SEC NEWS DIGEST Issue 2003-75 April 21, 2003 ENFORCEMENT PROCEEDINGS ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST FORMER JOPLIN, MO., RESIDENT GREGORY FEARS On April 18, the Commission instituted public administrative proceedings against Gregory L. Fears, formerly of Joplin, Mo. The Commission entered an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act based upon Fears' alleged twenty- two count criminal conviction. In the Order, the Division of Enforcement alleges, among other things, that Fears was an investment adviser and was associated with Investors Financial, Inc., an investment advisory firm formerly registered with the Commission, and with World Securities, Inc., a broker-dealer registered with the Commission. In addition the Division alleges that in the case of U.S. v. Gregory L. Fears, Case No. 2:01CR20033 in the United States District Court for the Western District of Arkansas, Fears pled guilty and was convicted on a twenty-two count criminal information. Fears' conviction included three counts of investment advisory fraud, one count of wire fraud, five counts of money laundering, six counts of loan fraud and seven counts for criminal forfeiture. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Fears an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rels. 34-47699; IA-2123; File No. 3-11088) FORMER JOPLIN, MO., RESIDENT MARTIN SMITH BARRED FROM ASSOCIATING WITH ANY BROKER, DEALER, OR INVESTMENT ADVISER AND REGISTRATION OF JOPLIN AREA BROKER- DEALER, WORLD SECURITIES, INC., REVOKED On April 18, the Commission instituted and settled public administrative proceedings against Martin W. Smith and World Securities, Inc. Smith is a former resident of Joplin, Mo., and World Securities was a Joplin area broker-dealer that Smith and his partner, Gregory L. Fears, owned and ran. The Commission's Order, which was consented to by Smith and World Securities, barred Smith from associating with any broker or dealer or investment adviser, based upon Smith's criminal conviction. The Order also revoked the broker-dealer registration of World Securities. The Commission's Order found that Smith and Fears owned and controlled World Securities, and that Smith and Fears each have been criminally convicted, Smith on two counts of violating 18 U.S.C. 1014 (loan fraud) and one count of violating 26 U.S.C. 7206(1) (fraud and false statements), and Fears on twenty-two counts, including three counts of violating 15 U.S.C. 80b-6 and 80b-17 (investment advisory fraud), one count of violating 18 U.S.C. 1343 (wire fraud), five counts of violating 18 U.S.C. 1957 (money laundering), six counts of violating 18 U.S.C. 1014 (loan fraud) and seven counts of violating 18 U.S.C. 982(b)(1) (criminal forfeiture). (Rels. 34-47700; IA-2124; File No. 3-11089) FORMER GEMSTAR-TV GUIDE INTERNATIONAL CEO NAMED IN CIVIL CONTEMPT PROCEEDING On April 18, the Commission filed a civil contempt United States District Court in Los Angeles against Henry C. Yuen, the former CEO of TV Guide International. The SEC requests that the Court hold Yuen in contempt for violating a court order compelling his testimony in the SEC's