SEC NEWS DIGEST Issue 2003-196 October 15, 2003 COMMISSION ANNOUNCEMENTS CHANGE IN THE MEETING: ADDITIONAL ITEM The following item has been added to the closed meeting of Thursday, October 16, 2003: Litigation matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 942-7070. RULES AND RELATED MATTERS SEC ISSUES PROPOSED RULES REGARDING INCLUSION OF SECURITY HOLDER NOMINEES FOR DIRECTOR IN COMPANY PROXY MATERIALS On October 14, the Commission proposed new Rule 14a-11 under the Securities Exchange Act of 1934 and amendments to rules, schedules, and forms under the Securities Exchange Act of 1934 and the Investment Company Act of 1940. The amendments would require operating companies and investment companies that are subject to the Commission's proxy rules to include in their proxy materials the names of nominees for director that are submitted by certain security holders, as well as disclosure relating to those nominees. As proposed, the requirement would not be applicable to a company until the occurrence of one or both of two triggering events that are intended to evidence significant shareholder dissatisfaction with the effectiveness of the proxy process at that company. 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 and proposed rules are available on the Commission's website at www.sec.gov. For further information, please contact Lillian Brown, Division of Corporation Finance, at (202) 824-5250 or, with respect to investment companies, John Faust, Division of Investment Management, at (202) 942-0721. (Rels. 34-48626; IC-26206; File No. S7-19-03). ENFORCEMENT PROCEEDINGS IN THE MATTER OF JOSEPH KANE, JR. On October 15, the Commission instituted settled administrative proceedings against Joseph C. Kane, Jr. (Kane), a registered representative formerly associated with two New York broker-dealers. Kane consented, without admitting or denying the Commission's findings, to the entry of an Order barring him from association with any broker or dealer. In the Commission's Order Instituting Administrative Proceedings Pursuant to Sections 15(b) of the Securities Exchange Act of 1934 (Order), the Commission found that from 1989 to April 1996, Kane violated federal securities laws while working as a registered representative by engaging in a scheme to defraud his brokerage customers of approximately $595,000 in funds and securities. In conducting his fraudulent scheme, Kane made materially false and misleading statements to induce his customers to make investments, executed an unauthorized transaction, forged the signatures of certain customers, fabricated confirmation statements and made misrepresentations to conceal his fraudulent conduct. When Kane's conduct was discovered, he repaid one victim with funds he fraudulently obtained from another customer. In a related civil action, SEC v. Joseph C. Kane, Jr., 97 Civ. 2931, filed in the U.S. District Court for the Southern District of New York on April 24, 1997, the Commission charged that Kane, as a result of the foregoing conduct, violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On April 11, 2002, the Court entered a partial final consent judgment permanently enjoining Kane from future violations of these federal securities laws. On March 31, 2003, the Court imposed a $200,000 civil penalty against Kane for his violations. For further information see Litigation Release No. 18066. (Rel. 34-48628; File No. 3-11297) CEASE-AND-DESIST ORDER ISSUED AGAINST VANTAGEMED CORPORATION On October 15, the Commission instituted and simultaneously settled a cease-and-desist proceeding against VantageMed Corporation (VantageMed) of Rancho Cordova, California. The Order Instituting Cease-And-Desist Proceedings, Making Findings, And Imposing A Cease-And-Desist Order Pursuant To Section 21C Of The Securities Exchange Act Of 1934 (Order) finds that VantageMed materially misstated its financial results for its third quarter ended