SEC NEWS DIGEST Issue 2003-216 November 13, 2003 COMMISSION ANNOUNCEMENTS STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION Wednesday, November 12, 2003 The Commission notes with great sadness the death on Tuesday, November 11, of Linda C. Quinn who served as Director of the Division of Corporation Finance from 1986 to 1996. Prior to becoming Director of the Division Ms. Quinn was Executive Assistant to Chairman John Shad and Associate Director (Legal) of the Division, overseeing the Office of the Chief Counsel and the Office of Tender Offers. Ms. Quinn was 55. Under Ms. Quinn's leadership, the Commission and the Division made many historic and significant changes to federal securities regulation necessitated by the globalization of the securities markets and the increasing importance of institutional investors in these markets. These included the international initiative Regulation S, the landmark Rule 144A facilitating an institutional securities market, rules streamlining the securities offering process and important changes to and interpretations of the Commission's disclosure rules. Under Ms. Quinn's leadership the Division also implemented EDGAR, the Commission's electronic reporting system for public issuers. Ms. Quinn was critical in achieving many of the most far-reaching advances in securities regulation that live on to this day. She was a leader and mentor to many at the Commission, and her role was an inspiration especially to a generation of young female lawyers. Her outstanding legal skill, judgment, advice and friendship will be greatly missed. She will be remembered with great respect and affection. The Commission and staff extend their deepest sympathy to her family and many friends. By the Commission William H. Donaldson, Chairman Cynthia A Glassman Harvey J. Goldschmid Paul S. Atkins Roel C. Campos Ms. Quinn's wake will be on Friday, November 14, from 4:00 p.m. to 9:00 p.m.; the Funeral Home is located at 1076 Madison Avenue (at 81st Street). The funeral will be Saturday, November 15, at 11:00 am at St. Francis of Assisi Church, 135 West 31st Street (between 6th and 7th Avenues), New York. In lieu of flowers, the family requests that donations be made to either St. Francis Breadline, Church of St. Francis of Assisi, 135 West 31st Street, New York, NY 10001 or Hospicecare in the Berkshires Inc., 369 South Street, Pittsfield, MA 01201. ENFORCEMENT PROCEEDINGS MARION SHERRILL AND WILLIAM SLONE ARE ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE SECURITIES ACT AND THE EXCHANGE ACT; SLONE IS ALSO ORDERED TO PAY DISGORGEMENT The Commission has instituted public administrative proceedings pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Section 21C of the Securities Exchange Act of 1934 (Exchange Act) against Marion Sherrill (Sherrill) and William Slone (Slone). Simultaneously with the institution of the proceedings, the Commission accepted a settlement offer from Sherrill, wherein he consented, without admitting or denying the Commission's findings, to the entry of an order directing Sherrill to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from Slone, wherein he consented, without admitting or denying the Commission's findings, to the entry of an order directing Slone (i) to cease and desist from committing or causing any violation and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and (ii) to pay disgorgement and prejudgment interest in the amount of $20,172.90. The Commission found that Sherrill and Slone each engaged in conduct that violated the federal securities laws. While serving as President of Burnett, Grey & Co., Inc. (Burnett Grey), then registered as a broker- dealer, Sherrill negotiated a consulting agreement in October 1993 whereby Golf Ventures, Inc. (GVI), a public company organized under the laws of Utah, paid $10,000 to Burnett Grey. Sherrill did not personally receive any portion of the $10,000. That consulting agreement was not disclosed to Burnett Grey customers at the time that certain Burnett Grey registered representatives recommended the purchase of GVI stock to customers. Although Sherrill never personally recommended the purchase of GVI stock to any Burnett Grey customer, he knew that Burnett Grey representatives were recommending the sale of GVI stock to customers and he failed to cause the registered representatives to disclose to the customers that Burnett Grey had received compensation from GVI. Similarly, Slone was associated with a registered broker-dealer in 1995 and negotiated a consulting agreement with a GVI representative pursuant to which the representative delivered 6,500 shares of GVI stock to Slone. Slone failed to disclose the receipt of that compensation while Slone recommended the purchase of GVI stock to certain of his retail customers. (Rels. 33-8336; 34-48776; File No. 3-11331) COMMISSION ORDERS SAN DIEGO, CALIFORNIA-BASED GATEWAY, INC. TO CEASE AND DESIST On November 13, the Commission ordered Gateway, Inc. (Gateway) to cease and desist from violating the antifraud, reporting, record-keeping, and internal control provisions of the federal securities laws. In its order, the Commission found that Gateway's quarterly reports for the second and third quarters of 2000 filed on Forms 10-Q contained misleading disclosures and false financial information. Gateway included its false Form 10-Q for the second quarter of 2000 in a registration statement filed in September 2000. Gateway, without admitting or denying the SEC's findings, agreed to the Commission's order to cease-and-desist. The Commission's order found that Gateway misrepresented or failed to disclose significant trends in its business, such as the fact that PC sales growth was declining; that, by the end of the third quarter, only a small percentage of net income was associated with PC sales; and that revenue and earnings included various "one-offs," or nonrecurring items. To meet or exceed analysts' estimates, Gateway provided financing to customers to facilitate their purchase of PCs and, throughout 2000, consistently took on customers with a higher credit risk to prop up PC sales. Gateway did not, however, disclose to investors the effect that this strategy had on sales or on the risk level of its loan portfolio. In addition, Gateway employed improper accounting actions, which artificially inflated Gateway's reported revenues by 6.5% and pre-tax income by as much as 30% during the third quarter of 2000, by improperly (1) manipulating reserves; (2) recognizing revenue on PCs shipped to