SEC NEWS DIGEST Issue 2003-231 December 5, 2003 ENFORCEMENT PROCEEDINGS IN THE MATTER OF SHANE FERRAS An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanction By Default (Default Order) against Shane Ferras. The Order Instituting Proceedings alleged that on Sept. 3, 2003, the U.S. District Court for the Southern District of New York entered a judgment by default against Respondent Ferras permanently enjoining him from future violations of federal securities laws, ordering disgorgement of $2,346,474 plus prejudgment interest, and imposing a $10,000 civil penalty. Finding these allegations to be true, the Default Order bars Respondent Ferras from association with any broker or dealer. (Rel. 34- 48873; File No. 3-11283) SEC OBTAINS PRELIMINARY INJUNCTION AND ASSET FREEZE AGAINST NEW HAMPSHIRE RESIDENT IN CONNECTION WITH FRAUDULENT INVESTMENT SCHEMES The Commission announced today that the New Hampshire federal district court entered a preliminary injunction and asset freeze on December 3 against defendant Koji Goto and an asset freeze against Goto's wife, relief defendant Shaleen A. Cassily, in connection with a fraud action filed by the Commission. The court's entry of a preliminary injunction prohibits Goto, a Japanese citizen and Bedford, New Hampshire resident, from engaging in future violations of the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 pending the resolution of the Commission's action. The Commission's complaint, filed on Nov. 14, 2003, alleges that, beginning in 2002, Goto misappropriated more than $5 million in connection with two fraudulent investment schemes to obtain investments in a Boston-based hedge fund and a purported hot dog stand vending business. The Commission's complaint also alleges that Goto transferred at least $1.4 million of investor funds to a brokerage account in the name of Cassily, and that Goto and Cassily transferred their joint ownership interest in a New Hampshire house worth millions of dollars to Cassily as sole owner. The Court entered a temporary restraining order and asset freeze against Goto and an asset freeze against Cassily on Nov. 14, 2003. [SEC v. Koji Goto, USDC, District of New Hampshire, C.A. No. 03-490-JD (D.N.H.)] (LR-18490) COURT ENTERS ORDER HALTING $48 MILLION SECURITIES FRAUD On December 4, the Honorable Kent J. Dawson, United States District Judge for the District of Nevada, granted the Commission's application and issued a temporary restraining order halting an ongoing $48 million Ponzi-like investment scheme by Connie S. Farris (Farris), age 59, of Henderson, Nevada; Dawn M. Reese (Reese), age 45, of Las Vegas, Nevada; and three entities owned or controlled by Farris: Global Express Capital Real Estate Investment Fund I, LLC (Fund), Global Express Capital Mortgage Corp. (GECM), and Global Express Securities, Inc. (GE Securities), a Las Vegas-based broker-dealer. The Court: (1) granted the Commission's application for a temporary restraining order; (2) appointed a temporary receiver; (3) placed a freeze on certain defendants' assets; (4) prohibited the destruction of documents by the defendants; (5) ordered accountings from the defendants; and (6) granted expedited discovery. The Fund is headquartered in Las Vegas, Nevada. GECM, which is headquartered in Billings, Montana, is the sole manager of the Fund and is responsible for all of the Fund's activities. GE Securities, which is headquartered in Las Vegas, Nevada, is registered with the Commission as a broker-dealer. It offers and sells investments in the Fund; it does not offer or