SEC NEWS DIGEST Issue 2003-149 August 5, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CLOSED MEETING - TUESDAY, AUGUST 12, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, August 12, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; Formal orders of investigation; and Opinions. CLOSED MEETING - THURSDAY, AUGUST 14, 2003 - 9:00 A.M. The subject matter of the closed meeting scheduled for Thursday, August 14, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; and Formal orders of investigation. 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 BROKER-DEALER EXEMPTION FROM SENDING CERTAIN FINANCIAL INFORMATION TO CUSTOMERS On August 1, the Commission adopted amendments to Securities Exchange Act of 1934 (Exchange Act) Rule 17a-5(c) that conditionally exempt broker-dealers from the requirement of Exchange Act Section 17(e)(l)(B) and Rule 17a-5(c) to send their full balance sheet and certain other financial information to their customers twice a year. Under the amendments, the broker-dealer can send its customers summary information regarding its net capital, as long as it also provides customers with a toll-free number to call for a free copy of its full balance sheet, makes its full balance sheet available to customers over the Internet, and meets other specified requirements. The Commission originally granted the relief as a two-year pilot program ending Dec. 31, 2001 (Exchange Act Release No. 42222, Dec. 10, 1999), extended the program to Dec. 31, 2002 (Exchange Act Release No. 45179, Dec. 20, 2001), and then extended the program to June 30, 2003 (Exchange Act Release No. 46921, Nov. 26, 2002). (Rel. 34-48272) BROKER-DEALER FINANCIAL STATEMENT REQUIREMENTS UNDER SECTION 17 OF THE EXCHANGE ACT On August 4, the Commission issued an order permitting non-public broker- dealers to file with the Commission and send to their customers financial statements certified by an independent public accountant rather than certified by a registered public accounting firm until Jan. 1, 2005, unless rules are in place regarding Public Company Accounting Oversight Board (Board) registration of auditors of non-public broker- dealers that set an earlier date. Section 17(e)(1)(A) of the Securities Exchange Act of 1934 (Exchange Act) requires that every registered broker-dealer annually file with the Commission a certified balance sheet and income statement, and Section 17(e)(1)(B) requires that the broker-dealer annually send to its customers its "certified balance sheet." The Sarbanes-Oxley Act of 2002 (Act) established the Board and amended Section 17(e) to replace the words "an independent public accountant" with "a registered public accounting firm." The Act establishes a deadline for registration with the Board of auditors of financial statements of "issuers," as that term is defined in the Act. The Act does not provide a deadline for registration of auditors of broker-dealers that are not issuers (non-public broker- dealers). Application of registration requirements and procedures to auditors of non-public broker-dealers is still being considered. (Rel. 34-48281) ENFORCEMENT PROCEEDINGS FORMER PRESIDENT OF SRI/SURGICAL EXPRESS, INC. SETTLES SECTION 10(b) CHARGE CONCERNING SRI'S OVERSTATED REVENUE SRI, ITS FORMER COO, AND CFO ALSO SETTLE CEASE-AND-DESIST PROCEEDING The Commission today filed a settled civil enforcement action in