SEC NEWS DIGEST Issue 2003-215 November 12, 2003 COMMISSION ANNOUNCEMENTS ALAN BELLER TO TESTIFY Alan L. Beller, Director of the Commission's Division of Corporation Finance, will testify before the Senate Committee on Banking, Housing, and Urban Affairs on Thursday, November 13, concerning the application of federal securities law disclosure and reporting requirements to Fannie Mae, Freddie Mac, and the Federal Home Loan Banks. The hearing will begin at 10:00 a.m. in Room 538 of the Dirksen Senate Office Building. STATEMENT OF THE SECURITIES AND EXCHANGE COMMISSION Monday, November 10, 2003 The Commission notes with sorrow and regret the death of Richard B. Smith, who served as a Commissioner from May 1, 1967 until July 30, 1971. Commissioner Smith served on the Commission during a period of rapid growth and change in the nation's capital markets. He was a strong force on the Commission for progressive change and forward-looking regulatory responses to the critical issues confronting the Commission, such as fixed-rate brokerage commissions, Wall Street clearance and settlement problems, regulation of institutional investors, the evolving theory of insider trading and the liberalization of long-standing rules on the public sale of restricted securities. While his views were occasionally at odds with the conventional perspective at the time, not infrequently his dissenting perspective eventually became the majority policy. Commissioner Smith was an early advocate for developing regulatory policies based upon economic as well as legal analysis. Early in his tenure, at his suggestion, Chairman Cohen created an Economic Advisory Committee to meet periodically with the Commission. Similarly, the Commission's Institutional Investor Study was conducted as a primarily economic analysis of the issue, with Commissioner Smith acting as the lead Commissioner overseeing the report and signing the letter of transmittal to Congress. Commissioner Smith played an active role in addressing the critical back office clearance and settlement problems that plagued Wall Street during this period. He recognized the need and supported the effort to move to a central depository system of securities clearance and to automate brokerage firm back offices. Early on, he identified that these efforts would require greater capitalization of brokerage firms, achievable only through public debt and equity offerings. Similarly, he was an advocate for creation of an industry deposit insurance system, which was implemented with Congressional passage of the Securities Investors Protection Act of 1970 (SIPA). Commissioner Smith returned to private practice after his four years on the Commission. Throughout his long and distinguished career in private practice, he was an active member of the securities bar and a good friend of the S.E.C. He will be remembered with great respect and affection. The Commission and staff extend their deepest sympathy to his family and his many friends. By the Commission. William H. Donaldson, Chairman Cynthia A Glassman Harvey J. Goldschmid Paul S. Atkins Roel C. Campos 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. ADDITIONAL CLOSED MEETING - WEDNESDAY, NOVEMBER 12, 2003 - 4:00 P.M. An additional closed meeting will be held on Wednesday, November 12, at 4:00 p.m. The subject matter of the closed meeting will be: Settlement of administrative proceedings of an enforcement nature. OPEN MEETING - WEDNESDAY, NOVEMBER 19, 2003 - 2:00 P.M. The subject matter of the open meeting scheduled for Wednesday, November 19, will be: The Commission will consider whether to adopt amendments to Schedule 14A and Forms 10-Q, 10-QSB, 10-K, and 10-KSB under the Securities Exchange Act of 1934, and Form N-CSR under the Securities Exchange Act of 1934 and the Investment Company Act of 1940. The amendments would require expanded disclosure related to the operation of board nominating committees and new disclosure concerning security holder communications with board members. For further information, please contact Lillian Brown at (202) 824-5250. 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 THE COMMISSION INSTITUTES PROCEEDINGS AGAINST RITA MCCONVILLE AND KEVIN HARRIS FOR ACCOUNTING VIOLATIONS RELATED TO ACCOUNTS RECEIVABLE The Commission today instituted cease-and-desist proceedings against Rita J. McConville, the former chief financial officer (CFO) of Akorn, Inc., and cease-and-desist proceedings and administrative proceedings pursuant to Rule 102(e) of the Commission's Rules of Practice against Kevin M. Harris, another former Akorn CFO (collectively, Respondents). McConville is a resident of Hawthorn Woods, Illinois. Harris is a resident of Rolling Meadows, Illinois. The Division of Enforcement alleges that McConville and Harris made false statements concerning Akorn's financial condition and caused Akorn to carry on its books at least $7 million in accounts receivable which were, at best, significantly impaired or, at worst, completely uncollectable. Had Akorn appropriately recorded a reserve for these receivables, it would have posted a $2 million loss for its fiscal year ended Dec. 31, 2000, rather than the $2 million profit it claimed in its 2000 Form 10-K. The Division alleges that McConville engaged