SEC NEWS DIGEST Issue 2003-154 August 12, 2003 ENFORCEMENT PROCEEDINGS FEDERAL COURT ENJOINS MCMINN CONSULTANTS, LIMITED AND ORDERS DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL PENALTY The Commission announced today that on August 1 the Honorable R. Allan Edgar, U.S. District Judge for the Eastern District of Tennessee, entered a judgment by default against McMinn Consultants, Limited (McMinn). The judgment permanently enjoined McMinn from further violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court ordered McMinn to pay disgorgement in the amount of $747,000, plus prejudgment interest in the amount of $198,153.29. The Court also imposed a civil penalty against McMinn in the amount of $25,000. The complaint in this matter alleged that Dianna Blairtorbett (Blairtorbett), a Tennessee resident and McMinn fraudulently offered and sold unregistered securities by promising extravagant rates of return derived from a variety of investments, including purported prime bank trading programs. The defendants raised approximately $7.7 million from nearly 100 investors in thirteen states and the funds were pooled into accounts owned and controlled by McMinn. The complaint also alleged that the defendants made misrepresentations and omissions of material fact to investors concerning, among other things, the touted risk free nature of McMinn's investments, the use of investor funds, expected returns and the false representation that McMinn's investments were secured by approximately $7 billion in gold and other precious metals. The precious metals did not exist. Furthermore, the complaint alleged that Blairtorbett falsely represented that an initial investment of $50,000 would be worth approximately $1.7 million in three years and $22 million in five years, but that she had no basis for these representations, and that she knowingly or recklessly failed to disclose that a significant percentage of investor funds would be used to pay the "returns" of earlier investors. The entry of this judgment did not affect Blairtorbett, who was permanently enjoined by the Court from further violations of the federal securities laws in an order of April 1, 2003. [SEC v. Dianna Blairtorbett a/k/a Dianna Blair Torbett a/k/a Dianna Blair-Torbett, Individually and d/b/a McMinn Consultants, and McMinn Consultants, Limited, Civil Action No. 1:02-CV-384 ED Tenn.] (LR-18282) MORRIS WEISSMAN, FORMER CEO AND CHAIRMAN OF THE BOARD OF AMERICAN BANKNOTE CORPORATION AND AMERICAN BANK NOTE HOLOGRAPHICS, INC., CONVICTED OF CONSPIRACY, SECURITIES FRAUD, FALSIFYING BOOKS AND RECORDS, AND MAKING FALSE STATEMENTS TO AUDITORS On August 6, following a jury trial before the U.S. District Court for the Southern District of New York, a verdict was returned finding Morris Weissman guilty of fraud in the offer and sale of securities in violation of Sections 17(a) of the Securities Act of 1933 (Securities Act), falsifying books and records in violation of Sections 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 13b2-1, and making false statements to auditors in violation of Section 13(b)(1) of the Exchange Act, and Exchange Act Rule 13b2-2. The jury also found Weissman guilty of conspiracy with respect to each of the above counts. The evidence at trial established that Weissman, the former chief executive officer and chairman of the board of American Bank Note Holographics, Inc. (ABNH) and American Banknote Corporation (ABN), ABNH's former publicly-held parent, and two subordinate ABNH executives fraudulently inflated ABNH's reported revenue and earnings for fiscal years 1996 and 1997 and for the first three fiscal quarters