SEC NEWS DIGEST Issue 2003-22 February 3, 2003 COMMISSION ANNOUNCEMENTS PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS - FEBRUARY 2003 The following is a schedule for February 2003 of the public appearances of SEC officials, including the Chairman, Commissioners, and senior staff members. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Tuesday, Feb. 4 Who: Commissioner Paul Atkins What: Deutsches Aktieninstitut seminar on " Liability for Incorrect Capital Market Disclosure - Legal and Financial Consequences" Where: Frankfurt Chamber of Commerce, Frankfurt, Germany Contact: Uta Kunold, 011-49-69/92915-28 When: Wednesday, Feb. 5 Who: Commissioner Paul Atkins What: Institute for Labor and Business Law, University of Cologne Law School Conference - New Corporate Governance Regulations in the USA and Europe Where: Chamber of Industry and Commerce, Cologne, Germany Contact: Professor Dr. Barbara Dauner-Lieb, 011-49-221-470-4418 When: Thursday, Feb. 6 Who: Stephen M. Cutler, Director, Division of Enforcement What: City & Financial Conferences 7th Annual "The Practical Implications of SEC Regulation Outside the United States" Where: London Marriott Hotel, London, England Contact: Claire Miller, 44-1483-720707 When: Friday, Feb. 7 Who: Paul Roye, Director, Division of Investment Management What: ALI-ABA's Financial Services Modernization 2003: Implementation of the Gramm-Leach-Bliley Act Where: The Hilton Embassy Row Hotel, Washington, DC Contact: William S. Stevens (215) 243-1639 When: Friday, Feb. 21 Who: Stephen M. Cutler, Director, Division of Enforcement; Alan Beller, Director, Division of Corporation Finance What: 2003 F. Hodge O'Neal Corporate & Securities Law Symposium sponsored by the Washington University Law School Where: Washington University School of Law's Anheuser-Busch Hall, St. Louis, MO Contact: Bethany Cunningham, (314) 935-9003 When: Monday, Feb. 24 Who: Acting Chief Accountant, Jackson M. Day What: International Accounting Standards Board Standards Advisory Council Where: London, England Contact: Kathryn McArdle (011) 44 20 7246 6410 When: Wednesday, Feb. 26 Who: Commissioner Cynthia A. Glassman What: American Bankers Association Where: Tampa Marriott Waterside, Tampa, FL Contact: Marilyn Weimer, (202) 942-0604 When: Friday, Feb. 28 Who: Commissioner Cynthia A. Glassman; Commissioner Paul Atkins; Commissioner Campos; Annette Nazareth, Director, Division of Market Regulation; Alan Beller, Director, Division of Corporation Finance; Paul F. Roye, Director, Division of Investment Management What: The SEC Speaks in 2003 Where: Washington Hilton & Towers, Washington, DC Contact: Loula Barkas, PLI, (212) 824-5700 COMMISSION MEETINGS CHANGE IN THE MEETING: TIME CHANGE The time of the open meeting scheduled for Tuesday, Feb. 4, has been changed from 10:00 a.m. to 12:00 noon. OPEN MEETING - TUESDAY, FEBRUARY 4, 2003 - 12:00 NOON The subject matter of the open meeting scheduled for Tuesday, Feb. 4, will be the following. 1. The Commission will consider whether to adopt Regulation Analyst Certification, a new rule that would require analysts to provide certifications regarding the views they express in research reports and public appearances and to provide disclosures regarding any compensation they may have received related to those views and recommendations. 2. The Commission will consider whether to adopt amendments to Rule 17f-4 under the Investment Company Act of 1940, the rule that governs investment companies' use of securities depositories. The amendments are designed to update and simplify the rule in response to changes in business practices and commercial law that have occurred since the rule was adopted in 1978. The amendments eliminate unnecessary restrictions in the rule, to reduce compliance burdens on funds and fund boards, without jeopardizing investor protections. 