SEC NEWS DIGEST Issue 2003-104 June 2, 2003 COMMISSION ANNOUNCEMENTS PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS NOTE TO OUR READERS Starting this month the information usually appearing in this feature of the Digest will be available on a separate Web page accessible from the Commission homepage at www.sec.gov. The page will be updated throughout the month and will include information on additional events such as open meetings of the Commission and other public events. Please contact Carlene Akins, Editor of the Digest, at (202) 942-0020 with any questions. When: Thursday, June 5 Who: Chairman William H. Donaldson What: New York Financial Writers Association, New York City Contact: Jane Reilly, (201) 612-0100 When: Thursday, June 5 - Friday, June 6 Who: Commissioner Harvey J. Goldschmid What: Corporate Governance Institute, Hyatt Regency at Penn's Landing, Philadelphia, PA Contact: Jan McCarver, (215) 243-1632 When: Tuesday, June 10 Who: Ethiopis Tafara Acting Director, Office of International Affairs What: Conference on Sarbanes-Oxley Act , American Chamber of Commerce in Luxembourg, Germany Contact: Mr. John Li/Mr. Jean Brucher, (011) 352-431-756 When: Thursday, June 12 Who: Alan Beller Director, Division of Corporation Finance What: American Bar Association, Luncheon Speaker, The Park Hyatt, Washington, D.C. Contact: Marcia Yarbough, (312) 988-5653 When: Friday, June 13 Who Lawrence Harris Chief Economist, Office of Economic Analysis Annette L. Nazareth Director, Division of Market Regulation What: Securities Industry Association, Market Structure Conference, Grand Hyatt Hotel, New York City Contact: Tom Price, (212) 618-0560 When: Tuesday, June 17 Who Paul F. Roye Director, Division of Investment Management What: NAVA's 2003 Regulatory Affairs Conference, The Fairmont Hotel, Washington, D.C. Contact: Michael P. DeGeorge, (703) 707-8830 x20 When: Thursday, June 19 Who Paul F. Roye Director, Division of Investment Management What: ALI-ABA Investment Company Regulation and Compliance Loews L'Enfant Plaza Washington, D.C. Contact: Thomas Hennessey, (215) 243-1638 When: Thursday, June 19 - Friday, June 20 Who Scott Taub Deputy Chief Accountant, Office of the Chief Accountant What: International Accounting Standards Board Advisory Council Meeting Grand Hotel Parco dei Principi, Rome, Italy Contact: Katheryn McArdle, 44-20-7246-6410 When: Monday, June 23 - Tuesday, June 24 Who: Scott A. Taub Deputy Chief Accountant, Office of the Chief Accountant What: FASAC Meeting, Financial Accounting Standards Board, Norwalk, Connecticut Contact: Terri Polley, (203) 849-9714 or tspolley@f-a-f.org When: Thursday, June 26 Who: Chairman William H. Donaldson What: American Society of Corporate Secretaries, Salt Lake City, Utah Contact: Suzanne Walker, (212) 681-2000 When: Monday, June 30 Who: Chairman William H. Donaldson What: Rotary Club of St. Joseph, Benton Harbor, Michigan Contact: John Proos, (269) 982-1986 SEC GRANTS EXTENSION OF THE INTERMARKET TRADING SYSTEM DE MINIMIS EXEMPTION On May 30, 2003, the Commission granted an extension of the de minimis exemption from the provisions of the Intermarket Trading System Plan (ITS Plan) governing intermarket trade-throughs. The de minimis exemption was originally issued by the Commission on Aug. 28, 2002, and granted relief through June 4, 2003. The Commission's August 2002 order exempted from the trade-through provisions of the ITS Plan transactions in three specific exchange-traded funds (ETFs): the Nasdaq-100 Index ETF (QQQ), the Dow Jones Industrial Average ETF (DIA), and the Standard & Poor's 500 Index ETF (SPY). The exemption permits transactions in the three ETFs to be effected at prices no more than three cents worse than the national best bid and offer. The order extends this de minimis exemption for an additional nine- months through March 4, 2004. During this extended exemption period, the Commission intends to consider whether to adopt the de minimis exemption on a permanent basis, to adopt some other alternative solution, or to allow the exemption to expire. Copies of the Commission's order can be obtained by contacting the SEC's Public Reference Room, 450 Fifth Street, NW, Washington, D.C. 20549- 06009 or by accessing the Commission's Web site at www.sec.gov. (Rel. 34-47950; Press Rel. 2003-67) ENFORCEMENT PROCEEDINGS SEC BARS DEAN JUPITER FROM ASSOCIATING WITH ANY BROKER OR DEALER On May 30, the Commission issued an administrative order barring Dean J. Jupiter, a resident of Jupiter, Florida, from associating with any broker or dealer. Jupiter consented to the order without admitting or denying its findings, except as to the SEC's jurisdiction and the entry of an order of permanent injunction (injunction order) against him, which he admitted. A U.S. district court judge in Maryland entered the injunction order against Jupiter on Jan. 17, 2003, in a case captioned (SEC v. William F. Mahon and Dean J. Jupiter, Case No. S00 CV 2918). In that case, the SEC sued Jupiter for his alleged role in a