SEC NEWS DIGEST Issue 2003-197 October 16, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. CLOSED MEETING - TUESDAY, OCTOBER 21, 2003 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, October 21, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; Formal orders of investigation; Regulatory matters regarding a financial institution; and Opinion. OPEN MEETING - WEDNESDAY, OCTOBER 22, 2003 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, October 22, be: 1. The Commission will consider whether to propose new Rule 15a-5 under the Investment Company Act of 1940 (Investment Company Act). Proposed Rule 15a-5 would permit an investment adviser to manage an open-end investment company's (fund) assets without approval by fund shareholders, under certain conditions. The Commission also will consider whether to amend Form N-1A under the Investment Company Act and the Securities Act of 1933. The recommended amendments would include a requirement that any fund operating under the exemption in proposed Rule 15a-5 disclose that investment advisers may be hired without shareholder approval. For further information, please contact Adam B. Glazer at (202) 942- 0690. 2. The Commission will consider whether to adopt amendments to Rule 10b-18 (the safe harbor rule regarding issuer repurchases) under the Securities Exchange Act of 1934 (Exchange Act), and amendments to Regulations S-K and S-B under the Exchange Act, and Exchange Act Forms 10-Q, 10-QSB, 10-K, 10-KSB, 20-F (regarding foreign private issuers), and Form N-CSR under the Exchange Act and the Investment Company Act of 1940 that would require periodic disclosure of all issuer repurchases of equity securities, regardless of whether the repurchases are effected in accordance with Rule 10b-18. For further information, please contact Joan Collopy or Elizabeth Sandoe at (202) 942-0772. 3. Proposed Regulation SHO The Commission will consider whether to propose for public comment new Regulation SHO regulating short sales under the Securities Exchange of 1934, which would replace current Rules 3b-3, 10a-1 and 10a-2. Among other things, Regulation SHO would institute a new uniform bid test, applicable to exchange-listed and Nasdaq National Market System securities, that would allow short sales to be effected at a price above the consolidated best bid. Regulation SHO would also suspend the operation of the proposed bid test for specified highly liquid securities on a two-year pilot basis. Regulation SHO would also require short sellers in all equity securities to locate securities to borrow before selling short, and add further requirements to address "naked" short selling. The Commission will also consider simultaneously whether to propose for public comment amendments to Rule 105 of Regulation M, which addresses short sales prior to a public offering, to eliminate the shelf offering exception and to address transactions designed to evade the Rule. Commission Guidance on Rule 3b-3 and Married Put Transactions Finally, the Commission will also consider whether to publish simultaneously an interpretive release providing all market participants with guidance regarding the use of married put transactions when aggregating positions under Rule 3b-3 for determining compliance with Rule 10a-1 and Rule 105 of Regulation M. For further information, please contact Kevin Campion or Greg Dumark at (202) 942-0772. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS JAMES MULHEARN BARRED FROM ASSOCIATION WITH ANY BROKER-DEALER On October 15, the Commission instituted and simultaneously settled public administrative proceedings against James Mulhearn (Mulhearn), of Coral Springs, Florida, a former associated person of a registered broker-dealer. Without admitting or denying the Commission's findings, Mulhearn consented to the Commission's Order. The Order found that on September 29, 2003, Mulhearn was permanently enjoined from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the district court action SEC v. James Mulhearn, et al. Civil Action Number 03-61747-CIV-MARTINEZ. The complaint in the district court action alleged that Mulhearn engaged in a fraudulent, unregistered offering of securities in Safetynet Industries, Inc. Based on the injunction entered against him, the Commission ordered that Mulhearn be barred from association with any broker or dealer. (Rel. 34-48633; File No. 3-11299) SEC SUES CEO OF DALLAS-BASED ARABIAN AMERICAN DEVELOPMENT COMPANY FOR FAILING TO DISCLOSE NEGATIVE INFORMATION RELATING TO COMPANY'S LARGEST ASSET On October 16, the Commission filed a civil action in the U.S. District Court for the Northern District of Texas against Hatem El-Khalidi, the CEO of Arabian American Development Company (AADC), a Dallas-based oil refining and mining company. El-Khalidi, who resides in Saudi Arabia, has agreed, without admitting or denying the SEC's claims, to pay a $25,000 penalty to settle the SEC's civil case. In a related action, the SEC also announced today the issuance of a settled cease-and-desist order against El-Khalidi and AADC. The SEC's complaint alleges, and the SEC's cease-and-desist order finds, that El-Khalidi failed to disclose material information