SEC NEWS DIGEST Issue 2003-13 January 21, 2003 ENFORCEMENT PROCEEDINGS ADDITIONAL MONETARY RELIEF AWARDED AGAINST MARLEN JOHNSON IN CONTEMPT PROCEEDING IN CONNECTION WITH VIOLATIONS OF AN AGREED FINAL JUDGMENT After ordering defendant Marlen V. Johnson's arrest and incarceration, United States District Judge A. Joe Fish has assessed civil penalties, fines and attorney's fees in excess of $290,000 against Johnson for conduct in contempt of a final judgment signed by Judge Fish in 1996. On Dec. 9, 2002, Judge Fish signed an Order Setting Additional Fines and Setting Amount of Attorneys' Fees to be Paid by Marlen V. Johnson Pursuant to Order of Contempt (December 9 Order). The December 9 Order supplements the Order Holding Defendant Marlen V. Johnson in Civil Contempt for Failure to Comply with Court Orders, Granting Sanctions for Contempt and Granting Other Post-Judgment Relief, entered by the Court on Sept. 24, 2002 (September 24 Order) [see LR 17750/Sept. 26, 2002]. Both the September 24 Order and December 9 Order arise from Johnson's violations of the terms of an Agreed Final Judgment entered by Judge Fish on April 7, 1996 (SEC v. Jeffrey C. Hays, Marlen V. Johnson, and James M. Nilsson, USDC/NDTX [Dallas Division], Civil Action No. 3:02-CV- 0250-G). The final judgment, entered in a matter charging Johnson with masterminding a stock-manipulation scheme, barred Johnson from acting as an officer or director. The judgment also permanently enjoined Johnson from, among other things, future violations of the antifraud and reporting provisions of the federal securities laws. Judge Fish found that Johnson violated the final judgment from at least Oct. 19, 2001, to the present by acting as an officer and director of a public company, including, but not limited to, Voyager Group, Inc., Neoteric, Inc., and R&RX Group, Inc. Judge Fish further found that Johnson violated the antifraud and reporting provisions of the final judgment by causing reports to be filed with the Commission that omitted to disclose material information. Specifically, Forms 10-K and 10-Q that Johnson signed and filed on behalf of Voyager and Neoteric failed to disclose that Johnson, while acting as president, secretary and a director of these companies, was nonetheless subject to the final judgment barring him from acting as an officer or director. Moreover, Johnson failed to disclose any portion of the 1996 final judgment against him. Johnson ignored the Court's initial order to show cause and failed to appear at a contempt hearing held by Judge Fish on Sept. 24, 2002. Pursuant to the September 24 Order, Judge Fish issued a bench warrant requiring the arrest and incarceration of Johnson and ordered the assessment of daily coercive fines until Johnson purged himself of contempt. Additionally, the Court required Johnson to pay the Commission attorney's fees for the time expended in seeking to enforce Johnson's compliance with the final judgment. Finally, the Court imposed on Johnson a third-tier civil penalty of $120,000 for his failure to disclose his disciplinary history in filings with the Commission. After Johnson