SEC NEWS DIGEST Issue 2003-237 December 15, 2003 ENFORCEMENT PROCEEDINGS IN THE MATTER OF LUIS LORIE On December 12, the Commission issued an Order Instituting Public Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) against Luis F. Lorie (Lorie). In the Order, the staff alleges that Lorie is enjoined from future violations of the antifraud and registration provisions of the securities laws and has pled guilty to criminal charges resulting from his participation in a "pump and dump" scheme that utilized the Internet to create and maintain a market for the common stock of American Healthcare Providers, Inc. (American Healthcare), a start-up company with virtually no business operations. The Commission instituted this administrative proceeding after a district court in the Southern District of New York found Lorie liable, on May 29, 2002, for his role in the American Healthcare fraud, granted the Commission's motion for a default judgment, and enjoined Lorie from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. See SEC v. American Healthcare Providers, Inc., et al., 01 cv 7649 (B.S.J.). In addition, on Nov. 27, 2002, Lorie pled guilty to criminal securities fraud charges concerning the American Healthcare fraud. The complaint in the Commission's injunctive action against Lorie alleged that Lorie participated in editing and drafting press releases that he knew, or was reckless in not knowing, contained false information about American Healthcare. Using the screen name Dr_Analyst, Lorie also posted false and misleading messages about American Healthcare on Raging Bull, an Internet message board. Despite knowing, or recklessly disregarding, that his statements were false and misleading, Lorie misled investors about American Healthcare. Between March 1999 and June 15, 2000, American Healthcare issued at least 5,802,880 shares of unrestricted common stock in unregistered transactions, increasing its float by 2633%. Of the 5.8 million unrestricted shares issued, at least 3,393,111 shares were directly issued to 6 companies related to Lorie or his father (the Lories). Within days of American Healthcare issuing unrestricted shares to their nominees, the Lories placed these shares into several securities trading accounts in the United States and Canada, transferred shares between the nominee companies, and sold them to the investing public. The Lories received a total of at least $1,469,957.31 from the sale of shares of American Healthcare. In the Order, the Commission deems that it is in the public interest to institute public administrative proceedings to determine whether the allegations in the Order are true and what, if any, remedial sanctions, including a penny stock bar, against Lorie are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act. The Commission directed that an administrative law judge shall issue an initial decision in this matter within 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-48915; File No. 3-11355) IN THE MATTER OF CORNERSTONE PROPANE PARTNERS, L.P. On December 12, the Commission issued an Order Instituting Proceedings, Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against CornerStone Propane Partners, L.P (CornerStone). CornerStone is a Delaware limited partnership based in Watsonville, California, which sells retail propane and wholesale energy-related commodities. The Order finds that CornerStone failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1, 13a-13 and 12b-20 thereunder for failing to timely file its annual reports for the fiscal years ended June 30, 2002, and June 30, 2003, and its quarterly reports for the periods ended Sept. 30, 2002, to present. In addition, although CornerStone announced on Feb. 10, 2003, that its financial statements for the years ended June 30, 2001 