SEC NEWS DIGEST Issue 2003-220 November 19, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS ADDITIONAL CLOSED MEETING - WEDNESDAY, NOVEMBER 19, 2003 - 3:00 P.M. The subject matter of the closed meeting held on Wednesday, November 19, was: Report of Investigation. 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 SEC SETTLES FRAUDULENT REVENUE RECOGNITION CASE AGAINST FORMER VICE PRESIDENT FOR OPERATIONS OF KURZWEIL APPLIED INTELLIGENCE, INC. The Commission announced today that on Oct. 9, 2003, a Massachusetts federal court entered a final judgment, by consent, against David R. Earl, of Westford, Massachusetts, in connection with a financial fraud. The final judgment enjoined Earl from future violations of the antifraud, books and records and internal accounting controls provisions of the federal securities laws. The judgment also bars Earl from acting as an officer or director of any public company. At the time of the conduct at issue, Earl was the vice president for operations of Kurzweil Applied Intelligence, Inc., a software company formerly headquartered in Waltham, Massachusetts. The Commission's complaint, filed on July 26, 1995, alleged that, between January 1992 and May 1994, Earl and others engaged in a fraudulent revenue recognition scheme during the time leading up to and following the company's initial public offering of stock in 1993. The scheme resulted in improper revenue recognition from over eighty transactions. The complaint alleged that Earl knew and assisted in the practice of using side letters, among other methods, to improperly recognize revenue on contingent sales, and implemented a system whereby product was shipped to an off-site warehouse on sales that had not closed by the end of a quarter. The complaint further alleged that Earl instructed an employee to provide false information to auditors and concealed his knowledge of the scheme when questioned about it by auditors, and that he sought to conceal the scheme from Kurzweil's outside auditors by transferring inventory hidden at the off-site warehouse in rented trucks to other, more remote, locations. As a result of the conduct alleged in the complaint, Kurzweil's Commission filings overstated revenue by more than $8 million during 1993 and 1994, and the company reported a profit when in fact it was losing nearly $8 million. The final judgment permanently enjoined Earl from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder (antifraud provisions) and Exchange Act Section 13(b)(5) and Rules 13b2-1 and 13b2-2 (prohibiting falsification of issuer books and records, evasion of internal accounting controls and making false statements to accountants). The final judgment also barred Earl from acting as an officer or director of any publicly- traded company. Earl was the last defendant in this case. Three other individual defendants previously settled the Commission's action. The Commission also previously instituted related settled administrative orders against Kurzweil and three of its accounting department employees. [SEC v. Bernard F. Bradstreet, et al., USDC, District of Massachusetts, Civ. No. 95-11647] (LR-18469; AAE Rel. 1918) SEC HALTS MASSIVE PONZI SCHEME THAT TARGETED EVANGELICAL CHRISTIAN CONGREGATIONS BY FILING EMERGENCY CIVIL ACTION On November 17, the Commission filed an emergency action in U.S. District Court in Dallas to halt a $160 million fraudulent offering of unregistered securities. In its complaint, the