SEC NEWS DIGEST Issue 2003-102 May 29, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. CLOSED MEETING - TUESDAY, JUNE 3, 2003 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, June 3, 2003, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; and Formal orders of investigation. OPEN MEETING - WEDNESDAY, JUNE 4, 2003 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, June 4, 2003, will be: The Commission will hear oral argument on an appeal by Feeley & Willcox Asset Management Corp. (FWAM) and Michael J. Feeley from the decision of an administrative law judge. During the period covered by this Commission proceeding, Feeley was an associated person of FWAM, a registered investment adviser. The Commission subsequently cancelled FWAM's registration independently of this matter. FWAM & Feeley have appealed the law judge's findings that (1) FWAM and Feeley engaged in fraud in the sale of securities to public customers, in violation of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b- 5 promulgated thereunder, and (2) FWAM committed fraud in the sales of securities to investment advisory clients and violated its fiduciary duty to these clients by failing to disclose conflicts of interest, in violation of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and Feeley aided and abetted and was a cause of those violations. Based on these findings of violation, and additional violations that respondents have not appealed, the law judge barred Feeley from association with a broker or dealer or investment adviser with a right to reapply after two years in a non-supervisory, non- proprietary capacity; ordered Feeley to cease and desist from committing or causing any violations or any future violations of the antifraud provisions of the Securities Act and the Exchange Act; ordered Feeley to cease and desist from aiding and abetting and causing any violations or any future violations of the antifraud provisions or specified reporting and recordkeeping provisions of the Advisers Act; ordered FWAM and Feeley jointly and severally to disgorge $95,000 plus prejudgment interest; and ordered FWAM and Feeley to pay civil money penalties of $150,000 and $15,000 respectively. Among the issues likely to be argued are: 1. Whether respondents committed the alleged violations; and 2. If respondents committed violations, whether sanctions should be imposed in the public interest. CLOSED MEETING - WEDNESDAY, JUNE 4, 2003 - 11:00 A.M. The subject matter of the closed meeting scheduled for Wednesday, June 4, 2003, will be: Post-argument discussion. CLOSED MEETING - THURSDAY, JUNE 5, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, June 5, 2003, will be: Institution of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted, or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS SEC FILES SUBPOENA ENFORCEMENT ACTION AGAINST CHAIRMAN OF NEUROTECH DEVELOPMENT CORPORATION The Commission today announced that on May 23 it filed an action to enforce an investigative subpoena against Bernard Artz, the chairman, chief executive officer, and chief financial officer of Neurotech Development Corporation (Neurotech). The Commission alleges in its papers that Artz failed to comply with a subpoena requiring him to provide testimony in connection with an investigation to determine whether Neurotech and others may have violated the antifraud, reporting, and books and records provisions of the Securities Exchange Act of 1934. Accordingly, the Commission filed its Application for an Order to Show Cause and For an Order Requiring Bernard Artz to Comply with Administrative Subpoena. The action was filed in federal district court in Massachusetts. In its Application and supporting papers, the Commission alleges that, on March 20, 2003, the Commission issued a formal order of private investigation entitled In the Matter Neurotech Development Corporation, File No. B-01933 (Formal Order). The Commission supplemented the Former Order on April 17, 2003, to designate an additional officer for the purposes of conducting the investigation. The Formal Order, as supplemented, directed certain Commission staff members to undertake a private investigation to determine if there were violations of the federal securities laws. According to the Commission's court papers, the Commission staff is investigating possible material false statements made by Neurotech in press releases and in periodic reports filed with the Commission that were signed by Artz. According