scheme to defraud Alexander & Alexander Services Inc. (Alexander), a Maryland based insurance brokerage firm, which Aon Corp. acquired in 1997. The SEC's complaint alleged: (1) from 1992 through April 1997, Alexander's portfolio manager, William F. Mahon, secretly traded millions of dollars in high-risk derivatives and concealed $62 million in losses and $35 million in gains resulting from such trading on Alexander's books and records; (2) Jupiter, a former registered representative of a brokerage firm, sold Mahon several of these derivatives and received sales commissions of at least $14.3 million; (3) from 1993 to 1995, Jupiter paid Mahon at least $190,000 in kickbacks to induce him to continue investing in the high-risk derivatives; (4) at the inception of the scheme, Jupiter discussed with Mahon how to conceal from Alexander losses from his trading in the high-risk derivatives; and (5) Jupiter never disclosed to Alexander his knowledge of the scheme or his kickback payments to Mahon. The only issues remaining are the amount of disgorgement, prejudgment interest and any civil penalty Jupiter must pay. Mahon previously consented, without admitting or denying the allegations in the complaint, to a permanent injunction. Mahon paid disgorgement of $190,000, prejudgment interest of $114,862.08 and a civil penalty of $50,000. For more information concerning the SEC's action, see Litigation Release Nos. 16751 and 17956. (Rel. 34-47952; File No. 3- 11140) FORMER JOPLIN, MISSOURI RESIDENT GREGORY FEARS BARRED FROM ASSOCIATING WITH ANY BROKER OR DEALER OR INVESTMENT ADVISER On June 2, the Commission barred Gregory L. Fears, formerly of Joplin, Missouri, from associating with any broker or dealer or investment adviser. The Commission's Order, which was consented to by Fears, found that Fears had been a fifty-percent owner and a control person of World Securities, Inc. a broker-dealer registered with the Commission, and of Investors Financial, Inc., an investment adviser registered with the Commission. In addition, from 1992 to 2001, Fears held himself out as and acted as an investment adviser. The Commission's Order also found that on March 21, 2002, in the case of United States of America v. Gregory L. Fears, Case No. 2:01CR20033 in the U.S. District Court for the Western District of Arkansas, Fears pled guilty and was convicted on a twenty-two count criminal information. Fears conviction included three counts of investment advisory fraud, one count of wire fraud, five counts of money laundering, six counts of loan fraud and seven counts for criminal forfeiture. The information against Fears alleged, among other things, that beginning in 1992, Fears and Martin W. Smith formed a partnership in which Fears promoted himself to potential clients as a financial trustee available to handle all investment decisions for the clients, with Smith providing investment advice to Fears as the clients' trustee, as well as directly to the clients. Fears and Smith formed World Securities and Investors Financial for the purpose of managing their clients' assets and to allow Fears and Smith to profit from buying and selling securities for their clients. Fears recommended that a number of their unsophisticated and generally elderly advisory clients invest in World Capital Management, L.P. (World Capital), an unregistered hedge fund created by Fears and Smith and managed by Smith, who conducted high-risk securities trading in its account through World Securities. In order to induce their clients to invest in World Capital, Fears made misrepresentations and omissions of material facts to clients regarding the nature of World Capital and the risks of investing in it. As a result of Fears and Smith's fraudulent scheme, their advisory clients lost essentially all of their investments. (Rels. 34-47963; IA-2134; File No. 3-11088) COURT GRANTS COMMISSION'S MOTION TO DISMISS ITS COMPLAINT AGAINST DAVID CHEN YU AND QUEST CAPITAL STRATEGIES, INC. The Commission announced that on May 29, 2003, Judge Paul L. Friedman of the U.S. District Court for the District of Columbia issued an order, upon the Commission's motion, dismissing the Commission's complaint against defendants David Chen Yu and Quest Capital Strategies, Inc., a registered broker-dealer. The complaint had alleged that Yu, who was then president of defendant Quest, was violating a supervisory bar the Commission had imposed on Yu in an Order Imposing Remedial Sanctions issued on Oct. 15, 2001, Quest Capital Strategies, Inc. and David Chen Yu, Exchange Act Release Nos. 44935 and 40-1990 (Commission Order). The complaint had further alleged that defendant Quest was knowingly permitting Yu to act as a supervisor in violation of the Commission Order. The Commission's motion to dismiss the complaint cited as grounds for the dismissal developments since the commencement of the lawsuit, including Yu's resignation as president, registered representative, and registered principal, of Quest, as well as evidence obtained through discovery. The