated primarily out of Edmonton, Canada and Belize. The indictment further alleges that Osaki obstructed the SEC's investigation and subsequent court action. On Jan. 28, 2002, the Commission filed a civil complaint against Osaki and others in connection with the conduct described above. The complaint charged Osaki with violations of the antifraud, broker-dealer registration and securities registration provisions of the federal securities laws. Osaki was preliminarily and permanently enjoined, by consent, from further violations of these provisions. The Court will later determine a pending motion for disgorgement and civil penalties against Osaki and others. For further information, see Lit. Rel. Nos. 17343, 17381 and 18011. [SEC v. J.T. Wallenbrock & Associates, Larry Toshio Osaki, Van Y. Ichinotsubo and Citadel Capital Management Group, Inc., Civil Action No. 02-00808 ER CDCA] (LR-18446) SEC CHARGES REGISTERED REPRESENTATIVE WITH MARKET MANIPULATION OF CREATIVE HOST STOCK AND KIRKPATRICK, PETTIS, SMITH, POLIAN INC. AND KIRKPATRICK'S FORMER CHAIRMAN AND BRANCH MANAGER WITH FAILURE TO SUPERVISE On November 5, the Commission filed a complaint in the U.S. District Court for the Southern District of California against Steven E. Muth alleging that Muth perpetrated a fraudulent scheme to artificially inflate the stock price of San Diego-based airport concessionaire Creative Host Services, Inc. from $0.78 to $29.00, an increase of 3,618%. Muth, 43, of Houston, Texas, was employed as a registered representative of broker-dealer Kirkpatrick, Pettis, Smith, Polian Inc., headquartered in Omaha, Nebraska. The complaint alleges that Muth fraudulently manipulated Creative Host's stock price during the period November 1999 to June 2000 by restricting supply and artificially creating demand for the stock through a variety of techniques and devices. These included: 1) causing Kirkpatrick's clients to buy and control 90% of Creative Host's shares; 2) engaging in high-pressure sales tactics; 3) using Kirkpatrick's affiliation with Mutual of Omaha Insurance Company to gain client trust; 4) refusing to execute clients' orders to sell Creative Host shares; 5) encouraging customers to obtain credit on their Creative Host shares in order to release funds with which to buy additional shares without explaining the risks of that credit; 6) hiring promoters to tout the shares on the Internet; 7) delaying submission of client orders toward the end of the trading day to increase demand at the end of the day; 8) helping Kirkpatrick to lead the bid prices placed for Creative Host shares, and 9) orchestrating prearranged trades. As a result of these actions, Muth allegedly received $950,562 in ill-gotten commissions and $546,781 in ill-gotten trading profits, $463,030 of which was received through Door Chair, Ltd., an entity Muth controls. The Commission charged Muth with securities fraud, specifically 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. Separately, on November 5, the Commission entered an Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions Pursuant To Section 15(b) Of The Securities Exchange Act Of 1934 (Order) against Kirkpatrick; Peter N. Lahti, Kirkpatrick's former Chairman, President and CEO; and Gregory D. Adams, Kirkpatrick's former branch manager of two Colorado branch offices, for failure to supervise. While neither admitting or denying the Order's findings, Kirkpatrick, Lahti, 59, of Omaha, Nebraska, and Adams, 49, of Gulf Breeze, Florida, consented to the entry of the Order. The Commission's Order found that Lahti failed to develop an adequate system to implement Kirkpatrick's procedures to prevent and detect securities law violations. Additionally, Lahti and Adams disregarded red flags indicating suspicious conduct related to the manipulation of Creative Host's share price. Adams also failed to follow Kirkpatrick's policies and procedures regarding heightened supervision and review of correspondence. As part of their offers to settle the Commission's administrative