SEC NEWS DIGEST Issue 2003-186 September 30, 2003 RULES AND RELATED MATTERS AMENDMENTS TO INVESTMENT COMPANY ADVERTISING RULES On September 29, the Commission issued a release adopting rule and form amendments under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940 that require enhanced disclosure in investment company advertisements and that are designed to encourage advertisements that convey balanced information to prospective investors, particularly with respect to past performance. The amendments also implement Section 24(g) of the Investment Company Act by permitting the use of a prospectus under Section 10(b) of the Securities Act with respect to securities issued by an investment company that includes information the substance of which is not included in the investment company's statutory prospectus. (Rels. IC-26195; 33-8294; 34- 48558) ENFORCEMENT PROCEEDINGS IN THE MATTER OF SALVATORE PIAZZA, ET AL. An Administrative Law Judge has issued an Initial Decision in Salvatore Piazza, et al., against Respondents John Bruzzese (Bruzzese) and Robert Gallo (Gallo). The Initial Decision finds that Respondents Bruzzese and Gallo willfully violated Section 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Initial Decision imposes cease-and-desist orders against Respondents Bruzzese and Gallo, pursuant to Section 8A of the Securities Act and Section 21C of the Exchange Act. The Initial Decision also bars Respondents Bruzzese and Gallo from association with any broker or dealer and from participating in offerings of penny stocks, pursuant to 15(b)(6) of the Exchange Act. (Initial Decision No. 236; File No. 3-10229) FORMER TRADER BARRED FROM THE SECURITIES INDUSTRY Richard J. Callipari, formerly employed as a trader at broker-dealers, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge. Callipari was convicted in the United States District Court in Rhode Island in April 2003 of wire fraud, conspiracy to commit wire fraud, and endeavoring to obstruct an SEC proceeding by lying under oath to SEC staff. The convictions grew out of his involvement in a scheme with Thomas J. Connolly to free-ride in options. Connolly had been employed at a broker-dealer subsidiary of Fidelity Investments, to which the scheme caused substantial losses. (Initial Decision No. 237; File No. 3-11205) SEC INSTITUTES PUBLIC ADMINISTRATIVE PROCEEDINGS AGAINST PROFESSIONAL TRANSPORTATION GROUP LTD., INC. BASED UPON ITS DELINQUENT FILINGS On September 29, the Commission instituted public administrative proceedings against Professional Transportation Group Ltd., Inc. (Professional Transportation), a former Georgia corporation. The Order Instituting Public Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) alleges that Professional Transportation first registered its common stock with the Commission in May 1997. The Order further alleges that from Sept. 30, 2000, to the present time, Professional Transportation has failed to file annual and quarterly reports as required by Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-2 thereunder. A hearing will be scheduled before an administrative law judge to determine whether these allegations are true, to provide Professional Transportation an opportunity to dispute these allegations, and to determine whether it is necessary and appropriate for the protection of investors to suspend or revoke the registration of Professional Transportation's common stock pursuant to Section 12(g) of the Securities Exchange Act of 1934. The Commission directed that an administrative law judge shall issue an initial decision in this matter within 120 days form the date of service of the Order. (Rel. 34-48560; File No. 3-11279) COMMISSION BARS FORMER KNIGHT SECURITIES TRADERS BRIAN DELANEY AND NICOLE SHKEDI On September 29, the Commission issued administrative orders barring former Knight Securities, L.P. traders Brian P. Delaney and Nicole M. Shkedi, from associating with any registered broker or dealer pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934. The Commission's orders were based upon the entry of final judgments, dated September 19, 2003, by the U.S. District Court for the District of New Jersey, which among other things enjoined Delaney and Shkedi from violating the antifraud provisions of the federal securities laws. (See Litigation Release No. 18329.) The Commission's complaint in that case alleged that Delaney and Shkedi participated in a trading scheme that defrauded Knight of approximately $1.4 million. Delaney and Shkedi consented to the entry of both the injunctions and bar orders. (For Delaney, see Rel. 34-48561, File No. 3-11280; for Shkedi, see Rel. 34- 48562, File No. 3-11281) SEC SANCTIONS THE CHICAGO STOCK EXCHANGE AND REQUIRES THE IMPROVEMENT OF ITS SURVEILLANCE AND ENFORCEMENT PROGRAMS The Commission today instituted and simultaneously settled an administrative action against the Chicago Stock Exchange, charging that the Exchange failed to enforce certain of its trading rules. The Exchange consented to entry of the order and to the imposition of sanctions and a cease-and-desist order without admitting or denying the Commission's allegations. Specifically, the Commission alleged that the Chicago Stock Exchange's surveillance program failed adequately to detect violations by its members of the firm quote rule, trading ahead prohibitions