SEC NEWS DIGEST Issue 2003-178 September 16, 2003 COMMISSION ANNOUNCEMENTS MATTHEW REES NAMED CHIEF SPEECHWRITER AND SENIOR ADVISER TO SEC CHAIRMAN DONALDSON SEC Chairman William H. Donaldson today announced the appointment of Matthew R. Rees to serve as Chief Speechwriter and Senior Adviser to the Chairman. Rees will contribute to and coordinate the Chairman's speeches, articles, and congressional testimony, and will provide strategic counsel on issues before the Commission. Rees, 35, previously served at the White House, as a Director for Foreign Policy Speechwriting on the National Security Council, where he wrote for President George W. Bush, National Security Adviser Condoleezza Rice, and Deputy National Security Adviser Stephen Hadley. Rees has also served as Chief Speechwriter & Strategic Adviser to the United States Trade Representative, Ambassador Robert B. Zoellick. Before joining the Bush Administration, Rees spent nearly 10 years as a journalist, working in Washington for The Weekly Standard, The Economist, and The New Republic, and in New York and Brussels for The Wall Street Journal. His freelance writing was published in a variety of publications, including The New York Times, The Washington Post, and Reader's Digest, and he is the author of "From the Deck to the Sea: Blacks and the Republican Party." Mr. Rees -- a native of Lafayette, Calif. -- is a graduate of Wesleyan University and a Term Member of the Council on Foreign Relations. (Press Rel. 2003-118) ENFORCEMENT PROCEEDINGS FORMER FIDELITY STOCKBROKER BARRED FROM THE SECURITIES INDUSTRY Thomas J. Connolly, formerly employed at a broker-dealer subsidiary of Fidelity Investments, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge. While employed at Fidelity, Connolly and another individual carried out a fraudulent scheme, to free-ride in options, through a Fidelity account Connolly opened in the name of the other individual's employer. Ultimately, the scheme lost $2.39 million, for which Fidelity became responsible. Connolly pleaded guilty to federal wire fraud charges growing out of the scheme. (Rel. 34-48487; File No. 3-11205) COMMISSION ISSUES ORDER SEEKING ADMINISTRATIVE RELIEF AGAINST FATHER AND SON INVESTMENT ADVISERS RECENTLY ENJOINED BY A FEDERAL DISTRICT COURT AND FOUND LIABLE FOR VIOLATING THE FEDERAL SECURITIES LAWS On September 15, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act (Order) against Michael Batterman (M. Batterman) and Randall Batterman (R. Batterman), both residents of Hackensack, New Jersey. In the Order, the Division of Enforcement alleges that the United States District Court for the Southern District of New York has issued permanent injunctions against M. Batterman and R. Batterman, and found them liable for using fraudulent misrepresentations and omissions of material fact to defraud five investors, who were M. Batterman's advisory clients, into purchasing at least $925,000 of the securities of Dynasty Fund Ltd., an open-end investment management company controlled by M. Batterman. The Commission instituted this administrative proceeding after the District Court entered a final judgment against M. Batterman and R. Batterman: (1) permanently enjoining them from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act; (2) ordering M. Batterman and R. Batterman each to disgorge $837,182, consisting of $475,000 in funds misappropriated from investors plus prejudgment interest of $362,182; and (3) imposing on each a civil penalty of $250,000 (SEC v. Michael Batterman, et al., 00 Civ. 4835, SDNY, LAP; LR- 18299). (Rel. IA-2171; File No. 3-11259) ADMINISTRATIVE PROCEEDINGS INSTITUTED, FINDINGS MADE AND REMEDIAL SANCTIONS IMPOSED AGAINST JEFFREY CONWAY On September 16, the Commission issued an Order