SEC NEWS DIGEST Issue 2003-230 December 4, 2003 ENFORCEMENT PROCEEDINGS INITIAL DECISION IN THE MATTER OF ROGER DETRANO An Administrative Law Judge has issued an Initial Decision in the matter of Roger M. Detrano. The Initial Decision finds that the U.S. District Court for the Southern District of New York criminally convicted and permanently enjoined Respondent Robert M. Detrano in connection with his participation in the offerings of penny stock. Pursuant to Section 15(b)(6)(A) of the Securities Exchange Act of 1934, the Initial Decision bars Respondent Detrano from participating in the offering of any penny stock. (Initial Decision No. 242; File No. 3-11169) COMMISSION REMANDS AVELLO DECISION TO NASD On Nov. 7, 2002, the Commission sustained an NASD decision imposing sanctions on Nicholas T. Avello for, among other things, causing violations of net capital requirements. Avello appealed the Commission's decision, and, on Aug. 20, 2003, the U.S. Court of Appeals for the Seventh Circuit granted the Commission's motion requesting remand of the case to the Commission. The Commission has determined to remand the portion of this proceeding addressing Avello's calculation of his employer's net capital position to NASD for detailed explanation of NASD's finding that a net capital deficiency existed. If NASD finds that there was no deficiency, the Commission has asked NASD to determine whether the sanctions originally imposed on Avello by NASD remain appropriate, and, if not, what, if any, sanction NASD would impose. (Rel. 34-48866; File No. 3-10391) KEVIN LAWRENCE SENTENCED TO 20 YEARS IMPRISONMENT IN ZNETIX STOCK FRAUD On Nov. 25, 2003, U.S. District Judge Marsha J. Pechman in Seattle, Washington, sentenced Kevin Leigh Lawrence, 37, of Bainbridge Island, Washington, to 20 years in prison for his role in the Znetix stock fraud. On July 28, 2003, Lawrence entered guilty pleas to one count of securities fraud, one count of wire fraud and one count of conspiracy to commit securities fraud, wire fraud, mail fraud, unlawful sale of unregistered securities, money laundering, and engaging in monetary transactions with proceeds of unlawful activity. Judge Pechman also ordered Lawrence to pay $91,644,845.86 in restitution. The U.S. Attorney believes that this restitution order is the largest in Washington state history. As part of his guilty plea, Lawrence waived any right to appeal, and agreed to cooperate fully with the U.S. Attorney and the receiver appointed as part of the Securities and Exchange Commission's related case in identifying assets. Additionally, Lawrence agreed to forfeit a number of previously-seized assets. Originally indicted on July 31, 2002 in a 64-count indictment, Lawrence admitted that over the course of about seven years he intentionally, knowingly, and willfully defrauded thousands of investors out of up to $100 million through his leadership of a massive conspiracy and scheme to defraud involving false representations and failures to disclose truthful and accurate information in connection with the sale of the securities of Znetix, Inc., Health Maintenance Centers, Inc., Cascade Pointe, LLC, and affiliated entities. He further admitted that he intentionally, knowingly, and willfully used the funds received from investors for his own personal use and benefit and for the use and benefit of his co- conspirators and others, including for the purchase of luxurious homes, cars, boats, merchandise, and travel. Finally, he admitted that he intentionally, knowingly, and willfully made false statements and directed others to make false statements to the State of Washington's Department of Financial Institutions, Securities Division, and to the Securities and Exchange Commission. Previously, the Commission filed an emergency action on Jan. 23, 2002, against Lawrence, as well as Znetix, Inc., Health Maintenance Centers, Inc., three related companies, their controlling executives, and several family members of Lawrence, alleging that Lawrence and other executives falsely promised investors lucrative profits from the supposedly imminent initial public offering of Znetix. Additionally, the Commission alleged that Lawrence spent more than $14 million of investor funds on personal expenses, such as luxury cars, real estate, jewelry and boats. On January 23, the Commission obtained an order freezing the assets of the defendants, and temporarily enjoining Lawrence and other controlling executives from future violations of the registration and antifraud provisions of the federal securities laws. On Feb. 15, 2002, the federal court preliminarily enjoined the defendants from such future