SEC NEWS DIGEST Issue 2003-236 December 12, 2003 ENFORCEMENT PROCEEDINGS COMMISSION DENIES RECONSIDERATION REQUEST BY BARR FINANCIAL GROUP AND ALFRED BARR The Commission has denied a request by the Barr Financial Group, Inc., an investment adviser, and Alfred E. Barr, Barr Financial's president, for reconsideration of a Commission decision finding that respondents had violated the Investment Advisers Act of 1940 and imposing sanctions. The Commission found that respondents made untrue statements of material fact in Commission filings during 1997 and 1998. Respondents' statements concerned the amount of assets Barr Financial had under management and Barr's academic background. The Commission further found that respondents were permanently enjoined in 1999 from violating the Advisers Act based on their failure to cooperate with an examination of Barr Financial by Commission staff. Based on these findings, the Commission ordered respondents to cease and desist from violating the Advisers Act provisions they had been found to have violated, barred Barr from associating with an investment adviser, and revoked Barr Financial's registration. In determining to deny the reconsideration, the Commission pointed out that respondents' contentions were indistinguishable from those that they had made in their prior filings and at oral argument, which the Commission had previously considered and rejected. (Rel. IA-2202; File No. 3-9918) SEC ORDERS HEARTLAND GROUP INDEPENDENT DIRECTORS TO CEASE AND DESIST FROM SECURITIES LAWS VIOLATIONS; HEARTLAND GROUP'S PRICING SERVICE CENSURED AND ORDERED TO PAY CIVIL PENALTY On December 11, in a settled administrative proceeding, the Commission issued an order, by consent, requiring Heartland Group Inc.'s former Independent Directors, Jon Hammes, Albert Shilling, Allan Stefl, and Linda Stephenson, to cease and desist from committing or causing violations of certain antifraud provisions of the Securities Act and causing violations of the fund pricing provision of the Investment Company Act, for their negligent failure to adequately monitor the liquidity of the Funds and to take adequate steps to address the Funds' pricing deficiencies. Hammes, Shilling, Stefl and Stephenson neither admitted nor denied the Commission's findings. In a related settled administrative proceeding, FT Interactive Corporation consented to the issuance of an order by the SEC finding that it caused and willfully aided and abetted Heartland Advisor's violations of the antifraud provisions of the Investment Advisers Act and a provision of the Investment Company Act requiring that a fund's NAV accurately reflect the fair value of the securities held by the fund. In that order, the Commission also censured FT Interactive, ordered it to cease and from committing or causing the above violations, ordered it to pay a $125,000 civil penalty and ordered it to comply with certain undertakings regarding the pricing of securities for which market quotations are not readily available. FT Interactive neither admitted nor denied the Commission's findings. (Rels. 33-8346; IC- 26290; File No. 3-11351; Press Rel. 2003-171) CIVIL INJUNCTIVE ACTION FILED AGAINST HEARTLAND ADVISORS AND CERTAIN EMPLOYEES FOR MISREPRESENTATIONS AND OMISSIONS, MISPRICING OF BONDS AND INSIDER TRADING The SEC announced that it filed a civil injunctive action in the Eastern District of Wisconsin against Heartland Advisors Inc., a Milwaukee, Wisconsin investment adviser, and William Nasgovitz, Paul Beste, Jilaine Bauer, Thomas Conlin, Greg Winston, Kevin Clerk, Kenneth