sell any other securities. Farris, through a holding company, is the sole shareholder of GECM and GE Securities. She also is the sole officer and director of GECM. Reese is the president of GE Securities. The Commission's complaint, filed today, alleges that, since late 2001, the defendants have offered and sold interests in the Fund, which purports to pool investor funds to purchase interests in mortgage loans and trust deeds and to pay regular monthly returns to investors from the interest earned from the Fund's investments. To date, the Fund has raised at least $48 million from about 600 investors nationwide. The defendants have promised, and have actually paid to investors, a return on their investments equal to at least 12% annually. The complaint alleges that, contrary to the defendants' representations, the Fund is not generating sufficient interest income to pay the monthly distributions it is making to investors and, in fact, is operating as a Ponzi-like investment scheme. The defendants are funding the monthly investor distributions with cash from new investors as well as with capital contributions from Farris and GECM and proceeds from the sale of non-cash assets of the Fund. In addition, the complaint alleges that the Fund, aided and abetted by Farris, filed with the Commission materially false and misleading quarterly reports that misrepresent the financial condition of the Fund. The Commission obtained an order temporarily restraining the defendants from committing securities fraud in violation of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The order also temporarily restrains GE Securities from committing securities fraud in violation of Section 15(c) of the Exchange Act. The order further temporarily restrains the Fund from violating, and Farris from aiding and abetting violations of, the reporting requirements of Section 15(d) of the Exchange Act and Rules 12b-20 and 15d-13 thereunder, and temporarily restrains Farris from violating the certification requirements of Rule 15d-14 under the Exchange Act. The Court also ordered a freeze on the assets of the Fund, GECM and GE Securities and appointed a temporary receiver over each of the entities. The Court ordered the temporary restraining order and asset freeze to remain in effect until December 17, 2003 at 10 a.m., at which time the Court will hold a hearing on the Commission's motion for a preliminary injunction and appointment of a permanent receiver. In addition to the interim relief granted today, the Commission seeks a final judgment against the defendants enjoining them from future violations of the foregoing antifraud, reporting and certification provisions, ordering them to disgorge all ill-gotten gains, and assessing civil penalties against them. The Commission also seeks an order prohibiting Farris from acting as an officer or director of any public company. The Commission would like to acknowledge the substantial assistance of the Nevada Secretary of State, Securities Division, in the investigation of this matter. [SEC v. Global Express Capital Real Estate Investment Fund I, LLC; Global Express Capital Mortgage Corp.; Global Express Securities, Inc.; Connie S. Farris; and Dawn M. Reese, Civil Action No. CV-S-03-1514-KJD (LRL) (D. Nev.)] (LR-18491) INVESTMENT COMPANY ACT RELEASES AIP ALTERNATIVE STRATEGIES FUNDS, ET AL. A notice has been issued giving interested persons until Dec. 29 to request a hearing on an application filed by AIP Alternative Strategies Funds, et al. for an order exempting applicants from Section 15(a) of the