3. The Commission will consider a recommendation to propose for public comment new Rule 38a-1 under the Investment Company Act of 1940, new Rule 206(4)-7 under the Investment Advisers Act, and amendments to Rule 204-2 under the Investment Advisers Act. The recommended proposals would require each investment company and investment adviser registered with the Commission to (i) adopt and implement policies and procedures reasonably designed to prevent violation of the federal securities laws, (ii) review those policies and procedures annually for their adequacy and the effectiveness of their implementation, and (iii) appoint a chief compliance officer to be responsible for administering the policies and procedures. The Commission also will consider a recommendation to seek comments on other possible roles for the private sector in overseeing compliance by funds and advisers with the federal securities laws. Specifically, the Commission will consider a recommendation to solicit comments on the following possible approaches towards enhanced private sector involvement: (i) periodic third-party compliance reviews of funds and advisers, (ii) an expansion of the scope of the fund audits performed by independent public accountants, (iii) the formation of one or more self-regulatory organizations, and (iv) a fidelity bonding requirement for advisers. FEE RATE ADVISORY #9 FOR FISCAL YEAR 2003 The continuing resolution funding the Securities and Exchange Commission for fiscal 2003 since Oct. 1, 2002 has been extended through Feb. 7, 2003. Therefore, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and information statements in corporate control transactions will remain at the current rate of $92.00 per million. The Section 6(b) rate is also the rate used to calculate the fees payable with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940. Five days after enactment of the Commission's regular appropriation, the fee rates for Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 will be reduced from $92.00 per million to $80.90 per million as previously announced. In addition, the Section 31 fee rate applicable to securities transactions on the exchanges and NASDAQ also will remain at the current rate of $30.10 per million. Thirty days after enactment of the Commission's regular appropriation, the fee rate for Exchange Act Section 31 transactions will be reduced to $25.20 per million as previously announced. The delayed effective dates for the fee rate reductions are statutory requirements over which the Commission has no discretion. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2003-18) TREASURY, OFHEO AND SEC RELEASE JOINT REPORT ON MORTGAGE-BACKED SECURITIES MARKETS The Department of the Treasury, the Office of Federal Housing Enterprise Oversight (OFHEO) and the Securities and Exchange Commission (SEC) today released a joint staff report on disclosure practices in the mortgage- backed securities (MBS) markets. The purpose of the report was to evaluate current disclosure practices and consider whether disclosure enhancements are desirable in assisting investors to make informed investment decisions. The report finds that additional disclosures in the MBS markets are desirable, feasible and would be useful for investors. To implement additional disclosures, the report encourages market participants to work together to reach a consensus on appropriate enhancements. The Treasury Department, OFHEO, and the SEC will continue to monitor and assess disclosure developments in the MBS markets. The report can be found at http://www.sec.gov/news/studies/mortgagebacked.htm. Contacts: Betsy Holahan, Treasury, 202-622-2960 John Heine, SEC, 202-942-0020 Stefanie Mullin, OFHEO, 202-414-6921 (Press Rel. 2003-19) RULES AND RELATED MATTERS PROXY VOTING BY INVESTMENT ADVISERS The Commission has adopted a new rule under the Investment Advisers Act of 1940, designed to ensure that investment advisers vote their clients' proxies in the clients' best interest. New rule 206(4)-6 requires investment advisers with proxy voting authority over client securities to adopt proxy voting policies and procedures, describe