SEC NEWS DIGEST Issue 2003-198 October 17, 2003 ENFORCEMENT PROCEEDINGS COMMISSION ORDERS MID-OHIO SECURITIES CORP. TO CEASE AND DESIST FROM VIOLATING CUSTOMER RESERVE AND NET CAPITAL PROVISIONS OF THE FEDERAL SECURITIES LAWS The Commission sued Mid-Ohio Securities Corp., a registered broker- dealer based in Elyria, Ohio, for customer reserve, net capital and books and records and broker-dealer reporting violations resulting from Mid-Ohio excluding approximately over $70 million in liabilities from its customer reserve and net capital calculations. On October 15, the Commission issued a settled Administrative and Cease- and-Desist Order against Mid-Ohio. The Commission's Order finds that, from April 1, 2001 through August 15, 2001, Mid-Ohio had customer reserve account deficiencies ranging from $70,582,210 to $82,063,213 and net capital deficiencies ranging from $3,927,498 to $4,425,149 because it failed to include and classify over $70 million in customer funds as liabilities in its customer reserve and net capital calculations. The order also states that from April 1, 2001 through July 31, 2001, Mid- Ohio failed to include approximately over $70 million in customer funds as liabilities in its general ledger and its aggregate indebtedness and net capital computations. Further, the order finds that from April 1, 2001 through July 31, 2001, Mid-Ohio filed one quarterly and three monthly Financial and Operational Combined Uniform Single (FOCUS) Reports that failed to account for approximately over $70 million in liabilities and contained inaccurate customer reserve and net capital computations. Mid-Ohio consented to the entry of the Order, without admitting or denying the Commission's findings, requiring that Mid-Ohio cease and desist from committing or causing any violations and any future violations of Sections 15(c)(3) and 17(a) of the Exchange Act and Rules 15c3-1, 15c3-3, 17a-3, and 17a-5 thereunder. In addition, Mid-Ohio consented to a censure and a $25,000 civil penalty. (Rel. 34-48635; File No. 3-11300) COMMISSION SETTLES FRAUD CHARGES AGAINST THREE DEFENDANTS IN CONNECTION WITH $22 MILLION TRADING SCHEME The Commission announced today that on Sept. 15, 2003, a Massachusetts federal court entered final judgment against Charles G. Dyer of Manchester, Massachusetts, and two Massachusetts-based companies controlled by Dyer, Resource F, LLC, and Bunker Hill Aviation, LLC, in connection with a $22 million fraudulent trading scheme. In its complaint, filed on April 16, 2001, the Commission alleged that between 1997 and 2000, Dyer, Resource F, Bunker Hill Aviation, and others participated in a fraudulent trading scheme that raised approximately $22 million from at least 50 investors, many of whom were members of the Christian Science Church. According to the complaint, Dyer helped promote the trading scheme through Resource F and administered it through Bunker Hill Aviation, and solicited investors using misrepresentations typical of "Prime Bank"-type investment frauds, including that the investment involved high-quality debt instruments and that investors' principal was never at risk and could be returned after one year. Without admitting or denying the allegations in the Commission's complaint, Dyer, Resource F, and Bunker Hill Aviation consented to the judgment entered by the U.S. District Court for the District of Massachusetts, which permanently enjoins them from violating the antifraud provisions of federal securities laws. Dyer and Resource F also were enjoined from violating the securities registration provisions of federal securities laws and Dyer was additionally enjoined from violating the broker-dealer registration provisions of federal securities laws. Dyer, Resource F, and Bunker Hill Aviation also were held jointly and severally liable for disgorgement of $472,590, plus $105,076 interest thereon, and Dyer was ordered to pay a civil penalty of $110,000. Dyer has also offered to settle related administrative proceedings, and the Commission instituted a settled Order on Oct. 16, 2003, permanently barring Dyer from association with any investment adviser or broker-dealer. Dyer, Resource F, and Bunker Hill Aviation were the last defendants in this case. The other defendants were Eric E. Resteiner and Voldemar