SEC NEWS DIGEST Issue 2003-78 April 24, 2003 COMMISSION ANNOUCEMENTS CHAIRMAN WILLIAM DONALDSON ANNOUNCES SELECTION OF LEADERSHIP TEAM On April 23, Chairman William H. Donaldson announced the appointment of Laura Cox, Peter Derby and Patrick Von Bargen to serve as the leadership team in the Office of the Chairman at the Securities and Exchange Commission. "The Securities and Exchange Commission has received tremendous new resources, and there is a unique and exciting opportunity for the Commission to use these resources to create a quicker, more agile and more proactive organization. Strong and effective management is crucial to this transition and is as much a part of investor protection as any aspect of the Commission's work. Our outreach to investors and the public, our management of the Commission's unprecedented growth, and our continued pursuit of a thorough and fair regulatory and enforcement program are all vital aspects of our mission. Each should have the full attention of the Chairman's office. "I have asked Laura, Peter and Patrick to each focus their efforts on one facet of this mission. They each bring a wealth of experience to their position, and I look forward to working with them to further the best interests of America's investors," Chairman Donaldson said. Laura Cox has been named Managing Executive for External Affairs. In this position Cox will assist the Chairman with the oversight of the Commission's legislative affairs, public affairs, intergovernmental affairs and investor education efforts and provide coordinated, strategic advice in these areas. Cox currently serves as Deputy Assistant Secretary for Banking and Finance in the Office of Legislative Affairs at the U.S. Department of the Treasury where she is responsible for representing the Administration's domestic finance agenda and priorities with Members of Congress and congressional staff. Prior to joining the Treasury, Cox was Vice President for Strategic Policy Communications, Government and Regulatory Affairs at Instinet Corporation. Prior to Instinet, Cox spent eight years on Capitol Hill - six with Senate Banking Committee Chairman Richard C. Shelby (R-AL) and as Communications Director to the Senate Republican Conference Vice Chairman, Paul Coverdell (R-GA). She began her tenure in Washington in the office of Rep. Charles W. Stenholm (D-TX). Peter Derby has been named Managing Executive for Operations. In this position Derby will assist the Chairman with the increase in the SEC's operational effectiveness and responsiveness while considering administrative, operational and management issues as the Commission grows. Derby has served as an elected member of the Board of Trustees of the Village of Irvington-on-Hudson, New York, since 2002. Derby spent a decade in Russia, where he participated in the founding of DialogBank, the first private Russian bank to receive an international banking license. He was named CFO in 1990, served as President and CEO from 1991 to 1997 and as Chairman from 1997 to 1998. Additionally, Derby founded the first Russian investment firm, Troika Dialog and served as President and CEO from 1991 - 1996 and as Chairman from 1996 to 1997. Prior to his tenure in Russia, Derby was a Corporate Finance Officer at National Westminster Bank from 1985 to 1990, and an Auditor at Chase Manhattan Bank from 1983 to 1985, both in New York City. Patrick Von Bargen has been named Managing Executive for Policy and Staff. In this position Von Bargen will assist the Chairman with the promulgation and enforcement of policies, regulations, rules and procedures governing markets and issuers. He will be Chairman Donaldson's primary liaison with the other Commissioners' offices and conduct the management of the Chairman's personal office. Prior to joining the Securities and Exchange Commission, Von Bargen was Executive Director of the National Center for Regional Innovation and Competitiveness and Vice President of the Council on Competitiveness, a public policy organization of major CEO's, university presidents and labor leaders founded in 1986 by Hewlett-Packard President John Young. From 1999 to 2002, he was the founding Executive Director of the National Commission on Entrepreneurship. Von Bargen served as Chief of Staff for United States Senator Jeff Bingaman (D-NM) from 1989 to 1999. He practiced law first in San Francisco at the law firm of Morrison and Foerster and then became a partner with Hutchinson, Black, Hill and Cook in Boulder, Colorado. Von Bargen began his career as an associate with Sequoia Funds, a Menlo Park, California, venture capital fund. (Press Rel. 2003-50) ENFORCEMENT PROCEEDINGS COMMISSION ORDERS MAXWORLDWIDE, INC., F.K.A. L90, INC. TO CEASE AND DESIST On April 23, the Commission ordered MaxWorldwide, Inc., f.k.a. L90, Inc. (L90) to cease and desist from violating the reporting, recordkeeping, and internal control provisions of the federal securities laws. L90, during the relevant period, was a Marina Del Rey, California-based Internet advertising firm that is now based in New York, New York. The Commission's order found that, from Q3 2000 through Q3 2001, L90 overstated its revenue by a total of $4.9 million, or 9.2%, and as much as 29% in one quarter, and was thereby able to meet stock analysts' revenue estimates in all but one quarter. L90 reported the overstated financial results in its 2000 Form 10-K and its Q3 2000, Q1, Q2, and Q3 2001 Forms 10-Q. In May and June 2002, L90 restated its financial statements. L90, without admitting or denying the Commission's findings, agreed to the order to cease and desist. The Commission's order found that the principal method L90 used to generate these overstated revenues involved barter transactions in which L90 either recognized its own cash as revenue or overstated its revenue by "check-swapping" or "round-tripping" cash with one or more third parties. In these transactions, L90 swapped advertising on its proprietary website, webMillion.com, with advertising on another company's website and, to generate revenue from the barter transactions, exchanged cash with the other company. In the second revenue-generating method, L90 booked revenue for a large advertising campaign despite the fact that certain top L90 managers knew from the outset of the campaign that L90 would never receive payment from the client. By recognizing revenue on these transactions, L90 overstated its revenues and departed from Generally Accepted Accounting Principles (GAAP). The Commission's order also found that L90 misclassified its 2000 and 2001 research and development expenses. Specifically, L90 improperly classified as research and development expenses approximately $26 million of operating expenses related to L90's proprietary computer system. L90's recording of these expenses as research and development was improper and not in conformity with GAAP. L90 is currently in the process of restating its financial statements concerning research and development expenses for 2000 and 2001. The Commission ordered L90 to cease and desist from committing or causing violations of reporting provisions, Section 13(a) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1, and 13a-13 thereunder; and recordkeeping and internal control provisions, Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. In a related action, the Commission filed a complaint in federal district court in Los Angeles, California against L90's former Chief Executive Officer, Vice President of Finance, Senior Vice President of Business Development, and Controller (SEC v. John C. Bohan, et al., C.D.Cal.). (Rel. 34-47727; AAE Rel. 1760; File No. 3-11090) WORLD VISION ENTERTAINMENT, INC. PONZI SCHEME PRINCIPAL JAMIE PIROMALLI RECEIVES THREE AND ONE-HALF YEAR PRISON SENTENCE AND ORDERED TO PAY OVER $24 MILLION IN RESTITUTION The Commission announced today that on April 11 the U.S. District Court for the Middle District of Florida-Tampa Division sentenced Jamie P. Piromalli (Piromalli) of Maitland, Florida, to three and one-half years in prison for his role in the World Vision Entertainment, Inc. (World Vision) promissory note Ponzi scheme. The Court also ordered Piromalli to pay over $24 million in restitution. Previously, on July 30, 2002, Piromalli pled guilty to one count of conspiracy to commit securities fraud. Piromalli and four additional World Vision principals (Defendants) were the subjects of a civil injunctive action, SEC v. Piromalli, et al., filed by the SEC on June 1, 2000, in the U.S. District Court for the Southern District of Ohio. The SEC's complaint alleged that the Defendants offered and sold securities in the form of nine-month promissory notes through a nationwide sales network and made numerous false and misleading statements to investors about the World Vision notes. Specifically, the Defendants misrepresented that the notes were unconditionally guaranteed and insured and that all of the proceeds of the offering would be used to develop World Vision's products. Instead, the Defendants allegedly used the proceeds of the note offering to pay for the personal and business expenses of company officers and directors, to cover interest and principal payments to investors and to pay large, undisclosed commissions to the sales network. Through World Vision, the Defendants, and others acting in concert with them, raised at least $64 million from approximately 1,200 investors in 33 states from the sale of World Vision promissory notes. As a result, when World Vision filed for bankruptcy protection in September 1999, investors lost approximately $52 million. The SEC obtained an order of permanent injunction against Piromalli on Aug. 27, 2001. In addition, on Jan. 22, 2002, Piromalli was ordered to pay $5,218,531.61 in disgorgement and prejudgment interest and an $110,000 civil penalty. The SEC is currently seeking to enforce its judgments against Piromalli. For further information see LR-17773. [SEC v. Jamie P. Piromalli, et al., Civil Action No. C-2-00 622, SD Ohio] (LR-18098) SECURITIES LAW RECIDIVIST SENTENCED TO OVER 5 YEARS IN PRISON On April 22, the U.S. District Court for the Eastern District of New York sentenced Dr. Jui-Teng Lin to 5 years and 10 months in prison for securities fraud and money laundering. Dr. Lin was convicted by jury trial on Dec. 13, 2002. According to the evidence at trial, Dr. Lin manipulated the common stock of Surgilight, Inc., a publicly traded company headquartered in Orlando, Florida. Dr. Lin settled a prior civil action brought by the Commission in 1998 by consenting to a permanent injunction against further violations of the federal securities laws [see SEC v. Jui-Teng Lin and Yuchin Lin, Litigation Release No. 15870 (Sept. 3, 1998)]. Dr. Lin's violation of that injunction resulted in an enhancement of his sentence in the Surgilight case. Simultaneously with his indictment, the Commission filed a civil action against Dr. Lin and others in the U.S. District Court for the Middle District of Florida arising out of the same securities fraud for which he was convicted. That action is pending. For further information, see Litigation Release Nos. 17899 (Dec. 17, 2002) and 17469 (April 11, 2002). [U.S. v. Jui-Teng Lin, CR-02-0423, DGT, EDNY] (LR- 18099) SEC AND U.S. ATTORNEY'S OFFICE BRING CIVIL AND CRIMINAL FINANCIAL FRAUD ACTIONS AGAINST FORMER OFFICERS OF INTERNET ADVERTISING COMPANY The Commission, the U.S. Attorney's Office for the Central District of California and the Federal Bureau of Investigation today announced the filing of civil and criminal charges against former senior officers of L90, Inc. (currently known as MaxWorldwide, Inc. and