SEC News Digest Issue 2003-223

SEC NEWS DIGEST Issue 2003-223 24, 2003 November COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #6 FOR FISCAL YEAR 2004 The continuing resolution funding the Securities and Exchange Commission for fiscal 2004 since Oct. 1, 2003, has been extended further through Jan. 31, 2004. Therefore, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates. Five days after enactment of the Commission's regular fiscal year 2004 appropriation, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions will be increased from the current rate of $80.90 per million to $126.70 per million, as previously announced. In addition, thirty days after enactment of the Commission's regular appropriation, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq will be reduced from the current rate of $46.80 per million to $39.00 per million, as previously announced. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the Web sites of The New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasdr.com. A copy of the Commission's April 30, 2003, order regarding fee rates for fiscal year 2003 is available at http://www.sec.gov/news/press/2003-57.htm. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet Web site at http://www.sec.gov. (Press Rel. 2003-163) -----------------------ENFORCEMENT PROCEEDINGS -----------------------IN THE MATTER OF INVESTCO, INC. An Administrative Law Judge has issued an Initial Decision in the matter of Investco, Inc. The Initial Decision finds that Investco, Inc. (Investco) violated Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder by failing to file its annual reports on Form 10-K for the years ended Dec. 31, 2001, and Dec. 31, 2002, and its quarterly reports on Form 10-Q for the quarters ended March 31, 2002, June 30, 2002, Sept. 30, 2002, and March 31, 2003. The Initial Decision revokes the registration of all securities of Investco, pursuant to Section 12(j) of the Exchange Act. (Initial Decision No. 240; File No. 3-11228) IN THE MATTER OF MICHAEL FLANAGAN, RONALD KINDSCHI AND SPECTRUM ADMINISTRATION, INC. An Administrative Law Judge has issued an Initial Decision in the matter of Michael Flanagan, Ronald Kindschi and Spectrum Administration, Inc. The Initial Decision finds that the position of the Division of Enforcement in the underlying administrative proceeding was, on the whole, substantially justified. The Initial Decision denies the Application for Fees and Expenses filed pursuant to the Equal Access to Justice Act, 5 U.S.C. § 504, and the Securities and Exchange Commission's regulations, 17 C.F.R. §§ 201.31, et seq. (Initial Decision No. 241; File No. 3-9784-EAJA) SEC BARS LAWRENCE BARSI FROM ASSOCIATING WITH ANY BROKER, DEALER OR INVESTMENT ADVISER The Commission today announced that on November 24 it issued an administrative order barring Lawrence M. Barsi (Barsi), a resident of Chicago, Illinois, from associating with any broker, dealer or investment adviser. Barsi consented to the order, which was based on a criminal conviction. On May 21, 2003, he was convicted, pursuant to a guilty plea, of one count of mail fraud (18 U.S.C. §1341) in a case captioned U.S. v. Lawrence M. Barsi (Case No. 03 CR 0333), in the U.S. District Court for the Northern District of Illinois. The criminal information in that case charged that from the late 1980s to October 2002, Barsi misappropriated over $2,500,000 from approximately 60 investors; he used the money to pay his personal expenses and supposed returns to some investors; and he concealed the fraud by sending account statements to investors representing he had invested their money in profitable securities. On Sept. 5, 2003, Barsi was sentenced to 87 months imprisonment and ordered to pay a restitution penalty of $1,976,129. The case was prosecuted by the U.S. Attorney's Office for the Northern District of Illinois. (Rels. 34-48824; IA-2195; File No. 3-11342) ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST BRUCE FOLLICK, SALVATORE TAVOLACCI, KARL DONOVAN, AARON SANDSTROM, DEREK SHAPIRO AND DONALD BROOKS On November 24, the Commission instituted administrative proceedings against Bruce Follick, Salvatore Tavolacci, Karl Donovan, Aaron Sandstrom, Derek Shapiro, and Donald Brooks. On April 11, 2002, Follick, Tavolacci, Shapiro, and Sandstrom were permanently enjoined by the U.S. District Court for the Southern District of New York from violating the securities registration and antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. Donovan