SEC NEWS DIGEST Issue 2003-179 September 17, 2003 ENFORCEMENT PROCEEDINGS IN THE MATTER OF LOUIS RATFIELD An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions By Default (Order) in Administrative Proceeding No. 3-11225, Louis W. Ratfield. The Order Instituting Proceedings alleged that on July 25, 2003, the United States District Court for the Southern District of Florida entered a final judgment that permanently enjoined Respondent Louis W. Ratfield (Ratfield) from violating Sections 5(a), 5(c), and 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 of 1940. The Order finds the allegations to be true and bars Ratfield from association with any investment adviser. (Rel. IA-2173; File No. 3-11225) IN THE MATTER OF JOHN DELPRINCE An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions By Default in Administrative Proceeding No. 3-11223, John DelPrince. The Order Instituting Proceedings alleged that on July 31, 2003, the United States District Court for the Middle District of Florida entered a default judgment that permanently enjoined DelPrince from aiding and abetting any violation of Section 15(b)(6)(B)(ii) of the Securities Exchange Act of 1934. The Order finds the allegations of the OIP to be true and, accordingly, bars DelPrince from association with any broker or dealer. (Rel. 34-48499; File No. 3-11223) IN THE MATTER OF SALVATORE PIAZZA, ET AL. An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions By Default (Order) in Salvatore Piazza, et al., Administrative Proceeding No. 3-10229, against Respondents Salvatore Piazza, James S. Labate, Emmanuel Gennusso, Cary F. Cimino, Todd M. Nejaime, Kevin P. Radigan, Robert J. Dacunto, Michael P. Dacunto, Joseph P. Meduri, Vincent A. Padulo, Jr., Vito G. Padulo, Salvatore F. Ruggiero, Patrick Giglio, Irving Stitsky, Paul L. Burton, Marc I. Burton, Kenneth J. Fuina, Marc L. Weissman, Anthony P. Dinota, Jr., Chester L. Chicosky, Lawrence M. Choiniere, William P. Burke, Michael Caso, John Catalano, Jr., George Bisnoff, Damien Douglas, Craig P. McGuinn, II, and Mark Danieli (Respondents in Default). The Order Instituting Proceedings alleged that the Respondents in Default 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 by participating in manipulation schemes. The Order finds the allegations to be true and imposes a cease and desist order against each of the Respondents in Default. The Order also bars each Respondent in Default from participating in any offering of penny stock and from association with any broker or dealer. (Rels. 33-8289; 34-48497; File No. 3- 10229) SEC OBTAINS PRELIMINARY INJUNCTIVE RELIEF AGAINST TECUMSEH HOLDINGS CORPORATION AND AFFILIATES At a hearing on August 22, 2003, the U.S. District Court for the Southern District of New York granted the Securities and Exchange Commission's application for a preliminary injunction and other relief against Tecumseh Holdings Corporation (Tecumseh), Tecumseh Tradevest LLC (Tradevest), S.B.Cantor & Co., Inc. (Cantor), and John L. Milling (Milling). The defendants filed no opposition to the