was arrested and incarcerated, the Court held a second show cause hearing. Following this hearing, Judge Fish issued the December 9 Order, awarding the Commission additional monetary relief against Johnson. The Court set the amount of the coercive fines against Johnson at $120,000. Additionally, the Court granted the Commission's request for attorneys' fees in the amount of $50,975. [SEC v. Jeffrey C. Hays, Marlen V. Johnson, and James M. Nilsson, Civil Action No. 3:95- CV-0250-G, USDC, ND TX] (LR-17941) FINAL JUDGMENT SETTING DISGORGEMENT AND IMPOSING CIVIL PENALTIES AGAINST PRINCIPALS OF A BOCA RATON COMPANY The Commission announced that on Jan. 10 the United States District Court for the Southern District of Florida entered a Final Judgment Setting Disgorgement and Imposing Civil Penalties (Final Judgment), against Defendants Ulrich Garbe, Peggy Patterson and John Hyland, formerly principals of Sunstate FX, Inc. (Sunstate), a company purportedly in the business of trading foreign currency. The Final Judgment orders Garbe to pay $710,287.96 in disgorgement, $76,712.75 in prejudgment interest and a civil penalty of $120,000. Patterson is ordered to pay $228,374.09 in disgorgement, $24,665.93 in prejudgment interest and a civil penalty of $60,000. Hyland is ordered to pay $124,670.24 in disgorgement, prejudgment interest in the amount of $13,464.667 and a civil penalty of $60,000. The Final Judgment also provides for the dismissal of disgorgement and civil penalties against Sunstate as the company is no longer in operation. The Court had previously entered, with the defendants' consent, Final Judgments of Permanent Injunction and Other Relief (Judgments) on the following dates: Sunstate on July 10, 2001, Patterson on July 26, 2001, Hyland on Oct. 18, 2001, and Garbe on Feb. 26, 2002. The Judgments permanently enjoin Sunstate, Garbe and Hyland from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Judgments further enjoins Patterson from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. On April 18, 2001, the SEC filed an emergency action against Sunstate, Garbe, Patterson, and Hyland seeking to enjoin them from continuing to violate the federal securities laws in connection with their ongoing, fraudulent, unregistered offer and sale of securities. The complaint alleged that Sunstate had raised over $54 million from approximately 160 investors, but that only 20% of these funds were actually used for foreign currency trading, and even these funds were only used for trading for a few short months. Instead, according to the complaint, Garbe, Patterson and Hyland misappropriated at least $2.9 million in investor funds for their own personal use, including the purchase of luxurious homes, cars and other personal items. In addition, the complaint alleged that, unbeknownst to investors, Sunstate paid its sales agents commissions totaling at least $10.6 million -- representing about 20% of the offering proceeds. [SEC v. Sunstate FX Inc., et al., Case No. 01-8328-CIV-RYSKAMP (USDC/SD FL)] (LR-17942) INVESTMENT COMPANY ACT RELEASES AMERICAN UNITED LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until