SEC NEWS DIGEST Issue 2003-205 October 28, 2003 COMMISSION ANNOUNCEMENTS ADDITIONAL CLOSED MEETING HELD An additional closed meeting was held on Monday, October 27, at 4:45 p.m. The subject matter of the closed meeting was: Institution and settlement of administrative proceeding of an enforcement nature; and Institution of an injunctive action. 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. ORDER CANCELING REGISTRATIONS OF CERTAIN TRANSFER AGENTS The Commission issued an order pursuant to Section 17A(c)(4)(B) of the Securities Exchange Act of 1934 canceling the registrations of certain transfer agents. Publication of the order is expected in the Federal Register during the week of October 27. (Rel. 34-48687) ENFORCEMENT PROCEEDINGS SEC SETTLES ADMINISTRATIVE PROCEEDINGS AGAINST THE CHILDREN'S BEVERAGE GROUP, INC., A NORTHBROOK, ILLINOIS COMPANY On October 27, the Commission settled administrative proceedings previously instituted against The Children's Beverage Group, Inc., a company headquartered in Northbrook, Illinois. In its action, the Division of Enforcement alleged, and the Commission found, that The Children's Beverage Group failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a- 13 promulgated thereunder by failing to file any annual or quarterly reports with the Commission since it filed its March, 2001 Form 10-K. Without admitting or denying the Commission's findings, The Children's Beverage Group consented to an order revoking the registration of The Children's Beverage Group, Inc. securities pursuant to Section 12(j) of the Exchange Act. (Rel. 34-48704; File No. 3-11185) SEC INSTITUTES ADMINISTRATIVE PROCEEDINGS AGAINST FORMER HGI REGISTERED REPRESENTATIVES On October 27, the Commission instituted public administrative proceedings against Steven Hanna (Hanna), Angelo John Bosco, Thomas Fede, Scott Follett, Paul Karkenny, Robert Palumbo, Stephen Palumbo, Raymond Saulon, Brian Scanlon and Joseph Tuozzo (collectively the Respondents), former registered representatives associated with HGI, Inc. (HGI), as a result of permanent injunctions entered against the Respondents in the civil action entitled SEC v. HGI Inc., et al., 99 Civ 3866 (DLC) in the Southern District of New York (SEC v. HGI) and their convictions in the parallel criminal actions pending against them in the Eastern District of New York. In an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings, and Imposing Remedial Sanctions (Order), the Commission simultaneously accepted the Respondents' Offers of Settlement, barring them from association with any broker or dealer. The Commission's complaint in SEC v. HGI alleges that from June 1994 through July 1997, the Respondents defrauded investors out of millions of dollars by using fraudulent "boiler-room" sales practices to induce investors to purchase certain highly speculative securities in initial public offerings underwritten by HGI, which was then a registered broker- dealer. Specifically, the Commission's complaint charges all of the Respondents with violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. It also charges S. Palumbo and Tuozzo with violations of Regulation M of the Exchange Act, Karkenny with aiding and abetting violations of Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder, Bosco with violations of Regulation M of the Exchange Act and aiding and abetting violations of Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder, and Scanlon with control person liability pursuant to Section 20(a) of the Exchange Act. The Respondents consented to the issuance of the Order, without admitting or denying the Commission's findings that: 1. On Oct. 20, 2003, a Final Judgment and Order on Consent was entered against Hanna, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in SEC v. HGI. On May 17, 2002, Hanna pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the U.S. District Court for the Eastern District of New York, in U.S. v. Steven Hanna, 01 CR 0076. On Aug. 2, 2002, Hanna was sentenced to 24 months in prison and ordered to pay $140,083 in restitution. 