Sept. 30, 2001, and directs VantageMed to cease and desist from violations of the periodic reporting and books and records provisions of the federal securities laws. VantageMed consented to the issuance of the Order without admitting or denying its findings. According to the Commission's Order, VantageMed improperly recognized a gain on the sale of a business line. By recording the gain on the sale of a business line, the Company reduced its expenses, net loss and diluted loss per share for the quarter ended Sept. 30, 2001. The Order finds that in May 2002, following an internal investigation by its audit committee, VantageMed restated its financial results for the quarter ended Sept. 30, 2001. The primary component of the restated quarter was the reversal of the previously recognized $429,000 gain on the sale of a business line (including $30,000 of previously deferred revenue) because by the time the financial statements were filed with the Commission, it was uncertain the buyers of the business line would be able to pay for the business line. The restatement revealed that as originally reported, VantageMed's expenses were overstated by 4.9%, net loss by 20.5%, and diluted earnings per share by 20.8%, as a result of recording the gain on the sale of the business line. The Order directs VantageMed to cease and desist from committing or causing any violation and any future violation of Sections 13(a) and 13(b)(2)(A) of the Securities Exchange Act of 1934, and Rules 12b-20 and 13a-13 thereunder. In a related matter, the Commission announced that it has filed an action in U.S. District Court against the former Chief Financial Officer of VantageMed, Joel M. Harris and the former Chief Accounting Officer of VantageMed, Anne H. Long for their alleged role in the events that are the subject of the Order concerning VantageMed. The Commission simultaneously settled the action resulting in a judgment imposing an injunction against future violations and payment of civil monetary penalties. (Rel. 34-48629; AAE Rel. 1897; File No. 3-11298) FORMER HIGH-RANKING ATTORNEY AT CAMBRIDGE BIOTECH COMPANY PLEADS GUILTY TO INSIDER TRADING CHARGE The Commission announced today that on October 3 Andrew S. Marks, of Wayland, Massachusetts, pled guilty to a one-count information filed by the U.S. Attorney for the District of Massachusetts charging him with unlawful insider trading in connection with his September 2001 sale of stock in Vertex Pharmaceuticals, Inc., a Cambridge-based biotechnology company. The criminal information alleged that Marks, who at the time was Vertex's highest-ranking attorney, learned on Sept. 20, 2001, that Vertex planned to announce the suspension of clinical trials of one of its promising drugs on September 24. According to the information, on September 21, Marks liquidated all of his Vertex stock despite having previously acknowledged in writing that the impending release would not be viewed favorably by Wall Street and that he should not sell his Vertex shares. Sentencing has been scheduled for Dec. 16, 2003. According to the criminal information, at the time he traded, Marks was the designated attorney for employees to contact regarding compliance with Vertex's employee securities trading policy. In that capacity, the information alleged, Marks wrote Vertex's CEO an email on September 20, advising him to make sure that an employee who had requested permission to trade had no knowledge of the impending press release. According to the information, Marks' email went on to say: . . . I guess I am troubled about any employee trading prior to that release because it is likely to have an effect on the stock (looks like I can't sell any shares) and, depending on the degree of that effect, could create the perception of insider trading. . . . The criminal information alleged that, on September 21, less than 24 hours after writing this email to the CEO, Marks sold 