of 1998. Weissman and his co-conspirators engaged in sham transactions, recognized revenue from sales of holograms before the manufacturing process was even complete, and lied to the company's independent auditors in an effort to conceal the scheme. The evidence at trial established that in July 1998, Weissman and his co-conspirators, on the basis of this fraudulent financial information, caused ABN to sell the common stock of ABNH to members of the investing public for $115 million. The evidence established that on Jan. 19, 1999, six months after the ABNH IPO, ABNH announced that it would restate some of its previous financial statements. Over the following few days, the price of ABNH stock plummeted from approximately $16 a share to approximately $1.80, resulting in a decline of more than $190 million in ABNH's market capitalization. Restated financial statements issued by ABNH in December 1999 revealed that ABNH had overstated its actual net income for 1996 by 11%, and overstated its actual revenue and net income for 1997 by 34% and 169% respectively. Weissman, who was convicted on each of the charges above, faces a maximum sentence of 30 years in prison, a fine of $1 million or twice the gross loss or gain resulting from the offense, and mandatory restitution. The District Court scheduled sentencing for November 13, 2003. For additional information, see Litigation Releases 17068A and 18081. [U.S. v. Morris Weissman, Criminal Action No. 01 CR 529 (BSJ) SDNY] (LR- 18283; AAE Rel. 1836) INVESTMENT COMPANY ACT RELEASES NATIONS FUND TRUST, ET AL. A notice has been issued giving interested persons until Sept. 4, 2003, to request a hearing on an application filed by Nations Fund Trust, et al. for an order under (1) Section 6(c) of the Investment Company Act granting an exemption from Sections 18(f) and 21(b) of the Act; (2) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (3) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1) and 17(a)(3) of the Act; and (4) Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered investment companies to participate in a joint lending and borrowing facility. (Rel. IC-26146 - August 11) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2002-55) and Amendment No. 1 thereto relating to permanent approval of the rapid opening system. Publication of the notice is expected in the Federal Register during the week of August 11. (Rel. 34-48293) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-122) relating to proposal to conduct background verification and charge application fee for NASD neutral roster applicants. Publication of the notice is expected in the Federal Register during the week of August 11. (Rel. 34-48294) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2002-85) relating to the definition of a Wheel Assignment Area. Publication of the notice is expected in the Federal Register during the week of August 11. (Rel. 34-48310) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange (SR-CBOE-2003- 24) to interpret rules relating to margin requirements for certain complex options spreads on a pilot basis. Publication is expected in the Federal Register during the week of August 11. (Rel. 34-48306) The Commission approved a proposed rule change, and granted accelerated approval to Amendment No. 1 thereto, filed by the New York Stock Exchange (SR-NYSE-2002-63) to permit single stock futures hedging by NYSE specialists. Publication of the notice is expected in the Federal Register during the week of August 11. (Rel. 34-48307) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Amex-2003-73) filed by the American Stock Exchange to suspend transaction