SEC NEWS DIGEST Issue 2004-9 January 14, 2004 COMMISSION ANNOUNCEMENTS R. COREY BOOTH SELECTED AS DIRECTOR OF OFFICE OF INFORMATION TECHNOLOGY The U.S. Securities and Exchange Commission announced that R. Corey Booth today joined the agency as CIO (Chief Information Officer) and Director of the Office of Information Technology. One aspect of SEC Chairman William H. Donaldson's ongoing review of the internal operations of the SEC focuses on efforts to improve and more effectively utilize technology. Booth, 33, will oversee a comprehensive review of all information technology (IT) efforts and lead the development of a comprehensive, multi-year strategic plan. The IT strategic plan will be designed to support the many new initiatives needed to enhance the agency's programs. SEC Chairman William H. Donaldson said, "The effective integration of improved technology into the SEC work processes is a key priority at the SEC. I am pleased that Corey Booth will soon join us to coordinate and oversee this important effort. Our success will enable the SEC to more effectively serve the needs of our primary client: the American investor." Corey Booth said, "I look forward to working with the very capable team at the SEC to implement cutting-edge technologies. In particular, the implementation of an enterprise architecture, that ensures effective coordination of innovative technologies and results in seamless coordination between SEC divisions and offices, will be key to our success in this area." Booth most recently was the Associate Principal of McKinsey and Company's Business Technology Office in Chicago, Ill. As a leader of that consulting practice, Booth focused on information technology, working with a variety of large corporate IT organizations, primarily within the financial services industry. Booth earned his MBA from Stanford University's Graduate School of Business after receiving his BA from Washington University. (Press Rel. 2004-4) ENFORCEMENT PROCEEDINGS PENNY STOCK BAR - INTERNET FRAUDSTER LUIS LORIE Luis F. Lorie, of Miami, Florida, has been barred from participating in an offering of penny stock. Thus, he is prohibited from engaging in any activities related to the issuance, purchase, or sale of such speculative low-priced securities. The sanction was based on his felony conviction and injunction and was ordered in an administrative proceeding before an administrative law judge. Lorie was convicted of securities fraud and permanently enjoined from committing further violations of the securities laws. He is currently serving a fifty-one month prison term. Lorie orchestrated a pump-and- dump scheme using false and misleading postings on the Internet to create a market for the stock of American Healthcare Providers, Inc., a start-up company with no business operations. Lorie and his family reaped over $1.4 million from the scheme. (Rel. 34-49073; File No. 3- 11355) FORMER VICE CHAIRMAN OF FRED ALGER MANAGEMENT INC. SENTENCED FOR TAMPERING WITH EVIDENCE IN CONNECTION WITH MUTUAL FUND INVESTIGATION On Dec. 17, 2003, the Honorable James Yates of the Supreme Court of New York State in Manhattan sentenced James P. Connelly Jr. to 1 to 3 years