Instituting Administrative Proceedings Pursuant To Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Jeffrey A. Conway. These proceedings stem from the Commission's investigation of a financial fraud involving Rent-Way, Inc., which resulted in the civil injunctive action SEC v. Rent-Way, Inc., et al., 03 Civ. 231E (W.D.Pa.) (Injunctive Action). The Order, which suspends Conway from appearing or practicing before the Commission as an accountant, follows the entry on July 23, 2003, of a permanent injunction against Conway in the Injunctive Action. Conway consented to the Order without admitting or denying the Commission's substantive findings, except that he admits to the entry of a final judgment in the Injunctive Action. The Commission's Complaint in the Injunctive Action alleged that Conway, Rent-Way's former president, CFO, COO and a director, and Matthew Marini, Rent-Way's former controller and chief accounting officer, directed a fraudulent accounting scheme that resulted in Rent-Way's under-reporting of a variety of expenses by approximately $60 million over a two-year period in 1999 and 2000. As alleged in the Complaint, Conway directed Marini to meet periodic earnings forecasts that Conway set, and Marini directed lower level employees to make fraudulent entries to Rent-Way's books and records. Conway also directed Jeffrey Underwood, Rent-Way's former senior vice president in charge of operations, to defer the recording of certain operating expenses at the end of fiscal years 1999 and 2000. In the Injunctive Action, the District Court entered a final judgment that permanently enjoins Conway from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and rules 13b2-1 and 13b2-2 thereunder, and from controlling any person that violates Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b- 20, 13a-1 and 13a-13 thereunder. The final judgment also bars Conway permanently from being an officer or a director of a public company, and directs Conway to pay disgorgement of losses he allegedly avoided on the sale of Rent-Way stock plus prejudgment interest in the amount of $159,417 and to pay a civil money penalty in the amount of $200,000. The District Court entered the final judgment pursuant to Conway's offer of settlement to the Commission, in which Conway neither admitted nor denied the allegations contained in the Complaint. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions against M. Batterman and R. Batterman are appropriate and in the public interest pursuant to Section 203(f) of the Investment Advisers Act. (Rel. 34-48492; AAE Rel. 1863; File No. 3-11260) COMMISSION INSTITUTES PROCEEDING AGAINST FORMER BANC OF AMERICA SECURITIES LLC BROKER THEODORE CHARLES SIHPOL III FOR "LATE TRADING" OF MUTUAL FUNDS September 16, the Commission issued an order instituting administrative and cease-and-desist proceedings as to Theodore Charles Sihpol III. The Division of Enforcement alleges that Sihpol, formerly a registered representative at Banc of America Securities LLC (BAS), enabled certain hedge fund customers to engage in "late trading" of mutual funds from 2001 to 2003. Late trading refers to the practice of placing orders to buy or sell mutual fund shares after the close of trading at 4:00 p.m. Eastern Time (ET), but receiving the price based on the prior net asset value already determined as of 4:00 p.m. The Division of Enforcement alleges that Sihpol initially enabled the hedge funds to late trade "manually." Sihpol or a member of his team would prepare and time stamp order tickets for the hedge funds' "proposed" trades prior to 4:00 p.m. ET. The hedge funds would decide whether to carry out the trades after 4:00 p.m. At that time, Sihpol or a member of his team would either use the order tickets