charges for certain iShares Funds 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 August 11. (Rel. 34-48304) A proposed rule change (SR-NASD-2003-116) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to modify the fees paid by NNMS Order Entry Firms for certain order executions through Nasdaq's SuperMontage system has become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of August 18. (Rel. 34- 48316) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-69) submitted by the American Stock Exchange relating to the listing and trading of trust certificates linked to a basket of investment grade fixed income securities. Publication of the proposal is expected in the Federal Register during the week of August 11. (Rel. 34-48312) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation, respecting certain underlying securities of the following companies, effective at the opening of business on August 12: IGEN International, Inc. (IGEN) JDS Uniphase Corp. (JDSU) Alcoa, Inc. (AA) Royal Dutch Petro-Ny Shares (RD) Valero Energy Corp. (VLO) Unumprovident Corp. (UNM) Gemstar-Tv Guide Intl, Inc. (GMST) Sealed Air Corp. (SEE) Hilton Hotels Corp. (HLT) American Capital Strategies (ACAS) Centerpoint Energy, Inc. (CNP) Inter-Tel, Inc. (INTL) (Rel. 34-48314) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on August 12: Asbury Automotive Group, Inc. (ABG) British Airways plc (BAB) Horizon Offshore, Inc. (UHH/HOFF) Nu Horizons Electronics Corp. (NTQ/NUHC) Syncor International Corporation (SQR/SCOR) TRW, Inc. (TRW) WCI Communities, Inc. (WCI) (Rel. 34-48315) 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 RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 - 0 ($142,217,910.00) Equity, (File 333-107824 - Aug. 11) (BR. 01) SB-2 SUNCOAST NATURALS INC, 5422 CARRIER DRIVE STE 309, ORLANDO, FL, 32819, 4072268889 - 1,850,000 ($1,850,000.00) Equity, (File 333-107826 - Aug. 11) (BR. 09) S-3 AUTOZONE INC, 123 SOUTH FRONT ST, MEMPHIS, TN, 38103, 9014956500 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-107828 - Aug. 11) (BR. 02) S-4 YAHOO INC, 4083493300 - 0 ($1,369,154,467.00) Equity, (File 333-107829 - Aug. 11) (BR. 03) S-4 DEL MONTE FOODS CO, ONE MARKET @ THE LANDMARK, C/O DEL MONTE CORP, SAN FRANCISCO, CA, 94105, 415-247-3000 - 450,000,000 ($450,000,000.00) Non-Convertible Debt, (File 333-107830 - Aug. 11) (BR. 04) S-8 SEDONA CORP, 455 SOUTH GULPH ROAD, KING OF PRUSSIA, PA, 19406, 6104953003 - 3,000,000 ($540,000.00) Equity, (File 333-107831 - Aug. 11) (BR. 03) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 408-376-7400 - 0 ($1,517,550,000.00) Equity, (File 333-107832 - Aug. 11) (BR. 08) S-8 INTERPHARM HOLDINGS INC, 75 ADAMS AVENUE, HAUPPAGUE, NY, 11788, 6319520214 - 1,978,300 ($15,905,532.00) Other, (File 333-107833 - Aug. 11) (BR. 03) S-8 AUTO DATA NETWORK, 1 ROCKEFELLER PLAZA - SUITE 1600, NEW YORK, NY, 10020, 2125214497 - 330,000 ($775,500.00) Equity, (File 333-107834 - Aug. 11) (BR. 08) S-8 CRAY INC, 411 FIRST AVE SOUTH, SUITE 600, SEATTLE, WA, 98104-2860, 2067012000 - 0 ($42,732,331.00) Equity, (File 333-107835 - Aug. 11) (BR. 03) S-3 DISCOVERY LABORATORIES INC /DE/, 350 MAIN STREET SUITE 307, DOYLESTOWN, PA, 18901, 2152404699 - 8,288,369 ($67,595,793.00) Equity, (File 333-107836 - Aug. 11) (BR. 01) S-8 VIVENDI UNIVERSAL, 42 AVENUEDE FRIEDLAND, 75380 PARIS CEDEX, 08 FRANCE, I0, 00000, 0113317171 - 20,000,000 ($339,200,000.00) Equity, (File 333-107837 - Aug. 11) (BR. 02) S-8 INFINITY INC, 211 W 14TH ST, STE 260, CHANUTE, KS, 66720, 3164316200 - 375,000 ($3,018,972.00) Equity, (File 333-107838 - Aug. 11) (BR. 04) S-8 CIGNA CORP, ONE LIBERTY PLACE, 1650 MARKET