SEC NEWS DIGEST Issue 2003-217 November 14, 2003 ENFORCEMENT PROCEEDINGS CEASE-AND-DESIST PROCEEDINGS INSTITUTED AGAINST AXEDA SYSTEMS, INC., JASON LIU AND STEWART ADAMS On November 14, the Commission issued an Order Instituting Cease-and- Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 (Order) against Axeda Systems, Inc. (Axeda), Jason C. Liu, of Naperville, Illinois, Axeda's former Chief Financial Officer, and Stewart C. Adams, of Millington, New Jersey, Axeda's former controller, in connection with the filing of materially false Form 10-Q reports for two of Axeda's fiscal 1999 quarters. The Commission simultaneously accepted Offers of Settlement submitted by the respondents in which, without admitting or denying the Commission's findings, each agreed to the imposition of a cease-and-desist order. Axeda is the successor name of Ravisent Technologies, Inc., which was the name of the company during the time of the violations contained in the Order. Axeda's principal business in 1999 was the development and licensing of software products to manage video and audio data in personal computers and other consumer electronics devices. The Commission's Order finds that during the second and third quarters of 1999, as a result of the incorrect application of Generally Accepted Accounting Principles (GAAP), Axeda prematurely recognized approximately $4.7 million in revenue from three of its largest sales transactions and, as a result, filed two materially false and misleading Form 10-Q's. All of the revenue was ultimately recognized in later quarters. The transactions involved incorrectly recognizing revenue on a consignment sale where a right of return existed; incorrectly recognizing revenue on a contingent sale; and the incorrect application of AICPA Statement of Position 97-2, relating to the recognition of software revenue. The Order finds that Liu was responsible for preparing, and signed, the Form 10-Q reports, and that he failed to correctly apply GAAP in making revenue determinations on the applicable sales contracts. As the controller, Adams failed in his assigned responsibilities to establish rigorous, systematic procedures for reviewing the company's preliminary revenue determinations concerning the three contracts. Based on the above, the Order orders Axeda to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 12b-20 and 13a-13 thereunder; Liu to cease and desist from causing any violations and any future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder, and from committing or causing any violations of Rule 13b2-1 of the Exchange Act; and Adams to cease and desist from causing any violations and any future violations of Section 13(b)(2)(B) of the Exchange Act. (Rel. 34-48783; AAE Rel. 1913; File No. 3-11334) SEC CHARGES FORMER CEO, CFO, AND CONTROLLER OF GATEWAY, INC. WITH FRAUD Gateway Agrees to Issuance of a Cease-and-Desist Order The Commission announced today the filing of fraud charges against the former chief executive officer, chief financial officer, and controller of San Diego-based Gateway, Inc., for engaging in a fraudulent earnings manipulation scheme to meet Wall Street analysts' expectations, and for making false statements and concealing from the investing public important information about the success of Gateway's personal computer (PC) business, in the second and third quarters of 2000. The Commission's lawsuit, filed today in federal court in San Diego, seeks antifraud injunctions, civil money penalties, disgorgement of ill-gotten gains, and orders permanently barring the defendants from serving as officers or directors of public companies. Named in the Commission's complaint are the following defendants. Jeffrey Weitzen, age 47, of Rancho Santa Fe, Calif. Weitzen was Gateway's chief executive officer and a member of its board of directors. John J. Todd, age 43, of Rancho Santa Fe, Calif. Todd was senior vice president and chief financial officer of Gateway. Robert D. Manza, age 42, of Plano, Tex. Manza was Gateway's controller during the relevant time and is a certified public accountant. In a separate administrative proceeding, Gateway, without admitting or denying the Commission's findings, agreed to entry of a Commission order that it cease and desist from violations of the antifraud, reporting, books and records, and internal controls provisions of the federal securities laws. The SEC's complaint alleges that defendants misrepresented or failed to disclose (1) significant trends in Gateway's business, such as that a material portion of Gateway's sales were generated through high-risk loan financing; (2) that PC sales growth was declining; (3) that, by the end of the third quarter, only a small percentage of net income was associated with PC sales; and (4) that revenue and earnings included various one-time transactions. Through these actions, the defendants gave the false and misleading impression that Gateway, unlike many of its competitors, was outpacing an industry trend of decreasing sales of personal computers. The Commission's complaint alleges that in approximately May 2000, when defendants realized that the company would not meet the expectations of the Wall Street analysts who followed Gateway's stock, they embarked on a fraudulent scheme to "close the gap" between analysts' expectations and the company's actual revenue and earnings. According to the complaint, in the second quarter of 2000, the scheme included contacting individuals whose credit applications had previously been denied by the company, and offering them pre-approved financing to facilitate sales. The sales campaign to high-risk customers contributed more than 5% of Gateway's second quarter revenues. Also according to the complaint, when Todd recognized that he could not close the gap simply by increasing the amount of PC sales to high-risk customers, he allegedly authorized a wider variety of improper accounting actions, all of which failed to comply with generally accepted accounting principles (GAAP). These included (1) reducing loan loss reserves; (2) recognizing revenue from a consignment sale; (3) recognizing revenue from a purported bill-and-hold