investigation concerning Gemstar. The SEC alleged that Yuen failed to testify on April 16 and 17, 2003, as required by the 2003 Stipulated Order. The SEC is requesting that the Court hold Yuen in contempt, order him incarcerated, and impose a daily civil fine of $50,000, doubling daily, until Yuen purges his contempt by appearing for testimony. On March 12, 2003, the SEC filed a subpoena enforcement action to compel the testimony of Yuen and Elsie Ma Leung, the former CFO of Gemstar. Yuen and Leung agreed to the entry of a court order enforcing the subpoenas and setting designated dates for their testimony. The Court entered an order requiring Yuen to testify before the SEC on April 1, 16- 18 and 21-22. Yuen appeared and provided testimony on April 1, 2003, but failed to provide testimony on April 16 or April 17. The SEC seeks Yuen's testimony in connection with an ongoing investigation to determine whether there have been violations of the antifraud and other provisions of the federal securities laws in relation to Gemstar's public reporting of its financial results for the years 1999 through 2002. [SEC v. Henry C. Yuen and Elsie Ma Leung, Case No. CV 03-1754 DT, SHSx, C.D. Cal.] (LR-18095) SEC CHARGES FORMER SUNCOAST PRINCIPALS AND TRADER WITH SECURITIES FRAUD FOR PARTICIPATION IN KICKBACK SCHEME The Commission today filed a civil enforcement action charging David A. Zwick and Todd J. Cohen, two former principals of Suncoast Capital Group, Ltd., and Terrence J. O'Donnell, a former Suncoast trader, with participation in a fraudulent kickback scheme. Suncoast was a registered broker-dealer based in Fort Lauderdale, Florida. The Commission alleges that Suncoast, through Deborah J. Breckenridge, a former Suncoast salesperson, received order flow and trades at favorable prices from Anthony Dong-Yin Shen, an employee of New York Life Insurance Company, Inc., in exchange for cash kickbacks and gifts. Shen was responsible for trading in New York Life's proprietary accounts. The Commission's complaint alleges that over a fifteen-month period in 1998 and 1999, Shen directed approximately forty trades totaling millions of dollars of securities to Suncoast at prices that were "off- market" or more favorable to Suncoast and detrimental to New York Life than were otherwise available in the market. In exchange for the trades, Shen was paid at least $50,800 in cash, and at least $6,400 in non-cash gifts. Suncoast realized gross profits in excess of $1,500,000 from the trades. The complaint further alleges that: * former Suncoast principal and compliance officer David A. Zwick procured, approved, and / or encouraged Breckenridge to give gifts and cash kickbacks to Shen - including kickbacks disguised as payments on losing bets -- and knowingly or recklessly approved fraudulent prices on Suncoast trades with New York Life; * former Suncoast principal and trading desk supervisor Todd J. Cohen encouraged Breckenridge to pay cash kickbacks to Shen disguised as payments on losing bets, and knowingly or recklessly approved fraudulent prices on Suncoast trades with New York Life; * Former Suncoast trader Terrence J. O'Donnell