and June 30, 2000, and the interim periods therein needed to be restated, it has not made these restatements. Based on the above, the Order revokes the registration of each class of CornerStone's securities registered pursuant to Section 12 of the Exchange Act. CornerStone consented to the issuance of the Order without admitting or denying any of the findings contained therein. (Rel. 34-48916; File No. 3-11356) IN THE MATTER OF ROBERT LITTELL AND WILFRED MECKEL On December 15, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 (Order) against Robert T. Littell, director of investments, and Wilfred Meckel, principal, of Marque Millennium Group, Inc. (MMG), an unregistered investment adviser to certain hedge funds called Marque Partners I (MPI), Marque Partners II and Marque Fund II Limited (collectively the Hedge Funds). The Commission found that Littell defrauded investors in the Hedge Funds and that Meckel failed reasonably to supervise Littell with a view to preventing violations of the federal securities laws while Littell was subject to his supervision. Specifically, the Commission found that from at least December 1998 through March 2000, MMG, through Littell, communicated materially inaccurate performance information to limited partners and potential investors in the Hedge Funds. In addition, from MPI's inception in October 1997 through March 2000, MMG, through Littell, made various misrepresentations about the Hedge Funds' management structure, retention of an accountant and auditor, and risk management techniques. Littell also improperly redeemed the full amount of investments by two large investors at a time when the Hedge Funds had incurred substantial undisclosed losses, and he took numerous steps to conceal the losses from investors and from Meckel. The Commission further finds that Meckel failed to take reasonable supervisory actions, which could include maintaining accurate records of investments into and distributions from the Hedge Funds, review of daily trading activity, valuation of the Hedge Funds' positions, and separation of the Hedge Funds' trading and back office functions. Instead, Meckel relied on Littell's reporting and did not independently verify the performance information and other representations made by Littell. This delayed Meckel's discovery of Littell's misconduct and enabled Littell to continue his fraudulent activities. Littell and Meckel each settled the proceedings without admitting or denying the Commission's findings. The Commission barred Littell from association with any investment adviser and ordered him to cease and desist from committing or causing any violations, and any future violations of, Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and ordered him to pay a civil money penalty of $15,000. The Commission suspended Meckel from association in any supervisory capacity with any investment adviser for a period of six months and censured him. (Rel. IA-2203; File No. 3-11357; Press Rel. 2003-172) INVESTMENT COMPANY ACT RELEASES THE VANGUARD GROUP, INC., ET AL. A notice has been issued giving interested persons until December 29 to request a hearing on an application filed by The Vanguard Group, Inc., et al. for an order to amend a prior order (Original VIPERs Order). The requested order would permit applicants to the Original VIPERs Order and other registered open-end management investment companies advised by The Vanguard Group, Inc. that track domestic equity securities indices to offer a class of shares that have limited redeemability and trade in the secondary market at negotiated prices. The requested order would also modify certain terms and conditions of the Original VIPERs Order. (Rel. IC-26282 - December 2) ALPINE EQUITY TRUST, ET AL. An order has been issued on an