SEC NEWS DIGEST Issue 2003-95 May 19, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS ADDITIONAL CLOSED MEETING - THURSDAY, MAY 15, 2003 - 5:30 P.M. An additional closed meeting was held on Thursday, May 15. The subject matter of the meeting was: Litigation Matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 942-7070. RULES AND RELATED MATTERS REQUEST FOR COMMENT ON NASDAQ PETITION RELATING TO THE REGULATION OF NASDAQ- LISTED The Commission is publishing for comment a petition (Nasdaq Petition) filed by the Nasdaq Stock Market, Inc. (Nasdaq) requesting that the Commission, pursuant to Sections 11A, 12f, and 19(c) of the Securities Exchange Act of 1934, take certain actions to address regulatory inadequacies perceived by Nasdaq. Comments on the Nasdaq Petition are due within 30 days following publication in the Federal Register. (Rel. 34-47849) ENFORCEMENT PROCEEDINGS FREEDOM GOLF CORPORATION STOCK REGISTRATION REVOKED The registration of the stock of Freedom Golf Corporation (Freedom Golf) has been revoked. The revocation was ordered in an administrative proceeding before an administrative law judge. Freedom Golf, located in Colorado, failed to file an Annual Report for the fiscal year ended September 30, 2002, and a Quarterly Report for the quarter ended December 31, 2002. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. Freedom Golf blamed its violations on lack of funds. Based on Freedom Golf's violation of the crucial reporting provisions of the securities laws, the law judge revoked the registration of its stock to serve the public interest and for the protection of investors. (Initial Decision No. 227; File No. 3-11082) COMMISSION FILES LAWSUIT AGAINST PENSION PLANS OF AMERICA, INC. AND ITS CHAIRMAN, LLOYD BENTON SHARP On May 15, the Commission filed a lawsuit in U.S. District Court for the Western District of Washington, Tacoma Division, against Pension Plans of America, Inc. (PPA) and its chairman, Lloyd Benton Sharp, a recidivist violator who has an extensive disciplinary history, including a criminal conviction and two federal court injunctions for fraud on investors. According to the complaint, Sharp conducted his latest scam under the name of PPA, which he claimed was a non-profit organization created to assist investors, particularly retirees and senior citizens, in finding safe and secure investments providing "heightened" returns. In approximately October 2002, Sharp and PPA commenced publicly offering interest in a limited partnership that supposedly would grow and market "paulownia" trees. PPA and Sharp represented that the investment was extremely safe (comparing it to "gold in Fort Knox") and would provide a "very secured 16% annual return" because it had an "iron clad" $81.8 million contract with another company to purchase the matured trees. In reality, according to the SEC's complaint, the PPA offering was a complete sham. Among other things, the third party company obligated to purchase $81 million in trees was controlled by Sharp and had no funds or assets with which to purchase the trees. Further, undisclosed to investors, approximately 42% of investor funds were earmarked for commissions and management fees. Sharp and PPA also failed to disclose to investors Sharp's extensive disciplinary history involving investment fraud. According to the complaint, the SEC staff learned of the fraudulent PPA offering in late January 2003, and by that time, two investors had invested approximately $86,000 in the PPA offering. At the SEC's staff's insistence, Sharp and PPA halted the offering and returned all investor funds. Simultaneous with the filing of the SEC's complaint, PPA and Sharp consented to the entry of an order of permanent injunction for violations of the securities-registration, broker- and dealer- registration, and anti-fraud provisions of the federal securities laws, specifically Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Sharp, individually, also consented to be permanently enjoined from violating Section 15(a) of the Exchange Act. The proposed order also directs Sharp to pay a $120,000 civil penalty and bars him from offering or selling unregistered securities in the future. The settlement terms are subject to court approval. Sharp further consented to the entry of an administrative order by the SEC barring him from associating with any broker or dealer pursuant to Section 15(b) of the Exchange Act based upon the entry of the above- described injunction. The Commission acknowledges the assistance of the Texas State Securities Board, the Pennsylvania Securities Commission, the Oregon Department of Consumer & Business Services, Division of Finance & Corporate Securities, the Arizona Corporation Commission Securities Division, and the Washington Department of Financial Institutions Securities Division in the investigation of this matter. [SEC v. Pension Plans of America, Inc. and Lloyd Benton Sharp, Case No. CV03-5269FDB, U.S.D.C, W.D. Washington, Tacoma Division] (LR-18140) SEC CHARGES JOHN STEWART, JR., STEWART FINANCE COMPANY AND STEWART NATIONAL FINANCE COMPANY WITH VIOLATING THE REGISTRATION PROVISIONS OF THE SECURITIES ACT On May 9, the Commission filed a complaint in the United States District Court for the Middle District of Georgia, against John Benjamin