A. VonStrasdas, both most recently of the Bahamas, and Miles M. Harbur of Jupiter, Florida. The District Court entered final judgments by default against Resteiner and VonStrasdas in August 2002, holding them jointly and severally liable for disgorgement of more than $25 million, and assessing each a civil penalty of $4.4 million. The District Court also previously entered final judgment by consent against Harbur, holding him liable for disgorgement of $1.1 million, plus prejudgment interest thereon, but waiving payment based on Harbur's financial condition. As with Dyer, the District Court enjoined Resteiner, VonStrasdas, and Harbur from violating the antifraud and other provisions of federal securities laws. For further information, please see Litigation Release No. 16963 (April 16, 2001), Litigation Release No. 16969 (April 18, 2001), Litigation Release No. 17713 (Sept. 5, 2002), and Litigation Release No. 17858 (Nov. 22, 2002). [SEC v. Eric E. Resteiner, et al., USDC for the District of Massachusetts, C.A. No. 01-10637(PBS)] (LR-18414); (Administrative Proceeding - Rels. 34-48642, IA-2182, File No. 3-11302) SEC INSTITUTES AND SETTLES PUBLIC ADMINISTRATIVE PROCEEDINGS AGAINST DALLAS BROKER BASED ON THE ENTRY OF AN INJUNCTION AGAINST HIM IN AN INSIDER TRADING CASE AND BARS HIM FROM ASSOCIATING WITH AN INVESTMENT ADVISER OR BROKER- DEALER, WITH A RIGHT TO REAPPLY AFTER FOUR YEARS On October 16, the Commission instituted public administrative proceedings against Stephen A. White, of Dallas, who was, at all times relevant to these proceedings, a registered representative with the Dallas office of Stephens, Inc., a Commission-registered broker-dealer and investment adviser. The Commission instituted the proceedings based on the permanent injunction that the U.S. District Court for the Northern District of Texas entered against White (on October 9) in the matter of SEC v. Stephen A. White, Case No. 3:03-CV-2351-G (N.D. Tex.). The Commission instituted that action in U.S. District Court in Dallas on October 9, alleging that White violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. See Lit. Rel. No.18407 (Oct. 9, 2003). The Commission alleged in its complaint that White misappropriated material non-public information regarding the acquisition of Hispanic Broadcasting Corporation by Univision Communications Corporation. The complaint further alleged that, in violation of a fiduciary duty that White owed to the source of the information, White recommended the stock to two individuals, who in turn purchased Hispanic stock ahead of the public announcement of the acquisition. The Commission accepted an offer of settlement from White in the civil action, pursuant to which he consented to the entry of a permanent injunction, disgorgement equal to the profits realized by those he recommended the stock to, and civil money penalties. Simultaneously with the institution of the administrative proceedings on October 16, the Commission resolved the proceedings by accepting an offer of settlement, pursuant to which White agreed to the entry of an order barring him from association with a broker-dealer or investment adviser, with a right to reapply after four years. (Rels. 34-48645; IA- 2184; File No. 3-11304) PETER FERRARO, CPA, AND WILLIAM STAYDUHAR, CPA, REINSTATED TO APPEAR AND PRACTICE BEFORE THE COMMISSION AS ACCOUNTANTS Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Peter C. Ferraro, CPA, and William G. Stayduhar, CPA, each have applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant. Mr. Ferraro and Mr. Stayduhar, who were denied the privilege of appearing or practicing before the Commission on July 24, 1996, pursuant to a settled proceeding, each have represented that he has complied and will continue to comply with the terms of the order that denied him from appearing or practicing before the Commission as an accountant. Mr. Ferraro's and Mr. Stayduhar's reinstatements are effective immediately. (Ferraro - Rel 34- 48654; AAE Rel. 1899 and Stayduhar - Rel. 34- 48655; AAE Rel. 1900; File Nos. 3-9045) TEMPORARY RESTRAINING ORDER AND ASSET FREEZE SOUGHT IN ACTION INVOLVING INTERNATIONAL SALES OF MICROCAP SECURITIES On October 16, the Commission filed a complaint in the U.S. District Court for the District of Utah, against