SEC NEWS DIGEST Issue 2003-169 September 3, 2003 COMMISSION ANNOUNCEMENTS STATEMENT BY SEC CHAIRMAN WILLIAM H. DONALDSON REGARDING NEW YORK MUTUAL FUND PROBE SEC Chairman William H. Donaldson said, "The conduct alleged in the complaint is reprehensible and there is no place for it in our markets. Today's action further illustrates the importance of the SEC's ongoing review of both hedge funds and mutual funds and the SEC's upcoming recommendations regarding improvements and increased disclosure requirements for both. As we have stated in announcing our current and ongoing study of hedge funds, there is too much money at stake for us to know as little as we do about these funds, in particular, and how they operate. Concurrently, the broad participation by individual investors in mutual funds requires that we do everything possible to understand, anticipate and address areas where there is the potential for abuse and fraud." (Press Rel. 2003-106) ETHIOPIS TAFARA NAMED DIRECTOR OF THE OFFICE OF INTERNATIONAL AFFAIRS Chairman William H. Donaldson today announced the appointment of Ethiopis Tafara as the Director of the Office of International Affairs. Mr. Tafara will oversee the Commission's international regulatory policy and enforcement initiatives, working with foreign regulators and international organizations, as well as the SEC's other division and office directors with respect to the international aspects of the Commission's programs. Over the past year, Mr. Tafara has served as the Commission's Acting Director of the Office of International Affairs. He has played a vital role in advising the Commission on the international implications of new Commission initiatives on corporate governance, auditor oversight and the creation of the Public Company Accounting Oversight Board, and attorney ethics. Mr. Tafara represents the Commission in the International Organization of Securities Commissions (IOSCO) and the Council of Securities Regulators of the Americas and has been a key player in the SEC's ongoing regulatory dialogue with the European Commission. He also worked to enhance the SEC's enforcement cooperation with its foreign counterparts through organizations such as the Financial Action Task Force and IOSCO's recent Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information. In announcing the appointment, SEC Chairman Donaldson said, "Ethiopis has proven himself to be a highly respected and skilled representative of the Commission in its effort to enhance investor protection worldwide. Indeed, Ethiopis is a much sought after expert on international enforcement and regulatory issues, providing the Commission with valuable insights into the increasingly global nature of securities markets. I am very pleased to have him as an integral part of our team." Mr. Tafara, 39, joined the Commission's staff in 1999 as an Assistant Director in the Office of International Affairs. Prior to joining the SEC, Mr. Tafara was counsel to the chairperson at the U.S. Commodity Futures Trading Commission and also served in the CFTC's Division of Enforcement. He began his legal career in Cleary, Gottlieb, Steen and Hamilton's Brussels office, where he worked on trade and competition matters. Mr. Tafara received his A.B. from Princeton University and his law degree from the Georgetown University Law Center. He and his wife, Michelle, have one son, Gaebriel. (Press Rel. 2003-105) 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, SEPTEMBER 9, 2003 - 2:00 P.M. The subject matter of the closed