Commission's motion and ultimately consented to the relief. Entered on Sept. 5, 2003, the court's order continues in place various forms of interim relief initially ordered by the court on July 25, 2003, when the court granted the Commission's application for a temporary restraining order and other relief to halt the fraud perpetrated by Tecumseh and the other defendants. Among other things, the court's Sept. 5, 2003, order preliminarily enjoins: (a) Tecumseh, Tradevest, Cantor and Milling from committing future violations of the registration provisions, Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act); (b) Tecumseh, Tradevest and Milling from future violations of the antifraud provisions, Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b- 5 thereunder; (c) Cantor from future violations of the broker-dealer books and records provisions, Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4 thereunder; and (d) Milling from aiding and abetting future violations of the broker-dealer books and records provisions, Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4 thereunder. The order also: (a) continues a freeze over the assets of those defendants and relief defendants Tecumseh Alpha Fund LP (Alpha Fund) and Tecumseh Alpha LLC (Alpha LLC); and (b) keeps in place Loretta E. Lynch as the court-appointed receiver for Tecumseh, Tradevest, and Cantor. At the request of defendant Milling, the order also imposes a limited stay of discovery and stays defendants' time to respond to the Commission's complaint pending resolution of a criminal investigation. The order allows the Commission, however, to take third-party discovery notwithstanding the stay. The Commission's complaint, filed on July 24, 2003, alleges that, beginning in June 2000, the defendants engaged in a fraud arising out of the unregistered offer and sale of securities in Tecumseh, a purported financial services company with offices in New Jersey and California, and Tecumseh's subsidiary, Tradevest. Tecumseh and Tradevest conducted the fraud largely through the efforts of Milling, a securities lawyer and Tecumseh's senior official. According to the complaint, Tecumseh, Tradevest and Milling acted with the assistance of defendants Cantor, a registered broker-dealer; Gerard A. McCallion, Cantor's President; Anthony M. Palovchik, Tecumseh's Vice President; and Dale Carone, manager of Tecumseh's California office; and others. Through the unregistered fraudulent offerings, the defendants together raised approximately $10 million from about 500 investors nationwide. The complaint also names as relief defendants three Tecumseh affiliates: Alpha Fund, Alpha LLC, and Stracq, Inc. The complaint alleges that Tecumseh, Tradevest and Milling induced investors to acquire securities of Tecumseh and Tradevest by means of a host of material misrepresentations. Through offering memoranda and other materials, these defendants (a) touted false and misleading profit projections; (b) promised some investors "returns on investment" or "dividends" without disclosing that Tecumseh