SEC NEWS DIGEST Issue 2003-71 April 15, 2003 COMMISSION ANNOUNCEMENTS COMMISSION TO REVIEW CURRENT PROXY RULES AND REGULATIONS TO IMPROVE CORPORATE DEMOCRACY On April 14, the Commission announced that it has directed the Division of Corporation Finance to examine current proxy regulations and develop possible changes to those regulations to improve corporate democracy. In addition, the Commission today unanimously decided to let stand, rather than review, the determination of the Division of Corporation Finance regarding the American Federation of State, County and Municipal Employees' Pension Plan (AFSCME) proposal to Citigroup Inc. related to the nomination of candidates for director. "The current rules concerning shareholder proposals and director elections are clear and we are enforcing them as such, but the time has come for a thorough review of the proxy rules and regulations to ensure that they are serving the best interests of today's investors, while at the same time, fostering sound corporate governance and transparent business practices," said Chairman William Donaldson. The Commission has directed the Division of Corporation Finance to formulate possible changes in the proxy rules and regulations and their interpretations regarding procedures for the election of corporate directors. This review will address shareholder proposals, the nomination process, elections of directors, the solicitation of proxies for director elections, contests for corporate control, and the disclosure and other requirements imposed on large shareholders and groups of shareholders. As part of this process, the Commission has asked the Division to consult with all interested parties, including representatives of pension funds, shareholder advocacy groups, and representatives from the business and legal communities. The Commission has requested that the Division provide its proposals to the Commission by July 15 of this year. The AFSCME proposal called for Citigroup to permit shareholders or groups of shareholders holding 3% or more of the company's stock to nominate candidates for director in the company's proxy material. After review of a request from Citigroup, the Division of Corporate Finance determined that existing Rule 14a-8 under the Securities Exchange Act of 1934 did not require Citigroup to include AFSCME's proposal in its proxy materials. (Press Rel. 2003-46) STATEMENT OF THE COMMISSION REGARDING THE SELECTION OF THE CHAIRPERSON OF THE PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD (PCAOB) The Commission today announced that it has unanimously selected William J. McDonough as its nominee to be the new Chairperson of the five-member Public Company Accounting Oversight Board (PCAOB) established pursuant to the Sarbanes-Oxley Act of 2002. Mr. McDonough is currently the President of the Federal Reserve Bank of New York, a post he has held since 1993. In that capacity, he serves as the vice chairman and a permanent member of the Federal Open Market Committee. Prior to joining the Federal Reserve, Mr. McDonough had spent 22 years at First Chicago Corp. and its bank, First National Bank of Chicago. The Commission made this selection after consultation with the Federal Reserve Chairman and the Secretary of the Treasury. The Act requires that the Chairperson be a "prominent individual of integrity and