SEC NEWS DIGEST Issue 2003-159 August 19, 2003 RULES AND RELATED MATTERS COMMISSION ADOPTS RULE GOVERNING TREATMENT OF FUNDS HELD IN FILING FEE ACCOUNTS The Commission adopted a new rule that provides for the return of unused funds held in filing fee accounts where there has been no activity in the accounts for 180 calendar days. The rule is codified in new paragraph (c) of Rule 202.3a (17 CFR 202.3a(c)). For further information, please contact Darrell L. Dockery, Office of Financial Management, at (202) 942-0340. (Rels. 33-8267; 34-48361; 35-27714; 39- 2410; IC-26153) ENFORCEMENT PROCEEDINGS DEUTSCHE BANK'S ASSET MANAGEMENT SUBSIDIARY SETTLES FRAUD CHARGES FOR FAILING TO DISCLOSE MATERIAL CONFLICT OF INTEREST BEFORE VOTING CLIENT PROXIES IN HP- COMPAQ MERGER The Commission has ordered Deutsche Asset Management, Inc. (DeAM), a unit of Deutsche Bank AG, to cease and desist from violating the antifraud provisions of the Investment Advisers Act of 1940. The Commission also imposed a $750,000 civil penalty against DeAM, and censured it. The Commission's actions stem from DeAM's failure to disclose a material conflict of interest before voting its clients' proxies for the corporate merger between Hewlett-Packard Company (HP) and Compaq Computer Corporation (Compaq) in 2002. DeAM has consented to the entry of the Commission's Order without admitting or denying the findings. The administrative order (Order) filed today finds that on March 19, 2002, DeAM, an investment adviser registered with the Commission, voted proxies on behalf of advisory clients on approximately 17 million shares of HP stock in favor of the HP-Compaq merger. Before doing so, DeAM failed to disclose to its advisory clients that in January 2002 Deutsche Bank's investment banking division had been retained to advise HP on the proposed merger. Pursuant to a confidentiality agreement with HP, Deutsche Bank did not disclose publicly that HP had retained it. The Order further finds that DeAM failed to disclose to its clients before voting the proxies that senior Deutsche Bank investment bankers had intervened in DeAM's proxy-voting process by requesting that HP have an opportunity to present its strategy to a DeAM committee responsible for voting the proxies. This occurred after DeAM had voted to cast all DeAM- controlled HP proxies against the merger. Following the intervention and presentations to it by the leading dissident shareholder opposed to the merger, and HP management, the committee reversed its prior decision, this time voting for the merger. Based upon the foregoing, the Order finds that DeAM willfully violated Section 206(2) of the Investment Advisers Act by voting client proxies on the HP-Compaq merger without first disclosing its investment banking affiliate's work for HP on the proposed merger and its intervention in DeAM's proxy voting process. (Rel. IA-2160; File No. 3-11226) SEC SETTLES FRAUD CLAIMS AGAINST INSURANCE AGENT On August 8, Judge Kenneth Hoyt, U.S. District Judge for the Southern District of Texas, permanently enjoined James Hicks and Westshore Agency of Michigan, Inc., from future violations of the federal securities laws. Hicks and Westshore Agency consented to the