Feb. 10, 2003, to request a hearing on an application filed by American United Life Insurance Company (AUL), et al. (collectively, Applicants). Applicants seek an order pursuant to Section 6(c) the Investment Company Act to the extent necessary to permit AUL to recapture part or all of a credit applied to premium payments made under contracts described in the Application (Contract(s)), in the following instances: (i) when a Contract owner exercises the Contract's free look provision; and (ii) when a Contract owner makes any withdrawal from a Contract within the first seven Contract years. Applicants request that the order extend to other variable annuity contracts that are substantially similar in all material respects to the Contracts, that AUL, its affiliates and successors in interest may issue in the future. (Rel. IC-25889 - Jan. 16) HOLDING COMPANY ACT RELEASES SCANA CORPORATION A notice has been issued giving interested persons until Feb. 7, 2003, to request a hearing on a proposal by SCANA Corporation (SCANA), a registered holding company, SCANA's utility subsidiaries, and SCANA's nonutility subsidiaries, to enter into various financing transactions until April 15, 2006, issue common stock for compensation plans, pay dividends out of capital or unearned surplus by nonutility subsidiaries, continue certain development and administrative activities, continue certain intermediate subsidiaries, and continue certain internal organization of existing investments. (Rel. 35-27639) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2003-4) relating to the Primex Auction System has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Jan. 20. (Rel. 34-47191) PROPOSED RULE CHANGE The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2002-14) relating to market emergencies. Publication of the proposal in the Federal Register is expected during the week of Jan. 20. (Rel. 34-47202) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2002-157) regarding ACT risk management. Publication of the proposal in the Federal Register is expected during the week of Jan. 20. (Rel. 34-47208) WITHDRAWALS SOUGHT A notice has been issued giving interested persons until Feb. 7, 2003, to comment on the application of DST Systems, Inc. to withdraw its Common Stock, $.01 par value, and Preferred Stock Purchase Rights, from listing and registration on the Chicago Stock Exchange. (Rel. 34-47203) A notice has been issued giving interested persons until Feb. 7, 2003, to comment on the application of Aquila, Inc. (formerly known as UtiliCorp United Inc.) to withdraw its Common Stock, $1.00 par value, from listing and registration on the Pacific Exchange. (Rel. 34-47204) A notice has been issued giving interested persons until Feb. 10, 2003, to comment on the application of Progressive Return Fund, Inc. to withdraw its Common Stock, $.001 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-47217) A notice has been issued giving interested persons until Feb. 10, 2003, to comment on the application of Cornerstone Total Return Fund, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-47218) A