those policies and procedures to clients and provide clients with copies on request, and disclose how clients can obtain information about how their adviser voted their proxies. The Commission has also adopted amendments to its recordkeeping rules under the Investment Advisers Act; the amendments require advisers to keep certain records regarding client proxies. The new rule and amendments will be effective 30 days after publication in the Federal Register, and advisers must comply with the new rule and amendments by 180 days after publication in the Federal Register. By the compliance date, each adviser subject to the new rule must have adopted and implemented the required proxy voting policies and procedures, and must have provided clients with a description of those policies and procedures and disclosure of how the clients may obtain information from the adviser on how it voted with respect to their securities. FOR FURTHER INFORMATION CONTACT: Daniel S. Kahl, Senior Counsel, Jamey Basham, Special Counsel, or Jennifer L. Sawin, Assistant Director, at 202-942-0719 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549-0506. (Rel. IA-2106) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ARJUN SEKHRI On Jan. 31, 2003, an Administrative Law Judge issued an order entering default in the matter of Arjun Sekhri. The Order Instituting Proceedings (OIP) alleged that Arjun Sekhri had been civily and criminally convicted of violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 14e- 3. The order finds the allegations in the OIP to be true and, pursuant to Sections 15(b)(6) and 15B(c)(4) of the Exchange Act and Section 203(f) of the Investment Advisers Act of 1940, bars Arjun Sekhri from association with any securities broker or dealer, municipal securities dealer and investment adviser. (Rels. 34-47299; IA-2105; File No. 3- 10946) IN THE MATTER OF BRYAN BRUSH On Jan. 31, 2003, the Commission barred Bryan Brush from association with securities broker-dealers. The action was pursuant to an order instituting and simultaneously settling public administrative proceedings finding that Brush pled guilty to a misdemeanor. The misdemeanor involved Brush's receipt of something of value in consideration for not informing the authorities about a violation of the federal securities laws. In the related criminal matter, Brush was sentenced on Dec. 23, 2002, to probation and a $1,000 fine. (Rel. 34- 47303; File No. 3-11026) CEASE-AND-DESIST ORDER ENTERED AGAINST JOHN MILLING On Feb. 3, John L. Milling, Esq., an attorney, was ordered to cease and desist from causing any violation and any future violation of the securities registration provisions of the federal securities laws. The Order instituting and simultaneously settling these proceedings contains findings that, from at least 1999 through 2000, LinkNet Inc. and LinkNet de America Latina, Ltd. conducted unregistered public offerings of their common stock, raising approximately $17 million. The Order further finds that upon learning that LinkNet Inc. and LinkNet de America Latina, Ltd. were being investigated by the Commission, Milling recommended that the companies conduct a joint rescission offer, but advised the companies that the rescission offer not be registered with the Commission in order to expedite the rescission offer. The Order also finds that Milling drafted the joint rescission offer which was reviewed and edited by persons associated with the companies, and that the joint rescission offer was conducted in the Fall of 2000 without having been registered with the Commission. Based on this conduct, Milling consented to be ordered to cease and desist from causing any violation or any future violation of Sections 5(a) and 5(c) of the Securities Act of 1933. (Rel. 33-8189; File No. 3- 11027) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-ISE-2002-19) filed by the International Stock Exchange adopting rules to govern the operation of the intermarket linkage. Publication of the