Della, Hugh Denison and Raymond Krueger, Milwaukee-area residents. The Commission's actions alleged violations in three primary areas -- fund pricing, insider trading, and disclosure -- and relate to two high-yield municipal bond funds managed by Heartland Advisers (the Funds). These allegations came to light when the Funds, and a smaller related fund, dropped in value by approximately $93 million between Sept. 28 and Oct. 13, 2000, due to the confluence of months of deliberate mispricing of the Funds' securities by Heartland Advisers and a cash-flow crisis related to extensive borrowing to meet investor redemptions. While investors were kept in the dark about the status of the funds, Nasgovitz tipped one of his friends and clients, Krueger, who liquidated his shares in one of the Funds. Bauer, Winston and Della also liquidated shares in one or more of the Funds and/or a related fund, with inside information about the Funds' pricing and cash flow problems. Further, Winston tipped family members who liquidated their shares in one or more of the Funds and/or a related fund. The SEC seeks an order of permanent injunction, disgorgement plus pre- judgment interest and civil penalties from all of the defendants for their violations of the antifraud provisions of the Securities Exchange Act of the 1934 and/or various other provisions of the Securities Act of 1933, the Investment Advisers Act of 1940 and the Investment Company Act of 1940. (Rels. IA-2201; IC-26291; File No. 3-11352; Press Rel. 2003- 171) PETER KUEBLER, CPA, REINSTATED TO APPEAR AND PRACTICE BEFORE THE COMMISSION AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW OF FINANCIAL STATEMENTS REQUIRED TO BE FILED WITH THE COMMISSION Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Peter F. Kuebler, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Kuebler, who was denied the privilege of appearing or practicing before the Commission on July 31, 1998, pursuant to a settled proceeding, has represented that he has complied and will continue to comply with the terms of the order that denied him from appearing or practicing before the Commission as an accountant. Mr. Kuebler's reinstatement is effective immediately. (Rel. 34-48901; AAE Rel. 1920; File No. 3-9568) IN THE MATTER OF THOMAS COSTELLO On December 11, the Commission issued an Order Instituting Cease-and- Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings and Imposing a Cease-and-Desist Order (Order) against Thomas D. Costello. The Order finds that Costello, the former controller of Akorn, Inc., caused the company to make false statements in its 2000 Form 10-K and its first quarter 2001 Form 10-Q by failing to disclose the impairment of approximately one-third of its accounts receivable, the company's largest asset, and by materially overstating the accounts receivable balance by at least $4 million. Moreover, the Order finds that Costello made misrepresentations to Akorn's auditors regarding the company's ability to compute, age, and reconcile accounts receivable. Based on the above, Costello is ordered to cease and desist from committing or causing any violations and any future violations of Section 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13b2-1 and 13b2-2 thereunder, and from causing any violations and any future violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. Costello consented to the issuance of the Order without admitting or denying the Commission's findings. (Rel. 34-48906; AAE Rel. 1921; File No. 3-11353) ROBERT POZNER BARRED FROM ASSOCIATION WITH A