Stewart, Jr. (Stewart), Stewart Finance Company (Stewart Finance) and Stewart National Finance Company (Stewart National). Stewart owns and controls Stewart Finance and Stewart National, both of which are consumer finance companies headquartered in Union Point, Georgia. The complaint alleges that the defendants conducted unregistered offers and sales of securities, without an exemption from registration, in violation of the federal securities laws. The Commission's complaint alleges that in 1989, Stewart Finance commenced a continuous series of offerings to Georgia investors of its subordinated debentures and senior demand notes, and in 1998, Stewart Finance sold preferred stock to Georgia investors. According to the complaint, although the initial offers and sales of securities by Stewart Finance were purportedly exempt from registration pursuant to the intrastate offering exemption set forth in Section 3(a)(11) of the Securities Act of 1933 ("Securities Act"), by 1999, Stewart Finance could no longer rely on that exemption and was, in fact, engaging in unregistered offers and sales of securities without an exemption from registration. The complaint alleges that in approximately August 1999, after learning that Stewart Finance could no longer issue securities, Stewart began personally issuing promissory notes to investors and transferring the proceeds of those notes to Stewart Finance. The complaint further alleges that the offers and sales of Stewart's promissory notes were not registered with the Commission and were not exempt from registration. Moreover, the complaint alleges that in January 2002, Stewart National, began offering $25 million in variable rate subordinated debentures in a purported private placement pursuant to Regulation D of the Securities Act. The Stewart National offering was not exempt from the registration requirements of the Securities Act because the facts and circumstances of the offering required it to be integrated with the prior and contemporaneous non-exempt offerings by Stewart Finance and Stewart. According to the complaint, the offerings of Stewart, Stewart Finance and Stewart National were a single offering because: (1) the offerings were part of a single plan of financing and were made for the same general purpose of funding the consumer finance businesses owned and operated by Stewart; (2) Stewart Finance and Stewart National each offered the same type of securities - subordinated debentures; (3) Stewart Finance's, Stewart's and Stewart National's offerings overlapped during the same time period; and (4) the offerings all involved the same type of consideration - cash. Further, the complaint alleges that Stewart Finance and Stewart National are integrated issuers because, among other things, they are under common ownership and control and are engaged in the same business, and the success of both Stewart National and Stewart Finance is dependent upon the same individual - Stewart. The complaint alleges that by their conduct, Stewart, Stewart Finance and Stewart National violated the registration provisions set forth in Sections 5(a) and 5(c) of the Securities Act. The Commission seeks, with respect to each defendant, permanent injunctions, disgorgement, prejudgment interest and civil penalties pursuant to Section 20(d) of the Securities Act. The Commission also seeks a sworn accounting from Stewart. [SEC v. John Benjamin Stewart, Jr., Stewart Finance Company, and Stewart National Finance Company, Civil Action File No. 3:03-CV-42, HL, M.D. Ga.] (LR-18141) FORMER CHIEF ACCOUNTING OFFICER OF SABRATEK CORP. SETTLES SEC FRAUD LAWSUIT The Commission today announced that it had reached a settlement with Scott P. Skooglund, a resident of Woodridge, Illinois, and the former Chief Accounting Officer of Sabratek Corporation, an Illinois manufacturer of infusion pumps and flush syringes. Skooglund consented, without admitting or denying the allegations against him, to the entry of a permanent injunction barring him from future violations of anti- fraud, record-keeping, and reporting provisions of the federal securities laws. Skooglund also agreed to pay a civil penalty of $35,000 and to pay disgorgement plus interest totaling $15,923.97, reflecting bonuses that he earned in 1998 and1999. The court order reflecting this settlement was entered on May 14, 2003. Skooglund is the fourth officer of the now-bankrupt manufacturer to settle with the Commission in a lawsuit the Commission filed on Sept. 27, 2001, in the United States District Court for the Northern District of Illinois. In its lawsuit, the Commission alleged that from the first quarter of 1998 through the first quarter of 1999, the defendants engaged in a scheme to defraud and caused Sabratek, whose stock was formerly traded on Nasdaq, to make material misstatements to investors and to file false periodic reports with the Commission. The defendants used fictitious sales of infusion pumps, inventory parking arrangements, improper revenue recognition, and billings for consulting services that were not performed to overstate net sales by 62% and operating income by 229%. The Commission further alleged that the defendants each knew, or was reckless in not knowing, that the revenue from these fraudulent sales could not be recognized under generally accepted accounting