SEC NEWS DIGEST Issue 2003-203 October 24, 2003 ENFORCEMENT PROCEEDINGS COMMISSION DISMISSES DISCIPLINARY ACTION AGAINST PRIVATE BROKERS CORPORATION, ROBERT ROBERTS, AND MATTHEW JENNINGS, AND INCREASED SANCTIONS ORDERED AGAINST REMAINING RESPONDENTS The Commission has dismissed disciplinary action against Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings, and increased the sanctions ordered against the remaining respondents, Del Mar Financial Services, Inc. and Kevin C. Dills. The disciplinary action arose out of two fraudulent schemes involving the stock of Comparator Systems Corporation. The law judge determined that Del Mar and its sole owner, Dills, engaged in a scheme to promote Comparator stock during 1995 and early 1996 in which Dills received kickbacks that he did not disclose to customers who bought Comparator stock. The law judge also determined that in May 1996 Del Mar and Dills engaged in a scheme to falsify the sales prices of customer trades in Comparator stock in order to avoid enormous losses to the firm. The law judge concluded that Dills and Del Mar violated, and aided, abetted, and caused violations of, the antifraud, net capital, and books and records provisions of the securities laws. However, the law judge also concluded, in connection with the May 1996 price changing scheme, that Del Mar's clearing firm and its president, Private Brokers and Roberts, and Del Mar's trader, Jennings, did not engage in wrongdoing, and accordingly dismissed the charges against them. The law judge barred Dills from association with any broker or dealer, revoked Del Mar's broker-dealer registration, required Del Mar and Dills to pay civil money penalties of $500,000 and $200,000, respectively, and entered cease-and-desist orders against them. The law judge further ordered Dills to disgorge $496,175, plus pre-judgment interest, in ill- gotten gains from the stock promotion scheme. The law judge ordered Del Mar and Dills, jointly and severally, to disgorge $505,502.50, plus prejudgment interest, in ill-gotten gains from the price changing scheme. In the law judge's view, the $505,502.50 figure represented the proven gains from those customers who testified at the hearing. The Division of Enforcement appealed, seeking review of the dismissal of the charges against Private Brokers, Roberts, and Jennings. The Division also sought an increase in the amount of disgorgement ordered jointly and severally against Del Mar and Dills from $505,502.50 to $860,159.38. Because Del Mar and Dills did not appeal the law judge's decision, it became final as to them, except as to disgorgement. The Commission concluded that the violations alleged against Private Brokers and Roberts were not proven. The Commission found no evidence that Private Brokers or Roberts engaged in wrongdoing, or that they contributed to Dills' and Del Mar's fraud. The Commission stated that their conduct reflected nothing more than the performance of their activities as clearing brokers in addressing trading problems resulting from an introducing broker's actions. The Commission also concluded that the violations alleged against Jennings were not proven. Jennings argued that he participated in the price changing scheme only under duress, consisting of credible threats of violence by Dills. The Commission stated that it did not believe the duress here provided an affirmative defense to the violations charged, but that, as a matter of equity on the unique facts of the case, it would not second guess the law judge's determination that Jennings was not liable under the securities laws. The Commission ordered that Dills and Del Mar jointly and severally pay disgorgement in the amount of $860,159.38. The Commission determined, based on its independent review of the record evidence, that the $860,159.38 figure was a reasonable approximation of Del Mar's and Dills' ill-gotten gains from all Del Mar customers who sold their Comparator stock on the relevant dates, and not just those customers who testified at the hearing. (Rels. 33-8314; 34-48691; File No. 3-9959) COMMISSION SETTLES WITH MOTIVATIONAL SPEAKER The Commission announced that on October 3 the federal district court in Seattle, Washington entered a permanent injunction against defendant Clifford G. Baird, 60, of Scottsdale, Arizona, the managing director of Cascade Pointe, LLC (Cascade) and author of the book, Power of a Positive Self-Image. Based in Arizona and the Caribbean island of Nevis, Cascade touted itself as "one of the nation's premier private investment firms" and as believing in "investments based on rock-solid financials." As the Commission's complaint alleged, however, Cascade was created in order to evade a Washington state Cease-and-Desist order against Health Maintenance Centers, Inc. (HMC). The Commission's complaint alleged that HMC, Cascade and Znetix, Inc. raised more than $91 million from more than 5,000 investors nationwide with false promises of an imminent, lucrative initial public offering of Znetix. Without admitting or denying the Commission's allegations, Baird consented to the entry of a judgment permanently enjoining him from future violations of the securities registration provisions of the federal securities laws (Sections 5(a) and 5(c) of the Securities Act of 1933). Baird also agreed to disgorge his ill-gotten gains from the stock offerings in the amount