SEC NEWS DIGEST Issue 2003-219 November 18, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - TUESDAY, NOVEMBER 25, 2003 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, November 25, will be: Formal orders of investigation; Institution and settlement of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS FINAL JUDGMENT ON CIVIL CONTEMPT ENTERED AGAINST PHILIP GRATZ The Commission announced that on Oct. 22, 2003, the U.S. District Court for the Southern District of Florida entered a Final Judgment on Civil Contempt (Final Judgment) as to Defendant Philip R. Gratz (Gratz). The Final Judgment, entered by Gratz's consent and without admitting or denying the allegations of the SEC's action, orders him to pay disgorgement in the amount of $7,236,417, plus prejudgment interest thereon in the amount $60,303.48. On March 20, 2003, the SEC filed an Emergency Application for an Order to Show Cause Why Defendant Gratz d/b/a Phoenix World Wide Enterprises, Inc. Should Not be Held in Civil Contempt for disobeying a prior final judgment of permanent injunction entered against him on April 30, 1992 in SEC v. Delta Rental Systems, et al., Case No. 91-2136-CIV-MARRA (Delta Final Judgment.) The Delta Final Judgment enjoined Gratz from future violations of, among other things, the anti-fraud provisions of the federal securities laws. [SEC v. Philip R. Gratz, Case No. 91-2136- CIV-MARRA, SD Fla.] (LR-18465) COURT ENTERS FINAL JUDGMENT AGAINST FRED ALBERT SCHLUEP On November 10, a final judgment was entered against Fred Albert Schluep, based upon Schluep's consent, in SEC v. Fred Albert Schluep (N.D. Cal.). The judgment, to which Schluep consented without admitting or denying the complaint, finds Schluep liable for disgorgement of $1,597,115, plus prejudgment interest of $236,993, and also orders Schluep to pay a $120,000 civil penalty. The complaint alleges that Schluep fraudulently misappropriated investment funds from 26 clients by forging their signatures, or lying to them, in violation of the antifraud provisions of the Investment Company Act of 1940 and the Securities Exchange Act of 1934. An order of permanent injunction, by consent, prohibiting Schluep from violating those provisions had previously been entered. The complaint had also alleged that Schluep funneled some of the funds he misappropriated to relief defendant Howard Sylvester. On November 10, at the request of the Commission, the Court entered an order dismissing relief defendant Howard Sylvester (who is in Chapter 7 bankruptcy). [SEC v. Fred Albert Schluep, Case No. C-02-4193- CRB, NDCA] (LR-18466) FORMER OFFICER OF INSO, CORP. INDICTED ON SECURITIES FRAUD AND PERJURY CHARGES The Commission announced today that on November 12 Graham J. Marshall, age 56, formerly of Lexington, Massachusetts, was indicted on criminal charges brought by the U.S. Attorney for the District of Massachusetts. Marshall, a former officer of Inso Corporation, Inc. (later known as eBT International, Inc.), a now defunct software company headquartered in Boston, Massachusetts, was charged with securities fraud, making false statements in filings with the Commission, wire fraud, conducting an international monetary transaction to promote fraud, and perjury