Investment Company and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-26284 - December 4) SELF-REGULATORY ORGANIZATIONS WITHDRAWAL GRANTED An order has been issued granting the application of Cannon Express, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on December 5. (Rel. 34-48874) 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-1 GREAT WALL ACQUISITION CORP, 660 MADISON AVENUE 15TH FLOOR, NEW YORK, NY, 10021, 2127530804 - 0 ($40,120,100.00) Equity, (File 333-110906 - Dec. 4) (BR. ) F-1 ENTOURAGE MINING LTD, 625 HOWE STREET, SUITE 1180, VANCOUVER B.C., A1, V6C 2T6, (604) 408-2212 - 881,000 ($35.24) Equity, (File 333-110907 - Dec. 4) (BR. 04) S-2 TERAFORCE TECHNOLOGY CORP, 1240 CAMPBELL ROAD, RICHARDSON, TX, 75081, 9723672100 - 0 ($9,581,063.00) Equity, (File 333-110908 - Dec. 4) (BR. 37) F-3 FORBES MEDI TECH INC, 200-750 WEST PENDER STREET, VANCOUVER B C V6C 2T8, A1, 00000, 6046895899 - 4,693,956 ($10,045,065.84) Equity, (File 333-110910 - Dec. 4) (BR. 01) S-8 FRISCHS RESTAURANTS INC, 2800 GILBERT AVE, CINCINNATI, OH, 45206, 5139612660 - 800,000 ($21,680,000.00) Equity, (File 333-110911 - Dec. 4) (BR. 05) S-3 A I RECEIVABLES TRANSFER CORP, 160 WATER STREET, NEW YORK, NY, 10038, 2124285400 - 1,000,000 ($1,000,000.00) Non-Convertible Debt, (File 333-110912 - Dec. 4) (BR. 05) S-8 SONOSITE INC, 21919 30TH DRIVE S E, 22100 BOTHEL EVERETT HGWY, BOTHELL, WA, 98021-3904, 4259511200 - 0 ($706,075.00) Equity, (File 333-110913 - Dec. 4) (BR. 36) S-8 SYSTEMS & COMPUTER TECHNOLOGY CORP, GREAT VALLEY CORPORATE CTR, 4 COUNTRY VIEW RD, MALVERN, PA, 19355, 6106475930 - 2,000,000 ($23,960,000.00) Equity, (File 333-110914 - Dec. 4) (BR. 03) S-8 INSIGHT ENTERPRISES INC, 1305 WEST AUTO DRIVE, TEMPE, AZ, 85284, 480-902-1001 - 5,460,000 ($101,774,400.00) Equity, (File 333-110915 - Dec. 4) (BR. 02) S-8 MENTOR GRAPHICS CORP, 8005 SW BOECKMAN RD, WILSONVILLE, OR, 97070-7777, 5036857000 - 0 ($15,285,000.00) Equity, (File 333-110916 - Dec. 4) (BR. 03) S-8 MENTOR GRAPHICS CORP, 8005 SW BOECKMAN RD, WILSONVILLE, OR, 97070-7777, 5036857000 - 0 ($91,720,378.00) Equity, (File 333-110917 - Dec. 4) (BR. 03) S-8 SHANNON INTERNATIONAL RESOURCES INC, SUITE 2000, 715 - 5TH AVENUE SW, CALGARY ALBERTA, CANADA T2P XV6, A0, 00000, 403-538-3706 - 1,000,000 ($900,000.00) Equity, (File 333-110918 - Dec. 4) (BR. 04) S-8 MENTOR GRAPHICS CORP, 8005 SW BOECKMAN RD, WILSONVILLE, OR, 97070-7777, 5036857000 - 0 ($45,855,000.00) Equity, (File 333-110919 - Dec. 4) (BR. 03) S-8 MTR GAMING GROUP INC, ROUTE 2, PO BOX 356, CHESTER, WV, 26034, 3043875712 - 0 ($3,612,250.00) Equity, (File 333-110920 - Dec. 4) (BR. 05) S-8 CHEMICAL FINANCIAL CORP, 333 E MAIN ST, MIDLAND, MI, 48640, 5176313310 - 232,514 ($3,975,989.40) Equity, (File 333-110922 - Dec. 4) (BR. 07) S-1 CORGENTECH INC, 601 GATEWAY BLVD, STE 460, SOUTH SAN FRANCISCO, CA, 94080, 65062241690 - 0 ($86,250,000.00) Equity, (File 333-110923 - Dec. 4) (BR. ) S-4 BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 0 ($26,668,473,970.00) Other, (File 333-110924 - Dec. 4) (BR. 07) S-8 LIFE SCIENCES RESEARCH INC, P. O. BOX 2360, METTLERS ROAD, EAST MILLSTONE, NJ, 08875, 732-649-9961 - 2,200,000 ($3,581,700.00) Equity, (File 333-110925 - Dec. 4) (BR. 01) S-3 PENNSYLVANIA REAL ESTATE INVESTMENT TRUST, THE BELLEVUE, 200 S BROAD STREET, PHILADELPHIA, PA, 19102, 2155429250 - 2,761,230 ($95,124,374.00) Equity, (File 333-110926 - Dec. 4) (BR. 08) S-8 GOLD RESERVE INC, 926 W SPRAGUE AVENUE, SUITE 200, SPOKANE, WA, 99201, 5096231500 - 1,000,000 ($2,730,000.00) Equity, (File 333-110927 - Dec. 4) (BR. 04) S-8 