2. On May 13, 2003, a Partial Judgment and Order on Consent was entered against Bosco, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 and Regulation M thereunder, and from aiding and abetting future violations of Section 15(b)(7) of the Exchange Act and Rule 15b7- 1 thereunder, in SEC v. HGI. On May 30, 2002, Bosco pled guilty to one count of unlawful monetary transactions, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 1957, before the U.S. District Court for the Eastern District of New York, in U.S. v. Angelo John Bosco, 01 CR 0076. 3. On April 14, 2003, a Partial Judgment and Order on Consent was entered against Fede, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled SEC v. HGI. On Jan. 24, 2002, Fede pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the U.S. District Court for the Eastern District of New York, in U.S. v. Thomas Fede, 01 CR 0076. 4. On May 6, 2003, a Partial Judgment and Order on Consent was entered against Follett, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled SEC v. HGI. On Feb. 21, 2002, Follett pled guilty to one count of conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371, one count of unlawful monetary transactions in violation of 18 United States Code, Sections 1957, 2 and 3551, and one count of structuring in violation of 31 United States Code, Sections 5324(a)(3) and 5324(c)(2) and 18 United States Code, Sections 2 and 3551, all in connection with his conduct while at HGI, before the U.S. District Court for the Eastern District of New York, in U.S. v. Scott Follett, 01 CR 0076. 5. On April 14, 2003, a Partial Judgment and Order on Consent was entered against Karkenny, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting future violations of Section 15(b)(7) of the Exchange Act and Rule 15b7- 1 thereunder, in the civil action entitled SEC v. HGI. On May 1, 2002, Karkenny pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the United States District Court for the Eastern District of New York, in U.S. v. Paul Karkenny, 01 CR 0076. 6. On July 24, 2003, a Partial Judgment and Order on Consent was entered against R. Palumbo, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. HGI. On May 29, 2001, R. Palumbo pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the United States District Court for the Eastern District of New York, in U.S. v. Robert Palumbo, 01 CR 0076. 7. On Aug. 12, 2003, a Partial Judgment and Order on Consent was entered against S. Palumbo, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 and Regulation M thereunder, in the civil action entitled SEC v. HGI. On Oct. 22, 1999, S. Palumbo pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the U.S. District Court for the Eastern District of New York, in U.S. v. Stephen Palumbo, 99 CR 0878. 8. On Aug. 4, 2003, a Partial Judgment and Order on Consent was entered against Saulon, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. HGI. On Oct. 11, 2001, Saulon pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, before the U.S. District Court for the Eastern District of New York, in U.S. v. Raymond Saulon, 01 CR 0076. 9. On April 15, 2003, a Partial Judgment and Order on Consent was entered against Scanlon, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 and Regulation M thereunder, in the civil action entitled SEC v. HGI. On June 30, 2000, Scanlon pled guilty, in connection with his conduct while at HGI, to one count of conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371, and one count of unlawful monetary transaction in violation of 18 United States Code, Sections 1957, 2 and 3551. Scanlon also pled guilty to one count of perjury in violation of 18 United States Code, Section 1621, for giving material misstatements in testimony before officers of the Commission, before the U.S. District Court for the Eastern District of New York in U.S. v. Brian Scanlon, 00 CR 0112. 