twenty-one individuals and entities involved in a scheme to sell securities in five United States- based microcap issuers to hundreds of investors located primarily in the United Kingdom, Australia and New Zealand through a boiler room located in Vientiane, Laos. The Complaint alleges that since late 2002, hundreds of overseas investors have been defrauded by a scheme organized by David M. Wolfson and Gino Carlucci of Salt Lake City, Utah, and Sukumo, Ltd. of Vientiane, Laos. It is further alleged that Sukumo raised at least $16 million from more than 1,100 investors by selling restricted Regulation S shares in Stem Genetics, Inc., F10 Oil & Gas Properties, Diversified Financial Resources Corporation, Valesc Holdings, Inc., and NCI Holdings, Inc., with 70% of the offering proceeds wired to Sukumo and 15% to 20% of the proceeds wired to Wolfson or entities under his control. It is further alleged that Wolfson and persons affiliated with F10, Diversified and Valesc manipulated the prices of those securities in trading on the OTC Bulletin Board, thereby inflating the price Sukumo charged investors. Finally, it is alleged that Stem Genetics, F10, Diversified, Valesc and NCIH, aided and abetted by certain of their officers, made false filings with the Commission and that those officers falsely certified the filings of the issuers when those filings contained material misrepresentations and omitted to state material facts. The Commission seeks the entry of temporary restraining orders against Sukumo, which is also known as The Sukumo Group, The Fujiwara Group, First Chartered Capital Corporation, First Colonial Trust, First China Capital, and International Investment Holding, and Michael Sydney Newman, its control person. The Commission also seeks the entry of preliminary and permanent injunctions against Wolfson, Carlucci, NuWay Holding, Inc.; Momentous Group, LLC; Leeward Consulting Group, LLC; Stem Genetics, Inc.; Howard H. Robertson, M.D.; G&G Capital, LLC; F10 Oil and Gas Properties, Inc.; Jon H. Marple; Mary E. Blake; Jon R. Marple; Grateful Internet Associates, LLC; Diversified Financial Resources Corporation; John Chapman; Valesc Holdings, Inc.; Jeremy D. Kraus; Samuel Cohen; NCI Holdings, Inc. Asset freezes are sought against all defendants except Diversified, Chapman, Valesc, Kraus and Cohen. The complaint alleges all the defendants in the action have been violating the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. In addition, the complaint alleges F10, Diversified, Valesc and NCIH have been violating the issuer reporting provision of Section 13(a) of the Exchange Act and that: F10 and Valesc violated Rules 12b-20, 13a-1 and 13a-13 under the Exchange Act by filing false annual and quarterly reports; Diversified violated Rules 12b-20, 13a-1, 13a-11 and 13a-13 by filing false annual, current and quarterly reports; NCIH violated Rules 12b-20, 13a-11 and 13a-13 by filing false current and quarterly reports. The Complaint also alleges that Jon H. Marple and Blake aided and abetted F10's reporting violations and that they violated Rule 13a-14 under the Exchange Act by falsely certifying those reports. Kraus and Cohen were charged with aiding and abetting Valesc's reporting violations and with falsely certifying its filings. The Complaint also alleges that Carlucci aided and abetted NCIH's reporting violation and that he falsely certified its filings. On October 16, the Honorable Dale A. Kimball, U.S. District Judge, granted the Commission's application and issued a temporary restraining order, asset freeze and the other requested relief. Judge Kimball also scheduled a December 2003, hearing on the Commission's application for a preliminary injunction. [SEC v. David M. Wolfson, et al., Docket No. 2:03 CV-00914 DAK, USDC, D.Ut] (LR-18413) SEC FREEZES ASSETS IN SAN DIEGO-BASED FRAUDULENT SCHEME On October 10, the Commission sued the San Diego-based Rose Fund for running a fraudulent Ponzi scheme that raised at least $3.3 million through advertisements placed in major metropolitan newspapers throughout California. According to the Commission, Paul E. Nelson and William Wright of San Diego, and Michael Alexander of Solana Beach, California, sold investments in a purported mortgage lending business that guaranteed a 12% annual