SEC NEWS DIGEST Issue 2003-210 November 4, 2003 COMMISSION ANNOUNCEMENTS JUAN MARCELLINO TO LEAVE DISTRICT ADMINISTRATOR'S POSITION IN THE SEC'S BOSTON DISTRICT OFFICE On November 3, Juan M. Marcelino announced his decision to leave his position as the District Administrator of the Securities and Exchange Commission's Boston District Office. Mr. Marcelino has been the District Administrator since 1993. During the past ten years, he was responsible for the administration of the agency's enforcement and examination programs in New England. Mr. Marcelino indicated that he had decided to step aside as the District Administrator, given the recent press coverage of certain matters involving the Boston Office, to minimize any further distractions for his staff as they continue the critical work of the office. He will be exploring a number of potential options over the next few months. Mr. Marcelino joined the Commission staff in 1984 as a staff attorney in the Division of the Enforcement in Washington, D.C. He subsequently served as a branch chief and then as Assistant Director of the Bank Fraud Task Force in the Division. Prior to joining the Commission, Mr Marcelino was in private practice in the Virgin Islands concentrating on labor law and federal litigation. He received his BA from Brandeis University in 1978 and his JD from Catholic University in 1981. He received an LLM in Securities Regulation from Georgetown University Law Center in 1984. In 1990, Mr. Marcelino received the SEC's Equal Opportunity Award; in 1993, he was given the Stanley Sporkin Award for outstanding enforcement performance; and in 2001, he received the Commission's Distinguished Service Award. During his tenure as District Administrator, Mr Marcelino directed a number of high profile investigations that resulted in the filing of several notable civil and administrative enforcement proceedings. In announcing his plans to leave his post as District Administrator, he said, " Working for the Commission as the District Administrator in Boston has been the most rewarding challenge of my legal career. I have been extremely fortunate to have worked with such talented and skilled colleagues in the District Office. I will always look back on my tenure as District Administrator with enormous personal and professional satisfaction." SEC Director of Enforcement, Stephen Cutler, stated, " Juan Marcelino has been instrumental in the growth and success of our Boston District Office over the past ten years. Under his leadership, the District Office has established an effective presence in the New England area. I wish him well in his future endeavors." (Press Rel. 2003-148) SEC BRINGS FRAUD CHARGES AGAINST FORMER PRUDENTIAL BROKERS IN CONNECTION WITH MARKET TIMING OF MUTUAL FUNDS The Commission today announced a civil fraud action against five brokers and one branch manager formerly employed by Prudential Securities, Inc., in connection with their market timing trades in numerous mutual funds. The Commission alleges in its complaint that, from at least 2001 through September 2003, former brokers Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, and Marc J. Bilotti defrauded mutual funds and their shareholders by misrepresenting their identities or the identities of their customers in connection with thousands of market timing trades after the mutual funds had restricted or blocked the defendants or their customers from further trading. According to the Commission's complaint, former branch manager Robert Shannon substantially assisted the brokers in their violations by, among other things, approving their market timing trades. Until September 2003, the defendants worked at a Prudential Securities branch in Boston, Massachusetts. According to the Commission's complaint, filed in federal district court in Boston, from at least 2001 through September 2003, numerous mutual fund companies blocked the defendants or their brokerage customers from further trading in their funds after the mutual fund companies detected market timing activity by the defendants. The complaint alleges that, to evade these blocks, the defendants concealed their own identities by using multiple broker identification numbers or concealed the identities of their brokerage customers by establishing additional brokerage accounts at Prudential Securities on behalf of the customers. Stephen M. Cutler, Director of the SEC Division of Enforcement, said: "Our complaint alleges that by concealing or misrepresenting their own identities or the identities of their clients, the defendants were able to circumvent restrictions intended to protect mutual fund shareholders against excessive market timing. That's fraud, plain and simple." The Commission's complaint alleges that Druffner, Ficken, Ajro, Peffer, and Bilotti violated Section 17(a) of the Securities Act of 1933 and violated or aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint alleges that Shannon aided and abetted his co-defendants' violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission is seeking injunctive relief, disgorgement, penalties, and such equitable relief as the court deems appropriate. The Commission acknowledges the assistance of the Secretary of the Commonwealth of Massachusetts, NASD, and the New York Stock Exchange in its investigation. The Commission's investigation is continuing. (Press Rel. 2003-149) ENFORCEMENT PROCEEDINGS SEC SUES AMERICREDIT EMPLOYEES FOR INSIDER TRADING AND SEEKS A CIVIL PENALTY FROM AMERICREDIT CORP. AS "CONTROL PERSON" On November 3, the Commission filed an insider trading case, in the U.S. District Court for the Northern District of Texas, against five present or former officials of Fort Worth-based AmeriCredit Corp. The SEC simultaneously filed an action seeking a civil money penalty against AmeriCredit as a "control person," on the grounds that AmeriCredit failed to take appropriate steps to prevent an illegal trade by one of its employees, when the company had information showing that the employee had previously traded in the company's stock based on inside information. Named in the first action above are: senior vice president John R. Gentry, III, of Stanley, North Carolina; former senior vice president James M. Adelt, of Grapevine, Texas; former vice president Michael W. Morris, of Fort Worth, Texas; and former assistant vice presidents Keith A. Cyr, of Mansfield, Texas, and Thomas M. Laker, of Fort Worth, Texas. In its complaint against the individual defendants, the SEC alleges that, in the ordinary course of their duties at AmeriCredit, the individual defendants obtained material nonpublic information about AmeriCredit's financial performance for the quarter ending Dec. 31, 2001, and based on that information, and in breach of a duty of trust and confidence that they owed to AmeriCredit's shareholders, each of them sold AmeriCredit stock between January 2 and Jan. 10, 2002, prior to publication of the information in a Jan. 10, 2002, AmeriCredit earnings announcement. The SEC alleges that the AmeriCredit employees who sold shares before publication of the information fraudulently avoided losses that they would have experienced if they had sold the stock after the market reacted to the January 10 announcement; and one employee who sold the stock short before the announcement earned illegal trading profits. The SEC's complaint alleges that the individual AmeriCredit employees thereby violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. In its complaint against AmeriCredit, the SEC alleges that the company directly or indirectly controlled Keith Cyr, one of the employees who engaged in insider trading; that the company knew or recklessly disregarded the fact that Cyr was likely to trade in the company's stock while he was in possession of material nonpublic information; and that the company failed to take appropriate steps to prevent Cyr from trading in the company's stock while he had material nonpublic information on Jan. 4, 2002. Based on those facts, the SEC claims that the company is liable for a civil money penalty under the "control person" provision of Section 21A of the Exchange Act. Without admitting or denying the allegations in the complaint, each of the individual defendants has made, and the Commission has accepted, an offer of settlement in which each defendant consents: to the entry of a permanent injunction enjoining them from further violations of the above provisions of the federal securities laws; to disgorgement of their illicit profits or losses avoided, plus prejudgment interest; and to payment of a civil money penalty equal to the amount of their illicit profits or losses avoided. Pursuant to those settlement offers, the individual defendants will pay, in the aggregate, over $400,000. Without admitting or denying the allegations in the complaint, AmeriCredit