principles. The defendants allegedly reported inflated revenue to protect Sabratek's stock price and to conceal reduced revenues resulting from lower demand for infusion pumps and from a halt in the sales of flush syringes due to safety concerns. In the second half of 1999, when news of Sabratek's inflated operating results began to emerge, its market capitalization declined by $202.5 million, or by approximately 98%. [SEC v. Holden, Skooglund, Padda, and Beal, N.D. Ill., Civil Action No. 01-C-7463] (LR- 18142) COURT ENTERS $1.8 MILLION JUDGMENT AGAINST MARKETER OF INTERNATIONAL PONZI SCHEME The Commission announced that on April 29, 2003, the Honorable Judge James H. Michael, Senior U.S. District Court Judge for the Western District of Virginia, Charlottesville Division, entered a default judgment against Birgit Mechlenburg in connection with her role as one of the principal marketers of a fraudulent international investment program orchestrated by Terry Dowdell, who has pled guilty to criminal charges of securities fraud, wire fraud and money laundering stemming from this scheme, and is scheduled to be sentenced on March 30, 2003. The judgment requires Mechlenburg to pay disgorgement of $1,609,496.03, plus $123,047.78 in prejudgment interest. This amount constitutes all of the commissions that Mechlenburg received in connection with her introduction of investors to this fraudulent program. The court also imposed a $120,000 civil penalty against Mechlenburg, and issued a permanent injunction prohibiting future violations of federal securities laws. In its lawsuit, the SEC alleged that Dowdell had orchestrated a massive international Ponzi scheme in which he, utilizing various marketers, raised more than $70 million from investors in the U.S. and abroad for a fictitious trading program purportedly involving the purchase and sale of foreign bank instruments and purportedly being operated by Vavasseur Corporation, a Bahamian corporation that is also named as a defendant in this action. Dowdell previously admitted the fraud, and consented to the disgorgement of all of his assets. On June 4, 2002, the Court entered an order permanently enjoining Dowdell from future violations of the antifraud provisions 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. The judgment provides that the amount of disgorgement and civil penalties that Dowdell will have to pay will be determined later. On July 12, 2002, the Court appointed Roy M. Terry, Esq. and the law firm of DurretteBradshaw, PLC as Receiver over Dowdell's assets and to develop a plan of distribution for the return of funds to injured investors. On Feb. 21, 2003, the Court entered a default judgment against Vavasseur Corp., ordering it to pay $121,235,000 in disgorgement, plus prejudgment interest in excess of $8 million and civil penalties in the amount of $600,000. Additional information on how prime bank and other banking-related investment schemes work can be found at the SEC's Prime Bank Fraud Information Center (http://www.sec.gov/divisions/enforce/primebank.shtml) in the enforcement section of the SEC's Web site. [SEC v. Terry L. Dowdell, et al., Civil Action No. 3:01CV00116, W.D. Virginia] (LR-18143) CONCENTRAX, INC. AND ITS CEO MARK GIFFORD CONSENT TO PERMANENT INJUNCTION, GIFFORD TO PAY $35,000 PENALTY IN FALSE PRESS RELEASE CASE On May 14, the Commission filed a lawsuit in U.S. District Court for the Southern District of Texas, Houston Division, against Houston-based Concentrax, Inc. and its CEO, Mark Gifford, for issuing several press releases in October and November 2002 that made false and misleading claims regarding purported contracts to sell the company's vehicle- tracking system. The false releases materially impacted Concentrax's stock price and volume, and resulted in the SEC temporarily suspending trading in Concentrax's stock on November 22, 2002. According to the complaint, Concentrax falsely announced that it had contracts to sell its tracking system to three nationally known companies, including a vehicle-leasing company, an oil gas drilling company and a mechanical engineering firm. In fact, Concentrax had no contracts to sell the system to any of these companies. The complaint also alleges that the company made misleading earnings projections in two of its press releases that were based in part, on the purported sales contract with the major vehicle-leasing firm. Finally, the complaint alleges that Concentrax raised approximately $560,000 in a private stock offering during the period that it was issuing the false and misleading press releases. Simultaneously with the filing of the complaint, Concentrax and Gifford consented to the entry of a permanent injunction for violations of the anti-fraud provisions of the federal securities laws, specifically 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. In addition, Gifford consented to pay a $35,000 civil penalty and Concentrax consented to corporate undertakings that remove Gifford from the company's press-release drafting and approval process. The settlement terms are subject to court approval. [SEC v. Concentrax, Inc. and Mark Gifford, Case No. 03-CV-1639 (U.S.D.C., S.D. Texas] (LR 18144) NEW HAMPSHIRE MAN PLEADS GUILTY TO CRIMINAL INSIDER TRADING CHARGES The Commission announced today that on May 