to effect the hedge funds' trades or would discard the tickets if the hedge funds decided not to execute the trades. Sihpol thus created false order tickets that made it appear as if the orders had been received prior to 4:00 p.m. ET. The Division of Enforcement also alleges that, in the summer of 2001, BAS installed an electronic direct access system in the hedge funds' offices that enabled them to enter mutual fund trades directly into BAS' clearing function until 6:30 p.m. ET. The Division of Enforcement alleges that Sihpol violated and/or aided and abetted and caused violations of (i) Section 17(a) of the Securities Act of 1933, (ii) Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5, (iii) Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4, and (iv) Rule 22c-1 promulgated under Section 22(c) of the Investment Company Act of 1940. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Sihpol an opportunity to dispute the allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Administrative Law Judge shall issue an initial decision no later than 300 days from the date of the service of the order. The Commission instituted this proceeding in coordination with the New York Attorney General, who brought criminal charges in New York State Court against Sihpol. (In the Matter of Theodore Charles Sihpol III, Rel. 33-8288; 34-48493; IA-2172; IC-26179; File No. 3-11261; Press Rel. 2003-117) SEC FILES SARBANES-OXLEY ACT APPLICATION FOR TEMPORARY ORDER COMPELLING VIVENDI UNIVERSAL, S.A. TO ESCROW EXTRAORDINARY PAYMENTS TO ITS FORMER CEO JEAN-MARIE MESSIER The Commission announced that on September 16 it filed an application pursuant to Section 1103 of the Sarbanes-Oxley Act of 2002 in the U.S. District Court, Southern District of New York, naming Vivendi Universal, S.A. (Vivendi) as the Respondent. The application seeks an order compelling Vivendi to place in escrow, in an account subject to Court supervision, any extraordinary payments that Vivendi may make to its former CEO, Jean-Marie Messier (Messier), including payment Messier claims he is owed as part of his termination agreement with Vivendi. Section 1103 of the Sarbanes-Oxley Act authorizes the Commission to seek such a temporary order during an investigation into possible securities laws violations by a public company, or an officer, director, or other affiliate of a public company. Pursuant to the temporary order, the public company must escrow "extraordinary payments" that the public company likely may make to an officer, director, or affiliate. The Commission's staff has been investigating possible violations of the federal securities laws by Vivendi and its directors, officers, partners, controlling persons, agents, or employees pursuant to a formal order of private investigation issued by the Commission on November 14, 2002. On September 11, a New York court affirmed an arbitration panel decision ordering Vivendi to pay Messier _20,555,342 (or approximately $23 million) pursuant to a termination agreement with Vivendi. The SEC's application requests that the U.S. District Court order Vivendi to place in escrow, subject to court supervision, the money that Messier is claiming. [SEC v. Vivendi Universal, S.A., Case No. M-11-03, SDNY] (LR- 18352) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2003-64) filed by the Philadelphia Stock Exchange pursuant to Rule 19b-4 of the Securities Exchange Act of 1934 extending a pilot program to deploy the Exchange's Floor Broker Management System has become immediately effective. (Rel. 34-48490) PROPOSED RULE CHANGE The Cincinnati Stock Exchange filed a proposed rule change (SR-CSE-2003- 10) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend CSE Rule 11.9(u). Publication of the proposal is expected