SEC NEWS DIGEST Issue 2003-204 October 27, 2003 RULES AND RELATED MATTERS SEC PROPOSES RULES CONCERNING BROKER-DEALER AND AFFILIATE SUPERVISION ON A CONSOLIDATED BASIS The Commission has issued proposed rule amendments and new rules under the Securities Exchange Act of 1934 that would establish two separate voluntary regulatory frameworks for the Commission to supervise broker- dealers and their affiliates on a consolidated basis. One proposal would establish an alternative method to compute certain net capital charges for broker-dealers that are part of a holding company that manages risks on a group-wide basis and whose holding company consents to group-wide Commission supervision. The broker- dealer's holding company and its affiliates, if subject to Commission supervision, would be referred to as a "consolidated supervised entity" (CSE). The alternative method the broker-dealer would be allowed to use to compute certain market and credit risk capital charges would involve the use of internal mathematical models that the broker-dealer uses to measure its risk. The CSE would be required to comply with rules regarding its group-wide internal risk management control system and would have to periodically provide the Commission with consolidated computations of allowable capital and risk allowances consistent with the Basel Standards. Commission supervision of the CSE would include recordkeeping, reporting, and examination requirements. The other proposal would implement Section 17(i) of the Exchange Act, which created a new structure for consolidated supervision of holding companies of broker-dealers, or "investment bank holding companies" (IBHCs) and their affiliates. Pursuant to the Act, an IBHC that meets certain specified criteria may voluntarily register with the Commission as a supervised investment bank holding company (SIBHC) and be subject to supervision on a group-wide basis. Pursuant to the proposed rules, registration as an SIBHC is limited to IBHCs that are not affiliated with certain types of banks and that have a substantial presence in the securities markets. The proposed rules would provide an IBHC with an application process to become supervised by the Commission as an SIBHC, and would establish regulatory requirements for those SIBHCs. Commission supervision of an SIBHC would include recordkeeping, reporting and examination requirements. Further, the SIBHC also would be required to comply with rules regarding its group-wide internal risk management control system and would have to periodically provide the Commission with consolidated computations of allowable capital and risk allowances consistent with the Basel Standards. The proposals would also include technical and conforming amendments to the risk assessment rules (Exchange Act Rules 17h-1T and 17h-2T). In addition, the SIBHC proposal would adjust the audit requirements for OTC derivative dealers to allow accountants to use agreed-upon procedures when conducting audits of risk management control systems. The Commission is soliciting comment from the public on the proposals for 90 days following publication in the Federal Register. The full text of the releases are posted on the Commission's Web site. (Rel. 34- 48694; File No. S7-22-03) ENFORCEMENT PROCEEDINGS SEC CHARGES FORMER HEDGE FUND MANAGER FRIEDLANDER WITH ISSUING FALSE ACCOUNTING REPORTS TO INVESTORS AND FRAUDULENTLY CONVERTING OVER $2 MILLION IN INVESTOR ASSETS The Commission announced today that it filed an amended complaint against Burton G. Friedlander, 64, a resident of Greenwich, Connecticut, and the corporation that he owned and operated, Friedlander Capital Management Corporation, in a case alleging securities fraud pending in the U.S. District Court for the Southern District of New York. In its amended complaint, the Commission brings new charges that Friedlander defrauded investors in a pooled investment fund by materially misrepresenting the status and value of investor assets in the pooled fund