to the Commission's court papers, Commission staff issued a subpoena to Artz on March 20, 2003, requiring him to testify on March 31, 2003. After the Commission staff granted several extensions requested by Artz, he failed to appear for testimony on April 24, 2003, at the Commission's Northeast Regional Office in New York. The staff issued Artz a new subpoena on May 5, 2003, after his attorney ended his representation of Artz, to appear at the Commission's Boston District Office. That subpoena required Artz to appear for testimony on May 19, 2003. On May 16, 2003, the Commission staff granted the request of Artz's new attorney that Artz be relieved of immediate compliance with the May 19, 2003 appearance date. The Commission filed the enforcement action when Artz's new attorney would not commit to a reasonable date for rescheduling Artz's testimony. [SEC v. Bernard Artz, USDC, D. MA, MBD No. 03-10154-GAO] (LR-18159) SEC SUES FOUR WISCONSIN RESIDENTS FOR INSIDER TRADING ON ADVANCE INFORMATION FROM BUSINESS WEEK MAGAZINE The Commission announced today that it filed a complaint against four Wisconsin residents for obtaining advance information from Business Week magazine and trading in securities based on inside information for profits in excess of $1.4 million. Named in the complaint were Gregory J. Misfeldt of Fort Atkinson and Gregory L. Tyrer of Watertown for illegally trading on misappropriated information concerning more than 160 securities featured in the "Inside Wall Street" column and reaping combined profits of more than $1.4 million. Also named were Jodi L. Knueppel of Lake Mills and Mark R. Sonday of Sun Prairie, who worked at a plant where the magazine was printed and tipped Misfeldt and Tyrer to the securities mentioned in the column before the magazine hit newsstands and subscribers' doorsteps. The Commission alleged that Misfeldt and Tyrer, both factory workers in Lake Mills, paid Knueppel and Sonday approximately $8,800 each for the information about the securities. Misfeldt was acquainted with Knueppel, and Knueppel enlisted Sonday in the scheme when she took maternity leave from the printing plant. From June 1997 through January 1999, Knueppel, and later, Sonday, telephoned Misfeldt and Tyrer with information from the Business Week column the day before the magazine was circulated. Misfeldt and Tyrer then placed prepublication trades and profited by selling securities after the price moved in response to the magazine's publication. The Commission also announced that it has reached a settlement with the four. Misfeldt, Tyrer, Knueppel and Sonday have consented, without admitting or denying the allegations of the Commission's Complaint, to the entry of a final judgment that permanently enjoins each from future violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. Each also has consented to the entry of a final judgment that orders them to disgorge their profits plus prejudgment interest: Misfeldt will disgorge the sum of $346,807.66 in trading profits and $111,595.13 in prejudgment interest; Tyrer will disgorge the sum of $1,063,452.40 in trading profits and $342,195.61 in prejudgment interest; and Knueppel and Sonday each will disgorge $8,800 in tipping fees plus partial prejudgment interest of $1,200. (All payments will be subject to credits for amounts the defendants pay toward restitution ordered in connection with the parallel criminal charges to which they pled guilty today.) The Commission has submitted the proposed final consent judgment to the U.S. District Court for the Eastern District of New York. [SEC v. Gregory J. Misfeldt, Gregory L. Tyrer, Jodi L. Knueppel and Mark R. Sonday, 03-CIV-2666 (SJ) EDNY] (LR-18160) SEC OBTAINS PERMANENT INJUNCTION AGAINST ROBERTO VEITIA, CORPORATE RELATIONS GROUP, INC., GULF/ATLANTIC PUBLISHING, INC. AND STRATCOMM MEDIA LTD. FOR VIOLATIONS OF THE ANTIFRAUD, ANTITOUTING AND REGISTRATION PROVISIONS OF THE FEDERAL SECURITIES LAWS, ALONG WITH ORDER TO DISGORGE OVER $44 MILLION AND TO PAY CIVIL PENALTIES TOTALING $1.7 MILLION Jose Antonio Gomez Cortes, Fondo De Adquisiciones E Inversiones Internacionales XL, S.A. and C.A. Oportunidad, S.A. Settle to Permanent Injunctions Against Violating the Antifraud and Registration Provisions of the Federal Securities Laws SEC Obtains $44 Million Disgorgement Order, Injunction and Penalties An Orlando, Florida area resident and companies he controlled, which published promotions of publicly traded companies without adequately