SEC NEWS DIGEST Issue 2003-126 July 2, 2003 ENFORCEMENT PROCEEDINGS COMMISSION SUES SOUTHERN CALIFORNIA RECIDIVIST On June 30, 2003, the Commission filed a settled securities fraud action against EK-1, Inc., a Southern California company, and its President and Chief Executive Officer, Stephen Lee Adlman, who was the subject of a prior Commission enforcement action. EK-1 claimed to distribute an engine disruption device for use by law enforcement officers to stop high-speed vehicle pursuits. The Commission's complaint alleges that EK- 1 and Adlman conducted a fraudulent unregistered securities offering between May 2000 and April 2002. EK-1 raised approximately $700,000 from the sale of its stock to 64 investors nationwide. The two defendants are: * EK-1, Inc., a now-defunct Nevada corporation that operated in Woodland Hills, California between May 2000 and April 2002. * Stephen Lee Adlman, a resident of Thousand Oaks, California who was EK- 1's President and Chief Executive Officer. In 1972, the SEC brought an administrative proceeding against him and his brokerage firm, finding that they violated the antifraud provisions of the securities laws as well as numerous provisions applicable to broker-dealers. In this proceeding, Adlman was barred from associating with broker-dealers. See Exchange Act Release No. 9593 (May 8, 1972). The complaint alleges that EK-1 and Adlman made four misrepresentations to investors. First, they represented that EK-1 distributed a patented engine disruption device for use by law enforcement officers to stop high-speed vehicle pursuits. In fact, it had only an unpatented prototype that was never distributed. Second, they claimed that EK-1 would have an initial public offering (IPO) of its stock, but in fact it never was in a position to commence an IPO nor did it ever file a securities registration statement with the Commission. Third, they promised that EK-1 would spend 50% of investor proceeds distributing the device but actually spent only 15% on expenses related to the device. They spent approximately 79% on expenses relating to the securities offering, including payments to sales agents, purchases of lead lists, and the preparation, printing, and delivery of the offering materials. Adlman retained about 6% of investor funds ($40,869) for himself. Finally, they stated that EK-1's success depended on Adlman but failed to disclose his Commission bar order or a conviction in a market manipulation scheme. In 1974, Adlman pled guilty in an unrelated market manipulation fraud scheme and was sentenced to three years probation. This felony conviction for conspiracy was in the Southern District of New York. See Litigation Release No. 6436 (July 15, 1974). The Commission sued EK-1 and Adlman for violations of the securities registration and antifraud provisions of the federal securities laws, Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. EK-1 and Adlman consented to the entry of permanent injunctions from future violations of the applicable securities laws, without