SEC NEWS DIGEST Issue 2003-199 October 20, 2003 ENFORCEMENT PROCEEDINGS RONALD HOTTOVY PERMANENTLY ENJOINED On Jan. 10, 2003, following a 10-day jury trial and a remedies hearing on Sept. 6, 2002, Judge Robert Blackburn of the U.S. District Court for the District of Colorado entered a Final Judgment of Permanent Injunction and Prohibition against Ronald J. Hottovy. The judgment (a) permanently enjoins Hottovy from future violations of Sections 17(a)(1) and (3) of the Securities Act and Sections 10(b) and 13(b)(5) of the Exchange Act, and Rules 10b-5, 13b2-1, 13b2-2 thereunder, and (b) prohibits Hottovy for a period of two years from acting as an officer or director of any issuer that has a class of securities registered pursuant to 15 U.S.C. 781 or that is required to file reports pursuant to 15 U.S.C. 87o(d). The complaint alleged that in 1992 through 1995, SSI materially overstated its revenue and earnings by backdating or misdating contracts, booking revenue without contracts, overaccruing project revenues, and providing confidential side letters modifying payment obligations, and that Hottovy willfully violated the federal securities laws by causing SSI to materially overstate its revenue and earnings. The complaint further alleged that, as a result of these practices, SSI reported false and misleading information in its Annual Reports for fiscal years 1992, 1993, and 1994, its Quarterly Reports for the first three quarters of fiscal year 1994 and the first quarter of fiscal year 1995. The complaint further alleged, and the jury found, that Hottovy participated in SSI's material misstatements and concealed them from SSI's independent auditors by manipulating SSI's accounting records, withholding documents, and making false statements to the auditors. The jury found that by engaging in such conduct, Hottovy violated Section 17(a) of the Securities Act, and Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1, and 13b2-2 thereunder. [SEC v. Ronald J. Hottovy, et al., Civ. Action No. 98-RB-1636 MJW (D. Colorado)] (LR-18417; AAE Rel. 1901) ACTION AGAINST ROBERT BURR The Commission announced today that on October 9 Robert Burr pleaded guilty to fraud charges brought against him by the State of North Carolina and was sentenced to a term of at least 14 years in prison. In June 2003, Burr was arrested during a joint action between the North Carolina Securities Division and the Commission. During the joint operation, the Receiver appointed in SEC v. Benjamin Franklin Cook [3:99- CV-05701-R, USDC, NDTX (Dallas Division)] seized assets acquired by Burr as a result of recent fraudulent activities. Burr and a company he controlled, Cornerstone Management, L.L.P., are both subject to judgments in excess of $4 million in the Cook matter. These judgments arise from Burr's participation in the Dennel Finance Limited (Dennel) fraud, a Ponzi scheme master-minded by Phoenix, Arizona resident Benjamin Franklin Cook. The Dennel scheme, which centered around the offer and sale of non-existent prime bank securities, bilked investors of approximately $46 million before the Commission shut it down in March 1999 through an emergency action in District Court. On June 22, 2000, District Court Judge Jerry Buchmeyer of the Northern District of Texas granted the request of the Commission and the Court- appoint Receiver to place in receivership all assets of Burr and several entities he had created to conceal funds and property obtained through the Dennel scheme. On June 25, 2003, Judge Buchmeyer granted a freeze of assets obtained as a consequence of Burr's additional fraudulent conduct in North Carolina and expanded the Receivership to include new entities created by Burr and other persons involved in the additional fraud. On the same day, while the Receiver seized real estate, vehicles and other property accumulated by Burr and others, agents of the North Carolina Securities Division arrested Robert Burr and