SEC NEWS DIGEST Issue 2003-150 August 6, 2003 COMMISSION ANNOUNCEMENTS SEC PROPOSES DISCLOSURE REQUIREMENTS RELATED TO DIRECTOR NOMINATIONS AND SHAREHOLDER COMMUNICATIONS At an open meeting today the Commission voted to propose rule changes that would strengthen disclosure requirements relating to nomination of directors and shareholder communications with directors. The proposals follow the recommendations made by the Division of Corporation Finance to the Commission in its July 15 "Staff Report: Review of the Proxy Process Regarding the Nomination and Election of Directors." The Staff Report is available on the Commission's Web site at www.sec.gov. Chairman William Donaldson said, "These rules are an important first step in improving the proxy process as it relates to the nomination and election of directors. The Commission believes that better information about the way board nominees are identified, evaluated and selected is critical for shareholder understanding of the proxy process regarding nomination and election of directors. We also believe that better information about the processes of shareholder communications with boards lies at the foundation of shareholder understanding of how they can interact with directors and director processes. We intend to continue our work in improving the proxy process by considering later this fall additional important proposals regarding enhanced shareholder access to the proxy process for nomination of directors. These are vital issues in strengthening the proxy process for the benefit of shareholders." These disclosure proposals represent the first step in the implementation of the recommendations in the Staff Report. The Commission anticipates considering further rule proposals later this fall regarding enhanced shareholder access to companies' proxy statements and forms of proxy for nomination of directors. The Staff Report also discusses possible access proposals. Today's proposals would call for important additional information regarding a company's process of nominating directors, including: * whether a company has a separate nominating committee and, if not, the reasons why it does not and who determines nominees for director; * whether members of the nominating committee satisfy independence requirements; * a company's process for identifying and evaluating candidates to be nominated as directors; * whether a company pays any third party a fee to assist in the process or identifying and evaluating candidates; * minimum qualifications and standards that a company seeks for director nominees; * whether a company considers candidates for director nominees put forward by shareholders and, if so, its process for considering such candidates; and * whether a company has rejected candidates put forward by large long-term institutional shareholders or groups of shareholders. Today's proposals also would call for important new information regarding shareholder communications with directors, including: * whether a company has a process for communications by shareholders to directors and, if not, the reasons why it does not; * the procedures for communications by shareholders with directors; * whether such communications are screened and, if so, by what process; and * whether material actions have been taken as a result of shareholder communications in the last fiscal year. These proposals would also apply to proxy statements of registered investment companies in the same manner that they apply to other companies. Today's proposals are expected to be available on the Commission's Web site within the next few days. The Commission is soliciting comment on today's proposals for a 30-day period following their publication in