disclosing either that the promotions were paid for by the companies or that the defendants were selling the securities of those companies while heralding them to the public, were ordered by a U.S. District Court to disgorge over $44 million of unlawfully realized income and trading profits, including interest. All four defendants also were enjoined from further violating the provisions of the federal securities laws the Court found they violated and the individual defendant was ordered to pay a civil penalty of $1.4 million. The Court ordered the three corporate defendants to pay a civil penalty of $100,000 each. The final judgment was entered by the U.S. District Court for the Middle District of Florida on May 13, 2003, after the Court granted a motion by the Securities and Exchange Commission (Commission) for summary judgment. The defendants found liable for violating the securities laws through the promotion and sales scheme were Roberto E. Veitia (Veitia), Stratcomm Media Ltd. (Stratcomm), a publicly traded company, and two Stratcomm subsidiaries, Corporate Relations Group, Inc. (CRG) and Gulf/Atlantic Publishing, Inc. (Gulf) (collectively, "the Veitia Defendants"). Veitia was the senior officer of each of the defendant companies. The Court found in granting summary judgment that the defendants engaged in a fraudulent scheme, primarily perpetrated by Veitia, CRG and its principals, involving 14 different small public companies. The Court found that CRG acquired large blocks of discounted stock from its issuer- clients to pay for promotions and then sold that stock, often in large unregistered distributions, while CRG was touting those stocks in various CRG-sponsored publications. Among other things, the Court found that CRG failed to disclose either its compensation from the issuers for promoting the securities or that CRG was selling its positions in those same securities while promoting the companies to the public. The promotions were published in publications such as Money World, Confidential Fax Alert, The Rumor Mill and Growth Industry Report, all owned and operated by the defendants. The Court found that the Veitia Defendants violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Court held the Veitia Defendants failed to disclose they were being paid for promoting the stock of CRG's clients or that they were profiting from their recommendations by selling their holdings while recommending that investors buy such stocks. These omissions were material and fraudulent, the Court concluded. The Court also found that the Veitia Defendants violated Section 17(b) of the Securities Act, which prohibits a person from publishing any article describing a security for consideration without fully disclosing the receipt and amount of such consideration, on the ground that the Veitia Defendants' "disclosures" were insufficient under the statute. In doing so, the Court rejected the defendants' contention that the promoted companies disclosed this information in public filings they made with the Commission, finding that the plain language of Section 17(b) obligates the "person" who published the article to make the disclosure. The Court also found that Veitia, CRG and Stratcomm violated Section 5 of the Securities Act by selling securities issues that were not registered with the Commission and were not subject to any exemption from registration. The Court concluded these defendants controlled two Costa Rican entities, Fondo de Adquisiciones E Inversiones Internacionales XL, S.A. (Fondo) and C.A. Oportunidad, S.A. (Oportunidad), and misrepresented these entities to their issuer-clients as legitimate foreign purchasers to whom stock could be sold under Regulation S without registration. The Court found that sales to these entities were "de facto" sales to the defendants and that the defendants did not establish the availability of any exemption for such sales. The Court further held that CRG violated Section 15(a) of the Exchange Act by acting as an unregistered broker. CRG directed its sales force to contact registered representatives and encourage them to pitch the securities of CRG's clients to their customers. Then, once the customer bought the security, CRG's sales personnel would submit proof of the purchase to CRG and collect compensation based upon the transaction. Similarly, the Court found that CRG and Stratcomm violated Section 15(a) by acting as an unregistered dealer. The Court determined that CRG acted as a dealer