and Cantor had no earnings to distribute and that any such payments necessarily would come from capital, including funds raised from other investors; and (c) made materially misleading statements concerning NASD approval for Tecumseh's acquisition of Cantor. Tecumseh, Tradevest and Milling knew or acted in reckless disregard of the fact that their representations to investors concerning these matters were materially false and misleading. The litigation is pending. [SEC v. Tecumseh Holdings Corp., et al., Civil Action No. 03 Civ. 5490 (SAS), SDNY] (LR-18353) INVESTMENT COMPANY ACT RELEASES MERRILL LYNCH PRINCIPAL PROTECTED TRUST, ET AL. An order has been issued on an application filed by Merrill Lynch Principal Protected Trust (Trust), Merrill Lynch Investment Managers, L.P. (MLIM), and Fund Asset Management, L.P. (together with MLIM, the Advisers) for an order under Section 6(c) of the Investment Company Act for an exemption from Section 12(d)(3) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits any series of the Trust to enter into certain types of principal protection arrangements with any entity that is in control of, controlled by, or under common control with, an Adviser (a Merrill Lynch Affiliate) or with an unaffiliated third party that enters into a derivatives contract or reinsurance contract with a Merrill Lynch Affiliate to hedge all or a portion of the risks under the principal protection arrangement. (Rel. IC-26180 - September 16) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the American Stock Exchange to make permanent crossing procedures on the Amex in Nasdaq National Market securities (SR-Amex-2003-79) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 22. (Rel. 34-48494) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation, respecting certain underlying common stock of Overture Services, Inc. (OVER), effective at the opening of business on September 17. (Rel. 34-48496) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 SYNDICATION NET COM INC, 1250 24TH STREET NW, SUITE 300, WASHINGTON, DC, 20037, 2024672788 - 250,000 ($132,500.00) Equity, (File 333-108822 - Sep. 16) (BR. 08) S-8 MIV THERAPEUTICS INC, 1-8765 ASH STREET, VANCOUVER BC CANADA, A1, V6P 6T3, 3,000,000 ($1,500,000.00) Equity, (File 333-108823 - Sep. 16) (BR. 36) S-3 KCS ENERGY INC, 5555 SAN FELIPE ROAD, HOUSTON, TX, 77056, 9086321770 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-108824 - Sep. 16) (BR. 04) S-3 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045, 4107400081 - 0 ($2,553,401.83) Equity, (File 333-108825 - Sep. 16) (BR. 01) S-3 F5 NETWORKS INC, 401 ELLIOT AVE WEST, STE 500, SEATTLE, WA, 98119, 2062725555 - 125,000,000 ($125,000,000.00) Equity, (File 333-108826 - Sep. 16) (BR. 03) S-4 LIBERTY MEDIA CORP /DE/, 12300 LIBERTY BLVD., ENGLEWOOD, CO, 80112, 7208755400 - 0 ($22,672,834.00) Equity, (File 333-108828 - Sep. 16) (BR. 37) S-4 CUMMINS INC, 500 JACKSON ST, BOX 3005 MAIL CODE 60207, COLUMBUS, IN, 47202-3005, 8123773259 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-108829 - Sep. 