in accounting fraud by drafting or reviewing statements regarding accounts receivable in Akorn's Form 10-K for the fiscal year ended Dec. 31, 2000, that McConville had no reasonable basis to believe were accurate or in accordance with generally accepted accounting principles. Moreover, the Division alleges that McConville knowingly failed to implement a system of internal controls, caused Akorn's books and records to be false, lied to auditors, and caused Akorn's reporting violations with regards to the company's 2000 Form 10-K. The Division also alleges that Harris lied to auditors and caused and willfully aided and abetted Akorn's reporting violations in regard to the status of Akorn's accounts receivable as represented in both the 2000 Form 10-K and first quarter 2001 Form 10-Q. The Commission instituted these proceedings against Respondents to determine whether: (a) the allegations against Respondents are true and to afford Respondents an opportunity to establish any defense to such allegations; (b) McConville should be ordered to cease and desist from committing or causing any violations and any future violations of the antifraud, reporting, books and records, internal controls, and false statements to auditors provisions of the Securities Exchange Act of 1934 (Exchange Act); (c) Harris should be ordered to cease and desist from committing or causing any violations and any future violations of the reporting and lying to auditors provisions of the Exchange Act; (d) pursuant to Section 21C(e) of the Exchange Act, Respondents should be ordered to pay disgorgement; and (e) pursuant to Rule 102(e)(1)(iii) of the Commission's Rules of Practice, Harris should be censured or denied, temporarily or permanently, the privilege of appearing or practicing before the Commission. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(iii) of the Commission's Rules of Practice (Order) are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate in the public interest. The Commission directed that an administrative law judge shall issue an initial decision in this matter within 300 days from the date of service of the Order. (Rel. 34-48770, AAE Rel. 1910; File No. 3-11330) SEC SUES EIGHT INDIVIDUALS AND FOUR COMPANIES TO HALT A $28 MILLION PONZI SCHEME The Commission today announced that on November 10 the Commission filed an emergency injunctive action in federal district court in Indianapolis, Indiana against Patrick L. Ballinger (Ballinger), 55, Dennis R. Weaver (Weaver), 54, of Jackson, Tennessee, Kosta S. Kovachev (Kovachev), 51, of Lake Worth, Florida, Lee E. Larscheid (Larscheid), 54, of Branson, Missouri, Benny G. Morris (Morris), 46, of Palm Harbor, Florida, Darin W. Roberts (Roberts), 29, of Branson, Missouri, Linda M. Sears (Sears), 50, of Seminole, Florida, Todd R. Walker (Walker), 44, of Tampa, Florida, Missouri-based Branson City Limits, Inc. (Branson City), Missouri-based Ozark Ticket and Travel, Inc. (Ozark Ticket), Florida- based Resort Hotels, Inc. (Resort Hotel), and Nevada-based Universal Financial Leasing, Inc. (Universal Leasing) (collectively, the Defendants) for their roles in an ongoing $28 million Ponzi scheme. Ballinger, Larscheid and Sears are convicted felons and Weaver has a disciplinary history. The Commission's complaint alleged that, from at least September 2000 to the present, the Defendants offered and sold securities nominally structured as hotel timeshare rental interests in unregistered transactions to approximately 600 investors in 30 states. In connection with these offerings, the Defendants made false and misleading statements concerning, among other things, the use of investor funds, the source of investors' promised high returns, and the return of investors' principal. While the issuers, promoters, and sales force represented to investors that they would use the funds collected in the offerings to refurbish the timeshare units and pay an 11% return from subleasing the units, in fact, they used new investors' funds to pay returns to old investors as well as their personal and business expenses. The Commission Complaint seeks temporary restraining orders, preliminary and permanent injunctions, civil penalties, asset freezes, an order preserving evidence and appointment of a receiver, if necessary. [SEC v. Patrick Ballinger, Dennis R. Weaver, Kosta S. Kovachev, Lee E. Larscheid, Benny G. Morris, Darin W. Roberts, Linda M. Sears, Todd F. Walker, Branson City Limits, Inc., Resort Hotels, Inc., Universal Financial Leasing, Inc., and Ozark Ticket and Travel, Inc., Civil Action No. 1:03 CV-1659 LJN-WTL (S.D. Ind.] (LR-18450) FORMER SEC CHAIRMAN RICHARD BREEDEN TO SUPERVISE DISTRIBUTION OF SEC's CIVIL PENALTY AGAINST WORLDCOM Former SEC Commissioner J. Carter Beese, Jr. to Oversee Stock Portion of the Distribution Fund The Commission announced that on November 7 the Honorable Jed S. Rakoff, U.S. District Judge, issued an Order appointing former SEC Chairman Richard C. Breeden, who is currently serving as WorldCom's court- appointed Corporate Monitor, to be the Distribution Agent to supervise the distribution of the SEC's civil penalty judgment against WorldCom. The SEC obtained the civil penalty judgment pursuant to a settlement approved by Judge Rakoff on July 7, 