SEC NEWS DIGEST Issue 2003-190 October 6, 2003 ENFORCEMENT PROCEEDINGS SEC CHARGES FOUR INDIVIDUALS PREVIOUSLY AFFILIATED WITH ZANDRIA CORP. IN OFFERING FRAUDS On October 3, the Commission filed suit in the U.S. District Court for the Southern District of California against Brian Lee, Todd DiRoberto, Lonnie Dragon and Trevor Watson, all San Diego, California, for violations of the antifraud, securities registration, and broker-dealer registration provisions of the federal securities laws. Each of the defendants had previously been associated with Zandria Corp., a defunct Internet company previously located in San Diego. In the suit, the Commission alleges that between November 1998 and September 2000, Lee, DiRoberto, Dragon and Watson offered more than $10 million in securities and raised approximately $6 million from more than 200 investors nationwide in two purported private placement offerings of stock in Zandria Entertainment Networks, Inc. (ZEN) and LevelRed Investments, Inc. The Commission further alleges that the ZEN and LevelRed Investments offerings were fraudulent because, among other things, the defendants failed to disclose that Lee and DiRoberto, both convicted felons, owned and controlled ZEN. In addition, the complaint alleges that the defendants used high-pressure, "boiler-room" sales tactics and failed to disclose to investors the full extent of their commissions and other fees, which exceeded forty percent. The complaint alleges that Lee, DiRoberto, Dragon and Watson violated the antifraud, securities registration and broker-dealer registration provisions of the federal securities laws. [SEC v. Brian Lee, Todd DiRoberto, Lonnie Dragon and Trevor Watson, Civ. Action No. 03CV - 1957 H (JFS) (SDCA)] (LR-18390) SEC CHARGES SAN DIEGO ATTORNEY AND STOCK PROMOTER IN FRAUDULENT TRADING SCHEME INVOLVING ZANDRIA CORP. STOCK On October 3, the Commission filed suit in the U.S. District Court for the Southern District of California against B. Roland Frasier, III and Richard May, both of San Diego, California, for violations of the antifraud and securities registration provisions of the federal securities laws. Frasier and May had previously been associated with Zandria Corp., a defunct Internet company previously located in San Diego. In the suit, the Commission alleges that between October 1999 and November 2000, Frasier and May orchestrated a fraudulent scheme regarding the trading of Zandria stock on the Over-The-Counter bulletin board. The Commission alleges that Frasier and May obtained control over more than 90 percent of Zandria's free-trading stock through a series of sham transactions. The Commission further alleges that Frasier and May then paid a network of sales agents undisclosed commissions to tout Zandria stock to investors, while they sold Zandria stock, splitting the proceeds. The Commission has further agreed to a settlement with Frasier wherein he consents to: a judgment permanently enjoining him from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; barring him from participating in any penny stock offering; ordering him to pay $280,000 disgorgement plus $65,898.43 in prejudgment interest; and ordering him to pay a $110,000 civil money penalty. The complaint alleges that Frasier and May violated the antifraud and securities registration provisions of the federal securities laws. [SEC v. Roland Frasier, III and Richard A. May, Civ. Action No. 03CV - 1958 BTM (JFS) SDCA] (LR-18391) COMMISSION FILES ACTION CHARGING SOUTHERN CALIFORNIA INVESTMENT ADVISER WITH FRAUD The Commission announced today the filing of an action alleging a multi- million dollar securities fraud by a Santa Monica, Calif. investment adviser that for over three years deceived its clients and prospective clients by concealing a massive decline in the value of their assets, providing clients with false and misleading account statements, and taking over $1.2 million in undisclosed management fees. Named in the SEC's complaint, filed on Sept. 25, 2003, in U.S. District Court in Los Angeles, are National Financial Systems, Inc. (NFSI), an unregistered investment adviser that also acts as a third-party administrator for retirement plans and other employee benefits programs, and Terese Herwick, age 51, of Santa Monica, Calif., the owner and president of NFSI. The SEC's complaint alleges that in 1999, NFSI assumed management of the "Fixed Fund," an unregistered pool of assets consisting of real estate, equity securities, mutual funds, and bonds. Although Herwick knew that a significant number of Fixed Fund assets had not performed for years or had been foreclosed upon, neither NFSI nor Herwick disclosed these facts to the Fixed Fund's investors. In January 2002, NFSI wrote off the worthless assets, another fact that NFSI and Herwick never disclosed to Fixed Fund investors. The value of the Fixed Fund's assets has fallen to approximately 50% of the amount owed to Fixed Fund investors as principal and purported accrued dividends. As of March 31, 2003, the value of the Fixed Fund's assets totaled no more than $7.4 million while the amounts it owed investors in principal and purported accrued returns totaled at least $14.1 million. NFSI never disclosed this fact to Fund investors either. Instead, the complaint alleges, NFSI continued to promote the Fixed Fund as an investment vehicle that purportedly seeks preservation and protection of capital while providing regular monthly cash distributions. Moreover, NFSI has provided Fixed Fund investors with quarterly account statements that purport to credit those investors with their contracted-for rates of return -- returns which have not been generated by the Fund's underlying assets and which neither the Fund nor NFSI can possibly repay. In addition, NFSI defrauded the Fixed Fund and its investors by charging the Fixed Fund an undisclosed management fee, which for 2002 constituted more than 10% of the value of the Fixed Fund's assets. In 2002, NFSI took over $700,000 in management fees, while in 2001 it took over $520,000 in fees, none of which was disclosed to investors. The SEC's complaint alleges that NFSI and Herwick's conduct violated the antifraud provisions of the federal securities laws, 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 (2) of the Investment Advisers Act of 1940. The SEC's complaint asks the Court to permanently enjoin NFSI and Herwick from future violations of the foregoing provisions; to order NFSI and Herwick to disgorge, with prejudgment interest, all ill-gotten gains from their illegal conduct; and to pay civil penalties. Acting on the SEC's lawsuit, on Sept. 29, 2003, the Honorable Steven V. Wilson, U.S. District Judge for the Central District of California, issued an order prohibiting NFSI and Herwick from distributing funds or selling assets without notification to and permission from the SEC. The order further required NFSI and Herwick to provide the SEC with an accounting of sources and distribution of funds since June 2003. The Court denied the SEC's request for a temporary restraining order against further violations of the antifraud provisions of the federal securities laws and the SEC's request for the appointment of a temporary receiver over NFSI. The Court scheduled a trial on a preliminary injunction to begin on Oct. 21, 2003. [SEC v. National Financial Systems, Inc. and Terese Herwick, Civil Action No. CV 03-6908 SVW (JTLx) CDCA] (LR-18392) FEDERAL GRAND JURY INDICTS PETER ZACCAGNINO FOR FRAUDULENT OFFERING OF PRIME BANK INSTRUMENTS The Commission announced today that, on Sept. 26, 2003, Peter J. Zaccagnino III and two other defendants were criminally indicted by a federal grand jury for racketeering, mail fraud and other related offenses in connection with their sale of prime bank instruments. Zaccagnino's alleged misconduct was in part the subject of a successful enforcement action brought by the Securities and Exchange Commission in 1998. The 15-count indictment, obtained by the U.S. Attorney for the Central District of Illinois (Peoria Division), alleges that Zaccagnino, his wife and another individual fraudulently raised approximately $20 million from several hundred investors by soliciting them to invest money in fictitious high-yield prime-bank "trading programs," including programs involving historical railroad bonds issued in the nineteenth century. As a result of its lawsuit, in June 1999 the Commission succeeded in obtaining a permanent injunction against Zaccagnino enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. Further, Zaccagnino and his alter ego offshore entity, Two-Thirds International, Inc., collectively were ordered to pay disgorgement and prejudgment interest of nearly $2 million and directed to pay civil penalties. The Commission's