his brother, Daniel Burr. In addition to the charges brought by North Carolina, Robert Burr still faces sentencing in connection with criminal charges brought against him by state of Arizona for his participation in the Dennel scheme. Burr pleaded guilty to two counts of Fraudulent Schemes and Artifices and agreed to make $4.9 million in restitution in the Arizona case. Burr's three-to-10 year sentence in the Arizona criminal case will run concurrently with Burr's incarceration in North Carolina. Burr was also briefly incarcerated in Seagoville Federal Detention Center in Seagoville, Texas, based on an order of contempt issued in the Commission's action. The Commission and Receiver have since discovered that Burr was apparently perpetrating the additional fraudulent scheme during the period of his incarceration in federal prison. Unscrupulous promoters continue to victimize the public with Prime Bank schemes. Accordingly, investors are advised to access the Commission's "Prime Bank" Investor Alert that provides tips on how to avoid being a victim of these scams. The investor alert can be found on the Commission's web site, at www.sec.gov/pbank/pbnkhome.htm. [SEC v. Benjiman Franklin Cook, et al., Civil Action No. 3:99-CV-05701-R, USDC, NDTX (Dallas Division)] (LR-18418) SEC OBTAINS SUMMARY JUDGMENT AGAINST SEVERAL DEFENDANTS AND RELIEF DEFENDANTS IN $75 MILLION PRIME BANK SCHEME On October 14, the Honorable Edmund A. Sargus, Jr. of the U.S. District Court for the Southern District of Ohio granted summary judgment in favor of the Commission and against defendants Steven E. Thorn (Thorn), Derrick McKinney (McKinney), and Rick Malizia (Malizia) and his company, RMAZ, LLC, holding them liable for raising approximately $75 million from investors in a series of fraudulent prime bank schemes and using investor funds to conduct a massive Ponzi scheme. The Court found that the defendants had violated Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and that Thorn, McKinney and Malizia had violated Sections 15(a) and 15(c)(1) of the Exchange Act and Rule 15c1-2 thereunder. The Court also found that several relief defendants, which include Roger Weizenegger (Weizenegger), Frederick Harris (Harris), Blue Chip Investments, Inc. (Blue Chip), Solo Ventures, LLC (Solo Ventures), Carl Jackson (Jackson), Redmill Holdings, LLC (Redmill), Edgar Mojica (Mojica), and Durietha Dziorney (Dziorney), had received ill-gotten gains in connection with the fraudulent scheme and had no legitimate claims to the payments they received from the defendants. The Court ruled that the defendants should be permanently enjoined from future violations of the antifraud and broker-dealer registration provisions of the securities laws and awarded the following amounts of disgorgement and pre-judgment interest against the defendants and relief defendants: 1) defendant Thorn was ordered to disgorge $5,070,395 of ill- gotten gains plus $1,802,132 of pre-judgment interest; 2) defendant McKinney was ordered to disgorge $54,200 plus $16,499 of pre-judgment interest and was held jointly and severally liable for $1,434,757 of disgorgement and $294,632 of pre-judgment interest imposed against his company, International Trading Partners, Ltd., pursuant to a previous Court order; 3) defendant Malizia was ordered to disgorge an amount to be determined later by the Court; 4) relief defendant Weizenegger was ordered to disgorge $1,451,920 and $632,643 of pre-judgment interest; 5) relief defendants Harris and his two companies, Blue Chip and Solo Ventures, were ordered to disgorge $505,920 plus $139,867 of pre- judgment interest; 6) relief defendants Jackson and Redmill were ordered to disgorge $282,380 plus $70,721 of pre-judgment interest; 7) relief defendant Mojica was ordered to disgorge an amount to be determined later by the Court; and 8) relief defendant Dziorney was ordered to disgorge $32,919 plus $5,081 of pre-judgment interest. The