notice has been issued giving interested persons until Feb. 10, 2003, to comment on the application of Cornerstone Strategic Value Fund, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the New York Stock Exchange. (Rel. 34-47219) DELISTINGS GRANTED An order has been issued granting the application of the International Securities Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying securities of EntreMed, Inc., Interwoven, Inc., and Kmart Corporation, effective at the opening of business on Jan. 17. (Rel. 34-47205) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Organogenesis, Inc., effective at the opening of business on Jan. 20. (Rel. 34-47213) 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-3 AMERICAN FINANCIAL GROUP INC, ONE EAST FOURTH STREET, SUITE 919, CINCINNATI, OH, 45202, 5135792121 - 2,000,000 ($46,740,000.00) Equity, (File 333-102556 - Jan. 17) (BR. 01) S-B ITALY REPUBLIC OF, ONE CANADA SQUARE, CANARY WHARF, LONDON, X0, E14 5DS, 011442075197179 - 0 ($3,823,000,000.00) Other, (File 333-102558 - Jan. 17) (BR. DN) S-8 PHSB FINANCIAL CORP, 744 SHENANGO ROAD, BRAVER FALLS, PA, 15010, 7248467300 - 442,781 ($6,007,932.00) Equity, (File 333-102559 - Jan. 17) (BR. 07) S-8 FIRST AMERICAN SCIENTIFIC CORP \NV\, 100 PARK ROYAL SOUTH, SUITE 811, WEST VANCOUVER, BC, A1, V7T 1A2, 604-913-9035 - 10,000,000 ($800,000.00) Equity, (File 333-102560 - Jan. 17) (BR. 06) S-8 UNIZAN FINANCIAL CORP, 220 MARKET AVE SOUTH, CANTON, OH, 44701, 3304381230 - 1,518,544 ($25,603,035.74) Equity, (File 333-102561 - Jan. 17) (BR. 07) F-6 AO SURGUTNEFTEGAS /FI, 25 ENTUZIASTOV ST SURGUT, 071-248-9929, TYUMENSKAYA OBLAST RUSSIA FEDE, U2, 626400, 20,000,000 ($1,000,000.00) ADRs/ADSs, (File 333-102562 - Jan. 17) (BR. ) S-8 SAP AKTIENGESELLSCHAFT SYSTEMS APPLICATIONS PRODUCTS IN DATA, NEUROTTSTRABE 16, WALLDORF, FEDERAL REPUBLIC OF GERMAN, NEW YORK, NY, 69190, 0114962277 - 0 ($388,067,260.00) Equity, (File 333-102564 - Jan. 17) (BR. 03) S-4 FIRST ADVANTAGE CORP, 805 EXECUTIVE CENTER DR WEST, SUITE 300, ST PETERSBURG, FL, 33702, 714-800-3000 - 0 ($83,714,275.00) Equity, (File 333-102565 - Jan. 17) (BR. ) F-6 PHILIPPINE LONG DISTANCE TELEPHONE CO, RAMON CONJUANGCO BLDG, MAKATI AVE, MAKATI METRO MANILA, R6, 0721, 0116328143552 - 160,000,000 ($8,000,000.00) Equity, (File 333-102566 - Jan. 17) (BR. 37) S-3D AMERICAN FINANCIAL GROUP INC, ONE EAST FOURTH STREET, SUITE 919, CINCINNATI, OH, 45202, 5135792121 - 2,000,000 ($46,740,000.00) Equity, (File 333-102567 - Jan. 17) (BR. 01) S-11 INTERSTAR SECURITISATION MANAGEMENT PTY LTD, 0 ($775,000,000.00) Debt Convertible into Equity, (File 333-102569 - Jan. 17) (BR. 05) S-8 PALOMAR ENTERPRISES INC, 10264 CAMINO RUIZ #75, SUITE 209, SAN DIEGO, CA, 92126, 6196922590 - 1,500,000 ($105,000.00) Other, (File 333-102570 - Jan. 17) (BR. 05) N-2 SELIGMAN EACM ABSOLUTE RETURN STRATEGIES LLC, 100 PARK AVE., NEW YORK, NY, 10017, (800) 221-2450 - 100,000 ($1,000,000.00) Other, (File 333-102571 - Jan. 17) (BR. 22) S-8 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 - 190,000 ($205,200.00) Equity, (File 333-102572 - Jan. 17) (BR. 08) F-6 PHILIPPINE LONG DISTANCE