headquartered in New York, NY), an Internet advertising firm that was located in Marina Del Rey, California. The civil and criminal actions allege that the officers engaged in fraudulent conduct that resulted in the overstatement of L90's revenues to the public in 2000 and 2001. Each of the defendants settled the Commission's action without admitting or denying the allegations in the complaint. The Commission's civil complaint, filed today in U.S. District Court in Los Angeles, alleges that John C. Bohan, L90's former CEO, president, and member of L90's board of directors; Lucrezia Bickerton, L90's former vice president of finance; Mark D. Roah, L90's former senior vice president of business development and member of L90's board of directors; and Chantel J. Loo, L90's former controller and director of finance, engaged in a scheme to generate false revenues through fraudulent barter transactions with other Internet companies in order to meet stock analysts' revenue estimates. To generate revenue from these barter transactions, L90 swapped checks with the other companies or "round-tripped" cash through more than one third party. The essence of the round-trip transactions was a circular flow of money by which L90 improperly recognized revenue. The Justice Department's criminal action, also filed this morning in federal court in Los Angeles, charges Bohan with criminal securities fraud. Bickerton and Roah are charged with being part of a conspiracy to commit securities fraud in connection with L90's fraudulent scheme. Roah also is charged in a separate conspiracy to fraudulently inflate the revenues of Homestore.com, Inc. As a participant in that conspiracy, Roah is charged with orchestrating "round-trip" transactions involving Homestore, L90 and other companies, which enabled Homestore fraudulently to recognize its own cash as revenue. In the process, a company controlled by Roah received over $650,000 cash. Bohan, Bickerton, and Roah have agreed to settle the Commission's lawsuit, to plead guilty to the criminal charges, and to cooperate with the government in the ongoing investigation. Loo, who was not charged in the criminal case, has agreed to settle the Commission's lawsuit. The Commission's complaint alleges that the primary scheme to inflate revenues involved ten barter transactions that L90 fraudulently recorded on its books. In five of these transactions, L90 agreed to exchange Internet advertising on its proprietary website, webMillion.com, with one other company, swapped checks of identical or similar amounts with the same company, and improperly recognized revenue on the money received in the exchange. In five other transactions, L90 agreed to exchange advertising on webMillion.com with at least one other company, engaged in the round-tripping of money through at least two other companies, and improperly recognized revenue on money received from the round-tripping. These transactions included two round-trip transactions with Homestore in which L90 recognized $500,000 in revenue. In a second revenue-generating scheme, L90 improperly booked revenue for a large advertising campaign despite the fact that Bohan and Bickerton knew that L90 would never receive payment for the campaign. Through these fraudulent practices, L90 overstated its revenues from Q3 2000 through Q3 2001 by at least $4.9 million, or 9.2%, and by as much as 29% in one quarter. L90 was thereby able to meet analysts' revenue estimates in all but one quarter. The Commission's complaint charges Bohan, Bickerton, Roah, and Loo with securities fraud, lying to the auditors, falsifying L90's books and records, circumventing L90's system of internal accounting controls, and aiding and abetting L90's reporting violations. The Commission also charged Roah with aiding and abetting the fraudulent reporting of inflated Homestore revenues by certain of Homestore's employees. The individuals charged, their alleged violative conduct, and terms of their plea agreements and settlements are: * John C. Bohan, 38, of Manhattan Beach, California, orchestrated and approved the fraudulent barter and advertising campaign schemes; lied to L90's auditor about the transactions related to these schemes, and signed L90's Forms 10-K, 10-Q, and a registration statement that incorporated false financial information. In the criminal case, Bohan agreed to plead guilty to one count of securities fraud. In the Commission's case, Bohan will be enjoined from committing future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, and 13b2- 2 thereunder, will disgorge $196,012, plus interest, in bonuses he received, and will pay a $200,000 civil penalty. Bohan will also be barred from serving as an officer or director of a public company. * Lucrezia Bickerton, 31, of Hermosa Beach, California, helped orchestrate and facilitate the barter and advertising schemes, recorded revenue on the transactions related to these schemes, and lied to L90's auditor about the transactions related to these schemes. In the criminal case, Bickerton agreed to plead guilty to one count of conspiracy to commit securities fraud. In the Commission's case, she will be enjoined from committing future violations of Section 17(a) of the Securities Act and Sections 10(b), 13(a), and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2- 1, and 13b2-2 thereunder, and will disgorge $69,761, plus interest, in bonuses she received, of which all but $11,000 will be waived based on her demonstrated inability to pay additional funds. Bickerton will be barred from serving as an officer or director of a public company for ten years. * Mark D. Roah, 34, of Manhattan Beach, California negotiated and implemented the fraudulent barter transactions with the outside companies, lied to L90's auditor about certain barter transactions, and signed