and Brooks were similarly enjoined on May 31, 2002. The complaint in the civil injunctive action alleged that, at various times from at least April 1997 through July 1999, Follick, Tavolacci, Donovan, Sandstrom, Shapiro, and Brooks directed a sales force, which solicited purchases in fraudulent offerings of at least five securities. The sales force sold the stock to retail customers by means of a high-pressure sales pitch that included numerous material misrepresentations and omissions. Follick, Tavolacci, Donovan, Sandstrom, Shapiro, and Brooks all pled guilty to criminal charges arising out of the same conduct that gave rise to the civil injunctive action. Follick was convicted on Aug. 20, 2002, and the other defendants were convicted on various dates between February and May 2001. In particular, they were convicted of securities fraud and conspiracy to commit securities fraud and wire fraud. They received sentences ranging from 18 to 51 months in federal prison. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the respondents an opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. The Commission directed that the Administrative Law Judge issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. For further information about the related civil and criminal proceedings, see Litigation Release No. 16588 (June 14, 2000). (Rel. 34-48826; File No. 3-11343) THOMAS CONWELL, RESIDENT OF LAKE BLUFF, ILLINOIS AND OWNER OF LAKE FOREST FINANCIAL GROUP LTD., PLEADS GUILTY TO FRAUD CHARGES AND OBSTRUCTION OF SEC INVESTIGATION The Commission announced today that on November 19 Thomas V. Conwell, a Lake Bluff, Illinois resident, entered a plea of guilty to one count of wire fraud, three counts of bank fraud and one count of obstructing a Securities and Exchange Commission investigation. Conwell's sentencing was set for Feb. 6, 2004. According to the indictment against Conwell, between April 1998 and March 2001, Conwell, sole owner of Lake Forest Financial Group, Ltd., (LFFG) engaged in a scheme to defraud his clients by making material misstatements and omissions concerning the use of the funds he received for investments and insurance products, and the profitability of these investments. The indictment alleged that Conwell used the money he received for his personal benefit and the benefit of his business, including making payments to earlier investors without disclosing the Ponzi scheme nature of the payments. The indictment also charged that Conwell lied to four different banks to obtain more than $2.5 million in loans, and also, that Conwell made false statements to the staff of the SEC during its investigation into Conwell's activities. The criminal case against Conwell was prosecuted by the U.S. Attorney's office for the Northern District of Illinois In January of 2000, the SEC filed a civil complaint against Conwell and LFFG in connection with the scheme described above, alleging that Conwell and his firm had violated the antifraud provisions of the federal securities laws. On Jan. 31, 2000, the U.S. District Court for the Northern District of Illinois entered a final judgment order against Conwell and LFFG, pursuant to their consent, which enjoined them from further violations of the antifraud provisions of the federal securities laws, ordered them to disgorge more than $780,000 of ill-gotten gains, plus prejudgment interest and a civil penalty of $80,000. In addition, on July 3, 2000, the Commission entered an order in an administrative proceeding filed against Conwell that barred him from further association with any broker or dealer. [U.S. v. Thomas V. Conwell, USDC, NDIll., Case No. 03-CR334] (LR-18477) SEC SETTLES FRAUD CHARGES AGAINST TWO FORMER INSURANCE COMPANY EMPLOYEES The Commission announced today that on November 19 the U.S. District Court for the Southern District of New York entered final judgments against Anthony Dong-Yin Shen and Srinivas Anumolu, former employees of New York Life Insurance Company, Inc. (New York Life). The Commission had charged Shen and Anumolu with defrauding New York Life by accepting commission kickbacks and gratuities from registered representatives at several broker-dealers in exchange for directing securities trades on behalf of New York Life to those broker-dealers, sometimes at prices favorable to the broker-dealers and disadvantageous to New York Life. The judgments permanently restrain and enjoin Shen and Anumolu from violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which