U.S. District Court in Tampa, Florida, against Alexander H. Edwards, III, former president of SRI/Surgical Express, Inc. (SRI), a Florida hospital supply company that trades on the NASDAQ National Market System under the symbol STRC. The complaint alleged that Edwards caused SRI to enter into two transactions that resulted in SRI overstating its Fiscal 2001 third quarter revenue by $832,000 even though neither of the counter parties ever agreed to accept delivery of, or pay for, additional products in SRI's third quarter. Without admitting or denying the allegations in the complaint, Edwards consented to the entry of a Final Judgment permanently enjoining him from future violations of (or aiding and abetting violations of) Sections 10(b), 13(b)(5), and 13(b)(2)(A) and (B) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 13b2-1. The Final Judgment also imposes a $50,000 civil penalty. (Securities and Exchange Commission v. Alexander H. Edwards, Civil Action No. 8:03-CV- 1647-T-26MAP (M.D. Fla. Aug. 5, 2003). The Commission also issued a settled cease-and-desist order today (the Order) against SRI, its former COO Wayne R. Peterson, and its former CFO James T. Boosales. The findings in the Order involved the premature recognition of customer orders at the end of SRI's 2001 second and third quarters. SRI, Peterson and Boosales neither admitted nor denied the findings in the Order. In the Order, the Commission ordered that: (1) SRI cease and desist from committing or causing any violations and any future violations of Sections 13(a), and 13(b)(2)(A) and (B) of the Exchange Act, and Rules 13a-13 and 12b-20 thereunder; (2) Peterson cease and desist from committing or causing any violations and any future violations of Sections 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder; and (3) Boosales cease and desist from causing any violations and any future violations of Section 13(b)(2)(B) of the Exchange Act. [SEC v. Alexander H. Edwards, III, U.S. District Court for the Middle District of Florida, Civil Action No. 8:03-CV-1647-T-26MAP] (LR-18271, AAE Rel. 1828); Administrative Proceeding - (Rel. 34-48282; AAE Rel. 1829; File No. 3-11193) FINAL JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST FRANCHISE DIRECT, INC. AND ANDREW DONEY The Commission announced that on Dec. 12, 2002 and Dec. 17, 2002, the U.S. District Court for the Southern District of Florida entered Final Judgments of Permanent Injunction and Other Relief (Final Judgments) against Franchise Direct, Inc. (Franchise Direct), a Florida corporation and Andrew Doney (Doney) one of its sales agents, respectively. The Final Judgments, entered by the consents of Franchise Direct and Doney and without admitting or denying the allegations of the SEC's complaint, enjoin them from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition to enjoining Franchise Direct and Doney, the Final Judgments order disgorgement in the amounts of $769,886 and $186,169, respectively, but waive payment of disgorgement and do not impose a civil penalty based on the Sworn Statements of Financial Condition and other supporting documents submitted by Franchise Direct and Doney. The SEC commenced this action by filing its complaint on Dec. 10, 2002, against Franchise Direct, Doney and others alleging that Defendants violated the antifraud and registration provisions of the federal securities