10. On July 24, 2003, a Partial Judgment and Order on Consent was entered against Tuozzo, permanently enjoining him from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 and Regulation M thereunder, in the civil action entitled SEC v. HGI. On Jan. 6, 2000, Tuozzo pled guilty to one count of conspiracy to commit securities fraud, in connection with his conduct while at HGI, in violation of Title 18 United States Code, Section 371, and one count of perjury, for giving material misstatements in testimony before officers of the Commission, in violation of 18 United States Code, Section 1621, before the U.S. District Court for the Eastern District of New York, in U.S. v. Joseph Tuozzo, 99 CR 0906. (Rel. 34- 48705; File No. 3-11316) COMMISSION SUSTAINS NYSE DISCIPLINARY ACTION AGAINST RICHARD KWIATKOWSKI On October 28, the Commission sustained disciplinary action taken by the New York Stock Exchange, Inc. against Richard Kwiatkowski. At the time of the hearing, Kwiatkowski was a floor broker and member of the NYSE. The NYSE found that Kwiatkowski had an interest in an account maintained by the Oakford Corporation, a non-member firm, for which he effected transactions on the floor of the NYSE. In addition, the NYSE found that Kwiatkowski improperly crossed orders of his customers with this account and violated NYSE Rule 95(c) by trading without appropriately marked "buy cover" or "sell liquidate" orders. The NYSE also found that Kwiatkowski made material misstatements to the Exchange and failed to make and preserve required records. The NYSE censured Kwiatkowski and imposed a permanent bar from employment on the floor of the Exchange and a five-year plenary bar. The Commission concluded that Kwiatkowski violated the federal securities laws and NYSE rules in the course of his trading for the Oakford account. The Commission stated that Kwiatkowski, by placing "his own interests above the interests of his customers," committed violations that "go to the heart of the duties a floor broker owes a customer." The Commission found that, given these serious violations, the sanctions imposed by the NYSE were neither excessive nor oppressive. (Rel. 34-48707; File No. 3-10864) SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST PUTNAM INVESTMENT MANAGEMENT LLC IN CONNECTION WITH SELF-DEALING IN PUTNAM MUTUAL FUNDS BY TWO MANAGING DIRECTORS AND OTHER PUTNAM INVESTMENT PROFESSIONALS The Commission today instituted administrative proceedings against Putnam Investment Management LLC (Putnam) in connection with the personal trading by two former Putnam Managing Directors and portfolio managers, Justin M. Scott and Omid Kamshad, and other investment professionals at Putnam. In the administrative order instituting proceedings against Putnam, the Division of Enforcement (the Division) alleges that Putnam engaged in securities fraud by failing to disclose to the funds or to the fund boards the potentially self-dealing transactions in fund shares by Scott, Kamshad and other employees. According to the Division, Scott and Kamshad, for their own personal accounts, engaged in excessive short-term trading of Putnam mutual funds for which they were portfolio managers. The Division alleges that Scott and Kamshad's investment decision-making responsibility for those funds afforded them access to non-public information about the funds, including current portfolio holdings, valuations