in the Federal Register during the week of September 15. (Rel. 34-48491) 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-1 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY, SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 - 0 ($247,250,000.00) Equity, (File 333-108794 - Sep. 15) (BR. 01) S-1 PROVIDENT BANCORP INC/NY/, 400 RELLA BLVD, MONTEBELLO, NY, 10901, 8453698040 - 18,253,750 ($182,537,500.00) Equity, (File 333-108795 - Sep. 15) (BR. 07) S-8 FAIRCHILD INTERNATIONAL CORP, 595 HORNBY STREET STE 600, VANCOUVER BRITISH COLUMBIA, CANADA V6B 2W5, A1, 00000, 6046691040 - 10,207,654 ($510,382.70) Equity, (File 333-108796 - Sep. 15) (BR. 09) S-4 PROVIDENT BANCORP INC/NY/, 400 RELLA BLVD, MONTEBELLO, NY, 10901, 8453698040 - 17,977,604 ($179,776,040.00) Equity, (File 333-108797 - Sep. 15) (BR. 07) S-8 ENESCO GROUP INC, 6308755300 - 0 ($209,750.00) Equity, (File 333-108798 - Sep. 15) (BR. 02) S-8 ENESCO GROUP INC, 6308755300 - 0 ($2,517,000.00) Equity, (File 333-108799 - Sep. 15) (BR. 02) S-8 US TELESIS HOLDINGS INC, P.O. BOX 415, BOSTON, MA, 02117, 3,000,000 ($15,000.00) Equity, (File 333-108800 - Sep. 15) (BR. 09) S-3 GREENWICH CAPITAL COMMERCIAL FUNDING CORP, 600 STEAMBOAT RD, GREENWICH, CT, 06830, 2036252756 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-108801 - Sep. 15) (BR. 07) S-8 ARISTOTLE CORP, 27 ELM STREET, NEW HAVEN, CT, 06510, 2038674090 - 1,500,000 ($5,799,336.63) Equity, (File 333-108802 - Sep. 15) (BR. 36) S-8 ARISTOTLE CORP, 27 ELM STREET, NEW HAVEN, CT, 06510, 2038674090 - 55,900 ($313,592.00) Equity, (File 333-108803 - Sep. 15) (BR. 36) S-4 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 5094583711 - 0 ($165,888,992.00) Equity, (File 333-108804 - Sep. 15) (BR. 07) S-8 ALBEMARLE CORP, 330 SOUTH FOURTH STREET, P O BOX 1335, RICHMOND, VA, 23218, 8047886000 - 0 ($83,880,000.00) Equity, (File 333-108805 - Sep. 15) (BR. 06) S-8 LNR PROPERTY CORP, 1601 WASHINGTON AVENUE, MIAMI BEACH, FL, 33139, 3056955500 - 2,000,000 ($82,060,000.00) Equity, (File 333-108806 - Sep. 15) (BR. 08) S-3 ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60025, 2245218204 - 0 ($149,363,325.00) Debt Convertible into Equity, (File 333-108807 - Sep. 15) (BR. 36) S-8 ESYNCH CORP/CA, 15502 MOSHER AVE, TUSTIN, CA, 92780, 9498331220 - 16,760,000 ($670,400.00) Equity, (File 333-108808 - Sep. 15) (BR. 02) S-3 FACTORY 2 U STORES INC, 4000 RUFFIN ROAD, 6TH FLR, SAN DIEGO, CA, 92123-1866, 3,075,000 ($16,666,550.00) Equity, (File 333-108809 - Sep. 15) (BR. 02) S-8 SKY FINANCIAL GROUP INC, 221 SOUTH CHURCH STREET, BOWLING GREEN, OH, 43402, 4193276300 - 200,000 ($4,602,000.00) Equity, (File 333-108810 - Sep. 15) (BR. 07) S-8 MANUGISTICS GROUP INC, 2115 E JEFFERSON ST, ROCKVILLE, MD, 20852, 3019845000 - 0 ($2,214,000.00) Equity, (File 333-108811 - Sep. 15) (BR. 03) F-6 SHINHAN FINANCIAL GROUP CO LTD, 120 2-GA TAEPYUNG RO JUNG GU, SEOUL100-102, F4, 00000, 82263603000 - 200,000,000 ($10,000,000.00) Equity, (File 333-108812 - Sep. 15) (BR. ) S-3 INVERESK RESEARCH GROUP INC, 11000 WESTON PARKWAY, SUITE 100, CARY, NC, 27513, 9194609005 - 0 ($222,720,000.00) Equity, (File 333-108813 - Sep. 15) (BR. 01) S-4 LNR PROPERTY CORP, 1601 WASHINGTON AVENUE, MIAMI BEACH, FL, 33139, 3056955500 - 350,000,000 ($350,000,000.00) Other, (File 333-108815 - Sep. 15) (BR. 08) S-3 STRATASYS INC, 14950 MARTIN DRIVE, EDEN PRAIRIE, MN, 55344, 9529373000 - 1,150,000 ($49,185,500.00) Equity, (File 333-108816 - Sep. 15) (BR. 03) S-8 UTSTARCOM INC, 1275 HARBOR BAY PARKWAY, STE 100, ALAMEDA, CA, 94502, 5108648800 - 5,895,487 ($188,503,804.55) Equity, (File 333-108817 - Sep. 15) (BR. 37) S-4 SUMMIT FINANCIAL SERVICES GROUP INC, 980 NORTH FEDERAL HIGHWAY, STE 310, BOCA RATON, FL, 33432, 5613382800 - 28,120,064 ($12,372,828.16) Equity, (File 333-108818 - Sep. 15) (BR. ) S-8 DML SERVICES INC, 8313942670 - 1,000,000 ($1,200,000.00) Equity, (File 333-108819 - Sep. 15) (BR. 04) S-3 TEKELEC, 26580 W AGOURA RD, CALABASAS, CA, 91302, 8188805656 - 0 ($125,000,000.00) Other, (File 333-108821 - Sep. 15) (BR. 37) 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. 