application filed by Alpine Equity Trust, et al., under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act, for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits certain registered management investment companies and certain entities that are excluded from the definition of investment company under Section 3(c)(1) or 3(c)(7) of the Act to invest uninvested cash in affiliated money market funds in excess of the limits in Sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-26283 - December 3) CITICORP NORTH AMERICA, INC. A notice has been issued giving interested persons until Jan. 5, 2004, to request a hearing on an application filed by Citicorp North America, Inc. (CNAI) for an order pursuant to Section 6(c) of the Investment Company Act that would grant relief from Section 18(f)(1) of the Act. The order would permit registered open-end management investment companies to enter into secured loan transactions with commercial paper and medium-term note conduits administered by CNAI. (Rel. IC-26292 - December 12) HOLDING COMPANY ACT RELEASES DOMINION RESOURCES, INC., ET AL. An order has been issued authorizing a proposal filed by Dominion Resources, Inc., a registered holding company, and Dominion Energy, Inc. (DEI), its direct, wholly owned nonutility subsidiary, to organize and acquire Dominion Wholesale, Inc., as a subsidiary of DEI to assist their nonutility electric generation and gas-related subsidiaries in the procurement, storage and maintenance of materials, machinery, equipment, services and supplies (the Equipment) and to sell Equipment to unaffiliated third parties. (Rel. 35-27772 - December 12) SELF REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2003-18) under Section 19(b)(1) of the Exchange Act. The proposed rule change, which was effective upon filing, modifies NSCC's Rule 57, Section 1, to allow NSCC's members, insurance carrier members, and data services only members to submit application information and settle premium payments with respect to life insurance products by adding a new service called Portal. Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48896) A proposed rule change filed by the Boston Stock Exchange to establish a general revenue sharing program (SR-BSE-2003-22) 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 15. (Rel. 34-48914) A proposed rule change (SR-NYSE-2003-38) filed by the New York Stock Exchange to extend for an additional six months its pilot program permitting a Floor broker to use an Exchange authorized and provided portable telephone on the Exchange floor has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34- 48919) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2003-37), and Amendment No. 1 thereto, relating to appointment of the members and Chairman of its Governance Committee. Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48913) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2003- 40) relating to the Listing of Certain 7 _% PEPSsm Units under Section 703.19. Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48918) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing one Ordinary Share), of Fila Holding S.p.A., effective at the opening of business on December 15. (Rel. 34-48920) 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 certain underlying securities of the following companies, effective at the opening of business on December 15: J2 Global Communications, Inc. (JCOM) Sysco Corp. (SYY) (Rel. 34-48921) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on December 15: Bay View Capital Corporation (BVC) CSK Auto Corporation (CAO) Ocean Energy, Inc. (OEI) Odyssey Re Holdings Corporation (ORH) RARE Hospitality International, Inc. (QRH/RARE) Spherion Corporation (SFN) Scios, Inc. (UIO/SCIO) The Buckle, Inc. (BKE) Werner