SEC NEWS DIGEST Issue 2003-63 April 3, 2003 COMMISSION ANNOUNCEMENTS ADDITIONAL PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIAL - APRIL 2003 The following are additions to the schedule of public appearances for April 2003 by senior SEC officials. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Tuesday, April 22 Who: Lori A. Richards, Director Office of Compliance Inspections and Examinations What: NRS Annual Spring Compliance/Risk Management Conference Where: The Westin La Paloma, Tuscson, AZ Contact: Christopher Chevalier, (860) 435-2541 COMMISSION MEETINGS ADDITIONAL CLOSED MEETING - FRIDAY, APRIL 4, 2003 - 10:30 A.M. An additional closed meeting will be held on Friday, April 4, at 10:30 a.m. The subject matter of the closed meeting will be: Formal Order of Investigation. 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. ENFORCEMENT PROCEEDINGS COMMISSION SETTLES FRAUD CHARGES AGAINST ROBERT INGARDIA The Commission announced that, on March 5, 2003, the Honorable William H. Pauley, U.S. District Judge for the Southern District of New York, entered, by consent, a final judgment against Robert C. Ingardia, a former New York City-based registered representative. On Sept. 6, 2001, in the case of SEC v. Robert C. Ingardia, Case No. 01-CV-8356 (S.D.N.Y.) (WHP), the Commission sought and obtained a temporary restraining order prohibiting Ingardia from violating the antifraud provisions of the federal securities laws. In its Complaint, the Commission alleged that, from at least June through September 2001, Ingardia, who had been employed at several broker-dealers including Joseph Stevens & Co. and the now defunct Mason Hill & Co., began making telephone calls to several other brokerage firms, including Fidelity Investments, Charles Schwab & Co. and Brown & Co., in which he assumed the identity of his present and former Joseph Stevens and Mason Hill customers. The complaint further alleged that, after he had successfully assumed the identity of his customers, Ingardia would generally, without authorization, liquidate the accounts by placing unauthorized orders to sell all or many of the stock positions it contained. Using the cash proceeds of the liquidation, Ingardia would then place unauthorized orders to buy large quantities of penny stock in either Converge Global, Inc. (Converge), a Utah corporation formerly headquartered in Santa Monica, California or Equity Technologies & Resources, Inc. (ETCR), a Delaware corporation headquartered in Lexington, Kentucky. On Nov. 8, 2001, the Commission obtained a preliminary injunction restraining Ingardia from violating the antifraud provisions of the federal securities laws. The Commission's complaint was based on some of the same underlying facts as a criminal complaint filed against Ingardia by the U.S. Attorney's Office for the Southern District of New York on August 31, 2001. On Feb. 4, 2002, in the case of U.S. v. Robert Ingardia, Crim. Information No. 02 Cr. 137 (S.D.N.Y.), Ingardia pled guilty to one count of conspiracy to commit securities fraud, mail fraud and wire fraud, in violation of Title 18 United States Code, Section 371, and to three counts of securities fraud in connection with trading in Converge, ETCR and Safe Idea, Inc. common stocks, in violation of Title 15 United States Code, Sections 78j(b) and 78ff and Title 17 Code of Federal Regulations, Section 240.10b-5. Ingardia was sentenced, on July 24, 2002, to a prison term of 15 months followed by 24 months of supervised release and was ordered to make restitution in the amount of $157,196.03 and to pay a special assessment of $400. Ingardia is currently incarcerated at the Fort Dix Federal Correctional Institution in New Jersey. Without admitting or denying the Commission's allegations against him, Ingardia consented to the entry of a final judgment permanently enjoining him from future violations Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On April 2, based on the entries of the civil injunction and the criminal conviction against Ingardia, the Commission instituted settled administrative public proceedings against Ingardia. Without admitting or denying the Commission's findings, Ingardia consented to the entry of the Commission's order which bars him from association with any broker or dealer and from participating in any future offering of a penny stock. For further information see (SEC v. Robert C. Ingardia, Case No. 01-CV-8356, SDNY, WHP) and (U.S. v. Robert Ingardia, Criminal Case No. 02 Cr. 137, SDNY); Lit. Rel. Nos. 17117 and 17245. (Rel. 34-47619; File No. 3-11080) ORDER DIRECTING DISTRIBUTION OF DISGORGEMENT FUND IN THE MATTER OF HARVEY BURSTEIN AND JAMES LOEFFELBEIN The Commission announced that on April 2 it ordered that distributions be paid to investors pursuant to a plan of disgorgement distribution (Plan) previously approved in the Matter of Harvey M. Burstein and James D. Loeffelbein. On April 9, 2002, the Commission found that Respondents Harvey M. Burstein (Burstein) and James D. Loeffelbein (Loeffelbein) willfully violated Sections 5(a) and 5(c) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5, former Rule 10b-6, and Rule 101 of Regulation M under the Exchange Act. It ordered that Burstein and Loeffelbein cease and desist from committing or causing any violation and any future violation of these provisions (except Rule 10b-6, which has