order in the Federal Register is expected during the week of Feb. 3. (Rel. 34- 47293) The Commission approved a proposed rule change (SR-PCX-2002-64) filed by the Pacific Exchange adopting rules to govern the operation of the intermarket linkage. Publication of the order in the Federal Register is expected during the week of Feb. 3. (Rel. 34-47295) The Commission approved an amended proposal by the National Association of Securities Dealers (SR-NASD-2002-174) relating to the Rule 6200 Series or the TRACE Rules. The proposal provides additional transparency in the corporate bond market by increasing the categories of TRACE-eligible securities for which transaction information is required to be disseminated. Publication of the order in the Federal Register is expected during the week of Feb. 3. (Rel. 34-47302) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-10) filed by the National Association of Securities Dealers to eliminate SuperMontage fees for cancellation and cancel/replace of quotes/orders has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the order in the Federal Register is expected during the week of Feb. 3. (Rel. 34-47300) ACCELERATED APPROVAL TO PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment Nos. 1, 2 and 3 thereto (SR-NASD-2002-173) submitted by the National Association of Securities Dealers to establish a 90-day pilot program to allow NNMS Order Entry Firms to enter non-marketable limit orders into SuperMontage using the SIZE MMID. Publication of the order in the Federal Register is expected during the week of Feb. 3. (Rel. 34-47301) CORRECTIONS AND ADDITIONS CORRECTIONS TO PRESS RELEASE 2003-17 In some copies of the Jan. 31st issue of the Digest, in our notice of Press Rel. 2003-17, errors were made in referencing the International Securities Exchange and the Pacific Exchange. 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 LAM PHARMACEUTICAL CORP, 800 SHEPPARD AVENUE WEST, TORONTO, A6, 00000, 4166333004 - 4,000,000 ($1,000,000.00) Other, (File 333-102853 - Jan. 31) (BR. 01) S-8 ARTESYN TECHNOLOGIES INC, 7900 GLADES RD STE 500, BOCA RATON, FL, 33434-4105, 5614511000 - 1,000,000 ($3,177,096.70) Equity, (File 333-102854 - Jan. 31) (BR. 36) SB-2 COM GUARD COM INC, 3838 CAMINO DEL RIO N, STE 333, SAN DIEGO, CA, 92108, 6192808000 - 0 ($6,333,499.20) Equity, (File 333-102855 - Jan. 31) (BR. 06) S-8 RHOMBIC CORP, 11811 NORTH TATUM BOULEVARD, #3031, PHOENIX, AZ, 85028, 8,000,000 ($480,000.00) Other, (File 333-102856 - Jan. 31) (BR. 09) S-8 EKNOWLEDGE GROUP INC, 24843 DEL PRADO #318, DANA POINT, CA, 92629, 9492489561 - 250,000 ($1,000,000.00) Equity, (File 333-102857 - Jan. 31) (BR. 09) S-3 REGIS CORP, 7201 METRO BLVD, MINNEAPOLIS, MN, 55439, 6129477000 - 0 ($8,673,073.90) Equity, (File 333-102858 - Jan. 31) (BR. 08) S-3 PRECISE SOFTWARE SOLUTIONS LTD, 1 HASHIKMA STREET P O BOX 88, SAVYON ISREAL 56518, 126,353 ($2,115,150.00) Equity, (File 333-102859 - Jan. 31) (BR. 03) S-8 TSAKOS ENERGY NAVIGATION LTD, 367 SYNGROU AVENUE, ATHENS, J3, 00000, 0 ($942,000.00) Equity, (File 333-102860 - Jan. 31) (BR. ) S-8 HOOVERS INC, 1033 LA POSADA DR, STE 250, AUSTIN, TX, 78752, 5123744500 - 0 ($1,059,000.00) Equity, (File 333-102862 - Jan. 31) (BR. 08) S-8 ENVIRONMENTAL REMEDIATION HOLDING CORP, 5444 WESTHEIMER SUITE 1570, HOUSTON, TX, 77056, 5018212222 - 0 ($25,758.00) Equity, (File 333-102868 - Jan. 31) (BR. 04) S-3 CREATIVE HOST SERVICES INC, 16955 VIA DEL CAMPO, SUITE 110, SAN DIEGO, CA, 92127, 8586757711 - 452,050 ($849,074.00) Equity, (File 333-102869 - Jan. 31) (BR. 05) S-8 INTERNATIONAL BUSINESS MACHINES CORP, NEW ORCHARD ROAD, ARMONK, NY, 10504, 9144991900 - 93,081 ($48,402.12) Equity, (File 333-102870 - Jan. 31) (BR. 03) S-8 HESKA CORP, 1613 PROSPECT PARKWAY, FORT COLLINS, CO, 80525, 9704937272 - 1,500,000 ($1,087,500.00) Equity, (File 333-102871 - Jan. 31) (BR. 01) S-8 INTERNATIONAL BUSINESS MACHINES CORP, NEW ORCHARD ROAD, ARMONK, NY, 10504, 9144991900 - 0 ($3,220,960,000.00) Equity, (File 333-102872 - Jan. 