Enterprises, Inc. (QEH/WERN) (Rel. 34-48922) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (representing Ordinary Participation Certificates) of Savia S.A. de C.V., effective at the opening of business on December 15. (Rel. 34- 48924) ADDITIONS AND CORRECTIONS ADDITIONAL INFORMATION A summary, which appeared in the December 12th issue of the Digest, entitled "SEC CHARGES FORMER NICOR ENERGY EXECUTIVES WITH MULTI-MILLION DOLLAR FINANCIAL FRAUD", did not include the Accounting and Auditing release number. The Accounting and Auditing release number is 1923. A summary, which appeared in the December 12th issue of the Digest, entitled "CIVIL INJUNCTIVE ACTION FILED AGAINST HEARTLAND ADVISORS AND CERTAIN EMPLOYEES FOR MISREPRESENTATIONS AND OMISSIONS, MISPRICING OF BONDS AND INSIDER TRADING", omitted pertinent information. It should have read as follows: CIVIL INJUNCTIVE ACTION FILED AGAINST HEARTLAND ADVISORS AND CERTAIN EMPLOYEES FOR MISREPRESENTATIONS AND OMISSIONS, MISPRICING OF BONDS AND INSIDER TRADING The SEC announced that it filed a civil injunctive action in the Eastern District of Wisconsin against Heartland Advisors Inc., a Milwaukee, Wisconsin investment adviser, and William Nasgovitz, Paul Beste, Jilaine Bauer, Thomas Conlin, Greg Winston, Kevin Clerk, Kenneth Della, Hugh Denison and Raymond Krueger, Milwaukee- area residents. The Commission's actions alleged violations in three primary areas -- fund pricing, insider trading, and disclosure -- and relate to two high-yield municipal bond funds managed by Heartland Advisers (Funds). These allegations came to light when the Funds, and a smaller related fund, dropped in value by approximately $93 million between Sept. 28 and Oct. 13, 2000, due to the confluence of months of deliberate mispricing of the Funds' securities by Heartland Advisers and a cash-flow crisis related to extensive borrowing to meet investor redemptions. While investors were unaware of the status of the funds, Nasgovitz tipped one of his friends and clients, Krueger, who liquidated his shares in one of the Funds. Bauer, Winston and Della also liquidated shares in one or more of the Funds and/or a related fund, with inside information about the Funds' pricing and cash flow problems. Further, Winston tipped family members who liquidated their shares in one or more of the Funds and/or a related fund. The SEC seeks an order of permanent injunction, disgorgement plus pre-judgment interest and civil penalties from all of the defendants for their violations of the antifraud provisions of the Securities Exchange Act of the 1934 and/or various other provisions of the Securities Act of 1933, the Investment Advisers Act of 1940 and the Investment Company Act of 1940. [SEC v. Heartland Advisors, et al., USDC, ED Wisconsin, 03 C-1427] (LR-18505) 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: . F-3 CHINA YUCHAI INTERNATIONAL LTD, 16 RAFFLES QUAY #26-00, HONG LEONG BLDG, SINGAPORE 0104 SINGA, U0, 0116563226220 - 11,831,169 ($346,298,316.63) Equity, (File 333-111106 - Dec. 12) (BR. 36) S-8 MOOG INC, PLANT 24, EAST AURORA, NY, 14052-0018, 7166522000 - 600,000 ($28,008,000.00) Equity, (File 333-111107 - Dec. 12) (BR. 06) S-8 SHIRE PHARMACEUTICALS GROUP PLC, HAMPSHIRE INTL BUSINESS PARK, CHINEHAM BASINGSTOKE, HAMPSHIRE ENGLAND RG, X0, 1264333455 - 0 ($42,917,000.00) Equity, (File 333-111108 - Dec. 12) (BR. 01) S-4 YDI WIRELESS INC, 20 INDUSTRIAL DRIVE EAST, SOUTH DEERFIELD, MA, 01373, 4136658551 - 2,222,014 ($10,981,559.00) Equity, (File 333-111110 - Dec. 12) (BR. 37) S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 0 ($44,960,000.00) ADRs/ADSs, (File 333-111112 - Dec. 12) (BR. 03) S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 0 ($39,340,000.00) ADRs/ADSs, (File 333-111113 - Dec. 12) (BR. 03) S-8 WINN DIXIE