has made, and the Commission has accepted, an offer of settlement pursuant to which AmeriCredit will pay a civil money penalty of $100,000. [SEC v. James M. Adelt, Keith A. Cyr, John R. Gentry III, Thomas M. Laker and Michael W. Morris, Civil Action No. 3:03-CV-2675-P, USDC, NDTX]; [SEC v. AmeriCredit Corp., Civil Action No. 3:03-CV-2674-L, USDC, NDTX] (LR-18442) COURT HALTS FRAUDULENT OFFERING OF UNREGISTERED SECURITIES On October 31, 2003, the Commission filed an action in U.S. District Court in Dallas, Texas charging David B. Henderson, 64, of Salt Lake City, Utah; two of his companies, Independent Funding, Inc. and Independent Funding Ltd./Nevada; and one of his sales agents, Jess L. Mercer, 58, of Dallas, Texas, with securities fraud in connection with an unregistered interstate offering of notes. According to the Commission's complaint, the scheme began in 2001 and raised at least $2 million from at least 22 investors, most of whom are elderly. United States District Judge Ed Kinkeade granted a temporary restraining order halting the offering and entered orders freezing assets and requiring accountings, and an order preserving documents and expediting discovery. The Commission has also named Henderson's son and two companies he controls as relief defendants, seeking asset freezes, accountings, disgorgement of assets acquired with investor funds, and document preservation. The Commission acknowledges the assistance of the Federal Bureau of Investigation, the Division of Securities of the Utah Department of Commerce, the Idaho Department of Finance and the Arizona Securities Commission. [SEC v. David B. Henderson, et al., USDC, NDTX, Dallas Division, Civil Action No. 3-03-CV-2661-K] (LR-18443) COMMISSION FILES FRAUD CHARGES AGAINST FORMER PRUDENTIAL BROKERS IN CONNECTION WITH MARKET TIMING OF MUTUAL FUNDS The Commission today announced a civil fraud action against five brokers and one branch manager formerly employed by Prudential Securities, Inc., in connection with their market timing trades in numerous mutual funds. The Commission alleges in its complaint that, from at least 2001 through September 2003, former brokers Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, and Marc J. Bilotti defrauded mutual funds and their shareholders by misrepresenting their identities or the identities of their customers in connection with thousands of market timing trades after the mutual funds had restricted or blocked the defendants or their customers from further trading. According to the Commission's complaint, former branch manager Robert Shannon substantially assisted the brokers in their violations by, among other things, approving their market timing trades. Until September 2003, the defendants worked at a Prudential Securities branch in Boston, Massachusetts. According to the Commission's complaint, filed in federal district court in Boston, from at least 2001 through September 2003, numerous mutual fund companies blocked the defendants or their brokerage customers from further trading in their funds after the mutual fund companies detected market timing activity by the defendants. The complaint alleges that, to evade these blocks, the defendants concealed their own identities by using multiple broker identification numbers or concealed the identities of their brokerage customers by establishing additional brokerage accounts at Prudential Securities on behalf of the customers. The Commission's complaint alleges that Druffner, Ficken, Ajro, Peffer, and Bilotti violated Section 17(a) of the Securities Act of 1933 and violated or aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint alleges that Shannon aided and abetted his co- defendants' violations of Section 10(b) of the Exchange Act and Rule 10b- 5 thereunder. The Commission is seeking injunctive relief, disgorgement, penalties, and such equitable relief as the court deems appropriate. The Commission acknowledges the assistance of the Secretary of the Commonwealth of Massachusetts, the National Association of Securities Dealers, and the New York Stock Exchange in its investigation. The Commission's investigation is continuing. [SEC v. Martin J. Druffner, et al., Civil Action No. 03-12154-RCL (D.Mass.)] (LR-18444) INVESTMENT COMPANY AC T RELEASES FRANKLIN FLOATING RATE TRUST, ET AL. An order has been issued on an application filed by Franklin Floating Rate Trust, et al. under Section 6(c) of the Investment