16) (BR. 36) S-3 AMERIGROUP CORP, 4425 CORPORATION LANE, SUITE 100, VIRGINIA BEACH, VA, 23462, 7574906900 - 0 ($115,000,000.00) Equity, (File 333-108831 - Sep. 16) (BR. 01) S-8 APO HEALTH INC /NV/, 3590 OCEANSIDE ROAD, -, OCEANSIDE, NY, 11572, 8003652839 - 2,750,000 ($192,500.00) Equity, (File 333-108832 - Sep. 16) (BR. 01) F-6 ADVANCED SEMICONDUCTOR ENGINEERING INC, 26 CHIN THIRD ROAD, NANTZE EXPORT PROCESSING ZONE, KAOHSIUNG TAIWAN, F5, 00000, 100,000,000 ($5,000,000.00) Equity, (File 333-108834 - Sep. 16) (BR. 36) S-8 CONSECO INC, 11825 N PENNSYLVANIA ST, CARMEL, IN, 46032, 3178176100 - 10,000,000 ($198,750,000.00) Equity, (File 333-108835 - Sep. 16) (BR. 01) S-8 SONORAN ENERGY INC, 521 WEST 23RD ST, 2ND FL, NEW YORK, NY, 10011, 2126479223 - 0 ($427,500.00) Equity, (File 333-108836 - Sep. 16) (BR. 04) S-4 CARPENTER TECHNOLOGY CORP, 1047 N PARK ROAD, WYOMISSING, PA, 19610-1339, 6102082000 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-108837 - Sep. 16) (BR. 06) S-8 HEALTH CARE PROPERTY INVESTORS INC, 4675 MACARTHUR COURT 9TH FL, SUITE 900, NEWPORT BEACH, CA, 92660, 9492210600 - 2,500,000 ($106,525,000.00) Equity, (File 333-108838 - Sep. 16) (BR. 08) S-3 BEAR STEARNS COMMERCIAL MORTGAGE SECURITIES II INC, 383 MADISON AVENUE, NEW YORK, NY, 10179, 2122722000 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-108839 - Sep. 16) (BR. ) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 500,000 ($8,950,000.00) Equity, (File 333-108840 - Sep. 16) (BR. 06) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 25,000 ($447,500.00) Equity, (File 333-108841 - Sep. 16) (BR. 06) S-8 STANDARD MICROSYSTEMS CORP, 80 ARKAY DRIVE, HAUPPAUGE, NY, 11934, 5164342904 - 1,422,434 ($29,544,650.00) Other, (File 333-108842 - Sep. 16) (BR. 36) S-3 MICROSOFT CORP, ONE MICROSOFT WAY #BLDG 8, NORTH OFFICE 2211, REDMOND, WA, 98052, 4258828080 - 0 ($17,672,050,000.00) Equity, (File 333-108843 - Sep. 16) (BR. 03) S-8 STEWART W P & CO LTD, 4412958585 - 625,167 ($12,550,227.00) Equity, (File 333-108844 - Sep. 16) (BR. 07) S-3 NASTECH PHARMACEUTICAL CO INC, 3450 MONTE VILLA PARKWAY, BOTHELL, WA, 98021, 4259083600 - 0 ($20,427,110.26) Equity, (File 333-108845 - Sep. 16) (BR. 01) S-3 ALLEGIANT BANCORP INC/MO/, 10401 CLAYTON ROAD, ST LOUIS, MO, 63131, 314 692-8200 - 0 ($8,878,250.00) Equity, (File 333-108846 - Sep. 16) (BR. 07) S-8 EZCORP INC, 1901 CAPITAL PKWY, AUSTIN, TX, 78746, 5123143400 - 0 ($7,509,750.00) Equity, (File 333-108847 - Sep. 16) (BR. 02) S-3 SIRNA THERAPEUTICS INC, 2950 WILDERNESS PLACE, BOULDER, CO, 80301, 3034496500 - 30,262,979 ($181,123,929.00) Equity, (File 333-108848 - Sep. 16) (BR. 01) N-2 LOOMIS SAYLES INCOME OPPORTUNITIES FUND, 1,000 ($15,000.00) Equity, (File 333-108849 - Sep. 16) (BR. 18) S-8 EON LABS INC, 787 SEVENTH AVE, NEW YORK, NY, 10019, 2127288116 - 0 ($34,460,000.00) Equity, (File 333-108850 - Sep. 16) (BR. 01) S-8 TEN STIX INC, 3101 RIVERSIDE DRIVE, IDAHO SPRINGS, CO, 80452, 3035670163 - 16,500,000 ($990,000.00) Equity, (File 333-108851 - Sep. 16) (BR. 02) S-4 COOPERATIVE COMPUTING INC /DE/, 804 LAS CIMAS PARKWAY, SUITE 200, C/O CCI-TRIAD, AUSTIN, TX, 78746, 5123282300 - 0 ($154,946,440.00) Non-Convertible Debt, (File 333-108852 - Sep. 16) (BR. 03) S-4 JOHNSONDIVERSEY HOLDINGS INC, 8310 16TH STREET, P O BOX 902, STURTEVANT, WI, 531770902, 2626314001 - 0 ($267,518,021.00) Non-Convertible Debt, (File 333-108853 - Sep. 16) (BR. 02) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. 