STREET, PHILADELPHIA, PA, 19192-1550, 2157611000 - 10,000,000 ($442,200,000.00) Equity, (File 333-107839 - Aug. 11) (BR. 01) S-8 EXACT SCIENCES CORP, 100 CAMPUS DRIVE, MARLBOROUGH, MA, 01752, 5086831200 - 0 ($34,668,106.00) Equity, (File 333-107840 - Aug. 11) (BR. 01) S-8 WALGREEN CO, 200 WILMOT RD, DEERFIELD, IL, 60015, 8479402500 - 25,000,000 ($25,000,000.00) Other, (File 333-107841 - Aug. 11) (BR. 01) S-4 GREENE COUNTY BANCSHARES INC, 100 NORTH MAIN STREET, GREENEVILLE, TN, 37743-4992, 4236395111 - 0 ($7,000,000.00) Equity, (File 333-107842 - Aug. 11) (BR. 07) S-4 PLIANT CORP, 1475 WOODFIELD ROAD, SCHAUMBURG, IL, 60173, 8479693300 - 0 ($250,000,000.00) Equity, (File 333-107843 - Aug. 11) (BR. 06) S-8 VEECO INSTRUMENTS INC, TERMINAL DR, PLAINVIEW, NY, 11803, 5163498300 - 0 ($9,005,000.00) Equity, (File 333-107844 - Aug. 11) (BR. 36) S-8 VEECO INSTRUMENTS INC, TERMINAL DR, PLAINVIEW, NY, 11803, 5163498300 - 0 ($11,346,300.00) Equity, (File 333-107845 - Aug. 11) (BR. 36) S-3 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($250,000.00) Unallocated (Universal) Shelf, (File 333-107846 - Aug. 11) (BR. 36) S-8 WORLDQUEST NETWORKS INC, 16990 DALLAS PARKWAY, SUITE 220, DALLAS, TX, 75248, 9728180460 - 0 ($2,137,500.00) Equity, (File 333-107847 - Aug. 11) (BR. 08) S-8 COLUMBUS MCKINNON CORP, 140 JOHN JAMES AUDUBON PKWY, AMHERST, NY, 14228-1197, 7166895400 - 550,000 ($2,032,250.00) Equity, (File 333-107848 - Aug. 11) (BR. 36) S-8 MIPS TECHNOLOGIES INC, 1225 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043-1353, 6505675000 - 1,825,154 ($5,653,371.94) Equity, (File 333-107849 - Aug. 11) (BR. 36) S-8 BADGER METER INC, 4545 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223, 4143715702 - 200,000 ($6,430,000.00) Equity, (File 333-107850 - Aug. 11) (BR. 36) S-8 IGAMES ENTERTAINMENT INC, 301 YAMATO RD, STE 3131, BOCA RATON, FL, 33431, 561 995 0075 - 1,800,000 ($801,000.00) Equity, (File 333-107851 - Aug. 11) (BR. 03) S-8 VIRAGEN INC, 865 SW 78TH AVENUE, SUITE 100, PLANTATION, FL, 33324, 9542338746 - 0 ($325,330.00) Equity, (File 333-107852 - Aug. 11) (BR. 01) S-8 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 5,770,000 ($160,925,300.00) Equity, (File 333-107855 - Aug. 11) (BR. 05) S-8 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 1,000,000 ($27,890,000.00) Equity, (File 333-107856 - Aug. 11) (BR. 05) S-3 HI TECH PHARMACAL CO INC, 369 BAYVIEW AVENUE, AMITYVILLE, NY, 11701, 5167898228 - 1,118,000 ($25,702,820.00) Equity, (File 333-107857 - Aug. 11) (BR. 01) S-3 NEOWARE SYSTEMS INC, 400 FEHELEY DR, KING OF PRUSSIA, PA, 19406, 6102778300 - 101,500,000 ($122,725,000.00) Other, (File 333-107858 - Aug. 11) (BR. 03) S-3 MDC HOLDINGS INC, 3600 S YOSEMITE ST STE 900, DENVER, CO, 80237, 3037731100 - 0 ($300,000,000.00) Equity, (File 333-107859 - Aug. 11) (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 ---------------------------------------------------------------------------------- 21ST CENTURY TECHNOLOGIES INC NV X 08/07/03 3D SYSTEMS CORP DE X X 08/08/03 5 G WIRELESS COMMUNICATIONS INC NV X 07/31/03 ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 07/25/03 ABIOMED INC DE 08/11/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 08/01/03 ABN AMRO MORT CORP MULTI CLASS MORT P DE X X 08/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-1 DE X X 08/01/03 ABN AMRO MORTGAGE CORP SERIES 2001-4 DE X X 08/01/03 ABN AMRO MORTGAGE CORP SERIES 2002-9 DE X X 08/01/03 ACCURIDE CORP DE X X 08/11/03 ACCURIDE CORP DE X 08/11/03 ACE SECURITIES CORP DE X X 08/11/03 ACE SECURITIES CORP HOME EQUITY LOAN DE X X 07/25/03 ADELPHIA BUSINESS SOLUTIONS INC DE X 08/05/03 ADVANSTAR COMMUNICATIONS