rate of return to investors. The Commission alleges that these individuals misappropriated at least $1 million of investor funds, with Alexander, the President of the company that managed the investments, spending hundreds of thousands of dollars at a horse racing track located a few minutes from the company's office. The United States District Court for the Northern District of California has issued a temporary restraining order freezing all remaining assets and directing defendants not to commit future violations of certain provisions of the federal securities laws. The Court deferred ruling on the Commission's request that a receiver be appointed over the Rose Fund and several related entities, pending a further hearing. The Commission's complaint alleges that, beginning in early 2003, the Rose Fund ran ads in about a dozen major California newspapers promising 12-15% annual returns on an investment described as "safe," "IRA/401K approved," and "secured by California real estate." Investors responding to the ad were told by salesperson Wright that the Rose Fund's mortgage lending business was 30 years old and outperformed the stock market. These representations were false. According to the Commission, the company was only formed in late 2002 and did not make any home loans until mid-2003. Even then, the investments were risky, had not been approved by the IRS or any other government agency, and only a portion of the funds went towards actual home loans. By September 2003, the Rose Fund and a related entity, TRF Holdings, had raised at least $3.3 million from over 100 investors in California and nationwide. The Commission alleges that, in order to dupe investors into believing their investments were safe and profitable, the Rose Fund made payments representing purported interest from the company's mortgage business. In reality, the money came from investors' own funds - a classic Ponzi scheme. The Commission's complaint charges the Rose Fund, TRF Holdings, and their manager, Rose Fund, Inc., as well as Nelson, Wright, and Alexander, with violating the antifraud and registration provisions of the federal securities laws, specifically Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Commission also sued Wright for acting as an unregistered securities broker in violation of Section 15(a) of the Exchange Act. The complaint seeks permanent injunctions prohibiting future violations of the securities laws, disgorgement, and civil penalties. [SEC v. The Rose Fund, LLC, The Rose Fund, Inc., TRP Holdings, Inc., Michael Alexander, Paul E. Nelson, William Wright, Rose Collections, Inc., Pacific Video Network, Inc., Resort Management Co., Inc., Web Inventions, Inc., Who Banging, Inc. and Yae, Inc., USDC NDCA, San Francisco Division, Civil Action No. 03-4593-WHA] (LR-18415) FORMER TRICON GLOBAL RESTAURANT, INC. MANAGER CRIMINALLY INDICTED FOR INSIDER TRADING On October 6, Devin Danehy of Orlando, Florida, was criminally indicted by the U.S. Attorney for the Western District of Kentucky on insider trading charges. Danehy is scheduled to be arraigned on Oct. 20, 2003. According to the indictment, Danehy was employed as a manager in the Business Analysis Group by Tricon Global Restaurant, Inc., now known as Yum! Brands, Inc. (Tricon), which is a publicly-traded company located in Louisville, Kentucky. The indictment alleges that from July 1998 through February 1999, Danehy received confidential non-public information concerning Tricon's projected financial results for the third and fourth quarter of 1998 and first quarter of 1999. The indictment further alleges that he then used that information to trade in the call options of Tricon for his own profit during this same time period. The indictment charges Danehy with six counts of securities fraud in connection with his insider trading activities. If convicted of all criminal charges, Danehy faces up to 30 years imprisonment, a fine of up to $1.5 million, and three years supervised release. On Sept. 21, 2001, the Commission filed a civil fraud case in the U.S. District Court for the Western District of Kentucky charging Danehy with insider trading based primarily on the conduct described above. According to the Commission's complaint, Danehy violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Danehy