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 ------------------------------------------------------------------------------------------------ A TIME TO GROW INC TX X 09/15/03 AASTROM BIOSCIENCES INC MI X X 09/15/03 ACTIVE LINK COMMUNICATIONS INC CO X 09/12/03 ALCAN INC A6 X 07/08/03 ALLEGHENY TECHNOLOGIES INC DE X 09/11/03 ALLETE INC MN X 09/15/03 AMEN PROPERTIES INC DE X X 08/30/03 AMERICAN EXPRESS CENTURION BANK UT X X 09/15/03 AMERICAN EXPRESS MASTER TRUST DE X X 09/15/03 AMERICAN FINANCIAL REALTY TRUST X 06/30/03 AMEND AMERICAN SCIENCE & ENGINEERING INC MA X X 09/15/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 09/15/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 09/15/03 ANTARES PHARMA INC MN X X 09/15/03 ANTHEM INC IN X 09/15/03 ARIZONA AIRCRAFT SPARES INC X X X X 07/16/03 AMEND ATLAS AIR INC DE X X 09/12/03 ATLAS AIR INC DE X 09/12/03 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 09/12/03 ATLAS AIR WORLDWIDE HOLDINGS INC DE X 09/12/03 AXIOM PHARMACEUTICALS INC NV X X 09/15/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 09/12/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X 09/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 09/10/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 09/15/03 BANYAN CORP /OR/ OR X X 09/15/03 BB&T CORP NC X 09/04/03 BEAR STEARNS ASSET BACKED SECURITIES DE X 08/29/03 BETTER MINERALS & AGGREGATES CO DE X 09/12/03 BIOPURE CORP DE X 08/21/03 BIOSOURCE INTERNATIONAL INC DE X X 09/11/03 CARMAX AUTO OWNER TRUST 2003-1 DE X X 09/15/03 CATALINA MARKETING CORP/DE DE X X 09/12/03 CATALYST LIGHTING GROUP INC DE X X X X 08/27/03 CC MASTER CREDIT CARD TRUST II MD X 09/15/03 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 09/10/03 CERES GROUP INC DE X X 09/12/03 CHIRON CORP DE X X 09/15/03 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 08/31/03 CLASSIC BANCSHARES INC DE X X 09/12/03 CNL HOSPITALITY PROPERTIES INC MD X X 08/15/03 COHESANT TECHNOLOGIES INC DE X X 09/15/03 COMPUCREDIT CORP GA X X 09/15/03 CONSECO INC DE X X X 09/09/03 COWLEY TECHNOLOGIES CORP DE X X X X 09/15/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/15/03 CRITICARE SYSTEMS INC /DE/ DE X X 09/12/03 CSFB MORTGAGE SEC CORP HM EQU PASS TH DE X X 08/25/02 CUTTER & BUCK INC WA X X 09/10/03 CWABS INC ASSET BACKED CERTS SER 2003 DE X 08/29/03 CWABS INC REVOLVING HOME EQ LOAN AST DE X X 09/15/03 CWABS REVOLVING HOME EQUITY LN ASSET DE X X 09/15/03 CYSIVE INC DE X X 09/14/03 DAIRENE INTERNATIONAL X X 01/03/03 AMEND DATALOGIC INTERNATIONAL INC DE X X 09/15/03 DAVITA INC DE X X 09/11/03 DIAMETRICS MEDICAL INC MN X X 09/15/03 DISCOVER CARD MASTER TRUST I DE X 09/15/03 DOBSON COMMUNICATIONS CORP OK X X 09/12/03 DOCUCON INCORPORATED DE X 09/05/03 DVI INC DE X X 09/08/03 DVI INC DE X X 09/11/03 EAGLE BROADBAND INC TX X X 09/11/03 EDISON SCHOOLS INC DE X 09/12/03 EDUCATION CAPITAL I LLC DE X X 09/01/03 EDUCATION FUNDING CAPITAL TRUST I X X 09/03/03 EDUCATION MANAGEMENT CORPORATION X X 09/15/03 ELDER BEERMAN STORES CORP OH X X 09/12/03 ELECTRIC AQUAGENICS UNLIMITED INC DE X X 09/12/03 ENSCO INTERNATIONAL INC DE X 09/15/03 ENTERPRISE PRODUCTS PARTNERS L P DE X X 09/12/03 F5 NETWORKS INC WA X X 07/23/03 AMEND FAIRFIELD MANUFACTURING CO INC DE X 09/15/03 FAMOUS DAVES OF AMERICA INC MN X X 09/12/03 FEDERAL NATIONAL MORTGAGE ASSOCIATION X X 09/15/03 FIND SVP INC NY X 07/01/03 AMEND FINGERHUT RECEIVABLES INC DE X 09/15/03 FIRST CHESAPEAKE