relating to AADC's largest asset to AADC's shareholders, auditor, and other officers and directors. Without admitting or denying the allegations in the SEC's complaint, El-Khalidi has agreed to pay a $25,000 civil penalty in the U.S. district court action. Without admitting or denying the findings in the SEC's administrative order: (1) AADC has agreed to cease and desist from violating Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, and comply with certain undertakings designed to improve AADC's reporting and record keeping practices and enhance its internal accounting controls; and (2) El-Khalidi has agreed to cease and desist from violating Section 13(b)(5) of the Exchange Act and Rules 13a-14 and 13b2-2 thereunder, and causing AADC's violations of Sections 13(a) and 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. [SEC v. Hatem El-Khalidi, Case No. 3:03-CV-2452-D (ND Tex.)] (LR-18412); (Administrative Proceeding - Rel. 34-48638; AAE Rel. 1898; File No. 3-11301) IN THE MATTER OF JAMES PATRICK CONNELLY JR. On October 16, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) 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 James Patrick Connelly Jr. (Connelly). The Order finds that Connelly, a former vice chairman of Fred Alger Management, Inc. (Alger Management) responsible for managing the Alger Fund Group complex of mutual funds, permitted select investors to "time" Alger mutual funds in exchange for maintaining "buy and hold" or "sticky" assets in other Alger mutual funds. The Order finds that investors who attempted to time Alger mutual funds without Connelly's approval, and corresponding commitment of "buy and hold" assets, were asked to redeem their investments in Alger mutual funds. The Order further finds that Connelly was aware that the Alger mutual fund prospectus and statement of additional information did not disclose that Alger Management treated investors differently based upon whether they had entered into timing agreements in exchange for buy and hold positions. The Order furthers finds that by authorizing these timing agreements, Connelly willfully violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Section 34(b) of the Investment Company Act of 1940. Based on the above, the Order: (1) requires Connelly 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, Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Section 34(b) of the Investment Company Act of 1940; (2) requires Connelly to pay a civil money penalty in the amount of $400,000 to the United States Treasury; and (3) bars Connelly from association with any broker, dealer, or 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. Connelly consented to the issuance of the Order without admitting or denying the findings therein. (Rels. 33-8304; 34-48643; IA-2183; IC- 26209; File No. 3-11303) SEC CHARGES JOHN MONTANA, JR., MELVIN LYTTLE, PAUL KNIGHT, VIOLET ELDRIDGE AND OTHERS WITH FRAUD IN A $30 MILLION SECURITIES OFFERING The Commission announced today that it filed an action in U.S. District Court for the Southern District of Indiana charging John L. Montana, Jr., Melvin R. Lyttle and Paul E. Knight with defrauding 29 investors in a $30 million offering of investments in a non-existent bank instrument trading program (Trading Program). The Complaint alleges that Montana, Lyttle and Knight raised these funds from August 1999 until April 2000 through the entities that they controlled: Montana's Worldwide T&P, Inc., Lyttle's First National Equity, LLC and Knight's P.K. Trust & Holding, Inc. The SEC's complaint alleges that Montana, Lyttle and Knight told investors that they would earn excellent returns, risk-free in the Trading Program, which purported to invest money in the trading of various instruments including medium term notes. In reality, the Trading Program did not exist and the funds were not kept safe. The complaint alleges that instead of investing the investors' funds in the supposed Trading Program, Lyttle misappropriated at least $6 million for his personal use and the remaining $24 million in investor funds was transferred to brokerage accounts controlled by Defendant Violet Gail Eldridge in the name of Defendant UTA-BVI, Ltd. UTA-BVI used the funds to engage in highly leveraged and unprofitable stock trading. According to the SEC's complaint, Eldridge and UTA-BVI, in turn, defrauded First National Equity and P.K. Trust & Holding. UTA-BVI agreed to serve as trustee for a trust that consisted of $24 million in investor funds and which identified First National Equity and P.K. Trust as beneficiaries of the trust. The complaint alleges that, instead of managing the funds for the benefit of First National Equity and P.K. Trust, UTA-BVI, among other things, used the trust funds to pay Eldridge's personal expenses and also transferred funds to bank accounts that she controlled in the name of the Relief Defendants, The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc. Eldridge never disclosed to First National Equity and P.K. Trust that UTA-BVI would use the trust funds in this manner. The SEC's complaint alleges that based on their conduct the Defendants violated the federal securities laws. The SEC's