20,900 shares of Vertex at an average price of $22.81 per share, receiving $476,765. According to the information, Marks traded in breach of a fiduciary duty not to trade in Vertex's stock while in possession of material, nonpublic information regarding Vertex. As a result of the conduct described in the information, the U.S. Attorney charged Marks with criminal violations of the antifraud provisions of federal securities laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b- 5 thereunder. The Commission previously filed a complaint against Marks in connection with the same conduct in Massachusetts federal court on Dec. 3, 2002, alleging that Marks violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. In that action, which is still pending, the Commission seeks injunctive relief, disgorgement plus prejudgment interest, and civil penalties, and further seeks an order barring Marks from acting as an officer or director of any publicly-traded company. That litigation is currently pending. [U.S. v. Andrew S. Marks, USDC, District of Massachusetts, No. 03-10297 (DPW) D.Mass.] (LR-18409) SEC SETTLES ACCOUNTING FRAUD CASE AGAINST FORMER TOP OFFICERS OF DEFENSE CONTRACTOR SIGNAL TECHNOLOGY CORPORATION The Commission announced today that on June 26, 2003, the Honorable Patricia V. Trumbull, of the United States District Court for the Northern District of California, entered final judgments against seven former senior officers of Signal Technology Corp., a Danvers, Massachusetts defense contractor formerly located in Sunnyvale, California. The Court entered injunctions against all defendants, ordered that six of the seven defendants pay civil monetary penalties, and barred the four defendants who had been the most senior officers of the company from serving as officers or directors of public companies. The defendants consented to the judgments, without admitting or denying the allegations in the Commission's lawsuit. In the suit, the Commission alleged that defendants caused Signal Tech to inflate its reported earnings by over $9 million from January 1996 through June 1998. According to the Complaint, each of the individual defendants personally directed or participated in the company's improper accounting practices at its Florida-based Keltec division, when it failed to record known losses on major contracts, prematurely recognized revenue, and failed to write off worthless inventory. As a result of the defendants' accounting fraud, the Complaint alleged, Signal Tech misstated its net income by amounts ranging from 8% to 294% in financial statements filed for reporting periods during January 1996 through March 1998 and reported a profit, rather than its actual loss, for the year 1997. The Commission alleged that the defendants' conduct violated the antifraud, periodic reporting, record keeping, internal controls and lying to auditors provisions of the federal securities laws. The final judgments ordered the following relief from the defendants: Dale Peterson, Signal Tech's Chief Executive Officer and Chairman of the Board from 1994 to mid-1998, was ordered to pay a civil monetary penalty of $100,000, was barred from serving as an officer or director of a public company, and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5, 12b- 20, 13a-1, 13a-13, 13b2-1 and 13b2-2. Russell Kinsch, Signal Tech's Chief Financial Officer from February 1996 through June 1997, was ordered to pay a civil monetary penalty of $50,000, was barred from serving as an officer or director of a public company, and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1 and 13b2-2. James Walsh, president of Signal Tech from May 1993 until August 1997 and vice chairman and chief technical officer from August 1997 until December 1997, who also served as Keltec's de facto president during the third quarter of 1997, was ordered to pay a civil monetary penalty of $75,000, was barred from serving as