Court had previously ordered Dziorney to surrender a $61,500 diamond ring that Thorn had bought for her with investor funds. The Court also ordered Thorn, Malizia, and McKinney to pay civil penalties in amounts to be determined at a later hearing. The Commission alleged that from February 1998 through April 2001, the defendants and others raised approximately $75 million through the offer and sale of investments in a series of purported European bank trading programs. The defendants' programs exhibited many of the characteristics of the fraudulent prime bank schemes that the Commission, the Federal Reserve Board and other regulators have warned do not exist. The defendants told investors that the programs involved the trading of bank instruments issued by foreign banks; they promised investors returns ranging as high as 200 percent per month; they assured investors that the investments were risk free; and they warned investors that participation in the trading programs required total secrecy and confidentiality. In reality, the defendants dissipated much of the investors' funds to pay personal and business expenses, purported returns to earlier investors, make payments to the relief defendants and undisclosed salaries and fees for themselves. The Court previously entered judgments against several other defendants and relief defendants, including defendant Craig Morgan, defendant Karen Estrada and her companies, Fund Global, LLC and Global Equity Group, LLC, defendant International Trading Partners, relief defendant Allen George, relief defendant Leon Heard and his company, Alice's International Salon & Spa, and relief defendant Rene Sorra and his company, RLS International Investors, LLC. [SEC v. Steven E. Thorn, et al., USDC, SD Ohio, Civil Action No. 01-CV-290] (LR-18419) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx- 2003-65) relating to the manner in which a contrary exercise advice is submitted and to extend by one hour the time for members to submit contrary exercise advices has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48639) A proposed rule change and Amendment Nos. 1 and 2 thereto filed by the Pacific Exchange (SR-PCX-2003-47) relating to the manner in which a contrary exercise advice is submitted and to extend by one hour the time for members to submit contrary exercise advices have become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48640) A proposed rule change (SR-NASD-2003-148) filed by the National Association of Securities Dealers relating to the NASD's Minor Rule Violation Plan and Late Fee provision has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48641) PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-23), and Amendment No. 1 thereto, to clarify the applicability of the Nasdaq corporate governance requirements during the listing appeals process. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48646) The Boston Stock Exchange filed a proposed rule change (SR-BSE-2003-19) consisting of the LLC Operating Agreement of a proposed new facility of the Exchange to be operated by the Boston Options Exchange Group LLC. (Rel. 34-48650) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-07) to amend NASD Rules 1011, 1014 and 1017. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48651) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change filed by the Philadelphia Stock Exchange to delete the prohibition against the delivery of electronically generated orders via Phlx's AUTOM system (SR-Phlx-2003- 37) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 20. (Rel. 34-48648) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation, respecting certain underlying securities of the following companies, effective at the opening of business on October 20: Dole Food Company, Inc. (DOL) MagneTek, Inc. (MAG) NorthWestern Corporation (NTHWQ) (Rel. 34-48653) 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 