SEC NEWS DIGEST Issue 2003-115 June 17, 2003 COMMISSION ANNOUNCEMENTS PAUL ROYE TO TESTIFY Paul F. Roye, Director of the Commission's Division of Investment Management, will testify before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises on Wednesday, June 18, concerning H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003. The hearing will begin at 10:00 a.m. in Room 2128 of the Rayburn House Office Building. 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 24, 2003 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, June 24, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; Formal orders of investigation; and Opinions. OPEN MEETING - WEDNESDAY, JUNE 25, 2003 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, June 25, will be: 1. The Commission will hear oral argument on an appeal by Terence Michael Coxon, Alan Michael Sergy, and World Money Managers (WMM), a registered investment adviser, from the decision of an administrative law judge. Coxon is a general partner of WMM, and Sergy was formerly a paid consultant to WMM. The law judge found that: a. Respondents willfully violated 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; b. Coxon and Sergy willfully violated Section 34(b) of the Investment Company Act; c. WMM willfully violated Section 206(2) of the Investment Advisers Act of 1940 and that Coxon and Sergy willfully aided, abetted, and were causes of that violation; and d. Respondents willfully aided and abetted and were causes of violations by the Permanent Portfolio Family of Funds, Inc. of Investment Company Act of 1940 Sections 17(d), 12(b), 13(a)(3), and 10(b), and IC Act Rules 17d-1 and 12b-1. The law judge suspended WMM as an investment adviser for three months and assessed a $100,000 civil money penalty; suspended Coxon and Sergy from association with an investment adviser or investment company for three months and assessed each of them a $20,000 civil money penalty; ordered respondents to cease and desist; and assessed $1,608,018 in disgorgement, plus prejudgment interest. Among the issues likely to be argued are: a. whether respondents committed, aided and abetted, or were causes of the alleged violations; and b. if so, whether sanctions should be imposed in the public interest. 2. The Commission will hear oral argument on appeals by Fundamental Portfolio Advisers, Inc. (FPA), Lance M. Brofman, and Fundamental Service Corporation (FSC), from the decision of an administrative law judge. FPA, a registered investment adviser, was the investment adviser to The Fundamental U.S. Government Strategic Income Fund (Fund). Brofman was formerly the chief portfolio manager for the Fund. FSC, a registered broker-dealer affiliated with FPA, distributed shares of the Fund. The law judge found that FPA violated 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 thereunder. The law judge also found that FPA violated Section 34(b) of the Investment Company Act of 1940, and Sections 206(1) and (2) of the Investment Advisers Act of 1940. Additionally, the law judge found that Brofman "aided and abetted and caused" FPA's violations. Finally, the law judge found that FSC violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rules 10b-3, and 10b-5 thereunder, and Section 15(c)(1) of the Exchange Act and Rule 15c1-2 thereunder. The law judge revoked FPA's investment adviser registration and ordered that FPA pay a civil monetary penalty