BROKER-DEALER On December 11, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Robert H. Pozner. The Commission simultaneously accepted Pozner's offer of settlement, in which he agreed to be barred from association with any broker or dealer. The Order finds that from at least July through October 2000, Pozner was a registered representative, trader and market maker associated with a registered broker-dealer called Glenn Michael Financial, Inc., at its offices in Hackensack, New Jersey. On Sept. 30, 2002, the Commission filed a complaint in the U.S. District Court for the District of Utah, in an action captioned Securities and Exchange Commission v. Allen Wolfson, et al., Civil Action Number 2:02 CV 1086, alleging that Pozner and one or more of his co-defendants, in order to artificially increase the stock price of Freedom Surf securities, advanced the bid price without relation to genuine market demand or worth of the company. In that action, Pozner was enjoined, by consent, for violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. (Rel. 34-48907; File No. 3-11354) SEC OBTAINS JUDGMENT AGAINST NORMAN GROSSMAN GRANTING PERMANENT INJUNCTION AND ORDERING HIM TO PAY OVER $950,000 The Commission today announced that the Honorable Victor Marrero of the U.S. District Court for the Southern District of New York entered Partial Summary Judgment against defendant Norman Grossman on Nov. 5, 2003. The Commission has now resolved all claims against Grossman arising from a civil action filed by the Commission on March 14, 2000, alleging that from 1997 through January 2000, Grossman and others engaged in a widespread insider trading scheme that resulted in over $8 million in illegal trading profits. The judgment against Grossman permanently enjoins him from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Grossman was also ordered to pay disgorgement of $435,687, prejudgment interest of $105,208, and a civil penalty of $435,687. In a related criminal proceeding, Grossman previously pled guilty to insider trading, and was sentenced to twenty-one months incarceration and a $300,000 fine. Grossman is currently serving his sentence. The Commission's complaint alleges that John Freeman, a temporary word- processing employee at Goldman Sachs & Co., Inc. and later Credit Suisse First Boston Corporation, tipped a number of defendants (including Grossman) about merger and acquisition transactions involving clients of those investment banking firms. Specifically, John Freeman tipped Grossman in advance of eight deals. Grossman then realized profits of $435,687 by trading on this inside information. In exchange for the inside information, Grossman gave Freeman expensive bottles of wine from Grossman's wine collection, as well as cash. The Commission's civil action has now been concluded against eighteen of the nineteen original defendants. The Commission settled the case against fifteen defendants and also received administrative bars against three of the settling defendants. [SEC v. John Freeman, James Cooper, Benton Erskine, Anthony Seminara, Norman Lehrman, Linda Karlsen, Timothy Siemers, Norman Grossman, Lawrence Schwartz, Michael Akva, Robert Fricker, Richard Zelman, Bradley Burke, Benjamin Cooper, Chad L. Conner, Deon Benson, Gordon K. Allen, Jr., Jon Geibel, and William H. Borders II, 00 Civ. 1963 (VM) (Southern District of New York)] (LR-18502) SEC CHARGES FORMER NICOR ENERGY EXECUTIVES WITH MULTI-MILLION DOLLAR FINANCIAL FRAUD On Wednesday, December 10, Commission filed a civil enforcement action in the U.S. District