SEC NEWS DIGEST Issue 2003-226 November 28, 2003 COMMISSION ANNOUNCEMENTS ELIZABETH JACOBS NAMED DEPUTY DIRECTOR OF SEC'S OFFICE OF INTERNATIONAL AFFAIRS On November 26, the Commission announced the appointment of Elizabeth Jacobs as Deputy Director of the Commission's Office of International Affairs. Ms. Jacobs joined the SEC in 1984 as an attorney in the Division of Market Regulation's Office of Trading Practices. She became a senior counsel to the Office of International Affairs in 1989 and was promoted to Assistant Director in 1994. During her tenure, she has been responsible for negotiating many of the Commission's bilateral information-sharing agreements with foreign securities regulators and has represented the SEC in a number of international forums. As part of the OIA's interest in improving coordination among the SEC's Divisions and Offices and in enhancing the efficiency of its operations, Ms. Jacobs will be charged with managing the Office of International Affairs' day-to-day operations. These operations include advising SEC commissioners and staff on regulatory policy initiatives that have international aspects, assisting the SEC's Enforcement Division with obtaining information and evidence related to securities law violations from abroad, and providing technical assistance to countries with developing securities markets. Ethiopis Tafara, Director of the Office of International Affairs, stated, "Elizabeth brings with her extensive management experience and unique international expertise that will prove invaluable as she takes on the task of managing OIA's operations. She is well-known and highly respected among SEC staff in all of the Divisions and Offices, and we are very fortunate that she has agreed to take on this new role." Ms. Jacobs received her undergraduate degree from Emory University where she graduated Phi Beta Kappa, and her law degree, with honors, from the George Washington University National Law Center. (Press Rel. 2003-166) ENFORCEMENT PROCEEDINGS IN THE MATTER OF SCHNEIDER SECURITIES, INC. On November 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Schneider Securities, Inc. (Schneider), a Denver based registered broker-dealer. The Order finds that Schneider failed to supervise reasonably a registered representative from December 2000 through April 2001. According to the Order, from December 2000 through April 2001, the registered representative made misstatements of material facts to Schneider customers, including false statements that: (i) analyst research reports for two securities existed and would be published by Schneider in December 2000; (ii) a hedge fund purportedly would be formed to invest millions of dollars in two securities; (iii) Schneider customers would not owe any funds for margin purchases; and (iv) Schneider customers would not receive margin calls on securities purchased on margin. The Order also finds that the registered representative gave baseless stock price predictions for two securities to Schneider customers. Moreover, the Order finds that the registered representative engaged in sales practice abuses in the accounts of Schneider customers. For example, the registered representative recommended unsuitable margin trading to several elderly Schneider customers with modest financial profiles and failed to follow sell instructions from several Schneider customers. According to the Order, Schneider hired the registered representative and established procedures for the heightened supervision of the registered representative, while knowing that the registered representative had a disciplinary history and a history of customer complaints. The Order finds that Schneider failed to develop a system to monitor whether the registered representative's supervisors were adequately carrying out their responsibilities. Specifically, the Order finds that Schneider failed to establish a system for overseeing and monitoring the supervisors' implementation of the heightened supervisory procedures and other firm procedures for oversight of the registered representative's activities. In the Order, Schneider undertakes to file a Form BDW withdrawing its registration with the Commission. Moreover, the Order did not impose a civil money penalty based upon representations in Schneider's sworn financial statements. Schneider consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-48849; File No. 3-11321) IN THE MATTER OF JAMES PATRICK DRIVER On November 26, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against James Patrick Driver (Driver). The Order finds that, during Driver's tenure as the Compliance Director for Schneider Securities, Inc. (Schneider), a Denver based registered broker-dealer, Driver failed to supervise reasonably a registered representative from December 2000 through April 2001. According to the Order, from December 2000 through April 2001, the registered representative made misstatements of material facts to Schneider customers, including false statements that: (i) analyst research reports for two securities existed and would be published by Schneider in December 2000; (ii) a hedge fund purportedly would be formed to invest millions of dollars in two securities; (iii) Schneider customers would not owe any funds for margin purchases; and (iv) Schneider customers would not receive margin calls on securities purchased on margin. The Order also finds that the registered representative gave baseless stock price predictions for two securities to Schneider customers. Moreover, the Order finds that the registered representative engaged in sales practice abuses in the