and knowingly converting over $2 million of investors' money for his own use and benefit. The Commission further alleges that Friedlander caused the preparation and dissemination of false asset reports that included the unauthorized use of the letterhead of a major accounting firm that had no involvement in the creation of the false asset reports. Regarding Friedlander's misrepresentations, the amended complaint alleges that Friedlander misled investors in the pooled fund regarding their assets in the fund at the end of 1998, 1999 and 2000. For 1998, the asset reports forwarded to investors by Friedlander represented total pooled fund assets of more than $3.29 million. However, the pooled fund had assets of less than $1.86 million. For 1999, the asset reports forwarded to investors by Friedlander represented total pooled fund assets of more than $4.75 million, when the pooled fund had assets of less than $245,000. For 2000, the asset reports forwarded to investors by Friedlander represented total pooled fund assets of more than $5.74 million, when the pooled fund had assets of less than $269,000. With regard to conversion, the amended complaint alleges that, starting in at least 1998, Friedlander failed to invest all new money deposited in the pooled fund. Instead, Friedlander generally commingled money from pooled fund investors with money derived from Friedlander's other activities. The amended complaint alleges that Friedlander used the commingled money to pay for personal expenses, including country club dues, personal legal fees, maintenance and dockage fees for a sailboat, and condominium fees. From 1998 through 2001, Friedlander used at least $1.4 million of commingled money for personal expenses, and an additional $879,000 to pay for the operations of his company. Friedlander also used money from new investments in the pooled fund to repay pooled fund investors who wished to redeem and to pay other individuals for whom he claimed to be managing money. The amended complaint also alleges that, from 1996 through 2001, Friedlander provided pooled fund investors with false asset reports, portions of which were on the letterhead of KPMG Peat Marwick LLP. However, KPMG did not prepare or assist in preparing those asset reports. KPMG also did not authorize the use of its letterhead, nor did it sign or approve any of these asset reports. In fact, KPMG had dropped "Peat Marwick" from its name in late 1998. The Commission filed its original complaint in May 2001, alleging fraud in connection with Friedlander's management of the assets of Friedlander International Limited, an overseas hedge fund. The Commission alleged that Friedlander inflated the hedge fund's net asset value by improperly and arbitrarily valuing certain unlisted securities of a company in which Friedlander and entities he controlled had heavily invested. The Commission's complaint also alleged that Friedlander engaged in "portfolio pumping" by purchasing a thinly traded common stock as part of a manipulative scheme to inflate the value of that stock and to inflate the hedge fund's net asset value (Litigation Release No. 17021, June 1, 2001). These allegations remain unchanged in the amended complaint. In December 2001, Judge Kimba M. Wood granted a preliminary injunction against Friedlander and the related entities. Judge Wood also appointed a receiver for the entities (Litigation Release No. 17315, Jan. 15, 2002). The amended complaint charges that Friedlander and Friedlander Capital Management, based on the allegations described above, violated the antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 (Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 206 of the Advisers Act). The Commission seeks permanent injunctive relief against Friedlander and Friedlander Capital Management Corporation, accountings, disgorgement of ill-gotten gains, civil monetary penalties, and other relief. The Commission acknowledges the assistance and cooperation in its investigation of