been rescinded), barred them from association with any broker or dealer (with the right to reapply for association after four years), and assessed civil penalties. In addition, the Commission ordered Burstein and Loeffelbein, respectively, to pay disgorgement of $74,324 and $101,544, prejudgment interest of $35,230 and $48,617, and all accrued interest. On Dec. 6, 2002, the Commission issued an order approving publication of notice of the proposed Plan, and notice was published. The Commission subsequently approved the Plan on Jan. 29, 2003. The Plan provides that a fund of $263,345.24 of disgorgement and interest paid by respondents Burstein and Loeffelbein be distributed pro rata among the customers of BMA Financial Services, Inc. (BMA), other than Burstein or Loeffelbein, who purchased shares of the common stock of Edgerton Musical Amplifiers, Inc. through BMA between Feb. 20, 1997 and May 31, 1997. (Rels. 33- 8219; 34-47620; File No. 3-10545) FLORIDA STOCKBROKER BARRED FROM THE SECURITIES INDUSTRY On April 3, Eduardo Villar was barred from the securities industry. He had been permanently enjoined from violations of the antifraud and registration provisions of the federal securities laws. The bar was ordered in an administrative proceeding before an administrative law judge. The wrongdoing that led to the injunction occurred at Web Hosting Headquarters Partnership (Web Hosting). Villar founded and managed Web Hosting, an unregistered broker-dealer in North Miami Beach, Florida. He and others violated the federal securities laws in connection with their unregistered offering of securities in the form of partnership units issued by Web Hosting. (Rel. 34-47625; File No. 3-11044) THOMAS CONWELL INDICTED FOR SCHEME TO DEFRAUD INVESTORS OF MORE THAN $800,000 On April 1, the U.S. Attorney for the Northern District of Illinois filed criminal charges against Thomas V. Conwell, a Lake Bluff, Illinois resident. The indictment charged Conwell with six counts of mail fraud, five counts of making false statements to financial institutions, and one count of obstructing an investigation by the Securities and Exchange Commission. According to the indictment, between April 1998 and March 2001, Conwell, sole owner of Lake Forest Financial Group, Ltd., (LFFG), engaged in a scheme to defraud his clients by making material misstatements and omissions concerning the use of the funds he received for investments and insurance products, and the profitability of these investments. The indictment alleged that Conwell used the money he received for his personal benefit and the benefit of his business, including making payments to earlier investors without disclosing the Ponzi scheme nature of the payments. The indictment also charged that Conwell lied to four different banks to obtain more than $2.5 million in loans, and also, that Conwell made false statements to the staff of the SEC during its investigation into Conwell's activities. In January of 2000, the SEC filed a civil complaint against Conwell and LFFG in connection with the scheme described above, alleging that Conwell and his firm had violated the antifraud provisions of the federal securities laws. On Jan. 31, 2000, the U.S. District Court for the Northern District of Illinois entered a final judgment order against Conwell and LFFG, pursuant to their consent, which enjoined them from further violations of the antifraud provisions of the federal securities laws, ordered them to disgorge more than $780,000 of ill-gotten gains, plus prejudgment interest and a civil penalty of $80,000. In addition, on July 3, 2000, the Commission entered an order in an administrative proceeding filed against Conwell that barred him from further association with any broker or dealer. [U.S. v. Thomas V. Conwell, USDC, ND Illinois, Case No. 03-CR-334] (LR-18063) COMMISSION OBTAINS RELIEF FROM TWO NON-PARTIES WHO RECEIVED ASSETS IN VIOLATION OF ASSET FREEZE The Commission announced today that on March 25, 2003, the Honorable Jed S. Rakoff, U.S. District Court Judge for the Southern District of New York, issued an order granting relief sought by the Commission against two non-parties who received assets from a transaction that violated an earlier order freezing the assets of defendant Platinum Investment Corporation (Platinum). On Aug. 13, 2002, the court entered a Partial Final Consent Judgment against Platinum that, among other things, permanently enjoined Platinum from violating antifraud and registration provisions of the federal securities laws (Partial Final Judgment). In Paragraph X of the Partial Final Judgment, the court also ordered that Platinum's assets shall remain frozen until Platinum makes full payment of all amounts that Platinum is required or shall later be required to pay pursuant to the Partial Final Judgment (Asset Freeze Order). In the March 25, 2003 order and prior orders relating to the same subject, the court found that on Sept. 24, 2002, Platinum conveyed real property to its president's maternal grandfather, Lee Sidoti, in violation of the Asset Freeze Order. The court further found that the mortgage proceeds from that sale were deposited in a bank account held by an entity called "White Orchid," an entity that was owned by Sidoti and controlled by his daughter, Margaret Antonucci, the mother of Platinum's president. The court also found that Antonucci then