14, Timothy J. Potter of Bedford, New Hampshire, pleaded guilty to a criminal information charging him with conspiracy to commit insider trading. Potter acknowledged that in October 2000, he disclosed to his father, George R. Potter, confidential information concerning adverse corporate developments at Sepracor, Inc. that related to a drug then being jointly developed by Eli Lilly and Company and Sepracor. At the time, Potter was employed as a manager in the accounting department of Sepracor, a Marlborough, Massachusetts based pharmaceutical company. Potter admitted that his father then used the information to trade in Sepracor securities and later transferred the resulting profit to him. At the plea hearing, Potter admitted that, on Oct. 18, 2000, he told his father about the adverse corporate developments at Sepracor. Potter further admitted that, later that day, on the basis of the information he gave to his father, his father purchased Sepracor "put" options. The following morning, when Sepracor publicly announced the termination of its agreement with Lilly concerning the new drug, Sepracor's stock price plummeted while the value of Sepracor put options soared. Shortly after the announcement, George Potter sold the Sepracor put options, generating an overnight profit of more than $55,000. Potter admitted that his father later transferred that profit to him. Potter also admitted that he made false and misleading statements to the Commission staff during its investigation into his father's trading. Potter will be sentenced on Aug. 18, 2003. On April 18, 2003, George Potter, also of Bedford, New Hampshire, pleaded guilty to a criminal information charging him with conspiracy to commit insider trading. George Potter will be sentenced on July 22, 2003. On Jan. 30, 2003, the Commission filed a civil fraud case charging George Potter and Timothy Potter with insider trading based on George Potter's Oct. 18, 2000, purchase of Sepracor options. According to the Commission's complaint, by their conduct, the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule l0b-5 thereunder. The Commission's complaint seeks injunctive relief, disgorgement of the profits from their insider trading, plus prejudgment interest, and civil monetary penalties against each of the defendants of up to three times the amount of their profits from their insider trading. See LR-17958, LR-17970 and LR-18097. [SEC v. Timothy J. Potter and George R. Potter, Civil Action No. 03-32-M, D.N.H.] (LR- 18145) INVESTMENT COMPANY ACT RELEASES ENDEAVOR SERIES TRUST An order has been issued on an application filed by Endeavor Series Trust under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company as defined by the Act. (Rel. IC- 26045 - May 9) CLAYMORE SECURITIES, INC., AND CLAYMORE SECURITIES DEFINED PORTFOLIOS A notice has been issued giving interested persons until June 9, 2003, to request a hearing on an application filed by Claymore Securities, Inc. (Sponsor) and Claymore Securities Defined Portfolios (Claymore Trust). Applicants request an order (a) under Section 12(d)(1)(J) of the Investment Company Act to permit certain series or registered unit investment trusts to offer and sell their units to the public with a sales load that exceeds the 1.5% limit in Section 12(d)(1)(F)(ii); (b) under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act to permit the trusts to invest in affiliated registered investment companies within the limits of Section 12(d)(1)(F) of the Act; and (c) under Section 6(c) of the Act for an exemption from Sections 14(a) and 19(b) of the Act and rule 19b-1 under the Act to permit the trusts to publicly offer their units without the Sponsor having to take for its own account or place with others $100,000 worth of units, and to permit the trusts to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-26046 - May 14) HOLDING COMPANY ACT RELEASES VERMONT YANKEE NUCLEAR POWER CORPORATION An order has been issued authorizing Vermont Yankee Nuclear Power Corporation (Vermont), an indirect subsidiary of National Grid USA, National Grid Transco Plc and Northeast Utilities, all registered holding companies under the Act, to pay dividends out of capital and to repurchase stock. (Rel. 35-27677) UNITIL CORPORATION, ET AL. A notice has been issued giving interested persons until June 10, 2003, to request a hearing on a proposal by Unitil Corporation (Unitil), a registered holding company, and its subsidiaries Fitchburg Gas and Electric Light Company, Unitil Energy Systems, Inc., Unitil Power Corp., Unitil Realty Corp., Unitil Resources, Inc. and Unitil Service Corp. (Applicants). By order dated June 9, 2000 (Rel. 35-27182), Applicants were authorized to make unsecured short-term borrowings and to operate a system money pool (Money Pool) through June 30, 2003. The Applicants now request authority to make additional short-term borrowings and extend the operation of the Money Pool through June 30, 2006. (Rel. 35- 27679) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES On May 6, the National Association of Securities Dealers filed a proposed rule change with the Commission (SR-NASD-2003-79) Relating to Establishing Effective Dates for Certain Provisions of NASD Rule 2711, Research Analysts and Research Reports, which became immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. On May 9, 2003, the New York Stock Exchange, Inc., filed a proposed rule change with the Commission (SR-NYSE-2003-17), Relating to Establishing Effective Dates for Certain Provisions of NYSE Rule 472, Communications with the Public, which became 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 May 19. (Rel. 34-47876) NOTICE OF INTENTION TO CANCEL REGISTRATIONS Notice is given that the Commission intends to issue an order pursuant to Section 17A(c)(4)(B) of the Exchange Act canceling the registrations of certain transfer agents. Publication of the notice is expected in the Federal Register during the week of May 26. (Rel. 34-47878) DELISTING An amended 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 the underlying securities of Telecommunicacoes Brasileiras S.A., effective at the opening of business on Feb. 4, 2003. (Rel. 34-47263A) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until June 10, 2003 to comment on the application of Kadant Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the American Stock Exchange LLC. (Rel. 34-47879) An order has been issued granting the application of Surge Components, Inc. to withdraw its Common Stock, $.001 par value, and Purchase Warrants, $.001 par value, from listing and registration on the Boston Stock Exchange, Inc., effective at the opening of business on May 19, 2003. (Rel. 34-47880) 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 INFORM MEDIA GROUP INC, 2980 S RAINBOW BLVD, SUITE 100, LAS VEGAS, NV, 89146, 702 3078778 - 975,000 ($48,750.00) Equity, (File 333-105301 - May. 16) (BR. 05) F-3 GENESYS SA, 4 RUE JULES FERRY BP 1145, MONTPELLIER CE, X0, 34008, 0113346706 - 3,636,364 ($9,245,600.00) Equity, (File 333-105304 - May. 16) (BR. 37) S-8 HUB INTERNATIONAL LTD, 214 KING STREET WEST, SUITE 314, ONTARIO, A6, 00000, 4169795866 - 1,531,820 ($23,099,845.60) Equity, (File 333-105305 - May. 16) (BR. 01) S-8 RYANS FAMILY STEAKHOUSES INC, 405 LANCASTER AVE, PO BOX 100, GREER, SC, 29652, 8648791000 - 3,600,000 ($44,733,932.00) Equity, (File 333-105306 - May. 16) (BR. 05) S-8 STERLING BANCSHARES INC, 15000 NORTHWEST FRWY STE 308, HOUSTON, TX, 77040, 7134668300 - 2,150,000 ($25,585,000.00) Equity, (File 333-105307 - May. 16) (BR. 07) S-8 FLUOR CORP, ONE ENTERPRISE DR, ALISO VIEJO, CA, 92656, 9493492000 - 0 ($168,584,500.00) Equity, (File 333-105308 - May. 16) (BR. 06) S-8 FLUOR CORP, ONE ENTERPRISE DR, ALISO VIEJO, CA, 92656, 9493492000 - 0 ($25,000,000.00) Other, (File 333-105309 - May. 16) (BR. 06) S-8 UNITED AUTO GROUP INC, 2555 TELEGRAPH RD, BLOOMFIELD HILLS, MI, 48302-0954, 248-648-2500 - 0 ($38,671,500.00) Equity, (File 333-105311 - May. 16) (BR. 02) S-8 AMERICAN MANAGEMENT SYSTEMS INC, 7032678000 - 0 ($57,510,000.00) Equity, (File 333-105312 - May. 16) (BR. 03) S-8 FIRST SECURITY BANCORP INC /KY/, 400 E MAIN ST, LEXINGTON, KY, 40507, 6063673700 - 100,000 ($1,962,850.00) Equity, (File 333-105313 - May. 16) (BR. 07) S-8 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 1,000,000 ($22,750,000.00) Equity, (File 333-105314 - May. 16) (BR. 07) S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($239,405,890.00) Equity, (File 333-105316 - May. 16) (BR. 07) S-8 ADVENT SOFTWARE INC /DE/, 301 BRANNAN ST, SAN FRANCISCO, CA, 94107, 4155437696 - 0 ($8,418,000.00) Equity, (File 333-105317 - May. 16) (BR. 03) S-8 ADVENT SOFTWARE INC /DE/, 301 BRANNAN ST, SAN FRANCISCO, CA, 94107, 4155437696 - 0 ($56,183,206.00) Equity, (File 333-105318 - May. 16) (BR. 03) S-4 GENVEC INC, 65 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 2406320740 - 0 ($61,500,000.00) Equity, (File 333-105320 - May. 16) (BR. 01) S-8 FACTUAL DATA CORP, 5200 HAHNS PEAK DRIVE, SUITE 200, FORT COLLINS, CO, 80538, 9706635700 - 0 ($7,026,000.00) Equity, (File 333-105321 - May. 16) (BR. 03) S-3 CHEC FUNDING LLC, 2728 NORTH HARWOOD, DALLAS, TX, 75201, 2149816811 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-105322 - May. 16) (BR. 07) S-8 US WEST HOMES INC, 410 BROADWAY, 2ND FLOOR, LAGUNA BEACH, CA, 92651, 9493768575 - 1,000,000,000 ($2,000,000.00) Equity, (File 333-105323 - May. 16) (BR. 08) S-8 HPSC INC, 60 STATE ST, BOSTON, MA, 02109, 6167203600 - 0 ($1,470,000.00) Equity, (File 333-105324 - May. 16) (BR. 07) S-8 READERS DIGEST ASSOCIATION INC, READERS DIGEST ROAD, PLEASANTVILLE, NY, 10570, 9142381000 - 300,000 ($3,621,000.00) Equity, (File 333-105325 - May. 16) (BR. 05) S-8 READERS DIGEST ASSOCIATION INC, READERS DIGEST ROAD, PLEASANTVILLE, NY, 10570, 9142381000 - 1,000,000 ($12,070,000.00) Equity, (File 333-105326 - May. 16) (BR. 05) S-8 READERS DIGEST ASSOCIATION INC, READERS DIGEST ROAD, PLEASANTVILLE, NY, 10570, 9142381000 - 4,500,000 ($54,315,000.00) Equity, (File 333-105327 - May. 16) (BR. 05) S-3 COLONIAL REALTY LIMITED PARTNERSHIP, 2101 6TH AVENUE NORTH, SUITE 750, BIRMINGHAM, AL, 35202-1687, 2052508700 - 500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-105329 - May. 16) (BR. 08) S-4 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 85,584 ($85,584,000.00) Debt Convertible into Equity, 92,658,005 ($75,052,984.05) Equity, (File 333-105330 - May. 16) (BR. 36) S-3 ALLSTATE LIFE INSURANCE CO, 3075 SANDERS RD, SUITE G4A, NORTHBROOK, IL, 60062, 8474025000 - 0 ($400,000,000.00) Other, (File 333-105331 - May. 16) (BR. 20) S-3 