are general antifraud provisions of the federal securities laws. The judgment against Shen orders him to pay $278,000 in disgorgement, of which $40,000 is deemed satisfied by his payment of restitution in a parallel criminal conviction, and the remainder is waived based on his sworn financial representations. The judgment against Anumolu orders him to pay $205,500 in disgorgement, which is deemed satisfied by his prior settlement payment to New York Life in excess of that amount. Shen and Anumolu had pleaded guilty to criminal charges arising from their fraud. The criminal court considered Shen's substantial cooperation during the investigation, and on April 10, 2003, ordered him to pay criminal restitution in the amount of $136,394 jointly and severally with another defendant, serve three years of probation, and perform community service. On Jan. 8, 2003, the court sentenced Anumolu to serve two years of imprisonment and waived restitution in view of Anumolu's settlement payment to New York Life. The Commission also had charged that three registered representatives at three brokerdealers gave kickbacks or gratuities to Shen, Anumolu, or both of them, in order to obtain a flow of New York Life securities trades and favorable prices. The SEC's civil action against those three registered representatives continues. Two of the three were charged also with criminal securities fraud by the United States Attorney's Office for the Southern District of New York. They pleaded guilty and are now serving terms of imprisonment. [SEC v. Anthony Dong-Yin Shen, Srinivas Anumolu, Ronald W. Pinto, Deborah J. Breckenridge, and Dominick J. Savino, 01 Civ. 2438 (GBD) SDNY] (LR18478) -------------------------------INVESTMENT COMPANY ACT RELEASES -------------------------------JOHN HANCOCK BANK AND THRIFT OPPORTUNITY FUND A notice has been issued giving interested persons until Dec. 15, 2003, to request a hearing on an application filed by John Hancock Bank and Thrift Opportunity Fund for an order under Section 6(c) of the Investment Company Act for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit the applicant to make periodic distributions of long-term capital gains, as often as monthly, on its outstanding common stock so long as it maintains in effect a distribution policy calling for regular periodic distributions of a minimum fixed percentage of net asset value or a fixed dollar amount each taxable year. (Rel. IC-26258 – November 20) DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT For the month of November, 2003, a notice has been issued giving interested persons until Dec. 16, 2003, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: The First Philippine Fund Inc. [File No. 811-5902] Morgan Stanley Strategic Adviser Fund Inc. [File No. 811-8303] Aon Funds [File No. 811-6422] Venus Series Trust [File No. 811-9717] SmithGraham Institutional Funds [File No. 811-21112] Credit Suisse Investment Grade Bond Fund, Inc. [File No. 811-5600] St. Clair Funds, Inc. [File No. 811-4038] The Munder Funds Trust [File No. 811-5899] Credit Suisse Institutional International Fund, Inc. [File No. 8118933] Credit Suisse Global Health Sciences Fund, Inc. [File No. 811-7901] Credit Suisse Global Technology Fund, Inc. [File No. 811-8935] Oppenheimer Concentrated Growth Fund [File No. 811-10047] (Rel. IC-26259 - November 21) HENNION & WALSH, INC., ET AL. A notice has been issued giving interested persons until Dec. 16, 2003, to request a hearing on an application filed by Hennion & Walsh, Inc., et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Section 12(d)(3) of the Act. The order would permit certain series of unit investment trusts to invest up to 10.5%, 14.5% or 34.5% of their respective total assets in securities of issuers that derived more than 15% of their gross revenues in their most recent fiscal year from securities related activities. (Rel. IC-26260 – November 21) -----------------------------SELF-REGULATORY ORGANIZATIONS -----------------------------IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2003-61) filed by the Pacific 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 November 24. (Rel. 3448806) A proposed rule change filed by the New York Stock Exchange to extend the 30-day free trial period for Broker Volume (SR-NYSE-2003-35) 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 November 24. (Rel. 34-48808) A proposed rule change (SR-ISE-2003-25), and Amendment No. 1 thereto, filed by the