in connection with a Commission investigation. If convicted, Marshall faces maximum penalties that range from 5 to 20 years in prison to be followed by 3 years of supervised release and fines of up to $1,000,000 on each count. The indictment alleges that at the end of September 1998, Marshall played a pivotal role in arranging for a Malaysian software distributor to provide Inso with a bogus $3 million purchase order in anticipation of an expected upcoming sale of software to U.S. Airways. This phony deal represented over 15% of Inso's reported third quarter revenues and enabled Inso to meet internal and public targets for revenue growth. The indictment further alleges that in the following months, when the hoped-for genuine sale to U.S. Airways failed to materialize, Marshall was involved in efforts to cover up the phony purchase order and to pay off the Malaysian distributor who had provided the purchase order. The indictment charges that at the end of December 1998 and the beginning of January 1999, Marshall procured a $160,000 payoff to the Malaysian distributor by providing Inso's chief financial officer with a forged letter agreement reflecting that the payment was part of a separate contract. Lastly, the indictment charges Marshall with perjury for providing false testimony to attorneys from the Commission's Division of Enforcement when he was questioned about the payoff. On June 21, 2002, the Commission filed related civil enforcement actions against Marshall and other senior executives of Inso, including Bruce Hill, then-general counsel, Steven Paxhia, then-chief executive officer, and Richard P. Vatcher, then-vice president. Without admitting or denying the allegations in the complaint, Paxhia consented to entry of a final judgment permanently enjoining him from future violations of the antifraud and certain reporting provisions of the Exchange Act. He also agreed to pay disgorgement of his losses avoided from the sale of Inso stock during the relevant time period of $101,000, including pre- judgment interest. Without admitting or denying the allegations in the complaint, Vatcher consented to entry of a final judgment permanently enjoining him from future violations of the antifraud provisions of the Securities Act and the Exchange Act and of certain reporting provisions of the Exchange Act. He also agreed to pay a $25,000 civil penalty. On Sept. 30, 2003, Vatcher pleaded guilty to five counts of securities fraud and causing false reports to be filed with the Commission in connection with criminal charges brought by the U.S. Attorney for the District of Massachusetts. Vatcher is scheduled to be sentenced on Jan. 12, 2004, and faces a maximum penalty of 10 years in prison, followed by a 3-year term of supervised release, and a $1,000,000 fine on each count. The Commission's action against Marshall and Hill remains pending. For more information see Litigation Release No. 18394 (Oct. 4, 2003) and Litigation Release No. 17578 (June 21, 2002). [SEC v. Bruce Hill, et al., USDC, District of Massachusetts, Civil Action No. 02- CV-11244 (EFH)] (LR-18467; AAE Rel. 1916) INTERSPEED'S FORMER CHIEF FINANCIAL OFFICER SENTENCED The Commission announced today that on Oct. 30, 2003, a