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 14,416 ($14,416,000.00) Debt Convertible into Equity, 15,615,521 ($12,648,572.07) Equity, (File 333-105332 - May. 16) (BR. 36) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 250,000 ($4,257,500.00) Equity, (File 333-105333 - May. 16) (BR. 06) S-8 OCEAN RESOURCES INC, P.O.BOX 1175, SUITE, PALM BEACH, FL, 33480, 561-822-9995 - 5,000,000 ($950,000.00) Equity, (File 333-105334 - May. 16) (BR. 02) S-8 AMERITRADE HOLDING CORP, 4211 SOUTH 102ND STREET, OMAHA, NE, 68127, 4023317856 - 0 ($3,127,500.00) Equity, (File 333-105336 - May. 16) (BR. 07) S-3 COMPUTER ASSOCIATES INTERNATIONAL INC, ONE COMPUTER ASSOCIATES PLAZA, ISLANDIA, NY, 11749, 6313425224 - 460,000,000 ($460,000,000.00) Debt Convertible into Equity, (File 333-105337 - May. 16) (BR. 03) S-3 ENDO PHARMACEUTICALS HOLDINGS INC, 223 WILMINGTON-WEST CHESTER PIKE, CHADDS FORD, PA, 19317, 6105589800 - 0 ($273,240,000.00) Equity, (File 333-105338 - May. 16) (BR. 01) S-8 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 153,095 ($3,482,911.25) Equity, (File 333-105339 - May. 16) (BR. 07) S-8 SEACOR SMIT INC, 11200 RICHMOND AVE, SUITE 400, HOUSTON, TX, 77082, 7137825990 - 1,000,000 ($38,210,000.00) Equity, (File 333-105340 - May. 16) (BR. 05) S-8 ORBITAL SCIENCES CORP /DE/, 21839 ATLANTIC BLVD, DULLES, VA, 20166, 703406 5524 - 0 ($8,625,000.00) Equity, (File 333-105341 - May. 16) (BR. 05) N-2 MUNI CALIFORNIA INTERMEDIATE DURATION FUND INC, 66,667 ($1,000,005.00) Equity, (File 333-105342 - May. 16) (BR. ) N-2 MUNI INTERMEDIATE DURATION FUND INC, 66,667 ($1,000,005.00) Equity, (File 333-105343 - May. 16) (BR. ) S-8 LINCOLN NATIONAL CORP, 1500 MARKET STREET STE 3900, CENTRE SQUARE WEST TOWER, PHILADELPHIA, PA, 19102, 2194552000 - 0 ($4,809,750.00) Equity, (File 333-105344 - May. 16) (BR. 01) N-2 MUNI NEW YORK INTERMEDIATE DURATION FUND INC, 66,667 ($1,000,005.00) Equity, (File 333-105345 - May. 16) (BR. ) S-8 SEACOR SMIT INC, 11200 RICHMOND AVE, SUITE 400, HOUSTON, TX, 77082, 7137825990 - 150,000 ($5,730,750.00) Equity, (File 333-105346 - May. 16) (BR. 05) S-4 SHAW GROUP INC, 4171 ESSEN LANE, 1ST FLOOR, BATON ROUGE, LA, 70809, 2259322500 - 0 ($253,029,000.00) Non-Convertible Debt, (File 333-105347 - May. 16) (BR. 06) S-8 IONA TECHNOLOGIES PLC, THE IONA BUILDING, SHELBOURNE ROAD BALLSBRIDGE, DUBLIN 4 IRELAND, L2, 00000, 01135316372000 - 0 ($1,200,000.00) Equity, (File 333-105348 - May. 16) (BR. 03) N-2 BOULDER TOTAL RETURN FUND INC, 1680 38TH STREET SUITE 800, BOULDER, CO, 80301, 3034445483 - 3,150,000 ($41,170,500.00) Equity, (File 333-105349 - May. 16) (BR. 18) S-3 NEW YORK COMMUNITY BANCORP INC, 615 MERRICK AVE, WESTBURY, NY, 11590, 7183596400 - 600,000,000 ($600,000,000.00) Equity, (File 333-105350 - May. 16) (BR. 07) 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 ------------------------------------------------------------------------------------ 21ST CENTURY INSURANCE GROUP CA X 05/14/03 A CONSULTING TEAM INC NY X X 05/16/03 AAMES FINANCIAL CORP/DE DE X 05/14/03 ABAXIS INC CA X X 04/22/03 ABINGTON BANCORP INC MA X X X 05/16/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 04/28/03 ACCESS PHARMACEUTICALS INC DE X 05/16/03 ACTV INC /DE/ DE X X X 05/15/03 ADIRONDACK PURE SPRINGS MT WATER CO I NY X 05/08/03 ADVANCED ENERGY INDUSTRIES INC DE X X 05/14/03 AEARO CORP DE X 03/31/03 AEGIS COMMUNICATIONS GROUP INC DE X X 05/14/03 ALASKA AIR GROUP INC DE X 05/15/03 ALLION HEALTHCARE INC DE X X 05/01/03 ALPHA HOSPITALITY CORP DE X X 05/16/03 AMERICAN ACCESS TECHNOLOGIES INC FL X X 05/09/03 AMERICAN BILTRITE INC DE X X 05/14/03 AMERICAN MEDICAL ALERT CORP NY X X 05/15/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 05/16/03 AMERICAN REAL ESTATE PARTNERS L P DE X X 05/15/03 AMERICAN REAL ESTATE PARTNERS L P DE X X 05/16/03 AMERICAN RESTAURANT GROUP INC DE X X 05/15/03 AMERIPATH INC DE X X 05/12/03 ANALYTICAL SURVEYS INC CO X X 05/16/03 ANGEION CORP/MN MN X X 05/14/03 ANNUITY & LIFE RE HOLDINGS LTD X X 05/15/03 APACHE CORP DE X X 05/15/03 APPLIED GRAPHICS TECHNOLOGIES INC DE X X 05/15/03 ARCH WIRELESS INC DE X 03/31/03 AMEND ARLINGTON HOSPITALITY INC DE X X 05/15/03 ASIA PREMIUM TELEVISION GROUP NV X 05/16/03 ASTRO MED INC /NEW/ RI X X 05/13/03 ATCHISON CASTING CORP KS X X 05/16/03 ATLANTIC AMERICAN CORP GA X X 05/16/03 ATWOOD OCEANICS INC TX X X 05/15/03 ATX COMMUNICATIONS INC DE X 05/15/03 AUTHENTIDATE HOLDING CORP DE X X X 05/16/03 AUTOIMMUNE INC DE X X 05/14/03 AVANEX CORP DE X X 05/12/03 AVATECH SOLUTIONS INC DE X 05/16/03 AVATECH SOLUTIONS INC DE X 05/16/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/16/03 BARRY R G CORP /OH/ OH X X 05/15/03 BAYWOOD INTERNATIONAL INC NV X X X 05/15/03 BEAR STEARNS COMPANIES INC DE X 04/28/03 BEARD CO /OK OK X X 05/14/03 BETA OIL & GAS INC NV X X 05/14/03 BIO LOGIC SYSTEMS CORP DE X X 05/15/03 BIO LOK INTERNATIONAL INC DE X X 05/15/03 BIOMARIN PHARMACEUTICAL INC DE X 05/31/03 BLUE DOLPHIN ENERGY CO DE X X 05/16/03 BOSTONFED BANCORP INC DE X X 05/14/03 BRADY CORP WI X X 05/16/03 BRANDPARTNERS GROUP INC DE X X 05/15/03 BROADWING INC OH X 05/16/03 BROWN TOM INC /DE DE X 05/14/03 BUCKLE INC NE X 05/15/03 BUILDING MATERIALS HOLDING CORP DE X 05/15/03 CANTERBURY PARK HOLDING CORP MN X X 05/15/03 CAPCO ENERGY INC CO X X 04/30/03 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 04/15/03 CARBON ENERGY