of $500,000; revoked FSC's broker-dealer registration and ordered that FSC pay a civil monetary penalty of $500,000; and barred Brofman from association with any broker, dealer, investment adviser, or investment company and ordered him to pay a civil monetary penalty of $250,000. The law judge also ordered that Respondents cease and desist from committing or causing any violation or future violation of the provisions they were found to have violated. Among the issues likely to be argued are: a. whether FPA made material misrepresentations and omissions in connection with the offer and sale of Fund shares; b. whether FPA failed to disclose to the Fund's Board of Directors its soft dollar arrangements; c. whether Brofman aided and abetted and was a cause of FPA's violations; and d. whether FSC disseminated materially misleading materials in connection with the sale of Fund shares. CHANGE IN THE MEETING: ADDITIONAL ITEM The following item was added to the closed meeting of Tuesday, June 17: Amicus consideration. 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 CERTAIN RESEARCH AND DEVELOPMENT COMPANIES On June 16, the Commission issued a release adopting new Rule 3a-8 under the Investment Company Act. The rule provides a nonexclusive safe harbor from the definition of investment company for certain bona fide research and development companies. The new rule will be effective 60 days after publication in the Federal Register. (Rel. IC- 26077; File No. S7-47-02). ENFORCEMENT PROCEEDINGS SEC CHARGES FORMER PEREGRINE SYSTEMS SALES VICE PRESIDENT WITH FINANCIAL FRAUD, INSIDER TRADING On June 16, the Commission filed civil fraud charges against Steven S. Spitzer for his role in an 11-quarter financial fraud at Peregrine Systems, Inc., a San Diego-based software company. The Commission's complaint alleges that Spitzer, a former vice president of sales, participated in a scheme with other senior Peregrine executives and other parties to inflate Peregrine's revenue and stock price. The complaint also alleges that Spitzer engaged in illegal insider trading of Peregrine stock. According to the complaint, the heart of the fraud was the recording of millions of dollars of revenue in violation of Generally Accepted Accounting Principles (GAAP). Spitzer negotiated some of the largest of Peregrine's fraudulent transactions at the urging of more senior executives. These transactions consisted of non-binding sales of software licenses to resellers (or purported resellers) with the understanding that the resellers owed nothing to Peregrine unless the software was sold to an end-user. Those involved in the scheme called this "parking" the transaction. Spitzer knew, or was reckless in not knowing, that parking transactions were intended to, and did, fraudulently inflate Peregrine's revenue. Spitzer generated millions of dollars of bogus revenue through these parking transactions, enabling Peregrine to meet quarterly revenue goals. The complaint further alleges that Spitzer, during the time he was aware of the ongoing fraud, illegally sold 185,000 shares of Peregrine common stock for proceeds of approximately $5.2 million on the basis of material, nonpublic information concerning Peregrine's true financial condition. The Commission's complaint seeks to permanently enjoin Spitzer from violating certain antifraud provisions of the federal securities laws (Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b- 