SEC NEWS DIGEST Issue 2003-54 March 21, 2003 ENFORCEMENT PROCEEDINGS COMMISSION SANCTIONS JAVED LATEF On March 20, the Commission found that Javed Anver Latef, president and director of the Hudson Fund, and president and sole shareholder of Hudson Advisers, Inc. and Hudson Investment Management, Inc., violated antifraud and reporting provisions of the federal securities laws by failing to disclose material facts concerning certain agreements and relationships that Latef entered into with Larry Alan Stockett. The Commission found that Latef failed to disclose that Stockett had an option to purchase Hudson Advisers and Hudson Management for $100 each, that Stockett had agreed to pay the Fund's expenses and was responsible almost exclusively for the payment of the Fund's expenses from August 1996 until April 1997, and that the Fund invested in securities of companies in which Stockett had, or was in the process of acquiring, an interest. Based on these findings, the Commission suspended Latef from association with any investment adviser or investment company for three months and ordered that he cease and desist from violating the applicable securities laws. Noting that the undisclosed material facts "indicated serious conflicts of interest," the Commission held that "Latef's failure to disclose them to shareholders and potential investors in the Fund represented an extreme departure from ordinary care." The Commission dismissed the aiding and abetting charges brought against Larry Alan Stockett. (Rel. 34-47542; IA-2116; IC-25965; File No. 3-9374) COURT GRANTS SEC SUMMARY JUDGMENT AGAINST DEFENDANT AZIZ-GOLSHANI IN NEI WEBWORLD INTERNET STOCK MANIPULATION CASE The Commission announced that on March 13 the Honorable Consuelo B. Marshall, U.S. District Judge for the Central District of California granted summary judgment against Arash Aziz-Golshani permanently enjoining him from violations of the antifraud provisions of the federal securities laws and ordering him to pay disgorgement in the amount of $339,392 plus prejudgment interest of $82,696.44. This ruling resolves the only remaining issue in the case, Aziz-Golshani's alleged manipulation of the stock price of eleven issuers from April 1999 through October 1999 by spreading false information on Internet message boards. Aziz-Golshani is the sole remaining defendant in the case; each of the other named defendants has settled with the Commission. [SEC v. Arash Aziz-Golshani, et al., USDC CDCA, Civil Action No. 99-13139, CBM] (LR-18043) COMMISSION OBTAINS EMERGENCY RELIEF REQUIRING HEALTHSOUTH TO PLACE IN ESCROW ALL EXTRAORDINARY PAYMENTS TO OFFICERS, DIRECTORS AND EMPLOYEES Court Freezes CEO Richard Scrushy's Assets Commission's Investigation Continues The Commission has obtained emergency relief in its case against HealthSouth Corp. and CEO Richard Scrushy, including a court order temporarily freezing substantially all of Scrushy's assets. In further emergency relief, HealthSouth consented to a court order (1) requiring that the company place in escrow, under the Court's supervision, all extraordinary payments (whether compensation or otherwise) to its directors, officers, partners, controlling persons, agents, or employees, pursuant to Section 1103 of the Sarbanes-Oxley Act of 2002, (2) prohibiting the company and its employees from destroying documents relating to the company's financial activities and/or the allegations in the Commission's case against HealthSouth and Scrushy, and (3) providing for expedited discovery in the Commission's case. The Commission filed suit Wednesday against HealthSouth and Scrushy in U.S. District Court in Birmingham, Ala. The Commission's complaint alleges that since 1999, at the insistence of Scrushy, HealthSouth systematically overstated its earnings by at least $1.4 billion in order to meet or exceed Wall Street earnings expectations. The false