International Stock Exchange to amend ISE Rules 713 and 715 to add definitions for allor-none orders, stop orders and stop limit orders, has become immediately 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 November 24. (Rel. 34-48811) A proposed rule change (SR-NASD-2003-160) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., regarding reporting of transactions conducted through electronic communications networks to the automated confirmation transaction service 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 November 24. (Rel. 34-48812) A proposed rule change (SR-Amex-2003-96) filed by the American Stock Exchange to revise its registration fees 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 November 24. PROPOSED RULE CHANGES (Rel. 34-48814) The Chicago Board of Options Exchange filed a proposed rule change (SR-CBOE-200340) relating to options on certain CBOE volatility indexes. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48807) The American Stock Exchange filed a proposed rule change (SR-Amex2003-21), and Amendment Nos. 1, 2, and 3 thereto, relating to at-the-close orders and auxiliary opening procedures. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48813) The Chicago Board Options Exchange filed a proposed rule change (SRCBOE-2003-33), and Amendment No. 1 thereto, relating to non-member market maker transaction fees. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48815) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Phlx-2003-10) filed by the Philadelphia Stock Exchange to permit primary specialists to trade away from the Phlx floor in limited circumstances. Publication of the proposal is expected in the Federal Register during the week of November 24. (Rel. 34-48816) ----------------------------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 email box address: . In most cases, this information is also available on the Commission's website: . S-8 85706, 21) (BR. 05) S-8 KLEENAIR SYSTEMS INC, 1711 LANGLEY AVENUE, IRVINE, CA, 92614, 949-955-3492 - 1,250,000 ($250,000.00) Equity, (File 333-110642 Nov. 21) (BR. 36) ARIZONA AIRCRAFT SPARES INC, 3431 E HEMISPHERE LOOP, TUCSON, AZ, 5208060666 - 0 ($3,500,000.00) Equity, (File 333-110641 - Nov. S-8 EMULEX CORP /DE/, 3535 HARBOR BLVD, COSTA MESA, CA, 92626, 7146625600 0 ($24,031,355.00) Equity, (File 333-110643 - Nov. 21) (BR. 03) S-11 NY, Nov. 21) (BR. 08) S-8 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 1,000,000 ($2,930,000.00) Equity, (File 333-110646 - Nov. 21) (BR. 01) S-8 RINKER GROUP LTD, 0 ($129,975,000.00) Equity, (File 333-110647 Nov. 21) (BR. 06) CAPITAL LEASE FUNDING INC, 110 MAIDEN LANE, 36TH FLOOR, NEW YORK, 10005, 2122176300 - 0 ($230,000,000.00) Equity, (File 333-110644 S-8 RINKER GROUP LTD, 0 ($8,665,000.00) Equity, (File 333-110648 Nov. 21) (BR. 06) S-8 8525, 21) (BR. 36) S-8 TEGAL CORP /DE/, 2201 S MCDOWELL BLVD, PO BOX 6020, PETALUMA, CA, 94955, 7077635600 - 4,500,000 ($6,705,000.00) Equity, (File 333-110650 - Nov. 21) (BR. 36) PALOMAR ENTERPRISES INC, 6196922590 130,000,000 ($1,170,000.00) Other, (File 333-110651 - Nov. 21) RESPIRONICS INC, 1010 MURRY RIDGE LANE, MURRYSVILLE, PA, 156687243875200 - 0 ($80,461,640.00) Equity, (File 333-110649 - Nov. S-8 (BR. 05) S-8 27870, - ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 2525379222 - 300,000,000 ($1,500,000.00) Equity, (File 333-110652 Nov. 21) (BR. 08) S-8 02) S-8 CO, ACETO CORP, ONE HOLLOW LANE, LAKE SUCCESS, NY, 11042, 5166276000 500,000 ($8,850,000.00) Equity, (File 333-110653 - Nov. 21) (BR. OPTIKA INC, 7450 CAMPUS DR 2ND FLOOR, STE 200, COLORADO SPRINGS, 80920, 7195489800 - 2,300,000 ($8,863,110.00) Equity, (File 333-110654 - Nov. 21) (BR. 03) S-2 HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW ST, P O BOX 2999, SIMSBURY, CT, 06089, 8608435445 - 0 ($1,800,000,000.00) Other, (File 333110655 Nov. 21) (BR. 20) S-8 LAFARGE NORTH AMERICA INC, 12950 WORLDGATE DR. SUITE 500, HERNDON, VA, 20170, 7034803600 - 0 ($242,385,000.00) Equity, (File 333-110656 Nov. 21) (BR. 06) S-8 S-3 IDT CORP, 520 BROAD ST, NEWARK, NJ, 07102, 973 438 1000 0 ($7,750,000.00) Equity, (File 333-110657 - Nov. 21) (BR. 37) E LOAN INC, 6230 STONERIDGE MALL ROAD, PLEASANTON, CA, 94588, 925 241 2400 - 378,549 ($1,196,214.84) Equity, (File 333-110658 Nov. 21) (BR. 07) ANZA INNOVATIONS, 24843 DEL PRADO, STE 318, DANA POINT, CA, 9484877295 - 1,500,000 ($225,000.00) Debt Convertible into Equity, (File 333-110659 - Nov. 21) (BR. 05) S-8 USURF AMERICA INC, 2259227744 - 