L90's Form 10-K and the registration statement that incorporated false financial information. Roah also misappropriated substantial amounts of money from L90's two round-trip transactions that involved Homestore. In the criminal case, Roah agreed to plead guilty to two counts of conspiracy to commit securities fraud. In the Commission's case, Roah will be enjoined from committing future violations of Section 17(a) of the Securities Act and Sections 10(b), 13(a), and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b- 20, 13a-1, 13a-13, 13b2-1, and 13b2-2 thereunder, and will disgorge $778,970, plus interest, in bonuses he received and for the money he misappropriated in the two round-trip transactions involving Homestore. Roah will also be barred from serving as an officer or director of a public company. * Chantel J. Loo, 30, of Beverly Hills, California, helped coordinate some of the check-swaps, was involved in recording some of the barter transactions into L90's books and records, and lied to L90's auditor about the barter transactions. Loo will be enjoined from committing future violations of Section 17(a) of the Securities Act and Sections 10(b), 13(a), and 13(b)(5) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1, and 13b2- 2 thereunder, and will disgorge $20,933.49, plus interest, in bonuses she received, of which all but $7,500 will be waived based on her demonstrated inability to pay additional funds. Loo will also be barred from serving as an officer or director of a public company for five years. Loo was not criminally charged. In a related matter, the Commission today also announced that it ordered MaxWorldwide, Inc., formerly L90, Inc., to cease and desist from violating the reporting, record keeping, and internal control provisions of the federal securities laws. The Commission found that L90 materially overstated its revenues in 2000 and 2001 as a result of the improper barter transactions and advertising campaign and that L90 misclassified approximately $26 million of its research and development expenses in 2000 and 2001. L90 consented to the entry of the order without admitting or denying the Commission's findings. The civil case is the product of an ongoing investigation by the Commission. The criminal case was investigated by the Federal Bureau of Investigation. [SEC v. John C. Bohan, et al., CV 03-2834 R (RNBx) C.D. Cal.] (LR 18100; AAE Rel. 1761) FINAL JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF ENTERED AGAINST DONALD RHOADES AND KARYN MILLER The Commission announced that on April 21 the U.S. District Court for the Southern District of Florida entered Final Judgments of Permanent Injunction and Other Relief (Final Judgments) against Donald E. Rhoades (Rhoades) and Karyn Miller (Miller), entered by their consent, without admitting or denying the allegations of the Commission's complaint. The Final Judgments enjoin Rhoades and Miller from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 [15 U.S.C. 77e(a), 77e(c) and 77q] and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 [15 U.S.C. 78j(b) and 78o(a)(1)] and Rule 10b-5 thereunder [17 C.F.R. 240.10b-5]. On Dec. 28, 2000, the SEC filed an emergency action against Rhoades, Miller and others seeking to enjoin the alleged ongoing fraudulent securities offering being conducted by a Miami, Florida boiler-room and its principals and telemarketers. Among other things, the SEC's complaint alleges that the boiler-room, Web Hosting Headquarters Partnership (Web Hosting), failed to disclose to investors that it was controlled by individuals with a prior history of defrauding investors, and that it had diverted at least 62% of funds raised from investors to pay its principals and telemarketers. In addition to the permanent injunction, the Final Judgment entered as to Rhoades also orders him to pay disgorgement in the amount of $764,272, plus prejudgment interest thereon in the amount of $98,664, and imposes a civil penalty of $185,000. The penalty will be distributed to investors of Web Hosting pursuant to the Fair Funds provisions of Section 308(a) of the Sarbanes-Oxley Act of 2002. The Final Judgment entered as to Miller orders her to pay disgorgement in the amount of $154,015, plus prejudgment interest thereon, but waives payment of disgorgement and does not impose a civil penalty based upon Miller's sworn financial statement and supporting documentation submitted to the Commission. For further information see also, Litigation Release No. 16846 (Dec. 29, 2000). [SEC v. Web Hosting Headquarters Partnership, Donald E. Rhoades, Kenneth R. Grossfeld, Wayne L. Prichason, Eduardo Villar, and Karyn Miller, et al., Case No. 00-4975- CIV-HIGHSMITH-TURNOFF, S.D. Fla.] (LR-18101) SEC BRINGS ENFORCEMENT ACTIONS AGAINST AUDITORS OF CENDANT CORPORATION AND CUC INTERNATIONAL On April 23, the Commission filed a settled complaint in the U.S. District Court for the District of Columbia against two Ernst & Young LLP (E&Y) partners, Kenneth Wilchfort and Marc Rabinowitz, in connection with audits of Cendant Corporation (Cendant) and its predecessor, CUC International (CUC). The complaint alleges that the two partners aided and abetted Cendant's and CUC's violations of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and seeks a permanent injunction. Without admitting or denying the Commission's allegations, Wilchfort and Rabinowitz consented to the entry of judgments enjoining them from violating the reporting provisions of the federal securities laws. Without admitting or denying the findings in the Commission's Orders, Wilchfort and Rabinowitz also consented to the issuance of administrative orders, based on the injunctions, suspending them from appearing or practicing before the Commission as accountants and providing that they may apply for reinstatement after