of $374,077.36 and pay prejudgment interest in the amount of $8,875.48. The Court retained jurisdiction to determine the penalty, if any, Baird must pay for his violations of the securities registration provisions. The Commission's case is pending against the remaining defendants, Kevin L. Lawrence, Donovan C. Claflin, and Kimberly Alexander. On July 31, 2002, a federal grand jury in Seattle returned a sixty-four count indictment, charging Lawrence with securities fraud, wire fraud, mail fraud, money laundering, and conspiracy to commit those offenses. On July 28, 2003, Lawrence pled guilty in federal court in Tacoma, Washington to one count of securities fraud, one count of wire fraud and one count of conspiracy to commit securities fraud, wire fraud, mail fraud, unlawful sale of unregistered securities, money laundering, and engaging in monetary transactions with proceeds of unlawful activity. The U.S. Attorney will recommend the imposition of a 20-year prison sentence. There are eleven other criminal defendants. Six of those, including Baird, have pled guilty. On July 30, 2002, Baird pled guilty to conspiracy to commit securities, mail and wire fraud, and money laundering, and he faces a maximum penalty of five years imprisonment. [SEC v. Health Maintenance Centers, Inc., et al., Civil Action No. C 02- 0153 P, WD Wash.] (LR-18423) COMMISSION OBTAINS FINAL INJUNCTION IN AN OIL AND GAS WELL TELEMARKETING SCHEME The Commission announced that on October 8 the U.S. District Court in Los Angeles entered final judgments of permanent injunction against all defendants in an oil and gas well offering fraud scheme run by Shoreline Development Company and four individuals. The Commission's complaint alleged that from 2000 to August 2002, the defendants fraudulently raised at least $3.8 million from investors, purportedly for investments in oil and gas wells. The defendants are Shoreline Development Co., a Delaware company that was headquartered in Costa Mesa, California; Todd J. Taylor, 37; Derek K. Gradwell, 30; Paul A. Barrios III, 42; and Dennis P. O'Connell, Jr., 31, all of Orange County, California. Taylor and Barrios were repeat securities law violators. In 1999, in a prior case brought by the Commission, Taylor was ordered by a federal district court not to sell securities without registering with the Commission as a broker-dealer. In 2000, Barrios was the subject of a cease-and-desist order issued by the Commission suspending him for twelve months from association with any broker or dealer. In its complaint, the Commission alleged that during the offering, Shoreline, Taylor and Gradwell made misrepresentations about the performance of Shoreline's wells, a purported business relationship with El Paso Field Services, and their use of investor funds. These defendants concealed their misappropriation from investors of more than $1.2 million to pay for lavish vacations, a wedding and honeymoon, a vacation home, gambling debts, customized motorcycles and other luxury items. Previously, the district court appointed a receiver to take control of Shoreline for the benefit of investors. The district court entered a final judgment of permanent injunction against Shoreline, pursuant to consent, enjoining it from violating the antifraud and the securities registration provisions. The judgment ordered Shoreline to pay in disgorgement $5,005,499.25, the amount raised from investors, including prejudgment interest. As part of the settlement, Shoreline did not admit or deny the Commission's allegations. The receiver is in the process of collecting Shoreline's assets, the net proceeds of which will be distributed to investors pursuant to a plan approved at a later date by the district court. The Commission also obtained a final judgment of permanent injunction enjoining Taylor and Gradwell from committing securities fraud in violation of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from violating the securities registration provisions of Sections 5(a) and 5(c) of the Securities Act. Taylor and Gradwell were each ordered to pay a penalty in the amount of $120,000. The final judgment of permanent injunction also enjoins Barrios and O'Connell from violating the securities registration provisions of Sections 5(a) and 5(c) of the Securities Act and from committing violations of the broker-dealer registration provisions of Section 15(a) of the Exchange Act. Barrios and O'Connell were each ordered to pay a penalty in the amount of $50,000. In addition, Taylor and a shell corporation he controlled, Coastal Resources, Inc., were ordered to disgorge the sum of $488,773.99. Gradwell and a shell corporation he controlled, Epic Consulting, Inc., were ordered to disgorge the sum of $670,624.46. A shell corporation controlled by Taylor and Gradwell, Shoreline Holdings and Acquisitions, Inc., was ordered to disgorge the sum of $42,424.37. Barrios was ordered to disgorge the sum of $13,328.31. O'Connell and a shell corporation he controlled, Northstar Acquisitions and Holdings, Inc., were ordered to disgorge the sum of $233,409.05. The disgorgement amounts represent the amounts of the defendants' ill-gotten gains as a result of the conduct alleged in the complaint, including prejudgment interest. Finally, in a separate default judgment, Spartan Consulting, Inc., a relief defendant which received investor funds from Shoreline, was