warehouses; (3) recognizing revenue on bounty payments received from an Internet Service Provider (ISP) for bundling its Internet service with a Gateway PC purchase; (4) recording a significant sale of fixed assets as revenue; and (5) making additional undisclosed accounting adjustments not in accordance with Generally Accepted Accounting Principles (GAAP). Finally, the Commission's order found that Gateway's recording of bounty payments from the ISP as revenue throughout the year 2000 departed from GAAP by recording the ISP payments on a gross basis rather than a net basis. In early 2001, Gateway amended its Forms 10-Q for the first three quarters of 2000, restating the financial statements. In April 2003, Gateway restated its year 2000 financial statements in an amended 2001 Form 10-K to record the ISP arrangement on a net basis, reducing reported 2000 sales by $337 million, or 3.7%. The Commission ordered Gateway to cease and desist from committing or causing violations of the antifraud provisions (Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder), reporting provisions (Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder) and record-keeping and internal controls provisions (Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act) of the federal securities laws. (Rels. 33-8338; 34-48778; AAE Rel. 1911; File No. 3-11333) PUTNAM AGREES TO MAKE RESTITUTION AND IMPLEMENT IMMEDIATE, SIGNIFICANT STRUCTURAL REFORMS IN PARTIAL RESOLUTION OF SEC ENFORCEMENT ACTION The Commission today announced that Putnam Investment Management LLC (Putnam), a registered investment adviser located in Boston, Mass., agreed to the entry of an order in the Commission's administrative proceeding relating to alleged market-timing trades by certain of Putnam's employees. In the Order, Putnam has agreed to undertake significant and far-reaching corporate governance, compliance, and ethics reforms. Putnam has also agreed to a process for calculating and paying restitution for losses attributable to excessive short-term and market timing trading by its employees. The amount of civil penalty and other monetary relief to be paid by Putnam remains open and will be determined at a later date. In the Order, the Commission found that Putnam committed securities fraud by failing to disclose potentially self-dealing securities trading by several of its employees. The Commission also found that Putnam failed to take adequate steps to detect and deter such trading activity through its own internal controls and its supervision of investment management professionals. By virtue of this conduct, Putnam breached its fiduciary duties in violation of, among other things, the antifraud provisions of the Advisers Act. Putnam consented to the entry of the Commission's order without admitting or denying its findings, but has agreed not to contest the findings in connection with the later determination of a penalty and other monetary relief. Stephen M. Cutler, Director of the SEC Division of Enforcement, said: "The reforms Putnam will undertake as part of the Commission's order are intended to provide real and substantial protections for mutual fund investors. The required enhancements to the board oversight and compliance functions at Putnam should strengthen all aspects of Putnam's fund operations and provide investors with uncompromised representation by their fiduciaries in the boardroom and at the management company. In the meantime, we will continue pursuit of our request for penalties and other monetary relief in the ongoing administrative proceeding." Putnam agreed, pursuant to the Commission's Order, to adopt reforms in three important areas: (1) restrictions on employee trading; (2) enhancements of compliance policies, procedures, and staffing, including relating to employee trading; and (3) corporate governance, including fund board independence. Among the reforms Putnam will implement relating specifically to employee trading is a requirement that employees who invest in Putnam funds hold those investments for at least 90 days, and in some cases, as long as one year. In the compliance area, Putnam will: * Require Putnam's Chief Compliance Officer to report to the fund boards' independent trustees all breaches of fiduciary duty and violations of the federal securities laws; * Maintain a Code of Ethics Oversight Committee to review violations of the Code of Ethics and report breaches to the fund boards of trustees; * Create an Internal Compliance Controls Committee to review compliance controls and report to the fund boards of trustees on compliance matters; * Retain an Independent Compliance Consultant to review Putnam's policies and procedures designed to prevent and detect breaches of fiduciary duty, breaches of the Code of Ethics, and federal securities law violations by Putnam and its employees; and * At least once every two years, Putnam will have an independent, third party conduct a review of the firm's supervisory, compliance and other policies and procedures in connection with the firm's duties and activities on behalf of and related to the Putnam funds. In the area of corporate governance, Putnam agreed: * That the fund boards of trustees will have an independent chairman; * That the fund boards of trustees will consist of at least 75% independent members; * That no board action may be taken without approval by a majority of the independent directors; and that Putnam will make annual disclosure to fund shareholders of any action approved by a majority of the fund board's independent trustees, but not approved by the full board; * That the fund boards of trustees will hold elections at least once every five years, starting in 2004; and * That the fund boards of trustees will have their own, independent staff member who will report to and assist the fund boards in monitoring Putnam's compliance with the federal securities laws, its fiduciary duties to shareholders, and its Code of Ethics. The Commission's order found that Putnam willfully violated Sections 204A, 206(1) and 206(2) of the Advisers Act and Section 17(j) of the Investment Company Act of 1940 and Rule 17j-1(c) thereunder. It also found that Putnam failed reasonably to supervise under Section 203(e)(6) of the Advisers Act. Based on these findings, the Commission also censured Putnam and ordered that it cease and desist from violations of these laws and rules. The Commission's previously filed civil injunctive action charging two Putnam employees, portfolio managers Justin M. Scott and Omid Kamshad, with securities fraud