admitting or denying the allegations in the complaint. Adlman further agreed to pay $40,869 in disgorgement of his ill- gotten gains, plus interest, and $120,000 in civil penalties, and to be permanently barred from serving as an officer or director of any public company. [SEC v. EK-1, Inc. and Stephen Lee Adlman, Case No. CV 03-4655 CBM (FMOx)] (LR-18207) SPAMMER SUED BY SEC PLEADS GUILTY TO CRIMINAL SECURITIES FRAUD The Commission announced today that on June 30, 2003, K. C. Smith pled guilty to two felony informations charging securities fraud, each charge carrying a maximum penalty of twenty years imprisonment and fines of up to $5 million. In factual summaries submitted to the court, Smith admitted to conducting two fraudulent investment schemes through websites and spam email during 2002. Smith is scheduled to be sentenced on Oct. 6, 2003. On May 12, 2003, the SEC charged Smith with fraudulently raising $102,554 by falsely guaranteeing double-digit monthly returns on two websites and in approximately nine million spam e-mail messages. Without admitting or denying the allegations made by the Commission, Smith consented to an order requiring him to pay $107,510 in disgorgement and pre-judgment interest and enjoining him from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The criminal case was prosecuted by the U.S. Attorney's offices for the Eastern District of Tennessee and the Eastern District of Virginia. Additional information can be found in Litigation Release No. 18130. [SEC v. K.C. Smith, Civil Action No. 2:03-CV-173, ED Tenn.]; [U.S. v. K.C. Smith, ED Tenn.] (LR-18208) INVESTMENT COMPANY ACT RELEASES JOHN HANCOCK VARIABLE SERIES TRUST I AND JOHN HANCOCK LIFE INSURANCE COMPANY A notice has been issued giving interested persons until July 25 to request a hearing on an application filed by John Hancock Variable Series Trust I and John Hancock Life Insurance Company 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-26091 - June 30) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES, ET AL. An order has been issued authorizing Northeast Utilities (NU), a registered holding company, NU's wholly-owned public-utility subsidiaries and certain of NU's wholly-owned nonutility subsidiaries, variously, to issue, from time-to-time, through June 30, 2006, short- term debt to unaffiliated third parties, enter into hedging and certain other financing transactions and, through June 30, 2004, subject to certain conditions, participate in NU's money pool. (Rel. 35-27693) FIRSTENERGY CORPORATION, ET AL. A supplemental order has been issued authorizing a proposal by FirstEnergy Corporation (FirstEnergy), a registered holding company, FirstEnergy's service company subsidiary, FirstEnergy Service Company (ServeCo), Ohio Edison Company, The Cleveland Electric Illuminating Company, The Toledo Edison Company, American Transmission Systems, Incorporated, Jersey Central Power & Light Company, Pennsylvania Electric Company, Metropolitan Edison Company, Pennsylvania Power Company, York Haven Power