FINANCIAL CORP VA X X 08/29/03 FLEET CREDIT CARD MASTER TRUST II NY X 09/15/03 FNANB CREDIT CARD MASTER TRUST X X 08/31/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 08/31/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 08/31/03 FULL HOUSE RESORTS INC DE X X 09/05/03 GENERAL MARITIME CORP/ X 09/05/03 GENTA INC DE/ DE X X 09/10/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X 09/01/03 GS MORTGAGE SECURITES CORP LOAN TRUST DE X X 08/29/03 GYRODYNE CO OF AMERICA INC NY X X 09/15/03 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 09/05/03 HEADWAY CORPORATE RESOURCES INC DE X X 09/15/03 HEILIG MEYERS CO VA X 07/31/03 HEMACARE CORP /CA/ CA X 09/15/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 07/25/02 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 08/25/02 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 08/25/02 HOUSTON EXPLORATION CO DE X X X 09/15/03 INDUSTRIAL MINERALS INC DE X 09/15/03 INTERFACE INC GA X X 09/15/03 INTERNATIONAL MONETARY SYSTEMS LTD /W WI X X 08/29/03 INTERNATIONAL SPEEDWAY CORP FL X 09/12/03 IPEC HOLDINGS INC NV X 09/08/03 IRVINE PACIFIC CORP CO X X X X 08/29/03 KCS ENERGY INC DE X 09/15/03 KILROY REALTY CORP MD X 09/12/03 KNOLOGY INC DE X 09/15/03 KOGER EQUITY INC FL X X X 09/11/03 LABOR READY INC WA X 09/15/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 09/15/03 LAKELAND BANCORP INC NJ X X 09/11/03 LEVI STRAUSS & CO DE X X 09/11/03 LEVI STRAUSS & CO DE X X 09/15/03 LINCOLN LOGS LTD NY X 09/15/03 LNR PROPERTY CORP DE X 09/12/03 LONG BEACH ACCEPTANCE CORP X X 09/15/03 LONG BEACH ACCEPTANCE CORP X X 09/15/03 LONG BEACH ACCEPTANCE CORP X X 09/15/03 MACKIE DESIGNS INC WA X 09/07/03 MALAN REALTY INVESTORS INC MI X X 09/09/03 MARKETSHARE RECOVERY INC DE X 07/18/03 AMEND MASTR ADJUSTABLE RATE MORTGAGE TRUST DE X X 07/29/03 MATRIX BANCORP INC CO X X 08/31/03 MAXWELL SHOE CO INC DE X X 09/08/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 08/31/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 08/31/03 MBNA CORP MD X 08/31/03 MCDONALDS CORP DE X 09/08/03 MCK COMMUNICATIONS INC DE X X 09/15/03 MEDICAL STAFFING NETWORK HOLDINGS INC DE X X 09/15/03 MEDIFAST INC DE X 09/12/03 MEMRY CORP DE X 09/09/03 METRIS RECEIVABLES INC DE X 08/31/03 METRIS RECEIVABLES INC DE X 08/31/03 MICRON ENVIRO SYSTEMS INC NV X 09/15/03 MIKOHN GAMING CORP NV X X 09/12/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 07/30/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X X 06/30/03 AMEND NATIONAL PENN BANCSHARES INC PA X X X 09/11/03 NATUROL HOLDINGS LTD DE X X 08/27/03 NEW WORLD PASTA CO DE X X 09/15/03 NEW YORK COMMUNITY BANCORP INC DE X X 09/15/03 NEWFIELD EXPLORATION CO /DE/ DE X 09/15/03 NORTHWESTERN CORP DE X X 09/12/03 NORTHWESTERN CORP DE X X X 09/14/03 NTL EUROPE INC DE X X 09/12/03 OLD GOAT ENTERPRISES INC NV X X 09/08/03 OPTICAL CABLE CORP VA X X 09/11/03 OUTDOOR CHANNEL HOLDINGS INC AK X X 09/15/03 PACIFIC REALM INC DE X 09/12/03 PANERA BREAD CO DE X 09/15/03 PARLUX FRAGRANCES INC DE X 09/09/03 PARTNERRE LTD X 09/12/03 PATTERSON DENTAL CO MN X X X 09/12/03 PAUL SON GAMING CORP NV X 09/12/03 PFF BANCORP INC DE X 09/15/03 PINNACLE ENTERTAINMENT INC DE X X 09/15/03 PMC CAPITAL INC FL X X 09/11/03 PMC COMMERCIAL TRUST /TX TX X X 09/11/03 PNC FINANCIAL SERVICES GROUP INC PA X X 09/15/03 PNM RESOURCES INC NM X 08/31/03 PPL MONTANA LLC DE X X 09/15/03 PRAECIS PHARMACEUTICALS INC DE X 09/15/03 PRICESMART INC DE X X 09/12/03 PRIME RECEIVABLES CORP DE X 09/15/03 PROVIDIAN FINANCIAL CORP DE X 08/31/03 PROXIM CORP DE X X 09/15/03 QUINTILES TRANSNATIONAL CORP NC X X 09/13/03 REXHALL INDUSTRIES INC CA X X 12/20/02 AMEND RIVIERA HOLDINGS CORP NV X X 09/15/03 SANDISK CORP DE X 09/15/03 SCIENCE APPLICATIONS 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