complaint requests that the Court permanently enjoin the Defendants from the securities law violations alleged, order each of the Defendants to pay a civil penalty and order Lyttle, Knight, First National Equity, P.K. Trust, UTA-BVI, Eldridge and Relief Defendants The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc. to disgorge, with prejudgment interest, all ill-gotten gains. [SEC v. John L. Montana, Jr., Melvin R. Lyttle, Paul E. Knight, Worldwide T&P, Inc., First National Equity, LLC, P.K. Trust & Holding, Inc., UTA-BVI, Ltd. and Violet Gail Eldridge, Defendants, and The United Tribes of the Americas, Inc. and Executive Bureau of Research and Recovery, Inc., Relief Defendants, Civil Action No. 1:03CV1513 (SEB) SD Ind.] (LR-18411) INVESTMENT COMPANY ACT RELEASES COUNTRY MUTUAL FUNDS TRUST, ET AL. A notice has been issued giving interested persons until Nov. 14, 2003, to request a hearing on an application filed by COUNTRY Mutual Funds Trust (Trust) and COUNTRY Trust Bank (CTB) (collectively, Applicants). Applicants seek an order under Section 6(c) of the Investment Company Act granting exemptions from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act, and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder to the extent necessary to permit shares of the Trust and shares of any other existing or future investment company that is designed to fund insurance products and for which CTB, or any of its affiliates, may serve as investment manager, investment adviser, subadviser, administrator, manager, principal underwriter or sponsor (the Trust and such other investment companies being hereinafter referred to, collectively, as "Insurance Trust"), or permit shares of any current or future series of any Insurance Trust, to be sold to and held by: (1) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (2) qualified pension and retirement plans outside of the separate account context; and (3) any investment manager to an Insurance Trust and affiliates thereof. (Rel. IC-26208 - October 15) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-2003-112) submitted by the National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., relating to locked and crossed markets in the Nasdaq InterMarket. Publication of the notice in the Federal Register is expected during the week of October 13. (Rel. 34-48599) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NASD-2003-130), and Amendment Nos. 1 and 2 thereto, filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. relating to amendments to its recently adopted rules regarding shareholder approval for stock option or purchase plans or other equity compensation arrangements. Publication of the notice in the Federal Register is expected during the week of October 13. (Rel. 34-48627) WITHDRAWAL GRANTED An order has been issued granting the application of The Indonesia Fund, Inc. to withdraw its Common Stock, $.001 par value, from listing and registration on the Boston Stock Exchange, effective at the opening of business on October 16. (Rel. 34-48634) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-109657 - Oct. 14) (BR. 04) S-3 HOSPITALITY PROPERTIES TRUST, 400 CENTRE ST, NEWTON, MA, 02158, 6179648389 - 0 ($144,560,000.00) Equity, (File 333-109658 - Oct. 14) (BR. 08) S-3 SENIOR HOUSING PROPERTIES TRUST, 400 CENTRE STREET, NEWTON, MA, 02458, 6173323990 - 0 ($194,700,418.00) Equity, (File 333-109659 - Oct. 14) (BR. 08) S-3 VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 212-894-7000 - 0 ($10,000,000.00) Equity, (File 333-109661 - Oct. 14) (BR. 08) S-8 GUCCI GROUP NV, REMBRANDT TOWER, AMSTELPLEIN 1, AMSTERDAM NETHERLANDS, P8, HA1096, 31204621700 - 0 ($105,312,500.00) Equity, (File 333-109662 - Oct. 14) (BR. 02) S-8 PALOMAR ENTERPRISES INC, 6196922590 - 33,000,000 ($363,000.00) Other, (File 333-109664 - Oct. 14) (BR. 05) S-8 SILVER SCREEN STUDIOS INC, 25,000,000 ($300,000.00) Equity, (File 333-109665 - Oct. 14) (BR. 08) S-8 FINX GROUP INC, 21634 CLUB VILLA TERRACE, BOCA RATON, FL, 33433, (561) 447-6612 - 7,000,000 ($35,000.00) Equity, (File 333-109666 - Oct. 14) (BR. 03) S-4 EVERGREEN INTERNATIONAL AVIATION INC, 3850 THREE MILE LANE, MCMINNVILLE, OR, 97128-9496, 5034729361 - 0 ($215,000,000.00) Non-Convertible Debt, (File 333-109667 - Oct. 14) (BR. 05) S-3 ENERGY EAST CORP, PO BOX 12904, STE 2006A 20TH FL, ALBANY, NY, 12212-2904, 5184343014 - 0 ($69,810,000.00) Equity, (File 333-109669 - Oct. 14) (BR. 02) S-8 GEAC COMPUTER CORP LTD, 11 ALLSTATE PARKWAY, SUITE 300, MARKHAM ONTARIO CANADA L3R 9T8, A6, 00000, 9059403704 - 4,493,570 ($21,344,457.50) Equity, (File 333-109670 - Oct. 14) (BR. 03) S-8 DYNAMIC IMAGING GROUP INC/FL, 3428 NORTH OCEAN BLVD, ., FORT LAUDERDALE, FL, 33308, 954-564-1133 - 15,600,000 ($936,000.00) Equity, (File 333-109671 - Oct. 14) (BR. 08) F-6 HANSON BUILDING MATERIALS PLC, 1 GROSVENOR PLACE, LONDON, ENGLAND, X0, SW1X7JH, 4402072594156 - 500,000,000 ($25,000,000.00) Equity, (File 333-109672 - Oct. 14) (BR. ) S-8 MK GOLD CO, 60 E. SOUTH TEMPLE, SUITE 2100, SALT LAKE CITY, UT, 84111, 801-297-6900 - 500,000 ($550,000.00) Equity, (File 333-109673 - Oct. 14) (BR. 04) S-8 DIAL CORP /NEW/, 15501 NORTH DIAL BOULEVARD, SCOTTSDALE, AZ, 