the Federal Register. (Press Rel. 2003-92) ENFORCEMENT PROCEEDINGS COMMISSION DECLARES DECISION FINAL AS TO STANSBURY HOLDINGS CORPORATION The decision of an administrative law judge with respect to Stansbury Holdings Corporation is final. The law judge sanctioned Stansbury based on findings that Stansbury willfully violated Sections 13(a) of the Securities Exchange Act of 1934 and Exchange Act Rules 12b-20, 13a-1, and 13a-13 by failing to file its annual report for fiscal year ending June 30, 2002, and quarterly reports for the quarters ending September 30 and Dec. 31, 2002. The law judge further found that Stansbury failed to report that certain mining properties were subject to foreclosure and that the State of Utah dissolved Stansbury's corporate charter on July 11, 2001. The law judge ordered that the registration of the common stock of Stansbury be revoked pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-48283; File No. 3-11108) COMMISSION INSTITUTES PROCEEDINGS AGAINST TWO FORMER BROKERS CONVICTED OF SECURITIES FRAUD IN "FREE-RIDING" SCHEME On August 5, the Commission instituted administrative proceedings against Richard P. Callipari of Washingtonville, New York and Thomas J. Connolly of Plymouth, Massachusetts. The Order Instituting Proceedings alleges that on April 25, 2001, a grand jury in Boston indicted Connolly for conspiracy to commit wire fraud. On May 10, 2002, Connolly pleaded guilty. Connolly is free on bond awaiting sentencing. On July 30, 2002, a grand jury in Providence indicted Callipari for conspiring with Connolly to defraud his employer, Fidelity Investments, ten counts of wire fraud, and corruptly endeavoring to obstruct and impede a Commission investigation by means of false, misleading, evasive, and deceptive testimony. Among other things, the indictments against Callipari and Connolly charged that Callipari and Connolly devised a scheme to free-ride in options through an account at a Fidelity Investments subsidiary that Connolly improperly opened in the name of Callipari's employer. Between July and early September 1997, Callipari and Connolly's illegal scheme resulted in profits of $500,000. In mid-September, however, the trading turned negative, resulting in about $2.39 million in losses. To avoid incurring liability for the losses, Callipari told traders at the Chicago Board of Options Exchange that he had not authorized the trades. As a result, the $2.39 million loss was charged to Fidelity. In February 1998, staff of the Boston District Office of the Securities and Exchange Commission took Callipari's testimony in connection with its formal investigation of the illegal scheme. Callipari falsely testified that he had never authorized the option trades in the Fidelity account. On Feb. 6, 2003, a federal jury convicted Callipari on all counts. On April 28, 2003, U.S. District Court Judge Mary Lisi sentenced Callipari to 30 months in prison, and ordered him to pay a $1,200 special assessment and a $7,500 fine. A hearing will be held before an administrative law judge to determine what, if any, remedial actions against the Respondents are appropriate and in the public interest. (Rel. 34-48288; File No. 3-11205) SEC ISSUES ORDER BARRING RYAN FONTAINE FROM ASSOCIATION WITH ANY INVESTMENT ADVISER On August 6, the Commission entered an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (the Order) against Ryan J. Fontaine. The Order is based on the entry of an injunction against Fontaine by the United States District Court for the Southern District of New York, in SEC v. Ryan J. Fontaine, et al., 02 Civ. 9420 (MBM), on July 17, 2003 (the injunctive action). Without admitting or denying the Commission's findings in the Order, except