for engaging in excessive short-term trading of Putnam funds in their personal accounts, is pending. The Commission's investigation is continuing. (Rel. IA-2191; IC-26255; File No. 3-11317; Press Rel. 2003-156) INVESTMENT COMPANY ACT RELEASES HENNION & WALSH, INC., ET AL. An order has been issued on an application filed by Hennion & Walsh, Inc. (Sponsor), Smart Trust, Equity Securities Trust, Symphony Series and EST Symphony Trust, under Section 12(d)(1)(J) of the Investment Company Act granting an exemption from Section 12(d)(1)(F)(ii) of the Act, under Sections 6(c) and 17(b) of the Act granting an exemption from Section 17(a), and under Section 6(c) of the Act granting exemptions from Sections 14(a) and 19(b) of the Act and rule 19b-1 under the Act. The order permits certain registered unit investment trusts to: (a) offer and sell their units to the public with a sales load that exceeds the 1.5% limit in Section 12(d)(1)(F)(ii) of the Act; (b) invest in affiliated registered investment companies within the limits of Section 12(d)(1)(F) of the Act; and (c) publicly offer their units without requiring the Sponsor to take for its own account or place with others $100,000 worth of units, and distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-26251 - November 10) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-MSRB-2003-08) filed by the Municipal Securities Rulemaking Board relating to Interpretations of Rule G-37 on Political Contributions and Prohibitions on Municipal Securities Business, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposed rule change is expected in the Federal Register during the week of November 10. (Rel. 34-48752) 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 BRADLEY PHARMACEUTICALS INC, 383 RTE 46 WEST, FAIRFIELD, NJ, 08816, 9738821505 - 0 ($115,225,400.00) Equity, (File 333-110312 - Nov. 7) (BR. 01) S-3 GIBRALTAR STEEL CORP, 3556 LAKE SHORE ROAD, P O BOX 2028, BUFFALO, NY, 14219-0228, 7168266500 - 4,749,500 ($115,507,840.00) Equity, (File 333-110313 - Nov. 7) (BR. 06) S-8 CONSUMERS FINANCIAL CORP, 1513 CEDAR CLIFF DRIVE, P O BOX 26, CAMP HILL, PA, 17011-0026, 7177306306 - 140,000 ($32,200.00) Equity, (File 333-110316 - Nov. 7) (BR. 01) N-2 ING SENIOR INCOME FUND, ING SENIOR INCOME FUND, 7337 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ, 85258, 4804773000 - 0 ($864,350,000.00) Equity, (File 333-110317 - Nov. 7) (BR. 17) S-3 AMERICAN GENERAL FINANCE CORP, 601 NW SECOND ST, EVANSVILLE, IN, 47708, 8124248031 - 0 ($7,500,000,000.00) Non-Convertible Debt, (File 333-110318 - Nov. 7) (BR. 07) SB-2 FIRST UNITED STATES CORP, 130 FIFTH AVE., NEW YORK, NY, 10011, 0 ($13,950,000.00) Equity, (File 333-110319 - Nov. 7) (BR. 09) F-1 WEBZEN INC, DAELIM ACROTEL BLDG 6TH FL, 467-6 DOGOK-DONG, KANGNAM KU, SEOUL, M4, 00000, 1,000,500 ($110,034,990.00) ADRs/ADSs, (File 333-110321 - Nov. 7) (BR. 08) F-6 WEBZEN INC, DAELIM ACROTEL BLDG 6TH FL, 467-6 DOGOK-DONG, KANGNAM KU, SEOUL, M4, 00000, 20,000,000 ($1,000,000.00) ADRs/ADSs, (File 333-110322 - Nov. 7) (BR. 08) F-3 LJ INTERNATIONAL INC, UNIT #12 12/F BLOCK A FOCAL INDUSTRIAL, CENTER 21 MAN LOK ST, HUNG HOM KOWLOON HON, K3, 00000, 0 ($2,504,620.00) Equity, (File 333-110323 - Nov. 7) (BR. 02) SB-2 KING CAPITAL HOLDINGS INC, 126,400 ($31,600.00) Equity, (File 333-110324 - Nov. 7) (BR. ) S-1 COMMONWEALTH TELEPHONE ENTERPRISES INC /NEW/, 100 CTE DRIVE, PO BOX 800, DALLAS, PA, 18612-9799, 7176742700 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-110325 - Nov. 7) (BR. 37) S-8 ANIKA THERAPEUTICS INC, 236 WEST CUMMINGS PARK, WOBURN, MA, 01801, 6179326616 - 0 ($9,840,000.00) Equity, (File 333-110326 - Nov. 7) (BR. 01) S-8 NCR CORP, 1700 S PATTERSON BLVD, CORP POLICIES WHQ-3, DAYTON, OH, 45479, 9374455000 - 9,000,000 ($325,800,000.00) Equity, (File 333-110327 - Nov. 7) (BR. 03) S-8 COOLSAVINGS INC, 360 N. MICHIGAN AVE, 19TH FLOOR, CHICAGO, IL, 60601, 312 224 5000 - 12,337,337 ($11,194,899.59) Equity, (File 333-110328 - Nov. 7) (BR. 08) SB-2 NEOMEDIA TECHNOLOGIES INC, 2201 SECOND ST STE 600, STE 600, FORT MYERS, FL, 33901, 6303554404 - 308,648,500 ($37,346,469.00) Equity, (File 333-110329 - Nov. 7) (BR. 03) S-8 PORTFOLIO RECOVERY ASSOCIATES INC, 120 CORPORATE BLVD STE 100, NORFOLK, VA, 23502, 7575199300X3003 - 0 ($4,118,250.00) Equity, (File 333-110330 - Nov. 7) (BR. 02) S-8 PORTFOLIO RECOVERY ASSOCIATES INC, 120 CORPORATE BLVD STE 100, NORFOLK, VA, 23502, 7575199300X3003 - 0 ($57,800,000.00) Equity, (File 333-110331 - Nov. 7) (BR. 02) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, P O BOX 26532, RICHMOND, VA, 23219, 8048192000 - 3,000,000 ($184,680,000.00) Equity, (File 333-110332 - Nov. 7) (BR. 02) N-2 ING CLARION GLOBAL REAL ESTATE INCOME FUND, 100,000 ($1,500,000.00) Equity, (File 333-110333 - Nov. 7) (BR. 17) SB-2 OPHTHALMIC IMAGING SYSTEMS, 221 LATHROP WAY, SUITE 1, SACRAMENTO, CA, 95815, 9166462020 - 1,716,496 ($1,767,990.80) Equity, (File 333-110334 - Nov. 7) (BR. 36) S-3 NUTRITION 21 INC, 4 MANHATTANVILLE ROAD, PURCHASE, NY, 10577-2197, 9147014500 - 5,000,000 ($4,675,000.00) Equity, (File 333-110335 - Nov. 7) (BR. 01) SB-2 DAYSTAR TECHNOLOGIES INC, 900 GOLDEN GATE TERRACE, SUITE A, GRASS VALLEY, CA, 95945, 530-271-5557 - 0 ($37,255,008.00) Equity, (File 333-110337 - Nov. 7) (BR. ) S-B FINANCEMENT QUEBEC, FINANCEMENT QUEBEC, 12 RUE ST-LOUIS, QUEBEC, A8, G1R 5L3, 4186912203 - 0 ($1,500,000,000.00) Other, (File 333-110338 - Nov. 7) (BR. 07) S-8 HUMAN BIOSYSTEMS INC, 1127 HARKER AVE, PALO ALTO, CA, 94301, 6503230943 - 3,414,500 ($751,190.00) Equity, (File 333-110339 - Nov. 7) (BR. 01) S-3 RESIDENTIAL FUNDING MORTGAGE SECURITIES II INC, 8400 NORMANDALE LAKE BLVD, SUITE 600, MINNEAPOLIS, MN, 55437, 9528327000 - 15,000,000,000 ($15,000,000,000.00) Asset-Backed Securities, (File 333-110340 - Nov. 7) (BR. 05) S-8 FORCE PROTECTION INC, 2031 AVENUE B, BUILDING 44, NORTH CHARLESTON, SC, 29405, 8437407015 - 0 ($5,000.00) Equity, (File 333-110341 - Nov. 7) (BR. 06) S-8 WMS INDUSTRIES INC /DE/, 800 S. NORTHPOINT BLVD., WAUKEGAN, IL, 60085, 847-785-3000 - 0 ($687,976.00) Equity, (File 333-110342 - Nov. 7) (BR. 06) S-3 CWALT INC, 4,000,000,000 ($4,000,000,000.00) Asset-Backed Securities, (File 333-110343 - Nov. 7) (BR. ) S-1 ITERIS HOLDINGS INC, 1515 S MANCHESTER AVE, ANAHEIM, CA, 92802, 7147745000 - 0 ($10,199,997.00) Equity, (File 333-110344 - Nov. 7) (BR. 37) S-3 FX ENERGY INC, 3006 HIGHLAND DR, STE 206, SALT LAKE CITY, UT, 84106, 801-486-5555 - 8,013,005 ($42,949,707.00) Equity, (File 333-110345 - Nov. 7) (BR. 04) S-3 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA, 