the Office of the U.S. Attorney for the Southern District of New York, which announced on October 24 criminal charges against Friedlander in connection with both schemes described in the Commission's amended complaint. In a related matter, the Commodity Futures Trading Commission has filed a complaint against Friedlander and Friedlander Capital Management Corporation in the U.S. District Court for the Southern District of New York in connection with the pooled investment fund. [SEC v. Burton Friedlander, Friedlander International Limited, Friedlander Management Limited, Friedlander Capital Management, Friedlander Limited Partnership, and Opal International Fund, Civil Action No. 01 Civ. 4683 SDNY] (LR-18426) SEC FILES SETTLED ENFORCEMENT ACTION INVOLVING VIOLATIONS OF THE EXCHANGE ACT "GOING PRIVATE" RULES; COMMISSION ORDERS RELIEF THAT INCLUDES VOTING RESTRICTIONS IN CONNECTION WITH FUTURE TRANSACTIONS On October 27, the Commission instituted a settled cease-and-desist proceeding against William A. Wilkerson and The Phoenix Group of Florida, Inc., finding that they violated the "going private" rules under Section 13(e) of the Exchange Act. The Commission also filed a complaint in federal court seeking a civil penalty against Wilkerson. The Commission's Order finds that during the period May through September 2001, Wilkerson and Phoenix Group engaged in a series of transactions to purchase the common stock of BCT International, Inc. (BCTI) for the purpose of acquiring control of the company and taking it private. These transactions increased their ownership position in BCTI from 19.1% to 56.8%. The Commission's Order finds that Wilkerson and Phoenix Group failed to timely file a Schedule 13E-3 disclosing their purchases and intent to effect a going private transaction, and that they failed to disseminate the required disclosures to other BCTI shareholders. As a result, investors were deprived of important information, such as: (i) the purposes for the transaction; (ii) the effects that the transaction would have on BCTI and its unaffiliated security holders; and (iii) the factors concerning the fairness of the transaction to the unaffiliated security holders. According to the Order, Wilkerson and Phoenix Group also failed to make adequate and timely disclosures in the Schedules 13D that they filed with the Commission. When the Commission promulgated Rule 13e-3 in 1979, it recognized that going private transactions present opportunities for overreaching and abuse by issuers and their affiliates, and can have a coercive effect on individual investors, because the terms of the transaction may be designed to accommodate the interests of the affiliated parties rather than determined through arm's-length negotiations. At the time, the Commission also expressed its concern that such transactions might be coercive because the issuer or affiliate may already have the requisite number of votes to approve the transaction. To address these concerns and protect BCTI's minority shareholders, the Commission's Order includes undertakings that restrict Wilkerson's and Phoenix Group's ability to freely vote their shares in connection with any future going private transaction. In particular, the Order requires all shares owned or controlled by Wilkerson and Phoenix Group to be voted for or against any proposal by them in proportion to the shares that they do not own, which means that such a proposal can only be approved by a majority of BCTI's minority shareholders. With respect to any proposal to take the company private made by a third party, the voting restrictions deprive Wilkerson and Phoenix Group of the ability to block approval of such a proposal. Wilkerson and Phoenix Group consented, without admitting or denying the Commission's findings, to cease and desist from committing or causing violations of Sections 13(d) and 13(e) of the Exchange Act and Rules 13d- 1, 13d-2 and 13e-3 thereunder, and to comply with the undertakings set forth in the Order. The