SEC NEWS DIGEST Issue 2003-173 September 9, 2003 ENFORCEMENT PROCEEDINGS IN THE MATTER OF HUNTER ADAMS In the matter of Hunter Adams, the Chief Administrative Law Judge granted summary disposition as to Respondents David Hirsch, Christian W. Blake, Joseph P. Mannino, David M. Pesso, Michael Pugliese, Christopher J. Russo, and Robert J. Winston. Chief Judge Murray also entered default judgments against Respondents Hunter Adams, James L. Bila, Jason A. Cohen, Steven M. Cohen, Louis R. Facchini, Jr., John J. Gremmo, III, Roberto A. Mangiarano, David M. Margules, James J. Pellizzi, and Howard I. Weinstein. Based on their guilty pleas to state criminal charges involving the same facts, all the Respondents, except for Jonathan D. Winston, were found to have violated 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. All Respondents, except for Jonathan D. Winston, were ordered to cease and desist and barred from association with any broker or dealer. The proceeding will remain open for ninety days to allow the Division of Enforcement to decide after Respondents are sentenced in the parallel criminal proceeding whether it will seek disgorgement and civil penalties against any or all of the Respondents. (Rels. 33-8282; 34-48457; File No. 3-10437) SEC CHARGES THREE FORMER TRADERS AT KNIGHT SECURITIES WITH ENGAGING IN FRAUDULENT TRADING SCHEME On September 8, the Commission filed a complaint in the U.S. District Court for the District of New Jersey charging three former traders at Knight Securities, L.P. - Brian P. Delaney of New Jersey, Nicole M. Shkedi of New Jersey, and Thomas J. Donovan of New York - with engaging in a trading scheme that defrauded Knight of approximately $1.4 million. The Commission also issued a related administrative order charging a fourth individual - Charles C. Campbell of New Jersey - with being a cause of the violations by two of the former Knight traders. Delaney, Shkedi, and Campbell each settled the proceedings against them without admitting or denying the Commission's charges, while Donovan is contesting the charges. In its complaint in federal court, the Commission alleged that Delaney, Shkedi, and Donovan were all formerly employed by Knight as equity traders responsible for making markets in specific equity securities. The Commission further alleged that, as equity traders, the defendants had discretionary trading authority over Knight trading accounts maintained for the purpose of carrying out Knight's business as a market maker in these specific stocks. According to the Commission, from at least March 2001 through February 2002, the three former traders abused their positions at Knight by knowingly and intentionally executing fraudulent stock trades from the Knight proprietary accounts they controlled at prices guaranteed to generate profits in private brokerage accounts that they also controlled. The Commission alleged that the defendants' trading scheme defrauded Knight of approximately $1.4 million, which Knight has since recovered from Delaney. The complaint charges Delaney, Shkedi, and Donovan with committing securities fraud in violation of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. Without admitting or denying the Commission's allegations, Delaney and Shkedi have consented to the court's entry of final judgments that would permanently enjoin them from violating the foregoing provisions of the securities laws, as well as to the Commission's issuance of administrative orders that would bar them from associating with any registered broker or dealer based on the federal court's anticipated entry of injunctions against them. Shkedi also has consented to pay $25,000 in civil penalties, half of which would be paid to the New Jersey Bureau of Securities, which has filed contemporaneous charges against Delaney, Shkedi, and Donovan. The Commission is seeking a permanent injunction, disgorgement of