SEC NEWS DIGEST Issue 2003-10 January 15, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. OPEN MEETING - WEDNESDAY, JANUARY 22, 2003 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, Jan, 22, will be: 1. The Commission will consider whether to adopt new Rules 30a-3 and 30d-1 and amendments to Rules 8b-15, 30a-1, 30a-2, 30b1-1, 30b1-3, and 30b2-1 under the Investment Company Act of 1940, amendments to Rules 12b-25, 13a-15, and 15d-15 and Form 12b-25 under the Securities Exchange Act of 1934, amendments to Form N-SAR under the Exchange Act and the Investment Company Act, and new Form N-CSR under the Exchange Act and Investment Company Act. These new rules and form, and rule and form amendments, would require registered management investment companies to file certified shareholder reports on new Form N-CSR with the Commission, and would designate these certified shareholder reports as reports that are required under Sections 13(a) and 15(d) of the Exchange Act and Section 30 of the Investment Company Act. A registered management investment company's principal executive and financial officers would be required to certify the information contained in its reports on Form N-CSR in the manner specified by Section 302 of the Sarbanes- Oxley Act of 2002. The amendments would also remove the requirement that Form N-SAR be certified by a registered investment company's principal executive and financial officers, and would provide that, for registered management investment companies, Form N-SAR would be filed under the Investment Company Act only. In addition, the amendments would implement Sections 406 and 407 of the Sarbanes-Oxley Act by requiring a registered management investment company to provide disclosure on Form N-CSR or Form N- SAR, as applicable, regarding whether the investment company has adopted a code of ethics for the company's principal executive officer and senior financial officers, and whether the investment company has at least one "audit committee expert" serving on its audit committee, and if so, the name of the expert and whether the expert is independent of management. 2. The Commission will consider adopting rules to establish standards of professional conduct for attorneys who appear and practice before the Commission in any way in the representation of issuers. As proposed, the rules would require an attorney to report evidence of a material violation of securities laws, a material breach of fiduciary duty, or similar material violation by the issuer or by any officer, director, employee, or agent of the issuer to the issuer's chief legal officer or the chief executive officer of the company (or the equivalents); if they do not respond appropriately to the evidence, the rule would require the attorney to report the evidence to the issuer's audit committee, another committee of independent directors, or the full board of directors; if the directors do not respond appropriately, the rule would require or permit the attorney to withdraw and notify the Commission of the withdrawal. 3. The Commission will consider whether to adopt amendments mandated by Section 401(a) of the Sarbanes-Oxley Act of 2002. The rules would require a public company to provide in its "Management's Discussion and Analysis" section of Commission filings: (1) a discussion of off-balance sheet arrangements; and (2) a table of payments under specified contractual obligations due in short- and long-term periods. 4. The Commission will consider adopting amendments to its existing requirements regarding auditor independence to enhance the independence of accountants that audit and review financial statements and prepare attestation reports filed with the Commission. As directed by Section 208(a) of the Sarbanes-Oxley Act of 2002, the Commission is considering adopting rules to: ú Revise its regulations related to the non-audit services that, if provided to an audit client, would impair an accounting firm's independence; ú Require that an issuer's audit committee pre-approve all audit and non-audit services provided to the issuer by the auditor of an issuer's financial statements; ú Prohibit certain audit partners on the audit engagement team from providing audit services to the issuer for more than five or seven consecutive years, depending on the partner's role in the audit engagement; ú Prohibit an accounting firm from auditing an issuer's financial statements if certain members of management of that issuer had been members of the accounting firm's audit