order. Previously, in a South Carolina criminal proceeding, both were ordered to disgorge commissions received from their participation in a nationwide Ponzi scheme that raised over $13.5 million from 140 mostly elderly Texas investors. The Commission decided not to seek a civil penalty against Westshore Agency based on its sworn financial statements and other information provided to the Commission or against Hicks because of his bankruptcy proceedings under Chapter 13 of the Bankruptcy Code. In its civil action, the Commission alleged that Hicks and Westshore Agency organized a group of insurance agents in Texas who sold promissory notes issued by Chemical Trust, a purported business trust, as part of a nationwide Ponzi scheme. The promissory notes were claimed to be secured by surety bonds issued by United States Guarantee Corporation, an Arizona based surety company. In reality, the control persons behind Chemical Trust were diverting investor funds to their own use and the surety company was being run by a convicted felon and held no assets with which to secure the promissory notes. The Commission alleged that the defendants were in a position to learn of the issuer's fraudulent scheme, but failed to conduct any meaningful due diligence before selling the securities to their insurance clients. The defendants consented, without admitting or denying the allegations in the complaint, to the entry of a final judgment permanently enjoining each from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, Hicks consented to the entry of an administrative order barring him from association with any broker or dealer for a period of three years with a right to reapply. [SEC v. Westshore Agency of Michigan, Inc., et al., USDC SD/TX, H-00-1827] (LR-18295) INVESTMENT COMPANY ACT RELEASES BARCLAYS GLOBAL FUND ADVISORS, ET AL. A notice has been issued giving interested persons until Sept. 5, 2003, to request a hearing on an application filed by Barclays Global Fund Advisors, et al. for an order to amend an existing order that permits: (a) an open-end management investment company, whose series are based on certain fixed-income securities indices, to issue shares of limited redeemability; (b) secondary market transactions in the shares of the series to occur at negotiated prices; and (c) affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of aggregations of the series' shares. The amended order would permit the open-end management company in the prior order to offer additional series based on different fixed-income securities indices. (Rel. IC-26151 - August 15)The Commission has issued a temporary order and a notice of an application for a permanent order filed by Merrill Lynch Investment Managers, L.P. et al. under section 9(c) of the Investment Company Act of 1940 ("Act") with respect to an injunction issued by the U.S. District Court for the Southern District of Texas on [March 17, 2003 ("Injunction"). The temporary order exempts applicants and entities of which Merrill Lynch & Co., Inc. is or becomes an affiliated person from the provisions of section 9(a) of the Act, until the Commission takes final action on the application for a permanent order. A notice has