852601619, 4807543425 - 700,000 ($15,144,500.00) Equity, (File 333-109674 - Oct. 14) (BR. 04) S-8 XDOGS COM INC, 527 MARQUETTE AVE, SUITE 2130, MINNEAPOLIS, MN, 55402, 6123599020 - 600,000 ($21,600.00) Equity, (File 333-109675 - Oct. 14) (BR. 05) S-3 IMPLANT SCIENCES CORP, 107 AUDUBON ROAD #5, WAKEFIELD, MA, 01880-1246, 7812460700 - 0 ($4,453,478.00) Equity, (File 333-109677 - Oct. 14) (BR. 36) S-8 ATNG INC, 7010 NW 100 DRIVE, BLDG. A, STE. #101, HOUSTON, TX, 77092, 7137854722 - 0 ($152,000.00) Equity, (File 333-109679 - Oct. 14) (BR. 37) N-2 FIRST TRUST/FOUR CORNERS SENIOR FLOATING RATE INCOME FUND, 1001 WARRENVILLE ROAD, SUITE 300, LISLE, IL, 60532, 6302414141 - 40 ($1,000,000.00) Equity, (File 333-109680 - Oct. 14) (BR. 17) S-3 PARLEX CORP, ONE PARLEX PLACE, METHUEN, MA, 01844, 5086854341 - 1,050,000 ($8,400,000.00) Equity, (File 333-109681 - Oct. 14) (BR. 36) S-3 SPARTECH CORP, 120 S CENTRAL AVE, STE 1700, CLAYTON, MO, 63105, 3147214242 - 0 ($268,578,015.42) Equity, (File 333-109682 - Oct. 14) (BR. 06) S-3 INFORMATICA CORP, 2100 SEAPORT BLVD, REDWOOD CITY, CA, 94063, 6503855000 - 3,192,248 ($27,070,264.00) Equity, (File 333-109683 - Oct. 14) (BR. 03) S-4 ROCKWOOD SPECIALTIES GROUP INC, 100 OVERLOOK CENTER, PRINCETON, NJ, 08540, 6095140300 - 0 ($375,000,000.00) Other, (File 333-109686 - Oct. 14) (BR. ) S-8 INFORMATICA CORP, 2100 SEAPORT BLVD, REDWOOD CITY, CA, 94063, 6503855000 - 0 ($47,489,479.00) Equity, (File 333-109687 - Oct. 14) (BR. 03) S-8 2U ONLINE COM INC, 1288 ALBERNI ST STE 806, VANCOUVER BRITISH COLUMBIACANADAV6E4N5, BELLINGHAM, A2, 00000, 6046640484 - 11,091,667 ($665,500.02) Equity, (File 333-109689 - Oct. 14) (BR. 03) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 904,940 ($12,985,889.00) Equity, (File 333-109690 - Oct. 14) (BR. 36) S-3 EARTHLINK INC, 1375 PEACHTREE STREET, SUITE 400, ATLANTA, GA, 30309, 4048150770 - 0 ($2,229,320.00) Equity, (File 333-109691 - Oct. 14) (BR. 03) S-3 ICAD INC, 4 TOWNSEND WEST, SUITE 17, NASHUA, NH, 03063, 603-882-5200 - 250,954 ($683,850.00) Equity, (File 333-109692 - Oct. 14) (BR. 03) S-8 FLAMEL TECHNOLOGIES SA, PARC CLUB DU MOULIN A VENT, 33 AVE DU DOCTEUR GEORGES LEVY, VENISSIEUX CED, I0, 69693, 2126641666 - 100,000 ($3,525,000.00) ADRs/ADSs, (File 333-109693 - Oct. 14) (BR. 01) S-3 SAFENET INC, 8029 CORPORATE DRIVE, BALTIMORE, MD, 21236, 4109317500 - 0 ($6,896,071.00) Equity, (File 333-109694 - Oct. 15) (BR. 37) SB-2 UNITED FINANCIAL MORTGAGE CORP, 815 COMMERCE DRIVE, SUITE 100, OAK BROOK, IL, 60523, 6305717222 - 0 ($14,339,534.00) Equity, (File 333-109696 - Oct. 15) (BR. 07) S-3 EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404, 650-513-7000 - 0 ($150,000,000.00) Equity, (File 333-109697 - Oct. 15) (BR. 37) S-1 GTX INC/TN, 3 NORTH DUNLAP AVE 3RD FL, VAN VLEET BUILDING, MEMPHIS, TN, 38163, 901-523-9700 - 0 ($86,250,000.00) Equity, (File 333-109700 - Oct. 15) (BR. 01) S-3 BIO IMAGING TECHNOLOGIES INC, 826 NEWTOWN-YARDLEY ROAD, NEWTOWN, PA, 18940-1721, 2677571360 - 4,441,714 ($28,426,969.00) Equity, (File 333-109702 - Oct. 15) (BR. 01) SB-2 NETSOL TECHNOLOGIES INC, 24025 PARK SORRENTO, SUITE 222, CALABASAS, CA, 91302, 8182229195 - 1,077,963 ($2,980,567.00) Equity, (File 333-109703 - Oct. 15) (BR. 03) S-8 AMERICAN FIRE RETARDANT CORP, 9337 BOND AVENUE, 806-479-0449, EL CAJON, CA, 92012, 619-390-68 - 0 ($6,360,000.00) Equity, (File 333-109704 - Oct. 15) (BR. 02) S-8 SYNBIOTICS CORP, 11011 VIA FRONTERA, SAN DIEGO, CA, 92127, 6194513771 - 3,000,000 ($480,000.00) Equity, (File 333-109705 - Oct. 15) (BR. 01) S-3 YARDVILLE NATIONAL BANCORP, 2465 KUSER RD, HAMILTON, NJ, 08690, 6096316218 - 500,000 ($11,355,000.00) Equity, (File 333-109706 - Oct. 15) (BR. 07) N-2 WESTERN ASSET CLAYMORE US TREASURY INFLATION PRO SECU FUND, 117 EST COLORADO BLVD, PASADENA, CA, 91105, 6268449400 - 0 ($250,000.00) Equity, (File 333-109707 - Oct. 15) (BR. 16) S-3 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA, 90049, 310-826-5648 - 6,113,448 ($14,831,288.00) Equity, (File 333-109708 - Oct. 15) (BR. 01) S-8 BROADVISION INC, 585 BROADWAY, REDWOOD CITY, CA, 94063, 6502615100 - 0 ($12,177,045.92) Equity, (File 333-109709 - Oct. 15) (BR. 03) S-3 ALLIANCE DATA SYSTEMS CORP, 17655 WATERVIEW PARKWAY, DALLAS, TX, 75252, 9723485100 - 0 ($246,906,387.00) Equity, (File 333-109713 - Oct. 15) (BR. 08) S-3 SUBURBAN PROPANE PARTNERS LP, P O BOX 206, 240 ROUTE 10 WEST, WIPPANY, NJ, 07981, 9738875300 - 500,000,000 ($500,000,000.00) Other, (File 333-109714 - Oct. 15) (BR. 02) S-8 DIGITALNET HOLDINGS INC, 2525 NETWORK PLACE, ., HERNDON, VA, 20171, 703-563-7500 - 0 ($5,693,764.00) Equity, (File 333-109715 - Oct. 15) (BR. 03) S-3 SONTRA MEDICAL CORP, 58 CHARLES STREET, CAMBRIDGE, MA, 02141, 6174945337 - 15,360,000 ($42,931,200.00) Equity, (File 333-109716 - Oct. 15) (BR. 36) S-8 GLOBETEL COMMUNICATIONS CORP, 444 BRICKELL AVE SUITE 522, MIAMI, FL, 33131, 3055799922 - 5,650,000 ($152,550.00) Equity, (File 333-109717 - Oct. 15) (BR. 37) S-8 GENESIS MICROCHIP INC /DE, 2150 GOLD STREET, ALVISO, CA, 95002, 4082626599 - 0 ($13,640,000.00) Equity, (File 333-109718 - Oct. 15) (BR. 36) S-8 GENESIS MICROCHIP INC /DE, 2150 GOLD STREET, ALVISO, CA, 95002, 4082626599 - 0 ($21,144,482.48) Equity, (File 