increases in earnings were matched by false increases in HealthSouth's assets. By the third quarter of 2002, HealthSouth's assets were overstated by at least $800 million, or approximately 10 percent. Under a separate Commission order, trading in the securities of HealthSouth was suspended Wednesday for two business days. The Commission's trading suspension expires tonight at 11:59 p.m. E.S.T. The Commission and the U.S. Department of Justice are continuing their investigations. The Commission cannot predict what additional facts may be found or what additional conclusions may be reached in these investigations. [SEC v. HealthSouth Corporation and Richard M. Scrushy, CV-03-J-061-S, ND Ala.] (LR-18044; AAE Rel. 1744; Press Rel. 2003-38) SEC OBTAINS DEFAULT JUDGMENT AGAINST BROKER WHO MASTERMINDED FRAUDULENT OFFERINGS On March 5, Judge Shirley Wohl Kram of the U.S. District Court for the Southern District of New York granted the Securities and Exchange Commission's application for a default judgment against Jean Baptiste Jean Pierre (Jean Pierre), a broker who directed the fraudulent and unregistered offerings of securities of three related companies. As part of the default judgment, the court issued a permanent injunction against Jean Pierre, ordered Jean Pierre to pay $589,809.32, representing $407,700 in ill-gotten gains derived from his fraudulent conduct plus prejudgment interest of $182,809.32, and ordered Jean Pierre to pay a $407,000 civil penalty. Pursuant to Section 308 of the Sarbanes-Oxley Act of 2002, the court ordered that the civil penalty be added to the disgorgement fund for the benefit of investors. In its suit, the Commission charged Jean Pierre, as well as other defendants, with making false and misleading statements and omissions of material facts while offering and selling limited partnerships interests of JB Stanley Group, LP (JB Stanley), an unregistered hedge fund, and stock of JB Stanley's general partner, Cambridge Capital Holdings Management, LLC (Cambridge), and Cambridge's wholly-owned subsidiary, Union Transfer and Cargo Corporation (UTC), all of which were controlled by Jean Pierre. Through these schemes, the defendants raised approximately $407,700 from at least fifteen investors and misappropriated a large percentage of those funds. According to the complaint, as part of the fraud, Jean Pierre made numerous oral and written misrepresentations to investors, including: (1) misrepresentations to JB Stanley investors that their funds would be used to buy and sell securities when, in fact, Jean Pierre immediately diverted investor funds to pay for lavish personal expenses; (2) false statements in promotion materials that JB Stanley was a prominent asset management firm that made investment decisions using state-of-the-art telecommunications equipment when, in fact, JB Stanley consisted of Jean Pierre and another defendant working out of a one-room office; (3) false statements in UTC promotional materials that Jean Pierre had served as a portfolio manager to several major brokerage firms and had more than twenty years of experience as an entrepreneur; (4) false statements to at least one investor that Cambridge would conduct an IPO in the near future when, in fact, Cambridge had never taken any steps towards conducting an IPO; (5) false statements to investors about the structure of UTC when, in fact, UTC did not have any operations and was not registered with any state or federal agency to operate as a wire- transfer business; and (6) false statements that Jean Pierre would repay UTC investors their investments within one year and produce a 40 to 60 percent profit in subsequent years when, in fact, Jean Pierre lacked a reasonable basis for these promises. Jean Pierre also offered and sold the securities of JB Stanley, Cambridge, and UTC without filing registration statements with the Commission and without any applicable exemption from filing. The court ordered that Jean Pierre be permanently enjoined from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, 15 U.S.C. 77e(a), 77e(c), and 77q(a), Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. 