an officer or director of a public company, and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13 and 13b2-1. Richard Nabozny, vice president of operations of Signal Tech from 1992 through June 1998 and Keltec's president from January through June 1998, was ordered to pay a civil monetary penalty of $75,000, was barred from serving as an officer or director of a public company, and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b- 5, 12b-20, 13a-1, 13a-13 and 13b2-1. Michael Smith, president of the company's Keltec division from February 1996 until March 1997, was ordered to pay a civil monetary penalty of $50,000 and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13 and 13b2-1. Charles Balentine, controller of the Keltec division from February 1996 to March 1998, was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-13 and 13b2-1. Wayne Armstrong, president of Keltec from March 1997 through December 1997, was ordered to pay a civil monetary penalty of $25,000 and was permanently enjoined from violating Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 10b- 5, 12b-20, 13a-1, 13a-13 and 13b2-1. For more information see also, Litigation Release No. 17439 (March 27, 2002). [SEC v. Dale Peterson, et al., USDC, NDCA, Civil Action No. C02-01467] (LR-18410; AAE Rel. 1896) INVESTMENT COMPANY ACT RELEASES HENNION & WALSH, ET AL. A notice has been issued giving interested persons until Nov. 7, 2003, to request a hearing on an application filed by Hennion & Walsh, Inc. (Sponsor), Smart Trust, Equity Securities Trust, Symphony Series and EST Symphony Trust. Applicants request an order (a) under Section 12(d)(1)(J) of the Investment Company Act to permit certain series of registered unit investment trusts to offer and sell their units to the public with a sales load that exceeds the 1.5% limit in Section 12(d)(1)(F)(ii); (b) under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act to permit the trust series to invest in affiliated registered investment companies within the limits of Section 12(d)(1)(F) of the Act; and (c) under Section 6(c) of the Act for an exemption from Sections 14(a) and 19(b) of the Act and rule 19b-1 under the Act to permit the trust series to publicly offer their units without the Sponsor having to take for its own account or place with others $100,000 worth of units, and to permit the trust series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-26207 -October 14) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Cincinnati Stock Exchange filed a proposed rule change (SR-CSE-2003- 06) to amend Article IV of its By-Laws pertaining to its listing standards. Publication of the proposal is expected in the Federal Register during the week of October 13. (Rel. 34-48624) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-152) filed by the National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., delaying the implementation of rule changes regarding reporting of transactions conducted through Electronic Communications Networks until Oct. 27, 2003, 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 October 13. (Rel. 34-48625) 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: . SB-2 CANPRO PLACEMENT SERVICES INC, 3636 WEST 18TH, BANCOUVER BRITISH COLUMIBA, CANADA, A1, V6S1B2, 2,000,000 ($200,000.00) Equity, (File 333-109603 - Oct. 10) (BR. 09) S-4 TOLL BROTHERS INC, 3103 PHILMONT AVE, HUNTINGDON VALLEY, PA, 19006, 2159388000 - 500,000,000 ($250,000,000.00) Other, (File 333-109604 - Oct. 10) (BR. 06) SB-2 SILVERADO GOLD MINES LTD, 1111 WEST GEORGIA ST, SUITE 505, VANCOUVER BC CANADA, A1, V6E 4M3, 6046891535 - 23,500,000 ($4,230,000.00) Equity, (File 333-109605 - Oct. 10) (BR. 04) F-6 RINKER GROUP LTD, 100,000,000 ($5,000,000.00) Equity, (File 333-109606 - Oct. 10) (BR. 06) S-3 PRIVATE MEDIA GROUP INC, 3230 FLAMINGO ROAD, SUITE 156, LAS VEGAS, NV, 89121, 8012729370 - 0 ($4,874,218.75) Equity, (File 333-109607 - Oct. 