12,000,000 ($2,040,000.00) Equity, (File 333-110660 - Nov. 21) (BR. 03) S-8 Equity, (File 333-110661 - Nov. 21) (BR. 05) S-8 FIRSTENERGY CORP, 3303845100 7,000,000 ($229,397,503.53) Debt Convertible into Equity, (File 333-110662 - Nov. 21) (BR. 02) WORLDWIDE RESTAURANT CONCEPTS INC, 6101 W CENTINELA AVE, STE 200, CULVER CITY, CA, 90230, 3105680135 - 1,200,000 ($3,876,000.00) S-8 92629, S-8 64105, AMC ENTERTAINMENT INC, 920 MAIN STREET, N/A, KANSAS CITY, MO, 8162214000 - 6,500,000 ($92,170,000.00) Other, (File 333-110663 Nov. 21) (BR. 05) S-8 STRATEX NETWORKS INC, 170 ROSE ORCHARD WAY, SAN JOSE, CA, 95134, 4089430777 - 0 ($673,798.05) Equity, (File 333-110664 - Nov. 21) (BR. 37) AKTIENGESELLSCHAFT BERU, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-110665 - Nov. 21) (BR. ) F-6 S-8 HILB ROGAL & HAMILTON CO /VA/, THE HILB, ROGAL AND HAMILTON BUILDING, 4951 LAKE BROOK DRIVE, SUITE 500, GLEN ALLEN, VA, 23060, 8047476500 2,000,000 ($59,600,000.00) Equity, (File 333-110666 - Nov. 21) (BR. 01) S-8 IVOICE COM INC /DE, 750 HIGHWAY 34, 210 SOUTH FOURTH AVE, MATAWAN, NJ, 07747, 7324417700 - 250,000,000 ($950,000.00) Equity, (File 333-110667 - Nov. 21) (BR. 03) S-4 73118, CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 4058488000 - 0 ($546,875,000.00) Non-Convertible Debt, (File 333-110668 - Nov. 21) (BR. 04) S-3 AMLI RESIDENTIAL PROPERTIES TRUST, 125 S WACKER DR, STE 3100, CHICAGO, IL, 60606, 3124431477 300,000,000 ($23,250.00) Unallocated (Universal) Shelf, (File 333-110669 - Nov. 21) (BR. 08) S-3 6204, Nov. 21) (BR. 36) S-8 60515, SERVICEMASTER CO, 3250 LACEY ROAD, SUITE 600, DOWNERS GROVE, IL, 6306632700 - 4,420,068 ($47,405,229.00) Other, (File 333-110672 Nov. 21) (BR. 08) S-3 Nov. 21) (BR. 08) S-3 DOUBLE EAGLE PETROLEUM CO, 777 OVERLAND TRAIL, PO BOX 766, CASPER, WY, ALEXANDERS INC, 888 SEVENTH AVENUE, *****, NEW YORK, NY, 10019, 212-894-7000 - 0 ($1,500,000,000.00) Other, (File 333-110673 FARO TECHNOLOGIES INC, 125 TECHNOLOGY PARK, LAKE MARY, FL, 327464073339911 - 1,930,000 ($46,513,000.00) Equity, (File 333-110670 82602, 3072379330 - 1,295,000 ($17,871,000.00) Equity, (File 333-110674 - Nov. 21) (BR. 04) S-3 39201, Debt, (File 333-110675 - Nov. 21) (BR. 02) S-8 02110, 21) (BR. 01) S-3 NEKTAR THERAPEUTICS, 150 INDUSTRIAL RD, SAN CARLOS, CA, 94070, 6506313100 - 0 ($59,279,000.00) Debt Convertible into Equity, (File 333-110677 - Nov. 21) (BR. 01) AVANEX CORP, 40919 ENCYCLOPEDIA CIRCLE, FREMONT, CA, 94538, 5108974172 - 0 ($35,536,325.49) Equity, (File 333-110678 - Nov. (BR. 36) S-8 SB-2 F-3 00000, (BR. 03) S-4 110683 Nov. 21) (BR. 03) S-8 HAYES LEMMERZ INTERNATIONAL INC, 15300 CENTENNIAL DRIVE, NORTHVILLE, MI, 48167, 7347375084 - 3,950,489 ($61,331,341.73) Equity, (File 333-110684 - Nov. 21) (BR. 05) S-8 1022, INFONET SERVICES CORP, 2160 E. GRAND AVE, EL SEGUNDO, CA, 902453103352600 - 2,000,000 ($4,180,000.00) Equity, (File 333-110685 Nov. 21) (BR. 08) S-8 (BR. 06) NS GROUP INC, 530 WEST NINTH ST, NEWPORT, KY, 41071, 6062926809 4,100,000 ($29,479,000.00) Equity, (File 333-110687 - Nov. 21) SILICON GRAPHICS INC, 1600 AMPHITHEATRE PKWY, MOUNTAIN VIEW, CA, 94043-1351, 6509601980 - 0 ($226,411,538.00) Other, (File 333ECHELON CORP, 6508557400 - 2,086,277 ($24,837,127.69) Equity, (File 333-110679 - Nov. 21) (BR. 03) GLOBAL WIDE PUBLICATION LTD, 1,800,000 ($270,000.00) Equity, (File 333-110680 - Nov. 21) (BR. ) RETALIX LTD, 33 BEN GURION STREET, HERZILA 46100 ISRAEL, L3, 4,100,000 ($83,435,000.00) Other, (File 333-110681 - Nov. 21) SAFETY INSURANCE GROUP INC, 20 CUSTOM HOUSE STREET, BOSTON, MA, 617-951-0600 - 0 ($21,125,000.00) Equity, (File 333-110676 - Nov. ENTERGY MISSISSIPPI INC, 308 EAST PEARL STREET, JACKSON, MS, 601-368-5000 - 400,000,000 ($400,000,000.00) Non-Convertible S-3 21) S-8 BEACH, INTERGOLD CORP, 5000 BIRCH STREET WEST TOWER STE 4000, NEWPORT CA, 92660, 9494763611 - 1,000,000 ($500,000.00) Equity, (File 333-110688 - Nov. 21) (BR. 04) S-8 1022, - INFONET SERVICES CORP, 2160 E. GRAND AVE, EL SEGUNDO, CA, 902453103352600 - 32,500,000 ($67,925,000.00) Equity, (File 333-110689 Nov. 21) (BR. 08) S-8 - NANNACO INC, 2935 THOUSAND OAKS, SUITE 6, SAN ANTONIO, TX, 78247, 2105453570 - 65,500,000 ($1,637,500.00) Equity, (File 333-110691 Nov. 21) (BR. 06) F-3 21) VOTORANTIM PULP & PAPER INC, ALAMEDA SANTOS 1357-8 ANDAR, 01419-908 SAO PAULO SP, BRAZIL 55-11-269-400, D5, 00000, 5,172,398,201 ($259,602,656.00) Equity, (File 333-110692 - Nov. (BR. 04) S-1 21) CARDINAL FINANCIAL CORP, 10641 LEE HIGHWAY, FAIRFAX, VA, 22030, 7039349200 - 0 ($43,620,938.00) Equity, (File 333-110693 - Nov. (BR. 07) S-4 MI, MONARCH COMMUNITY BANCORP INC, 375 N WILLOWBROOK RD, COLDWATER, 49036, 5172784566 - 0 ($8,574,720.00) Equity, (File 333-110694 Nov. 21) (BR. 07) S-8 80021, 21) MYOGEN INC, 7575 WEST 103RD AVENUE STE 102, WESTMINSTER, CO, 3034106666 - 0 ($18,655,527.04) Equity, (File 333-110695 - Nov. (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item Item Item Item Item Item Item Item Item 1. 