allegations in the Commission's civil action against Wilkerson are substantially the same as the findings set forth in the Commission's Order. Without admitting or denying the allegations in the complaint, Wilkerson consented to pay a $25,000 civil penalty. (Rel. 34-48703; File No. 3-11315) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2003- 30) relating to the execution of limit orders for over-the-counter securities has become effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48680) A proposed rule change (SR-PHLX-2003-70) filed by the Philadelphia Stock Exchange relating to the payment for order flow fees for the top 120 equity options, 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 27. (Rel. 34-48688) PROPOSED RULE CHANGES The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2003-03) that would allow FICC to amend the criteria it uses to place members on surveillance status. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48689) The Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2003-04) seeking permanent approval of SCCP's limited clearance and settlement services. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48692) The Pacific Exchange filed a proposed rule change (SR-PCX-2003-35), and Amendment No. 1 thereto, to amend its Corporate Governance and Disclosure Policies. Publication of the proposal is expected in the Federal Register during the week of October 27. (Rel. 34-48700) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Nov. 14, 2003, to comment on the application of Keane, Inc. to withdraw its Common Stock, $.10 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48694) A notice has been issued giving interested persons until Nov. 14, 2003, to comment on the application Hastings Manufacturing Company to withdraw its common stock, $2.00 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48695) A notice has been issued giving interested persons until Nov. 14, 2003, to comment on the application Capital Pacific Holdings, Inc. to withdraw its common stock, $.10 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48696) A notice has been issued giving interested persons until Nov. 14, 2003, to comment on the application of Rampart Capital Corporation to withdraw its Common Stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48698) A notice has been issued giving interested persons until Nov. 14, 2003, to comment on the application of Totta & Acores Financing, Ltd. to withdraw its 8.875% Non-Cumulative Guaranteed Preference Shares, Series A, $25 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-48699) 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-1 ODYSSEY PICTURES CORP, 16910 DALLAS PARKWAY, SUITE 104, DALLAS, TX, 75248, 3105563656 - 4,000,000 ($240,000.00) Equity, (File 333-109937 - Oct. 24) (BR. 05) S-8 SKINVISIBLE INC, 6320 S SANDHILL ROAD, SUITE 10, LAS VEGAS, NV, 89120, 7024337154 - 2,500,000 ($350,000.00) Equity, (File 333-109938 - Oct. 24) (BR. 02) N-2 TS&W HEITMAN CLAYMORE EQUITY INCOME FUND, C/O CLAYMORE SECURITIES, 210 N. HALE ST., WHEATON, IL, 60187, 6303152036 - 50,000 ($1,000,000.00) Equity, (File 333-109940 - Oct. 24) (BR. 17) S-8 UNIONBANCAL CORP, 400 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104-1476, 4157652969 - 2,000,000 ($104,200,000.00) Equity, (File 333-109941 - Oct. 24) (BR. 07) S-8 DIAMONDCLUSTER INTERNATIONAL INC, 875 NORTH MICHIGAN AVE SUITE 3000, CHICAGO, IL, 60611, 3122555000 - 0 ($308,484,000.00) Equity, (File 333-109942 - Oct. 24) (BR. 08) S-8 RADIX MARINE INC, 425-315-1772 - 7,158,000 ($680,010.00) Equity, (File 333-109943 - Oct. 24) (BR. 08) F-3 INTERTAPE POLYMER GROUP INC, 110E MONTEE DE LIESSE, ST LAURENT, QUEBEC H4T 1N4 CANAD, A8, 5147310731 - 1,030,767 ($9,091,364.94) Equity, (File 333-109944 - Oct. 24) (BR. 04) S-8 PTS INC/NV/, 3960 HOWARD HUGHES PKWY., 5TH FLOOR, LAS VEGAS, NV, 89109, 7028788310 - 80,000,000 ($800,000.00) Equity, (File 333-109945 - Oct. 24) (BR. 36) S-3 PHARMOS CORP, 99 WOOD AVENUE SOUTH, SUITE 