violations and appointed a permanent receiver over the companies. Without admitting or denying the Commission's allegations, the companies, on June 6, 2002, consented to the entry of a judgment permanently enjoining them from future violations of the antifraud and securities registration provisions. Subsequently, the Commission entered into settlement agreements with relief defendants Vicki Lawrence, Stacy Gray, and Bonnie Couch, the ex-wife, fianc‚e and mother of Lawrence, respectively. Without admitting or denying the Commission's allegations, defendant Clifford G. Baird, on Oct. 3, 2003, consented to the entry of a judgment permanently enjoining him from future violations of the antifraud and securities registration provisions. Baird also agreed to disgorge his ill-gotten gains from the stock offerings in the amount of $374,077.36 and pay prejudgment interest in the amount of $8,875.48. The Court retained jurisdiction to determine the penalty, if any, Baird must pay for his violations of the securities registration provisions. The Commission's case is pending against the remaining defendants, Kevin L. Lawrence, Donovan C. Claflin, and Kimberly Alexander. [U.S. v. Kevin L. Lawrence, Steven J. Reimer, Michael J. Culp, Larry L. Beaman, Harvey W. Kuiken, Alex Lacson, and Alfonso Lacson, Jr., Criminal Action No. CR02-260P, W.D. Wash.] (LR- 18483) SEC SUES FIVE FORMER OFFICERS OF STYLING TECHNOLOGY CORPORATION FOR FINANCIAL FRAUD STYLING'S FORMER CEO, CFO AND CHIEF ACCOUNTING OFFICER SETTLE ACTION SEC SUES TWO FORMER ARTHUR ANDERSEN AUDITORS FOR FRAUD On December 3, the Commission filed a civil injunctive action in the U.S. District Court for the District of Columbia, alleging that the principal executive officers of Styling Technology Corporation (Styling), including its former chairman and CEO, Sam Leopold, and its former CFO, Richard R. Ross, engaged in an extensive financial fraud between 1997 and 1999 by inflating the company's reported earnings in its filings with the Commission. The Commission's complaint also alleges that two of the company's auditors engaged in the fraud by recklessly causing their accounting firm, Arthur Andersen LLP, to issue an unqualified audit report on Styling's 1998 year-end financial statements and by failing to object to false and misleading statements in Styling's 1999 first and second quarter reports. The Commission's complaint alleges that, beginning in 1997, Styling began to record false revenue from certain sales transactions, including ones that involved nothing more than the transfer of product to an overseas warehouse. It also alleges that the fraudulent booking of sales increased significantly during 1998, when the manager of Styling's Body Drench division, Phillip D. Teal, began systematically booking projected sales for the entire year in the current quarter--a practice that culminated at year-end in the recording of revenue from the mere shipment of millions of dollars of product between two company- controlled warehouses. According to the complaint, Styling's vice president of operations, Norman B. Cowgill, approved these year-end transactions. The Commission's complaint alleges that, at least one month prior to the filing of Styling's 1998 annual report on Form 10-K, Leopold, Ross, Cowgill and James T. Montrose, the company's former chief accounting officer, knew, or were reckless in not knowing, the nature and extent of the fraudulent sales at Body Drench, yet took no steps to correct the company's improperly recorded accounts receivable. Leopold, Ross and Montrose, have consented to the entry of permanent injunctions on all of the legal violations alleged against them, without admitting or denying the allegations of the Commission's complaint. The Commission also alleges that Styling's fraudulent accounting practices continued through the first two quarters of 1999, when the company improperly booked millions of dollars of sales. In June 1999, it charges, Styling attempted to cover up its fraud by writing off $5.1 million of uncollectible accounts receivable and attributing the lost revenue to a strategic business decision. The Commission further alleges that two former Arthur Andersen auditors, Jay S. Ozer and Bradley J. Schmidt, recklessly failed to detect the fraudulent sales at Styling during 1998. It alleges that, despite encountering a number of red flags at Styling, Ozer, the engagement partner on the audit, and Schmidt, the audit manager, failed to ensure that the audit was conducted in accordance with generally accepted auditing standards and recklessly caused Arthur Andersen to render an unqualified audit report on Styling's 