encouraged Breckenridge to pay cash kickbacks to Shen disguised as payments on losing bets, and knowingly or recklessly executed most of the fraudulently priced New York Life trades; and * Zwick, Cohen, and O'Donnell each actively assisted Breckenridge in concealing the kickback scheme from New York Life. The Commission charges that the Defendants each violated Section 17(a) of the Securities Act of 1933; and that each violated and aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder -- antifraud provisions of the federal securities laws. The Commission seeks permanent injunctions, disgorgement plus prejudgment interest, and civil penalties against all three Defendants. The Commission gratefully acknowledges the assistance provided by the United States Attorney's Office for the Southern District of New York and the United States Postal Inspection Service in the investigation of this matter. [SEC v. David A. Zwick, Todd J. Cohen, and Terrence J. O'Donnell, 03 Civ. 2742, JGK, S.D.N.Y.] (LR-18096) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by NASD to extend the pilot period for the Regulatory Fee and the Trading Activity Fee (SR-NASD-2003-73) 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 April 21. (Rel. 34-47685) A proposed rule change (SR-NASD-2003-59) filed by the by NASD through its subsidiary, The Nasdaq Stock Market, Inc., relating to fees for Nasdaq's Intermarket has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of April 21. (Rel. 34- 47686) A proposed rule change (SR-NYSE-2003-07) filed by the New York Stock Exchange relating to the extension of a pilot program with respect to the Exchange's allocation policy for certain Exchange-Traded Funds on an Unlisted Trading Privileges basis 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 April 21. (Rel. 34-47690) A proposed rule change (SR-NASD-2003-68) submitted pursuant Rule 19b-4 under the Securities Exchange Act of 1934 by NASD to amend its restrictions on non-cash compensation in connection with corporate financing and direct participation programs has become immediately effective. (Rel. 34-47697) PROPOSED RULE CHANGES NASD through its subsidiary, the Nasdaq Stock Market, Inc., has filed a proposed rule change (SR-NASD-2003-52) to establish a fee for receipt of Mutual Fund Quotation Service Data by distributors. Publication of the proposal is expected in the Federal Register during the week of April 21. (Rel. 34-47688) The Options Clearing Corporation filed proposed rule change (SR-OCC-2002- 10) under Section 19(b)(1) of the Exchange Act. The proposed rule change will amend OCC's By-laws and Rules to eliminate the requirement that a clearing member must obtain and submit to OCC for approval a specified form of account agreement from each market-maker for whom it carries an account. The proposed rule change will also add two new interpretive statements to Article VI, Section 3 of OCC's By-laws to clarify the application of certain amendments to Article 8 and Article 9 of the Uniform Commercial Code to OCC clearing accounts and to clarify the application of OCC's lien on clearing member account positions and clearing member