333-109719 - Oct. 15) (BR. 36) S-3 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 13,940,700 ($20,632,236.00) Equity, (File 333-109720 - Oct. 15) (BR. 01) S-8 UNIVISION COMMUNICATIONS INC, 1999 AVENUE OF THE STARS STE 3050, LOS ANGLES, CA, 90067, 3105567676 - 0 ($18,607,930.56) Equity, (File 333-109721 - Oct. 15) (BR. 37) S-3 CITICORP MORTGAGE SECURITIES INC, 12855 NORTH OUTER FORTY DR, ST LOUIS, MO, 63141, 3148516305 - 0 ($20,000,000,000.00) Mortgage Backed Securities, (File 333-109722 - Oct. 15) (BR. 05) S-8 ROYAL BODYCARE INC/NV, 9202 W ROYAL LANE, IRVING, TX, 75063, 9729292900 - 0 ($387,400.00) Equity, (File 333-109723 - Oct. 15) (BR. 02) S-3 DOR BIOPHARMA INC, 1691 MICHIGAN AVE., SUITE 435, MIAMI, FL, 33139, 305-534-3383 - 0 ($12,114,354.00) Equity, (File 333-109724 - Oct. 15) (BR. 01) S-4 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817, 3018976000 - 0 ($1,937,813,084.00) Equity, (File 333-109725 - Oct. 15) (BR. 05) S-8 ENVIRONMENTAL REMEDIATION HOLDING CORP, 5444 WESTHEIMER SUITE 1570, HOUSTON, TX, 77056, 5018212222 - 0 ($61,875.00) Equity, (File 333-109726 - Oct. 15) (BR. 04) S-3 NEW CENTURY FINANCIAL CORP, 18400 VON KARMAN, SUITE 1000, IRVINE, CA, 92612, 9494407030 - 0 ($235,987,500.00) Other, (File 333-109727 - Oct. 15) (BR. 07) S-8 ADVANCIS PHARMACEUTICAL CORP, 20425 SENECA MEADOWS PARKWAY, GERMANTOWN, MD, 20878, (301) 944-6600 - 0 ($40,802,458.00) Equity, (File 333-109728 - Oct. 15) (BR. 01) S-8 UNIVERSAL AMERICAN FINANCIAL CORP, SIX INTERNATIONAL DRIVE, SUITE 190, RYE BROOK, NY, 10573-1068, 9149345200X253 - 250,000 ($2,267,500.00) Equity, (File 333-109729 - Oct. 15) (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ACTIVANT SOLUTIONS INC /DE/ DE X X 10/06/03 ADTRAN INC DE X X X 10/13/03 ADVANCED ENVIRONMENTAL RECYCLING TECH DE X X 10/14/03 ADVANCEPCS DE X X 10/10/03 AERO MARINE ENGINE INC NV X X X X 05/30/03 AMEND ALLEGHENY ENERGY INC MD X X 10/14/03 ALLERGAN INC DE X X 10/13/03 AMCORE FINANCIAL INC NV X 10/14/03 AMCORE FINANCIAL INC NV X 10/14/03 AMERALIA INC UT X 10/13/03 AMERICAN ACCESS TECHNOLOGIES INC FL X X 10/08/03 AMERICAN CONSOLIDATED MANAGEMENT GROU UT X 07/14/03 AMERICAN HOMEPATIENT INC DE X 10/07/03 AMERICAN REALTY INVESTORS INC NV X X 10/01/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X X X 08/04/03 AMSOUTH BANCORPORATION DE X 10/14/03 AMSURG CORP TN X X 10/14/03 ANGELES PARTNERS VII CA X X 09/30/03 ANSWERTHINK INC FL X X 10/14/03 ANTS SOFTWARE INC DE X 10/14/03 APPLIED FILMS CORP CO X X 10/14/03 APPLIED INDUSTRIAL TECHNOLOGIES INC OH X 10/13/03 ATA HOLDINGS CORP IN X X 10/13/03 AURORA FOODS INC /DE/ DE X X 10/13/03 AUTOCORP EQUITIES INC NV X 09/30/03 BADGER METER INC WI X X 10/14/03 BALDOR ELECTRIC CO MO X 09/27/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/10/03 BANK OF AMERICA CORP /DE/ DE X X X X 10/14/03 BANK OF AMERICA CORP /DE/ DE X X 09/03/03 BANK OF GRANITE CORP DE X X 10/14/03 BB&T CORP NC X 09/30/03 BERGER HOLDINGS LTD PA X X 10/10/03 BERT LOGIC INC WA X X 10/08/03 BEVERLY ENTERPRISES INC DE X X X 10/14/03 BIOTRANSPLANT INC DE X X 09/08/03 BLACKHAWK BANCORP INC WI X X 09/30/03 BORLAND SOFTWARE CORP DE X X 10/09/03 BOSTON LIFE SCIENCES INC /DE DE X X 10/08/03 BRANDYWINE REALTY TRUST MD X X 09/23/03 BUSH INDUSTRIES INC DE X 10/13/03 BUTLER NATIONAL CORP DE X X 10/13/03 CALIFORNIA STEEL INDUSTRIES INC X 10/13/03 CAP ROCK ENERGY CORP X 10/14/03 CAPTEC FRANCHISE CAPITAL PARTNERS L P DE X X X 09/24/03 AMEND CAPTEC FRANCHISE CAPITAL PARTNERS LP DE X X X 09/24/03 AMEND CARDIMA INC DE X X 10/14/03 CARDIODYNAMICS INTERNATIONAL CORP CA X 10/14/03 CAREMARK RX INC DE X X 10/10/03 CCF HOLDING CO GA X X 10/09/03 CENDANT MORTGAGE CAP LLC CDMC MORT PA DE X 09/24/03 CERADYNE INC DE X X 10/08/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 10/13/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 10/14/03 CHINA FUND INC MD X 09/01/03 CLASSICA GROUP INC NY X X 10/06/03 CLASSICA GROUP INC NY X X 10/06/03 COGNEX CORP MA X X 10/14/03 COMMERCIAL METALS CO DE X X 10/14/03 COMMERCIAL MORTGAGE PASS-THROUGH CERT DE X X 09/30/03 COMPREHENSIVE CARE CORP DE X X 10/14/03 COMPUTER TASK GROUP INC NY X 10/13/03 COMTEX NEWS NETWORK INC DE X X 10/08/03 CORAM HEALTHCARE CORP DE X X 09/29/03 COST U LESS INC WA X X X 10/10/03 COUNTRYWIDE FINANCIAL CORP DE X 09/30/03 CREDIT & ASSET REPACKAGING VEHICLE CO DE X 10/01/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/14/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/14/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/14/03 CRIIMI MAE FINANCIAL CORP MD X X 10/01/03 CROMPTON CORP DE X X 10/14/03 AMEND CSFB HOME EQUITY PASS THROUGH CERTS S DE X 10/14/03 CSFB MORT SEC CORP COM MORT PAS THR C DE X X 09/29/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 08/28/03 CWMBS INC DE X X 07/31/03 CWMBS INC DE X X 07/01/03 CYGENE LABORATORIES INC DE X X 09/30/03 DAN RIVER INC /GA/ GA X 10/10/03 DATAMARINE INTERNATIONAL INC MA X 10/10/03 DAYTON SUPERIOR CORP OH X X 07/29/03 AMEND DELTA AIR LINES INC /DE/ DE X X 10/14/03 DENTSPLY INTERNATIONAL INC /DE/ DE X 10/14/03 DIAL CORP /NEW/ DE X X 10/14/03 DIAMETRICS MEDICAL INC MN X X 09/29/03 DIAMOND OFFSHORE DRILLING INC DE X X 10/14/03 DIRECTV HOLDINGS LLC DE X X 10/14/03 DISCOVERY