2003. (Litigation Release No. 18219). Also on November 7, Judge Rakoff appointed former SEC Commissioner J. Carter Beese, Jr., to be the Equity Manager to oversee the stock portion of the distribution fund. (SEC v. WorldCom Inc., No. 02-CV-4963 (SDNY)). The Court's selections of Mr. Breeden as Distribution Agent and Mr. Beese as Equity Manager are the first steps in the Fair Fund distribution process for the SEC's civil penalty judgment. Future steps include WorldCom's payments into the distribution fund and the SEC's submission of a formal distribution plan to the District Court. These future steps are scheduled to take place at or around the time WorldCom emerges from bankruptcy court protection. After the District Court approves a distribution plan, the Distribution Agent will commence the process of identifying eligible investor claimants and processing claims for payment from the distribution fund. WorldCom, which is now doing business under the MCI brand name, filed for bankruptcy court protection on July 21, 2002. On October 31, 2003, the Bankruptcy Court approved the company's plan of reorganization. The Commission staff anticipates that the plan will become effective within a few months, resulting in WorldCom's emergence from bankruptcy court protection. Because WorldCom was in bankruptcy reorganization, the SEC's settlement of its claims for civil penalties was reviewed and approved by both the District Court and the Bankruptcy Court. (Litigation Releases Nos. 18219 and 18277). The SEC's civil penalty judgment against WorldCom provided that WorldCom was liable for a civil penalty in the amount of $2,250,000,000. It further provided that, in the event of confirmation of a plan of reorganization of WorldCom by the Bankruptcy Court - which occurred on Oct. 31, 2003 - WorldCom's obligation to the SEC shall be satisfied by the company's payment of $500,000,000 in cash and its transfer of common stock in the reorganized company having a value of $250,000,000, on the effective date of its plan of reorganization. Under the terms of the settlement, the funds paid and the common stock transferred by WorldCom to satisfy the SEC's judgment will be distributed to investor victims of the company's fraud, pursuant to Section 308 (Fair Funds for Investors) of the Sarbanes-Oxley Act of 2002. Additional information regarding the Fair Fund distribution of WorldCom's civil penalty is available on the Commission's website. The Commission's investigation into the events surrounding the WorldCom fraud is continuing. [SEC v. WorldCom Inc., Civil Action No. 02-CV-4963 (SDNY) (JSR] (LR-18451; AAE Rel. 1909) FORMER PRESIDENT OF SAN ANTONIO-BASED INVERWORLD ENJOINED IN INVESTMENT ADVISER FRAUD The Commission announced that it has settled its civil fraud action against George F. Fahey, former president of San Antonio-based InverWorld, Inc. and InverWorld Securities, Inc. On Aug. 4, 1999, the SEC charged Fahey and Jose P. Zollino, InverWorld's former chairman, with losing in excess of $400 million of client funds in unauthorized, highly leveraged securities investments and practically worthless securities issued by foreign shell companies. The SEC civil action was stayed pending a criminal investigation into the same conduct by the United States Attorney for the Western District of Texas (San Antonio Division). On Dec. 14, 2001, Fahey pleaded guilty to two counts of investment adviser fraud and conspiracy to launder money. In March 2003, the court sentenced Fahey to 84 months imprisonment and ordered him to pay criminal restitution of $139 million. On May 13, 2002, Zollino pleaded guilty to two counts of conspiracy to commit fraud and launder money. In October 2002, Zollino was sentenced to 144 months imprisonment and ordered to pay $341 million in criminal restitution. Fahey, without admitting or denying the allegations of the Commission's complaint, has consented to the entry of a final judgment that permanently enjoins him from violating the antifraud provisions of the federal securities laws. In light of his jail sentence and criminal restitution order, which is in an amount greater than the Commission's disgorgement claim, the Commission will forego its claims for disgorgement and a civil penalty. The judgment enjoins Fahey from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and aiding and abetting violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Fahey, in a related administrative proceeding, has agreed to consent to a Commission order barring him from association with any broker-dealer or investment advisor. Additional information can be found in Litigation Release No. 16242 (Aug. 4, 1999); No. 16974 (April 25, 2001); and No. 17533 (May 24, 2002). [SEC v. InverWorld, Inc., et al., Civ. No. SA-99-CA-0822 (W.D.Tex)] (LR-18452) FORMER GOLDMAN ECONOMIST YOUNGDAHL AGREES TO FRAUD INJUNCTION AND $240,000 PENALTY IN SEC TREASURY BOND INSIDER TRADING CASE YOUNGDAHL ALSO PLEADS GUILTY TO SECURITIES FRAUD IN RELATED CRIMINAL MATTER The Commission announced today that John M. Youngdahl, Jr., a former Goldman, Sachs & Co. Vice President and Senior Economist, has agreed to settle the Commission's pending insider trading charges against him. The charges relate to Goldman Sachs' purchases of U.S. Treasury 