obligations. Publication of the proposal is expected in the Federal Register during the week of April 21. (Rel. 34-47691) The Commission noticed for comment a proposed rule change that NASD filed (SR-NASD-2003-66) to rebate certain past Primex Auction System logon charges for certain participants. Publication of the proposal is expected in the Federal Register during the week of April 21. (Rel. 34- 47692) The Commission published for comment a proposed rule change (SR-NASD- 2003-50) submitted by the NASD concerning the establishment of a service bureau distributor fee. Publication of the proposal is expected in the Federal Register during the week of April 21. (Rel. 34-47693) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NYSE-99-51) file by the New York Stock Exchange pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 that adopts new provisions for recording the details of an order in an electronic system. Publication of the notice in the Federal Register is expected during the week of April 21. (Rel. 34-47689) WITHDRAWAL An order has been issued granting the application of Banco Nacional De Comercio Exterior, S.N.C. to withdraw its 7 1/4% Global Notes (due 2004) from listing and registration on the New York Stock Exchange effective at the opening of business on April 21. (Rel. 34-47698) 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 BLUE MOON GROUP INC, 4890 GARLAND BRANCH RD., -, DOVER, FL, 33527, 813-707-1535 - 60,000 ($177,000.00) Equity, (File 333-104619 - Apr. 18) (BR. 06) SB-2 BILLY DEAD INC, 900,000 ($8,394,750.00) Equity, (File 333-104620 - Apr. 18) (BR. ) S-8 RENAISSANCE LEARNING INC, 2911 PEACH STREET, PO BOX 8036, WISCONSIN RAPIDS, WI, 54495-8036, 7154243636 - 3,000,000 ($52,920,000.00) Equity, (File 333-104622 - Apr. 18) (BR. 03) S-3 CONSOLIDATED EDISON CO OF NEW YORK INC, 4 IRVING PL, NEW YORK, NY, 10003, 2124604600 - 0 ($525,000,000.00) Non-Convertible Debt, (File 333-104623 - Apr. 18) (BR. 02) S-8 HELIX TECHNOLOGY CORP, NINE HAMPSHIRE STREET, MANSFIELD, MA, 02048, 5083375111 - 0 ($8,695,500.00) Equity, (File 333-104624 - Apr. 18) (BR. 36) S-4 SYNOVUS FINANCIAL CORP, 901 FRONT AVENUE, STE 202 PO BOX 120, COLUMBUS, GA, 31901, 7066494818 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-104625 - Apr. 18) (BR. 07) N-2 PROSPECT STREET INCOME SHARES INC, TWO GALLERIA TOWER, 13455 NOEL ROAD, SUITE 1300, DALLAS, TX, 75240, 9726284100 - 965,000 ($6,002,300.00) Equity, (File 333-104626 - Apr. 18) (BR. 16) S-3 PHELPS DODGE CORP, ONE NORTH CENTRAL AVE, PHOENIX, AZ, 85004-3089, 6022348100 - 0 ($600,000,000.00) Other, (File 333-104627 - Apr. 18) (BR. 04) S-3 ACCENTURE LTD, CEDAR HOUSE, 41 CEDAR AVE., HAMILTON, A1, 00000, 0 ($1,425,000,000.00) Equity, (File 333-104628 - Apr. 18) (BR. 08) S-8 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL, 60523, 7089542000 - 1,500,000 ($23,512,500.00) Equity, (File 333-104629 - Apr. 18) (BR. 05) S-8 FAMOUS FIXINS INC, 250 WEST 57TH ST, STE 1112, NEW YORK, NY, 10107, 2122457773 - 20,625,000 ($309,375.00) Equity, (File 333-104630 - Apr. 18) (BR. 08) SB-2 TALLY HO VENTURES INC, 518 OAK STREET 2, GLENDALE, CA, 91204, 8185507886 - 25,000,000 ($250,000.00) Equity, (File 333-104631 - Apr. 18) (BR. ) S-3 SOCKET COMMUNICATIONS INC, 37400 CENTRAL COURT, NEWARK, CA, 94560, 5107442700 - 0 ($4,723,677.08) Equity, (File 333-104632 - Apr. 18) (BR. 03) S-4 LIMITED BRANDS INC, THREE LIMITED PKWY, P O BOX 16000, COLUMBUS, OH, 43216, 6144157000 - 350,000,000 ($350,000,000.00) Other, (File 333-104633 - Apr. 18) (BR. 02) S-8 STORAGE COMPUTER CORP, 11 RIVERSIDE STREET, NASHUA, NH, 03062-1373, 6038803005 - 2,135,000 ($491,050.00) Equity, (File 333-104634 - Apr. 18) (BR. 03) S-4 ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, PO BOX 77007, MADISON, WI, 53707-1007, 608-458-3314 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-104635 - Apr. 18) (BR. 02) S-8 SURGICAL SAFETY PRODUCTS INC, 8374 MARKET STREET, SUITE 439, BRADENTON, FL, 34202, 9413603039 - 8,000,000 ($64,000.00) Equity, (File 333-104636 - Apr. 18) (BR. 01) S-8 CRYOLIFE INC, 1655 ROBERTS BOULEVARD N W, STE 142, KENNESAW, GA, 30144, 7704193355 - 1,091,959 ($9,784,990.75) Equity, (File 333-104637 - Apr. 18) (BR. 01) S-8 CALYPTE BIOMEDICAL CORP, 1265 HARBOR BAY PARKWAY, ALAMEDA, CA, 94502-, 5107495100 - 44,040,000 ($1,101,000.00) Equity, (File 333-104638 - Apr. 18) (BR. 36) S-3 NAVISTAR FINANCIAL SECURITIES CORP, 2850 W GOLF RD, C/O CORPORATION TRUST CENTER, ROLLING MEADOWS, IL, 60008, 8477344000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-104639 - Apr. 18) (BR. 05) S-3 JMAR TECHNOLOGIES INC, 5800 ARMADA DRIVE, CARLSBAD, CA, 92008, 760-602-3292 - 2,573,913 ($2,239,304.31) Equity, (File 333-104640 - Apr. 18) (BR. 36) S-4 PIXELWORKS INC, 7700 SW MOHAWK, TUALATIN, OR, 97062, 0 ($474,976,718.00) Equity, (File 333-104641 - Apr. 18) (BR. 36) 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 ------------------------------------------------------------------------------------ 2000 NEW COMMERCE INC NV X X X 04/10/03 AAMES FINANCIAL CORP/DE DE X 02/28/03 ABFS MORT LOAN TRUST 2002-4 MORT PASS DE X X 04/15/03 ADVO INC DE X X 04/18/03 ALLEGIANT BANCORP INC/MO/ MO X X 04/16/03 ALLIANCE BANCORP OF NEW ENGLAND INC DE X X 04/18/03 ALLIED CAPITAL CORP MD X X 04/17/03 AMERICAN PHYSICIANS SERVICE GROUP INC TX X 04/18/03 AMERICAS SENIOR FINANCIAL SERVICES IN FL X 04/18/03 AMES NATIONAL CORP IA X 04/18/03 ANR PIPELINE CO DE X X 04/16/03 ANWORTH MORTGAGE ASSET CORP MD X X 04/17/03 ARTISAN COMPONENTS INC DE X X 04/17/03 AUTOCARBON INC DE X X 04/16/03 AMEND BANDAG INC IA X X 04/17/03 BARON CAPITAL PROPERTIES LP DE X X 04/15/03 BARON CAPITAL TRUST DE X X 04/15/03 BEAR STEARNS ASSET BACKED FUND INC WH DE X X 03/17/03 BEDFORD BANCSHARES INC VA X X 04/16/03 BOSTONFED BANCORP INC DE X X 04/17/03 BRIDGE BANCORP INC NY X 04/14/03 BRITTON & KOONTZ CAPITAL CORP MS X X 04/18/03 BTU INTERNATIONAL INC DE X X 04/18/03 CARDINAL FINANCIAL CORP VA X X 04/16/03 CB BANCSHARES INC/HI HI X 04/17/03 CB BANCSHARES INC/HI HI X X 04/17/03 CCBT FINANCIAL COMPANIES INC MA X X 04/17/03 CCF HOLDING CO GA X X 04/17/03 CEDAR INCOME FUND LTD /MD/ MD X 01/10/03 AMEND CENTERPOINT PROPERTIES TRUST MD X X 04/18/03 CHARLOTTE RUSSE HOLDING INC X X 04/17/03 CHEMED CORP DE X 03/31/03 CINEMARK USA INC /TX TX X X 04/18/03 CITIZENS BANKING CORP