court action was commenced by the Commission on July 31, 2002, with the filing of a complaint and an application for a preliminary injunction. On Sept. 25, 2002, the Court granted the Commission's application for a preliminary injunction against Yu and Quest. For more information about the Commission's complaint and the prior proceedings against Quest and Yu, see SEC v. David Chen Yu and Quest Capital Strategies, Inc., Litigation Release No. 17761 (Oct. 1, 2002 ); SEC v. David Chen Yu and Quest Capital Strategies, Inc., Litigation Release No. 17644 (July 31, 2002 ); and Quest Capital Strategies, Inc. and David Chen Yu, Release Nos. 34-44935 and 40-1990 (Oct. 15, 2001). [SEC v. David Chen Yu and Quest Capital Strategies, Inc., Civil Action No. 02 Civ. 1512, D.D.C. (PLF)] (LR-18163) SEC CHARGES MEDIMMUNE EXECUTIVE WITH INSIDER TRADING On June 2, the Commission filed an insider trading complaint in the U.S. District Court for the District of Maryland against Eric I. Tsao, an executive at MedImmune, Inc., a biotechnology company based in Gaithersburg, Maryland. The complaint alleges that Tsao engaged in three separate episodes of insider trading between September 1999 and December 2001, from which he realized aggregate illicit profits in excess of $150,000. The complaint further alleges that on each occasion, within days after learning that MedImmune was involved in confidential negotiations concerning a possible business combination with another public company - the first being U.S. BioScience, Inc., the second ImClone Systems, Inc., and the third Aviron - Tsao bought stock in the other company (and, in the case of ImClone, MedImmune stock as well). On each occasion, according to the complaint, Tsao bought the stock over the Internet in a securities account that, although nominally held by his parents in Taiwan, Tsao had opened, controlled, treated as his own, funded with his own assets, and used to pay his household expenses. The complaint also alleges that, after Tsao learned that NASD Regulation, Inc. (NASDR) was investigating trading in one of the stocks at issue, he took steps to distance himself from this account, and later provided a false explanation of his trading to the SEC staff. Based on the facts alleged, the Commission's complaint charges Tsao with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. It seeks a final judgment that would enjoin Tsao from violating these provisions in the future, order Tsao to disgorge his illicit trading profits with prejudgment interest, order Tsao to pay civil penalties, and prohibit Tsao from acting as an officer or director of any public company. The Commission acknowledges the assistance of the NASD in the investigation of this matter. [SEC v. Eric I. Tsao, Civil Action No. AW- 03-1596 (D. Md.)] (LR-18164) CORRECTION The article concerning LR-18162 in the May 30th issue of the Digest, should have included Accounting and Auditing Enforcement Release No. 1791. INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: Strong Balanced Stock Fund, Inc. [File No. 811-8449] (Rel. IC-26053- May 28) Merrill Lynch Global Bond Fund for Investment and Retirement [File No. 811-4684] (Rel. IC-26054- May 28) Short-Intermediate Income Fund, Inc. [File No. 811-6084] (Rel. IC-26055- May 28) Emerging Growth Fund, Inc. [File No. 811-5320] (Rel. IC-26056- May 28) The Austria Fund, Inc. [File No. 811-5736] (Rel. IC-26057- May 28) Real Estate Securities Fund, Inc. [File No. 811-8500] (Rel. IC-26059- May 28) VANGUARD CONVERTIBLE SECURITIES FUND, ET AL. A notice has been issued giving interested persons until June 23 to request a hearing on an application filed by Vanguard Convertible Securities Fund, et al. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit applicants to enter into and amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. The requested order would supersede an existing order. (Rel. IC-26062 - May 29) SOCIETE GENERALE, ET AL. A notice has been issued giving interested persons until June 23 to request a hearing on an application filed by Societe Generale (SG Paris), SG Cowen Securities Corporation (SG Cowen), and SG Principal Protection Trust I for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Section 12(d)(1)(F)(ii) of the Act, under Section 6(c) of the Act for an exemption from Section 12(d)(3) of the Act and Section 14(a) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would (a) permit certain existing and future registered closed-end investment companies (each, an SG Trust, and collectively SG Trusts) that are sponsored by SG Cowen, or any entity controlling, controlled by or under common control with SG Cowen, to offer and sell shares to the public with a sales load that exceeds the limit in Section 12(d)(1)(F); (b) permit the SG Trusts to purchase certain securities from SG Paris or other issuers that are involved in securities-related activities; (c) exempt the SG Trusts from the initial net worth requirements of Section 14(a); (d) permit SG Cowen to deposit with each SG Trust the