in prison for tampering with evidence. Connelly, the former Vice Chairman of Fred Alger Management Inc., had pled guilty on Oct. 16, 2003, to one count of Tampering with Physical Evidence, a Class E felony, in violation of New York State law. Also on Oct. 16, 2003, the Commission issued an order finding that Connelly had violated the federal securities laws by permitting select investors to "time" Alger mutual funds in exchange for maintaining at least 20% of their Alger investment in buy-and-hold positions, sometimes referred to as "sticky assets." The Commission directed Connelly to cease and desist from future violations of various provisions of the federal securities laws; barred him from association with any broker, dealer or investment adviser; barred him from serving in various capacities with respect to any registered investment company; and imposed a $400,000 civil penalty. Connelly consented to the Commission order without admitting or denying the findings. The criminal charges against Connelly stemmed from his repeated efforts to tamper with an ongoing investigation by the New York Attorney General and the Commission of illegal trading practices in the mutual funds industry, including by directing subordinates to delete emails called for by subpoenas. Connelly had admitted his conduct under oath before Justice Yates. New York's statute outlawing tampering with evidence calls for a maximum sentence of 4 years in state prison. For further information, see Press Release No. 138 (Oct. 16, 2003) and Administrative Proceeding File No. 3-11303 (Oct. 16, 2003); (Rels. 33- 8304; 34-48643; IA-2183; IC-26209). [The People of the State of New York v. James P. Connelly Jr., SCI - 5648/03 (N.Y. Sup. Ct.)] (LR- 18541) INVESTMENT COMPANY ACT RELEASES BEXIL CORPORATION An order has been issued on an application filed by Bexil Corporation under Section 8(f) of the Investment Company Act. The order declares that Bexil Corporation has ceased to be an investment company. (Rel. IC-26319 - January 6) HOLDING COMPANY ACT RELEASES COMMISSION ISSUES NOTICE OF AND ORDER SCHEDULING HEARING REGARDING APPLICATION OF STEPHEN FORBES COOPER, LLC, PGE TRUST, AND ENRON CORPORATION FOR EXEMPTION FROM THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 On January 14, the Commission issued a notice of and order scheduling hearing (Notice and Order) regarding the application of Enron Corporation, a public utility holding company, Stephen Forbes Cooper, LLC, an entity headed by the Acting President of Enron, and PGE Trust, an entity that Enron states it may organize, for an exemption from all of the provisions of the Public Utility Holding Company Act of 1935 (Act) except Section 9(a)(2). Enron represents that it is a public utility holding company by reason of its ownership of all of the outstanding voting securities of Portland General Electric Company. Applicants request an exemption under Section 3(a)(4) of the Act. The Commission found that it could not conclude from the face of the application whether Enron meets the statutory criteria for an exemption pursuant to Section 3(a)(4) of the Act. The Commission, therefore, ordered a hearing to be conducted on the