and the limit order display rule from 1998 through 2001. In addition, the Commission charged that even when the Exchange detected such violations, it often failed to take adequate disciplinary actions against the individuals and/or firms that committed the violations. As a result, the Commission alleged that the Chicago Stock Exchange violated Section 19(g) of the Securities Exchange Act of 1934 (Exchange Act) which requires exchanges to enforce compliance by its members with the provisions and rules of the Exchange Act and with the exchanges' own rules. The Commission's order censures the Chicago Stock Exchange and requires it to cease and desist from future violations of Section 19(g) of the Exchange Act. The settlement further requires the Exchange to comply with certain undertakings, including: (i) the creation of a Regulatory Oversight Committee comprised almost exclusively of individuals with no material business relationship with the Chicago Stock Exchange; (ii) the engagement of an Independent Consultant; and (iii) the filing of various certifications by the Exchange's officials confirming its ongoing compliance with its statutory obligations. The Commission reiterates the importance of Self Regulatory Organizations to fulfill their obligations in enforcing their rules. In particular, Section 6(b) of the Exchange Act requires a registered national securities exchange to be organized and have the capacity to be able to carry out the purposes of the Exchange Act and to comply and enforce compliance by its members with the Exchange Act, the rules and regulations thereunder, and the rules of the Exchange. (Rel. 34-48566; File No. 3-11282) COMMISSION SUSPENDS FORMER PURCHASEPRO CHIEF ACCOUNTING OFFICER SCOTT MILLER On September 30, the Commission issued an administrative order suspending former PurchasePro.com, Inc. Chief Accounting Officer and Senior Vice-President for Finance Scott H. Miller, from appearing or practicing before the Commission as an accountant pursuant to Rule 102(e) of the Commission's Rules of Practice. The Commission's order was based upon the entry of a final judgment, dated Sept. 24, 2003, by the U.S. District Court for the Eastern District of Virginia, which among other things enjoined Miller from violating the antifraud provisions of the federal securities laws. (See Litigation Release No. 18358.) The Commission's complaint in that case alleged that Miller knew or was reckless in not knowing that PurchasePro's revenues for the first quarter of its 2001 fiscal year (Q1 2001) were improperly and materially inflated and that Miller misled the company's outside auditors in connection with the auditors' review of PurchasePro's financial statements for Q1 2001. Miller consented to the entry of both the injunction and the suspension. (Rel. 34-48571; AAE Rel. 1881; File No. 3-11285) SEC SUES INVESTMENT ADVISER AND ITS PRINCIPAL FOR MISREPRSENTATIONS THAT CAUSED TONGAN GOVERNMENT TO LOSE OVER $24.5 MILLION The Commission today announced the filing of a civil injunctive action in the federal district court for the Northern District of California against Wellness Technologies, Inc. (Wellness), a former investment adviser and its sole principal, Jesse Dean Bogdonoff (Bogdonoff) for defrauding the Tonga Trust Fund (Trust), a trust fund established by the government of Tonga. The SEC's complaint alleges that from June 1999 to November 2001, Wellness and Bogdonoff fraudulently induced the Trust to invest $24.5 million in three highly speculative and unsuitable investments. As a result of the fraud, the Trust has lost substantially all of its investment. The adviser received at least $2 million in commissions from the companies whose securities he recommended, as well as $540,000 in advisory fees from the Trust. According to the complaint, Bogdonoff recommended that the Trust invest $20 million with a newly established company that sold investments in viatical contracts, which are agreements to purchase the benefits of life insurance policies insuring terminally ill or very elderly persons. Bogdonoff falsely told the trustees that this investment carried "no market risk," despite the risk that the Trust could lose all of its investment held by the thinly capitalized company. The complaint also alleged that Bogdonoff recommended that the Trust invest $4 million dollars and $500,000, respectively, in two private companies that Bogdonoff knew were struggling to stay solvent. The complaint further alleges that Bogdonoff falsely reported to the trustees on several occasions that all three investments were increasing in value, when in fact, the investments were failing or stagnant. The SEC's complaint alleged that by November 2001, the investments collapsed or defaulted without returning any of the Trust's investment funds. The complaint charges Wellness with violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act) and Bogdonoff with aiding and abetting those violations; it also charges Wellness and Bogdonoff with violating Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks a court order directing Wellness and Bogdonoff to disgorge all commissions and fees they received relating to the Trust's investments, imposing civil monetary penalties and enjoining them from future violations of the securities laws. [SEC v. Wellness Technologies, Inc. and