2. 3. 4. 5. 6. 7. 8. 9. Changes in Control of Registrant. Acquisition or Disposition of Assets. Bankruptcy or Receivership. Changes in Registrant's Certifying Accountant. Other Materially Important Events. Resignations of Registrant's Directors. Financial Statements and Exhibits. Change in Fiscal Year. 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 ----------------------------------------------------------------------------------------------AAMES FINANCIAL CORP/DE DE X X 11/20/03 ABOVENET INC 11/20/03 ACCREDITED HOME LENDERS INC 11/21/03 ACE SECURITIES CORP 11/12/03 ACE SECURITIES CORP HM EQUITY LN TRUS 10/31/03 ADVANCED MARKETING SERVICES INC 11/21/03 ADVOCAT INC 11/21/03 AES CORPORATION 11/21/03 AESP INC 11/14/03 AFFILIATED COMPUTER SERVICES INC 11/20/03 DE DE DE DE DE DE DE FL DE X X X X X X X X X X X X X AG SERVICES OF AMERICA INC 11/21/03 ALLEGIANT BANCORP INC/MO/ 11/20/03 ALLERGAN INC 11/10/03 ALLETE INC 11/20/03 ALLIS CHALMERS CORP 11/20/03 ALLOS THERAPEUTICS INC 11/20/03 AMB PROPERTY CORP 11/18/03 AMB PROPERTY LP 11/18/03 AMERICAN ENTERPRISE MVA ACCOUNT 11/15/03 AMERICAN EXPRESS CERTIFICATE CO 11/15/03 AMERICAN EXPRESS CO 11/21/03 AMERICAN FINANCIAL GROUP INC 11/20/03 AMERICAN NATIONAL BANKSHARES INC 11/21/03 AMERICAN OIL & GAS INC 11/21/03 AMERICAN REAL ESTATE PARTNERS L P 11/19/03 AMERICANA PUBLISHING INC 11/20/03 AMLI RESIDENTIAL PROPERTIES TRUST 08/14/03 AMPEX CORP /DE/ 11/19/03 IA MO DE MN DE DE MD DE X X X X X X X X X X X X X X X X DE NY OH VA NV DE CO MD DE X X X X X X X X X X X X X X X ANGLOTAJIK MINERALS INC 10/23/03 AMEND APPLIED MOLECULAR EVOLUTION INC 11/21/03 APPLIED MOLECULAR EVOLUTION INC 11/21/03 ARC WIRELESS SOLUTIONS INC 11/14/03 ASSET BACKED SEC CORP HOME EQU LOAN T 11/15/03 ASSET BACKED SECURITIES CORP 11/21/03 ASSET-BACKED PASS-THROUGH CERTIFICATE 11/20/03 ASYST TECHNOLOGIES INC /CA/ 11/20/03 ATLANTIC COAST AIRLINES HOLDINGS INC 11/19/03 ATP OIL & GAS CORP 11/19/03 ATX COMMUNICATIONS INC 11/19/03 AVANEX CORP 11/21/03 BANC OF AMERICA FUNDING CORP MORT PAS 11/20/03 BANC OF AMERICA MORTGAGE SECURITIES I 11/21/03 BARNES & NOBLE INC 11/20/03 BEAR STEARN COMMERCIAL MORT PASS THRO 11/21/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU 11/21/03 BEAR STEARNS COMPANIES INC 11/21/03 NV DE DE UT DE DE X CA DE TX DE DE DE DE DE DE DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X BENCHMARK ELECTRONICS INC 11/13/03 BIG LOTS INC 11/21/03 BIOGEN IDEC INC 11/17/03 BIOMARIN PHARMACEUTICAL INC 11/20/03 BIOMASSE INTERNATIONAL INC 11/21/03 BIOMODA INC/NM 11/12/03 AMEND BLUEFLY INC 11/21/03 BOMBAY COMPANY INC 11/19/03 BOMBAY COMPANY INC 11/20/03 BOOKS A MILLION INC 11/01/03 BROWN FORMAN CORP 11/21/03 BUFFALO WILD WINGS INC 11/20/03 CARACO PHARMACEUTICAL LABORATORIES LT 11/19/03 CARCO AUTO LOAN MASTER TRUST 11/17/03 CARDIOGENESIS CORP /CA 11/21/03 CENTRAL BANCORP INC /MA/ 11/21/03 CENTRAL VALLEY COMMUNITY BANCORP 11/19/03 CHEFS INTERNATIONAL INC 11/21/03 TX OH DE DE FL X DE DE DE DE DE MN MI DE CA MA CA DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X CHYRON CORP 11/06/03 CINCINNATI BELL INC 11/21/03 CIT EQUIPMENT COLLATERAL 2002-VT1 11/18/03 CIT EQUIPMENT COLLATERAL 2003-EF1 11/18/03 CIT EQUIPMENT COLLATERAL 2003-VT1 11/18/03 CIT HOME EQUITY LOAN TRUST 2003-1 10/31/03 CITIZENS FINANCIAL CORP /KY/ 11/14/03 COMDISCO HOLDING CO INC 11/20/03 COMMERCIAL MORTGAGE PASS THROUGH CERT 11/15/03 COMMUNICATIONS & POWER INDUSTRIES INC 11/20/03 CONCENTRA OPERATING CORP 11/20/03 CONCENTRAX INC 10/09/03 CONCEPTUS INC 11/17/03 CONSOLIDATED EDISON INC 11/21/03 CONSOLIDATED MEDICAL MANAGEMENT INC 11/21/03 CONSTAR INTERNATIONAL INC 11/14/03 CORRPRO COMPANIES INC /OH/ 11/17/03 CORVU CORP 11/20/03 NY OH DE DE DE DE KY DE DE DE NV NV DE NY MT DE OH MN X X X X X X X X X X X X X X X X X X X X X X X X X X X CRDENTIA CORP 11/17/03 CREDIT SUISSE FIRST BOSTON MOR SEC CO 11/15/03 CREDIT SUISSE FIRST BOSTON MORTGAGE A 11/21/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S 11/21/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S 11/21/03 CROWN RESOURCES