civil action alleged that Zaccagnino sold historical railroad bonds as investment quality instruments or offered to place the bonds in prime bank-type "trading programs." According to the Commission's complaint, the bonds had value only as historical memorabilia and the trading programs touted by Zaccagnino were fictitious. The Commission's complaint further alleged that Zaccagnino and his entities raised approximately $4.8 million through the sale of the bonds to scores of investor at prices up to $330,000 each, and that, through his false and misleading statements, Zaccagnino violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. [U.S. v. Peter J. Zaccagnino, et al., Crim. No. 03-10095, USDC, CD Ill./Peoria Division]; [SEC v. Two-Thirds International, Inc., et al., No. 98-1324-Civ. ORL-18A, USDC, MD FL/Orlando Division)] (LR-18393) FORMER INSO CORP. VICE PRESIDENT PLEADS GUILTY TO SECURITIES FRAUD IN CONNECTION WITH ACCOUNTING SCHEME The Commission announced today that, on Sept. 30, 2003, Richard P. Vatcher pleaded guilty to five counts of securities fraud and causing false reports to be filed with the Commission in connection with charges brought by the U.S. Attorney for the District of Massachusetts. Vatcher, a former officer of Inso Corporation, Inc., later known as eBT International, Inc., a now defunct software company headquartered in Boston, Massachusetts, is scheduled to be sentenced on Jan. 12, 2004. Vatcher faces a maximum penalty of 10 years in prison, followed by a 3- year term of supervised release, and a $1,000,000 fine on each count. Vatcher, of Framingham, Massachusetts, was vice president of international sales at Inso. Vatcher admitted during his plea hearing before a Massachusetts federal court that on multiple occasions in or about 1998, he made, and caused others to make, false and misleading reports that his sales group had completed certain agreements for the sale of Inso products valued at more than $3.6 million. In fact, Vatcher admitted that he had provided customers with side agreements that gave the purported customers the right to cancel or modify sales. Because the customers had the right to cancel the sales, the revenue from these transactions should not have been included in Inso's reported financial results. Vatcher further admitted to deliberately concealing the side agreements from Inso's finance department with the intention of causing Inso to recognize revenue for the phony sales. As a result of Vatcher's actions, Inso materially overstated its revenues for the quarters ended March 31, 1998, June 30, 1998, and Sept. 30, 1998, in press releases and in Forms 10-Q filed with the Commission. Previously, on June 21, 2002, the Commission filed a civil enforcement action against Vatcher in the U.S. District Court for the District of Massachusetts based on the same conduct. Simultaneous with the filing of the complaint, Vatcher consented, without admitting or denying the allegations in the complaint, to entry of a final judgment permanently enjoining him from future violations of Section 17(a) of the Securities Act, Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b-20, 13a-13, and 13b2-1 thereunder and ordering him to pay a $25,000 civil penalty. See Litigation Release No. 18394. For more information see Litigation Release No. 17578 (June 21, 2002). [SEC v. Richard P. Vatcher, Civil Action No. 02-CV-11245 (REK) D. Mass.]; [U.S. v. Richard P. Vatcher, Crim. Action No. 03-CR-10270 (RCL) D. Mass.] (LR-18394) CORRECTIONS AND ADDITIONS The summary for In the Matter of Steven Markovitz, which was published in the October 2nd issue of the Digest, should have appeared as follows: IN THE MATTER OF STEVEN MARKOVITZ The Commission announced the issuance of an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Steven B. Markovitz (Markovitz). The Order finds that Markovitz engaged in late trading of mutual fund shares through registered broker-dealers. The Order further finds that by engaging in late trading, Markovitz willfully violated Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and willfully aided and abetted and caused violations of Rule 22c-1(a) under Section 22(c) of the Investment Company Act of 1940. Based on the above, the Order: (1) requires Markovitz to cease-and- desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from causing any violations and any future violations