reputation who has a demonstrated commitment to the interests of investors and the public, and an understanding of the responsibilities for and nature of the financial disclosure required of issuers under the securities laws and the obligations of accountants with respect to the preparation and issuance of audit reports with respect to such disclosures." Mr. McDonough's career and experience make him highly qualified for the position of Chairperson of the Public Company Accounting Oversight Board. Mr. McDonough will take steps to relinquish his current responsibilities at the Federal Reserve Bank of New York prior to assuming his role as Chairperson of the PCAOB. In addition, in accordance with the plan adopted by the Commission on March 4, 2003, the Commission will complete a thorough background investigation before Mr. McDonough's formal appointment. (Press Rel. 2003-48) ENFORCEMENT PROCEEDINGS PERMANENT INJUNCTION ENTERED AGAINST RESCIDIVIST VIOLATOR JAMES NORVILLE, MABEL NORVILLE AND AMERICAN PROMETHEUS CORP. On April 7, U.S. District Judge Edward Nottingham entered permanent injunctions, by consent, against American Prometheus Corp., James P. Norville and Mabel R. Norville, all of Central City, Colorado, for violations of the antifraud and registration provisions of the federal securities laws. American Prometheus was purportedly in the business of developing a hotel and casino in Central City. James Norville was the company's former president and director, and his wife, Mabel Norville, is a director and secretary of the company. The complaint alleged that between April 1997 and April 2000, the Norvilles offered more than $3.6 million in securities and raised approximately $1.1 million from 79 investors nationwide. The Norvilles failed to disclose criminal securities fraud charges pending against James Norville relating to one of the Norvilles' previous companies and his subsequent guilty plea to securities fraud. It was also alleged that the Norvilles misappropriated investor funds for their personal use. American Prometheus and the Norvilles were enjoined from future violation of 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 and Rule 10b-5 thereunder. The Norvilles were also barred from acting as officers or directors of any publicly held company and from participating in any offering of penny stock. The order requires payment of disgorgement of $581,277 plus prejudgment interest from the Norvilles, but payment was waived based upon their sworn financial statements. Further, no civil money penalty was imposed on the Norvilles based upon their sworn financial statements. [SEC v. American Prometheus Corp., James P. Norville and Mabel R. Norville, Civ. Action No. 02-N-1586. MJW, D. Co.] (LR-18089) CIVIL ACTION FILED AGAINST AGORA, INC., PIRATE INVESTOR, LLC AND FRANK PORTER STANSBERRY FOR SELLING FALSE INSIDE INFORMATION The Commission filed a complaint in the U.S. District Court for the District of Maryland, on April 10 seeking a permanent injunction against Agora, Inc., Pirate Investor, LLC and Frank Porter Stansberry. The complaint alleges that Agora, Pirate and Stansberry violated the antifraud provisions of the federal securities laws. The complaint also seeks disgorgement and civil money penalties from all three defendants. The complaint alleges that beginning May 14, 2002, Agora, Pirate