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 1,300,000 ($48,750.00) Equity, (File 333-109760 - Oct. 17) (BR. 06) S-8 XTREME COMPANIES INC, 9116 COVERED WAGON DRIVE, LAS VEGAS, NV, 89117, 7027322253 - 8,000,000 ($8,000.00) Equity, (File 333-109761 - Oct. 17) (BR. 09) SB-2 FACEPRINT GLOBAL SOLUTIONS INC, 1111 W HERNDON, STE 115, FRESNO, CA, 96815, 5594361000 - 9,000,000 ($90,000.00) Equity, (File 333-109763 - Oct. 17) (BR. 09) S-3 SOUTHERN CALIFORNIA EDISON CO, 2244 WALNUT GROVE AVE, P O BOX 800, ROSEMEAD, CA, 91770, 6263021212 - 0 ($2,500,000,000.00) Unallocated (Universal) Shelf, (File 333-109764 - Oct. 17) (BR. 02) S-8 BRIAZZ INC, 3901 7TH AVE SOUTH, STE 200, SEATTLE, WA, 98108, 2064670994 - 12,165,000 ($2,433,000.00) Equity, (File 333-109765 - Oct. 17) (BR. 05) F-3 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 2,187,500 ($43,509,375.00) Equity, (File 333-109766 - Oct. 17) (BR. 03) S-8 POINT THERAPEUTICS INC, 125 SUMMER STREET, BOSTON, MA, 02110, 6179332130 - 0 ($4,257,899.75) Equity, (File 333-109767 - Oct. 17) (BR. 36) S-3 CHASE MANHATTAN BANK USA, 802 DELAWARE AVE, 13TH FLOOR, WILMINGTON, DE, 19801, 3025755033 - 12,000,000,000 ($12,000,000,000.00) Equity, (File 333-109768 - Oct. 17) (BR. 05) S-3 EASTGROUP PROPERTIES INC, P O BOX 22728, JACKSON, MS, 39202, 6013543555 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-109769 - Oct. 17) (BR. 08) S-8 TURNER VALLEY OIL & GAS INC, 3131 S W FREEWAY, HOUSTON, TX, 77098, 9492489561 - 10,000,000 ($200,000.00) Debt Convertible into Equity, (File 333-109770 - Oct. 17) (BR. 05) S-8 CHANNELL COMMERCIAL CORP, 26040 YNEZ ROAD, TEMECULA, CA, 92591-9022, 9096949160 - 3,850,000 ($18,704,000.00) Equity, (File 333-109771 - Oct. 17) (BR. 37) SB-2 SYMBOLLON CORP, 37 LORING DR, FRAMINGHAM, MA, 01702, 5084430165 - 5,000,000 ($1,475,000.00) Equity, (File 333-109772 - Oct. 17) (BR. 01) S-8 ONCTHERA INC, BIRCHWOOD HOUSE, CHADWICK PARK, CHESHIRE, UK, U0, WA36A3, 011441925846708 - 350,000 ($262,500.00) Equity, (File 333-109773 - Oct. 17) (BR. 03) S-8 DTOMI INC, 200 9TH AVENUE, SUITE 220, SAFETY HARBOR, FL, 34965, (727) 723-8664 - 815,621 ($815,621.00) Equity, (File 333-109774 - Oct. 17) (BR. 08) S-3 J P MORGAN ACCEPTANCE CORP I, 60 WALL STREET, NEW YORK, NY, 10260, 2126487741 - 10,000,000,000 ($10,000,000,000.00) Asset-Backed Securities, (File 333-109775 - Oct. 17) (BR. 05) S-4 SELECT MEDICAL CORP, 4716 OLD GETTYSBURG RD, MECHANICSBURG, PA, 17055, 7179721100 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-109776 - Oct. 17) (BR. 01) S-8 WESBANCO INC, 1 BANK PLAZA, WHEELING, WV, 26003, 3042349000 - 200,000 ($4,886,000.00) Equity, (File 333-109777 - Oct. 17) (BR. 07) S-8 NEOMEDIA TECHNOLOGIES INC, 2201 SECOND ST STE 600, STE 600, FORT MYERS, FL, 33901, 6303554404 - 150,000,000 ($16,500,000.00) Equity, (File 333-109778 - Oct. 17) (BR. 03) S-8 CITADEL BROADCASTING CORP, 7201 W LAKE MEAD BLVD, SUITE 400, LAS VEGAS, NV, 89128, 7028048204 - 5,000,000 ($89,249,169.00) Equity, (File 333-109779 - Oct. 17) (BR. 37) S-3 HOUSEHOLD CONSUMER LOAN CORP II, 0 ($1,000,000.00) Non-Convertible Debt, (File 333-109780 - Oct. 17) (BR. 05) S-4 ENTERGY ARKANSAS INC, 425 WEST CAPITOL AVE, 40TH FLOOR, LITTLE ROCK, AR, 72201, 501-377-4000 - 0 ($365,000,000.00) Non-Convertible Debt, (File 333-109781 - Oct. 17) (BR. 02) F-10 VASOGEN INC, 2155 DUNVIN DR, SUITE 10 L5L4M1, MISSISSAUGA ONTARIO, A6, 00000, 0 ($100,000,000.00) Equity, (File 333-109782 - Oct. 17) (BR. 36) F-10 IVANHOE ENERGY INC, 200 BURRARD ST - 9TH FL, VANCOUVER BC, CANADA V6C 3L6, A1, 0 ($100,000,000.00) Equity, (File 333-109783 - Oct. 17) (BR. 04) S-1 TENGASCO INC, 603 MAIN AVE, SUITE 500, KNOXVILLE, TN, 37902, 4235231124 - 0 ($22,653,956.00) Equity, (File 333-109784 - Oct. 17) (BR. 04) S-3 VICOM INC, 9449 SCIENCE CENTER DR, NEW HOPE, MN, 55428, 6125043000 - 2,330,713 ($4,195,284.00) Equity, (File 333-109785 - Oct. 17) (BR. 37) S-3 ALLOY INC, 151 WEST 26TH STREET, 11TH FLOOR, NEW YORK, NY, 10001, 2122444307 - 0 ($69,300,000.00) Debt Convertible into Equity, (File 333-109786 - Oct. 17) (BR. 02) S-3 NOVASTAR FINANCIAL INC, 8140 WARD PARKWAY, STE 300, KANSAS CITY, MO, 64114, 8162377000 - 0 ($67,440,000.00) Equity, (File 333-109787 - Oct. 17) (BR. 08) S-8 ALLOY INC, 151 WEST 26TH STREET, 11TH FLOOR, NEW YORK, NY, 10001, 2122444307 - 9,226,475 ($54,493,007.25) Equity, (File 333-109788 - Oct. 17) (BR. 02) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 1,610,000 ($1,642,200.00) Equity, (File 333-109789 - Oct. 17) (BR. 36) S-3 STOCKERYALE INC, 32 HAMPSHIRE ROAD, SALEM, NH, 03079, 6038938778 - 3,000,000 ($3,060,000.00) Debt Convertible into Equity, (File 333-109790 - Oct. 17) (BR. 36) S-4 LIBERTY MEDIA CORP /DE/, 12300 LIBERTY BLVD., ENGLEWOOD, CO, 80112, 7208755400 - 0 ($22,191,250.00) Equity, (File 333-109791 - Oct. 17) (BR. 37) S-3 DELTA PETROLEUM CORP/CO, 475 17TH STREET SUITE 1400, DENVER, CO, 80202, 3032939133 - 1,000,000 ($5,040,000.00) Equity, (File 333-109792 - Oct. 17) (BR. 04) S-3 BEAR STEARNS COMPANIES INC, ONE METROTECH NORTH, 9TH FL, BROOKLYN, NY, 11201, 3476439862 - 0 ($5,000,000,000.00) Unallocated (Universal) Shelf, (File 333-109793 - Oct. 17) (BR. 07) S-8 INVACARE CORP, ONE INVACARE WAY, P O BOX 4028, ELYRIA, OH, 44036, 4403296000 - 2,000,000 ($79,520,000.00) Equity, (File 333-109794 - Oct. 17) (BR. 36) S-8 PACIFIC BIOMETRICS INC, 220 WEST, HARRISON STREET, SEATTLE, WA, 98119, 2062980068 - 1,562,235 ($1,609,102.05) Equity, (File 333-109795 - Oct. 17) (BR. 01) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 0 ($363,000.00) Equity, (File 333-109796 - Oct. 17) (BR. 09) N-2 PIONEER TAX ADVANTAGED BALANCED FUND, 66,667 ($1,000,005.00) Equity, (File 333-109797 - Oct. 17) (BR. ) S-1 TWI HOLDINGS INC, 1713 JAGGIE FOX WAY, LEXINGTON, KY, 40511, 859-514-4757 - 0 ($300,000,000.00) Equity, (File 333-109798 - Oct. 17) (BR. ) S-1 AMERICAN SAFETY INSURANCE HOLDINGS LTD, 44 CHURCH STREET, HAMILTON, D0, HM HX, 4412968560 - 2,070,000 ($32,002,200.00) Equity, (File 333-109799 - Oct. 17) (BR. 01) S-3 ALIGN TECHNOLOGY INC, 851 MARTIN AVENUE, SANTA CLARA, CA, 95050, 4087381500 - 0 ($147,946,774.60) Equity, (File 333-109800 - Oct. 17) (BR. 36) N-2 NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND, 1,000 ($15,000.00) Equity, (File 333-109801 - Oct. 17) (BR. ) S-3 MERRILL LYNCH & CO INC, 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($25,000,000,000.00) Other, (File 333-109802 - Oct. 17) (BR. 07) S-3 UNIVERSAL AMERICAN FINANCIAL CORP, SIX INTERNATIONAL DRIVE, SUITE 190, RYE BROOK, NY, 10573-1068, 9149345200X253 - 800,000 ($7,256,000.00) Equity, (File 333-109803 - Oct. 17) (BR. 01) F-6 ELSEVIER NV /, VAN DE SANDE BAKHUYZENSTRAAT 4, 1061 AG ANSTERDAM, THE NETHERLANDS, P7, 00000, 011442072275660 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-109804 - Oct. 17) (BR. 05) F-6 REED ELSEVIER PLC, 25 VICTORIA STREET, LONDON SW1H OEX, X0, 00000, 011442072275660 - 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-109805 - Oct. 17) (BR. 05) S-1 RENOVIS INC, 46 SHATTUCK SQ, BERKELEY, CA, 94704, 0 ($75,000,000.00) Equity, (File 333-109806 - Oct. 17) (BR. ) S-3 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA, 02141, 6179491000 - 0 ($48,982,123.00) Equity, (File 333-109807 - Oct. 17) (BR. 03) S-8 SEALIFE CORP, 5601 SLAUSON AVENUE, SUITE 283, CULVER CITY, CA, 90230, 3103389757 - 1,050,000 ($315,000.00) Equity, (File 333-109808 - Oct. 17) (BR. 08) S-8 PDF SOLUTIONS INC, 333 WEST SAN CARLOS STREET, SUITE 700, SAN JOSE, CA, 95110, 4082807900 - 0 ($9,192,466.81) Equity, (File 333-109809 - Oct. 17) (BR. 03) S-3 BOWNE & CO INC, 345 HUDSON ST, NEW YORK, NY, 10014, 2129245500 - 0 ($75,000,000.00) Debt Convertible into Equity, (File 333-109810 - Oct. 17) (BR. 05) S-4 REV HOLDINGS INC, 625 MADISON AVE, NEW YORK, NY, 10022, 2125274000 - 0 ($8,050,200.00) Non-Convertible Debt, (File 333-109811 - Oct. 17) (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. 