basis of written submissions to be filed with the Commission within 15 days of publication of the Notice and Order in the Federal Register. The Commission held that because ownership and control of Portland General has not yet been transferred to the other applicants, there is no basis for taking action on their applications. (Rel. 35-27793; File No. 3-11373) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-103) submitted by the American Stock Exchange relating to issuer fees. Publication is expected in the Federal Register during the week of January 12. (Rel. 34-49049) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by National Futures Association (SR-NFA- 2003-04) regarding proficiency requirements for security futures products has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49054) A proposed rule change (SR-Phlx-2003-83), and Amendment No. 1 thereto, filed by the Philadelphia Stock Exchange relating to Equity Floor Brokerage Assessment fees have become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49057) A proposed rule change (SR-NASD-2003-200) filed by the National Association of Securities Dealers relating to an amendment to NASD Rule 2130 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49059) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-131), and granted accelerated approval to Amendment No. 1 thereto, submitted by the National Association of Securities Dealers relating to a proposal to require its Members to participate in the national do-not-call registry. (Rel. 34-49055) The Commission approved a proposed rule change (SR-BSE-2003-04), and Amendment No. 1 thereto, and granted accelerated approval of Amendments No. 2 and 3 thereto, submitted by the Boston Stock Exchange relating to the creation of Boston Options Exchange Regulation, LLC. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49065) The Commission approved a proposed rule change (SR-BSE-2003-17) submitted by the Boston Stock Exchange to establish fees for the Boston Options Exchange Facility and approving the portion of the proposed rule change relating to linkage fees on a pilot basis until Jan. 31, 2004. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49066) The Commission approved a proposed rule change (SR-BSE-2003-19), and granted accelerated approval of Amendments No. 1 and 2 thereto, submitted by the Boston Stock Exchange relating to the LLC Operating Agreement of the proposed new exchange facility to be operated by the Boston Options Exchange Group LLC. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49067) PROPOSED RULE CHANGES The International Securities Exchange filed a proposed rule change (SR- ISE-2003-07), and Amendment No. 1 thereto, relating to the pricing of block and facilitation trades. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49056) The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 35), and Amendment Nos. 1, 2, 3, and 4 thereto, to codify in Amex Rules 128A, 1000, and 1000A the current practices regarding the participation in Exchange Traded Fund trades executed on the Exchange by registered traders and specialists and the allocation by the specialist of those trades to the appropriate party. Publication is expected in the Federal Register during the week of January 19. (Rel. 34-49058) WITHDRAWAL GRANTED An order has been issued granting the application of DepoMed, Inc. to withdraw its common stock, no par value, from listing and registration on the American Stock Exchange, effective a the opening of business on January 14. (Rel. 34-49069) CORRECTIONS AND ADDITIONS A summary in yesterday's Digest concerning (SR-NSCC-2003-15) included an inaccurate date. It should have appeared as follows: PROPOSED RULE CHANGE The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2003-15) that would allow NSCC to implement a real- time trade matching system (RTTM) for certain NSCC-eligible corporate bonds, municipal bonds, and unit investment trusts in 2004. Publication of the proposal is expected in the Federal Register during the week of January 19. (Rel. 34-49051) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 FIRST NATIONAL BANKSHARES OF FLORIDA INC, 2150 GOODLETTE RD NORTH, NAPLES, FL, 34102, 2392627600 - 2,000,000 ($34,250,000.00) Equity, (File 333-111867 - Jan. 13) (BR. 07) S-8 INTERNATIONAL STEEL GROUP INC, 3250 INTERSTATE DRIVE, RICHFIELD, OH, 44286, 3306599100 - 0 ($52,822,913.00) Equity, (File 333-111868 - Jan. 13) (BR. 06) S-3 LTX CORP, LTX PARK AT UNIVERSITY AVE, WESTWOOD, MA, 02090, 7814611000 - 0 ($250,000,000.00) Other, (File 333-111869 - Jan. 13) (BR. 36) S-1 PALMSOURCE INC, 5470 GREAT AMERICA PKWY, SANTA CLARA, CA, 95052, 408-878-4000 - 0 ($77,449,625.00) Equity, (File 333-111871 - Jan. 13) (BR. 03) S-4 SEMCO ENERGY INC, 28470 13 MILE ROAD, SUITE 300, FARMINGTON HILLS, MI, 48334, 248-702-6000 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-111872 - Jan. 13) (BR. 02) S-8 T & G2, 65 LA GRANDE AVE., BERKELEY HEIGHTS, NJ, 07922, 9085089009 - 3,500,000 ($542,500.00) Equity, (File 333-111873 - Jan. 13) (BR. 03) S-8 NANNACO INC, 2935 THOUSAND OAKS, SUITE 6, SAN ANTONIO, TX, 78247, 2105453570 - 45,000,000 ($1,170,000.00) Equity, (File 333-111874 - Jan. 13) (BR. 06) S-3 MAIN STREET BANKS INC /NEW/, 676 CHASTAIN ROAD, KENNESAW, GA, 30144, 7704222888 - 0 ($7,313,219.00) Other, (File 333-111875 - Jan. 13) (BR. 07) S-8 NUTECH DIGITAL INC, 7900 GLORIA AVE, VAN NUYS, CA, 91406, 8189943831X12 - 3,752,474 ($2,307,772.00) Equity, (File 333-111876 - Jan. 13) (BR. 05) SB-2 MDU COMMUNICATIONS INTERNATIONAL INC, 60 COMMERCE WAY, UNIT D, TOTOWA, NJ, 07512, 9732379499 - 0 ($7,813,067.81) Other, (File 333-111877 - Jan. 13) (BR. 37) S-3 INTERNAP NETWORK SERVICES CORP, 601 UNION STREET SUITE 1000, SEATTLE, WA, 98101, 2064418800 - 0 ($37,645,764.00) Equity, (File 333-111878 - Jan. 13) (BR. 03) S-3 DAUGHERTY RESOURCES INC, 120 PROSPEROUS PLACE, SUITE 201, LEXINGTON, KY, 40509, 6062633948 - 1,785,165 ($8,925,825.00) Equity, (File 333-111879 - Jan. 13) (BR. 04) S-3 INTERNAP NETWORK SERVICES CORP, 601 UNION STREET SUITE 1000, SEATTLE, WA, 98101, 2064418800 - 0 ($131,778,931.00) Equity, (File 333-111880 - Jan. 13) (BR. 03) S-8 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 1,700,000 ($38,250,000.00) Equity, (File 333-111881 - Jan. 13) (BR. 04) S-4 JORGENSEN EARLE M CO /DE/, 10650 S ALAMEDA STREET, LYNWOOD, CA, 90262, 323 567 1122 - 0 ($74,106,281.17) Equity, (File 333-111882 - Jan. 13) (BR. 04) S-3 DELTA PETROLEUM CORP/CO, 475 17TH STREET SUITE 1400, DENVER, CO, 80202, 3032939133 - 773,500 ($5,244,330.00) Equity, (File 333-111883 - Jan. 13) (BR. 04) S-4 PATHMARK STORES INC, 200 MILIK STREET, CARTERET, NJ, 07008, 9084993000 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-111884 - Jan. 13) (BR. 02) S-3 BOND TRUST PRODUCTS LLC, 500,000,000 ($500,000,000.00) Other, (File 333-111885 - Jan. 13) (BR. 05) S-8 PRIMUS KNOWLEDGE SOLUTIONS INC, 1601 FIFTH AVE, SUITE 1900, SEATTLE, WA, 98101, 2062921000 - 265,327 ($1,690,133.00) Equity, (File 333-111886 - Jan. 13) (BR. 03) S-8 SPARTAN MOTORS INC, 1000 REYNOLDS RD, P O BOX 440, CHARLOTTE, MI, 48813, 5175436400 - 1,000,000 ($10,530,000.00) Equity, (File 333-111887 - Jan. 13) (BR. 05) S-8 SPARTAN MOTORS INC, 1000 REYNOLDS RD, P O BOX 440, CHARLOTTE, MI, 48813, 5175436400 - 500,000 ($5,265,000.00) Equity, (File 333-111888 - Jan. 13) (BR. 05) SB-2 NEWTECH BRAKE CORP, 5148769222 - 22,762,033 ($25,038,236.30) Equity, (File 333-111889 - Jan. 13) (BR. 05) S-3 OVERSEAS SHIPHOLDING GROUP INC, 511 FIFTH AVENUE, NEW YORK, NY, 10017, 2122511153 - 0 ($555,600,000.00) Other, (File 333-111890 - Jan. 13) (BR. 05) S-4 KOPPERS INC, 436 SEVENTH AVE, PITTSBURGH, PA, 15219, 4122272001 - 320,000,000 ($320,000,000.00) Equity, (File 333-111891 - Jan. 13) (BR. 06) S-3 ORCHID BIOSCIENCES INC, 303 COLLEGE RD. EAST, PRINCETON, NJ, 08540, 6097502200 - 0 ($30,000,000.00) Equity, (File 333-111892 - Jan. 13) (BR. 01) S-4 SILGAN HOLDINGS INC, 4 LANDMARK SQ, STAMFORD, CT, 06901, 2039757110 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-111893 - Jan. 13) (BR. 06) S-3 NEXMED INC, 350 CORPORATE BLVD, ROBBINSVILLE, NJ, 08691, 6092089688 - 0 ($5,271,500.00) Equity, (File 333-111894 - Jan. 13) (BR. 01) S-3 GUESS INC ET AL/CA/, 1444 SOUTH ALAMEDA ST, LOS ANGELES, CA, 90021, 2137653100 - 0 ($69,198,000.00) Equity, (File 333-111895 - Jan. 13) (BR. 02) SB-2 PACER HEALTH CORP, 7759 NW 146 STREET, -, MIAMI LAKES, FL, 33016, 3058287660 - 250,000,000 ($5,000,000.00) Equity, (File 333-111896 - Jan. 13) (BR. 08) SB-2 MANHATTAN PHARMACEUTICALS INC, 787 SEVENTH AVENUE, 48TH FLOOR, NEW YORK, NY, 10019, 2125544555 - 21,029,163 ($33,331,223.36) Equity, (File 333-111897 - Jan. 13) (BR. 01) S-8 UNIVERSAL TECHNICAL INSTITUTE INC, 300,000 ($9,210,000.00) Equity, (File 333-111898 - Jan. 13) (BR. 08) S-8 UNIVERSAL TECHNICAL INSTITUTE INC, 783,000 ($24,038,100.00) Equity, (File 333-111899 - Jan. 13) (BR. 08) S-8 UNIVERSAL TECHNICAL INSTITUTE INC, 4,430,972 ($136,030,840.40) Equity, (File 333-111900 - Jan. 13) (BR. 08) 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 01/13/04 ABX AIR INC X X 01/12/04 ACCENTURE LTD X 01/13/04 ACCENTURE LTD X 01/13/04 AMEND ACCENTURE SCA X 01/13/04 ACCENTURE SCA X 01/13/04 AMEND ADOLOR CORP X X 01/13/04 ADVANCED NEUROMODULATION SYSTEMS INC TX X X 01/13/04 AEROSONIC CORP /DE/ DE X X 12/17/03 AMEND AIRPLANES LTD DE X 01/13/04 ALTUS EXPLORATIONS INC NV X 11/22/03 AMERICAN ITALIAN PASTA CO DE X 01/13/04 AMERUS GROUP CO/IA IA X X 01/12/04 AMSOUTH BANCORPORATION DE X 01/13/04 AMYLIN PHARMACEUTICALS INC DE X X 01/12/04 APPLIED INDUSTRIAL TECHNOLOGIES