components of that SG Trust's portfolio; and (e) permit SG Paris to write certain put or index options deposited with an SG Trust and to make payments pursuant to the terms of such options to the SG Trust, and to purchase and exercise certain call options from the SG Trust. (Rel. IC-26063 - May 29) MANUFACTURERS INVESTMENT TRUST, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act to Manufacturers Investment Trust (MIT) and Manufacturers Securities Services, LLC (MSS) granting exemptions from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act, and Rules 6e- 2(b)(15) and 6e-3(T)(b)(15) thereunder to the extent necessary to permit shares of existing series of MIT (Existing Funds) and any other investment company that is designed to be sold to separate accounts and for which MSS or any of its affiliates serve as investment adviser, subadviser, manager, administrator, principal underwriter or sponsor (Future Funds) to be sold to and held by: (1) separate accounts funding variable life insurance contracts and variable annuity contracts issued by both affiliated and unaffiliated life insurance companies; (2) qualified pension and retirement plans outside of the separate account context; (3) the investment adviser or any subadviser to an Existing Fund or Future Fund, certain affiliated persons of each such adviser or subadviser and all other persons described in Treasury Regulation 1.817- 5(f)(3)(ii); and (4) the general account of any participating insurance company, certain affiliated persons of each such participating insurance company and all other persons described in Treasury Regulation 1.817- 5(f)(3)(i). (Rel. IC-26064 - May 30) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx- 2003-22) relating to elimination of the prospectus delivery requirement has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47938) A proposed rule change, and Amendment No. 1 thereto, (SR-NASD-2003-84) filed by the National Association of Securities Dealers to amend the fee Schedule for the Nasdaq application of the Primex Auction System has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(2), thereunder. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47943) PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change (SR-PHLX- 2003-31) to amend the Exchange's Rule 229 to provide for the automatic execution of odd-lot market and marketable limit orders received over PACE during locked and crossed markets at the PACE Quote. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47942) DELISTINGS GRANTED An order has been issued granting the application of the International Securities Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying securities of Dreyer's Grand Ice Cream, Inc. and Metris Companies Inc., effective at the opening of business on May 30. (Rel. 34-47944) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.20 par value, of SL Industries, Inc., effective at the opening of business on May 30. (Rel. 34-47945) 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 PALOMAR ENTERPRISES INC, 10264 CAMINO RUIZ #75, SUITE 209, SAN DIEGO, CA, 92126, 6196922590 - 9,000,000 ($315,000.00) Other, (File 333-105667 - May. 30) (BR. 05) S-3 VIRAGEN INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338746 - 0 ($18,087,303.00) Equity, (File 333-105668 - May. 30) (BR. 01) S-3 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($165,000,000.00) Equity, (File 333-105669 - May. 30) (BR. 08) S-8 VERITAS SOFTWARE CORP /DE/, 1600 PLYMOUTH STREET, MOUNTAIN VIEW, CA, 94043, 6503358000 - 14,600,000 ($348,240,000.00) Equity, (File 333-105670 - May. 30) (BR. 03) S-4 CARNIVAL CORP, 3655 N W 87TH AVE, PO BOX 1347, MIAMI, FL, 33178-2428, 3055992600 - 0 ($476,750,000.00) Non-Convertible Debt, (File 333-105671 - May. 30) (BR. 05) S-8 CARNIVAL CORP, 3655 N W 87TH AVE, PO BOX 1347, MIAMI, FL, 33178-2428, 3055992600 - 0 ($30,000,000.00) Non-Convertible Debt, (File 333-105672 - May. 30) (BR. 05) F-3 SBS BROADCASTING S A, RIETLANDPARK 363, AMSTERDAM, P7, 00000, 01131205191919 - 0 ($77,601,751.00) Equity, (File 333-105673 - May. 30) (BR. 37) S-8 FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 612,646 ($5,899,780.98) Equity, (File 333-105674 - May. 30) (BR. 05) S-8 UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO, IL, 60631, 7733998900 - 5,350,000 ($131,075,000.00) Equity, (File 333-105675 - May. 30) (BR. 37) S-8 TELEPHONE & DATA SYSTEMS INC /DE/, 30 NORTH LASALLE STREET, STE 4000, CHICAGO, IL, 60602, 3126301900 - 2,400,000 ($113,328,000.00) Equity, (File 333-105676 - May. 30) (BR. 37) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 354,472 ($8,299,962.00) Equity, (File 333-105677 - May. 30) (BR. 07) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 198,038 ($4,637,060.00) Equity, (File 333-105678 - May. 30) (BR. 07) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 209,281 ($4,900,315.00) Equity, (File 333-105679 - May. 30) (BR. 07) S-4 CAPITOL BANCORP LTD, ONE BUSINESS & TRADE CNTR, 200 WASHINGTON SQ N, LANSING, MI, 48933, 5174876555 - 223,010 ($5,221,779.00) Equity, (File 333-105680 - May. 30) (BR. 07) S-8 MBT FINANCIAL CORP, 102 EAST FRONT STREET, MONROE, MI, 48161, 7342422893 - 0 ($1,822,500.00) Equity, (File 333-105681 - May. 30) (BR. 07) S-8 GORMAN RUPP CO, 305 BOWMAN ST, PO BOX 1217, MANSFIELD, OH, 44901, 4197551011 - 300,000 ($6,825,000.00) Equity, (File 333-105682 - May. 30) (BR. 36) S-4 GREATER BAY BANCORP, 2860 WEST BAYSHORE ROAD, PALO ALTO, CA, 94303, 4153751555 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-105683 - May. 30) (BR. 07) S-1 BANK MUTUAL CORP, 4949 W. BROWN DEER RD, BROWN DEER, WI, 53223, 4143626113 - 68,297,062 ($680,297,062.00) Equity, (File 333-105685 - May. 30) (BR. 07) S-8 LIFE ENERGY & TECHNOLOGY HOLDINGS INC, 2005 BEECHGROVE PLACE, PO BOX 4255, UTICA, NY, 13501, 3157248370 - 3,500,000 ($4,200,000.00) Equity, (File 333-105686 - May. 30) (BR. 02) S-8 CFS BANCORP INC, 707 RIDGE ROAD, MUNSTER, IN, 46321, 2198365500 - 0 ($8,430,000.00) Equity, (File 333-105687 - May. 30) (BR. 07) S-8 NEBO PRODUCTS INC, 12382 GATEWAY PARKPLACE, STE 300, DRAPER, UT, 84020, 8014952150 - 4,100,000 ($123,000.00) Equity, (File 333-105688 - May. 30) (BR. 05) S-4 MIDAMERICAN ENERGY HOLDINGS CO /NEW/, 666 GRAND AVE, PO BOX 657, DES MOINES, IA, 50303-0657, 515-242-4300 - 0 ($450,000,000.00) Debt Convertible into Equity, (File 333-105690 - May. 30) (BR. 02) S-8 NORTHERN OSTRICH CORP, 3756 W 2ND AVE, VANCOUVER BRITISH COLUMBIA, CANADA V6R 1J9, A6, 00000, 6042227898 - 335,000 ($16,750.00) Equity, (File 333-105691 - May. 30) (BR. 09) S-8 QUESTCOR PHARMACEUTICALS INC, 5107325551 - 0 ($5,850,000.00) Equity, (File 333-105693 - May. 30) (BR. 01) S-8 QUESTCOR PHARMACEUTICALS INC, 5107325551 - 0 ($810,000.00) Equity, (File 333-105694 - May. 30) (BR. 01) S-8 MELLON FINANCIAL CORP, ONE MELLON BANK CTR, 500 GRANT ST, PITTSBURGH, PA, 15258-0001, 4122345000 - 0 ($105,160,000.00) Equity, (File 333-105695 - May. 30) (BR. 07) S-3 YARDVILLE NATIONAL BANCORP, 2465 KUSER RD, HAMILTON, NJ, 08690, 6096316218 - 125,993 ($2,511,040.49) Equity, (File 333-105696 - May. 30) (BR. 07) S-3 LOOKSMART LTD, 625 SECOND STREET, SAN FRANCISCO, CA, 94107, 4153487000 - 1,217,000 ($3,091,180.00) Equity, (File 333-105697 - May. 30) (BR. 03) SB-2 KINGTHOMASON GROUP INC, 4058481581 - 867,429 ($173,485.80) Equity, (File 333-105698 - May. 30) (BR. 01) S-3 ATP OIL & GAS CORP, 4600 POST OAK PL, STE 200, HOUSTON, TX, 77027, 7136223311 - 4,000,000 ($17,400,000.00) Equity, (File 333-105699 - May. 30) (BR. 04) S-8 SPEECHWORKS INTERNATIONAL INC, 695 ATLANTIC AVE, BOSTON, MA, 02111, 6174284444 - 0 ($1,606,500.00) Equity, (File 333-105700 - May. 30) (BR. 03) S-8 TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR, 97124, 5036159000 - 0 ($29,249,917.27) Equity, (File 333-105701 - May. 30) (BR. 36) S-8 FIRST CAPITAL BANK HOLDING CORP, 1875A S 14TH ST, FERNANDINA BEACH, FL, 32034, 9043210400 - 100,000 ($1,375,000.00) Equity, (File 333-105702 - May. 30) (BR. 07) S-3 NEOMAGIC CORP, 3260 JAY STREET, 3260 JAY STREET, SANTA CLARA, CA, 95054, (408) 988- - 0 ($2,100,420.00) Equity, (File 333-105703 - May. 30) (BR. 36) S-3 PSEG POWER LLC, 80 PARK PLAZA T-6, `, NEWARK, NJ, 07111, 9734307000 - 2,000,000,000 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-105704 - May. 30) (BR. 02) S-8 SIERRA HEALTH SERVICES INC, 7022427000 - 2,000,000 ($38,230,000.00) Equity, (File 333-105705 - May. 30) (BR. 01) S-8 HARTFORD FINANCIAL SERVICES GROUP INC/DE, HARTFORD PLZ, HARTFORD, CT, 06115, 8605475000 - 0 ($438,900,000.00) Equity, (File 333-105706 - May. 30) (BR. 01) S-8 HARTFORD FINANCIAL SERVICES GROUP INC/DE, HARTFORD PLZ, HARTFORD, CT, 06115, 8605475000 - 0 ($18,712,342.00) Equity, (File 333-105707 - May. 30) (BR. 01) S-3 BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA, 30309-3610, 4042492000 - 0 ($528,900,000.00) Equity, (File 333-105708 - May. 30) (BR. 37) S-8 BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA, 30309-3610, 4042492000 - 2,000,000 ($52,890,000.00) Equity, (File 333-105709 - May. 30) (BR. 37) S-8 BELLSOUTH CORP, 1155 PEACHTREE ST NE, ROOM 15G03, ATLANTA, GA, 30309-3610, 4042492000 - 2,000,000 ($52,890,000.00) Equity, (File 333-105710 - May. 30) (BR. 37) S-8 INGRAM MICRO INC, 1600 E ST ANDREW PLACE, SANTA ANA, CA, 92799, 7145661000 - 20,000,000 ($221,500,000.00) Equity, (File 333-105711 - May. 30) (BR. 03) S-8 CROWN AMERICAN REALTY TRUST, PASQUERILLA PLAZA, JOHNSTOWN, PA, 15907, 8145364441 - 0 ($19,880.00) Equity, (File 333-105712 - May. 30) (BR. 08) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 0 ($334,282.20) Equity, (File 333-105713 - May. 30) (BR. 03) S-8 UNION PACIFIC CORP, 1416 DODGE STREET, ROOM 830, OMAHA, NE, 68179, 402 271 5213 - 0 ($200,000,000.00) Equity, (File 333-105714 - May. 30) (BR. 05) S-8 UNION PACIFIC CORP, 1416 DODGE STREET, ROOM 830, OMAHA, NE, 68179, 402 271 5213 - 0 ($200,000,000.00) Equity, (File 333-105715 - May. 30) (BR. 05) S-8 4-D NEUROIMAGING, 9727 PACIFIC HEIGHTS BLVD, SAN DIEGO, CA, 92121, 8584536300 - 0 ($9,800,000.00) Equity, (File 333-105716 - May. 30) (BR. 36) S-3 PROLOGIS, 14100 