1998 financial statements. Ozer and Schmidt, the Commission alleges, also knew or were reckless in not knowing that Styling's statements concerning the $5.1 million write-off in its second quarter report were false and misleading. The complaint alleges that all of the defendants violated or aided and abetted violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and aided and abetted violations of Section 13(a) of the Exchange Act and the rules thereunder, and that defendants Leopold, Ross, Teal, Montrose, Cowgill and Schmidt violated or aided and abetted violations of the internal control provisions of the Exchange Act, Section 13(b), and various rules thereunder. It seeks permanent injunctions and civil penalties from each defendant and seeks disgorgement of certain bonuses paid to Leopold and Ross and an order barring each of them from serving as officers and directors of any public company. Three of Styling's officers, Leopold, Ross and Montrose, have consented to the entry of permanent injunctions on all of the legal violations alleged against them, without admitting or denying the allegations of the Commission's complaint. In addition, Leopold has agreed to pay $225,000 in disgorgement and pre-judgment interest and $100,000 as a civil penalty. Ross has agreed to pay $100,000 in disgorgement. Both Leopold and Ross have consented to the entry of orders barring them from serving as officers and directors of any public company. Montrose was not ordered to pay any penalty, based on sworn financial statements and other documents submitted to the Commission. [SEC v. Sam Leopold, Richard R. Ross, Phillip D. Teal, James T. Montrose, Norman B. Cowgill, Jay S. Ozer, and Bradley J. Schmidt, Civil Action No. 03 CV 02491, RMU, D.D.C.] (LR-18485; AAE Rel. 1919) ROBERT POZNER, FORMER TRADER AT GLENN MICHAEL FINANCIAL, AGREES TO FRAUD INJUNCTION IN SEC MARKET MANIPULATION CASE The Commission announced today that on Nov. 25, 2003, the Honorable Tena Campbell, U.S. District Judge for the District of Utah, Central Division, entered a Judgment of Permanent Injunction as to Robert H. Pozner of Ridgewood, NJ. Pozner consented to entry of the Judgment. The Judgment against Pozner enjoins him from future violations of the antifraud provisions of the securities laws (Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder). The Judgment also orders that the Court will retain jurisdiction to decide the appropriate amount, if any, of disgorgement, prejudgment interest and penalties against Pozner. The Commission's complaint alleged that Pozner, then a trader at a brokerage firm called Glenn Michael Financial Corporation, engaged in a scheme with other defendants from July through November 2000 to manipulate the public trading market for stock issued by Freedom Surf, Inc. (See Litigation Release No. 17756, Sept. 30, 2002). The complaint alleged that Pozner, Allen Wolfson and other defendants participated in a scheme to artificially run up the price of Freedom Surf stock. Pozner and others advanced the bid quotation in Freedom Surf stock without relation to genuine market demand or worth of the company. The complaint alleged that in less than two months, Pozner, at Wolfson's direction, and without client orders, bid up the stock from $5 to $35. [SEC v. Wolfson, et al., 2:02 CV-1086 TC, D. Utah] (LR-18486) BILLY BLACKWELDER, FORMER MARKETING CONSULTANT TO SAVE THE WORLD AIR, INC., PERMANENTLY ENJOINED FROM FRAUDULENT ACTIVITIES On Nov. 24, 2003, the Honorable George B. Daniels of the U.S. District Court for the Southern District of New York permanently enjoined defendant Billy Blackwelder (Blackwelder) from violating the antifraud, anti-touting and other provisions of the federal securities laws, barred him from participating in an offer of penny stock, and ordered him to disgorge his illicit profits. Blackwelder, without admitting or denying the allegations in the Commission's complaint, consented to the entry of the final judgment against him. Blackwelder was a freelance consultant who, in or about July 2000, became a marketing consultant for Save the World Air, Inc. (STWA), a company that purported to have successfully developed and marketed a pollution control device for automobiles called the "zero emission fuel saver device." The complaint alleges that Blackwelder prepared and arranged to have issued at least one false press release announcing a major licensing deal for STWA that, in fact, did not exist. Blackwelder also posted positive messages about STWA on an Internet stock message board without disclosing, as required, that he received shares of STWA as payment for the promotion. Blackwelder's