agreed to settle with the Commission by consenting, without admitting or denying the Commission's allegations, to the entry of a judgment enjoining him from future violations of the antifraud provisions of the federal securities laws, and ordering him to disgorge $110,301 plus $24,026 in prejudgment interest. A final judgment by consent against Danehy was entered by the court on Sept. 25, 2001. For further information, see Litigation Release No. 17150 (Sept. 26, 2001). [SEC. v. Devin A. Danehy, USDC, Western District of Kentucky, Civil Action No. 3:01CV555] (LR-18416) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Pacific Exchange filed a proposed rule change, and Amendments No. 1 and 2 thereto, (SR-PCX-2003-24) relating to the implementation of a closing auction for the Archipelago Exchange and the establishment of Market-on-Close and Limit-on-Close order types. (Rel. 34-48630) APPROVAL OF A PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-127), which relates to the listing of additional shares and record-keeping fees. Publication is expected in the Federal Register during the week of October 20. (Rel. 34-48631) The Commission approved a proposed rule change submitted by the New York Stock Exchange (SR-NYSE-2003-25) relating to continuing annual fees for "repackaged" securities. Publication is expected in the Federal Register during the week of October 20. (Rel. 34-48632) The Commission approved a proposed rule change (SR-GSCC-2002-07) filed by the Government Securities Clearing Corporation . The order eliminates the six month comparison-only membership requirement for netting membership. Publication is expected in the Federal Register during the week of October 20. (Rel. 34-48636) The Commission approved a proposed rule change (SR-NASD-2003-118) submitted by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. (Nasdaq), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to introduce fees for persons that are not NASD members using the Financial Information Exchange Protocol to connect to Nasdaq. (Rel. 34-48637) The Commission approved a proposed rule change (SR-BSE-2003-13) submitted by the Boston Stock Exchange relating to the initial allocation plan for the proposed Boston Options Exchange facility. Publication is expected in the Federal Register during the week of October 20. (Rel. 34-48644) WITHRDRAWAL SOUGHT An order has been issued granting the application of Time Warner Company, L.P. to withdraw its 7 1/4% Senior Debentures (due 2008) and the related Guarantees of Warner Communications, Inc. and American Television and Communications Corporation, from listing and registration on the New York Stock Exchange, effective at the opening of business on October 17. (Rel. 34-48647) 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-4 COLUMBUS MCKINNON CORP, 140 JOHN JAMES AUDUBON PKWY, AMHERST, NY, 14228-1197, 7166895400 - 0 ($115,000,000.00) Non-Convertible Debt, (File 333-109730 - Oct. 16) (BR. 36) S-8 WORLD GOLF INC, 258 EAST ALTAMONTE DRIVE, ,, ALTAMONTE SPRINGS, FL, 32701, 4073316272 - 50,000,000 ($1,750,000.00) Equity, (File 333-109731 - Oct. 16) (BR. 09) S-3 MAGELLAN MIDSTREAM PARTNERS LP, P O BOX 22186, TULSA, OK, 74121-2186, 918 574 7000 - 0 ($700,189,073.00) Limited Partnership Interests, (File 333-109732 - Oct. 16) (BR. 04) S-3 MACERICH CO, 401 WILSHIRE BLVD, STE 700, SANTA MONICA, CA, 90401, 3103946000 - 0 ($300,000,000.00) Equity, (File 333-109733 - Oct. 16) (BR. 08) S-4 SCARLET HOLDING CORP, 2320 SCIENTIFIC PARK DR, WILMINGTON, NC, 28405, 9102547000 - 0 ($1,217,108,472.17) Equity, (File 333-109735 - Oct. 16) (BR. 01) F-3 ORIX CORP, 3-22-8 SHIBA, MINATO-KU, TOYKO JAPAN, M0, 105 6135, 81354195000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-109736 - Oct. 16) (BR. 07) S-3 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 - 60,000,000 ($60,000,000.00) Equity, (File 333-109737 - Oct. 16) (BR. 36) SB-2 ASIA PROPERTIES INC, 12707 HIGH BLUFF DRIVE 2ND FL, SAN DIEGO, CA, 92130, 6193504288 - 5,168,000 ($5,168,000.00) Equity, (File 333-109738 - Oct. 16) (BR. 08) SB-2 FLEXXTECH CORP, 3103420794 - 1,625,000 ($4,880,000.00) Equity, (File 333-109740 - Oct. 16) (BR. 09) S-8 CALLON PETROLEUM CO, 200 N CANAL ST, NATCHEZ, MS, 39120, 6014421601 - 450,000 ($3,415,500.00) Equity, (File 