EAST 35TH PLACE, AURORA, CO, 80011, 3033759292 - 0 ($691,970,818.00) Other, (File 333-105717 - May. 30) (BR. 08) S-8 KNIGHT TRANSPORTATION INC, 5601 W BUCKEYE RD, PHOENIX, AZ, 85043, 6022692000 - 1,000,000 ($24,500,000.00) Equity, (File 333-105718 - May. 30) (BR. 05) S-8 BRINKER INTERNATIONAL INC, 6820 LBJ FREEWAY, DALLAS, TX, 75240, 9729809917 - 5,000,000 ($170,400,000.00) Equity, (File 333-105720 - May. 30) (BR. 05) S-8 BERKSHIRE HILLS BANCORP INC, 24 NORTH ST., PITTSFIELD, MA, 01201, 4134435601 - 300,000 ($7,713,000.00) Equity, (File 333-105721 - May. 30) (BR. 07) S-8 SIBONEY CORP, 325 NORTH KIRKWOOD RD, SUITE 310, ST LOUIS, MO, 63122, 3148223163 - 10,000,000 ($2,000,000.00) Equity, (File 333-105722 - May. 30) (BR. 08) S-8 STERLING FINANCIAL CORP /WA/, 111 N WALL ST, SPOKANE, WA, 99201, 5094583711 - 0 ($23,590,000.00) Equity, (File 333-105723 - May. 30) (BR. 07) S-8 EMMIS COMMUNICATIONS CORP, ONE EMMIS PLAZA, 40 MONUMENT CIRCLE SUITE 700, INDIANAPOLIS, IN, 46204, 3172660100 - 500,000 ($10,062,500.00) Equity, (File 333-105724 - May. 30) (BR. 37) S-8 GEERLINGS & WADE INC, 960 TURNPIKE ST, CANTON, MA, 02021, 6178214152 - 325,000 ($455,000.00) Equity, (File 333-105725 - May. 30) (BR. 02) S-8 WILLIAMS SONOMA INC, 3250 VAN NESS AVENUE, SAN FRANCISCO, CA, 94109, 415-421-7900 - 0 ($66,775,000.00) Equity, (File 333-105726 - May. 30) (BR. 02) S-3 AESP INC, 1810 N E 144TH STREET, NORTH MIAMI, FL, 33181, 3059447710 - 0 ($1,246,494.00) Equity, (File 333-105727 - May. 30) (BR. 03) S-8 FIRST PACTRUST BANCORP INC, 610 BAY BLVD, CHULA VISTA, CA, 91910, 6196911519 - 211,600 ($4,028,864.00) Equity, (File 333-105728 - May. 30) (BR. 07) S-8 FIRST PACTRUST BANCORP INC, 610 BAY BLVD, CHULA VISTA, CA, 91910, 6196911519 - 529,000 ($10,072,160.00) Equity, (File 333-105729 - May. 30) (BR. 07) S-8 INVITROGEN CORP, 1600 FARADAY AVE, CARLSBAD, CA, 92008, 7606037200 - 750,000 ($28,521,750.00) Equity, (File 333-105730 - May. 30) (BR. 01) S-8 ILLINOIS TOOL WORKS INC, 3600 W LAKE AVE, GLENVIEW, IL, 60025-5811, 8476574106 - 8,000,000 ($494,840,000.00) Equity, (File 333-105731 - May. 30) (BR. 36) S-3 ORCHID BIOSCIENCES INC, 303 COLLEGE RD. EAST, PRINCETON, NJ, 08540, 6097502200 - 53,813,890 ($44,665,528.00) Equity, (File 333-105732 - May. 30) (BR. 01) S-3 NEW PLAN EXCEL REALTY TRUST INC, 1120 AVENUE OF THE AMERICAS 12TH FL, NEW YORK, NY, 10036, 2128693000 - 0 ($1,000,000,000.00) Other, (File 333-105733 - May. 30) (BR. 08) S-8 NEW PLAN EXCEL REALTY TRUST INC, 1120 AVENUE OF THE AMERICAS 12TH FL, NEW YORK, NY, 10036, 2128693000 - 0 ($97,755,000.00) Equity, (File 333-105734 - May. 30) (BR. 08) SB-2 STOCKGROUP INFORMATION SYSTEMS INC, 500-750 W PENDER STREET, VANCOUVER BRITISH COLUMBIA, CANADA V6C 2T7, A2, 99999999, 6043310995 - 19,016,625 ($6,181,964.00) Equity, (File 333-105735 - May. 30) (BR. 08) S-8 CIRCUIT CITY STORES INC, 9950 MAYLAND DR, RICHMOND, VA, 23233, 8045274000 - 2,411,135 ($15,624,154.80) Equity, (File 333-105736 - May. 30) (BR. 02) S-8 DYNEGY INC /IL/, 1000 LOUISIANA, STE 5800, HOUSTON, TX, 77002, 7133677600 - 10,000,000 ($49,800,000.00) Equity, (File 333-105737 - May. 30) (BR. 04) S-8 DYNEGY INC /IL/, 1000 LOUISIANA, STE 5800, HOUSTON, TX, 77002, 7133677600 - 10,000,000 ($49,800,000.00) Equity, (File 333-105738 - May. 30) (BR. 04) S-3 CONSOL ENERGY INC, C/O CONSOL INC, 1800 WASHINGTON RD, PITTSBURGH, PA, 15241, 0 ($800,000,000.00) Other, (File 333-105739 - May. 30) (BR. 04) S-3 AMERICAN TECHNOLOGY CORP /DE/, 13114 EVENING CREEK DRIVE SOUTH, SAN DIEGO, CA, 92128, 6196792114 - 2,887,425 ($13,888,514.00) Equity, (File 333-105740 - May. 30) (BR. 02) S-8 FTI CONSULTING INC, 900 BESTGATE RD, SUITE 100, ANNAPOLIS, MD, 21401, 4102248770 - 375,000 ($14,606,250.00) Equity, (File 333-105741 - May. 30) (BR. 08) S-3 ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012, 5405613225 - 0 ($22,629,000.00) Equity, (File 333-105742 - May. 30) (BR. 02) S-3 AMERISOURCEBERGEN CORP, 1300 MORRIS DRIVE, SUITE 100, CHESTERBROOK, PA, 19087-5594, 6107277000 - 814,145 ($47,953,140.50) Equity, (File 333-105743 - May. 30) (BR. 01) S-4 VALERO LOGISTICS OPERATIONS LP, ONE VALERO PL, SAN ANTONIO, TX, 78212, 2103702000 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-105744 - May. 30) (BR. ) S-3 PLX TECHNOLOGY INC, 4087749060 - 0 ($11,354,817.00) Equity, (File 333-105745 - May. 30) (BR. 36) S-4 HOUGHTON MIFFLIN CO, 222 BERKELEY ST, 5TH FL, BOSTON, MA, 02116-3764, 6173515000 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-105746 - May. 30) (BR. 05) S-4 NEXSTAR FINANCE HOLDINGS LLC, 200 ABINGTON EXECUTIVE PARK, CLARKS SUMMIT, PA, 18411, 5705865400 - 0 ($81,250,000.00) Non-Convertible Debt, (File 333-105747 - May. 30) (BR. 37) S-8 PLX TECHNOLOGY INC, 4087749060 - 0 ($894,852.80) Equity, (File 333-105748 - May. 30) (BR. 36) S-4 ETHYL CORP, 330 S FOURTH ST, P O BOX 2189, RICHMOND, VA, 23217, 8047885000 - 0 ($150,000,000.00) Other, (File 333-105749 - May. 30) (BR. 02) SB-2 EMAGIN CORP, 9148921900 - 49,362,674 ($35,541,126.00) Equity, (File 333-105750 - May. 30) (BR. 36) S-8 MAIN STREET & MAIN