SEC NEWS DIGEST Issue 2003-68 April 10, 2003 RULES AND RELATED MATTERS ORDER EXTENDING TEMPORARY EXEMPTION OF BANKS, SAVINGS ASSOCIATIONS, AND SAVINGS BANKS FROM THE DEFINITION OF "BROKER" UNDER SECTIONS 3(a)(4) OF THE SECURITIES EXCHANGE ACT OF 1934; NOTICE OF INTENT TO AMEND RULES The Commission approved an Order extending the temporary exemption of banks, savings associations, and savings banks from the definitions of "broker" under Section 3(a)(4) of the Securities Exchange Act of 1934 until Nov. 12, 2004. For further information, contact Daniel Fisher at (202) 942-0784. (Rel. 34-47649) STANDARDS RELATING TO LISTED COMPANY AUDIT COMMITTEES The Commission voted on April 2 to adopt final rules to direct the national securities exchanges and national securities associations to prohibit the listing of any security of an issuer that is not in compliance with the audit committee requirements established by the Sarbanes-Oxley Act of 2002. These requirements relate to: the independence of audit committee members; the audit committee's responsibility to select and oversee the issuer's independent accountant; procedures for handling complaints regarding the issuer's accounting practices; the authority of the audit committee to engage advisors; and funding for the independent auditor and any outside advisors engaged by the audit committee. The rules implement the requirements of Section 10A(m)(1) of the Securities Exchange Act of 1934, as added by Section 301 of the Sarbanes-Oxley Act of 2002. (Rels. 33-8220; 34-47654; IC-26001) ENFORCEMENT PROCEEDINGS FINDINGS MADE AND SANCTIONS IMPOSED AGAINST JOHN ABRESCH On April 10, the Commission issued an Order Making Findings and Imposing Remedial Sanctions (Order) pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Respondent John Abresch. From 1996 to mid- 1999, Abresch was associated with Discovery Capital Group, Inc., an registered broker-dealer. The Commission's Order finds that on Oct. 24, 2002, a Judgment of Permanent Injunction and Other Relief, by Abresch's consent, was entered against Abresch, permanently enjoining him from further violations 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. Abresch submitted, and the Commission accepted, an Offer of Settlement whereby he consented to the entry of the Order, without admitting or denying the findings contained therein except as to jurisdiction and the entry of the permanent injunction. The Commission, based upon the findings and the Offer of Settlement, barred Abresch from association with any broker or dealer. (Rel. 34-47655; File No. 3- 11067) SECURITIES FRAUD PLEA AGREEMENT ENTERED AS TO PRESIDENT AND CHAIRMAN OF FIDELITY PETROLEUM CORPORATION The Commission announced today that, on March 26, 2003, the U.S. District Court for the Eastern District of Texas accepted a plea agreement between Robert R. McClanahan and the U.S. Attorney for the Eastern District of Texas, Matthew D. Orwig. McClanahan was the Chairman and president of Fidelity Petroleum Corporation (FPC). McClanahan pled guilty to a violation of the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933. McClanahan admitted that he falsely informed FPC investors that their funds would be pooled with other investors who had designated their funds for a similar, specific oil project, and that their funds would only be used toward that one specific oil project. However, rather than segregate the investor funds based on oil project, McClanahan admitted to commingling all investor funds into one bank account to be used on several other FPC oil projects. Sentencing is scheduled for Aug. 8, 2003. Under the statute, McClanahan faces a maximum of five years in prison. The Commission previously filed suit against FPC and McClanahan in August 