with respect to the Commission's jurisdiction over him and the entry of the injunction against him, which he admitted, Fontaine consented to entry of the Order, which bars him from association with any investment adviser. The Commission's complaint in the injunctive action alleged, among other things, that Fontaine, who is 22 years old and a resident of Bloomfield Hills, Michigan, was the president and sole shareholder of Simpleton Holdings Corporation a/k/a Signature Investments Hedge Fund (Signature), an unregistered investment company which also acted as an unregistered investment adviser. The complaint further alleged that, beginning as early as July 2002 and continuing through Oct. 22, 2002, Fontaine and Signature deceived investors into investing in Signature by fraudulently claiming, among other things, that: (a) Signature managed approximately $250 million; (b) Salomon Smith Barney was Signature's sub-adviser; (c) KPMG, LLP performed auditing services for Signature; and (d) Signature had earned above-average returns throughout its 13-year investment history. According to the complaint, all of these representations were false. The complaint alleged that Fontaine and Signature raised at least $29,300 from at least two investors by means of their fraudulent statements. Without admitting or denying the allegations in the Commission's complaint, Fontaine consented to the entry of a final judgment permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and ordering him to pay, jointly and severally with Signature, disgorgement, prejudgment interest, and civil penalties. For further information, see Litigation Release Nos. 18254 (July 28, 2003) and 17864 (Nov. 26, 2002). [SEC v. Ryan J. Fontaine and Simpleton Holdings Corporation a/k/a Signature Investments Hedge Fund, 02 Civ. 9420 SDNY (MBM)]. (Rel. IA-2155; File No. 3-11206) SEC FILES CONTEMPT ACTION AGAINST DEFENDANT GEORGE CARAPELLA AND RELIEF DEFENDANTS LEONORA CARAPELLA AND CARAPELL CAPITAL CORP. The Commission announced that on July 30, 2003, it filed with the U.S. District Court for the Middle District of Florida an Application for an Order to Show Cause why Defendant George Carapella (Carapella) and Relief Defendants Leonora Carapella and Carapell Capital Corp. (collectively, Relief Defendants) should not be held in civil contempt for failing to comply with the Court's Final Judgment of Permanent Injunction and Other Relief entered on July 12, 2002. On Jan. 22, 2002, the SEC filed its complaint, on an emergency basis, to prevent Carapella and others, from continuing to defraud the public through a "pump and dump" scheme involving the stock of Tel-One, Inc. That same day, the Court granted the SEC's request for a Temporary Restraining Order, and other interim relief. On July 12, 2002, the Court entered a Final Judgment of Permanent Injunction and Other Relief against Carapella and Relief Defendants (Judgment). The Judgment required that all disgorgement and civil penalties be paid in full no later than February 2003. To date, Carapella and Relief Defendants have not complied with the Judgment. The application is still pending before the Court. [SEC v. Tel-One, Inc., et al., Case No. 02-CV-120-T-30TGW, MD Fla.] (LR- 18272) SEC CHARGES UNREGISTERED INVESTMENT ADVISER WITH SECURITIES FRAUD The Commission announced today that it filed a settled civil injunctive action in the United States District Court for the Eastern District of Pennsylvania against Raymond C. Mohr (Mohr), formerly of Wayne, Pennsylvania, for violating the antifraud provisions of the federal securities laws. The Commission's complaint alleges that, from at least June 1993 until the fall of 2001, Mohr knowingly engaged in a Ponzi