four years. The complaint alleges that Wilchfort and Rabinowitz were E&Y's partners responsible for providing audit and accounting advisory services to Cendant and CUC. The complaint further alleges that, despite the fact that Cendant and CUC provided them with false documents and otherwise lied to them, Wilchfort and Rabinowitz improperly failed to detect that Cendant's and CUC's financial statements were not presented in conformity with generally accepted accounting principles. The complaint allleges that Wilchfort and Rabinowitz had a duty to withhold their firm's audit report containing an unqualified opinion and take appropriate steps to prevent these financial statements from being filed with the Commission and circulated to investors. The complaint also alleges that, by failing to do so, Wilchfort and Rabinowitz aided and abetted Cendant's and CUC's violations of the reporting provisions of the federal securities laws. The judgments will permanently enjoin Wilchfort and Rabinowitz from, directly or indirectly, aiding and abetting any issuer of a security registered pursuant to Section 12 of the Exchange Act by filing any report required by the Securities Act of 1933 or the Exchange Act and the rules of the Commission that fails to contain information and documents as the Commission requires to keep reasonably current the information and documents required to be included in the report, in violation of Section 13(a) of the Exchange Act or Rules 12b-20, 13a-1 or 13a-13 promulgated thereunder. The Commission previously brought related civil actions and administrative proceedings against nine individuals, as well as against the issuer. In those actions, the Commission charged among others, CUC's former Chairman and Chief Executive Officer, President and Chief Operating Officer, Chief Financial Officer, Controller and Senior Vice President, Vice President of Accounting and Reporting, and Director of Financial Reporting. See Litigation Release No. 16910 (Feb. 28, 2001); Litigation Rel. No. 16587 (June 14, 2000); Exchange Act Rel. No. 42933 (June 14, 2000); Exchange Act Rel. No. 42934 (June 14, 2000); Exchange Act Rel. No. 42935 (June 14, 2000); Exchange Act Rel. No. 42936 (June 14, 2000); Exchange Act Rel. No. 43034 (July 13, 2000). These actions remain pending as to four of these individuals. The Commission acknowledges the assistance provided by the U.S. Attorney for the District of New Jersey. [SEC v. Kenneth Wilchfort and Marc Rabinowitz, 03 Civ. 0933-RCL D.D.C.] (LR-18102) INVESTMENT COMPANY ACT RELEASES WELLS FARGO FUNDS TRUST, ET AL. A notice has been issued giving interested persons until May 19, 2003, to request a hearing on an application filed by Wells Fargo Funds Trust, et al. for an order under Section 6(c) of the Investment Company Act exempting applicants from Section 15(f)(1)(A) of the Act. The order would permit a registered open-end investment company not to reconstitute its board of directors following the acquisition of the assets of certain other registered open-end investment companies. (Rel. IC-26026 - April 23) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission has approved a proposed rule change submitted by the International Securities Exchange relating to a one-year pilot for options intermarket linkage fees (SR-ISE-2003-11). Publication of the proposal is in the Federal Register during the week of April 28. (Rel. 34-47719) WITHDRAWAL GRANTED An order has been issued granting the application of Landesbank Baden- Wrttemberg to withdraw its 7-7/8% Subordinated Notes (due April 15, 2004) from listing and registration on the New York Stock Exchange. (Rel. 34-47722) DELISTINGS GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on April 24. Albertson's, Inc. (ABS) Allied Capital Corporation (ALD) C.R. Bard, Inc. (BCR) Boyd Gaming Corporation (BYD) Centex Corporation (CTX) CIT Group, Inc. (CIT) Continental Airlines, Inc. - Class B (CAL) Enzon Pharmaceuticals, Inc. (QYZ/ENZN) Everest Re Group, Ltd. (RE) GATX Corporation (GMT) General Motors Corporation - Class H (GMH) Getty Images, Inc. (GYI) GreenPoint Financial Corporation (GPT) Harmony Gold Mining Company Limited (HMY) Human Genome Sciences, Inc. (HQI/HGSI) IMS Health Incorporated (RX) International Rectifier Corporation (IRF) JetBlue Airways Corporation (JGQ/JBLU) Pacific Sunwear of California, Inc. (PVQ/PSUN) PolyMedica Corporation (PM/PLMD) Providian Financial Corporation (PVN) RadioShack Corporation (RSH) Shaw Group, Inc. (SGR) Southwest Airlines Co. (LUV) Staples, Inc. (PLQ/SPLS) SUPERVALU INC. (SVU) Tiffany & Co. (TIF) TMP Worldwide, Inc. (BSQ/TMPW) Transkaryotic Therapies, Inc. (UFT/TKTX) Unilever NV - NY Shares (UN) Williams Companies, Inc. (WMB) (Rel. 34-47723) 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 April 24. Household International, Inc. HEALTHSOUTH Corporation Internet Architecture HOLDRS Trust Incyte Corporation Powerwave Technologies, Inc. Power-One, Inc. Thermo Electron Corporation UAL Corporation Wind River Systems, Inc. (Rel. 34-47724) 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 BARD C R INC /NJ/, 730 CENTRAL AVE, MURRAY HILL, NJ, 07974, 9082778000 - 2,000,000 ($113,920,000.00) Equity, (File 333-104683 - Apr. 23) (BR. 36) S-8 EARTH SCIENCES INC, 8100 SOUTHPARK WAY, B-2, LITTLETON, CO, 80120, 303-734-1727 - 81,410 ($21,980.70) Equity, (File 333-104684 - Apr. 23) (BR. 02) S-8 ADAPTEC INC, 691 S MILPITAS BLVD, M/S25, MILPITAS, CA, 95035, 4089458600 - 0 ($3,664,568.00) Equity, (File 333-104685 - Apr. 23) (BR. 03) S-8 UNIVERSAL DOMAINS INC, 300-750 WST PENDER ST, BURNABY, BRITISH COLUMBIA CAN, A1, V6C21J, 6046461075 - 17,300,000 ($692,000.00) Equity, (File 333-104686 - Apr. 23) (BR. 04) F-10 INCO LTD, 145 KING ST WEST, SUITE 1500, TORONTO ONTARIO CAN, A6, M5H 4B7, 4163617511 - 272,679 ($237,912,427.50) Debt Convertible