and transactions. The Division further alleges that Scott and Kamshad's short-term trading violated their responsibilities to other fund shareholders, that Scott and Kamshad failed to disclose their trading and that, by their trading, they potentially harmed other fund shareholders. The Division further alleges that Putnam failed to supervise Scott, Kamshad and other employees, that it failed to have policies and procedures reasonably designed to prevent the misuse of non-public information and that it failed adequately to enforce its code of ethics. The Division's allegations as to Putnam are that it willfully violated Sections 204A, 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act) and Section 17(j) of the Investment Company Act of 1940 and Rule 17j-1(c) thereunder and that it failed to supervise under Section 203 of the Advisers Act. The Division is seeking relief in the form of a cease-and-desist order, disgorgement, a penalty, and such other relief as the Commission deems appropriate. In connection with the Commission's administrative order, a hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the order are true and to provide Putnam an opportunity to respond to them. In a related action, the Commission today filed a civil injunctive action against Scott and Kamshad in the federal court action alleging that they violated Sections 206(1) and 206(2) of the Advisers Act. In that action, the Commission is seeking injunctive relief, disgorgement, penalties, and such equitable relief as the court deems appropriate. The Commission acknowledges the assistance of the Secretary of the Commonwealth of Massachusetts in its investigation. The Commission's investigation is continuing. (Rels. IA-2185; IC-26232; File No. 3- 11317); [SEC v. Justin M. Scott and Omid Kamshad, Civil Action No. 03- 12082-EFH (D. Mass.)] (LR-18428); (Press Rel. 2003-142) ADDITIONS AND CORRECTIONS The litigation release number was omitted from an article, which appeared in yesterday's Digest, concerning William Wilkerson. The number is LR-18427. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the American Stock Exchange relating to adoption of a per contract licensing fee for transactions in options on iShares Lehman U.S. Aggregate Bond Fund (SR-Amex-2003-85) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48665) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-CBOE-2003-14), and Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange relating to options on a Reduced Value NYSE Composite Index. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48681) The Commission approved a proposed rule change (SR-NASD-99-60) regarding restrictions on the purchase and sale of initial public offerings of equity securities submitted by the National Association of Securities Dealers, and Amendment Nos. 1 to 4 thereto, and approved Amendment No. 5 thereto on an accelerated basis. (Rel. 34-48701) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2003-36) to establish guidelines and procedures for resolving disputes between members over the right to occupy a particular space in an index option trading crowd. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48702) The American Stock Exchange filed a proposed rule change (SR-Amex-2003- 65), and Amendment No. 1 thereto, relating to enhanced corporate governance requirements applicable to listed companies. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48706) 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-8 MAKE YOUR MOVE INC, 2164 N GLASSELL ST, ORANGE, CA, 92865, 7146371697 - 11,053,125 ($552,656.25) Other, (File 333-109991 - Oct. 27) (BR. 09) S-8 SOUTHWALL TECHNOLOGIES INC /DE/, 1029 CORPORATION WAY, PALO ALTO, CA, 94303, 4159629111 - 400,000 ($552,000.00) Equity, (File 333-109992 - Oct. 27) (BR. 06) SB-2 CYBERLUX CORP, 50 ORANGE ROAD, PINEHURST, NC, 28374, 9102350066 - 6,277,648 ($1,318,806.00) Equity, (File 333-109993 - Oct. 27) (BR. 36) S-3 PACIFIC GAS & ELECTRIC CO, 77 BEALE ST, P O BOX 770000, SAN FRANCISCO, CA, 94177, 4152677000 - 0 ($9,400,000,000.00) Non-Convertible Debt, (File 333-109994 - Oct. 27) (BR. 02) S-3 ENCORE MEDICAL CORP, 9800 METRIC BOULEVARD, P O BOX 1900, AUSTIN, TX, 78758, 5128329500 - 13,500,000 ($91,260,000.00) Equity, (File 333-109996 - Oct. 27) (BR. 36) S-3 MPOWER HOLDING CORP, 171 SULLY'S TRAIL, STE 202, PITTSFORD, NY, 14534, 7162186550 - 15,962,145 ($24,900,946.20) Equity, (File 333-109998 - Oct. 27) (BR. 37) S-8 VITALSTATE INC, 8 HARMONY LANE, 914-686-8255, HARTSDALE, NY, 10530, 88,235 ($57,794.00) Equity, (File 333-109999 - Oct. 27) (BR. 01) S-8 HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861, 4014318697 - 0 ($108,600,000.00) Equity, (File 333-110000 - Oct. 27) (BR. 05) S-8 HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861, 4014318697 - 0 ($5,173,260.00) Equity, (File 333-110001 - Oct. 27) (BR. 05) S-8 HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861, 4014318697 - 0 ($10,000,000.00) Equity, (File 333-110002 - Oct. 27) (BR. 05) S-3 INVESTORS REAL ESTATE TRUST, 12 S MAIN STREET, SUITE 100, MINOT, ND, 58701, 701-837-4738 - 3,811,292 ($37,655,564.96) Equity, (File 333-110003 - Oct. 27) (BR. 08) S-3 SOUTHERN CALIFORNIA GAS CO, 555 W FIFTH ST, ML 14H1, LOS ANGELES, CA, 90013-1011, 2132441200 - 0 ($700,000,000.00) Equity, (File 333-110004 - Oct. 27) (BR. 02) S-8 DIGITAL WORLD CUP INC, 3266 YONGE STREET STE 1208, BC, TORONTO ONTARIO CANA, A6, 00000, 11,000,000 ($1,540,000.00) Equity, (File 333-110005 - Oct. 27) (BR. 08) S-3 GENOME THERAPEUTICS CORP, 1OO BEAVER ST, WALTHAM, MA, 02453, 7813982300 - 7,830,000 ($23,255,100.00) Equity, (File 333-110006 - Oct. 27) (BR. 01) S-8 ARS NETWORKS INC, 100 WALNUT STREET, CHAMPLAIN, NY, 12919, 5182982042 - 200,000,000 ($2,000,000.00) Equity, (File 333-110007 - Oct. 27) (BR. 05) S-8 CATHAY BANCORP INC, 777 N BROADWAY, LOS ANGELES, CA, 90012, 2136254700 - 0 ($62,707,500.00) Equity, (File 333-110008 - Oct. 27) (BR. 07) S-8 CATHAY BANCORP INC, 777 N BROADWAY, LOS ANGELES, CA, 90012, 2136254700 - 0 ($32,899,560.00) Equity, (File 333-110009 - Oct. 27) (BR. 07) S-4 MANDALAY RESORT GROUP, 3950 LAS VEGAS BLVD S, LAS VEGAS, NV, 89119, 7027340410 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-110010 - Oct. 27) (BR. 05) S-8 NETMANAGE INC, 10725 N DE ANZA BLVD, CUPERTINO, CA, 95014, 4089737171 - 434,343 ($2,307,251.92) Equity, (File 333-110011 - Oct. 27) (BR. 03) S-8 CIRCLE GROUP HOLDINGS INC, 1011 CAMPUS DRIVE, 310-556-0080, MUNDELEIN, IL, 60060, 847-549-60 - 150,000 ($330,000.00) Equity, (File 333-110012 - Oct. 27) (BR. 08) S-8 UNITED SECURITY BANCSHARES INC, P O BOX 249, 131 WEST FRONT STREET, THOMASVILLE, AL, 36784, 3346365424 - 100,000 ($2,877,500.00) Equity, (File 333-110013 - Oct. 27) (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 ------------------------------------------------------------------------------------------------ ABINGTON BANCORP INC MA X X 10/20/03 ADAPTEC INC DE X X 10/27/03 ADELPHIA COMMUNICATIONS CORP DE X X 09/30/03 ADVANCEPCS DE X 10/27/03 AFFILIATED COMPUTER SERVICES INC DE X X 10/21/03 ALBANY INTERNATIONAL CORP /DE/ DE X 10/27/03 ALEXANDERS J CORP TN X 10/24/03 ALLIANCE RESOURCE PARTNERS LP DE X X 10/24/03 ALLIED MOTION TECHNOLOGIES INC CO X X 10/27/03 ALTIRIS INC DE X X 10/27/03 AMBASSADORS INTERNATIONAL INC DE X 10/22/03 AMERICAN EXPRESS CO NY X X 10/27/03 AMERICANWEST BANCORPORATION WA X X X 10/23/03 AMGEN INC DE X 10/21/03 AMKOR TECHNOLOGY INC DE X X 10/27/03 ANC RENTAL CORP DE X X 10/27/03 ANDERSEN GROUP INC DE X X 10/27/03 ANTHEM INC IN X X 10/27/03 ANTHEM INC IN X X 10/27/03 APPLICA INC