meeting scheduled for Tuesday, September 9, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; Formal orders of investigation; and Adjudicatory matter. OPEN MEETING - WEDNESDAY, SEPTEMBER 10, 2003 - 10:00 A.M. The subject matter for the open meeting scheduled for Wednesday, September 10, will be: 1. The Commission will hear oral argument on an appeal by the Barr Financial Group, Inc. (BFG), an investment adviser, and Alfred E. Barr (Barr), BFG's president, from the decision of an administrative law judge. The law judge found that: a. respondents violated Section 207 of the Investment Advisers Act of 1940 (Advisers Act) by making untrue statements of material fact in Forms ADV and ADV amendments filed by BFG during 1997 and 1998. Respondents' statements concerned the amount of assets BFG had under management and Barr's academic credentials; b. respondents were permanently enjoined in 1999 from violating Advisers Act Section 204 and "regulations thereunder governing the conduct of investment advisers under Rule 204-2 of the Advisers Act." The law judge ordered both respondents to cease and desist from committing or causing any violations or future violations of Advisers Act Sections 204 and 207, barred Barr from associating with any investment adviser, and revoked BFG's registration as an investment adviser. Among the issues likely to be argued are: a. whether the evidence supports the allegations; b. whether and to what extent sanctions should be imposed in the public interest. For further information, please contact the Office of the Secretary at (202) 942-7070. 2. The Commission will hear oral argument on an appeal by the Division of Enforcement from the decision of an administrative law judge. The law judge found that the Division of Enforcement failed to prove that Jeffrey M. Steinberg and John Geron, (Respondents), certified public accountants and former partners of accounting firm Arthur Andersen & Co., L.L.P., caused violations by Spectrum Information Technologies, Inc. (Spectrum) of Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-13 and 12b-20 thereunder (reporting provisions), and the law judge dismissed the proceedings against the Respondents. The law judge concluded that the Respondents' accounting advice to Spectrum was consistent with generally accepted accounting principles (GAAP). The law judge determined also that Spectrum's quarterly reports filed with the Commission on Forms 10-Q for the periods ended June 30, 1993 and Sept. 30, 1993, the reports at issue, adequately disclosed certain licensing transactions. The Division has requested that the Commission reverse the law judge's findings of fact and conclusions of law and his dismissal of all charges, and issue cease-and-desist orders against the Respondents. Among the issues likely to be argued are: a. whether Spectrum's accounting treatment was consistent with GAAP; b. whether the Respondents acted negligently; c. whether the Respondents were "a cause" of Spectrum's violations of the reporting provisions within the meaning of Exchange Act Section 21C; and d. whether issuance of cease-and-desist orders against the Respondents is in the public interest. For further information, please contact the Office of the Secretary at (202) 942-7070. CLOSED MEETING - WEDNESDAY, SEPTEMBER 10, 2003 - 11:00 A.M. The subject matter for the closed meeting scheduled for Wednesday, September 10, will be: Post argument discussion. OPEN MEETING - THURSDAY, SEPTEMBER 11, 2003 - 10:00 A.M. The subject matter for the open meeting scheduled for Thursday, September 11, will be: 1. The Commission will consider whether to adopt amendments to Rule 206(4)-2, the custody rule under the Investment Advisers Act of 1940, to enhance the protections afforded to advisory clients' assets, harmonize the rule with current custodial practices, and clarify circumstances under which advisers have custody of client assets. For further information, please contact Vivien Liu at (202) 942- 0664. 