accounts of Schneider customers. For example, the registered representative recommended unsuitable margin trading to several elderly Schneider customers with modest financial profiles and failed to follow sell instructions from several Schneider customers. According to the Order, Driver participated in hiring the registered representative and in establishing procedures for the heightened supervision of the registered representative, while knowing that the registered representative had a disciplinary history and a history of customer complaints. The Order finds that Driver failed to develop a system to implement and monitor the implementation of the special supervisory procedures for the registered representative. According to the Order, Driver was also responsible for formulating procedures and systems to implement these procedures to respond to customer complaints. The Order finds that Driver failed to develop these procedures and systems to ensure that he and others responded adequately to a customer's complaint in January 2001 regarding the registered representative's misrepresentations of material fact and fraudulent sales practices. Based on the above, the Order bars Driver from association with any broker or dealer in a supervisory capacity with a right to reapply after two years. Moreover, the Order did not impose a civil money penalty based upon representations in Driver's sworn financial statements. Driver consented to the issuance of the Order without admitting or denying any of the findings in the administrative proceeding. (Rel. 34- 48852; File No. 3-11345) THE COMMISSION INSTITUTES PROCEEDINGS AGAINST STEVEN MUTH FOR VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934, AND AGAINST RICHARD ROUSE AND BRUCE BATES FOR FAILING TO SUPERVISE MUTH November 26, the Commission instituted cease-and-desist and administrative proceedings against Steven E. Muth (Muth), a former registered representative with Schneider Securities, Inc. (Schneider), Richard J. Rouse (Rouse), the former Executive Vice President and a Director of Schneider, and Bruce J. Bates (Bates), a former branch office manager of Schneider (collectively, Respondents). Muth is a resident of Houston, Texas, Rouse is a resident of Highlands Ranch, Colorado, and Bates is a resident of Parker, Colorado. The Division of Enforcement alleges that Muth engaged in fraudulent sales practices and made misrepresentations of material facts to Schneider customers from December 2000 through April 2001. The Division of Enforcement also alleges that Rouse and Bates failed to supervise Muth reasonably to prevent and detect his illegal activities. The Division of Enforcement alleges, from December 2000 through April 2001, Muth made false statements that: (i) analyst research reports for two securities existed and would be published by Schneider in December 2000; (ii) a hedge fund purportedly would be formed to invest millions of dollars in two securities; (iii) Schneider customers would not owe any funds for margin purchases; and (iv) Schneider customers would not receive margin calls on securities purchased on margin. The Division of Enforcement further alleges that Muth gave baseless stock price predictions and engaged in sales practice abuses in the accounts of Schneider customers, including recommending unsuitable margin trading to several elderly Schneider customers with modest financial profiles and failing to follow sell instructions from customers. The Division of Enforcement alleges that Rouse participated in hiring the registered representative and in establishing procedures for the heightened supervision of the registered representative, while knowing that the registered representative had a disciplinary history and a history of customer complaints. The Division of Enforcement further alleges that Rouse failed reasonably to supervise Muth with a view to preventing Muth's violations of the federal securities laws by failing to develop a system to monitor whether Muth's supervisors, including himself, were adequately carrying out their responsibilities. The Division of Enforcement further alleges that Rouse and Bates failed reasonably to supervise Muth by failing to follow the firm's procedures regarding heightened supervision and failed to respond to red flags relating to Muth's misconduct. Finally, the Division of Enforcement alleges that Bates failed reasonably to supervise Muth with a view to preventing and Muth's violations of the federal securities laws by failing to follow-up on a customer complaint relating to Muth's misconduct. The Commission instituted these proceedings against Respondents to determine whether: (a) the allegations against Respondents are true and to afford Respondents an opportunity to establish any defense to such allegations; (b) Muth should be ordered to cease and desist from committing or causing any violations and any future violations of the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (Exchange Act) (collectively, the antifraud provisions); (c) remedial sanctions against Muth, pursuant to Sections 21B and 21C of the Exchange Act, should be ordered, including disgorgement and civil money penalties; and (d) remedial sanctions against Rouse and Bates, pursuant to Sections 15(b)(6) and 21B of the Exchange Act, should be ordered, including civil money penalties, for their failure reasonably to supervise Muth with a view to preventing Muth's violations of the antifraud provisions. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate in the public interest. The Commission directed that an administrative law judge shall issue an initial decision in this matter within 300 days from the date of service of the Order. (Rels. 33-8341; 34-48853; File No. 3- 11346) INVESTMENT COMPANY ACT RELEASES MERRILL LYNCH INVESTMENT MANAGERS, L.P., ET AL. The Commission has issued an order to Merrill Lynch Investment Managers, L.P., et al., under Section 9(c) of the Investment Company Act exempting applicants from Section 9(a) of the Act, with respect to a securities- related injunction entered into on Oct. 31, 2003. (Rel. IC-26280 - November 26) DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Vega Capital Corporation [File No. 811-2508] (Rel. IC-26264 - November 25) ARK Funds [File No. 811-7310] (Rel. IC-26265 - November 25) Scioto Investment Company [File No. 811-2670] (Rel. IC-26266 - November 25) The Italy Fund Inc. [File No. 811-4517] (Rel. IC-26267 - November 25) Pioneer Large Cap Value Fund [File No. 811-9875] (Rel. IC-26268 - November 25) Davis International Series, Inc. [File No. 811-8870] (Rel. IC-26269 - November 25) Pioneer Small Cap Growth Fund [File No. 811-21106] (Rel. IC-26270 - November 25) Pioneer Aggressive Growth Fund [File No. 811-21107] (Rel. IC-26271 - November 25) Quintara Funds [File No. 811-10563] (Rel. IC-26272 - November 25) Trust for Investment Managers [File No. 811-9393] (Rel. IC-26273 - November 25) Asset Allocation Portfolio [File No. 811-6646] (Rel. IC-26274 - November 25) Growth Stock Portfolio [File No. 811-6647] (Rel. IC-26275 - November 25) Bond Portfolio [File No. 811-6648] (Rel. IC-26276 - November 25) Utilities Portfolio [File No. 811-9028] (Rel. IC-26277 - November 25) The Growth Portfolio [File No. 811-9829] (Rel. IC-26278 - November 25) The Aggressive Growth Portfolio [File No. 811-9831] (Rel. IC-26279 - November 25) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY, INC., ET AL. A notice has been issued giving interested persons until Dec. 18, 2003, to request a hearing on a proposal by CenterPoint Energy Houston Electric, LLC (T&D Utility), an indirect electric public utility subsidiary of CenterPoint Energy, Inc., a registered holding company, to modify existing authority to permit the T&D Utility to issue an additional $300 million principal amount of incremental debt through June 30, 2005, (Authorization Period) increasing to $3.903 billion principal amount of additional debt that the T&D Utility is authorized to issue during the Authorization Period. (Rel. 35-27768) DOMINION RESOURCES INC., ET AL. A notice has been issued giving interested persons until Dec. 18, 2003, to request a hearing on a proposal by Dominion Resources, Inc. (DRI), a registered holding company, and Consolidated Natural Gas Company, a registered holding company and direct subsidiary of DRI, to issue short term debt. (Rel. 35-27768) SELF-REGULATORY ORGANIZATIONS WITHDRAWALS OF PROPOSED RULE CHANGES The Commission published notice of the withdrawal of a proposed rule change (SR-NSCC-2003-01) filed by National Securities Clearing Corporation relating to a new Rule 59, "Information Services for Investment Products." Publication of the withdrawal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48819) The Commission published notice of the withdrawal of a proposed rule change (SR-OCC-2003-23) filed by The Options Clearing Corporation to allow OCC to clear and settle physically-settled futures on narrow-based stock indexes. Publication of the withdrawal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48820) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the American Stock Exchange relating to fees for Amex specialist and registered trader transactions in ETFs (SR- Amex-2003-95) 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 Dec. 1, 2003. (Rel. 34-48829) A proposed rule change (SR-ISE-2003-24) filed by the International Securities Exchange relating to fee changes 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 Dec. 1, 2003. (Rel. 34-48837) A proposed rule change filed by NQLX, LLC (SR-NQLX-2003-08) to amend its Rule 419 to make the information recording and submission requirements for Block Trades and Exchange for Physical Trades consistent has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48839) A proposed rule change (SR-ISE-2003-29) filed by the International Securities Exchange relating to requiring the fingerprinting of Exchange employees and independent contractors and other service providers 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 Dec. 1, 2003. (Rel. 34-48840) A proposed rule change filed by the Fixed Income Clearing Corporation to allow FICC to modify how rebates are calculated and distributed under Section IX of the Government Securities Division's fee structure (SR- FICC-2003-07) 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 Dec. 1, 2003. (Rel. 34-48848) PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2003-33) has been filed by the New York Stock Exchange amending its rules relating to Exchange Fees for Closed- End funds. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48833) A proposed rule change (SR-NSCC-2003-21) has been filed by the National Securities Clearing Corporation to add a new Rule 59 to NSCC's Rules to establish an information messaging system called the Separately Managed Accounts Service. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48846) A proposed rule change (SR-Phlx-2003-73), and Amendment Nos. 1 and 2 thereto, filed by the Philadelphia Stock Exchange relating to the demutualization of the Philadelphia Stock Exchange. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48847) PARTIAL APPROVAL OF PROPOSED RULE CHANGE The Commission granted partial approval to a proposed rule change (SR- CSE-2003-06), and Amendment No. 2 thereto, and accelerated approval of Amendment No. 1 thereto, submitted by National Stock Exchange relating to audit committee requirements applicable to companies listing non- option securities. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48835) APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval to a proposed rule change (SR-Phlx-2003- 51), and accelerated approval of Amendment No. 1 thereto, submitted by the Philadelphia Stock Exchange relating to listing standards regarding issuer's audit committees and delisting procedures. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48836) The Commission granted approval to a proposed rule change (SR-CBOE-2003- 31), and accelerated approval of Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange relating to audit committee requirements applicable to companies listing non-option securities. Publication of the proposal is expected in the Federal Register during the week of Dec. 1, 2003. (Rel. 34-48838) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation, respecting certain underlying securities of the following companies, effective at the opening of business on November 28: Documentum, Inc. (DCTM) Marriott International - Class A (MAR) Noble Energy, Inc. (NBL) Oshkosh Truck Corp. (OSK) Sharper Image Corp. (SHRP) Telephone and Data Systems (TDS) Vivendi Universal - S.A. (V) (Rel. 34-48842) 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 Atlas Air Worldwide Holdings, Inc., effective at the opening of business on November 28. (Rel. 34-48843) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Dec. 19, 2003, to comment on the application of The Thai Capital Fund Inc. to withdraw its common stock, $.01 par value, from listing and registration on the Pacific Exchange. (Rel. 34-48844) A notice has been issued giving interested persons until Dec. 19, 2003, to comment on the application Big City Radio, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48845) 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 HM PUBLISHING CORP, 0 ($265,000,000.00) Non-Convertible Debt, (File 333-110720 - Nov. 25) (BR. 05) S-8 CHARTER MUNICIPAL MORTGAGE ACCEPTANCE CO, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2124215333 - 2,136,108 ($39,934,106.00) Equity, (File 333-110722 - Nov. 25) (BR. 08) S-1 CHEROKEE INTERNATIONAL CORP, 2841 DOW AVENUE, TUSIN, CA, 92780, 7145446665 - 0 ($92,000,000.00) Equity, (File 333-110723 - Nov. 25) (BR. 36) SB-2 KINGSLEY COACH INC, 64 OLD ROUTE 522, MIDDLEBURG, PA, 17842, 5708377114 - 2,257,385 ($295,717.43) Equity, (File 333-110725 - Nov. 25) (BR. 05) S-8 CLARCOR INC, 2323 SIXTH ST, PO BOX 7007, ROCKFORD, IL, 61125, 8159628867 - 0 ($63,187,500.00) Equity, (File 333-110726 - Nov. 25) (BR. 05) S-3 AROTECH CORP, 632 BROADWAY, STE 1200, NEW YORK, NY, 10012, 6466542107 - 5,947,427 ($15,433,573.00) Equity, (File 333-110727 - Nov. 25) (BR. 36) S-8 ANSYS INC, 275 TECHNOLOGY DRIVE, SOUTHPOINTE, CANONSBURG, PA, 15317, 4127643304 - 1,100,000 ($43,021,000.00) Equity, (File 333-110728 - Nov. 25) (BR. 03) S-3 AROTECH CORP, 632 BROADWAY, STE 1200, NEW YORK, NY, 10012, 6466542107 - 0 ($20,000,000.00) Equity, (File 333-110729 - Nov. 25) (BR. 36) S-3D SOUTH JERSEY INDUSTRIES INC, 1 SOUTH JERSEY PLAZA, ROUTE 54, FOLSOM, NJ, 08037, 609-561-9000 - 1,500,000 ($57,862,500.00) Equity, (File 333-110730 - Nov. 25) (BR. 02) S-8 SOUTH JERSEY INDUSTRIES INC, 1 SOUTH JERSEY PLAZA, ROUTE 54, FOLSOM, NJ, 08037, 609-561-9000 - 800,000 ($30,860,000.00) Equity, (File 333-110731 - Nov. 25) (BR. 02) S-8 VENTURES NATIONAL INC, 8133281002 - 200,000 ($122,000.00) Equity, (File 333-110732 - Nov. 25) (BR. 36) SB-2 OTISH RESOURCES INC, 1000 355 BURRARD STREET, VANCOUVER BC, A1, 00000, 6046875257 - 5,481,004 ($1,096,200.80) Equity, (File 333-110733 - Nov. 25) (BR. 09) S-8 FIRST AUTO INC, 3131 SOUTHWEST FREEWAY, SUITE 48, HOUSTON, TX, 77098, 7135227550 - 700,000 ($35,000.00) Debt Convertible into Equity, (File 333-110734 - Nov. 25) (BR. 02) S-8 TURNER VALLEY OIL & GAS INC, 3131 S W FREEWAY, HOUSTON, TX, 77098, 9492489561 - 700,000 ($35,000.00) Debt Convertible into Equity, (File 333-110735 - Nov. 25) (BR. 05) S-8 SIRVA INC, 700 OAKMONT LANE, WESTMONT, IL, 60559, 6304684743 - 0 ($161,702,214.00) Equity, (File 333-110736 - Nov. 25) (BR. 05) S-3D MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 - 2,000,000 ($17,240,000.00) Equity, (File 333-110737 - Nov. 25) (BR. 08) S-8 COTTON STATES LIFE INSURANCE CO /, 244 PERIMETER CENTER PKWY NE, ATLANTA, GA, 30346, 4043918600 - 0 ($4,410,000.00) Equity, (File 333-110738 - Nov. 25) (BR. 01) S-3 ALCAN INC, 1188 SHERBROOKE ST WEST, MONTREAL QUEBEC CANA, A8, 00000, 5148488000 - 0 ($3,000,000,000.00) Other, (File 333-110739 - Nov. 25) (BR. 06) S-8 ALLETE INC, 30 W SUPERIOR ST, DULUTH, MN, 55802-2093, 2182795000 - 1,000,000 ($29,270,000.00) Equity, (File 333-110740 - Nov. 25) (BR. 02) S-3 EDUCATION LOANS INC /DE, 105 FIRST AVE SOUTHWEST, ABERDEEN, SD, 57401, 6056224400 - 0 ($117,700,000.00) Asset-Backed Securities, (File 333-110741 - Nov. 25) (BR. 05) S-8 CHORDIANT SOFTWARE INC, 20400 STEVENS CREEK BLVD, SUITE 400, CUPERTINO, CA, 95014, 4085176100 - 0 ($7,971,968.00) Equity, (File 333-110743 - Nov. 25) (BR. 03) S-3 ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 250, SANTA MONICA, CA, 90401, 310-255-4493 - 0 ($103,950,000.00) Equity, (File 333-110744 - Nov. 25) (BR. 08) S-8 ZONES INC, 1102 15TH STREET SW, SUITE 102, AUBURN, WA, 98001, 2532053000 - 3,225,000 ($3,741,000.00) Equity, (File 333-110750 - Nov. 25) (BR. 02) S-3 SPATIALIGHT INC, 9 COMMERICAL