SEC NEWS DIGEST Issue 2003-192 October 8, 2003 COMMISSION ANNOUNCEMENTS SEC PROPOSES RULES TO INCREASE PROXY ACCESS BY SHAREHOLDERS The Commission today approved rule proposals that would require companies to include in their proxy materials the names of nominees for director that are submitted by certain shareholders, as well as disclosure relating to those nominees. The proposals follow the recommendations made by the Division of Corporation Finance in its July 15 staff report, Review of the Proxy Process Regarding the Nomination and Election of Directors. The staff report is available on the Commission's website at http://www.sec.gov/news/studies/proxyreport.pdf. Today's proposed rules would create a requirement for companies subject to the Commission proxy rules, including registered investment companies, to include in their proxy materials the names and certain other information regarding security holder nominees for election as director. The requirement would arise in cases where: * state law establishes the right of a shareholder to nominate a candidate for such an election; and * one or more specified events has occurred, providing evidence of shareholder dissatisfaction with the effectiveness of the company's proxy process. The number of nominees about whom a company would be required to include information in its proxy materials would vary depending on the size of its board of directors, Companies having eight or fewer board members would be required to include information regarding one nominee, companies with between nine and 19 board members would be required to include information regarding two nominees, and companies with boards of 20 or more members would be required to include information regarding three nominees. The proposed procedure would require a company to include information regarding a security holder nominee for election as a director where: * state law provides security holders with the right to make such a nomination; * the procedure is applicable to a particular company (for example, the procedure would not be applicable to foreign issuers); * the security holders submitting the nomination meet specified eligibility requirements; and * the nominee meets specified eligibility requirements. Chairman William H. Donaldson said, "This year, for the first time in its history, the Commission has proposed rules that would provide shareholders a procedure that promotes access to the proxy process. Today's proposed rules, which build upon rules proposed in August, would strengthen the proxy process, directly benefiting shareholders, while carefully and thoughtfully balancing concerns about proper management and operation of our public companies. We look forward to receiving public comments on today's proposals as we continue working to improve the proxy process for companies and shareholders." The Commission is soliciting comment on today's proposals for a 60-day period following their publication in the Federal Register. The proposals are expected to be available on the Commission's website within the next few days. On August 8, the Commission proposed new rules designed to implement the staff report's other major recommendations: * requiring more robust disclosure of the nominating committee processes of public companies, including the consideration of candidates recommended by shareholders; and * requiring