and Stansberry disseminated unsolicited e-mails to subscribers of more than 15 Internet newsletters published by Agora. It is alleged that the e-mails, which were authored by Stansberry, offered to sell inside information concerning government approval, to be announced on May 22, 2002, of a contract which would yield billions in dollars in revenues for an unnamed company listed on the New York Stock Exchange and would enable investors to double their money on the announcement. It is further alleged that the unsolicited e-mails stated the inside information had been obtained from a senior executive of the company and offered to sell a report, which named the company, for a payment of $1000. The complaint alleges that approximately 1000 subscribers purchased copies of the report yielding revenues of approximately $1,000,000 for Agora. Finally, the complaint alleges that the so-called inside information was false in that even the company did not know when government approval of the contract would be received and that such approval was ultimately not received on May 22 as promised in the unsolicited e-mails and the report. It is alleged that by engaging in such conduct Agora, Pirate and Stansberry violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [SEC v. Agora, Inc., Pirate Investor, LLC and Frank Porter Stansberry; Docket No. MJG 03 1042, USDC, D.Md.] (LR-18090) ARTHUR W. WHEELER, AMERICAN HEALTHCARE PROVIDERS, INC.'S CHIEF EXECUTIVE OFFICER OFFICER, IS FOUND GUILTY OF SECURITIES FRAUD IN PARALLEL CRIMINAL ACTION The Commission announced that on April 14 in a parallel criminal proceeding, United States v. Arthur W. Wheeler, 02 Cr. 848 (S.D.N.Y.) (RMB), defendant Arthur W. Wheeler (Wheeler), the Chairman and Chief Executive Officer of American Healthcare Providers, Inc. (American Healthcare), was found guilty of securities fraud and conspiracy to commit securities fraud following a jury trial. Wheeler is scheduled to be sentenced by the Honorable Richard M. Berman on June 26, 2003. In the Commission's civil action against Wheeler, SEC v. American Healthcare Providers, Inc., et al., 01 Civ 7649 (S.D.N.Y.) (BSJ), the Commission charged American Healthcare Providers, Inc., Wheeler and four other individuals for their roles in an Internet market manipulation scheme. The Commission's complaint alleged that American Healthcare was a start-up company with "headquarters" in Wheeler's New York City apartment, and had virtually no business operations. The Commission charged that after pumping up the price of American Healthcare stock through an extensive campaign of false press releases and Internet message board postings, the defendants dumped their holdings of the stock on the unsuspecting public, reaping at least $1.47 million in illicit gains. The Commission previously announced that on May 14, 2002, Judge Barbara S. Jones entered final judgments against defendants Michael Anthony Lester and Lars M. Kram. In addition, on May 29, 2002, Judge Jones entered default judgments against defendants American Healthcare and Luis F. Lorie (Luis Lorie), a purported "consultant" to American Healthcare. On Nov. 27, 2002, Luis Lorie pled guilty to one count of conspiracy to commit securities fraud for the same conduct alleged in the Commission's complaint. On April 1, 2003, Luis Lorie's father, Angle L. Lorie, Jr. (Angle