Commission alleged that the defendants deceived investors who were associated with evangelical Christian congregations, promising to generate investment returns that would benefit Christian ministries through merchandising and manufacturing businesses. In fact, according to the Commission, the defendants used the investors' money to make Ponzi payments to other investors and support their own extravagant lifestyles. Also on November 17, U.S. District Judge Jorge Solis granted the Commission's motion for a temporary restraining order, an asset freeze, and the appointment of a receiver to collect and preserve investors' assets. In its action, the Commission charged the following defendants: IPIC International, Inc. (a/k/a International Product Investment Corp.) (IPIC); IPIC Atlantic LLC; Home Recovery Network, Inc. (HRN); Gregory Setser, age 47, of Alta Loma, California, the founder, president and CEO of IPIC; Cynthia Setser, age 47, of Alta Loma, California, IPIC's treasurer; Charnelle Setser, age 21, of Rancho Cucamonga, California, IPIC's office manager; Deborah Setser, age 38, of Rancho Cucamonga, California, vice president of Home Recovery Network; Charmaine Sears, age 44, of Lake Elsinore, California, Gregory Setser's assistant; and Torsten Thomas Henschke, age 48, of Orlando, Florida, executive international director of IPIC Atlantic. In its complaint, the Commission alleges that the defendants raised at least $160 million within the past three years by offering and selling "joint venture agreements" that typically provided: investor funds would be used to purchase various goods or real estate; IPIC and HRN were responsible for re-selling the goods or real estate; and profits from re- selling the goods and real estate would be shared with investors. According to the Commission, no registration statement has been filed with the Commission as to any of the joint venture agreements. The Commission further alleges that, in connection with the offer and sale of these investment programs, the defendants, at various times, represented to investors that: (1) their principal was not at risk; (2) they would receive a 25% return on their investment within three to six months; (3) they would receive monthly returns ranging from 5.35% to 6.75%; and (4) only 1 in 10,000 deals resulted in a loss. According to the Commission, the defendants were perpetrating a massive ponzi scheme and continuing to solicit money from unsuspecting investors, particularly those associated with evangelical Christian congregations. For example, the Commission alleges that IPIC's bank statements show no evidence of the commercial transactions that the joint venture agreements describe. Instead, according to the Commission's complaint, the bank records reflect apparent ponzi payments to investors, as well as overseas transfers of funds and purchases of luxury items (e.g., a yacht, homes and a helicopter). The Commission also named in its complaint, as relief defendants (seeking return of investor funds they unjustly received and company records) the following individuals associated with IPIC: Eva Setser, age 68, of Alta Loma, California, IPIC's corporate secretary; and Larry Kuncl, age 47, of Upland, California, president of Crossties Technology, Inc., a purported manufacturing concern that operates out of IPIC's offices. The Commission alleges in its complaint that the defendants violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to seeking