specific disclosure of the processes by which shareholders may communicate with the directors of the companies in which they invest. Those rule proposals can be found on the Commission's Web site at http://www.sec.gov/rules/proposed/34-48301.htm. (Press Rel. 2003-133) SEC PROPOSES RULES CONCERNING BROKER-DEALER AND AFFILIATE SUPERVISION ON A CONSOLIDATED BASIS The Commission today voted to propose rule amendments and new rules under the Securities Exchange Act of 1934 that would establish two separate voluntary regulatory frameworks for the Commission to supervise broker-dealers and their affiliates on a consolidated basis. One proposal would establish an alternative method to compute certain net capital charges for broker-dealers that are part of a holding company that manages risks on a group-wide basis and whose holding company consents to group-wide Commission supervision. The broker- dealer's holding company and its affiliates, if subject to Commission supervision, would be referred to as a "consolidated supervised entity" (CSE). The alternative method the broker-dealer would be allowed to use to compute certain market and credit risk capital charges would involve the use of internal mathematical models that the broker-dealer uses to measure its risk. The CSE would be required to comply with rules regarding its group-wide internal risk management control system and would have to periodically provide the Commission with consolidated computations of allowable capital and risk allowances consistent with the Basel Standards. Commission supervision of the CSE would include recordkeeping, reporting, and examination requirements. Special provisions have been included with respect to functionally regulated affiliates. The other proposal would implement Section 17(i) of the Exchange Act, which created a new structure for consolidated supervision of holding companies of broker-dealers, or "investment bank holding companies" (IBHCs) and their affiliates. Pursuant to the Act, an IBHC that meets certain specified criteria may voluntarily register with the Commission as a supervised investment bank holding company (SIBHC) and be subject to supervision on a group-wide basis. Pursuant to the proposed rules, registration as an SIBHC is limited to IBHCs that are not affiliated with certain types of banks and that have a substantial presence in the securities markets. The proposed rules would provide an IBHC with an application process to become supervised by the Commission as an SIBHC, and would establish regulatory requirements for those SIBHCs. Commission supervision of an SIBHC would include recordkeeping, reporting and examination requirements. Further, the SIBHC also would be required to comply with rules regarding its group-wide internal risk management control system and would have to periodically provide the Commission with consolidated computations of allowable capital and risk allowances consistent with the Basel Standards. The proposals would also include technical and conforming amendments to the risk assessment rules (Exchange Act Rules 17h-1T and 17h-2T). In addition, the SIBHC proposal would adjust the audit requirements for OTC derivative dealers to allow accountants to use agreed-upon procedures when conducting audits of risk management control systems. The Commission will solicit comment from the public on the proposals