5), and from violating, or aiding and abetting violations of, certain reporting, books and records, and internal controls provisions (Exchange Act Sections 13(a), 13(b)(5), 13(b)(2)(A), 13(b)(2)(B), and Exchange Act Rules 12b-20, 13a-1, 13a-13, and 13b2-1). The complaint also seeks an accounting, disgorgement of ill-gotten gains, prejudgment interest, civil money penalties, and an order prohibiting Spitzer from acting as an officer or director of any reporting company. The Commission's investigation of the financial fraud at Peregrine is continuing. [SEC v. Steven S. Spitzer, Civil Action No. 03 CV 1178 IEG, NLS, SDCA)] (LR-18191; AAE Rel. 1802) SEC SEEKS TO ADD EDWARD CHISM, SR. ADDED AS DEFENDANT IN ACTION AGAINST AMERICAN FINANCIAL GROUP OF AVENTURA, INC. AND DAVID SIEGEL, IN CONNECTION WITH AN $87 MILLION SECURITIES FRAUD SCHEME The Commission announced that on June 16 it filed a motion to amend its complaint against American Financial Group of Aventura, Inc. (AFG) and David H. Siegel (Siegel), to add Edward M. Chism (Chism) as a defendant. On July 24, 2002, the Commission filed an emergency federal civil action against AFG and Siegel, alleging the fraudulent offer and sale of investment contracts. AFG was in the business of pooling investor money and then using those monies to make secured loans to individuals who pledged restricted stock as collateral. On July 25, 2002, an asset freeze was entered against AFG and Siegel. The amended complaint realleges that AFG raised approximately $87 million from investors by selling them investment contracts consisting of fractionalized interests in restricted stock loans through AFG's so-called "Restricted Stock Loan Program." The amended complaint also realleges that Siegel, a recidivist securities laws violator, misappropriated investor monies and issued false statements to investors. The amended complaint alleges that Chism approved of AFG's offering materials and website which failed to disclose Siegel's extensive disciplinary background and his own background involving a 1999 order issued by a governmental agency in Panama, finding him liable for the mismanagement of public funds The amended complaint charges AFG, Siegel, and Chism with violations of 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. The SEC seeks, among other things, permanent injunctions, disgorgement, and officer and director bars against Siegel and Chism. [SEC v. American Financial Group of Aventura, Inc., et al., Case No. 02-22198- CIV-MARTINEZ/DUBE] (LR-18192) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2003-17) and Amendment No. 1 thereto filed by the International Securities Exchange to initiate a pilot program that will allow the ISE to list options on selected stocks trading below $20 at one-point intervals have been given accelerated approval under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of June 16. (Rel. 34-48033) WITHDRAWAL GRANTED An order has been issued granting the application of Atlantic Premium Brands, Ltd. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on June 17. (Rel. 34-48037) 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 ALTAIR NANOTECHNOLOGIES INC, 204 EDISON WAY, N/A, RENO, NV, 89502, (775) 858-3744 - 4,029,588 ($4,674,322.00) Equity, (File 333-106138 - Jun. 16) (BR. 04) S-3 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 158,704 ($842,719.00) Equity, (File 333-106140 - Jun. 16) (BR. 36) S-11 FIRST REPUBLIC PREFERRED CAPITAL CORP, 111 PINE ST, SAN FRANCISCO, CA, 94111, 415-392-1400 - 2,300,000 ($57,500,000.00) Equity, (File 333-106141 - Jun. 16) (BR. 08) S-4 GXS CORP, 100 EDISON PARK DRIVE, GAITHERSBURG, MD, 20878, 3013404000 - 0 ($105,000,000.00) Non-Convertible Debt, (File 333-106143 - Jun. 16) (BR. ) SB-1 BRAVO RESOURCES LTD, 207-1040 HAMILTON STREET, VANCOUVER BC, A1, V7B 2R9, 6046837599 - 5,500,000 ($18,150.00) Equity, (File 333-106144 - Jun. 16) (BR. ) SB-2 CONSOLE MARKETING INC, 1166 ALBEMI ST., SUITE 202, VANCOUVER BC, A1, V6E 3Z3, 0 ($106,250.00) Equity, (File 333-106145 - Jun. 16) (BR. ) S-3 MINDSPEED TECHNOLOGIES INC, 4000 MACARTHUR BOULEVARD, NEWPORT BEACH, CA, 92660, 9495793000 - 0 ($78,400,000.00) Equity, (File 333-106146 - Jun. 16) (BR. 36) S-3 AMPHENOL CORP /DE/, 358 HALL AVE, WALLINGFORD, CT, 06492, 2032658900 - 0 ($379,600,000.00) Equity, (File 333-106147 - Jun. 16) (BR. 36) S-8 MINDSPEED TECHNOLOGIES INC, 4000 MACARTHUR BOULEVARD, NEWPORT BEACH, CA, 92660, 9495793000 - 3,750,000 ($8,400,000.00) Equity, (File 333-106148 - Jun. 16) (BR. 36) S-8 SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033, 6509625000 - 945,000 ($58,835,700.00) Equity, (File 333-106149 - Jun. 16) (BR. 03) S-8 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 3,000,000 ($16,500,000.00) Equity, (File 333-106151 - Jun. 16) (BR. 02) S-8 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 1,500,000 ($5,325,000.00) Equity, (File 333-106152 - Jun. 16) (BR. 02) S-8 TARRANT APPAREL GROUP, 3151 EAST WASHINGTON BLVD, LOS ANGELES, CA, 90023, 2137808250 - 2,000,000 ($7,300,000.00) Equity, (File 333-106153 - Jun. 16) (BR. 02) S-8 SOUTHCOAST FINANCIAL CORP, POST OFFICE BOX 1561, MT PLEASANT, SC, 29465, 8438840504 - 139,755 ($2,201,141.25) Equity, (File 333-106154 - Jun. 16) (BR. 07) S-8 COHESANT TECHNOLOGIES INC, 1801 EAST 9TH ST, STE 510, CLEVELAND, OH, 44114, 2168616266 - 184,000 ($708,400.00) Equity, (File 333-106155 - Jun. 16) (BR. 36) S-3 AMERICAN ITALIAN PASTA CO, 4100 N MULBERRY DRIVE SUITE 200, KANSAS CITY, MO, 64116, 8165026000 - 100,000 ($4,228,000.00) Equity, (File 333-106156 - Jun. 16) (BR. 04) S-8 MAXXZONE COM INC, 1770 N GREEN VALLEY PARKWAY ST 3214, HENDERSON, NV, 89014, 702-616-7337 - 3,250,000 ($104,000.00) Equity, (File 333-106157 - Jun. 16) (BR. 08) S-8 PROVIDENT BANKSHARES CORP, 114 EAST LEXINGTON ST, BALTIMORE, MD, 21202, 4102777000 - 1,700,000 ($41,225,000.00) Equity, (File 333-106158 - Jun. 16) (BR. 07) S-1 FEDERAL KEMPER LIFE ASSURANCE CO, 1600 MCCONNOR PARKWAY, SCHAUMBURG, IL, 60196, 8478747392 - 0 ($10,000,000.00) Equity, (File 333-106159 - Jun. 16) (BR. 20) SB-2 M WISE INC, 10 HASADNAOT STREET, HERELIYA PITUACH, ISRAEL, L3, 46120, 01197299581711 - 8,595,632 ($8,595,632.00) Equity, (File 333-106160 - Jun. 16) (BR. ) S-8 PREMIER FARNELL PLC, 156 ARMLEY ROAD, LEEDS, WEST YORKSHIRE ENGLA, X0, 00000, 5,000,000 ($17,850,000.00) Equity, (File 333-106161 - Jun. 16) (BR. 36) S-8 PREMIER FARNELL PLC, 156 ARMLEY ROAD, LEEDS, WEST YORKSHIRE ENGLA, X0, 00000, 5,000,000 ($17,850,000.00) Equity, (File 333-106162 - Jun. 16) (BR. 36) S-8 LTX CORP, LTX PARK AT UNIVERSITY AVE, WESTWOOD, MA, 02090, 7814611000 - 265,000 ($2,292,250.00) Equity, (File 333-106163 - Jun. 16) (BR. 36) S-3 COMMUNITY FIRST BANKSHARES INC, 520 MAIN AVENUE, FARGO, ND, 58124-0001, 7012985600 - 0 ($120,000,000.00) Equity, (File 333-106164 - Jun. 16) (BR. 