2002. The Commission's complaint alleges that between Jan. 1, 2000, and Aug. 1, 2001, McClanahan and Fidelity conducted an unregistered offering of over $4 million in oil and gas securities via the use of cold-call telemarketing. Using information supplied by McClanahan, Fidelity's telemarketers promised investors that they would be able to recoup their initial investment within the first five to fifteen months. Furthermore, the defendants falsely represented that an investment in Fidelity wells would yield a yearly return of between 65% and 113% of the original investment. The defendants had no reasonable basis for these projections at the time they made them. Furthermore, contrary to the defendants' representations, the yield from an investment in Fidelity's commercially productive wells never exceeded 20% and was, on some wells, below six percent. The Commission charged FPC and McClanahan with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act. The Commission further charged Fidelity and McClanahan with securities registration violations pursuant to Sections 5(a) and 5(c) of the Securities Act. The Commission seeks an injunction against Fidelity and McClanahan to prevent future violations of the above provisions, disgorgement of all money raised by Fidelity and civil penalties against McClanahan (See SEC v. Fidelity Petroleum Corp., et al., Civil Action No. 3-02 CV 1796K, ND Tex.) (Litigation Release No. 17698). [U.S. v. Robert R. McClanahan, 03 CR 33-ALLl, PB, EDTex.] (LR-18079) COMMISSION CHARGES FORMER DIRECTOR OF MASSACHUSETTS BANK AND HIS FRIEND IN SETTLED INSIDER TRADING CASE The Commission announced that on April 10 it filed a settled civil fraud action against Geoffrey E. Fitts of Framingham, Massachusetts, and William D. Fabri, Sr., of Ipswich, Massachusetts, alleging that they engaged in illegal insider trading in the stock of MetroWest Bank, formerly a publicly-traded Massachusetts bank. According to the Commission's complaint, in May 2001, Fitts, then a director of MetroWest, tipped his friend Fabri that MetroWest was going to be acquired. Fabri thereafter purchased MetroWest stock prior to the public announcement in June 2001 that Banknorth Group, Inc. would acquire MetroWest. Without admitting or denying the Commission's allegations, Fitts and Fabri consented to the entry of final judgments permanently enjoining them from violating the antifraud provisions of the federal securities laws. Fitts also agreed to pay $14,800 in civil penalties and to be barred from serving as an officer or director of any publicly-traded company. Fabri consented to pay a total of approximately $25,000 in disgorgement, prejudgment interest, and civil penalties. The Commission's complaint alleges that Fitts learned at a MetroWest board of directors meeting on May 16, 2001, of MetroWest's plans to be acquired. According to the Commission's complaint, Fitts passed this information on to Fabri during a telephone call on May 21, 2001. That day, Fabri wrote a $20,000 check from his bank account to his brokerage account to finance the purchase of MetroWest shares. The Commission's complaint alleges that Fitts and Fabri then spent much of the next day together, during which time they further discussed the impending takeover of MetroWest. On May 23, 2001, Fabri purchased 3,000 shares of MetroWest. Between May 21, 2001, and May 25, 2001, Fabri also caused another individual to purchase 325 shares of MetroWest. On June 11, 2001, Banknorth announced its plans to acquire MetroWest, causing MetroWest's stock price to rise. According to the Commission's complaint, through his insider trading, Fabri profited by $10,710, and the other individual profited by $1,130. The Commission's complaint alleges that Fitts breached