31) (BR. 03) S-4 KINDER MORGAN INC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 3039144752 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-102873 - Jan. 31) (BR. 02) S-3 KEY ENERGY SERVICES INC, TOW TOWER CENTER, 20TH FL, EAST BRUNSWICK, NJ, 08816, 9082474822 - 0 ($500,000,000.00) Other, (File 333-102874 - Jan. 31) (BR. 04) S-8 EURONET WORLDWIDE INC, HORVAT UTCA 14-24, BUDAPEST, K5, 1027, 36-1-224-1000 - 500,000 ($3,760,000.00) Equity, (File 333-102875 - Jan. 31) (BR. 07) S-8 IMPERIAL SUGAR CO /NEW/, ONE IMPERIAL SQ STE 200, P O BOX 9, SUGAR LAND, TX, 77487, 2814919181 - 0 ($7,641,975.92) Equity, (File 333-102876 - Jan. 31) (BR. 04) S-8 SOUTH FINANCIAL GROUP INC, 102 S MAIN ST, GREENVILLE, SC, 29601, 8642557900 - 1,450,000 ($29,014,500.00) Equity, (File 333-102877 - Jan. 31) (BR. 07) S-8 NEOWARE SYSTEMS INC, 400 FEHELEY DR, KING OF PRUSSIA, PA, 19406, 6102778300 - 500,000 ($7,825,000.00) Equity, (File 333-102878 - Jan. 31) (BR. 03) S-4 POCAHONTAS BANCORP INC, 203 WEST BROADWAY, POCAHONTAS, AR, 72455, 8708924595 - 290,200 ($2,841,590.00) Equity, (File 333-102880 - Jan. 31) (BR. 07) S-3 LENNOX INTERNATIONAL INC, 2140 LAKE PARK BLVD, RICHARDSON, TX, 75080, 972-497-5000 - 0 ($250,000,000.00) Other, (File 333-102881 - Jan. 31) (BR. 06) S-8 IDEX CORP /DE/, 630 DUNDEE RD STE 400, NORTHBROOK, IL, 60062, 8474987070 - 0 ($15,411,000.00) Equity, (File 333-102882 - Jan. 31) (BR. 36) S-4 COMCAST CORP, 0 ($1,872,128,250.00) Non-Convertible Debt, (File 333-102883 - Jan. 31) (BR. 37) S-4 CVS CORP, ONE CVS DR., WOONSOCKET, RI, 02895-, 4017651500 - 0 ($300,000,000.00) Face Amount Certificates, (File 333-102884 - Jan. 31) (BR. 01) S-4 BRICKMAN GROUP LTD, 375 SOUTH FLOWERS MILL ROAD, LANGHORNE, PA, 19047, 2157579400 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-102885 - Jan. 31) (BR. ) S-8 HANDSPRING INC, 189 BERNARDO AVNEUE, SUITE 300, MOUNTAIN VIEW, CA, 94043-5203, 6502305000 - 2,868,841 ($2,581,956.90) Equity, (File 333-102887 - Jan. 31) (BR. 03) S-3 INDYMAC MBS INC, 155 NORTH LAKE AVENUE, PASADENA, CA, 91101, 8006692300 - 0 ($8,348,750,512.00) Debt Convertible into Equity, (File 333-102888 - Jan. 31) (BR. 07) S-3 MAGNA ENTERTAINMENT CORP, 337 MAGNA DRIVE, AURORA, ONTARIO CANADA, A6, L4G 7K1, 9057262462 - 0 ($75,000,000.00) Debt Convertible into Equity, (File 333-102889 - Jan. 31) (BR. 05) S-1 DATATEC SYSTEMS INC, 23 MADISON RD, FAIRFIELD, NJ, 07004, 9738084000 - 499,284 ($806,504.34) Equity, (File 333-102890 - Jan. 31) (BR. 03) S-8 NIKU CORP, 305 MAIN ST, REDWOOD CITY, CA, 94063, 6502984600 - 525,750 ($1,876,051.25) Equity, (File 333-102891 - Jan. 31) (BR. 03) S-8 SMITH MIDLAND CORP, ROUTE 28, P O BOX 300, MIDLAND, VA, 22728, 5404393266 - 450,000 ($540,000.00) Equity, (File 333-102892 - Jan. 31) (BR. 06) F-3 ICON PLC /ADR/, BANK OF NEW YORK, 48 WALL ST, NEW YORK, NY, 10286, 3,450,000 ($98,428,500.00) ADRs/ADSs, (File 333-102893 - Jan. 31) (BR. ) S-8 NETFRAN DEVELOPMENT CORP, 2801 N E 208TH TERRACE 2ND FLOOR, MIAMI, FL, 33180, 3059314000 - 33,738 ($33.74) Equity, (File 333-102894 - Jan. 31) (BR. 04) S-3 SCOTTISH ANNUITY & LIFE HOLDINGS LTD, GRAND PAVILION COMMERCIAL CENTRE, 802 WEST BAY RD GEORGE TOWN GRAND CAYMAN, GRAND CAYMAN CAYMAN, E9, 00000, 3459492800 - 0 ($261,619,619.00) Debt Convertible into Equity, (File 333-102895 - Jan. 31) (BR. 01) S-3 RITA MEDICAL SYSTEMS INC, 967 N SHORELINE BLVD, MOUNTAIN VIEW, CA, 94013, 6503858500 - 0 ($10,493,173.89) Equity, (File 333-102896 - Jan. 31) (BR. 36) S-3 COMMERCE BANCSHARES INC /MO/, 1000 WALNUT, KANSAS CITY, MO, 64106, 8162342000 - 149,475 ($5,844,472.50) Equity, (File 333-102897 - Jan. 31) (BR. 07) S-8 AMERICAN ENERGY PRODUCTION INC, 310 KITTY HAWK ROAD, UNIVERSAL CITY, TX, 78148, 2105667327 - 25,000,000 ($625,000.00) Equity, (File 333-102898 - Jan. 31) (BR. 06) S-8 MERCATOR SOFTWARE INC, 45 DANBURY RD, WILTON, CT, 06897, 2037617600 - 0 ($4,467,132.45) Equity, (File 333-102899 - Jan. 31) (BR. 03) S-8 NEW VISUAL CORP, 5920 FRIARS ROAD, SUITE 104, SAN DIEGO, CA, 92108, 6196920333 - 6,000,000 ($2,370,000.00) Equity, (File 333-102900 - Jan. 31) (BR. 05) S-8 MERCATOR SOFTWARE INC, 45 DANBURY RD, WILTON, CT, 06897, 2037617600 - 0 ($1,100,222.25) Equity, (File 333-102901 - Jan. 31) (BR. 03) N-2 NUVEEN PREFERRED CONVERTIBLE INCOME FUND, 1,000 ($15,000.00) Equity, (File 333-102903 - Jan. 31) (BR. ) S-4 AMERIGAS PARTNERS LP, 460 N GULPH RD, BOX 965, VALLEY FORGE, PA, 19406, 6103377000 - 0 ($88,015,000.00) Non-Convertible Debt, (File 333-102904 - Jan. 31) (BR. 02) S-8 THINKPATH INC, 55 UNIVERSITY AVE STE 505, TORONTO, ONTARIO, CANADA, M5J 2H7, 4163648800 - 12,427,535 ($397,681.00) Other, (File 333-102905 - Jan. 31) (BR. 03) S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 - 0 ($9,987,600.00) Equity, (File 333-102907 - Jan. 31) (BR. 01) S-2 FIRST BANCSHARES INC /MS/, 6480 US HIGHWAY 98 WEST, SUITE A, HATTIESBURG, MS, 39402, 6012688998 - 45,000 ($787,500.00) Equity, (File 333-102908 - Jan. 31) (BR. 07) S-3 PACIFICARE HEALTH SYSTEMS INC /DE/, 3120 LAKE CENTER DRIVE, SANTA ANA, CA, 92704, 7148255200 - 0 ($135,000,000.00) Debt Convertible into Equity, (File 333-102909 - Jan. 31) (BR. 01) S-3 SIMPSON MANUFACTURING CO INC /CA/, 4120 DUBLILN BLVD STE 400, DUBLIN, CA, 94568, 9255609000 - 0 ($66,000,000.00) Equity, (File 333-102910 - Jan. 31) (BR. 06) S-8 GILEAD SCIENCES INC, 333 LAKESIDE DR, FOSTER CITY, CA, 94404, 6505743000 - 0 ($69,456,633.00) Equity, (File 333-102911 - Jan. 31) (BR. 01) S-8 GILEAD SCIENCES INC, 333 LAKESIDE DR, FOSTER CITY, CA, 94404, 6505743000 - 0 ($231,528,000.00) Equity, (File 333-102912 - Jan. 31) (BR. 01) SB-2 HIV VAC INC, 1608 ST GREGORY, SUITE B100, LAS VEGAS, NV, 89117, 7028665834 - 0 ($3,468,000.00) Equity, (File 333-102913 - Jan. 31) (BR. 01) S-8 PROVIDENTIAL HOLDINGS INC, 7145960244 - 5,560,000 ($383,640.00) Equity, (File 333-102914 - Jan. 31) (BR. 08) S-8 NEOFORMA INC, 3061 ZANKER ROAD, SAN JOSE, CA, 95134, 4086545700 - 0 ($9,523,250.00) Equity, (File 333-102915 - Jan. 31) (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 ------------------------------------------------------------------------------------ 24/7 REAL MEDIA INC DE X X 01/29/03 ACCESSPOINT CORP /NV/ NV X 01/28/03 ACCREDITED HOME LENDERS ACCREDITED MO DE X 12/26/02 AMEND ADVANCE AUTO PARTS INC DE X X 01/31/03 ADVANCED PHOTONIX INC DE X X 01/17/03 AES CORPORATION DE X 01/31/03 AGERE SYSTEMS INC DE X X 01/21/03 AGL RESOURCES INC GA X 01/31/03 AGL RESOURCES INC GA X 01/31/03 AGL RESOURCES INC GA X 01/31/03 AGL RESOURCES INC GA X 01/31/03 AK STEEL HOLDING CORP DE X X 01/30/03 ALLIANCE BANCORP OF NEW ENGLAND INC DE X X 01/31/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 01/30/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 01/30/03 ALLIANCE PHARMACEUTICAL CORP NY X X 01/27/03 ALTERRA HEALTHCARE CORP DE X 01/31/03 AMEND AMEDISYS INC DE X X 01/30/03 AMEN PROPERTIES INC DE X X 01/31/03 AMEREN CORP MO X X X 01/31/03 AMERICAN COMMERCIAL LINES LLC DE X X X 01/31/03 AMERICAN STANDARD COMPANIES INC DE X X 01/30/03 AMERIQUEST MORT SEC INC ASS BK PAS T DE X 08/26/02 AMEND AMERIQUEST MORTGAGE SECURITIES INC AS DE X 12/26/02 AMEND AMETEK INC/ DE X X 01/31/03 AMKOR TECHNOLOGY INC DE X X 01/29/03 ANACOMP INC IN X X 01/31/03 ANADARKO PETROLEUM CORP DE X X 01/31/03 ANC RENTAL CORP DE X X 01/30/03 APPLIED MATERIALS INC /DE DC X X 01/31/03 ARIES VENTURES INC NV X 01/28/03 ASIA GLOBAL CROSSING LTD X X 01/30/03 ASIA PREMIUM TELEVISION GROUP NV X X 01/29/03 AMEND ATLANTIC COAST AIRLINES HOLDINGS INC DE X 01/31/03 AUTOBYTEL INC DE X X 01/30/03 AVATECH SOLUTIONS INC DE X X X X 11/20/02 AVATECH SOLUTIONS INC DE X 01/31/03 AVAYA INC DE X X 01/30/03 AVON PRODUCTS INC NY X 01/31/03 BANKRATE INC FL X X 01/29/03 BAY VIEW CAPITAL CORP DE X X 01/28/03 BEARINGPOINT INC DE X 01/30/03 BIOGEN INC MA X X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 01/31/03 BOMBARDIER CREDIT RECEIVABLES CORP SE DE X 01/31/03 C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 01/27/03 CADIZ INC DE X X 01/30/03 CENTRAL GARDEN & PET COMPANY DE X X 01/30/03 CENTURYTEL