withdrew that money from the account in cash. As a result of these transactions, the court previously issued an order freezing Sidoti's assets up to the amount of the purchase price of the real property, because, among other reasons, the court drew an adverse inference against Sidoti from his assertion of the Fifth Amendment privilege against self-incrimination at a deposition. In its March 25, 2003, order, the court denied Sidoti's motion to vacate the order freezing his assets despite the fact that Sidoti had testified since then that he had no knowledge of the original Asset Freeze Order when he took title to the property. The court held that Sidoti was "bound by the knowledge of his agent" -- Antonucci -- to whom "he delegated virtually all responsibilities in connection with the transactions here at issue." The court concluded that Antonucci had actual notice of the Asset Freeze Order, because "in addition to undertaking substantial business with Platinum on behalf of Sidoti, she was an officer of Platinum and the mother of its president." Moreover, Antonucci did not testify, and the court found that "the evidence strongly supports plaintiff's charge that Mrs. Antonucci acted in concert with defendants with full knowledge of the [Asset Freeze Order] when she withdrew the funds from the White Orchid account." As a result, the court ordered Antonucci to return those funds. The underlying allegations of the Commission's case concern the fraudulent, unregistered offering of securities by Platinum and the other defendants. The Commission's complaint, filed on July 31, 2002, alleges that Platinum and the other defendants, which include former Platinum associates Lee Antonucci and Andrew Antonucci, defrauded dozens of investors of over $1.5 million by misrepresenting material facts about defendant Platinum Investment Holding Corp. (PIHC), purportedly a financial services firm looking to raise capital, and New Focus Capital Partners (New Focus), purportedly a hedge fund with a proven track record. The defendants falsely claimed, among other things, that PIHC was on the verge of launching an initial public offering (IPO) even though PIHC did not file a registration statement with the Commission or otherwise take any steps toward an IPO, and that New Focus used a successful trading program purportedly owned by PIHC when, in fact, New Focus was a sham. The litigation is still pending. [SEC v. Platinum Investment Corp., et al., USDC, SDNY 02 CIV. 6093, JSR] (LR-18064) SALMAN SHARIFF INDICTED ON MAIL FRAUD, WIRE FRAUD, SECURITIES FRAUD AND MONEY LAUNDERING CHARGES The Commission and the U.S. Attorney for the Southern District of Florida announced that on March 18, 2003, the U.S. Attorney's Office issued a federal indictment charging Salman Shariff with ten counts of mail fraud, seven counts of wire fraud, seven counts of securities fraud, and nineteen counts of money laundering. If convicted, Shariff faces a maximum penalty of five years' incarceration on each mail and wire fraud count, ten years' incarceration on each securities fraud count, and ten to twenty years' incarceration on the money laundering counts. Shariff's whereabouts are currently unknown. The indictment alleges that from at least March 1996 through June 2001, Shariff was the President of Vestron Financial Corporation (Vestron Financial), a North Carolina corporation that Shariff used to sell partnership interests in several entities he controlled, including Vestron Investment Club, Crescent Capital Partners LP, and Crescent Capital Offshore Fund (collectively referred to as Vestron entities), raising about $11 million from investors nationwide. The partnership interests were sold to investors who were told that Shariff would invest their money in securities and commodities in return for a prearranged fee. According to the indictment, Shariff misappropriated millions of dollars from investors for his own use and benefit by making material misrepresentations and omitting to state material facts concerning the use of investor funds and the profitability of investments made through or on behalf of the Vestron entities. The indictment derives from the same activity that led to the Commission's filing of its complaint against Shariff in the U.S. District Court for the Southern District of Florida on Oct. 16, 2001. The Commission charged Shariff with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act, Sections 10(b) and 15(a)(1) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisors Act. On March 27, 2002, the U.S. District Court entered a default judgment of permanent injunction and other relief against Shariff. The final judgment permanently enjoined Shariff from future violations of the above stated provisions of the federal securities laws. On Jan. 9, 2003, the Commission issued an Order Entering Default, Making Findings, and Imposing Remedial Sanctions, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act, which barred Shariff from association with any broker, dealer, or investment adviser. [SEC v. Vestron Financial Corp., et al., Case No. 01-4269-CIV-SEITZ, USDC/SD FL] (LR-18065) SEC v. JOSEPH KANE, JR. The Commission announced today that on March 31, 2003, the Honorable Constance Baker Motley, U.S. District Court Judge for the Southern District of New York, issued an order imposing a civil penalty in the amount of $200,000 