333-109744 - Oct. 16) (BR. 04) S-8 PLANVISTA CORP, 4010 BOYSCOUT BLVD, SUITE 200, TAMPA, FL, 33607, 8133532300 - 3,500,000 ($5,583,215.00) Equity, (File 333-109745 - Oct. 16) (BR. 01) F-9 NEXEN INC, 801-7TH AVENUE SW, CALGARY ALBERTA CANA, A0, T2P 3P7, 4036994000 - 1,000,000,000 ($1,000,000,000.00) Non-Convertible Debt, (File 333-109747 - Oct. 16) (BR. 04) F-6 BRITISH LAND CO PLC, 10 CORNWALL TERRACE, REGENT PARK, LONDON UK, X0, NW1 4QP, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-109748 - Oct. 16) (BR. ) S-3 SUPPORTSOFT INC, 575 BROADWAY, REDWOOD, CA, 94063, 6502334539 - 0 ($83,697,000.00) Equity, (File 333-109752 - Oct. 16) (BR. 03) S-3 MKS INSTRUMENTS INC, SIX SHATTUCK RD, ANDOVER, MA, 01810, 9789752350 - 0 ($122,570,000.00) Equity, (File 333-109753 - Oct. 16) (BR. 36) S-8 AMERICAN FINANCIAL REALTY TRUST, 1725 THE FAIRWAY, JENKINTOWN, PA, 19046, 215-887-2280 - 0 ($153,789,589.00) Equity, (File 333-109754 - Oct. 16) (BR. 08) S-8 SECURE COMPUTING CORP, 6126282700 - 0 ($7,867,168.41) Equity, (File 333-109755 - Oct. 16) (BR. 03) S-3 HEALTH MANAGEMENT ASSOCIATES INC, 5811 PELICAN BAY BLVD, SUITE 500, NAPLES, FL, 33963, 9415983131 - 0 ($618,843,750.00) Debt Convertible into Equity, (File 333-109756 - Oct. 16) (BR. 01) S-3 ADSTAR INC, 4553 GLENCO AVENUE, SUITE 325, MARINA DEL RAY, CA, 90292, 1,832,602 ($3,025,271.00) Equity, (File 333-109757 - Oct. 16) (BR. 08) SB-2 CROWFLY INC, 220 WILLIAM ST EXTENSION, MOUNT PLEASANT, SC, 29464, 843-209-9323 - 440,000,000 ($22,000,000.00) Other, (File 333-109758 - Oct. 16) (BR. ) S-8 HY TECH TECHNOLOGY GROUP INC, 1840 BOY SCOUT DRIVE, FORT MEYERS, FL, 33907, 2392784111 - 6,000,000 ($261,000.00) Equity, (File 333-109759 - Oct. 16) (BR. 08) 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 ------------------------------------------------------------------------------------------------ ABAXIS INC CA X 10/16/03 ABGENIX INC DE X X 10/16/03 ABN AMRO MORTGAGE MULTI-CLASS MOR PAS DE X 09/26/03 ABOVENET INC DE X X 10/16/03 ACR GROUP INC TX X X 10/15/03 ACT TELECONFERENCING INC CO X X 10/16/03 ADSTAR INC DE X X 09/30/03 ADVANCED ENERGY INDUSTRIES INC DE X 10/16/03 ADVANSTAR COMMUNICATIONS INC NY X X 10/01/03 ADVANSTAR INC DE X X 10/01/03 ADVANTAGE MARKETING SYSTEMS INC/OK OK X 10/14/03 ADVO INC DE X X 10/16/03 ADVO INC DE X X 10/16/03 ALAMOSA DELAWARE INC DE X X 10/15/03 ALAMOSA HOLDINGS INC DE X X 10/15/03 ALFA CORP DE X 10/16/03 ALLIANCE FINANCIAL CORP /NY/ NY X X 10/16/03 ALTRIA GROUP INC VA X X 10/16/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X X 09/30/03 AMERICAN RIVER HOLDINGS CA X X 10/15/03 AMERIGAS PARTNERS LP DE X X 10/01/03 AMERIQUEST MORT SEC INC ASSET BACKED DE X 10/08/03 ANDERSEN GROUP INC DE X X 10/15/03 APOGENT TECHNOLOGIES INC WI X X 10/15/03 APPLIED INNOVATION INC DE X X 10/16/03 APTARGROUP INC DE X 10/16/03 ASPECT COMMUNICATIONS CORP CA X X 10/16/03 ASSET BACKED SEC CORP HOME EQUITY LN DE X X 09/15/03 ATLANTIC SYNERGY INC NV X 10/14/03 ATMEL CORP DE X X 10/16/03 AUTOLIV INC DE X X 10/16/03 AVID TECHNOLOGY INC DE X 09/30/03 AVOCENT CORP DE X 10/16/03 AVONDALE INC GA X X 10/16/03 AZONIC CORP NV X X 10/07/03 AMEND BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/16/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/14/03 BANCWEST CORP/HI DE X X 10/15/03 BANK OF SOUTH CAROLINA CORP SC X 10/16/03 BANKNORTH GROUP INC/ME ME X X 10/16/03 BARNES GROUP INC DE X X 10/16/03 BAXTER INTERNATIONAL INC DE X 10/16/03 BERTHEL GROWTH & INCOME TRUST I DE X X 10/13/03 BINGO COM INC FL X 10/16/03 BOEING CO DE X 10/16/03 BOK FINANCIAL CORP ET AL OK X X 09/30/03 BORLAND SOFTWARE CORP DE X X 10/15/03 BOURBON BANCSHARES INC /KY/ KY X 09/30/03 BRE PROPERTIES INC /MD/ MD X 10/14/03 BRENEX OIL CORP UT X X X X X X 10/01/03 BRIGGS & STRATTON CORP WI X 10/16/03 BRINKS CO VA X 10/16/03 BROADCOM CORP CA X X 10/16/03 BROOKTROUT INC MA X X X 10/16/03 CACI INTERNATIONAL INC /DE/ DE X 10/16/03 CALPINE CORP DE X 10/15/03 CAPITAL BANK CORP NC X X 10/13/03 CARCO AUTO LOAN MASTER TRUST DE X X 10/15/03 CATERPILLAR INC DE X 10/16/03 CATERPILLAR INC DE X 10/16/03 CATHAY BANCORP INC DE X X 10/15/03 CERUS CORP DE X X 10/15/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 10/16/03 CHARTER ONE FINANCIAL INC DE X 10/16/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 10/16/03 CHELL GROUP