ordered to disgorge $78,321.82, which represents the amount of Spartan's ill-gotten gains as a result of the conduct alleged in the complaint, including prejudgment interest. Spartan failed to file an answer to the Commission's complaint. The judgments entered against Shoreline, Taylor, Gradwell, Barrios, O'Connell, Coastal, Epic, Northstar, Shoreline Holdings and Acquisitions, and Spartan conclude the Commission's action. For further information, see LR-17702 (Aug. 28, 2002). [SEC v. Shoreline Development Company, Todd J. Taylor, Derek K. Gradwell, Paul A. Barrios III, Dennis P. O'Connell, Jr., Epic Consulting Services, Inc., Coastal Resources, Inc., Northstar Acquisitions and Holdings, Inc., Shoreline Holdings and Acquisitions, Inc. and Spartan Consulting, Inc., Case No. CV02-6695 RSWL (Ex) C.D. Cal.] (LR-18424) COURT ISSUES PRELIMINARY INJUNCTION AND APPOINTS RECEIVER OVER UNREGISTERED INVESTMENT ADVISER CHARGED WITH FRAUD The Commission announced that on October 21 the Honorable Stephen V. Wilson, U.S. District Judge for the Central District of California, issued orders (1) preliminarily enjoining National Financial Systems, Inc. (NFSI) and Terese Herwick, NFSI's owner and president, from committing securities fraud, and (2) appointing a receiver over NFSI and all of its operations. NFSI is a Santa Monica, Calif. third-party administrator of retirement plans that also manages an unregistered pool of assets known as the "Fixed Fund." The court authorized the receiver to, among other things, take control of the assets of NFSI, locate and account for any missing assets of NFSI, make an accounting of the assets of NFSI, and employ attorneys to prosecute claims resulting from the activities of NFSI. On Sept. 25, 2003, the Commission filed a complaint alleging that NFSI and Herwick defrauded the Fixed Fund's clients and prospective clients by concealing a massive decline in the value of the Fixed Fund's assets, by providing clients with false and misleading account statements, and by taking over $1.2 million in undisclosed management fees. More specifically, the Commission's complaint alleges that in 1999, NFSI assumed management of the "Fixed Fund," an unregistered pool of assets consisting of real estate, equity securities, mutual funds, and bonds. Although Herwick knew that a significant number of Fixed Fund assets had not performed for years or had been foreclosed upon, neither NFSI nor Herwick disclosed these facts to the Fixed Fund's investors. In January 2002, NFSI wrote off the worthless assets, another fact that NFSI and Herwick never disclosed to Fixed Fund investors. The value of the Fixed Fund's assets has fallen to approximately 50% of the amount owed to Fixed Fund investors as principal and purported accrued dividends. As of March 31, 2003, the value of the Fixed Fund's assets totaled no more than $7.4 million while the amounts it owed investors in principal and purported accrued returns totaled at least $14.1 million. NFSI never disclosed this fact to Fund investors either. Instead, the complaint alleges, NFSI continued to promote the Fixed Fund as an investment vehicle that purportedly seeks preservation and protection of capital while providing regular monthly cash distributions. Moreover, NFSI has provided Fixed Fund investors with quarterly account statements that purport to credit those investors with their contracted-for rates of return -- returns which have not been generated by the Fund's underlying assets and which neither the Fund nor NFSI can possibly repay. In addition, NFSI defrauded the Fixed Fund and its investors by charging the Fixed Fund an undisclosed management fee, which for 2002 constituted more than 10% of the value of the Fixed Fund's assets. In 2002, NFSI took over $700,000 in management fees, while in 2001 it took over $520,000 in fees, none of which was disclosed to investors. The Commission's complaint alleges that NFSI and Herwick's conduct violated the antifraud provisions of the federal securities laws, 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 (2) of the Investment Advisers Act of 1940. The Commission's complaint asks the Court to permanently enjoin NFSI and Herwick from future violations of the foregoing provisions; to order NFSI and Herwick to disgorge, with prejudgment interest, all ill-gotten gains from their illegal conduct; and to pay civil penalties. [SEC v. National Financial Systems, Inc. and Terese Herwick, Civil Action No. CV 03-6908 SVW (JTLx) C.D. Cal.] (LR-18425) INVESTMENT COMPANY ACT RELEASES LINCOLN NATIONAL SOCIAL AWARENESS FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Social Awareness Fund, Inc. has ceased to be an investment company. (Rel. IC-26218 - October 22) LINCOLN NATIONAL GLOBAL ASSET ALLOCATION FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Global Asset Allocation Fund, Inc. has ceased to be an investment company. (Rel. IC-26219 - October 22) LINCOLN NATIONAL CAPITAL APPRECIATION FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Capital Appreciation Fund, Inc. has ceased to be an investment company. (Rel. IC-26220 - October 22) LINCOLN NATIONAL BOND FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Bond Fund, Inc. has ceased to be an investment company. (Rel. IC-26221 - October 22) LINCOLN NATIONAL SPECIAL OPPORTUNITIES FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Special Opportunities