against defendant Joseph C. Kane, Jr., a former registered representative charged with defrauding customers of two brokerage firms at which he was employed. In its compliant, the Commission alleged that Kane defrauded investors by investing without authorization and, in some cases, simply stealing a total of nearly $600,000 of their cash or securities. The Commission also alleged that Kane fabricated documents and made additional misrepresentations to his victims to conceal his fraudulent conduct. On April 11, 2002, the court entered a partial final consent judgment (Partial Final Judgment) against Kane permanently enjoining him from violating antifraud provisions of the federal securities laws. In the Partial Final Judgment, the court also ordered that if the parties could not agree on a civil penalty amount, the court would make the determination. In its March 31, 2003 order, the court imposed a $200,000 civil penalty after considering several "mitigating circumstances" proffered by Kane, including a claim that he is "impoverished and, as a result, may not be able to pay if a severe penalty is imposed" --- a factual contention that the Commission questioned in its motion papers. The court stated that, "in light of the goal of deterrence, a defendant's claims of poverty cannot defeat the imposition of a civil penalty." The court went on to hold as follows: Even if Kane's proffered representations concerning his bleak financial condition are complete and accurate, his financial problems, including his inability to work again as a stock broker, are the natural consequences of his fraudulent conduct. Kane's predicament is shared by many defendants in similar cases, and if given the weight Kane urges, a defendant's impecuniosity could preclude the imposition of a meaningful penalty in even those cases involving the most egregious fraud. In addition, the court agrees with the Commission that it should not ignore the possibility that a defendant's fortunes will improve, and that one day the SEC will be able to collect on even a severe judgment." All of the Commission's claims for relief against Kane have now been resolved. Kane previously also pleaded guilty to parallel criminal charges brought by the United States Attorney's Office for the Southern District of New York. [SEC v. Joseph C. Kane, Jr., 97 Civ. 2931, CBM, SDNY] (LR-18066) RICHARD COLLINS, PREVIOUSLY SUED BY SEC IN A PRIME BANK SCHEME, CHARGED IN A CRIMINAL INFORMATION On March 26, 2003, Richard J. Collins, 56, of Plainfield, Illinois was charged in a criminal information with three counts of mail fraud and one count of wire fraud for allegedly defrauding approximately 400 prospective investors and investors of more than $10 million. Collins and others owned and controlled the Gateway Association, Inc. (Gateway), based in Naperville, Illinois which sold "memberships" and purported to offer and sell investments to its members with a guaranteed, risk-free, high yield return of as much as 1,250 percent. Between November 1997 and March 1999, Collins and others, through Gateway, allegedly offered and sold investment interests in a non-existent international bank debenture trading program. Collins and others allegedly made material misrepresentations and omitted to state material facts about the existence of the trading program, the risk and expected return on the investment, the use of money raised from the investors, and the ability of investors to obtain a full refund at any time. Collins and others raised approximately $10,984,564 from at least 400 investors and allegedly misused almost all of the funds for their own benefit, including autos, charter airplanes, guns, credit card bills, printing expenses, a country club membership, a piano and landscaping. According to the charges, Collins and others organized meetings at various locations in the United States and Puerto Rico, where they informed prospective investors that they could become members in Gateway for a fee of $2,500, which would enable them to receive various benefits, including discounts on shopping, travel, hotels and health care. Gateway members also would be eligible to invest additional money in the so-called international bank debenture trading program. Collins allegedly fraudulently promised investors a 1,250 percent rate of return on a 10-month $100,000 investment, which included a $759,768 balloon payment at the end of 10 months. Almost no investors have received a refund of their original investment, according to the charges. Collins is scheduled to be arraigned on April 8 before U.S. District Court Judge Suzanne B. Conlon in Chicago. If convicted, Collins faces a maximum statutory penalty of five years in prison and a $250,000 fine on each count of mail and wire fraud. As an alternative fine, the Court may impose a fine totaling twice the gross loss to any victim or twice the gross gain to the defendant, whichever is greater. In the civil action filed by the SEC, SEC v. Richard J. Collins, et. al., filed in U.S. District Court for the Northern District of Illinois, Civil Action No. 01-C-3085, in August 2002, Collins consented, without admitting or denying the allegations in the Commission's complaint, to the entry of a permanent injunction, payment of disgorgement of $10,988,564.76, plus prejudgment interest of $4,024,871.47 and a civil penalty of $10,988,564.76. In