10) (BR. 05) SB-2 42ND STREET MANAGEMENT GROUP INC, 200,000 ($20,000.00) Equity, (File 333-109608 - Oct. 10) (BR. 09) S-3 NOMURA ASSET ACCEPTANCE CORP, 2 WORLD FIN'L CNTR - BLDG B 21ST FLR, NEW YORK, NY, 10281, 2126679300 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-109614 - Oct. 10) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 15,000,000 ($623,250,000.00) Equity, (File 333-109615 - Oct. 10) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 30,000,000 ($1,246,500,000.00) Equity, (File 333-109616 - Oct. 10) (BR. 05) S-8 ENERGAS RESOURCES INC, 800 NE 63RD STREET, THIRD FLOOR, OKLAHOMA CITY, OK, 73105, 4058791752 - 0 ($1,050,000.00) Equity, (File 333-109617 - Oct. 10) (BR. 04) S-8 EMPYREAN COMMUNICATIONS INC, 2537 SOUTH GESSNER SUITE 114, HOUSTON, TX, 77063, 7132607236 - 7,000,000 ($280,000.00) Equity, (File 333-109618 - Oct. 10) (BR. 05) S-8 WORTHINGTON INDUSTRIES INC, 1205 DEARBORN DR, COLUMBUS, OH, 43085, 6144383210 - 7,000,000 ($94,080,000.00) Equity, (File 333-109619 - Oct. 10) (BR. 06) S-3 BERKLEY W R CORP, 475 STEAMBOAT ROAD, ., GREENWICH, CT, 06830, 2036293000 - 0 ($750,000,000.00) Other, (File 333-109621 - Oct. 10) (BR. 01) S-8 DTE ENERGY CO, 2000 2ND AVENUE, ROOM 2412, DETRIOT, MI, 48226-1279, 3132354000 - 0 ($394,956,000.00) Equity, (File 333-109623 - Oct. 10) (BR. 02) S-8 AMERICAN COMMERCE SOLUTIONS, 1400 CHAMBER DRIVE, BARTOW, FL, 33830, 863-533-0326 - 0 ($1,400,000.00) Equity, (File 333-109624 - Oct. 10) (BR. 36) S-3 PEP BOYS MANNY MOE & JACK, 3111 W ALLEGHENY AVE, PHILADELPHIA, PA, 19132, 2152299000 - 0 ($300,000,000.00) Other, (File 333-109625 - Oct. 10) (BR. 02) S-3 AUTHENTIDATE HOLDING CORP, 2165 TECHNOLOGY DRIVE, SCHENECTADY, NY, 12306, 5183569741 - 1,651,633 ($10,231,867.00) Equity, (File 333-109626 - Oct. 10) (BR. 03) S-8 NETWORK APPLIANCE INC, 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 1,000,000 ($22,470,000.00) Equity, (File 333-109627 - Oct. 10) (BR. 03) F-3 NETEASE COM INC, 15TH FL NORTH TOWER BEIJING KERRY CENTRE, NO.1 GUANGHUA RD CHAOYANG DISTRICT BEIJI, 8610-6561-8811 PEOPLES REP OF, F5, 00000, 011861065618811 - 0 ($151,940,000.00) Other, (File 333-109628 - Oct. 10) (BR. 03) S-2 HYBRIDON INC, 345 VASSAR STREET, CAMBRIDGE, MA, 02139, 6176795500 - 0 ($33,435,027.00) Equity, (File 333-109630 - Oct. 10) (BR. 01) S-8 DATATEC SYSTEMS INC, 23 MADISON RD, FAIRFIELD, NJ, 07004, 9738084000 - 2,000,000 ($2,460,000.00) Equity, (File 333-109631 - Oct. 10) (BR. 03) S-8 HY TECH TECHNOLOGY GROUP INC, 1840 BOY SCOUT DRIVE, FORT MEYERS, FL, 33907, 2392784111 - 6,950,000 ($312,750.00) Equity, (File 333-109632 - Oct. 10) (BR. 08) S-3 WEBFINANCIAL CORP, 150 EAST 52ND STREET 21ST FLOOR, NEW YORK, NY, 10022, 2128131500 - 0 ($10,000,000.00) Equity, (File 333-109633 - Oct. 10) (BR. 02) S-3 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 8,327,437 ($111,920,753.28) Equity, (File 333-109634 - Oct. 10) (BR. 36) S-8 CAVALCADE OF SPORTS MEDIA INC, 12268 VIA LATINA, DEL MAR, CA, 92914, 8584812207 - 2,350,000 ($1,380,000.00) Equity, (File 333-109635 - Oct. 10) (BR. 03) S-3 SUN BANCORP INC /NJ/, 226 LANDIS AVENUE, VINELAND, NJ, 08360, 8566917700 - 1,495,000 ($34,833,500.00) Equity, (File 333-109636 - Oct. 10) (BR. 07) S-8 AMNIS SYSTEMS INC, 3450 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 6508550200 - 50,000,000 ($2,500,000.00) Equity, (File 333-109637 - Oct. 10) (BR. 37) S-8 JNI CORP, 10945 VISTA SORRENTO PARKWAY, SAN DIEGO, CA, 92130, 8585237000 - 0 ($8,865.00) Equity, (File 333-109638 - Oct. 10) (BR. 36) SB-2 INTERCARD INC, 340,415,416 ($17,020,770.80) Equity, (File 333-109639 - Oct. 10) (BR. ) S-11 G REIT INC, 1551 N TUSTIN AVE, STE 650, SANTA ANA, CA, 92705, 8778887348 - 0 ($284,250,000.00) Equity, (File 333-109640 - Oct. 10) (BR. 08) S-3 EPIMMUNE INC, 5820 NANCY RIDGE DRIVE, SAN DIEGO, CA, 92121, 858-860-2500 - 2,961,199 ($7,328,967.53) Equity, (File 333-109641 - Oct. 10) (BR. 01) S-8 ABAZIAS INC, 1127 WEST UNIVERSITY