INC LA X 12/31/02 CFS BANCORP INC DE X X 01/30/03 CHEVRONTEXACO CORP DE X X 01/31/03 CILCORP INC IL X X X 01/31/03 CINERGY CORP DE X X 01/31/03 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 01/27/03 CITIGROUP INC DE X 01/24/03 CITY NATIONAL CORP DE X X 01/31/03 CNET NETWORKS INC DE X 12/31/02 COMMERCE ONE INC / DE/ DE X X 01/30/03 COMMUNITRONICS OF AMERICA INC UT X 01/31/03 CONCURRENT COMPUTER CORP/DE DE X X 01/29/03 CORTLAND BANCORP INC OH X X 01/31/03 CRAY INC WA X X 01/30/03 CREDIT SUISSE FIRST BOSTON MOR SEC CO DE X X 01/27/03 CREDIT SUISSE FIRST BOSTON MORT ACCEP DE X X 01/27/03 CREDIT SUISSE FIRST BOSTON MORT BACK DE X X 01/27/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/31/03 CREDIT SUISSE FST BOS MOR SEC CSFB MO DE X X 01/27/03 CREE INC NC X 01/30/03 CROWN CORK & SEAL CO INC PA X X 01/29/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 01/22/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 01/27/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 01/27/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 01/27/03 CSX CORP VA X X 01/30/03 CV THERAPEUTICS INC DE X X 08/07/00 CWABS INC DE X X 12/15/02 CWMBS INC DE X 01/31/03 CWMBS INC DE X X 01/30/03 DANIELSON HOLDING CORP DE X X 01/31/03 DIGITAL LIGHTWAVE INC DE X 01/30/03 DIGITAS INC DE X X 01/29/03 DISCOVERY INVESTMENTS INC NV X 01/31/03 DNB FINANCIAL CORP /PA/ PA X X 01/31/03 DTOMI INC NV X X 01/31/03 AMEND DYNEGY HOLDINGS INC DE X X 01/31/03 DYNEGY INC /IL/ IL X X 01/31/03 EAGLE FOOD CENTERS INC DE X 01/29/03 EAGLE PICHER HOLDINGS INC DE X 01/31/03 EARTHLINK INC DE X X 01/29/03 EAST COAST POWER LLC DE X X 01/29/03 EAST TEXAS FINANCIAL SERVICES INC DE X X 01/31/03 EMCEE BROADCAST PRODUCTS INC DE X 01/31/03 ENERGY EAST CORP NY X X 01/31/03 ENVIROGEN INC DE X X 01/30/03 EQUITY ONE ABS INC DE X X 01/29/03 FEDERAL MOGUL CORP MI X 01/30/03 FEDERAL MOGUL CORP MI X 01/30/03 FGI GROUP INC DE X X 01/30/03 FIFTH THIRD BANCORP OH X 01/31/03 FIRST CITIZENS BANCORPORATION OF SOUT SC X X 01/29/03 FORTUNE ENTERTAINMENT CORP /DE/ DE X 01/27/03 FRANKLIN BANCORP INC MI X X 01/28/03 FRISBY TECHNOLOGIES INC DE X X X 01/16/03 GABELLI ASSET MANAGEMENT INC NY X X 01/31/03 GERMAN AMERICAN BANCORP IN X X 01/30/03 GREAT LAKES REIT MD X X 01/16/03 GRIC COMMUNICATIONS INC CA X X 01/29/03 GS MORTGAGE SECURITIES CORP DE X X 01/30/03 HANDSPRING INC CA X X 01/16/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/31/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/31/03 HEALTH MANAGEMENT SYSTEMS INC NY X X 01/31/03 HEALTHCARE REALTY TRUST INC MD X X 01/30/03 HOMASOTE CO NJ X 12/31/02 HONEYWELL INTERNATIONAL INC DE X 01/31/03 IMPAC MORTGAGE HOLDINGS INC MD X X X 01/29/03 INDIANA GAS CO INC IN X 12/31/02 INDIGO ENERGY INC DE X 01/15/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 11/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 07/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 08/26/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 09/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 10/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 11/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 12/26/02 AMEND INKTOMI CORP DE X X 09/06/02 AMEND INTERNATIONAL PAPER CO /NEW/ NY X X X 01/30/03 INTERNATIONAL TOTAL SERVICES INC OH X X 01/24/03 INVESTORS REAL ESTATE TRUST ND X 01/31/03 JANUS CAPITAL GROUP INC DE X X 01/30/03 KEY ENERGY SERVICES INC MD X X 01/31/03 KID CASTLE EDUCATIONAL CORP FL X X X 10/01/02 KRISPY KREME DOUGHNUTS INC X X 01/23/03 LANTRONIX INC DE X X 01/31/03 LEHMAN ABS CORP DE X 01/31/03 LEVI STRAUSS & CO DE X 01/31/03 LEXINGTON PRECISION CORP DE X X 01/31/03 LIFEPOINT INC DE X X 01/31/03 LIGHTPATH TECHNOLOGIES INC DE X X 01/30/03 LONG BEACH SECURITIES CORP DE X X 01/30/03 LORAL SPACE & COMMUNICATIONS LTD D0 X 01/27/03 LUMMI DEVELOPMENT INC DE X X 12/14/01 AMEND MAII HOLDINGS INC TX X X 01/21/03 MARATHON OIL CORP DE X X 01/31/03 MEDICAL STAFFING NETWORK HOLDINGS INC DE X X 01/31/03 MEDIMMUNE INC /DE DE X 01/31/03 MEMBERWORKS INC DE X