Fund, Inc. has ceased to be an investment company. (Rel. IC-26222 - October 22) LINCOLN NATIONAL EQUITY-INCOME FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Equity-Income Fund, Inc. has ceased to be an investment company. (Rel. IC-26223 - October 22) LINCOLN NATIONAL INTERNATIONAL FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National International Fund, Inc. has ceased to be an investment company. (Rel. IC-26224 - October 22) LINCOLN NATIONAL MANAGED FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Managed Fund, Inc. has ceased to be an investment company. (Rel. IC-26225 - October 22) LINCOLN NATIONAL GROWTH AND INCOME FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Growth and Income Fund, Inc. has ceased to be an investment company. (Rel. IC-26226 - October 22) LINCOLN NATIONAL MONEY MARKET FUND, INC. An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Lincoln National Money Market Fund, Inc. has ceased to be an investment company. (Rel. IC-26227 - October 22) HOLDING COMPANY ACT RELEASES CONECTIV ENERGY HOLDING COMPANY, ET AL. An order has been issued approving a proposal by Conectiv Energy Holding Company (CEH), a registered holding company and ACE REIT, Inc. (ACE REIT), a registered holding company subsidiary of CEH. CEH and ACE REIT no longer own public utility companies and request to deregister under the Act. (Rel. 35-27741) ALLIANT ENERGY CORPORATION, ET AL. A notice has been issued giving interested persons until Nov. 17, 2003, to request a hearing on a proposal filed by Alliant Energy Corporation (Alliant), a registered holding company under the Act, Alliant Energy Resources, Inc. (AER), and AER's direct nonutility subsidiaries, including Whiting Petroleum Corporation (WPC) (collectively, Applicants). Applicants request that the Commission modify a prior Commission order by authorizing WPC and its subsidiaries to invest up to $800 million at any one time outstanding in energy assets and reducing AER's current investment limitation to $200 million through Dec. 31, 2004. Applicants state that the result would be an increase the amount of the overall investment limitation in energy assets from $800 million to $1 billion. (Rel. 35-27742) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2003-19) to amend certain provisions of its rules relating to the governance of issuers that list securities on the Exchange. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48669) The Pacific Exchange filed a proposed rule change (SR-PCX-2003-38), and Amendment No. 1 thereto, relating to the establishment of a "cross-and- post" order type for the Archipelago Exchange. (Rel. 34-48676) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by Nasdaq Liffe Markets (SR-NQLX-2003-06) to amend NQLX Rules 412(g) and 420(b) to make its allocation and claim requirements for block trades and exchange for physical trades consistent with the Commodity Futures Trading Commission's rule relating to allocation of bunched orders 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 October 27. (Rel. 34-48670) A proposed rule change (SR-Phlx-2003-69) filed by the Philadelphia Stock Exchange relating to temporarily waive membership transfer fees has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48673) A proposed rule change (SR-NYSE-2003-32) filed by the New York Stock Exchange capping the Original Listing Fee Applicable to Closed-End Funds has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48685) DELISTING GRANTED An order has been issued granting the application of the International Securities Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying common stock of the following companies, effective at the opening of business on October 24: Applera Corporation - Celera Genomics Group, Inc. (CRA) iShares Russell 3000 Index Fund (IWV) J.D. Edwards & Company (JDEC) Quintiles Transnational Corp. (QTRN) (Rel. 34-48686) 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-3 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP, 1001 AIR BRAKE AVE, WILMERDING, PA, 15148, 4128251000 - 0 ($94,182,010.00) Equity, (File 333-109909 - Oct. 23) (BR. 05) S-8 TENERA INC, 4155364744 - 264,500 ($2,645.00) Other, (File 333-109910 - Oct. 23) (BR. 06) S-1 SWITCHBOARD INC, 120 FLANDERS RD, WESTBOROUGH, MA, 01581, 5088981122 - 10,137,421 ($78,970,509.59) Equity, (File 333-109911 - Oct. 23) (BR. 08) S-8 TENERA INC, 4155364744 - 1,478,750 ($14,787.50) Other, (File 333-109912 - Oct. 23) (BR. 06) S-8 YAHOO INC, 4083493300 - 0 ($401,882,889.70) Equity, (File 333-109914 - Oct. 23) (BR. 03) S-8 ALADDIN KNOWLEDGE SYSTEMS LTD, 15 BEIT IVED ST, TEL AVIV ISRAEL, L5, 61110, 9725375795 - 250,000 ($2,053,625.00) Other, (File 333-109915 - Oct. 23) (BR. 03) SB-2 FLIGHT SAFETY TECHNOLOGIES INC, 28 COTTRELL, STREET, MYSTIC, CT, 06355, 8602450191 - 5,000,000 ($22,075,000.00) Equity, (File 333-109916 - Oct. 23) (BR. 05) S-8 AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 4,248,880 ($23,210,159.00) Equity, (File 333-109917 - Oct. 23) (BR. 36) N-2 DREMAN CLAYMORE DIVIDEND & INCOME FUND, 50,000 ($1,000,000.00) Equity, (File 333-109918 - Oct. 23) (BR. 17) S-2 HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW ST, P O BOX 2999, SIMSBURY, CT, 06089, 8608435445 - 0 ($1,000,000,000.00) Other, (File 333-109919 - Oct. 23) (BR. 20) S-3 WASHINGTON MUTUAL INC, 1201 THIRD AVE, STE 1500, SEATTLE, WA, 98101, 2064612000 - 0 ($5,000,000,000.00) Other, (File 333-109921 - Oct. 23) (BR. 07) S-3 MAGNA ENTERTAINMENT CORP, 337 MAGNA DRIVE, AURORA, ONTARIO CANADA, A6, L4G 7K1, 9057262462 - 300,000,000 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-109922 - Oct. 23) (BR. 05) S-3 ENTERGY GULF STATES INC, 350 PINE ST, BEAUMONT, TX, 77701, 409-838-6631 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-109923 - Oct. 23) (BR. 02) S-3 24/7 REAL MEDIA INC, 1250 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10001, 2122317100 - 0 ($21,241,070.78) Equity, (File 333-109925 - Oct. 23) (BR. 02) S-3 IRVINE SENSORS CORP/DE/, 3001 REDHILL AVE, COSTA MESA, CA, 92626, 7145498211 - 1,902,165 ($2,682,052.65) Equity, (File 333-109926 - Oct. 23) (BR. 36) S-4 ALASKA COMMUNICATIONS SYSTEMS HOLDINGS INC, 600 TELEPHONE AVENUE, -, ANCHORAGE, AK, 99503, 9072973000 - 0 ($176,032,002.00) Non-Convertible Debt, (File 333-109927 - Oct. 23) (BR. 37) S-3 COMTECH TELECOMMUNICATIONS CORP /DE/, 105 BAYLIS RD, MELVILLE, NY, 11747, 6317778900 - 171,844 ($4,736,020.64) Equity, (File 333-109928 - Oct. 23) (BR. 37) S-3 PRICELINE COM INC, 800 CONNECTICUT AVE, NORWALK, CT, 06854, 2037053000 - 0 ($125,625,000.00) Debt Convertible into Equity, (File 333-109929 - Oct. 23) (BR. 03) S-8 SILVERSTAR HOLDINGS LTD, 6100 GLADES ROAD SUITE 305, BOCA RATON, FL, 33434, 5614790040 - 625,000 ($585,250.00) Equity, (File 333-109932 - Oct. 23) (BR. 05) S-4 MERITAGE CORP, 8501 E. PRINCESS DRIVE, STE 290, SCOTTSDALE, AZ, 85255, 4802222444 - 0 ($81,750,000.00) Non-Convertible Debt, (File 333-109933 - Oct. 23) (BR. 06) S-1 COGENT COMMUNICATIONS GROUP INC, 1015 31ST STREET, WASHINGTON, DC, 20007, 2022954200 - 0 ($382,163.00) Equity, (File 333-109934 - Oct. 23) (BR. 03) SB-2 CENTREX INC, 9202 S. TOLEDO, AVENUE, TULSA, OK, 74137, 918-494-2880 - 73,087,804 ($10,090,517.00) Equity, (File 333-109935 - Oct. 23) (BR. 36) S-8 ROCKY MOUNTAIN CHOCOLATE FACTORY INC, 265 TURNER DR, DURANGO, CO, 81301, 3032590554 - 0 ($905,600.00) Equity, (File 333-109936 - Oct. 23) (BR. 04) 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 ------------------------------------------------------------------------------------------------ 1 800 FLOWERS COM INC DE X X 10/23/03 AAIPHARMA INC DE X X X 10/22/03 ABINGTON BANCORP INC MA X X 10/23/03 ABLEST INC DE X X 10/23/03 ACE CASH EXPRESS INC/TX TX X X 10/23/03 ACTION PERFORMANCE COMPANIES INC AZ X X 10/22/03 ACTION PRODUCTS INTERNATIONAL INC FL X X 10/05/03 ACTIVE POWER INC DE X 10/23/03 ADOLOR CORP X X 10/22/03 ADVANCED MEDICAL OPTICS INC DE X X 10/23/03 ADVANCED NEUROMODULATION SYSTEMS INC TX X 10/23/03 ADVENT SOFTWARE INC /DE/ DE X X 10/23/03 AJS BANCORP INC DE X X 10/22/03 ALABAMA NATIONAL BANCORPORATION DE X X 10/22/03 ALASKA PACIFIC BANCSHARES INC AK X 10/21/03 ALBERTO CULVER CO DE X X X 10/22/03 ALIGN TECHNOLOGY INC DE X X 10/23/03 ALLEGIANT BANCORP INC/MO/ MO X 09/30/03 ALLIANCE SEMICONDUCTOR CORP /DE/ DE X X 10/23/03 ALLSCRIPTS HEALTHCARE SOLUTIONS INC DE X 10/23/03 ALLTEL CORP DE X 10/23/03 AMBASSADORS GROUP INC DE X 10/16/03 AMC ENTERTAINMENT INC DE X X 10/02/03 AMERICAN ECOLOGY CORP DE X X 10/23/03 AMERICAN ELECTRIC POWER CO INC NY X X 10/23/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X 10/22/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X 10/22/03 AMERICAN INSURED MORTGAGE INVESTORS S CA X 10/22/03 AMERICAN INTERNATIONAL GROUP INC DE X 10/23/03 AMERICAN MANAGEMENT SYSTEMS INC DE X X 10/23/03 AMERICAN PHARMACEUTICAL PARTNERS INC DE X X 10/23/03 AMERICAN TOWER CORP /MA/ DE X X 10/23/03 AMERICREDIT CORP TX X X 10/23/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 10/22/03 ANACOMP INC IN X X 10/23/03 ANACOMP INC IN X X 10/22/03 ANAREN INC NY X X 10/23/03 ANDERSONS INC OH X 10/22/03 ANGLOTAJIK MINERALS INC NV X 10/23/03 ANTIGENICS INC /DE/ DE X X X 10/23/03 APACHE CORP DE X X 10/23/03 APPALACHIAN BANCSHARES INC GA X 10/22/03 APPLEBEES INTERNATIONAL INC DE X 10/22/03 APPLIED MICRO CIRCUITS CORP DE X X 10/23/03 APPLIX INC /MA/ MA X 10/23/03 APROPOS TECHNOLOGY INC X X 10/21/03 APTIMUS INC WA X 10/23/03 ARABIAN AMERICAN DEVELOPMENT CO DE X X 10/16/03 ARKANSAS BEST CORP /DE/ DE X X 10/22/03 ARRIS GROUP INC DE X X 10/22/03 ARROW ELECTRONICS INC NY X 10/23/03 ARTISAN COMPONENTS INC DE X X 10/23/03 ASCENTIAL SOFTWARE CORP DE X 10/23/03 ASHLAND INC KY X X 10/23/03 ASTRONICS CORP NY X 09/27/03 AT ROAD INC CA X X 10/23/03 ATHEROGENICS INC GA X X 10/23/03 ATLANTIC LIBERTY FINANCIAL CORP DE X 09/30/03 ATLANTIC LIBERTY FINANCIAL CORP DE X 09/30/03 AMEND ATMI INC DE X X 10/22/03 AUDIOVOX CORP DE X X 10/16/03 BAKER HUGHES INC DE X X X 10/23/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/22/03 BEAR STEARNS ALT A TRUST 2003-2 DE X 10/22/03 BEBE STORES INC CA X X 09/30/03 BELDEN INC DE X X 10/23/03 BEMIS CO INC MO X 10/23/03 BENCHMARK ELECTRONICS INC TX X X 10/23/03 BERKSHIRE HILLS BANCORP INC X X 10/22/03 BERRY PLASTICS CORP DE X X 10/23/03 BEST BUY CO INC MN X X 10/21/03 BEVERLY ENTERPRISES INC DE X X 10/17/03 BINDVIEW DEVELOPMENT CORP TX X X X 10/23/03 BIORELIANCE CORP DE X 10/22/03 BLUE RIVER BANCSHARES INC IN X X 10/22/03 BORLAND SOFTWARE CORP DE X 10/23/03 BRASS EAGLE INC DE X X X 10/22/03 BRIDGE STREET FINANCIAL INC NY X X X 10/17/03 BRISTOL MYERS SQUIBB CO DE X X X 10/23/03 BRITTON & KOONTZ CAPITAL CORP MS X X 10/22/03 BRUSH ENGINEERED MATERIALS INC X 10/23/03 BSB BANCORP INC DE X 10/22/03 BSQUARE CORP /WA WA X X 10/23/03 BUCA INC /MN MN X X 