GOLD RESERVE INC, 926 W SPRAGUE AVENUE, SUITE 200, SPOKANE, WA, 99201, 5096231500 - 400,000 ($1,092,000.00) Equity, (File 333-110928 - Dec. 4) (BR. 04) S-3 TRIARC COMPANIES INC, 280 PARK AVENUE, 24TH FLOOR, NEW YORK, NY, 10017, 212-451-3000 - 11,965,734 ($139,520,459.00) Equity, 0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-110929 - Dec. 4) (BR. 04) S-3 COMPEX TECHNOLOGIES INC, 1811 OLD HIGHWAY 8, NEW BRIGHTON, MN, 55112, 6126310590 - 0 ($11,093,750.00) Equity, (File 333-110930 - Dec. 4) (BR. 36) S-3 INTEGRATED SILICON SOLUTION INC, 2231 LAWSON LANE, SANTA CLARA, CA, 95054-3311, 4085880800 - 0 ($122,889,000.00) Equity, (File 333-110931 - Dec. 4) (BR. 36) S-3 COLDWATER CREEK INC, ONE COLDWATER CREEK DRIVE, SANDPOINT, ID, 83864, 2082632266 - 0 ($63,911,250.00) Equity, (File 333-110932 - Dec. 4) (BR. 02) 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 ---------------------------------------------------------------------------------------------- ABERCROMBIE & FITCH CO /DE/ DE X 12/04/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 12/01/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 12/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-1 DE X X 12/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-4 DE X X 12/01/03 ABN AMRO MORTGAGE CORP SERIES 2002-9 DE X X 12/01/03 ABN AMRO MORTGAGE MULTI-CLASS MOR PAS DE X X 12/01/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 11/25/03 AEROPOSTALE INC X X 12/03/03 AIRNET SYSTEMS INC OH X X 12/03/03 ALLERGAN INC DE X X 11/20/03 AMEND ANGELICA CORP /NEW/ MO X X 12/03/03 ARI NETWORK SERVICES INC /WI WI X 12/04/03 ARLINGTON HOSPITALITY INC DE X X 12/04/03 ASSET BACKED SEC CORP HOME EQUITY LN DE X X 11/15/03 BANC OF AMERICA COMM MORT PASS THR CE DE X X 12/04/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 11/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 11/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 11/25/03 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 11/25/03 BANC OF AMERICAN FUNDING CORP MORT PA DE X X 11/25/03 BEAR STEARNS ARM TRUST 2002-7 DE X X 11/25/03 BEAR STEARNS ARM TRUST 2003-4 DE X X 11/25/03 BEAR STEARNS ARM TRUST 2003-5 DE X X 11/25/03 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 11/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 11/25/03 BEBE STORES INC CA X X 11/30/03 BELDEN & BLAKE CORP /OH/ OH X 12/01/03 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA X 12/03/03 BURLINGTON COAT FACTORY WAREHOUSE COR DE X 11/29/03 CAPITOL BANCORP LTD MI X 12/04/03 CARMAX INC VA X 12/04/03 CATELLUS DEVELOPMENT CORP DE X 12/01/03 CENTRAL PACIFIC FINANCIAL CORP HI X X 12/01/03 CHASE FUNDING INC NY X X 12/04/03 CHECKFREE CORP \GA\ DE X X 11/21/03 CIRCUIT CITY STORES INC VA X 12/04/03 CLAIRES STORES INC DE X X 12/04/03 CLAREMONT TECHNOLOGIES CORP NV X X 12/03/03 AMEND COAST FINANCIAL HOLDINGS INC X X 12/04/03 COLDWATER CREEK INC DE X X 12/03/03 COMMERCE BANCORP INC /NJ/ NJ X 12/03/03 COMMERCE GROUP INC /MA MA X 12/02/03 COMMERCIAL NATIONAL FINANCIAL CORP /M MI X X 12/01/03 COMMERCIAL NET LEASE REALTY INC MD X X 12/04/03 AMEND COMMUNICATE COM INC NV X X 12/03/03 CONAGRA FOODS INC /DE/ DE X X 12/04/03 COOPER COMPANIES INC DE X X 12/02/03 COVEST BANCSHARES INC DE X X 12/04/03 CPI CORP DE X 11/08/03 CSFB MORTGAGE SEC CORP HOME EQ ASSET DE X 12/04/03 CSK AUTO CORP DE X X 12/04/03 CUBIC CORP /DE/ DE X X 12/02/03 CYBERGUARD CORP FL X X 11/26/03 CYCO NET INC NV X 11/19/03 DATAMEG CORP NY X X 12/03/03 DAY INTERNATIONAL GROUP INC DE X X 11/24/03 DEL MONTE FOODS CO DE X X 12/04/03 DEUTSCHE MORTGAGE