been issued giving interested persons until April 11, 2003 to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. . RELIASTAR LIFE INSURANCE COMPANY OF NEW YORK, ET AL. An order has been issued pursuant to Section 6(c) of the Investment Company Act to ReliaStar Life Insurance Company of New York, Golden American Life Insurance Company (Golden American), Separate Account B of Golden American Life Insurance Company (Account B), and Directed Services, Inc. (DSI). The order amends an existing order (Existing Order) granting exemptions from the provisions of Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to add Golden American, Account B and DSI as parties to the Existing Order. (Rel. IC-26152 - August 18) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the National Association of Securities Dealers to extend the pilot period for rules relating to bond fund volatility ratings (SR-NASD-2003-126) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of August 18. (Rel. 34-48353) AMENDMENT TO PROPOSED RULE CHANGE The Boston Stock Exchange filed Amendment No. 3 to the proposed rule change (SR-BSE-2002-15) relating to trading rules for the Boston Options Exchange facility. Publication of the notice is expected in the Federal Register during the week of August 18. (Rel. 34-48355) PROPOSED RULE CHANGE The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., has filed a proposed rule change (SR-NASD- 2003-111) relating to charges for ViewSuite services set forth in NASD Rule 7010(q). Publication of the notice is expected in the Federal Register during the week of August 18. (Rel. 34-48358) 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: . SB-2 SMARTIRE SYSTEMS INC, 150 13151 VANIER PL, RICHMOND BC CANADA, A1, V6V 2J1, 6042769884 - 32,517,948 ($5,528,051.16) Debt Convertible into Equity, 28,592,987 ($4,860,807.79) Equity, (File 333-108037 - Aug. 18) (BR. 36) S-3 GRAFTECH INTERNATIONAL LTD, 1521 CONCORD PIKE, SUITE 301, WILMINGTON, DE, 19803, 3027788227 - 0 ($175,000,000.00) Other, (File 333-108039 - Aug. 18) (BR. 36) S-3 LIBERTY PROPERTY TRUST, 65 VALLEY STREAM PKWY, STE 100, MALVERN, PA, 19355, 6106481700 - 1,000,000 ($34,450,000.00) Equity, (File 333-108040 - Aug. 18) (BR. 08) S-4 RITE AID CORP, 30 HUNTER LANE, CAMP HILL OWN, PA, 17011, 7177612633 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-108041 - Aug. 18) (BR. 01) S-8 INTERNATIONAL MULTIFOODS CORP, 110 CHESHIREL LANE, SUITE 300, MINNETONKA, MN, 55305-1060, 9525943300 - 0 ($6,207,500.00) Equity, (File 333-108042 - Aug. 18) (BR. 04) S-2 INTELLI CHECK INC, 5164212011 - 100,000 ($100.00) Debt Convertible into Equity, 1,250,000 ($11,684,000.00) Equity, (File 333-108043 - Aug. 18) (BR. 03) S-8 SKF INC, HORNSGATEN 1 S-415 50, GOTEBORG SWEDEN, V7, -----, 2125592107 - 800,000 ($24,297,412.31) ADRs/ADSs, (File 333-108044 - Aug. 18) (BR. 06) S-3 SOUTHWESTERN ELECTRIC POWER CO, 428 TRAVIS ST, SHREVEPORT, LA, 71156, 3182222141 - 350,000,000 ($350,000,000.00) Non-Convertible Debt, (File 333-108045 - Aug. 18) (BR. 02) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 10,000,000 ($392,100,000.00) Equity, (File 333-108046 - Aug. 18) (BR. 04) S-3 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($96,388,670.00) Equity, (File 