X 01/30/03 MERCK & CO INC NJ X 01/28/03 AMEND MERRILL LYNCH & CO INC DE X X 01/31/03 MERRILL LYNCH & CO INC DE X X 01/31/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 01/31/03 METAL MANAGEMENT INC DE X X 01/31/03 METASOLV INC DE X X 01/17/03 METATEC INTERNATIONAL INC OH X X 01/14/03 MICROISLET INC NV X 01/31/03 MICROS SYSTEMS INC MD X 01/30/03 MICROSTRATEGY INC DE X 01/30/03 MIDWAY GAMES INC DE X 01/31/03 MILLENNIUM CHEMICALS INC DE X X 01/30/03 MILLENNIUM CHEMICALS INC DE X X 01/31/03 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 08/26/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 08/26/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 09/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 10/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 11/26/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X 12/26/02 AMEND MRO SOFTWARE INC MA X X 01/17/03 MS STRUCTURED ASSET CORP DE X 01/31/03 MULLER MEDIA INC NV X X 01/21/03 AMEND NABORS INDUSTRIES LTD X X 01/30/03 NABORS INDUSTRIES LTD X X 01/30/03 AMEND NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 01/15/03 NATIONAL CITY CORP DE X 01/31/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 01/15/03 NATIONAL STEEL CORP DE X X 01/30/03 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 01/31/03 NEOWARE SYSTEMS INC DE X X 01/29/03 NEW CENTURY MORTGAGE SECURITIES INC DE X X 01/30/03 NEW VALLEY CORP DE X X 01/30/03 NEW YORK COMMUNITY BANCORP INC DE X X 01/31/03 NIC INC CO X X 01/30/03 NL INDUSTRIES INC NJ X X 01/31/03 OGE ENERGY CORP OK X 01/31/03 OKLAHOMA GAS & ELECTRIC CO OK X 01/31/03 ONTRO INC CA X 01/22/03 OPTION ONE MORT ACCEPT CORP ASSET BAC DE X X 01/29/03 ORASURE TECHNOLOGIES INC DE X 01/31/03 PAN PACIFIC RETAIL PROPERTIES INC MD X X 01/17/03 PARK PHARMACY CORP CO X X 01/20/03 PATHMARK STORES INC DE X X 01/28/03 PAVILION BANCORP INC X 01/31/03 PAXAR CORP NY X X 01/30/03 PEABODY ENERGY CORP DE X X 01/30/03 PENTAIR INC MN X 01/30/03 PERFORMANCE TECHNOLOGIES INC \DE\ DE X 01/31/03 PNM RESOURCES NM X 01/31/03 POLARIS INDUSTRIES INC/MN MN X X 01/31/03 POLYONE CORP X X 01/30/03 POTLATCH CORP DE X 01/30/03 PRAECIS PHARMACEUTICALS INC DE X X 01/31/03 PRIMAL SOLUTIONS INC DE X X 01/31/03 PRIVATE BUSINESS INC TN X X 01/31/03 PROBEX CORP CO X 01/31/03 PYR ENERGY CORP DE X X 01/30/03 RENAISSANCERE HOLDINGS LTD X X 01/28/03 RENAL CARE GROUP INC DE X X 01/31/03 ROLLINS INC DE X 01/28/03 ROLLINS INC DE X 01/28/03 SALIX PHARMACEUTICALS LTD X X 01/30/03 SCHWAB CHARLES CORP DE X 01/31/03 SHIRE PHARMACEUTICALS GROUP PLC X X 01/31/03 SILVER STAR FOODS INC /NY/ NY X 01/23/03 SOLUTIA INC DE X X 01/31/03 SOUTHERN INDIANA GAS & ELECTRIC CO IN X 12/31/02 SPORTSLINE COM INC DE X X 01/30/03 STRUCTURED ASSET SEC CORP MORTGAGE PA DE X X 01/27/03 STRUCTURED PRODUCTS CORP DE X 01/30/03 STRUCTURED PRODUCTS CORP DE X X 01/15/03 TALX CORP MO X X 01/29/03 TELECOMMUNICATION PRODUCTS INC CO X X 01/25/03 TEMECULA VALLEY BANCORP INC DE X 01/30/03 TEMTEX INDUSTRIES INC DE X X 01/23/03 TENET HEALTHCARE CORP NV X X 01/28/03 TOYOTA MOTOR CREDIT CORP CA X X 01/15/03 TOYOTA MOTOR CREDIT CORP CA X X 01/15/03 TYCO INTERNATIONAL LTD /BER/ D0 X 01/31/03 UNIROYAL TECHNOLOGY CORP DE X 11/24/02 UNITED FIDELITY AUTO RECEIVABLES TRUS DE X X 11/15/02 AMEND UNITED STATIONERS INC DE X X 01/30/03 URS CORP /NEW/ DE X 01/28/03 US AIRWAYS GROUP INC DE X X 01/30/03 VALENTIS INC DE X X 01/31/03 VECTREN CORP IN X 12/31/02 VECTREN UTILITY HOLDINGS INC IN X 12/31/02 VIDEO NETWORK COMMUNICATIONS INC DE X 01/27/03 VILLAGEWORLD COM INC NY X 12/28/02 VITALSTREAM HOLDINGS INC NV X X 01/16/03 AMEND VIXEL CORP DE X 01/30/03 WALT DISNEY CO/ DE X X 01/30/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 01/30/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 01/29/03 WELLS REAL ESTATE FUND I GA X 01/17/03 WENDYS INTERNATIONAL INC OH X X 01/31/03 WESTBOROUGH FINANCIAL SERVICES INC MA X X 01/30/03 WESTSPHERE ASSET CORP INC CO X 01/30/03 XATA CORP /MN/ MN X 01/30/03 YARDVILLE NATIONAL BANCORP NJ X 10/21/02 AMEND