TELEPHONE CO, RAMON CONJUANGCO BLDG, MAKATI AVE, MAKATI METRO MANILA, R6, 0721, 0116328143552 - 10,000,000 ($500,000.00) Equity, (File 333-102573 - Jan. 17) (BR. 37) S-3 ORIENT EXPRESS HOTELS LTD, 41 CEDAR AVE, PO BOX HM 1179, HAMILTON HM EX BERMU, D0, 00000, 2127323200 - 0 ($62,125,000.00) Equity, (File 333-102576 - Jan. 17) (BR. 08) S-3 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($9,656,006.00) Equity, (File 333-102577 - Jan. 17) (BR. 01) N-2 EXCELSIOR CORPORATE FINANCE INVESTORS LLC, 50,000 ($50,000,000.00) Non-Convertible Debt, (File 333-102578 - Jan. 17) (BR. ) S-3 AESP INC, 1810 N E 144TH STREET, NORTH MIAMI, FL, 33181, 3059447710 - 1,696,250 ($1,848,912.50) Equity, (File 333-102579 - Jan. 17) (BR. 03) S-8 INNOVO GROUP INC, 2633 KINGSTON PIKE STE 100, KNOXVILLE, TN, 37919, 8655461110 - 2,150,000 ($5,113,746.48) Equity, (File 333-102580 - Jan. 17) (BR. 02) S-8 AMSOUTH BANCORPORATION, 1900 FIFTH AVENUE NORTH, AMSOUTH SONAT TOWER, BIRMINGHAM, AL, 35203, 2053207151 - 0 ($9,076,000.00) Equity, (File 333-102581 - Jan. 17) (BR. 07) S-8 ECOM CORP, 2078 PROSPECTER AVE, PARK CITY, UT, 84060, 4356550856 - 0 ($180,000.00) Equity, (File 333-102582 - Jan. 17) (BR. 08) S-8 BP PLC, BRITANNIC HOUSE, 1 FINSBURY CIRCUS, LONDON EC2M 7BA ENGL, X0, 00000, 442074964000 - 1,200,000 ($7,862,160.00) ADRs/ADSs, (File 333-102583 - Jan. 17) (BR. 04) S-3 FIBERNET TELECOM GROUP INC\, 570 LEXINGTON AVENUE, 3RD FLOOR, NEW YORK, NY, 10022, 2124056200 - 0 ($118,922,057.98) Equity, (File 333-102584 - Jan. 17) (BR. 37) S-3 FLEETWOOD ENTERPRISES INC/DE/, 3125 MYERS ST, P O BOX 7638, RIVERSIDE, CA, 92503, 9093513798 - 0 ($40,000,000.00) Equity, (File 333-102585 - Jan. 17) (BR. 05) S-8 AMSOUTH BANCORPORATION, 1900 FIFTH AVENUE NORTH, AMSOUTH SONAT TOWER, BIRMINGHAM, AL, 35203, 2053207151 - 0 ($605,100,000.00) Equity, (File 333-102586 - Jan. 17) (BR. 07) S-3 SPECTRUM PHARMACEUTICALS INC, 157 TECHNOLOGY DR, IRVINE, CA, 92618, 9497886700 - 0 ($1,176,736.22) Equity, (File 333-102587 - Jan. 17) (BR. 01) S-8 MANHATTAN SCIENTIFICS INC, 641 FIFTH AVENUE, SUITE 36F, NEW YORK, NY, 10022, 2127520505 - 8,000,000 ($616,000.00) Equity, (File 333-102589 - Jan. 17) (BR. 09) S-4 K2 INC, 4900 S EASTERN AVE, SUITE 200, LOS ANGELES, CA, 90040, 3237242800 - 0 ($101,578,034.00) Equity, (File 333-102590 - Jan. 17) (BR. 05) S-3 3COM CORP, 5500 GREAT AMERICA PARKWAY, SANTA CLARA, CA, 95052-8145, 408-326-5000 - 0 ($66,101,000.00) Equity, (File 333-102591 - Jan. 17) (BR. 03) S-2 ALTAIR NANOTECHNOLOGIES INC, 1725 SHERIDAN AVE, SUITE 140, CODY, WY, 82414, 3075878245 - 2,250,000 ($1,012,500.00) Equity, 750,000 ($0.00) Other, (File 333-102592 - Jan. 17) (BR. 04) S-3 DOT HILL SYSTEMS CORP, 6305 EL CAMINO REAL, CARLSBAD, CA, 92009, 2129894455 - 0 ($14,415,206.92) Equity, (File 333-102593 - Jan. 17) (BR. 03) F-3 TEEKAY SHIPPING CORP, TK HOUSE, BAYSIDE EXECUTIVE PARK, WEST BAY ST & BLAKE RD, PO BOX AP-59213, NASSAU BAHAMAS, C5, 00000, 8093228020 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-102594 - Jan. 17) (BR. 05) S-3 INSPIRE PHARMACEUTICALS INC, 4222 EMPEROR BLVD STE 470, DURHAM, NC, 27703-8466, 9199419777 - 0 ($100,000,000.00) Equity, (File 