unlawful gains, and civil penalties against Donovan, who is contesting the Commission's charges. In its administrative order against Campbell, the Commission found that Campbell opened an online brokerage account which he knew or should have known was being used by two of the former Knight traders to facilitate their unlawful trading scheme, that Campbell was an indirect beneficiary of the fraudulent trading in the account, and that Campbell was therefore a cause of the securities law violations by those two former Knight traders. On September 8, based on these findings, the Commission ordered Campbell to cease and desist from committing or causing such violations in the future. Campbell consented to issuance of the Commission's order without admitting or denying the Commission's findings. In a related criminal case, the U.S. Attorney for the District of New Jersey charged Delaney with wire fraud and conspiracy in connection with the trading scheme alleged in the Commission's complaint. On September 8, Delaney entered a guilty plea to such charges. The Commission acknowledges the assistance of the both the U.S. Attorney's Office and the New Jersey Bureau of Securities in the investigation of this matter. [SEC v. Brian P. Delaney, et al., No. 03- CV-4206 (JWB) (D.N.J.)] (LR-18329); (Administrative Proceedings in the Matter of Charles C. Campbell - Rel. 33-8283; 34-48458; File No. 3- 11248) SEC FILES SETTLED REGULATION FD CHARGES AGAINST SCHERING-PLOUGH CORPORATION AND ITS FORMER CHIEF EXECUTIVE On September 9, the Commission filed two settled enforcement proceedings charging Schering-Plough Corporation, a pharmaceutical company headquartered in Kenilworth, New Jersey, with violating the disclosure requirements of Regulation FD and Section 13(a) of the Securities Exchange Act of 1934. First, the Commission filed a lawsuit in the United States District Court for the District of Columbia charging Schering with violating Regulation FD and Section 13(a) and seeking a civil monetary penalty. Second, the Commission issued an administrative order finding that Schering violated the same provisions, and that the company's former chairman and chief executive officer, Richard J. Kogan, was a cause of Schering's violations. In the Matter of Schering-Plough Corporation and Richard J. Kogan, Admin. Proc. No. 3-11249, Exchange Act Rel. No. 34-48461 (Sept. 9, 2003). Without admitting or denying the Commission's allegations and findings, Schering consented to the entry of a final judgment in the federal lawsuit that would require it to pay a $1 million civil penalty, Kogan agreed to pay $50,000 as a civil penalty in the administrative proceeding, and both parties agreed to entry of the Commission's cease-and-desist order. In both its federal court complaint and its cease-and-desist order, the Commission charged that, during the week of September 30, 2002, Kogan and Schering's senior vice president of investor relations met privately in Boston with analysts and portfolio managers of four institutional investors (Wellington Management Company, Massachusetts Financial Services Company, Fidelity Management & Research Company, and Putnam Investments), three of which (Wellington, Fidelity, and Putnam) were among Schering's largest investors. The Commission further charged that, at each of these meetings, through a combination of spoken language, tone, emphasis, and demeanor, Kogan disclosed negative and material, nonpublic information regarding Schering's earnings prospects, including that analysts' earnings estimates for Schering's 2002 third- quarter were too high, and that Schering's earnings in 2003 would significantly decline. According to the Commission, immediately after the meetings, analysts at Fidelity and Putnam downgraded their ratings on Schering, and portfolio managers at those firms and at Wellington heavily sold Schering stock. Fidelity and Putnam