FL X 10/27/03 ARAHOVA COMMUNICATIONS INC DE X X 09/30/03 ARGONAUT GROUP INC DE X X 10/27/03 ARTHROCARE CORP DE X X 10/24/03 ASB FINANCIAL CORP /OH OH X X 10/23/03 ASTRONICS CORP NY X 09/27/03 ATA HOLDINGS CORP IN X X 10/24/03 ATLAS MINING CO ID X X 10/24/03 AXCELIS TECHNOLOGIES INC DE X 09/30/03 AXSYS TECHNOLOGIES INC DE X 10/27/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 06/24/03 BANK MUTUAL CORP X 10/24/03 BANK OF AMERICA CORP /DE/ DE X X 10/26/03 BANK ONE CORP DE X X 09/30/03 BANK ONE CORP DE X X X 09/30/03 AMEND BANKUNITED FINANCIAL CORP FL X X 10/27/03 BANYAN CORP /OR/ OR X X 10/20/03 BANYAN CORP /OR/ OR X X 10/21/03 BEAR STEARN COMMERCIAL MORT PASS THRO DE X X 10/25/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 10/25/03 BESTNET COMMUNICATIONS CORP NV X 10/23/03 BEVERLY NATIONAL CORP MA X X 10/27/03 BMW VEHICLE OWNER TRUST 2001-A DE X 10/27/03 BMW VEHICLE OWNER TRUST 2002-A X 10/27/03 BMW VEHICLE OWNER TRUST 2003-A X 10/27/03 BONTEX INC VA X 09/17/03 BORGWARNER INC DE X 10/27/03 CALAIS RESOURCES INC X X 10/20/03 CAPITAL CITY BANK GROUP INC FL X X 09/30/03 CARPENTER TECHNOLOGY CORP DE X X 10/27/03 CARTER WILLIAM CO X X 10/27/03 CARVER BANCORP INC DE X X 10/24/03 CASS INFORMATION SYSTEMS INC MO X X 10/23/03 CAVALRY BANCORP INC TN X 09/30/03 CELLEGY PHARMACEUTICALS INC CA X X 10/24/03 CENTENE CORP X X 10/27/03 CEPHALON INC DE X X 10/27/03 CFS BANCORP INC DE X X 10/23/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 09/30/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/03 CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 09/30/03 CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 09/30/03 CHUBB CORP NJ X 10/27/03 CINERGY CORP DE X 10/27/03 CIT EQUIPMENT COLLATERAL 2003-EF1 DE X 10/16/03 CIT EQUIPMENT COLLATERAL 2003-VT1 DE X 10/16/03 CIT GROUP INC DE X X 10/23/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITICORP MORTGAGE SECURITIES INC DE X 10/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 10/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 10/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 10/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 10/27/03 CITIZENS HOLDING CO /MS/ MS X X X 10/27/03 CLICKSOFTWARE TECHNOLOGIES LTD L3 X X 10/27/03 COACHMEN INDUSTRIES INC IN X X X 09/30/03 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 10/22/03 COEUR D ALENE MINES CORP ID X X 10/23/03 COLONIAL PROPERTIES TRUST AL X 10/27/03 COMMERCIAL CAPITAL BANCORP INC NV X X 10/27/03 COMMERCIAL CAPITAL BANCORP INC NV X X 10/27/03 COMMERCIAL CAPITAL BANCORP INC NV X X 10/27/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 10/15/03 COMMSCOPE INC DE X X X X 10/27/03 COMPOSITE TECHNOLOGY CORP NV X X 10/24/03 CORNERSTONE BANCORP INC CT X 10/27/03 COUSINS PROPERTIES INC GA X X 10/27/03 CRAWFORD & CO GA X X 10/27/03 CREDIT SUISSE FIRST BOSTON MOR SEC CO DE X X 10/15/03 CREDIT SUISSE FIRST BOSTON MORT SEC C DE X X 10/25/03 CRYOCON INC CO X X X 10/24/03 CSFB MORTGAGE SEC CORP COMM MORT PASS DE X X 10/15/03 CSFB MORTGAGE SEC CORP COMM MORT PS T DE X X 10/25/03 CSFB MORTGAGE SEC CORP HM EQU PASS TH DE X X 10/25/02 CSX CORP VA X X X 10/27/03 DATAKEY INC MN X X 10/17/03 DENTSPLY INTERNATIONAL INC /DE/ DE X X 10/22/03 DIAL CORP /NEW/ DE X X 10/27/03 DIGITAL WORLD CUP INC X 10/25/03 DISTINCTIVE DEVICES INC NY X X 10/10/03 DITECH COMMUNICATIONS CORP DE X X 10/27/03 DOMINION HOMES INC OH X X X 10/27/03 DREW INDUSTRIES INCORPORATED DE X X 10/27/03 DUSA PHARMACEUTICALS INC NJ X X 10/27/03 EAGLE BANCORP INC MD X X 10/27/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 10/27/03 ENCORE MEDICAL CORP DE X X X 10/27/03 ENERGY EAST CORP NY X X 10/24/03 ENERGY WEST INC MT X X 10/27/03 EQUINIX INC DE X X 10/27/03 EXCHANGE BANCSHARES INC OH X X 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