sale; (4) accelerating purported revenue from payments by America Online, Inc. (AOL) for bundling its internet service with a Gateway PC purchase; (5) recording revenue from the sale of the company's fixed assets; and (6) making additional undisclosed accounting adjustments to meet analysts' earnings estimates. According to the Commission's allegations, as a result of the improper accounting actions, Gateway announced that, for the third quarter of 2000, it exceeded analysts' expectations for revenue by $30 million, met analysts' expectations for earnings per share (EPS) of $0.46, and experienced year-over-year revenue growth of 16%. According to the complaint, these statements about Gateway's financial performance were false and misleading. The improper actions by defendants caused Gateway's net income for the third quarter of 2000 to be overstated by more than ten cents EPS, or 30%, and inflated reported revenue by $154 million, or 6.5%. The complaint alleges that Todd was the principal architect of the fraudulent scheme; that Manza assisted in the fraudulent scheme by, among other things, initiating certain of the one-time transactions and then preparing financial statements knowing that these transactions failed to comply with GAAP; and that Weitzen knew that Gateway's third quarter 2000 reported revenues were inflated due to certain extraordinary one-time transactions and high-risk loans and misled the public as to the true state of Gateway's business. In its complaint, the Commission charged Weitzen, Todd, and Manza with violating the antifraud provisions of the Securities Exchange Act of 1934, Section 10(b) and Rule 10b-5 thereunder. Todd was additionally charged with violating the antifraud provision of the Securities Act of 1933, Section 17(a). For providing a false and misleading management representation letter to Gateway's outside auditor to support the third quarter 2000 financial results, the three defendants were also charged with violating the false statements to accountants provision, Rule 13b2- 2 under the Exchange Act. The Commission further charged Todd and Manza with violating record-keeping provisions, Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder, and the internal controls provision, Section 13(b)(5) of the Exchange Act, and aiding and abetting Gateway's violations of reporting provisions, Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder, and record-keeping provisions, Section 13(b)(2)(A) of the Exchange Act. Finally, the Commission charged Weitzen with violating the antifraud and reporting provisions as a control person of Gateway. On November 13, the Commission also instituted a settled administrative proceeding against Gateway. In its cease-and-desist order, the Commission found that, through the conduct described above, Gateway violated the antifraud, reporting, and record-keeping provisions of the federal securities laws. The Commission also found that Gateway violated the internal controls provision by failing to observe consistent quarter-end cutoff dates and times, which caused it to have accounting periods of different lengths from quarter to quarter. Without admitting or denying the Commission's findings, Gateway consented to the Commission's order to cease and desist from committing or causing any violation or future violation of these provisions. In its order, the Commission also found that the Company's cooperation was not exemplary during the early stages of the staff's investigation. In determining to accept Gateway's settlement offer, however, the Commission considered Gateway's undertakings to provide further cooperation and recent remedial measures undertaken by Gateway's current management and board of directors. [SEC v. John J. Todd, Robert D. Manza and Jeffrey Weitzen, Civil Action No. 03-CV-02230 K (RBB) SDCA)] (LR-18454; AAE Rel. 1912; Press Rel. 2003-157) INVESTMENT COMPANY ACT RELEASES PRINCIPAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until Dec. 4, 2003, to request a hearing on an application filed by Principal Life Insurance Company, Principal Life Insurance Company Variable Life VL Separate Account, and Principal Life Insurance Company Separate Account B (collectively, Applicants). Applicants seek an order pursuant to Section 26(c) of the Investment Company Act approving the substitution of shares of the LargeCap Growth Equity Account of Principal Variable Contracts Fund, Inc. (Principal Fund) for shares of the LargeCap Growth Account of Principal Fund; shares of the LargeCap Stock Index Account of Principal Fund for shares of the Blue Chip Account of Principal Fund; shares of the MidCap Growth Account of Principal Fund for shares of the MidCap Growth Equity Account of Principal Fund; shares of the Asset Allocation Account of Principal Fund for shares of the Putnam VT Global Asset Allocation Fund of Putnam Variable Trust; and shares of the Equity Growth Account of Principal Fund for shares of the Putnam VT Vista Fund of Putnam Variable Trust. (Rel. IC-26253 - November 13) MERRILL LYNCH LIFE INSURANCE COMPANY, ET AL. An order has been issued on an Application filed by Merrill Lynch Life Insurance Company, et al., pursuant to Sections 26(c) of the Investment Company Act approving the substitution of certain registered unit investment trusts to substitute shares of certain portfolios of the MLIG Trust for shares of certain portfolios of the AllianceBernstein Variable Products Series Fund, Inc., the Delaware VIP trust, and the MFS Variable Insurance Trust currently held by those unit investment trusts. The order also provides an exemption from section 17(a) to the extent necessary to permit certain in-kind transactions in connection with the substitution. (Rel. IC-26254 - November 13) HOLDING COMPANY ACT RELEASES DOMINION RESOURCES, INC. An order has been issued authorizing Dominion Resources, Inc., a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27750) XCEL ENERGY INC. An order has been issued authorizing Xcel Energy Inc., a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27751) GREAT PLAINS ENERGY INCORPORATED An order has been issued authorizing Great Plains Energy