301, ISELIN, NJ, 08830, 7324529556 - 11,535,075 ($33,871,681.00) Equity, (File 333-109946 - Oct. 24) (BR. 01) S-8 LUCENT TECHNOLOGIES INC, 600 MOUNTAIN AVE, MURRAY HILL, NJ, 07974, 9085828500 - 170,000,000 ($401,200,000.00) Equity, (File 333-109947 - Oct. 24) (BR. 37) S-8 MICHIGAN HERITAGE BANCORP INC, 21211 HAGGERTY RD, NOVI, MI, 48375-5306, 8103800779 - 0 ($462,000.00) Equity, (File 333-109948 - Oct. 24) (BR. 07) S-3 WHOLESALE AUTO RECEIVABLES CORP, CORPORATE TRUST CENTER, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 3026587851 - 0 ($9,875,000,000.00) Asset-Backed Securities, (File 333-109950 - Oct. 24) (BR. 05) S-4 WINTRUST FINANCIAL CORP, 727 N BANK LANE, LAKE FOREST, IL, 60045, 8476154096 - 360,000 ($6,796,800.00) Equity, (File 333-109951 - Oct. 24) (BR. 07) S-8 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 1,000,000 ($34,360,000.00) Equity, 0 ($10,000,000.00) Non-Convertible Debt, (File 333-109952 - Oct. 24) (BR. 05) S-8 TRANSCOMMUNITY BANKSHARES INC, 2320 ANDERSON HIGHWAY, POWHATAN, VA, 23219, 8045986839 - 0 ($3,300,000.00) Equity, (File 333-109953 - Oct. 24) (BR. 07) S-4 BE AEROSPACE INC, 1400 CORPORATE CTR WY, WELLINGTON, FL, 33414, 5617915000 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-109954 - Oct. 24) (BR. 06) S-3 HERTZ CORP, 225 BRAE BLVD, PARK RIDGE, NJ, 07656, 2013072000 - 0 ($2,450,000,000.00) Non-Convertible Debt, (File 333-109955 - Oct. 24) (BR. 05) S-8 JOURNAL COMMUNICATIONS INC, 333 WEST STATE STREET, MILWAUKEE, WI, 83203, 6,000,000 ($104,580,000.00) Equity, (File 333-109956 - Oct. 24) (BR. 05) S-8 USF CORP, 8550 W BRYN MAWR AVE, SUITE 700, CHICAGO, IL, 60631, 773.824-1000 - 0 ($9,804,000.00) Equity, (File 333-109957 - Oct. 24) (BR. 05) S-8 VIASAT INC, 6155 EL CAMINO REAL, CARLSBAD, CA, 92009, 760-476-2200 - 1,500,000 ($28,590,000.00) Equity, (File 333-109959 - Oct. 24) (BR. 37) S-3 GADZOOKS INC, 4121 INTERNATIONAL PKWY, CARROLLTON, TX, 75007, 9723075555 - 0 ($20,204,800.00) Equity, (File 333-109960 - Oct. 24) (BR. 02) S-8 ICOA INC, 111 AIRPORT RD, WARWICK, RI, 02889, 4017399205 - 10,000,000 ($700,000.00) Equity, (File 333-109961 - Oct. 24) (BR. 37) S-8 DAKTRONICS INC /SD/, PO BOX 5128, 331 32ND AVE, BROOKINGS, SD, 57006, 6056974000 - 100,000 ($1,591,000.00) Equity, (File 333-109962 - Oct. 24) (BR. 06) S-8 NORSTAN INC, 5101 SHADY OAK ROAD, MINNETONKA, MN, 55343, 6123524000 - 0 ($1,852,500.00) Equity, (File 333-109963 - Oct. 24) (BR. 37) S-3 ACCREDITED HOME LENDERS INC, 11000 BROKEN LAND PARKWAY, NORWEST BANK MINNESOTA, COLUMBIA, MD, 21044, 8586762100 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-109964 - Oct. 24) (BR. 05) S-1 DYNAVAX TECHNOLOGIES CORP, 717 POTTER STREET, SUITE 100, BERKELEY, CA, 94710, 5108485100 - 0 ($90,000,000.00) Equity, (File 333-109965 - Oct. 24) (BR. 01) S-3 PITNEY BOWES INC /DE/, WORLD HEADQUARTERS 61-11, ONE ELMCROFT ROAD, STAMFORD, CT, 06926, 2033565000 - 598,463 ($24,468,479.00) Equity, (File 333-109966 - Oct. 24) (BR. 03) S-8 SURGICARE INC/DE, 12727 KIMBERLY LANE, #200, HOUSTON, TX, 77024, 7136651406 - 228,310 ($100,456.00) Equity, (File 333-109968 - Oct. 24) (BR. 01) S-3 INTRAWARE INC, 25 ORINDA WAY, ORINDA, CA, 94563, 9254468729 - 0 ($8,080,000.00) Equity, (File 333-109969 - Oct. 24) (BR. 08) S-8 GERDAU AMERISTEEL CORP, 2,662,000 ($7,080,920.00) Equity, (File 333-109970 - Oct. 24) (BR. 06) S-3 AEROGEN INC, 2071 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043, 650 864-7300 - 0 ($2,885,143.14) Equity, (File 333-109971 - Oct. 24) (BR. 36) S-3 PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209, 2058774400 - 0 ($110,155,500.00) Debt Convertible into Equity, (File 333-109972 - Oct. 24) (BR. 01) S-8 DYNAMICS RESEARCH CORP, 60 FRONTAGE ROAD, ANDOVER, MA, 01810-5498, 9784759090 - 0 ($8,115,000.00) Equity, (File 333-109973 - Oct. 24) (BR. 03) S-3 CONSOL ENERGY INC, C/O CONSOL INC, 1800 WASHINGTON RD, PITTSBURGH, PA, 15241, 68,997,357 ($1,504,142,382.60) Equity, (File 333-109974 - Oct. 24) (BR. 04) S-8 CHECKFREE CORP \GA\, 4411 E JONES BRIDGE RD, NORCROSS, GA, 