postings were materially misleading because they created the impression that Blackwelder was expressing unbiased views about STWA and its stock, when he was actually a paid promoter. The complaint charged Blackwelder with violations of Section 17(b) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder. The complaint also charged STWA and Jeffrey Muller, the company's former president, with violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. In addition, STWA and Muller, as a control person of STWA pursuant to Section 20(a) of the Exchange Act, were charged with violations of Sections 13(a) and 13(b) of the Exchange Act, and Rules 12b-20, 13a-1, 13a-13 and 13b2-1 thereunder. The complaint further charged Muller with violations of Section 16(a) of the Exchange Act, and Rules 16a-2 and 16a-3 thereunder. On June 25, 2002, the Court ordered a final judgment of permanent injunction against STWA. STWA consented to a permanent injunction prohibiting it from violating the antifraud and reporting provisions of the securities laws. The litigation is ongoing with respect to Muller. [SEC v. Save the World Air, Inc., et al., 01 CV 11586, USDC, SDNY] (LR-18487) FINAL JUDGMENT OF PERMANENT INJUNCTION ENTERED AGAINST R. CHRISTOPHER HANNA The Commission announced that on May 14, 2003, the U.S. District Court for the Southern District of Florida entered a Final Judgment of Permanent Injunction and Other Relief (Final Judgment) Against Defendant R. Christopher Hanna (Hanna), a former registered representative of Donaldson, Lufkin & Jenrette, an affiliate of Credit Suisse First Boston. The Final Judgment, entered by Hanna's consent, enjoins him from 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. In addition to enjoining Hanna, the Final Judgment orders him to pay disgorgement in the amount of $3,274,500, plus prejudgment interest, but waives payment of disgorgement and does not impose a civil penalty based upon the Sworn Statement of Financial Condition and other supporting documentation submitted by Hanna. [SEC v. R. Christopher Hanna, Civil Action No. 02-20531-CIV-GOLD, SDFL] (LR-18488) SEC CHARGES DALLAS INVESTMENT COMPLEX AND THREE OF ITS OFFICERS WITH DEFRAUDING HUNDREDS OF MUTUAL FUNDS IN MARKET TIMING AND LATE TRADING SCHEME On December 4, the Commission filed a civil securities fraud action in the U.S. District Court for the Northern District of Texas, against Mutuals.com, Inc., its CEO, its president, and its compliance officer, as well as two affiliated broker-dealer firms. According to the SEC's complaint, the defendants fraudulently helped institutional brokerage customers and advisory clients to carry out and conceal thousands of market timing trades and illegal late trades in shares of hundreds of mutual funds. The SEC asked the court to enjoin the defendants from further securities law violations, and also sought civil money penalties and disgorgement of illicit profits plus prejudgment interest. The Commission also sought, and the defendants consented to, the appointment of a Special Monitor to oversee the defendants' business operations, including the management of the Mutuals.com Trust mutual funds (formerly known as 1-800 MUTUALS Advisor Series), pending resolution of the civil litigation. The SEC named the following individuals and entities as defendants in the action: Mutuals.com, Inc.; affiliated broker-dealer Connely Dowd Management, Inc.; affiliated broker-dealer MTT Fundcorp, Inc.; CEO Richard Sapio; president Eric McDonald; and compliance officer Michele Leftwich According to the Commission's complaint, Sapio, McDonald and Leftwich devised and perpetrated a number of deceptive acts and practices to conceal their clients' market timing activities, such as: (1) formation and registration of two affiliated broker-dealers (CDM and MTT) through which they could continue to market time undetected; (2) changing account numbers for blocked customer accounts; (3) use of alternative registered representative numbers for registered representatives who were blocked from trading by mutual funds; (4) use of different branch identification numbers; (5) switching clearing firms; and (6) suggesting that their customers use third party tax identification numbers or social security numbers to disguise their identities, so that they could continue to trade in funds from which they had been banned. The SEC further alleges that, at least during 2003, Mutuals.com and its affiliated broker dealers routinely received trading instructions from customers after 4:00 p.m. EST and executed those trades as if the instructions had been received prior to that time. According to the