his fiduciary duty to MetroWest and its shareholders by disclosing to Fabri the material, nonpublic information concerning MetroWest's acquisition, and that Fabri profited from buying MetroWest stock, and caused another person to purchase the stock, while Fabri was in possession of the material, nonpublic information. In its complaint, the Commission charged Fitts and Fabri with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, based on their illegal insider trading. Fitts and Fabri have each consented to entry of final judgments enjoining them from violating these antifraud provisions. In addition, Fitts has consented to pay a civil penalty in an amount equal to 1.25 times the profits of Fabri and the other trader (a penalty of $14,800), and to be permanently barred from serving as an officer or director of any publicly-traded company. Fabri also agreed to disgorge his and the other trader's profits (a total of $11,840), plus prejudgment interest of $1,278.65 thereon, and an additional civil penalty of $11,840 (for total payments by Fabri of $24,958.65). The Commission acknowledges the assistance of the NASD Regulation, Inc. in the matter. [SEC v. Geoffrey E. Fitts and William D. Fabri, Sr., USDC, District of Massachusetts, C.A. No. 03-CV-10658, DPW] (LR-18080) JOSHUA CANTOR CONSENTS TO AN INJUNCTION AND A TEN YEAR OFFICER AND DIRECTOR BAR IN CONNECTION WITH REVENUE RECOGNITION FRAUD, AND A FOREIGN CORRUPT PRACTICES ACT VIOLATION, AT AMERICAN BANKNOTE CORPORATION AND AMERICAN BANK NOTE HOLOGRAPHICS, INC. The Commission today filed a settled civil injunctive action in the U.S. District Court for the Southern District of New York against Joshua C. Cantor, a former president and director of American Bank Note Holographics, Inc. (ABNH) and a former executive vice president of ABNH's publicly-held parent, American Banknote Corporation (ABN). The complaint alleges that, from fiscal year 1996 through fiscal year 1998, Cantor participated in a fraudulent scheme to inflate the revenues and net income of ABNH and ABN in order to meet earnings forecasts and to condition the market for an initial public offering of stock by ABNH. The fraud is alleged to have involved, among other things, fraudulently recognized revenue on consignment and bill and hold sales, the shipment of unusable work in process, and sales of product that was never shipped and that was returned. Cantor also violated the anti-bribery provisions of the federal securities laws when, in 1998, he caused ABNH to pay $239,000 to a Swiss bank account for the purpose of influencing or affecting the acts or decisions of one or more Saudi Arabian officials, or the Saudi Arabian government, to assist ABNH in obtaining or retaining business with that government. Cantor, without admitting or denying the allegations in the Commission's complaint, consented to an order permanently enjoining him from violating and/or aiding and abetting violations of the antifraud, reporting, record keeping, internal controls, and lying to auditors provisions of the federal securities laws, as well as from violating the Foreign Corrupt Practices Act -- Section 17(a) of the Securities Act of 1933, Sections 10(b), 13(a), 13(b)(2)(A) and (B), 13(b)(5), and Section 30A of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, and 13b2-2. In addition, Cantor consented to a ten year prohibition from acting as an officer or director of a public company. This is a refiling of earlier charges against Cantor. The Commission had earlier named Cantor as a defendant in a civil action, (see Lit. Rel. 17068 A, July 18, 2001), that was voluntarily dismissed without prejudice on Nov. 15, 2001. [SEC v. Joshua C. Cantor, Civil Action No. 03 CV 2488, LMM, USDC, SDNY] (LR-18081; AAE Rel. 