333-108047 - Aug. 18) (BR. 07) S-3 SPSS INC, 233 S WACKER DR, CHICAGO, IL, 60606, 3123292400 - 0 ($15,001,459.70) Equity, (File 333-108048 - Aug. 18) (BR. 03) S-8 POLYCOM INC, 4750 WILLOW ROAD, PLEASANTON, CA, 94588-2708, 9259246000 - 0 ($31,103,000.00) Equity, (File 333-108049 - Aug. 18) (BR. 37) S-8 AMYLIN PHARMACEUTICALS INC, 9373 TOWNE CENTRE DR, SAN DIEGO, CA, 92121, 6195522200 - 0 ($171,675,000.00) Equity, (File 333-108050 - Aug. 18) (BR. 01) N-2 FLOATING RATE INCOME STRATEGIES FUND INC, MERRILL LYNCH ASSET MANAGEMENT, 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536, 6092822000 - 0 ($1,000,005.00) Equity, (File 333-108051 - Aug. 18) (BR. 22) S-8 BECTON DICKINSON & CO, ONE BECTON DR, FRANKLIN LAKES, NJ, 07417-1880, 2018476800 - 12,500,000 ($469,750,000.00) Equity, (File 333-108052 - Aug. 18) (BR. 36) S-8 QUINTEK TECHNOLOGIES INC, 537 CONSTITUTION AVE, STE B, CAMARILLO, CA, 93012, 8003826874 - 4,900,000 ($63.95) Equity, (File 333-108053 - Aug. 18) (BR. 08) S-3 U S RESTAURANT PROPERTIES INC, 9723871487 - 0 ($23,933,601.00) Equity, (File 333-108054 - Aug. 18) (BR. 08) S-8 OSTEOTECH INC, 51 JAMES WAY, EATONTOWN, NJ, 07724, 7325422800 - 1,250,000 ($15,387,500.00) Equity, (File 333-108055 - Aug. 18) (BR. 01) S-8 INTERPORE INTERNATIONAL INC /DE/, 181 TECHNOLOGY DRIVE, IRVINE, CA, 92618, 9494533200 - 400,000 ($4,980,875.00) Equity, (File 333-108056 - Aug. 18) (BR. 36) S-1 COMMONWEALTH INCOME & GROWTH FUND V, HOLIDAY TOWERS, 2435 HWY. 19, HOLIDAY, FL, 34691, 1,000,000 ($20,000,000.00) Limited Partnership Interests, (File 333-108057 - Aug. 18) (BR. ) S-8 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215, WEST HENRIETTA, NY, 14586, 5852142441 - 2,000,000 ($400,000.00) Equity, (File 333-108058 - Aug. 18) (BR. 36) S-3 KAYDON CORP, 315 E. EISENHOWER PARKWAY, SUITE 300, ANN ARBOR, MI, 48108, 7347477025 - 0 ($200,000,000.00) Debt Convertible into Equity, (File 333-108059 - Aug. 18) (BR. 06) S-3 NETOPIA INC, 6001 SHELLMOUND STREET 4TH FLOOR, MARKET PLACE TOWER, EMERYVILLE, CA, 94608, 510-420-7400 - 1,413,914 ($5,980,856.00) Equity, (File 333-108060 - Aug. 18) (BR. 03) S-8 GENESIS BIOVENTURES INC, 1A - 3033 KING GEORGE HIGHWAY, SURREY, BRITISH COLUMBIA CAN, A1, V4P 1B8, 6045420820 - 50,000 ($500.00) Other, (File 333-108061 - Aug. 18) (BR. 01) S-8 KLEVER MARKETING INC, 350 WEST 300 SOUTH SUITE 201, SALT LAKE CITY, UT, 84101, 8013221221 - 20,000,000 ($1,000,000.00) Equity, (File 333-108062 - Aug. 18) (BR. 03) S-8 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 - 10,700,000 ($790,623,000.00) Equity, (File 333-108063 - Aug. 18) (BR. 02) S-3 OMI CORP/M I, ONE STATION PLACE, 90 PARK AVE, STAMFORD, CT, 60902-6800, 2036026700 - 2,000,000 ($13,300,000.00) Equity, (File 333-108064 - Aug. 18) (BR. 05) S-8 EARTHLINK INC, 1375 PEACHTREE STREET, SUITE 400, ATLANTA, GA, 30309, 4048150770 - 0 ($4,116,000.00) Equity, (File 333-108065 - Aug. 18) (BR. 03) S-3 COOPER COMPANIES INC, 6140 STONERIDGE MALL RD, STE 590, PLEASANTON, CA, 94588, 9254603600 - 115,000,000 ($115,000,000.00) Debt Convertible into Equity, (File 333-108066 - Aug. 18) (BR. 36) 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 ---------------------------------------------------------------------------------- ABFS