240.10b-5, and Section 206(1) and (2) of the Investment Advisers Act of 1940, 15 U.S.C. 80b-6(1) and (2). In addition, the court ordered Jean Pierre to disgorge $589,809.32, representing $407,700 in ill-gotten gains derived from his fraudulent conduct plus prejudgment interest of $182,809.32. Finally, the court imposed a civil penalty of $407,700 on Jean Pierre, recognizing the seriousness of his fraudulent conduct. The litigation is pending against the remaining defendants. [SEC v. Jean Baptiste Jean Pierre, Gabriel Toks Pearse and Darius L. Lee, 02 Civ. 253] (LR-18045) FEDERAL COURT IMPOSES FINAL JUDGMENT SETTING DISGORGEMENT, PREJUDGMENT INTEREST AND THIRD TIER CIVIL PENALTIES IN NATIONWIDE SECURITIES FRAUD The Commission announced today that on March 18 the Honorable Horace T. Ward of the U.S. District Court for the Northern District of Georgia entered a final judgment ordering defendants Louis M. Lazorwitz (Lazorwitz), J. Charles Reives (Reives) and Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group (Tri-Star) to jointly and severally pay disgorgement of $15 million, along with prejudgment interest thereon, to the registry of the Court within 30 days of the entry of the order. The Court also ordered relief defendant Lazor, Ltd. to pay disgorgement in the amount of $660,000, and further ordered the three defendants to pay third-tier civil penalties of $110,000 (Lazorwitz), $110,000 (Reives) and $550,000 (Tri-Star). Additionally, the Court made findings which concluded that the conduct of the defendants involved fraud, deceit, manipulation or deliberate or reckless disregard of a regulatory requirement and that their violations directly or indirectly resulted in substantial losses or created a significant risk of substantial losses to other persons. Lazorwitz, Reives and Tri-Star have been permanently enjoined from further securities laws violations, by earlier orders of the Court. The Court concluded in its order that a multimillion-dollar, nationwide securities fraud had been conducted by Lazorwitz and Reives who promoted the fraudulent scheme as Tri-Star's general partners, in which they used the general partnership to offer and sell unregistered securities in Tri- Star to over 900 investors in at least 35 states, and raised at least $15 million. Tri-Star, Lazorwitz, and Reives made material misrepresentations and omissions of fact to investors concerning, among other things, the use of investor funds, the expected returns, and investment risks. Lazorwitz and Reives misappropriated investor funds for their personal benefit. Tri-Star, through Lazorwitz and Reives, initially represented that Tri-Star would invest in bank debentures and later claimed that it might invest in other international trade opportunities. Lazorwitz and Reives promoted Tri-Star directly and through independent agents around the United States known as Facilitators and led investors to expect profits of 20% per month in so- called 13-month trading programs, after an initial 90-day waiting period. The Court concluded that relief defendant Lazor, Ltd. received $660,000 in ill-gotten gains from the fraud without any legitimate claim to those assets. [SEC v. Louis M. Lazorwitz, J. Charles Reives, and Tri- Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd., Relief Defendant, Civil Action File No. 1:02-CV-0112, ND Ga.] (LR-18046) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2003-30) filed by the National Association of Securities Dealers to modify the fees paid by NNMS Order Entry Firms for certain order executions through Nasdaq's SuperMontage system 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 