Jesse Dean Bogdonoff, USDC, NDCA, Civil Action No. C-03-4384-MJJ] (LR-18375) COMMISSION CHARGES JOHN FELDER AND JEAN RUHL WITH INSIDER TRADING The Commission announced the filing on September 25 of a complaint in the United States District Court for the Southern District of New York, alleging insider trading in the securities of Conestoga Enterprises, Inc. (Conestoga) by defendant John R. Felder, of Naples, Florida. Felder purchased Conestoga's stock in advance of a July 25, 2001, announcement of a merger between Conestoga and NTELOS, Inc. (NTELOS) after receiving material, nonpublic information concerning the proposed merger from defendant Jean M. Ruhl, of Lewisburg, Pennsylvania, a member of Conestoga's Board of Directors. The complaint seeks permanent injunctions for violations of the antifraud provisions of the federal securities laws, disgorgement, civil penalties, and an officer and director bar against Ruhl. As described below, the defendants have agreed to settle this matter. Conestoga was an integrated communications provider based in Birdsboro, Pennsylvania. Its stock was traded on the NASDAQ national market. The Commission's complaint alleges that on the morning of July 25, 2001, Conestoga publicly announced that it had signed an agreement to merge with NTELOS. Under the terms of the agreement, Conestoga shareholders would receive approximately $40 per share in a combination of cash and stock. This merger was never consummated. In September 2001, Conestoga opted to accept a more favorable offer from another company, D&E Communications, Inc. Following the announcement, Conestoga's share price increased $5.25, or 16.5 percent, from $31.75 (at the close on July 24) to $37. The complaint alleges that Felder knew Ruhl socially and professionally, knew that she was a member of Conestoga's Board, and spoke with her often during the time of the merger negotiations. In the months leading up to Felder's trading, he and Ruhl spoke often by telephone, including the days surrounding each Board meeting and each of Felder's purchases of Conestoga stock. During at least some of these calls, Felder sought information from Ruhl concerning whether Conestoga was seeking a merger. In breach of her fiduciary duties to Conestoga and its shareholders, Ruhl conveyed material, nonpublic information concerning the proposed merger to Felder. On six separate days between July 2 and July 18, 2001, just prior to the announcement of the merger, Felder then purchased a total of 9,200 shares of Conestoga common stock, spending almost $272,000. Although Felder did not sell his shares on July 25, 2001, he had potential profits of $68,476 from his unlawful trading. Simultaneously with the filing of the complaint, and without admitting or denying the Commission's allegations, the defendants consented to the entry of a Final Judgment permanently enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; ordering Felder and Ruhl to jointly and severally pay disgorgement in the amount of $68,476, together with prejudgment interest; and ordering the defendants to each pay a civil penalty in the amount of $68,476. In addition, Ruhl will be barred from acting as an officer or director of a public company. The Commission acknowledges the assistance of NASD Regulation, Inc. in this matter. [SEC v. John R. Felder and Jean M. Ruhl, Civil Action No. 03-CV-7559, SDNY] (LR-18376) COMMISSION SUES JOHN LAWBAUGH FOR FRAUD, EMBEZZLEMENT AND OTHER PROHIBITED CONDUCT The Commission announced that, on September 29 it filed a civil action in the U.S. District Court for the District of Maryland, against John J. Lawbaugh, age 38, of Maryland, the former majority shareholder, Chief Executive Officer, and Chairman of the Board of both 1st Atlantic Guaranty Corporation (1st Atlantic) and SBM Certificate Company (SBM), face-amount certificate companies registered with the Commission. The complaint seeks a permanent injunction; disgorgement of ill-gotten gains; the imposition of civil penalties; a bar from acting as an officer or director of a public company; imposing a bar from serving as an officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or as a principal underwriter for any registered open-end investment company, unit investment trust, or face-amount certificate company; as well as penalties pursuant to Section 49 of the Investment Company Act. The Commission alleges that Lawbaugh made material misrepresentations and omissions in 1st Atlantic's and SBM's annual and periodic filings with the Commission by overstating assets and failing to disclose transfers, thereby hiding the fact that Lawbaugh had misappropriated approximately $2 million in corporate funds for his personal use. The Complaint also alleges that Lawbaugh stole and willfully converted to his own use funds of 1st Atlantic and SBM. The Commission's complaint also alleges that Lawbaugh misappropriated approximately $1 million from investors by promising to invest their money in 1st Atlantic's face-amount certificates. Lawbaugh never invested the money, and instead deposited the money into his personal accounts. The complaint charges the defendant with violating 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 17(e)(1), 34(a), 34(b) and 37 of the Investment Company Act of 1940. [SEC v. John J. Lawbaugh, Civil Action No. 8:03-cv-2768 (D. Md.)] (LR-18377) FORMER CREDIT SUISSE FIRST BOSTON EMPLOYEE AND FRIEND PREVIOUSLY SUED BY SEC FOR INSIDER TRADING INDICTED FOR CONSPIRING TO ENGAGE IN SECURITES FRAUD AND FOR INSIDER TRADING The Commission announced that on September 25 a federal grand jury charged Paul A. Gianamore and Ryan D. Evans in an eight-count indictment with conspiring to engage in securities fraud and with engaging in insider trading. The indictment also charges that Gianamore and Evans engaged in efforts to conceal their conspiracy. The Commission previously brought a civil action against Gianamore and Evans for insider trading. The Commission's complaint alleged from in or about December 1999 to in or about August 2000, Paul Gianamore then a Credit Suisse First Boston Financial Analyst, tipped his friend Ryan Evans with material, nonpublic information regarding publicly traded companies on at least four occasions. Evans then traded in the securities of these companies while in possession of this information. Specifically, the Commission alleged that during the relevant time period, Credit Suisse First Boston's Chicago office (CSFB Chicago) acted as a financial advisor to one of the parties of at least four merger or acquisition transactions. The Commission further alleged that through his employment at CSFB Chicago, Gianamore obtained nonpublic information about the mergers and acquisitions in issue before they were publicly announced and then tipped Evans with the inside information. The Commission alleged that while in possession of this information, Evans purchased shares in companies shortly before an announcement of the merger or acquisition. In each case, Evans sold his shares shortly after the public announcement of the merger or acquisition. Gianamore and Evans previously settled the Commission's action without admitting or denying the allegations of the Commission's Complaint. Gianamore agreed to pay disgorgement in the amount of $243,667.17, plus prejudgment interest in the amount of $52,717.26 for a total payment of $296,384.43. The Commission agreed to waive all but $17,046.98 of the disgorgement and prejudgment interest based on Gianamore's sworn representations to the Commission regarding his financial condition. Gianamore also agreed to entry of an order of permanent injunction, enjoining him from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Evans previously agreed to pay disgorgement in the amount of $243,667.17, plus prejudgment interest in the amount of $41,890.82 for a total payment of $285,557.99. The Commission agreed to waive all but $49,722.08 of the disgorgement and prejudgment interest based on Evans' sworn representations to the Commission regarding his financial condition. Evans also agreed to entry of an order of permanent injunction, enjoining him from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. [U.S. v. Paul A. Gianamore and Ryan Evans, Case No. 03 CR928, N.D. IL]; [SEC v. Ryan D. Evans and Paul A. Gianamore, Case No. 02-C-0582 (ND IL)] (LR- 18378) FORMER AG-CHEM EQUIPMENT COMPANY DIRECTOR, TWO OTHERS, CHARGED WITH INSIDER TRADING On September 29, the Commission filed a civil injunctive action in the U.S. District Court for the District of Maryland against DeWalt J. Willard, Jr., William F. Willard, Sr. and Larry L. Martin, for insider trading. The complaint alleges that the three defendants traded while in possession of material non-public information in advance of a November 20, 2000 announcement that Ag-Chem Equipment Company, Inc. (Ag- Chem) had been acquired by AGCO Corporation. As described below, the defendants have agreed to settle this matter. The complaint alleges that DeWalt Willard, a member of Ag-Chem's board of directors, after learning of Ag-Chem's merger negotiations, purchased Ag-Chem stock in his own account and through the securities account of a friend, thereby earning illegal profits of $73,287. The complaint alleges that DeWalt Willard also failed to file the required Form 4 with the Commission disclosing any of the purchases made through his friend's account. The complaint alleges that DeWalt Willard also tipped his son, William Willard, about the merger negotiations. William Willard then tipped Martin, his friend and business associate, and asked Martin to purchase Ag-Chem stock on his behalf. The complaint alleges that Martin purchased Ag-Chem stock for William Willard's benefit, resulting in illegal profits of $33,462 for William Willard. Finally, the complaint alleges that, following receipt of the tip, Martin purchased Ag-Chem stock in his personal brokerage account and for his two sons, earning illegal profits of $109,387. Without admitting or denying the allegations in the Commission's complaint, all three defendants have consented to permanent injunctions from violations of Section 10(b) of the Securities Exchange Act of 1940 (Exchange Act) and Rule 10b-5 thereunder. In addition, DeWalt Willard has consented to the entry of a permanent injunction from violations of Section 16(a) of the Exchange Act and Rule 16a-3 thereunder, and to the entry of an order barring him from serving as an Officer or Director of a public company. DeWalt Willard has also agreed to pay disgorgement of $73,287, together with prejudgment interest of $12,037, and to pay a civil penalty of $107,478. William Willard and Larry Martin have consented