into Equity, (File 333-104687 - Apr. 23) (BR. 04) F-10 INCO LTD, 145 KING ST WEST, SUITE 1500, TORONTO ONTARIO CAN, A6, M5H 4B7, 4163617511 - 227,100 ($219,855,510.00) Debt Convertible into Equity, (File 333-104688 - Apr. 23) (BR. 04) S-4 CONTINENTAL AIRLINES INC /DE/, 1600 SMITH STREET 3303D, DEPT HQSEO, HOUSTON, TX, 77002, 7133245000 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-104689 - Apr. 23) (BR. 05) S-8 SOUND FEDERAL BANCORP INC, 300 MAMARONECK AVE, MAMARONECK, NY, 10543-2647, 9146986400 - 1 ($1.00) Equity, (File 333-104690 - Apr. 23) (BR. 07) S-8 INTERCONTINENTAL HOTELS GROUP PLC /NEW/, 20 NORTH AUDLEY ST, LONDON WIY 1WE ENGLA, X0, 32822, 4045513500 - 41,000,000 ($219,350,000.00) Other, (File 333-104691 - Apr. 23) (BR. 02) S-8 SANMINA-SCI CORP, 2700 N FIRST ST, SAN JOSE, CA, 95134, 4089643500 - 0 ($94,950,000.00) Equity, (File 333-104692 - Apr. 23) (BR. 36) S-8 BANKNORTH GROUP INC/ME, ONE PORTLAND SQ, P O BOX 9540, PORTLAND, ME, 04112, 2077618500 - 8,100,000 ($179,658,000.00) Equity, (File 333-104693 - Apr. 23) (BR. 07) S-8 SCS TRANSPORTATION INC, 0 ($3,285,260.00) Equity, (File 333-104694 - Apr. 23) (BR. 05) S-3 NOVAVAX INC, 8320 GUILFORD RD, STE C, COLUMBIA, MD, 21046, 3078543900 - 0 ($30,071,547.00) Equity, (File 333-104695 - Apr. 23) (BR. 01) S-8 NEW ENVIRONMENTAL TECHNOLOGIES CORP, 9005 COBBLE CANYON RD, SANDY, UT, 84093, 8013637411 - 10,000,000 ($500,000.00) Equity, (File 333-104696 - Apr. 23) (BR. 09) S-8 INTROGEN THERAPEUTICS INC, 301 CONGRESS AVE, SUITE 1850, AUSTIN, TX, 78701, 5127089310 - 0 ($2,524,529.80) Equity, (File 333-104697 - Apr. 23) (BR. 01) SB-2 NES WORLDWIDE INC, 1,240,250 ($1,240,250.00) Equity, (File 333-104698 - Apr. 23) (BR. ) S-1 PHOTOGEN TECHNOLOGIES INC, 7327 OAK RIDGE HIGHWAY, SUITE B, KNOXVILLE, TN, 37931, 4237694011 - 0 ($683,473.00) Equity, (File 333-104699 - Apr. 23) (BR. 01) S-8 NAPCO SECURITY SYSTEMS INC, 333 BAYVIEW AVE, AMITYVILLE, NY, 11701, 5168429400 - 0 ($2,760,800.00) Equity, (File 333-104700 - Apr. 23) (BR. 37) S-8 AGL RESOURCES INC, TEN, PEACHTREE PLACE, ATLANTA, GA, 30309, 4045849470 - 1,134,336 ($27,326,154.24) Equity, (File 333-104701 - Apr. 23) (BR. 02) S-3 CENTRAL EUROPEAN DISTRIBUTION CORP, PALM TOWER BUILDING, 1343 MAIN STREET SUITE 301, SARASOTA, FL, 34236, 9413301558 - 996,000 ($25,915,920.00) Equity, (File 333-104702 - Apr. 23) (BR. 02) S-8 SEROLOGICALS CORP, 5655 SPALDING DRIVE, 5655 SPALDING DRIVE, NORCROSS, GA, 30092, 4042965595 - 0 ($768,000.00) Equity, (File 333-104703 - Apr. 23) (BR. 01) SB-2 ALTERNATE MARKETING NETWORKS INC, ONE IONIA S W, STE 520, GRAND RAPIDS, MI, 49503, 6162350698 - 0 ($618,509.75) Equity, (File 333-104704 - Apr. 23) (BR. 02) S-3 UBIQUITEL INC, 1 BALA PLAZA SUITE 402, BALA CYNWYD, PA, 19004, 6106609510 - 0 ($4,636,750.00) Equity, (File 333-104705 - Apr. 23) (BR. 37) N-2 SALOMON BROTHERS GLOBAL HIGH YIELD FUND INC, SALOMON BROTHERS ASSET MANAGEMENT INC, 125 BROAD STREET, NEW YORK, NY, 10004, 8007256665 - 0 ($15,000.00) Equity, (File 333-104706 - Apr. 23) (BR. 17) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 460, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 850,000 ($38,250.00) Equity, (File 333-104707 - Apr. 23) (BR. 06) N-2 PAFM NICHOLAS APPLEGATE NFJ CONVERTIBLE & INCOME FUND, 1345 AVENUE OF THE AMERICAS, 47TH FLOOR, NEW YORK, NY, 10105, 212 739 3502 - 1,000 ($15,000.00) Equity, (File 333-104708 - Apr. 23) (BR. ) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 460, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 650,000 ($29,250.00) Equity, (File 333-104709 - Apr. 23) (BR. 06) S-8 PARTNERS TRUST FINANCIAL GROUP INC, 233 GENESEE STREET, UTICA, NY, 13501, 895,663 ($15,593,492.83) Equity, (File 333-104710 - Apr. 23) (BR. 07) S-8 KANA SOFTWARE INC, 181 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 6506148300 - 0 ($33,714,208.00) Equity, (File 333-104711 - Apr. 23) (BR. 08) S-8 TELEDYNE TECHNOLOGIES INC, 2049 CENTURY PARK E, #1500, LOS ANGELES, CA, 90067-3101, 310-277-3311 - 0 ($2,727,000.00) Equity, (File 333-104712 - Apr. 23) (BR. 06) S-3 EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES /NY/, 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104, 2125541234 - 400,000,000 ($400,000,000.00) Other, (File 333-104713 - Apr. 23) (BR. 20) S-8 SCHERING PLOUGH CORP, ONE GIRALDA FARMS, MADISON, NJ, 07940-1000, 9738227000 - 200,000 ($3,509,000.00) Equity, (File 333-104714 - Apr. 23) (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 ------------------------------------------------------------------------------------ 3 D SYSTEMS CORP DE X X 04/21/03 AAIPHARMA INC DE X X 04/21/03 ABGENIX INC DE X X 04/23/03 ABRAXAS PETROLEUM CORP NV X 04/23/03 ABRAXAS PETROLEUM CORP NV X 04/23/03 ACCUPOLL HOLDING CORP NV X X 04/09/03 ACT TELECONFERENCING INC CO X X 04/23/03 ACTEL CORP CA X 04/23/03 ADAPTEC INC DE X X 04/17/03 ADEPT TECHNOLOGY INC DE X X 04/23/03 ADVANCED ENERGY INDUSTRIES INC DE X X 04/17/03 ADVANCED MEDICAL OPTICS INC DE X X 04/23/03 ADVANCED MICRO DEVICES INC DE X 04/16/03 AEGIS ASSET BACKED SECURITIES CORP DE X 04/22/03 AEI INCOME & GROWTH FUND 24 LLC DE X 04/10/03 AFFILIATED MANAGERS GROUP INC DE X X 04/23/03 AFFYMETRIX INC DE X X 04/23/03 AFLAC INC GA X 04/23/03 AI SOFTWARE INC NV X 04/22/03 AIRTRAN HOLDINGS INC NV X X 04/22/03 ALABAMA POWER CO AL X X 04/15/03 ALBEMARLE CORP VA X 03/31/03 ALEXANDER & BALDWIN INC HI X 04/23/03 ALEXANDERS J CORP TN X 04/23/03 ALFA CORP DE X 04/16/03 ALTIRIS INC DE X X 04/23/03 AMBASSADORS GROUP INC DE X 04/16/03 AMERALIA INC UT X X 04/22/03 AMERI DREAM ENTERTAINMENT INC CA X 04/22/03 AMERI DREAM ENTERTAINMENT INC CA X 04/22/03 AMERICA WEST HOLDINGS CORP DE X X 04/23/03 AMERICAN AIRLINES INC DE X 04/23/03 AMERICAN AIRLINES INC DE X 04/23/03 AMERICAN COMMUNITY BANCSHARES INC NC X 04/21/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 04/30/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 