MORTGAGE LOAN TRUST 2003 1 DE X X 08/15/03 ABM INDUSTRIES INC /DE/ DE X X 08/15/03 ACCESS ANYTIME BANCORP INC DE X X 08/15/03 ACCESS WORLDWIDE COMMUNICATIONS INC DE X 08/13/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X 08/18/03 ADOLOR CORP X X 08/18/03 ADVANCE AUTO PARTS INC DE X 08/15/03 ADVANCED MARKETING SERVICES INC DE X 08/14/03 ADVANCED MARKETING SERVICES INC DE X 08/18/03 AEARO CORP DE X X 08/18/03 AESP INC FL X X 08/15/03 AGILENT TECHNOLOGIES INC DE 08/18/03 AIRBORNE INC /DE/ DE X X 08/14/03 AK STEEL HOLDING CORP DE X X 08/07/03 ALLIED PRODUCTS CORP /DE/ DE X X 07/01/03 AMERICAN EXPRESS CENTURION BANK UT X X 08/15/03 AMERICAN EXPRESS MASTER TRUST DE X X 08/15/03 AMERICAN MEDICAL ALERT CORP NY X 08/14/03 AMERICAN REAL ESTATE PARTNERS L P DE X X 08/14/03 APRIA HEALTHCARE GROUP INC DE X X 08/15/03 ARCH CHEMICALS INC VA X X 08/11/03 ARDEN GROUP INC DE X 08/18/03 ARDEN GROUP INC DE X 08/18/03 ARI NETWORK SERVICES INC /WI WI X X 08/07/03 ATP OIL & GAS CORP TX X X 08/15/03 AVERY DENNISON CORPORATION DE X 08/15/03 BAKER MICHAEL CORP PA X 08/15/03 BANKRATE INC FL X X 08/18/03 BEAR STEARNS ARM TRUST 2003-5 DE X 07/31/03 BEAR STEARNS ASSET BACKED FUND INC WH DE X X 08/15/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 08/11/03 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 08/13/03 AMEND BEMIS CO INC MO X 08/15/03 BERKSHIRE INCOME REALTY INC X 08/14/03 BLACKROCK INC /NY DE X X 08/07/03 BRUNSWICK CORP DE X X 08/18/03 BUFFETS INC MN X 08/15/03 BURLINGTON COAT FACTORY WAREHOUSE COR DE X 08/15/03 BUSINESSWAY INTERNATIONAL CORP FL X 08/11/03 CACI INTERNATIONAL INC /DE/ DE X 07/08/03 CAL MAINE FOODS INC DE X X 08/18/03 CAPITAL TRUST INC MD 08/15/03 CARCO AUTO LOAN MASTER TRUST DE X X 08/15/03 CBRE HOLDING INC DE X 08/11/03 CELLULAR TECHNICAL SERVICES CO INC DE X 08/13/03 CHURCHILL DOWNS INC KY X 08/18/03 AMEND CITGO PETROLEUM CORP DE X 08/18/03 CITIBANK SOUTH DAKOTA N A DE X 07/28/03 CITIBANK SOUTH DAKOTA N A DE X 07/28/03 CITIZENS FIRST BANCORP INC DE X X 08/07/03 CIVITAS BANKGROUP INC TN X 08/18/03 CLARUS CORP DE X X 08/18/03 CLASSIC BANCSHARES INC DE X X 08/18/03 CLASSIC BANCSHARES INC DE X X 06/20/03 AMEND CLAYTON HOMES INC DE X 08/18/03 CNB FINANCIAL CORP/PA PA X 08/14/03 COLLINS INDUSTRIES INC MO X 08/18/03 COMMUNITY BANCORP INC DE X X X 08/15/03 CORTLAND BANCORP INC OH X 08/15/03 CRAY INC WA X 08/14/03 CSFB ACCEPTANCE CORP HOME EQUITY LOAN DE X X 08/15/03 CWMBS INC DE X X 08/15/03 DAIMLERCHRYSLER MASTER OWNER TRUST X X 08/15/03 DATASTREAM SYSTEMS INC DE X X 08/15/03 DATATRAK INTERNATIONAL INC OH X 08/12/03 DEPOMED INC CA X 08/14/03 DIATECT INTERNATIONAL CORP CA X 08/12/03 DIGIMARC CORP DE X 08/13/03 DIGITAL ANGEL CORP DE X 08/15/03 DIGITAL ANGEL CORP DE X 08/14/03 DIGITAL VIDEO SYSTEMS INC DE X 06/30/03 DIGITAL VIDEO SYSTEMS INC DE X 06/30/03 AMEND DOV PHARMACEUTICAL INC DE X X 08/18/03 DOWNEY FINANCIAL CORP DE X X 07/31/03 DRS TECHNOLOGIES INC DE X X 08/18/03 DVI INC DE X X 08/13/03 EDGETECH SERVICES INC NV X 07/30/03 AMEND EMISPHERE TECHNOLOGIES INC DE X X 08/12/03 EMISPHERE TECHNOLOGIES INC DE X 08/12/03 EMPIRE FINANCIAL HOLDING CO FL X 08/18/03 ENVIRONMENTAL POWER CORP DE X 08/14/03 ENXNET INC