by buying and selling securities for its own account through its Costa Rican nominees, Fondo and Oportunidad, and that Stratcomm acted as a dealer by selling approximately one million shares of its common stock to the public and buying stock from other investors to make delivery to the new investors. Finally, the Court found Veitia liable for CRG's violations as a controlling person of CRG pursuant to Section 20(a) of the Exchange Act. The final judgment permanently enjoins the Veitia Defendants from violating Sections 17(a) and 17(b) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The judgment also enjoins Veitia, CRG and Stratcomm from violating Section 5 of the Securities Act, and CRG and Stratcomm from violating Section 15(a) of the Exchange Act by acting as an unregistered broker or dealer. Finally, the judgment enjoins Veitia, as a controlling person of CRG pursuant to Section 20(a) of the Exchange Act, from violating Sections 5, 17(a) and 17(b) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act, and Exchange Act Rule 10b-5. The Commission complaint, which was filed in 1999, named as defendants 13 other individuals and entities in addition to the Veitia defendants. Each of the other defendants entered into settlements with the Commission in which they were enjoined and, where ordered, paid disgorgement and penalties, without either admitting or denying the allegations in the complaint. Final Judgment Entered against Gomez, Fondo and Oportunidad Previously, on July 19, 2002, the Court entered a final judgment by consent against Jose Antonio Gomez Cortes (Gomez), Fondo and Oportunidad. Without admitting or denying the Commission's allegations, Gomez, Fondo and Oportunidad each consented to the entry of a judgment which permanently enjoined them from violating Sections 5(a), 5(c) and 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5. The judgment also required Gomez to pay a civil money penalty in the amount of $75,000, which he has paid. The Commission alleged in its complaint that Gomez, Fondo and Oportunidad violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder by actively participating in CRG's fraudulent scheme. Fondo and Oportunidad bought the securities of at least eight of CRG's issuer-clients in more than two dozen separate purchase agreements, the majority of which purportedly were undertaken pursuant to Regulation S, and then sold those securities in hundreds of transactions back into the United States, with much of the stock going to CRG to cover short positions it had taken. According to the complaint, Gomez signed many of the purchase agreements, along with stock transfer documents, account opening documents, checks, wires and correspondence in connection with those transactions. The Commission also alleged that, by virtue of the conduct described above, Gomez, Fondo and Oportunidad violated Section 5 of the Securities Act by selling securities of CRG's issuer-clients while no registration statement was in effect and without a valid exemption or safe harbor. See also Litigation Release No. 16294 (Sept. 27, 1999)(filing of action); Litigation Release No. 16415 (Jan. 21, 2000)(final judgments entered against defendants Ammonia Hold, Inc. and Michael D. Parnell); Litigation Release No. 16447 (Feb. 22, 2000) (final judgment entered against defendant Jack Rodriguez, Jr.); Litigation Release No. 16563 (May 24, 2000) (final judgment entered against defendants New Concepts, L.L.C., Arnold Zousmer, CJL Corporation, and Charles J. Lidman); Litigation Release No. 16717 (September 21, 2000)(final judgments entered against defendants James A. Skalko and Pow Wow, Inc.); Litigation Release No. 17571 (June 17, 2002) (final judgment entered against defendant James W. Spratt III). [SEC v. Corporate Relations Group, Inc., et al., Civil Action No. 6:99-cv-1222-Orl-28A (M.D. Fla., Orlando)] (LR-18161) INVESTMENT COMPANY ACT RELEASES DIAMOND HILL FUNDS, ET AL. A notice has been issued giving interested persons until June 23, 2003, to request a hearing on an application filed by Diamond Hill Funds, et al., for an order exempting applicants from Sections 12(d)(1)(A) and (B) of the Investment Company Act and Section 17(a) of the Act, and permitting certain joint transactions under Section 17(d) of the Act and Rule 17d-1 under the Act. The order would permit certain registered open-end management investment companies to invest uninvested cash and cash collateral in affiliated money market funds and/or short-term