Company, The Waverly Electric Power & Light Company, and Northeast Ohio Natural Gas Corp. ("Utility Subsidiaries" and collectively, "Applicants"). Applicants request approval of the ServeCo policies and procedures, a service agreement between ServeCo and the Utility Subsidiaries, a service agreement between certain of the Utility Subsidiaries, and a reservation of jurisdiction. (Rel. 35- 27695) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the American Stock Exchange (SR-Amex- 2003-52) reducing option transaction fees 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 July 7. (Rel. 34-48111) PROPOSED RULE CHANGE A proposed rule change has been filed by the National Association of Securities Dealers (SR-NASD-2003-99) to amend NASD Rule 6260 regarding new issue notification procedures for TRACE-eligible securities. Publication of the notice in the Federal Register is expected during the week of July 7. (Rel. 34-48113) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until July 23 to comment on the application for withdrawal from listing and registration (Etz Lavud Ltd., Common Shares and Class A Common Shares, NIS 0.01 par value) on the American Stock Exchange. (Rel. 34-48117) 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 RESCON TECHNOLOGY CORP, 8012628844 - 750,000 ($127,500.00) Equity, (File 333-106684 - Jul. 1) (BR. 09) S-8 PHARMACEUTICAL RESOURCES INC, ONE RAM RIDGE RD, SPRING VALLEY, NY, 10977, 9144257100 - 150,000 ($7,096,860.00) Equity, (File 333-106685 - Jul. 1) (BR. 01) S-8 LITHIA MOTORS INC, 360 E JACKSON ST, MEDFORD, OR, 97501, 5417766899 - 500,000 ($8,175,000.00) Equity, (File 333-106686 - Jul. 1) (BR. 02) S-8 DOCUMENT SCIENCES CORP, 6339 PASEO DEL LAGO, CARLSBAD, CA, 92009, 7606021400 - 0 ($583,500.00) Equity, (File 333-106688 - Jul. 1) (BR. 03) S-4 WELLPOINT HEALTH NETWORKS INC /DE/, 8187034000 - 0 ($519,852,701.79) Equity, (File 333-106689 - Jul. 1) (BR. 01) SB-2 GSI TECHNOLOGIES USA INC /DE, 2001 MCGILL COLLEGE AVE STE 1310, MONTREAL, QUEBEC CANADA, A8, H3A 1G1, 5149405262 - 37,483,008 ($10,882,752.00) Equity, (File 333-106690 - Jul. 1) (BR. 02) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($212,654,084.10) Equity, (File 333-106691 - Jul. 1) (BR. 01) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($85,933,734.00) Equity, (File 333-106692 - Jul. 1) (BR. 01) S-3 LIONBRIDGE TECHNOLOGIES INC /DE/, 950 WINTER STREET, SUITE 4300, WALTHAM, MA, 02154, 7818906612 - 0 ($40,652,500.00) Equity, (File 333-106693 - Jul. 1) (BR. 08) S-8 CARDINAL FINANCIAL CORP, 10641 LEE HIGHWAY, FAIRFAX, VA, 22030, 7039349200 - 500,000 ($3,325,000.00) Equity, (File 333-106694 - Jul. 1) (BR. 07) S-8 FROZEN FOOD EXPRESS INDUSTRIES INC, 1145 EMPIRE CENTRAL PLACE, DALLAS, TX, 75247, 2146308090 - 850,000 ($2,626,500.00) Equity, (File 333-106696 - Jul. 1) (BR. 05) S-2 FONIX CORP, 8015536600 - 100,000,000 ($19,000,000.00) Equity, (File 333-106697 - Jul. 1) (BR. 03) S-8 MOLECULAR DEVICES CORP, 1311 ORLEANS DR, SUNNYVALE, CA, 94089, 4087471700 - 500,000 ($7,400,000.00) Equity, (File 333-106698 - Jul. 1) (BR. 36) S-3 NELNET STUDENT LOAN FUNDING LLC, 1215 13TH ST, SUITE 301, LINCOLN, NE, 68508, 4024239583 - 1,100,000 ($110,000,000.00) Asset-Backed Securities, (File 333-106699 - Jul. 1) (BR. 07) S-8 CONSUMERS FINANCIAL CORP, 1513 CEDAR CLIFF DRIVE, P O BOX 26, CAMP HILL, PA, 17011-0026, 7177306306 - 353,000 ($105,900.00) Equity, (File 333-106700 - Jul. 1) (BR. 01) S-8 COMMUNITY BANKS INC /PA/, 750 EAST PARK DR, HRRISBURG, PA, 17111, 7179205803 - 50,000 ($1,463,000.00) Equity, (File 333-106701 - Jul. 1) (BR. 07) S-4 TRW AUTOMOTIVE INC, 1,596,247,500 ($1,596,247,500.00) Non-Convertible Debt, (File 333-106702 - Jul. 1) (BR. 05) S-8 THREE FIVE SYSTEMS INC, 1600 N DESERT DR, TEMPE, AZ, 85281-1230, 6024960035 - 500,000 ($3,120,742.08) Equity, (File 333-106703 - Jul. 1) (BR. 36) S-8 THREE FIVE SYSTEMS INC, 1600 N DESERT DR, TEMPE, AZ, 85281-1230, 6024960035 - 950,000 ($5,905,706.86) Equity, (File 333-106704 - Jul. 1) (BR. 36) S-8 NORTH FORK BANCORPORATION INC, 275 BROAD HOLLOW RD, PO BOX 8914, MELVILLE, NY, 11747, 6318441004 - 0 ($158,800,000.00) Equity, (File 333-106705 - Jul. 1) (BR. 07) S-3 SIRENZA MICRODEVICES INC, 522 ALMANOR AVENUE, SUNNYVALE, CA, 94086, 4086165400 - 0 ($6,037,389.00) Equity, (File 333-106706 - Jul. 1) (BR. 36) S-8 UNION PACIFIC CORP, 1416 DODGE STREET, ROOM 830, OMAHA, NE, 68179, 402 271 5213 - 0 ($1,000,000.00) Equity, (File 333-106707 - Jul. 1) (BR. 05) S-8 UNION PACIFIC CORP, 1416 DODGE STREET, ROOM 830, OMAHA, NE, 68179, 402 271 5213 - 0 ($50,000,000.00) Equity, (File 333-106708 - Jul. 1) (BR. 05) S-3 CASTLE A M & CO, 3400 N WOLF RD, FRANKLIN PARK, IL, 60131, 7084557111 - 2,809,995 ($14,049,975.00) Equity, (File 333-106709 - Jul. 1) (BR. 04) S-8 H&R BLOCK INC, 4400 MAIN ST, KANSAS CITY, MO, 64111, 8167536900 - 5,000,000 ($211,250,000.00) Equity, (File 333-106710 - Jul. 1) (BR. 08) S-2 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 6531 NW 18TH COURT, PLANTATION, FL, 33313-4520, 3057460500 - 1,194,118 ($943,353.00) Equity, (File 333-106711 - Jul. 1) (BR. 36) S-3 VION PHARMACEUTICALS INC, 4 SCIENCE PARK, NEW HAVEN, CT, 06511, 2034984210 - 5,769,225 ($10,307,682.00) Equity, (File 333-106712 - Jul. 1) (BR. 01) S-3 ACTION PRODUCTS INTERNATIONAL INC, 344 CYPRESS RD, OCALA, FL, 34472-3108, 3526872202 - 3,272,092 ($6,544,184.00) Equity, (File 333-106713 - Jul. 1) (BR. 05) S-8 PEP BOYS MANNY MOE & JACK, 3111 W ALLEGHENY AVE, PHILADELPHIA, PA, 19132, 2152299000 - 174,540 ($2,349,308.40) Equity, (File 333-106714 - Jul. 1) (BR. 02) S-8 WEST CORP, 11808 MIRACLE HILLS DR, OMAHA, NE, 68154, 4025717700 - 5,965,532 ($158,653,323.54) Equity, (File 333-106715 - Jul. 1) (BR. 08) S-8 TMI HOLDINGS INC/FL, 8083844622 - 6,000,000 ($2,100,000.00) Equity, (File 333-106716 - Jul. 1) (BR. 02) S-8 TVI CORP, 7100 HOLLADAY TYLER RD, GLEN DALE, MD, 20769, 3013528800 - 9,980,000 ($6,669,000.00) Debt Convertible into Equity, (File 333-106717 - Jul. 1) (BR. 05) N-2 ASA MANAGED FUTURES FUND LLC, 817 W PEACHTREE STREET NW, SUITE 400, ATLANTA, GA, 30308-1144, 404 760 3424 - 2,000,000 ($50,000,000.00) Equity, (File 333-106718 - Jul. 1) (BR. ) N-2 ASA DEBT ARBITRAGE FUND LLC, 817 WEST PEACHTREE ST N W, SUITE 400, ATLANTA, GA, 30308, 404-760-3424 - 2,000,000 ($50,000,000.00) Equity, (File 333-106719 - Jul. 1) (BR. ) S-8 ADVANCED GAMING TECHNOLOGY INC, 24165 IH 10 WEST, SUITE 217125, SAN ANTONIO, TX, 67257, 2106978550 - 800,000 ($16,000.00) Other, (File 333-106720 - Jul. 1) (BR. 05) S-8 GRAVITAS INTERNATIONAL INC, 1027 SOUTH RAINBOW BLVD., UNIT 391, LAS VEGAS, NV, 89145, 7023416622 - 7,500,000 ($750,000.00) Equity, (File 333-106722 - Jul. 1) (BR. 03) N-2 ASA HEDGED EQUITY FUND LLC, 817 WEST PEACHTREE ST, SUITE 400, ATLANTA, GA, 30308, 404-760-3424 - 2,000,000 ($50,000,000.00) Equity, (File 333-106723 - Jul. 1) (BR. ) N-2 ASA MARKET NEUTRAL EQUITY FUND LLC, 817 WEST PEACHTREE STREET NW, SUITE 400, ATLANTA, GA, 30308, 4047603424 - 2,000,000 ($50,000,000.00) Equity, (File 333-106724 - Jul. 1) (BR. ) S-1 ACUSPHERE INC, 38 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6175778800 - 0 ($69,000,000.00) Equity, (File 333-106725 - Jul. 1) (BR. 01) S-3 E CENTIVES INC, 6901 ROCKLEDGE DRIVE, 7TH FLOOR, BETHESDA, MD, 20617, 3015646700 - 0 ($4,176,000.00) Equity, (File 333-106726 - Jul. 1) (BR. 08) S-8 GREEN DOLPHIN SYSTEMS CORP, 2338 W BEAVER CREEK RD, POWELL, TN, 37849, 8883798693 - 1,950,000 ($214,500.00) Equity, (File 333-106727 - Jul. 1) (BR. 02) S-3 CROWN CASTLE INTERNATIONAL CORP, 510 BERING DRIVE, SUITE 500, HOUSTON, TX, 77057, 7135703000 - 15,597,783 ($122,910,530.04) Equity, (File 333-106728 - Jul. 1) (BR. 37) S-8 CALPINE CORP, 50 WEST SAN FERNANDO ST, SAN JOSE, CA, 95113, 4089955115 - 8,000,000 ($50,000,000.00) Equity, (File 333-106729 - Jul. 1) (BR. 02) S-3 NATIONWIDE HEALTH PROPERTIES INC, 610 NEWPORT CENTER DR, STE 1150, NEWPORT BEACH, CA, 92660-6429, 9497184400 - 5,000,000 ($79,250,000.00) Equity, (File 333-106730 - Jul. 1) (BR. 08) S-3 TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002, 4087476080 - 0 ($100,000,000.00) Other, (File 333-106731 - Jul. 1) (BR. 37) S-3 FIRST NATIONAL FUNDING LLC, 0 ($1,000,000.00) Other, (File 333-106732 - Jul. 1) (BR. 05) S-8 CALPINE CORP, 50 WEST SAN FERNANDO ST, SAN JOSE, CA, 95113, 4089955115 - 27,743,137 ($173,394,606.00) Equity, (File 333-106733 - Jul. 1) (BR. 02) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ---------------------------------------------------------------------------------- ACTIVE IQ TECHNOLOGIES INC CO X X 06/26/03 ACTIVISION INC /NY DE X 07/01/03 ADVANCED CELLULAR TECHNOLOGY INC CA X X 07/01/03 ADVANCED MEDICAL OPTICS INC DE X X 07/01/03 ADVANCEPCS DE X 06/30/03 AEP INDUSTRIES INC DE X 06/26/03 AEROCENTURY CORP DE X 06/30/03 AI SOFTWARE INC NV X 06/25/03 AIR PRODUCTS & CHEMICALS INC /DE/ DE X 06/30/03 AIR T INC DE X 03/31/03 AIRGAS INC DE X 06/27/03 AIRTRAN HOLDINGS INC NV X X X 07/01/03 ALARIS MEDICAL INC DE X 07/01/03 ALTERNATE MARKETING NETWORKS INC DE X X 07/01/03 AMERALIA INC UT X X 06/30/03 AMERICAN BIO MEDICA CORP NY X 07/12/03 AMERICAN MEDIA OPERATIONS INC DE X X 06/26/03 AMERITRANS CAPITAL CORP DE X X 07/01/03 