SEC, Mutuals.com and its affiliates attempted to conceal late trading activities by omitting portions of the trading information they were required to provide to clearing agents. The SEC alleges that, by way of that conduct: (i) each of the proposed defendants violated Section 17(a) of the Securities Act of 1933 (Securities Act); (ii) each of the proposed defendants violated, and aided and abetted their customers' and clients' violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b- 5 thereunder; (iii) Mutuals.com, CDM and MTT violated Section 15(c)(1) of the Exchange Act; (iv) Sapio, McDonald and Leftwich aided and abetted those violations of Section 15(c)(1) of the Exchange Act; and (v) Mutuals.com, CDM and MTT violated Rule 22c-1 of the Investment Company Act of 1940 (which prohibits the purchase or sale of mutual fund shares except at a price based on the current NAV of such shares that is next calculated after receipt of a buy or sell order). [Securities and Exchange Commission v. Mutuals.com, Inc., Connely Dowd Management, Inc., MTT Fundcorp, Inc., Richard Sapio, Eric McDonald, and Michele Leftwich, Civil Action No. 303 CV 2912D, U.S. District Court for the Northern District of Texas (Dallas Division) (LR-18489; Press Rel. 2003-169) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2003-169) to remove pricing for the Tools and Tools Plus products 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 December 8. (Rel. 34-48864) A proposed rule change filed by the Chicago Board Options Exchange (SR- CBOE-2003-48) to amend Interpretation and Policy .01 and .02 of its Rule 23.1 with respect to the determination of the closing exercise settlement value for interest rate options and to the designation of the reporting authorities for interest rate options 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 December 8. (Rel. 34-48865) A proposed rule change filed by National Stock Exchange to extend a pilot amending Exchange Rule 12.6, Customer Priority, to require Designated Dealers to better customer orders at the National Best Bid or Offer by whole penny increments (SR-CSE-2003-16) 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 December 8. (Rel. 34-48869) PROPOSED RULE CHANGE The National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD- 2003-165), and Amendment Nos. 1, 2, and 3 thereto, to establish a "Discretionary" order in Nasdaq's SuperMontage System. Publication of the proposal is expected in the Federal Register during the week of December 8. (Rel. 34-48868) 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-8 ZIM CORP, 20 COLONNADE ROAD, SUITE 200, NEPEAN, A6, K2E 7M6, 6137271397 - 22,200,000 ($8,880,000.00) Equity, (File 333-110878 - Dec. 3) (BR. 03) S-8 REGI U S INC, #185-10751 SHELLBRIDGE WAY, RICHMOND B C CANADA, A1, V7A 5G8, 6042414214 - 300,000 ($93,000.00) Equity, 250,000 ($75,000.00) Other, (File 333-110879 - Dec. 3) (BR. 36) SB-2 QT 5 INC, 5655 LINDERO CANYON ROAD, SUITE 120, WESTLAKE VILLAGE, CA, 91362, (866) 508-8378 - 10,693,656 ($1,444,962.00) Equity, (File 333-110880 - Dec. 3) (BR. 01) S-8 GENESIS MICROCHIP INC /DE, 2150 GOLD STREET, ALVISO, CA, 95002, 4082626599 - 0 ($6,894,327.00) Equity, (File 333-110881 - Dec. 3) (BR. 36) S-3 US ENERGY CORP, 877 NORTH 8TH WEST, GLEN L LARSEN BLDG, RIVERTON, WY, 82501, 3078569271 - 1,104,898 ($2,606,559.00) Other, (File 333-110882 - Dec. 3) (BR. 04) SB-2 ORIENTAL AUTOMOTIVE PARTS DEVELOPMENT CHINA CO LTD, 7,565,350 ($1,134,802.50) Equity, (File 333-110884 - Dec. 3) (BR. 09) S-3 MEMBERWORKS INC, 680 WASHINGTON BLVD., SUITE 1100, STAMFORD, CT, 06901, 2033247635 - 2,229,651 ($90,000,000.00) Equity, (File 333-110885 - Dec. 3) (BR. 08) S-8 DTOMI INC, 200 9TH AVENUE, SUITE 220, SAFETY HARBOR, FL, 34965, (727) 723-8664 - 500,000 ($505,000.00) Equity, (File 333-110886 - Dec. 3) (BR. 08) S-8 AUGRID CORP, 2275 EAST 55TH STREET, 2ND FLOOR, CLEVELAND, OH, 44103, 7025921816 - 50,000,000 ($340,000.00) Equity, (File 333-110887 - Dec. 3) (BR. 09) S-8 OAK RIDGE MICRO-ENERGY INC, OTS HOLDINGS INC, 3046 E BRIGHTON PLACE, SLT LAKE CITY, UT, 84121, 8019471270 - 700,000 ($1,579,440.00) Equity, (File 333-110888 - Dec. 3) (BR. 36) S-3 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 - 9,725,683 ($17,263,087.32) Equity, (File 333-110889 - Dec. 3) (BR. 36) S-3 MFA MORTGAGE INVESTMENTS, 350 PARK AVENUE, 21ST FL, NEW YORK, NY, 10022, 2122076400 - 9,130,706 ($88,841,770.00) Equity, (File 333-110890 - Dec. 3) (BR. 08) S-3 I TRAX INC, ONE LOGAN SQUARE, 130 N 18TH ST SUITE 3615, PHILADELPHIA, PA, 19103, 7038600600 - 2,421,889 ($6,853,945.00) Equity, (File 333-110891 - Dec. 3) (BR. 03) SB-2 DIOMED HOLDINGS INC, 1 DUNDEE