10/22/03 BUSINESS OBJECTS SA X X 10/23/03 C2 INC WI X X 10/21/03 CABOT CORP DE X X 10/22/03 CABOT MICROELECTRONICS CORP DE X X 10/23/02 CACI INTERNATIONAL INC /DE/ DE X 10/22/03 CALGON CARBON CORPORATION DE X 10/21/03 CALGON CARBON CORPORATION DE X 10/22/03 CALIFORNIA INDEPENDENT BANCORP CA X X 10/22/03 CALIFORNIA MICRO DEVICES CORP CA X X 10/23/03 CALIFORNIA PIZZA KITCHEN INC CA X X 10/23/03 CALIFORNIA WATER SERVICE GROUP DE X 10/22/03 CALLAWAY GOLF CO /CA DE X X 10/23/03 CALLOWAYS NURSERY INC TX X 10/23/03 CALPINE CORP DE X X 12/31/02 CALWEST BANCORP CA X X 10/23/03 CAPSOURCE FINANCIAL INC CO X 10/21/03 CAPSTEAD MORTGAGE CORP MD X X 10/22/03 CARDINAL HEALTH INC OH X 10/23/03 CELGENE CORP /DE/ DE X X 10/23/03 CENTER BANCORP INC NJ X X 09/30/03 CENTILLIUM COMMUNICATIONS INC DE X X 10/23/03 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X 10/23/03 AMEND CENTRAL PACIFIC FINANCIAL CORP HI X 10/23/03 CENTRAL VERMONT PUBLIC SERVICE CORP VT X X 10/23/03 CERTEGY INC GA X X 10/23/03 CHARLES & COLVARD LTD NC X 10/22/03 CHARLOTTE RUSSE HOLDING INC X X X 10/23/03 CHOICE ONE COMMUNICATIONS INC DE X X 10/21/03 CHOICEONE FINANCIAL SERVICES INC MI X X 10/23/03 CHOICEPOINT INC GA X X 10/21/03 CIT GROUP INC DE X X X X 10/22/03 CIVITAS BANKGROUP INC TN X X 10/21/03 CNB FLORIDA BANCSHARES INC FL X 10/22/03 CNB HOLDINGS INC /GA/ X X 10/23/03 CNH CAPITAL RECEIVABLES INC DE X X 10/15/03 CNH RECEIVABLES INC DE X X 10/15/03 COASTAL BANCORP INC TX X 10/22/03 COHERENT INC DE X X 10/23/03 COLGATE PALMOLIVE CO DE X X 10/23/03 COLUMBIA BANCORP \OR\ OR X X 10/22/03 COLUMBIA SPORTSWEAR CO OR X X 10/23/03 COMMERCIAL MORTGAGE PASS-THROUGH CERT X 10/01/03 COMMUNITY BANCORP /VT VT X X 10/20/03 AMEND COMMUNITY BANCORP INC DE X X X 10/16/03 COMMUNITY HEALTH SYSTEMS INC DE X 10/23/03 COMMUNITY NATIONAL BANCORPORATION GA X X 10/22/03 COMPUTER ACCESS TECHNOLOGY CORP DE X X 10/23/03 COMPUWARE CORPORATION MI X X 10/21/03 CONCORD EFS INC DE X 10/23/03 CONCORD EFS INC DE X X 10/23/03 CONCURRENT COMPUTER CORP/DE DE X X 10/23/03 CONSOLIDATED FREIGHTWAYS CORP DE X 10/22/03 COOPER INDUSTRIES LTD X X X 10/23/03 COOPERATIVE BANKSHARES INC NC X X 10/23/03 COORS ADOLPH CO CO X 10/23/03 CORPORATE EXECUTIVE BOARD CO DE X 10/22/03 COUNTRYWIDE FINANCIAL CORP DE X 09/30/03 COVANTA ENERGY CORP DE X X 10/03/03 CRANE CO /DE/ DE X 10/23/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/23/03 CROMPTON CORP DE X X 10/22/03 CROWN AMERICAN REALTY TRUST MD X X 09/30/03 CROWN FINANCIAL GROUP INC NJ X X X 10/23/03 CRYSTAL DECISIONS INC DE X X 10/23/03 CSC HOLDINGS INC DE X 10/23/03 CSS INDUSTRIES INC DE X X 10/23/03 CT COMMUNICATIONS INC /NC NC X 10/22/03 CTS CORP IN X 10/22/03 CURAGEN CORP DE X 10/23/03 CURON MEDICAL INC DE X X 10/16/03 CV THERAPEUTICS INC DE X X 12/30/02 CYBERGUARD CORP FL X X 10/23/03 DEARBORN BANCORP INC /MI/ MI X X 10/21/03 DELPHI CORP DE X X 10/21/03 DENDRITE INTERNATIONAL INC NJ X 10/23/03 DEPOMED INC CA X X 10/22/03 DETREX CORPORATION MI X 10/23/03 DIAGNOSTIC PRODUCTS CORP CA X X 10/23/03 DIGITAL GENERATION SYSTEMS INC DE X X 10/16/03 DIGITAL IMPACT INC /DE/ DE X X 10/23/03 DIGITAL INSIGHT CORP DE X X 10/23/03 DIMECO INC PA X X 10/22/03 DIVERSA CORP DE X 10/20/03 DOMINION HOMES INC OH X X 10/23/03 DOMINOS INC DE X X 10/23/03 DOW CHEMICAL CO /DE/ DE X X 10/23/03 DRUGSTORE COM INC DE X X 10/23/03 DST SYSTEMS INC DE X X 10/22/03 DUANE READE INC DE X X X 10/23/03 DUPONT PHOTOMASKS INC DE X X 10/22/03 AMEND DURA AUTOMOTIVE SYSTEMS INC DE X X 10/23/03 EASTMAN CHEMICAL CO DE X 09/30/03 EDEN BIOSCIENCE CORP WA X 10/23/03 EDIETS COM INC DE X X 10/23/03 EDISON INTERNATIONAL CA X 10/23/03 EL PASO ELECTRIC CO /TX/ TX X X 10/23/03 ELECTROGLAS INC DE X X 10/23/03 ELINEAR INC DE X X 09/02/03 AMEND ELIZABETH ARDEN INC FL X X X 10/22/03 EMCOR GROUP INC DE X 09/30/03 EMERGE INTERACTIVE INC DE X X 10/23/03 EMULEX CORP /DE/ DE X X 10/23/03 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 10/23/03 ENERGY CONVERSION DEVICES INC DE X 10/22/03 ENESCO GROUP INC MA X X 10/23/03 ENGELHARD CORP DE X 09/30/03 ENTERASYS NETWORKS INC /DE/ DE X X 10/23/03 ENTERGY CORP /DE/ DE X X X 10/23/03 ENTERTAINMENT PROPERTIES TRUST MD X X 09/30/03 EON LABS INC DE X X 10/23/03 EPIX MEDICAL INC X X 10/23/03 EPRESENCE INC MA X X X 10/23/03 EVANS BANCORP INC NY X X X 10/22/03 EXELON CORP PA X 10/23/03 EXULT INC DE X 10/23/03 FAB INDUSTRIES INC DE X 10/23/03 FAMOUS DAVES OF AMERICA INC MN X X 10/21/03 FEDERAL AGRICULTURAL MORTGAGE CORP X X 10/22/03 FENTURA FINANCIAL INC MI X X 10/17/03 FENTURA FINANCIAL INC MI X X 10/17/03 AMEND FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 10/22/03 FIREPOND INC DE X X 10/23/03 FIRST ALBANY COMPANIES INC NY X 10/22/03 FIRST BANCORP OF INDIANA INC IN X X 10/20/03 FIRST CAPITAL INC IN X X 10/21/03 FIRST COMMONWEALTH FINANCIAL CORP /PA PA X X 10/23/03 FIRST COMMUNITY BANCORP /CA/ CA X X 10/22/03 FIRST COMMUNITY BANCSHARES INC /NV/ NV X X 10/23/03 FIRST DATA CORP DE X X 10/23/03 FIRST FEDERAL CAPITAL CORP WI X X 10/23/03 FIRST FINANCIAL HOLDINGS INC /DE/ DE X 10/23/03 FIRST HORIZON ASSET SECURITIES INC DE X X 10/23/03 FIRST HORIZON ASSET SECURITIES INC DE X X 10/23/03 FIRST INDUSTRIAL REALTY TRUST INC MD X X 10/22/03 FIRST MARINER BANCORP MD X 10/21/03 FIRST NATIONAL COMMUNITY BANCORP INC PA X X 10/23/03 FIRST NATIONAL LINCOLN CORP /ME/ ME X 10/23/03 FIRSTENERGY CORP OH X X 10/23/03 FMS FINANCIAL CORP NJ X X 10/22/03 FNB CORP/NC NC X X 