MI X X X 04/14/03 CITY NATIONAL CORP DE X X 04/15/03 CLAMSHELL ENTERPRISES INC NV X X 03/31/03 AMEND COMM BANCORP INC PA X 04/18/03 COMMERCIAL BANKSHARES INC FL X 04/18/03 COMMUNITY CAPITAL CORP /SC/ SC X X 04/16/03 COMPASS BANCSHARES INC DE X X 04/18/03 CONCEPTUS INC DE X 04/17/03 CONSOLIDATED RESOURCES GROUP INC FL X 04/11/03 CORTLAND BANCORP INC OH X X 04/18/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X 04/18/03 CWABS INC DE X X 04/15/03 CYPRESS SEMICONDUCTOR CORP /DE/ DE X X 04/17/03 DATA I/O CORP WA X 03/31/03 DECISIONLINK INC DE X X X 04/18/03 DIACRIN INC /DE/ DE X X 04/14/03 DOVER CORP DE X 04/16/03 DOVER DOWNS GAMING & ENTERTAINMENT IN DE X 04/17/03 DSP GROUP INC /DE/ DE X X 04/18/03 DYNEGY INC /IL/ IL X X 04/15/03 EASTERN AMERICAN NATURAL GAS TRUST DE X 04/18/03 EDO CORP NY X X 02/05/03 AMEND EL PASO CORP/DE DE X X 04/16/03 EL PASO NATURAL GAS CO DE X X 04/16/03 ENTRAVISION COMMUNICATIONS CORP DE X X 04/16/03 FAIRCHILD CORP DE X 06/30/02 FARMERS NATIONAL BANC CORP /OH/ OH X X X 04/18/03 FEDERAL SIGNAL CORP /DE/ DE X 04/18/03 FEDERAL SIGNAL CORP /DE/ DE X 04/18/03 FENTURA FINANCIAL INC MI X X 04/18/03 FINLAY ENTERPRISES INC /DE DE X X 04/17/03 FINLAY FINE JEWELRY CORP DE X X 04/17/03 FIRST COLONIAL GROUP INC PA X 04/18/03 FIRST COMMUNITY BANCORP /CA/ CA X X 04/17/03 FIRST INDIANA CORP IN X X 04/16/03 FIRST INDIANA CORP IN X X 04/18/03 FIRST NATIONAL CORP /SC/ SC X X 04/18/03 FIRST SOUTHERN BANCSHARES INC/DE DE X X 04/17/03 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 04/01/03 FIRSTENERGY CORP OH X 04/18/03 FLORIDA PUBLIC UTILITIES CO FL X 04/15/03 FRANKLIN STREET PROPERTIES CORP /MA/ X X 04/14/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 04/17/03 FRONTIER FINANCIAL CORP /WA/ WA X X 04/17/03 FRONTLINE COMMUNICATIONS CORP DE X X 04/03/03 GOLDEN WEST FINANCIAL CORP /DE/ DE X 04/17/03 GREENWICH CAPITAL ACCEPTANCE INC DE X 04/17/03 HENRY JACK & ASSOCIATES INC DE X 04/16/03 HOLLEY PERFORMANCE PRODUCTS INC X 04/17/03 HOME LOAN FINANCIAL CORP OH X X 04/16/03 HORIZON BANCORP /IN/ IN X X 04/17/03 HPSC INC DE X X 03/31/03 HUDSON RIVER BANCORP INC DE X X 04/17/03 IKON RECEIVABLES FUNDING LLC DE X X 04/16/03 IKON RECEIVABLES FUNDING LLC DE X X 04/18/03 ILLINOIS TOOL WORKS INC DE X X 04/16/03 INLAND RETAIL REAL ESTATE TRUST INC MD X X 04/07/03 INSCI CORP DE X 04/04/03 INVERNESS MEDICAL INNOVATIONS INC DE X X 04/11/03 IOWA FIRST BANCSHARES CORP IA X 04/18/03 IRWIN FINANCIAL CORPORATION IN X X 04/18/03 J P MORGAN CHASE & CO DE X X 04/18/03 KNIGHT TRANSPORTATION INC AZ X X 04/16/03 KYZEN CORP TN X X 04/17/03 LANCE INC NC X X 04/11/03 LEGEND INTERNATIONAL HOLDINGS INC DE X 04/16/03 LUMENIS LTD X X 04/04/03 MADE2MANAGE SYSTEMS INC IN X X 04/16/03 MARTEN TRANSPORT LTD DE X X 04/17/03 MATERIAL SCIENCES CORP DE X X 04/17/03 MCSI INC MD X X 04/17/03 MERCHANTS BANCSHARES INC DE X X 04/17/03 MERRILL MERCHANTS BANCSHARES INC ME X X 04/17/03 MICROSTRATEGY INC DE X 04/16/03 MIDDLEBURG FINANCIAL CORP VA X X 04/16/03 MIDLAND CO OH X X 04/17/03 MODERN MFG SERVICES INC CO X X X 04/17/03 MOLICHEM MEDICINES INC DE X X 04/04/03 AMEND MONARCH CASINO & RESORT INC NV X 04/16/03 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 