bond funds. (Rel. IC-26058 - May 28) PACIFICARE OF ARIZONA, INC., ET AL. An order has been issued under Section 3(b)(2) of the Investment Company Act granting PacifiCare of Arizona, Inc., PacifiCare of California, PacifiCare of Colorado, Inc., PacifiCare of Nevada, Inc., PacifiCare of Oregon, Inc., PacifiCare of Texas, Inc., PacifiCare of Washington, Inc. (Applicants) a temporary exemption from all provisions of the Act, effective May 31, 2003. Applicants filed an application on March 31, 2003, and an amendment on May 23, 2003, for an order under Section 3(b)(2) declaring that each Applicant is not an investment company. The temporary order extends the sixty-day automatic exemption provided by Section 3(b)(2) upon the filing of an application in good faith until Sept. 29, 2003. Prior to the issuance of a permanent order to Applicants, if any, the Commission will issue a notice giving interested persons an opportunity to request a hearing. (Rel. IC-26060 - May 28) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY INC., ET AL. An order has been issued authorizing CenterPoint Energy, Inc. (CenterPoint), a registered holding company, and Utility Holding LLC, a subsidiary registered holding company, to issue warrants to purchase the common stock of CenterPoint, and to pledge the stock of Texas Genco Holdings, Inc., in connection with the refinancing of approximately $3.85 billion of CenterPoint debt. (Rel. 35-27680) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2003-01), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, that amends SCCP's fee schedule to adopt new fees for the processing of participant transactions in Standard & Poor's Depositary Receipts. Publication of the proposal is expected in the Federal Register during the week of May 26. (Rel. 34-47921) The Commission published notice of a proposed rule change (SR-SCCP-2002- 08) filed by the Stock Clearing Corporation of Philadelphia under Section 19(b)(1) of the Exchange Act. The proposed rule change, which became effective upon filing, SCCP's schedule of dues, fees, and charges to clarify the definition of a PACE trade as it relates to the imposition of SCCP's trade recording fees and value fees. Publication of the proposal is expected in the Federal Register during the week of May 26. (Rel. 34-47922) The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2003-02), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, that amends SCCP's fee schedule to adopt fees for the processing of participant transactions in DIAMONDSr Exchange Traded Funds. Publication of the proposal is expected in the Federal Register during the week of May 26. (Rel. 34-47923) The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2002-06) which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, to extend SCCP's existing fee schedule for Electronic Communications Networks for an additional one year period. Publication of the proposal is expected in the Federal Register during the week of May 26. (Rel. 34-47924) A proposed rule change (SR-Amex-2003-26) filed by the American Stock Exchange amending Amex's Options Fee Schedule with regard to exchange- traded fund and/or index option classes subject to annual minimum guaranteed index license fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47928) A proposed rule change filed by the National Securities Clearing Corporation to allow NSCC to modify NSCC Procedure V to report Balance Order transaction data on the Consolidated Trade Summary and to make other technical changes to NSCC Procedure VII (SR-NSCC-2003-07) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47935) APPROVAL OF PROPOSED RULE CHANGES The Commission granted approval to a proposed rule change, and granted accelerated approval to Amendment Nos. 3, 4 and 5 to the proposed rule change (SR-NASD-98-80), which were submitted by the National Association of Securities Dealers to establish a two-year pilot program relating to the issuance of temporary cease and desist order. (Rel. 34-47925) The Commission granted approval to a proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2003-66) under Section 19(b)(1) of the Securities Exchange Act of 1934 to rebate certain past Primex Auction System logon charges for certain participants. (Rel. 34-47930) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 DIAMETRICS MEDICAL INC, 2658 PATTON RD, ROSEVILLE, MN, 55113, 6516398035 - 0 ($4,769,679.00) Equity, (File 333-105586 - May. 28) (BR. 36) S-4 OLD EVANGELINE DOWNS