Massachusetts federal judge sentenced William J. Burke, the former chief financial officer of Interspeed, Inc., to three years probation and a $10,000 fine in connection with criminal charges filed against him by the U.S. Attorney for the District of Massachusetts arising from a fraudulent reporting scheme. Burke previously pleaded guilty to one count of falsification of Interspeed's books and records. He admitted concealing information from the company's auditors and structuring a product payment in a way that falsely described the payment's origin. The Honorable George A. O'Toole, Jr., United States District Judge for the District of Massachusetts, ordered that Burke serve the first six months of his probation in community confinement. The Commission previously filed a related civil injunctive action against Burke and two other former officers of Interspeed, Inc., alleging that they caused Interspeed to engage in a nine million dollar fraud that inflated reported sales between 25% and 93% from January to September 2000. The Commission's litigation is ongoing. In that action, the Commission seeks, among other things, an order permanently barring Burke from acting as officer or director of any public company. For further information see Litigation Release Nos. 17758 and 18180. [U.S. v. William J. Burke, USDC, District of Massachusetts, C.A. No. 03 CR 10199-GAO] (LR-18468; AAE Rel. 1917) INVESTMENT COMPANY ACT RELEASES COUNTRY MUTUAL FUNDS TRUST, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act granting exemptive relief from Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder to COUNTRY Mutual Funds Trust (Trust) and COUNTRY Trust Bank (CTB) to the extent necessary to permit shares of the Trust and any other investment company or portfolio that is designed to fund insurance products and for which CTB or any of its affiliates may serve in the future as investment adviser, manager, principal underwriter, sponsor, or administrator (Future Trusts) (the Trust, together with Future Trusts, are the "Trusts") to be sold to and held by: (a) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (b) qualified pension and retirement plans outside of the separate account context; (c) separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act; (d) CTB or certain related corporations; and (e) any other person permitted to hold shares of the Trusts pursuant to Treasury Regulation 1.817-5, including the general account of any life insurance company whose separate account holds, or will hold, shares of the Trusts or certain related corporations. (Rel. IC-26256 - November 17) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Boston Stock Exchange filed a proposed rule change (SR-BSE-2003-17) establishing fees for the proposed Boston Options Exchange facility. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48787) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2003-10) under Section 19(b)(1) of the Exchange Act that would allow FICC to amend its cross-margining agreements with the Chicago Mercantile Exchange (CME), BrokerTec Clearing Company (BCC), and the Board of Trade Clearing Corporation (BOTCC) and to eliminate its cross- margining agreement with the New York Clearing Corporation (NYCC). Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48796) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-92) submitted by the American Stock Exchange relating to Trust Certificates Linked to a Basket of Investment Grade Fixed Income Securities. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48791) 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: . SB-2 MONACO GROUP INC, 326,500 ($326,500.00) Equity, (File 333-110533 - Nov. 17) (BR. 09) S-3 ADVANCED ENERGY INDUSTRIES INC, 1625 SHARP POINT DR, FT COLLINS, CO, 80525, 9702214670 - 0 ($250,000,000.00) Equity, (File 333-110534 - Nov. 17) (BR. 36) S-4 HOCKEY MERGER CORP, 31,983,000 ($173,030,000.00) Equity, (File 333-110535 - Nov. 17) (BR. 03) S-8 PARK OHIO HOLDINGS CORP, 23000 EUCLID AVE, CLEVELAND, OH, 44117, 2166927200 - 1,100,000 ($8,129,000.00) Equity, (File 333-110536 - Nov. 17) (BR. 06) S-8 CPAC INC, 2364 LEICESTER RD, LEICESTER, NY, 14481, 5853823223 - 39,000 ($227,430.00) Equity, (File 333-110537 - Nov. 17) (BR. 36) S-3 ANADIGICS INC, 35 TECHNOLOGY DR, WARREN, NJ, 07059, 9086685000 - 75,000,000 ($75,000,000.00) Equity, (File 333-110538 - Nov. 17) (BR. 36) S-8 AMERICANA PUBLISHING INC, 303 SAN MATEO NE, SUITE 104A, ALBUQUERQUE, NM, 87108, 5052656121 - 4,430,000 ($97,460.00) Asset-Backed Securities, (File 333-110539 - Nov. 17) (BR. 05) S-8 OPTICAL CONCEPTS OF AMERICA INC, 5605 N.W. 29TH ST., MARGATE, FL, 33063, 9549178700 - 2,996,835 ($2,097,784.50) Equity, (File 333-110540 - Nov. 17) (BR. 02) S-8 POLARIS INDUSTRIES INC/MN, 2100 HIGHWAY 55, MEDINA, MN, 55340, (763) 542-0500 - 0 ($8,404,000.00) Equity, (File 333-110541 - Nov. 17) (BR. 05) S-8 PANGEA PETROLEUM CORP, 5850 SAN FELIPE, SUITE 500, HOUSTON, TX, 77057, 7137066351 - 0 ($180,000.00) Equity, (File 333-110542 - Nov. 17) (BR. 04) S-3 EMPIRE RESORTS INC, RT 17B, P.O. BOX 5013, MONTICELLO, NY, 12701, (845) 794-4100 - 679,149 ($6,818,656.00) Equity, (File 333-110543 - Nov. 17) (BR. 05) S-8 ELMERS RESTAURANTS INC, 11802 SE STARK ST, P O BOX 16595, PORTLAND, OR, 97216, 5032521485 - 546,000 ($2,588,040.00) Equity, (File 333-110544 - Nov. 17) (BR. 05) S-3 EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 63136, 3145532000 - 0 ($2,500,000,000.00) Equity, (File 333-110546 - Nov. 17) (BR. 36) S-8 TVIA INC, 4001 BURTON DRIVE, SANTA CLARA, CA, 95054, 4089828588 - 0 ($1,533,332.00) Equity, (File 333-110547 - Nov. 17) (BR. 36) S-8 TVIA INC, 4001 BURTON DRIVE, SANTA CLARA, CA, 95054, 4089828588 - 0 ($3,190,000.00) Equity, (File 333-110549 - Nov. 17) (BR. 36) S-8 VERSATA INC, 300 LAKESIDE DRIVE STE 1500, OAKLAND, CA, 94612, 5102384105 - 0 ($862,064.84) Equity, (File 333-110551 - Nov. 17) (BR. 03) S-3 ACCESS NATIONAL CORP, 14006 LEE JACKSON MEMORIAL HWY, CHANTILY, VA, 20151, 7038712100 - 0 ($4,986,059.00) Equity, (File 333-110552 - Nov. 17) (BR. 07) S-3 CACHE INC, 1440 BROADWAY, 5TH FLOOR, NEW YORK, NY, 10018, 212-575-3248 - 0 ($58,834,000.00) Equity, (File 333-110553 - Nov. 17) (BR. 02) S-8 MEDICAL ACTION INDUSTRIES INC, 800 PRIME PL, HAUPPAUGE, NY, 11788, 5162314600 - 500,000 ($7,385,000.00) Equity, (File 333-110554 - Nov. 17) (BR. 36) S-1 SYMBION INC/TN, 40 BURTON HILLS BOULEVARD, SUITE 500, NASHVILLE, TN, 37215, 615-234-5900 - 0 ($115,000,000.00) Equity, (File 