CORP CO X X 05/15/03 CATERPILLAR FINANCIAL FUNDING CORP NV X 05/15/03 CEDAR INCOME FUND LTD /MD/ MD X 05/16/03 CENTERPOINT ENERGY HOUSTON ELECTRIC L TX X X 05/15/03 CENTERPOINT ENERGY INC X X 05/12/03 CHINA WORLD TRADE CORP NV X X X 09/08/02 AMEND CITYXPRESS COM CORP FL X 05/16/03 CLASSIC BANCSHARES INC DE X X 05/16/03 CLEARONE COMMUNICATIONS INC UT X 05/16/03 CLICKNSETTLE COM INC DE X 05/14/03 CNH HOLDINGS CO NV X 05/05/03 COASTAL BANCORP INC TX X 05/16/03 COLE NATIONAL CORP /DE/ DE X 05/16/03 COLE NATIONAL GROUP INC DE X 05/16/03 COMPUTER NETWORK TECHNOLOGY CORP MN X X 05/05/03 COMSTOCK RESOURCES INC NV X X 05/16/03 CONGOLEUM CORP DE X X 05/14/03 CONNECTIV CORP DE X 05/08/03 CSB BANCORP INC /OH OH X X 05/16/03 CV THERAPEUTICS INC DE X X 05/15/03 D&E COMMUNICATIONS INC PA X 05/16/03 DAG MEDIA INC NY X X 05/15/03 DAUPHIN TECHNOLOGY INC IL X X 05/16/03 DAVEL COMMUNICATIONS INC IL X X 05/15/03 DC FUNDING INTERNATIONAL INC X X 11/15/02 AMEND DC FUNDING INTERNATIONAL INC X X 12/16/02 AMEND DC FUNDING INTERNATIONAL INC X X 01/15/03 AMEND DELTAGEN INC DE X X X 05/15/03 DEPOMED INC CA X X 05/15/03 DEWEY ELECTRONICS CORP NY X 05/15/03 DIAL CORP /NEW/ DE X X 03/16/03 DICE INC DE X X 05/15/03 DICE INC DE X X 05/15/03 DIGITAL GENERATION SYSTEMS INC DE X X 05/09/03 DIMON INC VA X 05/16/03 DML SERVICES INC NV X X X 05/09/03 DYNAMICS RESEARCH CORP MA X X 05/01/03 DYNATRONICS CORP UT X X 05/16/03 ECLICKMD INC NV X X 05/13/03 EDISON SCHOOLS INC DE X X 05/15/03 AMEND ELECTRIC CITY CORP DE X X 05/15/03 ELECTRONIC CLEARING HOUSE INC NV X X 05/07/03 ELUTION TECHNOLOGIES INC NV X X 03/19/03 AMEND ENCYSIVE PHARMACEUTICALS INC DE X 05/16/03 ENDOCARE INC DE X X 03/07/03 AMEND ENERGY CONVERSION DEVICES INC DE X 05/15/03 ENGINEERED SUPPORT SYSTEMS INC MO X X 05/01/03 ENHERENT CORP DE X X 05/12/03 ENRON CORP/OR/ OR X X 05/16/03 ENSCO INTERNATIONAL INC DE X 05/15/03 ENTERGY CORP /DE/ DE X X 05/16/03 EVERGREENBANCORP INC WA X X 05/09/03 EXCO RESOURCES INC TX X X 05/15/03 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 05/12/03 EXPLORATION CO OF DELAWARE INC DE X 05/15/03 FINANCIAL INDUSTRIES CORP TX X 03/31/03 FIRST HORIZON PHARMACEUTICAL CORP DE X X 05/14/03 FIRST UNION REAL ESTATE EQUITY & MORT OH X X 05/15/03 FIRST YEARS INC MA X X 05/16/03 FLEMING COMPANIES INC /OK/ OK X 05/12/03 FNANB CREDIT CARD MASTER NOTE TRUST X X 09/16/02 AMEND FORTUNE NATURAL RESOURCES CORP DE X X 05/16/03 AMEND FPIC INSURANCE GROUP INC FL X 05/15/03 FRESH BRANDS INC X 05/13/03 GAMES INC DE X X 05/16/03 GATEWAY FINANCIAL HOLDINGS INC NC X X 05/12/03 GENAERA CORP DE X X 05/15/03 GENELABS TECHNOLOGIES INC /CA CA X X 05/15/03 GENERAL DYNAMICS CORP DE X X 05/15/03 GENERAL MARITIME CORP/ X 05/16/03 GRAPHON CORP/DE DE X X 03/31/03 GREENMAN TECHNOLOGIES INC DE X 05/16/03 H&R BLOCK INC MO X 05/12/03 H&R BLOCK INC MO X 05/12/03 H&R BLOCK INC MO X 05/12/03 HALLWOOD GROUP INC DE X 05/15/03 HALLWOOD REALTY PARTNERS L P DE X 05/13/03 HARKEN ENERGY CORP DE X X 05/15/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X X 05/16/03 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 05/13/03 HEMACARE CORP /CA/ CA X 05/15/03 HILLS BANCORPORATION IA X 05/15/03 HOLLYWOOD MEDIA CORP FL X X 05/14/03 HPL TECHNOLOGIES INC DE X X 05/16/03 HUMBOLDT BANCORP CA X X 05/16/03 HYPERTENSION DIAGNOSTICS INC /MN MN X X 05/15/03 HYTEK MICROSYSTEMS INC CA X X 05/12/03 I2 TECHNOLOGIES INC DE X X 05/13/03 I3 MOBILE INC DE X X 05/14/03 IA GLOBAL INC DE X 02/25/03 AMEND IBERIABANK CORP LA X 02/28/03 AMEND IC ISAACS & CO INC DE X X 05/15/03 IDACORP INC ID X X 05/16/03 IGEN INTERNATIONAL INC /DE DE X X 05/14/03 IKON OFFICE SOLUTIONS INC OH X X 05/16/03 IMAGEMAX INC PA X 05/15/03 IMCLONE SYSTEMS INC/DE DE X X 05/16/03 INDUSTRIES INTERNATIONAL INC NV X 03/10/03 INSPIRATION PRODUCTS GROUP INC NV X X 05/06/03 INTEGRATED BUSINESS SYSTEMS & SERVICE SC X X 05/15/03 INTERCHANGE FINANCIAL SERVICES CORP / NJ X X 05/16/03 AMEND INVESTOOLS INC DE X X 05/15/03 ION NETWORKS INC DE X X 05/12/03 ITEX CORPORATION NV X X 05/16/03 IXYS CORP /DE/ DE X X 05/13/03 J2 GLOBAL COMMUNICATIONS INC DE X X 05/16/03 JAGUAR INVESTMENTS INC NV X X 05/16/03 AMEND JSCE INC DE X X 05/15/03 JUDGE GROUP INC PA X X 05/07/03 KOALA INTERNATIONAL WIRELESS INC NV X 04/28/03 KOHLS CORPORATION WI X X 05/15/03 KV PHARMACEUTICAL CO /DE/ DE X X 05/12/03 LAKES ENTERTAINMENT INC MN X X 05/14/03 LANTRONIX INC DE X 05/05/03 LASON INC DE X X 05/13/03 LBI MEDIA INC CA X X X 05/12/03 LEAP WIRELESS INTERNATIONAL INC DE X X 05/15/03 LIN TV CORP DE X X 05/16/03 LIONS GATE ENTERTAINMENT CORP /CN/ X X 05/14/03 LMI AEROSPACE INC MO X 05/15/03 LONG BEACH ACCEPTANCE CORP X X 04/15/03 LONG BEACH ACCEPTANCE CORP X X 04/15/03 LSB INDUSTRIES INC DE X 03/31/03 LYNCH INTERACTIVE CORP DE X 05/16/03 LYONDELL CHEMICAL CO DE X X 05/15/03 M GAB DEVELOPMENT CORP X 05/16/03 MACROVISION CORP DE X X 05/15/03 MAGNITUDE INFORMATION SYSTEMS INC DE X X 05/16/03 MAKEMUSIC INC MN X X 05/13/03 MANNATECH INC TX X 05/15/03 MAXIM MORTGAGE CORP/ DE X 04/30/03 MAXXAM INC DE X 05/15/03 MEADOW VALLEY CORP NV X X 05/15/03 MEDI HUT CO INC DE X X 05/15/03 MEMC ELECTRONIC MATERIALS INC DE X X 05/15/03 MESABA HOLDINGS INC MN X X 05/14/03 METRIC PARTNERS GROWTH SUITE INVESTOR CA X X 05/16/03 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA X 05/16/03 MIDDLEBY CORP DE X X 05/16/03 MIDDLEFIELD BANC CORP