BLVD STE 200, ST C, NOVATO, CA, 94949, 4158831693 - 1,035,197 ($459.52) Equity, (File 333-110754 - Nov. 25) (BR. 36) S-8 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 0 ($1,114,864.00) Equity, (File 333-110755 - Nov. 25) (BR. 07) S-8 METRON TECHNOLOGY N V, 4425 FORTRAN DRIVE, SAN JOSE, CA, 94134, 4087194600 - 0 ($8,289,876.60) Equity, (File 333-110756 - Nov. 25) (BR. 36) S-8 CALLIDUS SOFTWARE INC, 160 WEST SANTA CLARA STREET, 15TH FLOOR, SAN JOSE, CA, 95113, 8,897,433 ($74,019,433.00) Other, (File 333-110757 - Nov. 25) (BR. 03) S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVE, PITTSBURGH, PA, 15265, 4127621553 - 20,000,000 ($1,059,200,000.00) Equity, (File 333-110758 - Nov. 25) (BR. 07) N-2 OPPENHEIMER TREMONT OPPORTUNITY FUND LLC, 6803 SOUTH TUCSON WAY, N/A, CENTENNIAL, CO, 80112-3924, 303-768-3200 - 1 ($1.00) Other, (File 333-110759 - Nov. 25) (BR. 16) S-3 AMR CORP, 4333 AMON CARTER BLVD, FORT WORTH, TX, 76155, 8179631234 - 0 ($3,000,000,000.00) Other, (File 333-110760 - Nov. 25) (BR. 05) N-2 OPPENHEIMER TREMONT MARKET NEUTRAL FUND LLC, 6803 SOUTH TUCSON WAY, N/A, CENTENNIAL, CO, 80112-3924, 303-768-3200 - 1 ($1.00) Other, (File 333-110761 - Nov. 25) (BR. 16) S-4 SOUTHERN FINANCIAL BANCORP INC /VA/, 37 EAST MAIN ST, WARRENTON, VA, 20186, 5403493900 - 0 ($9,787,680.00) Equity, (File 333-110762 - Nov. 25) (BR. 07) S-4 HINES NURSERIES INC, 175,000,000 ($175,000,000.00) Other, (File 333-110763 - Nov. 26) (BR. 04) S-3 FRONTLINE COMMUNICATIONS CORP, ONE BLUE HILL PLAZA, STE 1548, PEARL RIVER, NY, 10965, 9146238553 - 7,018,665 ($2,697,749.00) Equity, (File 333-110764 - Nov. 26) (BR. 37) S-3 HUDSON HIGHLAND GROUP INC, 622 THIRD AVE, NEW YORK, NY, 10017, 2129774200 - 0 ($25,000,000.00) Other, (File 333-110765 - Nov. 26) (BR. 02) S-4 NORTH AMERICAN SCIENTIFIC INC, 20200 SUNBURST ST, CHATSWORTH, CA, 91311, 8187348600 - 0 ($244.66) Equity, (File 333-110766 - Nov. 26) (BR. 01) S-8 BUFFALO WILD WINGS INC, 1600 UTICA AVENUE SOUTH, SUITE 700, MINNEAPOLIS, MN, 55416, 6125939943 - 0 ($28,257,684.51) Equity, (File 333-110767 - Nov. 26) (BR. 05) S-8 ATLANTIC LIBERTY FINANCIAL CORP, 256,648 ($5,004,636.00) Equity, (File 333-110768 - Nov. 26) (BR. 07) S-8 TORVEC INC, 11 POND VIEW DRIVE, PITTSFORD, NY, 14534, 7162488549 - 250,000 ($562,500.00) Equity, (File 333-110769 - Nov. 26) (BR. 05) S-8 PLANETLINK COMMUNICATIONS INC, 404-8430123 - 26,660,000 ($426,560.00) Equity, (File 333-110770 - Nov. 26) (BR. 02) S-3 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3M, FAIRFIELD, CT, 06828, 203-373-2211 - 5,000,000,000 ($5,000,000,000.00) Other, (File 333-110771 - Nov. 26) (BR. 36) S-3 NUTRI SYSTEM INC /DE/, 202 WELSH RD, HORSHAM, PA, 19044, 0 ($5,471,532.00) Equity, (File 333-110772 - Nov. 26) (BR. 06) S-11 GRANITE MORTGAGES 04-1 PLC, 0 ($2,780,000,000.00) Mortgage Backed Securities, (File 333-110773 - Nov. 26) (BR. 05) S-8 NOVA COMMUNICATIONS LTD, 370 AMAPOLA AVE, SUITE 202, TORRANCE, CA, 90501, 3106420200 - 750,000 ($22,500.00) Equity, (File 333-110774 - Nov. 26) (BR. 01) S-8 NORTH STATE BANCORP, 6200 FALLS OF NEUSE RD, RALEIGH, NC, 27609, 9198559925 - 28,793 ($475,084.50) Equity, (File 333-110775 - Nov. 26) (BR. 07) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 0 ($20,000,000.00) Other, (File 333-110776 - Nov. 26) (BR. 04) S-8 NORTH STATE BANCORP, 6200 FALLS OF NEUSE RD, RALEIGH, NC, 27609, 9198559925 - 5,899 ($97,333.50) Equity, (File 333-110777 - Nov. 26) (BR. 07) S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT, CARLSBAD, CA, 92008, 760-918-1860 - 683,860 ($437,670.00) Equity, (File 333-110778 - Nov. 26) (BR. 09) S-3 CARDIOTECH INTERNATIONAL INC, 78-E OLYMPIA AVENUE, WOBURN, MA, 01801-4772, 7819334772 - 0 ($2,337,000.00) Equity, (File 333-110779 - Nov. 26) (BR. 36) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 20,000,000 ($20,000,000.00) Equity, (File 333-110780 - Nov. 26) (BR. 05) S-8 RENTRAK CORP, ONE AIRPORT CTR, 7700 N E AMBASSADOR PL, PORTLAND, OR, 97220, 5032847581 - 300,000 ($2,337,000.00) Equity, (File 333-110781 - Nov. 26) (BR. 05) S-8 RENTRAK CORP, ONE AIRPORT CTR, 7700 N E AMBASSADOR PL, PORTLAND, OR, 97220, 5032847581 - 975,000 ($5,455,262.00) Equity, (File 333-110782 - Nov. 26) (BR. 05) S-8 MEDIA ARTS GROUP INC, 521 CHARCOT AVENUE, SAN JOSE, CA, 95113, 4083242020 - 0 ($15,601,337.27) Equity, (File 333-110783 - Nov. 26) (BR. 05) S-8 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 2,250,000 ($24,885,000.00) Equity, (File 333-110784 - Nov. 26) (BR. 36) S-3 MIDDLESEX WATER CO, 1500 RONSON RD, P O BOX 1500, ISELIN, NJ, 08830, 7326341500 - 800,000 ($15,024,000.00) Equity, (File 333-110786 - Nov. 26) (BR. 02) S-8 ABSS CORP, 9738397200 - 3,750,000 ($562,500.00) Equity, (File 333-110787 - Nov. 26) (BR. 02) S-8 PACIFIC CREST CAPITAL INC, 30343 CANWOOD ST, AGOURA HILLS, CA, 91301, 8188653300 - 0 ($12,910,000.00) Equity, (File 333-110789 - Nov. 26) (BR. 07) S-3 GUILFORD PHARMACEUTICALS INC, 6611 TRIBUTARY ST, BALTIMORE, MD, 21224, 4106316300 - 0 ($1,986,000.00) Equity, (File 333-110790 - Nov. 26) (BR. 01) S-8 COMERICA INC /NEW/, 500 WOODWARD AVENUE MC 3391, COMERICA TOWER AVE1ST FL, DETROIT, MI, 48226-3509, 313 222-9743 - 0 ($51,260,000.00) Equity, (File 333-110791 - Nov. 26) (BR. 07) S-8 COMERICA INC /NEW/, 500 WOODWARD AVENUE MC 3391, COMERICA TOWER AVE1ST FL, DETROIT, MI, 48226-3509, 313 222-9743 - 0 ($8,201,600.00) Equity, (File 333-110792 - Nov. 26) (BR. 07) S-3 JLG INDUSTRIES INC, 1 JLG DR, MCCONNELLSBURG, PA, 17233, 7174855161 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-110793 - Nov. 26) (BR. 36) S-8 KNIGHT RIDDER INC, 50 W SAN FERNANDO ST, SAN JOSE, CA, 95113, 4089387700 - 200,000 ($14,468,000.00) Equity, (File 333-110794 - Nov. 26) (BR. 05) S-3 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 525,000 ($5,806,500.00) Equity, 0 ($80,000,000.00) Unallocated (Universal) Shelf, (File 333-110795 - Nov. 26) (BR. 36) S-8 MICROSIGNAL CORP/NV, 3927 EDMONTRIE NE BAY 8, CALGARY T2E 6T1, 70,000,000 ($770,000.00) Equity, (File 333-110796 - Nov. 26) (BR. 03) S-8 JLG INDUSTRIES INC, 1 JLG DR, MCCONNELLSBURG, PA, 17233, 7174855161 - 0 ($703,500.00) Equity, (File 333-110798 - Nov. 26) (BR. 36) S-3 CREDIT SUISSE FIRST BOSTON MORTGAGE ACCEPTANCE CORP, 11 MADISON AVE, NEW YORK, NY, 10010, 2123252000 - 0 ($5,000,000,000.00) Mortgage Backed Securities, (File 333-110800 - Nov. 26) (BR. 05) S-8 HIV VAC INC, 7028665834 - 0 ($16,750.00) Equity, (File 333-110801 - Nov. 26) (BR. 01) S-3 KVH INDUSTRIES INC \DE\, 110 ENTERPRISE CENTER, MIDDLETOWN, RI, 02842, 4018473327 - 3,000,000 ($85,350,000.00) Equity, (File 333-110802 - Nov. 26) (BR. 37) F-3 DIAGEO PLC, 8 HENRIETTA PL, LONDON W1G ONB, UNTIED KINGDOM, X0, 00000, 011442079275200 - 0 ($1.00) Other, (File 333-110804 - Nov. 26) (BR. 02) S-8 NORTH COAST ENERGY INC / DE/, 1993 CASE PKWY, STE 320, TWINSBURG, OH, 44087, 3304252330 - 400,000 ($4,892,000.00) Equity, (File 333-110805 - Nov. 26) (BR. 04) S-1 STAKTEK HOLDINGS INC, 8900 SHOAL CREEK BLVD SUITE 125, AUSTIN, TX, 78757, 5124549531 - 0 ($145,000,000.00) Equity, (File 333-110806 - Nov. 26) (BR. ) S-1 ATHEROS COMMUNICATIONS INC, 529 ALMANOR AVENUE, SUNNYVALE, CA, 94085, 408-773-5200 - 0 ($100,000,000.00) Equity, (File 333-110807 - Nov. 26) (BR. ) S-8 CHARTER COMMUNICATIONS INC /MO/, 12405 POWERSCOURT DRIVE, SUITE 100, ST LOUIS, MO, 63131, 3145435712 - 30,000,000 ($119,700,000.00) Equity, (File 333-110808 - Nov. 26) (BR. 37) S-8 GENSYM CORP, 52 SECOND AVE, BURLINGTON, MA, 01803, 6175472500 - 0 ($178,000.00) Equity, (File 333-110809 - Nov. 26) (BR. 03) S-2 CHS INC, 5500 CENEX DRIVE, INVER GROVE HEIGHTS, MN, 55077, 651-355-6000 - 0 ($13,000,000.00) Equity, (File 333-110810 - Nov. 26) (BR. 04) F-10 VITRAN CORP INC, 185 THE WEST MALL, SUITE 701, TORONTO, A6, M9C 5L5, 416-596-7664 - 0 ($31,740,000.00) Equity, (File 333-110811 - Nov. 26) (BR. 05) S-3 INKINE PHARMACEUTICAL CO INC, 1787 SENTRY PARKWAY WEST, BUILDING 18 SUITE 440, BLUE BELL, PA, 19422, 2152836850 - 11,500,000 ($62,445,000.00) Equity, (File 333-110812 - Nov. 26) (BR. 01) S-3 NABI BIOPHARMACEUTICALS, 5800 PARK OF COMMERCE BLVD N W, STE 322, BOCA RATON, FL, 33487, 5619895800 - 11,730,000 ($123,634,200.00) Equity, (File 333-110813 - Nov. 26) (BR. 01) S-4 TELEWEST GLOBAL INC, C/O CT CORPORATION SYSTEM, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 442072995096 - 0 ($96,276,866.47) Other, (File 333-110815 - Nov. 26) (BR. ) S-3 GENUS INC, 1139 KARLSTAD DRIVE, SUNNYVALE, CA, 94089-2117, 4087477120 - 6,400,000 ($41,312,000.00) Equity, (File 333-110816 - Nov. 26) (BR. 36) S-3 DIGITAL ANGEL CORP, 490 VILLAUME AVENUE, SOUTH ST. PAUL, MN, 55075, 6514551621 - 0 ($1,170,003.00) Equity, (File 333-110817 - Nov. 26) (BR. 37) N-2 NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3179178146 - 1,000 ($15,000.00) Equity, (File 333-110818 - Nov. 26) (BR. ) SB-2 EBANK FINANCIAL SERVICES INC, 2410 PACES FERRY ROAD, SUITE 400, ATLANTA, GA, 30339, 7709564034 - 0 ($4,000,000.00) Equity, (File 333-110819 - Nov. 26) (BR. 07) S-8 DITECH COMMUNICATIONS CORP, 825 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043, 6506231300 - 0 ($6,660,500.00) Equity, (File 333-110821 - Nov. 26) (BR. 37) S-3 ENTRADA NETWORKS INC, 9495882070 - 3,000,000 ($330,000.00) Equity, (File 333-110822 - Nov. 26) (BR. 03) S-3 GUITAR CENTER INC, 8187358800 - 0 ($150,000,000.00) Other, (File 333-110823 - Nov. 26) (BR. 02) S-4 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3M, FAIRFIELD, CT, 06828, 203-373-2211 - 0 ($90,714,973.00) Equity, (File 333-110824 - Nov. 26) (BR. 36) S-8 TECHNOLOGY RESEARCH CORP, 5250 140TH AVE NORTH, CLEARWATER, FL, 34620, 8135350572 - 300,000 ($3,627,000.00) Equity, (File 333-110825 - Nov. 26) (BR. 36) S-3 INTERNATIONAL REMOTE IMAGING SYSTEMS INC /DE/, 9162 ETON AVE, CHATSWORTH, CA, 91311, 8187091244 - 500,000 ($2,380,000.00) Equity, (File 333-110826 - Nov. 26) (BR. 36) S-4 ISECURETRAC CORP, 4024982734 - 4,423,077 ($2,300,000.00) Equity, (File 333-110827 - Nov. 26) (BR. 04) S-3 ALEXION PHARMACEUTICALS INC, 352 KNOTTER DRIVE, CHESHIRE, CT, 06511, 2037761790 - 0 ($105,525,000.00) Other, (File 333-110828 - Nov. 26) (BR. 01) S-8 HEALTHRENU MEDICAL INC, 7255 E. QUINCY AVENUE, SUITE 550, DENVER, CO, 80237, 303-437-9434 - 2,975,000 ($7,437,500.00) Equity, (File 333-110829 - Nov. 26) (BR. 09) S-4 ANTHEM INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 0 ($12,771,415,346.00) Equity, (File 333-110830 - Nov. 26) (BR. 01) S-2 WITS BASIN PRECIOUS MINERALS INC, (612)664-0570 - 23,087,000 ($25,626,570.00) Equity, (File 333-110831 - Nov. 26) (BR. 02) 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 ------------------------------------------------------------------------------------------------ 4 KIDS ENTERTAINMENT INC NY X X 11/24/03 ADVANCED BIOTHERAPY INC DE X X 11/24/03 ADVANT E CORP DE X 11/24/03 AEROSONIC CORP /DE/ DE X X 11/21/03 AGWAY INC DE X X 10/25/03 ALCAN INC A6 X 11/25/03 ALLIED HEALTHCARE INTERNATIONAL INC NY X 11/25/03 ALTERNATIVE RESOURCES CORP DE X X 11/25/03 AMERICAN ECOLOGY CORP DE X 11/21/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 11/21/03 AMERICAN VANGUARD CORP DE X X 11/20/03 AMERICAN WOODMARK CORP VA X X 11/25/03 AMTROL INC /RI/ RI X X 11/18/03 AMYLIN PHARMACEUTICALS INC DE X X 11/24/03 ANACOMP INC IN X X 11/21/03 ANTIGENICS INC /DE/ DE X X 11/24/03 