04/30/03 AMERICAN INSURED MORTGAGE INVESTORS S CA X X 04/30/03 AMERICAN NATIONAL BANKSHARES INC VA X 04/22/03 AMERICAN WATER STAR INC NV X X 12/23/02 AMEND AMERICREDIT CORP TX X X 04/23/03 AMISTAR CORP CA X X 04/23/03 AMKOR TECHNOLOGY INC DE X X 04/23/03 AMR CORP DE X 04/23/03 AMR CORP DE X 04/23/03 ANC RENTAL CORP DE X X 04/23/03 ANHEUSER BUSCH COMPANIES INC DE X X 04/23/03 ANTEON INTERNATIONAL CORP DE X 04/23/03 AOL TIME WARNER INC DE X X X 04/22/03 APOGENT TECHNOLOGIES INC WI X X 04/22/03 APPLERA CORP DE X X 04/23/03 APRIA HEALTHCARE GROUP INC DE X X 04/23/03 ARENA PHARMACEUTICALS INC DE X X 04/23/03 ARGOSY GAMING CO DE X X 04/22/03 ARMANINO FOODS OF DISTINCTION INC /CO CO X X 04/21/03 ARTESYN TECHNOLOGIES INC FL X X 04/22/03 ARVINMERITOR INC IN X X 04/23/03 AT&T CORP NY X X 04/23/03 AT&T WIRELESS SERVICES INC DE X X 04/23/03 ATHEROGENICS INC GA X X 04/23/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 04/23/03 ATMI INC DE X X 04/23/03 ATS MEDICAL INC MN X X 04/24/03 AVATEX CORP DE X X X 04/22/03 AXT INC DE X X 04/23/03 AZTAR CORP DE X X 04/23/03 BADGER PAPER MILLS INC WI X X 04/23/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 04/23/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 05/23/02 BEI TECHNOLOGIES INC DE X 04/23/03 BELLSOUTH CORP GA X X 04/23/03 BELO CORP DE X X 04/23/03 BEMIS CO INC MO X X X 04/15/03 BHA GROUP INC DE X X 04/23/03 BIOCRYST PHARMACEUTICALS INC DE X X 04/23/03 BIOJECT MEDICAL TECHNOLOGIES INC OR X X 04/23/03 BIOLASE TECHNOLOGY INC DE X X 04/22/03 BNCCORP INC DE X 03/31/03 BOEING CO DE X 04/23/03 BOSTON PROPERTIES INC DE X X 04/22/03 BRIDGE STREET FINANCIAL INC NY X X 04/22/03 BRIO SOFTWARE INC DE X X 04/23/03 BROADVISION INC DE X X 04/23/03 BROOKS AUTOMATION INC DE X X 04/23/03 BUCKEYE TECHNOLOGIES INC DE X 03/31/03 AMEND BUSINESS BANCORP /CA/ CA X X 04/21/03 BUSINESS OBJECTS SA X X 04/23/03 BUTLER MANUFACTURING CO DE X 04/22/03 CALGON CARBON CORPORATION DE X 04/22/03 CALGON CARBON CORPORATION DE X 04/22/03 CALIFORNIA FIRST NATIONAL BANCORP CA X 04/23/03 CALLAWAY GOLF CO /CA DE X X 04/23/03 CAPITAL AUTOMOTIVE REIT MD X 04/22/03 CARDINAL HEALTH INC OH X 04/23/03 CAREER EDUCATION CORP DE X 04/22/03 CARNIVAL CORP DE X X 04/23/03 CB BANCSHARES INC/HI HI X X 04/22/03 CCC INFORMATION SERVICES GROUP INC DE X X 04/22/03 CCC INFORMATION SERVICES GROUP INC DE X X 04/23/03 CDI CORP PA X X 04/23/03 CDRJ INVESTMENTS LUX S A N4 X X 04/23/03 CENTER FINANCIAL CORP CA X X 04/21/03 CENTERPOINT ENERGY INC X 04/16/03 CENTERSTATE BANKS OF FLORIDA INC FL X X 04/23/03 CENTEX CORP NV X X 04/22/03 CENTRAL VALLEY COMMUNITY BANCORP CA X X 04/18/03 CH ENERGY GROUP INC NY X X 04/23/03 CHAMPPS ENTERTAINMENT INC/ MA DE X X 04/22/03 CHECKPOINT SYSTEMS INC PA X 03/30/03 CHESAPEAKE CORP /VA/ VA X 04/22/03 CHIRON CORP DE X X 04/23/03 CHOICE HOTELS INTERNATIONAL INC /DE DE X X 04/22/03 CHOICEONE FINANCIAL SERVICES INC MI X X 04/23/03 CHOLESTECH CORPORATION CA X X 04/23/03 CIBER INC DE X X 04/21/03 CINCINNATI FINANCIAL CORP DE X 04/23/03 CINGULAR WIRELESS LLC DE X X 04/23/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 04/17/03 CITRIX SYSTEMS INC DE X X 04/23/03 CLEVELAND CLIFFS INC OH X X 04/23/03 CNET NETWORKS INC DE X 03/31/03 CODDLE CREEK FINANCIAL CORP NC X X 04/22/03 COLUMBIA BANCORP \OR\ OR X X X 04/23/03 COLUMBIA BANKING SYSTEM INC WA X 04/23/03 COLUMBIA HUNTER CAPITAL CORP DE X 10/31/01 COM21 INC DE X X 04/22/03 COMMERCE ONE INC / DE/ DE X X 04/23/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 04/11/03 COMMONWEALTH BANKSHARES INC VA X X 04/23/03 COMMUNITY BANK SHARES OF INDIANA INC IN X 03/31/03 COMMUNITY FIRST BANCORP SC X 04/22/03 COMMUNITY HEALTH SYSTEMS INC/ DE X 04/23/03 CONCUR TECHNOLOGIES INC WA X X 04/23/03 CONNECTICUT BANCSHARES INC/DE DE X X 04/22/03 CONSOLIDATED GRAPHICS INC /TX/ TX X X 04/23/03 CONVERGYS CORP OH X X 04/22/03 CORILLIAN CORP OR X X 04/23/03 CORPORATE OFFICE PROPERTIES TRUST MD X X 04/23/03 COVENANT TRANSPORT INC NV X X 04/22/03 CRAFTY ADMIRAL ENTERPRISES LTD NV X X 04/10/03 AMEND CRAFTY ADMIRAL ENTERPRISES LTD NV X X 04/10/03 AMEND CT COMMUNICATIONS INC /NC NC X X X 04/22/03 CTS CORP IN X 03/30/03 CWABS INC DE X X X 04/23/03 CWABS INC DE X 04/23/03 CYTRX CORP DE X X 04/15/03 CYTYC CORP DE X X 04/23/03 DATASTREAM SYSTEMS INC DE X X 04/22/03 DATATEC SYSTEMS INC DE X X 04/23/03 DEL GLOBAL TECHNOLOGIES CORP NY X 04/09/03 AMEND DELPHI FINANCIAL GROUP INC/DE DE X X 04/22/03 DELTA AIR LINES INC /DE/ DE X 04/15/03 DELTA MILLS INC DE X X 04/22/03 DELTA WOODSIDE INDUSTRIES INC /SC/ SC X X 04/22/03 DENNYS CORP DE X 04/22/03 DENTSPLY INTERNATIONAL INC /DE/ DE X X 04/22/03 DEUTSCHE MORTGAGE SECURITIES INC X 02/25/03 DEVRY INC DE X 04/22/03 DIAGNOSTIC PRODUCTS CORP CA X X 04/23/03 DIAL CORP /NEW/ DE X X 04/23/03 DIGITAL RIVER INC /DE DE X X 04/23/03 DIGITALTHINK INC DE X X 03/31/04 DIVERSA CORP DE X X 04/21/03 DOT HILL SYSTEMS CORP NY X X 04/23/03 DST SYSTEMS INC DE X X 04/22/03 EARTHLINK INC DE X X 04/22/03 EASTGROUP PROPERTIES INC MD X X 03/31/03 EASTMAN KODAK CO NJ X X 04/23/03 EASYLINK SERVICES CORP DE X 04/22/03 EBANK FINANCIAL SERVICES INC GA X X 04/23/03 EBAY INC DE X X 04/22/03 AMEND EDGEWATER TECHNOLOGY INC/DE/ DE X 04/23/03 EDUCATION CAPITAL I LLC DE X X 04/01/03 EL PASO CORP/DE DE X X 04/22/03 EL PASO CORP/DE DE X X 04/23/03 EL PASO NATURAL GAS CO DE X X 04/23/03 ENDOCARDIAL SOLUTIONS INC DE X X 04/22/03 ENDOCARDIAL SOLUTIONS INC DE X X 04/23/03 ENERGIZER HOLDINGS INC MO X 04/23/03 ENTERPRISE FINANCIAL SERVICES CORP DE X X 04/21/03 EPICOR SOFTWARE CORP DE X X 04/23/03 ERESEARCHTECHNOLOGY INC /DE/ DE X X 04/23/03 EVEREST RE GROUP LTD C8 X X 04/21/03 EXAR CORP DE X X 04/23/03 F5 NETWORKS INC WA X X 04/23/03 FAIR ISAAC CORP DE X X 04/23/03 FARMERS & MERCHANTS BANCORP DE X 04/21/03 FEDERATED INVESTORS INC /PA/ PA X 04/23/03 FIBERSTARS INC /CA/ CA X X 04/23/03 