INVESTMENTS INC NV X X 10/07/03 DOCUMENTUM INC DE X X 10/14/03 DOCUMENTUM INC DE X X 10/14/03 DOMINION RESOURCES INC /VA/ VA X 10/13/03 DOW JONES & CO INC DE X X 10/14/03 DVI RECEIVABLES CORP VIII DE X X 10/09/03 DYNABAZAAR INC DE X X 10/10/03 EAGLE PICHER HOLDINGS INC DE X X 10/14/03 EATON CORP OH X 10/14/03 EFUNDS CORP DE X X 10/06/03 ELECTRO RENT CORP CA X 10/09/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 10/13/03 EMC CORP MA X X 10/14/03 EMC CORP MA X X 10/13/03 EMCORE CORP NJ X 10/09/03 EMERITUS CORP\WA\ WA X X 09/30/03 EMPYREAN COMMUNICATIONS INC NV X 10/13/03 ENERGY CONVERSION DEVICES INC DE X 10/14/03 EPOCH BIOSCIENCES INC DE X X 10/06/03 EQUITY ONE ABS INC DE X X 10/06/03 EURAMAX INTERNATIONAL PLC X X 10/10/03 EVCI CAREER COLLEGES INC DE X X 10/10/03 EXACT SCIENCES CORP DE X 10/11/03 EXCEL TECHNOLOGY INC DE X 09/30/03 FAB INDUSTRIES INC DE X X 10/14/03 FAIRCHILD CORP DE X X 10/10/03 FAIRPOINT COMMUNICATIONS INC DE X X 09/30/03 FAIRPOINT COMMUNICATIONS INC DE X X 09/30/03 AMEND FARMER MAC MORTGAGE SECURITIES CORP DE X 10/14/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 10/14/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 10/14/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 10/14/03 FARMLAND INDUSTRIES INC KS X X 10/13/03 FASTENAL CO MN X X 10/10/03 FEDDERS CORP /DE DE X 10/14/03 FIFTH THIRD BANCORP OH X X X 10/14/03 FIREPOND INC DE X X X 10/14/03 FIRST CHARTER CORP /NC/ NC X X 10/14/03 FIRST DATA CORP DE X X 10/14/03 FIRST HORIZON ASSET SECURITIES INC DE X X 08/29/03 FIRST INDIANA CORP IN X X 10/14/03 FIVE STAR PRODUCTS INC DE X 10/08/03 FMC CORP DE X 10/09/03 FOREST LABORATORIES INC DE X 09/30/03 FRANKLIN ELECTRIC CO INC IN X X 09/09/03 G REIT INC VA X 07/31/03 AMEND GADZOOKS INC TX X X 10/09/03 GALEY & LORD INC DE X X 09/25/03 GANNETT CO INC /DE/ DE X 09/28/03 GAP INC DE X X 10/13/03 GBC BANCORP CA X X 10/14/03 GLOBUS INTERNATIONAL RESOURCES CORP NV X X 10/10/03 GOLDEN EAGLE INTERNATIONAL INC CO X X 10/10/03 GP STRATEGIES CORP DE X 10/08/03 GRAND PRIX SPORTS INC WA X X X X X 10/10/03 GREAT AMERICAN BANCORP INC DE X X 10/10/03 GREAT WESTERN BANCORPORATION INC IA X X X 10/08/03 GREENWICH CAPITAL COMMERCIAL FUND COR X 10/01/03 GREER BANCSHARES INC SC X X 10/09/03 GROUP 1 AUTOMOTIVE INC DE X X 10/14/03 GS MORTGAGE SECURITIES CORP DE X X 10/09/03 GULFTERRA ENERGY PARTNERS L P DE X X 10/10/03 HAMPTON ROADS BANKSHARES INC VA X 10/09/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 10/14/03 HARLEYSVILLE NATIONAL CORP PA X 09/30/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 10/13/03 HELEN OF TROY LTD X X X 09/29/03 HENNESSY ADVISORS INC X X 10/14/03 HERBALORGANICS COM X X X X 10/11/03 HOME EQUITY MORTGAGE PASS-THROUGH CER DE X 09/29/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X 10/14/03 HOSPITALITY PROPERTIES TRUST MD X X 10/10/03 HUGHES ELECTRONICS CORP DE X X 10/14/03 ICON HEALTH & FITNESS INC DE X X 08/30/03 IDEC PHARMACEUTICALS CORP / DE DE X X 10/14/03 IESI CORP DE X 10/10/03 IMAGING TECHNOLOGIES CORP/CA DE X 10/13/03 IMAGIS TECHNOLOGIES INC A1 X 10/07/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE CA X X X 09/29/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE CA X X 09/29/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE CA X X 09/29/03 INERGY L P DE X X 07/31/03 AMEND INTEGRATED SECURITY SYSTEMS INC DE X X 10/10/03 INTEGRATED SURGICAL SYSTEMS INC DE X 10/13/03 INTEL CORP DE X 10/14/03 INTERACTIVECORP DE X X 09/30/03 INTERDIGITAL COMMUNICATIONS CORP PA X X 07/30/03 AMEND JAMESON INNS INC GA X X 10/14/03 JEFFERIES GROUP INC /DE/ DE X 10/14/03 JLG INDUSTRIES INC PA X X X 08/01/03 AMEND JOHNSON & JOHNSON NJ X X 10/14/03 JP MORGAN CHASE COM SEC CORP PASS THR DE X X 07/28/03 JURAK CORP WORLD WIDE INC MN X 10/14/03 K2 DIGITAL INC DE X 10/08/03 KARMA MEDIA INC NV X X 07/14/03 KEANE INC MA X X 10/14/03 KENILWORTH SYSTEMS CORP NY X 03/31/02 KFI PROPERTIES LP DE X X 09/22/03 KINGDOM VENTURES INC NV X X 07/31/03 AMEND KMG CHEMICALS INC TX X 10/14/03 KNIGHT FULLER INC DE X X 09/22/03 KNIGHT TRADING GROUP INC DE X X 10/14/03 LABOR READY INC WA X 10/14/03 LASALLE HOTEL PROPERTIES MD X 10/14/03 LBI MEDIA INC CA X 10/10/03 LEGATO SYSTEMS INC DE X X 10/14/03 LEHMAN ABS CORP MOTOROLA DEBENTURE B DE X X 10/01/03 LEVI STRAUSS & CO DE X 10/14/03 LEXENT INC DE X 10/10/03 LIBERATE TECHNOLOGIES DE X X 10/13/03 LIFELINE SYSTEMS INC MA X 10/14/03 LIQUIDGOLF HOLDING CORP NV X 09/29/03 LNR PROPERTY CORP DE X X 10/14/03 LUBRIZOL CORP OH X X 10/14/03 M WAVE INC DE X X 09/01/03 MACROCHEM CORP DE X 10/14/03 MADISON BANCSHARES INC FL X 10/09/03 MAGNETEK INC DE X X 10/08/03 MAIN STREET & MAIN INC DE X X 10/07/03 MANATRON INC MI X X 10/13/03 MARSHALL & ILSLEY CORP/WI/ WI X X 10/13/03 MATRIX SERVICE CO DE X X 10/14/03 MAXIMUM DYNAMICS INC CO X 10/14/03 MENS WEARHOUSE INC TX X X 10/14/03 MERISTAR HOSPITALITY CORP MD X 10/08/03 MERISTAR HOSPITALITY OPERATING PARTNE DE X 08/08/03 MERRILL LYNCH & CO INC DE X X 10/14/03 MICRO THERAPEUTICS INC DE X X X 10/08/03 MICRON ENVIRO SYSTEMS INC NV X 10/13/03 MIDWEST EXPRESS HOLDINGS INC WI X X 10/10/03 MILTOPE GROUP INC DE X 10/14/03 MINORPLANET SYSTEMS USA INC DE X X 10/06/03 MISSOURI RIVER & GOLD GEM CORP MT X 