proceeding, Kirkpatrick agreed to a censure; Lahti agreed to be suspended from acting in a supervisory capacity at a broker-dealer for 12 months; and Adams agreed to be suspended from association with any broker-dealer for six months and barred from acting in a supervisory capacity at a broker-dealer. In addition the Order imposes a $100,000 penalty against Kirkpatrick, a $40,000 penalty against Lahti, and a $20,000 penalty against Adams. [SEC v. Steven E. Muth and Door Chair, Ltd., Civil Action No. 03 CV 2178 WQH (JFS) SDCA] (LR-18447) COURT FINDS THAT RICHARD KERN, DONALD KERN AND CHARLES WILKINS ENGAGED IN FRAUD AND DECEIT IN MARKET MANIPULATION Richard S. Kern, Donald R. Kern and Charles Wilkins Are Permanently Enjoined and Ordered to Pay $7.7 Million in Disgorgement and Interest and $1.1 Million in Civil Penalties On Sept. 11, 2003, the U.S. District Court for the Southern District of New York found that Richard S. Kern, of Weston, Florida, Donald R. Kern, of Fort Lauderdale, Florida, and Charles Wilkins, of Scottsdale, Arizona, had engaged in fraud and deceit by participating in a "market manipulation that resulted in millions of dollars in losses to unwitting investors, and could not have occurred but for defendants' active involvement and knowledge." In a Final Judgment entered on Oct. 2, 2003, the Court enjoined Richard Kern, Donald Kern, and Charles Wilkins, and three entities, EFI Corp., Barclay Bankcard, Inc., and Canyon Vista Corp., from violating Section 5(a) and (c) of the Securities Act of 1933. Defendants Richard Kern, Donald Kern, and Charles Wilkins previously had consented, without admitting or denying the Commission's allegations, to an injunction prohibiting them from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court ordered Richard Kern, Donald Kern, and Charles Wilkins to pay disgorgement of almost $6 million, plus prejudgment interest of about $1.7 million, jointly and severally with EFI Corp., Barclay Bankcard, Inc., and Canyon Vista Corp. The Court ordered relief defendants Hannah R Trust and Hannah G Irrevocable Trust to pay disgorgement of almost $1 million, plus prejudgment interest of approximately $280,000. The Court also ordered Richard and Donald Kern to pay a civil penalty of $400,000 each, and ordered Charles Wilkins to pay a $300,000 civil penalty. When determining whether to impose the penalties, the Court considered, among other things, "the individuals' lack of cooperation with the SEC with respect to the diminution of assets - the proceeds of illegal activities - that were frozen pursuant to an Order of this Court on July 6, 2000." The Commission's complaint, filed on Feb. 24, 2000, alleged that the Kerns and Wilkins aided and abetted co-defendant Peter C. Lybrand in a stock manipulation and that the Kerns and Wilkins made unregistered sales of the securities of three shell corporations: Polus, Inc., Citron, Inc., and Electronic Transfer Associates, Inc. (ETA). Lybrand, formerly known as Peter C. Tosto, was enjoined by the Court in this case in March 2002, and is serving an 87-month prison sentence for crimes he committed in connection with the manipulation, among other things. The complaint alleged that beginning in March 1998, Lybrand arranged to acquire Polus, Citron, and ETA from the Kerns and Wilkins, who controlled virtually all of the issued and outstanding shares of the shell corporations. Instead of collecting their sale price directly from Lybrand, the complaint alleged that the Kerns and Wilkins agreed to accumulate their sale price by selling a small percentage of their shares into the public market. Since there was not an active trading market for the securities, Lybrand created an artificial market by orchestrating a series of matched trades in which the Kerns and Wilkins sold their shares to other parties at prices fixed by Lybrand. The complaint further alleged that Lybrand also created interest in the stocks by issuing misleading press releases. Lybrand's manipulation of the securities market caused the stock