SEC NEWS DIGEST Issue 2003-55 March 24, 2003 COMMISSION ANNOUNCEMENTS COMMISSION PROPOSES AMENDMENTS REGARDING CEO, CFO CERTIFICATION UNDER SARBANES-OXLEY On March 21, the Commission proposed amendments to its rules and forms that would require companies to provide the corporate officer certifications required by Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 as exhibits to the periodic reports to which they relate. The Commission also is publishing interim guidance regarding the filing procedures for the certifications required by Section 906, pending the adoption of final rules. The purpose of the proposed amendments is to make it easier for investors to access the certifications more efficiently. In addition, the Commission staff, and, in the case of the Section 906 certifications, the Department of Justice, would be able to search a periodic report more expeditiously to verify that the required certifications have been included in the report and to review the certifications. Section 302 of the Sarbanes-Oxley Act requires the principal executive and financial officers of a company filing periodic reports to certify in each quarterly and annual report, among other things, that the report does not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in light of the circumstances under which such statements were made, not misleading, and the financial statements, and other financial information included in the report, fairly present in all material respects the financial condition and results of operations of the company. Section 906 of the Sarbanes-Oxley Act adds a provision to the U.S. criminal laws that contains a separate certification requirement. This provision expressly created new criminal penalties for a knowingly or willfully false certification. The amendments proposed today affect rules and forms under the Securities Exchange Act of 1934 and the Investment Company Act of 1940. The Commission invites public comment on the proposed amendments. Comments should be received within 45 days of publication of the proposed amendments in the Federal Register. For further information, please contact Mark A. Borges or Andrew Thorpe, Special Counsel, Office of Rulemaking, Division of Corporation Finance, at (202) 942-2910, or Carol McGee or Jonathan Ingram, Special Counsel, Office of Chief Counsel, Division of Corporation Finance, at (202) 942-2900, or, with respect to investment companies, Christian Broadbent, Senior Counsel, Office of Disclosure Regulation, Division of Investment Management, at (202) 942-0721. (Press Rel. 2003-39) ENFORCEMENT PROCEEDINGS COMMISSION SANCTIONS THE CITY OF MIAMI, FLORIDA On March 21, the Commission ordered the City of Miami, Florida to cease and desist from violations of the antifraud provisions. The Commission found that Miami was at least reckless in making material misstatements and omissions in its fiscal year (FY) 1994 Comprehensive Annual Financial Report and the Official Statements for three 1995 bond offerings. The Commission found, among other things, that the financial statements included in the CAFR and the Official Statements for the bond offerings gave the misleading impression that initiatives undertaken by Miami would enable the City, which had experienced severe cash shortfalls over several years, to finish FY 1995 in a stronger financial position than in FY 1994; and that a summary of Miami's $222 million FY 1995 budget contained in the Official Statements misrepresented that