PARK, ANDOVER, MA, 01810, 978-475-7771 - 327,569,867 ($104,822,357.80) Equity, (File 333-110892 - Dec. 3) (BR. 36) S-4 LEUCADIA NATIONAL CORP, 315 PARK AVE S, NEW YORK, NY, 10010, 2124601900 - 25,000,000 ($25,000,000.00) Non-Convertible Debt, (File 333-110893 - Dec. 3) (BR. 01) S-8 ORBIT E COMMERCE INC, 4163040694 - 1,000,000 ($210,000.00) Equity, (File 333-110894 - Dec. 3) (BR. 04) S-8 GRIC COMMUNICATIONS INC, 1421 MCCARTHY BLVD, MILPITAS, CA, 95035, 4089551920 - 0 ($799,336.00) Equity, (File 333-110895 - Dec. 3) (BR. 03) SB-2 AMNIS SYSTEMS INC, 3450 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 6508550200 - 113,458,013 ($4,003,740.38) Equity, (File 333-110896 - Dec. 3) (BR. 37) S-3 CARDIAC SCIENCE INC, 16931 MILLIKAN AVENUE, IRVINE, CA, 92606, 9495870357 - 26,638,319 ($92,701,349.00) Equity, (File 333-110898 - Dec. 3) (BR. 36) F-6 ENERSIS SA, SANTA ROSA 76, SANTIAGO DE CHILE, F3, 562 353 4400 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-110899 - Dec. 3) (BR. 02) S-1 MIDWEST EXPRESS HOLDINGS INC, 6744 S HOWELL AVE, OAK CREEK, WI, 53154, 4147474000 - 1,882,353 ($7,567,059.00) Equity, (File 333-110900 - Dec. 3) (BR. 05) S-3 HEALTH CARE REIT INC /DE/, ONE SEAGATE STE 1500, P O BOX 1475, TOLEDO, OH, 43604, 4192472800 - 6,314,213 ($217,682,493.18) Equity, (File 333-110902 - Dec. 3) (BR. 08) S-8 GENUS INC, 1139 KARLSTAD DRIVE, SUNNYVALE, CA, 94089-2117, 4087477120 - 1,300,000 ($9,155,000.00) Equity, (File 333-110903 - Dec. 3) (BR. 36) F-3 BUNGE LTD, 50 MAIN STREET, WHITE PLAINS, NY, 10606, 9146842800 - 0 ($9,000,000.00) Debt Convertible into Equity, (File 333-110904 - Dec. 3) (BR. 04) S-8 DECODE GENETICS INC, 8 STURLUGATA, IS 101, REYJKAVIK, K6, 00000, 011 354 570 1900 - 0 ($32,393,546.38) Equity, (File 333-110905 - Dec. 3) (BR. 01) 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 ---------------------------------------------------------------------------------------------- ACE CASH EXPRESS INC/TX TX X X 12/02/03 ADELPHIA COMMUNICATIONS CORP DE X 10/31/03 ADEPT TECHNOLOGY INC CA X X 12/02/03 ADOLOR CORP X 12/03/03 ADVANTA BUSINESS RECEIVABLES CORP X X 12/03/03 AERO SYSTEMS ENGINEERING INC MN X X 12/02/03 AFTERMARKET TECHNOLOGY CORP DE X 12/02/03 AGWAY INC DE X X 12/03/03 AMEND AIR METHODS CORP DE X X 12/03/03 ALCAN INC A6 X 11/25/03 AMERICA WEST HOLDINGS CORP DE X 12/02/03 AMERICAN HOME MORTGAGE HOLDINGS INC DE X X 12/02/03 AMERICAN HOMEPATIENT INC DE X X 12/03/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 12/02/03 AMERICAN VANGUARD CORP DE X X 11/13/03 ANADARKO PETROLEUM CORP DE X X 12/03/03 ANGELICA CORP /NEW/ MO X 12/03/03 ANIKA THERAPEUTICS INC MA X X 12/02/03 APPLIED DIGITAL SOLUTIONS INC MO X X 12/02/03 APPLIED DNA SCIENCES INC NV X 11/26/03 ARAHOVA COMMUNICATIONS INC DE X 10/31/03 ARGENT SECURITIES INC X X 12/03/03 ARGENT SECURITIES INC X X 12/02/03 ARIAD PHARMACEUTICALS INC DE X X 12/02/03 ASCONI CORP NV X X 12/03/03 ASSET-BACKED CERTIFICATE SERIES 2003- DE X 11/25/03 ATLANTIC SYNERGY INC NV X 12/01/03 ATLAS MINERALS INC CO X 12/02/03 ATRIUM COMPANIES INC DE X X 12/02/03 AUGUST TECHNOLOGY CORP MN X X 11/30/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X 11/25/03 BANK OF AMERICA 1999-10 NC X 11/25/03 BANK OF AMERICA 1999-11 NC X 11/25/03 BANK OF AMERICA 1999-3 NC X 11/25/03 BANK OF AMERICA 1999-4 DE X 11/25/03 BANK OF AMERICA 1999-5 NC X 11/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 11/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/03 BANK OF AMERICA MORT SEC MORT PASS TH DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/03 BELK INC X X 12/03/03 BEVERLY ENTERPRISES INC DE X 12/01/03 BLUE RIVER BANCSHARES INC IN X X 11/19/03 BOSTON PROPERTIES INC DE X 11/24/03 BRE PROPERTIES INC /MD/ MD X X 12/02/03 BROOKE CORP KS X X 12/02/03 CAPITAL CORP OF THE WEST CA X X 12/03/03 CAPITAL ONE FUNDING LLC X X 11/20/03 CAPITAL ONE MASTER TRUST NY X X 11/21/03 CASEYS GENERAL STORES INC IA X X 12/03/03 CEL SCI CORP CO X X 12/01/03 CELSION CORP MD X 10/31/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 12/03/03 CHASE FUNDING INC NY X X 12/01/03 CHASE MORTGAGE FINANCE CORP DE X X 11/25/03 CHASE MORTGAGE FINANCE CORP DE X X 12/02/03 CHINA WIRELESS COMMUNICATIONS INC NV X 12/02/03 CHL MORTGAGE PASS THROUGH TRUST 2003- DE X 11/25/03 CIGNA CORP DE X 12/03/03 CITICORP MORTGAGE SECURITIES INC DE X X 12/03/03 CITIZENS FINANCIAL CORP/DE/ DE X 11/21/03 AMEND CITIZENS HOLDING CO /MS/ MS X X 12/02/03 CITY HOLDING CO WV X X 12/03/03 CLEVELAND CLIFFS INC OH X 12/02/03 CNA FINANCIAL CORP DE X X 12/02/03 COAST BANCORP/CA X 11/01/03 COASTAL CARIBBEAN OILS & MINERALS LTD D0 X 12/03/03 COCA COLA BOTTLING CO CONSOLIDATED /D DE X 12/03/03 COLONY BANKCORP