prices of each corporation to increase dramatically. Finally, the complaint alleged that after the Kerns and Wilkins had accumulated their sale price, they transferred to Lybrand the balance of the shares that they owed him and then continued to sell their remaining shares into the market at artificially inflated prices, realizing total illegal profits of about $6 million before the Commission suspended trading in the securities on Jan. 29, 1999. The Commission acknowledges the assistance of NASD Regulation, Inc., in this matter. For further background information, please see Litigation Release No. 16448 (Feb. 24, 2000) and Litigation Release No. 16064 (Feb. 18, 1999). [SEC v. Peter C. Lybrand f/k/a Peter C. Tosto, Richard S. Kern, Donald R. Kern, Charles Wilkins, Admiral Investments Ltd., Compulink International Corp., Drawbridge Investments Ltd., Glittergrove Investments Ltd., Grafton Investments Ltd., Greenford Investments Ltd., McDonalds Ltd., Oasis Enterprises Ltd., Investor Relations, Inc., Tellerstock, Inc., Conversant Enterprises, Inc., EFI Corp. a/k/a Electronic Funds, Inc., Barclay Bankcard, Inc., Canyon Vista Corp., and Salteaux Ltd. a/k/a First American Security Corp. a/k/a First American Securities Corp., Defendants, and Hannah G Irrevocable Trust and Hannah R Trust, Relief Defendants, U.S. District Court for the Southern District of New York, 00 Civ. 1387 (SHS)] (LR-18448) HOLDING COMPANY ACT RELEASES E.ON AG AND LG&E ENERGY CORP. A notice has been issued giving interested persons until Dec. 1, 2003, to request a hearing on a proposal by E.ON AG (E.ON), a registered holding company, and LG&E Energy Corp. (LG&E Energy), an E.ON subsidiary and an exempt holding company, to extend the deadline for divestiture of the nonutility businesses of CRC-Evans International and its subsidiaries until Dec. 31, 2005. (Rel. 35-27747) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2003-32) filed by the Pacific Exchange relating to the proposed addition of certain rules to the Exchange's minor rule plan has been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of November 10. (Rel. 34-48746) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Chicago Board Options Exchange. (SR- CBOE-2003-52) to make changes to its Fee Schedule pertaining to certain application fees has become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of November 10. (Rel. 34-48750) 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 WESTCORP /CA/, 23 PASTEUR RD, IRVINE, CA, 92618-3804, 9497271000 - 0 ($233,194,700.00) Equity, (File 333-110244 - Nov. 5) (BR. 07) S-8 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404, 6503573500 - 0 ($24,332,454.00) Equity, (File 333-110245 - Nov. 5) (BR. 03) S-1 MPHASE TECHNOLOGIES INC, 587 CONNECTICUT AVE, PO BOX 566, NORWALK, CT, 06854, 2038312212 - 70,808,569 ($21,242.57) Equity, (File 333-110246 - Nov. 5) (BR. 37) S-8 INTERACTIVECORP, 152 WEST 57TH ST, 42ND FLOOR, NEW YORK, NY, 10019, 2123147300 - 0 ($21,608,163.42) Equity, (File 333-110247 - Nov. 5) (BR. 05) SB-2 MEADOWS SPRINGS INC, 1,350,000 ($13,500.00) Equity, (File 333-110249 - Nov. 5) (BR. 09) S-1 COMPASS MINERALS INTERNATIONAL INC, 8300 COLLEGE BOULEVARD, OVERLAND PARK, KS, 66210, 9133449200 - 0 ($172,500,000.00) Equity, (File 333-110250 - Nov. 5) (BR. 04) S-3 CANYON RESOURCES CORP, 14142 DENVER W PKWY STE 250, GOLDEN, CO, 80401, 3032788464 - 0 ($11,827,986.00) Equity, (File 333-110252 - Nov. 5) (BR. 04) S-8 KOALA INTERNATIONAL WIRELESS INC, 141-757 WEST HASTINGS, SUITE 676, VANCOUVER BC CANADA, TX, V6C1A1, 6046817806 - 8,000,000 ($960,000.00) Equity, (File 333-110254 - Nov. 5) (BR. 09) S-8 NETWORKS ASSOCIATES INC/, 3965 FREEDOM CIRCLE, SANTA CLARA, CA, 95054, 4089883832 - 0 ($7,155,000.00) Equity, (File 333-110257 - Nov. 5) (BR. 03) S-3 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 871,154 ($1,541,942.58) Equity, (File 333-110258 - Nov. 5) (BR. 36) S-3 VISHAY INTERTECHNOLOGY INC, 63 LINCOLN HWY, MALVERN, PA, 19355, 6106441300 - 0 ($500,000,000.00) Debt Convertible into Equity, (File 