each sold more than 10 million shares of Schering stock over a three-day period following the meetings, accounting for more than 30 percent of the overall market for that period. The price of Schering's stock declined during this period by more than 17 percent, from $21.32 to $17.64 per share, on approximately four times normal volume. The Commission further charged that, on Oct. 3, 2002, in the midst of this sell-off, Kogan held a previously scheduled private meeting with approximately 25 analysts and portfolio managers at Schering's New Jersey headquarters, during which he said, among other things, that Schering's 2003 earnings would be "terrible." Late that evening, Schering issued a press release providing earnings guidance for 2002 and 2003 that was materially below analysts' consensus estimates and, with regard to the full 2002 fiscal year, materially below the company's own prior earnings guidance. [SEC v. Schering-Plough Corporation, Case No. 1:03CV01880 (D.D.C.) (CKK)] (LR- 18330); (Administrative Proceeding - Rel. 34-48461; File No. 3-11249) INVESTMENT COMPANY ACT RELEASES BARCLAYS GLOBAL FUND ADVISORS, ET AL. An order has been issued on an application filed by Barclays Global Fund Advisors, et al. to amend an existing order that permits: (a) series of the Trust, an open-end management investment company, whose portfolios consist of the component securities of certain fixed income indices, to issue shares of limited redeemability; (b) secondary market transactions in the shares of the series to occur at negotiated prices; and (c) affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of aggregations of the series’ shares. The amended order permits the open-end management company in the prior order to offer additional series based on different fixed-income securities indices. (Rel. IC-26175 – September 8) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-74) and Amendment Nos. 1 and 2 thereto, submitted by the National Association of Securities Dealers regarding the regulation of activities of members experiencing financial and/or operational difficulties. (Rel. 34-48438) The Commission approved a proposed rule change (SR-NASD-2003-98) and Amendment No. 1 thereto filed by the National Association of Securities Dealers to clarify reporting requirements for transactions conducted through electronic communications networks. Publication of the approval order is expected in the Federal Register during the week of September 8. (Rel. 34-48442) AMENDMENTS TO PROPOSED RULE CHANGE The National Association of Securities Dealers filed Amendment Nos. 3 and 4 to a proposed rule change (SR-NASD-98-74) relating to amendments to NASD Rule 3110(f) governing the use of predispute arbitration agreements with customers. Publication of the approval order is expected in the Federal Register during the week of September 8. (Rel. 34-48444) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE AND AMENDMENT NOS. 1 AND 2 A proposed rule change and Amendment Nos. 1 and 2 thereto filed by the Philadelphia Stock Exchange to revise its schedule of dues, fees and charges to adopt a registered representative termination fee (Phlx-2003- 55) have become effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of September 8. (Rel. 34-48449) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-118) relating to changes to NASD Rules 7010(f) and 7050(d) to introduce fees for non-NASD members using the Financial Information Exchange protocol to connect to Nasdaq. Publication of the proposed is expected in the Federal Register during the week of September 8. (Rel. 34-48452) 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 INTERNAP NETWORK SERVICES CORP, 601 UNION STREET SUITE 1000, SEATTLE, WA, 98101, 2064418800 - 10,650,000 ($12,460,500.00) Equity, (File 333-108573 - Sep. 8) (BR. 08) SB-2 UP & DOWN VIDEO INC, 500,000 ($10,000.00) Equity, (File 333-108574 - Sep. 