Lorie), another purported "consultant" to American Healthcare and a recidivist securities law violator, pled guilty to one count of conspiracy to commit securities fraud and one count of securities fraud for the same conduct alleged in the Commission's complaint. The Commission's civil action against Wheeler and Angle Lorie was stayed pending the resolution of Wheeler's criminal trial. For tips on how to avoid Internet "pump-and-dump" stock manipulation schemes, visit http://www.sec.gov/investor/online/pump.htm. For more information about Internet fraud, visit http://www.sec.gov/divisions/enforce/internetenforce.htm. To report suspicious activity involving possible Internet fraud, visit http://www.sec.gov/complaint.shtml. See also: L.R. 17530 (May 22, 2002), and L.R. 17104 (August 16, 2001). [SEC v. AMERICAN HEALTHCARE PROVIDERS, INC., ARTHUR W. WHEELER, LARS M. KRAM, ANGEL L. LORIE JR., LUIS F. LORIE, AND MICHAEL ANTHONY LESTER 01 Civ 7649 (B.S.J.) (S.D.N.Y.)] (LR-18091) INVESTMENT COMPANY ACT RELEASES MERRILL LYNCH INVESTMENT MANAGERS, L.P., ET AL. The Commission issued an order to Merrill Lynch Investment Managers, L.P., et al., under Section 9(c) of the Investment Company Act exempting applicants from Section 9(a) of the Act, with respect to a securities-related injunction entered into on March 17, 2003. (Rel. IC-26005 - April 14) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission noticed and granted accelerated approval to a proposed rule change (SR-Amex-2003-18) filed by the American Stock Exchange relating to "at the close" orders in Nasdaq securities. Publication of the proposal in the Federal Register is expected during the week of April 14. (Rel. 34-47658) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2003-14) and Amendment No. 1 thereto filed by the Pacific Exchange relating to an increase to 2,000 contracts for the first two near term expiration months, and to 1,000 contracts for all other expiration months, in the maximum permissible number of Nasdaq-100 Tracking Stock (QQQ) options contracts executable through Auto-Ex 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 April 14. (Rel. 34-47664) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2003-08) submitted by the American Stock Exchange increasing the maximum permissible number of equity and index option contracts executable through Auto-Ex to 500 contracts. Publication of the proposal in the Federal Register is expected during the week of April 14. (Rel. 34-47673) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the 9 5/8% Trust Preferred Securities of PGS Trust I and the American Depositary Shares (each representing one ordinary share) of Petroleum Geo-Services ASA, effective at the opening of business on April 15. (Rel. 34-47677) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $1.00 par value, of The Rowe Companies, effective at the opening of business on April 15. (Rel. 34-47678) 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 AIRTRAX INC, 8563278112 - 90,000 ($85,500.00) Equity, (File 333-104496 - Apr. 14) (BR. 09) S-8 OGE ENERGY CORP, 321 N HARVEY, P O BOX 321, OKLAHOMA CITY, OK, 73101-0321, 4055533000 - 0 ($89,700,000.00) Equity, (File 333-104497 - Apr. 14) (BR. 02) S-8 OAK TECHNOLOGY INC, 139 KIFER CT, SUNNYVALE, CA, 94086, 4087370888 - 0 ($11,820,000.00) Equity, (File 333-104498 - Apr. 