laws in connection with the offer and sale of securities in Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. between 1998 and 2001. [SEC v. Nutrition Superstores.com, Inc., Advanced Wound Care, Inc., Franchise Direct, Inc., Anthony F. Musso, Jr., Jeffery Gill, Wayne Santini and Andrew W. Doney, Case No. 02-81116-CIV-MIDDLEBROOKS, S.D. Fla.] (LR-18269) FINAL JUDGMENTS OF PERMANENT INJUNCTION AND OTHER RELIEF AGAINST NUTRITION SUPERSTORES.COM, INC., ADVANCED WOUND CARE, INC. AND WAYNE SANTINI The Commission announced that on Dec. 17, 2002, the U.S. District Court for the Southern District of Florida entered Final Judgments of Permanent Injunction and Other Relief (Final Judgments) against Nutrition Superstores.Com, Inc. (NSS) and Advanced Wound Care, Inc. (AWC), Florida corporations, and Wayne Santini (Santini), CEO and director of AWC (collectively, Defendants). The Final Judgments, entered by the consents of NSS, AWC and Santini, without admitting or denying the allegations of the SEC's complaint, enjoin NSS, AWC and Santini from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. In addition to injunctive relief, the Final Judgments also order NSS, AWC and Santini to pay disgorgement in the amounts of $8.5 million, $2 million and $79,636, respectively, but waive payment of disgorgement and do not impose civil penalties based upon the Sworn Statements of Financial Condition submitted by NSS, AWC and Santini. Finally, the Final Judgment entered against Santini also permanently bars Santini from serving as an officer or director of a public company. The SEC commenced this action by filing its complaint on Dec. 10, 2002, against NSS, AWC, Santini and others alleging that Defendants violated the anti-fraud and registration provisions of the federal securities laws in connection with the offer and sale of securities in NSS and AWC between 1998 and 2001. [SEC v. Nutrition Superstores.com, Inc., Advanced Wound Care, Inc., Franchise Direct, Inc., Anthony F. Musso, Jr., Jeffery Gill, Wayne Santini and Andrew W. Doney, Case No. 02-81116-CIV- MIDDLEBROOKS, SD Fla.] (LR-18270) HOLDING COMPANY ACT RELEASES XCEL ENERGY, INC., ET AL. A notice has been issued giving interested persons until Aug. 29 to request a hearing on a proposal by Xcel Energy, Inc. (Xcel), a registered holding company, for those transactions contemplated as part of the solicitation of consent and implementation of a proposed Plan of Reorganization for NRG Energy, Inc., a nonutility subsidiary of Xcel, in the U.S. Bankruptcy Court for the Southern District of New York. (Rel. 35-27707) 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 LIBERTY MEDIA CORP /DE/, 12300 LIBERTY BLVD., ENGLEWOOD, CO, 80112, 7208755400 - 0 ($2,775,001,511.00) Equity, (File 333-107613 - Aug. 4) (BR. 37) S-1 OVERNITE CORP, 1000 SEMMES AVENUE, P O BOX 1216, RICHMOND, VA, 23218, 8042318000 - 0 ($100,000,000.00) Equity, (File 333-107614 - Aug. 4) (BR. 05) N-2 GENERAL AMERICAN INVESTORS CO INC, 450 LEXINGTON AVENUE, SUITE 3300, NEW YORK, NY, 10017, 2129168400 - 4,000,000 ($100,000,000.00) Equity, (File 333-107615 - Aug. 4) (BR. 18) S-8 NAPOLI ENTERPRISES INC, 566 - 1027 DAVIE STREET, VANCOUVER, A1, V6E 4L2, 213-304-1936 - 1,500,000 ($990,000.00) Equity, (File 333-107617 - Aug. 4) (BR. 08) S-8 MAF BANCORP INC, 55TH ST & HOLMES AVE, CLARENDON HILLS, IL, 60514, 6303257300 - 20,632 ($813,933.00) Equity, (File 333-107618 - Aug. 4) (BR. 07) S-8 IMAGISTICS INTERNATIONAL INC, 100 OAKVIEW DRIVE, TRUMBULL, CT, 06611, (203)365-7 - 15,000 ($408,450.00) Equity, (File 333-107619 - Aug. 4) (BR. 02) S-8 SAFENET INC, 8029 CORPORATE DRIVE, BALTIMORE, MD, 21236, 4109317500 - 0 ($16,300,000.00) Equity, (File 333-107621 - Aug. 4) (BR. 37) S-8 INNOVATIVE COMPANIES INC, 6950 BRYAN DAIRY RD, LARGO, FL, 33777, 7275448866 - 1,500,000 ($5,940,000.00) Equity, (File 333-107622 - Aug. 4) (BR. 04) S-8 RIVIANA FOODS INC /DE/, 2777 ALLEN PARKWAY, STE 1500, HOUSON, TX, 77019-2141, 7135293251 - 1,000,000 ($27,250,000.00) Equity, (File 333-107624 - Aug. 4) (BR. 04) S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 0 ($1,395,963.52) Equity, (File 333-107625 - Aug. 4) (BR. 07) S-8 PUROFLOW INC, 16559 SATICOY STREET, VAN NUYS, CA, 91406, 8187561388 - 250,000 ($2,031,250.00) Equity, (File 333-107627 - Aug. 4) (BR. 06) S-8 CAPSTONE TURBINE CORP, 21211 NORDHOFF STREET, CHATSWORTH, CA, 91311, 818-734-5300 - 2,500,000 ($2,360,500.00) Equity, (File 333-107628 - Aug. 4) (BR. 36) S-8 PETER KIEWIT SONS INC /DE/, 1000 KIEWIT PLAZA, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023422052 - 1,500,000 ($40,125,000.00) Equity, (File 333-107629 - Aug. 4) (BR. 06) S-8 GIVEN IMAGING LTD, 2 HA CARMEL ST, NEW INDUSTRIAL PARK, YOQNEAM, L4, 20692, 1,500,000 ($19,320,000.00) Equity, (File 333-107630 - Aug. 4) (BR. 36) S-3 K2 INC, 2051 PALOMAR AIRPORT ROAD, CARLSBAD, CA, 92009, 7604941044 - 0 ($3,835,723.68) Equity, (File 333-107631 - Aug. 4) (BR. 05) S-11 WELLS REAL ESTATE INVESTMENT TRUST III INC, 100,500,000 ($1,005,000,000.00) Equity, (File 333-107632 - Aug. 4) (BR. ) S-3 POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA, 92705, 7144661000 - 130,000,000 ($130,000,000.00) Other, (File 333-107633 - Aug. 4) (BR. 37) S-8 GRIC COMMUNICATIONS INC, 1421 MCCARTHY BLVD, MILPITAS, CA, 95035, 4089551920 - 0 ($6,637,878.00) Equity, (File 333-107634 - Aug. 4) (BR. 03) S-3 AMERICAN TECHNOLOGY CORP /DE/, 13114 EVENING CREEK DRIVE SOUTH, SAN DIEGO, CA, 92128, 6196792114 - 2,272,727 ($13,852,271.06) Equity, (File 333-107635 - Aug. 4) (BR. 02) S-8 FIRST COMMUNITY BANCORP /CA/, 8587563023 - 0 ($16,240,000.00) Equity, (File 333-107636 - Aug. 4) (BR. 07) S-8 AMSURG CORP, 20 BURTON HILLS BLVD, STE 350, NASHVILLE, TN, 37215, 6156651283 - 0 ($29,090,000.00) Equity, (File 333-107637 - Aug. 4) (BR. 01) S-8 SABRE HOLDINGS CORP, 3150 SABRE DRIVE MD 9105, SOUTHLAKE, TX, 76092, 6826051551 - 0 ($317,100,000.00) Equity, (File 333-107638 - Aug. 4) (BR. 03) S-3 AMGEN INC, ONE AMGEN CENTER DRIVE, THOUSAND OAKS, CA, 91320-1799, 805-447-1000 - 0 ($1,000,000,000.00) Other, (File 333-107639 - Aug. 4) (BR. 01) S-3 INDUS INTERNATIONAL INC, 3301 WINDY RIDGE PARKWAY, ATLANTA, GA, 30339, 7709528444 - 0 ($23,402,543.00) Equity, (File 333-107640 - Aug. 4) (BR. 03) S-8 ENDURANCE SPECIALTY HOLDINGS LTD, 4 PAR LA VILLE ROAD, HAMILTON HM 08 BERMUDA, D0, 00000, 441-278-0400 - 5,736,975 ($137,798,292.00) Equity, (File 333-107643 - Aug. 4) (BR. 01) S-3 FIRST AMERICAN CORP, 1 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-800-3000 - 500,000 ($12,080,000.00) Equity, (File 333-107644 - Aug. 4) (BR. 01) S-8 POWERWAVE TECHNOLOGIES INC, 1801 E. ST. ANDREW PLACE, SANTA ANA, CA, 92705, 7144661000 - 1,500,000 ($11,175,000.00) Equity, (File 333-107645 - Aug. 4) (BR. 37) S-8 ABERCROMBIE & FITCH CO /DE/, 6301 FITCH