INC NY X 08/08/03 ADVANSTAR INC DE X 08/08/03 AFC ENTERPRISES INC MN X X 08/08/03 AK STEEL HOLDING CORP DE X 08/08/03 ALEXANDRIA REAL ESTATE EQUITIES INC MD X 08/08/03 ALLIED WASTE INDUSTRIES INC DE X 08/11/03 AMERCO /NV/ NV X X 08/08/03 AMERICAN ACCESS TECHNOLOGIES INC FL 08/08/03 AMERICAN CLAIMS EVALUATION INC NY X X 08/11/03 AMERICAN SPECTRUM REALTY INC MD X 08/07/03 AMERIVEST PROPERTIES INC MD X X 08/11/03 ANDREA ELECTRONICS CORP NY X X 08/05/03 APEX SILVER MINES LTD X 08/08/03 ARMSTRONG HOLDINGS INC /PA/ PA 08/11/03 ARRAY BIOPHARMA INC DE 08/11/03 AMEND ASSURE ENERGY INC DE X X 07/28/03 ASTA FUNDING INC DE X 08/11/03 AUTO DATA NETWORK DE X X 04/23/03 AMEND AUTOIMMUNE INC DE 08/07/03 AXTIVE CORP DE X X 05/23/03 AMEND BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 07/25/03 BANC OF AMERICA MORT SEC INC ALTERNAT DE X X 07/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 07/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 07/25/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 07/25/03 BANC OF AMERICA MORT SEC INC MORT PS NY X X 07/25/03 BAY VIEW CAPITAL CORP DE X X 08/08/03 BEAR STEARNS ARM TRUST 2003-4 DE X X 07/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 07/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 07/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 07/25/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 07/25/03 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 07/25/03 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 07/25/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 07/08/03 BERKSHIRE HATHAWAY INC DE X 08/08/03 BILLSERV INC NV X 08/08/03 BLACK & DECKER CORP MD X X 08/11/03 BLOUNT INTERNATIONAL INC DE X X 08/11/03 BOURBON BANCSHARES INC /KY/ KY 06/30/03 BRIAZZ INC WA X 08/01/03 CAPITAL ONE FINANCIAL CORP DE X 08/11/03 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 08/05/03 CAPITOL FEDERAL FINANCIAL X X 06/30/03 CARROLLTON BANCORP MD X X 08/08/03 CASTSM STEP-UP TRUST III DE X 08/11/03 CBRE HOLDING INC DE 08/11/03 CENTURION GOLD HOLDINGS INC FL X X 08/06/03 CHALONE WINE GROUP LTD CA X 08/04/03 CHESAPEAKE UTILITIES CORP DE X 08/08/03 CHOICE ONE COMMUNICATIONS INC DE X 08/11/03 CITADEL BROADCASTING CORP DE X X 08/11/03 CITICORP MORTGAGE SECURITIES INC DE X 08/11/03 CITICORP MORTGAGE SECURITIES INC DE X 08/11/03 CLAYTON HOMES INC DE X X 08/08/03 CLEARONE COMMUNICATIONS INC UT X X 08/11/03 AMEND CLECO CORP LA X 08/11/03 CLOVER LEAF FINANCIAL CORP DE X 08/07/03 CNB FINANCIAL SERVICES INC WV X X 08/08/03 COLONIAL BANCGROUP INC DE X X 08/11/03 COLONIAL BANCGROUP INC DE X 08/11/03 COMMERCESOUTH INC DE X 08/08/03 COMMSCOPE INC DE X 08/11/03 COMPUMED INC DE X 08/11/03 CONE MILLS CORP NC X X 08/11/03 CORE SOLUTIONS INC NV X X X 07/29/03 COST PLUS INC/CA/ CA X 08/07/03 COST U LESS INC WA X 08/08/03 COUGAR HOLDINGS INC NV X 08/01/03 COUNTRYWIDE FINANCIAL CORP DE 07/31/03 CRYOLIFE INC FL X 08/05/03 CTC COMMUNICATIONS GROUP INC DE X 08/07/03 CURIS INC DE X X 08/11/02 CV THERAPEUTICS INC DE X X 08/08/03 CWABS INC DE X X 06/30/03 AMEND CYTATION CORP DE X 08/11/03 DATATRAK INTERNATIONAL INC OH X X 08/08/03 DEB SHOPS INC PA X 08/07/03 DEL MONTE FOODS CO DE X 08/08/03 DEL MONTE FOODS CO DE X 08/08/03 DEUTSCHE MORTGAGE SECURITIES INC MORT X X 07/25/03 DRUCKER INC DE X 08/11/03 DYNEX CAPITAL INC VA X 06/30/03 E TRADE BANK ARM TRUST MORTGAGE PASS DE X X 07/25/03 EAGLE SUPPLY GROUP INC DE X 08/11/03 EDGETECH SERVICES INC NV X 07/30/03 AMEND EDUCATION LENDING GROUP INC DE X 08/11/03 ELECTRO SCIENTIFIC INDUSTRIES INC OR X X 08/11/03 EMPIRE ENERGY CORP UT X X 08/11/03 AMEND EMPIRE RESOURCES INC /NEW/ DE X 08/08/03 EQUITY INNS INC TN X