STORES INC, 5050 EDGEWOOD CT, JACKSONVILLE, FL, 32224, 9047835000 - 0 ($3,300,000.00) Equity, (File 333-111114 - Dec. 12) (BR. 02) S-8 WINN DIXIE STORES INC, 5050 EDGEWOOD CT, JACKSONVILLE, FL, 32224, 9047835000 - 0 ($44,000,000.00) Equity, (File 333-111115 - Dec. 12) (BR. 02) S-4 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101, 3367332000 - 0 ($8,552,062.00) Equity, (File 333-111116 - Dec. 12) (BR. 07) S-8 IMPLANT SCIENCES CORP, 107 AUDUBON ROAD #5, WAKEFIELD, MA, 01880-1246, 7812460700 - 0 ($7,600,000.00) Equity, (File 333-111117 - Dec. 12) (BR. 36) S-3 MERCER INTERNATIONAL INC, 14900 INTERURBAN AVENUE SOUTH, SUITE 282, SEATTLE, WA, 98168, 2066744639 - 0 ($82,500,000.00) Debt Convertible into Equity, (File 333-111118 - Dec. 12) (BR. 04) S-8 OXFORD HEALTH PLANS INC, 48 MONROE TURNPIKE, TRUMBULL, CT, 06611, 2034596000 - 650,000 ($29,035,500.00) Other, (File 333-111119 - Dec. 12) (BR. 01) S-3 8X8 INC /DE/, 2445 MISSION COLLEGE BLVD, SANTA CLARA, CA, 95054, 4087271885 - 5,411,535 ($25,758,906.60) Equity, (File 333-111120 - Dec. 12) (BR. 36) S-1 IBASIS INC, 20 SECOND AVE, BURLINGTON, MA, 01803, 7815057500 - 0 ($8,352,136.00) Equity, (File 333-111121 - Dec. 12) (BR. 08) S-8 DRUGMAX INC, 12505 STARKEY RD, SUITE A, LARGO, FL, 33773, 7275330431 - 0 ($10,471,960.00) Equity, (File 333-111127 - Dec. 12) (BR. 01) S-3 DIGITALTHINK INC, 601 BRANNAN STREET, SAN FRANCISCO, CA, 94107, 4156254000 - 287,784 ($794,284.00) Equity, (File 333-111129 - Dec. 12) (BR. 08) S-8 WESTERN DIGITAL CORP, 20511 LAKE FOREST DRIVE, LAKE FOREST, CA, 92630, 9499325000 - 0 ($31,935,000.00) Equity, (File 333-111130 - Dec. 12) (BR. 03) S-8 ACTIVISION INC /NY, 3100 OCEAN PARK BLVD, STE 1000, SANTA MONICA, CA, 90405, 3102552000 - 9,000,000 ($134,955,000.00) Equity, (File 333-111131 - Dec. 12) (BR. 03) F-3 TEVA PHARMACEUTICAL INDUSTRIES LTD, 5 BAZEL ST, P O B 3190, PETACH TIKVA, L3, 49131, 0 ($250,606,368.00) ADRs/ADSs, (File 333-111132 - Dec. 12) (BR. 01) S-8 MARVELL TECHNOLOGY GROUP LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON HM 12, D0, 4412966395 - 26,021 ($178,243.85) Equity, (File 333-111133 - Dec. 12) (BR. 36) S-4 EQUISTAR CHEMICALS LP, ONE HOUSTON CENTER #700, 1221 MCKINNEY ST, HOUSTON, TX, 77010, 7136527300 - 0 ($250,000,000.00) Other, (File 333-111134 - Dec. 12) (BR. 02) S-1 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 4,228,974 ($10,171,995.00) Equity, (File 333-111135 - Dec. 12) (BR. 01) S-8 PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209, 2058774400 - 100,000 ($3,211,000.00) Equity, (File 333-111136 - Dec. 12) (BR. 01) S-8 PUMATECH INC, 2550 N FIRST ST, STE 500, SAN JOSE, CA, 95131, 4083217650 - 2,525,000 ($12,370,442.70) Equity, (File 333-111138 - Dec. 12) (BR. 03) S-8 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77041, 7134667788 - 0 ($36,225,000.00) Equity, (File 333-111139 - Dec. 12) (BR. 06) S-3 STAAR SURGICAL COMPANY, 1911 WALKER AVE, MONROVIA, CA, 91016, 8183037902 - 120,000 ($1,291,800.00) Equity, (File 333-111140 - Dec. 12) (BR. 36) S-8 PUMATECH INC, 2550 N FIRST ST, STE 500, SAN JOSE, CA, 95131, 4083217650 - 1,500,000 ($7,350,000.00) Equity, (File 333-111141 - Dec. 12) (BR. 03) S-8 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77041, 7134667788 - 0 ($24,150,000.00) Equity, (File 333-111142 - Dec. 12) (BR. 06) S-3 KERYX BIOPHARMACEUTICALS INC, 216 JAFFA ROAD, SHAAREI HAIR JERUSALEM, ISRAEL 94383, 9722534997 - 0 ($21,123,534.00) Equity, (File 333-111143 - Dec. 12) (BR. 01) F-3 TEVA PHARMACEUTICAL INDUSTRIES LTD, 5 BAZEL ST, P O B 3190, PETACH TIKVA, L3, 49131, 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-111144 - Dec. 12) (BR. 01) S-8 ALCON INC, 6201 SOUTH FREEWAY, FORT WORTH, TX, 76134, 8175516878 - 2,000,000 ($111,300,000.00) Equity, (File 333-111145 - Dec. 12) (BR. 36) S-3 