8) (BR. 09) S-1 LCC INTERNATIONAL INC, 7925 JONES BRANCH DR, STE 800, MCLEAN, VA, 22102, 7038732000 - 0 ($45,885,000.00) Equity, (File 333-108575 - Sep. 8) (BR. 37) S-3 CONTINENTAL AIRLINES INC /DE/, 1600 SMITH STREET 3303D, DEPT HQSEO, HOUSTON, TX, 77002, 7133245000 - 0 ($175,000,000.00) Debt Convertible into Equity, (File 333-108576 - Sep. 8) (BR. 05) S-8 TORBAY HOLDINGS INC, 5162922023 - 5,000,000 ($50,000.00) Equity, (File 333-108589 - Sep. 8) (BR. 06) S-4 INFORMATION RESOURCES LITIG CONTINGENT PYMT RIGHTS TRUST, 0 ($119,430,616.00) Other, (File 333-108592 - Sep. 8) (BR. 06) S-3 CATERPILLAR FINANCIAL SERVICES CORP, 2120 WEST END AVE, NASHVILLE, TN, 37203, 6153418462 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-108593 - Sep. 8) (BR. 07) S-8 UNIVERSAL DOMAINS INC, 828 HOWE STREET, SUITE 502, VANCOUVER, A1, V6Z 2X2, (604) 612-1945 - 24,800,000 ($372,000.00) Equity, (File 333-108594 - Sep. 8) (BR. 04) S-8 BLUE MOON GROUP INC, 4890 GARLAND BRANCH RD., -, DOVER, FL, 33527, 813-707-1535 - 200,000 ($530,000.00) Equity, (File 333-108595 - Sep. 8) (BR. 06) S-3 BRADLEY PHARMACEUTICALS INC, 383 RTE 46 WEST, FAIRFIELD, NJ, 08816, 9738821505 - 0 ($37,000,000.00) Debt Convertible into Equity, (File 333-108596 - Sep. 8) (BR. 01) S-8 INTERACTIVE MOTORSPORTS & ENTERTAINMENT CORP, 5624 WEST 73RD STREET, INDIANAPOLIS, IN, 46278, 3172953500 - 5,000,000 ($500,000.00) Equity, (File 333-108597 - Sep. 8) (BR. 08) SB-2 IGAMES ENTERTAINMENT INC, 5333 S. ARVILLE, SUITE 207, LAS VEGAS, NV, 89118, 800-530-1558 - 3,215,000 ($1,382,450.00) Equity, (File 333-108598 - Sep. 8) (BR. 03) S-8 SKYWAY COMMUNICATIONS HOLDING CORP, 1680 MICHIGAN AVENUE, SUITE 1000, MIAMI BEACH, FL, 33139, 12,000,000 ($3,000,000.00) Equity, (File 333-108600 - Sep. 8) (BR. 37) S-4 OFFICE DEPOT INC, 2200 OLD GERMANTOWN RD, DELRAY BEACH, FL, 33445, 5612664800 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-108602 - Sep. 8) (BR. 02) S-11 FALCON FINANCIAL INVESTMENT TRUST, 15 COMMERCE ROAD, STAMFORD, CT, 06902, 2039670000 - 0 ($125,000,000.00) Equity, (File 333-108603 - Sep. 8) (BR. 07) S-8 GENELABS TECHNOLOGIES INC /CA, 505 PENOBSCOT DR, REDWOOD CITY, CA, 94063, 6503969500 - 2,000,000 ($2,880,000.00) Equity, (File 333-108604 - Sep. 8) (BR. 01) S-3 STONEPATH GROUP INC, TWO PENN CENTER PLAZA, SUITE 605, PHILADLEPHIA, PA, 19102, 4155754755 - 250,791 ($564,280.00) Equity, (File 333-108605 - Sep. 8) (BR. 05) S-8 AEROFLEX INC, 35 S SERVICE RD, PLAINVIEW, NY, 11803, 5166946700 - 710,356 ($6,631,173.26) Equity, (File 333-108606 - Sep. 8) (BR. 36) S-3 IMMERSION CORP, 801 FOX LANE, SAN JOSE, CA, 95131, 4084671900 - 6,542,552 ($30,782,707.00) Equity, (File 333-108607 - Sep. 8) (BR. 03) S-3 GENELABS TECHNOLOGIES INC /CA, 505 PENOBSCOT DR, REDWOOD CITY, CA, 94063, 6503969500 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-108608 - Sep. 8) (BR. 01) S-4 DEVELOPERS DIVERSIFIED REALTY CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD, OH, 44122, 2167555500 - 300,000,000 ($300,000,000.00) Non-Convertible Debt, (File 333-108609 - Sep. 8) (BR. 08) S-3 K2 INC, 2051 PALOMAR AIRPORT ROAD, CARLSBAD, CA, 92009, 7604941044 - 0 ($75,000,000.00) Debt Convertible into Equity, (File 333-108610 - Sep. 8) (BR. 05) S-3 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 - 600,000,000 ($594,660,000.00) Debt Convertible into Equity, (File 333-108611 - Sep. 8) (BR. 02) S-3 NPS PHARMACEUTICALS INC, 420 CHIPETA WAY STE 240, SALT LAKE CITY, UT, 84108-1256, 8015834939 - 0 ($192,000,000.00) Debt Convertible into Equity, (File 333-108612 - Sep. 8) (BR. 01) S-1 VERSO TECHNOLOGIES INC, 400 GALLERIA PARKWAY, SUITE 300, ATLANTA, GA, 30326, 7706123500 - 0 ($86,333,651.83) Equity, (File 333-108613 - Sep. 8) (BR. 03) S-8 INSYNQ INC, 1127 BROADWAY PLAZA, SUITE #202, TACOMA, WA, 98402, 2532842000 - 4,000,000 ($72,000.00) Equity, (File 333-108614 - Sep. 8) (BR. 05) S-3D WACHOVIA CORP NEW, ONE FIRST UNION CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 5,000,000 ($211,700,000.00) Equity, (File 333-108615 - Sep. 8) (BR. 07) S-3 JETBLUE AIRWAYS CORP, 118-29 QUEENS BOULEVARD, FOREST HILLS, NY, 11375, 7182867900 - 0 ($175,000,000.00) Equity, (File 333-108616 - Sep. 8) (BR. 05) S-3 GLYCOGENESYS INC, 31 ST. JAMES AVENUE, 8TH FLOOR, BOSTON, MA, 02116, 6174220674 - 9,888,889 ($8,010,000.09) Equity, (File 333-108617 - Sep. 8) (BR. 01) S-8 GLYCOGENESYS INC, 31 ST. JAMES AVENUE, 8TH FLOOR, BOSTON, MA, 02116, 6174220674 - 1,825,000 ($1,478,250.00) Equity, (File 333-108619 - Sep. 8) (BR. 01) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 30,000,000 ($300,000.00) Equity, (File 333-108622 - Sep. 8) (BR. 09) 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 ------------------------------------------------------------------------------------------------ ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 09/01/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 09/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-1 DE X X 09/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-4 DE X X 09/01/03 ABN AMRO MORTGAGE CORP SERIES 2002-9 DE X X 09/01/03 ADVANCE AUTO PARTS INC DE X X 09/05/03 AEGIS ASSESSMENTS INC DE X 09/05/03 AEROFLEX INC DE X 09/03/03 AGWAY INC DE X X 09/08/03 ALTERNATIVE LOAN TRUST MORT PASS THRO DE X X 08/25/03 AMERICAN HEALTHWAYS INC DE X X 09/08/03 AMERICAN UNITED GLOBAL INC DE X X X 06/17/03 AMEND AMERIQUEST MORT SEC INC ASSET BACKED DE X 08/25/03 AMEND AMERIQUEST MORTGAGE SECURITIES INC DE X X 09/08/03 ANGELCITI ENTERTAINMENT INC /FL/ NV X X 09/03/03 ARMSTRONG WORLD INDUSTRIES INC PA X 09/08/03 ASSET BACKED FUNDING CORP ABFC ASSET DE X X 08/25/03 AVALON DIGITAL MARKETING SYSTEMS INC NV X 09/05/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 08/25/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 08/25/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 08/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 08/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 08/25/03 BANC OF AMERICA MORTGAGE SEC INC ALTE DE X X 08/25/03 BANC OF AMERICA MORTGAGE SECURITIES P DE X X 08/25/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 07/25/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 08/25/03 BAYVIEW FINANCIAL SEC CO LLC MORT PAS DE X X 08/25/03 BEAR STEARNS ARM TRUST 2002-7 DE X X 08/25/03 BEAR STEARNS ARM TRUST 2003-4 DE X X 08/25/03 BEAR STEARNS ARM TRUST 2003-5 DE X X 08/25/03 BEAR STEARNS ARM TRUST MORT PASS THR DE X X 08/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 08/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 08/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 08/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 07/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 08/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 08/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 08/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 08/25/03 BELK INC X X 09/05/03 BERT LOGIC INC WA X X 09/04/03 BEST BUY CO INC MN X X 09/03/03 BEST BUY CO INC MN X X 09/04/03 BURNAM MANAGEMENT INC A1 X X 08/29/03 CALLAWAY GOLF CO /CA DE X X 09/04/03 CARECENTRIC INC DE X X 09/08/03 CAROLINA POWER & LIGHT CO NC X X 09/08/03 CARRIAGE SERVICES INC DE X X 09/05/03 CHARTER MUNICIPAL MORTGAGE ACCEPTANCE DE X X 09/08/03 CHINA BROADBAND CORP NV X 09/04/03 CITADEL SECURITY SOFTWARE INC DE X X 09/05/03 CITGO PETROLEUM CORP DE X X 05/02/03 AMEND CITIZENS FINANCIAL SERVICES INC PA X 09/08/03 CNL HOSPITALITY PROPERTIES INC MD X X 09/02/03 COMVERSE TECHNOLOGY INC/NY/ NY X 09/08/03 CRANE CO /DE/ DE X X 09/08/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/08/03 DAVE & BUSTERS INC MO X X 09/04/03 DDI CORP CA X X 08/30/03 DEFAULT PROOF CREDIT CARD SYSTEM INC FL X 09/05/03 DEUTSCHE ALT-A SECURITIES INC X X 07/16/03 DIAMOND ENTERTAINMENT CORP NJ X 09/02/03 DIASYS CORP DE X 09/08/03 DIVINE INC DE X X 08/25/03 