PATH, NEW ALBANY, OH, 43054, 6145776500 - 0 ($17,622,100.00) Equity, (File 333-107646 - Aug. 4) (BR. 02) S-8 ABERCROMBIE & FITCH CO /DE/, 6301 FITCH PATH, NEW ALBANY, OH, 43054, 6145776500 - 2,000,000 ($64,460,000.00) Equity, (File 333-107648 - Aug. 4) (BR. 02) 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 ---------------------------------------------------------------------------------- AAON INC NV X X 07/30/03 ABN AMRO MORTGAGE CORP MULTI CL MORT DE X 06/01/03 AMEND ACCESSPOINT CORP /NV/ NV X 07/30/03 ACCESSPOINT CORP /NV/ NV X 08/01/03 ACTERNA CORP DE X 08/01/03 ADVANCED BIOTHERAPY INC DE X X 08/01/03 AEROGEN INC DE 07/31/03 AMERALIA INC UT X X 07/31/03 AMERICAN DENTAL PARTNERS INC DE X 08/04/03 AMERICAN EDUCATION CORP CO X X 06/30/03 AMERICAN UNITED GLOBAL INC DE X 07/24/03 AMEND AMERICANWEST COM INC NV X X X 05/27/03 AMEND AMIS HOLDINGS INC X 08/04/03 ANDREW CORP DE X 07/15/03 AMEND ANZA CAPITAL INC NV X 07/31/03 AP PHARMA INC /DE/ DE X 06/30/03 APOGEE ENTERPRISES INC MN X 07/15/03 AQUANTIVE INC WA X X 08/01/03 ARCH CAPITAL GROUP LTD DE X 08/04/03 ARRAY BIOPHARMA INC DE X 08/04/03 ARTESYN TECHNOLOGIES INC FL X X 08/04/03 ASTORIA FINANCIAL CORP DE X X 08/04/03 ATCHISON CASTING CORP KS X X 08/04/03 ATRIUM COMPANIES INC DE X 08/04/03 AVATECH SOLUTIONS INC DE X 07/31/03 BA MORTGAGE SECURITIES INC PASS THR C DE X 07/25/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X 07/25/03 BANCTRUST FINANCIAL GROUP INC AL X 07/30/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 07/25/03 BANK OF AMERICA MOR SEC INC MOR PASS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BANK OF AMERICA MORT SEC MORT PASS TH DE X 07/25/03 BANK OF AMERICA MORT SECS MORT PASS T DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BANK OF AMERICA MORTGAGE SECURITIES I DE X 07/25/03 BAY RESOURCES LTD DE X X 08/01/03 BEASLEY BROADCAST GROUP INC DE 08/04/03 BEL FUSE INC /NJ NJ X X 07/28/03 BIOSPECIFICS TECHNOLOGIES CORP DE X X 08/01/03 BITSTREAM INC DE 08/04/03 BOYD BROS TRANSPORTATION INC DE X 08/04/03 CALYPTE BIOMEDICAL CORP DE X X 07/31/03 CALYPTE BIOMEDICAL CORP DE X X 07/31/03 CASCADE BANCORP OR X X 08/01/03 CASCADE SLED DOG ADVENTURES INC NV X 04/25/03 CEATECH USA INC CO X 07/28/03 CELGENE CORP /DE/ DE X 07/24/03 CENTER BANCORP INC NJ X X 08/01/03 CENTRAL BANCORP INC /MA/ MA X 07/31/03 CENTRAL BANCORP INC /MA/ MA X X 08/04/03 CEPHALON INC DE X 08/04/03 CERTEGY INC GA 07/23/03 CHENIERE ENERGY INC DE X X 07/30/03 CHURCH & DWIGHT CO INC /DE/ DE X X X 08/04/03 CINCINNATI BELL INC OH X 08/04/03 CINEMARK USA INC /TX TX X X 08/04/03 CIPHERGEN BIOSYSTEMS INC DE X 06/11/03 AMEND CIVITAS BANKGROUP INC TN X 08/01/03 CLICKSOFTWARE TECHNOLOGIES LTD L3 08/04/03 COMMERCIAL CAPITAL BANCORP INC NV X X 08/04/03 COMMUNITY CAPITAL BANCSHARES INC X X 07/28/03 CONCORDE CAREER COLLEGES INC DE X 08/04/03 CONSOLIDATED WATER CO LTD E6 X X 08/04/03 CONSUMER PORTFOLIO SERVICES INC CA X X 05/20/03 AMEND CONTINENTAL AIRLINES INC /DE/ DE X X 08/01/03 CORPORATE OFFICE PROPERTIES TRUST MD X X 06/02/03 CORRPRO COMPANIES INC /OH/ OH X X 07/31/03 CPI AEROSTRUCTURES INC NY X 07/31/03 CROSS COUNTRY HEALTHCARE INC DE X 06/05/03 AMEND CV THERAPEUTICS INC DE X X 08/01/03 DDS TECHNOLOGIES USA INC NV X 08/04/03 AMEND DELIA S CORP DE X X 08/01/03 DEVELOPERS DIVERSIFIED REALTY CORP OH 08/01/03 DIAMONDHEAD CASINO CORP DE X 08/04/03 DIVINE INC DE X X 07/25/03 DORAL FINANCIAL CORP PR