1757) INVESTMENT COMPANY ACT RELEASES T. ROWE PRICE BALANCED FUND, INC., ET AL. An order has been issued on an application filed by T. Rowe Price Balanced Fund, Inc., et al. granting an exemption from Section 12(d)(1)(G)(i)(II) of the Investment Company Act. The order permits funds of funds relying on section 12(d)(1)(G) of the Act to invest in securities and other financial instruments. The requested order also amends a prior order. (Rel. IC-25996 - April 8) JNL SERIES TRUST, ET AL. An order has been issued on an application filed by JNL Series Trust, et al. under Section 6(c) of the Investment Company Act granting an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-25997 - April 8) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2003-63) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to modify the Transaction Credit Program for exchange-listed securities 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 April 14. (Rel. 34-47635) A proposed rule change (SR-NASD-2003-58) filed by the National Association of Securities Dealers to eliminate the requirement that Primex Auction System Market Makers submit 80% of certain orders to the Primex system has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(5), thereunder. Publication of the proposal is expected in the Federal Register during the week of April 14. (Rel. 34-47645) A proposed rule change (SR-Phlx-2003-18) filed by the Philadelphia Stock Exchange relating to equal Firm Quotation size and AUTO-X guarantees for customer and broker-dealer 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 April 14. (Rel. 34-47646) A proposed rule change filed by the Philadelphia Stock Exchange to adopt a license fee for transactions on the Phlx in DIAMONDSr Exchange Traded Funds (SR-Phlx-2003-20) 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 April 14. (Rel. 34-47647) A proposed rule change (SR-NASD-2003-53) by the National Association of Securities Dealers relating to amendments to NASD Rule 7050 to modify Nasdaq Test Facility pricing for NASD members 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 April 14. (Rel. 34-47648) PROPOSED RULE CHANGE A proposed rule change has been filed by the Municipal Securities Rulemaking Board (SR-MSRB-2003-02) relating to Rule G-14, on Reports of Sales or Purchases. Publication of the proposal is expected in the Federal Register during the week of April 14. (Rel. 34-47650) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2003-08) submitted by the New York Stock Exchange amending Section 703.21 of the NYSE's Listed Company Manual relating to the listing and trading of equity-linked debt securities on the NYSE. Publication of the proposal is expected in the Federal Register during the week of April 14. (Rel. 34-47652) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation, respecting certain underlying securities of Pharmacia Corporation and ProQuest Company, effective at the opening of business on April 10. (Rel. 34- 47653) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 DATALOGIC INTERNATIONAL INC, 12966 EUCLID STREET, SUITE 450, GARDEN GROVE, CA, 92840, 714-530-6005 - 10,000,000 ($800,000.00) Equity, (File 333-104393 - Apr. 9) (BR. 08) S-3 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 4,600,000 ($230,000,000.00) Equity, (File 333-104394 - Apr. 9) (BR. 04) S-4 CITY NATIONAL CORP, 400 N ROXBURY DR, BEVERLY HILLS, CA, 90210, 3108886000 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-104395 - Apr. 9) (BR. 07) S-4 CHESAPEAKE ENERGY CORP, 6100 N WESTERN AVE, OKLAHOMA CITY, OK, 73118, 4058488000 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-104396 - Apr. 9) (BR. 04) S-8 NETMANAGE INC, 10725 N DE ANZA BLVD, CUPERTINO, CA, 95014, 4089737171 - 428,572 ($563,572.18) Equity, (File 