CORP 11/20/03 CSFB MORT SEC CORP COM MORT PAS THR C 11/15/03 DAIMLERCHRYSLER AUTO TRUST 2003-A 11/10/03 DAIMLERCHRYSLER MASTER OWNER TRUST 11/17/03 DAIMLERCHRYSLER SERVICES NORTH AMERIC 11/21/03 DALEEN TECHNOLOGIES INC 11/19/03 DANKA BUSINESS SYSTEMS PLC 11/19/03 AMEND DEL LABORATORIES INC 11/20/03 DIGITAL GENERATION SYSTEMS INC 11/18/03 DIGITAL GENERATION SYSTEMS INC 11/19/03 DIGITAS INC 11/20/03 DILLARDS INC 11/20/03 DIRECTV HOLDINGS LLC 11/21/03 DE DE DE DE DE WA DE MI X X X X X X X X X X X X X X X X MI DE X DE DE DE DE DE DE X X X X X X X X X X X X X X X DOUBLE EAGLE PETROLEUM CO 11/18/03 DYNAMICS RESEARCH CORP 11/13/03 E DIGITAL CORP 11/19/03 EFUNDS CORP 11/14/03 ELECTRONICS BOUTIQUE HOLDINGS CORP 11/20/03 ENCORE MEDICAL CORP 11/20/03 ENERGY WEST INC 11/20/03 ENTRUST FINANCIAL SERVICES INC 11/21/03 FAIRPOINT COMMUNICATIONS INC 11/21/03 FANSTEEL INC 11/20/03 FEDERAL NATIONAL MORTGAGE ASSOCIATION 11/21/03 FEMINIQUE CORP 07/27/03 FERRELLGAS PARTNERS L P 11/21/03 FIDELITY BANCORP INC 11/19/03 FIRST FEDERAL BANCORP INC/OH/ 11/20/03 FIRST FINANCIAL CORP /IN/ 11/20/03 FIRST HORIZON ASSET SECURITIES INC 11/20/03 FIRST HORIZON ASSET SECURITIES INC 11/20/03 MD MA DE DE DE DE MT CO DE DE X X X X X X X X X X X X X X X X X X X X DE DE PA OH IN DE DE X X X X X X X X X X X X X X FIRST UNION COMMERCIAL MORTGAGE PASS 11/01/03 FIRST UNION NATIONAL BANK COM MORT PA 11/21/03 FIRSTENERGY CORP 11/12/03 FIRSTFED FINANCIAL CORP 10/31/03 FLAG TELECOM GROUP LTD 11/21/03 FLORIDA POWER CORP / 11/18/03 FRANKLIN COVEY CO 11/21/03 FRANKLIN RECEIVABLES LLC 11/21/03 FRANKLIN RECEIVABLES LLC 11/21/03 FRONT RANGE CAPITAL CORP 11/17/03 GARDNER DENVER INC 11/13/03 AMEND GATEWAY ENERGY CORP/NE 11/19/03 GE COMMERCIAL MORT CORP COM MORT PS T 11/19/03 GEN PROBE INC 11/20/03 GENERAL MOTORS CORP 11/21/03 GEODYNE ENERGY INCOME LIMITED PARTNER 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 NC NC OH DE X FL UT DE DE DE DE DE DE DE DE OK OK OK X X X X X X X X X X X X X X X X X X X X X X X X X X X GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GEODYNE ENERGY INCOME LTD PARTNERSHIP 11/21/03 GLOBAL CROSSING LTD 11/07/03 GMAC COMMERICAL MORT SECS INC SERS 20 11/10/03 GOLFGEAR INTERNATIONAL INC 11/21/03 GREEN MOUNTAIN COFFEE ROASTERS INC 11/20/03 GREENE COUNTY BANCSHARES INC 11/21/03 GS MORTGAGE SEC CORP II COMM MORT PAS 10/10/03 HAMPSHIRE GROUP LTD 11/21/03 HAUSER INC 10/14/03 HF FINANCIAL CORP 11/19/03 OK OK OK OK OK OK OK OK OK X X X X X X X X X X X X X X X X X X X X X DE NV DE TN DE DE DE DE X X X X X X X X X X HOUSEHOLD AUTO RECEIVABLES CORP 11/20/03 HUGHES ELECTRONICS CORP 11/21/03 IDS LIFE INSURANCE CO 11/15/03 IMAX CORP 11/21/03 IMPSAT FIBER NETWORKS INC 11/20/03 INDIGINET INC/FL 11/18/03 INERGY L P 11/19/03 INFORMATION ANALYSIS INC 11/18/03 INGLES MARKETS INC 11/19/03 INSITE VISION INC 10/21/03 AMEND INTEGRATED ALARM SERVICES GROUP INC 11/21/03 INTEGRATED SECURITY SYSTEMS INC 09/05/03 AMEND INTEGRITY MEDIA INC 11/20/03 INTERDIGITAL COMMUNICATIONS CORP 11/21/03 INTERGOLD CORP 11/20/03 INTERMUNE INC 11/21/03 INTERNATIONAL REMOTE IMAGING SYSTEMS 11/20/03 INTERPUBLIC GROUP OF COMPANIES INC 11/21/03 NV DE MN A6 DE FL DE VA NC DE X X X X X X X X X X X X X X X X X X X X X DE DE PA NV DE DE DE X X X X X X X X X X X X X JOSTENS INC 11/21/03 JP MORGAN CHASE COM MORT SEC CORP PAS 11/18/03 K SWISS INC 11/21/03 KCS ENERGY INC 11/20/03 KELLER MANUFACTURING CO 11/20/03 KELLER MANUFACTURING CO 11/21/03 KEWAUNEE SCIENTIFIC CORP /DE/ 11/21/03 KINDRED HEALTHCARE INC 11/20/03 KOGER EQUITY INC 11/21/03 KRISPY KREME DOUGHNUTS INC 11/21/03 KULICKE & SOFFA INDUSTRIES INC 11/20/03 LANDAMERICA FINANCIAL GROUP INC 11/20/03 LANDMARK BANCORP INC 11/21/03 LBI MEDIA INC 11/14/03 LEOPARD CAPITAL INC 11/20/03 LNB BANCORP INC 11/21/03 LOEWS CORP 11/21/03 LONG BEACH ACCEPTANCE CORP 11/19/03 MN DE DE DE IN IN DE DE FL NC PA VA DE CA NV OH DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X LONG BEACH ACCEPTANCE CORP 11/19/03 LYNCH INTERACTIVE CORP 11/14/03 MAGELLAN HEALTH SERVICES INC 11/21/03 MAGELLAN HEALTH SERVICES INC 11/20/03 MALAN REALTY INVESTORS INC 11/17/03 MALAN REALTY INVESTORS INC 11/19/03 MANITOWOC CO INC 11/21/03 MATTEL INC /DE/ 11/21/03 MAXIMUS INC 11/21/03 MAYTAG CORP 11/21/03 MB SOFTWARE CORP 11/13/03 MEDICIS PHARMACEUTICAL CORP 11/21/03 MEDICSIGHT INC 11/18/03 MEDIFAST INC 11/21/03 MERIDIAN BIOSCIENCE INC 11/18/03 MERRILL LYNCH MORTGAGE INVESTORS INC 11/19/03 MERRILL LYNCH MORTGAGE INVESTORS INC 11/20/03 METLIFE INC 11/21/03 DE DE DE MI MI WI DE VA DE CO DE