Company Act granting an exemption from Sections 18(c) and 18(i) of the Act, under Sections 6(c) and 23(c)(3) of the Act granting an exemption from Rule 23c-3 under the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act. The order permits certain registered closed-end management investment companies to issue multiple classes of shares and to impose varying sales charges, asset-based distribution fees and early withdrawal charges. The order also supersedes a prior order. (Rel. IC-26234 - October 30) UBS SECURITIES LLC, ET AL. The Commission has issued a temporary order to UBS Securities LLC, et al. under Section 9(c) of the Investment Company Act with respect to an injunction issued by the U.S. District Court for the Southern District of New York on October 31, 2003 (Injunction). The temporary order exempts applicants and companies of which UBS Securities is or becomes an affiliated person from the provisions of Section 9(a) of the Act, until the earlier of two years from the date the Injunction was issued or until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until November 25 to request a hearing on the application filed by the applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-26245 - October 31) VANGUARD INTERNATIONAL EQUITY INDEX FUNDS, ET AL. A notice has been issued giving interested persons until November 28 to request a hearing on an application filed by Vanguard International Equity Index Funds, et al. for an order exempting applicants from Sections 2(a)(32), 17(a)(1) and (2), 18(f)(1), 18(i), 22(d), 22(e) and 24(d) of the Investment Company Act and Rule 22c-1 under the Act. The order would permit certain open-end management investment companies, whose series would consist of the component securities of certain foreign equity securities indices, to issue a class of shares of limited redeemability that would trade in the secondary market at negotiated prices. The order would allow dealers to sell such shares to secondary market purchasers unaccompanied by a prospectus when prospectus delivery is not required by the Securities Act of 1933. The order also would permit certain affiliated persons of the series to deposit securities into, and receive securities from, the series, and would permit certain series to pay redemption proceeds more than seven days after the tender of shares for redemption under certain circumstances. (Rel. IC-26246 - November 3) JF INTERNATIONAL MANAGEMENT INC., ET AL. The Commission has issued an order to JF International Management Inc., et al., under Section 9(c) of the Investment Company Act exempting applicants from Section 9(a) of the Act, with respect to a securities- related injunction entered into on October 8, 2003. (Rel. IC-26249 - November 4) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2003-42) has been filed by the Chicago Board Options Exchange amending its rules to allow broker-dealer orders to automatically trade with CBOE's limit order book in classes designated by the appropriate Floor Procedure Committee of the CBOE. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48721) The Commission noticed a proposed rule change (SR-CBOE-2003-45) and granted accelerated approval to the proposed rule change, and Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange relating to shareholder approval of stock option and equity compensation plans. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48737) The Commission noticed a proposed rule change (SR-CSE-2003-11) and granted accelerated approval to the proposed rule change, and Amendment No. 1 thereto, submitted by the Cincinnati Stock Exchange relating to shareholder approval of stock option and equity compensation plans. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48738) ACCELERATED APPROVAL TO PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-BSE-2003-16), and Amendment Nos. 1 and 2 thereto, submitted by the Boston Stock Exchange relating to shareholder approval of stock option and equity compensation plans. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48733) The Commission granted accelerated approval to a proposed rule change (SR-CHX-2003-31), and Amendment No. 1 thereto, submitted by the Chicago Stock Exchange relating to shareholder approval of stock option and equity compensation plans for Tier I and Tier II listed securities on the CHX. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48734) The Commission granted accelerated approval to a proposed rule change (SR-PCX-2003-50) submitted by the Pacific Exchange relating to shareholder approval of stock option and equity compensation plans for Tier I and Tier II listed securities on the PCX. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48735) The Commission granted accelerated approval to a proposed rule change (SR-Phlx-2003-67) submitted by the Philadelphia Stock Exchange relating to shareholder approval of stock option and equity compensation plans. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48736) The Commission granted accelerated approval of proposed rule changes (SR- NSCC-2003-19 and SR-DTC-2003-11) filed by the National Securities Clearing Corporation and The Depository Trust Company under Section 19(b)(1) of the Exchange Act. The order allows NSCC to require settling banks to use the Federal Reserve Banks' Net Settlement Service to satisfy end-of-day settlement obligations and allows the consolidation of DTC and NSCC settlement processing operations. Publication of the proposal is expected in the Federal Register during the week of November 10. (Rel. 34-48744) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change, and Amendment Nos. 1 through 11 thereto, submitted by the American Stock Exchange (SR-Amex- 2002-09) relating to registered options traders use of the electronic entry device. (Rel. 34-48740) The Commission approved proposed rule changes and amendments thereto submitted by the New York Stock Exchange (SR-NYSE-2002-33) and National Association of Securities Dealers (SR-NASD-2002-77, SR-NASD-2003-80, SR- NASD-2002-138, SR-NASD-2002-139, and SR-NASD-2002-141) relating to corporate governance. Publication of the order in the Federal Register is expected during the week of November 10. (Rel. 34-48745; Press Rel. 2003-150) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2003- 35) relating to the trading of Nasdaq/NM securities has become immediately effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of November 3. (Rel. 34-48742) WITHDRAWAL GRANTED An order has been issued granting the application of Able Laboratories, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the Boston Stock Exchange, effective at the opening of business on November 4. (Rel. 34-48743) 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 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 356,596 ($5,213,433.52) Equity, (File 333-110177 - Nov. 3) (BR. 36) S-8 SUB SURFACE WASTE MANAGEMENT OF DELAWARE INC, 5922-B FARNSWORTH COURT, CARLSBAD, CA, 92008, 760-918-1860 - 1,000,000 ($570,000.00) Equity, (File 333-110178 - Nov. 3) (BR. 09) S-8 LEHMAN BROTHERS HOLDINGS INC, LEHMAN BROTHERS, 745 SEVENTH AVENUE, NEW YORK, NY, 10019, 2125267000 - 55,543 ($5,847,011.61) Equity, (File 333-110179 - Nov. 3) (BR. 07) S-8 LEHMAN BROTHERS HOLDINGS INC, LEHMAN BROTHERS, 745 SEVENTH AVENUE, NEW YORK, NY, 10019, 2125267000 - 5,944,642 ($495,939,292.44) Equity, (File 333-110180 - Nov. 3) (BR. 07) S-3 KOMAG INC /DE/, 1710 AUTOMATION PWY, SAN JOSE, CA, 95131, 4085762000 - 0 ($113,091,000.00) Equity, 0 ($80,500,000.00) Other, (File 333-110182 - Nov. 3) (BR. 02) S-8 ORGANITECH USA INC, 265 SUNRISE AVE SUITE 204, PALM BEACH, FL, 33480, 2127507878 - 550,000 ($110,000.00) Equity, (File 333-110186 - Nov. 3) (BR. 04) S-3 AEGIS ASSET BACKED SECURITIES CORP, 0 ($2,400,000,000.00) Asset-Backed Securities, (File 333-110187 - Nov. 3) (BR. 07) S-1 TNS INC, 11480 COMMERCE PARK DR., SUITE 600, RESTON, VA, 20191-1406, 7034538300 - 0 ($86,250,000.00) Equity, (File 333-110188 - Nov. 3) (BR. 03) S-8 NEOMEDIA TECHNOLOGIES INC, 2201 SECOND ST STE 600, STE 600, FORT MYERS, FL, 33901, 6303554404 - 30,000,000 ($3,630,000.00) Equity, (File 333-110189 - Nov. 3) (BR. 03) S-3 ARCH CAPITAL GROUP LTD, 20 HORSENECK LANE, GREENWICH, CT, 06830, 2038624300 - 0 ($849,999,975.72) Equity, (File 333-110190 - Nov. 3) (BR. 01) S-8 INFOCROSSING INC, 2 CHRISTIE HEIGHTS STREET, LEONIA, NJ, 07605, 2018404700 - 1,000,000 ($7,695,000.00) Equity, (File 333-110191 - Nov. 3) (BR. 03) S-3 CENDANT MORTGAGE CAPITAL LLC, 3000 LEADENHALL ROAD, MT LAUREL, NJ, 08054, 0 ($1,500,000,000.00) Mortgage Backed Securities, (File 333-110192 - Nov. 3) (BR. 05) S-3 PENN VIRGINIA CORP, 6106878900 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-110193 - Nov. 3) (BR. 04) S-8 ELECTRO RENT CORP, 6060 SEPULVEDA BLVD, VAN NUYS, CA, 91411-2512, 8187872100 - 1,500,000 ($20,232,562.50) Equity, (File 