engagement team within the one-year period preceding the commencement of audit procedures; ú Require that the auditor of an issuer's financial statements report certain matters to the issuer's audit committee, including "critical" accounting policies used by the issuer; and ú Require disclosures to investors of information related to the audit and non-audit services provided by, and fees paid by the issuer to, the auditor of the issuer's financial statements. In addition, under the rules to be considered by the Commission, an accountant would not be independent from an audit client if certain audit partners of the accounting firm, who are members of the engagement team, received compensation based on their selling any service to that client other than audit, review and attest services. 5. The Commission will consider whether to adopt amendments to implement section 802 of the Sarbanes-Oxley Act of 2002. The rule, if adopted, would specify that auditors should retain records relevant to the audits and reviews of financial statements filed with the Commission, including workpapers and other documents that form the basis of the audit or review and memoranda, correspondence, communications, other documents, and records (including electronic records), which are created, sent or received in connection with the audit or review and contain conclusions, opinions, analyses, or financial data related to the audit or review. 6. The Commission will consider whether to adopt amendments to its registration and reporting forms for registered management investment companies, as well as new Rule 30b1-4 and new Form N-PX under the Investment Company Act of 1940. These rules would require mutual funds and other registered management investment companies to disclose the policies and procedures that they use to determine how to vote proxies relating to portfolio securities. They would also require registered management investment companies to file with the Commission on an annual basis, and make available to shareholders, their proxy voting records. 7. The Commission will consider whether to adopt a new rule and amendments to its recordkeeping rules for registered investment advisers under the Investment Advisers Act. The new rule would require investment advisers to adopt proxy voting policies and procedures, describe the policies and procedures to clients and provide clients with copies on request, and disclose how clients can obtain information about how the adviser voted their proxies. The recordkeeping amendments would require advisers to keep certain records regarding client proxies. CLOSED MEETING - THURSDAY, JANUARY 23, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, Jan. 23, will be: Formal orders of investigation; Institution and settlement of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. RULES AND RELATED MATTERS TRANSACTIONS OF INVESTMENT COMPANIES WITH PORTFOLIO AND SUBADVISER AFFILIATES The Commission adopted new Rule 17a-10 and amendments to Rules 10f-3, 12d3-1, 17a-6, 17d-1, and 17e-1 under the Investment Company Act of 1940. The rule and amendments eliminate the need for investment companies, and their portfolio affiliates and subadvisers, to obtain individual exemptive relief from the Commission to enter into transactions and arrangements that are not likely to raise the concerns that the Act was intended to address. The amendments to Rules 17a-6 and 17d-1 expand the circumstances under which a fund may enter into principal transactions and joint arrangements with its portfolio affiliates, and the portfolio affiliates of affiliated funds. New Rule 17a-10 and the amendments to Rules 10f-3, 12d3-1, and 17e-1 permit investment companies to enter into a variety of transactions with subadvisers that are affiliated with the investment company, but are not in a position to influence the investment company's decision to enter into the transaction. The amendments will become effective Feb. 24, 2003. Investment companies seeking to rely on Rule 10f-3 will have until April 23, 2003, to comply with the amended rule. (Rel. IC- 25888) ENFORCEMENT PROCEEDINGS COMMISSION ENTERS ORDER AGAINST J. PATRICK KISOR BASED ON AN ORDER OF PERMANENT INJUNCTION AND CONSENT On Jan. 13, the Commission entered an order instituting administrative proceedings, making findings, and imposing remedial sanctions (Order) against J. Patrick Kisor (Kisor) of Cincinnati, Ohio. Kisor consented to the entry of the Order without admitting or denying the Commission's findings except as to