for 90 days following publication in the Federal Register. The full text of the proposing release will be posted on the Commission's Web site as soon as possible. (Press Rel. 2003-134) ENFORCEMENT PROCEEDINGS SEC SETTLES INSIDER TRADING CHARGES AGAINST TIMOTHY POTTER AND GEORGE POTTER The Commission announced today that on Oct. 2 a New Hampshire federal court entered final judgments, by consent, against Timothy J. Potter and his father, George R. Potter, of Bedford, New Hampshire, in connection with insider trading in the securities of Sepracor, Inc., a Massachusetts-based pharmaceutical company. The court permanently enjoined the Potters from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder (antifraud provisions), ordered them, jointly and severally, to pay disgorgement of $55,172 plus pre-judgment interest thereon of $10,344, and ordered them each to pay a civil monetary penalty of $55,172. The $55,172 amount represents the profit derived from George Potter's illegal October 2000 trading in Sepracor options. The Commission's complaint, filed on Jan. 30, 2003, alleged that Timothy Potter, a manager in Sepracor's accounting department, learned by Oct. 18, 2000, that Eli Lilly and Company might terminate a license agreement with Sepracor concerning the development of a new version of Lilly's top- selling antidepressant, Prozac. According to the complaint, that same day, Timothy Potter tipped George Potter about the potential termination. Within half an hour, George Potter, acting on the tip, purchased put options on Sepracor stock for $30,694 - in effect, betting that the price of Sepracor stock would fall. The next day, on October 19, after Sepracor publicly announced the termination of the license agreement, George Potter sold the options, profiting by $55,172. According to the complaint, on April 18, 2001, George Potter transferred $55,000 to Timothy Potter. In related criminal actions brought by the New Hampshire U.S. Attorney's Office based on the same underlying conduct, the Potters each pleaded guilty to one count of conspiracy to commit insider trading. On Sept. 18, 2003, Timothy Potter was sentenced to five months incarceration followed by three years of supervised release, including five months of home detention with electronic monitoring. He also was ordered to perform 50 hours of community service and to pay a fine of $3,000. On July 22, 2003, George Potter was sentenced to one year of probation with a special condition of six months of home detention with electronic monitoring. He also was ordered to pay a fine of $2,000. The Commission acknowledges the assistance of the Chicago Board Options Exchange in this matter. For more information see LR-17958, LR-17970, LR-18097, LR-18145 and LR-18255. [SEC v. Timothy J. Potter and George R. Potter, et al., Civil Action No. 03-32-M, USDC, D.N.H.] (LR-18396) SPAMMER SUED BY SEC SENTENCED TO 14 MONTHS The Commission announced today that on October 6 K.C. Smith was sentenced to 14 months imprisonment and three years supervised release and was ordered to pay $75,230 in restitution. On July 2, 2003, in factual summaries submitted to the court, Smith admitted to conducting two fraudulent investment schemes through websites and spam email during 2002. On May 12, 2003, the SEC charged Smith with fraudulently raising $102,554 by falsely guaranteeing double-digit monthly returns