AVENUE, ., GAINESVILLE, FL, 32601, 3522649940 - 14,250,000 ($3,190,000.00) Equity, (File 333-109642 - Oct. 10) (BR. 02) S-3 KOS PHARMACEUTICALS INC, 1001 BRICKELL BAY DR STE 25, MIAMI, FL, 33131, 3055773464 - 0 ($53,490,000.00) Equity, (File 333-109643 - Oct. 10) (BR. 01) SB-2 TORCH EXECUTIVE SERVICES LTD, 4,000,000 ($200,000.00) Equity, (File 333-109644 - Oct. 10) (BR. ) S-3 ESPERION THERAPEUTICS INC/MI, 3621 S STATE STREET 695KMS PLACE, 734-332-0506, ANN ARBOR, MI, 48108, 0 ($490,000.00) Equity, (File 333-109645 - Oct. 10) (BR. 01) S-1 ADVANSTAR COMMUNICATIONS INC, 7500 OLD OAK BLVD, CLEVELAND, OH, 44130-3369, 4402438100 - 0 ($360,000,000.00) Non-Convertible Debt, (File 333-109648 - Oct. 10) (BR. 08) S-3 GALAXY NUTRITIONAL FOODS INC, 2441 VISCOUNT ROW, ORLANDO, FL, 32809, 4078555500 - 3,261,391 ($9,751,559.00) Equity, (File 333-109649 - Oct. 10) (BR. 04) N-2 BLACK ROCK DIVIDEND ACHIEVERS TRUST, 100,000 ($1,500,000.00) Equity, (File 333-109651 - Oct. 10) (BR. ) S-3 ARTISOFT INC, 5 CAMBRIDGE CENTER, 3RD FLOOR, CAMBRIDGE, MA, 02142, 6173540600 - 0 ($17,811,073.56) Equity, (File 333-109652 - Oct. 10) (BR. 03) S-1 XCYTE THERAPIES INC, 1124 COLUMBIA STREET SUITE 130, SEATTLE, WA, 98104, 2062626200 - 0 ($75,000,000.00) Equity, (File 333-109653 - Oct. 10) (BR. 01) S-1 UNIGENE LABORATORIES INC, 110 LITTLE FALLS RD, FAIRFIELD, NJ, 07004-2193, 9738820860 - 0 ($7,500,000.00) Equity, (File 333-109655 - Oct. 10) (BR. 01) S-1 PREMIER COMMUNITY BANKSHARES INC, 4095 VALLEY PIKE, WINCHESTER, VA, 22602, 5408696600 - 287,500 ($4,378,625.00) Equity, (File 333-109656 - Oct. 10) (BR. 07) 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. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. 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 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ABC BANCORP GA X X 10/09/03 ACCREDITED MORTGAGE LOAN TRUST 2003-2 DE X X 09/25/03 ACNB CORP PA X X 10/01/03 ACTERNA CORP DE X X 09/25/03 ACTERNA CORP DE X 10/08/03 ADOLOR CORP X X 04/14/02 AMEND AGCO CORP /DE DE X 10/03/03 AIRPLANES LTD DE X 10/10/03 AKORN INC LA X X 10/09/03 AKSYS LTD DE X X 10/09/03 ALAMOSA HOLDINGS INC DE X 10/10/03 ALTERNATIVE LOAN TRUST SERIES 2003-1 X X 09/25/03 ALTRIS SOFTWARE INC CA X 09/30/03 AMEREN CORP MO X X 10/10/03 AMERENENERGY GENERATING CO IL X X 10/10/03 AMERICAN EAGLE OUTFITTERS INC DE X X 10/08/03 AMERICAN EAGLE OUTFITTERS INC DE X X 10/08/03 AMERICAN HEALTHWAYS INC DE X 09/05/03 AMEND AMERICAN HOMESTAR CORP TX X 10/02/03 AMERICAN NATURAL ENERGY CORP OK X 10/09/03 AMERICAN TOWER CORP /MA/ DE X X 10/10/03 AMREIT TX X X 09/30/03 ANGELO & MAXIES INC DE X X 10/07/03 ARGENT SECURITIES INC X X 09/17/03 ARGENT SECURITIES INC X X 09/17/03 ARGENT SECURITIES INC X X 09/17/03 ARGENT SECURITIES INC X X 09/17/03 ARGONAUT GROUP INC DE X X 10/10/03 ARKONA INC DE X 10/08/03 ASSURE ENERGY INC DE X 07/28/03 AMEND BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 09/25/03 BEAR STEARNS ALT A TRUST 2003-2 DE X X 09/25/03 BEAR STEARNS ASSET BACK SEC IRWIN WHO DE X X 09/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 09/25/03 BEAR STEARNS COMMERCIAL MORT SEC TRU DE X X 10/02/03 BED BATH & BEYOND INC NY X X 10/10/03 BLUE VALLEY BAN CORP KS X X X 10/10/03 BOSTON BIOMEDICA INC MA X X 10/10/03 BROOKFIELD HOMES CORP DE X X 10/06/03 C&D TECHNOLOGIES INC DE X X 09/25/03 CALIFORNIA PIZZA KITCHEN INC CA X 10/08/03 CAPITAL ONE AUTO FINANCE TRUST 2003-A DE X X 10/09/03 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 10/09/03 CAPITAL SENIOR LIVING CORP DE X 07/29/03 AMEND CENTRAL ILLINOIS PUBLIC SERVICE CO IL X X 10/10/03 CENTRAL PACIFIC FINANCIAL CORP HI X X 10/10/03 CHASE CREDIT CARD MASTER TRUST NY X X 09/01/03 CHASE CREDIT CARD MASTER TRUST NY X X 10/01/03 CHEC FUNDING LLC CENTEX HOME EQUITY L DE X 10/10/03 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE X 10/10/03 CILCORP INC IL X X 10/10/03 CINEMA RIDE INC DE X X 10/08/03 COACHMEN INDUSTRIES INC IN X X X 