emergency relief as described above, the Commission is also seeking orders of permanent injunction, disgorgement plus prejudgment interest, and civil money penalties. The Commission is also seeking asset freezes and disgorgement against the relief defendants, because they hold title to, or received proceeds from the sale of, assets allegedly acquired with investor funds. [SEC v. IPIC International, Inc., et al., Civil Action No. 3:03-CV-2781-P, USDC for the NDTX (Dallas Division)] (LR-18470) SEC FILES INJUNCTIVE ACTION AGAINST UNITED CURRENCY GROUP, INC. AND ITS CEO, ADAM SWICKLE, ALLEGING A FRAUDULENT OFFERING OF SECURITIES Today, the Commission filed a complaint in the U.S. District Court of the Southern District of New York alleging that Adam Swickle conducted a fraudulent offering of United Currency Group, Inc.'s (UCG) securities from May 2001 through December 2002. Through this offering, Swickle and UCG fraudulently raised approximately $774,000 from 21 investors. The complaint names the following defendants: * UCG, which was incorporated in New York and maintained its principal place of business at 99 Wall Street. UCG purportedly employed sales representatives to trade foreign currency for its clients. UCG also conducted an offering of its securities from May 2001 through December 2002. * Swickle, age 36, is a resident of Jericho, New York, and is the founder and CEO of UCG. The complaint alleges the following. Swickle formed UCG in January 2001 purportedly to provide individual currency traders with access to the foreign currency market. Beginning in May 2001 and continuing through December 2002, Swickle solicited investments in UCG through an unregistered offering of securities. In connection with the offering, Swickle circulated private placement memoranda to prospective investors that made material misrepresentations and omitted material facts about the identity of UCG's officers and directors, Swickle's background and Swickle's use of corporate funds. For example, the private placement memoranda identified four individuals as officers and directors of UCG when, in fact, none of the individuals had agreed to serve in that capacity. The private placement memoranda also described Swickle as a sophisticated businessman with experience in mergers and acquisitions and in building a major marketing organization. In fact, Swickle had no such experience. Finally, the private placement memoranda represented that Swickle was receiving no salary or other compensation for his work at UCG. In fact, Swickle diverted approximately $224,000 of corporate funds to his personal accounts and used additional corporate funds to pay for personal expenses. In addition, Swickle made oral misrepresentations to investors while soliciting investments by telephone. For example, Swickle told investors that UCG shares would soon trade publicly and that, once public, the company's shares would hit certain price levels. In fact, UCG had not taken substantial steps to have its stock trade publicly, and there was no reasonable basis to predict that the stock price would rise to the unrealistic levels Swickle predicted. Swickle made a number of false statements in a tape-recorded conversation with an FBI agent posing as a prospective investor. Among those statements was the following, "[T]here's a lot of games in this, we don't play any of them.all money under management is audited every month.99% of your money will go into marketing. That's