on two websites and in approximately nine million spam e-mail messages. Without admitting or denying the allegations made by the Commission, Smith consented to an order requiring him to pay $107,510 in disgorgement and pre-judgment interest and enjoining him from 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. [SEC v. K.C. Smith, Civil Action No. 2:03-CV-173 (E.D. Tenn.)] (LR-18130, 18208, 18397) The criminal case was prosecuted by the U.S. Attorney's offices for the Eastern District of Tennessee and the Eastern District of Virginia. [SEC v. K.C. Smith, Civil Action No. 2:03-CV-173 (E.D. Tenn.)]; [U.S. v. K.C. Smith, (E.D. Tenn.)] (LR-18397) CORRECTIONS AND ADDITIONS An article in yesterday's Digest concerning Richard P. Vatcher should have included the following release number: AAE Rel. 1891. 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-4 ACE COMM CORP, 704 QUINCE ORCHARD RD, GAITHERBURG, MD, 20878, 3012589850 - 0 ($8,006,233.00) Equity, (File 333-109521 - Oct. 7) (BR. 37) SB-2 WPCS INTERNATIONAL INC, 140 SOUTH VILLAGE AVENUE, SUITE 20, EXTON, PA, 19341, 6109030400 - 13,766,806 ($20,306,039.00) Equity, (File 333-109522 - Oct. 7) (BR. 37) S-3 MINDSPEED TECHNOLOGIES INC, 4000 MACARTHUR BOULEVARD, NEWPORT BEACH, CA, 92660, 9495793000 - 0 ($162,000,000.00) Equity, (File 333-109523 - Oct. 7) (BR. 36) SB-2 FLINT RIVER BANCSHARES INC, 200,000 ($2,000,000.00) Equity, (File 333-109524 - Oct. 7) (BR. 09) S-3 MINDSPEED TECHNOLOGIES INC, 4000 MACARTHUR BOULEVARD, NEWPORT BEACH, CA, 92660, 9495793000 - 0 ($45,000,004.00) Equity, (File 333-109525 - Oct. 7) (BR. 36) S-8 TANDY BRANDS ACCESSORIES INC, 690 E LAMAR BLVD STE 200, ARLINGTON, TX, 76011, 8172654113 - 0 ($2,186,250.00) Equity, (File 333-109526 - Oct. 7) (BR. 02) S-3 PUROFLOW INC, 16559 SATICOY STREET, VAN NUYS, CA, 91406, 8187561388 - 1,533,974 ($12,271,792.00) Equity, (File 333-109528 - Oct. 7) (BR. 06) S-8 ACUSPHERE INC, 38 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6175778800 - 0 ($45,546,091.00) Equity, (File 333-109531 - Oct. 7) (BR. 01) S-8 HOST AMERICA CORP, 2 BROADWAY, HAMDEN, CT, 06518, 2032484100 - 85,000 ($571,200.00) Equity, (File 333-109532 - Oct. 7) (BR. 02) S-8 HOST AMERICA CORP, 2 BROADWAY, HAMDEN, CT, 06518, 2032484100 - 500,000 ($3,360,000.00) Equity, (File 333-109533 - Oct. 7) (BR. 02) S-8 ABINGTON BANCORP INC, 536 WASHINGTON STREET, ABINGTON, MA, 02351, (781)-982- - 0 ($5,568,500.00) Equity, (File 333-109534 - Oct. 7) (BR. 07) S-3 BROOKS AUTOMATION INC, 15 ELIZABETH DRIVE, CHELMSFORD, MA, 01824, (978) 262-2400 - 0 ($200,000,000.00) Other, (File 333-109535 - Oct. 7) (BR. 36) S-3 TERAYON COMMUNICATION SYSTEMS, 4988 GREAT AMERICA PARKWAY, SANTA CLARA, CA, 95054, 4082355500 - 0 ($125,000,000.00) Other, (File 333-109536 - Oct. 7) (BR. 37) ]S-3 HERITAGE PROPERTY INVESTMENT TRUST INC, 535 BOYLSTON STREET, BOSTON, MA, 02116, 6172472200 - 0 ($9,224,265.27) Equity, (File 333-109537 - Oct. 7) (BR. 08) S-3 HERITAGE PROPERTY INVESTMENT TRUST INC, 535 BOYLSTON STREET, BOSTON, MA, 02116, 6172472200 - 0 ($155,971,029.72) Equity, (File 333-109538 - Oct. 7) (BR. 08) S-3 HERITAGE PROPERTY INVESTMENT TRUST INC, 535 BOYLSTON STREET, BOSTON, MA, 02116, 6172472200 - 0 ($500,000,000.00) Equity, (File 333-109539 - Oct. 7) (BR. 08) S-8 GLOBAL IMAGING SYSTEMS INC, 3820 NORTHDALE BLVD SUITE 200A, TAMPA, FL, 33624, 8139605508 - 800,000 ($19,520,000.00) Equity, (File 