March 24. (Rel. 34- 47530) A proposed rule change filed by National Futures Association (SR-NFA- 2003-01) regarding the Interpretive Notice to NFA Compliance Rule 2-9 concerning enhanced supervisory requirements has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47533) A proposed rule change (SR-ISE-2003-12) filed by the International Securities Exchange relating to transaction fees for non-public customer transactions in options on certain Select Sector SPDR Funds and exchange traded funds based on indexes developed by the Frank Russell Company 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 March 24. (Rel. 34- 47536) A proposed rule change (SR-ISE-2003-09) filed by the International Securities Exchange relating to limiting the liability of index licensors for options on fund shares has become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(6), thereunder. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47538) A proposed rule change filed by National Futures Association (SR-NFA- 2003-02) regarding the Interpretive Notice to NFA Compliance Rule 2-9 concerning ethics training requirements has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47539) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-AMEX-2002-33), as amended by Amendment No. 1 thereto, submitted by the American Stock Exchange relating to proprietary order routing facilities for Amex listed options; and granted accelerated approval of Amendment No. 2 to such proposal. (Rel. 34-47531) The Commission approved a proposed rule change (ISE-2001-15) submitted by the International Securities Exchange that establishes a six-month pilot program in which the allowable quotation spread for options on up to 50 underlying securities will be $5, regardless of the price of the bid. (Rel. 34-47532) The Commission approved a proposed rule change (SR-CBOE-2002-67) and Amendment No. 1 to the proposed rule change submitted by the Chicago Board Options Exchange amending its margin rules under CBOE Rule 12.3 to incorporate security futures. Publication of the order is expected in the Federal Register during the week of March 24. (Rel. 34-47541) AMENDMENTS TO PROPOSED RULE CHANGE The American Stock Exchange filed Amendment Nos. 2 and 3 to a proposed rule change (SR-AMEX-2001-92) which seeks to modify the manner in which Contrary Exercise Advices are submitted to the Exchange. Publication of the notice is expected in the Federal Register during the week of March 24. (Rel. 34-47540) DELISTINGS GRANTED An order has been issued granting the application of the International Securities Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying securities of the following companies effective at the opening of business on March 21: Aether Systems, Inc. ATI Technologies, Inc. GlobespanVirata, Inc. ImmunoGen, Inc. Instinet Group Incorporated Priceline.com Incorporated Rational Software Corporation RealNetworks, Inc. Wireless HOLDRs Trust (Rel. 34-47545) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, and Series A Junior Preferred Stock Purchase Rights of Alterra Healthcare Corporation, effective at the opening of business on March 21. (Rel. 34-47546) 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 SORRENTO NETWORKS CORP, 9990 MESA RIM ROAD, SAN DIEGO, CA, 92121, 3105814030 - 15,000,000 ($103,200,000.00) Equity, (File 333-103930 - Mar. 20) (BR. 37) S-4 TOLL BROTHERS FINANCE CORP, C/O TOLL BROTHERS INC, 3103 PHILMONT AVENUE, HUNTINGDON VALLEY, PA, 19006, 2159388045 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-103931 - Mar. 20) (BR. ) F-6 LAN CHILE SA, AVENIDA AMERICO VESPUCIO, SUR NO 901 RENCA, SANTIAGO DE CHILE, F3, 00000, 5625652525 - 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-103932 - Mar. 20) (BR. 05) S-8 BACH-HAUSER INC, 1561 HIGHWAY 3, -, CAYUGA, ONTARIO, A6, N0A 1E0, 9057725738 - 14,000,000 ($280,000.00) Equity, (File 333-103933 - Mar. 20) (BR. 06) S-8 AUTOMATIC DATA PROCESSING INC, ONE ADP BOULVARD, ROSELAND, NJ, 07068, 9739747849 - 3,000,000 ($88,710,000.00) Equity, (File 333-103935 - Mar. 20) (BR. 03) S-8 REPTRON ELECTRONICS INC, 14401 MCCORMICK DR, TAMPA, FL, 33626, 8138542351 - 2,900,000 ($638,000.00) Equity, (File 333-103936 - Mar. 20) (BR. 36) S-8 EVERGREEN RESOURCES INC, 1401 17TH ST SUITE 1200, DENVER, CO, 80202, 3032988100 - 799,190 ($23,646,246.00) Equity, (File 333-103937 - Mar. 20) (BR. 04) S-8 ELITE INFORMATION GROUP INC, 5100 WEST GOLDLEAF CIRCLE, SUITE 100, LOS ANGELES, CA, 90056, 3236425200 - 0 ($5,939,600.00) Equity, (File 333-103938 - Mar. 20) (BR. 03) S-8 JONES SODA CO, 234 9TH AVE NORTH, SEATTLE, WA, 98109, 8006566050 - 3,750,000 ($1,347,300.00) Equity, (File 333-103939 - Mar. 20) (BR. 02) S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 10,267 ($335,422.89) Equity, (File 333-103940 - Mar. 20) (BR. 07) S-4 ALABAMA NATIONAL BANCORPORATION, 1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35209, 2055833600 - 466,463 ($7,212,619.00) Equity, (File 333-103941 - Mar. 20) (BR. 07) S-8 BESTWAY INC, 7800 STEMMONS STE 320, DALLAS, TX, 75247, 2146306655 - 0 ($1,960,000.00) Equity, (File 333-103942 - Mar. 20) (BR. 06) S-8 PALOMAR ENTERPRISES INC, 10264 CAMINO RUIZ #75, SUITE 209, SAN DIEGO, CA, 92126, 6196922590 - 1,000,000 ($60,000.00) Other, (File 333-103943 - Mar. 20) (BR. 05) S-8 CENTERPULSE LTD, ZURCHERSTERSTRASSE 12, 8401 WINTERTHUR SWIT, V8, 7135616300 - 0 ($4,775,000.00) Other, (File 333-103944 - Mar. 20) (BR. 01) S-8 CENTERPULSE LTD, ZURCHERSTERSTRASSE 12, 8401 WINTERTHUR SWIT, V8, 7135616300 - 0 ($23,875,000.00) Other, (File 333-103945 - Mar. 20) (BR. 01) S-8 CENTERPULSE LTD, ZURCHERSTERSTRASSE 12, 8401 WINTERTHUR SWIT, V8, 7135616300 - 0 ($4,775,000.00) Other, (File 333-103946 - Mar. 20) (BR. 01) S-4 SANMINA-SCI CORP, 2700 N FIRST ST, SAN JOSE, CA, 95134, 4089643500 - 750,000,000 ($750,000,000.00) Equity, (File 333-103947 - Mar. 20) (BR. 36) S-3 CATERPILLAR FINANCIAL FUNDING CORP, 2950 EAST FLAMINGO RD, SUITE E-4, LAS VEGAS, NV, 89121, 6153411000 - 15,358,190 ($15,358,190.00) Asset-Backed Securities, (File 333-103949 - Mar. 20) (BR. 05) S-3 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($6,128,411.00) Equity, (File 333-103950 - Mar. 20) (BR. 36) S-3 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($1,425,481.00) Equity, (File 333-103951 - Mar. 20) (BR. 36) S-3 ARCHSTONE SMITH OPERATING TRUST, 9200 E PANORAMA CIRCLE, STE 400, ENGLEWOOD, CO, 80112, 3037085959 - 0 ($335,000,000.00) Non-Convertible Debt, (File 333-103952 - Mar. 20) (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. 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 ------------------------------------------------------------------------------------ 1ST STATE BANCORP INC VA X X 03/19/03 3COM CORP DE X X 03/19/03 ABCI HOLDINGS INC DE X 03/20/03 ACTUANT CORP WI X 03/20/03 ADVANTA BUSINESS RECIEVABLES CORP X 03/20/03 AEGIS ASSESSMENTS INC DE X 03/19/03 AGP & CO INC NJ X X 03/19/03 AI SOFTWARE INC NV X 03/19/03 ALBERTSONS INC /DE/ DE X 01/30/03 AMBAC FINANCIAL GROUP INC DE X X 03/18/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 03/20/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 03/20/03 ANZ CAPEL COURT LTD C3 X 03/20/03 ARBITRON INC DE X 03/18/03 ARKANSAS BEST CORP /DE/ DE X X 03/19/03 ARRIS GROUP INC DE X X 03/18/03 AT ROAD INC CA X X 03/20/03 ATA HOLDINGS CORP IN X X 03/19/03 AUTO Q INTERNATIONAL INC DE X X 02/21/03 AXT INC DE X X 03/14/03 BADGER PAPER MILLS INC WI X X 03/19/03 BEACH FIRST NATIONAL BANCSHARES INC SC X 03/19/03 BEDFORD PROPERTY INVESTORS INC/MD MD X 03/31/03 BETHLEHEM STEEL CORP /DE/ DE X 03/20/03 BLUE INDUSTRIES INC NV X 03/18/03 BRANTLEY CAPITAL CORP MD X X 03/19/03 CAPITAL ALLIANCE INCOME TRUST REAL ES DE X 03/14/03 CARCO AUTO LOAN MASTER TRUST DE X X 03/17/03 CBRL GROUP INC TN X X 03/20/03 CHASE CREDIT