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 ------------------------------------------------------------------------------------------------ AAMES FINANCIAL CORP/DE DE X 07/31/03 AAMES FINANCIAL CORP/DE DE X 08/31/03 ABLE ENERGY INC DE X 10/17/03 ACCELR8 TECHNOLOGY CORP CO X X 10/15/03 ACNB CORP PA X X 10/17/03 AMEND ADVANCED MICRO DEVICES INC DE X 10/16/03 AETRIUM INC MN X X 10/16/03 AFLAC INC GA X 10/17/03 AK STEEL HOLDING CORP DE X X 10/16/03 ALAMOGORDO FINANCIAL CORP X X 10/15/03 ALLIED CAPITAL CORP MD X X 10/17/03 AMBAC FINANCIAL GROUP INC DE X X 10/16/03 AMEDISYS INC DE X X 08/01/03 AMEND AMERICAN BILTRITE INC DE X X 10/14/03 AMERICAN HOMEPATIENT INC DE X 10/07/03 AMEND AMERICAN RIVER HOLDINGS CA X X 10/16/03 AMES NATIONAL CORP IA X X 10/16/03 AMKOR TECHNOLOGY INC DE X 03/27/03 AMEND ANWORTH MORTGAGE ASSET CORP MD X X 10/17/03 ARISTOTLE CORP DE X 10/15/03 ARROW ELECTRONICS INC NY X X 10/17/03 ASTORIA FINANCIAL CORP DE X X 10/16/03 AUBURN NATIONAL BANCORPORATION INC DE X X 10/16/03 AUDIOVOX CORP DE X X 10/15/03 AUTOMATIC DATA PROCESSING INC DE X 09/30/03 BANCORPSOUTH INC MS X X 10/16/03 BEACH FIRST NATIONAL BANCSHARES INC SC X X 10/14/03 BEVERLY ENTERPRISES INC DE X X X 10/16/03 BLACK & DECKER CORP MD X X 10/17/03 BLYTH INC DE X 10/17/03 BLYTH INC DE X 10/17/03 BNCCORP INC DE X 09/30/03 BOSTONFED BANCORP INC DE X X 10/16/03 BRL HOLDINGS INC DE X 10/17/03 BROOKLINE BANCORP INC MA X X 10/16/03 BRYN MAWR BANK CORP PA X X 10/16/03 BTU INTERNATIONAL INC DE X X 10/16/03 BUSINESS OBJECTS SA X X 10/15/03 BWC FINANCIAL CORP CA X 09/30/03 CAPITAL ONE FUNDING LLC X X 10/10/03 CCBT FINANCIAL COMPANIES INC MA X X 10/16/03 CHASE CREDIT CARD MASTER TRUST NY X X 10/15/03 CHASE CREDIT CARD MASTER TRUST NY X X 10/15/03 CHASE MANHATTAN BANK USA DE X X 10/15/03 CHASE MANHATTAN BANK USA DE X X 10/15/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 10/15/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 10/15/03 CHICAGO PIZZA & BREWERY INC CA X X 10/16/03 CHINA NETTV HOLDINGS INC NV X 10/17/03 CKF BANCORP INC DE X 10/14/03 CMS ENERGY CORP MI X 10/17/03 CNL RETIREMENT PROPERTIES INC MD X 08/25/03 AMEND COASTAL BANKING CO INC SC X X 10/17/03 COBIZ INC CO X X 10/16/03 COCA COLA ENTERPRISES INC DE X 10/15/03 COMPASS BANCSHARES INC DE X X 10/17/03 COMPUTER TASK GROUP INC NY X 10/14/03 CONSUMERS BANCORP INC /OH/ OH X 10/17/03 CORNERSTONE BANCSHARES INC TN X X 10/17/03 CORNERSTONE PROPANE PARTNERS LP DE X X 10/17/03 CROWN RESOURCES CORP WA X 10/17/03 CRYSTAL DECISIONS INC DE X X 10/15/03 CSK AUTO CORP DE X 10/15/03 CULP INC NC X 10/15/03 CV THERAPEUTICS INC DE X X X 10/17/03 CYTEC INDUSTRIES INC/DE/ DE X 09/30/03 DANKA BUSINESS SYSTEMS PLC X X 10/17/03 DELTA APPAREL INC GA X X 10/03/03 DELTA APPAREL INC GA X X X 10/17/03 DELTA APPAREL INC GA X 10/03/03 AMEND DIASYS CORP DE X 10/15/03 DIGITAL RECORDERS INC NC X 10/17/03 DIVINE INC DE X X 09/25/03 DNB FINANCIAL CORP /PA/ PA X X 10/16/03 DONEGAL GROUP INC DE X X 10/15/03 DURECT CORP DE X 10/17/03 EAGLE BANCORP INC MD X X X 10/15/03 EAGLE FINANCIAL SERVICES INC VA X X 10/16/03 EARTHFIRST TECHNOLOGIES INC FL X 10/16/03 EAST PENN FINANCIAL CORP X X 10/15/03 EAUTOCLAIMS COM INC NV X X 10/09/03 ECOLAB INC DE X X 10/17/03 ELIZABETH ARDEN INC FL X X 10/17/03 ELKCORP DE X X X 10/16/03 EMCLAIRE FINANCIAL CORP PA X X 10/17/03 EMPIRIC ENERGY INC DE X X 10/14/03 AMEND ENTERASYS NETWORKS INC /DE/ DE X X 10/16/03 EPICOR SOFTWARE CORP DE X X 10/15/03 EQUITABLE RESOURCES INC /PA/ PA X 10/17/03 EQUITABLE RESOURCES INC /PA/ PA X 10/17/03 AMEND EQUITY ONE ABS INC DE X X 10/15/03 EQUITY ONE ABS INC DE X X 10/15/03 EQUITY ONE ABS INC DE X X 10/15/03 EXABYTE CORP /DE/ DE X X 10/10/03 EXPRESSJET HOLDINGS INC DE X 09/30/03 FARMERS NATIONAL BANC CORP /OH/ OH X X X 10/17/03 FARMLAND INDUSTRIES INC KS X X 10/17/03 FAUQUIER BANKSHARES INC VA X X 10/16/03 FENTURA FINANCIAL INC MI X X 10/17/03 FERRO CORP OH X 10/15/03 FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 10/17/03 FIRST ALBANY COMPANIES INC NY