95134, 4089431234 - 0 ($420,000,000.00) Debt Convertible into Equity, (File 333-110346 - Nov. 7) (BR. 03) S-8 SOUTHERN FINANCIAL BANCORP INC /VA/, 37 EAST MAIN ST, WARRENTON, VA, 20186, 5403493900 - 165,000 ($7,080,150.00) Equity, (File 333-110347 - Nov. 7) (BR. 07) S-3 CENTERPOINT ENERGY INC, 1111 LOUISIANT ST., HOUSTON, TX, 77002, 7132073000 - 0 ($575,000,000.00) Debt Convertible into Equity, (File 333-110348 - Nov. 7) (BR. 02) S-4 CENTERPOINT ENERGY INC, 1111 LOUISIANT ST., HOUSTON, TX, 77002, 7132073000 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-110349 - Nov. 7) (BR. 02) S-1 MADISON GROUP IV INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110350 - Nov. 10) (BR. 09) S-1 MADISON GROUP I INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110351 - Nov. 10) (BR. 09) S-1 MADISON GROUP II INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110352 - Nov. 10) (BR. 09) S-1 MADISON GROUP V INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110353 - Nov. 10) (BR. 09) S-1 MADISON GROUP VI INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110354 - Nov. 10) (BR. 09) S-1 MADISON GROUP III INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-110355 - Nov. 10) (BR. 09) S-4 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST, MINNEAPOLIS, MN, 55343, 9529361300 - 0 ($1,947,848,000.00) Equity, (File 333-110356 - Nov. 10) (BR. 01) S-3 MSC INDUSTRIAL DIRECT CO INC, 75 MAXESS RD, MELVILLE, NY, 11747, 516-812-2000 - 0 ($187,335,000.00) Equity, (File 333-110357 - Nov. 10) (BR. 06) S-8 ECOM ECOM COM INC, 2700 PGA BLVD STE 103, PALM BEACH GARDENS, FL, 33410, 5616224395 - 10,000,000 ($120,000.00) Equity, (File 333-110358 - Nov. 10) (BR. 03) S-8 VIASTAR HOLDINGS INC, 2141 PALOMAR AIRPORT ROAD, SUITE 310, CARLSBAD, CA, 92009, 760-390-2752 - 3,000,000 ($3,210,000.00) Other, (File 333-110359 - Nov. 10) (BR. 05) S-8 GK INTELLIGENT SYSTEMS INC, 2606 YORKTOWN PLACE, HOUSTON, TX, 77056, 7136261504 - 1,060,000 ($132,500.00) Equity, (File 333-110360 - Nov. 10) (BR. 05) S-8 NEW YORK COMMUNITY BANCORP INC, 615 MERRICK AVE, WESTBURY, NY, 11590, 7183596400 - 5,953,722 ($128,228,262.00) Equity, (File 333-110361 - Nov. 10) (BR. 07) SB-2 TAMARACK VENTURES INC, 3,170,000 ($634,000.00) Equity, (File 333-110363 - Nov. 10) (BR. 09) S-8 INFORETECH WIRELESS TECHNOLOGY INC, 5500 152ND STREET, SUITE 214, VANCOUVER BRITISH CO, A6, V3S-8E7, 6045767442 - 40,000,000 ($7,800,000.00) Equity, (File 333-110364 - Nov. 10) (BR. 37) S-1 CEA ACQUISITION CORP, 0 ($60,180,100.00) Equity, (File 333-110365 - Nov. 10) (BR. 09) S-8 JONES LANG LASALLE INC, 200 E RANDOLPH DR, CHICAGO, IL, 60601, 3127825800 - 30,000,000 ($30,000,000.00) Other, (File 333-110366 - Nov. 10) (BR. 08) S-8 CRYSTAL GRAPHITE CORP, 1750 999 WEST HASTINGS STREET, VANCOUVER BC, A1, 00000, 6046813060 - 2,880,000 ($576,000.00) Equity, (File 333-110367 - Nov. 10) (BR. 04) S-8 TULLYS COFFEE CORP, 3100 AIRPORT WAY SOUTH, SEATTLE, WA, 98134, 4,095,818 ($2,737,229.00) Equity, (File 333-110368 - Nov. 10) (BR. 05) S-8 DYNAMOTIVE ENERGY SYSTEMS CORP, 1700 WEST 75TH AVENUE, SUITE 105, VANCOUVER, BC, A1, V6P 6G2, 6042676000 - 10,225,988 ($5,112,994.00) Other, (File 333-110369 - Nov. 10) (BR. 02) S-8 SURGICARE INC/DE, 12727 KIMBERLY LANE, #200, HOUSTON, TX, 77024, 7136651406 - 682,035 ($300,095.40) Equity, (File 333-110370 - Nov. 10) (BR. 01) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 0 ($47,627,500.00) Equity, (File 333-110371 - Nov. 10) (BR. 07) S-8 PPL CORP, TWO N NINTH ST, ALLENTOWN, PA, 181011179, 6107745151 - 1,000,000 ($40,140,000.00) Equity, (File 333-110372 - Nov. 10) (BR. 02) S-2 CANEUM INC, 170 NEWPORT CENTER DRIVE, SUITE 220, NEWPORT BEACH, CA, 92660, 949-644-0095 - 3,305,000 ($2,478,750.00) Equity, (File 333-110373 - Nov. 10) (BR. 09) S-4 PARKER DRILLING CO /DE/, 1401 ENCLAVE PARKWAY, SUITE 600, HOUSTON, TX, 77077, 2814062000 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-110374 - Nov. 10) (BR. 04) S-2 MILESTONE SCIENTIFIC INC/NJ, 220 S ORANGE AVE, LIVINGSTON CORPORATE PARK, LIVINGSTON, NJ, 07039, 2013793171 - 0 ($17,660,000.00) Equity, (File 333-110376 - Nov. 10) (BR. 36) S-2 PACIFIC MERCANTILE BANCORP, 450 NEWPORT CENTER DRIVE, SUITE 100, NEWPORT BEACH, CA, 92660, 9496448040 - 3,220,000 ($32,039,000.00) Equity, (File 333-110377 - Nov. 10) (BR. 07) S-8 MARLIN BUSINESS SERVICES CORP, 124 GATHER DR., SUITE 170, MT. LAUREL, NJ, 08054, 8884799111 - 2,300,000 ($34,500,000.00) Equity, (File 333-110378 - Nov. 10) (BR. 06) S-4 DOBSON COMMUNICATIONS CORP, 14201 WIRELESS WAY, OKLAHOMA CITY, OK, 73134, 4053918500 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-110380 - Nov. 10) (BR. 37) S-3 TRIKON TECHNOLOGIES INC, RINGLAND WAY, 222 W ORANGE GROVE AVE, NEWPORT GWENT, X0, NP18 2TA, 011-44-1-633-414-000 - 1,400,000 ($8,106,000.00) Equity, (File 333-110381 - Nov. 10) (BR. 36) S-3 FIRST FEDERAL CAPITAL CORP, 605 STATE ST, LA CROSSE, WI, 54601, 6087848000 - 0 ($58,498,582.00) Equity, (File 333-110382 - Nov. 10) (BR. 07) 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 ------------------------------------------------------------------------------------------------ ACE COMM CORP MD X 11/05/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 10/25/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 10/25/03 AMEND ADA-ES INC CO X 11/06/03 ADOLOR CORP X X 11/05/03 ADVANCED POWER TECHNOLOGY INC X 11/06/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 10/25/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 10/25/03 AMEND AGL RESOURCES INC GA X 11/07/03 ALAMO GROUP INC DE X 11/05/03 ALEXANDRIA REAL ESTATE EQUITIES INC MD X X 11/05/03 ALLIANCE BANKSHARES CORP X X 11/05/03 ALLIN CORP DE X 11/05/03 AMERICAN ENTERTAINMENT & ANIMATION CO DE X X 11/04/03 AMERICAN HEALTHWAYS INC DE X X 11/07/03 AMERICAN ITALIAN PASTA CO DE X X 11/07/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 11/06/03 AMERIVEST PROPERTIES INC MD X X 09/10/03 AMEND AMERUS GROUP CO/IA IA X X 11/06/03 ANIKA THERAPEUTICS INC MA X X 11/06/03 AP PHARMA INC /DE/ DE X X 09/30/03 APPLETON PAPERS INC/WI X 11/06/03 AMEND ARES GLOBAL ASSETS INC DE X X X 10/21/03 ARGENT SECURITIES INC X X 11/07/03 ART BOUTIQUE INC WY X X 11/06/03 ASSOCIATED MATERIALS INC DE X X 08/29/03 AMEND AVI BIOPHARMA INC OR X X X 11/05/03 BANC CORP DE X X 11/03/03 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 11/07/03 BANC OF AMERICA MORT SEC INC MORT PS DE X X 10/27/03 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 10/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/25/03 AMEND BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/27/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 10/27/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 10/27/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANK UNITED CORP LITIGATION CONTINGEN DE X X 11/05/03 BARNES & NOBLE INC DE X X 11/07/03 BEAR STEARNS ARM TRUST 2003-5 DE X X 10/25/03 BEAR STEARNS ARM TRUST 2003-5 DE X X 10/25/03 AMEND BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 10/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 10/25/03 BIG DOG HOLDINGS INC DE X 09/30/03 BIOMARIN PHARMACEUTICAL INC DE X 11/06/03 BIOSOURCE INTERNATIONAL INC DE X X 11/07/03 BIRDS EYE FOODS INC DE X 11/07/03 BON TON STORES INC PA X X X 10/24/03 BOYKIN LODGING CO OH X X 08/25/03 AMEND BRICKMAN GROUP LTD X 11/07/03 BROWN BENCHMARK PROPERTIES LIMITED PA DE X 10/28/03 BSB BANCORP INC DE X X 11/07/03 CALPINE CORP DE X 11/06/03 CAMDEN PROPERTY TRUST TX X X 11/06/03 CATELLUS DEVELOPMENT CORP DE X X 11/07/03 CEDAR FAIR L P DE X 09/28/03 CELLEGY PHARMACEUTICALS INC CA X X 11/06/03 CENTENNIAL COMMUNICATIONS CORP /DE DE X X 11/07/03 CENTERPOINT ENERGY INC X X 11/07/03 CEPHEID CA X X 11/07/03 CH2M HILL COMPANIES LTD OR X 11/07/03 CHAMPIONLYTE HOLDINGS INC FL X X 08/20/03 AMEND CHARTER ONE FINANCIAL INC DE X 11/07/03 CHASE CREDIT CARD OWNER TRUST 2003-6 NY X X 11/07/03 CHICAGO RIVET & MACHINE CO IL X 11/07/03 CHINA BROADBAND CORP NV X 11/06/03 CINCINNATI BELL INC OH X X 11/07/03 CITIGROUP MORTGAGE LOAN TRUST INC X X 11/07/03 CITYXPRESS COM CORP FL X X 11/07/03 CLAIRES STORES INC DE X X 11/06/03 CLEARONE COMMUNICATIONS INC UT X X 07/22/03 AMEND COACH INDUSTRIES GROUP INC NV X 09/01/03 AMEND COMMERCIAL METALS CO DE X X 11/06/03 COMMERCIAL METALS CO DE X X X 11/07/03 COMPASS MINERALS GROUP INC X 11/07/03 COMPREHENSIVE CARE CORP DE X 11/07/03 COMSTOCK RESOURCES INC NV X 11/07/03 AMEND CRDENTIA CORP DE X X 09/23/03 AMEND CREDIT SUISSE FIRST BOSTON MORT SEC C DE X 11/07/03 CROSS COUNTRY HEALTHCARE INC DE X X 11/05/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 10/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 10/25/03 AMEND CUMULUS MEDIA INC DE X X 11/06/03 CURAGEN CORP DE X X 11/06/03 CWABS INC DE X X 11/05/03 CYTOGEN CORP DE X X 11/06/03 DANIELSON HOLDING CORP DE X X 11/07/03 DIATECT INTERNATIONAL CORP CA X 11/07/03 DIGITAL ANGEL CORP DE X X X 11/07/03 DIGITAL BROADBAND NETWORKS INC CO X X 11/07/03 DORCHESTER MINERALS LP DE X X X 11/07/03 DRS TECHNOLOGIES INC DE X X 11/07/03 DTE ENERGY CO MI X X 11/07/03 DWANGO NORTH AMERICA CORP NV X 11/04/03 DYAX CORP DE X X 10/29/03 EASYLINK SERVICES CORP DE X X 11/06/03 EDT LEARNING INC DE X 11/06/03 EMERGISOFT HOLDING INC NV X 11/07/03 EMERITUS CORP\WA\ WA X 11/06/03 EMPIRE FINANCIAL HOLDING CO FL X X 10/17/03 EMPS RESEARCH CORP UT X 11/05/03 ENCORE ACQUISITION CO DE X X 11/05/03 ENTERTAINMENT TECHNOLOGIES & PROGRAMS DE X 11/06/03 ENTREMED INC DE X X 11/06/03 EQUINIX INC DE X X X 11/07/03 FENTON GRAHAM MARKETING INC NV X X 10/30/03 FINANCIAL SECURITY ASSURANCE HOLDINGS NY X X 11/06/03 FIRST CHESAPEAKE FINANCIAL CORP VA X X 11/06/03 FIRST COMMUNITY BANK CORP OF AMERICA FL X 11/06/03 FIRST HORIZON PHARMACEUTICAL CORP DE X X 11/07/03 FIRST LITCHFIELD FINANCIAL CORP DE X 11/07/03 GENAERA CORP DE X X 11/04/03 GENESEE CORP NY X X 11/06/03 GLOBAL BUSINESS SERVICES INC DE X X 09/09/03 AMEND GLOBAL INNOVATIVE SYSTEMS INC NV X X X X 09/30/03 GOLDEN EAGLE INTERNATIONAL INC CO X X 11/06/03 GREAT LAKES REIT MD X X X 11/07/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 10/27/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 10/27/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 10/15/03 GROUP 1 SOFTWARE INC DE X 11/07/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 10/25/03 GSE SYSTEMS INC DE X 11/07/03 GSE SYSTEMS INC DE X 10/10/03 GTECH HOLDINGS CORP DE X 11/07/03 HALLIBURTON CO DE X 11/06/03 HALLIBURTON CO DE X 11/07/03 AMEND HAMPSHIRE GROUP LTD DE X X 09/27/03 HANOVER DIRECT INC DE X X 11/07/03 HARRAHS ENTERTAINMENT INC DE X X 11/07/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 09/30/03 HEALTH CARE REIT INC /DE/ DE X 11/03/03 HEALTHSOUTH CORP DE X 11/06/03 HEARUSA INC DE X X 10/03/03 HERITAGE FINANCIAL HOLDING X X 11/05/03 HOME FINANCIAL BANCORP IN X X 11/07/03 HORIZON GROUP PROPERTIES INC MD X X 11/03/03 HORMEL FOODS CORP /DE/ DE X 11/06/03 HOVNANIAN ENTERPRISES INC DE X X 11/03/03 HUMPHREY HOSPITALITY TRUST INC VA X 11/06/03 IGATE CORP PA X X 11/06/03 INAMCO INTERNATIONAL CORP DE X X X 10/29/03 INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 10/31/03 INSIGHT COMMUNICATIONS CO INC DE X 10/29/03 INTELLIGENT SYSTEMS CORP GA X X 11/07/03 INTERNATIONAL BANCSHARES CORP TX X 11/07/03 INTERNATIONAL LEASE FINANCE CORP CA X 11/07/03 INTRUSION INC DE X X 11/06/03 INVERESK RESEARCH GROUP INC DE X X 11/07/03 INVIVO CORP DE X 11/05/03 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 10/27/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 10/25/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 10/25/03 AMEND ISCO INC NE X X 11/07/03 JDS UNIPHASE CORP /CA/ DE X 11/06/03 JL FRENCH AUTOMOTIVE CASTING INC DE X X 11/07/03 JP MORGAN CHASE COMMERCIAL MORTGAGE S DE X X 11/05/03 JUPITERMEDIA CORP DE X 11/05/03 KCS ENERGY INC DE X X 11/07/03 KCS ENERGY INC DE X X 11/05/03 KCS ENERGY INC DE X X 11/05/03 KEY COMPONENTS LLC DE X 11/07/03 KINETIC CONCEPTS INC /TX/ TX X 09/30/03 KIRKLANDS INC X 11/06/03 KOALA INTERNATIONAL WIRELESS INC NV X 06/19/03 LABARGE INC DE X X 11/07/03 LACROSSE FOOTWEAR INC WI X X 11/03/03 LANDMARK LAND CO INC/DE DE X X 08/26/03 AMEND LANGER INC NY X X 11/07/03 LANTRONIX INC DE X X 11/06/03 LEATHER FACTORY INC DE X X 11/03/03 LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE X X 11/01/03 LEHMAN BROTHERS HOLDINGS INC DE X 11/07/03 LEUCADIA NATIONAL CORP NY X X 11/06/03 LEVEL 3 COMMUNICATIONS INC DE X X 11/06/03 LINCOLN INTERNATIONAL CORP KY X 08/22/03 LODGENET ENTERTAINMENT CORP DE X X 03/17/03 LONGS DRUG STORES CORP MD X 11/07/03 LSI INDUSTRIES INC OH X X 11/06/03 LSI INDUSTRIES INC OH X X 11/06/03 AMEND MACQUARIE SECURITISATION LTD DE X X 11/06/03 MAF BANCORP INC DE X 11/07/03 MAI SYSTEMS CORP DE X X 11/07/03 MARRIOTT INTERNATIONAL INC /MD/ DE X X 11/05/03 MARTIN MIDSTREAM PARTNERS LP DE X X 11/06/03 MASTER ADJUSTABLE RATE MORTGAGES TRUS DE X X 10/25/03 MASTR SEASONED SECURITIZATION TRUST 2 DE X X 10/27/03 MAXXZONE COM INC X 11/04/03 MEADOW VALLEY CORP NV X X 10/22/03 AMEND MEDICAL STAFFING SOLUTIONS INC NV X 11/01/03 MEDIFAST INC DE X 11/07/03 MELLON FINANCIAL CORP PA X 11/07/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 