INC, 5050 NORTH 40TH ST, STE 200, PHOENIX, AZ, 85018, 6028529000 - 1,000,000 ($2,128,624.00) Equity, (File 333-105751 - May. 30) (BR. 05) 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 -------------------------------------------------------------------------------- 3DO CO DE X X 05/28/03 AASTROM BIOSCIENCES INC MI X X 05/30/03 ABFC ASSET BACKED CERTIFICATES SERIES DE X X 05/27/03 ABN AMRO MORTGAGE CORP DE X X 05/28/03 ACE LTD D0 X X 05/30/03 ACR GROUP INC TX X X 05/30/03 ADATOM COM INC DE X X X 05/30/03 AMEND ADIRONDACK PURE SPRINGS MT WATER CO I NY X 05/08/03 AMEND ALARIS MEDICAL INC DE X 05/30/03 ALLSTATE CORP DE X X 05/28/03 AMERICAN HOMEPATIENT INC DE X X 05/30/03 AMERICAN MILLENNIUM CORP INC NM X 05/26/03 AMERICAN RESTAURANT GROUP INC DE X X 05/28/03 AMERICAN RESTAURANT PARTNERS L P DE X 05/20/03 ANTHRACITE CAPITAL INC MD X X 05/30/03 ARADYME CORP DE X 03/31/03 AMEND ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 05/15/03 ARIAD PHARMACEUTICALS INC DE X X 05/30/03 ARMSTRONG WORLD INDUSTRIES INC PA X X 05/30/03 ARROW MAGNOLIA INTERNATIONAL INC TX X 05/29/03 ASCONI CORP NV X X X 05/14/03 AMEND ASK JEEVES INC DE X X 05/29/03 AUTOZONE INC NV X X 05/02/29 AXIOM PHARMACEUTICALS INC NV X X X X X X 03/30/03 AMEND BA MASTER CREDIT CARD TRUST / X 05/15/03 BELLSOUTH CORP GA X X 05/23/03 BROWN FORMAN CORP DE X X 05/29/03 BSD SOFTWARE INC FL X X 05/09/03 BSQUARE CORP /WA WA X 05/27/03 CARNIVAL CORP DE X X 05/30/03 CASCADE FINANCIAL CORP DE X X 05/07/03 CBRL GROUP INC TN X X 05/30/03 CENTERPOINT ENERGY INC X 05/30/03 CENTEX FUNDING LLC CENTEX HOME EQ LN DE X X 05/27/03 CEPHALON INC DE X X 05/27/03 CHARTER COMMUNICATIONS INC /MO/ DE X X 05/29/03 CHASE MANHATTAN AUTO OWNER TRUST 2003 DE X X 05/21/03 CHASE MORTGAGE FINANCE CORP DE X X 05/29/03 CHATEAU COMMUNITIES INC MD X X 05/29/03 CHEC FUNDING LLC CENTEX HOME EQUITY L DE X X 05/27/03 CHESAPEAKE FUNDING LLC DE X 05/28/03 CLAIRES STORES INC DE X X 05/30/03 CNA FINANCIAL CORP DE X X 05/30/03 COMARCO INC CA X X 05/30/03 COMDISCO HOLDING CO INC DE X X 05/30/03 COMMUNITY NATIONAL BANCORPORATION GA X X 05/30/03 COMPEX TECHNOLOGIES INC MN X X 05/16/03 COOPERATIVE COMPUTING INC /DE/ DE X X 05/29/03 CROSS MEDIA MARKETING CORP DE X X X 05/15/03 CWMBS INC DE X X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/03/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X 05/30/03 CWMBS INC DE X X 05/30/03 CWMBS INC DE X X 05/30/03 CYSIVE INC DE X X 05/30/03 CYTRX CORP DE X X 05/29/03 DATAMEG CORP NY X X 05/29/03 DAVE & BUSTERS INC MO X X 05/30/03 DCAP GROUP INC/ DE X X 05/28/03 DELCATH SYSTEMS INC DE X 05/20/03 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 04/30/03 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 04/30/03 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 04/30/03 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 04/30/03 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 04/30/03 DML SERVICES INC NV X X 03/18/03 AMEND DRAGON PHARMACEUTICALS INC FL X X 05/29/03 EDGAR ONLINE INC DE X 05/28/03 EDGAR ONLINE INC DE X 05/28/03 AMEND EDUCATION CAPITAL I LLC DE X X 05/22/03 EDUCATION FUNDING CAPITAL TRUST I X X 05/16/03 EFJ INC DE X X X 05/29/03 ENERGIZER HOLDINGS INC MO X 04/04/03 AMEND ENOVA SYSTEMS INC CA X X 05/22/03 ENVIRONMENTAL TECTONICS CORP PA X 05/14/03 EXEGENICS INC DE X X 05/30/03 EXELON CORP PA X 05/29/03 FEDERAL AGRICULTURAL MORTGAGE CORP X X 05/30/03 FILM ROMAN INC DE X X X 05/22/03 FINLAY ENTERPRISES INC /DE DE X X 05/29/03 FINLAY FINE JEWELRY CORP DE X X 05/29/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/28/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/22/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/28/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/30/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/30/03 FIRST STATE BANCORPORATION NM X X 05/29/03 FLEET CREDIT CARD FUNDING TRUST X X 05/29/03 FREESTAR TECHNOLOGY CORP NV X X 05/21/03 GAP INC DE X X 05/29/03 GENERAL MEDIA INC DE X X 05/29/03 GMAC EDUCATION LOAN FUNDING TRUST I DE X X 05/13/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 05/27/03 GS MORTGAGE SECURITIES CORP DE X 05/29/03 GS MORTGAGE SECURITIES CORP MORT PAS DE X X 05/27/03 GS MORTGAGE SECURITIES CORP MORT PASS DE X X 05/27/03 H QUOTIENT INC VA X X 05/23/03 HA LO INDUSTRIES INC IL X X X 05/14/03 HALLIBURTON CO DE X 05/30/03 HANOVER DIRECT INC DE X 05/27/03 HARKEN ENERGY CORP DE X X 05/29/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 05/19/03 HEALTHSOUTH CORP DE X X 05/30/03 HICKORY TECH CORP MN X 05/30/03 HORIZON HEALTH CORP /DE/ DE X 05/30/03 HOUSEHOLD AUTO RECEIVABLES CORP ASSET NV X 05/15/03 HOUSEHOLD AUTO RECEIVABLES CORP SERIE NV X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST 2001-1 DE X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST 2001-3 X 05/17/03 HOUSEHOLD AUTOMOTIVE TRUST 2002-1 X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST IV SERIES DE X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST SERIES 200 DE X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST V SERIES 2 DE X 05/15/03 HOUSEHOLD AUTOMOTIVE TRUST VI SERIES NV X 05/15/02 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE X 05/15/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 05/20/03 INFE COM INC FL X X 05/19/03 INFOUSA INC DE X X 05/29/03 INGERSOLL RAND CO LTD X X 05/29/03 INSILCO HOLDING CO DE X X 05/30/03 INTERACTIVE INTELLIGENCE INC IN X X 05/23/03 INTERFACE INC GA X 05/30/03 INTERLEUKIN GENETICS INC DE X X 05/20/03 INTERMET CORP GA X X 05/29/03 INVITROGEN CORP DE X X 05/30/03 IVANHOE ENERGY INC X 05/28/03 JAG MEDIA HOLDINGS INC NV X X 05/30/03 JRE INC NY X X 05/23/03 KELLWOOD CO DE X X 05/29/03 LIFEN INC DE X X X 05/30/03 LONG BEACH SECURITIES CORP DE X X 05/29/03 LUCENT TECHNOLOGIES INC DE X X 05/29/03 MACROPORE INC DE X X 05/29/03 MAIN STREET BANKS INC /NEW/ GA X X 05/22/03 MASSEY ENERGY CO DE X X 05/29/03 MEASUREMENT SPECIALTIES INC NJ X X 05/28/03 MEDWAVE INC MN X 05/14/03 MERRILL LYNCH & CO INC DE X X 05/30/03 MILLER EXPLORATION CO DE X X 05/20/03 MILLER INDUSTRIES INC /TN/ TN X X 05/22/03 MOLEX INC DE X X 05/29/03 MORGAN STANLEY DE X 05/30/03 MORGAN STANLEY CAPITAL I TRUST 2003-I DE X X 05/22/03 MORTON INDUSTRIAL GROUP INC GA X 05/30/03 MS STRUCTURED ASSET CORP DE X 05/28/03 NATIONAL PROPERTY INVESTORS 6 CA X X 05/15/03 NATIONSBANK OF DELAWARE NA DE X X 05/15/03 NAVISTAR FINANCIAL SECURITIES CORP DE X 08/31/02 NB&T FINANCIAL GROUP INC OH X 05/30/03 NELNET STUDENT LOAN FUNDING LLC X X 06/27/03 NETTEL HOLDINGS INC FL X 05/23/03 NEWHALL LAND & FARMING CO /CA/ CA X X 05/28/03 NORTH COUNTRY FINANCIAL CORP MI X X 05/30/03 NORTHEAST UTILITIES SYSTEM MA X X 05/30/03 NSD BANCORP INC PA X X X 05/30/03 NTELOS INC VA X X 05/30/03 NUTRACEUTICAL INTERNATIONAL CORP DE X X 05/30/03 OMNOVA SOLUTIONS INC OH X X 05/16/03 ONYX ACCEPTANCE FINANCIAL CORP DE X X 05/16/03 ORCHID BIOSCIENCES INC X X 05/30/03 PACKAGED ICE INC TX X X 05/12/03 AMEND PACKETPORT COM NV X X 05/16/03 PAN PACIFIC RETAIL PROPERTIES INC MD X X 05/28/03 PAXSON COMMUNICATIONS CORP DE X X 05/30/03 PENHALL INTERNATIONAL CORP AZ X X 05/29/03 PENTHOUSE INTERNATIONAL INC FL X X 05/29/03 PHARMACEUTICAL FORMULATIONS INC DE X X X 05/15/03 PHOENIX MEDIA GROUP LTD NV X 05/29/03 PIEDMONT NATURAL GAS CO INC NC X X X 05/30/03 PINNACLE ENTERTAINMENT INC DE X X 05/16/03 PMA CAPITAL CORP PA X X 05/29/03 PROGRESS ENERGY INC NC X X 05/30/03 PROTECTION ONE INC DE X X 05/28/03 PROVIDIAN FINANCIAL CORP DE X X 05/27/03 PROVINCE HEALTHCARE CO DE X X 05/21/03 PS BUSINESS PARKS INC/CA CA X X 05/29/03 QT 5 INC DE X X 05/30/03 RAYMOND JAMES FINANCIAL INC FL X 05/30/03 REGIONS AUTO RECEIVABLES TRUST 2003-1 X X 05/15/03 RENT WAY INC PA X 05/28/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 05/31/03 RIDGEWOOD HOTELS INC DE X X 05/30/03 RITE AID CORP DE X X 05/30/03 SALIX PHARMACEUTICALS LTD X X 05/30/03 SANDATA TECHNOLOGIES INC DE X 05/30/03 SCB COMPUTER TECHNOLOGY INC TN X 05/29/03 SCHERING PLOUGH CORP NJ X X 05/28/03 SECURITISATION ADVISORY SERVICES PTY X 05/19/03 SEITEL INC DE X X 05/30/03 SEQUA CORP /DE/ DE X 05/28/03 SINCLAIR BROADCAST GROUP INC MD X 05/28/03 SINCLAIR BROADCAST GROUP INC MD X 05/29/03 SIRIUS SATELLITE RADIO INC DE X X 05/20/03 SNB BANCSHARES INC GA X X 05/30/03 SORRENTO NETWORKS CORP NJ X X 05/29/03 SOUTHERN UNION CO DE X 05/29/03 SOUTHERN UNION CO DE X X 05/29/03 SOUTHERN UNION CO DE X X 05/29/03 SOUTHWEST WATER CO DE X 05/28/03 SSP SOLUTIONS INC DE X X 05/29/03 STAPLES INC DE X X 05/29/03 STATE AUTO FINANCIAL CORP OH X X 05/30/03 STEWART & STEVENSON SERVICES INC TX X X 05/30/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 05/30/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 05/30/03 STRUCTURED ASSET SECURITIES CORP DE X X 05/29/03 STRUCTURED ASSET SECURITIES CORP DE X 05/30/03 STRUCTURED ASSET SECURITIES CORP DE X 05/29/03 STRUCTURED OBLIGATIONS CORP DE X 05/15/03 STRUCTURED OBLIGATIONS CORP DE X 05/15/03 SUMMA INDUSTRIES/ DE X X 05/27/03 SUN HEALTHCARE GROUP INC DE X X 05/29/03 TENNECO AUTOMOTIVE INC DE X X 05/30/03 TERAYON COMMUNICATION SYSTEMS DE X X 05/27/03 TOO INC DE X X 05/28/03 TOYOTA MOTOR CREDIT CORP CA X X 05/15/03 TOYOTA MOTOR CREDIT CORP CA X X 05/15/03 TOYOTA MOTOR CREDIT CORP CA X X 05/15/03 TRANSGENOMIC INC DE X X 05/29/03 TRINIDAD CORP / CO X 12/31/02 TSR INC DE X X 05/30/03 UNION COMMUNITY BANCORP IN X X 05/29/03 UNITED ENERGY CORP /NV/ NV X X 05/28/03 UNITED NATIONAL BANCORP NJ X 05/30/03 UNITEDGLOBALCOM INC DE X X 05/29/03 VALENCE TECHNOLOGY INC DE X X 05/13/03 VALPEY FISHER CORP MD X X 05/30/03 VECTOR GROUP LTD DE X 05/30/03 VENTAS INC DE X X 05/28/03 VERIDIAN CORP DE X X 05/29/03 VERITAS DGC INC DE X X 05/28/03 VILLAGE SUPER MARKET INC NJ X X 04/26/03 WARRENSBURG ENTERPRISES INC FL X X X 05/15/03 WEST POINTE BANCORP INC IL X X 05/27/03 WET SEAL INC DE X X 05/29/03 WHITMAN EDUCATION GROUP INC FL X 05/30/03 WILLIAMS COMPANIES INC DE X 05/29/03 WINDROSE MEDICAL PROPERTIES TRUST MD X 05/16/03 WINTRUST FINANCIAL CORP IL X X 05/28/03 WORLD GOLF INC DE X 05/20/03 YAHOO INC DE X X 05/30/03 YP NET INC NV X X 05/14/03 ZONES INC WA X 05/21/03