Court for the Northern District of Illinois against four former senior executives of Nicor Energy LLC (Nicor Energy), a joint venture between Nicor Inc. (Nicor) and Dynegy Inc. (Dynegy). In its complaint, the SEC charged that Kevin M. Stoffer, Nicor Energy's former president and Chief Executive Officer, Andrew J. Johnson, Nicor Energy's former Director of Financial Services, John Fringer, Nicor Energy's former Vice President of Power Services and Regulatory Affairs, and John F. Weir, Nicor Energy's former Director of Gas Services and Major Markets, engaged in a scheme that improperly inflated Nicor Energy's net income. Stoffer, Johnson and Fringer were indicted in connection with the same conduct. In its case, the SEC alleged that the defendants, using Nicor as a conduit, made material misstatements, and/or omitted to state material facts, to the investing public regarding Nicor Energy's financial condition and results of operations for its fiscal year ended Dec. 31, 2001. The complaint alleged that the defendants knowingly or recklessly overstated Nicor Energy's unbilled revenue accounts, understated Nicor Energy's accounts receivable (bad debt) reserve, shifted 2001 expenses into 2002 and shifted 2002 income into 2001, in order to inflate Nicor Energy's 2001 income by more than $11 million. As a result of the fraud, Nicor Energy erroneously reported to Nicor net income of $4.097 million instead of losses of $7.47 million for 2001. [SEC v. Stoffer, et al., N.D. Ill., Civil Action No. 03 C 8910] (LR-18503) SEC CHARGES CUMULUS MEDIA INC. AND THREE OF ITS FORMER OFFICERS FOR ENGAGING IN TWO SCHEMES TO ARTIFICIALLY INFLATE CUMULUS' FINANCIAL POSITION On December 10, the Commission filed a complaint in the U.S. District Court for the Northern District of Illinois alleging that Cumulus Media Inc., a Delaware corporation with headquarters in Atlanta, Georgia, and certain of its former officers engaged in two separate schemes to artificially inflate Cumulus' financial position. Specifically, the Commission's complaint alleged that in one scheme, Cumulus and its former Chief Financial Officer, Richard J. Bonick, Jr., prematurely recorded revenue from package advertising contracts into Cumulus' books and records throughout 1999. As a result, Cumulus overstated its net revenues and broadcast cash flows and understated its net losses in its quarterly reports for the first and third quarters of 1999 and in registration statements and prospectuses for two secondary offerings of Cumulus' common stock during July and November 1999. The Commission's complaint alleged that in a second scheme, Cumulus, its former Executive Chairman, Richard W. Weening, and its former Vice President of Finance, Daniel O'Donnell, engaged in an attempt to manage Cumulus' earnings and broadcast cash flow for the fourth quarter of 1999 in order to bring those figures in line with Wall Street analysts' expectations. The Commission further alleged that when Cumulus' auditors learned of this practice, they told Weening that the manner in which Cumulus was attempting to record the effect of the amendments was indicative of earnings management. As a result, Cumulus canceled the amended agreements and reversed related accounting entries prior to their inclusion in Cumulus' periodic filings with the Commission. All of the defendants, without admitting or denying the allegations of the complaint, consented to the entry of final judgments against them. Cumulus and Bonick consented to orders permanently enjoining them from violating or aiding and abetting violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, Sections 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-13 and 13b2-1 thereunder and Bonick agreed to pay a civil penalty of $50,000. Weening and O'Donnell consented to orders permanently enjoining them from violating or aiding and abetting violations of Sections 13(b)(2)(A) and 13(b)(5) of the Exchange Act and Rules 13b2-1 and 13b2-2 thereunder. Weening and O'Donnell also agreed to pay civil penalties of $75,000 and $40,000 respectively. [SEC v. Cumulus Media Inc. et al., Civil Action No. 03 C 8908, USDC, N.D. Ill] (LR-18504) HOLDING COMPANY ACT RELEASES FIRSTENERGY CORP., ET AL. A supplemental order has been issued clarifying the Commission's reservation of jurisdiction over the issuance of guarantees of non- affiliated third-party obligations in the ordinary course of FirstEnergy Corp.'s business. (Rel. 35-27769) SELF REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Depository Trust Company filed a proposed rule change (SR-DTC-2002- 17) under Section 19(b)(1) of the Exchange Act. The proposed rule change would allow DTC to eliminate investor registration information as matching criteria for certain DRS transactions processed through Profile. Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48885) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-110) relating to uniform hearing procedures for and consolidation of rules applicable to expedited proceedings. Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48887) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-104) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to a proposed new uniform definition of "branch office" under NASD Rule 3010(g)(2). Publication of the proposal is expected in the Federal Register during the week of December 15. (Rel. 34-48897) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-PCX-2003-38) and Amendment No. 1 thereto submitted by the Pacific Exchange, Inc. relating to the establishment of the "Cross-and-Post Order." (Rel. 34-48893) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2003-42) filed by the Pacific Exchange amending its rules governing the execution of complex orders involving options and single stock futures, has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. (Rel. 34- 48894) WITHDRAWAL GRANTED An order has been issued granting the application of The Ziegler Companies, Inc., to withdraw its common stock, $1.00 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on December 12. (Rel. 34-48910) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Jan. 5, 2004, to comment on the application of The Southern Banc Company, Inc. to withdraw its common stock, par value $.01, from listing and registration, on the American Stock Exchange. (Rel. 34-48911) A notice has been issued giving interested persons until Jan. 5, 2004, to comment on the application of Mindspeed Technologies, Inc. to withdraw its common stock, par value $.01, and the associated Preferred Share Purchase Rights, from listing and registration on the American Stock Exchange. (Rel. 34-48912) 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 COEUR D ALENE MINES CORP, 400 COEUR D ALENE MINES BLDG, 505 FRONT AVE, COEUR D ALENE, ID, 83814, 2086673511 - 0 ($150,000,000.00) Equity, (File 333-111074 - Dec. 11) (BR. 04) S-8 BIOSITE INC, 11030 ROSELLE ST, SAN DIEGO, CA, 92121, 6194554808 - 0 ($12,572,969.50) Equity, (File 333-111075 - Dec. 11) (BR. 01) S-8 MYLAN LABORATORIES INC, 1500 CORPORATE DRIVE, SUITE 400, CANONSBURG, PA, 15317, 724-514-1800 - 22,500,000 ($438,038,136.32) Equity, (File 