333-104397 - Apr. 9) (BR. 03) S-8 TASTY FRIES INC, 650 SENTRY PKWY STE ONE, BLUE BELL, PA, 19422, 6109412109 - 700,000 ($126,000.00) Equity, (File 333-104400 - Apr. 9) (BR. 04) S-8 SALES ONLINE DIRECT INC, 4 BRUSSELS STREET, SUITE 220, WORCESTER, MA, 01610, 5166254040 - 10,000,000 ($500,000.00) Equity, (File 333-104402 - Apr. 9) (BR. 08) S-8 HEALTHTRONICS SURGICAL SERVICES INC, 1841 WEST OAK PARKWAY, SUITE A, MARIETTA, GA, 30062, 7704190691 - 0 ($4,277,500.00) Equity, (File 333-104403 - Apr. 9) (BR. 36) S-8 REMEDYTEMP INC, 101 ENTERPRISE, SLISO VIEJO, CA, 92656, 9494257600 - 50,000 ($596,000.00) Equity, (File 333-104404 - Apr. 9) (BR. 08) S-3D MONMOUTH CAPITAL CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779993 - 1,000,000 ($4,150,000.00) Equity, (File 333-104405 - Apr. 9) (BR. 08) S-3 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 376,300,358 ($248,358,236.00) Equity, (File 333-104406 - Apr. 9) (BR. 37) S-8 STANDEX INTERNATIONAL CORP/DE/, 6 MANOR PKWY, SALEM, NH, 03079, 6038939701 - 800,000 ($15,984,000.00) Equity, (File 333-104407 - Apr. 9) (BR. 06) S-4 CORNERSTONE REALTY INCOME TRUST INC, 306 E MAIN ST, RICHMOND, VA, 23219, 8046431761 - 5,618,284 ($73,768,068.92) Equity, (File 333-104410 - Apr. 9) (BR. 08) S-8 AMERICAN FIRE RETARDANT CORP, 9337 BOND AVENUE, 806-479-0449, EL CAJON, CA, 92012, 619-390-68 - 104,000,000 ($780,000.00) Equity, (File 333-104411 - Apr. 9) (BR. 02) S-8 LAYNE CHRISTENSEN CO, 1900 SHAWNEE MISSION PKWY, MISSION WOODS, KS, 66205-2001, 9133620510 - 250,000 ($2,077,500.00) Equity, (File 333-104412 - Apr. 9) (BR. 06) S-8 LAYNE CHRISTENSEN CO, 1900 SHAWNEE MISSION PKWY, MISSION WOODS, KS, 66205-2001, 9133620510 - 250,000 ($2,077,500.00) Equity, (File 333-104413 - Apr. 9) (BR. 06) S-8 CHINA XIN NETWORK MEDIA CORP, 1000 DE LA GAUCHETIERE WEST, 24TH FLOOR, MONTREAL, A8, H3B 4W5, 514-398-0515 - 15,000,000 ($930,000.00) Equity, (File 333-104414 - Apr. 9) (BR. 37) S-3 SUBURBAN PROPANE PARTNERS LP, P O BOX 206, 240 ROUTE 10 WEST, WIPPANY, NJ, 07981, 9738875300 - 0 ($57,500,000.00) Limited Partnership Interests, (File 333-104415 - Apr. 9) (BR. 02) S-8 ALLSCRIPTS HEALTHCARE SOLUTIONS INC, 2401 COMMERCE DRIVE, LIBERTYVILLE, IL, 60048, 8476808515 - 2,000,000 ($5,003,105.97) Equity, (File 333-104416 - Apr. 9) (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 ----------------------------------------------------------------------------------- ABBOTT LABORATORIES IL X X 04/09/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X 03/27/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 03/27/03 ACCESSPOINT CORP /NV/ NV X 04/07/03 ACCREDO HEALTH INC DE X X 04/08/03 ALLIED WASTE INDUSTRIES INC DE X 04/09/03 ALLIN CORP DE X X 04/02/03 ALLOU HEALTH & BEAUTY CARE INC DE X X 04/09/03 AMERIANA BANCORP IN X X 04/07/03 AMERICAN RESIDENTIAL INVESTMENT TRUST MD X X 04/03/03 ANDREW CORP DE X X 04/09/03 APOGEE ENTERPRISES INC MN X X 04/02/03 ASCENDANT SOLUTIONS INC DE X X 04/02/03 ASPECT COMMUNICATIONS CORP CA X X 04/07/03 AXIOM PHARMACEUTICALS INC NV X X X X X X 04/09/03 AMEND BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 03/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 03/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 03/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 02/25/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 03/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 03/25/03 BANK OF SOUTH CAROLINA CORP SC X 04/08/03 BEACON POWER CORP DE X 12/31/02 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 02/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 02/25/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 04/07/03 BF ENTERPRISES INC DE X 04/04/03 BISYS GROUP INC DE X X 04/08/03 BLACK & DECKER CORP MD X X 04/09/03 