scheme in which he obtained approximately $9.6 million from 87 investors. As detailed in the complaint, Mohr misappropriated the funds for his personal use and to fund payments of principal and purported profits to clients who had invested at earlier points in time. Over the course of the eight years during which Mohr operated the Ponzi scheme, Mohr paid approximately $7.9 million in principal and purported profits to investors and used the remaining $1.7 million for his own personal use. Ultimately, Mohr's fraudulent scheme resulted in client losses of approximately $3.1 million. Without admitting or denying the allegations in the complaint, Mohr has agreed to settle with the Commission by consenting to the entry of a final judgment permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Mohr has also consented to a bar from the investment advisory and broker-dealer industries. The Commission brought this action in coordination with the U.S. Attorney for the Eastern District of Pennsylvania, who filed related criminal charges against Mohr. [SEC v. Raymond C. Mohr, Civil Action No. 03-CV-4540 (CG) ED Pa.] (LR-18273) FINAL DEFAULT JUDGMENT ENTERED SETTING AMOUNT OF DISGORGEMENT AND CIVIL PENALTIES AS TO PAUL RICHARD BELL AND OFFICER/DIRECTOR BAR The Commission announced that the Honorable Dee Benson, U.S. District Court Judge for the District of Utah, entered a Final Default Judgment Setting Amount of Disgorgement and Civil Penalties (Final Default Judgment) against Defendant Paul Richard Bell (Bell) on June 13, 2003. The Final Default Judgment against Bell orders him to pay $75,000 in disgorgement, representing his gains from the conduct alleged in the complaint and prejudgment interest in the amount of $4,406.20. The Final Default Judgment also orders Bell to pay a civil penalty in the amount of $110,000. Pursuant to a Default Final Judgment of Permanent Officer/Director Bar entered on July 31, 2003, Bell is also prohibited from acting as an officer and director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act. The disgorgement, civil penalties and officer/director bar were imposed pursuant to a Default Judgment of Permanent Injunction entered against Bell on March 24, 2003, permanently enjoining him from further violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [SEC v. First Florida Communications, Inc., et al., Case No. 2:02-0231B (Dist. of Utah)] (LR-18274) SEC CHARGES FORMER EXECUTIVES OF U.S. WIRELESS WITH FRAUD The Commission announced today that it has filed an action in federal court charging Oliver Hilsenrath and David S. Klarman with fraud and other misconduct in violation of the federal securities laws. Hilsenrath is the former Chief Executive Officer and Klarman the former General Counsel for U.S. Wireless Corporation (U.S. WIRELESS), headquartered in San Ramon, California. The Commission's complaint alleges as follows: From August 1997 to January 2000, Hilsenrath and Klarman had U.S. WIRELESS transfer common stock worth approximately $3.2 million and cash totaling approximately $428,000 to several offshore entities that they secretly owned and controlled. The transfers were part of a scheme by Hilsenrath and Klarman to extract assets from U.S. WIRELESS without providing any consideration in return. In order to conceal their misappropriation of company funds and stock, the defendants caused U.S. WIRELESS to make materially false and misleading statements in its 1998, 1999, and 2000 annual and periodic financial reports filed with the Commission. Under the direction of Hilsenrath and Klarman, the cash and stock transfers were originally recorded in U.S. WIRELESS's books and financial statements as compensation for services or as the