INC OH X 01/13/04 ARCHON CORP NV X X 12/29/03 ARGENT SECURITIES INC ASST BACK PASS X 01/09/04 ARTHROCARE CORP DE X X 01/05/04 AVISTAR COMMUNICATIONS CORP DE X X 01/08/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 01/13/04 BANK OF GRANITE CORP DE X X 01/13/04 BARRETT BUSINESS SERVICES INC MD X 01/01/04 BB&T CORP NC X 12/31/03 BERKSHIRE INCOME REALTY INC X 10/30/03 AMEND BERRY PETROLEUM CO DE X 01/13/04 BLUEFLY INC DE X X 01/12/04 BOSTON SCIENTIFIC CORP DE X 01/13/04 BOUNDLESS MOTOR SPORTS RACING INC CO X 01/13/04 BUFFALO WILD WINGS INC MN X X 01/13/04 BURKE MILLS INC NC X 01/03/04 BUSINESS BANCORP /CA/ CA X X 01/13/04 CAPITAL CITY BANK GROUP INC FL X X 01/07/04 CELL THERAPEUTICS INC WA X X 01/01/04 CENTEX CORP NV X X 01/12/04 CERISTAR INC DE X X 01/12/04 CHICAGO PIZZA & BREWERY INC CA X 01/12/04 CHICAGO PIZZA & BREWERY INC CA X 01/12/04 CHICAGO PIZZA & BREWERY INC CA X 01/12/04 CITIGROUP MORT LOAN TRUST INC ASSET B X 11/25/03 CITIGROUP MORT LOAN TRUST INC ASSET B X 12/22/03 CLEVELAND CLIFFS INC OH X 01/13/04 CLICK2LEARN INC/DE/ DE X X 01/12/04 CNL RETIREMENT PROPERTIES INC MD X X 01/13/04 COASTAL CARIBBEAN OILS & MINERALS LTD D0 X 01/13/04 COEUR D ALENE MINES CORP ID X X 01/12/04 COMMERCE ONE INC / DE/ DE X X 01/08/04 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 01/01/04 CONSECO INC DE X X 01/12/04 CORAUTUS GENETICS INC DE X X 12/31/03 CORPORATE VISION INC OK X X 03/05/02 AMEND CORTEX PHARMACEUTICALS INC/DE/ DE X X 01/07/04 CRIIMI MAE FINANCIAL CORP MD X X 01/02/04 CROSS MEDIA MARKETING CORP DE X X 12/16/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 12/26/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X 01/13/04 CVS CORP DE X 01/13/04 CWABS INC ASSET BACKED CERTIFICATES S DE X 12/29/03 CWABS INC ASSET BACKED CERTIFICATES S DE X 12/29/03 CYBERONICS INC DE X X X 01/09/04 DEL MONTE FOODS CO DE X 01/13/04 DEUTSCHE MORT & ASSET RECEIVING CORP DE X 01/01/04 DIALYSIS CORP OF AMERICA FL X 01/09/04 DOLLAR GENERAL CORP TN X X 01/13/04 EMPIRE RESORTS INC DE X X 01/12/04 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 01/13/04 ENERGY PRODUCERS INC NV X X 12/24/03 EQUINIX INC DE X X X 01/13/04 EXELON CORP PA X 10/23/03 AMEND EXXON MOBIL CORP NJ X 01/13/04 FARO TECHNOLOGIES INC FL X X 01/13/04 FEDERAL MOGUL CORP MI X 01/13/04 FIELDSTONE MORTGAGE INVESTMENT CORP S NY X X 12/25/03 FINANCIAL ASSET SEC CORP AST BACK CER DE X X 01/12/04 FIRST CHARTER CORP /NC/ NC X X 01/13/03 FIRST NATIONAL BANCSHARES INC/ FL/ FL X X X 01/13/04 FIRST NIAGARA FINANCIAL GROUP INC DE X X 01/13/04 FIRST REGIONAL BANCORP CA X X 01/08/04 FIRST UNION NATIONAL BANK COM MORT PA NC X 01/01/04 FIRSTENERGY CORP OH X X 01/13/04 FISHER SCIENTIFIC INTERNATIONAL INC DE X X 01/13/04 FLIGHT SAFETY TECHNOLOGIES INC NV X 01/13/04 FONIX CORP DE X X 01/13/04 FRANKLIN COVEY CO UT X X 01/13/04 GAMES INC DE X X 12/31/03 GARDNER DENVER INC DE X X X 01/02/04 GENAERA CORP DE X X 01/12/04 GENERAL DATACOMM INDUSTRIES INC DE X X 10/01/03 AMEND GOAMERICA INC DE X X 01/12/04 GREAT AMERICAN BANCORP INC DE X X 01/13/04 GREENBRIER COMPANIES INC DE X X 01/13/04 GREENWICH CAPITAL COMM MORT PASS THR X 01/01/04 GS MORTGAGE SECURITIES CORP DE X X 01/09/04 IASIS HEALTHCARE CORP