ANGELCITI ENTERTAINMENT INC /FL/ NV X X 05/21/03 AMEND APHTON CORP DE X X 06/30/03 APPLE HOSPITALITY FIVE INC VA X 06/20/03 APPLIED MICROSYSTEMS CORP /WA/ WA X X 06/30/03 ARDEN REALTY INC MD X X 06/12/03 ARGENT SECURITIES INC X X 07/01/03 ARROW INTERNATIONAL INC PA X 06/24/03 ASCENDANT SOLUTIONS INC DE X X 06/25/03 ASSET BACKED SEC CORP HOME EQU LOAN T DE X X 06/29/03 AUDIOVOX CORP DE X X 06/26/03 AUTONATION INC /FL DE X X 06/30/03 AVADO BRANDS INC GA X 06/29/03 AVADO BRANDS INC GA X X 06/29/03 AVATAR HOLDINGS INC DE X 07/01/03 AXIOM PHARMACEUTICALS INC NV X X X X X 07/01/03 AMEND BALDWIN TECHNOLOGY CO INC DE X X 07/01/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X X 06/29/03 BANC OF AMERICA FUNDING CORP MORT PAS DE X X 06/29/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 06/29/03 BEAR STEARNS ARM TRUST 2002-7 DE X X 06/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 06/25/03 BENTLEY COMMUNICATIONS CORP/DE DE X 06/26/03 BIOANALYTICAL SYSTEMS INC IN X X 06/30/03 BLACK & DECKER CORP MD X X 07/01/03 BORGWARNER INC DE X X 07/01/03 AMEND CALGON CARBON CORPORATION DE X 06/30/03 CALLAWAY GOLF CO /CA DE X X 06/30/03 CALLISTO PHARMACEUTICALS INC DE X X 06/30/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 06/30/03 CATALINA MARKETING CORP/DE DE X 06/30/03 CATERPILLAR FINANCIAL SERVICES CORP DE X 06/30/03 CATERPILLAR INC DE X 07/01/03 CERES GROUP INC DE X X 06/26/03 CERES GROUP INC DE X X 06/26/03 CHART INDUSTRIES INC DE X X 07/01/03 CHARTER COMMUNICATIONS INC /MO/ DE X 06/30/03 CHASE FUNDING INC NY X X 06/25/03 CHASE MORTGAGE FINANCE CORP DE X X 06/25/03 CHICAGO BRIDGE & IRON CO N V X 06/27/03 CKE RESTAURANTS INC DE X X 07/01/03 COASTAL CARIBBEAN OILS & MINERALS LTD D0 X 06/24/03 AMEND COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 06/17/03 COMPUTER HORIZONS CORP NY X X 06/30/03 CONEXANT SYSTEMS INC DE X X 06/27/03 CONNETICS CORP DE X X 06/30/03 CONSOLIDATED EDISON INC NY X 06/24/03 CONSTELLATION BRANDS INC DE X X 07/01/03 COOPER INDUSTRIES LTD X X 07/01/03 CORIXA CORP DE X X 06/30/03 COVEST BANCSHARES INC DE X X 07/01/03 CREE INC NC X 06/30/03 CROWN PACIFIC PARTNERS L P DE X X 06/30/03 CSFB MORTGAGE SEC CORP COMM MORT PASS DE X X 06/25/03 CSFB MORTGAGE SEC CORP COMM MORT PS T DE X X 06/25/03 CSFB MORTGAGE-BACKED PASS-THROUGH CER DE X X 06/25/03 CVF TECHNOLOGIES CORP NV X 07/01/03 CWABS INC DE X X 06/30/03 CWABS INC DE X X 06/30/03 DATAWAVE SYSTEMS INC X 06/30/03 DAUPHIN TECHNOLOGY INC IL X X 06/30/03 DAYTON SUPERIOR CORP OH X 07/01/03 DELTA AIR LINES INC /DE/ DE X X 07/01/03 DELTA PETROLEUM CORP/CO CO X X 06/20/03 AMEND DELTAGEN INC DE X X X 06/27/03 DELTIC TIMBER CORP DE X 07/01/03 DENDRITE INTERNATIONAL INC NJ X X 07/01/03 DIAL CORP /NEW/ DE X X 06/30/03 DIAMETRICS MEDICAL INC MN X X 07/01/03 DICE INC DE X X 06/30/03 DIGITAL BROADBAND NETWORKS INC CO X 07/01/03 DISC INC/CA CA X X 06/30/03 DISCOVER CARD MASTER TRUST I DE X 06/30/03 DRIVER HARRIS CO NJ X 06/30/03 E LOAN INC DE X X 06/30/03 EDT LEARNING INC DE X X 07/01/03 EDUCATION LOANS INC /DE DE X X 06/25/03 ELECTRO