X 08/11/03 ETERNAL TECHNOLOGIES GROUP INC DE X X 08/04/03 EVANS BOB FARMS INC DE X 08/11/03 EXTENDICARE HEALTH SERVICES INC DE X 08/11/03 F&M BANCORP MD X 08/08/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 08/11/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 08/11/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 08/11/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 08/11/03 FARREL CORP DE 08/11/03 FEDERAL SCREW WORKS MI X X 08/11/03 FEDERAL TRUST CORP FL X 08/08/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 07/25/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 08/11/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 08/10/03 FIRST ROBINSON FINANCIAL CORP DE X 08/08/03 FIRST SHARES BANCORP INC IN X 08/05/03 FIRST UNITED CORP/MD/ MD 08/04/03 GARDENBURGER INC OR X 08/11/03 GATX CORP NY X 08/11/03 GATX CORP NY X 08/11/03 GATX CORP NY X 08/11/03 GEERLINGS & WADE INC MA X 08/05/03 GENERAL DATACOMM INDUSTRIES INC DE X X X 08/05/03 GENERAL DYNAMICS CORP DE X X 08/11/03 GETTY REALTY CORP /MD/ MD X 08/11/03 GETTY REALTY CORP /MD/ MD X 08/11/03 GIBRALTAR STEEL CORP DE X X 08/11/03 GROUP 1 AUTOMOTIVE INC DE X X 08/11/03 GTECH HOLDINGS CORP DE X 08/07/03 GUIDELINE CAPITAL INC NV X 07/24/03 H&E EQUIPMENT SERVICES LLC LA X X 08/11/03 HANOVER DIRECT INC DE X 08/07/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 08/06/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 06/30/03 HEARUSA INC DE X 08/05/03 HEMACARE CORP /CA/ CA X 08/11/03 HFB FINANCIAL CORP TN X 08/04/03 HILB ROGAL & HAMILTON CO /VA/ VA X X 05/06/03 HOST MARRIOTT CORP/ MD X X 08/11/03 HUGHES ELECTRONICS CORP DE X X 08/11/03 HUNNO TECHNOLOGIES INC DE X 06/11/03 ICN PHARMACEUTICALS INC DE X X 08/08/03 IESI CORP DE X X 08/11/03 IKONICS CORP X 08/06/03 IMAGE SENSING SYSTEMS INC MN X 07/22/03 INNOVATIVE COMPANIES INC FL X 08/08/03 INSIGHT HEALTH SERVICES HOLDINGS CORP X X 08/01/03 INTEGRAMED AMERICA INC DE X X 08/11/03 INTERACTIVECORP DE X X 08/08/03 INTERLEUKIN GENETICS INC DE 08/11/03 INTERPHARM HOLDINGS INC DE X X X X 05/30/03 AMEND IRVINE SENSORS CORP/DE/ DE X 08/11/03 ITEX CORPORATION NV X X 08/08/03 IXYS CORP /DE/ DE X 08/11/03 J CREW GROUP INC NY X 08/11/03 JOULE INC DE X 08/11/03 KCS ENERGY INC DE X 08/06/03 KEYCORP STUDENT LOAN TRUST 2003-A DE X 08/11/03 KRAMONT REALTY TRUST MD X 08/08/03 L O M MEDICAL INTERNATIONAL INC X 05/16/03 LANGER INC NY X 08/11/03 LEAP WIRELESS INTERNATIONAL INC DE X X 07/30/03 LIGHTPATH TECHNOLOGIES INC DE X X 08/11/03 LIVESTAR ENTERTAINMENT GROUP INC NV X X 06/29/03 LSB INDUSTRIES INC DE X 06/30/03 MAGIC LANTERN GROUP INC NY X X 08/11/03 MARTHA STEWART LIVING OMNIMEDIA INC DE X 08/11/03 MARTIN INDUSTRIES INC /DE/ DE X X 08/01/03 MASTR ASSET SECURITIZATION TRUST 2003 DE X X 07/25/03 MAXCOR FINANCIAL GROUP INC DE X X 08/11/03 MCDONALDS CORP DE 08/07/03 MELLON BANK N A MA X 08/11/03 MELLON BANK N A MA X 08/11/03 MERCANTILE BANKSHARES CORP MD X X 08/08/03 MERCER INTERNATIONAL INC WA X X 08/07/03 META GROUP INC DE X 08/07/03 METLIFE INC DE X 08/11/03 MICRO COMPONENT TECHNOLOGY INC MN X 08/06/03 MICRO THERAPEUTICS INC DE X 08/07/03 MID AMERICA APARTMENT COMMUNITIES INC TN X X 08/11/03 MIDAS INC DE 08/11/03 MIDDLEBY CORP DE X X 08/11/03 MILLS CORP DE X X 01/31/03 AMEND MK GOLD CO DE X X 08/08/03 MORGAN STANLEY ABS CAPITAL 1 INC TRUS DE X X 07/25/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/28/03 MORTGAGE ASSET SEC TRANS INC MRT PS T DE X X 07/25/03 MORTGAGE ASSET SEC TRANS MASTR PASS T DE X X 07/25/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 07/25/03 MSC MORTGAGE PASS THROUGH CERTIFICATE DE X X 08/01/03 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X