of Rule 22c-1(a) of the Investment Company Act; and (2) bars Markovitz from association with any investment adviser, and prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. Markovitz consented to the issuance of the Order without admitting or denying the findings therein. (Rels. 33-8298; 34- 48588; IA-2180; IC-26201; File No. 3-11292) HOLDING COMPANY ACT RELEASES GEORGIA POWER COMPANY An order has been issued authorizing Georgia Power Company (Georgia), a wholly-owned utility subsidiary of The Southern Company (Southern), a registered holding company, to agree by letter to reimburse Alabama Power Company (Alabama), a wholly-owned utility subsidiary of Southern, pro rata, (based on Georgia's ownership of the outstanding equity securities of Southern Electric Generating Company (SEGCO)), an indirect utility subsidiary of Southern, for any payments made by Alabama under a guarantee Alabama provided in connection with a financing by SEGCO. (Rel. 35-27732) GULF POWER COMPANY A notice has been issued giving interested persons until October 27 to request a hearing on a proposal by Gulf Power Company (Gulf), a wholly owned electric utility subsidiary of The Southern Company, a registered holding company under the Act, to organize one or more subsidiaries to effect various financings by issuing and selling preferred securities in an aggregate principal amount of up to $150,000,000, from time to time, through Dec. 31, 2006. (Rel. 35-27733) XCEL ENERGY INC. An order has been issued authorizing Xcel Energy Inc., a registered holding company, to sell its ownership interest in Black Mountain Gas Company, a gas utility company, to a non-affiliated third party, Southwest Gas Corporation. (Rel. 35-27734) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Cincinnati Stock Exchange to extend its liquidity provider fee and rebate pilot program (SR-CSE-2003-13) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 6. (Rel. 34-48584) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-ISE-2003-18) and Amendment No. 1 thereto submitted by the International Securities Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to the Trading Options on the S&P SmallCap 600 Index. Publication of the notice is expected in the Federal Register during the week of October 6. (Rel. 34-48587) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 SPEEDEMISSIONS INC, 1139 SENOIA ROAD, SUITE B, TYRONE, GA, 30290, 770-306-7667 - 5,000,000 ($11,250,000.00) Equity, (File 333-109416 - Oct. 3) (BR. 09) S-8 NOVA CHEMICALS CORP /NEW, 1000, SEVENTH AVENUE S.W., CALGARY, A0, T2P 5L5, 4037503600 - 0 ($101,900,000.00) Other, (File 333-109424 - Oct. 3) (BR. 02) S-8 NANNACO INC, 2935 THOUSAND OAKS, SUITE 6, SAN ANTONIO, TX, 78247, 2105453570 - 10,000,000 ($300,000.00) Equity, (File 333-109425 - Oct. 3) (BR. 06) S-4 SONIC AUTOMOTIVE INC, 5401 EAST INDEPENDENCE BLVD, PO BOX 18747, CHARLOTTE, NC, 28212, 7045323354 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-109426 - Oct. 3) (BR. 02) S-3 CV THERAPEUTICS INC, 3172 PORTER DR, PALO ALTO, CA, 94304, 6503848500 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-109427 - Oct. 3) (BR. 01) S-3 CV THERAPEUTICS INC, 3172 PORTER DR, PALO ALTO, CA, 94304, 6503848500 - 0 ($252,500,000.00) Unallocated (Universal) Shelf, (File 333-109428 - Oct. 3) (BR. 01) S-1 UNIVERSAL TECHNICAL INSTITUTE INC, 0 ($125,000,000.00) Equity, (File 333-109430 - Oct. 3) (BR. 08) S-3 ASYST TECHNOLOGIES INC /CA/, 48761 KATO ROAD, FREMONT, CA, 94538, 5106615000 - 0 ($111,040,000.00) Equity, (File 333-109431 - Oct. 3) (BR. 36) S-8 ASYST TECHNOLOGIES INC /CA/, 48761 KATO ROAD, FREMONT, CA, 94538, 5106615000 - 0 ($22,524,250.00) Equity, (File 333-109432 - Oct. 3) (BR. 36) S-3 OXIGENE INC, 321 ARSENAL STREET, WATERTOWN, MA, 02472, 6176737800 - 0 ($50,000,000.00) Other, (File 333-109433 - Oct. 3) (BR. 01) S-8 AIRNET COMMUNICATIONS CORP, 3950 DOW ROAD, -, MELBOURNE, FL, 32934, 3219841990 - 27,792,986 ($30,294,355.00) Equity, (File 333-109434 - Oct. 3) (BR. 37) S-8 INTERLAND INC /MN/, 303 PEACHTREE CENTER AVENUE, SUITE 500, ATLANTA, GA, 30303, 404-720-8301 - 650,000 ($8,423,512.00) Equity, (File 333-109435 - Oct. 3) (BR. 03) S-4 PACKAGING CORP OF AMERICA, 1900 W FIELD CT, LAKE FOREST, IL, 60045, 8474823000 - 0 ($550,000,000.00) Other, (File 333-109437 - Oct. 3) (BR. 08) S-1 GRANDRIVER FINANCIAL LTD, VICTORIA HALL, 11 VICTORIA STREET, HAMILTON, A1, 