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 ------------------------------------------------------------------------------------------------ ACME UNITED CORP CT X 09/15/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 09/15/03 ADAIR INTERNATIONAL OIL & GAS INC TX X 09/12/03 ADVANCED NUTRACEUTICALS INC/TX TX X 09/10/03 AFFILIATED COMPUTER SERVICES INC DE X X X 09/11/03 AGWAY INC DE X X 09/16/03 ALEXION PHARMACEUTICALS INC DE X X 09/12/03 ALLIS CHALMERS CORP DE X 07/17/03 AMEND ALTERNET SYSTEMS INC NV X 09/15/03 AMEDISYS INC DE X X 09/16/03 AMERICAN VANGUARD CORP DE X 09/12/03 AMERIVEST PROPERTIES INC MD X X 09/10/03 ANGEION CORP/MN MN X X 09/15/03 APOGENT TECHNOLOGIES INC WI X X 09/16/03 APPLICA INC FL X 09/16/03 ATLAS PIPELINE PARTNERS LP DE X X 09/16/03 AURORA FOODS INC /DE/ DE X X 09/16/03 AUTHENTIDATE HOLDING CORP DE X X 09/12/03 AVATECH SOLUTIONS INC DE X 09/15/03 AVNET INC NY X X 09/15/03 AXONYX INC NV X X 09/11/03 BACK CHANNEL INVESTMENTS INC DE X X 09/11/03 BANKNORTH GROUP INC/ME ME X X 09/11/03 BARR LABORATORIES INC NY X 09/15/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 08/29/03 BIOGENTECH CORP NV X 09/08/03 BIOZHEM COSMECEUTICALS INC TX X 09/04/03 BLUE RHINO CORP DE X X 09/16/03 BOSTON SCIENTIFIC CORP DE X X 09/15/03 BRANDAID MARKETING CORP DE X 06/30/03 AMEND BRIAZZ INC WA X 09/11/03 BRIDGE BANCORP INC NY X 09/15/03 BROWN TOM INC /DE DE X X 09/10/03 BROWN TOM INC /DE DE X 09/10/03 BROWN TOM INC /DE DE X 09/11/03 CALIFORNIA PIZZA KITCHEN INC CA X 09/11/03 CAP ROCK ENERGY CORP X 09/16/03 CATALINA MARKETING CORP/DE DE X X 08/20/03 AMEND CHASE CREDIT CARD MASTER TRUST NY X X 09/15/03 CHASE CREDIT CARD MASTER TRUST NY X X 09/15/03 CHASE MANHATTAN BANK USA DE X X 09/15/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 09/15/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 09/15/03 CHINA FUND INC MD X 08/01/03 CITIBANK SOUTH DAKOTA N A DE X 08/26/03 CITIBANK SOUTH DAKOTA N A DE X 08/26/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 09/15/03 CLARK INC DE X X 09/10/03 COACH INDUSTRIES GROUP INC NV X X 09/15/03 COBRA ELECTRONICS CORP DE X X 09/10/03 COEUR D ALENE MINES CORP ID X X 09/11/03 COLE NATIONAL CORP /DE/ DE X X 09/16/03 COLE NATIONAL GROUP INC DE X X 09/16/03 COMPETITIVE TECHNOLOGIES INC DE X 09/16/03 CONE MILLS CORP NC X X X 09/16/03 CONTANGO OIL & GAS CO DE X X X 09/12/03 COPART INC CA X X 09/16/03 COX COMMUNICATIONS INC /DE/ DE X X 09/09/03 AMEND COX TECHNOLOGIES INC NC X X 09/16/03 CRDENTIA CORP DE X X 09/16/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/16/03 CREDO PETROLEUM CORP CO X 09/15/03 CTC COMMUNICATIONS GROUP INC DE X 09/15/03 DATATEC SYSTEMS INC DE X X 09/16/03 DELCO REMY