LLC, P O BOX 90270, LAFAYETTE, LA, 705090270, 3378967223 - 123,200,000 ($123,200,000.00) Non-Convertible Debt, (File 333-105587 - May. 28) (BR. ) S-3 PXRE GROUP LTD, CLARENDON HOUSE, 12 CHURCH STREET MAILTON HM CX, BERMUDA, D0, 00000, 4412965858 - 0 ($180,645,000.00) Equity, (File 333-105589 - May. 28) (BR. 01) F-10 ROGERS COMMUNICATIONS INC, 333 BLOOR STREET EAST, 10TH FLOOR, TORONTO, ONTARIO, A6, M4W 1G9, 4160353532 - 0 ($181,870,239.00) Other, (File 333-105590 - May. 28) (BR. 37) S-8 KLEENAIR SYSTEMS INC, 1711 LANGLEY AVENUE, IRVINE, CA, 92614, 949-955-3492 - 1,500,000 ($300,000.00) Equity, (File 333-105591 - May. 28) (BR. 36) S-8 RRUN VENTURES NETWORK INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 14,914,286 ($104,400.00) Equity, (File 333-105592 - May. 28) (BR. 09) S-8 ASGA INC /NV, P.O. BOX 1175, PALM BEACH, FL, 33480, 561-822-9995 - 10,000,000 ($1,100,000.00) Equity, (File 333-105595 - May. 28) (BR. 09) S-3 INNOVATIVE MEDICAL SERVICES, 1725 GILLESPIE WAY, STE H, EL CAJON, CA, 92020, 6195968600 - 2,149,141 ($1,547,382.00) Equity, (File 333-105597 - May. 28) (BR. 06) S-8 AJS BANCORP INC, 14757 SOUTH CICERO AVE., MIDLOTHIAN, IL, 60455, 7086877400 - 176,912 ($3,317,100.00) Equity, (File 333-105598 - May. 28) (BR. 07) S-8 PAVING STONE CORP, 1760 NW 22ND CT, POMPANO BEACH, FL, 33069, 9549713235X211 - 4,000,000 ($260,000.00) Other, (File 333-105599 - May. 28) (BR. 08) S-8 ASML HOLDING NV, DE RUN 1110, LA VELDHOVEN NE, P7, 5503, 3140580800 - 6,723,359 ($82,628,409.38) Equity, (File 333-105600 - May. 28) (BR. 36) S-8 COMMUNITY CAPITAL BANCSHARES INC, 430 TIFT AVENUE, ALBANY, GA, 31701, 9124462265 - 175,000 ($2,537,500.00) Equity, (File 333-105601 - May. 28) (BR. 07) S-8 COMMUNITY CAPITAL BANCSHARES INC, 430 TIFT AVENUE, ALBANY, GA, 31701, 9124462265 - 100,000 ($1,450,000.00) Equity, (File 333-105602 - May. 28) (BR. 07) S-8 GLOBAL BOULEVARD INTERNATIONAL INC, 1770 ST. JAMES PLACE, -, HOUSTON, TX, 77056, 7136221100 - 5,960,000 ($1,162,200.00) Equity, (File 333-105603 - May. 28) (BR. 08) S-8 NEIMAN MARCUS GROUP INC, ONE MARCUS SQUARE, 1618 MAIN STREET, DALLAS, TX, 75201, 214-741-6911 - 2,300,000 ($74,635,000.00) Equity, (File 333-105604 - May. 28) (BR. 02) S-8 AMERICAN SPORTS DEVELOPMENT GROUP INC, 155 VERDIN ROAD, GREENVILLE, SC, 29607, 8642970507 - 6,400,000 ($1,232,000.00) Equity, (File 333-105607 - May. 28) (BR. 02) S-8 TARANTELLA INC, 425 ENCINAL STREET, PO BOX 1900, SANTA CRUZ, CA, 95061, 4084277172 - 0 ($385,000.00) Equity, (File 333-105608 - May. 28) (BR. 03) S-8 TRANSMERIDIAN EXPLORATION INC, 11811 NORTH FREEWAY SUITE 500, HOUSTON, TX, 77060, 281-591-47 - 0 ($812,500.00) Equity, (File 333-105609 - May. 28) (BR. 04) S-8 TRANSMERIDIAN EXPLORATION INC, 11811 NORTH FREEWAY SUITE 500, HOUSTON, TX, 77060, 281-591-47 - 0 ($1,625,000.00) Equity, (File 333-105610 - May. 28) (BR. 04) S-8 BOC GROUP PLC, CHERTSEY RD, GU20 6HJ, WINDLESHAM SURREY, X0, 00000, 0114401276477222 - 10,000,000 ($124,279,780.00) Equity, (File 333-105611 - May. 28) (BR. 04) S-8 GREAT AMERICAN FINANCIAL RESOURCES INC, 250 EAST FIFTH STREET, CINCINNATI, OH, 45202, 513-333-5300 - 2,000,000 ($27,660,000.00) Equity, (File 333-105612 - May. 28) (BR. 01) S-8 VARCO INTERNATIONAL INC /DE/, 2000 WEST SAM HOUSTON PARKWAY SOUTH, SUITE 1700, HOUSTON, TX, 77042, 2819532200 - 350,000 ($7,411,250.00) Equity, (File 333-105613 - May. 28) (BR. 04) S-8 VARCO INTERNATIONAL INC /DE/, 2000 WEST SAM HOUSTON PARKWAY SOUTH, SUITE 1700, HOUSTON, TX, 77042, 2819532200 - 4,500,000 ($95,287,500.00) Equity, (File 333-105614 - May. 28) (BR. 04) S-8 RESOURCE AMERICA INC, 2155465005 - 75,000 ($651,000.00) Equity, (File 333-105615 - May. 28) (BR. 04) SB-2 QUINCY RESOURCES INC, 535 THURLOW STREET, SUITE 801, VANCOUVER, A1, V6E 3W8, 6044084564 - 2,691,584 ($672,896.00) Equity, (File 333-105616 - May. 28) (BR. 04) S-8 AMERICAN ACCESS TECHNOLOGIES INC, 6670 SPRING LAKE ROAD, -, KEYSTONE HEIGHTS, FL, 32656, 3524736673 - 29,000 ($29,290.00) Equity, (File 333-105617 - May. 28) (BR. 03) S-8 LANDSTAR SYSTEM INC, 13410 SUTTON PARK DRIVE SOUTH, JACKSONVILLE, FL, 32224, 9043901234 - 48,500 ($2,823,185.00) Equity, (File 333-105618 - May. 28) (BR. 05) S-8 LANDSTAR SYSTEM INC, 13410 SUTTON PARK DRIVE SOUTH, JACKSONVILLE, FL, 32224, 9043901234 - 1,600,000 ($92,616,229.10) Equity, (File 333-105619 - May. 28) (BR. 05) S-8 PC MALL INC, 2555 WEST 190TH STREET, TORRANCE, CA, 90504, 3103545600 - 1,382,278 ($4,948,555.00) Equity, (File 333-105620 - May. 28) (BR. 02) S-8 VISTA GOLD CORP, 7961 SHAFFER PKWY, SUITE 