00000, 4,000,000 ($100,000,000.00) Other, (File 333-109438 - Oct. 3) (BR. 01) S-8 COX COMMUNICATIONS INC /DE/, 1400 LAKE HEARN DR NE, ATLANTA, GA, 30319, 4048435000 - 0 ($378,480,000.00) Equity, (File 333-109440 - Oct. 3) (BR. 37) N-2 COHEN & STEERS REIT & UTILITY INCOME FUND INC, 50,000 ($1,000,000.00) Equity, (File 333-109441 - Oct. 3) (BR. ) S-2 BIOTIME INC, 935 PARDEE ST, BERKELEY, CA, 94710, 5108459535 - 6,840,452 ($11,244,724.20) Equity, (File 333-109442 - Oct. 3) (BR. 01) SB-2 ROYAL RIDGE INC, 5,615,000 ($16,845,000.00) Equity, (File 333-109443 - Oct. 3) (BR. ) S-8 SOUTHWEST WATER CO, 225 N BARRANCA AVE, STE 200, WEST COVINA, CA, 91791-1605, 6269151551 - 750,000 ($10,567,500.00) Equity, (File 333-109444 - Oct. 3) (BR. 02) S-8 INFINITY PROPERTY & CASUALTY CORP, 11700 GREAT OAKS WAY, ALPHARETTA, GA, 30022, 2,000,000 ($56,490,000.00) Equity, (File 333-109445 - Oct. 3) (BR. 01) S-8 BUNGE LTD, 50 MAIN STREET, WHITE PLAINS, NY, 10606, 9146842800 - 5,018,226 ($138,001,215.00) Equity, (File 333-109446 - Oct. 3) (BR. 04) S-4 WILLIAMS SCOTSMAN INC, 8211 TOWN CTR DR, BALTIMORE, MD, 21236, 4109316000 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-109448 - Oct. 3) (BR. 06) S-8 ENTHEOS TECHNOLOGIES INC, 1628 WEST 1ST AVENUE, UNIT 216, VANCOUVER, A1, V6J 1G1, 604-659-5005 - 20,000,000 ($5,641,050.00) Equity, (File 333-109449 - Oct. 3) (BR. 08) S-8 FNB CORP/NC, 101 SUNSET AVE, P O BOX 1328, ASHEBORO, NC, 27203, 3366268300 - 360,000 ($9,090,000.00) Equity, (File 333-109450 - Oct. 3) (BR. 07) S-3 NEW DRAGON ASIA CORP, ROOM 1304, 13/F WING ON CENTER, 111 CONNAUGHT ROAD CENTRAL, SHEUNG WAN, HONG KONG, A0, 00000, 852 2815 9892 - 6,225,000 ($5,166,750.00) Equity, (File 333-109451 - Oct. 3) (BR. 04) S-3 ENTERGY ARKANSAS INC, 425 WEST CAPITOL AVE, 40TH FLOOR, LITTLE ROCK, AR, 72201, 501-377-4000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-109453 - Oct. 3) (BR. 02) SB-2 TREY INDUSTRIES INC, 3,000,000 ($1,800,000.00) Equity, (File 333-109454 - Oct. 3) (BR. 03) SB-2 ALLIED BANCSHARES INC, P O BOX 2669, CUMMING, GA, 30028, 6789473595 - 1,500,000 ($15,000,000.00) Equity, (File 333-109462 - Oct. 3) (BR. ) S-1 AIR-Q WI-FI CORP, 5555 HILTON AVENUE, SUITE 207, BATON ROUGE, LA, 70808, 225-923-1034 - 22,331,000 ($22,478,410.00) Equity, (File 333-109466 - Oct. 3) (BR. 04) S-8 RENEGADE VENTURE NEV CORP, 90 MADISON STREET, SUITE 707, DENVER, CO, 80206, 3037503000 - 3,000,000 ($600,000.00) Equity, (File 333-109473 - Oct. 3) (BR. 05) S-8 BIOSANTE PHARMACEUTICALS INC, 8477932458 - 0 ($3,130,000.00) Equity, (File 333-109474 - Oct. 3) (BR. 01) S-8 SIGMATEL INC, 3815 SOUTH CAPITAL OF TEXAS HIGHWAY, SUITE 300, BUILDING 3, AUSTIN, TX, 78704, 512-381-3700 - 0 ($75,887,431.00) Equity, (File 333-109475 - Oct. 3) (BR. 36) S-4 CENTENNIAL COMMUNICATIONS CORP /DE, 3349 ROUTE 138, BLDG. A, WALL, NJ, 07719, 7325562200 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-109476 - Oct. 3) (BR. 37) S-8 ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 27870, 2525379222 - 28,000,000 ($112,000.00) Equity, (File 333-109477 - Oct. 3) (BR. 08) S-8 VISTA MEDICAL TECHNOLOGIES INC, 5451 AVENIDA ENCINAS, SUITE A, CARLSBAD, CA, 92008, 7606039120 - 0 ($822,000.00) Equity, (File 333-109478 - Oct. 3) (BR. 36) S-3 MAXIM PHARMACEUTICALS INC, 8899 UNIVERSITY CTR LANE, STE 400, SAN DIEGO, CA, 92122, 8584534040 - 0 ($37,959,789.24) Equity, (File 333-109479 - Oct. 3) (BR. 01) S-4 FISHER SCIENTIFIC INTERNATIONAL INC, LIBERTY LANE, HAMPTON, NH, 03842, 6039265911 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-109480 - Oct. 3) (BR. 02) S-3 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 31,500,000 ($14,805,000.00) Equity, (File 333-109481 - Oct. 3) (BR. 37) S-8 TEXAS CAPITAL BANCSHARES INC/TX, 2100 MCKINNEY AVE, SUITE 1250, DALLAS, TX, 75201, 2149326600 - 0 ($40,772,325.00) Equity, (File 333-109482 - Oct. 3) (BR. 07) N-2 ING CLARION REAL ESTATE INCOME FUND, 40 ($1,000,000.00) Equity, (File 333-109484 - Oct. 3) (BR. 17) N-2 INVESTMENT GRADE MUNICIPAL INCOME FUND, C/O UBS GLOBAL ASSET MANAGEMENT (US) INC, 51 WEST 52ND ST, NEW YORK, NY, 10019, 212 882 5575 - 0 ($1,000,000.00) Equity, (File 333-109485 - Oct. 3) (BR. 16) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 4807867200 - 0 ($20,055,750.00) Equity, (File 333-109486 - Oct. 3) (BR. 36) N-2 INSURED MUNICIPAL INCOME FUND INC, C/O UBS GLOBAL ASSET MANAGEMENT (US) INC, 51 WEST 52ND ST., NEW YORK, NY, 10019, 