INTERNATIONAL INC DE X X X 09/16/03 DELTA FINANCIAL CORP DE X 09/16/03 DENDREON CORP DE X X 06/30/03 AMEND DIAL CORP /NEW/ DE X X 09/16/03 DIAMOND OFFSHORE DRILLING INC DE X X 09/16/03 DILLARD ASSET FUNDING CO DE X X 08/15/03 DOWNEY FINANCIAL CORP DE X X 08/31/03 DYNACQ INTERNATIONAL INC NV X X 09/16/03 ECB BANCORP INC NC X X 09/16/03 ECOLLEGE COM DE X X 09/15/03 EDISON MISSION ENERGY CA X 09/15/03 ELDER BEERMAN STORES CORP OH X X 09/15/03 ELECTRIC AQUAGENICS UNLIMITED INC DE X X 09/16/03 ELECTRIC CITY CORP DE X X 09/11/03 EMPIRIC ENERGY INC DE X X 09/15/03 ENSTAR INCOME GROWTH PROGRAM FIVE-A L GA X X 09/11/03 ENSTAR INCOME GROWTH PROGRAM FIVE-B L GA X X 09/11/03 ENSTAR INCOME GROWTH PROGRAM SIX A L GA X X 09/11/03 ENSTAR INCOME PROGRAM 1984-1 LP GA X X 09/11/03 ENSTAR INCOME PROGRAM II-2 LP GA X X 09/11/03 ENSTAR INCOME PROGRAM IV-1 LP GA X X 09/11/03 ENSTAR INCOME PROGRAM IV-2 LP GA X X 09/11/03 ENSTAR INCOME PROGRAM IV-3 L P GA X X 09/11/03 ESPEY MFG & ELECTRONICS CORP NY X X 09/16/03 FACTSET RESEARCH SYSTEMS INC DE X X 08/31/03 FAIRFIELD MANUFACTURING CO INC DE X 09/16/03 FARO TECHNOLOGIES INC FL X 09/16/03 FIRST ADVANTAGE CORP DE X 09/12/03 FIRST SECURITY GROUP INC/TN TN X 09/16/03 FOODARAMA SUPERMARKETS INC NJ X 08/03/03 FOOTSTAR INC DE X X X 09/15/03 GABELLI ASSET MANAGEMENT INC NY X X 09/16/03 GABLES REALTY LIMITED PARTNERSHIP DE X X 09/15/03 GABLES RESIDENTIAL TRUST MD X X 09/15/03 GENERAL MILLS INC DE X X 09/16/03 GENUITY INC DE X X 09/16/03 GEORGIA GULF CORP /DE/ DE X X 09/15/03 GEORGIA POWER CO GA X X 09/08/03 GIBRALTAR PACKAGING GROUP INC DE X X 09/16/03 GLOBECOMM SYSTEMS INC X X 09/15/03 GRAFTECH INTERNATIONAL LTD DE X 09/16/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 08/15/03 GULF POWER CO ME X X 09/05/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 09/16/03 HAYES LEMMERZ INTERNATIONAL INC DE X X 09/15/03 HI TECH PHARMACAL CO INC NY X 09/15/03 HIENERGY TECHNOLOGIES INC WA X 09/15/03 HORSESHOE GAMING HOLDING CORP DE X X 09/10/03 IMERGENT INC DE X X 06/30/03 IMP INC DE X X 09/16/03 INSTAPAY SYSTEMS INC UT X X X 09/15/03 INVESTORS CAPITAL HOLDINGS LTD MA X X 09/15/03 AMEND IWT TESORO CORP NV X 09/10/03 JOHNSON CONTROLS INC WI X X 09/15/03 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 09/12/03 KANSAS CITY SOUTHERN DE X X 09/16/03 KINDER MORGAN ENERGY PARTNERS L P DE X 09/16/03 KINDER MORGAN INC KS X 09/16/03 KINDER MORGAN MANAGEMENT LLC DE X 09/16/03 KROGER CO OH X X X 09/16/03 LEHMAN ABS CORP DE X X 09/01/03 LEHMAN BROTHERS HOLDINGS INC DE X 09/16/03 LIFESTREAM TECHNOLOGIES INC NV X X 09/15/03 LINCOLN NATIONAL CORP IN X X 09/11/03 LOCKHEED MARTIN CORP MD X X 09/15/03 LTWC CORP DE X X 09/15/03 MAGIC LANTERN GROUP INC NY X X 09/16/03 MANUFACTURED HOME COMMUNITIES INC MD X X 09/15/03 MEDICORE INC FL X X 09/16/03 MEDWAVE INC DE X X 09/16/03 MERCER INTERNATIONAL INC WA X 09/15/03 METLIFE INC DE X 09/16/03 MIDDLESEX WATER CO NJ X 09/16/03 MILLENNIUM CHEMICALS INC DE X 09/16/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X X 09/10/03 MONSANTO CO /NEW/ DE X X 09/16/03 MOOG INC NY