14) (BR. 36) S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 460, VANCOUVER BC, A1, V6C 1H2, 6046466903 - 4,750,000 ($190,000.00) Equity, (File 333-104500 - Apr. 14) (BR. 06) S-3 MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 - 1,257,253 ($9,567,695.00) Equity, (File 333-104502 - Apr. 14) (BR. 08) S-3 PUBLIC SERVICE CO OF COLORADO, 1225 17TH ST STE 900, DENVER, CO, 80202, 3035717511 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-104504 - Apr. 14) (BR. 02) S-8 NSTOR TECHNOLOGIES INC, 100 CENTURY BLVD., WEST PALM BEACH, FL, 33417, 5616403125 - 2,500,000 ($1,450,000.00) Equity, (File 333-104505 - Apr. 14) (BR. 03) S-8 ANIXTER INTERNATIONAL INC, 4711 GOLF RD, SKOKIE, IL, 60076, 8477152568 - 0 ($15,085,000.00) Equity, (File 333-104506 - Apr. 14) (BR. 36) S-8 XCEL ENERGY INC, 800 NICOLLET MALL, MINNEAPOLIS, MN, 55402, 6123305500 - 0 ($38,610,000.00) Equity, (File 333-104507 - Apr. 14) (BR. 02) S-8 SIRICOMM INC, 2900 DAVIS BOULEVARD, SUITE 130, JOPLIN, MO, 65804, 417-626-9971 - 3,000,000 ($4,500,000.00) Equity, (File 333-104508 - Apr. 14) (BR. 01) S-3 PENFORD CORP, 7094 SOUTH REVERE PARKWAY, ENGLEWOOD, C0, 80112-3932, 303-649-1900 - 0 ($8,168,550.00) Equity, (File 333-104509 - Apr. 14) (BR. 04) S-8 AMERICAN FIRE RETARDANT CORP, 9337 BOND AVENUE, 806-479-0449, EL CAJON, CA, 92012, 619-390-68 - 104,000,000 ($416,000.00) Equity, (File 333-104514 - Apr. 14) (BR. 02) S-8 BIOPURE CORP, 11 HURLEY ST, CAMBRIDGE, MA, 02141, 6172346500 - 1,383,239 ($4,301,874.00) Other, (File 333-104515 - Apr. 14) (BR. 01) S-3 WESTERN WIRELESS CORP, 3650 131 ST AVENUE SE, SUITE 400, BELLEVUE, WA, 98006, 4255868700 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-104516 - Apr. 14) (BR. 37) S-3 APHTON CORP, PO BOX 1049, STE 51-507, WOODLAND, CA, 95776, 5306616077 - 150,000 ($387,000.00) Equity, (File 333-104517 - Apr. 14) (BR. 01) S-8 AVICI SYSTEMS INC, 101 BILLERICA AVENUE, NORTH BILLERICA, MA, 01862, 9789642000 - 83,960 ($342,557.00) Equity, (File 333-104519 - Apr. 14) (BR. 03) S-8 ROUSE COMPANY, 10275 LITTLE PATUXENT PKWY, COLUMBIA, MD, 21044-3456, 4109926000 - 0 ($6,250,000.00) Other, (File 333-104520 - Apr. 14) (BR. 08) S-8 ROUSE COMPANY, 10275 LITTLE PATUXENT PKWY, COLUMBIA, MD, 21044-3456, 4109926000 - 0 ($1,000,000.00) Other, (File 333-104521 - Apr. 14) (BR. 08) S-8 INTEGRAL TECHNOLOGIES INC /CN/, 1070 WEST PENDER STREET, SUITE#3, VANCOUVER BC V6E 2N7, A1, 00000, 6046859933 - 1,500,000 ($1,425,000.00) Equity, (File 333-104522 - Apr. 14) (BR. 36) S-8 AMERICAS SENIOR FINANCIAL SERVICES INC, 1071 EAST INDIAN TOWN ROAD, JUPITER, FL, 33411, 5616562322 - 5,000,000 ($425,000.00) Equity, (File 333-104523 - Apr. 14) (BR. 07) S-4 CLASSIC BANCSHARES INC, 344 17TH ST, P O BOX 1527, ASHLAND, KY, 41101-1527, 6063254789 - 226,615 ($6,462,708.00) Other, (File 333-104524 - Apr. 14) (BR. 07) S-1 PROTECTIVE LIFE INSURANCE CO, 2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL, 35223, 2058799230 - 0 ($500,000,000.00) Other, (File 333-104525 - Apr. 14) (BR. 01) S-3 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3M, FAIRFIELD, CT, 06828, 203-373-2211 - 0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-104526 - Apr. 14) (BR. 36) S-8 ROUSE COMPANY, 10275 LITTLE PATUXENT PKWY, COLUMBIA, MD, 21044-3456, 4109926000 - 0 ($7,500,000.00) Other, (File 333-104527 - Apr. 14) (BR. 08) S-3 FINISAR CORP, 1308 