2. The Commission will consider whether to propose a rule to exempt qualified foreign banks from the insider lending prohibition of the Securities Exchange Act of 1934 Section 13(k), as added by Section 402 of the Sarbanes-Oxley Act. The proposed rule would exempt foreign banks that meet specified criteria similar to those that qualify domestic banks for the exemption under Section 13(k). The Commission will also consider whether to propose an amendment to Form 20-F that would require a foreign bank issuer to provide the same disclosure regarding problematic loans to insiders as that required for domestic banks under Regulation S-K. For further information contact Elliot Staffin at (202) 942-2990. 3. The Commission will also consider whether to propose an amendment to Form F-6 that would add an eligibility requirement making the form unavailable to register under the Securities Act of 1933 depositary shares evidenced by American depositary receipts if the foreign issuer has separately listed the deposited securities on a registered national securities exchange or automated inter-dealer quotation system of a national securities association. For further information please contact Michael Coco at (202) 942- 2990. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted, or postponed, please contact the Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS COMMISSION ISSUES ORDER IMPOSING BROKER-DEALER BAR AGAINST SCOTT ALEXANDER GRYSKIEWICZ WHO WAS PERMANENTLY ENJOINED AND FOUND LIABLE FOR COMMITTING SECURITIES FRAUD BY A FEDERAL DISTRICT COURT On September 2, the Commission issued an Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Scott Alexander Gryskiewicz (Gryskiewicz). These proceedings stem from the Commission's investigation of fraudulent stock offerings by Gryskiewicz, which resulted in the civil injunctive action SEC v. Scott Alexander Gryskiewicz, 98 Civ. 7688 (E.D.N.Y.) (NG) (Injunctive Action). The Order, which bars Gryskiewicz from association with any broker or dealer, follows the entry on July 16, 2003, of a permanent injunction against Gryskiewicz in the Injunctive Action. Gryskiewicz consented to the Order without admitting or denying the Commission's substantive findings. The Commission's complaint in the Injunctive Action alleged that: 1. Gryskiewicz, from at least May 1998 through December 1998, unlawfully acted as an unregistered broker, directly and through an office that he operates in Lodi, New Jersey. In the course of his unlawful activity as an unregistered broker, Gryskiewicz obtained approximately $160,000 by offering and selling to at least 71 investors unregistered securities in the form of units consisting of common stock and warrants (Units) issued by Pan American Securities, Inc. (Pan American). 