the City would have a balanced budget when, in fact, Miami knew that it faced at least a $12 million deficit. The Commission repeated its long held position that "primary responsibility for the accuracy of information filed with the Commission and disseminated among investors rests upon the municipality." (Rels. 33-8213; 34-47552; File No. 3- 10022) COMMISSION SUES OFFICERS OF NANO WORLD FOR FRAUDULENT PRESS RELEASES The Commission filed an injunctive action against Robert Papalia and David Hunter, of Vancouver, British Columbia, Canada, alleging they issued false press releases about Nano World Projects Corporation's business dealings with Fiat Group and other companies, and that Papalia caused the company to file a false Form 8-K about the acquisition of a company and to fail to file periodic reports. The Commission alleged that Papalia and Hunter violated the anti-fraud provisions of Sections 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and that Papalia also aided and abetted Nano World's violations of the periodic reporting provisions of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13. The Commission is seeking an injunction, civil penalties, and an officer and director bar. A trial will be scheduled to determine whether the Commission's allegations are true and what if any sanctions should be imposed. In a separate action, the Commission instituted administrative proceedings pursuant to Section 12(j) of the Securities Act against Nano World to determine whether the registration of its securities should be revoked or suspended in light of the allegations that it submitted a false Form 8-K and failed to make quarterly and annual filings (See Release No. 34-47512). [SEC v. Robert Papalia and David Hunter, No. CV- 03-683, WD Wash.] (LR-18047) INVESTMENT COMPANY ACT RELEASES EATON VANCE VARIABLE TRUST, ET AL. An order has been issued on an application filed by Eaton Vance Variable Trust (the Trust) and Eaton Vance Management (together with any successor, EVM), OrbiMed Advisors, LLC, (OrbiMed) and Lloyd George Investment Management (Bermuda) Limited (Lloyd George) granting relief under Section 6(c) of the Investment Company Act from Sections 9(a), 13(a), 15(a), and 15(b) of the Act and Rules 6e-2(b)(15) and 6e- 3(T)(b)(15) thereunder to permit shares of the Trust and shares of any other investment company or portfolio that is designed to fund insurance products and for which EVM, OrbiMed, Lloyd George or any of their affiliates may serve in the future as investment adviser, manager, principal underwriter, sponsor, or administrator to be sold to and held by: (i) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (ii) qualified pension and retirement plans outside of the separate account context; (iii) separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act; (iv) EVM or certain related corporations; and (v) any other person permitted to hold shares of the Trusts pursuant to Treasury Regulation 1.817-5, including the general account of any life insurance company whose separate account holds, or will hold, shares of the Trusts or certain related corporations. (Rel. IC-25966 - March 20) SAFECO COMMON STOCK TRUST AND SAFECO ASSET MANAGEMENT CO. A notice has been issued giving interested persons until April 15, 2003, to request a hearing on an application filed by SAFECO Common Stock Trust and SAFECO Asset Management Co. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f- 2 under the Act. The order would permit applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-25968 - March 21) iSHARES TRUST, ET AL. A notice has been issued giving interested persons until April 14, 2003, to request a hearing on an application filed by iShares Trust, et al. for an order exempting applicants from Section 12(d)(1)(A) and (B) of the Investment Company Act and from Section 17(a) of the Act. The order would permit certain registered management investment companies and unit investment trusts to acquire shares of other registered open-end management investment companies and unit investment trusts that operate as exchange-traded funds and are outside the same group of investment companies. The order also would amend a condition in two prior orders. (Rel. IC-25969 - March 21) HOLDING COMPANY ACT RELEASES ENTERGY CORPORATION An order has been issued authorizing the solicitation of proxies by Entergy Corporation, a registered holding company under the Public Utility Holding Company Act. (Rel. 35-27660) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx- 2003-11) relating to the delivery of Immediate or Cancel Orders via AUTOM and an increase in the AUTOM order delivery size for off-floor broker-dealer orders has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47543) A proposed rule change filed by the Chicago Board Options Exchange governing the settlement procedures for CBOE-traded index options (SR- CBOE-2003-13) has become immediately effective pursuant to Rule 19b-4(f)(6) under the Securities and Exchange Act of 1934. (Rel. 34- 47548) A proposed rule change filed by the Pacific Exchange (SR-PCX-2003-04) to amend its fee schedule for services provided to ETP Holders and Sponsored Participants that trade Nasdaq securities on the Archipelago Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34- 47549) A proposed rule change (SR-NASD-2003-39) and Amendment No. 1 thereto filed by the National Association of Securities Dealers relating to anti- internalization qualifier values in SuperMontage has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47554) A proposed rule change (NASD-2003-36) filed by the National Association of Securities Dealers relating to amendments to NASD Rule 2340 to remove outdated references to Rule 15c3-1 under the Securities Exchange Act of 1934 has become effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47558) PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 41) under Rule 19b-4 of the Securities Exchange Act to amend the Exchange's Specialist Combination Review Policy. Publication of the proposal is expected in the Federal Register during the week of March 24. (Rel. 34-47547) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval of a proposed rule change (SR-NASD-2003-45) submitted by the National Association of Securities Dealers pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 establishing, on a permanent basis, margin requirements for security futures contracts pursuant to NASD Rule 2520. (Rel. 34-47550) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying securities of the following companies, effective at the opening of business on March 24: Beverly Enterprises, Inc. (BEV) Comdisco, Inc. (CDSOQ) EMCORE Corporation (EMKR) Mesaba Holdings, Inc. (MAIR) Sirenza Microdevices, Inc. (formerly Stanford Microdevices, Inc. (SMDI) (Rel. 34-47555) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.01 par value of Epicedge, Inc., effective at the opening of business on March 24. (Rel. 