prior related proceedings and the Commission's jurisdiction over him. The Order is based on Kisor's consent to the Order and on the injunction entered on Dec. 19, 2002 in the case of SEC v. Keith Mohn, et al., Case No. 02-74634, against Kisor and PDK International, Inc. Kisor, without admitting or denying the allegations made in the Commission's complaint, consented to the entry of an order permanently enjoining him and PDK International, Inc. from violating Sections 5(a), 5(c), 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933, Sections 10(b), 15(a) and 15(c) of the Securities Exchange Act and Rules 10b-5 and 15c1- 2 thereunder, and Section 206 of the Investment Advisers Act of 1940. In its complaint for the district court action, the Commission alleged that between April 1998 and August 2002, Kisor and others raised $34.7 million in a series of offerings. According to the complaint, Kisor made misrepresentations and omissions to investors, including that he had engaged in successful options trading and that investors' money would be used for options trading. The complaint also alleges that Kisor misappropriated or otherwise misused millions of dollars of investor funds that he raised. The complaint alleges Kisor acted as an investment adviser and unregistered broker-dealer. The Order bars Kisor from association with any broker, dealer or investment adviser. (Rels. 34-47173; IA-2100; File No. 3-11008) ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST JEAN LECLERCQ, FREDERICK SHAPIRO, AND KIP MARSIQUE On Jan. 14, the Commission instituted administrative proceedings pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Jean B. Leclercq (Leclercq), Frederick J. Shapiro (Shapiro), and Kip Marsique (Marsique) of Boca Raton, Coconut Creek and Fort Lauderdale, Florida, respectively, pursuant to Section 15(b) of the Securities Exchange Act of 1934. The proceedings have been instituted to determine whether remedial sanctions should be imposed against Leclercq, Shapiro, and Marsique based on allegations that judgments of permanent injunction and other relief by consent were entered against them, enjoining them from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Order Instituting Administrative Proceedings Pursuant to Section 15(b)of the Securities Exchange Act of 1934 alleges that during the period of October 2001 through May 2002, Leclercq, Shapiro, and Marsique were associated with Infinity Consulting Services, Inc., an unregistered broker-dealer. A hearing will be scheduled to determine whether the allegations are true and to afford Respondents an opportunity to establish any defenses thereto, and what, if any, remedial sanctions should be imposed against the Respondents. (Rel. 34-47183; File No. 3-11009) SEC CHARGES FORMER BROKER IN FRAUDULENT SECURITIES OFFERING On Jan. 15, the Commission charged a former broker with raising more than $500,000 through a fraudulent securities offering. In an administrative order (Order) filed today, the Commission charged that Kevin H. Goldstein falsely represented to investors that their funds would be used to capitalize an investment firm. Instead, Goldstein used the investors' funds to support his lavish lifestyle. Named in the Commission's Order were former broker Goldstein, 34, and his company, Jackwest Corporation (Jackwest). According to the Order, from at least August 1999 through June 2000, Goldstein raised approximately $516,000 through the sale of securities in Jackwest. The sales were made to a small group of Goldstein's former friends and neighbors as well as a former client of Goldstein's when he was last associated with a broker-dealer firm. In offering the Jackwest securities, Goldstein made various verbal and written representations to potential investors. Goldstein's principal verbal representation, according to the Order, was that the investors' funds would be used to capitalize and operate Jackwest's operations as an investment-banking firm. Goldstein also told certain investors that he had an outside source of annual income, amounting to $250,000, with which to support himself personally, and therefore he would not be taking a salary from Jackwest. The Division of Enforcement alleges that, in addition to these verbal representations, Goldstein provided certain investors with a business plan for Jackwest. The business plan falsely represented, among other things, that Jackwest was operational and growing quickly; that it was ready to train and graduate 100 or more brokers during its