2. Gryskiewicz made telephonic cold calls and offered and sold the Pan American Units to investors by means of a variety of false and misleading representations, including false claims that: a) Pan American was about to make an initial public offering (IPO); b) the Pan American Units were freely tradable, when they were restricted; and, c) the Pan American Units could be sold for a substantial profit after the purported IPO. 3. Gryskiewicz also embarked on another fraudulent offering. Since at least October 1998 through December 1998, Gryskiewicz attempted to solicit investments in a purported private placement of unregistered common stock and warrants issued by Freetrade.com, Inc. (Freetrade). In the course of offering Freetrade securities, Gryskiewicz disseminated a private placement memorandum (Freetrade PPM) that falsely represented that the offered Freetrade securities are "immediately tradable," when they are, in fact, restricted. The partial judgment permanently enjoined Gryskiewicz from committing future violations of Section 17(a) of the Securities Act of 1933, 15 U.S.C. 77q(a), and Sections 10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), 78o(a)(1) and 78o(c)(1), and Rules 10b-3, 10b-5 and 15c1-2 thereunder, 17 C.F.R. 240.10b-3, 240.10b-5 and 240.15c1-2. Gryskiewicz consented to the partial judgment without admitting or denying the allegations of the complaint. The partial judgment provided that the Court will decide, at a later time, the issue of disgorgement and what civil penalty should be imposed on Gryskiewicz. (Rel. 34-48427; File No. 3-11239) COMMISSION FILES COMPLAINT AGAINST ROBERT ARNESON AND RIDGEDALE STATE BANK The Commission announced today that it filed and simultaneously settled an injunctive action in the U.S. District Court for the District of Minnesota against Robert Arneson (Arneson) and Ridgedale State Bank (Ridgedale Bank). The Commission's complaint alleges Arneson violated Sections 10(b) and 16(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 16a-3 thereunder [15 U.S.C. 78j(b) and 78p(a) and 17 C.F.R. 240.10b-5 and 240.16a-3]. The Commission's complaint further alleges that Ridgedale Bank violated Section 16(a) of the Exchange Act and Rule 16a-3 thereunder [15 U.S.C. 78p(a) and 17 C.F.R. 240.16a-3]. The Commission's complaint alleges that Arneson engaged in insider trading by trading in the securities of Tower Automotive, Inc. and Kinnard Investments, Inc., while in possession of material, nonpublic information provided by George Kline. The complaint alleges that this constituted violations of Section 10(b) of the Exchange Act and Rule 10b- 5 promulgated thereunder. The Commission complaint also alleges that both Arneson and Ridgedale Bank aided and abetted George Kline's violations of failing to report stock transactions by a corporate insider by providing loans to a corporation controlled by Kline, which Kline used to purchase stock. This activity constituted violations of Section 16(a) of the Exchange Act and Rule 16a-3 thereunder. Areneson consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violations of Sections 10(b) and 16(a) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. Arneson also consented to pay disgorgement for the insider trading violations in the amount of $15,094, prejudgment interest in the amount of $5,305.21, a civil penalty in the amount of $15,094, and an additional civil penalty in the amount of $25,000 for aiding and abetting George Kline's reporting violations. Ridgedale Bank consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining Ridgedale Bank from violations of Section 16(a) of the Exchange Act and Rule 16a-3 thereunder. Ridgedale Bank also consented to pay disgorgement in the amount of $65,582, prejudgment interest in the amount of $26,604.67, and a civil penalty in the amount of $40,000. The