333-110555 - Nov. 17) (BR. 01) S-3 SCO GROUP INC, 8017654999 - 0 ($56,595,000.00) Equity, (File 333-110556 - Nov. 17) (BR. 03) S-8 SOUTHERN CO, 270 PEACHTREE ST, ATLANTA, GA, 30303, 4045065000 - 100,000,000 ($100,000,000.00) Equity, (File 333-110557 - Nov. 17) (BR. 02) S-8 SOUTHERN CO, 270 PEACHTREE ST, ATLANTA, GA, 30303, 4045065000 - 20,000,000 ($583,400,000.00) Equity, (File 333-110559 - Nov. 17) (BR. 02) S-3 DISCOVER CARD MASTER TRUST I, C/O DISCOVER BANK, 12 READS WAY, NEW CASTLE, DE, 19720, 3023237434 - 0 ($10,000,000.00) Other, (File 333-110560 - Nov. 17) (BR. 05) 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 ------------------------------------------------------------------------------------------------ ABFS MORTGAGE LOAN TRUST 2003 1 DE X X 11/17/03 ACCESS PHARMACEUTICALS INC DE X 11/17/03 ACCESS WORLDWIDE COMMUNICATIONS INC DE X 11/14/03 ACCREDITED HOME LENDERS INC DE X X 11/14/03 ADVOCAT INC DE X X 11/14/03 AEROFLEX INC DE X 09/03/03 AMEND AGILENT TECHNOLOGIES INC DE X 11/17/03 AGL RESOURCES INC GA X 11/17/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X X 11/14/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X X 11/14/03 ALPHASTAR INSURANCE GROUP LTD X X 09/16/03 AMEND ALTERNATIVE TECHNOLOGY RESOURCES INC DE X X 11/12/03 AMB PROPERTY CORP MD X X 11/14/03 AMB PROPERTY LP DE X X 11/14/03 AMERICAN DAIRY INC UT X 11/13/03 AMERICAN EXPRESS CO NY X 11/17/03 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE X X 11/17/03 AMERICAN EXPRESS MASTER TRUST DE X X 10/17/03 AMERICAN REAL ESTATE PARTNERS L P DE X X 11/14/03 AMERICAN RESTAURANT GROUP INC DE X X 11/14/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 11/17/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 11/17/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 11/17/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 11/17/03 AMERITRANS CAPITAL CORP DE X X 11/14/03 APOLLO GOLD CORP X X X 11/14/03 ARC WIRELESS SOLUTIONS INC UT X 11/12/03 ARGENT SECURITIES INC X X 11/07/03 ARLINGTON HOSPITALITY INC DE X X 11/17/03 ARVINMERITOR INC IN X X 11/17/03 ASTRALIS LTD CO X X 11/14/03 AVATECH SOLUTIONS INC DE X 11/14/03 AVOCENT CORP DE X X 11/17/03 BAM ENTERTAINMENT INC X X 11/14/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X 11/17/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/17/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/10/03 BEARD CO /OK OK X X X 11/14/03 BERKSHIRE INCOME REALTY INC X 11/14/03 BETA OIL & GAS INC NV X X 11/14/03 BORGWARNER INC DE X 11/17/03 BROOKE CORP KS X X 11/17/03 BURLINGTON RESOURCES INC DE X 11/17/03 CALPINE CORP DE X 11/17/03 CAP ROCK ENERGY CORP X X 11/14/03 CARMAX AUTO OWNER TRUST 2003-1 DE X X 11/07/03 CARMAX AUTO OWNER TRUST 2003-2 DE X X 11/17/03 CASCADE NATURAL GAS CORP WA X X 11/10/03 CC MASTER CREDIT CARD TRUST II MD X 11/17/03 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 10/31/03 CITIBANK SOUTH DAKOTA N A DE X 10/28/03 CITIBANK SOUTH DAKOTA N A DE X 10/28/03 CITYXPRESS COM CORP FL X X 11/17/03 CLEAR CHANNEL COMMUNICATIONS INC TX X X 11/14/03 CNB FINANCIAL CORP/PA PA X X 11/12/03 COAST CASINOS INC NV X 11/17/03 COAST HOTELS & CASINOS INC NV X 11/17/03 COLLEGE LOAN CORP CA X X 10/31/03 COMDIAL CORP DE X X 