OH X 05/15/03 MILLENNIUM PHARMACEUTICALS INC DE X X 05/16/03 MIPS TECHNOLOGIES INC DE X 05/15/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X X X 05/15/03 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 05/15/03 MONEY STORE INVESTMENT CORP NJ X X 05/15/03 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 05/15/03 MORGAN GROUP HOLDING CO X 05/16/03 MORGAN GROUP HOLDING CO X 05/16/03 MORGAN STANLEY ABS CAPITAL I INC DE X 03/14/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/18/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/18/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/12/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 03/13/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 05/13/03 AMEND MORTGAGE ASSET SECURITIZATION TRANSAC DE X 05/16/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 05/15/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 05/15/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 05/12/03 NATIONAL MEDICAL HEALTH CARD SYSTEMS NY X 05/15/03 NATURADE INC DE X X 05/16/03 NAVIGATORS GROUP INC DE X 05/16/03 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X X 05/15/03 NCRIC GROUP INC DC X X 05/15/03 NEOFORMA INC DE X X 05/15/03 NEW WORLD RESTAURANT GROUP INC DE X X 05/16/03 NEW YORK COMMUNITY BANCORP INC DE X X 05/16/03 NEXLAND INC AZ X X 05/16/03 NEXSTAR FINANCE LLC DE X 05/16/03 NN INC DE X X 05/16/03 NN INC DE X X 05/16/03 NN INC DE X X 05/16/03 NOMURA ASSET ACCEPTANCE CORP DE X 04/16/03 NORTHWEST AIRLINES CORP DE X X 05/15/03 NOVASTAR MORTGAGE FUNDING CORP DE X X 05/15/03 NRG ENERGY INC DE X X X 05/14/03 NU HORIZONS ELECTRONICS CORP DE X 03/31/03 NUTRITION 21 INC NY X 05/14/03 NYMAGIC INC NY X X 05/15/03 O A K FINANCIAL CORP MI X X 05/16/03 OMNI ENERGY SERVICES CORP LA X X 05/15/03 ONYX ACCEPTANCE CORP DE X X 05/15/03 ORTHODONTIC CENTERS OF AMERICA INC /D DE X X 05/15/03 OXIS INTERNATIONAL INC DE X X 05/16/03 PANHANDLE ROYALTY CO OK X 05/14/03 PARAGON FINANCIAL CORP DE X 01/31/03 AMEND PARLEX CORP MA X X 05/13/03 PAYSTAR CORP NV X 05/14/03 PENNEXX FOODS INC PA X 05/15/03 PIONEER STANDARD ELECTRONICS INC OH X X X 05/13/03 PITTSBURGH & WEST VIRGINIA RAILROAD PA X 05/16/03 PLIANT CORP UT X 05/16/03 POP N GO INC DE X X 05/16/03 PPL CORP PA X X 05/14/03 PRANDIUM INC DE X X 05/14/03 PROGRESSIVE CORP/OH/ OH X 05/16/03 PROSOFTTRAINING COM NV X X 05/16/03 PROVIDIAN MASTER TRUST X X 05/15/03 PULITZER INC DE X X 05/16/03 PW EAGLE INC MN X X 05/15/03 PW EAGLE INC MN X X 03/14/03 AMEND QAD INC DE X 05/13/03 QUALITY DISTRIBUTION LLC DE X X X 05/15/03 QUALITY SYSTEMS INC CA X X 05/14/03 RACHELS GOURMET SNACKS INC MN X 05/12/03 RAMPART CAPITAL CORP TX X X 05/16/03 REALNETWORKS INC WA X X 05/15/03 RELIANT RESOURCES INC DE X X 05/15/03 RIDGEWOOD HOTELS INC DE X 05/09/03 ROSS SYSTEMS INC/CA DE X 05/09/03 RUSSELL CORP AL X X 05/16/03 SAFETY INSURANCE GROUP INC DE X X 05/14/03 SCIENTIFIC INDUSTRIES INC DE X 05/14/03 AMEND SEA CONTAINERS LTD /NY/ X X 05/14/03 SEARS ROEBUCK ACCEPTANCE CORP DE X X 05/14/03 SEITEL INC DE X X 05/15/03 SEMINIS INC IL X X 05/13/03 SHAW GROUP INC LA X X 05/03/02 AMEND SHURGARD STORAGE CENTERS INC WA X 05/16/03 SKINVISIBLE INC NV X 03/31/03 SL GREEN REALTY CORP MD X X 04/28/03 AMEND SMTEK INTERNATIONAL INC DE X 03/31/03 SMURFIT STONE CONTAINER CORP DE X X 05/15/03 SOUTH CAROLINA ELECTRIC & GAS CO SC X X 05/14/03 SPECTRUM PHARMACEUTICALS INC DE X X 05/07/03 SPEEDUS CORP DE X X 05/15/03 STAGE STORES INC NV X X 05/15/03 STANDARD COMMERCIAL CORP NC X X 05/16/03 STATEN ISLAND BANCORP INC DE X X 03/15/03 STERION INC MN X 05/15/03 STERLING BANCORP NY X X 05/15/03 STERLING CONSTRUCTION CO INC DE X 05/15/03 STERLING FINANCIAL CORP /WA/ WA X X 05/16/03 STRUCTURED ASSET SECURITIES CORP DE X 05/16/03 SUPERIOR FINANCIAL CORP /AR/ DE X 05/16/03 TAIWAN FUND INC DE X 04/01/03 TARRANT APPAREL GROUP CA X X 05/15/03 TEAMSTAFF INC NJ X X 05/16/03 TECHDYNE INC FL X X 05/16/03 TECHNICAL OLYMPIC USA INC DE X X 05/15/03 TECO ENERGY INC FL X 05/16/03 TECUMSEH PRODUCTS CO MI X X 05/12/03 TEKNOWLEDGE CORP DE X 05/16/03 TEXEN OIL & GAS INC NV X X 05/16/03 TICKETS COM INC DE X X 05/16/03 TODHUNTER INTERNATIONAL INC DE X X 05/15/03 TOUCH AMERICA HOLDINGS INC DE X 03/16/03 TRANS GLOBAL SERVICES INC DE X X X 04/08/03 AMEND TRANSMERIDIAN EXPLORATION INC DE X X 05/15/03 TRANSTECH INDUSTRIES INC DE X 05/15/03 TREX CO INC DE X 05/16/03 TRIMERIS INC DE X X 05/13/03 TRUE TEMPER SPORTS INC X X 05/13/03 UNIGENE LABORATORIES INC DE X X 05/16/03 UNION BANKSHARES INC VT X X 05/07/03 UNITED PARK CITY MINES CO DE X X 05/14/03 UNITED PARK CITY MINES CO DE X X 05/16/03 UNIVERSAL COMPRESSION HOLDINGS INC DE X X 05/16/03 UNIVERSAL CORP /VA/ VA X X 05/16/03 UROPLASTY INC MN X X 05/14/03 US HOME SYSTEMS INC /TX DE X X 05/16/03 US UNWIRED INC LA X X 05/15/03 US UNWIRED INC LA X X 05/15/03 USANA HEALTH SCIENCES INC UT X X 04/13/03 VAALCO ENERGY INC /DE/ DE X X 05/16/03 VALENTIS INC DE X X X 05/15/03 VENTAS INC DE X X 05/16/03 VERSAR INC DE X 03/31/03 VIAD CORP DE X X 05/16/03 VICAL INC DE X X 05/15/03 VIEWCAST COM INC DE X X 05/16/03 VISX INC DE X X 05/15/03 WELLS FARGO ASSET SECURITIES CORP DE X X 05/15/03 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE X X 04/17/03 WFS RECEIVABLES CORP 3 CA X X 05/08/03 WOLOHAN LUMBER CO MI X 05/16/03 YORK WATER CO PA X 05/16/03 YOUBET COM INC DE X X 05/15/03