34-47556) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until April 16, 2003, to comment on the application of Banco Nacional De Comercio Exterior, S.N.C. to withdraw its 7¬% Global Notes (due 2004) from listing and registration on the New York Stock Exchange. (Rel. 34-47557) 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 NETSCREEN TECHNOLOGIES INC, 350 OAKMEAD PARKWAY, SUNNYVALE, CA, 94085, (408) 730-6000 - 0 ($25,500,767.00) Equity, (File 333-103953 - Mar. 21) (BR. 08) S-4 ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404, 6503573500 - 0 ($1.00) Equity, (File 333-103954 - Mar. 21) (BR. 03) S-8 NETSCREEN TECHNOLOGIES INC, 350 OAKMEAD PARKWAY, SUNNYVALE, CA, 94085, (408) 730-6000 - 0 ($64,461,069.00) Equity, (File 333-103955 - Mar. 21) (BR. 08) S-8 UBS AG, BAHNHOFSTRASSE, ZURICH, V8, 45, 35,000,000 ($1,551,375,000.00) Equity, (File 333-103956 - Mar. 21) (BR. 07) S-8 IMMUNE RESPONSE CORP, 5935 DARWIN COURT, CARLSBAD, CA, 92008, 6194317080 - 4,000,000 ($4,865,000.00) Equity, (File 333-103957 - Mar. 21) (BR. 01) S-3 ANTARES PHARMA INC, 707 EAGLEVIEW BOULEVARD, SUITE 414, EXTON, PA, 19341, 610-458-6200 - 4,511,518 ($2,391,105.00) Equity, (File 333-103958 - Mar. 21) (BR. 36) S-4 NDCHEALTH CORP, NDCHEALTH CORPORATION, NDC PLAZA, ATLANTA, GA, 30329, 4047282000 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-103959 - Mar. 21) (BR. 08) S-1 JEFFERSON BANCSHARES INC, JEFFERSON FEDERAL SAVINGS & LOAN ASSOC, 120 EVANS AVENUE, MORRISTOWN, TN, 37814, 4235868421 - 83,765,573 ($83,765,730.00) Equity, (File 333-103961 - Mar. 21) (BR. ) S-8 BANK JOS A CLOTHIERS INC /DE/, 500 HANOVER PIKE, HAMPSTEAD, MD, 21074, 4102392700 - 400,000 ($9,434,000.00) Equity, (File 333-103962 - Mar. 21) (BR. 02) S-8 HYPERFEED TECHNOLOGIES INC, 300 S WACKER DR, STE 300, CHICAGO, IL, 60606, 3129132848 - 0 ($270,000.00) Equity, (File 333-103963 - Mar. 21) (BR. 07) S-8 MILITARY RESALE GROUP INC, 2180 EXECUTIVE CIRCLE, COLORADO SPRINGS, CO, 80906, 7193914564 - 900,000 ($243,000.00) Equity, (File 333-103964 - Mar. 21) (BR. 09) S-3 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 10,000,000 ($5,850,000.00) Equity, (File 333-103965 - Mar. 21) (BR. 01) S-3 CIT GROUP INC, 1 CIT DRIVE, LIVINGSTON, NJ, 07039, 9737405000 - 1,000,000 ($1,000,000.00) Non-Convertible Debt, (File 333-103966 - Mar. 21) (BR. 07) S-8 ODYSSEY RE HOLDINGS CORP, 140 BROADWAY 39TH FL, NEW YORK, NY, 10005, 2129784700 - 1,500,000 ($26,461,670.00) Equity, (File 333-103969 - Mar. 21) (BR. 01) S-8 MGI PHARMA INC, 5775 WEST OLD SHAKOPEE RD, SUITE 100, BLOOMINGTON, MN, 55437, 952-346-4700 - 0 ($5,947,500.00) Equity, (File 333-103970 - Mar. 21) (BR. 01) S-3 CHICAGO BRIDGE & IRON CO N V, P O BOX 74658, 1075 AD AMSTERDAM, P8, 00000, 7,021,357 ($113,254,488.41) Equity, (File 333-103972 - Mar. 21) (BR. 06) S-3 CAROLINA POWER & LIGHT CO, 411 FAYETTEVILLE ST, RALEIGH, NC, 27601, 9195466111 - 1,000,000 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-103973 - Mar. 21) (BR. 02) S-3 FLORIDA POWER CORP /, 3201 34TH ST SOUTH, ONE PROGRESS PLAZA, ST PETERSBURG, FL, 33701, 7278205151 - 0 ($1,000,000,000.00) Debt Convertible into Equity, (File 333-103974 - Mar. 21) (BR. 02) S-8 CRYSTAL GRAPHITE CORP, 1750 999 WEST HASTINGS STREET, VANCOUVER BC, A1, 00000, 6046813060 - 2,265,000 ($697,650.00) Equity, (File 333-103975 - Mar. 21) (BR. 04) S-8 SAFEGUARD SCIENTIFICS INC ET AL, 435 DEVON PARK DR, 800 THE SAFEGUARD BLDG, WAYNE, PA, 19087, 6102930600 - 1,200,000 ($1,576,257.00) Equity, (File 333-103976 - Mar. 