Commission would like to thank the Board of Governors of the Federal Reserve, the Federal Reserve Bank of Minneapolis and the United States Attorney for the District of Minnesota for its assistance and cooperation in this matter. [SEC v. Robert Arneson and Ridigedale State Bank, USDC, Minn. 2003 003-CV-5160] (LR-18321) HOLDING COMPANY ACT RELEASES PROGRESS ENERGY, INC., ET AL. An order has been issued authorizing Progress Energy, Inc., a registered holding company, to acquire the common stock of Eastern North Carolina Natural Gas Company (Eastern NCNG), and to sell North Carolina Natural Gas Corporation and Eastern NCNG, both public utility companies, to Piedmont Natural Gas Company (Piedmont), a public utility company currently not subject to the Public Utility Holding Company Act. The order also grants Piedmont and its subsidiaries an exemption under Section 3(a)(2) from all provisions of the Act except Section 9(a)2. (Rel. 35-27718) 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 ALTAIR NANOTECHNOLOGIES INC, 204 EDISON WAY, N/A, RENO, NV, 89502, (775) 858-3744 - 500,000 ($430,000.00) Equity, (File 333-108419 - Sep. 2) (BR. 04) S-4 DIMON INC, 8047927511 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-108420 - Sep. 2) (BR. 04) S-3 24/7 REAL MEDIA INC, 1250 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10001, 2122317100 - 0 ($55,753,839.80) Equity, (File 333-108422 - Sep. 2) (BR. 02) S-1 ENCORE CAPITAL GROUP INC, 5775 ROSECOE COURT, SAN DIEGO, CA, 92123, 8007590327 - 5,750,000 ($57,557,500.00) Equity, (File 333-108423 - Sep. 2) (BR. 07) S-3 NAVIGATORS GROUP INC, ONE PENN PLAZA, 55TH FL, NEW YORK, NY, 10119, 2122442333 - 0 ($146,196,050.00) Equity, (File 333-108424 - Sep. 2) (BR. 01) S-8 KOALA INTERNATIONAL WIRELESS INC, 141-757 WEST HASTINGS, SUITE 676, VANCOUVER BC CANADA, TX, V6C1A1, 6046817806 - 4,400,000 ($440,000.00) Equity, (File 333-108425 - Sep. 2) (BR. 09) S-11 BOSTON CAPITAL REAL ESTATE INVESTMENT TRUST INC, 0 ($315,000,000.00) Equity, (File 333-108426 - Sep. 2) (BR. ) S-8 CYBERTEL COMMUNICATIONS CORP, 2820 LA MIRADA DRIVE, #H, VISTA, CA, 92083, 8006455557 - 550,000,000 ($825,000.00) Equity, (File 333-108427 - Sep. 2) (BR. 37) SB-2 BRIGHTON INVESTMENT HOLDING CO INC, 275 FIFTH AVE, SUITE 703, NEW YORK, NY, 10001, 2124475538 - 200,000 ($100,000.00) Other, (File 333-108428 - Sep. 2) (BR. ) S-3 INNOVO GROUP INC, 5900 S. EASTERN AVENUE, SUITE 104, COMMERCE, CA, 90040, 3237255516 - 3,135,481 ($16,555,339.68) Equity, (File 333-108430 - Sep. 2) (BR. 02) S-8 ARC WIRELESS SOLUTIONS INC, 4860 ROBB STREET, SUITE 101, WHEAT RIDGE, CO, 80033, 3034214063 - 0 ($95,875.00) Equity, (File 333-108431 - Sep. 2) (BR. 37) S-2 NESTOR INC, 400 MASSASOIT AVE, STE 200, PROVIDENCE, RI, 02914, 4014345522 - 1,520,956 ($2,281,434.00) Equity, (File 333-108432 - Sep. 2) (BR. 03) S-8 SILICON VALLEY BANCSHARES, 3003 TASMAN DR, M/S NC820, SANTA CLARA, CA, 95054, 4086547400 - 0 ($28,950,000.00) Equity, (File 333-108434 - Sep. 2) (BR. 07) S-4 MERCHANTS & MANUFACTURERS BANCORPORATION INC, 14100 W. NATIONAL AVENUE, P.O. BOX 511160, NEW BERLIN, WI, 53151, 414-827-6713 - 0 ($7,437,600.00) Equity, (File 333-108435 - Sep. 2) (BR. 07) S-8 HMS HOLDINGS CORP, 401 PARK AVENUE SOUTH, NEW YORK, NY, 10016, 2126854545 - 0 ($5,595,000.00) Equity, (File 333-108436 - Sep. 2) (BR. 08) S-3 IBIS TECHNOLOGY CORP, 32 CHERRY HILL DR, DANVERS, MA, 01923, 9787774247 - 0 ($17,420,000.00) Equity, (File 333-108438 - Sep. 2) (BR. 36) S-3 DATATRAK INTERNATIONAL INC, 20600 CHAGRIN BLVD, STE 1050, CLEVELAND, OH, 44122, 