December 2002, Bill Wilson, of Naperville, Illinois, the President of Gateway, also consented, without admitting or denying the allegations in the Commission's complaint, to the entry of a permanent injunction, payment of disgorgement, plus prejudgment interest and a civil penalty, the amounts of which are to be determined later at a separate hearing. The two corporate defendants, Gateway and Gateway Association (IL), defaulted and the judge granted judgments against them enjoining them from future violations and ordering them to pay, jointly and severally, $10,583,564.76 in disgorgement, $3,272,037.76 in prejudgment interest and a civil penalty of $2.5 million. In addition, in November 2002, James Knauer, of Kroger, Regas and Gardis, LLP of Indianapolis, Indiana was appointed as a receiver to marshal, conserve, protect, hold funds, operate and, with approval of the court, dispose of all assets of any nature, wherever those assets may be found. [SEC v. Richard J. Collins, et al., USDC, ND Illinois, 01-C-3085]; [U.S. v. Richard J. Collins, USDC, ND Ill., 02-CR- 831] (LR-18067) INVESTMENT COMPANY ACT RELEASES METLIFE INVESTORS USA INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until April 25 to request a hearing on an application filed by Metlife Investors USA Insurance Company, et al. Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of shares of the MetLife Stock Index Portfolio for shares of the Index 500 Portfolio. Applicants also request an order of the Commission exempting them from Section 17(a) of the 1940 Act to the extent necessary to permit them to carry out the proposed substitutions by redeeming the shares of the Index 500 Portfolio in-kind and using the proceeds to purchase the shares of the MetLife Stock Index Portfolio. (Rel. IC- 25988 - April 1) CUNA MUTUAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until April 25 to request a hearing on an Application filed by CUNA Mutual Life Insurance Company, CUNA Mutual Life Variable Annuity Account, and CUNA Mutual Variable Life Account. Applicants seek an order under Sections 26(c) of the Investment Company Act to permit the substitution of Z Class shares of the Multi-Cap Growth Stock Fund of the Ultra Series Fund for Initial Class shares of the MFS Emerging Growth Series of the MFS Variable Insurance Trust. (Rel. IC-25989 - April 2) HARRIS & HARRIS GROUP, INC. A certification has been issued pursuant to Section 851(e) of the Internal Revenue Code of 1986, as amended, that Harris & Harris Group, Inc. was, for the fiscal year ended Dec. 31, 2002, principally engaged in the furnishing of capital to other corporations which are principally engaged in the development or exploitation of inventions, technological improvements, new processes or products not previously generally available. (Rel. IC-25990 - April 2) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (NASD-2003-36) filed by the National Association of Securities Dealers relating to amendments to NASD Rule 2340 to remove outdated references to Rule 15c3-1 under the Securities Exchange Act of 1934 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 April 4. (Rel. 34-47558) A proposed rule change filed by the Philadelphia Stock Exchange and Amendment No. 1 thereto to adopt a license fee for transactions on the Phlx in Standard & Poor's Depository Receiptsr (SR-Phlx-2003-17) 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 April 4. (Rel. 34-47605) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-43) to modify Computer-to-Computer Interface Fees for NASD Members. The proposed rule change 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 April 4. (Rel. 34-47608) A proposed rule change (SR-PCX-2003-12) filed by the Pacific Exchange relating to firm quote guarantees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 4. (Rel. 34-47610) A proposed rule change filed by the American Stock Exchange to amend the price criteria for Securities that underlie options traded on the Exchange (SR-Amex-2003-19) 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 April 4. (Rel. 34-47613) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change filed by The Options Clearing Corporation (SR-OCC-2002-04) to expand the acceptable forms of margin collateral to include shares of money market funds that meet specified criteria. Publication of the proposal is expected in the Federal Register during the week of April 7. (Rel. 34-47599) The Commission approved, on a conditional basis, a proposed rule change (SR-NYSE-2002-55) and Amendment Nos. 1 and 2 thereto submitted by the New York Stock Exchange pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the dissemination of Liquidity Quotations. Publication of the proposal is expected in the Federal Register during the week of April 4. (Rel. 34-47614) APPROVAL OF REQUEST FOR EXTENSION OF TEMPORARY REGISTRATION AS A CLEARING AGENCY The Emerging Markets Clearing Corporation filed a request that the Commission extend EMCC's temporary registration as a clearing agency. The Commission is publishing this notice and order to solicit comments from interested persons and to extend EMCC's temporary registration as a clearing agency through March 31, 2004. Publication of the proposal is expected in the Federal Register during the week of April 7. (Rel. 34- 47602) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission has approved on