5, LITTLETOWN, CO, 80127, 3036292450 - 1,000,000 ($3,530,000.00) Equity, (File 333-105621 - May. 28) (BR. 04) 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 ---------------------------------------------------------------------------------- ABN AMRO MORT CORP MULTI-CLASS MORT P DE X 05/01/03 ACE SECURITIES CORP DE X X 05/21/03 ADAPTEC INC DE X X 05/21/03 ADZONE RESEARCH INC DE X 05/28/03 AGILE SOFTWARE CORP DE X X 05/28/03 ALLERGAN INC DE X X 05/16/03 ALLETE INC MN X 05/28/03 ALTAIR NANOTECHNOLOGIES INC A6 X X 05/28/03 AMERICAN FINANCIAL GROUP INC OH X X 05/27/03 AMERICAN TECHNOLOGY CORP /DE/ DE X 05/15/03 AMERUS GROUP CO/IA IA X X 05/28/03 AMSOUTH AUTO RECEIVABLES LLC X X 05/15/03 ANSOFT CORP PA X X 05/28/03 APPLEBEES INTERNATIONAL INC DE X 05/28/03 ARROW ELECTRONICS INC NY X 05/28/03 ASSET BACKED SEC CORP HOME EQU LOAN T DE X X 05/29/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 05/28/03 AUTOZONE INC NV X X 03/04/03 BAB INC DE X 05/28/03 BAKER MICHAEL CORP PA X X 05/28/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/28/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 05/29/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 05/08/03 BINDVIEW DEVELOPMENT CORP TX X X 05/08/03 BIW LTD CT X X 05/19/03 CABLE DESIGN TECHNOLOGIES CORP DE X X 05/28/03 CASCADE CORP OR X X 05/28/03 CDF FINANCING LLC DE X X 04/30/03 CDF FLOORPLAN RECEIVABLES LP DE X X 04/30/03 CELERITEK INC/CA CA X X 05/28/03 CELTRON INTERNATIONAL INC NV X X X 05/19/03 CENTRAL WIRELESS INC UT X X 04/15/03 CHAMPPS ENTERTAINMENT INC DE X X 05/22/03 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE X X 05/21/03 AMEND CHASE MORTGAGE FINANCE CORP DE X X 05/28/03 CHINA FUND INC MD X 04/01/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 05/16/03 CITICORP MORTGAGE SECURITIES INC DE X 05/27/03 CITICORP MORTGAGE SECURITIES INC DE X 05/27/03 CITICORP MORTGAGE SECURITIES INC DE X 05/27/03 CITICORP MORTGAGE SECURITIES INC DE X 05/27/03 CITICORP MORTGAGE SECURITIES INC DE X 05/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 05/27/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 05/27/03 CLICK COMMERCE INC X 03/27/03 AMEND CNH CAPITAL RECEIVABLES INC DE X X 05/15/03 CNH RECEIVABLES INC DE X X 05/15/03 COAST FEDERAL LITIGATION CONTINGENT P DE X X 05/23/03 COASTAL FINANCIAL CORP /DE DE X X 05/27/03 COLDWATER CREEK INC DE X 05/28/03 COMPETITIVE TECHNOLOGIES INC DE X X X 05/19/03 CONE MILLS CORP NC X X 06/29/03 CONVERA CORP DE X 05/21/03 COSTCO WHOLESALE CORP /NEW WA X 05/28/03 COX COMMUNICATIONS INC /DE/ DE X X 05/20/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 05/27/03 CSFB MORTGAGE SEC CORP HM EQU PASS TH DE X X 05/25/02 CTI INDUSTRIES CORP DE X X 05/27/03 CWMBS INC DE X X 05/27/03 CWMBS INC DE X X 05/28/03 CWMBS INC DE X X 05/28/03 DANKA BUSINESS SYSTEMS PLC X X 05/22/03 DARLING INTERNATIONAL INC DE X X 05/28/03 DATAWAVE SYSTEMS INC X 05/28/03 DAYTON SUPERIOR CORP OH X 05/27/03 DEALER AUTO RECEIVABLES CO LLC DE X X 05/15/03 DIAMOND OFFSHORE DRILLING INC DE X X 05/27/03 DIGITAL BROADBAND NETWORKS INC CO X X 05/20/03 DNB FINANCIAL CORP /PA/ PA X X 05/28/03 DOBSON COMMUNICATIONS CORP OK X X 05/27/03 DONALDSON CO INC DE X X 05/27/03 DREW INDUSTRIES INCORPORATED DE X X 05/27/03 DSTAGE COM INC DE X 05/28/03 AMEND DTVN HOLDINGS INC DE X X 04/30/03 EDUCATION LOANS INC /DE DE X X 05/22/03 ELINE ENTERTAINMENT GROUP INC NV X X 05/27/03 ELIZABETH ARDEN INC FL X X 05/28/03 EMBARCADERO TECHNOLOGIES INC X X 04/23/03 EMERSON ELECTRIC CO MO X 05/28/03 EMPIRE FINANCIAL HOLDING CO FL X 05/28/03 EPIX MEDICAL INC X X 05/27/03 EQUITY ONE ABS INC EQUITY ONE MORT P DE X 05/27/03 EQUITY ONE MORTGAGE PASS-THROUGH TRUS DE X 05/27/03 FIBERNET TELECOM GROUP INC\ DE X X 05/28/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 04/17/03 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 04/18/03 FIRST UNION LEH BRO BANK OF AMER COM NY X X 05/18/03 FRANKLIN RECEIVABLES LLC DE X 05/28/03 GAMESTOP CORP DE X X 05/21/03 GENAERA CORP DE X X 05/28/03 GENERAL BINDING CORP DE X 05/31/03 GENZYME CORP MA X 05/28/03 GMACM HOME EQUITY LOAN BACKED TERM NO DE X 05/27/03 GOLDEN CYCLE GOLD CORP CO X 05/22/03 GRIFFIN LAND & NURSERIES INC DE X 05/27/03 GS MORTGAGE SECURITIES CORP DE X 05/28/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 05/31/03 HIGH COUNTRY FINANCIAL CORP NC X X 05/30/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 05/25/02 HOUSEHOLD AFFINITY CREDIT CARD MASTER DE X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST III SERIES