07) S-3 THORNBURG MORTGAGE INC, 150 WASHINGTON AVE, SUITE 302, SANTA FE, NM, 87501, 5059891900 - 6,008,161 ($150,384,270.00) Equity, (File 333-106166 - Jun. 16) (BR. 08) S-8 WEBSENSE INC, 10240 SORRENTO VALLEY RD, SAN DIEGO, CA, 92121, 8583208000 - 1,263,719 ($20,105,769.29) Equity, (File 333-106167 - Jun. 16) (BR. 08) S-8 ENDO NETWORKS INC, 2624 DUNWIN DR., UNIT #3, MISSISSAUGA, A6, L5L3T5, 4168230220 - 1,250,000 ($137,500.00) Other, (File 333-106168 - Jun. 16) (BR. 07) S-3 MRV COMMUNICATIONS INC, 20415 NORDHOFF ST, CHATSWORTH, CA, 91311, 8187730900 - 9,913,794 ($22,653,019.29) Equity, (File 333-106169 - Jun. 16) (BR. 36) S-8 TAKE TWO INTERACTIVE SOFTWARE INC, 622 BROADWAY, NEW YORK, NY, 10012, 2125362842 - 0 ($26,870,000.00) Equity, (File 333-106171 - Jun. 16) (BR. 03) S-8 VIRAGE INC, 177 BOVET RD, STE 520, SAN MATEO, CA, 94402-3116, 6505733210 - 1,400,000 ($1,260,000.00) Equity, (File 333-106172 - Jun. 16) (BR. 03) S-8 SYMANTEC CORP, 20330 STEVENS CREEK BLVD, CUPERTINO, CA, 95014, 4082539600 - 0 ($67,261,789.74) Equity, (File 333-106173 - Jun. 16) (BR. 03) S-3 AUTHENTIDATE HOLDING CORP, 2165 TECHNOLOGY DRIVE, SCHENECTADY, NY, 12306, 5183569741 - 0 ($7,305,591.00) Equity, (File 333-106174 - Jun. 16) (BR. 03) S-3 MERRILL LYNCH MORTGAGE INVESTORS INC, 4LD FINANCIAL CENTER FLOOR 10, NEW YORK, NY, 10281-1310, 2124491000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-106175 - Jun. 16) (BR. 05) S-8 OSI SYSTEMS INC, 12525 CHADRON AVE, HAWTHORNE, CA, 90250, 3109780516 - 0 ($21,780,000.00) Equity, (File 333-106176 - Jun. 16) (BR. 36) S-3 MRV COMMUNICATIONS INC, 20415 NORDHOFF ST, CHATSWORTH, CA, 91311, 8187730900 - 9,913,794 ($22,653,019.29) Equity, (File 333-106177 - Jun. 16) (BR. 36) S-8 HNET NET, SUITE 645 345 THIRD STREET, NIAGARA FALLS, NY, 14303, 7162842465 - 4,500,000 ($270,000.00) Equity, (File 333-106178 - Jun. 16) (BR. 09) 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 --------------------------------------------------------------------------------- ACCREDITED MORT LOAN TRUST ASSET BAC DE X 05/30/02 ACCURIDE CORP DE X X 06/16/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 06/16/03 ADVANCED PLANT PHARMACEUTICALS INC DE X 05/28/03 ADVANTA EQUIPMENT LEASING RECEIVABLES NV X 06/11/03 AEGIS ASSESSMENTS INC DE X X 06/03/03 AMEND AI SOFTWARE INC NV X 05/30/03 AIR PACKAGING TECHNOLOGIES INC DE X 06/16/03 ALLSTATE LIFE INSURANCE CO X 06/11/03 ALLSTATE LIFE INSURANCE CO OF NEW YOR X 06/11/03 AMERICAN EXPRESS CENTURION BANK UT X X 06/16/03 AMERICAN EXPRESS CO NY X 06/16/03 AMERICAN EXPRESS MASTER TRUST DE X X 06/16/03 AMERICAN SPORTS DEVELOPMENT GROUP INC DE X 06/05/03 ANCHOR BANCORP WISCONSIN INC WI X 06/16/03 APACHE CORP DE X 03/18/03 AMEND AT&T CORP NY X 06/11/03 ATEC GROUP INC DE X X X X 06/13/03 ATSI COMMUNICATIONS INC/DE DE X 05/22/03 ATWOOD OCEANICS INC TX X X 06/16/03 AUDIOVOX CORP DE X X 06/10/03 AVATAR SYSTEMS INC TX X X 06/11/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 02/25/03 BANC OF AMERICA MORTGAGE SEC INC MRT DE X X 01/28/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 12/19/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X X 09/27/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 06/16/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 06/16/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 06/10/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X 06/16/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 