212 882 5575 - 0 ($1,000,000.00) Equity, (File 333-109487 - Oct. 3) (BR. 16) S-3 MATRIA HEALTHCARE INC, 1850 PARKWAY PL, 12TH FL, MARIETTA, GA, 30067, 7707674548 - 150,000,000 ($150,000,000.00) Equity, (File 333-109488 - Oct. 3) (BR. 01) S-3 AMERICAN TOWER CORP /MA/, 116 HUNTINGTON AVE, BOSTON, MA, 02116, 6173757500 - 0 ($210,000,000.00) Debt Convertible into Equity, (File 333-109489 - Oct. 3) (BR. 37) S-8 BORDEN CHEMICAL INC, 180 EAST BROAD ST, 22ND FLOOR, COLUMBUS, OH, 43215, 6142254000 - 0 ($22,941,266.00) Equity, (File 333-109490 - Oct. 3) (BR. 06) 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 ------------------------------------------------------------------------------------------------ ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 09/25/03 ABOVENET INC DE X 10/03/03 ACCREDITED MORT LOAN TRUST ASSET BAC DE X 09/25/03 ACUITY BRANDS INC DE X 10/02/03 AFP IMAGING CORP NY X X 10/03/03 AGCO CORP /DE DE X 10/03/03 ALASKA FREIGHTWAYS INC NV X 10/03/03 ALLEGHENY ENERGY INC MD X X 10/03/03 ALTERNATIVE LOAN TRUST MORT PASS THRO DE X X 09/25/03 AMEREN CORP MO X X 10/03/03 AMERICA WEST HOLDINGS CORP DE X X 10/02/03 AMERICAN AXLE & MANUFACTURING HOLDING DE X 10/03/03 AMERICAN TOWER CORP /MA/ DE X X 10/03/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X X 08/08/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X 09/25/03 AMERIQUEST MORT SEC INC ASSET BACK PS DE X 09/25/03 AMERIQUEST MORT SEC INC ASSET BACKED DE X 09/25/03 AMERIQUEST MORT SEC INC ASST BACK PAS DE X X 09/10/03 AMERIQUEST MORTGAGE SEC AS-BCKD PASS- DE X 09/25/03 AMERIQUEST MORTGAGE SEC INC ASSET BAC DE X 09/25/03 AMERIQUEST MORTGAGE SEC INC ASSET BCK DE X 09/25/03 AMERIQUEST MORTGAGE SEC INC ASST BACK DE X 09/25/03 AMERIQUEST MORTGAGE SEC INC AST BACK DE X 09/25/03 AMERIQUEST MORTGAGE SECURITIES INC SE DE X 09/25/03 ANTS SOFTWARE INC DE X 09/30/03 ARGENT SEC INC ASSET BACKED PAS THR C X 09/25/03 ARGENT SECURITIES INC ASSET-BK PAS TH X 09/25/03 ARIAD PHARMACEUTICALS INC DE X X 10/02/03 AROTECH CORP DE X X 09/30/03 ASB HOLDING CO X X 10/03/03 ASSET BACKED PASS THROUGH CERTIFICATE DE X 09/25/03 ASSET-BACKED CERTIFICATE SERIES 2003- DE X 09/25/03 ASSOCIATED MATERIALS INC DE X 10/02/03 AUTHENTIDATE HOLDING CORP DE X X 10/02/03 AXIOM PHARMACEUTICALS INC NV X 10/03/03 AZONIC CORP NV X X 09/22/03 BAM ENTERTAINMENT INC X 09/30/03 AMEND BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 09/25/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 09/25/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 09/25/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANC OF AMERICA MORTGAGE SEC INC ALTE DE X X 09/25/03 BANK OF AMERICA 1999-10 NC X 09/25/03 BANK OF AMERICA 1999-11 NC X 09/25/03 BANK OF AMERICA 1999-3 NC X 09/25/03 BANK OF AMERICA 1999-4 DE X 09/25/03 BANK OF AMERICA 1999-5 NC X 09/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 09/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 09/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANK OF AMERICA MORT SEC MORT PASS TH DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 09/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 09/25/03 BCSB BANKCORP INC X 10/03/03 BE AEROSPACE INC DE X X 10/02/03 BEAR STEARNS ARM TRUST 2002-7 DE X X 09/25/03 BEAR STEARNS ARM TRUST 2003-5 DE X X 09/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 09/25/03 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 09/25/03 BESTWAY INC DE X X 10/01/03 BOTTLING GROUP LLC DE X X 10/02/03 BRANDAID MARKETING CORP DE X 10/03/03 AMEND BUCKEYE TECHNOLOGIES INC DE X 10/02/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 09/30/03 CANARGO ENERGY CORP DE X X 09/30/03 CANTEL MEDICAL CORP DE X X 09/30/03 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 09/23/03 CENTURY PROPERTIES FUND XIX CA X X 09/29/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 10/03/03 CHASE FUNDING INC NY X X 09/25/03 CHASE MORTGAGE FINANCE CORP DE X X 09/25/03 CHINA CABLE & COMMUNICATION INC DE X X 09/26/03 CHL MORTGAGE PASS THROUGH TRUST 2003- DE X 09/25/03 CILCORP INC IL X X 10/03/03 CIT EQUIPMENT COLLATERAL 2003-EF1 DE X X 09/25/03 CITADEL SECURITY SOFTWARE INC DE X X X 10/03/03 CNA FINANCIAL CORP DE X X 10/03/03 COMMERCE ONE INC / DE/ DE X X 10/01/03 COMPASS KNOWLEDGE HOLDINGS INC NV X X 10/03/03 COMPETITIVE TECHNOLOGIES INC DE X X 09/02/03 AMEND CONE MILLS CORP NC X X 10/03/03 CONSOL ENERGY INC X X 10/02/03 