10/03/03 COLLINS INDUSTRIES INC MO X 10/10/03 COLONY BANKCORP INC GA X X 10/10/03 COMMERCE BANCSHARES INC /MO/ MO X X 10/09/03 COMPUTER ASSOCIATES INTERNATIONAL INC DE X 10/09/03 COMPUWARE CORPORATION MI X X 10/10/03 CONCENTRA OPERATING CORP NV X X 10/09/03 CORNERSTONE PROPANE PARTNERS LP DE X 10/10/03 CORNERSTONE PROPANE PARTNERS LP DE X 10/10/03 COUNTRYWIDE FINANCIAL CORP DE X 10/10/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/10/03 CREDIT SUISSE FIRST BOSTON USA INC DE X 09/30/03 CREE INC NC X 10/10/03 CROSS COUNTRY HEALTHCARE INC DE X X 10/09/03 CROWN CASTLE INTERNATIONAL CORP DE X X 10/10/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X X 09/25/03 CSX CORP VA X X 10/10/03 CURATIVE HEALTH SERVICES INC X X 10/10/03 CYOP SYSTEMS INTERNATIONAL INC NV X X 09/30/03 DEL GLOBAL TECHNOLOGIES CORP NY X X 10/10/03 DIXIE GROUP INC TN X X 10/10/03 DVI INC DE X 09/25/03 DYNAMICS RESEARCH CORP MA X X 10/08/03 EASTMAN KODAK CO NJ X X 10/10/03 EASTMAN KODAK CO NJ X X 10/10/03 EL PASO CORP/DE DE X X 10/10/03 EQUITY INNS INC TN X X 10/10/03 EXMAILIT COM NV X 10/10/03 FARMER MAC MORTGAGE SECURITIES CORP DE X X 09/26/03 FARMER MAC MORTGAGE SECURITIES CORP DE X X 09/30/03 FCCC INC CT X X 10/10/03 FFLC BANCORP INC DE X 10/10/03 FINANCIAL ASSET SEC CORP FREMONT HOME DE X X 09/25/03 FIRST CONSULTING GROUP INC DE X X 10/01/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 09/25/03 FIRST MIDWEST BANCORP INC DE X 10/10/03 FIRST NATIONAL BANCSHARES INC /SC/ SC X 10/08/03 FIRSTBANK CORP/ID WA X X 10/10/03 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV X X 10/10/03 FNB CORP \VA\ VA X X 10/10/03 FORTUNE DIVERSIFIED INDUSTRIES INC DE X X X 10/10/03 FRANKS NURSERY & CRAFTS INC MI X X 10/09/03 FRAWLEY CORP DE X 10/10/03 FREEPORT MCMORAN COPPER & GOLD INC DE X X 10/09/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 10/10/03 FREMONT HOME LOAN TRUST 2003-3 ASSET DE X X 10/09/03 GARTNER INC DE X X 10/09/03 GENERAL ELECTRIC CO NY X X X 10/10/03 GENESIS HEALTH VENTURES INC /PA PA X 10/07/03 GEOKINETICS INC DE X X 10/01/03 GLENBOROUGH REALTY TRUST INC MD X X 10/03/03 GLOBIX CORP DE X 10/10/03 GOLDEN EAGLE INTERNATIONAL INC CO X X 10/07/03 GOLDEN TELECOM INC DE X X 10/10/03 GRIFFIN LAND & NURSERIES INC DE X 10/10/03 GSE SYSTEMS INC DE X 10/10/03 GTECH HOLDINGS CORP DE X 10/09/03 HALLIBURTON CO DE X 10/09/03 HALLIBURTON CO DE X 10/10/03 HARVEST NATURAL RESOURCES INC DE X X 09/25/03 HARVEY ELECTRONICS INC NY X 10/10/03 HERLEY INDUSTRIES INC /NEW DE X 08/03/03 HILB ROGAL & HAMILTON CO /VA/ VA X 10/09/03 HOME EQUITY LOAN TRUST SERIES 2003-HE DE X X 09/15/03 HUBEI PHARMACEUTICAL GROUP LTD NV X X 06/27/03 AMEND HUBEI PHARMACEUTICAL GROUP LTD NV X 06/27/03 AMEND HYPERCOM CORP DE X 10/09/03 IBERIABANK CORP LA X X 10/08/03 IMP INC DE X X 06/26/03 AMEND INDEPENDENT BANK CORP MI X X 10/10/03 INFORTE CORP DE X 10/10/03 INSTAPAY SYSTEMS INC UT X X 10/09/03 INTEGRATED DEFENSE TECHNOLOGIES INC DE X X 10/10/03 INTER PARFUMS INC DE X 10/09/03 INTERDENT INC DE X X 10/09/03 INTERNATIONAL DISPLAYWORKS INC OR X X 09/15/03 INTERNATIONAL LOTTERY & TOTALIZATOR S CA X X 10/03/03 INTERNET BUSINESS INTERNATIONAL INC NV X X 10/09/03 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 09/25/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 09/25/03 JOHNSON CONTROLS INC WI X 10/08/03 KEMET CORP DE X 10/10/03 KITTY HAWK INC DE X 09/16/03 LA-Z-BOY INC MI X 10/10/03 LABONE INC/ MO X 10/10/03 LAUREL CAPITAL GROUP INC PA X X 08/29/03 LAWRENCE FINANCIAL HOLDINGS INC MD X X 10/08/03 LEVI STRAUSS & CO DE X 10/09/03 LINCOLN LOGS LTD NY X 10/10/03 LONGS DRUG STORES CORP MD X 10/10/03 M I SCHOTTENSTEIN HOMES INC OH X X 10/09/03 M&T BANK CORP NY X X 10/10/03 MAN SANG HOLDINGS INC NV X 10/06/03 MARCONI CORP PLC X0 X 10/10/03 MARCONI CORP PLC X0 X 10/10/03 MARINE PRODUCTS CORP DE X X 10/10/03 MERCER INTERNATIONAL INC WA X X 10/10/03 MERRILL LYNCH MORT INV INC MO PASS TH DE X X 09/25/03 MILESTONE CAPITAL INC