first year of operations; that it had a quickly growing client base of accredited investors; that it was able to achieve annual revenues in excess of $250 million after two years; that it had a current valuation of $5 million; and that it could be worth $100 million within two years, and $1 billion in two to four years. According to the Order, Goldstein's verbal and written representations were false, and were intended to, and did, induce the purchase and sale of Jackwest securities. Rather than using the investors' funds to capitalize and operate Jackwest, as he had represented to investors, the Division of Enforcement alleges that Goldstein diverted a substantial portion of their funds for personal use and to buy luxury personal items. The Order charges Goldstein with willfully violating and Jackwest with violating Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Goldstein and Jackwest an opportunity to dispute these allegations and to determine what sanctions if any are appropriate and in the public interest. (Rels. 33-8175; 34-47187; File No. 3-11010) COURT ISSUES PERMANENT INJUNCTION AGAINST FIRST CHOICE MANAGEMENT SERVICES AND ITS CEO, GARY VAN WAEYENBERGHE, AND ORDERS THE PAYMENT OF $31.3 MILLION IN DISGORGEMENT AND PREJUDGMENT INTEREST IN CONNECTION WITH FRAUDULENT OFFERING SCHEME The Commission today announced that on Jan. 8 the Honorable Robert L. Miller Jr., United States District Judge for the Northern District of Indiana, entered a Final Judgment (Final Judgment) as to Defendants First Choice Management Services, Inc. (First Choice) and Gary Van Waeyenberghe (Van Waeyenberghe) and an Order Liquidating First Choice Management Services, Inc. (Order of Liquidation). First Choice and Van Waeyenberghe consented to the entry of the Final Judgment and Order of Liquidation without admitting or denying the allegations in the Commission's complaint. The Final Judgment permanently enjoins First Choice and Van Waeyenberghe from future violations of Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Final Judgment also orders First Choice and Van Waeyenberghe jointly and severally to pay $31.3 million in disgorgement and prejudgment interest and imposes a $110,000 civil penalty on Van Waeyenberghe. The Order of Liquidation requires the court-appointed receiver for First Choice to liquidate First Choice's remaining assets in order to satisfy, at least in part, First Choice's disgorgement obligation in the Final Judgment. The Commission's complaint, filed on July 26, 2000, alleged that from November 1999 through July 2000, First Choice and its President and Chief Executive Officer, Van Waeyenberghe, persuaded at least 200 investors in 29 states to invest more than $21 million in an ongoing nationwide investment fraud entitled "Enhanced Automobile Receivables." Investors were allegedly told that their investments would be used to buy high-interest automobile loans and were guaranteed to yield an 11% return. Investors also allegedly were told that their investments would be managed by "a highly successful and seasoned management team, most of whom have maintained positions with top-level corporation for almost 20 years" and would be guaranteed against default by Lloyds of London. The complaint further alleges that First Choice and Van Waeyenberghe failed to disclose to investors that Van Waeyenberghe was enjoined for his role in a securities fraud in 1984, had twice been convicted of felonies including mail fraud, conspiracy to defraud the United States and preparing false tax returns and had been indicted for bank fraud while selling the Enhanced Automobile Receivables. The complaint also alleges that First Choice and Van Waeyenberghe misappropriated millions of dollars from investors, failed to purchase automobile loans as promised, did not insure the investments against default through Lloyd's of London or any other insurer and could not guarantee an 11% return. Shortly after the filing of the Commission's complaint, the Court issued a Temporary Restraining Order and subsequently a Preliminary Injunction freezing First Choice's and Van Waeyenberghe's assets and appointed a receiver to manage First Choice's assets during the pendency of the litigation. [SEC v. First Choice Management Services, Inc. and Gary Van Waeyenberghe, Civil Action No. 3:00CV0446RM USDC, N.D. Ind.] (LR-17931) COMMISSION CHARGES BRITISH CITIZEN IN SETTLED INSIDER TRADING CASE The Commission today filed a settled civil fraud action against Robert Williams of Brighton, England, alleging