X 07/29/03 MYMETICS CORP DE X 08/05/03 AMEND NABORS INDUSTRIES LTD D0 X X 08/11/03 AMEND NATIONAL BANK OF INDIANAPOLIS CORP IN X X 08/11/03 NATIONAL PROCESSING INC OH X 08/11/03 NELNET STUDENT LOAN FUNDING LLC X X 07/29/03 NETIQ CORP X X 08/11/03 NEW CENTURY EQUITY HOLDINGS CORP DE X 08/11/03 NEW FRONTIER MEDIA INC /CO/ CO X 08/11/03 NEXT GENERATION TECHNOLOGY HOLDINGS I DE X X X 07/24/03 NEXTMEDIA OPERATING INC X 03/27/03 NIMBUS GROUP INC X X X 08/06/03 NORTH AMERICAN GALVANIZING & COATINGS DE X 08/08/03 NORTHEAST INDIANA BANCORP INC DE X X 08/08/03 NORTHEAST PENNSYLVANIA FINANCIAL CORP DE X X 08/05/03 NORTHWEST BANCORP INC PA X X 08/11/03 ODD JOB STORES INC OH X X 08/04/03 OPTICAL CONCEPTS OF AMERICA INC X 06/11/03 OPTION CARE INC/DE DE X 08/05/03 PACIFIC SUNWEAR OF CALIFORNIA INC CA 08/11/03 PAPA JOHNS INTERNATIONAL INC DE X X 08/06/03 PAPER WAREHOUSE INC MN X X 08/07/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 08/01/03 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 08/01/03 PEMCO AVIATION GROUP INC DE X 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NY X 02/18/03 AMEND SIPEX CORP MA X 08/04/03 SIZELER PROPERTY INVESTORS INC DE X X 08/08/03 SMITH & WOLLENSKY RESTAURANT GROUP IN DE X 08/11/03 SPHERIX INC DE 08/08/03 STAGE STORES INC NV X 08/11/03 STAKE TECHNOLOGY LTD X 08/07/03 STANDARD MANAGEMENT CORP IN X X 08/08/03 STANDARD PARKING CORP DE X 08/08/03 STIFEL FINANCIAL CORP DE 06/30/03 STRATEGIC DISTRIBUTION INC DE X 08/04/03 STRUCT ASS MORT INV INC BS ALTA MORT DE X X 07/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 07/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 07/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 07/25/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 07/25/03 STRUCTURED ASSET SECURITIES CORP THOR DE X X 07/25/03 SUN HEALTHCARE GROUP INC DE X X 08/08/03 SUNRISE SENIOR LIVING INC DE X 08/11/03 SYNALLOY CORP DE X X 07/25/03 SYSCO CORP DE X 08/11/03 TABLE TRAC INC NV X 08/01/03 TAURUS ENTERTAINMENT COMPANIES INC CO X 06/12/03 AMEND TERENCENET INC NV X X 08/11/03 TEXAS GAS TRANSMISSION CORP DE X X 06/30/03 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CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 08/01/03 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 08/01/03 WAMU MORTGAGE PASS THRU CERTIFICATES DE X X 08/01/03 WAMU MORTGAGE PASS THRU CERTS SERIES DE X X 08/01/03 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 08/01/03 WARNACO GROUP INC /DE/ DE 08/11/03 WARRANTECH CORP DE X X 08/11/03 WASHINGTON MORTGAGE SEC CORP MORT PAS DE X X 08/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 08/01/03 WASHINGTON MUTUAL MOR SEC CORP MOR PS DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP MOR P DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP PAS T DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC CORP WAMU DE X X 08/01/03 WASHINGTON MUTUAL MORT SEC WAMU MOR P DE X X 08/01/03 WASHINGTON MUTUAL MORTGAGE SEC CORP P DE X X 08/01/03 WASHINGTON MUTUAL MSC MORT PAS THR CE DE X X 08/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 08/01/03 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 08/01/03 WASHINGTON MUTUAL MSC MORT PASS THRU DE X X 08/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 08/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 08/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 08/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X X 08/01/03 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE X X 08/01/03 WAVERIDER COMMUNICATIONS INC NV X 07/02/03 AMEND WAYNE BANCORP INC /OH/ OH X X X 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