11/17/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 11/01/03 COMMODORE APPLIED TECHNOLOGIES INC DE X X 11/17/03 COMPUCREDIT CORP GA X X 11/17/03 CONSOLIDATED WATER CO LTD E6 X X 11/17/03 CONSTAR INTERNATIONAL INC DE X X 11/14/03 COVANSYS CORP MI X 11/17/03 COVER ALL TECHNOLOGIES INC DE X X 11/17/03 CREDIT ACCEPTANCE CORPORATION MI X X 11/14/03 CREDIT SUISSE FIRST BOSTON USA INC DE X 11/17/03 CROSS TIMBERS ROYALTY TRUST TX X 11/17/03 CROWN FINANCIAL GROUP INC NJ X X 11/14/03 CT COMMUNICATIONS INC /NC NC X X 11/17/03 CTI GROUP HOLDINGS INC DE X X 11/14/03 AMEND CWABS INC DE X X 10/30/03 DAVEL COMMUNICATIONS INC IL X X 11/14/03 DDI CORP CA X X 11/14/03 DEARBORN BANCORP INC /MI/ MI X 11/09/03 DEERE & CO DE X 11/17/03 DIGITAL ANGEL CORP DE X X 11/14/03 DIRECTV HOLDINGS LLC DE X X 11/13/03 DISCOVER CARD MASTER TRUST I DE X 11/17/03 DOLLAR GENERAL CORP TN X X 11/17/03 DUPONT E I DE NEMOURS & CO DE X 11/17/03 DYCOM INDUSTRIES INC FL X X 11/17/03 EAGLE STAR ENERGY GROUP INC NV X X X 11/17/03 EGAN SYSTEMS INC DE X X X 09/30/03 ELCOM INTERNATIONAL INC DE X X 11/13/03 ELECTRA CAPITAL INC /NV NV X 08/14/03 ENRON CORP/OR/ OR X X 11/13/03 EQUISTAR CHEMICALS LP X X X 11/17/03 ERESOURCE CAPITAL GROUP INC DE X X 11/07/03 EURONET WORLDWIDE INC DE X X 11/12/03 FARMERS NATIONAL BANC CORP /OH/ OH X X 11/17/03 FEDERAL MOGUL CORP MI X 11/15/03 FIND SVP INC NY X X 11/13/03 FINGERHUT RECEIVABLES INC DE X 11/17/03 FIRST FINANCIAL BANCORP /OH/ OH X X 09/02/03 FIRSTBANK NW CORP WA X X 10/31/03 FISHER COMMUNICATIONS INC WA X 11/14/03 FLAG TELECOM GROUP LTD X X 11/17/03 FLEET CREDIT CARD MASTER TRUST II NY X 11/17/03 FLEET CREDIT CARD MASTER TRUST II NY X 11/17/03 AMEND FLORIDA ROCK INDUSTRIES INC FL X X X 11/12/03 FNANB CREDIT CARD MASTER TRUST X X 10/31/03 FRESH BRANDS INC X 11/17/03 FX ENERGY INC NV X X 11/17/03 GALAXY NUTRITIONAL FOODS INC DE X X 11/14/03 GENUINE PARTS CO GA X 11/17/03 GEORGIA GULF CORP /DE/ DE X X 11/14/03 GLACIER WATER SERVICES INC DE X 11/12/03 GLOBAL PREFERRED HOLDINGS INC DE X X 11/14/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X 11/01/03 GOODRICH PETROLEUM CORP DE X X X 11/12/03 GP STRATEGIES CORP DE X 09/03/03 GRAND TOYS INTERNATIONAL INC NV X 09/30/03 GS AUTO LOAN TRUST 2003-1 X X 11/17/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 10/31/03 HALLWOOD GROUP INC DE X X 11/13/03 HANOVER CAPITAL MORTGAGE HOLDINGS INC MD X X 11/13/03 HEMACARE CORP /CA/ CA X 11/14/03 HIGH SPEED ACCESS CORP DE X 11/14/03 HILLENBRAND INDUSTRIES INC IN X 11/13/03 HOLLINGER INTERNATIONAL INC DE X X 11/17/03 HONEYWELL INTERNATIONAL INC DE X 11/17/03 HORACE MANN EDUCATORS CORP /DE/ DE X X 11/14/03 HPSC INC DE X X 11/12/03 HUGHES ELECTRONICS CORP DE X X 11/13/03 HUGOTON ROYALTY TRUST TX X 11/17/03 I FLOW CORP /DE/ DE X X 11/01/03 I TRAX INC DE X X 11/17/03 IMAGEMAX INC PA X X 11/17/03 IMAGEWARE SYSTEMS INC CA X X 11/14/03 IMATION CORP DE X 11/13/03 INNOVATIVE COMPANIES INC FL X 11/17/03 INTEGRATED BIOPHARMA INC DE X X 11/14/03 INTELLI CHECK INC DE X X 11/17/03 INTERACTIVE INTELLIGENCE INC IN X 11/13/03 INTERNATIONAL MICROCOMPUTER SOFTWARE CA X 11/13/03 INTERNATIONAL WIRELESS INC MD X X 11/12/03 INTERNATIONAL WIRELESS INC MD X 11/15/03 INTERPLAY ENTERTAINMENT CORP DE X X 11/14/03 INTERSTATE GENERAL CO L P DE X X 09/30/03 