333-110194 - Nov. 3) (BR. 06) S-8 PROVIDENT FINANCIAL SERVICES INC, 830 BERGEN AVENUE, JERSEY CITY, NJ, 07306, 2013331000 - 8,346,562 ($157,285,000.00) Equity, (File 333-110195 - Nov. 3) (BR. 07) S-3 SLADES FERRY BANCORP, 100 SLADES FERRY AVE, PO BOX 390, SOMERSET, MA, 02726, 5086757894 - 500,000 ($10,190,000.00) Equity, (File 333-110196 - Nov. 3) (BR. 07) S-3 INTRABIOTICS PHARMACEUTICALS INC /DE, 6505266800 - 2,233,774 ($28,525,293.98) Equity, (File 333-110197 - Nov. 3) (BR. 01) S-8 OMNI ENERGY SERVICES CORP, 4500 NE INTERSTATE 49, CARENCRO, LA, 70520, 3188966664 - 0 ($2,112,500.00) Equity, (File 333-110198 - Nov. 3) (BR. 04) S-3 PRIMUS KNOWLEDGE SOLUTIONS INC, 1601 FIFTH AVE, SUITE 1900, SEATTLE, WA, 98101, 2062921000 - 0 ($5,061,147.00) Equity, (File 333-110199 - Nov. 3) (BR. 03) S-8 FIRST MIDWEST FINANCIAL INC, FIFTH AT ERIE, P O BOX 1307, STORM LAKE, IA, 50588, 7127324117 - 200,000 ($4,452,000.00) Equity, (File 333-110200 - Nov. 3) (BR. 07) S-3 PUMATECH INC, 2550 N FIRST ST, STE 500, SAN JOSE, CA, 95131, 4083217650 - 0 ($7,491,681.00) Equity, (File 333-110201 - Nov. 3) (BR. 03) F-3 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000, 442074964000 - 0 ($9,147,000,000.00) Other, (File 333-110203 - Nov. 3) (BR. 04) S-4 ANCHOR GLASS CONTAINER CORP /NEW, 1 ANCHOR PLAZA, 4343 ANCHOR PLAZA PARKWAY, TAMPA, FL, 33634-7513, 8138840000 - 0 ($51,200,000.00) Non-Convertible Debt, (File 333-110205 - Nov. 3) (BR. 06) S-2 PSYCHIATRIC SOLUTIONS INC, 113 SEABOARD LANE, SUITE C-100, FRANKLIN, TN, 37067, 615-312-5700 - 6,900,000 ($95,565,000.00) Equity, (File 333-110206 - Nov. 3) (BR. 01) S-3 TEPPCO PARTNERS LP, 2929 ALLEN PKWY, PO BOX 2521, HOUSTON, TX, 77252-2521, 7137593636 - 0 ($2,000,000,000.00) Other, (File 333-110207 - Nov. 3) (BR. 04) S-8 KINROSS GOLD CORP, 8013639152 - 1,061,655 ($20,218,260.00) Equity, (File 333-110208 - Nov. 3) (BR. 04) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 21ST CENTURY TECHNOLOGIES INC NV X 11/03/03 ACCESS ANYTIME BANCORP INC DE X 10/31/03 ACCESSPOINT CORP /NV/ NV X X 10/23/03 ACCESSPOINT CORP /NV/ NV X X 10/31/03 ACCESSPOINT CORP /NV/ NV X 10/31/03 ACCESSPOINT CORP /NV/ NV X 10/31/03 ACCREDO HEALTH INC DE X 11/03/03 ACE CASH EXPRESS INC/TX TX X X 10/23/03 ACG HOLDINGS INC DE X X 11/03/03 ACT TELECONFERENCING INC CO X X 10/28/03 ADMINISTAFF INC \DE\ DE X X 11/03/03 AEROGEN INC DE X 10/29/03 AG SERVICES OF AMERICA INC IA X 11/03/03 AGILYSYS INC OH X 11/03/03 AIRGATE PCS INC /DE/ DE X X 10/17/03 ALLIANCE FIBER OPTIC PRODUCTS INC CA X 11/03/03 ALPHASTAR INSURANCE GROUP LTD X X 11/03/03 AMERALIA INC UT X X 10/31/03 AMERICAN MEDICAL SECURITY GROUP INC WI X X 11/03/03 AMERICAN NATURAL ENERGY CORP OK X 10/31/03 AMERICAN SKIING CO /ME DE X 10/31/03 AMERICAN TECHNICAL CERAMICS CORP DE X X 11/03/03 AMX CORP /TX/ TX X 10/30/03 ANCHOR GLASS CONTAINER CORP /NEW DE X X 11/03/03 APPLIED DIGITAL SOLUTIONS INC MO X X 10/31/03 ARCH CAPITAL GROUP LTD DE X X 11/03/03 ARISTOTLE CORP DE X 09/30/03 ARMSTRONG HOLDINGS INC /PA/ PA X 10/31/03 AROTECH CORP DE X X 11/03/03 ARRAY BIOPHARMA INC DE X 11/03/03 ASK JEEVES INC DE X X 11/03/03 ASSET BACKED FUNDING CORP DE X X 11/03/03 ASSOCIATED MATERIALS INC DE X X X 11/03/03 ATARI INC DE X 11/03/03 ATLANTIC TELE NETWORK INC /DE DE X 10/29/03 AUTOZONE INC NV X 11/03/03 AVANEX CORP DE X 11/03/03 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 11/03/03 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 11/03/03 BEASLEY BROADCAST GROUP INC DE X X 11/03/03 BIOMARIN PHARMACEUTICAL INC DE X 10/30/03 AMEND BIOMARIN PHARMACEUTICAL INC DE X 10/31/03 AMEND BOSTON LIFE SCIENCES INC /DE DE X X 10/30/03 BOYD BROS TRANSPORTATION INC DE X X 10/31/03 BUSINESS OBJECTS SA X X 10/31/03 BUTLER MANUFACTURING CO DE X X 10/30/03 C COR NET CORP PA X X 10/31/03 CABLE DESIGN TECHNOLOGIES CORP DE X X 10/31/03 CABOT MICROELECTRONICS CORP DE X X 11/03/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 10/31/03 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 10/31/03 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 10/31/03 AMEND CAPITAL ONE FUNDING LLC X X 10/24/03 CATALYST INTERNATIONAL INC DE X X 11/03/03 CATALYST INTERNATIONAL INC DE X 11/03/03 CEPHALON INC DE X X 11/03/03 CEPHALON INC DE X X X 11/03/03 CHARTER COMMUNICATIONS INC /MO/ DE X X 11/03/03 CHELL GROUP CORP NY X X 09/05/03 AMEND CHURCH & DWIGHT CO INC /DE/ DE X X X 06/26/03 CHURCH & DWIGHT CO INC /DE/ DE X X X 06/26/03 CITIGROUP INC DE X X 10/31/03 