FIDELITY FEDERAL BANCORP IN X X 04/22/03 FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 04/23/03 FILENET CORP DE X 04/23/03 FINANCIAL ASSET SEC CORP C BASS MORT DE X X 12/23/02 FIRST ALBANY COMPANIES INC NY X 03/31/03 FIRST AMERICAN CORP CA X X 04/23/03 FIRST BANCORP /NC/ NC X X 04/23/03 FIRST BANCORP /NC/ NC X X 04/22/03 FIRST FEDERAL BANKSHARES INC DE X X 04/22/03 FIRST FEDERAL BANKSHARES INC DE X X 04/23/03 FIRST FRANKLIN CORP DE X X 04/17/03 FIRST MIDWEST BANCORP INC DE X X 04/23/03 FIRST WASHINGTON FINANCIAL CORP NJ X X 04/23/03 FIRSTFED FINANCIAL CORP DE X 03/31/03 FISERV INC WI X X 04/22/03 FLANDERS CORP NC X 04/23/03 FLEMING COMPANIES INC /OK/ OK X X X 04/22/03 FLEXXTECH CORP NV X X X 04/21/03 FLIR SYSTEMS INC OR X X 04/22/03 FLORIDA EAST COAST INDUSTRIES INC FL X 04/23/03 FLORIDA EAST COAST INDUSTRIES INC FL X 04/23/03 FLORIDA ROCK INDUSTRIES INC FL X X 04/22/03 FLOWSERVE CORP NY X 04/23/03 FMS FINANCIAL CORP NJ X X 04/22/03 FONAR CORP DE X X 04/08/03 FOREST LABORATORIES INC DE X 03/31/03 FORWARD AIR CORP TN X X 04/23/03 FOSTER L B CO PA X 04/23/03 FOTOBALL USA INC DE X X 04/23/03 FOUNDRY NETWORKS INC DE X X 04/23/03 FRANKFORT FIRST BANCORP INC DE X X 04/21/03 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA X X 04/22/03 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 04/23/03 FTI CONSULTING INC MD X X 04/23/03 GARDNER DENVER INC DE X X 04/23/03 GENERAL CABLE CORP /DE/ DE X X 04/22/03 GENERAL MOTORS ACCEPTANCE CORP DE X 04/22/03 GENERAL MOTORS CORP DE X 04/22/03 GETTY IMAGES INC DE X X 04/23/03 GILEAD SCIENCES INC DE X X 04/23/03 GLOBALSANTAFE CORP X X 04/23/03 GLOBESPANVIRATA INC DE X X 04/22/03 GREATER BAY BANCORP CA X X X 04/23/03 GS MORTGAGE SEC CORP II COMM MORT PAS DE X X 04/10/03 GTC BIOTHERAPEUTICS INC MA X X 04/23/03 GUNDLE SLT ENVIRONMENTAL INC DE X X 04/23/03 HALLWOOD GROUP INC DE X 04/15/03 HARLEYSVILLE GROUP INC DE X 04/23/03 HARRIS INTERACTIVE INC DE X X 04/23/03 HARTE HANKS INC DE X X 04/23/03 HASTINGS ENTERTAINMENT INC TX X 04/23/03 HERITAGE FINANCIAL HOLDING X 04/23/03 HERSHA HOSPITALITY TRUST MD X X 04/23/03 HILTON HOTELS CORP DE X X 04/23/03 HOME CITY FINANCIAL CORP OH X 04/21/03 HUMATECH INC X 03/24/03 HYDRIL CO DE X X 04/22/03 IBASIS INC DE X X 04/23/03 IBERIABANK CORP LA X 04/22/03 IBIS TECHNOLOGY CORP MA X X 04/23/03 ICT GROUP INC PA X X 04/21/03 IMAX CORP A6 X 04/23/03 IMMUCELL CORP /DE/ DE X X 04/22/03 IMMUNOTECHNOLOGY CORP DE X X 04/21/03 IMPATH INC DE X X 04/21/03 INSTINET GROUP INC DE X X 04/22/03 INTEGRATED DEVICE TECHNOLOGY INC DE X X 04/23/03 INTERTAN INC DE X X 04/22/03 INTERWOVEN INC CA X X 04/17/03 INTRUSION INC DE X X 04/23/03 ISTA PHARMACEUTICALS INC CA X X 04/23/03 ITT INDUSTRIES INC IN X 04/23/03 J&J SNACK FOODS CORP NJ X X 04/14/03 JP MORGAN CHASE COM MORT SEC CORP PAS DE X X 04/14/03 K2 INC DE X 04/23/03 KEANE INC MA X 04/23/03 KELLY SERVICES INC DE X X 04/22/03 KEYSTONE PROPERTY TRUST MD X X 04/22/03 KINDER MORGAN ENERGY PARTNERS L P DE X X 04/23/03 KINDER MORGAN INC KS X X 04/23/03 KLA TENCOR CORP DE X X 04/23/03 KOMAG INC /DE/ DE X X 04/23/03 KULICKE & SOFFA INDUSTRIES INC PA X X 04/23/03 LAM RESEARCH CORP DE X X 04/16/03 LATINOCARE MANAGEMENT CORP NV X 04/22/03 LCA VISION INC DE X X 04/22/03 LEAPFROG ENTERPRISES INC X X 04/23/03 LEESPORT FINANCIAL CORP PA X X X 04/22/03 LENDINGTREE INC X X 04/21/03 LENNOX INTERNATIONAL INC DE X 04/22/03 LIBBEY INC DE X 04/22/03 LINENS N THINGS INC DE X X 04/23/03 LMI AEROSPACE INC MO X 04/15/03 LOCATEPLUS HOLDINGS CORP X X 04/23/03 LOGICVISION INC DE X X 04/23/03 LOUISIANA PACIFIC CORP DE X X 04/23/03 LSI LOGIC CORP DE X X 04/23/03 LUCENT TECHNOLOGIES INC DE X 04/23/03 MARINE PRODUCTS CORP DE X X 04/23/03 MARINE PRODUCTS CORP DE X X 04/23/03 MARKETWATCH COM INC DE X X 04/23/03 MATERIAL SCIENCES CORP DE X X 04/22/03 MATRIA HEALTHCARE INC DE X X 04/22/03 MATRIXONE INC DE X X 04/23/03 MATTEL INC /DE/ DE X X 04/23/03 MAXTOR CORP DE X X 04/23/03 MBNA CORP MD X X 03/31/03 MCMORAN EXPLORATION CO /DE/ DE X 04/22/03 MEDICAL STAFFING NETWORK HOLDINGS INC DE X X 04/23/03 MEDTOX SCIENTIFIC INC DE X 04/23/03 MEDTOX SCIENTIFIC INC DE X 04/23/03 MEGO FINANCIAL CORP NY X X 04/23/03 MERIT MEDICAL SYSTEMS INC UT X X 04/21/03 MEVC DRAPER FISHER JURVETSON FUND I I DE X X 04/16/03 MFB CORP IN X 03/31/03 MGI PHARMA INC MN X X 04/16/03 MICROCHIP TECHNOLOGY INC DE X X 04/23/03 MICROMUSE INC DE X X 04/23/03 MIDLAND CO OH X X 04/08/03 AMEND MILACRON INC DE X X 04/23/03 MILLENNIUM CHEMICALS INC DE X 04/23/03 MISSION WEST PROPERTIES INC CA X X X 04/09/03 MISSISSIPPI POWER CO MS X 04/21/03 MOBIUS MANAGEMENT SYSTEMS INC DE X X 04/23/03 MONACO COACH CORP /DE/ DE X X 04/23/03 MONOLITHIC SYSTEM TECHNOLOGY INC CA X X 04/17/03 MONROE BANCORP IN X X 04/22/03 MOODYS CORP /DE/ DE X X 04/22/03 MOONEY AEROSPACE GROUP LTD DE X 03/06/03 MORGAN STANLEY DEAN WITTER CAP I INC DE X X 04/14/03 MOTIENT CORP DE X X X 04/17/03 MPS GROUP INC FL X X 03/31/03 MSC SOFTWARE CORP DE X X 04/23/03 MUELLER PAUL CO MO X 03/31/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X 03/31/03 MYERS INDUSTRIES INC OH X X 04/23/03 NABI BIOPHARMACEUTICALS DE X X 04/23/03 NACCO INDUSTRIES INC DE X 04/23/03 NANOPHASE TECHNOLOGIES CORPORATION IL X X 04/23/03 NASB FINANCIAL INC MO X 04/22/03 NETBANK INC GA X X 04/23/03 NETSCREEN TECHNOLOGIES INC DE X X 04/23/03 NEW FOCUS INC CA X X 04/23/03 NEWMIL BANCORP INC DE X 04/23/03 NEWPARK RESOURCES INC DE X X 04/22/03 NEXTEL COMMUNICATIONS INC DE X X X 04/23/03 NOBLE CORP X X 04/23/03 NORFOLK SOUTHERN CORP VA X 02/12/03 NORTH FORK BANCORPORATION INC DE X 04/23/03 NORWOOD FINANCIAL CORP PA X X 04/21/03 NOVADIGM INC DE X X 04/23/03 NOVASTAR FINANCIAL INC MD X X 04/22/03 NOVASTAR FINANCIAL INC MD X X 04/22/03 AMEND OMI CORP/M I X X 04/23/03 ONEIDA FINANCIAL CORP DE X X 04/22/03 OPEN TEXT CORP K6 X 04/23/03 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