OK X X 08/18/03 EXE TECHNOLOGIES INC DE X X 08/15/03 FIRST BANCTRUST CORP DE X X 08/18/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 08/01/03 FIRST COLONIAL GROUP INC PA X 08/18/03 FIRST SECURITY BANCORP INC /KY/ KY X 06/30/03 FIRST SOUTHERN BANCSHARES INC/DE DE X 08/15/03 FLAG TELECOM GROUP LTD X X 08/18/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 07/31/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 07/31/03 FRANKLIN LAKE RESOURCES INC /NV NV X 08/15/03 GALAXY ENERGY CORP CO X 08/05/03 GAMES INC DE X 08/15/03 GAMESTOP CORP DE X 08/18/03 GATEWAY ENERGY CORP/NE DE X X 08/14/03 GENTA INC DE/ DE X X 08/14/03 GENTEX CORP MI X X 08/18/03 GENUINE PARTS CO GA X 08/18/03 GLOBALSTAR LP DE X X 08/13/03 GLOBETRAC INC DE X X X 08/15/03 GOODRICH PETROLEUM CORP DE X X 08/13/03 GRAFTECH INTERNATIONAL LTD DE X 08/15/03 GRAFTECH INTERNATIONAL LTD DE X 08/15/03 GRAPHIC PACKAGING CORP DE X X 08/08/03 GS AUTO LOAN TRUST 2003-1 X X 08/15/03 GS MORTGAGE SECURITIES CORP DE X X 08/13/03 HANOVER DIRECT INC DE X X 08/07/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 08/14/03 HEALTH CARE PROPERTY INVESTORS INC MD X 08/15/03 HF FINANCIAL CORP DE X 08/13/03 I SECTOR CORP DE X 08/18/03 IMCLONE SYSTEMS INC/DE DE X X 08/18/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X X 07/30/03 IMMUNOMEDICS INC DE X X 08/13/03 IMPAC SECURED ASSETS CORP MOR PASS TH CA X 07/31/03 IMPAC SECURED ASSETS CORP MOR PASS TH CA X 07/31/03 INERGY L P DE X 08/13/03 INSTANET INC CO X 06/25/03 AMEND INTEGRATED BUSINESS SYSTEMS & SERVICE SC X 08/14/03 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE X X 08/14/03 INTERCEPT INC GA X 08/11/03 INTERLOTT TECHNOLOGIES INC DE 08/14/03 INTERPLAY ENTERTAINMENT CORP DE X 08/14/03 INVESTOOLS INC DE X 08/14/03 INVESTORSBANCORP INC WI X X 08/15/03 INVITROGEN CORP DE X X 08/14/03 ISECURETRAC CORP DE X X 08/12/03 JB OXFORD HOLDINGS INC DE X X 08/15/03 JMAR TECHNOLOGIES INC DE X 08/14/03 JO-ANN STORES INC OH X 08/18/03 JO-ANN STORES INC OH 08/18/03 KNOT INC DE X 08/13/03 KROGER CO OH X 01/28/03 AMEND LASALLE RE HOLDINGS LTD X X 08/06/03 LDM TECHNOLOGIES INC MI X 07/31/03 LEFT RIGHT MAKETING TECHNOLOGY INC DE X 08/02/03 LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE X 08/12/03 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE X X 08/07/03 LEXINGTON PRECISION CORP DE X 08/18/03 LIFEPOINT INC DE X X 08/18/03 LONG BEACH ACCEPTANCE CORP X X 08/15/03 LONG BEACH ACCEPTANCE CORP X X 08/15/03 LONG BEACH ACCEPTANCE CORP X X 08/15/03 LOWES COMPANIES INC NC X 08/01/03 LSI INDUSTRIES INC OH X 08/14/03 M & F WORLDWIDE CORP DE X 08/18/03 MAC-GRAY CORP DE X X 08/18/03 MAGNETEK INC DE X X 08/18/03 MAIN STREET & MAIN INC DE 08/12/03 MATTEL INC /DE/ DE X X 08/18/03 MCKENZIE BAY INTERNATIONAL X X 08/18/03 MDU COMMUNICATIONS INTERNATIONAL INC DE X 07/31/03 MERCURY INTERACTIVE CORPORATION DE X X 08/18/03 MERIDIAN BIOSCIENCE INC OH X 08/14/03 MERRILL LYNCH & CO INC DE X X 08/18/03 MERRILL LYNCH MORT INV INC TERWIN SER DE X X 07/31/03 MEYERSON M H & CO INC /NJ/ NJ X X 08/18/03 MGE ENERGY INC WI X X 08/15/03 MICRON ENVIRO SYSTEMS INC NV X 08/15/03 MICROTUNE INC DE X 08/15/03 MIIX GROUP INC DE X 08/15/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X