04/15/03 MONEY STORE INVESTMENT CORP NJ X X 04/15/03 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 04/15/03 MORGAN STANLEY DEAN WITTER CAPITAL TR DE X 04/01/03 MRO SOFTWARE INC MA X X 04/17/03 NANOPHASE TECHNOLOGIES CORPORATION IL X X 04/11/03 NATIONAL AUTO CREDIT INC /DE DE X X X 04/17/03 NATIONAL BANCSHARES CORP /OH/ OH X X 04/18/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 04/15/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 04/15/03 NATIONAL STEEL CORP DE X X 04/17/03 NORTH VALLEY BANCORP CA X X 04/17/03 NORTHERN EMPIRE BANCSHARES CA X X 04/16/03 NORTHRIM BANCORP INC AK X X 04/16/03 NORTHWEST INDIANA BANCORP IN X X 04/16/03 NOVA COMMUNICATIONS LTD NV X X 04/10/03 NSTAR/MA MA X 04/17/03 NVR INC VA X X 04/16/03 OAK TECHNOLOGY INC DE X X 04/03/03 OAKLEY INC WA X X 04/16/03 OFFICE DEPOT INC DE X X 04/18/03 OMNICELL INC /CA/ CA X X 04/18/03 ONE DENTIST RESOURCES CO X X X X 04/03/03 PACIFIC CREST CAPITAL INC DE X X 04/15/03 PACIFIC NORTHWEST BANCORP WA X 04/17/03 PALIGENT INC DE X X 04/11/03 PAR TECHNOLOGY CORP DE X 04/14/03 PEABODY ENERGY CORP DE X X 04/16/03 PEOPLES BANCTRUST CO INC AL X 04/16/03 PFF BANCORP INC DE X X 03/31/03 PIZZA INN INC /MO/ MO X 04/18/03 PMA CAPITAL CORP PA X X 04/17/03 PORT FINANCIAL CORP MA X X 04/17/03 PRINTCAFE SOFTWARE INC DE X 04/15/03 PROTEIN DESIGN LABS INC/DE DE X X 04/04/03 PROVIDENT FINANCIAL GROUP INC OH X X 04/18/03 QUALITY PRODUCTS INC OH X X 03/21/03 RADISYS CORP OR X X 04/16/03 RENT SHIELD CORP FL X 04/10/03 REPUBLIC FIRST BANCORP INC PA X X 04/18/03 RIGGS NATIONAL CORP DE X X 04/17/03 ROXIO INC DE X X 04/17/03 SAGENT TECHNOLOGY INC DE X X 04/15/03 SALOMON BROTHERS MORTGAGE SECURITIES DE X X 04/18/03 SBS TECHNOLOGIES INC NM X X 04/17/03 SECOND BANCORP INC OH X 04/17/03 SHARPER IMAGE CORP DE X X 04/18/03 SIMPSON MANUFACTURING CO INC /CA/ DE X 04/17/03 SNB BANCSHARES INC GA X 04/17/03 SOUTHSIDE BANCSHARES INC TX X X X 04/17/03 SOUTHWEST BANCORP INC OK X X X 03/27/03 SPIEGEL INC DE X 04/17/03 SPORTS CLUB CO INC DE X X 04/09/03 SPORTSMANS GUIDE INC MN X X 04/16/03 STATEN ISLAND BANCORP INC DE X X X 04/16/03 STEWART & STEVENSON SERVICES INC TX X X 04/17/03 STRUCTURED ASSET SEC CORP II COM MORT X 04/01/03 SUMMIT FINANCIAL GROUP INC WV X X 04/16/03 SURMODICS INC MN X 04/16/03 TC PIPELINES LP DE X 04/17/03 TELECOMMUNICATION PRODUCTS INC CO X X X 04/18/03 TENNESSEE GAS PIPELINE CO DE X X 04/16/03 TEXAS PETROCHEMICAL HOLDINGS INC DE X X 04/17/03 TEXAS PETROCHEMICALS LP TX X X 04/17/03 TRI CITY BANKSHARES CORP WI X 04/17/03 TROY GROUP INC DE X X 04/14/03 UMB FINANCIAL CORP MO X 03/31/03 UNICCO SERVICE CO MA X 04/18/03 UNIGENE LABORATORIES INC DE X X 04/18/03 US DATAWORKS INC NV X X 04/17/03 USA TRUCK INC DE X X 04/17/03 VINA TECHNOLOGIES INC DE X X X 04/16/03 WAYNE BANCORP INC /OH/ OH X X 04/17/03 WAYPOINT FINANCIAL CORP PA X X 04/17/03 WERNER ENTERPRISES INC NE X X 04/15/03 WESBANCO INC WV X X 04/16/03 WINMARK CORP MN X X 04/15/03 WINTRUST FINANCIAL CORP IL X X X 04/17/03 WORLD WIDE VIDEO INC CO X 04/17/03 XOMA LTD /DE/ DE X X 03/31/03 AMEND XTO ENERGY INC DE X X 04/16/03 YAHOO INC DE X 04/14/03 ZOMAX INC /MN/ MN X X 04/14/03