sale of stock for valid consideration. Hilsenrath and Klarman also made misrepresentations about the transfers to U.S. WIRELESS's auditors. The defendants also made false statements in at least one Form S-3 filing. In early 2001, U.S. WIRELESS's Board of Directors received information challenging the validity of the transfers. Once the unauthorized and illegal character of the transfers was recognized, U.S. WIRELESS restated its financial results for fiscal 2000 to increase its annual net loss from $11.4 million to $17.7 million, or by 35%. The Commission's complaint charges Hilsenrath and Klarman with violating Section 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 13(b)(5) of the Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder and aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The Commission seeks an order enjoining Hilsenrath and Klarman from future violations of these provisions, barring them from serving as directors or officers of companies reporting to the Commission, requiring them to disgorge their ill-gotten gains, and requiring them to pay civil money penalties. In a separate action, the U.S. Attorney's Office for the Northern District of California filed criminal charges against Hilsenrath and Klarman. [SEC v. Oliver Hilsenrath and David S. Klarman, Civil Action No. C-03-3252 (BZ) ND Cal.] (LR-18275; AAE Rel. 1831) HOLDING COMPANY ACT RELEASES CENTERPOINT ENERGY INC., ET AL. A supplemental order has been issued regarding CenterPoint Energy, Inc., (CenterPoint), a registered holding company, its public-utility subsidiary company, CenterPoint Energy Houston Electric, LLC (T&D Utility) and Utility Holding, LLC, an intermediate holding company, releasing jurisdiction over $250 million of the T&D Utility additional debt limit such that the amount of T&D Utility external debt securities under the aggregate debt limit will not exceed $3.603 billion at any one time outstanding through June 30, 2005. (Rel. 35-27705) KEYSPAN CORPORATION, ET AL. An order has been issued authorizing KeySpan Corporation, a registered holding company, and certain subsidiaries to acquire indirectly, and a certain nonutility subsidiary to acquire directly, all of the issued and outstanding common stock of Bard, Roa + Athanas Consulting Engineers, Inc., a company primarily engaged in the design, construction, installation, maintenance, and service of heating, ventilating and air conditioning systems. (Rel. 35-27708) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2003-41) and Amendment Nos. 1 and 2 thereto, by the American Stock Exchange relating to listing fees for closed-end funds. (Rel. 34-48275) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the National Securities Clearing Corporation to allow NSCC to amend Rule 16 and Addendum P to implement fines for members and non-clearing members utilizing NSCC's Commission Settlement service when they fail to timely pay all or part of their monthly commission settlement obligations to NSCC (SR-NSCC-2003-17) 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 August 11. (Rel. 34-48290) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.0001 par value, of Headway Corporate Resources, Inc., effective at the opening of business on August 6. (Rel. 34-48291) 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 COUNTRYWIDE FINANCIAL CORP, 4500 PARK GRANADA BLVD, CALABASAS, CA, 91302, 8182253000 - 1,000,000 ($65,750,000.00) Other, (File 333-107649 - Aug. 5) (BR. 07) S-8 DALE JARRETT RACING ADVENTURE INC, 4279 BURNWOOD TRAIL, SUITE, DENVER, NC, 28037, 8884672231 - 500,000 ($52.58) Equity, (File 333-107650 - Aug. 5) (BR. 08) S-8 FAMILY ROOM ENTERTAINMENT CORP, 1041 NORTH FORMOSA AVENUE, MARY PICKFORD BUILDING