the way it's really, that's the way it's done, it's not going into anybody's pocket. It's being spent to strengthen the company." The complaint charges Swickle and UCG with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks permanent injunctions against Swickle and UCG, and seeks disgorgement and a civil penalty from Swickle. This case is the result of cooperation between the Division of Enforcement's broker-dealer examination staff, the FBI, U.S. Attorney's Office for the Southern District of New York and the CFTC. [SEC v. United Currency Group, Inc. and its CEO, Adam Swickle, Civ. No. 03 9161 (JGK)] (LR-18471) COURT PERMANENTLY ENJOINS MINISTER, HIS SON AND COMPANY, FOR ORCHESTRATING $4 MILLION PONZI SCHEME The Commission announced that on October 20 and 27, 2003, the U.S. District Court for the Northern District of California, permanently enjoined Sherman S. Smith of Napa, California, his now-defunct company, Donne Corporation, and his son, Shawn Smith, of Mead, Washington, for their respective roles in a $4 million Ponzi scheme. The defendants consented to the permanent injunction without admitting or denying the allegations in the Commission's complaint. The Commission's complaint alleged that, from January 1998 through January 2001, Sherman Smith targeted religious individuals, whom he had met through his work as a pastor and investment adviser, to raise approximately $4 million through the unregistered and fraudulent sale of Donne Corporation's stock. Sherman Smith, Shawn Smith and others raised the $4 million, the Commission's complaint alleged, by making false and misleading statements about Donne's financial status, projected earnings and investment returns, and use of investor funds. Additionally, the complaint alleged that some Donne investors were promised and paid a guaranteed return of 12% per year on their investment. The source of these returns, unbeknownst to investors, was other investor money received from new sales of Donne stock. Investor proceeds, the complaint alleged, were also used to pay for unrelated expenses, including the construction of Sherman Smith's Kentucky home, the purchase of several cars, and the production of a movie. Donne, Sherman Smith and Shawn Smith consented to the entry of a judgment permanently enjoining them from future violations of the registration and antifraud provisions of the federal securities laws, Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Sherman Smith also consented to a permanent injunction enjoining him from future violation of the investment adviser antifraud provisions, Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The Court will address any payment by Sherman Smith and Shawn Smith of disgorgement, prejudgment interest and penalty at a future date. In a related criminal action, Sherman Smith pled guilty in the U.S. District Court for the Northern District of California on June 7, 2003, to one count of securities fraud relating to the Ponzi scheme. Sherman Smith is scheduled to be sentenced on Dec. 5, 2003. [SEC v. Donne Corporation, Sherman S. Smith, Shawn Smith, and Bruce Anderson, Civil Action. No. C 02-04238 SC (N.D. Cal.)] (LR-18472) HOLDING COMPANY ACT RELEASES GULF POWER COMPANY A notice has been issued giving interested persons until Dec. 12, 2003, to request a hearing on a proposal by Gulf Power Company (Gulf), a utility subsidiary of The Southern Company, a registered holding company. Gulf requests authority to issue