2169216505 - 657,625 ($3,038,227.50) Equity, (File 333-108439 - Sep. 2) (BR. 01) SB-2 REFOCUS GROUP INC, 10300 NORTH CENTRAL EXPRESSWAY, SUITE 104, DALLAS, TX, 75231, 2143680200 - 0 ($29,683,691.00) Equity, (File 333-108440 - Sep. 2) (BR. 08) F-3 BUNGE LIMITED FINANCE CORP, 50 MAIN STREET, WHITE PLAINS, NY, 10606, 9146842800 - 0 ($3,250,000.00) Debt Convertible into Equity, (File 333-108441 - Sep. 2) (BR. ) S-8 INVITROGEN CORP, 1600 FARADAY AVE, CARLSBAD, CA, 92008, 7606037200 - 25,000 ($1,448,250.00) Equity, (File 333-108442 - Sep. 2) (BR. 01) S-8 CALIFORNIA MICRO DEVICES CORP, 215 TOPAZ ST, MILPITAS, CA, 95035-5430, 4082633214 - 0 ($3,530,400.00) Equity, (File 333-108443 - Sep. 2) (BR. 36) S-3 SHURGARD STORAGE CENTERS INC, 1155 VALLEY STREET, STE 400, SEATTLE, WA, 98109, 2066248100 - 3,100,000 ($104,935,000.00) Equity, (File 333-108444 - Sep. 2) (BR. 08) S-8 HMS HOLDINGS CORP, 401 PARK AVENUE SOUTH, NEW YORK, NY, 10016, 2126854545 - 0 ($6,341,000.00) Equity, (File 333-108445 - Sep. 2) (BR. 08) 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 ------------------------------------------------------------------------------------ AASTROM BIOSCIENCES INC MI X X 09/02/03 ADE CORP MA 09/02/03 ADVANCED REFRIGERATION TECHNOLOGIES I CA X 06/11/03 AMEND ADVOCAT INC DE X X 09/02/03 AFFILIATED COMPUTER SERVICES INC DE X X X 09/02/03 AMERALIA INC UT X X 08/31/03 AMERICAN UNITED GLOBAL INC DE X X X 06/17/03 AMEND ANTHEM INC IN X 09/02/03 AQUIS COMMUNICATIONS GROUP INC DE X X 08/27/03 ARISTOTLE CORP DE X 08/28/03 ARIZONA PUBLIC SERVICE CO AZ X X 09/02/03 ARMSTRONG WORLD INDUSTRIES INC PA X 08/29/03 ATA HOLDINGS CORP IN X X X 08/29/03 AVI BIOPHARMA INC OR X X 09/02/03 BANKNORTH GROUP INC/ME ME X X 09/02/03 BANKNORTH GROUP INC/ME ME X X 09/02/03 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 08/15/03 BROADBAND WIRELESS INTERNATIONAL CORP NV X X 08/13/03 BWC FINANCIAL CORP CA X 08/26/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 08/31/03 CASCADE CORP OR X 08/26/03 CASEYS GENERAL STORES INC IA X 09/02/03 CENTRAL AMERICAN EQUITIES INC FL X 08/31/03 CENTURYTEL INC LA X X 08/29/03 CGI HOLDING CORP NV X 09/02/03 CH ENERGY GROUP INC NY X 09/02/03 CHILDTIME LEARNING CENTERS INC MI X 09/02/03 CHITTENDEN CORP /VT/ VT X 06/30/03 CINCINNATI BELL INC OH X 09/02/03 CISCO SYSTEMS INC CA X 09/02/03 CITIBANK SOUTH DAKOTA N A DE X 09/02/03 CNA SURETY CORP DE X X 09/02/03 CNB FINANCIAL CORP/PA PA X 08/14/03 AMEND CORPORATE BOND BACKED CERT TR SER 199 X X 09/02/03 CORRECTIONAL SERVICES CORP DE X 08/27/03 CORVIS CORP DE X X 08/28/03 COUGAR HOLDINGS INC NV X 08/01/03 AMEND COUNTY BANK CORP MI X 09/02/03 COVEST BANCSHARES INC DE X X 09/02/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 09/02/03 CSFB MORTGAGE SEC CORP HOME EQ PASS T DE X X 08/25/03 DHB INDUSTRIES INC DE X X 08/28/03 DIAMOND OFFSHORE DRILLING INC DE X X 09/02/03 DIAMONDHEAD CASINO CORP DE X 09/02/03 DIVERSIFIED FINANCIAL RESOURCES CORP DE X X 08/29/03 DONNKENNY INC DE X X 08/26/03 DURECT CORP DE X 09/02/03 DYNATRONICS CORP UT X X 09/02/03 EDGE PETROLEUM CORP DE X X 09/02/03 EMERSON RADIO CORP DE X 09/02/03 ENCORE CAPITAL GROUP INC DE X 09/02/03 ENDOCARDIAL SOLUTIONS INC DE X X 08/20/03 AMEND ENERGY WEST INC MT X X 09/02/03 EP MEDSYSTEMS INC NJ X 08/25/03 ESS TECHNOLOGY INC CA X X X 08/15/03 EXELON CORP PA X 08/29/03 FARM FISH INC MS X X 02/14/03 AMEND FLEXXTECH CORP NV X 06/13/03 AMEND FLORIDA EAST COAST INDUSTRIES INC FL X 08/28/03 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X X 08/25/03 FRIENDLY ICE CREAM CORP MA X X 