10/23/03 FORCE PROTECTION INC CO X X X 06/13/03 AMEND FPL GROUP INC FL X 10/23/03 FRANKLIN RESOURCES INC DE X X 10/23/03 FRIENDLY ICE CREAM CORP MA X X 10/23/03 FSI INTERNATIONAL INC MN X X X 10/21/03 FTI CONSULTING INC MD X X X 10/22/03 GATEWAY INC DE X X 10/23/03 GENAERA CORP DE X X 10/21/03 GENCORP INC OH X X 10/17/03 GENERAL MILLS INC DE X X 10/15/03 GEORGIA PACIFIC CORP GA X X 10/16/03 GEORGIA POWER CO GA X X 09/23/03 GEVITY HR INC FL X 10/23/03 GLACIER BANCORP INC DE X X 10/23/03 GLOBAL ASSETS & SERVICES INC FL X X 10/23/03 GLOBAL IMAGING SYSTEMS INC DE X X 10/23/03 GOODRICH CORP NY X 10/23/03 GOODYEAR TIRE & RUBBER CO /OH/ OH X X 10/22/03 GRAFTECH INTERNATIONAL LTD DE X 10/23/03 GRAND TOYS INTERNATIONAL INC NV X 03/31/03 AMEND GRAND TOYS INTERNATIONAL INC NV X 06/30/03 AMEND GREAT ATLANTIC & PACIFIC TEA CO INC MD X X 10/20/03 GREAT LAKES CHEMICAL CORP DE X X 10/22/03 GREAT PLAINS ENERGY INC MO X X 10/22/03 GREG MANNING AUCTIONS INC NY X X 10/23/03 GREY GLOBAL GROUP INC DE X X 10/23/03 GREY WOLF INC TX X X 10/22/03 GS MORTGAGE SECURITIES CORP DE X X 10/21/03 GSI LUMONICS INC A3 X X 10/23/03 GUARANTY FINANCIAL CORP /VA/ VA X 10/16/03 HAEMONETICS CORP MA X 10/23/03 HALLIBURTON CO DE X 10/22/03 HAMPSHIRE GROUP LTD DE X 10/23/03 HARRIS INTERACTIVE INC DE X X 10/22/03 HARSCO CORP DE X 10/23/03 HAUSER INC DE X X 10/15/03 HILLENBRAND INDUSTRIES INC IN X X 10/20/03 HON INDUSTRIES INC IA X 10/22/03 HORIZON FINANCIAL CORP WA X X 10/23/03 HORMEL FOODS CORP /DE/ DE X X 10/20/03 HOST MARRIOTT CORP/ MD X X 10/21/03 HUMANA INC DE X 10/23/03 HUMBOLDT BANCORP CA X X 10/22/03 I STAT CORPORATION /DE/ DE X X 10/23/03 IBERIABANK CORP LA X X 10/21/03 IBT BANCORP INC PA X X 10/23/03 ICT GROUP INC PA X X 10/23/03 IDT CORP DE X X 10/23/03 IDX SYSTEMS CORP VT X 10/23/03 IESI CORP DE X X X 10/10/03 II-VI INC PA X 09/30/03 IMAGE SENSING SYSTEMS INC MN X X 10/22/03 IMATION CORP DE X 10/23/03 INDEPENDENT BANK CORP /MI/ MI X X 10/23/03 INDEPENDENT BANK CORP /MI/ MI X X 10/23/03 INDIAN RIVER BANKING COMPANY FL X X X 10/22/03 INFONOW CORP / DE X 10/23/03 INFORMATION RESOURCES INC DE X 10/23/03 INFORMEDIX HOLDINGS INC NV X X 10/21/03 INFOSPACE INC DE X X 10/21/03 INTERACTIVE DATA CORP/MA/ DE X 10/23/03 INTERFACE INC GA X X 10/22/03 INTERNATIONAL FLAVORS & FRAGRANCES IN NY X 10/23/03 INTERNATIONAL SHIPHOLDING CORP DE X X 10/23/03 INTERSTATE HOTELS & RESORTS INC DE X X 10/23/03 INTEST CORP DE X X 10/22/03 INTRADO INC DE X X 10/23/03 INVITROGEN CORP DE X X 10/23/03 INVIVO CORP DE X X 10/23/03 IOWA FIRST BANCSHARES CORP IA X 10/23/03 ISCO INC NE X X 10/23/03 ISTAR FINANCIAL INC MD X X 10/23/03 ITT INDUSTRIES INC IN X 10/23/03 J JILL GROUP INC DE X X 10/23/03 JDS UNIPHASE CORP /CA/ DE X X X 10/23/03 JETBLUE AIRWAYS CORP DE X X 10/23/03 K SWISS INC DE X X 10/23/03 K2 INC DE X 10/22/03 K2 INC DE X X 10/22/03 KANSAS CITY SOUTHERN DE X X 10/23/03 KIRBY CORP NV X X 10/23/03 KNAPE & VOGT MANUFACTURING CO MI X X 10/16/03 KOPIN CORP DE X X 10/23/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 10/23/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 10/23/03 LAND O LAKES INC X X 10/23/03 LANDAMERICA FINANCIAL GROUP INC VA X 10/22/03 LASALLE HOTEL PROPERTIES MD X X 10/22/03 LASERSCOPE CA X X 10/23/03 LEE SARA CORP MD X X 10/23/03 LIGHTBRIDGE INC DE X X 10/23/03 LNR PROPERTY CORP DE X 10/22/03 LOEHMANNS HOLDINGS INC MD X X 10/14/03 LOGANSPORT FINANCIAL CORP IN X X 10/20/03 LTC PROPERTIES INC MD X 10/23/03 LYONDELL CHEMICAL CO DE X 10/23/03 MACQUARIE SECURITISATION LTD DE X X 10/14/03 MACROPORE INC DE X 10/23/03 MARATHON OIL CORP DE X 09/30/03 MARCONI CORP PLC X0 X 10/23/03 MARINEMAX INC DE X X X 10/23/03 MARSHALL & ILSLEY CORP/WI/ WI X 10/21/03 MATRIXX INITIATIVES INC DE X X 10/22/03 MCGRAW-HILL COMPANIES INC NY X X 10/23/03 MCKESSON CORP DE X X 10/23/03 MEDAMICUS INC MN X X X 10/23/03 MEDCO HEALTH SOLUTIONS INC DE X 10/22/03 MEDIMMUNE INC /DE DE X 10/23/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 10/21/03 MESA ROYALTY TRUST/TX TX X X X X 10/22/03 AMEND METRIS COMPANIES INC DE X 09/30/03 METRIS COMPANIES INC DE X 09/30/03 AMEND MFB CORP IN X 09/30/03 MGP INGREDIENTS INC KS X X 10/23/03 MICRO LABORATORIES INC NV X 07/17/03 MICRO LINEAR CORP /CA/ DE X 10/23/03 MICROSOFT CORP WA X 10/23/03 MIDDLEBURG FINANCIAL CORP VA X 10/17/03 MIDWEST EXPRESS HOLDINGS INC WI X X X 10/22/03 MIKOHN GAMING CORP NV X X 10/23/03 MINORPLANET SYSTEMS USA INC DE X X 10/08/03 MOBIUS MANAGEMENT SYSTEMS INC DE X X 10/23/03 MOLDFLOW CORP X X 10/22/03 MONDAVI ROBERT CORP CA X 10/23/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 10/23/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/21/03 MULTIMEDIA GAMES INC TX X 10/23/03 MUTUALFIRST FINANCIAL INC MD X 10/20/03 NANOMETRICS INC CA X X 10/23/03 NANOPHASE TECHNOLOGIES CORPORATION IL X X 10/22/03 NASHUA CORP MA X 10/22/03 NATION ENERGY INC DE X 10/22/03 NATIONAL DENTEX CORP /MA/ MA X X 10/23/03 NATIONAL INSTRUMENTS CORP /DE/ DE X X 09/30/03 NATIONAL RURAL UTILITIES COOPERATIVE DC X 10/23/03 NATIONAL STEEL CORP DE X X 10/22/03 NB&T FINANCIAL GROUP INC OH X X 10/23/03 NCO PORTFOLIO MANAGEMENT INC DE X X 10/22/03 NCR CORP MD X X 10/23/03 NETSMART TECHNOLOGIES INC DE X X 10/23/03 NETWORKS ASSOCIATES INC/ DE X X 10/23/03 NEW CENTURY BANCORP INC NC X X X 10/23/03 NEW CENTURY FINANCIAL CORP DE X X X 10/22/03 NITTANY FINANCIAL CORP PA X X 10/21/03 NL INDUSTRIES INC NJ X X 10/22/03 NOLAND CO VA X 10/23/03 NORTEL