Incorporated, a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27752) ENTERGY ARKANSAS, INC. An order has been issued authorizing Entergy Arkansas, Inc., a public- utility company subsidiary of Entergy Corporation, a registered holding company, to participate in a reforestation joint venture. (Rel. 35- 27753) AMERICAN ELECTRIC POWER COMPANY, INC. An order has been issued authorizing American Electric Power Company, Inc., a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27754) EXELON CORPORATION An order has been issued authorizing Exelon Corporation, a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27755) FIRSTENERGY CORPORATION An order has been issued authorizing FirstEnergy Corporation, a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27756) CINERGY CORP. An order has been issued authorizing Cinergy Corp., a registered holding company, to participate in a reforestation joint venture. (Rel. 35- 27757) AMEREN CORP. An order has been issued authorizing Ameren Corporation, a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27758) PROGRESS ENERGY, INC. An order has been issued authorizing Progress Energy, Inc., a registered holding company, to participate in a reforestation joint venture. (Rel. 35-27759) ALLEGHENY ENERGY INC. A notice has been issued giving interested persons until Dec. 8, 2003, to request a hearing on a proposal by Allegheny Energy Inc. (Allegheny), a registered holding company, to issue common stock and options to purchase common stock under its long-term incentive plan for employees and directors. (Rel. 35-27760) KEYSPAN ENERGY MANAGEMENT LLC An order has been issued authorizing a proposal by KeySpan Energy Management LLC, an indirect nonutility subsidiary of KeySpan Corporation, a registered holding company, to acquire all of the issued and outstanding securities of Metro Energy LLC, a nonaffiliated New York limited liability company. (Rel. 35-27761) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-ISE-2003-03) submitted by the International Securities Exchange relating to market maker obligations. Publication of the order in the Federal Register is expected during the week of November 10. (Rel. 34-48756) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission has approved on an accelerated basis a proposed rule change (SR-PCX-2003-48), and Amendment No. 1 thereto, submitted by the Pacific Exchange relating to the establishment of a new Total Imbalance indicator on the Archipelago Exchange. (Rel. 34-48767) PROPOSED RULE CHANGES A proposed rule change has been filed by the Pacific Stock Exchange to amend PCXE Rule 7.37(d) relating to the routing of orders to away market centers or market participants (SR-PCX-2003-54). Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48768) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2003- 21), and Amendment No. 1 thereto, to amend its 2003 Price List to increase its fingerprint processing fee. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48769) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2003-25) and Amendment Nos. 1, 2, and 3 under Section 19(b)(2) of the Securities Exchange Act of 1934 to allow the appropriate Market Performance Committee to establish bid-ask differentials that are no more than $0.50 wide for options where the bid price is less than $2 when the primary market for the underlying security: (1) reports a trade outside of its disseminated quote, including any liquidity quote; or (2) disseminates an inverted quote. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48771) The Cincinnati Stock Exchange filed a proposed rule change (SR-CSE-2003- 12) to change its name to National Stock Exchange. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48774) The Depository Trust Company filed a proposed rule change (SR-DTC-2003- 12) to allow DTC to modify how maturity presentments are processed in its Money Market Instrument Program to allow issuer/paying agents to assign processing priorities to redemptions of maturing money market instruments. Publication of the proposal is expected in the Federal Register during the week of November 17. (Rel. 34-48775) DELISTINGS GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on November 14. Airborne, Inc. (ABF) IMPATH, Inc. (QPH/IMPHQ) (Rel. 34-48779) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of TransPro, Inc., effective at the opening of business on November 14. (Rel. 34-48781) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock $.001, par value, of World Wireless Communications, Inc., at the opening of business on November 14. (Rel. 34-48782) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until Dec. 8, 2003, to comment on the application of The Ziegler Companies, Inc. to withdraw its common stock, $1.00 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48780) ADDITIONS AND CORRECTIONS ADDITIONAL RELEASE NUMBER A summary in the matter of Marion Sherrill and William Slone, which appeared in yesterday's Digest, only reported release numbers in the matter of William Slone. The release numbers in the matter of Marion Sherrill are: Rel. 33-8337; 34-48777; File No. 3-11332) 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 AMERSHAM PLC, AMERSHAM PLACE, LITTLE CHAIFONT, BUCKS, X0, MP79NA, 0114494542063 - 0 ($61,800,000.00) Equity, (File 333-110383 - Nov. 12) (BR. 01) S-8 AMERSHAM PLC, AMERSHAM PLACE, LITTLE CHAIFONT, BUCKS, X0, MP79NA, 0114494542063 - 0 ($92,700,000.00) Equity, (File 333-110384 - Nov. 12) (BR. 01) SB-2 FIVE NINES LTD, 106 1641 LONSDALE AVE, NORTH VANCOUVER BRITISH COLUMBIA, CANADA, A1, V7M2J5, 6048803144 - 1,000,000 ($100,000.00) Equity, (File 333-110385 - Nov. 12) (BR. ) 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 333-110386 - Nov. 12) (BR. 02) S-4 PEROT SYSTEMS CORP, 2300 W PLANO PKWY, PLANO, TX, 75075, 9725770000 - 0 ($170,250,000.00) Equity, (File 333-110387 - Nov. 12) (BR. 03) S-4 QUOVADX INC, 3034882019 - 0 ($31,403,863.00) Equity, (File 333-110388 - Nov. 12) (BR. 03) S-3 ART TECHNOLOGY GROUP INC, 25 FIRST STREET, CAMBRIDGE, MA, 02141, 6178591212 - 0 ($50,000,000.00) Other, (File 333-110389 - Nov. 12) (BR. 03) SB-2 WILON RESOURCES INC, 931 ASHLAND TERRACE, CHATTANOOGA, TN, 37415, 0 ($2,327,400.00) Equity, (File 333-110391 - Nov. 12) (BR. ) S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068, 9739747849 - 35,000,000 ($1,287,650,000.00) Equity, (File 333-110392 - Nov. 12) (BR. 03) S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068, 9739747849 - 10,000,000 ($367,900,000.00) Equity, (File 333-110393 - Nov. 12) (BR. 03) S-B PERU REPUBLIC OF, 241 EAST 49TH ST, NEW YORK, NY, 10017, 0 ($1,428,000,000.00) Other, (File 333-110394 - Nov. 12) (BR. DN) S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068, 9739747849 - 10,000,000 ($367,900,000.00) Equity, (File 333-110395 - Nov. 12) (BR. 03) S-8 C H ROBINSON WORLDWIDE INC, 8100 MITCHELL ROAD, #200, EDEN PRAIRIE, MN, 55344, 6129378500 - 0 ($40,635,000.00) Equity, (File 333-110396 - Nov. 12) (BR. 05) S-8 BOISE CASCADE CORP, 1111 WEST JEFFERSON STREET, P O BOX 50, BOISE, ID, 83728-0001, 2083846161 - 4,800,000 ($135,072,000.00) Equity, (File 333-110397 - Nov. 12) (BR. 04) S-8 STRATEGIC DISTRIBUTION INC, 3220 TILLMAN DRIVE, SUITE 200, BENSALEM, PA, 19020, 2156331900 - 0 ($2,244,000.00) Equity, (File 333-110399 - Nov. 12) (BR. 06) S-8 CENTREX INC, 9202 S. TOLEDO, AVENUE, TULSA, OK, 74137, 918-494-2880 - 7,000,000 ($490,000.00) Equity, (File 333-110400 - Nov. 12) (BR. 36) S-8 NOVAVAX INC, 8320 GUILFORD RD, STE C, COLUMBIA, MD, 21046, 3078543900 - 0 ($6,400,000.00) Equity, (File 333-110401 - Nov. 12) (BR. 01) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 4,000,000 ($144,000.00) Equity, (File 333-110402 - Nov. 12) (BR. 06) S-8 CELL ROBOTICS INTERNATIONAL INC, 2715 BROADBENT PKWY. N.E., ALBUQUERQUE, NM, 87107, 7195904900 - 2,000,000 ($600,000.00) Equity, (File 333-110403 - Nov. 12) (BR. 36) S-1 DDS TECHNOLOGIES USA INC, 150 EAST PALMETTO PARK ROAD, SUITE 510, BOCA RATON, FL, 33432, 561-750-4450 - 8,033,611 ($59,448,721.40) Equity, (File 333-110409 - Nov. 12) (BR. 09) S-8 INTERNET BUSINESS INTERNATIONAL INC, 4634 SOUTH MARYLAND PARKWAY SUITE 101, LAS VEGAS, NV, 89119, 7029680008 - 40,000,000 ($80,000.00) Equity, (File 333-110410 - Nov. 12) (BR. 03) S-8 EQUIFAX INC, 4048858000 - 0 ($48,500,000.00) Other, (File 333-110411 - Nov. 12) (BR. 02) S-8 DISCOVERY LABORATORIES INC /DE/, 350 MAIN STREET SUITE 307, DOYLESTOWN, PA, 18901, 2152404699 - 150,000 ($1,044,750.00) Equity, (File 333-110412 - Nov. 12) (BR. 01) S-3 HORIZON FINANCIAL CORP, 1500 CORNWALL AVE, BELLINGHAM, WA, 98225, 3607333050 - 500,000 ($8,650,000.00) Equity, (File 333-110413 - Nov. 12) (BR. 07) F-10 SHAW COMMUNICATIONS INC, STE 900, 630 3RD AVE SW, CALGARY ALBERTA CANA, A0, 4037504500 - 100,000,000 ($76,210,000.00) Non-Convertible Debt, (File 333-110416 - Nov. 12) (BR. 37) S-8 ORETECH INC, 300 JACKSON AVE, COLUMBUS, GA, 31901, 706-494-1440 - 50,000 ($175,000.00) Equity, (File 333-110417 - Nov. 12) (BR. 04) F-6 ABSA GROUP /FI, ABSA TOWERS NORTH, 180 COMMISSION STREET, JOHANESBURG 2001 SOUTH AFRICA, T3, 00000, 10,000,000 ($1,000,000.00) ADRs/ADSs, (File 333-110418 - Nov. 12) (BR. ) S-8 AVOCENT CORP, 4991 CORPORATE DRIVE, HUNTSVILLIE, AL, 35805, 2564304000 - 0 ($74,140,000.00) Equity, (File 333-110419 - Nov. 12) (BR. 03) S-4 HALLIBURTON CO, 1401MCKINNEY, 1401 MCKINNEY, HOUSTON, TX, 77010, 7137592600 - 0 ($1,050,000,000.00) Non-Convertible Debt, (File 333-110420 - Nov. 12) (BR. 04) S-8 PALMSOURCE INC, 5470 GREAT AMERICA PKWY, SANTA CLARA, CA, 95052, 408-878-4000 - 0 ($144,292,682.88) Equity, (File 333-110421 - Nov. 12) (BR. 03) S-8 BE AEROSPACE INC, 1400 CORPORATE CTR WY, WELLINGTON, FL, 33414, 5617915000 - 2,200,000 ($12,892,000.00) Equity, (File 333-110422 - Nov. 12) (BR. 06) S-8 HOME DEPOT INC, 2455 PACES FERRY ROAD, ATLANTA, GA, 30339-4024, 770-433-82 - 0 ($552,750,000.00) Equity, (File 333-110423 - Nov. 12) (BR. 06) S-8 GRAPHCO HOLDINGS CORP, 41 UNIVERSITY DRIVE, NEWTOWN, PA, 18940, 2154979170 - 250,000 ($77,500.00) Equity, (File 333-110424 - Nov. 12) (BR. 05) S-3 AMERIGAS PARTNERS LP, 460 N GULPH RD, BOX 965, VALLEY FORGE, PA, 19406, 6103377000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-110425 - Nov. 12) (BR. 02) S-3 ULTRALIFE BATTERIES INC, 2000 TECHNOLOGY PARKWAY, NEWARK, NY, 14513, 3153327100 - 325,000 ($4,738,500.00) Equity, (File 333-110426 - Nov. 12) (BR. 36) S-8 KNBT BANCORP INC, ROUTE 512 & HIGHLAND AVENUE, BETHLEHEM, PA, 18017, 6108615000 - 808,916 ($4,546,107.92) Equity, (File 333-110427 - Nov. 12) (BR. 07) S-8 FLEXTRONICS INTERNATIONAL LTD, 0654495255 - 1,000,000 ($12,100,000.00) Equity, (File 333-110430 - Nov. 12) (BR. 36) S-8 AMERISOURCEBERGEN CORP, 1300 MORRIS DRIVE, SUITE 100, CHESTERBROOK, PA, 19087-5594, 6107277000 - 0 ($302,850,000.00) Equity, (File 333-110431 - Nov. 12) (BR. 01) S-8 BIOGEN IDEC INC, 11011 TORREYANA ROAD, SAN DIEGO, CA, 92121, 6195508500 - 0 ($573,591,000.00) Equity, (File 333-110432 - Nov. 12) (BR. 01) S-8 BIOGEN IDEC INC, 11011 TORREYANA ROAD, SAN DIEGO, CA, 92121, 6195508500 - 0 ($714,679,288.00) Equity, (File 333-110433 - Nov. 12) (BR. 01) S-8 THOROUGHBRED INTERESTS INC, 127 S. 6TH ST., LOUISVILLE, KY, 40242, 5025844434 - 20,000,000 ($500,000.00) Equity, (File 333-110434 - Nov. 12) (BR. 05) F-1 ASPEN INSURANCE HOLDINGS LTD, 0 ($250,000,000.00) Equity, (File 333-110435 - Nov. 12) (BR. ) S-3 RESIDENTIAL ASSET MORTGAGE PRODUCTS INC, 8400 NORMANDALE LAKE BLVD, SUITE 600, BLOOMINGTON, MN, 55437, 952 857-7000 - 24,000,000,000 ($24,000,000,000.00) Asset-Backed Securities, (File 333-110437 - Nov. 12) (BR. 05) SB-2 CHINA CABLE & COMMUNICATION INC, SUITE 805, ONE PACIFICE PLACE, 88 QUEENSWAY, K3, XXXXX, 852 2591 1221 - 3,696,552 ($5,249,104.00) Equity, (File 333-110439 - Nov. 12) (BR. 37) S-8 12 TO 20 PLUS INC, 3485 SACRAMENTO DRIVE, SUITE F, SAN LUIS OBISPO, CA, 93401, 8055437228 - 5,000,000 ($975,000.00) Other, (File 333-110440 - Nov. 13) (BR. 02) S-4 SHERIDAN GROUP INC, 11311 MCCORMICK RD, STE 260, HUNT VALLEY, MD, 21031-1437, 4107857277 - 0 ($105,000,000.00) Equity, (File 333-110441 - Nov. 13) (BR. 05) S-4 REDDY ICE GROUP INC, 3535 TRAVIS STREET, SUITE 170, DALLAS, TX, 75204, 214-526-6740 - 0 ($152,000,000.00) Non-Convertible Debt, (File 333-110442 - Nov. 13) (BR. 04) S-1 RADNOR HOLDINGS CORP, THREE RADNOR CORPORATE CENTER STE 300, 100 MATSONFORD RD, RADNOR, PA, 19087, 6103419600 - 4,285,000 ($73,916,250.00) Equity, (File 333-110443 - Nov. 13) (BR. 06) S-4 VERSANT CORP, 6539 DUMBARTON CIRCLE, FREMONT, CA, 94555, 5107891500 - 17,876,269 ($31,819,758.82) Equity, (File 333-110444 - Nov. 13) (BR. 03) S-8 ARROW FINANCIAL CORP, 250 GLEN ST, GLENS FALLS, NY, 12801, 5187451000X299 - 15,000 ($407,250.00) Equity, (File 333-110445 - Nov. 13) (BR. 07) S-8 GENVEC INC, 65 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 2406320740 - 0 ($6,740,000.00) Equity, (File 333-110446 - Nov. 13) (BR. 01) S-8 CIRTRAN CORP, 4125 SOUTH 6000 WEST, WEST VALLEY CITY, UT, 84128, 8019635112 - 35,000,000 ($1,050,000.00) Equity, (File 333-110447 - Nov. 13) (BR. 36) S-8 BRAUN CONSULTING INC, 3129847000 - 0 ($3,640,000.00) Equity, (File 333-110448 - Nov. 13) (BR. 08) S-3 MICROHELIX INC, 16125 SW 72ND AVE., PORTLAND, OR, 97224, 5039681600 - 2,780,498 ($2,780,498.00) Equity, (File 333-110449 - Nov. 13) (BR. 36) S-3 KEYSTONE PROPERTY TRUST, 200 FOUR FALLS CORPORATE CENTER, SUITE 208, WEST CONSHOHOCKEN, PA, 19428-, 4845301800 - 0 ($67,850,332.82) Equity, (File 333-110450 - Nov. 13) (BR. 08) S-3 GATX CORP, 500 W MONROE ST, CHICAGO, IL, 60661, 3126216200 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-110451 - Nov. 13) (BR. 05) S-8 CONECTISYS CORP, 24730 AVENUE TIBBITTS #130, VALENCIA, CA, 91355, 6612956763 - 12,000,000 ($46,800.00) Equity, (File 333-110452 - Nov. 13) (BR. 37) S-B QUEENSLAND TREASURY CORP, LEVEL 14 61 MARY STREET, GPO BOX 1096, BRISBANE QUEENSLAND, C3, 4001, 61738424600 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-110453 - Nov. 13) (BR. DN) S-8 FLUSHING FINANCIAL CORP, 144-51 NORTHERN BLVD, FLUSHING, NY, 11354, 7189615400 - 600,000 ($15,554,628.00) Equity, (File 333-110454 - Nov. 13) (BR. 07) F-1 CTRIP COM INTERNATIONAL LTD, 3F BUILDING 63-64 NO 421 HONG CAE ROAD, PEOPLES REPUBLIC OF CHINA, SHANGHAI, F4, 00000, 862134064880 - 0 ($60,000,000.00) Equity, (File 333-110455 - Nov. 13) (BR. ) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 66,802 ($1,888,827.00) Equity, (File 333-110456 - Nov. 13) (BR. 07) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 73,722 ($2,084,490.00) Equity, (File 333-110457 - Nov. 13) (BR. 07) S-4 V F CORP, 628 GREEN VALLEY RD., STE. 500, GREENSBORO, NC, 27408, (336)547-6000 - 300,000,000 ($300,000,000.00) Equity, (File 333-110458 - Nov. 13) (BR. 02) F-6 CTRIP COM INTERNATIONAL LTD, 3F BUILDING 63-64 NO 421 HONG CAE ROAD, PEOPLES REPUBLIC OF CHINA, SHANGHAI, F4, 00000, 862134064880 - 25,000,000 ($1,250,000.00) ADRs/ADSs, (File 333-110459 - Nov. 13) (BR. ) S-3 MAGNETEK INC, 10900 WILSHIRE BOULEVARD, SUITE 850, LOS ANGELES, CA, 90024, 310-689-1600 - 0 ($27,111,000.00) Equity, (File 333-110460 - Nov. 13) (BR. 36) S-8 PEAK INTERNATIONAL LTD, 44091 NOBEL DRIVE, PO BOX 1767, FREMONT, CA, 94538, 510 449 0100 - 0 ($3,272,500.00) Equity, (File 333-110461 - Nov. 13) (BR. 06) S-8 PEAK INTERNATIONAL LTD, 44091 NOBEL DRIVE, PO BOX 1767, FREMONT, CA, 94538, 510 449 0100 - 0 ($1,011,500.00) Equity, (File 333-110462 - Nov. 13) (BR. 06) F-3 SIFY LTD, TIDEL PARK, 2ND FLOOR, NO. 4, CANAL BANK ROAD, TARAMANI, CHENNAI 600 113, K7, 91442540770 - 4,600,200 ($25,439,106.00) Equity, (File 333-110463 - Nov. 13) (BR. 03) S-8 WILLOW GROVE BANCORP INC/NEW, WELSH & NORRISTWN ROADS, PENNSYLVANIA, PA, 19002, 2156465405 - 641,342 ($8,605,339.82) Equity, (File 333-110464 - Nov. 13) (BR. 07) S-8 LIMITED BRANDS INC, THREE LIMITED PKWY, P O BOX 16000, COLUMBUS, OH, 43216, 6144157000 - 48,859,476 ($819,361,660.00) Equity, (File 333-110465 - Nov. 13) (BR. 02) S-8 ATNG INC, 7010 NW 100 DRIVE, BLDG. A, STE. #101, HOUSTON, TX, 77092, 7137854722 - 98,000,000 ($490,000.00) Equity, (File 333-110466 - Nov. 13) (BR. 37) S-8 URS CORP /NEW/, 100 CALIFORNIA ST, STE 500, SAN FRANCISCO, CA, 94111, 4157742700 - 6,900,000 ($153,939,000.00) Equity, (File 333-110467 - Nov. 13) (BR. 06) S-8 ONYX PHARMACEUTICALS INC, 3031 RESEARCH DR, BLDG A, RICHMOND, CA, 94806, 5102229700 - 700,000 ($15,830,500.00) Equity, (File 333-110469 - Nov. 13) (BR. 01) F-3 COCA-COLA HELLENIC BOTTLING CO SA, CT CORP, 111 EIGHTH AVENUE, NEW YORK, NY, 10011, 212-894-8600 - 0 ($2,000,000,000.00) Non-Convertible Debt, (File 333-110470 - Nov. 13) (BR. 02) S-11 ARBOR REALTY TRUST INC, 333 EARLE OVINGTON BOULEVARD, SUITE 900, UNIONDALA, NY, 11553, 5168328003 - 0 ($144,254,970.00) Equity, (File 333-110472 - Nov. 13) (BR. ) S-8 CONSUMER DIRECT OF AMERICA, 20 CORPORATE PARK, SUITE 285, IRVINE, CA, 92606, 949-260-1801 - 0 ($3,100,000.00) Equity, (File 333-110473 - Nov. 13) (BR. 07) S-3 NEW CENTURY MORTGAGE SECURITIES INC, 18400 VON KARMAN, STE 1000, IRVINE, CA, 92612, 9498637243 - 0 ($7,000,000,000.00) Mortgage Backed Securities, (File 333-110474 - Nov. 13) (BR. 05) S-3 NU SKIN ENTERPRISES INC, 75 WEST CENTER ST, ATTN: D. MATTHEW DORNY, PROVO, UT, 84601, 801-345-6100 - 0 ($101,888,412.00) Equity, (File 333-110476 - Nov. 13) (BR. 01) S-3 SCIENTIFIC GAMES CORP, 750 LEXINGTON AVE, NEW YORK, NY, 10022, 3027374300 - 0 ($631,400,969.35) Other, (File 333-110477 - Nov. 13) (BR. 03) S-3 UNITED PAN AM FINANCIAL CORP, 9492241917 - 2,530,000 ($43,528,650.00) Equity, (File 333-110478 - Nov. 13) (BR. 07) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 153,377 ($4,336,735.00) Equity, (File 333-110480 - Nov. 13) (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 ------------------------------------------------------------------------------------------------ 21ST CENTURY TECHNOLOGIES INC NV X 11/11/03 ABERCROMBIE & FITCH CO /DE/ DE X 11/11/03 ACUSPHERE INC DE X 11/12/03 ADVANCED MARKETING SERVICES INC DE X 11/11/03 ADVOCAT INC DE X X 11/10/03 AERO SYSTEMS ENGINEERING INC MN X X 11/11/03 AFC ENTERPRISES INC MN X X 11/04/03 AGERE SYSTEMS INC DE X X X 11/12/03 AGWAY INC DE X 11/10/03 AIR METHODS CORP DE X X 11/04/03 AIR T INC DE X 09/30/03 AIRNET COMMUNICATIONS CORP DE X 11/12/03 AIRTRAN HOLDINGS INC NV X X 11/12/03 ALAMOSA DELAWARE INC DE X X 11/12/03 ALAMOSA HOLDINGS INC DE X X 11/12/03 ALDERWOODS GROUP INC DE X X 11/11/03 ALKERMES INC PA X X 11/05/03 ALLEGIANCE TELECOM INC DE X X 11/10/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 11/12/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 11/12/03 ALLIANCE GAMING CORP NV X 11/11/03 ALTEON INC /DE DE X 11/10/03 AMB PROPERTY CORP MD X X 11/06/03 AMBASSADORS GROUP INC DE X X 11/07/03 AMBASSADORS INTERNATIONAL INC DE X X 11/07/03 AMEDISYS INC DE X X 11/05/03 AMERICA ONLINE LATIN AMERICA INC DE X 11/11/03 AMERICAN CLAIMS EVALUATION INC NY X X 11/12/03 AMERICAN CONSOLIDATED MANAGEMENT GROU UT X 11/03/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 09/30/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 09/30/03 AMERICAN LAND LEASE INC DE X X 11/06/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 11/12/03 AMERIGROUP CORP X 11/12/03 AMERIQUEST MORTGAGE SECURITIES INC DE X 11/05/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 11/05/03 AMKOR TECHNOLOGY INC DE X X 11/05/03 AMYLIN PHARMACEUTICALS INC DE X X 11/10/03 APEX SILVER MINES LTD X X 11/07/03 APOGENT TECHNOLOGIES INC WI X X X 11/10/03 APPLIED MATERIALS INC /DE DC X X 11/12/03 APPLIED MICRO CIRCUITS CORP DE X X 10/28/03 ARADIGM CORP CA X X 11/07/03 ARAMARK CORP/DE DE X X 11/11/03 ARCH WIRELESS INC DE X 09/30/03 ARDEN GROUP INC DE X 11/11/03 ARGENT SECURITIES INC ASSET BACK THRU X 11/10/03 ASCENT ASSURANCE INC DE X X 11/12/03 ASHFORD HOSPITALITY TRUST INC MD X X 10/08/03 AMEND ASSET BACKED SEC CORP HOME EQUITY LN DE X X 10/15/03 ASSET-BACKED PASS-THROUGH CERTIFICATE X 11/10/03 ASV INC /MN/ MN X X 11/12/03 ASYST TECHNOLOGIES INC /CA/ CA X 11/06/03 AT&T WIRELESS SERVICES INC DE X X 11/12/03 ATCHISON CASTING CORP KS X X 10/31/03 ATLANTIC DATA SERVICES INC MA X X 11/12/03 ATMOS ENERGY CORP TX X X 11/11/03 AUBURN NATIONAL BANCORPORATION INC DE X X 11/12/03 AUDIBLE INC X X 11/11/03 AVANEX CORP DE X X 11/10/03 AVATAR HOLDINGS INC DE X X 11/12/03 AVI BIOPHARMA INC OR X X 11/06/03 AZCO MINING INC DE X 09/05/03 AMEND B&G FOODS INC DE X X 08/21/03 AMEND BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 11/12/03 BANK HOLDINGS NV X X 11/10/03 BARNESANDNOBLE COM INC DE X X 11/07/03 BB&T CORP NC X 11/11/03 BEAR STEARNS COMMERCIAL MORT SEC TRU DE X X 10/01/03 BEAZER HOMES USA INC DE X 11/05/03 BENIHANA INC DE X X 11/11/03 BENIHANA INC DE X X 11/11/03 BHA GROUP INC DE X X 11/11/03 BIOGEN IDEC INC DE X X X 11/12/03 BIOSANTE PHARMACEUTICALS INC WY X X 11/11/03 BIOTRANSPLANT INC DE X X 10/23/03 BLACKHAWK BANCORP INC WI X 11/07/03 BLACKHAWK BANCORP INC WI X 09/30/03 AMEND BLOCK COMMUNICATIONS INC OH X X 11/11/03 BLONDER TONGUE LABORATORIES INC DE X X 11/10/03 BLUE COAT SYSTEMS INC DE X X 11/11/03 BLUE DOLPHIN ENERGY CO DE X X 11/12/03 BLUE RIVER BANCSHARES INC IN X X 11/11/03 BLUEFLY INC DE X X 11/10/03 BLYTH INC DE X 11/10/03 BOSTON BIOMEDICA INC MA X 11/05/03 BOURBON BANCSHARES INC /KY/ KY X 11/11/03 BRIGHAM EXPLORATION CO DE X X 11/11/03 BROADVIEW MEDIA INC MN X X 11/10/03 BROMWELL FINANCIAL FUND LP DE X X X X 11/10/03 BROOKSTONE INC DE X X 11/05/03 BURKE MILLS INC NC X 09/27/03 BUSH INDUSTRIES INC DE X 11/11/03 CABLETEL COMMUNICATIONS CORP X X 11/12/03 CABLEVISION SYSTEMS CORP /NY DE X X 11/12/03 CAL MAINE FOODS INC DE X X 11/06/03 CALLON PETROLEUM CO DE X X 11/11/03 CALPINE CORP DE X 11/11/03 CAM COMMERCE SOLUTIONS INC DE X X 11/12/03 CAPITAL ONE AUTO FINANCE TRUST 2003-A DE X X 11/12/03 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 11/12/03 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 11/12/03 CAPITOL FEDERAL FINANCIAL X X 09/30/03 CARRIZO OIL & GAS INC TX X 09/30/03 CARTERS INC DE X X 11/12/03 CASUAL MALE RETAIL GROUP INC DE X 11/12/03 CBRE HOLDING INC DE X 11/12/03 CELADON GROUP INC DE X X 11/11/03 AMEND CENDANT MORTGAGE CAPITAL CDMC MORT PA DE X 10/30/03 CENTEX CONSTRUCTION PRODUCTS INC DE X X 07/21/03 AMEND CENTIV INC DE X X 11/11/03 CENTRA FINANCIAL HOLDINGS INC WV X X 11/07/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 11/10/03 CHARTER COMMUNICATIONS INC /MO/ DE X X 11/10/03 CHARTER MUNICIPAL MORTGAGE ACCEPTANCE DE X X 11/12/03 CHASE FUNDING INC NY X X 10/28/03 CHASE MORTGAGE FINANCE CORP DE X X 10/28/03 CHECKFREE CORP \GA\ DE X X X 11/12/03 CHESAPEAKE ENERGY CORP OK X 11/11/03 CHESAPEAKE ENERGY CORP OK X 11/11/03 CHESAPEAKE ENERGY CORP OK X 11/11/03 CHINDEX INTERNATIONAL INC DE X 09/30/03 CHOICE ONE COMMUNICATIONS INC DE X X 11/12/03 CITIGROUP MORTGAGE LOAN TRUST INC X 11/11/03 CLAIBORNE LIZ INC DE X X 11/12/03 CLARUS CORP DE X X 11/11/03 CLOVER LEAF FINANCIAL CORP DE X X 11/10/02 CMS ENERGY CORP MI X 11/12/03 CNA FINANCIAL CORP DE X X 11/12/03 COHERENT INC DE X X 11/11/03 COLUMBIA LABORATORIES INC DE X 11/12/03 COMFORCE CORP DE X X 11/12/03 COMMERCIAL NATIONAL FINANCIAL CORP /M MI X X 10/31/03 COMPUTER SCIENCES CORP NV X 11/11/03 CONCENTRAX INC NV X X 09/30/03 CONGOLEUM CORP DE X 11/11/03 CONSTAR INTERNATIONAL INC DE X X 11/11/03 CONSUMERS ENERGY CO MI X 11/12/03 CONTINENTAL AIRLINES INC /DE/ DE X X 11/12/03 CORTEX PHARMACEUTICALS INC/DE/ DE X X 11/11/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/12/03 CRESTED CORP CO X 10/14/03 CRIIMI MAE INC MD X X 11/12/03 CRIIMI MAE INC MD X X 09/30/03 CRITICAL PATH INC CA X X 11/12/03 CROWN CRAFTS INC GA X X 11/12/03 CSFB MORT BACKED PASS THROUGH CERTS S DE X 11/12/03 CSP INC /MA/ MA X 11/12/03 CULP INC NC X 11/12/03 CYPRESS BIOSCIENCE INC DE X 11/12/03 D&E COMMUNICATIONS INC PA X 11/10/03 DAN RIVER INC /GA/ GA X 11/10/03 DANKA BUSINESS SYSTEMS PLC X 11/12/03 DAOU SYSTEMS INC DE X X 11/11/03 DARLING INTERNATIONAL INC DE X X 09/27/03 DATATRAK INTERNATIONAL INC OH X 11/06/03 DAVIDSON DIVERSIFIED REAL ESTATE III DE X X 10/15/03 DAYTON SUPERIOR CORP OH X 11/11/03 DELCO REMY INTERNATIONAL INC DE X X X 11/12/03 DELPHI CORP DE X 11/12/03 DELTA AIR LINES INC /DE/ DE X X 11/12/03 DENDREON CORP DE X X 11/06/03 DEUTSCHE ALT-A SECURITIES INC X X 11/12/03 DEUTSCHE MORT & ASSET RECEIVING CORP DE X 11/01/03 DEVCON INTERNATIONAL CORP FL X 10/31/03 DHB INDUSTRIES INC DE X 11/11/03 DIAMOND OFFSHORE DRILLING INC DE X X 11/11/03 DIGITAL RECORDERS INC NC X 11/11/03 DIGITAL RECORDERS INC NC X X 11/06/03 DILLARD ASSET FUNDING CO DE X X 10/15/03 DIMECO INC PA X X 11/07/03 DIRECT CASKET DELIVERY & DISTRIBUTION FL X 11/07/03 DIVIDEND CAPITAL TRUST INC MD X X 10/29/03 DOBSON COMMUNICATIONS CORP OK X X 11/11/03 DORAL FINANCIAL CORP PR X X 11/11/03 DOW CHEMICAL CO /DE/ DE X X 11/11/03 DRYCLEAN USA INC DE X 11/12/03 DSL NET INC DE X 11/12/03 DT INDUSTRIES