an accelerated basis a proposed rule change filed by the National Securities Clearing Corporation (SR-NSCC- 2003-02) under Section 19(b)(1) of the Exchange Act. The proposed rule change creates a new Cost Basis Reporting Service that will facilitate the automated exchange of cost basis information related to a customer account transfer. Publication of the proposal is expected in the Federal Register during the week of April 7. (Rel. 34-47603) A proposed rule change and Amendment No. 1 thereto filed by the National Association of Securities Dealers relating to the modification of Computer-to-Computer Interface Fees for Non-NASD Members (SR-NASD-2003- 46) have been given accelerated approval under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of April 4. (Rel. 34- 47607) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2002-64) and Amendment Nos. 1 and 2 thereto relating to options on the CBOE S&P 500, CBOE S&P 100, CBOE Nasdaq 100, and CBOE Dow Jones Industrial Volatility Indices. Publication of the proposal is expected in the Federal Register during the week of April 4. (Rel. 34-47604) A proposed rule change and Amendment No.1 thereto has been submitted by the Municipal Securities Rulemaking Board relating to amending Rules G- 37, on Political Contributions and Prohibitions on Municipal Securities Business, G-8, on Books and Records, Revisions to Form G-37/G-38 and the Withdrawal of Certain Rule G-37 Questions and Answers. Publication of the proposal is expected in the Federal Register during the week of April 4. (Rel. 34-47609) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until April 25 to comment on the application of El Paso Corporation to withdraw its common stock, $3.00 par value, from listing and registration on the Pacific Exchange. (Rel. 34-47616) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the common stock, $.001 par value, of Commodore Applied Technologies, Inc., effective at the opening of business on April 3. (Rel. 34-47617) WITHDRAWAL GRANTED An order has been issued granting the application of Thinkpath Inc. to withdraw its common stock, no par value, from listing and registration on the Boston Stock Exchange, effective at the opening of business on April 3. (Rel. 34-47618) 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 NOVA COMMUNICATIONS LTD, 370 AMAPOLA AVE, SUITE 202, TORRANCE, CA, 90501, 3106420200 - 125,000,000 ($1,250,000.00) Equity, (File 333-104238 - Apr. 2) (BR. 01) S-8 SONIC INNOVATIONS INC, 2795 EAST COTTONWOOD PARKWAY, SUITE 660, SUITE 660, SALT LAKE CITY, UT, 84117-7261, 8013652800 - 989,474 ($1,976,316.44) Equity, (File 333-104239 - Apr. 2) (BR. 36) S-3 CORRECTIONS CORP OF AMERICA, 10 BURTON HILLS BLVD, N/A, NASHVILLE, TN, 37215, 6152633000 - 0 ($799,989,976.00) Equity, (File 333-104240 - Apr. 2) (BR. 06) S-3 LIBERTY MEDIA CORP /DE/, 12300 LIBERTY BLVD., ENGLEWOOD, CO, 80112, 7208755400 - 0 ($129,101,928.00) Equity, (File 333-104241 - Apr. 2) (BR. 37) S-3 BARNES GROUP INC, 123 MAIN ST, BRISTOL, CT, 06010, 8605837070 - 923,506 ($19,264,335.00) Equity, 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-104242 - Apr. 2) (BR. 06) S-8 SOUTHWEST AIRLINES CO, 2702 LOVE FIELD DR, P O BOX 36611, DALLAS, TX, 75235, 2147924000 - 0 ($534,375,000.00) Equity, (File 333-104245 - Apr. 2) (BR. 05) S-8 DEAN FOODS CO/, 2515 MCKINNEY AVENUE LB 30, SUITE 1200, DALLAS, TX, 75201, 2143033400 - 0 ($10,212,100.00) Equity, 0 ($15,000,000.00) Other, (File 333-104247 - Apr. 2) (BR. 04) S-3 LODGIAN INC, 3445 PEACHTREE ROAD N E SUITE 700, ATLANTA, CA, 30326, 4043649400 - 0 ($52,984,815.38) Equity, (File 333-104248 - Apr. 2) (BR. 08) S-8 GIANT INDUSTRIES INC, 23733 N SCOTTSDALE RD, SCOTTSDALE, AZ, 85255, 4805858888 - 2,000,000 ($9,440,000.00) Equity, (File 333-104249 - Apr. 2) (BR. 04) S-8 NETFLIX INC, 970 UNIVERSITY AVENUE, ., LOS GATOS, CA, 95032, 4083993700 - 0 ($26,719,993.00) Equity, (File 333-104250 - Apr. 2) (BR. 05) S-8 MODERN MFG SERVICES INC, 4462 RUSSELL ROAD, SUITE 102, #102, MUKILTEO, WA, 98275, 425-315-1772 - 800,000 ($112,000.00) Equity, (File 333-104251 - Apr. 2) (BR. 08) S-8 ALPHARMA INC, ONE EXECUTIVE DR, P O BOX 1399, FORT LEE, NJ, 07024, 2019477774 - 1,500,000 ($27,120,000.00) Equity, (File 333-104252 - Apr. 2) (BR. 01) S-8 ALPHARMA INC, ONE EXECUTIVE DR, P O BOX 1399, FORT LEE, NJ, 07024, 2019477774 - 1,500,000 ($27,120,000.00) Equity, (File 333-104253 - Apr. 2) (BR. 01) S-8 IDACORP INC, 1221 WEST IDAHO STREET, BOISE, ID, 83702-5627, 2083882200 - 1,500,000 ($34,125,000.00) Equity, (File 333-104254 - Apr. 2) (BR. 02) S-3 SUPERGEN INC, 4140 DUBLIN BLVD, SUITE 200, DUBLIN, CA, 94568, 9255600100 - 0 ($28,815,301.00) Equity, (File 333-104255 - Apr. 2) (BR. 01) S-8 RESOURCING SOLUTIONS GROUP INC, 7900 SUDLEY RD., SUITE 619, MANASSAS, VA, 20109, 7033658339 - 15,000,000 ($50,000.00) Equity, (File 333-104256 - Apr. 2) (BR. ) S-8 PLATINUM UNDERWRITERS HOLDINGS LTD, 2 CHURCH STREET, BERMUDA, D0, HM 11, 4412951422 - 0 ($147,846,000.00) Equity, (File 333-104257 - Apr. 2) (BR. 01) S-8 SURMODICS INC, 9924 W 74TH ST, EDEN PRAIRIE, MN, 55344, 6128292700 - 600,000 ($18,288,000.00) Equity, (File 333-104258 - Apr. 2) (BR. 02) S-8 MOTOROLA INC, 1303 E ALGONQUIN RD, SCHAUMBURG, IL, 60196, 8475765000 - 0 ($166,200,000.00) Equity, (File 333-104259 - Apr. 2) (BR. 37) S-8 KYPHON INC, 1350 BORDEAUX DR, SUNNYVALE, CA, 94089, 4085486500 - 0 ($22,676,047.05) Equity, (File 