333-102595 - Jan. 17) (BR. 01) S-8 ACRES GAMING INC, 7115 AMIGO STREET SUITE 150, LAS VEGAS, NV, 89119, 7022637588 - 0 ($7,139,043.00) Equity, (File 333-102596 - Jan. 17) (BR. 03) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ 2U ONLINE COM INC DE X 01/17/02 3 DIMENSIONAL PHARMACEUTICALS INC DE X X 01/15/03 ABLE LABORATORIES INC DE X X 01/16/03 ACCLAIM ENTERTAINMENT INC DE X 01/17/03 ACCLAIM ENTERTAINMENT INC DE X X 01/17/03 ADVANTA CORP DE X X 01/17/03 AGERE SYSTEMS INC DE X X X 01/02/03 AGWAY INC DE X X 01/17/03 AIRGATE PCS INC /DE/ DE X 01/15/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 01/16/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 01/16/03 ALPHA HOSPITALITY CORP DE X X 01/17/03 AMERICAN RETIREMENT VILLAS PROPERTIES CA X X 01/17/03 AMERICAN RETIREMENT VILLAS PROPERTIES CA X X 01/17/03 AMERICREDIT CORP TX X X 01/16/03 AMERIQUEST MORTGAGE SECURITIES INC DE X X 01/17/03 AMERISOURCEBERGEN CORP DE X X 01/17/03 AMYLIN PHARMACEUTICALS INC DE X X 01/16/03 APACHE CORP DE X X X 01/16/03 APPLE HOSPITALITY FIVE INC VA X X X 01/03/03 AQUATIC CELLULOSE INTERNATIONAL CORP X X 01/08/03 ARTESIAN RESOURCES CORP DE X 01/17/03 AUTO GRAPHICS INC CA X X 01/17/03 AUTOCARBON INC DE X X 01/17/03 BAYCORP HOLDINGS LTD DE X 01/09/03 AMEND BEAR STEARNS COMPANIES INC DE X X 01/14/03 BEARINGPOINT INC DE X 01/15/03 BERKSHIRE HILLS BANCORP INC X X 01/16/03 BIO TECHNOLOGY GENERAL CORP DE X X 09/30/02 AMEND BIOMARIN PHARMACEUTICAL INC DE X 01/15/03 BSQUARE CORP /WA WA X X 01/16/03 CAPITAL ONE FINANCIAL CORP DE X X X 01/16/03 CARAUSTAR INDUSTRIES INC NC X X 01/17/03 CARE CONCEPTS INC DE X X 01/15/03 CAROLINA BANK HOLDINGS INC NC X X 01/15/02 CASTELLE \CA\ DE X 01/17/03 CENDANT CORP DE X X 01/16/03 CHANGE TECHNOLOGY PARTNERS INC DE X X 01/15/03 CHARTER ONE FINANCIAL INC DE X X 01/17/03 CHASE MORTGAGE FINANCE CORP DE X X 01/16/03 CHYRON CORP NY X 01/17/03 CITIZENS FIRST CORP KY X 01/02/03 CITY NATIONAL CORP DE X X 01/14/03 COGNOS INC CA X X 01/10/03 COMPASS BANCSHARES INC DE X X 01/17/03 CONE MILLS CORP NC X 03/30/03 CONSTELLATION BRANDS INC DE X X X 01/16/03 CORAM HEALTHCARE CORP DE X X 12/31/02 COWLITZ BANCORPORATION WA X 01/17/03 CRIIMI MAE INC MD X 01/15/03 CROSS COUNTRY INC DE X X 01/16/03 CROWN CASTLE INTERNATIONAL CORP DE X X 01/16/03 CWABS INC ASSET BACKED CERTIFICATES S DE X X 11/20/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 12/30/02 CYTOGEN CORP DE X X 01/17/03 CYTYC CORP DE X X 01/16/03 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 01/17/03 DELPHI CORP DE X 01/17/03 DISCOVER CARD MASTER TRUST I DE X X 01/17/03 DISCOVER CARD MASTER TRUST I DE X X 01/17/03 DIVALL INCOME PROPERTIES 3 L P WI X 12/19/02 AMEND DIVALL INSURED INCOME PROPERTIES 2 LI WI X 12/19/02 AMEND DIVERSIFIED FINANCIAL RESOURCES CORP DE X 07/18/02 AMEND DRUCKER INC DE X X 01/03/03 DVI RECEIVABLES CORP DE X 12/31/02 DVI RECEIVABLES CORP VIII DE X 12/31/02 EDISON INTERNATIONAL CA X X 01/17/03 EGAMES INC PA X X 01/17/03 ELCOM INTERNATIONAL INC DE X X 01/15/03 ELKCORP DE X X 01/16/03 EZ TRAVEL INC NV X X X 01/03/03 FAHNESTOCK VINER HOLDINGS INC X 01/02/03 FASHIONMALL COM INC DE X 