INC DE X X 11/12/03 DUALSTAR TECHNOLOGIES CORP DE X X X 10/27/03 DYNEX CAPITAL INC VA X 09/30/03 E TRADE FINANCIAL CORP DE X 11/11/03 EDISON SCHOOLS INC DE X X 11/12/03 EGL INC TX X X 11/11/03 EMERGING VISION INC NY X 11/06/03 EMPIRE RESOURCES INC /NEW/ DE X X 11/12/03 ENCORE CAPITAL GROUP INC DE X 11/12/03 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 11/12/03 ENERGIZER HOLDINGS INC MO X 11/11/03 ENERGY PARTNERS LTD DE X X 11/10/03 ENERGY WEST INC MT X X 11/11/03 ENERGYSOUTH INC AL X X 11/07/03 ENGLOBAL CORP NV X 11/12/03 ENTERCOM COMMUNICATIONS CORP PA X X 11/06/03 ENTERTAINMENT PROPERTIES TRUST MD X X 10/27/03 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL X X 11/12/03 ENXNET INC OK X X 11/11/03 ENZON PHARMACEUTICALS INC DE X X 11/12/03 EON COMMUNICATIONS CORP DE X X 11/10/03 EPIX MEDICAL INC X X 11/10/03 EQUITY MARKETING INC DE X 09/03/03 AMEND EVERGREEN RESOURCES INC CO X 11/11/03 EXEGENICS INC DE X X X 09/17/03 AMEND EXPRESSJET HOLDINGS INC DE X X X 11/12/03 EZCORP INC DE X X 11/12/03 F5 NETWORKS INC WA X X X 11/11/03 FAO INC CA X X 11/10/03 FAR EAST ENERGY CORP X X 11/12/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 11/12/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 11/12/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 11/12/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 11/12/03 FARMLAND INDUSTRIES INC KS X X 10/28/03 FARO TECHNOLOGIES INC FL X X 11/12/03 FARREL CORP DE X 11/12/03 FEDERATED DEPARTMENT STORES INC /DE/ DE X 11/12/03 FEM ONE INC NV X 11/11/03 FIRST HORIZON ASSET SECURITIES INC DE X X 10/30/03 FIRST MIDWEST BANCORP INC DE X 11/11/03 FIRST PLACE FINANCIAL CORP /DE/ DE X X X 11/10/03 FIRST SHARES BANCORP INC IN X X 11/10/03 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 10/18/03 FIRSTCITY FINANCIAL CORP DE X X 11/12/03 FLEETCLEAN SYSTEMS INC X X 11/12/03 FOAMEX INTERNATIONAL INC DE X X 11/11/03 FOODARAMA SUPERMARKETS INC NJ X 11/10/03 FOOTSTAR INC DE X X 11/11/03 FOSSIL INC DE X X 11/11/03 FPIC INSURANCE GROUP INC FL X X 11/11/03 FPIC INSURANCE GROUP INC FL X X 11/12/03 FPL GROUP INC FL X 11/12/03 FRANKLIN BANCORP INC MI X X X X 11/10/03 FRANKLIN ELECTRONIC PUBLISHERS INC PA X X 11/07/03 FRIEDMANS INC DE X X 10/29/03 GAVELLA CORP DE X 10/30/03 GENAERA CORP DE X X 11/11/03 GENAISSANCE PHARMACEUTICALS INC DE X 11/12/03 GENESIS ENERGY LP DE X X X 11/11/03 GENTEK INC DE X X 11/10/03 GERON CORPORATION DE X X 11/12/03 GILMAN & CIOCIA INC DE X X 11/05/03 GLADSTONE CAPITAL CORP MD X X 11/10/03 GLADSTONE COMMERCIAL CORP MD X X 11/10/03 GLOBAL EPOINT INC NV X X 11/06/03 GLOBAL PAYMENTS INC GA X X 11/12/03 GLOBALSANTAFE CORP X 11/12/03 GLOBESPANVIRATA INC DE X 08/28/03 AMEND GOLDEN PATRIOT CORP NV X 11/11/03 GRANITE BROADCASTING CORP DE X X 11/11/03 GRAY TELEVISION INC GA X X 11/12/03 GREATE BAY HOTEL & CASINO INC NJ X X 11/11/03 GREENBRIER COMPANIES INC DE X X 11/12/03 GREENSMART CORP DE X 10/29/03 GREY GLOBAL GROUP INC DE X X X 11/11/03 GRILL CONCEPTS INC DE X 11/12/03 GUILFORD PHARMACEUTICALS INC DE X X 10/28/03 GULFMARK OFFSHORE INC DE X 11/12/03 HALIFAX CORP VA X X 08/29/03 AMEND HAMMONS JOHN Q HOTELS INC DE X X 11/11/03 HAMMONS JOHN Q HOTELS LP DE X X 11/11/03 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 11/11/03 HEALTH MANAGEMENT ASSOCIATES INC DE X X X 11/01/03 HELMERICH & PAYNE INC DE X 11/12/03 HIENERGY TECHNOLOGIES INC DE X 11/07/03 HIGH COUNTRY BANCORP INC CO X X 11/10/03 HOLOGIC INC DE X X 11/05/03 HOME EQUITY LOAN TRUST SERIES 2003-HE DE X X 10/15/03 HORIZON MEDICAL PRODUCTS INC GA X X 10/31/03 HPSC INC DE X X 11/12/03 HRPT PROPERTIES TRUST MD X X 11/11/03 HUNTSMAN INTERNATIONAL HOLDINGS LLC DE X 11/10/03 AMEND HUNTSMAN INTERNATIONAL LLC DE X 11/10/03 AMEND HYTEK MICROSYSTEMS INC CA X X 11/10/03 I MANY INC DE X X 09/09/03 AMEND IC ISAACS & CO INC DE X X 11/10/03 ICAD INC DE X 11/06/03 IESI CORP DE X X 11/10/03 IGI INC DE X X 11/12/03 II-VI INC PA X 11/11/03 IMAX CORP A6 X 11/10/03 IMAX CORP A6 X 11/10/03 IMMUNOMEDICS INC DE X X 11/11/03 IMPERIAL 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X 11/05/03 NBTY INC DE X X 11/10/03 NCO PORTFOLIO MANAGEMENT INC DE X X X 11/05/03 NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ DE X X 11/12/03 NEUROGEN CORP DE X 09/30/03 NEW PLAN EXCEL REALTY TRUST INC MD X X 11/12/03 NEWCOM INTERNATIONAL INC X X 10/28/03 NEXTEL PARTNERS INC DE X 11/12/03 NEXTMEDIA OPERATING INC X X 11/12/03 NISSAN AUTO LEASE TRUST 2003-A DE X X 10/29/03 NORTH FORK BANCORPORATION INC DE X 11/12/03 NORTHEAST PENNSYLVANIA FINANCIAL CORP DE X X X 11/10/03 NORTHERN STAR FINANCIAL INC MN X X 11/11/03 NOVA COMMUNICATIONS LTD NV X X 10/20/03 NOVA NATURAL RESOURCES CORP CO X 11/11/03 NTL INC DE X X 11/12/03 NUCO2 INC /FL FL X X 11/10/03 NUEVO ENERGY CO DE X X 11/12/03 NUTRITION 21 INC NY X 11/12/03 NUWAVE TECHNOLOGIES INC DE X 11/12/03 NYFIX INC NY X X 11/11/03 O REILLY AUTOMOTIVE INC MO X 11/11/03 OAO TECHNOLOGY SOLUTIONS INC DE X X 11/11/03 OCEAN WEST HOLDING CORP DE X X 10/29/03 AMEND OCG TECHNOLOGY INC DE X X 11/12/03 OGE ENERGY CORP OK X X 11/12/03 OKLAHOMA GAS & ELECTRIC CO 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11/12/03 BROOKE CORP KS X X 11/13/03 CALIFORNIA COASTAL COMMUNITIES INC DE X X 11/12/03 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 11/12/03 CAPITAL TRUST INC MD X 11/06/03 CARDIMA INC DE X X 11/13/03 CARDIMA INC DE X X 11/13/03 CASTLE DENTAL CENTERS INC DE X X 11/13/03 CASUAL MALE RETAIL GROUP INC DE X X 11/11/03 CASUAL MALE RETAIL GROUP INC DE X X 11/13/03 CEDAR SHOPPING CENTERS INC MD X X 09/30/03 CHAMPION PARTS INC IL X X 11/13/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 11/12/03 CHASE MORTGAGE FINANCE CORP DE X X 10/29/03 CHESAPEAKE ENERGY CORP OK X X 11/12/03 CHILDRENS PLACE RETAIL STORES INC X X 11/13/03 CHINA XIN NETWORK MEDIA CORP FL X X 11/13/03 CHROMAVISION MEDICAL SYSTEMS INC DE X 11/13/03 CINEMARK USA INC /TX TX X 09/30/03 CITIZENS FIRST BANCORP INC DE X X 11/10/03 CITY SAVINGS FINANCIAL CORP IN X X 11/13/03 COACHMEN INDUSTRIES INC IN X X 11/13/03 COLLECTORS UNIVERSE INC DE X 11/13/03 COLLINS & AIKMAN CORP DE X X 11/13/03 COMMERCIAL CAPITAL BANCORP INC NV X X 11/13/03 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INTERNATIONAL