X 09/30/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 11/01/02 FIRST COMMUNITY BANK CORP OF AMERICA FL X 10/17/03 FIRST FEDERAL BANCSHARES INC /DE DE X X 10/16/03 FIRST FEDERAL BANCSHARES INC /DE DE X 10/16/03 AMEND FIRST FRANKLIN CORP DE X X 10/16/03 FIRST INDIANA CORP IN X X 10/15/03 FIRST NATIONAL BANCSHARES INC/ FL/ FL X 10/17/03 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 09/18/03 FMC CORP DE X 10/15/03 FOREST OIL CORP NY X 10/17/03 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA X X 10/16/03 FREQUENCY ELECTRONICS INC DE X 10/16/03 FRISCHS RESTAURANTS INC OH X 10/17/03 GABLES REALTY LIMITED PARTNERSHIP DE X X 10/16/03 GABLES RESIDENTIAL TRUST MD X X 10/16/03 GENAERA CORP DE X X 10/16/03 GENESIS HEALTH VENTURES INC /PA PA X X 10/16/03 GORMAN RUPP CO OH X 10/17/03 GREAT ATLANTIC & PACIFIC TEA CO INC MD X X 10/17/03 GREENE COUNTY BANCSHARES INC TN X X 10/17/03 GS MORTGAGE SECURITIES CORP DE X X 10/15/03 GS MORTGAGE SECURITIES CORP DE X X 10/15/03 HALLMARK FINANCIAL SERVICES INC NV X X 10/10/03 HAND BRAND DISTRIBUTION INC FL X X X 10/14/03 HASTINGS MANUFACTURING CO MI X 10/17/03 HEALTHGATE DATA CORP DE X 10/16/03 HOME FEDERAL BANCORP IN X X 10/16/03 HOOPER HOLMES INC NY X X 10/13/03 HRPT PROPERTIES TRUST MD X 10/08/03 HUDSON RIVER BANCORP INC DE X X 10/16/03 HUDSON UNITED BANCORP NJ X X 10/17/03 HYPERION SOLUTIONS CORP DE X X 10/16/03 I TRAX INC DE X X 10/15/03 IBIS TECHNOLOGY CORP MA X X 10/17/03 IDACORP INC ID X 10/17/03 INDIAN VILLAGE BANCORP INC PA X 10/17/03 INDYMAC BANCORP INC DE X 10/17/03 INDYMAC MBS INC RESIDENTIAL ASSET SEC X X 09/26/03 INFOCROSSING INC DE X X 10/14/03 INNOVO GROUP INC DE X X 07/18/03 AMEND INTERFERON SCIENCES INC DE X 10/17/03 INTERSTATE BAKERIES CORP/DE/ DE X X 10/16/03 ISTA PHARMACEUTICALS INC CA X X 10/15/03 JPE INC MI X X 10/15/03 KESTREL ENERGY INC CO X X 10/16/03 KNIGHT RIDDER INC FL X X 10/17/03 KNIGHTSBRIDGE FINE WINES INC NV X X 10/17/03 LA JOLLA PHARMACEUTICAL CO DE X 09/25/03 LANCER CORP /TX/ TX X X 10/16/03 LEAR CORP /DE/ DE X X X X 10/17/03 LEVI STRAUSS & CO DE X X 10/10/03 LINCOLN ELECTRIC HOLDINGS INC OH X X X 10/17/03 LINDSAY MANUFACTURING CO DE X X 10/13/03 MANUFACTURERS SERVICES LTD DE X X 10/14/03 MARTEN TRANSPORT LTD DE X X 10/17/03 MAYS J W INC NY X 10/15/03 MEDICAL STAFFING SOLUTIONS INC NV X 10/08/03 MEDIX RESOURCES INC CO X 10/15/03 MEMRY CORP DE X 10/17/03 MERCHANTS BANCSHARES INC DE X X 10/16/03 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE X X 10/15/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 10/15/03 MERRILL LYNCH DEPOSITOR INC PUBLIC ST DE X X 10/15/03 MESA AIR GROUP INC NV X X 10/14/03 METROCALL HOLDINGS INC DE X X 10/16/03 MICHAEL FOODS INC /MN MN X X 10/15/03 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA X X 10/17/03 MISSION WEST PROPERTIES INC CA X 06/15/03 MOHAWK INDUSTRIES INC DE X X 10/17/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/15/03 MS STRUCTURED ASSET CORP DE X 10/01/03 MULTI COLOR CORP OH X X 10/16/03 MUNICIPAL MORTGAGE & EQUITY LLC DE X 09/30/03 NATIONAL BANCSHARES CORP /OH/ OH X X 10/17/03 NATIONAL BANKSHARES INC VA X 09/30/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 10/15/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 10/15/03 NATIONAL HOME HEALTH CARE CORP DE X 10/17/03 NATIONAL SECURITY GROUP INC DE X X 10/16/03 NESTOR INC DE X X 10/16/03 NEW CENTURY FINANCIAL CORP DE X X 10/17/03 NEW WORLD BRANDS INC DE X X 10/17/03 NEXGEN VISION INC DE X 10/16/03 AMEND NOCOPI TECHNOLOGIES INC/MD/ MD X X 10/17/03 NORTH VALLEY BANCORP CA X X 10/15/03 NORWOOD FINANCIAL CORP PA X X 10/17/03 OCIS CORP NV X 09/22/03 OFFICE DEPOT INC DE X X 10/17/03 OFFICE DEPOT INC DE X X 10/17/03 OLD SECOND BANCORP INC DE X X 10/17/03 OPEN TEXT CORP K6 X X 10/16/03 PACIFIC CAPITAL BANCORP /CA/ CA X X 10/16/03 PACIFIC CREST CAPITAL INC DE X X 10/16/03 PACIFIC NORTHWEST BANCORP WA X X 10/16/03 PALMETTO BANCSHARES INC SC X X 10/10/03 PANAMSAT CORP /NEW/ DE X X 10/17/03 