10/25/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 10/25/03 MERRILL LYNCH MORT INVEST INC MORT LN DE X X 10/25/03 MERRILL LYNCH MORT INVESTORS INC TRUS DE X X 10/25/03 MERRILL LYNCH MORTGAGE INV TRUST SER DE X X 10/25/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 10/25/03 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE X X 10/25/03 MID AMERICA APARTMENT COMMUNITIES INC TN X X 11/06/03 MID ATLANTIC MEDICAL SERVICES INC DE X 09/30/03 MID-STATE BANCSHARES CA X X 11/03/03 MOLINA HEALTHCARE INC DE X X 11/07/03 MONMOUTH COMMUNITY BANCORP NJ X 11/07/03 MONMOUTH COMMUNITY BANCORP NJ X X 11/05/03 MOOG INC NY X X 11/07/03 MORGAN STANLEY ABS CAPITAL 1 INC TRUS DE X X 10/27/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 10/27/03 MORTGAGE ASSET SEC TRANS INC MALT SER NY X X 10/25/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 10/29/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/06/03 MORTGAGE PASS THROUGH CERTIFICATES ML DE X X 10/25/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 10/30/03 MTR GAMING GROUP INC DE X X 11/07/03 MULTI COLOR CORP OH X 11/07/03 NATIONAL WESTERN LIFE INSURANCE CO CO X X 11/07/03 NAVISTAR INTERNATIONAL CORP DE X 11/07/03 NCO GROUP INC PA X 11/05/03 NCO PORTFOLIO MANAGEMENT INC DE X X X 11/04/03 NEW CENTURY HOME EQUITY LOAN TRUST SE DE X X 10/08/03 NEW YORK COMMUNITY BANCORP INC DE X X X 11/07/03 NEWCASTLE INVESTMENT CORP MD X X 11/07/03 NEWMONT MINING CORP /DE/ DE X X 11/05/03 NEWPOWER HOLDINGS INC DE X X 11/06/03 NL INDUSTRIES INC NJ X X 11/06/03 NON INVASIVE MONITORING SYSTEMS INC / FL X X 11/03/03 NOVASTAR HOME EQUITY LOAN ASSET BAC NY X X 10/27/03 NOVASTAR MORTGAGE FUNDING CORP HOME E NY X X 10/27/03 AMEND NRG ENERGY INC DE X X 11/06/03 NSTOR TECHNOLOGIES INC DE X X 11/07/03 NUTRACEA CA X X 10/24/03 AMEND OCWEN FINANCIAL CORP FL X X 11/06/03 OHIO ART CO OH X X 05/21/03 OLD LINE BANCSHARES INC X X 11/07/03 OPTION CARE INC/DE DE X X 11/04/03 OPTION ONE MORT ACCEPTANCE CORP ASSET DE X X 10/25/03 OPTION ONE MORTGAGE ACCEP CORP ASSET NY X X 10/25/03 OPTION ONE MORTGAGE ACCEP CORP ASSET DE X X 10/25/03 OPTION ONE MORTGAGE ACCEP CORP AST BA DE X X 10/25/03 PACIFICHEALTH LABORATORIES INC DE X 11/05/03 PARAGON FINANCIAL CORP DE X 11/06/03 AMEND PARTY CITY CORP DE X 11/07/03 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X X 11/05/03 PERINI CORP MA X 09/30/03 PIEDMONT NATURAL GAS CO INC NC X X 11/07/03 PILGRIMS PRIDE CORP DE X X 11/06/03 PMA CAPITAL CORP PA X X 11/07/03 POWERHOUSE TECHNOLOGIES GROUP INC DE X 11/07/03 PRIMA ENERGY CORP DE X X 11/06/03 PRIMEDIA INC DE X 11/05/03 PRINT DATA CORP X X 11/07/03 PROVIDENT FUNDING MORTGAGE PASS-THROU DE X X 10/25/03 PROVIDENT FUNDING MORTGAGE PASS-THROU DE X X 10/25/03 AMEND PUBLIC STORAGE INC /CA CA X X 11/06/03 PULASKI FINANCIAL CORP DE X X 11/05/03 QCR HOLDINGS INC DE X 11/07/03 RAB HOLDINGS INC DE X 10/29/03 RADIOLOGIX INC DE X X 11/06/03 REGENT COMMUNICATIONS INC DE X 11/07/03 REINSURANCE GROUP OF AMERICA INC MO X X 11/06/03 RELIV INTERNATIONAL INC IL X X 11/05/03 RESIDENTIAL ASSET MORT PROD GMACM PS DE X X 10/25/03 RESTORATION HARDWARE INC CA X X X 11/06/03 RIVERVIEW BANCORP INC WA X 10/02/03 AMEND ROBERTS REALTY INVESTORS INC GA X X 11/06/03 ROCKWELL MEDICAL TECHNOLOGIES INC MI X X 11/06/03 SAFEGUARD HEALTH ENTERPRISES INC DE X X 11/01/03 SANTANDER BANCORP X 10/31/03 SAXON CAPITAL INC DE X X X 11/07/03 SELECT MEDICAL CORP DE X 09/02/03 AMEND SEQUOIA MORTGAGE FUNDING CORP MD X X 10/30/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 10/20/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SIERRA PACIFIC RESOURCES /NV/ NV X X 11/06/03 SIMPSON MANUFACTURING CO INC /CA/ DE X 11/07/03 SINGING MACHINE CO INC DE X X 11/07/03 SKYTERRA COMMUNICATIONS INC DE X 11/07/03 AMEND SOUTH FINANCIAL GROUP INC SC X X X 11/05/03 SPACEHAB INC \WA\ WA X X 11/07/03 STAAR SURGICAL COMPANY DE X X 08/22/03 AMEND STAGE STORES INC NV X X 11/07/03 STARBERRYS CORP NV X 11/03/03 STARRETT L S CO MA X 09/27/03 STARTEK INC DE X X X 11/05/03 STEWART & STEVENSON SERVICES INC TX X X 11/06/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 10/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 10/25/03 AMEND STRUCTURED ASSET MORT INV INC THORNBU NY X X 10/25/03 STRUCTURED ASSET MORT INV INC THORNBU NY X X 10/25/03 AMEND STRUCTURED ASSET MORT INV MORT PASS T DE X X 10/27/03 STRUCTURED ASSET MORT INV MORT PASS T DE X X 10/27/03 STRUCTURED ASSET MORT INVEST INC MORT DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/27/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 AMEND STRUCTURED ASSET SECURITIES CORP II X X 11/05/03 STRUCTURED ASSET SECURITIES CORP MOR DE X X 10/25/03 SUBJEX CORP MN X X 10/27/03 SUITE 101 COM INC DE X 11/06/03 SUPREME INDUSTRIES INC DE X 09/27/03 TANKLESS SYSTEMS WORLDWIDE INC NV X X 11/04/03 TANKLESS SYSTEMS WORLDWIDE INC NV X X 11/04/03 TEAM HEALTH INC TN X X 11/05/03 TECHTEAM GLOBAL INC DE X X 11/07/03 TEJON RANCH CO DE X X 11/07/03 TELETECH HOLDINGS INC DE X 11/05/03 TELIK INC DE X X 11/06/03 TOOTSIE ROLL INDUSTRIES INC VA X 09/27/03 TOWER AUTOMOTIVE INC DE X 11/03/03 TOWN & COUNTRY TRUST MD X X 11/06/03 TRI-CONTINENTAL CORP MD X X 09/30/03 TRIMEDIA ENTERTAINMENT GROUP INC DE X 10/30/03 TRM CORP OR X X 11/06/03 TRW AUTOMOTIVE INC DE X X 11/07/03 U S RESTAURANT PROPERTIES INC MD X X 11/06/03 UNICO AMERICAN CORP NV X 11/06/03 UNITED DEFENSE INDUSTRIES INC DE X X 10/31/03 UTAH MEDICAL PRODUCTS INC UT X X 11/02/03 VA SOFTWARE CORP DE X X 11/06/03 VANTAGEMED CORP DE X X 11/06/03 VENDINGDATA CORP NV X 11/05/03 VERAMARK TECHNOLOGIES INC DE X 11/06/03 VERSATA INC DE X X X 11/07/03 VIROPHARMA INC DE X X 11/06/03 VISION SCIENCES INC /DE/ DE X 11/03/03 VISTACARE INC DE X X 11/06/03 VOICE MOBILITY INTERNATIONAL INC NV X 11/05/03 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X X 11/05/03 WACKENHUT CORRECTIONS CORP FL X 11/06/03 WESCO FINANCIAL CORP CA X 11/07/03 WESTERBEKE CORP DE X 11/06/03 WESTERN GAS RESOURCES INC DE X X 11/07/03 WESTMORELAND COAL CO DE X X 11/07/03 WESTON TECHNOLOGIES CORP DE X 11/06/03 WGL HOLDINGS INC VA X 11/07/03 WILLIAMS COMPANIES INC DE X X 11/07/03 WORLD TRANSPORT AUTHORITY INC X 06/30/03 WPS RESOURCES CORP WI X X 11/07/03 UMB FINANCIAL CORP MO X 11/07/03 3COM CORP DE X 11/07/03 3D SYSTEMS CORP DE X X 11/10/03 AAMES MORTGAGE TR MORT PAS THRU CERT DE X 10/29/03 AASTROM BIOSCIENCES INC MI X X 11/10/03 ABFS MORTGAGE LOAN TRUST 2003 1 DE X X 10/31/03 ABN AMRO MORTGAGE CORP DE X X 11/10/03 ACTUANT CORP WI X X 11/07/03 ADVANCED PHOTONIX INC DE X 11/07/03 AEGIS ASSET BACKED SEC CORP MORT PASS DE X X 10/25/03 AIRNET SYSTEMS