CITIZENS FIRST FINANCIAL CORP DE X X 10/31/03 CLASSIC BANCSHARES INC DE X X 11/03/03 CNA SURETY CORP DE X X 11/03/03 COLMENA CORP DE X X 10/15/03 COMMERCIAL NATIONAL FINANCIAL CORP /P PA X 11/03/03 COMMONWEALTH ENERGY CORP X 10/30/03 COMMUNITY BANKS INC /PA/ PA X 11/03/03 COMPUCREDIT CORP GA X X 11/03/03 CONEXANT SYSTEMS INC DE X X 11/03/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/30/03 CSFB MORT BACKED PASS THROUGH CERTS S DE X X 10/27/03 CSFB MORT BACKED PASS THROUGH CERTS S DE X X 10/27/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 10/27/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 10/27/03 CSFB MORTGAGE BACK PASS THR CER SER 2 DE X X 10/27/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 10/27/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 10/27/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 10/22/03 CSFB MORTGAGE BACKED PASS THRU CERT S DE X X 10/27/03 CSFB MORTGAGE SEC CORP HOME EQ PASS T DE X X 10/25/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 10/27/03 CYTOGEN CORP DE X X 10/30/03 DAVITA INC DE X X 11/03/03 DENBURY RESOURCES INC DE X X 11/03/03 DISCOVER CARD MASTER TRUST I DE X 10/31/03 DONEGAL GROUP INC DE X X X 10/28/03 DOW CHEMICAL CO /DE/ DE X X 11/03/03 E DEAL NET INC NV X X 10/31/03 ECOLLEGE COM DE X X 10/31/03 EDELBROCK CORP DE X 11/03/03 ELECTRONICS BOUTIQUE HOLDINGS CORP DE X X 11/03/03 EMPIRE RESORTS INC DE X X 04/07/03 AMEND ENGLOBAL CORP NV X 11/03/03 ENTERPRISE PRODUCTS PARTNERS L P DE X X X 10/31/03 EOG RESOURCES INC DE X 11/03/03 EOG RESOURCES INC DE X X 11/03/03 EQUITY MARKETING INC DE X X 10/30/03 EUNIVERSE INC NV X X 10/31/03 EXCHANGE BANCSHARES INC OH X X 10/29/03 EXCHANGE NATIONAL BANCSHARES INC MO X X 10/31/03 EXELON CORP PA X 11/03/02 FAIR ISAAC CORP DE X X 11/03/03 FAO INC CA X X 10/31/03 FEATHERLITE INC MN X X 11/03/03 FEDERAL MOGUL CORP MI X 11/03/03 FEDERAL REALTY INVESTMENT TRUST MD X X 11/03/03 FIRST FINANCIAL CORP /IN/ IN X X 10/21/03 FIRST HEALTH GROUP CORP DE X 11/03/03 FIRST INDIANA CORP IN X X 11/03/03 FIRST NORTHERN COMMUNITY BANCORP CA X X 10/31/03 FIRST PACTRUST BANCORP INC MD X X 10/30/03 FLEMING COMPANIES INC /OK/ OK X X 08/14/03 FLOW INTERNATIONAL CORP WA X 10/29/03 FLOW INTERNATIONAL CORP WA X X 10/24/03 FOOTSTAR INC DE X X 10/31/03 FORD MOTOR CO DE X X 11/03/03 FORD MOTOR CREDIT CO DE X X 11/03/03 FORTUNE BRANDS INC DE X X 11/03/03 FPIC INSURANCE GROUP INC FL X X 11/03/03 GA FINANCIAL INC/PA DE X X 10/31/03 GENERAL MOTORS CORP DE X 11/03/03 GENESIS HEALTHCARE CORP PA X 10/16/03 AMEND GLOBE BANCORP INC LA X 11/03/03 GLOBESPANVIRATA INC DE X 11/03/03 GREAT AMERICAN FINANCIAL RESOURCES IN DE X X 10/31/03 GREENE COUNTY BANCORP INC DE X 10/30/03 GRISTEDES FOODS INC DE X X 10/31/03 GULFTERRA ENERGY PARTNERS L P DE X X 11/03/03 HARMONIC INC DE X X 10/29/03 HEALTHSOUTH CORP DE X X 11/03/03 HECLA MINING CO/DE/ DE X 10/31/03 HERITAGE OAKS BANCORP CA X X 10/31/03 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 11/03/03 HFC REVOLVING CORP HOUSEHOLD HOME EQ DE X 10/15/03 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 10/15/03 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 10/15/03 HORIZON FINANCIAL SERVICES CORP DE X X 11/03/03 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 X 10/15/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 10/15/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 10/15/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 10/15/03 HOVNANIAN ENTERPRISES INC DE X X 10/30/03 HUMAN BIOSYSTEMS INC CA X 11/03/03 HUTCHINSON TECHNOLOGY INC MN X X 11/03/03 I FLOW CORP /DE/ DE X 10/29/03 IMH ASSETS CORP DE X X X 11/03/03 IMPERIAL PARKING CORP DE X X 10/14/03 INNOVEX INC MN X X 11/03/03 INSIGNIA SOLUTIONS PLC X X 10/29/03 INSTINET GROUP INC DE X X 11/03/03 INTEGRAMED AMERICA INC DE X X 11/03/03 INTERMAGNETICS GENERAL CORP NY X X 11/03/03 INTUITIVE SURGICAL INC DE X X 10/31/03 INYX INC NV X X 10/29/03 ION NETWORKS INC DE X X 10/31/03 AMEND IVILLAGE INC DE X X 11/03/03 KANSAS CITY SOUTHERN DE X X 10/31/03 KEITHLEY INSTRUMENTS INC OH X 11/03/03 KELLOGG CO DE X 11/03/03 KENDLE INTERNATIONAL INC OH X X 10/30/03 KERR MCGEE CORP /DE DE X X 11/03/03 KNBT BANCORP INC PA X X 10/31/03 LASALLE RE HOLDINGS LTD X X 10/20/03 LKQ CORP DE X 11/03/03 LOCATEPLUS HOLDINGS CORP X 10/17/03 MACDERMID INC CT X 09/30/03 MACROPORE INC DE X X 11/03/03 MADDEN STEVEN LTD DE X X 10/28/03 MADISON GAS & ELECTRIC CO WI X X 10/30/03 MAGELLAN PETROLEUM CORP /DE/ DE X 11/03/03 MAIL WELL INC CO X 11/03/03 MANITOWOC CO INC WI X X 11/03/03 MANITOWOC CO INC WI X X 11/03/03 AMEND MARITRANS INC /DE/ DE X X 10/29/03 MARSH & MCLENNAN COMPANIES INC DE X X 11/03/03 MATRITECH INC/DE/ DE X X 10/30/03 MAX RE CAPITAL LTD X X X 11/03/03 MCDONALDS CORP DE X 11/03/03 MEDIA ARTS GROUP INC DE X X 10/31/03 MERCURY GENERAL CORP CA X X 11/03/03 METLIFE INC DE X 11/03/03 METLIFE INC DE X 11/03/03 MEXICAN RESTAURANTS INC TX X X 10/31/03 MICHIGAN COMMUNITY BANCORP LTD MI X X 10/17/03 MICROISLET INC NV X X 11/03/03 MICROVISION INC WA X X 10/31/03 MIDDLETON DOLL CO WI X X 11/03/03 MIDWAY GAMES INC DE X 10/30/03 MILLENNIUM CELL INC DE X 10/22/03 MOUNTAIN OIL INC UT X X 04/08/03 AMEND MULTI LINK TELECOMMUNICATIONS INC CO X X 10/31/03 NAPRO BIOTHERAPEUTICS INC DE X X 11/03/03 NATIONAL BANK OF INDIANAPOLIS CORP IN X 11/03/03 NATIONAL STEEL CORP DE X X 10/23/03 NATIONWIDE FINANCIAL SERVICES INC/ DE X X X 11/03/03 NAVIGANT INTERNATIONAL INC DE X X 11/03/03 NEKTAR THERAPEUTICS DE X X 10/31/03 NETWORKS ASSOCIATES INC/ DE X X 10/31/03 NEW CENTURY EQUITY HOLDINGS CORP DE X X 11/03/03 NIC INC CO X X 10/31/03 NISOURCE INC/DE DE X X 11/03/03 NORTH EUROPEAN OIL ROYALTY TRUST DE X X 10/31/03 NTL INC DE X X 11/03/03 OBAN MINING INC NV X X X X 10/31/03 ODYSSEY HEALTHCARE INC DE X X 11/03/03 OIL STATES INTERNATIONAL INC DE X X 10/30/03 OLYMPIC RESOURCES LTD A1 X 10/21/03 ONEIDA LTD NY X X 11/03/03 OPTICAL COMMUNICATION PRODUCTS INC DE X X 11/03/03 ORAGENICS INC FL X X 10/31/03 ORASURE TECHNOLOGIES INC DE X X 11/03/03 OSTEOTECH INC DE X 11/03/03 P COM INC DE X X 10/28/03 PACER TECHNOLOGY CA X X 10/30/03 PARKWAY PROPERTIES INC MD X X 11/03/03 PARTNERRE LTD X 11/03/03 PATHFINDER BANCORP INC DE X X 08/19/03 PERFICIENT INC DE X X 10/31/03 PETROGEN CORP NV X 10/28/03 PFS BANCORP INC IN X X 10/31/03 PINNACLE SYSTEMS INC CA X 11/03/03 PMI GROUP INC DE X 10/31/03 PNC FINANCIAL SERVICES GROUP INC PA X X 10/27/03 PNM RESOURCES INC NM X 09/30/03 PNM RESOURCES INC NM X 11/03/03 AMEND PNM RESOURCES INC NM X 09/30/03 AMEND POINT THERAPEUTICS INC DE X X 11/03/03 PRECIS INC OK X X 11/03/03 PRIMARY PDC INC DE X X 10/28/03 PRINCIPAL FINANCIAL GROUP INC DE X 11/03/03 PRUDENTIAL FINANCIAL INC NJ X 11/03/03 PSB GROUP INC MI X X 10/31/03 QUICK MED TECHNOLOGIES INC NV X 11/03/03 QUIDEL CORP /DE/ DE X 10/29/03 QUIGLEY CORP NV X 10/28/03 RADIO UNICA COMMUNICATIONS CORP DE X X 10/31/03 RAYBOR MANAGEMENT INC DE X 10/29/03 RAYONIER INC NC X 11/03/03 RED ROBIN GOURMET BURGERS INC DE X X 11/03/03 REINSURANCE GROUP OF AMERICA INC MO X 11/03/03 REINSURANCE GROUP OF AMERICA INC MO X 11/03/03 RENAISSANCE ENTERTAINMENT CORP CO X 10/19/03 REPUBLIC SERVICES INC DE X 11/03/03 REPUBLIC SERVICES INC DE X X 11/03/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 10/31/03 ROUSE COMPANY MD X 11/03/03 SAFLINK CORP DE X X 11/03/03 SALEM COMMUNICATIONS CORP /DE/ DE X X X 10/30/03 SATCON TECHNOLOGY CORP DE X X 10/31/03 SCHWEITZER MAUDUIT INTERNATIONAL INC DE X X 10/30/03 SCIENTIFIC GAMES CORP DE X X 09/11/03 SCIQUEST INC DE X X X 10/30/03 AMEND SEEC INC PA X X 10/31/03 SEVEN SEAS PETROLEUM INC B0 X X 10/31/03 SHARPS COMPLIANCE CORP DE X X 11/03/03 SOURCINGLINK NET INC DE X X 11/03/03 SPIDERBOY INTERNATIONAL INC MN X 10/31/03 SPSS INC DE X X 10/29/03 SRA INTERNATIONAL INC DE X X 11/03/03 SSP SOLUTIONS INC DE X X 10/31/03 STARCRAFT CORP /IN/ IN X X X 10/31/03 STEINER LEISURE LTD C5 X 11/03/03 STRATUS PROPERTIES INC DE X 11/03/03 STRAYER EDUCATION INC MD X X 11/03/03 STRUCTURED ASSET SECURITIES CORP II X X 09/12/03 SYNTROLEUM CORP DE X X 10/30/03 SYSTEMS & COMPUTER TECHNOLOGY CORP DE X 10/28/03 TECHNICAL OLYMPIC USA INC DE X 10/31/03 TELEX COMMUNICATIONS INC /DE/ DE X X 11/03/03 TEMECULA VALLEY BANCORP INC DE X 11/03/03 TEPPCO PARTNERS LP DE X X 11/03/03 TEXAS UNITED BANCSHARES INC TX X X 10/31/03 TRANSACT TECHNOLOGIES INC DE X X 11/03/03 TRENWICK AMERICA CORP DE X X 10/20/03 TRENWICK GROUP LTD X X 10/20/03 TRINITY CAPITAL CORP X X 11/03/03 UNIROYAL TECHNOLOGY CORP DE X X 10/31/03 UNIZAN FINANCIAL CORP OH X X 11/03/03 UPC POLSKA INC DE X X 10/30/03 USA VIDEO INTERACTIVE CORP WY X X 10/06/03 AMEND VERSO TECHNOLOGIES INC MN X X 11/03/03 VIGNETTE CORP DE X X 11/03/03 VITAL LIVING INC AZ X 08/21/03 AMEND VON HOFFMANN CORP X X 10/22/03 WASHINGTON MUTUAL INC WA X 10/27/03 WATERLINK INC DE X X 10/27/03 WCI COMMUNITIES INC X X 10/28/03 AMEND WGL HOLDINGS INC VA X 11/03/03 WHITE MOUNTAINS INSURANCE GROUP LTD D0 X 10/30/03