SUITE 101, LOS ANGELES, CA, 90046, 3238502800 - 536,000 ($75,040.00) Equity, (File 333-107651 - Aug. 5) (BR. 05) S-8 CERISTAR INC, 50 WEST BROADWAY, SUITE 1100, SALT LAKE CITY, UT, 84101, 8013502017 - 1,074,308 ($1,342,885.00) Equity, (File 333-107656 - Aug. 5) (BR. 37) S-8 GLOBAL BUSINESS RESOURCES INC, 22154 MARTELLA AVENUE, BOCA RATON, FL, 33433, 5614519674 - 500,000 ($250,000.00) Equity, (File 333-107657 - Aug. 5) (BR. 09) S-8 INJECTOMATIC SYSTEMS INTERNATIONAL INC, P O BOX 2654, PALM BEACH, FL, 33480, 5616591660 - 1,500,000 ($150,000.00) Equity, (File 333-107658 - Aug. 5) (BR. 08) S-8 HANOVER COMPRESSOR CO /, 12001 N HOUSTON ROSSLYN, HOUSTON, TX, 77086, 2814478787 - 3,000,000 ($28,950,000.00) Equity, (File 333-107659 - Aug. 5) (BR. 06) S-3 INTERSTATE HOTELS & RESORTS INC, 1010 WISCONSIN AVE NW, WASHINGTON, DC, 20007, 2029654455 - 0 ($1,130,900.00) Equity, (File 333-107660 - Aug. 5) (BR. 08) S-8 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382, 8047470136 - 0 ($40,387,500.00) Equity, (File 333-107661 - Aug. 5) (BR. 01) S-8 INSIGHT COMMUNICATIONS CO INC, 126 EAST 56TH STREET, NEW YORK, NY, 10022, 2123712266 - 0 ($32,914,500.00) Equity, (File 333-107666 - Aug. 5) (BR. 37) S-3 WILSON GREATBATCH TECHNOLOGIES INC, 10000 WEHRLE DR, CLARENCE, NY, 14031, 7167596901 - 170,000,000 ($170,000,000.00) Debt Convertible into Equity, (File 333-107667 - Aug. 5) (BR. 36) S-8 HARTMARX CORP/DE, 101 N WACKER DR, CHICAGO, IL, 60606, 3123726300 - 0 ($1.00) Equity, (File 333-107668 - Aug. 5) (BR. 02) S-8 FIRST MARINER BANCORP, 1801 S CLINTON STREET, BALTIMORE, MD, 21224, 4103422600 - 250,000 ($3,722,500.00) Equity, (File 333-107669 - Aug. 5) (BR. 07) S-3 FIRST MARINER BANCORP, 1801 S CLINTON STREET, BALTIMORE, MD, 21224, 4103422600 - 888,602 ($13,231,284.00) Equity, (File 333-107670 - Aug. 5) (BR. 07) S-8 TELECOMM COM INC, 6836 BEE CAVE RD, STE 242, AUSTIN, TX, 78746, 5126176351 - 5,000,000 ($150,000.00) Equity, (File 333-107671 - Aug. 5) (BR. 37) S-8 KAIRE HOLDINGS INC, 8182554996 - 15,000,000 ($15,000.00) Equity, (File 333-107672 - Aug. 5) (BR. 01) S-8 PHILADELPHIA SUBURBAN CORP, 762 LANCASTER AVE, BRYN MAWR, PA, 19010, 2155278000 - 120,000 ($2,785,200.00) Equity, (File 333-107673 - Aug. 5) (BR. 02) S-3 WESTWOOD HOLDINGS GROUP INC, 300 CRESCENT COURT, SUITE 1300, DALLAS, TX, 75201, 2147566900 - 210,000 ($4,078,200.00) Equity, (File 333-107674 - Aug. 5) (BR. 07) S-8 COMMUNITY SHORES BANK CORP, 2317801800 - 0 ($1,542,000.00) Equity, (File 333-107675 - Aug. 5) (BR. 07) S-3 DENBURY RESOURCES INC, 5100 TENNYSON PARKWAY, SUITE 3000, PLANO, TX, 75024, 9726732000 - 0 ($350,000.00) Equity, (File 333-107676 - Aug. 5) (BR. 04) S-8 BOEING CO, P O BOX 3707 MS 1F 31, SEATTLE, WA, 98124, 2066552121 - 0 ($1,731,015,000.00) Equity, (File 333-107677 - Aug. 5) (BR. 05) S-8 ALLSTREAM INC, SUITE 1600, 200 WELLINGTON STREET WEST, TORONTO ONTARIO CANADA, CALGARY ALBERTA, A0, 4032622255 - 2,000,000 ($80,960,000.00) Equity, (File 333-107678 - Aug. 5) (BR. 37) S-8 SABA SOFTWARE INC, 2400 BRIDGE PARKWAY, SIOTE 150, REDWOOD SHORES, CA, 94065-1166, 6506963822 - 0 ($4,144,141.47) Equity, (File 333-107679 - Aug. 5) (BR. 03) S-8 RASCALS INTERNATIONAL INC, 414 EAGLE ROCK AVENUE, STE 308, WEST ORANGE, NJ, 07052, 9732438080 - 2,000,000 ($1,500,000.00) Equity, (File 333-107680 - Aug. 5) (BR. 05) S-3 BALTIMORE GAS & ELECTRIC CO, 39 WEST LEXINGTON STREET, BALTIMORE, MD, 21201, 4107833624 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-107681 - Aug. 5) (BR. 02) S-4 FLEXTRONICS INTERNATIONAL LTD, 0654495255 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-107682 - Aug. 5) (BR. 36) S-8 SPORT CHALET INC, ONE SPORT CHALET DRIVE, LA CANADA, CA, 91101, 8187902717X256 - 50,000 ($356,250.00) Equity, (File 