DE X X 01/13/04 ICON HEALTH & FITNESS INC DE X X 11/29/03 IGEN INTERNATIONAL INC /DE DE X 01/12/04 ILLUMINA INC CA X X 01/13/04 IMAGING TECHNOLOGIES CORP/CA DE X 01/13/04 INSCI CORP DE X 12/31/03 INSCI CORP DE X X 01/02/04 INTERNAP NETWORK SERVICES CORP DE X X 01/13/04 JACOBSON STORES INC MI X X 01/06/04 JAMESON INNS INC GA X X 01/13/04 KAISER ALUMINUM & CHEMICAL CORP DE X X 01/12/04 KAISER ALUMINUM CORP DE X X 01/12/04 KAISER GROUP HOLDINGS INC DE X X 01/13/04 KEANE INC MA X X 01/13/04 KELLWOOD CO DE X X 01/13/04 KIRSHNER INTERNATIONAL INC DE X 12/29/03 KOGER EQUITY INC FL X X 01/09/04 KOS PHARMACEUTICALS INC FL X X 01/12/04 LAS VEGAS SANDS INC NV X 01/13/04 LCA VISION INC DE X 01/12/04 LEHMAN ABS CORP FIFTH THIRD HOME EQUI DE X 10/27/03 LEHMAN ABS CORP FIFTH THIRD HOME EQUI DE X 11/20/03 LEHMAN ABS CORP FIFTH THIRD HOME EQUI DE X 12/22/03 LIBERATE TECHNOLOGIES DE X X 01/12/04 M I HOMES INC OH X X 01/12/04 M&T BANK CORP NY X X 01/13/04 MATERIAL SCIENCES CORP DE X 01/13/04 MAXTOR CORP DE X 12/30/03 MDC HOLDINGS INC DE X X 01/12/04 MEDCO HEALTH SOLUTIONS INC DE X 01/12/04 MEDICAL DEVICE ALLIANCE INC NV X X 01/05/04 MEDICORE INC FL X 01/06/04 MEDICSIGHT INC DE X 01/06/04 MEDIS TECHNOLOGIES LTD DE X X 01/13/04 MERRILL LYNCH COMM MORT PS THR CERTS DE X 01/01/04 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 12/29/03 METROMEDIA INTERNATIONAL GROUP INC DE X X 01/12/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 01/13/04 MORTGAGE PASS-THROUGH CERTIFICATES SE DE X 12/30/03 NANNACO INC TX X X 01/12/04 NATIONAL PROPERTY INVESTORS 7 CA X X 12/30/03 NATROL INC DE X X 01/13/04 NEUROGEN CORP DE X 01/13/04 PAINCARE HOLDINGS INC CT X X 12/31/03 PALMETTO BANCSHARES INC SC X 12/31/03 PARKVALE FINANCIAL CORP PA X X 01/06/04 PELICAN FINANCIAL INC DE X 12/31/03 PENNS WOODS BANCORP INC PA X X 01/12/04 PENTHOUSE INTERNATIONAL INC FL X X 01/12/04 PENTHOUSE INTERNATIONAL INC FL X 01/12/04 PENTHOUSE INTERNATIONAL INC FL X 01/12/04 PEOPLES FINANCIAL CORP /MS/ MS X X 01/12/04 PETROLEUM DEVELOPMENT CORP NV X 01/12/04 PILGRIMS PRIDE CORP DE X X 11/23/03 AMEND PLANTRONICS INC /CA/ DE X X 12/31/03 PLURISTEM LIFE SYSTEMS INC NV X 01/05/04 POLYONE CORP X X 01/12/04 PROGENICS PHARMACEUTICALS INC DE X X 01/13/04 PROLOGIS MD X X 01/12/04 REHABCARE GROUP INC DE X 01/13/04 REPUBLIC BANCORP INC MI X 01/13/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/13/04 RITA MEDICAL SYSTEMS INC DE X 01/13/04 ROPER INDUSTRIES INC /DE/ DE X X X 12/29/03 ROSS SYSTEMS INC/CA DE X 11/17/03 ROXIO INC DE X X 01/09/04 SAFEGUARD HEALTH ENTERPRISES INC DE X X 11/01/03 AMEND SALIX PHARMACEUTICALS LTD X X 01/13/04 SCHAWK INC DE X 01/13/04 SCO GROUP INC DE X X 01/12/04 SECURITY FEDERAL CORPORATION SC X X 01/12/04 SEGMENTZ INC DE X X 01/06/04 SELECT MEDICAL CORP DE X X 01/12/04 SHELTER PROPERTIES II LTD PARTNERSHIP SC X X 12/30/03 SHURGARD STORAGE CENTERS INC WA X 01/08/04 SIGA TECHNOLOGIES INC DE X X 01/08/04 SIRNA THERAPEUTICS INC CO X X 01/12/04 SKY FINANCIAL GROUP INC OH X X 01/08/04 SOUTHERN COMMUNITY FINANCIAL CORP NC X X 01/12/04 STATE STREET CORP MA X 01/13/04 STEEL TECHNOLOGIES INC KY X X 12/31/03 STERLING FINANCIAL CORP 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