333-109540 - Oct. 7) (BR. 02) S-8 VALERO L P, P.O. BOX 500, P.O. BOX 500, SAN ANTONIO, TX, 78292-0400, 2103702000 - 500,000 ($21,665,000.00) Limited Partnership Interests, (File 333-109541 - Oct. 7) (BR. 04) S-3 FLEXTRONICS INTERNATIONAL LTD, 0654495255 - 500,000,000 ($500,000,000.00) Debt Convertible into Equity, (File 333-109542 - Oct. 7) (BR. 36) S-8 CYMER INC, 17075 THORNMINT COURT, SAN DIEGO, CA, 92127, 8583857300 - 0 ($7,942,000.00) Equity, (File 333-109544 - Oct. 7) (BR. 36) S-3 ONYX ACCEPTANCE CORP, 27051 TOWNE CENTRE DRIVE, FOOTHILL RANCH, CA, 92610, 9494653500 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-109545 - Oct. 7) (BR. 07) S-3 JETBLUE AIRWAYS CORP, 118-29 QUEENS BOULEVARD, FOREST HILLS, NY, 11375, 7182867900 - 0 ($750,000,000.00) Equity, (File 333-109546 - Oct. 7) (BR. 05) S-3 OPENWAVE SYSTEMS INC, 1400 SEAPORT BLVD., REDWOOD CITY, CA, 94063, 6505620200 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-109547 - Oct. 7) (BR. 03) SB-2 IHEALTH INC, 5499 N FEDERAL HWY, SUITE D, BOCA RATON, FL, 33487, 5619893600 - 53,280,000 ($5,233,200.00) Equity, (File 333-109548 - Oct. 7) (BR. ) SB-2 DECOR SYSTEMS INC, 5555 WEST WATER AVENUE STE 609, TAMPA, FL, 33634, 8138886554 - 5,000,000 ($5,000,000.00) Equity, (File 333-109550 - Oct. 7) (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. 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 ------------------------------------------------------------------------------------------------ ADVANCE AUTO PARTS INC DE X X 10/06/03 AEGIS ASSET BACKED SECURITIES CORP DE X 10/06/03 AEGIS MTG LOAN ASSET BACKED CERTS SER NY X X 09/25/03 AEROGEN INC DE X X 09/10/03 ALANCO TECHNOLOGIES INC AZ X 06/30/03 ALLIANT TECHSYSTEMS INC DE X X 10/01/03 ALTERRA HEALTHCARE CORP DE X X 10/07/03 AMB PROPERTY CORP MD X 10/06/03 AMERICAN FINANCIAL CORP OH X X 10/07/03 AMERICAN FINANCIAL GROUP INC OH X X 10/07/03 AMPEX CORP /DE/ DE X X 10/02/03 ANMORE INC NJ X 09/24/03 APOLLO GROUP INC AZ X X 10/07/03 APPLIED EXTRUSION TECHNOLOGIES INC /D DE X 10/03/03 ASCONI CORP NV X X 10/07/03 ASIAN ALLIANCE VENTURES INC NV X 10/07/03 AVIALL INC DE X 09/29/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS NY X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 09/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 09/25/03 BANC OF AMERICA MORTGAGE SEC INC MORT DE X X 09/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 09/25/03 BAYVIEW FINANCIAL SEC CO LLC MORT PAS DE X X 09/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 09/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 09/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 09/25/03 BEAR STEARNS ASSET BACK SEC IRWIN WHO DE X X 09/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 09/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 09/25/03 BEAZER HOMES USA INC DE X X 10/07/03 BNS CO DE X X 10/06/03 BORLAND SOFTWARE CORP DE X X 10/07/03 BPP LIQUIDATING TRUST MD X 09/29/03 BRENEX OIL CORP UT X X 10/01/03 BURKE MILLS INC NC X 09/27/03 C-CHIP TECHNOLOGIES CORP NV X X 10/06/03 CABLE DESIGN TECHNOLOGIES CORP DE X X 10/07/03 CANPRO PLACEMENT SERVICES INC NV X X 10/06/03 CANYON RESOURCES CORP DE X X 10/07/03 CATAPULT COMMUNICATIONS CORP CA X X 10/06/03 CBRE HOLDING INC DE X 07/23/03 AMEND CENTRAL ILLINOIS LIGHT CO IL X X 10/03/03 CHARTER COMMUNICATIONS INC /MO/ DE X X 10/07/03 CHEESECAKE FACTORY INCORPORATED DE X 10/06/03 