INC OH X 11/07/03 AIRSPAN NETWORKS INC WA X X 11/05/03 ALAMOSA DELAWARE INC DE X X 11/07/03 ALAMOSA DELAWARE INC DE X X 11/07/03 ALAMOSA HOLDINGS INC DE X X 11/07/03 ALAMOSA HOLDINGS INC DE X X 11/07/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 11/10/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 11/10/03 ALPHARX INC DE X X 11/10/03 AMEDISYS INC DE X X 11/03/03 AMERICAN BUILDING CONTROL INC DE X 11/07/03 AMERICAN PHYSICIANS SERVICE GROUP INC TX X 11/10/03 AMERICREDIT CORP TX X X 11/10/03 ANAREN INC NY X X 11/06/03 APARTMENT INVESTMENT & MANAGEMENT CO MD X 11/10/03 APPALACHIAN BANCSHARES INC GA X 11/10/03 APPLE HOSPITALITY FIVE INC VA X 08/30/03 AMEND APPLEBEES INTERNATIONAL INC DE X 11/10/03 ASSET BACKED FUNDING CORP DE X X 11/10/03 ASSET BACKED SECURITIES CORP DE X 11/10/03 ASSET-BACKED CERTIFICATES SERIES 2003 DE X X 10/27/03 ASTORIA FINANCIAL CORP DE X X 11/10/03 ATA HOLDINGS CORP IN X X 11/07/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 11/10/03 ATLANTIC SYNERGY INC NV X 10/29/03 AVADO BRANDS INC GA X X 11/10/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 10/25/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 10/25/03 BANC OF AMERICA FUNDING MTG PASS THR NY X X 10/25/03 BANC OF AMERICA MORT SEC ALTERNATIVE DE X X 10/25/03 BANC OF AMERICA MORTGAGE SEC INC ALTE DE X X 10/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 10/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 10/25/03 AMEND BANC OF AMERICA MORTGAGE SECURITIES I DE X X 11/07/03 BANC OF AMERICA MORTGAGE SECURITIES S DE X X 10/25/03 BANCTRUST FINANCIAL GROUP INC AL X X 11/05/03 BANKNORTH GROUP INC/ME ME X X 11/10/03 BAYVIEW FINANCIAL CORP MORTGAGE PASS DE X X 10/25/03 BEAR ISLAND PAPER CO LLC VA X X 11/06/03 BEAR STEARNS ALT A TRUST 2003-2 DE X X 10/27/03 BEAR STEARNS ASSET BACK SECURITIES TR DE X X 10/27/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 10/27/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 10/27/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 10/27/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 10/27/03 BERKSHIRE HATHAWAY INC DE X X 11/07/03 BERRY PETROLEUM CO DE X X 11/07/03 BERRY PLASTICS CORP DE X 11/10/03 BFC FINANCIAL CORP FL X 11/10/03 BJS WHOLESALE CLUB INC DE X 11/06/03 BOGEN COMMUNICATIONS INTERNATIONAL IN DE X 11/10/03 BOSTON ACOUSTICS INC MA X X 11/07/03 BOYKIN LODGING CO OH X X 11/10/03 CANARGO ENERGY CORP DE X X 11/10/03 CANARGO ENERGY CORP DE X X 10/11/03 CAPITAL ONE FINANCIAL CORP DE X 11/10/03 CAPITAL ONE FUNDING LLC X X 10/29/03 CAPITAL ONE MASTER TRUST NY X X 11/10/03 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 11/10/03 CASUAL MALE RETAIL GROUP INC DE X X 11/06/03 CATERPILLAR FINANCIAL SERVICES CORP DE X 11/06/03 CENTURY PROPERTIES FUND XVIII CA X X 10/31/03 CHINA WORLD TRADE CORP NV X X 10/26/03 CHYRON CORP NY X 11/10/03 CITICORP MORTGAGE SECURITIES INC DE X 11/10/03 CITIGROUP INC DE X X 11/10/03 CNB FINANCIAL SERVICES INC WV X X 11/07/03 CNL RETIREMENT PROPERTIES INC MD X X 11/10/03 COGNITRONICS CORP NY X X 08/14/03 COLLAGENEX PHARMACEUTICALS INC DE X 11/10/03 COLLEGIATE PACIFIC INC DE X 11/10/03 COMMUNICATIONS SYSTEMS INC MN X X 11/05/03 COMPETITIVE TECHNOLOGIES INC DE X X X 10/30/03 CONCENTRA OPERATING CORP NV X X 11/10/03 CONCORD COMMUNICATIONS INC MA X 11/10/03 CONCUR TECHNOLOGIES INC WA X X 11/10/03 CONE MILLS CORP NC X X X 11/10/03 CONSOL ENERGY INC X X 11/07/03 CONSOLIDATED ENERGY INC WY X 09/15/03 AMEND CONTANGO OIL & GAS CO DE X 11/10/03 CONTINENTAL AIRLINES INC /DE/ DE X X 11/10/03 CONTINENTAL MATERIALS CORP DE X X 11/05/03 CORPORATE ASSET BACKED CORP DE X X 11/01/03 COTTON STATES LIFE INSURANCE CO / GA X X 11/10/03 COUNTRYWIDE FINANCIAL CORP DE X 10/31/03 CPAC INC NY X 11/07/03 CPI CORP DE X 11/04/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/10/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X 11/10/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 10/25/03 CSX CORP VA X X 11/10/03 CYGNUS INC /DE/ DE X X 11/10/03 DAWSON GEOPHYSICAL CO TX X X 11/07/03 DEB SHOPS INC PA X X 11/06/03 DELTA PETROLEUM CORP/CO CO X X 11/06/03 DEUTSCHE ALT-A SEC INC MTG P/T CERTS X X 10/27/03 DGSE COMPANIES INC NV X 11/10/03 DIGITAL FUSION INC/NJ/ DE X 11/07/03 DONNELLEY R R & SONS CO DE X X X 11/08/03 DST SYSTEMS INC DE X 11/10/03 EAGLE STAR ENERGY GROUP INC NV X X 11/07/03 EDUCATION MANAGEMENT CORPORATION X X 09/02/03 AMEND EFJ INC DE X X 11/10/03 EL PASO CORP/DE DE X X 11/10/03 ENCORE ACQUISITION CO DE X X 11/10/03 ENDOLOGIX INC /DE/ DE X X 11/07/03 ENUCLEUS INC DE X 11/10/03 EPIMMUNE INC DE X 11/10/03 EVANS BOB FARMS INC DE X X 11/10/03 EXELON CORP PA X 11/10/03 FAIRCHILD CORP DE X X 09/30/03 FALMOUTH BANCORP INC DE X X 11/07/03 FAO INC CA X X 11/07/03 FIELDSTONE MORTGAGE INVESTMENT CORP S NY X X 10/25/03 FINANCIAL ASSET SEC CORP ASSET BACKED DE X X 10/25/03 FINANCIAL ASSET SEC CORP FREMONT HOME DE X X 10/27/03 FIRST CHESTER COUNTY CORP PA X X X 11/10/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 10/25/03 FIRST NATIONAL FUNDING LLC NE X X 11/07/03 FOREST OIL CORP NY X X 11/04/03 FOSTER WHEELER LTD D0 X 11/07/03 FOSTER WHEELER LTD D0 X X X 11/10/03 FPIC INSURANCE GROUP INC FL X X 11/10/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 11/10/03 GENERAL DATACOMM INDUSTRIES INC DE X 11/04/03 GENUS INC CA X X 11/10/03 GIANT INDUSTRIES INC DE X 11/10/03 GK INTELLIGENT SYSTEMS INC DE X 11/10/03 GREATER ATLANTIC FINANCIAL CORP DE X X 09/30/03 GREENWICH CAPITAL COMMERCIAL FUND COR X 11/01/03 GRIFFON CORP DE X 09/30/03 GRIFFON CORP DE X X 09/30/03 AMEND GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 10/30/03 GS MORTGAGE SECURITIES CORP DE X X 11/06/03 HALLIBURTON CO DE X 11/07/03 HALSEY DRUG CO INC/NEW NY X X 11/06/03 HANOVER DIRECT INC DE X X 11/10/03 HANOVER DIRECT INC DE X X X 11/10/03 HARTVILLE GROUP INC NV X X X 10/20/03 HEALTH CARE PROPERTY INVESTORS INC MD X 11/03/03 HEALTHTRONICS SURGICAL SERVICES INC GA X 11/10/03 HESKA CORP DE X 09/30/03 HOJO HOLDINGS INC DE X 10/31/03 HOME INTERIORS & GIFTS INC TX X X 11/07/03 HOUSTON EXPLORATION CO DE X X 11/10/03 HUNTSMAN INTERNATIONAL HOLDINGS LLC DE X 11/10/03 HUNTSMAN INTERNATIONAL LLC DE X 11/10/03 ICN PHARMACEUTICALS INC DE X X 11/06/03 ID SYSTEMS INC DE X X 11/06/03 INDYMAC MBS INC X X 11/10/03 INVERNESS MEDICAL INNOVATIONS INC DE X 08/27/03 AMEND INVESTMENT TECHNOLOGY GROUP INC DE X 11/10/03 JACOBS ENTERTAINMENT INC DE X 11/07/03 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA X X 11/10/03 KEYSTONE PROPERTY TRUST MD X X 11/04/03 KIMCO REALTY CORP MD X 11/10/03 KNIGHTSBRIDGE FINE WINES INC NV