01/17/03 FIRST BANCORP /PR/ PR X X 01/16/03 FIRST COLONIAL GROUP INC PA X 01/17/03 FIRST FINANCIAL HOLDINGS INC /DE/ DE X X 01/16/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 01/17/03 FIRSTENERGY CORP OH X 01/16/03 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 08/30/01 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 10/30/01 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 11/29/01 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 12/31/01 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 01/30/02 FLEET MORTGAGE CERTIFICATE TRUST 2001 NY X X 08/29/02 FNB CORP/FL/ FL X X X 01/16/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 01/16/03 FRONTIER FINANCIAL CORP /WA/ WA X X 01/17/03 GAYLORD ENTERTAINMENT CO /DE DE X X 01/17/03 GENERAL ELECTRIC CO NY X 01/17/03 GREATER BAY BANCORP CA X X X 01/15/03 GROUP MANAGEMENT CORP DE X 01/17/03 HEINZ H J CO PA X 01/17/03 HERITAGE OAKS BANCORP CA X X 01/16/03 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 01/15/03 HOLIDAY RV SUPERSTORES INC DE X X 01/14/03 HOME SOLUTIONS OF AMERICA INC DE X X 12/27/02 IBM CREDIT CORP DE X 12/31/02 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL X 01/17/03 INTEGRATED SECURITY SYSTEMS INC DE X X 01/13/03 INTERNATIONAL BUSINESS MACHINES CORP NY X 01/16/03 INTERNATIONAL PAPER CO /NEW/ NY X X 01/16/03 INTERPUBLIC GROUP OF COMPANIES INC DE X X 01/17/03 IPCS INC DE X 01/15/03 JOHNSON CONTROLS INC WI X X 01/16/03 KANKAKEE BANCORP INC DE X X 01/17/03 KB HOME DE X 01/16/03 LABORATORY CORP OF AMERICA HOLDINGS DE X X 01/17/03 LECROY CORP DE X X 01/16/03 LIBERATE TECHNOLOGIES DE X X 01/16/03 LIQUID AUDIO INC DE X X 01/14/03 LUXTEC CORP /MA/ MA X 01/17/03 LYONDELL CHEMICAL CO DE X 01/17/03 MAIN STREET BANKS INC /NEW/ GA X X 01/16/03 MASCO CORP /DE/ DE X X 01/13/03 MAXCOR FINANCIAL GROUP INC DE X X 01/15/03 MAY DEPARTMENT STORES CO DE X X 01/17/03 MEDICAL INTERNATIONAL TECHNOLOGY INC CO X X 01/06/03 AMEND MID POWER SERVICE CORP DE X 01/13/03 MNS EAGLE EQUITY GROUP IV INC NV X X 12/31/02 MOORE CORPORATION LTD X X X 01/16/03 MPOWER HOLDING CORP DE X 01/17/03 NATIONAL MANAGEMENT CONSULTANTS INC DE X X X X X 10/22/02 AMEND NAVISTAR INTERNATIONAL CORP DE X 01/17/03 NESTOR INC DE X X 03/31/03 NETWORK EQUIPMENT TECHNOLOGIES INC DE X X 01/15/03 NEW WORLD PASTA CO DE X X 01/17/03 NITTANY FINANCIAL CORP PA X X X 01/17/03 NORTHERN BORDER PARTNERS LP DE X X 01/17/03 NS GROUP INC KY X X 01/17/03 OLD SECOND BANCORP INC DE X X 01/17/03 OPEN TEXT CORP K6 X 11/01/02 AMEND OWENS CORNING DE X X 01/17/03 PARTNERRE LTD X 11/04/02 PCD INC MA X 01/17/03 PEABODY ENERGY CORP DE X X 01/15/03 PENN AMERICA GROUP INC PA X 01/17/03 PENNSYLVANIA COMMERCE BANCORP INC X 12/20/02 PEPCO HOLDINGS INC DE X X 01/15/03 PINNACLE ENTERTAINMENT INC DE X 12/13/02 PLAYERS NETWORK X 01/03/03 PLUMTREE SOFTWARE INC CA X X 01/15/03 POLAROID CORP DE X X 12/30/02 POPULAR INC PR X X 01/16/03 QUINTON CARDIOLOGY SYSTEMS INC CA X X 01/16/03 R H DONNELLEY CORP DE X X X 01/03/03 RESOURCES ACCRUED MORTGAGE INVESTORS DE X X X 01/06/03 REXHALL INDUSTRIES INC CA X X 12/30/02 AMEND SL 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