short-term debt up to an aggregate amount of $600 million through Jan. 1, 2007. (Rel. 35-27763) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSE-2003-30) filed by the New York Stock Exchange extending the Pilot for the NYSE's Automatic Execution Facility for Certain Limit Orders (NYSE Direct+) until Dec. 23, 2004, has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48772) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying common stock of Mirant Corp. (MIRKQ), effective November 18. (Rel. 34-48799) WITHDRAWALS GRANTED An order has been issued granting the application of Keane, Inc. to withdraw its common stock, $.10 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 19. (Rel. 34-48801) An order has been issued granting the application of Hastings Manufacturing Company to withdraw its common stock, $2.00 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 19. (Rel. 34-48802) An order has been issued granting the application of Totta & Acores Financing, Ltd. to withdraw its 8.875% Non-Cumulative Guaranteed Preference Shares, Series A, $25 par value, from listing and registration on the New York Stock Exchange, effective at the opening of business on November 19. (Rel. 34-48803) An order has been issued granting the application of Rampart Capital Corporation to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 19. (Rel. 34-48804) An order has been issued granting the application of Capital Pacific Holdings, Inc. to withdraw its common stock, $.10 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on November 19. (Rel. 34-48805) 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 SHERWIN WILLIAMS CO, 101 PROSPECT AVE NW, CLEVELAND, OH, 44115, 2165662200 - 11,562,604 ($380,409,671.60) Equity, (File 333-110562 - Nov. 18) (BR. 06) SB-2 WORLDWIDE MANUFACTURING USA INC, 1926 SOUTH OSWEGO WAY, AURORA, CO, 80014, (303) 752-4637 - 3,100,000 ($1,240,000.00) Equity, (File 333-110563 - Nov. 18) (BR. 09) S-1 INFINITY PROPERTY & CASUALTY CORP, 2204 LAKESHORE DRIVE, SUITE 125, BIRMINGHAM, AL, 35209, 205-870-4000 - 9,028,034 ($290,973,536.00) Equity, (File 333-110564 - Nov. 18) (BR. 01) S-8 CHINA XIN NETWORK MEDIA CORP, 1111 BRICKELL AVENUE, 11TH FLOOR, MIAMI, FL, 33131, 514-820-9347 - 6,000,000 ($318,000.00) Equity, (File 333-110565 - Nov. 18) (BR. 37) S-3 CHELSEA PROPERTY GROUP INC, 103 EISENHOWER PKWY, ROSELAND, NJ, 07068, 2012286111 - 1,340,755 ($73,473,374.00) Equity, (File 333-110566 - Nov. 18) (BR. 08) S-3 EVCI CAREER COLLEGES INC, 35 EAST GRASSY SPRAIN RD, SUITE 200, YONKERS, NY, 10710, 9147873500 - 1,646,746 ($7,212,747.00) Equity, (File 333-110567 - Nov. 18) (BR. 08) S-8 GREATER COMMUNITY BANCORP, 55 UNION BLVD, BOX 269, TOTOWA, NJ, 07511-0269, 9739421111 - 337,298 ($5,707,082.00) Equity, (File 333-110568 - Nov. 18) (BR. 07) S-8 PIONEER DRILLING CO, 9310 BROADWAY BLDG I, SAN ANTONIO, TX, 78217, 5128287689 - 0 ($11,070,000.00) Equity, (File 333-110569 - Nov. 18) (BR. 04) S-8 DIGITAL WORLD CUP INC, 3266 YONGE STREET STE 1208, BC, TORONTO ONTARIO CANA, A6, 00000, 9,000,000 ($1,260,000.00) Equity, (File 333-110570 - Nov. 18) (BR. 08) S-8 PFIZER INC, 235 E 42ND ST, NEW YORK, NY, 10017, 2125732323 - 500,000 ($15,970,000.00) Equity, (File 333-110571 - Nov. 18) (BR. 01) S-4 LINK MEDIA PUBLISHING LTD, SUITE 323, 595 HOWE STREET, VANCOUVER, A1, V6C 2T5, 604-682-8468 - 16,500,000 ($31,350,000.00) Equity, (File 333-110572 - Nov. 18) (BR. 05) S-8 EXPRESS SCRIPTS INC, 13900 REIVERPORT DRIVE, MARYLAND