06/16/03 BEAR STEARNS ARM TRUST 2003-4 DE X 05/30/03 BEARD CO /OK OK X X 06/09/03 BECTON DICKINSON & CO NJ X 06/16/03 BERKSHIRE INCOME REALTY INC X X 05/30/03 BERT LOGIC INC WA X 06/16/03 BIOMARIN PHARMACEUTICAL INC DE X 06/30/03 BRAINWORKS VENTURES INC NV X 04/01/03 BRANDAID MARKETING CORP DE X X 05/29/03 CABOT CORP DE X X 06/13/03 CANADA SOUTHERN PETROLEUM LTD CT X 06/16/03 CAPITAL ONE AUTO FINANCE TRUST 2003-A DE X X 06/16/03 CC MASTER CREDIT CARD TRUST II MD X 06/16/03 CENTERPOINT ENERGY RESOURCES CORP DE X X 06/16/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X 06/16/03 CHASE MORTGAGE FINANCE CORP DE X X 06/12/03 CHICAGO BRIDGE & IRON CO N V X X 05/30/03 CLEAN DIESEL TECHNOLOGIES INC DE X 06/11/03 COLLEGIATE FUNDING SERVICES EDUCATION DE X X 05/31/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 06/01/03 COMPETITIVE TECHNOLOGIES INC DE X X 06/12/03 COMPUCREDIT CORP GA X X 06/16/03 COVENTRY HEALTH CARE INC DE X X 06/16/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 06/16/03 CSP INC /MA/ MA X 06/16/03 DAUGHERTY RESOURCES INC X 06/13/03 DDS TECHNOLOGIES USA INC DE X X 06/16/03 DELTAGEN INC DE X X 06/13/03 DELTAGEN INC DE X X 06/16/03 DENDREON CORP DE X X 06/16/03 DILLARD ASSET FUNDING CO DE X X 05/15/03 DISCOVER CARD MASTER TRUST I DE X 06/16/03 DOGS INTERNATIONAL NV X X 05/28/03 DOWNEY FINANCIAL CORP DE X X 05/31/03 DREYERS GRAND ICE CREAM INC DE X X 06/16/03 DRIVER HARRIS CO NJ X 06/16/03 DTVN HOLDINGS INC DE X X X 06/16/03 E MED FUTURE INC NV X 04/04/03 AMEND ELUTION TECHNOLOGIES INC NV X X 03/19/03 AMEND ENDO PHARMACEUTICALS HOLDINGS INC DE X 06/16/03 ENSCO INTERNATIONAL INC DE X 06/16/03 ENTERTAINMENT TECHNOLOGIES & PROGRAMS DE X X 01/16/03 EPOCH BIOSCIENCES INC DE X X 05/30/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/15/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/03 FARMERS & MERCHANTS BANCORP DE X 06/12/03 FASTNET CORP PA X X 06/11/03 FIBERCORE INC NV X 06/09/03 FIND SVP INC NY X X 04/01/03 AMEND FINGERHUT RECEIVABLES INC DE X 06/16/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/30/03 FIRST HORIZON ASSET SECURITIES INC DE X X 05/30/03 FIRST PLACE FINANCIAL CORP /DE/ DE X 06/16/03 FIRST UNION NATIONAL BANK COM MORT PA NC X 06/01/03 FISCHER IMAGING CORP DE X 06/11/03 FLEET CREDIT CARD MASTER TRUST II NY X 06/16/03 GALAXY SPECIALTIES INC X X X X 06/09/03 GLENBROOK LIFE & ANNUITY CO IL X 06/11/03 GUIDANT CORP IN X X X 06/16/03 HOLIDAY RV SUPERSTORES INC DE X 12/06/02 AMEND HRPT PROPERTIES TRUST MD X 06/16/03 IMPAC SECURED ASSETS CORP CA X X 06/16/03 INDYMAC MBS INC X X 06/16/03 INDYMAC MBS INC X X 06/16/03 INFORMATION ARCHITECTS CORP NC X X 06/11/03 INTERNATIONAL SPEEDWAY CORP FL X 06/13/03 IRON MOUNTAIN INC/PA PA X X 06/16/03 ITEX CORPORATION NV X 06/13/03 ITEX CORPORATION NV X X 06/15/03 JPS INDUSTRIES INC DE X X 06/16/03 KINDRED HEALTHCARE INC DE X X 06/16/03 KMART HOLDING CORP DE X X 06/16/03 KNOWLES ELECTRONICS HOLDINGS INC DE X X 06/16/03 KROGER CO OH X 04/03/02 AMEND KROGER CO OH X 06/17/02 AMEND LAMAR ADVERTISING CO/NEW DE X X 06/10/03 LEHMAN ABS CORP DE X X 06/01/03 LINCOLN BENEFIT LIFE CO NE X 06/11/03 LIQUIDGOLF HOLDING CORP NV X X X X X 05/30/03 MANCHESTER TECHNOLOGIES INC NY X 06/11/03 MAVERICK TUBE CORPORATION DE X 06/16/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 05/31/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 05/31/03 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 05/31/03 