NV X 05/15/03 HOVNANIAN ENTERPRISES INC DE X 05/29/03 HUGHES SUPPLY INC FL X X 05/27/03 HUGHES SUPPLY INC FL X X 05/28/03 AMEND IMAGING TECHNOLOGIES CORP/CA DE X 05/27/03 IMCLONE SYSTEMS INC/DE DE X X 05/27/03 IMPAX LABORATORIES INC DE X 05/28/03 INDYMAC MBS INC X X 05/28/03 INTEGRATED ELECTRICAL SERVICES INC DE X X 05/28/03 INTERNATIONAL SPEEDWAY CORP FL X 05/27/03 JAG MEDIA HOLDINGS INC NV X X 05/27/03 JUNIPER NETWORKS INC DE X X 05/28/03 JURE HOLDINGS INC FL X X 04/30/03 AMEND K2 INC DE X X 05/28/03 KANEB PIPE LINE OPERATING PARTNERSHIP DE X X 05/16/03 KANKAKEE BANCORP INC DE X X 05/28/03 KERR MCGEE CORP /DE DE X 05/28/03 KRISPY KREME DOUGHNUTS INC X X 05/28/03 KROGER CO OH X X 05/28/03 LA-Z-BOY INC MI X 04/26/03 LINCOLN LOGS LTD NY X 05/28/03 LINGO MEDIA INC A6 X 04/17/03 LOOKSMART LTD DE X X 05/27/03 LUCENT TECHNOLOGIES INC DE X X 05/28/03 MARTIN INDUSTRIES INC /DE/ DE X X 05/15/03 MELLON FINANCIAL CORP PA X X 05/22/03 METAL MANAGEMENT INC DE X X 05/23/03 MIDDLEBY CORP DE X X 05/28/03 MILACRON INC DE X X 05/23/03 MOORE WALLACE INC X 05/28/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 05/23/03 NATIONAL EQUIPMENT SERVICES INC DE X X 05/20/03 NATIONAL MANAGEMENT CONSULTANTS INC DE X X 04/30/03 NAVARRE CORP /MN/ MN X X 05/28/03 NAVIGATOR VENTURES INC NV X 05/20/03 NEW CENTURY FINANCIAL CORP DE X X 05/21/03 NEW ENGLAND BANCSHARES INC X X 05/28/03 NEW SOUTH BANCSHARES INC DE X 05/28/03 NEW YORK COMMUNITY BANCORP INC DE X X 05/28/03 NORDSON CORP OH X X 05/28/03 NOVASTAR MORTGAGE FUNDING CORP DE X X 05/27/03 NUEVO ENERGY CO DE X X 05/27/03 OFFICE DEPOT INC DE X X 05/28/03 ONESOURCE TECHNOLOGIES INC DE X 05/28/03 OPTION ONE MORTGAGE ACCEP CORP AST BA DE X X X 05/15/03 PAB BANKSHARES INC GA X 05/28/03 PAC-WEST TELECOMM INC X 05/23/03 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 05/23/03 PARKWAY PROPERTIES INC MD X X 05/28/03 PARLUX FRAGRANCES INC DE X 05/20/03 PARTNERS TRUST FINANCIAL GROUP INC X 05/27/03 PEPCO HOLDINGS INC DE X X 05/21/03 PHARMAKINETICS LABORATORIES INC MD X X 05/26/03 POLYMEDICA CORP MA X 05/28/03 POP N GO INC DE X X 05/23/03 AMEND QAD INC DE X 05/28/03 QUALITY SYSTEMS INC CA X X 05/22/03 RADIX MARINE INC NV X X 05/27/03 AMEND RADIX MARINE INC NV X X 05/27/03 AMEND RECKSON ASSOCIATES REALTY CORP MD X 05/28/03 RELIANT RESOURCES INC DE X X 05/27/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 05/27/03 RESIDENTIAL ASSET MORTGAGE PROD INC G DE X X 05/25/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 05/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 05/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 05/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 05/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 05/27/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 05/27/03 SAXON ASSET SECURITIES CO VA X 05/15/03 SBA COMMUNICATIONS CORP FL X X X 05/09/03 SCHEIB EARL INC DE X X 05/27/03 SCHOLASTIC CORP DE X X 05/28/03 SCIENTIFIC GAMES CORP DE X X 05/23/03 AMEND SEMOTUS SOLUTIONS INC NV X X 05/14/03 SIERRA HEALTH SERVICES INC NV X 05/27/03 SOLUCORP INDUSTRIES LTD X X X 05/16/03 SOLUCORP INDUSTRIES LTD X X X 05/16/03 AMEND STERLING FINANCIAL CORP /PA/ PA X X 05/27/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 05/01/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 05/01/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 05/01/03 STRUCTURED PROD CORP STEP UP TR CREDI DE X 05/15/03 AMEND SUN RIVER MINING INC CO X 05/23/03 SURFORAMA COM INC NV X 05/27/03 TEXAS GAS TRANSMISSION CORP DE X X 05/28/03 THERMA WAVE INC DE X 05/28/03 THORNBURG MORTGAGE INC MD X X 04/03/03 THORNBURG MORTGAGE INC MD X X 05/23/03 TOLL BROTHERS INC DE X 05/28/03 TORO CO DE X X 05/28/03 TRANSOCEAN INC E9 X 05/28/03 TRIMERIS INC DE X X 05/28/03 TTR TECHNOLOGIES INC DE X 05/28/03 U S ENERGY SYSTEMS INC DE X 05/27/03 UAL CORP /DE/ DE X X 05/28/03 UNIVERCELL HOLDINGS INC FL X 04/29/03 AMEND UNIZAN FINANCIAL CORP OH X X 05/28/03 USDATA CORP DE X X 05/28/03 UST INC DE X X 05/27/03 UTI WORLDWIDE INC X 05/23/03 V I TECHNOLOGIES INC DE X X 05/27/03 VAXGEN INC DE X X 05/27/03 VCAMPUS CORP DE X X 05/23/03 VERSANT CORP CA X X 05/28/03 VION PHARMACEUTICALS INC DE X X 05/28/03 VISCOUNT SYSTEMS INC NV X X 05/27/03 VIVUS INC CA X X 05/28/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 05/15/03 WACHOVIA COMMERCIAL MORT SEC INC PAS NC X X 05/15/03 WEBTRONICS INC FL X X 05/20/03 WELLS FARGO ASSET SECURITIES CORP DE X X 05/28/03 WHITEHALL JEWELLERS INC DE X 05/28/03 WPS RESOURCES CORP WI X 05/14/03