HEIGHTS, MO, 63043, 3147701666 - 650,000 ($36,198,500.00) Equity, 0 ($50,000,000.00) Other, (File 333-110573 - Nov. 18) (BR. 01) S-3 NOVASTAR FINANCIAL INC, 8140 WARD PARKWAY, STE 300, KANSAS CITY, MO, 64114, 8162377000 - 0 ($200,000,000.00) Equity, (File 333-110574 - Nov. 18) (BR. 08) S-8 GREATER COMMUNITY BANCORP, 55 UNION BLVD, BOX 269, TOTOWA, NJ, 07511-0269, 9739421111 - 54,695 ($484,051.00) Equity, (File 333-110575 - Nov. 18) (BR. 07) S-3D SELECTIVE INSURANCE GROUP INC, 40 WANTAGE AVENUE, BRANCHVILLE, NJ, 07890, 2019483000 - 0 ($31,410,000.00) Equity, (File 333-110576 - Nov. 18) (BR. 01) S-3 APRIA HEALTHCARE GROUP INC, C/O APRIA HEALTHCARE GROUP INC., 26220 ENTERPRISE COURT, LAKE FOREST, CA, 92630, 949-639-2094 - 250,000,000 ($250,000,000.00) Non-Convertible Debt, (File 333-110577 - Nov. 18) (BR. 01) S-3 PHARMOS CORP, 99 WOOD AVENUE SOUTH, SUITE 301, ISELIN, NJ, 08830, 7324529556 - 0 ($50,000,000.00) Equity, (File 333-110578 - Nov. 18) (BR. 01) S-4 SYNOVUS FINANCIAL CORP, 901 FRONT AVENUE, STE 202 PO BOX 120, COLUMBUS, GA, 31901, 7066494818 - 1,785,000 ($18,016,136.00) Equity, (File 333-110580 - Nov. 18) (BR. 07) S-1 POINT THERAPEUTICS INC, 125 SUMMER STREET, BOSTON, MA, 02110, 6179332130 - 8,700,001 ($36,366,004.18) Equity, (File 333-110581 - Nov. 18) (BR. 36) S-8 INNOVATIVE DESIGNS INC, 223 NORTH MAIN STREET, SUITE 1, PITTSBURG, PA, 15215, 4127990350 - 400,000 ($1,200,000.00) Equity, (File 333-110582 - Nov. 18) (BR. 09) S-3 MODEM MEDIA INC, 230 EAST AVENUE, NORWALK, CT, 06855, 2032997000 - 0 ($54,813,600.00) Equity, (File 333-110583 - Nov. 18) (BR. 08) S-4 IMC GLOBAL INC, 100 S. SAUNDERS ROAD, SUITE 300, LAKE FOREST, IL, 60045, 847-739-1200 - 0 ($400,000,000.00) Other, (File 333-110584 - Nov. 18) (BR. 02) S-8 NUTRACEA, 1261 HAWK'S FLIGHT, EL DORADO HILLS, CA, 95762, 9169337000 - 10,000,000 ($18,500,000.00) Equity, (File 333-110585 - Nov. 18) (BR. 04) 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 ------------------------------------------------------------------------------------------------ ADEPT TECHNOLOGY INC CA X X 11/17/03 AGERE SYSTEMS INC DE X X 11/18/03 AGERE SYSTEMS INC DE X X X 11/12/03 AMEND AGILENT TECHNOLOGIES INC DE X X 11/17/03 AGL RESOURCES INC GA X 11/17/03 AIR-Q WI-FI CORP DE X 11/13/03 ALASKA AIR GROUP INC DE X 11/17/03 ALCAN INC A6 X 07/08/03 ALLETE INC MN X 11/18/03 ALLIED DEVICES CORP NV X X X X X X X 11/18/03 ALLOY INC DE X X 11/18/03 AMEND ALLSTATE CORP DE X X 11/13/03 ALMOST FAMILY INC DE X X 09/30/03 AMERICAN EXPRESS CO NY X X 11/18/03 AMERICAN SOFTWARE INC GA X X 11/18/03 AMERICAN UNITED GLOBAL INC DE X X 11/17/03 AMERICAN WOODMARK CORP VA X X 11/18/03 ANALOG DEVICES INC MA X 11/18/03 ANALOG DEVICES INC MA X 11/18/03 ANGELICA CORP /NEW/ MO X X 11/18/03 AQUA VIE BEVERAGE CORP WA X 11/17/03 ASTRO MED INC /NEW/ RI X X 11/18/03 ATWOOD OCEANICS INC TX X X 09/30/03 AUBURN NATIONAL BANCORPORATION INC DE X X 11/17/03 AUTHENTIDATE HOLDING CORP DE X X 11/17/03 AVI BIOPHARMA INC OR X X X 11/17/03 AXESSTEL INC NV X 11/03/03 BACK CHANNEL INVESTMENTS INC DE X 10/15/03 BACK CHANNEL INVESTMENTS INC DE X X X 05/20/03 AMEND BANC OF AMERICA MORTGAGE SECURITIES I DE X X 11/12/03 BEAR STEARNS ASSET BACKED FUND INC WH DE X X 11/17/03 BEAR STEARNS ASSET BACKED WHOLE AUTO DE X X 11/17/03 BEAR STEARNS COMPANIES INC DE X X 11/17/03 BETA OIL & GAS INC NV X X 11/18/03 BJS WHOLESALE CLUB INC DE X 11/18/03 BOOTS & COOTS INTERNATIONAL WELL CONT DE X 11/12/03 BORGWARNER INC DE X 11/18/03 BRADY CORP WI X 