CHESAPEAKE ENERGY CORP OK X 10/06/03 CHILDTIME LEARNING CENTERS INC MI X X 10/07/03 CIBER INC DE X 10/01/03 CIRCLE GROUP HOLDINGS INC IL X 10/07/03 CIRMAKER TECHNOLOGY CORP NV X X 10/03/03 CLC HEALTHCARE INC NV X 10/06/03 COLLEGIATE PACIFIC INC DE X X X 10/07/03 COMPETITIVE TECHNOLOGIES INC DE X X 09/02/03 AMEND CORPORATE BOND BACKED CERT TRUST SERI X X 07/15/03 CORPORATE BOND BACKED CERT TRUST SERI X X 01/15/03 CSB BANCORP INC /OH OH X 10/07/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 09/25/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 09/25/03 CSFB MORTGAGE ACCEPTANCE CORP MORT BA DE X X 09/25/03 CSFB MORTGAGE BACK PASS THR CER SER 2 DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/25/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 09/22/03 CSFB MORTGAGE BACKED PASS THRU CERT S DE X X 09/25/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 09/25/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 09/25/03 CSFB SEC CORP CSFB MORT BACKED PASS T DE X X 09/25/03 CUNO INC DE X X 10/02/03 CVS CORP DE X 10/07/03 CYGNUS INC /DE/ DE X X 10/06/03 CYTATION CORP DE X 10/07/03 DEWEY ELECTRONICS CORP NY X 10/03/03 DOLLAR TREE STORES INC VA X 10/07/03 DONNKENNY INC DE X X X 10/01/03 DUANE READE INC DE X X X 10/07/03 E COM VENTURES INC FL X 10/02/03 EAGLE FOOD CENTERS INC DE X 10/06/03 EASTMAN KODAK CO NJ X X 10/06/03 EATERIES INC OK X 10/07/03 EL PASO CORP/DE DE X X 10/06/03 ENCORE CREDIT CORP MORTGAGE PASS THRO DE X X 09/25/03 ENCORE MEDICAL CORP DE X 10/07/03 EPIQ SYSTEMS INC MO X 10/02/03 EQUISTAR CHEMICALS LP X X 10/07/03 FANSTEEL INC DE X 08/31/03 FINANCIAL ASSET SEC CORP FIRST FRANKL DE X X 09/25/03 FIRST AID DIRECT INC FL X X 09/30/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 09/25/03 FISCHER IMAGING CORP DE X 10/07/03 FORTIS ENTERPRISES NV X 10/01/03 FRANKLIN RESOURCES INC DE X X 10/01/03 FTD INC DE X X 10/05/03 GLOBIX CORP DE X 10/06/03 GMACM MORTGAGE PASS-THROUGH CERTIFICA DE X X 10/07/03 GRAFTECH INTERNATIONAL LTD DE X 10/07/03 GREATER BAY BANCORP CA X X X 10/07/03 GREENPOINT MORT SEC INC MORT BACK PS DE X X 09/25/03 GS MORTGAGE SECURITIES CORP DE X X 10/06/03 HCC INDUSTRIES INC /DE/ DE X 10/03/03 HEPALIFE TECHNOLOGIES INC FL X X 10/07/03 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 10/07/03 HERSHEY FOODS CORP DE X 10/06/03 HORMEL FOODS CORP /DE/ DE X 09/30/03 HYTHIAM INC DE X 10/07/03 IDINE REWARDS NETWORK INC DE X X 10/07/03 IDINE REWARDS NETWORK INC DE X X 10/07/03 IMCO RECYCLING INC DE X X 10/06/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/03 AMEND INFORMATICA CORP DE X X 09/29/03 INTEREP NATIONAL RADIO SALES INC NY X X 10/03/03 INTERNATIONAL BROADCASTING CORP /NV/ NV X X 10/07/03 IONICS INC MA X 10/07/03 ITC DELTACOM INC DE X 10/06/03 JETBLUE AIRWAYS CORP DE X X 10/07/03 JETFLEET III CA X 10/07/03 KRONOS INC MA X X 10/07/03 LCA VISION INC DE X X 10/07/03 LEXINGTON PRECISION CORP DE X X 10/07/03 LEXOR HOLDINGS INC FL X X X X X X 09/30/03 LIONS GATE ENTERTAINMENT CORP /CN/ X 10/07/03 LITEGLOW INDUSTRIES INC UT X 10/07/03 LONE STAR TECHNOLOGIES INC DE X X 10/06/03 LYONDELL CHEMICAL CO DE X X 10/07/03 MAGELLAN PETROLEUM CORP /DE/ DE X X 10/07/03 MAGELLAN PETROLEUM CORP /DE/ DE X 10/07/03 MARCONI CORP PLC X0 X 10/07/03 MASTR ADJUSTABLE RATE MORTGAGE TRUST DE X X 09/25/03 MEMRY CORP DE X X 09/30/03 MERCANTILE BANK CORP MI X X 10/07/03 MERCER INTERNATIONAL INC WA X X 