NETWORKS CORP X X 10/23/03 NORTEL NETWORKS LTD X X 10/23/03 NORTHEAST BANCORP /ME/ ME X X X 09/30/03 NSTAR/MA MA X X 10/23/03 NU SKIN ENTERPRISES INC DE X 10/23/03 NU SKIN ENTERPRISES INC DE X 08/22/03 NUCOR CORP DE X X 10/23/03 OLD NATIONAL BANCORP /IN/ IN X X 10/23/03 OPEN TEXT CORP K6 X 10/23/03 OPEN TEXT CORP K6 X X 10/21/03 ORETECH INC NV X 04/01/03 AMEND ORPHAN MEDICAL INC MN X 10/22/03 OTISH MOUNTAIN DIAMOND CO NV X X 10/23/03 OUTBACK STEAKHOUSE INC DE X X 10/23/03 PACIFIC FINANCIAL CORP WA X X 10/22/03 PACIFIC PREMIER BANCORP INC DE X X 10/23/03 PACKAGING DYNAMICS CORP DE X 10/23/03 PACTIV CORP DE X X X 10/22/03 PALOMAR MEDICAL TECHNOLOGIES INC DE X 10/23/03 PARK PLACE ENTERTAINMENT CORP DE X X 10/23/03 PC CONNECTION INC DE X X 10/23/03 PDF SOLUTIONS INC DE X X 10/23/03 PEAK INTERNATIONAL LTD D0 X 10/22/03 PECO II INC OH X 10/22/03 PEOPLES BANCORP OF NORTH CAROLINA INC NC X X 10/20/03 PEOPLES FINANCIAL SERVICES CORP/ PA X 09/30/03 PEOPLESOFT INC DE X X 10/23/03 PEPCO HOLDINGS INC DE X X 10/23/03 PERKINELMER INC MA X 10/22/03 PHILIP SERVICES CORP/DE DE X X 10/23/03 PHOENIX TECHNOLOGIES LTD DE X 10/23/03 PHOSPHATE RESOURCE PARTNERS LIMITED P DE X 10/16/03 PINNACOR INC DE X X 10/23/03 PITNEY BOWES INC /DE/ DE X X 10/23/03 PITNEY BOWES INC /DE/ DE X X 09/30/03 PLEXUS CORP WI X 10/23/03 POORE BROTHERS INC DE X X 10/23/03 POPE & TALBOT INC /DE/ DE X 10/23/03 POPE RESOURCES LTD PARTNERSHIP DE X X 09/30/03 PRESSTEK INC /DE/ DE X X 10/23/03 PRIME GROUP REALTY TRUST MD X X 10/08/03 PROLOGIS MD X 10/23/03 PROVIDENT FINANCIAL HOLDINGS INC DE X X 10/23/03 PS BUSINESS PARKS INC/CA CA X X 09/30/03 PUBLIC SERVICE ENTERPRISE GROUP INC NJ X X 10/22/03 PUGET ENERGY INC /WA WA X 10/23/03 PULTE HOMES INC/MI/ MI X 10/22/03 QLT INC/BC A1 X X 10/23/03 QUAKER FABRIC CORP /DE/ DE X X 10/23/03 QUANTUM CORP /DE/ DE X 10/23/03 QUINTON CARDIOLOGY SYSTEMS INC DE X X 10/23/03 RADVIEW SOFTWARE LTD X X X 10/23/03 RAINBOW TECHNOLOGIES INC DE X X 10/22/03 RAMTRON INTERNATIONAL CORP DE X X 10/21/03 RAMTRON INTERNATIONAL CORP DE X X 10/21/03 RAYTHEON CO/ DE X X 10/23/03 REINSURANCE GROUP OF AMERICA INC MO X X X 10/23/03 REPUBLIC FIRST BANCORP INC PA X X 10/23/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/23/03 RESOURCE BANKSHARES CORP VA X X 10/21/03 RESPIRONICS INC DE X 10/23/03 RIMAGE CORP MN X X 10/22/03 RITA MEDICAL SYSTEMS INC DE X X 10/22/03 RTI INTERNATIONAL METALS INC OH X X 10/21/03 RTI INTERNATIONAL METALS INC OH X X 10/21/03 RTW INC /MN/ MN X X 10/22/03 S Y BANCORP INC KY X X 10/22/03 SABRE HOLDINGS CORP DE X X 10/23/03 SAFENET INC DE X X 10/22/03 SANMINA-SCI CORP DE X X 10/23/03 SANMINA-SCI CORP DE X X 10/23/03 SAXON CAPITAL INC DE X X X 09/30/03 SEACOAST FINANCIAL SERVICES CORP MA X X 10/23/03 SEEBEYOND TECHNOLOGY CORP CA X X 10/23/03 SELECTICA INC DE X X 10/23/03 SENSIENT TECHNOLOGIES CORP WI X 10/23/03 SENTO CORP UT X X 10/21/03 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA X 10/22/03 SICOR INC DE X X 10/23/03 SIERRA HEALTH SERVICES INC NV X X X 10/22/03 SILGAN HOLDINGS INC DE X 10/22/03 SILICON IMAGE INC DE X X 10/16/03 SKY FINANCIAL GROUP INC OH X X 10/23/03 SM&A CA X X 10/23/03 SMARTIRE SYSTEMS INC X 10/23/03 SMITH MICRO SOFTWARE INC DE X X 10/23/03 SOMERA COMMUNICATIONS INC DE X X 10/23/03 SORRENTO NETWORKS CORP NJ X X 08/08/03 AMEND SOUTHERN CALIFORNIA EDISON CO CA X 10/23/03 SOUTHERN ENERGY HOMES INC DE X 10/23/03 SOUTHERN FINANCIAL BANCORP INC /VA/ VA X X 10/23/03 SOUTHERN MISSOURI BANCORP INC DE X 10/17/03 SOUTHSIDE BANCSHARES INC TX X X 10/23/03 SPACEHAB INC \WA\ WA X X 10/23/03 SPARTAN MOTORS INC MI X X 10/23/03 SPARTON CORP OH X X X 10/21/03 SPECIALTY LABORATORIES INC X X 10/23/03 ST MARY LAND & EXPLORATION CO DE X X 10/22/03 STANCORP FINANCIAL GROUP INC OR X X 10/23/03 STANDEX INTERNATIONAL CORP/DE/ DE X 09/30/03 STEEL DYNAMICS INC IN X X 10/23/03 STELLENT INC MN X X 10/21/03 STERIS CORP OH X 10/23/03 STONERIDGE INC OH X 10/23/03 STRUCTURED ASSET SEC CORP II COM MORT X 10/01/03 SUBURBAN PROPANE PARTNERS LP DE X X 10/23/03 SUMMIT FINANCIAL GROUP INC WV X X X 10/22/03 SUNGARD DATA SYSTEMS INC DE X X 10/22/03 SUNOCO INC PA X X X 10/23/03 SUNOCO LOGISTICS PARTNERS LP DE X X X 10/23/03 SUNRISE TELECOM INC X 09/30/03 SUPERIOR INDUSTRIES INTERNATIONAL INC CA X 10/17/03 SUPERIOR UNIFORM GROUP INC FL X 10/23/03 SUREBEAM CORP DE X X 10/22/03 SUREBEAM CORP DE X X X 10/22/03 AMEND SWITCHBOARD INC DE X 10/23/03 SWITCHBOARD INC DE X 10/23/03 SWS GROUP INC DE X X 10/23/03 SYLVAN LEARNING SYSTEMS INC MD X X 10/23/03 SYMYX TECHNOLOGIES INC DE X X 10/23/03 SYNAPTICS INC CA X 10/23/03 TALKPOINT COMMUNICATIONS INC DE X X 10/17/03 TARPON COAST BANCORP INC FL X 10/23/03 TECHNOLOGY RESEARCH CORP FL X 09/30/03 TECO ENERGY INC FL X X 10/23/03 TELECOMMUNICATION SYSTEMS INC /FA/ X X 10/23/03 TELECOMUNICACIONES DE PUERTO RICO INC PR X X 10/07/03 TELEDYNE TECHNOLOGIES INC DE X X X 10/23/03 TELEX COMMUNICATIONS INC /DE/ DE X X 10/23/03 TELOS CORP MD X 10/15/03 TEREX CORP DE X X 10/22/03 AMEND THIRD WAVE TECHNOLOGIES INC /WI DE X X 10/23/03 THREE FIVE SYSTEMS INC DE X 10/23/03 TIDEWATER INC DE X 10/23/03 TIMKEN CO OH X 10/23/03 TITAN CORP DE X 10/23/03 TITANIUM METALS CORP DE X X 10/23/03 TJX COMPANIES INC /DE/ DE X X 10/22/03 TODD SHIPYARDS CORP WA X 10/22/03 TODD SHIPYARDS CORP WA X 10/23/03 AMEND TOWER AUTOMOTIVE INC DE X X 10/23/03 TRANSATLANTIC HOLDINGS INC DE X 10/23/03 TRIKON TECHNOLOGIES INC CA X X X 10/22/03