PARADYNE NETWORKS INC DE X X 10/16/03 PATRICK INDUSTRIES INC IN X X 10/16/03 PAULA FINANCIAL DE X X 09/23/03 AMEND PEABODY ENERGY CORP DE X X X 10/16/03 PENFORD CORP WA X X 10/16/03 PEOPLES FINANCIAL CORP /MS/ MS X X 10/17/03 PERSISTENCE SOFTWARE INC CA X X 10/17/03 PHOENIX COMPANIES INC/DE DE X 10/17/03 POLAR MOLECULAR HOLDING CORP IA X X 09/23/03 AMEND POWERWAVE TECHNOLOGIES INC DE X X 10/14/03 PPG INDUSTRIES INC PA X X 10/16/03 PRECISION CASTPARTS CORP OR X X 10/14/03 PRO DEX INC CO X X 10/16/03 PROVIDENT BANKSHARES CORP MD X X 10/15/03 PROVIDIAN MASTER TRUST X X 10/15/03 QMED INC DE X X 10/15/03 QUANTA SERVICES INC DE X X 10/09/03 RAMPART CAPITAL CORP TX X X 10/16/03 REGMA BIO TECHNOLOGIES LTD NV X X 10/13/03 RENAISSANCE LEARNING INC WI X X 10/15/03 REPUBLIC BANCORP INC MI X 10/17/03 REPUBLIC BANCORP INC /KY/ KY X X 10/17/03 ROME BANCORP INC DE X 09/30/03 ROYAL BANCSHARES OF PENNSYLVANIA INC PA X X 09/30/03 SANCHEZ COMPUTER ASSOCIATES INC PA X X 10/17/03 SCHULMAN A INC DE X 10/17/03 SCO GROUP INC DE X X 10/16/03 SCS TRANSPORTATION INC DE X X 10/16/03 SEALY CORP DE X X 10/15/03 SECURE COMPUTING CORP DE X X 10/16/03 SECURITY CAPITAL CORP/DE/ DE X X X 10/03/03 SEL-LEB MARKETING INC NY X X 10/15/03 SHAW GROUP INC LA X X 10/17/03 SHAW GROUP INC LA X X 10/17/03 SHAW GROUP INC LA X X 10/17/03 SIERRA PACIFIC RESOURCES /NV/ NV X X 10/15/03 SMITH INTERNATIONAL INC DE X X 10/17/03 SMTC CORP DE X X 10/17/03 SONOCO PRODUCTS CO SC X X 10/17/03 SOUTHCOAST FINANCIAL CORP SC X X 10/10/03 SOUTHEASTERN BANKING CORP GA X X 10/17/03 SOUTHWEST BANCORP INC OK X X X 10/16/03 SPRINT CORP KS X X 10/14/03 SPRINT CORP KS X X 10/14/03 SPRINT CORP KS X X 10/14/03 SPRINT CORP KS X X 10/14/03 ST JOSEPH CAPITAL CORP DE X X 10/17/03 STATE BANCORP INC NY X X 10/17/03 STATEN ISLAND BANCORP INC DE X X X 10/16/03 STATION CASINOS INC NV X X 10/16/03 STRUCTURED ASSET SECURITIES CORP DE X X 10/15/03 SUN BANCORP INC /NJ/ NJ X X X 10/10/03 SUN POWER CORP X X 10/15/03 SUNLINK HEALTH SYSTEMS INC OH X X 10/03/03 SYNOVIS LIFE TECHNOLOGIES INC MN X X 10/16/03 TECHNOLOGY VISIONS GROUP INC DE X X 10/10/03 TELENETICS CORP CA X X 09/30/03 TELETOUCH COMMUNICATIONS INC DE X X 10/16/03 TENET HEALTHCARE CORP NV X 10/17/03 TEXAS REGIONAL BANCSHARES INC TX X X 10/17/03 TGFIN HOLDINGS INC DE X X 09/12/03 TIMKEN CO OH X X 10/15/03 TREZAC INTERNATIONAL CORP TX X 10/14/03 TRI CITY BANKSHARES CORP WI X X 10/17/03 TRIKON TECHNOLOGIES INC CA X X 10/16/03 TRIMERIS INC DE X 10/15/03 UCBH HOLDINGS INC DE X 10/16/03 UNION BANKSHARES CORP VA X X 10/16/03 UNION BANKSHARES INC VT X X 10/15/03 UNITED SECURITY BANCSHARES INC DE X X 10/17/03 UNITREND INC OH X 10/17/03 UNITY BANCORP INC /DE/ DE X X 10/16/03 UNIVERSAL HEALTH REALTY INCOME TRUST MD X X 10/16/03 UNIVERSAL HEALTH REALTY INCOME TRUST MD X X 10/16/03 US XPRESS ENTERPRISES INC NV X 09/30/03 USA TRUCK INC DE X X 10/16/03 USANA HEALTH SCIENCES INC UT X X 10/14/03 UST INC DE X 10/17/03 VALLEY FINANCIAL CORP /VA/ VA X 10/17/03 VERISIGN INC/CA DE X 10/16/03 VERTICALNET INC PA X 10/15/03 VISTEON CORP DE X X 10/17/03 W HOLDING CO INC PR X 10/16/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 10/15/03 WASHINGTON REAL ESTATE INVESTMENT TRU MD X X 08/07/03 AMEND WATER PIK TECHNOLOGIES INC DE X X 10/17/03 WAYNE BANCORP INC /OH/ OH X X 10/16/03 WEIS MARKETS INC PA X 09/27/03 WELLS FARGO ASSET SECURITIES CORP DE X X 10/17/03 WERNER HOLDING CO INC /DE/ DE X 10/17/03 WESBANCO INC WV X X 10/16/03 WESTAMERICA BANCORPORATION CA X 10/14/03 WESTBANK CORP MA X 10/17/03 WESTERN OHIO FINANCIAL CORP DE X X 10/16/03 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE X X X 10/15/03 WESTPOINT STEVENS INC DE X 10/17/03 WILMINGTON TRUST CORP DE X 10/17/03 WITTER DEAN PRINCIPAL PLUS FUND L P NY X 08/31/03 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 10/16/03 XL CAPITAL LTD X X 10/17/03 ZIMMER HOLDINGS INC DE X X 10/17/03 ZIONS BANCORPORATION /UT/ UT X X 10/16/03 NORTH FORK BANCORPORATION INC DE X 10/16/03