CORP NY X X 10/16/03 CHINA WIRELESS COMMUNICATIONS INC NV X X 10/07/03 CHITTENDEN CORP /VT/ VT X 10/16/03 CIMA LABS INC DE X X 10/16/03 CITICORP MORTGAGE SECURITIES INC DE X 10/16/03 CITIZENS FIRST BANCORP INC DE X X 10/16/03 CLEARONE COMMUNICATIONS INC UT X 07/22/03 AMEND CLOSURE MEDICAL CORP DE X X 10/16/03 CNET NETWORKS INC DE X 09/30/03 CNL HOSPITALITY PROPERTIES INC MD X X 10/16/03 CNS INC /DE/ DE X X 10/16/03 COASTAL BANCORP INC TX X X X 09/30/03 COCA COLA CO DE X 09/30/03 COCA COLA CO DE X 10/16/03 COMMERCIAL BANKSHARES INC FL X 10/15/03 COMMERCIAL BANKSHARES INC FL X 10/15/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 10/01/03 COMMUNITY BANKS INC /PA/ PA X 09/30/03 COMMUNITY CAPITAL CORP /SC/ SC X X 10/16/03 COMMUNITY CAPITAL CORP /SC/ SC X X 10/15/03 COMMUNITY CENTRAL BANK CORP MI X X 10/14/03 COMMUNITY FIRST BANKSHARES INC DE X X 10/16/03 CONCORD COMMUNICATIONS INC MA X X 10/16/03 CONSOLIDATED EDISON INC NY X X X 10/16/03 CONSOLIDATED MEDICAL MANAGEMENT INC MT X 10/15/03 CONSOLIDATED TOMOKA LAND CO FL X 10/16/03 CONTINENTAL AIRLINES INC /DE/ DE X X 10/16/03 COOPER TIRE & RUBBER CO DE X X 10/16/03 CORIXA CORP DE X X 10/16/03 COTT CORP /CN/ X 10/16/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/16/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/16/03 CREE INC NC X 10/16/03 CREE INC NC X 10/16/03 AMEND CRIIMI MAE INC MD X 10/16/03 CROWN HOLDINGS INC PA X 10/15/03 CUBIST PHARMACEUTICALS INC DE X 10/16/03 CWMBS INC DE X X 01/30/03 CYPRESS SEMICONDUCTOR CORP /DE/ DE X X 10/16/03 DAIMLERCHRYSLER AUTO TRUST 2003-A MI X X 10/08/03 DAIMLERCHRYSLER MASTER OWNER TRUST X X 10/15/03 DAN RIVER INC /GA/ GA X 10/15/03 DATA SYSTEMS & SOFTWARE INC DE X 10/09/03 DELPHI CORP DE X 10/16/03 DELUXE CORP MN X X 10/16/03 DHB INDUSTRIES INC DE X 08/20/03 AMEND DIAMOND OFFSHORE DRILLING INC DE X X 10/16/03 DIGITAL RECORDERS INC NC X 10/16/03 DORAL FINANCIAL CORP PR X X X 10/15/03 DORCHESTER MINERALS LP DE X X 09/30/03 DOUBLECLICK INC DE X 10/16/03 DOWNEY FINANCIAL CORP DE X X 09/30/03 DRS TECHNOLOGIES INC DE X X 10/16/03 EAGLE BANCORP/MT X 10/16/03 EAST WEST BANCORP INC X X 10/16/03 EBAY INC DE X X 10/16/03 ECB BANCORP INC NC X X X 10/16/03 EDISON INTERNATIONAL CA X 10/16/03 EL PASO CORP/DE DE X X 10/16/03 EMBARCADERO TECHNOLOGIES INC X X 10/16/03 EMC CORP MA X X 10/16/03 EMERGISOFT HOLDING INC NV X 10/15/03 EMERITUS CORP\WA\ WA X X 10/15/03 ENSCO INTERNATIONAL INC DE X 10/15/03 EOG RESOURCES INC DE X 10/16/03 EQUIFAX INC GA X X 10/16/03 EQUITY ONE ABS INC DE X X 10/14/03 ERESOURCE CAPITAL GROUP INC DE X X 10/14/03 EVANS & SUTHERLAND COMPUTER CORP UT X X 10/16/03 EXPRESSJET HOLDINGS INC DE X 09/30/03 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE X X 10/16/03 FAR EAST ENERGY CORP X X 10/16/03 FEDERAL AGRICULTURAL MORTGAGE CORP X 10/16/03 FEDERAL NATIONAL MORTGAGE ASSOCIATION X X X 10/16/03 FILENET CORP DE X 09/30/03 FINANCIAL INSTITUTIONS INC NY X X 10/16/03 FIRST COLONIAL GROUP INC PA X X 10/16/03 FIRST ESSEX BANCORP INC DE X X 10/15/03 FIRST FINANCIAL BANCORP /OH/ OH X X X 10/16/03 FIRST FINANCIAL BANKSHARES INC TX X 10/16/03 FIRST NATIONAL CORP /SC/ SC X X 10/16/03 FIRST NATIONAL LINCOLN CORP /ME/ ME X 10/15/03 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 10/01/03 FIRSTBANK CORP MI X X 10/16/03 FIRSTMERIT CORP /OH/ OH X X 10/16/03 FLAG TELECOM GROUP LTD X X 10/16/03 FLEETBOSTON FINANCIAL CORP RI X X X 10/15/03 FORD MOTOR CO DE X X 10/16/03 FORD MOTOR CREDIT CO DE X X 10/16/03 FORMFACTOR 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DE X 10/16/03 HARLEYSVILLE NATIONAL CORP PA X 10/15/03 HARLEYSVILLE SAVINGS FINANCIAL CORP X X 10/15/03 HARMONIC INC DE X X 10/16/03 HARRINGTON WEST FINANCIAL GROUP INC/C X X 10/16/03 HARRIS & HARRIS GROUP INC /NY/ NY X 10/15/03 HEARST ARGYLE TELEVISION INC DE X X 10/15/03 HERSHEY FOODS CORP DE X 09/30/03 HONEYWELL INTERNATIONAL INC DE X 10/16/03 HUFFY CORP OH X X 10/15/03 ICU MEDICAL INC/DE DE X X 10/16/03 IDEX CORP /DE/ DE X 10/16/03 IDI GLOBAL INC NV X X X 10/03/03 IDINE REWARDS NETWORK INC DE X X 10/16/03 ILLINOIS TOOL WORKS INC DE X 09/30/03 ILLUMINA INC CA X X 10/16/03 INDIAN RIVER BANKING COMPANY FL X X 10/15/03 INFORMATICA CORP DE X 10/16/03 INFOUSA INC DE X X 10/15/03 INSIGNIA SYSTEMS INC/MN MN X X 10/16/03 INSWEB CORP DE X X 10/16/03 INTEGRATED DEVICE TECHNOLOGY