SECURITIES INC MORT X X 11/25/03 DOLLAR GENERAL CORP TN X X X 12/04/03 DOVER MOTORSPORTS INC DE X 12/01/03 DUTCHFORK BANCSHARES INC DE X X 12/04/03 DVI INC DE X X 12/04/03 DYCOM INDUSTRIES INC FL X X 12/03/03 EARTHSHELL CORP DE X X 12/01/03 EGGHEAD COM INC/DE DE X 01/17/03 EL PASO CORP/DE DE X X 12/04/03 EMPIRE DISTRICT ELECTRIC CO KS X X 12/03/03 ESTERLINE TECHNOLOGIES CORP DE X 12/04/03 EURONET WORLDWIDE INC DE X X 11/28/03 FACTORY CARD OUTLET CORP DE X X 12/04/03 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE X X 12/03/03 FAO INC CA X X 12/04/03 FINDWHAT COM INC NV X X 12/03/03 FINISH LINE INC /DE/ DE X X 12/04/03 FIRST COMMUNITY BANCORP /CA/ CA X X 12/03/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 11/25/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 11/27/03 FIRST SOUTHERN BANCSHARES INC/DE DE X X 12/03/03 FOREST CITY ENTERPRISES INC OH X 12/04/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 12/04/03 FRIEDMANS INC DE X 12/02/03 FX ENERGY INC NV X X 12/04/03 FX ENERGY INC NV X X 12/04/03 AMEND G III APPAREL GROUP LTD /DE/ DE X X 12/04/03 GAP INC DE X X 12/04/03 GENERAL CHEMICAL INDUSTRIAL PRODUCTS DE X X 12/04/03 GENIUS PRODUCTS INC NV X X 11/21/03 GENIUS PRODUCTS INC NV X X 11/24/03 GENZYME CORP MA X X 12/04/03 GEORGIA GULF CORP /DE/ DE X X 12/03/03 GLOBAL EPOINT INC NV X X 12/01/03 GLOBALSANTAFE CORP X 12/04/03 GMACM MORTGAGE PASS THRU CERTS SERIES DE X X 12/03/03 GRANT PRIDECO INC DE X X 12/03/03 GREENWICH CAPITAL ACCEPTANCE INC THOR DE X X 11/27/03 GREENWICH CAPITAL ACCEPTANCE THORNBUR DE X X 11/27/03 GROUP 1 AUTOMOTIVE INC DE X X 12/04/03 GSI SECURITIZATION LTD E9 X 11/28/03 AMEND GUITAR CENTER INC DE X 12/04/03 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 11/26/03 HOME EQUITY LOAN TRUST SERIES 2003-HE DE X X 11/15/03 HORIZON OFFSHORE INC DE X X 12/03/03 HOST AMERICA CORP DE X X 12/02/03 HOUSTON EXPLORATION CO DE X 06/02/03 AMEND HUSKER AG PROCESSING LLC NE X 11/26/03 IDINE REWARDS NETWORK INC DE X X 12/04/03 IMPATH INC DE X 11/17/03 AMEND INDIGINET INC/FL FL X X 11/18/03 AMEND INFONOW CORP / DE X 12/04/03 INPUT OUTPUT INC DE X X X 12/03/03 INSITUFORM TECHNOLOGIES INC DE X X 12/04/03 INTEL CORP DE X 12/04/03 INTERNATIONAL PAPER CO /NEW/ NY X X 12/04/03 INTERNATIONAL WIRELESS INC MD X 12/01/03 JETBLUE AIRWAYS CORP DE X X 12/04/03 JO-ANN STORES INC OH X 12/04/03 KLEVER MARKETING INC DE X X 12/03/03 KMG CHEMICALS INC TX X 12/04/03 KOHLS CORPORATION WI X 12/04/03 LCA VISION INC DE X X 12/04/03 LEUCADIA NATIONAL CORP NY X X 12/04/03 LIBERTY MEDIA CORP /DE/ DE X X 12/03/03 LIGAND PHARMACEUTICALS INC DE X X 12/04/03 LITFUNDING CORP NV X X X X X X X 11/19/03 AMEND LMI AEROSPACE INC MO X X 12/03/03 MACK CALI REALTY CORP MD X X 12/02/03 MAGNITUDE INFORMATION SYSTEMS INC DE X X 12/04/03 MARATHON OIL CORP DE X X 12/04/03 MARKET CENTRAL INC DE X X 12/02/03 MASTER ADJUSTABLE RATE MORTGAGES TRUS DE X X 11/25/03 MASTR ADJUSTABLE RATE MORTGAGE TRUST DE X X 11/25/03 MASTR SEASONED SECURITIZATION TRUST 2 DE X X 11/25/03 MAX RE CAPITAL LTD X X 12/03/03 MCDATA CORP DE X 12/04/03 MEDTOX SCIENTIFIC INC DE X 12/04/03 MEDTOX SCIENTIFIC INC DE X 12/04/03 MERCURY AIR GROUP INC NY X X 12/02/03 MERRILL LYNCH MOR INV INC PSS THR CE DE X X 11/27/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 12/03/03 METAWAVE COMMUNICATIONS CORP DE X 10/30/03 MORT ASSET SEC TRANS MORT PS THR CERT DE X X 11/27/03 MORTGAGE ASSET SEC TRANS INC MARM 20 DE X X 11/27/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 11/25/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 11/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 