INC GA X X 12/03/03 COLUMBUS SOUTHERN POWER CO /OH/ OH X X 11/20/03 COMMERCIAL METALS CO DE X X 12/03/03 COMMERCIAL NET LEASE REALTY INC MD X X 12/02/03 COMMERCIAL NET LEASE REALTY INC MD X 12/02/03 COMMODORE ENVIRONMENTAL SERVICES INC DE X 11/24/03 COMMONWEALTH TELEPHONE ENTERPRISES IN PA X X 12/03/03 COMMUNITY FIRST BANKSHARES INC DE X X 12/01/03 COMVERSE TECHNOLOGY INC/NY/ NY X 12/03/03 CONCERO INC DE X 12/02/03 CONCORD COMMUNICATIONS INC MA X 12/02/03 COTELLIGENT INC DE X X 11/25/03 COUNTY BANK CORP MI X 12/03/03 COVANTA ENERGY CORP DE X X 12/02/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 12/03/03 CROSSROADS SYSTEMS INC DE X 12/02/03 CROWLEY MARITIME CORP DE X 12/03/03 CSFB HOME EQUITY PASS THROUGH CERTS S DE X X 11/25/03 CWABS INC DE X X 12/01/03 CWABS INC DE X X 10/30/03 AMEND CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/03 CWABS INC ASSET BACKED CERTS SER 2003 DE X 11/25/03 CWABS INC ASSET BACKED CERTS SER 2003 DE X 11/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 11/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 11/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 11/25/03 CWABS INC ASSET-BACKED CERTIFICATES S DE X 11/25/03 CWABS INC COUNTRYWIDE HOME LOANS SERV DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THRU TRU DE X 11/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 11/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 11/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 11/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 11/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 11/25/03 CWMBS INC CHL M ORTGAGE PASS THROUGH DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS THRU TR 2 DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/03 CWMBS INC MORTGAGE PASS THR CERTS SER DE X 11/25/03 CWMBS INC MORTGAGE PASS THR CERTS SER DE X 11/25/03 CWMBS INC MORTGAGE PASS THR CERTS SER DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 11/25/03 CWMBS INC MORTGAGE PASS THRU CERTIFIC DE X 11/25/03 CWMBS INC MORTGAGE PASS-THROUGH CERTI DE X 11/25/03 CYBERONICS INC DE X 12/03/03 DAIMLERCHRYSLER SERVICES NORTH AMERIC MI X X 11/21/03 AMEND DAN RIVER INC /GA/ GA X 12/03/03 DANA CORP VA X 12/03/03 DEERE & CO DE X 12/03/03 DEVON ENERGY CORP/DE DE X X 11/06/03 DIOMED HOLDINGS INC NV X 12/02/03 DJ ORTHOPEDICS INC DE X X X 11/26/03 DOLLAR GENERAL CORP TN X X 12/02/03 ENCORE ACQUISITION CO DE X X 12/02/03 ENCYSIVE PHARMACEUTICALS INC DE X X 12/03/03 ENXNET INC OK X X 12/02/03 EVANS BOB FARMS INC DE X X 12/02/03 EXELON CORP PA X 11/25/03 FAFCO INC CA X X 11/26/03 FEDERAL SCREW WORKS MI X 12/03/03 FGIC SECURITIES PURCHASE INC DE X X 11/14/03 FINANCIAL ASSET SECURITIES CORP DE X X 12/02/03 FIRST HORIZON ASSET SEC INC MOR PAS T DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 11/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 11/25/03 FIRST HORIZON ASSET SEC MORT PASS THR DE X 11/25/03 FIRST HORIZON ASSET SEC MORT PASS-THR DE X 11/25/03 FIRST HORIZON ASSET SECS INC MORT PAS DE X 11/25/03 FIRST HORIZON ASSET SECURITIES INC PA DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH C DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THRU CERT DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THRU TRUS DE X 11/25/03 FIRST HORIZON MORTGAGE PASS THRU TRUS DE X 11/25/03 FIRST HORIZON MORTGAGE PASS-THROUGH T DE X 11/25/03 FIRST POTOMAC REALTY TRUST MD X X 12/01/03 FLUOR CORP DE X X 12/03/03 FNB FINANCIAL SERVICES CORP NC X 12/02/03 FORGENT NETWORKS INC DE X X 12/03/03 FRONTIERVISION HOLDINGS LP DE X 10/31/03 FRONTIERVISION OPERATING PARTNERS LP DE X 10/31/03 FTI CONSULTING INC MD X 11/28/03 GENERAL MOTORS ACCEPTANCE CORP DE X 12/02/03 GENERAL MOTORS CORP DE X 12/02/03 GENZYME CORP MA X X 12/03/03 GENZYME CORP MA X X 12/03/03 GEODYNE ENERGY INCOME LIMITED PARTNER OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GEODYNE ENERGY INCOME LTD PARTNERSHIP OK X X 12/01/03 AMEND GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 12/02/03 GOLDEN PATRIOT CORP NV X 12/01/03 GREENWICH CAPITAL COMM MORT PASS THR X X 12/02/03 GRIC COMMUNICATIONS INC CA X X X 11/25/03 HAROLDS STORES INC OK X X 12/02/03 HAWAIIAN HOLDINGS INC DE X X 11/20/03 HEALTHCARE REALTY TRUST INC MD X X 12/03/03 HENNESSY ADVISORS INC X X 12/03/03 HORACE MANN EDUCATORS CORP /DE/ DE X X 12/02/03 IA GLOBAL INC DE X X 12/03/03 IMMTECH INTERNATIONAL INC DE X 12/03/03 INDIGINET INC/FL FL X X 07/08/03 INTERNATIONAL DISPLAYWORKS INC OR X X 12/02/03 IRWIN FINANCIAL CORPORATION IN X X 12/03/03 ISOLAGEN INC DE X 12/03/03 KB HOME DE X X X 12/02/03 KEYCORP STUDENT LOAN TRUST 2002-A OH X X 11/28/03 AMEND KFORCE INC FL X X 12/02/03 KLEVER MARKETING INC DE X 