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 0 ($6,187,364.16) Equity, (File 333-104528 - Apr. 14) (BR. 36) S-3 MEMC ELECTRONIC MATERIALS INC, 501 PEARL DR, ST PETERS, MO, 63376, 6364745000 - 25,000,000 ($285,625,000.00) Equity, (File 333-104529 - Apr. 14) (BR. 36) S-3 K2 INC, 4900 S EASTERN AVE, SUITE 200, LOS ANGELES, CA, 90040, 3237242800 - 0 ($32,293,416.39) Equity, (File 333-104530 - Apr. 14) (BR. 05) S-4 BANK OF THE OZARKS INC, 12615 CHENAL PARKWAY, SUITE 3100, LITTLE ROCK, AR, 72211, 5019782265 - 286,448 ($4,051,554.00) Equity, (File 333-104531 - Apr. 14) (BR. 07) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. 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 ------------------------------------------------------------------------------------ ACCENTURE LTD X X 04/14/03 ACCENTURE SCA X X 04/14/03 ACE CASH EXPRESS INC/TX TX X X 03/31/03 ADEPT TECHNOLOGY INC DE X X 04/11/03 ADOLOR CORP X X 04/14/03 ALCIDE CORP DE X 04/14/03 ALLOY INC DE X X X 04/09/03 ALPHA HOSPITALITY CORP DE X X 04/14/03 ANGELES PARTNERS XIV CA X X 03/31/02 AOL TIME WARNER INC DE X X 03/28/03 AQUENTIUM INC DE X X 03/12/03 ARC COMMUNICATIONS INC NJ X X 04/14/03 ATCHISON CASTING CORP KS X X 04/14/03 AXIA GROUP INC/UT NV X X 03/24/03 AMEND BA MORTGAGE SECURITIES INC MORT PASS DE X X 03/25/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 03/25/03 BADGER METER INC WI X X 04/14/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 04/14/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 04/14/03 BANK OF AMERICA CORP /DE/ DE X X X 03/31/03 BARNES GROUP INC DE X 02/06/03 AMEND BB&T CORP NC X 03/31/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 04/10/03 BEAR STEARNS COMPANIES INC DE X X 04/07/03 BELL MICROPRODUCTS INC CA X X 04/09/03 BRIAZZ INC WA X X 04/14/03 C CHIP TECHNOLOGIES CORP NV X X 04/11/03 CARDIMA INC DE X X 03/28/03 CERES GROUP INC DE X X 03/31/03 CHASE FUNDING INC NY X X 04/11/03 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 03/31/03 CITIGROUP INC DE X X 04/14/03 CITIZENS FINANCIAL SERVICES INC PA X 03/31/03 COGNEX CORP MA X 04/14/03 COLLEGIATE FUNDING SERVICES EDUCATION DE X X X 03/31/03 COMMERCIAL BANCSHARES INC \OH\ OH X X X 04/09/03 COMMON GOAL HEALTH CARE PENSION & INC DE X 04/14/03 COMPUTER TASK GROUP INC NY X 04/14/03 COVAD COMMUNICATIONS GROUP INC DE X X 04/10/03 CREDIT & ASSET REPACKAGING VEHICLE CO DE X 04/01/03 CWMBS INC DE X X 04/14/03 CWMBS INC DE X X 04/14/03 DAYTON POWER & LIGHT CO OH X 04/09/03 DDI CORP CA X 04/10/03 DEL GLOBAL TECHNOLOGIES CORP NY X X 04/09/03 DELTAGEN INC DE X X 04/10/03 DEVON ENERGY CORP/DE DE X X 04/14/03 DMI FURNITURE INC DE X 04/09/03 DPAC TECHNOLOGIES CORP CA X 04/14/03 DPL INC OH X 04/09/03 DYNACORE HOLDINGS CORP DE X 04/10/03 EAGLE PICHER HOLDINGS INC DE X 04/14/03 EATON CORP OH X 04/14/03 ENTERTAINMENT INTERNET INC NV X 04/10/03 ENTRADA NETWORKS INC DE X X 04/14/03 EP MEDSYSTEMS INC NJ X 03/31/03 EQUISTAR CHEMICALS LP X X X 04/14/03 EQUITY ONE ABS INC DE X X 04/10/03 ESSENTIAL THERAPEUTICS INC CA X X 04/14/03 FASTENAL CO MN X X 04/11/03 FASTNET CORP PA X X 04/08/03 FEDERATED DEPARTMENT STORES INC /DE/ DE X 04/14/03 FINDWHAT COM INC NV X X 04/14/03 FIRST NATIONAL COMMUNITY BANCORP INC PA X 04/14/03 FIRST SECURITY GROUP INC/TN TN X X 04/14/03 AMEND FIRST TENNESSEE NATIONAL CORP TN X X 03/31/03 FLEET HOME EQUITY LOAN LLC DE X 04/14/03 FLEMING COMPANIES INC /OK/ OK X 04/14/03 FOX ENTERTAINMENT GROUP INC DE X 04/09/03 FRANKLIN COVEY CO UT X 04/14/03 GARUDA CAPITAL CORP NV X 04/14/03 AMEND GE COMMERCIAL MORT CORP COM MORT PS T DE X X 04/14/03 GENERAL MOTORS CORP DE X X 04/09/03 GLACIER WATER SERVICES INC DE X 04/14/03 GLOBAL FREIGHT INTEGRATORS INC NV X X 04/09/03 GLOBAL FREIGHT INTEGRATORS INC NV X X 04/08/03 AMEND GLOBAL PAYMENT TECHNOLOGIES INC DE X X 04/14/03 GREAT SOUTHERN BANCORP INC DE X 05/14/03 GS MORTGAGE SECURITIES CORP DE X 04/10/03 GSE SYSTEMS INC DE X 04/11/03 GUSANA EXPLORATIONS INC X 04/14/03 H&E EQUIPMENT SERVICES LLC LA X X 04/14/03 HALLMARK FINANCIAL SERVICES INC NV X 01/27/03 AMEND HANCOCK HOLDING CO MS X 04/14/03 HERITAGE BANKSHARES INC /VA VA X X 04/14/03 HERITAGE PROPANE PARTNERS L P DE X X 04/14/03 HILLENBRAND INDUSTRIES INC IN X X 04/14/03 HUDSON UNITED BANCORP NJ X X 04/14/03 HUGHES ELECTRONICS CORP DE X X 04/14/03 HUGHES ELECTRONICS CORP DE X X 04/09/03 ICON HEALTH & FITNESS INC DE X 03/01/03 IDX SYSTEMS CORP VT X X 04/10/03 ILEX ONCOLOGY INC DE X X 04/14/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 03/31/03 INTERNATIONAL BUSINESS MACHINES CORP NY X X 04/14/03 INTERVEST BANCSHARES CORP DE X 04/14/03 ITXC CORP NJ X X 04/10/03 JANUS CAPITAL GROUP INC DE X X 04/14/03 KENTUCKY ELECTRIC STEEL INC /DE/ DE X X 02/28/03 KNIGHT TRANSPORTATION INC AZ X X X 04/14/03 KOGER EQUITY INC FL X X 12/06/02 AMEND LAKELAND BANCORP INC NJ X 04/02/03 LAKELAND BANCORP INC NJ X X 04/10/03 LAKES ENTERTAINMENT INC MN X X 04/14/03 LAWRENCE FINANCIAL HOLDINGS INC MD X X 04/14/03 LCA VISION INC DE X X 04/14/03 LCNB CORP OH X X 04/15/03 LEAP WIRELESS INTERNATIONAL INC DE X 04/13/03 LEAR CORP /DE/ DE X X 04/14/03 LIBBEY INC DE X 04/14/03 LIBERTY NATIONAL BANCSHARES INC GA X X 04/14/03 LIFE SCIENCES RESEARCH INC MD X X 04/14/03 AMEND LOEWS CORP DE X X 04/14/03 LONE STAR STEAKHOUSE & SALOON INC DE X X 04/11/03 LYONDELL CHEMICAL CO DE X 04/14/03 MACROCHEM CORP DE X 04/10/03 MANHATTAN ASSOCIATES INC GA X X 04/07/03 MARINE JET TECHNOLOGY CORP NV X X 04/11/03 AMEND MARKWEST ENERGY PARTNERS L P DE X X 03/28/03 MARKWEST HYDROCARBON INC DE X X 03/28/03 MBNA CORP MD X 03/31/03 MCDONALDS CORP DE X 04/10/03 MEGO FINANCIAL CORP NY X 04/14/03 MEMBERWORKS INC DE X X 04/14/03 MERRILL LYNCH MORT INV INC MORT LN AS DE X X 03/28/03 MILLENNIUM CHEMICALS INC DE X 04/14/03 MOVIE GALLERY INC DE X X 04/10/03 NATURAL GAS SERVICES GROUP INC X X 03/27/03 NAVISTAR INTERNATIONAL CORP DE X 04/14/03 NETBANK INC GA X X 04/10/03 NEW YORK COMMUNITY BANCORP INC DE X X 04/14/03 NEW YORK TIMES CO NY X X 04/14/03 NEWNAN COWETA BANCSHARES INC X X 04/11/03 NIAGARA MOHAWK POWER CORP /NY/ NY X 04/14/03 NIKU CORP DE X X 04/11/03 NORTH STATE BANCORP NC X X 04/14/03 NOVELLUS SYSTEMS INC CA X X 04/14/03 NS GROUP INC KY X X 04/14/03 OCEAN BIO CHEM INC FL X 04/14/03 OCEAN ENERGY INC /TX/ DE X X 04/14/03 ORETECH INC NV X X X 09/27/02 PANAMSAT CORP /NEW/ DE X X 04/11/03 PARAMCO FINANCIAL GROUP INC NV X 04/14/03 PHAR MOR INC PA X 04/14/03 PINNACLE FINANCIAL PARTNERS INC TN X X 04/14/03 POWERWAVE TECHNOLOGIES INC DE X 04/10/03 PROSPERITY BANCSHARES INC TX X X 04/14/03 PS BUSINESS PARKS INC/CA CA X 04/11/03 RAMBUS INC DE X X 04/14/03 RAMTRON INTERNATIONAL CORP DE X 04/14/03 REHABCARE GROUP INC DE X 04/14/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 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