CO X 10/10/03 MILLER INDUSTRIES INC /TN/ TN X X 10/03/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 09/25/03 MORT ASSET SEC TRANS MORT PS THR CERT DE X X 09/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 09/25/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 09/25/03 NABORS INDUSTRIES LTD D0 X X 10/10/03 NATIONAL OILWELL INC DE X 10/10/03 NAVISTAR FINANCIAL SECURITIES CORP DE X 08/31/03 NEKTAR THERAPEUTICS DE X X 10/09/03 NEW CENTURY FINANCIAL CORP DE X X 09/12/03 OPENWAVE SYSTEMS INC DE X X 10/09/03 OPTION ONE MORT ACCEPT CORP ASSET BAC DE X X 09/25/03 OPTION ONE MORT ACCEPTANCE CORP ASSET DE X X 09/25/03 OPTION ONE MORTGAGE ACCEP CORP ASSET NY X X 09/25/03 OPTION ONE MORTGAGE ACCEP CORP ASSET DE X X 09/25/03 OPTION ONE MORTGAGE ACCEP CORP AST BA DE X X 09/25/03 OREGON TRAIL FINANCIAL CORP OR X X 10/10/03 ORTHOLOGIC CORP DE X X 10/09/03 OSHKOSH B GOSH INC DE X 10/09/03 PACIFIC FINANCIAL CORP WA X 09/30/03 PACIFIC REALM INC DE X X X 10/02/03 PENNS WOODS BANCORP INC PA X X 10/09/03 PEP BOYS MANNY MOE & JACK PA X X 10/10/03 PETRO HOLDINGS FINANCIAL CORP DE X X 10/10/03 PETRO STOPPING CENTERS HOLDINGS LP DE X X 10/10/03 PHSB FINANCIAL CORP PA X X 10/10/03 PLUG POWER INC DE X 03/25/03 AMEND PMC CAPITAL INC FL X X 10/07/03 PMC COMMERCIAL TRUST /TX TX X X 10/07/03 PRESIDENT CASINOS INC DE X X 09/25/03 PRIME GROUP REALTY TRUST MD X 10/08/03 PRIMEDEX HEALTH SYSTEMS INC NY X 10/09/03 PRO PHARMACEUTICALS INC NV X X 10/02/03 PROVIDENT FUNDING MORTGAGE PASS-THROU DE X X 09/25/03 QUALSTAR CORP CA X X 10/09/03 QUANTA SERVICES INC DE X X 10/10/03 RADIX MARINE INC NV X X 09/29/03 AMEND RAPID BIO TESTS CORP NV X 10/09/03 RENAISSANCE MORT ACCEPT CORP HOME EQ DE X X 09/25/03 RESOURCES ACCRUED MORTGAGE INVESTORS DE X 10/08/03 RICA FOODS INC NV X X 10/09/03 RIVOLI BANCORP INC GA X 10/09/03 ROTONICS MANUFACTURING INC/DE DE X X 10/10/03 RPC INC DE X X 10/10/03 SAGE LIFE ASSURANCE OF AMERICA INC DE X 10/01/03 SALOMON BROTHERS MORT SEC VII INC MOR DE X X 09/25/03 SCHERING PLOUGH CORP NJ X X X 10/09/03 SENECA FOODS CORP /NY/ NY X X 10/07/03 SEQUENOM INC DE X X 10/06/03 SERACARE LIFE SCIENCES INC X X 10/10/03 SEVEN SEAS PETROLEUM INC B0 X X 10/10/03 SONOMA VALLEY BANCORP CA X X 10/09/03 SPECIALIZED LEASING INC NV X X X 08/29/03 AMEND SPORTSMANS GUIDE INC MN X X 10/09/03 STAGE STORES INC NV X X 10/10/03 STAGE STORES INC NV X X 10/10/03 STARBERRYS CORP NV X 10/10/03 STORAGE ALLIANCE INC NV X 10/09/03 AMEND STRATTEC SECURITY CORP WI X X X 10/09/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 10/02/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 09/25/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 09/26/03 STRUCTURED ASSET SECURITIES CORP MOR DE X X 09/25/03 STRUCTURED ASSET SECURITIES CORP THOR DE X X 09/25/03 SUMMUS INC USA FL X 10/09/03 TII NETWORK TECHNOLOGIES INC DE X X 10/10/03 TRANSPRO INC DE X X 10/09/03 TREASURY INTERNATIONAL INC DE X X 09/24/03 TREZAC INTERNATIONAL CORP TX X X 10/07/03 TRITON NETWORK SYSTEMS INC DE X X 10/09/03 TTR TECHNOLOGIES INC DE X X 10/10/03 TURNSTONE SYSTEMS INC DE X X 10/10/03 U S LIQUIDS INC DE X 07/31/03 AMEND UNION ELECTRIC CO MO X X 10/10/03 UNION NATIONAL FINANCIAL CORP / PA PA X 09/30/03 UNITED BANKSHARES INC/WV WV X X 10/10/03 UNITED NATURAL FOODS INC DE X X 10/06/03 UNITED SECURITY BANCSHARES CA X X 10/10/03 UNITED STATES STEEL CORP DE X X 10/10/03 URBAN TELEVISION NETWORK CORP NV X X 10/10/03 US UNWIRED INC LA X X 09/24/03 USA VIDEO INTERACTIVE CORP WY X X 10/06/03 VARIAN MEDICAL SYSTEMS INC DE X X 10/08/03 VCG HOLDING CORP X X 10/06/03 VISIJET INC DE X 09/23/03 VL DISSOLUTION CORP CO X X 10/06/03 WELLS REAL ESTATE FUND IV L P GA X X 09/29/03 WELLS REAL ESTATE FUND V L P GA X X 09/29/03 WORKSTREAM INC X 10/10/03 WORLD AIRWAYS INC /DE/ DE X 10/10/03 WORLD GOLF INC DE X X 09/30/03 XOMA LTD /DE/ DE X X 10/10/03 YAHOO INC DE X X X 07/14/03 AMEND Z TEL TECHNOLOGIES INC DE X 10/09/03 ZOLTEK COMPANIES INC DE X X 10/09/03