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5084351000 - 125,000,000 ($125,000,000.00) Debt Convertible into Equity, (File 333-111146 - Dec. 12) (BR. 03) S-8 EQUITEX INC, 7315 E PEAKVIEW AVE, GREENWOOD EXECUTIVE PARK BLDG 8, ENGLEWOOD, CO, 80111, 3037968940 - 3,782,110 ($4,538,532.00) Equity, (File 333-111147 - Dec. 12) (BR. 07) S-4 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 9,542,861 ($203,974,010.00) Equity, (File 333-111148 - Dec. 12) (BR. 07) S-8 SNOCONE SYSTEMS INC, 555 WEST HASTINGS ST, VANCOUVER V6B 5L8, A1, 00000, 6046817806 - 1,000,000 ($10,000.00) Equity, (File 333-111149 - Dec. 12) (BR. 03) S-3 UTSTARCOM INC, 1275 HARBOR BAY PARKWAY, STE 100, ALAMEDA, CA, 94502, 5108648800 - 0 ($34,695,411.36) Equity, (File 333-111150 - Dec. 12) (BR. 37) 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 ---------------------------------------------------------------------------------------------- 4NET SOFTWARE INC DE X X 12/08/03 AAMES MORTGAGE TR MORT PAS THRU CERT DE X X 11/25/03 AMEND ACCESS WORLDWIDE COMMUNICATIONS INC DE X X 12/05/03 ACE SECURITIES CORP TERWIN MORT TRUST DE X 11/25/03 ADVOCAT INC DE X X 12/12/03 ALEXION PHARMACEUTICALS INC DE X X 10/03/03 ALEXION PHARMACEUTICALS INC DE X X 12/11/03 AMERICAS CARMART INC TX X X 12/10/03 AMERIGAS PARTNERS LP DE X 10/01/03 AMEND ANWORTH MORTGAGE ASSET CORP MD X X 12/05/03 APOGENT TECHNOLOGIES INC WI X X 12/12/03 APPLEBEES INTERNATIONAL INC DE X 12/12/03 APPROVED FINANCIAL CORP VA X 12/11/03 ASBURY AUTOMOTIVE GROUP INC DE X X 12/12/03 ASBURY AUTOMOTIVE GROUP INC DE X X 12/12/03 ASBURY AUTOMOTIVE GROUP INC DE X X 12/12/03 ASHLAND INC KY X X 12/12/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 12/12/03 ATLAS AIR INC DE X X 12/11/03 ATLAS AIR INC DE X X 12/12/03 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 12/11/03 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 12/12/03 ATSI COMMUNICATIONS INC/DE DE X X 12/12/03 ATWOOD OCEANICS INC TX X X 12/12/03 AVX CORP DE X 12/12/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 05/25/03 BIO IMAGING TECHNOLOGIES INC DE X X 12/12/03 BON TON STORES INC PA X X 12/09/03 BUSINESS OBJECTS SA X X 12/11/03 BUTLER NATIONAL CORP DE X X 12/12/03 CABCO TRUST FOR FLORIDA P&L FIRST MOR DE X X 12/01/03 CAPTARIS INC WA X 12/12/03 CENTERPOINT ENERGY INC X 12/11/03 CFB BANCSHARES INC TN X 12/12/03 CHECKFREE CORP \GA\ DE X X 12/12/03 CHESAPEAKE ENERGY CORP OK X 12/11/03 CINCINNATI FINANCIAL CORP DE X 12/11/03 CLINICAL DATA INC DE X 12/12/03 CNL RETIREMENT PROPERTIES INC MD X 09/30/03 AMEND COLUMBUS MCKINNON CORP NY X X 12/12/03 CONE MILLS CORP NC X X X 12/12/03 CONSTAR INTERNATIONAL INC DE X 12/12/03 CORPORATE OFFICE PROPERTIES TRUST MD X X 12/11/03 CRDENTIA CORP DE X X 12/02/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 12/12/03 CWMBS INC DE X X 12/12/03 CYBERONICS INC DE X X 12/09/03 D&E COMMUNICATIONS INC PA X 12/12/03 DECKERS OUTDOOR CORP DE X X 12/11/03 DECRANE AIRCRAFT HOLDINGS INC DE X 12/11/03 DECRANE HOLDINGS CO DE X 12/11/03 DELTIC TIMBER CORP DE X X 12/11/03 DOUBLE EAGLE PETROLEUM CO MD X X 12/12/03 DRESSER INC DE X 12/12/03 DYCOM INDUSTRIES INC FL X X 12/11/03 EDISON INTERNATIONAL CA X 12/11/03 EDISON MISSION ENERGY CA X X 12/11/03 ELAMEX SA DE CV X X 12/12/03 ELECSYS CORP KS X X 12/12/03 EME HOMER CITY GENERATION LP CA X X 12/11/03 EN POINTE TECHNOLOGIES INC DE X X 12/04/03 EN POINTE TECHNOLOGIES INC DE X X 12/11/03 ENCORE MEDICAL CORP DE X 12/10/03 EVERGREEN SOLAR INC DE X X 12/12/03 EXIDE TECHNOLOGIES DE X 12/12/03 FARREL CORP DE X X 12/08/03 FELLOWS ENERGY LTD NV X 12/08/03 AMEND FIRST COMMONWEALTH FINANCIAL CORP /PA PA X 12/05/03 FRANKS NURSERY & CRAFTS INC MI X X 12/12/03 FRANKS NURSERY & CRAFTS INC MI X X 12/12/03 FTI CONSULTING INC MD X X 11/28/03 G REIT 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