333-110259 - Nov. 5) (BR. 36) SB-2 PATRIOT SCIENTIFIC CORP, 10989 VIA FRONTERA, SAN DIEGO, CA, 92127, 8586745000 - 67,051,966 ($3,553,754.00) Equity, (File 333-110263 - Nov. 5) (BR. 37) S-8 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 5037267500 - 0 ($24,030,000.00) Equity, (File 333-110264 - Nov. 5) (BR. 36) S-8 FIRSTBANK CORP/ID, 920 MAIN ST, LEWISTON, ID, 83501, 2087469610 - 400,729 ($11,665,221.19) Equity, (File 333-110265 - Nov. 5) (BR. 07) S-4 EAGLE PICHER HOLDINGS INC, 11201 NORTH TATUM BLVD., SUITE 110, PHOENIX, AZ, 85028, (602)652-9600 - 250,000,000 ($250,000,000.00) Non-Convertible Debt, (File 333-110266 - Nov. 5) (BR. 05) SB-2 INTERCARD INC, 182,915,416 ($9,145,770.80) Equity, (File 333-110267 - Nov. 5) (BR. 09) S-8 LSB INDUSTRIES INC, 16 S PENNSYLVANIA, OKLAHOMA CITY, OK, 73101, 4052354546 - 804,000 ($1,415,207.50) Equity, (File 333-110268 - Nov. 5) (BR. 02) S-8 CENTEX CORP, 2728 N HARWOOD, -, DALLAS, TX, 75201, 214-981-5000 - 0 ($286,530,000.00) Equity, (File 333-110269 - Nov. 5) (BR. 06) S-8 EVERGREEN RESOURCES INC, 1401 17TH ST SUITE 1200, DENVER, CO, 80202, 3032988100 - 496,906 ($3,307,171.32) Equity, (File 333-110270 - Nov. 5) (BR. 04) S-8 MACROVISION CORP, 2830 DE LA CRUZ BLVD., SANTA CLARA, CA, 95050, 4087438600 - 5,775,000 ($122,994,000.00) Equity, (File 333-110271 - Nov. 5) (BR. 03) 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 ------------------------------------------------------------------------------------------------ ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 10/25/03 ABOVENET INC DE X X 11/05/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 10/25/03 ACLARA BIOSCIENCES INC DE X X 11/05/03 ACT TELECONFERENCING INC CO X X 10/28/03 AMEND ACTUANT CORP WI X X 11/04/03 ADEPT TECHNOLOGY INC CA X X 11/05/03 ADVANTAGE MARKETING SYSTEMS INC/OK OK X X 11/04/03 AERO SYSTEMS ENGINEERING INC MN X X 10/31/03 AEROPOSTALE INC X X 11/05/03 ALLIANCE IMAGING INC /DE/ DE X X 11/04/03 ALLIED DEFENSE GROUP INC DE X 11/05/03 AM COMMUNICATIONS INC DE X X 10/09/03 AMBIENT CORP /NY DE X 11/05/03 AMEDISYS INC DE X X 11/05/03 AMERICA WEST HOLDINGS CORP DE X X 11/04/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X 11/05/03 AMERICAN CAPITAL STRATEGIES LTD X X 11/04/03 AMERICAN COMMUNITY BANCSHARES INC NC X X 11/05/03 AMERICAN FINANCIAL REALTY TRUST X X X 11/05/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/05/03 AMERISOURCEBERGEN CORP DE X X 11/05/03 AMERIVEST PROPERTIES INC MD X X 11/05/03 AMERUS GROUP CO/IA IA X X X X 11/04/03 AMN HEALTHCARE SERVICES INC DE X 11/04/03 ANHEUSER BUSCH COMPANIES INC DE X X 11/05/03 ANSYS INC DE X X 11/05/03 ANWORTH MORTGAGE ASSET CORP MD X X 11/04/03 APOGEE ENTERPRISES INC MN X 11/04/03 ARADIGM CORP CA X 11/05/03 ARIZONA PUBLIC SERVICE CO AZ X 11/04/03 ARMOR HOLDINGS INC DE X X 11/04/03 ARVINMERITOR INC IN X X 11/05/03 ASA INTERNATIONAL LTD DE X 10/24/03 ASSET-BACKED CERTIFICATE SERIES 2003- DE X 10/25/03 ATRIUM COMPANIES INC DE X X 10/29/03 AUTO DATA NETWORK DE X X 11/04/03 AUTO DATA NETWORK DE X X 08/20/03 AMEND AUTOZONE INC NV X X 10/31/03 AXIS CAPITAL HOLDINGS LTD X X 11/05/03 BADGER PAPER MILLS INC WI X X 10/22/03 BALDWIN TECHNOLOGY CO INC DE X X 11/05/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 10/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 10/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 10/25/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X 10/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 10/25/03 BANC OF AMERICA MORTGAGE SEC INC MORT DE X X 10/25/03 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 10/25/03 BANK OF AMERICA 1999-10 NC X 10/25/03 BANK OF AMERICA 1999-11 NC X 10/25/03 BANK OF AMERICA 1999-3 NC X 10/25/03 BANK OF AMERICA 1999-4 DE X 10/25/03 BANK OF AMERICA 1999-5 NC X 10/25/03 BANK OF AMERICA CORP /DE/ DE X 11/05/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 10/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 10/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 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