CONSOLIDATED CAPITAL PROPERTIES III CA X X 09/29/03 CONSUMERS FINANCIAL CORP PA X 09/18/03 AMEND CONTINUCARE CORP FL X X 10/03/03 CORNERSTONE REALTY INCOME TRUST INC VA X 10/01/03 CSFB HOME EQUITY PASS THROUGH CERTS S DE X X 09/25/02 CSFB MORTGAGE SEC CORP HOME EQ MORT P DE X X 09/25/03 CTI MOLECULAR IMAGING INC DE X 10/01/03 CUNO INC DE X X 10/02/03 CURTISS WRIGHT CORP DE X X 09/25/03 CVD EQUIPMENT CORP NY X 10/02/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 09/25/03 CWABS INC ASSET BACKED CERTS SER 2003 DE X 09/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 09/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 09/25/03 CWABS INC ASSET BACKED CERTS SERIES 2 DE X 09/25/03 CWABS INC ASSET-BACKED CERTIFICATES S DE X 09/25/03 CWABS INC COUNTRYWIDE HOME LOANS SERV DE X 09/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 09/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 09/25/03 CWMBS INC ALTERNATIVE LOAN TRUST 2003 DE X 09/25/03 CWMBS INC CHL M ORTGAGE PASS THROUGH DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS THRU TR 2 DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 09/25/03 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 09/25/03 CWMBS INC MORTGAGE PASS THR CERTS SER DE X 09/25/03 CWMBS INC MORTGAGE PASS THR CERTS SER DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THROUGH CERTS DE X 09/25/03 CWMBS INC MORTGAGE PASS THRU CERTIFIC DE X 09/25/03 CWMBS INC MORTGAGE PASS-THROUGH CERTI DE X 09/25/03 DELTA APPAREL INC GA X X 10/03/03 DENNYS CORP DE X X 10/03/03 DIVIDEND CAPITAL TRUST INC MD X X 07/22/03 AMEND DNAPRINT GENOMICS INC UT X X 09/19/03 AMEND DOMINIX INC DE X X 09/26/03 DREW INDUSTRIES INCORPORATED DE X X 10/02/03 DYNAMEX INC DE X X 10/01/03 ECC INTERNATIONAL CORP DE X 09/25/03 EDISON INTERNATIONAL CA X 10/01/03 EL PASO CORP/DE DE X X 10/03/03 ELIZABETH ARDEN INC FL X X 10/02/03 ENCORE CAPITAL GROUP INC DE X 10/02/03 ENERGEN CORP AL X X 10/03/03 ENTRUST INC MD X X 10/03/03 ENVIROKARE TECH INC NV X 10/03/03 EPHONE TELECOM INC FL X 09/23/03 EQUIFIN INC DE X X 09/23/03 ESSEX PROPERTY TRUST INC MD X X 09/30/03 EXELON CORP PA X 10/03/03 EXIDE TECHNOLOGIES DE X 10/03/03 FINANCIAL ASSET SEC CORP ASSET BACKED DE X 09/25/03 FINANCIAL ASSET SEC CORP FREMONT HOME DE X 09/25/03 FINANCIAL ASSET SECURITIES CORP ASSET DE X 09/25/03 FINANCIAL ASSET SECURITIES CORP FREMO DE X 09/25/03 FIRST CHARTER CORP /NC/ NC X X 10/03/03 FIRST HORIZON ASSET SEC INC MOR PAS T DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PAS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 09/25/03 FIRST HORIZON ASSET SEC INC MORT PASS DE X 09/25/03 FIRST HORIZON ASSET SEC MORT PASS THR DE X 09/25/03 FIRST HORIZON ASSET SEC MORT PASS-THR DE X 09/25/03 FIRST HORIZON ASSET SECS INC MORT PAS DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THRU CERT DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THRU TRUS DE X 09/25/03 FIRST HORIZON MORTGAGE PASS THRU TRUS DE X 09/25/03 FIRST HORIZON MORTGAGE PASS-THROUGH T DE X 09/25/03 FIRST INDIANA CORP IN X X 10/03/03 FISHER SCIENTIFIC INTERNATIONAL INC DE X 09/30/03 FLUOR CORP DE X X 10/03/03 FNBH BANCORP INC MI X X 09/28/03 FPL GROUP INC FL X 10/03/03 FUN CITY POPCORN INC NV X 09/30/03 GBC BANCORP CA X X 10/03/03 GLACIER WATER SERVICES INC DE X 09/30/03 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO X X 10/03/03 GLOBALSANTAFE CORP X X 10/02/03 GOLDEN GRAIN ENERGY X 09/17/03 GREENWICH CAPITAL ACCEPT INC HARBORVI DE X X 09/25/03 GREENWICH CAPITAL ACCEPTANCE INC THOR DE X X 09/25/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X 09/25/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 09/25/03 GS MORTGAGE SECURITIES CORP MORT PAS DE X X 09/25/03 GS MORTGAGE SECURITIES CORP MORT PASS DE X 09/25/03 GS MORTGAGE SECURITIES CORP MORT PASS DE X X 09/25/03 GSAMP TRUST 2003-HE1 DE X 09/25/03 GSV INC DE X 07/21/03 AMEND GUARDIAN TECHNOLOGIES INTERNATIONAL I DE X 10/02/03 GULFTERRA ENERGY PARTNERS L P DE X X 10/03/03 HEALTHGATE DATA CORP DE X 10/03/03 HEALTHTRAC INC X 10/02/03 ICU MEDICAL INC/DE DE X X 10/31/02 AMEND IDEC PHARMACEUTICALS CORP / DE DE X X 06/19/03 AMEND IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/03 IMH ASSETS CORP IPAC CMB TRUST SERIES DE X 09/25/03 IMPAC CMB TRUST COLLATERLIZED AB BOND DE X 09/25/03 IMPAC CMB TRUST SERIES 2003-8 DE X 09/25/03 IMPAC SECURED ASSETS CORP MOR PASS TH CA X 09/25/03 IMPAC SECURED ASSETS