MBNA CORP MD X 05/31/03 MCG CAPITAL CORP DE X X 06/16/03 MCSI INC MD X X 06/16/03 MEDICAL STAFFING NETWORK HOLDINGS INC DE X X 05/16/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 06/13/03 MITCHAM INDUSTRIES INC TX X X 06/16/03 MITCHAM INDUSTRIES INC TX X X 06/16/03 NAPOLI ENTERPRISES INC CO X X 06/13/03 NAVISITE INC DE X 12/31/02 AMEND NAVISTAR INTERNATIONAL CORP DE X 06/16/03 NESS ENERGY INTERNATIONAL INC /NV/ WA X 06/16/03 NETBANK INC GA X 06/11/03 NETNATION COMMUNICATIONS INC DE X X 06/13/03 NETNATION COMMUNICATIONS INC DE X X 06/13/03 NEW YORK COMMUNITY BANCORP INC DE X 06/16/03 NORTH VALLEY BANCORP CA X X 06/13/03 NORTHEAST UTILITIES SYSTEM MA X X 06/13/03 NORTHEAST UTILITIES SYSTEM MA X X 06/13/03 NPS PHARMACEUTICALS INC DE X X 06/11/03 NUTRACEUTICAL INTERNATIONAL CORP DE X X 06/13/03 OGE ENERGY CORP OK X 06/16/03 OKLAHOMA GAS & ELECTRIC CO OK X 06/16/03 OMNICARE INC DE X X 06/13/03 ONLINE RESOURCES CORP DE X X 06/09/03 PARAMCO FINANCIAL GROUP INC NV X 09/10/02 AMEND PENNSYLVANIA REAL ESTATE INVESTMENT T PA X X 05/30/03 PEPCO HOLDINGS INC DE X 06/16/03 PETMED EXPRESS INC FL X X 06/16/03 PG&E CORP CA X 06/16/03 PG&E NATIONAL ENERGY GROUP INC DE X 06/16/03 PINNACLE FINANCIAL PARTNERS INC TN X X 06/16/03 POLYMER SOLUTIONS INC NV X X 06/11/03 PORTLAND GENERAL ELECTRIC CO /OR/ OR X 06/04/03 POWERWAVE TECHNOLOGIES INC DE X X 06/13/03 PRICELINE COM INC DE X X X 06/16/03 PRIME RECEIVABLES CORP DE X 06/16/03 PRINCETON NATIONAL BANCORP INC DE X X 06/04/03 PROLONG INTERNATIONAL CORP NV X 06/05/03 PROVIDIAN FINANCIAL CORP DE X 05/31/03 PSYCHIATRIC SOLUTIONS INC DE X 04/01/03 AMEND PULASKI FINANCIAL CORP DE X X 05/23/03 AMEND RESCON TECHNOLOGY CORP WY X 06/11/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X 06/16/03 RESTORATION HARDWARE INC CA X X X 06/16/03 RICKS CABARET INTERNATIONAL INC TX X X 06/12/03 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 06/16/03 SEIBELS BRUCE GROUP INC SC X X 06/16/03 SENIOR SUBORDINATE PASS THROUGH CERT TN X 05/25/03 SGD HOLDINGS LTD DE X 06/10/03 SKYWAY COMMUNICATIONS HOLDING CORP FL X 03/15/03 AMEND SOUTHERN UNION CO DE X X X 06/16/03 SPEECHWORKS INTERNATIONAL INC DE X 04/28/03 SPORTS ARENAS INC DE X 05/27/03 STEEL TECHNOLOGIES INC KY X X 03/31/03 STRUCT ASS MORT INV INC BS ALTA MORT DE X 04/30/03 AMEND STRUCTURED PRODUCTS CORP DE X X 06/12/03 SUN HYDRAULICS CORP FL X X 06/10/03 SUREQUEST SYSTEMS INC NV X 06/10/03 SYLVAN INC NV X X 06/16/03 TAURUS ENTERTAINMENT COMPANIES INC CO X X X 06/12/03 TEKELEC CA X X 06/11/03 TIB FINANCIAL CORP FL X 06/10/03 TIVO INC DE X 06/16/03 TIVO INC DE X 06/16/03 TIVO INC DE X 05/22/03 AMEND TREDEGAR CORP VA X X 06/16/03 TRIDENT MICROSYSTEMS INC DE X X 06/12/03 TRITON PCS HOLDINGS INC X X 05/30/03 AMEND TRITON PCS INC X X 05/30/03 AMEND TUMBLEWEED INC DE X X 06/16/03 TYCO INTERNATIONAL LTD /BER/ D0 X 06/16/03 US DATAWORKS INC NV X X 06/13/03 UTI WORLDWIDE INC X X 06/10/03 VARCO INTERNATIONAL INC /DE/ DE X 06/13/03 VICTOR INDUSTRIES INC X X 06/30/03 VSOURCE INC DE X X 06/13/03 WESTERN WIRELESS CORP WA X X 06/13/03 WH INTERMEDIATE HOLDINGS LTD X X 06/12/03 WIRELESS DATA SOLUTIONS INC UT X 06/16/03 WITNESS SYSTEMS INC DE X X 03/31/03 AMEND XSTREAM BEVERAGE GROUP INC NV X X X 06/03/03 YAMAHA MOTOR RECEIVABLES CORP DE X 06/15/03 YORK INTERNATIONAL CORP /DE/ DE X 06/13/03 YOUTHSTREAM MEDIA NETWORKS INC DE X X 06/09/03 ZENITH NATIONAL INSURANCE CORP DE X X 08/23/02 AMEND ZIM CORP A6 X X 06/01/03