333-107683 - Aug. 5) (BR. 02) N-2 PIONEER ALLWEATHER FUND LLC, 100,000 ($1,000,000.00) Equity, (File 333-107684 - Aug. 5) (BR. ) S-8 NORTEL NETWORKS CORP, 9058630000 - 0 ($1,460,000.00) Equity, (File 333-107685 - Aug. 5) (BR. 37) S-8 SAGA COMMUNICATIONS INC, 73 KERCHEVAL AVE, GROSSE POINTE FARMS, MI, 48236, 3138867070 - 0 ($36,240,000.00) Equity, (File 333-107686 - Aug. 5) (BR. 37) S-3 EMPIRE DISTRICT ELECTRIC CO, 602 JOPLIN ST, JOPLIN, MO, 64801, 4176255100 - 200,000,000 ($200,000,000.00) Other, (File 333-107687 - Aug. 5) (BR. 02) S-4 OWENS ILLINOIS GROUP INC, ONE SEAGATE, TOLEDO, OH, 43666, 4192475000 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-107688 - Aug. 5) (BR. 06) 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 ------------------------------------------------------------------------------------ 21ST CENTURY HOLDING CO FL X 08/04/03 AAIPHARMA INC DE X X X 08/05/03 ACCREDITED MORT LOAN TRUST ASSET BAC DE X 07/25/03 ACME COMMUNICATIONS INC DE 08/05/03 ACNB CORP PA X 08/01/03 ADVANCED TOBACCO PRODUCTS INC TX X 08/01/03 ADVANSTAR COMMUNICATIONS INC NY X X 08/05/03 ADVANSTAR INC DE X X 08/05/03 AEROFLEX INC DE X 07/31/03 AGILE SOFTWARE CORP DE X X 08/05/03 ALBANY MOLECULAR RESEARCH INC DE X 04/05/03 ALEXION PHARMACEUTICALS INC DE X X 08/04/03 ALLEGIANT BANCORP INC/MO/ MO X 08/04/03 ALLIANCE GAMING CORP NV 08/04/03 AMERIANA BANCORP IN X 08/05/03 AMERICA ONLINE LATIN AMERICA INC DE 08/05/03 AMERICA WEST HOLDINGS CORP DE X X 08/05/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X 07/25/03 AMERIQUEST MORT SEC INC ASSET BACK PS DE X 07/25/03 AMERIQUEST MORT SEC INC ASSET BACKED DE X 07/25/03 AMERIQUEST MORTGAGE SEC INC ASSET BAC DE X 07/25/03 AMERIQUEST MORTGAGE SEC INC ASSET BCK DE X 07/25/03 AMERIQUEST MORTGAGE SEC INC ASST BACK DE X 07/25/03 AMERIQUEST MORTGAGE SEC INC AST BACK DE X 07/25/03 AMERIQUEST MORTGAGE SECURITIES INC SE DE X 07/25/03 AMERIQUEST MORTGAGE SECURITIES INC SE DE X X 05/09/03 AMREIT TX X X 06/30/03 ANDREW CORP DE X X 08/04/03 APPLIED GRAPHICS TECHNOLOGIES INC DE X 08/04/03 APPLIED MOLECULAR EVOLUTION INC DE X 08/05/03 ARC WIRELESS SOLUTIONS INC UT X 07/09/03 ARCH CAPITAL GROUP LTD DE X X 07/31/03 ARGENT SECURITIES INC X 07/10/03 ARISTOTLE CORP DE 06/30/03 ARK RESTAURANTS CORP NY X 07/31/03 ARRIS GROUP INC DE X 08/05/03 ASANTE TECHNOLOGIES INC DE X X 07/28/03 ASB FINANCIAL CORP /OH OH X 07/28/03 ASCENTIAL SOFTWARE CORP DE X X 08/02/03 ASHCROFT HOMES CORP CO X 07/16/03 ASSET BACKED PASS THROUGH CERTIFICATE DE X 07/25/03 ASSET-BACKED CERTIFICATE SERIES 2003- DE X 07/25/03 ASTROCOM CORP MN X X 08/04/03 ASYST TECHNOLOGIES INC /CA/ CA X 07/22/03 AUDIBLE INC X X 08/04/03 AUSPEX SYSTEMS INC DE X X 07/22/03 AUSPEX SYSTEMS INC DE X X 06/20/03 AMEND AVADO BRANDS INC GA X 06/29/03 AVANEX CORP DE X 08/04/03 AXEDA SYSTEMS INC DE 08/05/03 BALLY TOTAL FITNESS HOLDING CORP DE X 08/05/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 07/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 07/25/03 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 07/25/03 BANK OF AMERICA 1999-10 NC X 07/25/03 BANK OF AMERICA 1999-11 NC X 07/25/03 BANK OF AMERICA 1999-3 NC X 07/25/03 BANK OF AMERICA 1999-4 DE X 07/25/03 BANK OF AMERICA 1999-5 NC X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS NC X 07/25/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X 07/25/03 BEDFORD PROPERTY INVESTORS INC/MD MD X X X 08/05/03 BIOMARIN PHARMACEUTICAL INC DE X 08/05/03 BLOCK COMMUNICATIONS INC OH X X 07/30/03 BLUE MARTINI SOFTWARE INC X X 08/05/03 BOE FINANCIAL SERVICES OF VIRGINIA IN VA 07/25/03 BRIAZZ INC WA X X 08/01/03 BRIDGE TECHNOLOGY INC NV X X 08/05/03 BRIDGE TECHNOLOGY INC NV X X 08/05/03 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