11/18/03 C & F FINANCIAL CORP VA X X 11/17/03 CACI INTERNATIONAL INC /DE/ DE X 11/18/03 AMEND CAPITAL ONE AUTO RECEIVABLES LLC DE X X 11/18/03 CARROLS CORP DE X X 11/13/03 CCC INFORMATION SERVICES GROUP INC DE X X 11/18/03 CD&L INC DE X X 11/18/03 CENTEX CORP NV X X 11/17/03 CENTEX CORP NV X X 11/18/03 CHESAPEAKE ENERGY CORP OK X X 11/12/03 CIB MARINE BANCSHARES INC WI X 11/18/03 CIENA CORP DE X X 11/17/03 CIGNA CORP DE X X 11/17/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 11/17/03 CNA FINANCIAL CORP DE X X 11/18/03 COACH INDUSTRIES GROUP INC NV X X 11/11/03 COACHMEN INDUSTRIES INC IN X X 11/18/03 COMERICA INC /NEW/ DE X 11/18/03 COMPUTER ACCESS TECHNOLOGY CORP DE X X 11/17/03 CONCENTRA OPERATING CORP NV X X 11/17/03 CONTINENTAL AIRLINES INC /DE/ DE X X 11/12/03 COOPER INDUSTRIES LTD X X 11/17/03 CREATIVE HOST SERVICES INC CA X X X 11/14/03 CSG SYSTEMS INTERNATIONAL INC DE X X 11/18/03 CSG SYSTEMS INTERNATIONAL INC DE X X 11/18/03 CTI MOLECULAR IMAGING INC DE X X 11/18/03 DIAMOND HILL INVESTMENT GROUP INC OH X 11/18/03 DIAMOND HILL INVESTMENT GROUP INC OH X 11/18/03 AMEND DIAMOND INTERNATIONAL GROUP INC/NY/ NJ X X 11/07/03 DICKS SPORTING GOODS INC DE X X 11/18/03 DIGITAL WORLD CUP INC X 11/12/03 DIVERSIFIED SECURITY SOLUTIONS INC DE X X 11/14/03 DOV PHARMACEUTICAL INC DE X X 11/14/03 DOWNEY FINANCIAL CORP DE X X 10/31/03 DST SYSTEMS INC DE X 11/10/03 AMEND DYNABAZAAR INC DE X 09/04/03 AMEND DYNEGY INC /IL/ IL X X 11/17/03 EAUTOCLAIMS COM INC NV X X 11/17/03 EL PASO CORP/DE DE X X 11/18/03 EMCORE CORP NJ X X 11/03/03 EMISPHERE TECHNOLOGIES INC DE X X 11/12/03 ENHANCE BIOTECH INC DE X X 05/14/03 ENHANCE BIOTECH INC DE X 05/14/03 AMEND ENPRO INDUSTRIES INC NC X X 11/18/03 ENSCO INTERNATIONAL INC DE X 11/17/03 ENSCO INTERNATIONAL INC DE X 11/17/03 AMEND EPIC FINANCIAL CORP NV X 11/18/03 EPIX MEDICAL INC X X 11/17/03 EQUINIX INC DE X X 11/17/03 EURAMAX INTERNATIONAL INC X X 11/18/03 EVOLVING SYSTEMS INC DE X X 11/03/03 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 11/17/03 EXTEN INDUSTRIES INC DE X 11/17/03 EXX INC/NV/ NV X X 11/13/03 FACTORY 2 U STORES INC DE X X 11/13/03 FACTORY CARD OUTLET CORP DE X X 11/18/03 FARMERS & MERCHANTS BANCORP INC OH X X 11/14/03 FARNSWORTH BANCORP INC NJ X X 11/18/03 FASTNET CORP PA X X 11/17/03 FERRELLGAS PARTNERS L P DE X 11/18/03 FGI GROUP INC DE X X 11/18/03 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 11/18/03 FIRST HORIZON PHARMACEUTICAL CORP DE X X 11/17/03 FISHER SCIENTIFIC INTERNATIONAL INC DE X 11/17/03 FLORIDA POWER CORP / FL X X 11/18/03 FREEPCSQUOTE COM NV X X 11/12/03 FRIEDMANS INC DE X 11/17/03 GADZOOKS INC TX X 11/18/03 GE COMMERCIAL MORT PASS THROUGH CERTS DE X 11/01/03 GENESEE & WYOMING INC DE X 11/18/03 GENOME THERAPEUTICS CORP MA X X 11/17/03 GENSYM CORP DE X 11/17/03 GEORGIA GULF CORP /DE/ DE X X 11/18/03 GEVITY HR INC FL X 11/17/03 GLOBAL MED TECHNOLOGIES INC CO X X 11/14/03 GLOBAL PRECISION MEDICAL INC WY X 11/17/03 GLOBALSTAR LP DE X X 11/17/03 GLOWPOINT INC DE X 11/12/03 GOLDEN EAGLE INTERNATIONAL INC CO X X 11/18/03 GOLDEN STATE VINTNERS INC X X 11/18/03 GRIFFIN LAND & NURSERIES INC DE X 11/14/03 GYMBOREE CORP DE X X X 11/18/03 HALLIBURTON CO DE X 11/18/03 HALLMARK FINANCIAL SERVICES INC NV X X 11/18/03 HANOVER COMPRESSOR CO / DE X X 11/18/03 HOME DEPOT INC DE X 11/18/03 HYDROMER INC NJ X 11/18/03 HYPERFEED TECHNOLOGIES INC DE X X 11/18/03 INCOME OPPORTUNITY REALTY INVESTORS I NV X X 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