BLYTH INC DE X 04/02/03 BLYTH INC DE X X 04/01/03 CALIFORNIA STEEL INDUSTRIES INC X 04/08/03 CANNONDALE CORP / DE X X 04/08/03 CASH AMERICA INTERNATIONAL INC TX X 04/08/03 CATERPILLAR INC DE X 04/09/03 CHART INDUSTRIES INC DE X X X 04/02/03 CHASE FUNDING INC NY X X 04/07/03 CHEMICAL FINANCIAL CORP MI X 04/09/03 CLAIBORNE LIZ INC DE X 04/08/03 COLDWATER CREEK INC DE X X 04/09/03 COMMERCIAL CAPITAL BANCORP INC NV X X 04/09/03 COMMONWEALTH INDUSTRIES INC/DE/ DE X 04/09/03 CONSTELLATION BRANDS INC DE X X 04/09/03 CONSTELLATION BRANDS INC DE X X 03/27/03 CORPORATE DEVELOPMENT & INOVATION INC WA X 04/08/03 CREATIVE HOST SERVICES INC CA X 04/07/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/09/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/09/03 CRESTED CORP CO X 04/01/03 CSX TRADE RECEIVABLES CORP DE X X 03/25/03 CWMBS INC DE X X 02/28/03 CWMBS INC DE X X 02/28/03 CYTOGEN CORP DE X X 04/08/03 DEL MONTE FOODS CO DE X 03/11/03 AMEND DIAL CORP /NEW/ DE X X 04/08/03 DIALYSIS CORP OF AMERICA FL X X 04/08/03 DOGS INTERNATIONAL NV X X X 03/14/03 DOMINION RESOURCES INC /VA/ VA X 04/09/03 DUN & BRADSTREET CORP/NW DE X X 04/09/03 EAGLE FOOD CENTERS INC DE X 04/07/03 EL PASO ENERGY PARTNERS LP DE X 04/07/03 EMC INSURANCE GROUP INC IA X 04/09/03 ENDOCARE INC DE X X 03/03/03 ENERGY & ENGINE TECHNOLOGY CORP NV X X 04/08/03 EOG RESOURCES INC DE X X 04/09/03 ESTELLE REYNA INC NV X 04/08/03 ESTELLE REYNA INC NV X 04/08/03 FAMOUS DAVES OF AMERICA INC MN X X 04/03/03 FIND SVP INC NY X 04/04/03 FINET COM INC DE X 04/09/03 FIRST CONSULTING GROUP INC DE X X 04/09/03 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV X X 04/07/03 FONEFRIEND INC DE X X 12/09/02 FREESTAR TECHNOLOGY CORP NV X 04/02/02 GASCO ENERGY INC NV X 04/09/03 GENENTECH INC DE X X 04/09/03 GENESEE CORP NY X X 04/09/03 GEOCOM RESOURCES INC NV X X 04/09/03 GERON CORPORATION DE X X 04/08/03 GLOBAL CROSSING LTD X X 03/28/03 GMAC EDUCATION LOAN FUNDING TRUST I DE X X 03/21/03 GOAMERICA INC DE X X 04/09/03 GOLDMAN SACHS ASSET BACKED SECURITIES X X 04/07/03 GREENBRIER COMPANIES INC DE X X 04/09/03 GREENWICH CAPITAL ACCEPTANCE INC THOR DE X X 03/25/03 GREER BANCSHARES INC SC X X 04/08/03 GROUP 1 AUTOMOTIVE INC DE X 04/08/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X 03/28/03 GSV INC DE X 04/08/03 HARBOR FLORIDA BANCSHARES INC DE X 03/31/03 HARLEYSVILLE NATIONAL CORP PA X 03/31/03 HEI INC MN X 01/24/03 AMEND HEMACARE CORP /CA/ CA X 04/08/03 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 04/09/03 HERSHA HOSPITALITY TRUST MD X X 04/05/03 HERSHEY FOODS CORP DE X 04/09/03 IMCLONE SYSTEMS INC/DE DE X X X 04/09/03 IMPAX LABORATORIES INC DE X 04/09/03 INDIAN RIVER BANKING COMPANY FL X X 04/09/03 INSURANCE MANAGEMENT SOLUTIONS GROUP FL X X 04/09/03 INTERNATIONAL BANCSHARES CORP TX X X 04/09/03 INTERPUBLIC GROUP OF COMPANIES INC DE X X 03/13/03 IRON MOUNTAIN INC/PA PA X X 04/09/03 ISTA PHARMACEUTICALS INC CA X X 04/04/03 ISTA PHARMACEUTICALS INC CA X X 03/31/03 ISTAR FINANCIAL INC MD X 04/09/03 J2 GLOBAL COMMUNICATIONS INC DE X X 02/05/03 KNIGHT RIDDER INC FL X X 04/09/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 04/09/03 LATINOCARE MANAGEMENT CORP NV X X X X X 04/08/03 LATINOCARE MANAGEMENT CORP NV X X X X X 04/09/03 AMEND LITHIA MOTORS INC OR X X 04/09/03 MANCHESTER TECHNOLOGIES INC NY X 04/09/03 MARKEL CORP VA X X 04/07/03 MARKET CENTRAL INC DE X X 04/03/03 MASCO CORP /DE/ DE X X 04/08/03 MASTR SEASONED SECURITIZATION TRUST 2 DE X X 03/25/03 MDC HOLDINGS INC DE X X 04/09/03 MERCANTILE BANK CORP MI X X 04/09/03 MERRILL LYNCH & CO INC DE X 04/09/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 03/26/03 MERRILL LYNCH MORTGAGE INVESTORS TRUS DE X X 03/26/03 MIDLAND CO OH X X 04/08/03 MINDEN BANCORP INC X X 04/09/03 MOLICHEM MEDICINES