to pay disgorgement, jointly and severally, of $142,849, together with prejudgment interest of $23,463. William Willard has also agreed to pay a civil penalty of $33,462, and Larry Martin has agreed to pay a civil penalty of $109,387. The Commission acknowledges the assistance of NASD Regulation, Inc. in this matter. [SEC v. DeWalt J. Willard, Jr., et al., USDC, D. Md., Civil Action No. MJG 03-CV-2769] (LR-18379) CORRECTIONS AND ADDITIONS IN THE MATTER OF QWEST COMMUNICATIONS INTERNATIONAL, INC. The litigation release cite for the above-named matter was omitted from yesterday's Digest. The cite is [SEC v. Loren D. Pfau, Civil Action No. 03-D-1925, MJW, D. Colo.] (LR-18374; AAE Rel. 1878). INVESTMENT COMPANY ACT RELEASES THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act to The Equitable Life Assurance Society of the United States (Equitable Life), The Equitable of Colorado, Inc. ("EOC," and together with Equitable Life, "Equitable"), Separate Account No. 45 of Equitable Life (SA 45), Separate Account No. 49 of Equitable Life (SA 49), Separate Account VA of EOC ("SA VA" and together with SA 45 and SA 49, the "Accounts"), AXA Advisors, LLC, and AXA Distributors, LLC (collectively, "Applicants") exempting them from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to permit the recapture of certain credits applied to contributions made under certain amended deferred variable annuity contracts and certificates, including certain amended certificate data pages and endorsements, that Equitable will issue through the Accounts (Amended Contracts), and under contracts and certificates, including certain certificate data pages and endorsements, that Equitable may issue in the future through the Accounts, and any other separate accounts of Equitable that are substantially similar in all material respects to the Amended Contracts. The order also extends to "Equitable Broker-Dealers," as defined in the prior applications. (Rel. IC-26192 - September 26) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2003- 24) and Amendment No. 1 thereto to reduce initial and annual branch office registration fees, retroactive to Jan. 1, 2003, charged to member organizations with more than one thousand branch offices. Publication of the notice is expected in the Federal Register during the week of September 29. (Rel. 34-48547) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-122) submitted by the National Association of Securities Dealers relating to proposal to conduct background verification and charge application fee for NASD neutral roster applicants. (Rel. 34-48541) The Commission approved a proposed rule change (SR-Amex-2003-54) by the American Stock Exchange relating to the limitation of liability of the Options Clearing Corporation to Exchange members. (Rel. 34-48555) The Commission approved a proposed rule change submitted by the American Stock Exchange (SR-AMEX-2003-71) relating to the elimination of the Minor Floor Violation Disciplinary Committee. Publication of the order is expected in the Federal Register during the week of Oct. 6, 2003. (Rel. 34-48557) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NYSE-2003-28) filed by the New York Stock Exchange to extend for an additional six-month period a pilot rule relating to arbitration 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 29. (Rel. 34-48552) A proposed rule change (SR-NASD-2003-144) filed by the National Association of Securities Dealers to extend, for an additional six-month period, a pilot rule regarding waiver of California Arbitrator Disclosure Standards, 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 29. (Rel. 34-48553) 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 securities of the following companies, effective at the opening of business on September 30: CVS Corporation (CVS) Starwood Hotels & Resorts (HOT) (Rel. 34-48564) 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: . SB-2 PACIFICHEALTH LABORATORIES INC, 1480 ROUTE 9 NORTH SUITE 204, WOODBURY, NJ, 07095, 9086366141 - 4,999,772 ($4,249,806.00) Equity, (File 333-109197 - Sep. 29) (BR. 01) S-1 ACORDA THERAPEUTICS INC, 15 SKYLINE DRIVE, HAWTHORNE, NY, 10532, 914-347-4300 - 0 ($75,000,000.00) Equity, (File 333-109199 - Sep. 29) (BR. 01) S-8 KYOCERA CORP, 5-22 KITAINOUE CHO HIGASHINO, YAMASHINA KU KYOTO, M0, 00000, 0755923851 - 90,000 ($6,368,400.00) Equity, (File 333-109200 - Sep. 29) (BR. 36) S-3 XYBERNAUT CORP, 12701 FAIR LAKES CIRCLE, STE 550, FAIRFAX, VA, 22033, 7036316925 - 9,131,016 ($19,814,305.00) Equity, (File 333-109201 - Sep. 29) (BR. 03) S-8 EOS INTERNATIONAL INC, 2123139400 - 10,000,000 ($9,600,000.00) Equity, (File 333-109202 - Sep. 29) (BR. 08) S-8 DIATECT INTERNATIONAL CORP, 435-654-4370 - 600,000 ($114,000.00) Equity, (File 333-109203 - Sep. 29) (BR. 02) SB-2 GREAT LAKES BANCORP INC, 2421 MAIN STREET, BUFFALO, NY, 14214, 7169611900 - 2,077,370 ($19,215,672.50) Equity, (File 333-109204 - Sep. 29) (BR. 07) S-8 ATNG INC, 7010 NW 100 DRIVE, BLDG. A, STE. #101, HOUSTON, TX, 77092, 7137854722 - 29,000,000 ($145,000.00) Equity, (File 333-109205 - Sep. 29) (BR. 37) S-8 TECH LABORATORIES INC, 955 BELMONT AVE, NORTH HALEDON, NJ, 07508, 9734275333 - 1,200,000 ($36,000.00) Equity, (File 333-109207 - Sep. 29) (BR. 36) S-8 NEXIA HOLDINGS INC, 268 WEST 400 SOUTH, STE 300, SALT LAKE CITY, UT, 84101, 8015758073 - 20,000,000 ($100,000.00) Equity, (File 333-109208 - Sep. 29) (BR. 09) S-4 PLATO LEARNING INC, 10801 NESBITT AVENUE SOUTH, BLOOMINGTON, MN, 55437, 8477817800 - 0 ($50,254,888.64) Equity, (File 333-109209 - Sep. 29) (BR. 05) S-8 IMMUCOR INC, 3130 GATWAY, PO BOX 5625, NORCROSS, GA, 30091, 7704412051 - 85,833 ($547,326.18) Equity, (File 333-109210 - Sep. 29) (BR. 01) S-3 3M CO, 3M CENTER, BLDG. 220-11W-02, ST PAUL, MN, 55144-1000, 6517332204 - 1,500,000,000 ($1,500,000,000.00) Non-Convertible Debt, (File 333-109211 - Sep. 29) (BR. 04) S-8 ESIM LTD, 5 KIRYAT MADA ST, HAR HOZVIM, JERUSALEM ISRAEL, L3, 91 450, 9725870770 - 1,800,000 ($329,300.00) Equity, (File 333-109212 - Sep. 29) (BR. 03) S-8 COOLBRANDS INTERNATIONAL INC, 8300 WOODBINE AVE 5TH FL, MARKHAM ONTARIO, CANADA L3R 9Y7, A6, 5167379700 - 8,406,961 ($62,157,707.00) Equity, (File 333-109213 - Sep. 29) (BR. 04) S-8 STORA ENSO CORP, KANAVARANTA 1 PO BOX 309, 011-358-2046-131, HELSINKI FINLAND, H9, FIN-00101, 0 ($79,885,000.00) Equity, (File 333-109214 - Sep. 29) (BR. 04) S-B REPUBLIC OF COLOMBIA, 10 EAST 46TH ST, C/O CONSUL REBUBLIC OF COLOMBIA, NEW YORK, NY, 10017, 0 ($2,500,000,000.00) Unallocated (Universal) Shelf, (File 333-109215 - Sep. 29) (BR. DN) S-8 NCI HOLDINGS INC, 268 WEST 400 SOUTH, SUITE 300, SALT LAKE CITY, UT, 84101, 801-575-8073 - 4,000,000 ($1,600,000.00) Equity, (File 333-109216 - Sep. 29) (BR. 05) S-4 KINETIC CONCEPTS INC /TX/, 8023 VANTAGE DR, SAN ANTONIO, TX, 78230, 210.524.9000 - 0 ($205,000,000.00) Non-Convertible Debt, (File 333-109217 - Sep. 29) (BR. 06) S-8 COMMUNITY FINANCIAL CORP /VA/, 38 NORTH CENTRAL AVE, STAUNTON, VA, 24401, 7038860796 - 340,000 ($3,028,414.00) Equity, (File 333-109218 - Sep. 29) (BR. 07) S-8 BELDEN INC, 7701 FORSYTH BLVD STE 800, ST LOUIS, MO, 63105, 3148548000 - 0 ($22,656,000.00) Equity, (File 333-109219 - Sep. 29) (BR. 06) S-8 CHARMING SHOPPES INC, 450 WINKS LANE, BENSALEM, PA, 19020, 2152459100 - 2,500,000 ($14,325,000.00) Equity, (File 333-109220 - Sep. 29) (BR. 02) SB-2 MADISON GROUP IV INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109221 - Sep. 29) (BR. 09) SB-2 MADISON GROUP III INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109222 - Sep. 29) (BR. 09) SB-2 MADISON GROUP VI INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109223 - Sep. 29) (BR. 09) SB-2 MADISON GROUP V INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109224 - Sep. 29) (BR. 09) SB-2 MADISON GROUP II INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109225 - Sep. 29) (BR. 09) SB-2 MADISON GROUP I INC, 444 MADISON AVENUE, SUITE 2904, NEW YORK, NY, 10022, 2127507878 EXT 203 - 10,000,000 ($2,000,000.00) Equity, (File 333-109226 - Sep. 29) (BR. 09) S-8 AXA, 25 AVE MATIGNON, PARIS FRANCE, I0, 2125544489 - 10,000,000 ($172,600,000.00) Equity, (File 333-109227 - Sep. 29) (BR. 01) S-8 SUNRISE SENIOR LIVING INC, 7902 WESTPARK DR, MCLEAN, VA, 22102, 7032737500 - 0 ($20,066,250.00) Equity, (File 333-109228 - Sep. 29) (BR. 08) S-8 SECURITY INTELLIGENCE TECHNOLOGIES INC, 145 HUGUENOT STREET, NEW ROCHELLE, NY, 10801, 9146548700 - 720,000 ($525,600.00) Equity, (File 333-109229 - Sep. 29) (BR. 02) S-3 1 800 CONTACTS INC, 13751 S WADSWORTH PARK DR SUITE D-140, DRAPER, UT, 84020, 8015728225 - 0 ($14,175,000.00) Equity, (File 333-109230 - Sep. 29) (BR. 36) SB-2 OMNICOMM SYSTEMS INC, 2555 DAVIE ROAD, SUITE 110-B, FORT LAUDERDALE, FL, 33317, 954-473-1254 - 0 ($9,969,963.00) Equity, (File 333-109231 - Sep. 29) (BR. 08) S-8 BOCA RESORTS INC, 501 E. CAMINO REAL, BOCA RATON, FL, 33432, 5614475302 - 0 ($19,350,000.00) Equity, (File 333-109232 - Sep. 29) (BR. 05) S-8 KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 6169612000 - 0 ($829,375,000.00) Equity, (File 333-109233 - Sep. 29) (BR. 04) S-8 KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 6169612000 - 0 ($796,200,000.00) Equity, (File 333-109234 - Sep. 29) (BR. 04) S-8 KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 6169612000 - 0 ($597,150,000.00) Equity, (File 333-109235 - Sep. 29) (BR. 04) S-8 MERRILL LYNCH & CO INC, 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($4,127,250,000.00) Equity, (File 333-109236 - Sep. 29) (BR. 07) S-8 APOLO GOLD INC, 1458-409 GRANVILLE STREET, VANCOUVER BC CANADA, A1, V6C 1T2, 6046874150 - 10,000,000 ($750,000.00) Equity, (File 333-109237 - Sep. 29) (BR. 09) S-8 KELLOGG CO, ONE KELLOGG SQ, P O BOX 3599, BATTLE CREEK, MI, 49016-3599, 6169612000 - 0 ($4,976,250.00) Equity, (File 333-109238 - Sep. 29) (BR. 04) S-8 MOVIE GALLERY INC, 900 WEST MAIN STREET, DOTHAN, AL, 36301, 3346772108 - 0 ($84,146,852.00) Equity, (File 333-109240 - Sep. 29) (BR. 05) S-8 MOVIE GALLERY INC, 900 WEST MAIN STREET, DOTHAN, AL, 36301, 3346772108 - 0 ($5,047,500.00) Equity, (File 333-109241 - Sep. 29) (BR. 05) S-8 HYDROFLO INC, 3721 JUNCTION BLVD, RALEIGH, NC, 27603, 9197729925 - 1,052,500 ($284,750.00) Equity, (File 333-109242 - Sep. 29) (BR. 09) N-2 BANCROFT CONVERTIBLE FUND INC, 65 MADISON AVENUE, SUITE 550, MORRISTOWN, NJ, 07960, (973) 631-1177 - 793,938 ($15,370,640.00) Equity, (File 333-109243 - Sep. 29) (BR. 17) S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE INC, 8,050,000 ($51,520,000.00) Equity, (File 333-109244 - Sep. 29) (BR. 05) S-8 STEREO VISION ENTERTAINMENT INC, 11166 BURBANK BLVD, NORTH HOLLYWOOD, CA, 91601, 8187607007 - 710,000 ($390,500.00) Equity, (File 333-109245 - Sep. 29) (BR. 