CARD MASTER TRUST NY X X 03/17/03 CHASE CREDIT CARD MASTER TRUST NY X X 03/17/03 CHASE MANHATTAN BANK USA DE X X 03/17/03 CHASE MANHATTAN BANK USA DE X X 03/17/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 03/17/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 03/17/03 CHILDTIME LEARNING CENTERS INC MI X X 03/10/03 CHIRON CORP DE X X 03/20/03 CILCORP INC IL X X 03/14/03 CISCO SYSTEMS INC CA X X 03/19/03 CITIGROUP INC DE X 03/12/03 CLEVELAND CLIFFS INC OH X 03/19/03 CNET NETWORKS INC DE X 03/20/03 CODORUS VALLEY BANCORP INC PA X X 03/18/03 CONSTELLATION BRANDS INC DE X 03/20/03 CONTINENTAL AIRLINES INC /DE/ DE X X 03/19/03 COOPER INDUSTRIES LTD X X 03/20/03 CORRECTIONS CORP OF AMERICA MD X X 03/20/03 COX TECHNOLOGIES INC NC X X 03/19/03 CRESCENT FINANCIAL CORP NC X 03/12/03 CSK AUTO CORP DE X 03/20/03 DAIMLERCHRYSLER MASTER OWNER TRUST X X 03/17/03 DARDEN RESTAURANTS INC FL X X 03/20/03 DCAP GROUP INC/ DE X 03/14/03 DCB FINANCIAL CORP OH X X 03/13/03 DEVRY INC DE X 03/19/03 DREYERS GRAND ICE CREAM INC DE X X 03/20/03 DST SYSTEMS INC DE X X 03/19/03 EARTHNETMEDIA INC NV X X 03/20/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X X 03/20/03 ELKCORP DE X X 03/18/03 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 03/20/03 ESSENTIAL REALITY INC NV X X 03/13/03 EXEGENICS INC DE X 03/19/03 FARMER BROTHERS CO CA X 06/30/03 FIRST PLACE FINANCIAL CORP /DE/ DE X X 03/20/03 FMC CORP DE X 03/20/03 FRONTIER FINANCIAL CORP /WA/ WA X X 03/20/03 FULLPLAY MEDIA SYSTEMS INC WA X X 03/20/03 GALYANS TRADING CO INC IN X X 03/20/03 GENERAL MOTORS CORP DE X 03/12/03 GENEREX BIOTECHNOLOGY CORP DE X 03/18/03 GENEREX BIOTECHNOLOGY CORP DE X X 03/19/03 GENESIS MICROCHIP INC /DE DE X X 03/17/03 GEOKINETICS INC DE X X 03/19/03 GLOBAL CROSSING LTD X X 08/01/02 GLOBAL PAYMENT TECHNOLOGIES INC DE X X 03/19/03 GOLDMAN SACHS GROUP INC/ DE X 03/20/03 GRACO INC MN X 03/12/03 GYMBOREE CORP DE X X 03/04/03 HANOVER DIRECT INC DE X X 03/19/03 HARKEN ENERGY CORP DE X X 03/20/03 HARKEN ENERGY CORP DE X X 03/18/03 HEALTHSOUTH CORP DE X 01/20/03 HEI INC MN X X 03/19/03 HEXCEL CORP /DE/ DE X X 03/20/03 HUGOTON ROYALTY TRUST TX X 03/20/03 IDACORP INC ID X 03/20/03 IMMEDIATEK INC NV X X X 03/17/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X X 11/27/02 INSILCO HOLDING CO DE X X 03/20/03 INTEST CORP DE X X X 03/19/03 JAMES CABLE PARTNERS LP /DE/ DE X 03/18/03 KAIRE HOLDINGS INC DE X X X 03/14/03 KANEB PIPE LINE PARTNERS L P DE X X 03/18/03 KINDRED HEALTHCARE INC DE X X 03/19/03 KNOLOGY INC DE X X 03/19/03 LABRANCHE & CO INC DE X X 03/20/03 LARSCOM INC DE X X 03/18/03 LEGGETT & PLATT INC MO X X 03/19/03 LEHMAN ABS CORP DE X X 02/15/03 LEHMAN ABS CORP DE X X 07/31/02 AMEND LEHMAN ABS CORP DE X X 03/01/02 AMEND LEHMAN BROTHERS HOLDINGS INC DE X X 03/20/03 LENNAR CORP /NEW/ DE X X 03/18/03 LEXINGTON PRECISION CORP DE X X 03/20/03 LIBERTY MEDIA CORP /DE/ DE X 03/20/03 LIVEPERSON INC DE X 03/18/03 LONDON PACIFIC GROUP LTD X 03/20/03 LONGS DRUG STORES CORP MD X X 03/19/03 LTV CORP DE X X 03/20/03 MACK CALI REALTY CORP MD X X 03/14/03 MACK CALI REALTY L P DE X X 03/14/03 MACQUARIE SECURITISATION LTD DE X X 03/20/03 MADISON RIVER CAPITAL LLC DE X X 03/20/03 MARTIN INDUSTRIES INC /DE/ DE X X 03/05/03 MAX & ERMAS RESTAURANTS INC DE X X 03/20/03 MEIER WORLDWIDE INTERMEDIA INC NV X 03/11/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/05/03 MICRON ENVIRO SYSTEMS INC NV X 03/19/03 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 03/17/03 MONEY STORE INVESTMENT CORP NJ X X 03/17/03 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 03/17/03 MONTANA MILLS BREAD CO INC DE X 03/19/03 MORGAN STANLEY DE X X 03/20/03 MORGAN STANLEY ABS CAP I INC MRT PSS DE X X 03/18/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 03/18/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 03/18/03 NATURES SUNSHINE 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