333-104260 - Apr. 2) (BR. 36) S-8 NEUROGEN CORP, 35 NORTHEAST INDUSTRIAL RD, BRANFORD, CT, 06405, 2034888201 - 0 ($890,000.00) Equity, (File 333-104261 - Apr. 2) (BR. 01) S-8 PSS WORLD MEDICAL INC, 4345 SOUTHPOINT BLVD, STE 250, JACKSONVILLE, FL, 32216, 9043323000 - 2,500,000 ($17,725,138.12) Equity, (File 333-104262 - Apr. 2) (BR. 01) S-3 OGE ENERGY CORP, 321 N HARVEY, P O BOX 321, OKLAHOMA CITY, OK, 73101-0321, 4055533000 - 0 ($126,140,000.00) Equity, (File 333-104263 - Apr. 2) (BR. 02) S-8 KINDER MORGAN INC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 1,050,000 ($47,197,500.00) Equity, (File 333-104264 - Apr. 2) (BR. 02) S-2 ATLAS PIPELINE PARTNERS LP, 311 ROUSER ROAD, MOON TOWNSHIP, PA, 15108, 4122622830 - 1,092,500 ($29,584,900.00) Limited Partnership Interests, (File 333-104265 - Apr. 2) (BR. 02) S-8 COMVERSE TECHNOLOGY INC/NY/, 170 CROSSWAYS PARK DR, WOODBURY, NY, 11797, 5166777200 - 1,500,000 ($16,785,000.00) Equity, (File 333-104266 - Apr. 2) (BR. 37) S-3D INVESTORS REAL ESTATE TRUST, 12 S MAIN STREET, SUITE 100, MINOT, ND, 58701, 701-837-4738 - 240,000 ($2,220,000.00) Equity, (File 333-104267 - Apr. 2) (BR. 08) S-4 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 0 ($119,442,089.00) Equity, (File 333-104268 - Apr. 2) (BR. 07) S-3 ALLIANT ENERGY CORP, 4902 NORTH BILTMORE LANE, PO BOX 77007, MADISON, WI, 53707-1007, 608-458-3314 - 0 ($400,000,000.00) Other, (File 333-104269 - Apr. 2) (BR. 02) S-3 FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045, 4148795000 - 678,115 ($21,445,386.88) Equity, (File 333-104270 - Apr. 2) (BR. 03) S-3 WEBMD CORP /NEW/, RIVER DRIVE CENTER 2, 669 RIVER DR, ELMWOOD PARK, NJ, 07407, 4088765000 - 0 ($25,832,000.00) Debt Convertible into Equity, (File 333-104271 - Apr. 2) (BR. 03) F-6 BOC HONG KONG HOLDINGS LTD, 52/F BANK OF CHINA TOWER, NO. 1 GARDEN ROAD, HONG KONG, K3, 00000, 100,000,000 ($5,000,000.00) Equity, (File 333-104272 - Apr. 2) (BR. ) S-3 INTERSTATE POWER & LIGHT CO, 200 FIRST ST SE, ALLIANT ENERGY TOWER, CEDAR RAPIDS, IA, 52401, 3193984411 - 0 ($150,000,000.00) Other, (File 333-104273 - Apr. 2) (BR. 02) S-3 HALLMARK FINANCIAL SERVICES INC, 14651 DALLAS PKWY STE 900, DALLAS, TX, 75254, 9724041637 - 0 ($10,000,000.00) Equity, (File 333-104274 - Apr. 2) (BR. 01) F-10 AXCAN PHARMA INC, 597 LAURIER BLVD MONT ST HILAIRE, QUEBEC CANADA J3H 6C, A8, 00000, 4504675138 - 0 ($125,000,000.00) Other, (File 333-104275 - Apr. 2) (BR. 01) S-8 PATRON SYSTEMS INC, 212 WEST KINZIE ST., N/A, CHICAGO, IL, 60610, 312-493-2171 - 0 ($7,312,500.00) Equity, (File 333-104276 - Apr. 2) (BR. 09) S-3 EPICOR SOFTWARE CORP, 195 TECHNOLOGY DR, IRVINE, CA, 92718-2402, 9495854000 - 3,617,350 ($7,090,006.00) Equity, (File 333-104277 - Apr. 2) (BR. 03) S-4 TECHNICAL OLYMPIC USA INC, 4000 HOLLYWOOD BLVD, SUITE 500N, HOLLYWOOD, FL, 33021, 954 364 4000 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-104278 - Apr. 2) (BR. 06) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ABCI HOLDINGS INC DE X 04/02/03 ABINGTON BANCORP INC MA X X 04/01/03 ADOLOR CORP X X 04/02/03 ADVANCED PHOTONIX INC DE X 01/17/03 AMEND AEI REAL ESTATE FUND XVI LTD PARTNERS MN X 03/28/03 ALLEGIANT BANCORP INC/MO/ MO X X 03/31/03 AMERICA SERVICE GROUP INC /DE DE X X 04/02/03 AMERICAN REALTY INVESTORS INC NV X 03/18/03 AMERICANA GOLD & DIAMOND HOLDINGS INC CO X 03/17/03 ANADIGICS INC DE X X 04/02/03 ASSOCIATED MATERIALS INC DE X 04/02/03 ATLAS AIR INC DE X X 04/02/03 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 04/02/03 AUTOLIV INC DE X X 03/31/03 BEYOND COM CORP DE X X 03/14/03 BIG CITY RADIO INC DE X 03/28/03 BLACK & DECKER CORP MD X X 04/02/03 BOLT TECHNOLOGY CORP CT X X 03/19/03 AMEND BOSTON BEER CO INC MA X 04/01/03 BOSTON BIOMEDICA INC MA X X 03/31/03 BOUNDLESS CORP DE X X 03/14/03 BRAINTECH INC NV X 04/01/03 BRAINWORKS VENTURES INC NV X X 04/01/03 CANADIAN DERIVATIVES CLEARING CORP A6 X 03/31/03 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 03/27/03 CAPITAL TRUST INC MD X X 04/02/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 03/25/03 CENTIV INC DE X X 03/31/03 CHAMPION PARTS INC IL X 03/31/03 CHART INDUSTRIES INC DE X X 04/01/03 CIRCUIT CITY STORES INC VA X X 04/02/03 CLAYTON HOMES INC DE X X 04/01/03 CNF INC DE X X 03/31/03 COCA COLA ENTERPRISES INC DE X 04/02/03 COGNOS INC CA X X 04/02/03 COLOR IMAGING INC DE X 04/02/03 COMMUNITY BANKS INC /PA/ PA X 03/31/03 CONCORD EFS INC DE X X 04/01/03 CONTINENTAL AIRLINES INC /DE/ DE X X 03/28/03 CORRECTIONS CORP OF AMERICA MD X X 04/02/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X 04/02/03 CUMULUS MEDIA INC DE X X 04/02/03 DEVON ENERGY CORP/DE DE X X 04/01/03 DIAMOND TRIUMPH AUTO GLASS INC DE X 04/02/03 DIASYS CORP DE X 03/19/03 DOBLIQUE INC NV X X X 03/24/03 DYNEGY HOLDINGS INC DE X X X 04/02/03 DYNEGY INC /IL/ IL X X X 04/02/03 EDISON CONTROLS CORP NJ X X 04/01/03 EDUCATIONAL DEVELOPMENT CORP DE X X 04/02/03 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 04/02/03 ENCOMPASS SERVICES CORP TX X X 03/31/03 ENDOCARE INC DE X X 04/01/03 ENGINEERED SUPPORT SYSTEMS INC MO X X 03/31/03 ENSTAR GROUP INC GA X X 03/31/03 ENTERTAINMENT INTERNET INC NV X X X 04/01/03 EQUITABLE RESOURCES INC /PA/ PA X 04/02/03 EXPRESSJET HOLDINGS INC DE X X 04/01/03 EZENIA INC DE X X 03/31/03 FEDERATED PREMIER INTERMEDIATE MUNICI DE X 03/31/03 FEDERATED PREMIER MUNICIPAL INCOME FU DE X 03/31/03 FENTURA FINANCIAL INC MI X 03/31/03 FIRST