INC DE X X 10/16/03 INTERMET CORP GA X X 10/16/03 INTERNATIONAL PAPER CO /NEW/ NY X X 10/15/03 INTERPHASE CORP TX X 10/15/03 INVACARE CORP OH X 10/16/03 INVESTMENT TECHNOLOGY GROUP INC DE X 10/16/03 INYX INC NV X X 10/16/03 IPASS INC DE X 10/16/03 ITRON INC /WA/ WA X X 10/16/03 ITT EDUCATIONAL SERVICES INC DE X 10/16/03 IVP TECHNOLOGY CORP NV X X 09/19/03 IXIA CA X X 10/16/03 JACUZZI BRANDS INC DE X 10/16/03 JOURNAL REGISTER CO DE X X 10/16/03 JP MORGAN CHASE COM SEC CORP PASS THR DE X 10/01/03 KENSEY NASH CORP DE X 10/15/03 KEYCORP /NEW/ OH X X 10/16/03 KINGDOM VENTURES INC NV X X 07/31/03 AMEND KMART HOLDING CORP DE X X 10/09/03 KNIGHT TRANSPORTATION INC AZ X X 10/15/03 KOPPERS INC PA X 10/16/03 KVH INDUSTRIES INC \DE\ DE X 10/16/03 LANDSTAR SYSTEM INC DE X X 10/16/03 LASALLE RE HOLDINGS LTD X X 08/20/03 LECROY CORP DE X X 10/16/03 LEGGETT & PLATT INC MO X 10/15/03 LEUCADIA NATIONAL CORP NY X X 10/16/03 LEXAR MEDIA INC CA X X 10/16/03 LODGENET ENTERTAINMENT CORP DE X 10/16/03 LONE STAR TECHNOLOGIES INC DE X X 10/15/03 MANPOWER INC /WI/ WI X X 10/16/03 MATRITECH INC/DE/ DE X X 10/15/03 MATTEL INC /DE/ DE X X X 10/15/03 MAVERICK TUBE CORPORATION DE X 10/16/03 MAYTAG CORP DE X X 10/16/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 09/30/03 MBNA AMERICA BK NAT ASSOC MBNA MASTER X X 09/30/03 MBNA CORP MD X X 09/30/03 MBNA CORP MD X 09/30/03 MEDIA GENERAL INC VA X X 10/16/03 MEDICAL STAFFING NETWORK HOLDINGS INC DE X X 10/16/03 MENS WEARHOUSE INC TX X X 10/16/03 MERCER INTERNATIONAL INC WA X 10/15/03 MERCURY COMPUTER SYSTEMS INC MA X X 10/16/03 METWOOD INC NV X 09/22/03 MICHAEL FOODS INC /MN MN X X 10/10/03 MICROCHIP TECHNOLOGY INC DE X X 10/16/03 MICRON ENVIRO SYSTEMS INC NV X 10/15/03 MICROTUNE INC DE X 10/16/03 MIDLAND CO OH X 10/16/03 MINDEN BANCORP INC X X 10/14/03 MINN DAK FARMERS COOPERATIVE ND X 10/16/03 MIPS TECHNOLOGIES INC DE X 10/16/03 MKS INSTRUMENTS INC MA X 10/16/03 MODINE MANUFACTURING CO WI X 10/16/03 AMEND MONOLITHIC SYSTEM TECHNOLOGY INC CA X X 10/16/03 MONSANTO CO /NEW/ DE X X 10/15/03 AMEND MORTGAGE ASSET SECURITIZATION TRANSAC DE X 10/16/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/14/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 10/16/03 MORTGAGE LOAN TRUST SERIES 2003-2XS X X 09/18/03 MURRAY UNITED DEVELOPMENT CORP DE X X 10/02/03 NAPCO SECURITY SYSTEMS INC DE X X 10/15/03 NATIONAL CITY CORP DE X X 10/15/03 NATIONAL COMMERCE FINANCIAL CORP TN X X 10/16/03 NATIONAL PROCESSING INC OH X X 10/16/03 NATIONAL WESTERN LIFE INSURANCE CO CO X X 10/14/03 NETSOLVE INC DE X X 10/15/03 NEUBERGER BERMAN INC DE X X 10/16/03 NEW CENTURY MORTGAGE SECURITIES INC DE X X 10/15/03 NEW CENTURY MORTGAGE SECURITIES INC DE X 10/16/03 NEW HAMPSHIRE THRIFT BANCSHARES INC DE X X X 10/16/03 NEW YORK TIMES CO NY X X 10/16/03 NEXEN INC A0 X 10/16/03 NEXGEN VISION INC DE X 10/09/03 AMEND NEXT INC/TN DE X X 10/15/03 NEXTEL COMMUNICATIONS INC DE X X X 10/16/03 NORTH BANCSHARES INC DE X 09/30/03 NORTHERN EMPIRE BANCSHARES CA X 10/14/03 NVR INC VA X X 10/16/03 OBIE MEDIA CORP OR X X 08/31/03 OFFICE DEPOT INC DE X X X 10/16/03 OLD POINT FINANCIAL CORP VA X X 07/14/03 OMNICELL INC /CA/ CA X X 10/16/03 ONESOURCE INFORMATION SERVICES INC DE X X 10/16/03 OPTIMAL ROBOTICS CORP X X 09/30/03 AMEND OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 10/15/03 ORBITAL SCIENCES CORP /DE/ DE X 10/16/03 OWENS & MINOR INC/VA/ VA X X 10/15/03 PACIFIC CONTINENTAL CORP OR X X 10/15/03 PACKETEER INC DE X X 10/16/03 PANERA BREAD CO DE X X X 10/16/03 PARADYNE NETWORKS INC DE X X 10/15/03 PARKER HANNIFIN CORP OH X 10/16/03 AMEND PARTNERS TRUST FINANCIAL GROUP INC X 10/15/03 PENNROCK FINANCIAL SERVICES CORP PA X 09/30/03 PENTAIR INC MN X X 10/16/03 PEOPLES BANCORP INC OH X 09/30/03 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC X X 10/15/03 PHARMCHEM INC DE X 10/16/03 PHOTO CONTROL CORP MN X X 10/16/03 PIXELWORKS INC OR X X 10/16/03 PLANVISTA CORP DE X X 10/16/03 PLUMAS BANCORP CA X X 10/16/03 PLURISTEM LIFE SYSTEMS INC NV X 10/09/03 PMC SIERRA INC DE X X 10/16/03 PNC FINANCIAL SERVICES GROUP INC PA X X X 10/16/03 PNC FINANCIAL SERVICES GROUP INC PA X X 10/16/03 POINTE FINANCIAL CORP FL X X X 10/15/03 POLYCOM INC DE X 10/16/03 PPG INDUSTRIES INC PA X X X 10/16/03 PREMIER 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