ISECURETRAC CORP DE X X 11/17/03 J P MORGAN ACCEPTANCE CORP I DE X X 10/30/03 JACLYN INC DE X X 09/30/03 JO-ANN STORES INC OH X 11/17/03 KULICKE & SOFFA INDUSTRIES INC PA X 11/17/03 LA JOLLA PHARMACEUTICAL CO DE X X 11/14/03 LEHMAN ABS CORP SEARS ROEBUCK ACCEP N DE X X 11/01/03 LEHMAN ABS CORP SEARS ROEBUCK ACCEP N DE X X 11/04/03 LEXENT INC DE X X 11/13/03 LEXINGTON PRECISION CORP DE X X 11/17/03 LIGHTPATH TECHNOLOGIES INC DE X X 11/14/03 LIGHTSPAN INC DE X X 11/17/03 LINK ENERGY LLC DE X 11/17/03 LMI AEROSPACE INC MO X 11/14/03 LML PAYMENT SYSTEMS INC A1 X X 11/14/03 LORAL ORION INC DE X 11/14/03 LORAL SPACE & COMMUNICATIONS LTD D0 X 11/14/03 LOWES COMPANIES INC NC X X 10/31/03 LYONDELL CHEMICAL CO DE X 11/17/03 MARSH & MCLENNAN COMPANIES INC DE X 11/14/03 MBNA AMERICA BK NAT ASSOC MBNA MASTER X X 10/31/03 MBNA CORP MD X 10/31/03 MBNA CREDIT CARD MASTER NOTE TRUST X X 10/31/03 MDSI MOBILE DATA SOLUTIONS INC /CAN/ A1 X X 11/14/03 MEDIANEWS GROUP INC DE X X 11/17/03 MERIDIAN HOLDINGS INC CO X X X 11/17/03 MERRILL LYNCH MORTGAGE ASST BACK CERT DE X X 10/30/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 10/29/03 MESTEK INC PA X 11/17/03 METLIFE INC DE X X 11/17/03 METRIS COMPANIES INC DE X 11/14/03 METRIS COMPANIES INC DE X 11/17/03 MIIX GROUP INC DE X 11/17/03 MONSTER WORLDWIDE INC DE X X 11/14/03 MORGAN STANLEY DE X 11/17/03 MSTG SOLUTIONS INC X 10/15/03 AMEND N-VIRO INTERNATIONAL CORP DE X 11/17/03 NATIONAL MEDICAL HEALTH CARD SYSTEMS NY X 11/14/03 NATIONAL WATERWORKS INC X 11/12/03 NATIONAL WINE & SPIRITS INC IN X X 11/13/03 NEOSE TECHNOLOGIES INC DE X X 11/17/03 NEW BRUNSWICK SCIENTIFIC CO INC NJ X 11/17/03 NEW BRUNSWICK SCIENTIFIC CO INC NJ X 11/17/03 AMEND NEW ENGLAND BANCSHARES INC X X 11/14/03 NEW YORK FILM WORKS INC NY X X 10/31/02 NEWCOM INTERNATIONAL INC X X 11/14/03 NII HOLDINGS INC DE X 11/13/03 NISOURCE INC/DE DE X 11/17/03 NOBEL LEARNING COMMUNITIES INC DE X X 11/13/03 NOBLE CORP X X 11/17/03 NORTH EUROPEAN OIL ROYALTY TRUST DE X X 10/31/03 NU SKIN ENTERPRISES INC DE X X 11/17/03 NUI CORP /NJ/ NJ X 11/12/03 NUWAVE TECHNOLOGIES INC DE X X 10/30/03 AMEND NYFIX INC NY X X 11/14/03 OLYMPIC RESOURCES LTD A1 X 11/05/03 ORASURE TECHNOLOGIES INC DE X X 11/17/03 OSULLIVAN INDUSTRIES HOLDINGS INC DE X X 09/30/03 PAC-WEST TELECOMM INC X X 11/14/03 PACIFIC CMA INC CO X 11/13/03 PACIFIC CMA INC CO X 11/17/03 PANTRY INC DE X X 11/13/03 PARKER HANNIFIN CORP OH X X 11/17/03 PARKER HANNIFIN CORP OH X X 11/17/03 PARLUX FRAGRANCES INC DE X X 11/13/03 PDS GAMING CORP MN X X 11/13/03 PEOPLES BANCORP INC OH X 11/17/03 PERFICIENT INC DE X 11/10/03 PERRIGO CO MI X 11/14/03 PETROLEUM HELICOPTERS INC LA X 11/17/03 PICCADILLY CAFETERIAS INC LA X 11/17/03 PIVOTAL CORP X 11/14/03 PIVOTAL CORP X 11/17/03 PRIME MEDICAL SERVICES INC /TX/ DE X 11/17/03 PRIME RECEIVABLES CORP DE X 11/17/03 PRINTRONIX INC DE X X 11/11/03 PROLONG INTERNATIONAL CORP NV X X 11/14/03 PROVIDIAN FINANCIAL CORP DE X 10/31/03 QLT INC/BC A1 X 11/17/03 QUADRAMED CORP DE X 11/11/03 RAINBOW TECHNOLOGIES INC DE X X 11/14/03 RAPID BIO TESTS CORP NV X 11/08/03 RAYMOND JAMES FINANCIAL INC FL X 11/14/03 REALITY WIRELESS NETWORKS INC NV X X 11/10/03 REDBACK NETWORKS INC DE X X 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