that he engaged in insider trading when he sold his stock in Waters Corporation, a Milford, Massachusetts-based manufacturer of high-end analytical instruments. Without admitting or denying the Commission's allegations, Williams consented to the entry of a final judgment permanently enjoining him from violating the antifraud provisions of the federal securities laws, and requiring him to pay a total of approximately $217,000 in disgorgement, prejudgment interest, and civil penalties. The Commission's complaint alleges that Williams, chairman of Micromass UK Ltd, a wholly-owned subsidiary of Waters, sold Waters stock after he learned nonpublic information regarding a substantial shortfall in Micromass orders and sales for the second quarter of 2001. According to the Commission's complaint, Williams learned of the Micromass shortfall at a meeting with other high-level Waters and Micromass executives on June 12, 2001. The Commission's complaint alleges that Williams then sold 10,000 shares of Waters on June 18, 2001, just hours before Waters issued an announcement that its earnings for the second quarter of 2001 would be substantially lower than it previously had forecast due to lower than expected sales at Micromass. According to the Commission's complaint, by selling prior to the announcement, Williams avoided a loss of $103,659. The Commission's complaint alleges that Williams sold his shares in breach of a fiduciary duty to Waters and its shareholders not to trade in the company's stock while in possession of material, nonpublic information about the company. In its complaint, the Commission charged Williams with securities fraud in violation of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, based on his illegal insider trading. Williams has consented to entry of a final judgment enjoining him from violating these antifraud provisions, requiring him to pay $103,659 in losses avoided, prejudgment interest of $9,684.17 thereon, and an additional civil penalty of $103,659. The Commission acknowledges the assistance of the New York Stock Exchange in the matter. [SEC v. Robert Williams, USDC, D. Mass., C.A. No. 03-CV-10097, PBS] (LR-17932) SELF-REGULATORY ORGANIZATIONS WITHDRAWALS GRANTED An order has been issued granting the application of El Paso Electric Company to withdraw its Common Stock, no par value, from listing and registration on the American Stock Exchange, effective at the opening of business on Jan. 15. (Rel. 34-47184) An order has been issued granting the application of Scania Aktiebolag to withdraw its American Depository Shares (each representing one A and one B share, nominal value SEK 10 each) from listing and registration on the New York Stock Exchange, effective at the opening of business on Jan. 15. (Rel. 34-47185) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 MOBILE TIRE RENEW INTERNATIONAL INC, 2076 DAVEBROOK ROAD, MISSISSAUGA ONTARIO, A6, L5J 3M6, 9056319795 - 6,625,000 ($662,500.00) Equity, (File 333-102495 - Jan. 14) (BR. ) S-4 STRATABASE, 34314 MARSHALL ROAD STE 203, ABBOTSFORD BRITISH COLUMBIA, V2S 1L2, 6045045811 - 8,033,372 ($11,728,723.00) Equity, (File 333-102496 - Jan. 14) (BR. 03) S-8 CAP ROCK ENERGY CORP, 500 WEST WALL STREET SUITE 400, MIDLAND, TX, 79701, 2142373223 - 0 ($3,510,000.00) Equity, (File 333-102497 - Jan. 14) (BR. 02) S-8 ROCHESTER MEDICAL CORPORATION, ONE ROCHESTER MEDICAL DR, STEWARTVILLE, MN, 55976, 5075339600 - 0 ($1,566,000.00) Equity, (File 333-102498 - Jan. 14) (BR. 36) S-8 MICROMUSE INC, 139 TOWNSEND ST, MEZZANINE FLOOR, SAN FRANCISCO, CA, 94107, 4155389090 - 0 ($19,665,737.53) Equity, (File 333-102499 - Jan. 14) (BR. 03) S-8 VIEW SYSTEMS INC, 825 W KENYON AV, SUITE 15, ENGLEWOOD, CO, 80110, 3032957200 - 435,000 ($63,075.00) Equity, (File 333-102500 - Jan. 14) (BR. 08) F-6 SUZANO PETROQUIMICA S A, AV. BRIGADEIRO FARIA LIMA, 1355 - 9TH FLOOR, SAO PAULO, D5, 01452, 551130379060 - 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-102501 - Jan. 14) (BR. ) S-8 LEGG MASON INC, 100 LIGHT ST, BALTIMORE, MD, 21202-1476, 4105390000 - 600,000 ($30,627,000.00) Equity, (File 333-102502 - Jan. 14) (BR. 07) S-8 LEGG MASON INC, 100 LIGHT ST, BALTIMORE, MD, 21202-1476, 4105390000 - 800,000 ($40,836,000.00) Equity, (File 333-102503 - Jan. 14) (BR. 07) S-8 FARNSWORTH BANCORP INC, 789 FARNSWORTH AVENUE, BORDENTOWN, NJ, 08505, 6092980723 - 32,478 ($476,344.00) Equity, (File 333-102504 - Jan. 14) (BR. 07) S-4 RESOLUTION PERFORMANCE PRODUCTS LLC, 1600 SMITH STREET SUITE 2418, HOUSTON, TX, 77002, 