X 08/15/03 MORGAN STANLEY ABS CAPITAL I INC TRUS DE X X 07/30/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 08/18/01 MTI TECHNOLOGY CORP DE X 08/18/03 MULTI-CLASS MORTGAGE PASS-THROUGH CER DE X X 07/29/03 AMEND MYERS INDUSTRIES INC OH X 08/18/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 08/15/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 08/15/03 NEOMAGIC CORP DE X 08/14/03 NETSOL TECHNOLOGIES INC NV X X 08/15/03 NOBEL LEARNING COMMUNITIES INC DE X X 08/13/03 NOMURA ASSET ACCEPTANCE CORP DE X 07/30/03 NORTH AMERICAN TECHNOLOGIES GROUP INC DE X 08/18/03 NORTHWESTERN CORP DE X X 07/15/03 ONYX ACCEPTANCE CORP DE X 08/14/03 OPTION ONE MORTGAGE ACCEP CORP ASSET NY X X 07/10/03 OXFORD FINANCE CORP X X 08/12/03 PACIFICNET INC DE X 08/08/03 PANHANDLE EASTERN PIPE LINE CO DE X 08/18/03 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X 08/11/03 PENTON MEDIA INC DE X X 08/15/03 PETROLEUM HELICOPTERS INC LA X 08/18/03 PHOENIX COLOR CORP DE X 08/18/03 PRECISION CASTPARTS CORP OR X X 08/16/03 PRIMARY PDC INC DE X X 08/01/03 PROTEIN POLYMER TECHNOLOGIES INC DE X 08/14/03 PYR ENERGY CORP DE X 07/30/03 RADIO UNICA COMMUNICATIONS CORP DE X 08/13/03 RADIO UNICA COMMUNICATIONS CORP DE X X 05/12/03 AMEND REPUBLIC ENGINEERED PRODUCTS HOLDINGS X 08/18/03 ROBOCOM SYSTEMS INTERNATIONAL INC NY 08/18/03 SAGENT TECHNOLOGY INC DE X 08/14/03 SALES STRATEGIES INC NV X 08/15/03 SCANSOURCE INC SC X 08/14/03 SEIBELS BRUCE GROUP INC SC X 08/15/03 SEITEL INC DE X X 08/14/03 SHOE PAVILION INC DE X 08/11/03 SIGA TECHNOLOGIES INC DE X X 08/13/03 SLC STUDENT LOAN RECEIVABLES I INC DE X X 07/31/03 SOFTSTONE INC DE X 08/13/03 SOUTHBORROUGH VENTURES INC X X 03/22/03 AMEND SPECTRUM PHARMACEUTICALS INC DE X 08/15/03 SPECTRUM PHARMACEUTICALS INC DE X 08/18/03 STEREOSCAPE COM INC NV X X 08/08/03 STERLING CONSTRUCTION CO INC DE 08/14/03 SUNOCO LOGISTICS PARTNERS LP DE X X 08/18/03 SUPERIOR ENERGY SERVICES INC DE X X 08/18/03 SYMANTEC CORP DE X 08/18/03 TAG IT PACIFIC INC DE X 08/14/03 TAIWAN FUND INC DE X 07/01/03 TARGETED GENETICS CORP /WA/ WA X X 08/18/03 TARRANT APPAREL GROUP CA X 08/14/03 TENNECO AUTOMOTIVE INC DE X X 08/18/03 TEXAS CAPITAL BANCSHARES INC/TX DE X 08/14/03 THACKERAY CORP DE X X 08/14/03 TLC VISION CORP A6 X 08/11/03 TOYS R US INC DE X 08/18/03 TRAILER BRIDGE INC 08/12/03 TRANSTECH INDUSTRIES INC DE X 08/18/03 TRENWICK AMERICA CORP DE X X 08/06/03 TRENWICK GROUP LTD X X 08/06/03 TRUE TEMPER SPORTS INC X 08/12/03 TRUMP HOTELS & CASINO RESORTS INC DE X X 08/18/03 U S RESTAURANT PROPERTIES INC MD X X X X 08/04/03 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE X 08/14/03 UNIVEST CORP OF PENNSYLVANIA PA X X 08/15/03 URBANI HOLDINGS INC CO X 07/15/03 USA BROADBAND INC DE X 08/12/03 VECTREN CORP IN X X 08/15/03 VESTIN GROUP INC NV X 08/13/03 VICON INDUSTRIES INC /NY/ NY 06/30/03 VULCAN INTERNATIONAL CORP DE X 08/15/03 WELLS FARGO ASSET SECURITIES CORP DE X X 08/18/03 WESTPOINT STEVENS INC DE X 08/14/03 WICKES INC DE X 06/28/03 WILSHIRE FINANCIAL SERVICES GROUP INC DE X X 08/12/03 WINLAND ELECTRONICS INC MN X 08/18/03 WINMILL & CO INC DE 06/30/03 WORLD INFORMATION TECHNOLOGY INC NV X X 08/15/03 YELLOW CORP DE X X 08/18/03 YOUBET COM INC DE X X 08/12/03