X X 08/01/03 DSL NET INC DE X X 07/18/03 DUTCHFORK BANCSHARES INC DE X 08/01/03 DVI INC DE X X 08/04/03 ECHOSTAR COMMUNICATIONS CORP NV X 08/04/03 ECHOSTAR DBS CORP CO X 08/04/03 EDGE PETROLEUM CORP DE X X 08/04/03 EDUCATIONAL DEVELOPMENT CORP DE X X 08/04/03 EMTEC INC/NJ UT X X 08/04/03 ENCORE CAPITAL GROUP INC DE X 08/04/03 ENGAGE INC DE X X X 07/21/03 ENPRO INDUSTRIES INC NC X X 08/04/03 ENTITY INC CO X X 08/01/03 EQUINIX INC DE X 08/04/03 AMEND EQUITY ONE ABS MORTGAGE PASS THROUGH DE X X 07/31/03 EQUITY ONE ABS MORTGAGE PASS THROUGH DE X X 07/31/03 ESCALADE INC IN 08/01/03 EXPRESSJET HOLDINGS INC DE X X 07/01/03 FAB INDUSTRIES INC DE X X 08/01/03 FAIR ISAAC CORP DE X X 08/01/03 FANSTEEL INC DE X X 07/30/03 FIDELITY SOUTHERN CORP GA X 07/28/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 07/25/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 07/28/03 AMEND FIRSTFED BANCORP INC DE 08/01/03 FLEXTRONICS INTERNATIONAL LTD X X 07/30/03 FLORIDA EAST COAST INDUSTRIES INC FL X 08/04/03 FOODARAMA SUPERMARKETS INC NJ X 07/23/03 FRANKFORT FIRST BANCORP INC DE X X 08/04/03 FRIEDMAN BILLINGS RAMSEY GROUP INC VA 07/30/03 FULTON FINANCIAL CORP PA X X 08/01/03 GA FINANCIAL INC/PA DE X 07/31/03 GENAERA CORP DE X X 08/04/03 GENELABS TECHNOLOGIES INC /CA CA X X 08/01/03 GLENAYRE TECHNOLOGIES INC DE X X 08/04/03 GROUP 1 AUTOMOTIVE INC DE 08/04/03 GS MORTGAGE SECURITIES CORP DE X X 07/30/03 GTC BIOTHERAPEUTICS INC MA X X 07/30/03 HALLIBURTON CO DE 07/31/03 HANDLEMAN CO /MI/ MI X 08/04/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 08/01/03 HEPALIFE TECHNOLOGIES INC FL X X 08/04/03 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 08/04/03 HILFIGER TOMMY CORP X X 08/04/03 HILLENBRAND INDUSTRIES INC IN X X 08/04/03 HOME EQUITY LOAN TRUST SERIES 2003-HE DE X X 07/15/03 HOUSEHOLD INTERNATIONAL INC DE X 08/04/03 HSBC USA INC /MD/ MD X 08/04/03 HYDROFLO INC X 08/04/03 ILEX ONCOLOGY INC DE X X 07/29/03 INETEVENTS INC DE X X X X X X 07/18/03 INTEGRATED DATA CORP DE X 08/01/03 INTEGRITY MEDIA INC DE X X 08/04/03 INTERNATIONAL COSMETICS MARKETING CO FL X 08/01/03 INVESTMENT TECHNOLOGY GROUP INC DE X 08/04/03 ISLAND PACIFIC INC DE X 08/01/03 ITLA CAPITAL CORP CA X 07/30/03 LA JOLLA PHARMACEUTICAL CO DE 08/04/03 LACROSSE FOOTWEAR INC WI X 08/04/03 LARSCOM INC DE 08/04/03 LASER TECHNOLOGY INC DE X 07/31/03 LIGHTPATH TECHNOLOGIES INC DE X X 08/04/03 LUCILLE FARMS INC DE X 07/16/03 MAGELLAN HEALTH SERVICES INC DE X X 08/01/03 MAGNUM HUNTER RESOURCES INC NV 08/04/03 MANTECH INTERNATIONAL CORP DE X X 07/30/03 MARKWEST ENERGY PARTNERS L P DE X X 07/31/03 MARKWEST HYDROCARBON INC DE X X 07/31/03 MARSH SUPERMARKETS INC IN 08/04/03 MARTEN TRANSPORT LTD DE 07/28/03 MARVEL ENTERPRISES INC DE X 07/29/03 MATRIX BANCORP INC CO X X 07/31/03 MAXIMUS INC VA X 08/04/03 MEDIALINK WORLDWIDE INC DE X 07/29/03 MEDTOX SCIENTIFIC INC DE X 08/04/03 MELLON FINANCIAL CORP PA X X 07/31/03 MERCATOR SOFTWARE INC DE X X 08/04/03 MERCATOR SOFTWARE INC DE X X 08/02/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 07/15/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 07/15/03 METHODE ELECTRONICS INC DE X X 08/01/03 METLIFE INC DE X 08/04/03 MEXICAN RESTAURANTS INC TX X X 08/01/03 MIDWEST EXPRESS HOLDINGS INC WI X 07/30/03 MONSANTO CO /NEW/ DE X X 08/04/03 MONSTER WORLDWIDE INC DE X 07/30/03 MORGAN STANLEY ABS 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