07/23/03 GENLYTE GROUP INC DE X X 08/29/03 GEO SPECIALTY CHEMICALS INC OH X 08/28/03 GOLDEN HAND RESOURCES INC WA X 08/01/03 AMEND GROUP 1 AUTOMOTIVE INC DE 09/02/03 HAIN CELESTIAL GROUP INC DE 09/02/03 HAIN CELESTIAL GROUP INC DE X 06/17/03 AMEND HALIFAX CORP VA X X 09/02/03 HEARTLAND EXPRESS INC NV X X 09/02/03 HOLLY CORP DE X X 09/02/03 HOSPITALITY PROPERTIES TRUST MD X 08/29/03 HYBRIDON INC DE X X 09/02/03 IKON OFFICE SOLUTIONS INC OH X X 06/30/03 IPVOICE COMMUNICATIONS INC NV X 08/26/03 KMART HOLDING CORP DE X X 09/02/03 KOGER EQUITY INC FL X X 09/02/03 LANDAMERICA FINANCIAL GROUP INC VA X X 08/29/03 LIBERTY SATELLITE & TECHNOLOGY INC DE X X 08/26/03 LOGIC DEVICES INC CA X 08/29/03 LOUDEYE CORP DE X X 08/29/03 MAF BANCORP INC DE 08/31/03 MANDALAY RESORT GROUP NV X 09/02/03 MEDIX RESOURCES INC CO X 09/02/03 METROCALL HOLDINGS INC DE X X 08/29/03 MIRAVANT MEDICAL TECHNOLOGIES DE X 09/02/03 MOBILITY ELECTRONICS INC DE X X 08/29/03 MT ULTIMATE HEALTHCARE CORP NV X X 09/02/03 NATIONAL HEALTHCARE CORP DE X 09/02/03 NETSMART TECHNOLOGIES INC DE X 06/30/03 AMEND NORTHERN STAR FINANCIAL INC MN X X 08/29/03 NORTHWEST BANCORP INC PA X X 08/31/03 NORTHWEST GOLD INC WY X 06/17/03 AMEND NSD BANCORP INC PA X 08/28/03 NSTAR/MA MA X 09/02/03 ON2 TECHNOLOGIES INC CO X X 08/25/03 ONYX ACCEPTANCE FIN CORP ONYX ACCEPT DE X 07/31/03 ONYX ACCEPTANCE FINANCIAL CORP ONYX A DE X 07/31/03 ONYX ACCEPTANCE OWNER TRUST 2003-A DE X 07/31/03 PACIFIC ENTERPRISES INC CA X 09/02/03 PARAGON FINANCIAL CORP DE X X 08/26/03 PARK BANCORP INC IN X 09/02/03 PAULA FINANCIAL DE X 05/25/03 PINNACLE WEST CAPITAL CORP AZ X X 09/02/03 PNC FINANCIAL SERVICES GROUP INC PA X X 09/02/03 POINDEXTER J B & CO INC DE X X 08/29/03 PRECISION OPTICS CORPORATION INC MA X 08/29/03 PRIMAL SOLUTIONS INC DE X X 09/02/03 PROGRESS ENERGY INC NC X 08/29/03 PUBLIC SERVICE CO OF COLORADO CO X X 03/07/03 AMEND PUGET ENERGY INC /WA WA X X 08/29/03 QUEPASA CORP NV X X 08/27/03 QUINTILES TRANSNATIONAL CORP NC X 09/02/03 RAYTHEON CO/ DE X X 08/29/03 REPUBLIC SERVICES INC DE X X 08/29/03 RETRACTABLE TECHNOLOGIES INC TX X X 08/29/03 SABRE HOLDINGS CORP DE X 09/02/03 SALIX PHARMACEUTICALS LTD X X 09/02/03 SAN DIEGO GAS & ELECTRIC CO CA X 09/02/03 SCHUFF INTERNATIONAL INC DE X X 08/13/03 SELECT MEDICAL CORP DE X X 09/02/03 SEMPRA ENERGY CA X 09/02/03 SHOLODGE INC TN X X 08/29/03 SIERRA HEALTH SERVICES INC NV X 08/15/03 SIERRA PACIFIC RESOURCES /NV/ NV X X 08/28/03 SILICON IMAGE INC DE X 08/28/03 SIMULATIONS PLUS INC X X 09/02/03 SKTF ENTERPRISES INC FL X 08/27/03 SKYWAY COMMUNICATIONS HOLDING CORP FL X X 09/02/03 SOUTHERN UNION CO DE 09/02/03 SPHERION CORP DE X 09/02/03 SPORTS AUTHORITY INC /DE/ DE 08/25/03 STATE AUTO FINANCIAL CORP OH X X 09/02/03 STEELCASE INC MI X 09/02/03 STRATOS LIGHTWAVE INC DE X X 08/28/03 STRUCTURED ASSET SECURITIES CORP DE X 08/28/03 STRUCTURED ASSET SECURITIES CORP DE X 08/26/03 STRUCTURED ASSET SECURITIES CORP DE X X 08/28/03 STRUCTURED ASSET SECURITIES CORP DE X 08/29/03 STRUCTURED ASSET SECURITIES CORP DE X 08/28/03 TB WOODS CORP DE X X 09/02/03 TELEVIDEO INC DE X X 08/29/03 TENET HEALTHCARE CORP NV X 08/25/03 TRIAD HOSPITALS INC DE X X 09/02/03 TRIMAS CORP DE X X 09/02/03 TRUSTMARK CORP MS X 08/29/03 TURNSTONE SYSTEMS INC DE X X 09/02/03 U S PHYSICAL THERAPY INC /NV NV X X 09/02/03 UNIFY CORP DE X 08/26/03 UNITED NATURAL FOODS INC DE X 09/02/03 UNIVERSAL COMPRESSION HOLDINGS INC DE X 09/02/03 VALESC HOLDINGS INC DE X 06/18/03 AMEND VITAL LIVING INC AZ X X 08/29/03 AMEND 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