333-111076 - Dec. 11) (BR. 01) S-8 MYLAN LABORATORIES INC, 1500 CORPORATE DRIVE, SUITE 400, CANONSBURG, PA, 15317, 724-514-1800 - 2,250,000 ($57,105,000.00) Equity, (File 333-111077 - Dec. 11) (BR. 01) S-8 FIRST AMERICAN SCIENTIFIC CORP \NV\, 100 PARK ROYAL SOUTH, SUITE 811, WEST VANCOUVER, BC, A1, V7T 1A2, 604-913-9035 - 10,000,000 ($500,000.00) Equity, (File 333-111079 - Dec. 11) (BR. 06) S-8 THEGLOBE COM INC, 2128943600 - 1,500,000 ($1,910,000.00) Equity, (File 333-111080 - Dec. 11) (BR. 02) S-8 FIND SVP INC, 625 AVE OF THE AMERICAS, NEW YORK, NY, 10011, 2126454500 - 3,350,000 ($4,371,750.00) Equity, (File 333-111081 - Dec. 11) (BR. 06) S-3 JOHNSON & JOHNSON, ONE JOHNSON & JOHNSON PLZ, NEW BRUNSWICK, NJ, 08933, 7325242454 - 0 ($1,200,000,000.00) Other, (File 333-111082 - Dec. 11) (BR. 01) S-8 MPOWER HOLDING CORP, 171 SULLY'S TRAIL, STE 202, PITTSFORD, NY, 14534, 7162186550 - 2,000,000 ($2,640,000.00) Equity, (File 333-111083 - Dec. 11) (BR. 37) F-9 TALISMAN ENERGY INC, 888 3RD STREET SW SUITE 3400, CALGARY, ALBERTA CANADA, A0, T2P 5C5, 4032371234 - 1,000,000,000 ($1,000,000,000.00) Debt Convertible into Equity, (File 333-111084 - Dec. 11) (BR. 04) F-3 CAPITAL ENVIRONMENTAL RESOURCE INC, 1005 SKYVIEW DR, BURLINGTON, ONTARIO CANADA, A6, L7P 5B1, 9053191237 - 0 ($327,058,259.00) Equity, (File 333-111085 - Dec. 11) (BR. 06) S-3 AMYLIN PHARMACEUTICALS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO, CA, 92121, 6195522200 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-111086 - Dec. 11) (BR. 01) S-3 CIT GROUP SECURITIZATION CORP III, 650 CIT DRIVE, LIVINGSTON, NJ, 07039, 2125361950 - 2,000,000,000 ($2,000,000,000.00) Mortgage Backed Securities, (File 333-111087 - Dec. 11) (BR. 05) F-6 SMITH & NEPHEW PLC, 15 ADAM STREET, LONDON ENGLAND, X0, WC2N 6LA, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-111088 - Dec. 11) (BR. 36) S-8 BUSINESS OBJECTS SA, 4089536024 - 0 ($8,352,000.00) Other, (File 333-111089 - Dec. 11) (BR. 03) S-8 BUSINESS OBJECTS SA, 4089536024 - 0 ($93,896,281.92) Other, (File 333-111090 - Dec. 11) (BR. 03) S-3 ONYX PHARMACEUTICALS INC, 3031 RESEARCH DR, BLDG A, RICHMOND, CA, 94806, 5102229700 - 0 ($150,000,000.00) Equity, (File 333-111091 - Dec. 11) (BR. 01) S-3 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 0 ($20,000,000.00) Equity, (File 333-111092 - Dec. 11) (BR. 02) S-3 AEROFLEX INC, 35 S SERVICE RD, PLAINVIEW, NY, 11803, 5166946700 - 0 ($125,000,000.00) Equity, (File 333-111094 - Dec. 11) (BR. 36) SB-2 MARCHEX INC, 2101 4TH AVE SUITE 1980, SEATTLE, WA, 98121, 206-774-5000 - 0 ($35,000,000.00) Equity, (File 333-111096 - Dec. 11) (BR. ) S-8 BARRY R G CORP /OH/, 13405 YARMOUTH RD NW, PICKERINGTON, OH, 43147, 6148646400 - 450,000 ($2,643,750.00) Equity, (File 333-111100 - Dec. 11) (BR. 02) S-1 ALFACELL CORP, 225 BELLEVILLE AVE, BLOOMFIELD, NJ, 07003, 9737488082 - 7,127,083 ($27,154,186.00) Equity, (File 333-111101 - Dec. 11) (BR. 01) S-3 PHYSIOMETRIX INC, FIVE BILLERICA PARK, 101 BILLERICA AVE, NORTH BILLERICA, MA, 01862, 5086702422 - 0 ($22,308,693.75) Equity, (File 333-111102 - Dec. 11) (BR. 36) 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 ---------------------------------------------------------------------------------------------- 20/20 NETWORKS INC NV X X X 12/11/03 AAMES MORTGAGE TR MORT PAS THRU CERT DE X X 11/25/03 AASTROM BIOSCIENCES INC MI X X 12/11/03 ACCREDITED MORTGAGE LOAN TRUST 2003-3 DE X X 11/25/03 ACCURIDE CORP DE X X 12/10/03 ADOBE SYSTEMS INC DE X 12/11/03 ADVANCED DIGITAL INFORMATION CORP WA X X 12/11/03 AIRPLANES LTD DE X 12/11/03 