02) S-8 BROADBAND WIRELESS INTERNATIONAL CORP, 1301 AVENUE M, C/O PO BOX 31, CISCO, TX, 76437, 2544423968 - 9,600,000 ($672,000.00) Equity, (File 333-109246 - Sep. 29) (BR. 04) S-8 GOODRICH CORP, 4 COLISEUM CENTRE, 2730 WEST TYVOLA ROAD, CHARLOTTE, NC, 28217, 7044237000 - 0 ($2,405,000.00) Equity, (File 333-109247 - Sep. 29) (BR. 05) S-3 CWMBS INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, 8183045591 - 41,343,077,086 ($41,343,077,086.00) Mortgage Backed Securities, (File 333-109248 - Sep. 29) (BR. 05) S-8 STONEPATH GROUP INC, TWO PENN CENTER PLAZA, SUITE 605, PHILADLEPHIA, PA, 19102, 4155754755 - 1,000,000 ($2,510,000.00) Equity, (File 333-109249 - Sep. 29) (BR. 05) S-8 ABBOTT LABORATORIES, 100 ABBOTT PARK ROAD, D-322 AP6D, ABBOTT PARK, IL, 60064-3500, 8479376100 - 0 ($994,697,483.00) Equity, (File 333-109250 - Sep. 29) (BR. 01) S-8 MOORE WALLACE INC, 6100 VIPOND DRIVE, MISSISSAUGA, ONTARIO, A6, L5T 2X1, 905 362-3100 - 0 ($3,696,250.00) Equity, (File 333-109251 - Sep. 29) (BR. 05) S-8 MOORE WALLACE INC, 6100 VIPOND DRIVE, MISSISSAUGA, ONTARIO, A6, L5T 2X1, 905 362-3100 - 0 ($147,850,000.00) Equity, (File 333-109252 - Sep. 29) (BR. 05) S-8 ABBOTT LABORATORIES, 100 ABBOTT PARK ROAD, D-322 AP6D, ABBOTT PARK, IL, 60064-3500, 8479376100 - 0 ($776,807,519.00) Equity, (File 333-109253 - Sep. 29) (BR. 01) S-8 ABBOTT LABORATORIES, 100 ABBOTT PARK ROAD, D-322 AP6D, ABBOTT PARK, IL, 60064-3500, 8479376100 - 0 ($84,850,000.00) Equity, (File 333-109254 - Sep. 29) (BR. 01) S-3 COMMERCE GROUP INC /MA, 211 MAIN ST, WEBSTER, MA, 01570, 5089439000 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-109255 - Sep. 29) (BR. 01) S-8 SCICLONE PHARMACEUTICALS INC, 901 MARINER'S ISLAND BLVD., SUITE 205, SAN MATEO, CA, 94404, 650-358-3456 - 500,000 ($3,440,000.00) Equity, (File 333-109256 - Sep. 29) (BR. 01) S-8 HUGHES SUPPLY INC, CORPORATE OFFICE, ONE HUGHES WAY, ORLANDO, FL, 32805, 4078414755 - 1,000,000 ($34,400,000.00) Equity, (File 333-109257 - Sep. 29) (BR. 06) S-3 MILLENNIUM PHARMACEUTICALS INC, 75 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176797000 - 13,007,585 ($198,365,671.25) Equity, (File 333-109258 - Sep. 29) (BR. 01) S-8 UROLOGIX INC, 14405 21ST AVE N, MINNEAPOLIS, MN, 55447, 6124751400 - 0 ($1,200,375.00) Equity, (File 333-109259 - Sep. 29) (BR. 36) S-8 INTEVAC INC, 356O BASSETT ST, SANTA CLARA, CA, 95054, 4089869888 - 108,197 ($890,678.00) Equity, (File 333-109260 - Sep. 29) (BR. 36) 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 ------------------------------------------------------------------------------------------------ 24/7 REAL MEDIA INC DE X X 09/26/03 ABN AMRO MORT CORP MULTI-CLASS MORT P DE X 09/01/03 ABN AMRO MORTGAGE CORP MORT PS THR CR DE X 09/01/03 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X 09/01/03 ABN AMRO MORTGAGE CORP MUL CL MORT PA DE X 09/01/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 09/01/03 ABN AMRO MORTGAGE CORP MULTI CL MORT DE X 09/01/03 ABSC HOME EQUITY LOAN TRUST SERIES 20 NY X X 09/15/03 ACI TELECENTRICS INC X X 09/29/03 ACQUISITION MEDIA INC NV X X X X X X 09/23/03 ADELPHIA COMMUNICATIONS CORP DE X X 08/31/03 AKORN INC LA X X 09/25/03 ALDERWOODS GROUP INC DE X X 09/17/03 ALLEGIANCE TELECOM INC DE X X 09/29/03 AMERICAN EDUCATION CORP CO X X X 09/29/03 AMERICAN GREETINGS CORP OH X X 09/25/03 AMR CORP DE X 09/29/03 AMSOUTH AUTO RECEIVABLES LLC X X 09/15/03 ANTHEM INC IN X 09/29/03 ANZA INNOVATIONS NV X 09/29/03 APPLIED DNA SCIENCES INC NV X 09/29/03 APPLIED FILMS CORP CO X X 09/29/03 ARAHOVA COMMUNICATIONS INC DE X X 08/31/03 ARIAD PHARMACEUTICALS INC DE X X 09/29/03 ASHFORD HOSPITALITY TRUST INC MD X 09/26/03 ASIAN ALLIANCE VENTURES INC NV X 09/29/03 ASSET BACKED SECURITIES CORP DE X 09/29/03 ASSET BACKED SECURITIES CORP HOME EQU DE X X 09/15/03 ATA HOLDINGS CORP IN X X 09/26/03 AUTHENTIDATE HOLDING CORP DE X X 09/29/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 09/20/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 09/16/03 BARNEYS INC NY X 09/29/03 BASSETT FURNITURE INDUSTRIES INC VA X 09/25/03 BE AEROSPACE INC DE X X X 09/29/03 BEAR STEARNS ASSET BACKED FUNDING II DE X X 09/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 09/26/03 BEAR STEARNS COMMERCIAL MORT SEC TRU DE X X 09/25/03 BF ENTERPRISES INC DE X 09/29/03 BIOLASE TECHNOLOGY INC DE X 05/21/03 AMEND BOCA RESORTS INC DE X X 09/26/03 BRESLER & REINER INC DE X X 09/25/03 BROOKE CORP KS X X 09/29/03 BUTLER NATIONAL CORP DE X X 09/29/03 CALIPER TECHNOLOGIES CORP DE X 07/14/03 AMEND CALPINE CORP DE X 09/25/03 CCI GROUP INC UT X X X 09/15/03 CDF FINANCING LLC DE X X 08/31/03 CDF FLOORPLAN RECEIVABLES LP DE X X 08/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 08/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 08/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 08/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 08/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 08/31/03 CHINA CABLE & COMMUNICATION INC DE X X 09/25/03 CINCINNATI FINANCIAL CORP DE X 09/25/03 CIT HOME EQUITY LOAN TRUST 2002-1 DE X X 08/31/03 CIT HOME EQUITY TRUST 2002-2 DE X X 08/31/03 CNE GROUP INC DE X 09/29/03 CNH WHOLESALE RECEIVABLES INC DE X X 09/26/03 CNH WHOLESALE RECEIVABLES INC DE X X 09/26/03 CNL RETIREMENT PROPERTIES INC MD X X 09/29/03 COGENTRIX ENERGY INC NC X 09/29/03 COMMUNITY INVESTORS BANCORP INC OH X X 09/29/03 