12/03/03 KONTRON MOBILE COMPUTING INC MN X 12/03/03 LA JOLLA PHARMACEUTICAL CO DE X X 12/02/03 LABONE INC/ MO X 12/03/03 LAYNE CHRISTENSEN CO DE X X 12/03/03 LIBERATE TECHNOLOGIES DE X 11/19/03 LIBERATE TECHNOLOGIES DE X 11/26/03 LOEHMANNS HOLDINGS INC MD X X 11/25/03 MAF BANCORP INC DE X X 12/01/03 MANDALAY RESORT GROUP NV X X 12/03/03 MEDISCIENCE TECHNOLOGY CORP NJ X 12/03/03 MERCK & CO INC NJ X X 12/03/03 MERCURY AIR GROUP INC NY X X 11/25/03 MERRILL LYNCH DEPOSITOR INC DE X X 12/01/03 MERRILL LYNCH DEPOSITOR INC DE X X 12/01/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 12/01/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 12/01/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 12/01/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/24/03 METROCALL HOLDINGS INC DE X X 12/03/03 MICRON ENVIRO SYSTEMS INC NV X 12/02/03 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 08/15/03 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 09/15/03 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 10/15/03 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 11/17/03 MORGAN STANLEY COMM MORT PASS THR CER DE X X 12/01/03 MORGAN STANLEY COMM MORT PASS THR CER DE X X 12/02/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 12/03/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X 11/25/03 MS STRUCTURED ASSET CORP DE X 12/01/03 MS STRUCTURED ASSET CORP DE X 12/03/03 NARA BANCORP INC DE X X 12/02/03 NATIONAL VISION INC GA X 12/03/03 NATURADE INC DE X X 11/06/03 NEIMAN MARCUS GROUP INC DE X X 12/03/03 NEIMAN MARCUS GROUP INC DE X X 12/03/03 NETWORK 1 SECURITY SOLUTIONS INC DE X X 11/18/03 NICOR INC IL X 12/03/03 NOVADEL PHARMA INC DE X X 11/26/03 OCEANEERING INTERNATIONAL INC DE X 12/03/03 OHIO ART CO OH X 11/26/03 OLYMPUS COMMUNICATIONS LP DE X 10/31/03 OTISH MOUNTAIN DIAMOND CO NV X X X 11/30/03 PACIFIC PREMIER BANCORP INC DE X X 12/03/03 PEGASUS SOLUTIONS INC DE X X X 12/03/03 PHYSIOMETRIX INC DE X X 12/03/03 PLAINS ALL AMERICAN PIPELINE LP DE X 12/03/03 PMA CAPITAL CORP PA X 12/02/03 POWERWAVE TECHNOLOGIES INC DE X X 12/01/03 PROTECTION ONE INC DE X 12/02/03 QUINCY RESOURCES INC NV X 11/20/03 RALCORP HOLDINGS INC /MO MO X X 12/03/03 RECOM MANAGED SYSTEMS INC DE/ DE X X 12/01/03 REINSURANCE GROUP OF AMERICA INC MO X X 11/24/03 REINSURANCE GROUP OF AMERICA INC MO X X 11/24/03 RESIDENTIAL ASSET MORT PROD GMACM PS DE X X 11/25/03 RESIDENTIAL ASSET MORT PRODUCT GMACM DE X X 11/19/03 RESTORATION HARDWARE INC CA X X 12/02/03 RETURN ON INVESTMENT CORP DE X 12/03/03 RITA MEDICAL SYSTEMS INC DE X 12/02/03 ROADWAY CORP DE X X 12/03/03 ROHN INDUSTRIES INC DE X X 11/06/03 ROYAL BODYCARE INC/NV DE X X 11/20/03 SAFECO CORP WA X 12/03/03 SALOMON BROTHERS MORT SEC VII INC MOR DE X X 11/25/03 SANTANDER BANCORP X 11/30/03 SEA CONTAINERS LTD /NY/ X X 12/03/03 SEABOARD CORP /DE/ DE X 12/03/03 SEVEN SEAS PETROLEUM INC B0 X X 12/03/03 SIERRA PACIFIC RESOURCES /NV/ NV X X 12/01/03 SIRIUS SATELLITE RADIO INC DE X X 11/19/03 SL GREEN REALTY CORP MD X X 12/02/03 SLM FUNDING LLC DE X X 11/25/03 SOUTHERN CO DE X X 12/02/03 SOUTHWESTERN ENERGY CO AR X 12/03/03 SPEEDCOM WIRELESS CORP DE X 12/03/03 SPORT SUPPLY GROUP INC DE X X 11/18/03 SPORTS CLUB CO INC DE X X 12/03/03 SPS TECHNOLOGIES INC PA X X 12/02/03 STEWART & STEVENSON SERVICES INC TX X X 12/03/03 STRUCTURED ASSET MORT INVEST INC CDMC DE X 11/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS X X 12/01/03 STRUCTURED PRODUCTS CORP DE X X 12/01/03 STRUCTURED PRODUCTS CORP TIERS PRINCI DE X X 12/01/03 SYKES ENTERPRISES INC FL X X 12/02/03 SYNOPSYS INC DE X X 12/03/03 SYNOVIS LIFE TECHNOLOGIES INC MN X X X 12/03/03 TANGO INC FL X X 12/02/03 AMEND TJT INC WA X 12/03/03 TOUCHTUNES MUSIC CORP NV X X 12/03/03 TRANSGENOMIC INC DE X X 12/02/03 U S GLOBAL INVESTORS INC TX X 09/30/03 ULTICOM INC NJ X 12/03/03 UNIFY CORP DE X 12/03/03 UNITED NATIONAL BANCORP NJ X X 12/02/03 UNITED NATURAL FOODS INC DE X X 12/03/03 UNITED RENTALS INC /DE DE X 12/02/03 UNITEDHEALTH GROUP INC MN X X 12/03/03 UPC POLSKA INC DE X X 12/01/03 US HOME SYSTEMS INC DE X 12/03/03 VALUEVISION MEDIA INC MN X X 12/01/03 VERINT SYSTEMS INC X X 12/03/03 VIROPHARMA INC DE X 12/01/03 VORNADO REALTY TRUST MD X 12/03/03 WELLS FARGO ASSET SECURITIES CORP DE X X 12/03/03 WELLS REAL ESTATE INVESTMENT TRUST II MD X 12/02/03 WELLS REAL ESTATE INVESTMENT TRUST IN DE X 11/19/03 WENDYS INTERNATIONAL INC OH X X 12/03/03 WFS RECEIVABLES CORP 3 CA X X 11/25/03 WINMARK CORP MN X X 12/03/03 WINTHROP RESIDENTIAL ASSOCIATES III MD X 11/25/03 WIRELESS AGE COMMUNICATIONS INC NV X X 12/03/03 AMEND WISCONSIN GAS CO WI X 12/03/03 YELLOW CORP DE X X 12/03/03 THOR INDUSTRIES INC DE X X 12/01/03