ARGENT SECURITIES INC X X 11/25/03 ARRIS GROUP INC DE X X 11/24/03 ASHFORD HOSPITALITY TRUST INC MD X 11/24/03 ASSET BACKED FUNDING CORP DE X X 11/25/03 ATLAS MINERALS INC CO X 11/25/03 AVATAR HOLDINGS INC DE X 11/25/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 11/24/03 BARNEYS NEW YORK INC X X 11/24/03 BAY VIEW SECURITIZATION CORP DE X 11/17/03 BAY VIEW TRANSACTION CORP X 11/17/03 BECTON DICKINSON & CO NJ X X 11/25/03 BIOFIELD CORP \DE\ DE X X 11/21/03 BIOGEN IDEC INC DE X X 11/14/03 BIOGEN IDEC INC DE X X 11/17/03 AMEND BLUE RHINO CORP DE X 07/31/03 BLUE RHINO CORP DE X 07/31/03 BMW VEHICLE OWNER TRUST 2001-A DE X 11/25/03 BMW VEHICLE OWNER TRUST 2002-A X 11/25/03 BMW VEHICLE OWNER TRUST 2003-A X 11/25/03 BOEING CAPITAL CORP DE X 11/25/03 BOEING CO DE X 11/25/03 BOMBARDIER RECEIVABLES MASTER TRUST I DE X 10/31/03 BON TON STORES INC PA X X 11/25/03 BRENEX OIL CORP UT X X X 11/24/03 BROWN FORMAN CORP DE X X 11/25/03 BRYN MAWR BANK CORP PA X 11/18/03 BUSINESS BANCORP /CA/ CA X X 11/24/03 BUTLER MANUFACTURING CO DE X 11/25/03 CAMBREX CORP DE X X 11/10/03 CARDIOGENESIS CORP /CA CA X X 11/25/03 CATALINA MARKETING CORP/DE DE X X 11/24/03 CHASE FUNDING INC NY X X 11/18/03 CHASE MORTGAGE FINANCE CORP DE X X 11/20/03 CHEESECAKE FACTORY INCORPORATED DE X 11/24/03 CIBER INC DE X X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITICORP MORTGAGE SECURITIES INC DE X 11/25/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 11/25/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 11/25/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 11/25/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 11/25/03 CITIGROUP MORTGAGE LOAN TRUST INC X X 11/25/03 CITIZENS BANKING CORP MI X X 11/24/03 CNA FINANCIAL CORP DE X X 11/25/03 CNF INC DE X 11/24/03 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 11/25/03 COGNIGEN NETWORKS INC CO X 09/30/03 COMMERCIAL CAPITAL BANCORP INC NV X X 11/25/03 CONSOLIDATED FREIGHTWAYS CORP DE X 11/25/03 CONSOLIDATED NATURAL GAS CO/VA DE X X 11/24/03 CONSTELLATION ENERGY GROUP INC MD X X 11/25/03 COTELLIGENT INC DE X X 11/25/03 COVEST BANCSHARES INC DE X X 11/25/03 CREDIT SUISSE FIRST BOSTON MORT SEC C DE X X 11/25/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 11/25/03 CROSS COUNTRY HEALTHCARE INC DE X X X 11/25/03 CSFB ACCEPTANCE CORP HOME EQUITY LOAN DE X X 11/25/03 CSFB MORTGAGE SEC CORP HM EQU PASS TH DE X X 11/25/02 CWABS INC DE X X 11/25/03 CWMBS INC DE X 11/25/03 CWMBS INC DE X X 11/25/03 CWMBS INC DE X X 11/25/03 CWMBS INC DE X X 11/25/03 CYBERONICS INC DE X X 11/25/03 D&E COMMUNICATIONS INC PA X 11/24/03 DEARBORN BANCORP INC /MI/ MI X X 11/18/03 DEEP WELL OIL & GAS INC NV X X X X X X 11/18/03 AMEND DEERE & CO DE X X X 10/31/03 DEERE JOHN CAPITAL CORP DE X X X 11/25/03 DEUTSCHE ALT-A SECURITIES INC X X 11/24/03 DHB INDUSTRIES INC DE X 08/20/03 AMEND DIAMOND OFFSHORE DRILLING INC DE X X 11/25/03 DISCOVERY LABORATORIES INC /DE/ DE X X 11/25/03 DND TECHNOLOGIES INC NV X X 11/24/03 DOCUCORP INTERNATIONAL INC DE X X 11/19/03 DOLLAR TREE STORES INC VA X X 11/25/03 DOTRONIX INC MN X X 11/25/03 DOUBLECLICK INC DE X X 11/20/03 DST SYSTEMS INC DE X X 11/24/03 DUCKWALL ALCO STORES INC KS X 11/24/03 DYCOM INDUSTRIES INC FL X X 11/25/03 DYNAMICS RESEARCH CORP MA X 11/13/03 AMEND EATON VANCE CORP MD X X X 11/25/03 ELINE ENTERTAINMENT GROUP INC NV X X 11/24/03 EMERSON ELECTRIC CO MO X 11/25/03 EMPIRE FINANCIAL HOLDING CO FL X X 11/24/03 ENERGY EAST CORP NY X X 11/25/03 ESPEY MFG & ELECTRONICS CORP NY X X 11/24/03 EURONET WORLDWIDE INC DE X X 11/25/03 EXTENDED SYSTEMS INC DE X X 11/11/03 FEMALE HEALTH CO WI X 09/30/03 FIRST FEDERAL BANCSHARES OF ARKANSAS TX X X 11/25/03 FIRST FRANKLIN ASSET BACKED CERTS SER DE X X 10/25/03 FIRST HORIZON ASSET SECURITIES INC DE X X 11/25/03 FIRST NATIONAL CORP /VA/ VA X 11/19/03 FIRSTBANK CORP MI X X 11/25/03 GALEY & LORD INC DE X X 11/14/03 GARDEN FRESH RESTAURANT CORP /DE/ DE X X 11/25/03 GARDEN FRESH RESTAURANT CORP /DE/ DE X X 11/21/03 GENERAL EMPLOYMENT ENTERPRISES INC IL X X 11/24/03 GENESIS ENERGY LP DE X X 11/14/03 GERBER SCIENTIFIC INC CT X 11/25/03 GLOBAL IMAGING SYSTEMS INC DE X 11/25/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 11/25/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 11/25/03 GMACM MORTGAGE LOAN TRUST 2003-J7 DE X X 11/15/03 GMACM MORTGAGE PASS-THROUGH CERTIFICA DE X X 11/25/03 HARVARD BIOSCIENCE INC DE X X 11/24/03 HARVEY ELECTRONICS INC NY X X X 11/25/03 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 11/25/03 HAYNES INTERNATIONAL INC DE X X 11/19/03 HEARTLAND TECHNOLOGY INC DE X 11/03/03 HEINZ H J CO PA X 11/25/03 HOLLY CORP DE X X 11/24/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 11/25/02 HONDA AUTO RECEIVABLES 2000-1 OWNER T DE X X 10/31/03 HONDA AUTO RECEIVABLES 2001-1 OWNER T DE X X 10/31/03 HONDA AUTO RECEIVABLES 2001-2 OWNER T DE X X 10/31/03 HONDA AUTO RECEIVABLES 2001-3 OWNER T CA X X 10/31/03 HOST MARRIOTT CORP/ MD X X 11/13/03 HOST MARRIOTT L P DE X X 11/13/03 HOUSE OF BRUSSELS CHOCOLATES INC NV X X X 11/19/03 HOUSEHOLD FINANCE CORP DE X 10/15/03 HOUSEHOLD INTERNATIONAL INC DE X 10/15/03 HOUSEHOLD INTERNATIONAL INC DE X 10/15/03 HOUSEHOLD INTERNATIONAL INC DE X 10/15/03 AMEND HUGHES SUPPLY INC FL X 11/25/03 IMPAC MEDICAL SYSTEMS INC X X 11/24/03 IMPATH INC DE X 11/17/03 INDEPENDENCE COMMUNITY BANK CORP DE X X 11/25/03 INDYMAC MBS INC X X 11/24/03 INTERDIGITAL COMMUNICATIONS CORP PA X 11/25/03 J P MORGAN ACCEPTANCE CORP I DE X X 11/24/03 JO-ANN STORES INC OH X 11/24/03 KELLER MANUFACTURING CO IN X X 11/21/03 AMEND KELLWOOD CO DE X X 11/25/03 KERR MCGEE CORP /DE DE X 11/25/03 KERR MCGEE