INC DE X X 04/04/03 MONACO COACH CORP /DE/ DE X X 04/03/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 02/25/03 MORGAN STANLEY DEAN WITTER CAP I MRT DE X X 04/09/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 03/25/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 03/25/03 MORTGAGE ASSET SECURIT TRANS INC MORT DE X X 03/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 03/25/03 MOTHERS WORK INC DE X X 04/08/03 NAUTILUS GROUP INC WA X X 04/07/03 NCR CORP MD X X 04/09/03 NEOPROBE CORP DE X X 04/02/03 NEUROCRINE BIOSCIENCES INC CA X X 04/09/03 NEXPRISE INC DE X X 04/07/03 NMS COMMUNICATIONS CORP DE X X 04/09/03 NORD PACIFIC LIMITED X 04/09/03 NORTH AMERICAN NATURAL GAS INC WA X 03/26/03 AMEND NOVASTAR MORTGAGE FUNDING CORP HOME E NY X X 03/25/03 NUTRITIONAL SOURCING CORP DE X X 04/08/03 OZ COMMUNICATIONS INC X X 03/14/03 P F CHANGS CHINA BISTRO INC X X 04/02/03 PARK PHARMACY CORP CO X X 03/20/03 PEOPLES COMMUNITY BANCORP INC /MD/ MD X X 04/07/03 PHOENIX COMPANIES INC/DE DE X 04/09/03 PIONEER DRILLING CO TX X X 03/31/03 POKER COM INC FL X X 03/31/03 PORTLAND GENERAL ELECTRIC CO /OR/ OR X X 04/08/03 PORTOLA PACKAGING INC DE X 04/09/03 PREDICTIVE SYSTEMS INC DE X X 04/08/03 PSYCHIATRIC SOLUTIONS INC DE X X 04/01/03 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE X X 04/09/03 RAMSAY YOUTH SERVICES INC DE X X 04/09/03 RATEXCHANGE CORP DE X 04/09/03 RATEXCHANGE CORP DE X 04/09/03 RECOTON CORP NY X X 04/08/03 REGENCY AFFILIATES INC DE X X 04/08/03 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/03 RUDOLPH TECHNOLOGIES INC DE X 12/31/02 SAFARI ASSOCIATES INC X X 04/04/03 SCANSOURCE INC SC X X 04/03/03 SEALED AIR CORP/DE DE X 04/02/03 SI DIAMOND TECHNOLOGY INC TX X X 04/09/03 SIX FLAGS INC DE X X 04/09/03 SKYWEST INC UT X X 03/31/03 AMEND SONUS NETWORKS INC DE X X 04/09/03 STANLEY WORKS CT X X 04/09/03 STRUCTURED ASSET INVESTMENT LOAN TRUS DE X X 03/26/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 03/25/03 STRUCTURED ASSET MORT INV INC MORT PA DE X X 03/25/03 STRUCTURED ASSET MORT INV MORT PASS T DE X X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS X X 03/28/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 03/28/03 STRUCTURED ASSET SECURITIES CORP MOR DE X X 03/25/03 SUITE 101 COM INC DE X 04/04/03 SUNRISE ASSISTED LIVING INC DE X X 03/28/03 SUSQUEHANNA MEDIA CO DE X 04/09/03 SWEETHEART HOLDINGS INC \DE\ DE X X 04/08/03 SWS GROUP INC DE X 04/09/03 SYSCOMM INTERNATIONAL CORP DE X X 04/03/03 SYSTEMS & COMPUTER TECHNOLOGY CORP DE X X 04/04/03 TECHTEAM GLOBAL INC DE X X 04/07/03 TECUMSEH PRODUCTS CO MI X X 03/25/03 TESSCO TECHNOLOGIES INC DE X X 04/07/03 TEXEN OIL & GAS INC NV X 04/08/03 AMEND TEXEN OIL & GAS INC NV X 04/08/03 AMEND TGC INDUSTRIES INC TX X 04/02/03 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 03/25/03 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 03/25/03 TRADING SOLUTIONS COM INC NV X X X X 04/08/03 TRIMBLE NAVIGATION LTD /CA/ CA X X 04/09/03 UNITED BANKSHARES INC/WV WV X X 04/04/03 UNITED PAN EUROPE COMMUNICATIONS NV X X X 04/09/03 UNITED STATES STEEL CORP DE X X 04/09/03 US ENERGY CORP WY X 04/01/03 USA INTERACTIVE DE X 04/08/03 VINEYARD NATIONAL BANCORP CA X X 04/09/03 VSOURCE INC DE X 04/08/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X 04/07/03 WELLMAN INC DE X 04/09/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 03/25/03 WELLS FARGO ASSET SEC CORP MORT PA TH DE X X 03/25/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 03/25/03 WELLS FARGO ASSET SEC CORP MORTGAGE P DE X X 03/25/03 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 03/25/03 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 03/25/03 YAHOO INC DE X X X 04/09/03 YP NET INC NV X X 03/27/03 ZARLINK SEMICONDUCTOR INC X 04/08/03