X X 09/16/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 09/12/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 09/12/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 09/16/03 MYLAN LABORATORIES INC PA X X 09/16/03 NATIONWIDE FINANCIAL SERVICES INC/ DE X 09/16/03 NAVIDEC INC CO X X 09/11/03 NETGURU INC DE X X 09/12/03 NEXSTAR BROADCASTING GROUP INC DE X X 09/12/03 NORSTAN INC MN X X 09/16/03 NORTHWESTERN CORP DE X X 09/16/03 OCEANEERING INTERNATIONAL INC DE X 09/16/03 ODYSSEY HEALTHCARE INC DE X X 09/16/03 OFFICE DEPOT INC DE X X 09/16/03 OGE ENERGY CORP OK X X 09/16/03 OKLAHOMA GAS & ELECTRIC CO OK X X 09/16/03 ON COMMAND CORP DE X X 09/15/03 OSE USA INC DE X X 09/03/03 PACIFIC GAS & ELECTRIC CO CA X X 09/16/03 PDG ENVIRONMENTAL INC DE X X 09/15/03 PG&E CORP CA X X 09/16/03 PLAINS ALL AMERICAN PIPELINE LP DE X 09/16/03 PRIMUS TELECOMMUNICATIONS GROUP INC DE X 09/15/03 PROGRESS FINANCIAL CORP DE X 09/15/03 PROGRESS FINANCIAL CORP DE X 09/15/03 AMEND PROGRESS SOFTWARE CORP /MA MA X X 09/16/03 PROVIDIAN MASTER TRUST X X 09/15/03 PUBLIC SERVICE CO OF OKLAHOMA OK X X 09/10/03 RADIUM VENTURES INC NV X 09/15/03 RAMPART CAPITAL CORP TX X X 09/16/03 RAYOVAC CORP WI X 09/15/03 REMEC INC CA X X 09/15/03 RICA FOODS INC NV X X 09/16/03 ROHN INDUSTRIES INC DE X X X X 09/16/03 SABRE HOLDINGS CORP DE X 09/16/03 SAXON ASSET SECURITIES CO VA X 09/12/03 SBARRO INC NY X X 09/08/03 SIMMONS CO /GA/ DE X X 02/28/03 AMEND SIRNA THERAPEUTICS INC CO X X 09/16/03 SKY FINANCIAL GROUP INC OH X 09/15/03 SLC STUDENT LOAN RECEIVABLES I INC DE X X 08/31/03 SOCKET COMMUNICATIONS INC DE X X 09/12/03 SOMANETICS CORP MI X 09/15/03 SONTRA MEDICAL CORP MN X 09/15/03 SOUTHERN COMMUNITY FINANCIAL CORP NC X 09/05/03 SOUTHWESTERN ENERGY CO AR X X 09/16/03 SPECIALTY LABORATORIES INC X X 09/16/03 ST MARY LAND & EXPLORATION CO DE X X 09/14/03 STANDARD PACIFIC CORP /DE/ DE X 09/16/03 STEWART & STEVENSON SERVICES INC TX X X 09/15/03 STRATESEC INC DE X 09/16/03 STRUCTURED ASSET SECURITIES CORP II X X 09/12/03 SYMBOL TECHNOLOGIES INC DE X 09/16/03 TEKELEC CA X 06/10/03 AMEND TEPPCO PARTNERS LP DE X X 09/16/03 TIBCO SOFTWARE INC DE X X 09/16/03 TODD SHIPYARDS CORP WA X 09/15/03 TRANS WORLD ENTERTAINMENT CORP NY X 09/14/03 TRINITY LEARNING CORP UT X X 09/16/03 TRINITY LEARNING CORP UT X X 09/16/03 TRINITY LEARNING CORP UT X X 09/16/03 TURNSTONE SYSTEMS INC DE X X 09/16/03 TXU US HOLDINGS CO TX X X 09/15/03 U S WIRELESS DATA INC DE X X 09/16/03 UCAP INC CO X 09/12/03 UNITEDHEALTH GROUP INC MN X X 09/16/03 UNIVERSAL HOSPITAL SERVICES INC MN X X 09/15/03 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE X 09/16/03 UPGRADE INTERNATIONAL CORP /FL/ FL X 09/05/03 URBANI HOLDINGS INC CO X 09/15/03 UTEK CORP X X 08/28/03 UTEK CORP X 09/16/03 VARSITY BRANDS INC DE X X 09/15/03 WAVE SYSTEMS CORP DE X X 09/15/03 WESTPAC SECURITISATION MGT PTY LTD SE X 09/05/03 WICKES INC DE X 09/16/03 WILLOW GROVE BANCORP INC/NEW PA X X 09/12/03 WINSTON HOTELS INC NC X X 09/15/03 WORKFLOW MANAGEMENT INC DE X X 09/16/03 X RITE INC MI X 07/02/03 AMEND XEROX CORP NY X 09/15/03