12/04/03 MORTGAGE PASS THROUGH CERTIFICATES ML DE X X 11/25/03 MORTGAGE PASS- THROUGH CERTIFICATES S DE X X 12/01/03 MORTGAGE PASS-THROUGH CERTIFICATES ML DE X X 11/25/03 MSC MORTGAGE PASS THROUGH CERTIFICATE DE X X 12/01/03 MYOGEN INC DE X X 12/04/03 NATIONAL SEMICONDUCTOR CORP DE X X 11/23/03 NAVISTAR FINANCIAL SECURITIES CORP DE X 06/08/95 NAVISTAR FINANCIAL SECURITIES CORP DE X 07/17/98 NBT BANCORP INC DE X X 12/04/03 NEXPRISE INC DE X X 12/03/03 NEXT INC/TN DE X X 11/28/03 NEXT INC/TN DE X X 12/01/03 NICHOLAS FINANCIAL INC FL X 12/04/03 NN INC DE X X 12/03/03 NORDSTROM INC WA X X 12/04/03 NSTAR/MA MA X 12/04/03 NTL INC DE X 12/03/03 NUEVO ENERGY CO DE X X 12/03/03 ON SEMICONDUCTOR CORP DE X X 12/03/03 ONEIDA LTD NY X X 12/03/03 OPSWARE INC DE X X 12/04/03 OPSWARE INC DE X 12/04/03 ORALABS HOLDING CORP CO X X 12/04/03 PACIFIC CMA INC CO X 12/04/03 PACKAGING CORP OF AMERICA X 12/04/03 PASS THROUGH CERTIFICATES SERIES 200 DE X X 12/01/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 12/01/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 12/01/03 PATHMARK STORES INC DE X 12/04/03 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X X 11/20/03 PITNEY BOWES INC /DE/ DE X 12/02/03 PIVOTAL CORP X 12/03/03 PLUMTREE SOFTWARE INC DE X X 12/03/03 PNC MORTGAGE SEC CORP MORT PASS THR C DE X X 12/01/03 POINT GROUP HOLDINGS INCORP NV X 11/20/03 PORTOLA PACKAGING INC DE X X 09/19/03 AMEND PRIME MORTGAGE TRUST 2003-1 NY X X 11/25/03 PROTECTION ONE INC DE X X 12/03/03 PRUDENTIAL FINANCIAL INC NJ X X 12/04/03 PRUDENTIAL FINANCIAL INC NJ X X 12/04/03 QUANEX CORP DE X X 12/04/03 RALCORP HOLDINGS INC /MO MO X X 12/04/03 RICHARDSON ELECTRONICS LTD/DE DE X 11/29/03 ROADWAY CORP DE X X 12/04/03 ROUGE INDUSTRIES INC DE X X 11/24/03 SAFEWAY INC DE X X X 12/04/03 SAKS INC TN X X 12/04/03 SALOMON BROTH MORT SEC VII INC CITI H DE X 11/25/03 SANMINA-SCI CORP DE X X 12/04/03 SCB COMPUTER TECHNOLOGY INC TN X X 12/04/03 SCIENCE APPLICATIONS INTERNATIONAL CO DE X 12/04/03 SEPRACOR INC /DE/ DE X X 12/02/03 SIGHT RESOURCE CORP DE X X 12/04/03 SKILLSOFT PUBLIC LIMITED CO X 12/03/03 SPIEGEL INC DE X 12/04/03 SPRINT CORP KS X X 12/01/03 SPRINT CORP KS X X 12/01/03 SPRINT CORP KS X X 12/01/03 SPRINT CORP KS X X 12/01/03 SPS TECHNOLOGIES INC PA X X 12/04/03 STAGE STORES INC NV X X 12/04/03 STAR GAS PARTNERS LP DE X X X 12/04/03 STEWART ENTERPRISES INC LA X 12/04/03 STRUCTURED ASSET MORT INV II INC BEAR DE X X 11/27/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 11/25/03 STRUCTURED ASSET MORT INV INC THORNBU NY X X 11/25/03 STRUCTURED ASSET SEC CORP II LB UBS C X X 10/09/03 AMEND STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 11/27/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 07/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 08/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 09/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 10/27/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 12/04/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 11/27/03 STRUCTURED ASSET SECURITIES CORP THOR DE X X 11/25/03 SUBURBAN PROPANE PARTNERS LP DE X X 12/04/03 TAYLOR ANN STORES CORP DE X X 12/04/03 TENNECO AUTOMOTIVE INC DE X X 12/04/03 THOMAS & BETTS CORP TN X X 12/02/03 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 11/25/03 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 11/25/03 TOYOTA MOTOR CREDIT CORP CA X 12/02/03 TRANSGENOMIC INC DE X X 12/04/03 TRANSMETA CORP DE X 12/01/03 TVI CORP MD X X 12/02/03 UNDERWATER 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