09/30/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 10/10/03 MORGAN STANLEY DE X X 10/13/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 08/28/03 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/17/03 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/29/03 MOTHERS WORK INC DE X X 10/09/03 MOTOROLA INC DE X 10/13/03 MUELLER INDUSTRIES INC DE X X 10/14/03 MULTIMEDIA GAMES INC TX X X 10/14/03 MYLAN LABORATORIES INC PA X X 10/10/03 NAPCO SECURITY SYSTEMS INC DE X X 10/14/03 NATIONAL AUTO CREDIT INC /DE DE X X 07/31/03 AMEND NETSCOUT SYSTEMS INC DE X 10/14/03 NEW MEDIA INC DE X 10/14/03 AMEND NEXGEN VISION INC DE X 10/09/03 NMS COMMUNICATIONS CORP DE X X 10/14/03 NORTH AMERICAN SCIENTIFIC INC DE X X 10/13/03 NOVELLUS SYSTEMS INC CA X X 10/14/03 NSD BANCORP INC PA X X 10/14/03 NTN COMMUNICATIONS INC DE X 10/13/03 AMEND NUI CORP /NJ/ NJ X X 10/14/03 NUTRITION 21 INC NY X X 10/09/03 OAK HILL FINANCIAL INC OH X 10/09/03 OAKWOOD HOMES CORP NC X X 10/03/03 OHIO VALLEY BANC CORP OH X X 09/30/03 OIL DRI CORPORATION OF AMERICA DE X X 10/10/03 OMI CORP/M I X X 09/13/03 ON SITE SOURCING INC DE X X 10/13/03 ONEOK INC /NEW/ OK X X 10/10/03 OPTION CARE INC/DE DE X X 10/08/03 PACKAGING CORP OF AMERICA X X 10/13/03 PAR TECHNOLOGY CORP DE X 10/09/03 PARK NATIONAL CORP /OH/ OH X X 10/14/03 PEOPLES ENERGY CORP IL X X 10/14/03 PEOPLES OHIO FINANCIAL CORP OH X 10/10/03 PFIZER INC DE X X 10/14/03 PHONE1GLOBALWIDE INC DE X X 10/14/03 PIVOTAL CORP X X 10/07/03 PLUMTREE SOFTWARE INC DE X X 10/13/03 POGO PRODUCING CO DE X X 10/14/03 POLARIS INDUSTRIES INC/MN MN X X 10/14/03 POWERWAVE TECHNOLOGIES INC DE X X 10/14/03 PPT VISION INC MN X X 10/06/03 PRIME GROUP REALTY TRUST MD X 10/10/03 PRINTRONIX INC DE X X 10/09/03 PROCTER & GAMBLE CO OH X 10/14/03 QEP CO INC DE X X X 10/13/03 QUADRAMED CORP DE X X 10/10/03 R&G FINANCIAL CORP PR X X 10/14/03 RADIANT SYSTEMS INC GA X X 10/10/03 RADIANT SYSTEMS INC GA X X 10/10/03 REPUBLIC BANCORP INC MI X 10/14/03 REPUBLIC BANCORP INC MI X 10/14/03 RESIDENTIAL ASSET MORT PRODUCT GMACM DE X X 10/14/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/14/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/14/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/14/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 10/13/03 RF MONOLITHICS INC /DE/ DE X X 10/14/03 RITE AID CORP DE X X 10/13/03 RIVIANA FOODS INC /DE/ DE X X X 10/14/03 ROSS SYSTEMS INC/CA DE X X 10/03/03 SALIX PHARMACEUTICALS LTD X X 10/13/03 SALON MEDIA GROUP INC DE X X 09/29/03 SANDISK CORP DE X X 10/13/03 SBS TECHNOLOGIES INC NM X X 10/14/03 SCB COMPUTER TECHNOLOGY INC TN X 10/14/03 SCIENCE APPLICATIONS INTERNATIONAL CO DE X X 10/14/03 SCRIPPS E W CO /DE OH X X 10/14/03 SELECT COMFORT CORP MN X 10/14/03 SLM EDUCATION CREDIT FUNDING LLC X X 10/01/03 SOLUTIA INC DE X X X 10/08/03 SONOSITE INC X X 10/13/03 SONTRA MEDICAL CORP MN X X 10/14/03 SPIEGEL INC DE X 10/14/03 SPORTS AUTHORITY INC /DE/ DE X X 10/13/03 SPORTS CLUB CO INC DE X X 10/13/03 SRA INTERNATIONAL INC DE X X 10/09/03 STANLEY FURNITURE CO INC/ DE X 09/27/03 STANLEY FURNITURE CO INC/ DE X X 09/27/03 STATE STREET CORP MA X 10/14/03 STORAGENETWORKS INC DE X X 10/14/03 STRUCTURED ASSET MORT INV II INC BEAR DE X 09/30/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 09/30/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 09/30/03 STRUCTURED ASSET SECURITIES CORP MO P DE X 09/25/03 STRUCTURED ASSET SECURITIES CORP SERI DE X 09/25/03 STRUCTURED PRODUCTS CORP DE X 10/01/03 STRUCTURED PRODUCTS CORP CAST STEP UP DE X 10/02/03 STRUCTURED PRODUCTS CORP CAST STEP UP DE X 10/01/03 STRUCTURED PRODUCTS CORP CASTSM STEP DE X 10/01/03 SUBURBAN PROPANE PARTNERS LP DE X 06/30/03 SUITE 101 COM INC DE X X 10/06/03 SUPERTEX INC CA X X 09/30/03 SYMBOL TECHNOLOGIES INC DE X 10/10/03 TABATHA III INC CO X X 09/30/03 TECHNOLOGY ACQUISITION CORP NV X 10/13/03 TENET HEALTHCARE CORP NV X 10/10/03 THOMAS & BETTS CORP TN X X 10/13/03 TITANIUM METALS CORP DE X 10/13/03 TITANIUM METALS CORP DE X 10/14/03 TOTAL SYSTEM SERVICES INC GA X X 10/14/03 TOWN & COUNTRY TRUST MD X X 09/29/03 TRADESTATION GROUP INC FL X X 10/14/03 TRANSCONTINENTAL REALTY INVESTORS INC NV X X 10/01/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 2 CA X X 10/14/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 DE X X 10/14/03 TROY GROUP INC DE X X 10/10/03 TUESDAY MORNING CORP/DE DE X X 10/13/03 UMPQUA HOLDINGS CORP OR X X 10/14/03 UNIVERSAL COMMUNICATION SYSTEMS INC NV X X 09/29/03 UNIVERSAL FOREST PRODUCTS INC MI X X 10/14/03 UNIVERSAL GUARDIAN HOLDINGS INC DE X X 09/23/03 USI HOLDINGS CORP DE X X 09/16/03 AMEND VALUECLICK INC/CA DE X X 10/09/03 VARIAN MEDICAL SYSTEMS INC DE X X 10/13/03 VERILINK CORP DE X 10/14/03 VERITAS DGC INC DE X X 10/14/03 VERTEX INTERACTIVE INC NJ X X 09/23/03 VIALINK CO DE X 10/13/03 VIDEO DISPLAY CORP GA X X 10/14/03 VIE FINANCIAL GROUP INC DE X X 10/09/03 VISTEON CORP DE X X 10/13/03 VITALSTREAM HOLDINGS INC NV X X 10/14/03 WASATCH WEB ADVISORS INC UT X X X X X X 10/14/03 WASHINGTON GROUP INTERNATIONAL INC DE X X 10/13/03 WEBMD CORP /NEW/ DE X X 10/13/03 WEBMETHODS INC DE X X 10/13/03 WEIGHT WATCHERS INTERNATIONAL INC VA X X 10/09/03 WELLCO ENTERPRISES INC NC X X 06/28/03 WELLS FARGO ASSET