30092, 7704413387 - 2,605,091 ($62,548,234.91) Equity, (File 333-109975 - Oct. 24) (BR. 08) S-8 WILSONS THE LEATHER EXPERTS INC, 7401 BOONE AVENUE NORTH, ST LOUIS PARK, BROOKLYN PARK, MN, 55428, 6123914000 - 0 ($2,352,500.00) Equity, (File 333-109976 - Oct. 24) (BR. 02) S-8 WILSONS THE LEATHER EXPERTS INC, 7401 BOONE AVENUE NORTH, ST LOUIS PARK, BROOKLYN PARK, MN, 55428, 6123914000 - 0 ($7,057,500.00) Equity, (File 333-109977 - Oct. 24) (BR. 02) S-3 AMR CORP, 4333 AMON CARTER BLVD, FORT WORTH, TX, 76155, 8179631234 - 0 ($300,000,000.00) Other, (File 333-109978 - Oct. 24) (BR. 05) S-4 PERFECTDATA CORP, 110 W EASY ST, SIMI VALLEY, CA, 93065-1689, 8055814000 - 27,821,070 ($8,767,374.00) Equity, (File 333-109979 - Oct. 24) (BR. 06) S-3 UNIONBANCAL CORP, 400 CALIFORNIA STREET, SAN FRANCISCO, CA, 94104-1476, 4157652969 - 450,775 ($24,486,098.00) Equity, (File 333-109981 - Oct. 24) (BR. 07) S-3 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 12,000,000 ($25,800,000.00) Equity, (File 333-109982 - Oct. 24) (BR. 01) S-8 3COM CORP, 350 CAMPUS DRIVE, MARLBOROUGH, MA, 01752-3064, 508-323-5000 - 0 ($166,750,000.00) Equity, (File 333-109983 - Oct. 24) (BR. 03) S-1 ASSURANT INC, 0 ($1,000,000,000.00) Equity, (File 333-109984 - Oct. 24) (BR. ) S-8 TRANSCAT INC, 35 VANTAGE POINT DRIVE, ROCHESTER, NY, 14624, 5853527777 - 0 ($4,683,500.00) Equity, (File 333-109985 - Oct. 24) (BR. 36) S-8 CYTOGEN CORP, 6099878200 - 201,000 ($2,273,568.00) Equity, (File 333-109986 - Oct. 24) (BR. 01) S-1 ASSET ACCEPTANCE CAPITAL CORP, 0 ($115,000,000.00) Equity, (File 333-109987 - Oct. 24) (BR. ) S-3 NEXTEL PARTNERS INC, 4500 CARILLON POINT, KIRKLAND, WA, 98033, 4255763600 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-109988 - Oct. 24) (BR. 37) N-2 PIONEER MUNICIPAL HIGH INCOME ADVANTAGE TRUST, 40 ($1,000,000.00) Equity, (File 333-109989 - Oct. 24) (BR. 16) SB-2 MELT INC, 13,230,000 ($1,323,000.00) Equity, (File 333-109990 - Oct. 24) (BR. ) 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 ------------------------------------------------------------------------------------------------ 21ST CENTURY INSURANCE GROUP CA X 10/23/03 7 ELEVEN INC TX X 10/23/03 99 CENT STUFF INC FL X X X X 09/04/03 99 CENTS ONLY STORES CA X 10/21/03 AMEND ABLEAUCTIONS COM INC FL X X 10/23/03 ABLEST INC DE X X 10/24/03 ACCREDITED HOME LENDERS HOLDING CO DE X X 10/23/03 ACNB CORP PA X X 10/24/03 ACTEL CORP CA X X 10/17/03 ADVANCED BIOTHERAPY INC DE X X 10/24/03 ADVANCED MARKETING SERVICES INC DE X 10/23/03 ADVANCED POWER TECHNOLOGY INC X 10/23/03 ADVISORY BOARD CO DE X 10/23/03 AIRTRAN HOLDINGS INC NV X X X 10/22/03 AK STEEL HOLDING CORP DE X X 10/24/03 AKORN INC LA X X 10/07/03 ALAMOSA HOLDINGS INC DE X 10/23/03 ALEXANDER & BALDWIN INC HI X 10/23/03 ALLEGHENY ENERGY INC MD X X 10/24/03 ALLEGHENY ENERGY INC MD X X 10/24/03 ALLETE INC MN X X X 10/24/03 AMEREN CORP MO X 10/24/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X X 10/16/03 AMERICAN HOME MORTGAGE HOLDINGS INC DE X X 10/23/03 AMERICAN HONDA RECEIVABLES CORP CA X X 10/23/03 AMERIQUEST MORT SEC INC ASSET BACKED DE X X 10/08/03 AMERIQUEST MORTGAGE SECURITIES INC DE X 10/22/03 AMR CORP DE X X 10/22/03 AMEND ANGLOTAJIK MINERALS INC NV X 10/23/03 AMEND APOGENT TECHNOLOGIES INC WI X X 05/13/03 AMEND ARIZONA PUBLIC SERVICE CO AZ X X X 09/30/03 ARQULE INC DE X X 10/23/03 AT ROAD INC CA X X 10/24/03 AT&T CORP NY X X 10/21/03 ATLANTIS PLASTICS INC FL X X 10/24/03 AVATAR HOLDINGS INC DE X 10/24/03 AVISTA CORP WA X X 10/24/03 AVISTAR COMMUNICATIONS CORP DE X X 10/23/03 AVNET INC NY X 10/23/03 AVX CORP DE X 09/30/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 10/23/03 BANKATLANTIC BANCORP INC FL X 10/24/03 BANNER CORP WA X X 10/24/03 BAY VIEW SECURITIZATION CORP DE X 10/15/03 BAY VIEW TRANSACTION CORP X 10/15/03 BEAR STEARNS ASSET BACKED WHOLE AUTO DE X X 10/15/03 BIRDS EYE FOODS INC DE X 10/24/03 BOURBON BANCSHARES INC /KY/ KY X 10/23/03 BRANDYWINE REALTY TRUST MD X X 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