X X 11/10/03 KOGER EQUITY INC FL X X 11/04/03 LANDAUER INC DE X X 11/10/03 LASALLE HOTEL PROPERTIES MD X X 11/10/03 LAUREL CAPITAL GROUP INC PA X X 11/07/03 LEXMARK INTERNATIONAL INC /KY/ DE X 11/10/03 LODGENET ENTERTAINMENT CORP DE X 11/10/03 LOJACK CORP MA X 11/10/03 MANNATECH INC TX X 11/10/03 MARSH & MCLENNAN COMPANIES INC DE X 11/07/03 MARTIN MIDSTREAM PARTNERS LP DE X X 11/10/03 MEDICAL ACTION INDUSTRIES INC DE X X 11/10/03 MEDIX RESOURCES INC CO X 11/10/03 MERIDIAN HOLDINGS INC CO X X X 11/10/03 MERRILL LYNCH DEPOSITOR INC DE X X 11/03/03 MERRILL LYNCH MOR INV INC PSS THR CE DE X X 10/27/03 MERRILL LYNCH MORT INV INC MO PASS TH DE X X 10/25/03 MERRILL LYNCH MORT INV INC MRT PSS TH DE X X 10/25/03 MERRILL LYNCH MORT INVES INC MRT PS T DE X X 10/25/03 MERRILL LYNCH MORT INVEST INC MLCC 20 DE X X 10/25/03 MERRILL LYNCH MORT INVEST INC MLCC 20 DE X X 10/25/03 AMEND MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/06/03 METRETEK TECHNOLOGIES INC DE X X 11/10/03 METRETEK TECHNOLOGIES INC DE X X 11/10/03 MICRO THERAPEUTICS INC DE X X 11/05/03 MILLENNIUM CHEMICALS INC DE X 11/10/03 MOORE WALLACE INC X X X 11/08/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 10/25/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 10/25/03 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/25/03 AMEND MORT ASSET SEC TRANS MORT PS THR CERT DE X X 10/27/03 MORTGAGE ASSET SEC TRANS INC MARM 20 DE X X 10/27/03 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 10/25/03 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 10/27/03 MORTGAGE ASSET SEC TRANS INC MRT PS T DE X X 10/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 10/27/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 10/25/03 MORTGAGE PASS-THROUGH CERTIFICATES ML DE X X 10/27/03 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X X 10/25/03 MOVIE STAR INC /NY/ NY X X 11/03/03 MS STRUCTURED ASSET CORP DE X 11/01/03 MS STRUCTURED ASSET CORP DE X 10/29/03 MSC INDUSTRIAL DIRECT CO INC NY X X 11/04/03 MULTI BENEFIT REALTY FUND 87-1 CA X X 10/28/03 NAPOLI ENTERPRISES INC CO X X 10/29/03 NBC ACQUISITION CORP DE X 11/10/03 NBO SYSTEMS INC MD X 11/05/03 NEBRASKA BOOK CO KS X 11/10/03 NEWHALL LAND & FARMING CO /CA/ CA X X 11/06/03 NEXIA HOLDINGS INC NV X 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AMEND QUICKSILVER RESOURCES INC DE X X 11/10/03 RADVISION LTD X 11/10/03 REDBACK NETWORKS INC DE X X 11/10/03 REGENCY CENTERS CORP FL X X 11/06/03 REGISTER COM INC DE X X 11/10/03 RELIANT RESOURCES INC DE X 11/10/03 RENAL CARE GROUP INC DE X X 11/10/03 REPUBLIC BANCSHARES INC FL X 11/07/03 RESIDENTIAL ASSET MOR PRO INC GMACM M DE X X 10/25/03 ROCKWELL COLLINS INC DE X 11/10/03 RONSON CORP NJ X X 10/31/03 ROXIO INC DE X X 11/07/03 RSA SECURITY INC/DE/ DE X X 11/10/03 RUBY MINING CO CO X 11/10/03 SAFEGUARD HEALTH ENTERPRISES INC DE X 11/06/03 SALES STRATEGIES INC NV X 11/07/03 SALIX PHARMACEUTICALS LTD X X 11/07/03 SAVIENT PHARMACEUTICALS INC DE X X 11/07/03 SAVIENT PHARMACEUTICALS INC DE X X 11/10/03 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 11/03/03 SELECT MEDICAL CORP DE X X 11/10/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 10/20/03 SLM CORP DE X X 11/07/03 SMITH & WOLLENSKY RESTAURANT GROUP IN DE X X 11/10/03 SMITHFIELD FOODS INC VA X X 10/28/03 SOLA INTERNATIONAL INC DE X X 11/04/03 SPECIALIZED LEASING INC NV X 11/10/03 AMEND STANDARD PARKING CORP DE X 11/07/03 STEALTH MEDIALABS INC NV X X 11/07/03 STEWART & STEVENSON SERVICES INC TX X X 11/07/03 STRUCT ASS MORT INV INC BS ALTA MORT DE X X 10/27/03 STRUCT ASS MORT INV INC BS ALTA MORT DE X X 06/25/03 AMEND STRUCTURED ASSET INVESTMENT LOAN TRUS DE X X 10/25/03 STRUCTURED ASSET MORT INV II INC BEAR DE X X 10/27/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 10/27/03 STRUCTURED ASSET MORT INV INC MORT PA DE X X 10/27/03 STRUCTURED ASSET MORT INV INC MORT PA DE X X 10/27/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/31/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 10/25/03 AMEND SUMMIT PROPERTIES INC MD X X 11/10/03 SUMMIT PROPERTIES PARTNERSHIP L P DE X X 11/10/03 SYNBIOTICS CORP CA X 11/10/03 TB WOODS CORP DE X X 11/07/03 TECHNOLOGY FLAVORS & FRAGRANCES INC DE X X 11/10/03 TEREX CORP DE X X 11/10/03 THERMOVIEW INDUSTRIES INC DE X 11/10/03 THORATEC CORP CA X X 09/29/03 AMEND TIER TECHNOLOGIES INC CA X X X 11/10/03 TISSERA INC WA X X 11/04/03 TOTAL FIRST AID INC FL X X 10/31/03 TRANS CONTINENTAL ENTERTAINMENT GROUP DE X X 10/31/03 TRINITY INDUSTRIES INC DE X X 11/05/03 TS&B HOLDINGS INC X X 11/10/03 TURBOCHEF TECHNOLOGIES INC DE X X X X 10/28/03 TYSON FOODS INC DE X X 11/10/03 U S GLOBAL INVESTORS INC TX X 06/30/03 UNDERWATER MAINTENANCE CORP FL X X X 10/25/03 UNITED STATES EXPLORATION INC CO X X 08/14/03 UNITEDGLOBALCOM INC DE X X 11/07/03 URBAN OUTFITTERS INC PA X X 11/06/03 VALHI INC /DE/ DE X X 11/10/03 VANGUARD HEALTH SYSTEMS INC DE X X 11/10/03 VENTAS INC DE X X 11/05/03 VENTAS INC DE X 11/05/03 VERTEX PHARMACEUTICALS INC / MA MA X X 11/10/03 VIA NET WORKS INC DE X 11/10/03 VON HOFFMANN CORP X X 11/10/03 WACHOVIA ASSET SECURITIZATION IISSUAN NC X 11/10/03 WAMU MORTGAGE PASS THROUGH CERTS SER DE X 10/24/03 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X 10/28/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X 10/28/03 WATERS INSTRUMENTS INC MN X X 11/03/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 10/27/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 10/27/03 WELLS FARGO ASSET SEC MOR BACKED SER DE X X 10/27/03 WELLS FARGO ASSET SECURITIES CORP DE X X 11/07/03 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 10/25/03 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 10/25/03 WESTAR ENERGY INC /KS KS X X 11/07/03 WHITEHALL JEWELLERS INC DE X 11/06/03 WILLIS LEASE FINANCE CORP DE X X 11/10/03 WNC CALIFORNIA HOUSING TAX CREDITS II CA X 10/29/03 AMEND WNC CALIFORNIA HOUSING TAX CREDITS II CA X 10/29/03 AMEND WNC CALIFORNIA HOUSING TAX CREDITS LP CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND II LP CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND III L P CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND IV L P SE CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND IV L P SE CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND V LP SERI CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND V LP SERI CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WNC HOUSING TAX CREDIT FUND VI LP SER CA X 10/29/03 AMEND WYNDHAM INTERNATIONAL INC DE X 11/10/03 YORK WATER CO PA X 11/10/03 YOUNG BROADCASTING INC /DE/ DE X 11/10/03