21) (BR. 08) S-8 MONTPELIER RE HOLDINGS LTD, MINTFLOWER PLACE, 8 PAR-LA-VILLE ROAD, HAMILTON HM 08, B0, 00000, 441 296 5550 - 0 ($71,973,750.00) Equity, (File 333-103977 - Mar. 21) (BR. 01) 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 ------------------------------------------------------------------------------------ ACTIVE IQ TECHNOLOGIES INC CO X X X 03/14/03 ADELPHIA COMMUNICATIONS CORP DE X X 03/17/03 AFG INVESTMENT TRUST C DE X X 03/14/03 AFG INVESTMENT TRUST D DE X X 03/14/03 AGROCAN CORP DE X 03/21/03 ALPHA HOLDING INC/ DE DE X X X X 03/02/02 AMERICAN INSURED MORTGAGE INVESTORS CA X 03/31/03 AMERICAN STONE INDUSTRIES INC DE X X 03/21/03 ANDRX CORP /DE/ DE X X 03/20/03 APPLE COMPUTER INC CA X X 03/19/03 ARBOR INC NV X 03/20/03 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE X X 03/18/03 ARTISOFT INC DE X X 03/21/03 ASP VENTURES CORP X X 03/19/03 ATA HOLDINGS CORP IN X X 03/21/03 AVATEX CORP DE X X 03/20/03 B COM INC NV X 03/31/02 BALLY TOTAL FITNESS HOLDING CORP DE X X 03/19/03 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 03/20/03 BANK OF GRANITE CORP DE X X 03/21/03 BARRETT BUSINESS SERVICES INC MD X X X 03/19/03 BLACK HILLS CORP /SD/ SD X X X 03/14/03 BNP RESIDENTIAL PROPERTIES INC MD X 03/21/03 CADIZ INC DE X X 03/21/03 CARNIVAL CORP DE X X 02/28/03 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X 03/21/03 CERTEGY INC GA X X 03/21/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X X 03/19/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X X 03/19/03 CIRTRAN CORP NV X 12/30/02 AMEND CITIBANK SOUTH DAKOTA N A DE X 02/25/03 CITIBANK SOUTH DAKOTA N A DE X 02/25/03 CITIGROUP INC DE X 03/13/03 COAST CASINOS INC NV X 03/21/03 COAST HOTELS & CASINOS INC NV X 03/21/03 COMMUNITY VALLEY BANCORP CA X X 03/21/03 COMSTOCK RESOURCES INC NV X 03/21/03 CONCURRENT COMPUTER CORP/DE DE X X 03/18/03 CONSECO INC IN X X 03/18/03 COURIER CORP MA X X 03/19/03 CREDIT SUISSE FIRST BOSTON USA INC DE X 03/20/03 DATA TRANSLATION INC /NEW/ DE X X 03/21/03 DELCO REMY INTERNATIONAL INC DE X 03/21/03 DELTA MUTUAL INC X X 03/18/03 DENTAL RESOURCES INC MN X X 03/20/03 DEVELOPERS DIVERSIFIED REALTY CORP OH X X 03/19/03 DIGEX INC/DE DE X X 03/19/03 DISCOVER CARD MASTER TRUST I DE X X 03/21/03 DISCOVER CARD MASTER TRUST I DE X X 03/21/03 DRESSER INC DE X X 03/07/03 DSI TOYS INC TX X X 03/18/03 DVI INC DE X X 03/21/03 EASTGROUP PROPERTIES INC MD X X 12/31/02 EATERIES INC OK X 12/29/02 EATERIES INC OK X 12/29/02 EDO CORP NY X X 03/10/03 EL PASO CORP/DE DE X X 03/21/03 EL PASO NATURAL GAS CO DE X X 03/21/03 ELECTRO SCIENTIFIC INDUSTRIES INC OR X X 03/20/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X X 03/21/03 ENERGY EXPLORATION TECHNOLOGIES / A0 X 03/18/03 ESB FINANCIAL CORP PA X X 03/19/03 EXEGENICS INC DE X X 03/20/03 FASHIONMALL COM INC DE X X 03/21/03 FEDERATED PREMIER INTERMEDIATE MUNICI DE X 03/18/03 FEDERATED PREMIER MUNICIPAL INCOME FU DE X 03/18/03 FIRST COMMUNITY CORP /SC/ SC X 03/21/03 FIRST NATIONAL LINCOLN CORP /ME/ ME X 03/21/03 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 02/18/03 FRESH CHOICE INC DE X X 03/21/03 GENERAL DYNAMICS CORP DE X X 03/21/03 GERMAN AMERICAN BANCORP IN X X 03/21/03 GMAC EDUCATION LOAN FUNDING TRUST I DE X X 03/20/03 HANCOCK JOHN FINANCIAL SERVICES INC X 03/20/03 HAWAIIAN HOLDINGS INC DE X X X X 03/21/03 HEALTHCARE NETWORK SOLUTIONS INC DE X X X 03/19/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X 11/25/02 AMEND HUAYANG INTERNATIONAL HOLDINGS INC NV X X 03/01/03 