10/06/03 MERITAGE CORP MD X X X 10/07/03 MERRILL LYNCH & CO INC DE X 10/07/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 09/25/03 MERRILL LYNCH MORT INV INC MRT PSS TH DE X X 09/25/03 MERRILL LYNCH MORT INVEST INC MLCC 20 DE X X 09/25/03 MERRILL LYNCH MORT INVESTORS INC TRUS DE X X 09/25/03 MERRILL LYNCH MORTGAGE INV TRUST SER DE X X 09/25/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 09/25/03 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE X X 09/25/03 METAWAVE COMMUNICATIONS CORP DE X X 09/30/03 MEVC DRAPER FISHER JURVETSON FUND I I DE X 10/01/03 MILLS CORP DE X X 10/07/03 MORGAN STANLEY ABS CAPITAL 1 INC TRUS DE X X 09/25/03 MORGAN STANLEY ABS CAPITAL I INC MSDW DE X X 09/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 09/25/03 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/25/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 09/25/03 MORTGAGE PASS THROUGH CERTIFICATES ML DE X X 09/25/03 MPSI SYSTEMS INC DE X X 10/07/03 NABI BIOPHARMACEUTICALS DE X 08/04/03 AMEND NABI BIOPHARMACEUTICALS DE X 08/04/03 AMEND NBC ACQUISITION CORP DE X 10/07/03 NEBRASKA BOOK CO KS X 10/07/03 NOVASTAR HOME EQUITY LOAN ASSET BAC NY X X X 10/01/03 NOVITRON INTERNATIONAL INC DE X X 10/03/03 NOVITRON INTERNATIONAL INC DE X 10/07/03 ONEOK INC /NEW/ OK X X 10/03/03 ONESOURCE INFORMATION SERVICES INC DE X X 10/06/03 P COM INC DE X X 10/06/03 P F CHANGS CHINA BISTRO INC X X 10/01/03 PARKER DRILLING CO /DE/ DE X X 10/06/03 PEPSICO INC NC X 10/07/03 PHIBRO ANIMAL HEALTH CORP X X 10/02/03 PINNACLE ENTERTAINMENT INC DE X X 09/25/03 PINNACLE SYSTEMS INC CA X X 10/07/03 PLAINS ALL AMERICAN PIPELINE LP DE X 10/07/03 PLANGRAPHICS INC CO X 10/06/03 POMEROY COMPUTER RESOURCES INC DE X X 10/03/03 PRIME MORTGAGE TRUST 2003-1 NY X X 09/25/03 PRINCETON VIDEO IMAGE INC NJ X X 09/22/03 PROGINET CORP DE X X 10/07/03 R&G FINANCIAL CORP PR X X 10/06/03 RCN CORP /DE/ DE X 10/07/03 REGIS CORP MN X X 10/07/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 10/07/03 RESOLUTION PERFORMANCE PRODUCTS LLC DE X X 10/07/03 RESTORATION HARDWARE INC CA X X 10/06/03 RITA MEDICAL SYSTEMS INC DE X 10/07/03 SABINE ROYALTY TRUST TX X X 10/03/03 SAGENT TECHNOLOGY INC DE X X 10/01/03 SATCON TECHNOLOGY CORP DE X X 10/02/03 SBA COMMUNICATIONS CORP FL X X 10/01/03 SCIENCE APPLICATIONS INTERNATIONAL CO DE X X 10/07/03 SEEBEYOND TECHNOLOGY CORP CA X X X 10/07/03 SEMITOOL INC MT X 10/06/03 SIERRA PACIFIC RESOURCES /NV/ NV X X 10/06/03 SILICON IMAGE INC DE X X 10/02/03 SIMEX TECHNOLOGIES INC DE X X 09/30/03 SMTEK INTERNATIONAL INC DE X X 10/06/03 SOUTH FINANCIAL GROUP INC SC X X 10/03/03 SOUTHERN PERU COPPER CORP/ DE X 10/06/03 SOUTHWESTERN WATER EXPLORATION CO CO X 09/15/03 STAAR SURGICAL COMPANY DE X X 10/06/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 09/25/03 STRUCTURED ASSET MORT INV INC MORT PA DE X X 09/25/03 STRUCTURED ASSET SEC CORP II LB UBS C X X 10/03/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/25/03 SYSTEMS & COMPUTER TECHNOLOGY CORP DE X X 10/02/03 TELKONET INC X 10/03/03 AMEND TENET HEALTHCARE CORP NV X 10/06/03 THINKING TOOLS INC DE X X 09/11/03 AMEND TOWER BANCORP INC PA X X 09/30/03 TRANSMONTAIGNE INC DE X X X 10/07/03 TRINITY CAPITAL CORP X X X 10/06/03 TUESDAY MORNING CORP/DE DE X X 10/07/03 UGI CORP /PA/ PA X 10/01/03 UNIONBANCORP INC DE X X 10/07/03 UNIVEST CORP OF 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