8889492502 - 0 ($53,000,000.00) Non-Convertible Debt, (File 333-102505 - Jan. 14) (BR. 06) S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 2,000,000 ($660,000.00) Equity, (File 333-102506 - Jan. 14) (BR. 37) S-3 VISHAY INTERTECHNOLOGY INC, 63 LINCOLN HWY, MALVERN, PA, 19355, 6106441300 - 6,176,467 ($104,999,939.00) Debt Convertible into Equity, 8,823,529 ($109,235,289.02) Equity, 8,823,529 ($0.00) Other, (File 333-102507 - Jan. 14) (BR. 36) S-3 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($405,732.58) Equity, (File 333-102508 - Jan. 14) (BR. 36) S-8 PDF SOLUTIONS INC, 333 WEST SAN CARLOS STREET, SUITE 700, SAN JOSE, CA, 95110, 4082807900 - 3,221,622 ($22,100,326.00) Equity, (File 333-102509 - Jan. 14) (BR. 03) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 45,000,000 ($450,000.00) Equity, (File 333-102510 - Jan. 14) (BR. 05) S-4 BRAND SERVICES, 15450 SOUTH OUTER HIGHWAY 40, #270, CHESTERFIELD, MO, 63017, 3145191000 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-102511 - Jan. 14) (BR. 06) S-1 PETCO ANIMAL SUPPLIES INC, 9125 REHCO RD, SAN DIEGO, CA, 92121, 6194537845 - 0 ($345,000,000.00) Equity, (File 333-102512 - Jan. 14) (BR. 02) S-3 HEMISPHERX BIOPHARMA INC, 1617 JFK BLVD #660, ONE PENN CENTER, PHILADELPHIA, PA, 19104, 2159880080 - 5,999,992 ($18,933,234.93) Equity, (File 333-102513 - Jan. 14) (BR. 01) 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. 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 DATE COMMENT ------------------------------------------------------------------------------------ ABCI HOLDINGS INC DE X X 01/15/03 ABRAXAS PETROLEUM CORP NV X 01/14/03 ADMIRALTY BANCORP INC DE X X 01/13/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 01/14/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 01/14/03 ALLIED PRODUCTS CORP /DE/ DE X X 12/01/02 ALLSTATE CORP DE X X 01/07/03 AMC ENTERTAINMENT INC DE X X 12/26/02 AMERICAN BILTRITE INC DE X X 01/14/03 AMERICAN CRYSTAL SUGAR CO /MN/ MN X X 01/14/03 AMERICAS SENIOR FINANCIAL SERVICES IN FL X 01/13/03 AOL TIME WARNER INC DE X X 12/31/02 AOL TIME WARNER INC DE X 01/12/03 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 01/10/03 ARIAD PHARMACEUTICALS INC DE X X 01/14/03 ARIES VENTURES INC NV X X 10/31/02 ARROW ELECTRONICS INC NY X 01/14/03 ASSET BACKED SECURITIES CORP DE X X 12/15/02 BARON CAPITAL PROPERTIES LP DE X X 12/27/02 AMEND BARON CAPITAL TRUST DE X X 12/27/02 AMEND BED BATH & BEYOND INC NY X X 01/14/03 BIO TECHNOLOGY GENERAL CORP DE X X 01/13/03 BIONX IMPLANTS INC PA X X 01/13/03 BOSTON COMMUNICATIONS GROUP INC MA X X 10/31/02 AMEND BUILDING MATERIALS HOLDING CORP DE X X 01/14/03 C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 12/25/02 CAPITAL AUTO RECEIVABLES INC DE X X 01/14/03 CASELLA WASTE SYSTEMS INC DE X 01/14/03 CENTRAL GARDEN & PET COMPANY DE X X 01/13/03 CIENA CORP DE X X 01/14/03 CITICORP MORTGAGE SECURITIES INC DE X 02/25/02 CITICORP MORTGAGE SECURITIES INC DE X 03/25/02 CITICORP MORTGAGE SECURITIES INC DE X 03/25/02 CLEVELAND CLIFFS INC OH X 01/13/03 COMMUNITY BANKS INC /PA/ PA X 01/14/03 COMTEX NEWS NETWORK INC DE X X 01/13/03 CONCERO INC DE X 01/14/03 CONGOLEUM CORP DE X X 01/14/03 CONSECO PRIVATE LABEL CREDIT CARD MAS DE X X 12/17/02 CONSOLIDATED CONTAINER CO LLC DE X X 01/13/03 COWLITZ BANCORPORATION WA X 01/10/03 CREDIT SUISSE FIRST BOSTON MORT PASS X X 07/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 08/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 09/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 10/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 11/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 11/25/02 CREDIT SUISSE FIRST BOSTON MORT PASS X X 12/25/02 CREDIT SUISSE FIRST BOSTON MORT SEC C DE X 12/19/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/14/03 CRIIMI MAE FINANCIAL CORP MD X 01/02/03 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 12/30/02 DND TECHNOLOGIES INC NV X X 01/14/03 DOMINION HOMES INC OH X X 01/14/03 DOT HILL SYSTEMS CORP NY X X 12/18/02 ENTERGY CORP /DE/ DE X X 01/14/03 ENTRUST FINANCIAL SERVICES INC CO X X 01/14/03 EOG RESOURCES INC DE X 01/13/03 EVERTRUST FINANCIAL GROUP INC WA X X 01/13/03 FAO INC CA X X 01/13/03 FIRST CHARTER CORP /NC/ NC X X 01/14/03 FIRST CHARTER CORP /NC/ NC X X 01/14/03 FIRST HORIZON ASSET SECURITIES INC DE X X 12/30/02 FIRST INDIANA CORP IN X X 01/08/03 FIRST MIDWEST BANCORP INC DE X X 01/14/03 GASCO ENERGY INC NV X 01/13/03 GEORGIA PACIFIC CORP GA X X X 01/14/03 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