SENSORS INC MN X X 06/24/03 EMMIS COMMUNICATIONS CORP IN X 05/31/03 EOG RESOURCES INC DE X 07/01/03 ESTERLINE TECHNOLOGIES CORP DE X X 07/01/03 EXCO RESOURCES INC TX X X 06/30/03 EXPLORATION CO OF DELAWARE INC DE X 06/30/03 FIDELITY SOUTHERN CORP GA X 06/26/03 FINANCIAL ASSET SECURITIES CORP DE X X 06/27/03 FINANCIAL ASSET SECURITIES CORP DE X X 06/27/03 FINISH LINE INC /DE/ DE X X 06/30/03 FIRST CITIZENS BANCORPORATION OF SOUT SC X X 06/30/03 FIRST HORIZON ASSET SECURITIES INC DE X X 06/30/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/17/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/17/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/17/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 06/17/02 FIRST UNION LEH BRO BANK OF AMER COM NY X X 06/18/03 FORD MOTOR CO DE X X 07/01/03 FORD MOTOR CREDIT CO DE X X 07/01/03 FOTOBALL USA INC DE X 07/01/03 GENERAL BINDING CORP DE X 07/01/03 GENTEK INC DE X 06/30/03 GENZYME CORP MA X 06/30/03 GERON CORPORATION DE X X 07/01/03 GLOBAL AXCESS CORP NV X X 07/01/03 GLOBAL LINKS CORP NV X X X 06/30/03 GOAMERICA INC DE X X 06/30/03 GOLF TRUST OF AMERICA INC MD X X X 06/17/03 GRAFTECH INTERNATIONAL LTD DE X 06/30/03 GREAT PLAINS ENERGY INC MO X X 06/30/03 GULFTERRA ENERGY PARTNERS L P DE X X 07/01/03 HAIN CELESTIAL GROUP INC DE X X 06/17/03 HEADWAY CORPORATE RESOURCES INC DE X X X 07/01/03 HEALTH & LEISURE INC /DE/ DE X 06/18/03 HEALTHSOUTH CORP DE X 06/30/03 IDT CORP DE X 12/19/01 AMEND IMH ASSETS CORP DE X X X 06/30/03 INDEPENDENT BANK CORP MI X 07/01/03 INSTANET INC CO X X X 06/25/03 INTEGRA BANK CORP IN X X 06/30/03 INTERLAND INC /MN/ MN X 06/30/03 INTERMUNE INC DE X X 06/30/03 INTERNATIONAL GAME TECHNOLOGY NV X X 06/29/03 INTRADO INC DE X 06/11/03 INTREPID CAPITAL CORP DE X X 06/16/03 JUPITERMEDIA CORP DE X X 06/30/03 KANSAS CITY LIFE INSURANCE CO MO X X 07/01/03 KEYSTONE AUTOMOTIVE INDUSTRIES INC CA X X 07/01/03 KINARK CORP DE X X 06/30/03 KOSAN BIOSCIENCES INC CA X 03/27/03 LEHMAN BROTHERS HOLDINGS INC DE X X 07/01/03 LEVEL 3 COMMUNICATIONS INC DE X X X 06/30/03 LEXENT INC DE X X 06/25/03 LIFE ENERGY & TECHNOLOGY HOLDINGS INC DE X 06/30/03 LINCOLN LOGS LTD NY X 07/01/03 MACQUARIE SECURITISATION LTD DE X X 06/19/03 MAINE & MARITIMES CORP X 06/30/03 MATERIAL SCIENCES CORP DE X X 07/01/03 MEDIX RESOURCES INC CO X 07/01/03 MEGO FINANCIAL CORP NY X 07/01/03 MERIX CORP OR X X 07/01/03 METROCALL HOLDINGS INC DE X X 06/30/03 MIDWEST BANC HOLDINGS INC DE X X 07/01/03 MILLENNIUM PHARMACEUTICALS INC DE X X 06/30/03 MINDSPEED TECHNOLOGIES INC DE X X 06/27/03 MISSION RESOURCES CORP DE X X 07/01/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 07/01/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 06/26/03 MORGAN STANLEY MORTGAGE PASS THR CERT DE X X 06/13/03 MSDW STRUCTURED SATURNS SERIES 2001-6 DE X 06/01/03 NASTECH PHARMACEUTICAL CO INC DE X X 06/17/03 NATURAL RESOURCE PARTNERS LP DE X X 06/30/03 NEOPHARM INC DE X X 06/30/03 NETSCOUT SYSTEMS INC DE X X 07/01/03 NEW WORLD PASTA CO DE X X 07/01/03 NISSAN AUTO RECEIVABLES 2003-B OWNER DE X