SECURITIES CORP DE X X 10/14/03 WESTIN HOTELS LTD PARTNERSHIP DE X X 10/10/03 WET SEAL INC DE X X 10/13/03 WHIRLPOOL CORP /DE/ DE X X 10/14/03 WINNEBAGO INDUSTRIES INC IA X X 10/13/03 WINSTON HOTELS INC NC X 08/05/03 WINTHROP CALIFORNIA INVESTORS LTD PAR DE X X 10/03/03 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 10/10/03 WORLDWIDE WIRELESS NETWORKS INC NV X 10/14/03 YP NET INC NV X X 10/10/03 ZHONE TECHNOLOGIES INC DE X X 10/13/03 A C MOORE ARTS & CRAFTS INC PA X 10/15/03 ABAXIS INC CA X 10/15/03 ABFS MORTGAGE LOAN TRUST 2003 1 DE X X 10/15/03 ABN AMRO MORTGAGE MULTI-CLASS MOR PAS DE X X 09/26/03 ACTION PRODUCTS INTERNATIONAL INC FL X X 08/30/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 10/15/03 AEI REAL ESTATE FUND XV LTD PARTNERSH DE X X 09/30/03 ALABAMA NATIONAL BANCORPORATION DE X X 10/15/03 ALCIDE CORP DE X X 10/15/03 ALLETE INC MN X 10/15/03 ALLIANCE DATA SYSTEMS CORP DE X 10/15/03 ALLIANCE GAMING CORP NV X 10/15/03 ALLSTATE CORP DE X X 10/15/03 AMERICAN EXPRESS CENTURION BANK UT X X 10/15/03 AMERICAN EXPRESS MASTER TRUST DE X X 10/15/03 AMERICAN SAFETY INSURANCE HOLDINGS LT X X 09/30/03 AMERICAN STANDARD COMPANIES INC DE X X X 10/15/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 10/15/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 10/15/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 10/15/03 AMLI RESIDENTIAL PROPERTIES TRUST MD X X 10/15/03 ANALOGIC CORP MA X 10/15/03 ANC RENTAL CORP DE X X 10/14/03 APPLE COMPUTER INC CA X X 10/15/03 ARMSTRONG WORLD INDUSTRIES INC PA X 10/11/03 ASBURY AUTOMOTIVE GROUP INC DE X 09/30/03 ASSET-BACKED CERTIFICATES SERIES 2003 DE X 09/30/03 ASTORIA FINANCIAL CORP DE X X 10/15/03 AT ROAD INC CA X X 10/14/03 ATC HEALTHCARE INC /DE/ DE X X 10/14/03 AZTAR CORP DE X X 10/14/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 07/24/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 08/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/27/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 10/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X 10/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 10/10/03 BARD C R INC /NJ/ NJ X 10/15/03 BEAR STEARNS ASSET BACKED FUND INC WH DE X X 10/15/03 BEAR STEARNS ASSET BACKED SECURITIES DE X 08/29/03 AMEND BERKSHIRE HILLS BANCORP INC X X 10/10/03 BLACKROCK INC /NY DE X X 10/15/03 BLUE RIDGE ENERGY INC X 09/30/03 AMEND BOSTON COMMUNICATIONS GROUP INC MA X 10/15/03 BOUNDLESS MOTOR SPORTS RACING INC CO X 08/01/03 AMEND BOWATER INC DE X X 09/30/03 BRANDYWINE REALTY TRUST MD X X 10/14/03 BRE PROPERTIES INC /MD/ MD X X 10/14/03 BRIDGE BANCORP INC NY X X 10/15/03 BUSINESS BANCORP /CA/ CA X X 10/14/03 C COR NET CORP PA X X 10/14/03 CADENCE DESIGN SYSTEMS INC DE X 10/15/03 CALTON INC NJ X X 10/15/03 CAPRIUS INC DE X X 09/30/03 CARDIMA INC DE X 10/14/03 CARLISLE COMPANIES INC DE X 10/14/03 CARMAX AUTO OWNER TRUST 2003-1 DE X X 09/15/03 CARMAX INC VA X X 10/15/03 CAROLINA BANK HOLDINGS INC NC X X X 10/14/03 CC MASTER CREDIT CARD TRUST II MD X 10/15/03 CE CASECNAN WATER & ENERGY CO INC X X 10/15/03 CEC ENTERTAINMENT INC KS X 09/28/03 CEC ENTERTAINMENT INC KS X X 09/28/03 CELERITEK INC/CA CA X X 10/15/03 CENTURY ALUMINUM CO DE X X 10/15/03 CERIDIAN CORP /DE/ DE X X 10/15/03 CERNER CORP /MO/ DE X X 10/15/03 CHASE CORP MA X X 10/14/03 CHASE CREDIT CARD OWNER TRUST 2003-4 NY X X 09/19/03 CHASE CREDIT CARD OWNER TRUST 2003-5 NY X X 10/01/03 CHEMUNG FINANCIAL CORP NY X X 09/30/03 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 09/30/03 CITIZENS FINANCIAL SERVICES INC PA X 10/15/03 CITY HOLDING CO WV X X 10/14/03 CITY NATIONAL CORP DE X X X 10/15/03 CN BANCORP INC MD X X X 10/15/03 CNH WHOLESALE RECEIVABLES INC DE X X 09/30/03 CNL RETIREMENT PROPERTIES INC MD X X 09/11/03 COLLEGIATE FUNDING SERVICES EDUCATION DE X X 09/30/03 COLONIAL BANCGROUP INC DE X X 09/30/03 COLONIAL COMMERCIAL CORP NY X X 09/30/03 COMERICA INC /NEW/ DE X X 10/15/03 COMMERCE BANCORP INC /NJ/ NJ X X 10/15/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 10/01/03 COMMONWEALTH BIOTECHNOLOGIES INC VA X 10/14/03 COMMUNITY TRUST BANCORP INC /KY/ KY X 09/30/03 COMPUCREDIT CORP GA X X 10/15/03 CONSOL ENERGY INC X X 10/15/03 CORPORATE ASSET BACKED CORP DE X 10/01/03 COSTAR GROUP INC DE X 10/14/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/15/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/15/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/15/03 CROGHAN BANCSHARES INC OH X 10/15/03 CRYO CELL INTERNATIONAL INC DE X X 10/14/03 CSFB HOME EQUITY PASS THROUGH CERTS S DE X 10/15/03 AMEND CWABS INC ASSET BACKED CERTS SER 2003 DE X X 09/30/03 CWABS INC ASSET BACKED CERTS SER 2003 DE X 09/30/03 CWMBS INC DE X X 04/30/03 CWMBS INC DE X X 01/30/03 CWMBS INC DE X X 05/30/03 CYANOTECH CORP NV X X 10/14/03 CYBERSOURCE CORP DE X X 10/15/03 DATALINK CORP MN X X 10/14/03 DAVITA INC DE X X 10/14/03 DAYTON SUPERIOR CORP OH X X 10/14/03 DEERE JOHN RECEIVABLES INC DE X X 10/15/03 DIGITAL RECORDERS INC NC X 10/15/03 DILLARD ASSET FUNDING CO DE X X 09/15/03 DISCOVER CARD MASTER TRUST I DE X 10/15/03 DIVERSIFIED FINANCIAL RESOURCES CORP DE X 09/26/03 DOCUMENTUM INC DE X X 10/13/03 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