AMERICAN RECREATIONAL ENTERPRISES INC NV X X X X 12/10/03 AMERIVISION COMMUNICATIONS INC X 12/08/03 APOGENT TECHNOLOGIES INC WI X X 12/11/03 ARMOR HOLDINGS INC DE X X 11/26/03 ASCENDANT SOLUTIONS INC DE X X 12/09/03 AT&T CORP NY X X X 12/11/03 ATLANTIC CITY ELECTRIC TRANSITION FUN DE X X 12/10/03 AVANIR PHARMACEUTICALS CA X X 12/05/03 BADGER STATE ETHANOL LLC WI X 12/11/03 BB&T CORP NC X X 12/11/03 BESTWAY INC DE X 12/11/03 BIOPURE CORP DE X X 12/11/03 BOWLIN TRAVEL CENTERS INC NV X X 12/11/03 BRIAZZ INC WA X 12/11/03 BROOKS AUTOMATION INC DE X X 12/10/03 BUILDING MATERIALS HOLDING CORP DE X 12/05/03 BUSINESS OBJECTS SA X X 12/11/03 CANARGO ENERGY CORP DE X X 12/10/03 CANARGO ENERGY CORP DE X X 12/10/03 CANARGO ENERGY CORP DE X X 12/10/03 CANCERVAX CORP DE X X 12/11/03 CANTEL MEDICAL CORP DE X X 12/09/03 CATERPILLAR INC DE X 12/11/03 CBQ INC CO X 12/04/03 CCA INDUSTRIES INC DE X 12/11/03 CHEESECAKE FACTORY INCORPORATED DE X 12/11/03 CIENA CORP DE X 12/11/03 CIGNA CORP DE X 12/11/03 CITIGROUP MORTGAGE LOAN TRUST INC X 11/26/03 CITIZENS COMMUNICATIONS CO DE X 12/11/03 CKE RESTAURANTS INC DE X 12/10/03 AMEND CLARION TECHNOLOGIES INC/DE/ DE X 12/11/03 CNB FINANCIAL CORP/PA PA X X 12/10/03 COMPUDYNE CORP NV X 12/04/03 CONNETICS CORP DE X X 12/10/03 CONNS INC DE X X X 12/10/03 CORE BOND PRODUCTS LLC DE X X 12/01/03 CRIIMI MAE FINANCIAL CORP MD X 12/01/03 CSG SYSTEMS INTERNATIONAL INC DE X X 12/10/03 CTI GROUP HOLDINGS INC DE X 11/30/03 CUMULUS MEDIA INC DE X X 12/10/03 CYANOTECH CORP NV X X 12/11/03 DATASTAND TECHNOLOGIES INC IN X 12/11/03 DC FUNDING INTERNATIONAL INC X X 11/30/03 DEUTSCHE MORT & ASSET RECEIVING CORP DE X 12/01/03 DISTRIBUTED ENERGY SYSTEMS CORP DE X X 12/10/03 DONNKENNY INC DE X 10/01/03 AMEND DREW INDUSTRIES INCORPORATED DE X X 12/11/03 EDGE PETROLEUM CORP DE X X X 12/04/03 ELINE ENTERTAINMENT GROUP INC NV X X 12/10/03 ENGINEERED SUPPORT SYSTEMS INC MO X X 12/11/03 ESSEX CORPORATION VA X X 12/11/03 EXACT SCIENCES CORP DE X 12/10/03 EXPRESSJET HOLDINGS INC DE X 12/10/03 FACTORY 2 U STORES INC DE X X 12/10/03 FINDWHAT COM INC NV X X 12/11/03 FIRST INVESTORS FINANCIAL SERVICES GR TX X X 12/11/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 12/10/03 FIRST UNION REAL ESTATE EQUITY & MORT OH X X 12/10/03 FISHER COMMUNICATIONS INC WA X X 12/01/03 FLEXSTEEL INDUSTRIES INC MN X 12/11/03 GALAXY ENERGY CORP CO X X 11/13/02 AMEND GENERAL DEVICES INC NJ X 12/11/03 GLADSTONE CAPITAL CORP MD X X 12/11/03 GLOBAL CROSSING LTD X 10/09/03 GRANITE BROADCASTING CORP DE X X 12/09/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 11/25/03 HFC REVOLVING CORP DE X X 12/09/03 HI TECH PHARMACAL CO INC NY X 12/11/03 HILLENBRAND INDUSTRIES INC IN X X 12/05/03 HOUGHTON MIFFLIN CO MA X X 12/08/03 HOUSEHOLD AUTOMOTIVE TRUST 2003-2 NV X X 11/26/03 HYTHIAM INC DE X 12/11/03 IDT CORP DE X X 12/11/03 IMAGEMAX INC PA X X 12/11/03 INDEPENDENT BANK CORP MI X 12/11/03 INKINE PHARMACEUTICAL CO INC NY X X 12/10/03 INTERACTIVE DATA CORP/MA/ DE X 12/11/03 INTERNATIONAL WIRELESS INC MD X X 12/10/03 INTERNET BUSINESS INTERNATIONAL INC NV X X 12/09/03 INTERNET COMMERCE CORP DE X X X 12/11/03 INTERSTATE BAKERIES CORP/DE/ DE X X 12/08/03 INTERUNION FINANCIAL CORP DE X X X 11/25/03 K SWISS INC DE X X 12/11/03 KFX INC DE X X 11/26/03 KIMBALL INTERNATIONAL INC IN X 12/11/03 KIRKLANDS INC X 12/04/03 KULICKE & SOFFA INDUSTRIES INC PA X X 12/08/03 LABONE INC/ MO X 12/11/03 LACLEDE STEEL CO /DE/ DE X X 11/21/03 LANDAMERICA FINANCIAL GROUP INC VA X X 12/10/03 LASER CORP UT X 10/01/03 AMEND 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