X 06/17/03 NORTHWESTERN CORP DE X X 07/01/03 ONLINE GAMING SYSTEMS LTD \ DE X 07/01/03 ONLINE PROCESSING INC NV X X 07/01/03 PEETS COFFEE & TEA INC WA X X 06/30/03 PEOPLES BANCORP INC OH X 07/01/03 PETROCORP INC TX X X 07/01/03 PICCADILLY CAFETERIAS INC LA X X 06/30/03 PLAINS EXPLORATION & PRODUCTION CO CA X X 07/01/03 POLYMEDICA CORP MA X X X 06/30/03 PRG SCHULTZ INTERNATIONAL INC GA X X 07/01/03 PRIVATEBANCORP INC DE X 07/01/03 PROASSURANCE CORP DE X X 07/01/03 PROLOGIS MD X X 07/01/03 PRUDENTIAL FINANCIAL INC NJ X X 07/01/03 PRUDENTIAL FINANCIAL INC NJ X 06/27/03 PSYCHIATRIC SOLUTIONS INC DE X X X 06/30/03 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE X X 07/01/03 RAINBOW TECHNOLOGIES INC DE X X 07/01/03 REEDS JEWELERS INC NC X X 06/25/03 REGENT COMMUNICATIONS INC DE X X 06/30/03 REGIONS AUTO RECEIVABLES TRUST 2003-1 X X 06/16/03 SATCON TECHNOLOGY CORP DE X 06/11/03 SCHERING PLOUGH CORP NJ X X 06/30/03 SECURITISATION ADVISORY SERVICES PTY X X 06/23/03 SELECT MEDICAL CORP DE X X 06/30/03 SEMOTUS SOLUTIONS INC NV X X 07/01/03 SHELLS SEAFOOD RESTAURANTS INC DE X 07/01/03 SI DIAMOND TECHNOLOGY INC TX X X 06/30/03 SINA CORP X X X 06/30/03 SLM EDUCATION CREDIT FUNDING LLC X X 06/01/03 SMTEK INTERNATIONAL INC DE X 07/01/03 STAGE STORES INC NV X X 07/01/03 STRATEGIKA INC X 07/01/03 STRATOS LIGHTWAVE INC DE X X 06/25/03 STRUCTURED ASSET MORT INV INC MORT P DE X 06/21/03 STRUCTURED ASSET MORTGAGE INVEST MORT X X 06/21/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 06/21/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 06/01/03 SUMMIT AMERICA TELEVISION INC /TN/ TN X 06/30/03 SUN BANCORP INC PA X X 01/28/03 SUPERIOR GALLERIES INC NV X 06/30/03 TELEFLEX INC DE X X 07/01/03 TEREX CORP DE X X 07/01/03 TEREX CORP DE X X 07/01/03 THANE INTERNATIONAL INC DE X X 07/01/03 TOLL BROTHERS INC DE X X 07/01/03 TWELVE AMH ASSOCIATES LTD PARTNERSHIP DE X 06/20/03 UAL CORP /DE/ DE X X 07/01/03 AMEND UIL HOLDINGS CORP CT X 06/30/03 UNIT CORP DE X X 07/01/03 UNITED INDUSTRIES CORP DE X X 06/30/03 UNIVEST CORP OF PENNSYLVANIA PA X X X 06/30/03 UNIZAN FINANCIAL CORP OH X X 07/01/03 VERIZON COMMUNICATIONS INC DE X 07/01/03 VERSO TECHNOLOGIES INC MN X 02/12/03 AMEND VIALINK CO DE X 06/30/03 VIRAGEN INC DE X X 07/01/03 VIROPHARMA INC DE X 07/01/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 06/15/03 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 06/15/03 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X X 06/30/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 07/01/03 WATERFORD GAMING LLC DE X 07/01/03 WEATHERFORD INTERNATIONAL LTD D0 X X 05/14/03 WELLS FARGO ASSET SEC CORP MORT PASS DE X X 06/25/03 WESBANCO INC WV X X 06/30/03 WESTAR ENERGY INC /KS KS X X 06/30/03 WESTWOOD ONE INC /DE/ DE X 07/01/03 WILLIAMS COMPANIES INC DE X X 06/30/03 WILLIAMS CONTROLS INC DE X 06/30/03 WILSHIRE OIL CO OF TEXAS DE X X 06/30/03 WINMARK CORP MN X 06/30/03 WORLD GOLF INC DE X X X X 04/14/03 AMEND XO COMMUNICATIONS INC DE X X 06/30/03 ZILA INC DE X X 06/30/03 ZIONS BANCORPORATION /UT/ UT X 07/01/03