COMPUSONICS VIDEO CORP CO X 09/29/03 COMPUTER TASK GROUP INC NY X X 09/23/03 CONE MILLS CORP NC X X X X 09/29/03 CONNETICS CORP DE X X 09/26/03 CONTINUCARE CORP FL X X 09/29/03 CORIXA CORP DE X X 09/11/03 AMEND CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/29/03 CWMBS INC DE X 09/29/03 CWMBS INC DE X 09/29/03 CWMBS INC DE X 09/29/03 CWMBS INC DE X X 09/29/03 CWMBS INC DE X X 09/29/03 CWMBS INC DE X X 09/29/03 CWMBS INC DE X X 09/29/03 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 09/04/03 DELTA FINANCIAL CORP DE X 09/29/03 DENNYS CORP DE X X 09/26/03 DIRECTV HOLDINGS LLC DE X X 09/29/03 DRYCLEAN USA INC DE X 09/26/03 DYNEGY INC /IL/ IL X X 09/26/03 EDISON SCHOOLS INC DE X 09/29/03 EDUCATION LOANS INC /DE DE X X 09/25/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 09/29/03 EMPYREAN COMMUNICATIONS INC NV X 09/17/03 ENNIS BUSINESS FORMS INC TX X X 09/26/03 ENRON CORP/OR/ OR X X 09/26/03 ENVIRONMENTAL POWER CORP DE X X 09/29/03 EQUITY ONE ABS MORTGAGE PASS THROUGH DE X 09/25/03 EQUITY ONE ABS INC EQUITY ONE MORT P DE X 09/25/03 EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X 09/25/03 ESTEE LAUDER COMPANIES INC DE X 09/24/03 EXCELLIGENCE LEARNING CORP DE X 09/26/03 EXELON CORP PA X 09/26/03 EZ EM INC DE X X 09/29/03 FIRST FEDERAL BANCSHARES INC /DE DE X X 09/26/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 09/15/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 09/15/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 09/15/03 FOAMEX INTERNATIONAL INC DE X 09/29/03 FOOTSTAR INC DE X X 09/26/03 FOREST OIL CORP NY X X 09/25/03 FRONTIERVISION HOLDINGS LP DE X X 08/31/03 FRONTIERVISION OPERATING PARTNERS LP DE X X 08/31/03 FTI CONSULTING INC MD X X 09/22/03 GENERAL DATACOMM INDUSTRIES INC DE X X 09/29/03 GENERAL MOTORS CORP DE X 09/29/03 GENIUS PRODUCTS INC NV X X 09/29/03 GEVITY HR INC FL X X 09/25/03 HARKEN ENERGY CORP DE X X 09/29/03 HEALTHRENU MEDICAL INC CO X X X X 09/23/03 HFC REVOLVING CORP HOUSEHOLD HOME EQ DE X 09/22/03 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 09/22/02 HOUSEHOLD HOME EQUITY LOAN TRUST 1999 DE X 09/22/03 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 X 09/22/03 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 DE X 09/22/03 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC X 09/20/03 HOUSEHOLD MORTGAGE LOAN TRUST 2003-HC DE X 09/22/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 09/20/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 09/22/03 HUGHES ELECTRONICS CORP DE X X 09/29/03 HUMANA INC DE X 09/26/03 AMEND HYPERTENSION DIAGNOSTICS INC /MN MN X X 09/29/03 IDINE REWARDS NETWORK INC DE X X 06/26/03 AMEND IGEN INTERNATIONAL INC /DE DE X X 09/26/03 IMPATH INC DE X X X 09/28/03 INDYMAC MBS INC X X 09/25/03 INDYMAC MBS INC X X 09/25/03 INNOVATIVE DESIGNS INC DE X X 09/23/03 INSURANCE AUTO AUCTIONS INC /CA IL X X 09/25/03 INTERDIGITAL COMMUNICATIONS CORP PA X 09/26/03 INTERPLAY ENTERTAINMENT CORP DE X X 09/26/03 ISPAT INLAND INC DE X X 09/29/03 J P MORGAN ACCEPTANCE CORP I DE X X 09/29/03 JACO ELECTRONICS INC NY X 09/29/03 JRE INC NY X X 07/10/03 AMEND LASALLE HOTEL PROPERTIES MD X X 09/23/03 LEVEL 3 COMMUNICATIONS INC DE X X 09/29/03 LISTO INC NV X X X 07/15/03 AMEND LITEGLOW INDUSTRIES INC UT X 09/26/03 LIVESTAR ENTERTAINMENT GROUP INC NV X X 09/29/03 AMEND MAGELLAN HEALTH SERVICES INC DE X X 09/25/03 MALAN REALTY INVESTORS INC MI X X 09/25/03 MAXXAM INC DE X 09/26/03 MCKENZIE BAY INTERNATIONAL LTD X X 09/29/03 MERGE TECHNOLOGIES INC WI X 07/17/03 AMEND MERISTAR HOSPITALITY CORP MD X X 09/26/03 MERISTAR HOSPITALITY OPERATING PARTNE DE X X 09/26/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 09/25/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 09/24/03 METRETEK TECHNOLOGIES INC DE X X 09/25/03 MICRON TECHNOLOGY INC DE X X 09/24/03 MIKOHN GAMING CORP NV X X 09/29/03 MILLER DIVERSIFIED CORP NV X X 09/23/03 MILLS CORP DE X X 08/05/03 MOHEGAN TRIBAL GAMING AUTHORITY X 09/26/03 MOORE WALLACE INC X 09/29/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 09/24/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 09/20/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 09/29/03 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X 09/01/03 MULTIMEDIA GAMES INC TX X 09/26/03 NETWORKS ASSOCIATES INC/ DE X X 09/29/03 NEW JERSEY MINING CO ID X 09/29/03 NORTH STATE BANCORP NC X X 09/25/03 NORTHERN STATES POWER CO /WI/ WI X X 08/29/03 NSD BANCORP INC PA X X 09/26/03 NTL INC DE X X 09/26/03 NUTRITION 21 INC NY X 09/29/03 NYFIX INC NY X X 07/29/03 O2DIESEL CORP X 07/15/03 AMEND OFFICE DEPOT INC DE X X 09/09/03 OLYMPUS COMMUNICATIONS LP DE X X 08/31/03 ONYX ACCEPTANCE FIN CORP ONYX ACCEPT DE X 08/31/03 ONYX ACCEPTANCE FINANCIAL CORP ONYX A DE X 08/31/03 ONYX ACCEPTANCE OWNER TRUST 2003-A DE X 08/31/03 ORASURE TECHNOLOGIES INC DE X X 09/29/03 P COM INC DE X X 09/25/03 PANERA BREAD CO DE X 09/29/03 PARTNERRE LTD X 09/29/03 PAULA FINANCIAL DE X 09/23/03 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X X 05/30/03 AMEND PHARMACEUTICAL RESOURCES INC NJ X X 09/29/03 PHILLIPS VAN HEUSEN CORP /DE/ DE X 09/24/03 PLATINUM UNDERWRITERS HOLDINGS LTD D0 X X 09/29/03 PLUMAS BANCORP CA X X 09/29/03 PNC FINANCIAL SERVICES GROUP INC PA X X 09/29/03 PRECISION CASTPARTS CORP OR X X 09/26/03 PRESIDENT CASINOS INC DE X X 09/25/03 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