DE DE OH DE DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X METRIS RECEIVABLES INC 10/31/03 AMEND METROCALL HOLDINGS INC 11/18/03 MORGAN STANLEY DEAN WITTER CAPITAL I 11/15/03 MORGAN STANLEY DEAN WITTER CAPITAL TR 11/01/03 NATIONAL CITY AUTO RECEIVABLES TRUST 11/17/03 NATIONAL CITY CREDIT CARD MASTER TRUS 11/17/03 NEOPROBE CORP 11/13/03 NETMEASURE TECHNOLOGY INC 08/21/03 AMEND NETWORKS ASSOCIATES INC/ 11/21/03 NEW WORLD RESTAURANT GROUP INC 11/14/03 NEW YORK HEALTH CARE INC 11/20/03 NEXTEL PARTNERS INC 11/20/03 NICOR INC 11/21/03 NN INC 11/21/03 NORTHERN ILLINOIS GAS CO /IL/ /NEW/ 11/21/03 O A K FINANCIAL CORP 11/21/03 OCCAM NETWORKS INC/DE 11/19/03 OMNI MEDICAL HOLDINGS INC 09/05/03 AMEND DE DE DE DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X X DE NV DE DE NY DE IL DE IL MI DE UT X X OMNOVA SOLUTIONS INC 11/21/03 ON COMMAND CORP 11/20/03 ONE LIBERTY PROPERTIES INC 11/19/03 ONEOK INC /NEW/ 11/21/03 OPTICAL CONCEPTS OF AMERICA INC 11/21/03 PACIFIC ENERGY PARTNERS LP 11/20/03 PENNICHUCK CORP 11/21/03 PENWEST PHARMACEUTICALS CO 11/14/03 PEPSICO INC 11/21/03 PHILIP SERVICES CORP/DE 11/21/03 PHOENIX COMPANIES INC/DE 11/20/03 PILGRIMS PRIDE CORP 11/20/03 PLAINS RESOURCES INC 11/20/03 PLANET POLYMER TECHNOLOGIES INC 11/14/03 PNM RESOURCES INC 11/21/03 AMEND POINT THERAPEUTICS INC 11/20/03 POORE BROTHERS INC 11/17/03 POTOMAC ELECTRIC POWER CO 11/21/03 OH DE MD OK X X X X X X X X X X X X X NH WA NC DE DE DE DE CA NM DE DE VA X X X X X X X X X X X X X X X X X X X X POWERHOUSE TECHNOLOGIES GROUP INC 11/19/03 PROSOFTTRAINING COM 11/19/03 PRUDENTIAL SECURITIES SEC FIN CORP CO 11/11/03 RAYONIER INC 11/21/03 RECKSON ASSOCIATES REALTY CORP 11/21/03 RELIANT RESOURCES INC 11/21/03 RENAISSANCE MORTGAGE ACCEPTANCE CORP 11/21/03 REPUBLIC BANCORP INC 11/20/03 RES CARE INC /KY/ 11/21/03 RESIDENTIAL ACCREDIT LOANS INC 06/25/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I 11/21/03 RIVIERA HOLDINGS CORP 11/19/03 ROCKWELL COLLINS INC 11/20/03 ROGERS CORP 11/15/03 AMEND SAFENET INC 11/17/03 SBS TECHNOLOGIES INC 11/14/03 SCB COMPUTER TECHNOLOGY INC 11/21/03 SCHERING PLOUGH CORP 11/20/03 DE NV DE NC MD DE DE MI KY DE DE NV DE MA DE NM TN NJ X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X SCHERING PLOUGH CORP 11/18/03 SCOTIA PACIFIC CO LLC 11/20/03 SEQUOIA RESIDENTIAL FUNDING INC 11/21/03 SERENA SOFTWARE INC 11/20/03 SHARPER IMAGE CORP 11/20/03 SHAW GROUP INC 11/21/03 SONIC AUTOMOTIVE INC 11/21/03 SOUTH JERSEY INDUSTRIES INC 11/21/03 SOUTH JERSEY INDUSTRIES INC 11/21/03 SOUTHERN STATES POWER CO INC 11/14/03 AMEND SOUTHWESTERN WATER EXPLORATION CO 10/21/03 SPORT SUPPLY GROUP INC 11/20/03 SSP SOLUTIONS INC 11/17/03 STAGE STORES INC 11/21/03 STERLING BANCORP 11/20/03 STRUCTURED ASSET MORT 11/19/03 INV INC MORT P NJ DE X DE DE LA DE NJ NJ CA CO DE DE NV NY DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X STRUCTURED ASSET MORT INV INC MORT PS 11/21/03 STRUCTURED ASSET MORTGAGE INVEST MORT 11/19/03 STRUCTURED ASSET MORTGAGE INVEST TRUS 11/19/03 STRUCTURED ASSET SEC CORP II COM MORT 11/01/03 SUNSHINE PCS CORP 11/14/03 SUPERIOR GALLERIES INC 11/18/03 SUTTER HOLDING CO INC 11/18/03 TARRANT APPAREL GROUP 11/12/03 TERAYON COMMUNICATION SYSTEMS 11/21/03 TEXAS REGIONAL BANCSHARES INC 11/19/03 TORCH ENERGY ROYALTY TRUST 11/21/03 TRIBUNE CO 11/21/03 TRUE HEALTH INC 07/30/03 AMEND UNIT CORP 11/21/03 UNIZAN FINANCIAL CORP 11/21/03 URBANFIND INC 11/19/03 VALENTIS INC 11/14/03 VANGUARD AIRLINES INC \DE\ 10/31/03 VCAMPUS CORP 11/20/03 AMEND VENTAS INC 11/20/03 NY X X X DE DE DE CA DE TX DE DE UT DE OH DE DE DE DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X VENTAS INC 11/19/03 VENUS EXPLORATION INC 11/20/03 VIROPRO INC 11/21/03 WACHOVIA COMMERCIAL MORT PASS THRU CE 11/15/03 WACHOVIA COMMERCIAL MORT PASS THRU CE 11/15/03 WACHOVIA COMMERCIAL MORT SEC INC COM 11/15/03 WALT DISNEY CO/ 11/20/03 WASHINGTON MUTUAL MORTGAGE SECURITIES 11/21/03 WASHINGTON MUTUAL MORTGAGE SECURITIES 11/21/03 WELLS FARGO ASSET SECURITIES CORP 11/21/03 WELLS FARGO ASSET SECURITIES CORP 11/21/03 WELLS FARGO ASSET SECURITIES CORP 11/21/03 WESTAR ENERGY INC /KS 11/21/03 WET SEAL INC 11/20/03 WHISTLER INVESTMENTS INC /NV/ 10/21/03 WHITEHALL JEWELLERS INC 11/21/03 WILLIAMS COMPANIES INC 11/20/03 WILLIAMS COMPANIES INC 11/21/03 DE DE NV NC NC NC DE DE DE DE DE DE KS DE NV DE DE DE X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X X WOODHEAD INDUSTRIES INC 11/14/03 YAHOO INC 11/21/03 YELLOW CORP 11/20/03 YUM BRANDS INC 11/21/03 DE DE DE NC X X X X X X X X