INC NV X X 11/10/03 EAGLE FOOD CENTERS INC DE X 11/12/03 EASY GARDENER PRODUCTS LTD X X 10/29/03 EDUCATION CAPITAL I LLC DE X X 10/01/03 EDUCATION LOANS INC /DE DE X X 11/07/03 ELECTRIC CITY CORP DE X X 11/13/03 EMCORE CORP NJ X X 11/12/03 ENTRAVISION COMMUNICATIONS CORP DE X X 11/13/03 EPLUS INC DE X 11/13/03 ESPEED INC DE X X 11/12/03 EXABYTE CORP /DE/ DE X X 11/07/03 FANSTEEL INC DE X 09/30/03 FARO TECHNOLOGIES INC FL X X 11/11/03 FIRST CHESTER COUNTY CORP PA X X X 11/13/03 FIRST CHESTER COUNTY CORP PA X X X 11/13/03 FIRST FINANCIAL HOLDINGS INC /DE/ DE X 11/13/03 FIRST SECURITY BANCORP INC /KY/ KY X X 11/10/03 FIRST UNION NATIONAL BANK COM MORT PA NC X 11/01/03 FIRST WEST VIRGINIA BANCORP INC WV X X 11/10/03 FIRSTENERGY CORP OH X 11/13/03 FIVE STAR QUALITY CARE INC X X 11/12/03 FLEXSTEEL INDUSTRIES INC MN X 09/18/03 AMEND FLORIDA EAST COAST INDUSTRIES INC FL X 11/13/03 FOAMEX INTERNATIONAL INC DE X X 11/11/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 10/31/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 10/31/03 FOREST OIL CORP NY X X 10/31/03 FORWARD INDUSTRIES INC NY X X 11/13/03 GARDNER DENVER INC DE X 10/20/03 GAYLORD ENTERTAINMENT CO /DE DE X X X 11/12/03 GEMSTAR TV GUIDE INTERNATIONAL INC DE X 11/13/03 GENERAL MARITIME CORP/ X 11/13/03 GENERAL MILLS INC DE X X 11/05/03 GENOME THERAPEUTICS CORP MA X X 11/11/03 GIBRALTAR PACKAGING GROUP INC DE X X 11/12/03 GLOWPOINT INC DE X 11/12/03 GMACM MORTGAGE LOAN TRUST 2003-J7 DE X X 11/13/03 GOLDEN TELECOM INC DE X X 11/13/03 GRANITE CONSTRUCTION INC DE X X 11/12/03 GRAPHIC PACKAGING CORP DE X 11/12/03 GREAT PLAINS ENERGY INC MO X 11/13/03 HANOVER DIRECT INC DE X 11/10/03 HARMONIC INC DE X X 11/12/03 HARRIS INTERACTIVE INC DE X 11/12/03 HASTINGS MANUFACTURING CO MI X X 11/13/03 HAWKINS INC MN X X 11/13/03 HEALTH FITNESS CORP /MN/ MN X X 11/11/03 HEIDRICK & STRUGGLES INTERNATIONAL IN DE X X 11/13/03 HEILIG MEYERS CO VA X 09/30/03 HERITAGE PROPANE PARTNERS L P DE X X 11/13/03 HERITAGE PROPERTY 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X 10/27/03 AMEND INFOCROSSING INC DE X 09/30/03 INTEGRATED ALARM SERVICES GROUP INC X X X 11/13/03 INTEGRITY FINANCIAL CORP NC X 11/13/03 INTERCEPT INC GA X X 11/12/03 INTERDIGITAL COMMUNICATIONS CORP PA X X 11/13/03 INTERMAGNETICS GENERAL CORP NY X X 11/13/03 INTERPLAY ENTERTAINMENT CORP DE X X 11/13/03 INTROGEN THERAPEUTICS INC X X 11/12/03 INVESTOOLS INC DE X X 11/13/03 INVESTORS CAPITAL HOLDINGS LTD MA X X 11/13/03 INYX INC NV X X X 11/13/03 IQUEST NETWORKS INC WY X 11/13/03 ITERIS HOLDINGS INC DE X X 10/29/03 IVAX DIAGNOSTICS INC DE X X 11/13/03 J C PENNEY CO INC DE X 11/11/03 J2 GLOBAL COMMUNICATIONS INC DE X X 11/12/03 JACO ELECTRONICS INC NY X 11/13/03 JAMESON INNS INC GA X X 11/13/03 JEFFERSONVILLE BANCORP NY X 11/13/03 JONES APPAREL GROUP INC PA X X 11/13/03 JOSTENS INC MN X X 11/13/03 JUNIATA VALLEY FINANCIAL CORP PA X 10/29/03 AMEND KANSAS CITY LIFE INSURANCE CO MO X 11/13/03 KERR MCGEE CORP /DE DE X 11/13/03 KERYX BIOPHARMACEUTICALS INC DE X 11/13/03 KEY ENERGY SERVICES INC MD X X 11/10/03 KEYSTONE PROPERTY TRUST MD X X 11/10/03 KLAMATH FIRST BANCORP INC OR X X 09/30/03 KNOT INC DE X X 11/13/03 KOHLS CORPORATION WI X 11/13/03 KRAMONT REALTY TRUST MD X 09/13/03 LA QUINTA CORP DE X X 11/12/03 LANDMARK BANCORP INC DE X X 11/13/03 LASALLE HOTEL PROPERTIES MD X X 11/10/03 LASERSIGHT INC /DE DE X X X 11/13/03 LEAR CORP /DE/ DE X X 11/13/03 LEVI STRAUSS & CO DE X X 11/13/03 LIFEPOINT INC DE X 09/30/03 LINCOLN LOGS LTD NY X 11/13/03 LOEWS CORP DE X X 11/12/03 LONG ISLAND FINANCIAL CORP DE X X 11/13/03 LOUISVILLE GAS & ELECTRIC CO /KY/ KY X 12/31/02 LSI LOGIC CORP DE X X X 11/13/03 LTX CORP MA X 11/13/03 LYNX THERAPEUTICS INC DE X 11/13/03 M&I AUTO LOAN TRUST 2003-1 X X 11/13/03 MAINE & MARITIMES CORP X 11/13/03 MARCONI CORP PLC X0 X 11/13/03 MARISA CHRISTINA INC DE X X X 11/13/03 MATTEL INC /DE/ DE X X X 11/13/03 MAYORS JEWELERS INC/DE DE X X 11/06/03 MBIA INC CT X 11/13/03 AMEND MCDATA CORP DE X X 09/19/03 AMEND MEDICAL STAFFING NETWORK HOLDINGS INC DE X 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AUTO RECEIVABLES 2000-C OWNER X 11/04/03 AMEND NISSAN AUTO RECEIVABLES 2003-C OWNER DE X X 11/05/03 NORTHWESTERN CORP DE X X 11/13/03 NOVASTAR FINANCIAL INC MD X X 11/06/03 NOVASTAR MORTGAGE FUNDING CORP DE X X 11/12/03 NOVEN PHARMACEUTICALS INC DE X X 11/13/03 NTN COMMUNICATIONS INC DE X X 09/30/03 NUCENTRIX BROADBAND NETWORKS INC DE X X 11/06/03 NUCLEAR SOLUTIONS INC NV X 11/11/03 NUI CORP /NJ/ NJ X 11/12/03 NUMEREX CORP /PA/ PA X X 11/10/03 OFFICEMAX INC /OH/ OH X X 11/13/03 OMI CORP/M I X X 11/13/03 ONE PRICE CLOTHING STORES INC DE X 11/13/03 ONYX ACCEPTANCE FINANCIAL CORP DE X X 10/30/03 OPENTV CORP X X 11/13/03 ORTHODONTIC CENTERS OF AMERICA INC /D DE X X 11/12/03 OTISH MOUNTAIN DIAMOND CO NV X 11/10/03 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 11/10/03 PANERA BREAD CO DE X X X 11/13/03 PARAGON TECHNOLOGIES INC PA X X 09/30/03 PAXSON COMMUNICATIONS CORP DE X X 09/13/03 PEP BOYS MANNY MOE & JACK PA X X 11/12/03 PER SE TECHNOLOGIES INC DE X X 11/11/03 PHARMACEUTICAL FORMULATIONS INC DE X X 11/12/03 PHOENIX COLOR CORP DE X X 11/12/03 PHOTRONICS INC CT X X 11/11/03 PIVOTAL CORP X 11/12/03 PLATINUM UNDERWRITERS HOLDINGS LTD D0 X X 11/12/03 PORTAL SOFTWARE INC DE X X 11/13/03 PRECISION OPTICS CORPORATION INC MA X X 11/13/03 PREMCOR INC DE X X 11/05/03 PREMCOR REFINING GROUP INC DE X X 11/05/03 PRIME RETAIL INC/BD/ MD X X 09/30/03 PROTEIN POLYMER TECHNOLOGIES INC DE X X 11/12/03 PROVIDENT FINANCIAL SERVICES INC DE X X 11/13/03 QUADRAMED CORP DE X 11/12/03 QUANTA SERVICES INC DE X X 11/13/03 RADISYS CORP OR X X 11/12/03 RAYOVAC CORP WI X X 11/13/03 REPUBLIC BANCORP INC MI X 11/13/03 AMEND RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 11/13/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 11/13/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 11/13/03 RETURN ON INVESTMENT CORP DE X 11/13/03 RITA MEDICAL SYSTEMS INC DE X 11/13/03 RTIN HOLDINGS INC TX X X 11/10/03 RUBICON MEDICAL CORP DE X X X X 10/29/03 RURAL CELLULAR CORP MN X X 11/13/03 SATCON TECHNOLOGY CORP DE X 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