CORP MORT PASS T CA X 09/25/03 IMPAC SECURED ASSETS CORP MORTGAGE PA CA X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA X X 10/03/03 INSIGHT HEALTH SERVICES HOLDINGS CORP X 10/03/03 AMEND INTEGRATED BIOPHARMA INC DE X 07/22/03 AMEND INTEGRATED SECURITY SYSTEMS INC DE X X 09/05/03 INTEGRATED SECURITY SYSTEMS INC DE X X 09/26/03 INTEGRATED SECURITY SYSTEMS INC DE X X 10/01/03 INTERNATIONAL SMART SOURCING INC DE X 09/22/03 AMEND INTERSTATE BAKERIES CORP/DE/ DE X X 10/02/03 IROQUOIS GAS TRANSMISSION SYSTEM LP DE X 10/03/03 IROQUOIS GAS TRANSMISSION SYSTEM LP DE X 10/03/03 AMEND JEFFERSON BANCSHARES INC TN X X 10/02/03 JOHNSON CONTROLS INC WI X 10/01/03 LASALLE RE HOLDINGS LTD X X 09/26/03 LEXINGTON CORPORATE PROPERTIES TRUST MD X X 10/01/03 LIGAND PHARMACEUTICALS INC DE X X 10/02/03 LOEWS CORP DE X 10/03/03 LONG BEACH LOAN 2003-2 DE X 09/25/03 LONG BEACH SECURITIES CORP ASSET BACK DE X 09/25/03 LONG BEACH SECURITIES CORP ASSET BACK DE X 09/25/03 LONG BEACH SECURITIES CORP CERTS SERI DE X 09/25/03 MAGELLAN HEALTH SERVICES INC DE X X 10/02/03 MARCONI CORP PLC X0 X 10/03/03 MARCONI CORP PLC X0 X 10/03/03 MARTEK BIOSCIENCES CORP DE X X 10/03/03 MATRIXONE INC DE X 10/03/03 MAUI LAND & PINEAPPLE CO INC HI X X 10/02/03 MAVERICK TUBE CORPORATION DE X 10/03/03 MEDWAVE INC DE X X 09/29/03 MELLON FINANCIAL CORP PA X X 10/01/03 MERRILL LYNCH & CO INC DE X X 10/03/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 10/01/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 10/01/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 09/25/03 METHODE ELECTRONICS INC DE X X 10/01/03 METRETEK TECHNOLOGIES INC DE X X 09/24/03 MICROTEK MEDICAL HOLDINGS INC GA X 10/02/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X 10/02/03 MOBILE REACH INTERNATIONAL INC DE X X 09/24/03 MORGAN STANLEY ABS CAPITAL I - MOR PA DE X 09/25/03 MORGAN STANLEY ABS CAPITAL I INC CDC DE X 09/25/03 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X 09/25/03 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X 09/25/03 MORGAN STANLEY ABS CAPITAL I MORT PS- DE X 09/25/03 MORGAN STANLEY ABS CAPITAL I TRUST 20 DE X 09/25/03 MORGAN STANLEY DEAN WITTER CAP I MRT DE X 09/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 09/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 09/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 09/25/03 MORGAN STANLEY MORTGAGE PASS THR CERT DE X 09/25/03 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE X X 09/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/01/03 MORTGAGE LOAN ASSET-BACKED CERTIFICAT DE X X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X 09/25/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X 09/25/03 MPW INDUSTRIAL SERVICES GROUP INC OH X X 09/29/03 MSDW STRUCTURED SATURNS SERIES 2001 2 DE X 10/01/03 MSDW STRUCTURED SATURNS SERIES 2001-6 DE X 09/01/03 MUZAK HOLDINGS LLC DE X 10/03/03 NATIONAL MANAGEMENT CONSULTANTS INC DE X 07/31/03 NATIONAL MEDICAL HEALTH CARD SYSTEMS NY X 10/02/03 NCR CORP MD X X 10/03/03 NCT FUNDING CO LLC DE X X 09/25/03 NEOMEDIA TECHNOLOGIES INC DE X X 10/02/03 NETWOLVES CORP NY X X 09/30/03 NEW CENTURY HOME EQUITY LOAN TRUST SE DE X 09/25/03 NEW CENTURY HOME EQUITY LOAN TRUST SE DE X 09/25/03 NEW CENTURY MORT SEC INC HOME EQUITY DE X 09/25/03 NEW PALTZ CAPITAL CORP NV X 10/02/03 NEW YORK COMMUNITY BANCORP INC DE X X 10/02/03 NEWPOWER HOLDINGS INC DE X X 10/02/03 NEXT INC/TN DE X X 10/01/03 NICHOLAS FINANCIAL INC FL X 10/03/03 NOMURA ASSET ACCEPT CORP ALTERNATIVE DE X X 09/25/03 NOMURA ASSET ACCEPTANCE CORP ALT LOAN DE X X 09/25/03 NORTH PITTSBURGH SYSTEMS INC PA X X 09/25/03 NUWAVE TECHNOLOGIES INC DE X 09/29/03 ONE LIBERTY PROPERTIES INC MD X X 09/23/03 OREGON STEEL MILLS INC DE X 10/03/03 AMEND OSHKOSH TRUCK CORP WI X 08/13/03 OSTEOTECH INC DE X X X 10/03/03 OTHNET INC DE X 09/29/03 PACIFIC GAS & ELECTRIC CO CA X 10/03/03 PARAGON REAL ESTATE EQUITY & INVESTME MD X X 10/01/03 PAYCHEX INC DE X 10/02/03 PENN NATIONAL GAMING INC PA X 09/30/03 PETRO HOLDINGS FINANCIAL CORP DE X X 10/03/03 PETRO STOPPING CENTERS HOLDINGS LP DE X X 10/03/03 PG&E CORP CA X 10/03/03 PHOENIX GOLD INTERNATIONAL INC OR X X 10/03/03 PREFERREDPLUS TRUST SERIES MSD-1 DE X X 10/01/03 PROXIM CORP DE X X 10/02/03 PW EAGLE INC MN X X 10/02/03 QUANTA SERVICES INC DE X X 09/30/03 RANGE RESOURCES CORP DE X X 10/02/03 REALTY PARKING 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