DATA CORP DE X X 04/01/03 FIRST INDIANA CORP IN X X 04/02/03 FRONTIER OIL CORP /NEW/ WY X 03/30/03 FRONTIER OIL CORP /NEW/ WY X 04/02/03 GEMSTAR TV GUIDE INTERNATIONAL INC DE X X 03/31/03 GILLETTE CO DE X X 03/26/03 GLOBAL MEDICAL PRODUCTS HOLDINGS INC NV X X 03/19/03 GLOBAL OUTDOORS INC AK X 03/31/03 GLOBAL PREFERRED HOLDINGS INC DE X X 03/31/03 GOLD BOND RESOURCES INC X X X 01/08/03 AMEND GREER BANCSHARES INC SC X X 03/31/03 GS MORTGAGE SEC CORP II COMM MORT PAS DE X X 03/18/03 HARVEST CAPITAL CORP DE X 04/02/03 HAWAIIAN HOLDINGS INC DE X X 04/01/03 HCA INC/TN DE X X 04/01/03 HEALTH ANTI AGING LIFESTYLE OPTIONS I UT X X 03/31/03 HEIDRICK & STRUGGLES INTERNATIONAL IN DE X X 04/02/03 HOLLY CORP DE X X 03/30/03 HUNTSMAN INTERNATIONAL LLC DE X 04/02/03 IMPRESO INC DE X 03/19/02 AMEND INTERCEPT INC GA X X 03/31/03 IPVOICE COMMUNICATIONS INC NV X 04/01/03 IPVOICE COMMUNICATIONS INC NV X 03/27/03 JMXI INC DE X X 04/02/03 LEHMAN ABS CORP CIT CAPITAL TR 1 SEC DE X X 04/01/03 LIBERTY SATELLITE & TECHNOLOGY INC DE X X 04/02/03 LIGAND PHARMACEUTICALS INC DE X X 04/01/03 LIGHTPATH TECHNOLOGIES INC DE X X 04/01/03 MAGNETEK INC DE X X 03/28/03 MARGO CARIBE INC PR X 03/31/03 MAXXAM INC DE X 03/31/03 METASOLV INC DE X X 01/17/03 AMEND MICROISLET INC NV X X 04/02/03 MIKOHN GAMING CORP NV X 12/31/02 MONSANTO CO /NEW/ DE X X 04/02/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 03/31/03 MYRIENT INC NV X 04/02/03 NANOPIERCE TECHNOLOGIES INC NV X 04/01/03 NASSDA CORP DE X X 04/02/03 NATIONAL SERVICE INDUSTRIES INC DE X X X 04/01/03 NATIONAL STEEL CORP DE X X 03/31/03 NEMATRON CORP MI X 03/31/03 NEMATRON CORP MI X 03/31/03 AMEND NETWORKS ASSOCIATES INC/ DE X X 04/01/03 NEW YORK COMMUNITY BANCORP INC DE X X 04/01/03 NEWHALL LAND & FARMING CO /CA/ CA X X 04/02/03 NOVOSTE CORP /FL/ FL X X 04/01/03 NTL INC DE X X 04/02/03 OCEAN ENERGY INC /TX/ DE X X 04/02/03 ORCHID BIOSCIENCES INC X X 03/31/03 OXFORD HEALTH PLANS INC DE X X 04/01/03 PACIFIC CREST CAPITAL INC DE X X 03/20/03 PACIFIC GAS & ELECTRIC CO CA X X 04/02/03 PATHMARK STORES INC DE X X 04/02/03 PATRON SYSTEMS INC NV X X 04/02/03 PENN AMERICA GROUP INC PA X 04/02/03 PENN VIRGINIA RESOURCE PARTNERS L P DE X X 04/02/03 PEPSIAMERICAS INC/IL/ DE X X 04/01/03 PG&E CORP CA X X 04/02/03 PG&E CORP CA X X 04/02/03 PHOENIX GROUP CORP DE X 04/01/03 PHOTRONICS INC CT X X 03/25/03 PLANVISTA CORP DE X X 03/31/03 PLIANT CORP UT X 03/28/03 POINT GROUP HOLDINGS INCORP NV X 04/02/03 AMEND POLYCOM INC DE X X 04/02/03 PORTA SYSTEMS CORP DE X 03/31/03 PPL CORP PA X X 03/31/03 PRICESMART INC DE X X 04/02/03 PRIMEPLAYER INC NV X X 03/28/03 PROTECTION ONE INC DE X X 03/28/03 Q COMM INTERNATIONAL INC UT X 03/31/03 QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 04/01/03 RANGE RESOURCES CORP DE X X 03/26/03 RAPIDTRON INC NV X X 03/31/03 RELIV INTERNATIONAL INC IL X 03/31/03 RENT WAY INC PA X 03/31/03 RENT WAY INC PA X 02/10/03 AMEND RENT WAY INC PA X 02/11/03 AMEND RENT WAY INC PA X 02/14/03 AMEND RESIDENTIAL ACCREDIT LOANS INC DE X X 03/31/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/25/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 03/25/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 03/25/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 03/25/03 RESOLUTION PERFORMANCE PRODUCTS LLC DE X X X 04/01/03 RETRACTABLE TECHNOLOGIES INC TX X X 04/02/03 REUNION INDUSTRIES INC DE X 03/31/03 RIDGEWOOD HOTELS INC DE X X 03/24/03 RIVERVIEW BANCORP INC WA X X 04/02/03 ROXIO INC DE X X 04/02/03 RTW INC /MN/ MN X X 04/01/03 RYLAND GROUP INC MD X 04/02/03 SAN HOLDINGS INC CO X X 04/01/03 SEABULK INTERNATIONAL INC DE X 03/31/02 SERVOTRONICS INC /DE/ DE X X 03/30/03 SMURFIT STONE CONTAINER CORP DE X X X 04/01/03 SPEEDUS CORP DE X X 03/31/03 STEINWAY MUSICAL INSTRUMENTS INC DE X X 03/31/03 STONE CONTAINER CORP DE X X 04/01/03 STORAGE ENGINE INC NJ X X 03/31/03 STRUCTURED ASSET MORT INV INC MORT P DE X 03/19/02 STRUCTURED ASSET MORT INV INC MORT PA DE X X 01/27/03 STRUCTURED PRODUCTS CORP DE X 03/24/03 STRUCTURED PRODUCTS CORP DE X 03/01/03 AMEND SUNOCO INC PA X X 04/02/03 SUPERCONDUCTOR TECHNOLOGIES INC DE X 03/31/03 TAYLOR CAPITAL GROUP INC DE X 04/02/03 TEKNOWLEDGE CORP DE X 12/31/02 TERRA NOSTRA RESOURCES LTD NV X X X X X 03/28/03 TESORO PETROLEUM CORP /NEW/ DE X X X 04/01/03 TEXAS BIOTECHNOLOGY CORP /DE/ DE X 03/06/03 AMEND THERMOGENESIS CORP DE X X 03/28/03 TICKETS COM INC DE X X 04/01/03 TITANIUM METALS CORP DE X X 04/02/03 TNP ENTERPRISES INC TX X X 03/28/03 TRAILER BRIDGE INC X 03/31/03 TRANS LUX CORP DE X X 03/28/03 TRANSTEXAS GAS CORP DE X X 04/02/03 TRINITY INDUSTRIES INC DE X X 03/31/03 U S PLASTIC LUMBER CORP NV X 03/31/03 UNIFIRST CORP MA X 04/02/03 UNITED BANCSHARES INC/OH OH X 04/02/03 UNIVERSAL AMERICAN FINANCIAL CORP NY X X X 03/27/03 UNIVERSAL INSURANCE HOLDINGS INC DE X X 09/30/02 AMEND UNOCAL CORP DE X X 04/01/03 US AIRWAYS GROUP INC DE X X 03/18/03 US SEARCH CORP COM DE X X 03/31/03 USDATA CORP DE X 03/28/03 VALENCE TECHNOLOGY INC DE X 03/31/03 VALERO L P DE X X 03/18/03 VENTAS INC DE X X 04/02/03 VIRCO MFG CORPORATION DE X X 03/31/03 VISUAL NETWORKS INC DE X X 04/02/03 VOICE POWERED TECHNOLOGY INTERNATIONA CA X 10/28/02 VOLT INFORMATION SCIENCES INC NY X X 04/01/03 WEST CORP DE X X 03/31/03 WIRELESS AGE COMMUNICATIONS INC NV X 03/31/02 WJ COMMUNICATIONS INC CA X X 04/02/03 WORLD HEALTH ALTERNATIVES INC FL X 04/02/03 ZONAGEN INC DE X X 03/31/03