EAST TEXAS FINANCIAL SERVICES INC DE X X 09/05/03 EL PASO NATURAL GAS CO DE X X 08/08/03 ELECSYS CORP KS X X 09/08/03 ELINEAR INC DE X 09/02/03 ENCORE CREDIT CORP MORTGAGE PASS THRO DE X X 08/25/03 ENERGY WEST INC MT X X 09/05/03 EXTENDED SYSTEMS INC DE X X 09/03/03 F10 OIL & GAS PROPERTIES INC NV X 09/05/03 FINANCIAL ASSET SEC CORP ASSET BACKED DE X X 08/08/03 FIRST AVIATION SERVICES INC DE X 09/08/03 FIRSTBANK CORP/ID WA X X 09/05/03 FIRSTENERGY CORP OH X X 09/08/03 FORTIS ENTERPRISES NV X 09/02/03 GALAXY ENERGY CORP CO X 09/02/03 GENCORP INC OH X X X 09/04/03 GLACIER WATER SERVICES INC DE X 09/08/03 GLB BANCORP INC OH X X 09/05/03 GLIMCHER REALTY TRUST MD X X 08/27/03 GRAFTECH INTERNATIONAL LTD DE X 09/08/03 GREENWICH CAPITAL ACCEPTANCE INC THOR DE X X 08/25/03 GYMBOREE CORP DE X X 09/08/03 HILLENBRAND INDUSTRIES INC IN X X 09/08/03 HOSPITALITY PROPERTIES TRUST MD X X 09/04/03 HYPERTENSION DIAGNOSTICS INC /MN MN X X 08/28/03 I STAT CORPORATION /DE/ DE X 09/08/03 ICEBERG BRANDS CORP NV X X X 09/08/03 IMPAC CMB TRUST SERIES 2003-8 DE X 08/25/03 AMEND IMPAX LABORATORIES INC DE X 09/05/03 INCYTE CORP DE X X 09/08/03 INFORTE CORP DE X X 09/08/03 INSITUFORM TECHNOLOGIES INC DE X X 09/05/03 INTEGRAMED AMERICA INC DE X X 09/08/03 IPC ACQUISITION CORP X X 09/05/03 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 07/25/03 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 08/25/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 07/25/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 08/25/03 JACOBSON STORES INC MI X X 09/02/03 JANUS CAPITAL GROUP INC DE X X 09/05/03 KV PHARMACEUTICAL CO /DE/ DE X X 09/04/03 L O M MEDICAL INTERNATIONAL INC X 09/05/03 LACLEDE STEEL CO /DE/ DE X X 08/28/03 LAKELAND FINANCIAL CORP IN X 09/08/03 LASERSIGHT INC /DE DE X X X 09/04/03 LEESPORT FINANCIAL CORP PA X X 09/05/03 LONGS DRUG STORES CORP MD X 09/05/03 LUCENT TECHNOLOGIES INC DE X 09/08/03 MAGELLAN PETROLEUM CORP /DE/ DE X 08/15/03 AMEND MAIR HOLDINGS INC MN X X 09/05/03 MANUFACTURED HOME COMMUNITIES INC MD X 09/08/03 MASTR ADJUSTABLE RATE MORTGAGE TRUST DE X X 08/25/03 MCKENZIE BAY INTERNATIONAL LTD X X 09/08/03 MERRILL LYNCH MOR INV INC PSS THR CE DE X X 08/25/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 08/25/03 MERRILL LYNCH MORT INVES INC MRT PS T DE X X 08/25/03 MERRILL LYNCH MORT INVEST INC MORT LN DE X X 07/25/03 MERRILL LYNCH MORT INVEST INC MORT LN DE X X 08/25/03 MERRILL LYNCH MORT INVESTORS INC TRUS DE X X 08/25/03 METROMEDIA FIBER NETWORK INC DE X X 09/08/03 MIDWAY GAMES INC DE X 02/20/03 AMEND MIDWAY GAMES INC DE X 04/29/03 AMEND MIIX GROUP INC DE X 09/04/03 MIRAVANT MEDICAL TECHNOLOGIES DE X 09/02/03 MOOG INC NY X X 09/08/03 MORGAN STANLEY ABS CAPITAL 1 INC TRUS DE X X 08/25/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 09/05/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 07/25/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 08/25/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 07/25/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 07/25/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 08/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 08/25/03 MORTGAGE ASSET SEC TRANS INC MALT SER NY X X 07/25/03 MORTGAGE ASSET SEC TRANS INC MASTR AL DE X X 08/25/03 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE X X 08/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 07/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 08/25/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 08/25/03 MORTGAGE ASSET SECURIT TRANS INC MORT DE X X 08/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 09/08/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 09/08/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 07/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 08/25/03 NANOBAC PHARMACEUTICALS INC FL X 09/03/03 AMEND NEWHALL 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