AMEND INDUSTRIAL DISTRIBUTION GROUP INC DE X 03/21/03 INDUSTRIES INTERNATIONAL INC NV X 03/21/03 INDYMAC MBS INC RES ASSET SEC TRUST 2 X X 11/26/02 KAHALA CORP/ FL X X 03/21/03 KELLY SERVICES INC DE X 03/21/03 LASALLE RE HOLDINGS LTD X X 03/20/03 LASER MORTGAGE MANAGEMENT INC DE X X 03/20/03 LEGEND INTERNATIONAL HOLDINGS INC DE X X 03/13/03 LEHMAN ABS CORP BOEING NOTE BACKED SE DE X X 03/21/03 LEHMAN BROTHERS HOLDINGS INC DE X 03/21/03 LEVCOR INTERNATIONAL INC DE X X 01/06/03 AMEND LEXINGTON B & L FINANCIAL CORP MO X X 03/21/03 LINCORP HOLDINGS INC DE X 03/05/03 LNR PROPERTY CORP DE X X 03/20/03 LOCAL FINANCIAL CORP /NV DE X X 03/21/03 MAIL WELL INC CO X 03/20/03 MAKE YOUR MOVE INC NV X 03/21/03 MANGOSOFT INC NV X X 03/21/03 MARITRANS INC /DE/ DE X 03/21/03 MARTIN MIDSTREAM PARTNERS LP DE X X 03/20/03 MEGO FINANCIAL CORP NY X X 03/21/03 MEMC ELECTRONIC MATERIALS INC DE X 03/20/03 MEMC ELECTRONIC MATERIALS INC DE X 03/20/03 AMEND MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 03/20/03 MID POWER SERVICE CORP NV X 03/19/03 MONTPELIER RE HOLDINGS LTD D0 X 03/21/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 AMEND MTR GAMING GROUP INC DE X 03/20/03 NATIONAL EQUIPMENT SERVICES INC DE X X 03/19/03 NEW CENTURY EQUITY HOLDINGS CORP DE X X 03/21/03 NEXIQ TECHNOLOGIES INC NH X 03/20/03 NORTHWEST BIOTHERAPEUTICS INC DE X X 03/19/03 NOVUS LABORATORIES INC DE X X 03/21/03 NSD BANCORP INC PA X X 03/21/03 OPEN TEXT CORP K6 X X 03/20/03 OPTIMUMCARE CORP /DE/ DE X X 03/12/03 ORCHID BIOSCIENCES INC X X 03/20/03 OWENS CORNING DE X 03/21/03 PACIFIC BIOMETRICS INC DE X X 03/21/03 PACKETPORT COM NV X 03/21/03 PAYCHEX INC DE X 03/20/03 PRIME GROUP REALTY TRUST MD X 03/20/03 PRUDENTIAL FINANCIAL INC NJ X 03/14/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/21/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/21/03 ROWAN COMPANIES INC DE X X 03/21/03 SAVVIS COMMUNICATIONS CORP DE X X 03/14/03 SAXON ASSET SECURITIES CO VA X 03/06/03 SCHWAB CHARLES CORP DE X 03/21/03 SELAS CORP OF AMERICA PA X 03/21/03 SEMELE GROUP INC DE X 03/14/03 SFBC INTERNATIONAL INC DE X 09/06/02 AMEND SHIRE PHARMACEUTICALS GROUP PLC X X 03/21/03 SONICBLUE INC DE X X 03/21/03 SOUTHERN PERU COPPER CORP/ DE X X 03/14/03 SPECTRX INC DE X X 03/21/03 ST JUDE MEDICAL INC MN X X 03/21/03 STEAM CLEANING USA INC DE X X 03/17/03 STERLING CHEMICALS INC DE X X 03/20/03 STILLWATER MINING CO /DE/ DE X 03/20/03 STRUCTURED ASSET MORT INVEST INC MORT DE X 02/28/03 AMEND SUPPORTSOFT INC DE X X 03/21/03 SYMPHONIX DEVICES INC DE X X 03/20/03 TAIWAN FUND INC DE X 02/01/03 TERRA BLOCK INTERNATIONAL NV X 03/18/03 AMEND TEXAS CAPITAL BANCSHARES INC/TX DE X X 03/19/03 TOKHEIM CORP IN X X 03/08/03 TRENWICK AMERICA CORP DE X X 03/20/03 TRENWICK GROUP LTD X X 03/20/03 TRIMERIS INC DE X X 03/20/03 TROY GROUP INC DE X X 03/20/03 UNOCAL CORP DE X 03/21/03 US AIRWAYS GROUP INC DE X X 03/21/03 USA BROADBAND INC DE X X 03/07/03 VANS INC DE X X 03/20/03 VISIONS IN GLASS INC DE X X X X 03/05/03 AMEND WELLS FARGO ASSET SECURITIES CORP DE X X 03/21/03 WELLS FARGO ASSET SECURITIES CORP DE X X 03/21/03 WEST COAST REALTY INVESTORS INC DE X X 03/20/03 WFN CREDIT CO LLC DE X 03/17/03 WICKLIFFE INTERNATIONAL CORP X X X X X X 03/20/03 WILLIAMS COMPANIES INC DE X 03/20/03 WINSLOEW FURNITURE INC FL X 03/19/03 WISCONSIN ENERGY CORP WI X 03/21/03 WOMEN FIRST HEALTHCARE INC DE X 03/19/03 WORLD FINANCIAL NETWORK NATIONAL BANK OH X 03/17/03 XEROX CORP NY X 03/21/03 XML GLOBAL TECHNOLOGIES INC CO X 03/20/03