CORP /DE DE X X 11/25/03 KEYCORP STUDENT LOAN TRUST 1999 B DE X X 11/25/03 KEYCORP STUDENT LOAN TRUST 2000-A OH X X 11/25/03 KUPPER PARKER COMMUNICATIONS INC NY X X X 11/24/03 LABOR READY INC WA X 11/24/03 LEHMAN ABS CORP AT&T NOTE BACKED SERI DE X X 11/19/03 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 11/15/03 LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE X X 11/15/03 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE X X 11/15/03 LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE X X 11/15/03 LEHMAN ABS CORP CORPORATE BACKED TRUS DE X X 11/15/03 LEHMAN ABS CORP REPAC GE GLOB INS FLT DE X X 11/15/03 LEHMAN ABS CORP SPRINT CAPITAL BACK S DE X X 11/15/03 LEHMAN BROTHERS HOLDINGS INC DE X 11/25/03 LEXINGTON PRECISION CORP DE X X 11/25/03 LL&E ROYALTY TRUST TX X X X 11/25/03 LOEWS CORP DE X X 11/25/03 LOGIC DEVICES INC CA X X 11/25/03 LOUISVILLE GAS & ELECTRIC CO /KY/ KY X 11/25/03 MAJESTIC STAR CASINO LLC IN X 11/21/03 MARSH SUPERMARKETS INC IN X 11/25/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 11/24/03 MCDATA CORP DE X 11/25/03 MEDIA 100 INC DE X 11/25/03 MICHAELS STORES INC DE X 11/25/03 MICRO COMPONENT TECHNOLOGY INC MN X X 11/18/03 MICRON ENVIRO SYSTEMS INC NV X 11/21/03 MILLENNIUM CHEMICALS INC DE X 11/25/03 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 11/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/24/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/21/03 MOTHERS WORK INC DE X X 11/19/03 MTI TECHNOLOGY CORP DE X X 11/24/03 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 11/01/03 NATURAL RESOURCE PARTNERS LP DE X X 11/24/03 NATURES SUNSHINE PRODUCTS INC UT X X 11/24/03 NETWORKS ASSOCIATES INC/ DE X X 11/24/03 NEW CENTURY BANCORP INC NC X 11/10/03 NEWCASTLE INVESTMENT CORP MD X X 11/24/03 NEXT INC/TN DE X X 11/24/03 NEXT INC/TN DE X X 11/25/03 NORTH ATLANTIC TRADING CO INC NY X X 11/25/03 NORTHEAST UTILITIES SYSTEM MA X 11/25/03 NUTRACEUTICAL INTERNATIONAL CORP DE X X 11/25/03 NYMAGIC INC NY X X 11/24/03 OFFICE DEPOT INC DE X X 11/25/03 OMNI MEDICAL HOLDINGS INC UT X 09/05/03 AMEND ONYX ACCEPTANCE FIN CORP ONYX ACCEPT DE X X 11/10/03 ONYX ACCEPTANCE FINANCIAL CORP ONYX A DE X X 11/10/03 OWENS CORNING DE X X 10/24/03 AMEND PEGASUS COMMUNICATIONS CORP / DE X 11/25/03 PENN NATIONAL GAMING INC PA X X 11/24/03 PERRY-JUDDS INC DE X X X 11/20/03 PETRO HOLDINGS FINANCIAL CORP DE X X 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DE X X 11/25/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/26/03 CREDIT SUISSE FIST BOSTON HOME EQUITY DE X X 11/25/03 CRONOS GROUP N4 X X 11/17/03 CSFB MORTGAGE SEC CORP COMM MORT PASS DE X X 11/15/03 CSFB MORTGAGE SEC CORP HOME EQ ASSET DE X X 11/25/03 CSFB MORTGAGE SEC CORP HOME EQ MORT P DE X X 11/25/03 CWMBS INC DE X 11/26/03 DAIMLERCHRYSLER MASTER OWNER TRUST X X 11/14/03 DATA SYSTEMS & SOFTWARE INC DE X 11/14/03 DIGITAL INSIGHT CORP DE X X 11/25/03 DIGITALTHINK INC DE X 11/26/03 DISTRIBUTION FINANCIAL SERVICES FLOOR NY X X 10/31/03 DISTRIBUTION FINANCIAL SERVICES FLOOR NY X X 10/31/03 DIVIDEND CAPITAL TRUST INC MD X 11/21/03 DIXIE GROUP INC TN X X 11/12/03 DOMINION RESOURCES BLACK WARRIOR TRUS DE X X 11/19/03 EAST PENN FINANCIAL CORP X X 11/26/03 EDGE PETROLEUM CORP DE X X 11/26/03 EDUCATION LOANS INC /DE DE X X 11/25/03 ENERTEK CHEMICAL CORP X 11/24/03 ENTRADA NETWORKS INC DE X X 11/25/03 ENVIRONMENTAL MONITORING & TESTING CO DE X 11/10/03 EQUITY ONE ABS MORTGAGE PASS 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GALEY & LORD INC DE X X 11/19/03 GLOBAL PAYMENTS INC GA X X 11/26/03 GMAC EDUCATION LOAN FUNDING TRUST I DE X X 11/14/03 GOLD CAMP CRIPPLE CREEK COLORADO INC NV X X 11/20/03 GOLDEN PATRIOT CORP NV X 11/25/03 GREENPOINT MORT SEC INC MORT BACK PS DE X X 11/25/03 GS MORTGAGE SEC CORP MORTGAGE PASS TH DE X X 11/25/03 H&R BLOCK INC MO X 11/25/03 HALLIBURTON CO DE X 11/19/03 HANDLEMAN CO /MI/ MI X 11/25/03 HEALTHRENU MEDICAL INC CO X X 09/26/03 AMEND HOME EQUITY MORTGAGE PASS THROUGH CER DE X X 11/25/03 HOME EQUITY MORTGAGE PASS-THROUGH CER DE X X 11/25/03 HONDA AUTO RECEIVABLES 2002-1 OWNER T CA X X 10/31/03 HONDA AUTO RECEIVABLES 2002-2 OWNER T CA X X 10/31/03 HONDA AUTO RECEIVABLES 2002-3 OWNER T CA X X 10/31/03 HONDA AUTO RECEIVABLES 2002-4 OWNER T CA X X 10/31/03 HONDA AUTO RECEIVABLES 2003-1 OWNER T CA X X 10/31/03 HORMEL FOODS CORP /DE/ DE X X 11/26/03 HORMEL FOODS CORP /DE/ DE X 11/26/03 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE X 11/17/03 HOUSEHOLD AUTO RECEIVABLES CORP ASSET NV X 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11/26/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 11/24/03 MORT ASSET SEC TRANSACTIONS INC MASTR DE X X 11/25/03 MS STRUCTURED ASSET CORP DE X 11/01/03 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X 11/01/03 NANOBAC PHARMACEUTICALS INC FL X X 11/11/03 NATIONAL TAX CREDIT INVESTORS II CA X 11/24/03 NATIONAL TAX CREDIT PARTNERS L P CA X 11/24/03 NATIONSBANK OF DELAWARE NA DE X X 11/15/03 NETSCREEN TECHNOLOGIES INC DE X X 11/14/03 NEUBERGER BERMAN INC DE X X 11/01/03 NEWKIRK MASTER LP X X 11/24/03 NISSAN AUTO LEASING LLC II DE X 11/17/03 NISSAN AUTO RECEIVABLES 2003-B OWNER DE X 11/17/03 NORTHWESTERN CORP DE X X 11/26/03 NTL EUROPE INC DE X X 11/12/03 NTL EUROPE INC DE X X 11/26/03 NTL EUROPE INC DE X X 11/26/03 NUI CORP /NJ/ NJ X X 11/24/03 NUWAVE TECHNOLOGIES INC DE X X 10/30/03 AMEND OAKWOOD HOMES CORP NC X X 11/24/03 OIL DRI CORPORATION OF AMERICA DE X X X 11/25/03 ON SEMICONDUCTOR CORP DE X X 11/25/03 ONCTHERA INC DE X 11/25/03 ONYX ACCEPTANCE FIN CORP ONYX ACCEPT DE X 10/31/03 ONYX 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