30-year bonds minutes before the Treasury Department's Oct. 31, 2001, announcement that it would no longer issue such bonds. The Treasury Department's announcement had a dramatic market impact, causing the largest one-day price movement in the 30-year bond since October 1987. Youngdahl is a resident of Summit, N.J. If the federal district court in Manhattan hearing the SEC's civil action approves the settlement, Youngdahl will be permanently enjoined from committing securities fraud, and will pay a civil penalty of $240,000. In separate proceedings regarding the same conduct, Youngdahl today pled guilty to criminal securities fraud charges brought by the United States Attorney's Office for the Southern District of New York. The Commission's complaint, filed on Sept. 4, 2003, alleges that beginning in 1994 Peter J. Davis, Jr., a Washington, D.C.-based consultant and sole proprietor of Davis Capital Investment Ideas, attended the Treasury Department's quarterly refunding press conferences. At these press conferences, the Treasury Department announced the Federal Government's financing requirements for the coming quarter. This information was market-sensitive and thus subject to a press embargo; that is, it could not be disseminated by those attending the conference until a specified time. The complaint alleges that Youngdahl, who advised Treasury Desk traders on economic and political developments, was Davis' primary contact at Goldman Sachs, and that Davis conveyed confidential refunding information to Youngdahl in May 2001. In July 2001, Davis and Youngdahl agreed in a series of e-mails that Davis would provide Youngdahl with embargoed information from the refunding press conferences. Pursuant to this agreement, Davis again provided Youngdahl with embargoed information in August 2001. The complaint further alleges that, at the Oct. 31, 2001, refunding press conference, Treasury Department officials announced three times that the information being made available was embargoed until 10:00 a.m. The press conference ended at approximately 9:25 a.m. Despite the officials' warnings, beginning at 9:28 a.m., Davis placed a series of cell phone calls to his clients, including Youngdahl, and told them that the Treasury Department was suspending future long bond issuances. The complaint alleges that Youngdahl knew that Davis, pursuant to their July agreement, was tipping him with confidential Treasury Department information before the information was released to the public. The complaint further alleges that, after receiving Davis' call on the morning of Oct. 31, 2001, Youngdahl tipped traders on Goldman Sachs' U.S. Treasury Desk to the news about the Treasury's decision to cease issuance of the long bond. While the news was still nonpublic, the traders purchased $84 million worth of 30-year bonds for Goldman Sachs' own accounts, generating illegal profits of over $1.5 million. Youngdahl has consented, without admitting or denying the allegations of the complaint, to the entry of a permanent injunction against future violations of Sections 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and a court order that he pay a fine of $240,000 and be jointly and severally liable for disgorgement of Goldman Sachs' trading profits. Goldman Sachs has previously settled a Commission administrative proceeding related to this matter and made full disgorgement of its trading profits. Davis, originally a defendant in the civil action, has also previously settled with the Commission. The Commission's investigation into these events is continuing. Pending the completion of that investigation, the Commission has filed a notice of dismissal as to defendant Stephen E. Nothern. Nothern was the only remaining defendant in this action other than Youngdahl. Under Federal Rule of Civil Procedure 41(a)(1), the Commission retains the right to file charges again against Nothern based on or including the original claim. [SEC v. Peter J. Davis, Jr., et al., Civil Action No. 03-CV-6672 (NRB)] (LR-18453; Press Rel. 2003-155) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change filed by the New York Stock Exchange (SR-NYSE-2003-26) to amend an Interpretation of NYSE Rule 345 to provide for the elimination of "Registered Representative-In- Charge" as a category precluded from being an independent contractor under Section 19(b)(2) of the Securities Exchange Act of 1934. (Rel. 34- 48762) PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2003- 34) relating to the amendment and restatement of the constitution of the Exchange to reform the governance and management architecture of the Exchange. Publication of the notice is expected in the Federal Register during the week of November 10. (Rel. 34-48764) 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 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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 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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 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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 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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 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