SEC NEWS DIGEST Issue 2003-162 August 22, 2003 ENFORCEMENT PROCEEDINGS SEC BARS AND PENALIZES FORMER REGISTERED REPRESENTATIVE IN PRIME BANK FRAUD On August 22, the Commission barred John F. Smart from association with any broker or dealer, with the right to reapply for association after one year to the appropriate self-regulatory organization, or if there is none, to the Commission. The Commission also imposed a $10,000 civil penalty upon Smart and ordered him to cease and desist from violating the federal securities law. In imposing these sanctions, the Commission found the following. * During several months in mid-1999, Smart engaged in a fraudulent offering scheme targeted against three nonprofit and/or charitable institutions, including a church, a religious-based family crisis center and a substance abuse center. These charities were located in southeastern Pennsylvania and southern New Jersey. * Essentially, Smart offered these charities an opportunity to obtain between $5 million and $9 million each by jointly participating in an alleged $15 million bond offering. This offering possessed many of the indicia of a prime bank fraud. Smart informed the charities that a 100 year-old trust, named the Premier Trust, possessed $3 billion in assets and raised money for charities and itself through the issuance of bonds. These bonds allegedly were 5-year AA rated bonds earning 8 to 9 percent interest and were guaranteed by a top 200 World Bank, a major insurance company and/or U.S. Treasuries. The amount of the bond offerings were typically $15 to $50 million. * Smart also told each of the charities that to participate in this program, it had to submit a business plan to the promoters. If a charity were accepted into the program, it would then receive a letter of commitment. At this point, the charity would be required to pay a $50,000 application fee. Smart proposed that the three charities split the $50,000 application fee and then share in the $15 million bond offering on a pro-rata basis. Nothing else was supposedly required of the charities to receive their funds. * Due to the vigilance of the charities and the Commission's institution of administrative proceedings, Smart did not raise any funds from these charities. Smart consented to the entry of the Order Making Findings, Imposing Remedial Sanctions and Imposing a Cease and Desist Order without admitting or denying the facts contained therein. (Rels. 33-8272; 34- 48391; File No. 3-10587) SEC SEEKS CIVIL CONTEMPT SANCTIONS AGAINST EDWARD GRAY AND METROPOLIS HOLDINGS FOR VIOLATING FEDERAL COURT'S ORDER TO PROVIDE ACCOUNTING The Commission announced that on July 14, 2003, the United States District Court for the Eastern District of California ordered defendants Edward Gray of Fresno, Cal., and his company, Metropolis Holdings, LLC, to show cause why they should not be held in contempt for failing to account for the funds that they raised from eleven investors worldwide in a fraudulent investment scheme. The Court simultaneously entered a preliminary injunction freezing Gray and Metropolis's financial assets for the duration of the case, including approximately $1.4 million held in ten accounts identified by the Commission. Gray is currently in custody in a related criminal prosecution brought by the United States Attorney for the Eastern District of California. The Commission filed a complaint against Gray and Metropolis on May 1, 2003, alleging that the defendants raised $5.1 million by selling interests in a non-existent "Asset Management Program" from July to November 2002. Gray lured investors by offering high returns on their investment and promising that investors' funds would be protected by insurance. Instead of investing the money and purchasing insurance, however, Gray dissipated approximately $2 million on personal items, including a new car and jewelry, and on expenditures for unrelated business projects. Account statements indicate that Gray also withdrew hundreds of thousands of dollars in cash, which to date the Commission has not been able to trace. Immediately upon the filing of the complaint, the Court ordered the defendants to account for all of the investors' funds. When Gray and Metropolis failed to comply, the Court entered the July 14 order to show cause why they should not be held in contempt. Gray and Metropolis have not responded to the complaint. As a result, the Commission has filed a motion for a default judgment, which is currently scheduled to be heard by the Court on Sept. 8, 2003. In the motion, the Commission has asked the Court to find that Gray and Metropolis violated the antifraud and registration provisions of the federal securities laws, specifically Sections 5(a), 5(c) 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 Commission has further requested that the Court order defendants to return the proceeds of their fraud to the investors and pay civil penalties, and enter permanent injunctions prohibiting them from committing future violations of the securities laws. [SEC v. Metropolis Holding, LLC and Edward Gray, United States District Court for the Eastern District of California, Fresno Division, Civil Action No. F-03-5538] (LR-18301) SEC OBTAINS CIVIL PENALTIES, DISGORGEMENT, AND PERMANENT INJUNCTION AGAINST PARTICIPANT IN FRAUDULENT OFFERINGS On May 12, 2003, Judge Kimba Wood of the United States District Court for the Southern District of New York, entered a final judgment against defendant Daniel M. Coyle who, according to the Commission's complaint, made false and misleading statements to investors about an offering of securities and caused a private placement memorandum containing false and misleading statements to be sent to investors. The court permanently enjoined Coyle from future violations of the antifraud and registration provisions of the securities laws, ordered Coyle to disgorge ill-gotten gains plus prejudgment interest, and imposed a civil penalty of $25,000. Pursuant to Section 308 of the Sarbanes-Oxley Act of 2002, the court ordered that the civil penalty be paid to the court registry for the benefit of investors. Coyle consented to the entry of the judgment without admitting or denying the allegations in the Commission's complaint. In its complaint, the Commission charged Coyle, along with Michael Nnebe, Nelson Walker, Hildreth Fleming, Jr., and Steven Bocchino, with participating in a fraudulent offering of Fargo Holdings, Inc., a company owned and controlled by Nnebe. Through this scheme, the defendants raised approximately $2 million from at least 118 investors, the majority of which was stolen by Nnebe. Coyle, a registered representative, solicited investors and received $7,000 from the offering proceeds. According to the complaint, Coyle solicited investors to purchase Fargo stock by falsely stating that Fargo would be conducting an IPO in the near future and that the IPO would allow investors to resell their Fargo stock for a substantial profit. Coyle based these statements on information provided by Nnebe without doing any further inquiry about Fargo or the likelihood of a Fargo IPO. In addition, Coyle falsely told investors that purchasing Fargo stock was "risk free" because investor funds would be returned if Fargo did not conduct an IPO, and caused the Fargo private placement memorandum containing false statements about Fargo's purported business operations to be sent to investors. Coyle knew, or recklessly disregarded, that his statements to investors about the risk of investing in Fargo stock and the statements about Fargo's business operations in the offering documents were false because Coyle knew that Fargo had no business operations. Coyle also distributed a private placement memorandum to investors that misrepresented, among other things, the anticipated uses of investor proceeds and the levels of commissions paid for selling Fargo stock and falsely stated that Fargo operated various businesses, including a day-trading and import- export business. Coyle knew, or recklessly disregarded, that statements contained in the private placement memorandum were false. The court permanently enjoined Coyle from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, 15 U.S.C. 77e(a), 77e(c), and 77q(a), and Section 10(b) the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. 240.10b-5. In addition, the court imposed a civil penalty of $25,000. Finally, the court ordered Coyle to pay $8,842.52, representing disgorgement of $7,000 in ill-gotten gains derived from his conduct, plus prejudgment interest of $1,842.52. The litigation against Nnebe, Walker, Fleming, and Bocchino is continuing. [SEC v. Michael I. Nnebe, Nelson C. Walker, Hildreth J. Fleming, Jr., Steven S. Bocchino, and Daniel M. Coyle, 01 Civ. 5247] (LR-18302) COMMISSION ENTERED FINAL JUDGMENT AS TO LARRY ARNOLD, ONLINE POWER SUPPLY'S FORMER CHIEF EXECUTIVE OFFICER The Commission announced that on July 29, 2003, the United States District Court for the District of Colorado entered a Final Judgment as to Defendant Larry G. Arnold, Online Power Supply's former chief executive officer. The judgment settles the Commission's claims against Arnold in a civil action filed on Jan. 21, 2003. The complaint alleges that Arnold made false and misleading statements or omitted to state material facts to investors concerning, among other things, compensation that OnLine paid to registered representatives, and that Arnold misappropriated some of the proceeds from the sale of 841,000 shares of OnLine treasury stock. The complaint further alleges that Arnold violated Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and aided and abetted Online's violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Arnold consented, without admitting or denying any factual allegations in the complaint, to the entry of the Order, which imposes an officer and director bar against him, along with a penny stock bar. The Order also requires Arnold to pay disgorgement and prejudgment interest in the total amount of $24,188.76 and a penalty of $30,000. In addition, Arnold consented to a permanent injunction restraining and enjoining him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Sections 13(a) and 13(b)(2)(A) and Rules 12b-20, 13a-1 and 13a-13 thereunder. [SEC v. Online Power Supply, Inc., Larry G. Arnold and Kris M. Budinger, Civil Action No. 03-M-0121, OES, D. Colo.] (LR-18303) INVESTMENT COMPANY ACT RELEASES MERRILL LYNCH PRINCIPAL PROTECTED TRUST, ET AL. A notice has been issued giving interested persons until Sept. 15, 2003, to request a hearing on an application filed by Merrill Lynch Principal Protected Trust (Trust), Merrill Lynch Investment Managers, L.P. (MLIM), and Fund Asset Management, L.P. (together with MLIM, the Advisers) for an order under Section 6(c) of the Investment Company Act for an exemption from Section 12(d)(3) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit any series of the Trust to enter into certain types of principal protection arrangements with any entity that is in control of, controlled by, or under common control with, an Adviser (a Merrill Lynch Affiliate) or with an unaffiliated third party that enters into a derivatives contract or reinsurance contract with a Merrill Lynch Affiliate to hedge all or a portion of the risks under the principal protection arrangement. (Rel. IC-26164 - August 20) FIDELITY COMMONWEALTH TRUST, ET AL. A notice has been issued giving interested persons until Sept. 11, 2003, to request a hearing on an application filed by Fidelity Commonwealth Trust, et al. for an order to permit series of an open-end management investment company, whose portfolios would consist of the component securities of certain equity securities indexes, to issue shares of limited redeemability that would trade in the secondary market at negotiated prices. The order also would permit (a) certain affiliated persons of the series to deposit securities into, and receive securities from, the series, and (b) dealers to sell shares of the series in the secondary market unaccompanied by a prospectus, when the Securities Act of 1933 does not require prospectus delivery. (Rel. IC - 27716 - August 22) HOLDING COMPANY ACT RELEASES AGL RESOURCES INC. ET AL. A notice has been issued giving interested persons until Sept. 12, 2003, to request a hearing on a proposal by AGL Resources Inc. (AGLR), a registered holding company under the Act, and its wholly-owned subsidiary, Global Energy Resource Insurance Corp. (GERIC). AGLR and GERIC are seeking authorization for GERIC to provide finite insurance program services to AGLR and its subsidiaries (AGLR System) as described in the application; and to retain additional risk associated with the AGLR System's self-insured retention. (Rel. 35-27715) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2003-39) filed by the Pacific Exchange to implement a cap on fees it collects with regard to certain options strategy executions 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 August 25. (Rel. 34-48363) A proposed rule change filed by NASD to institute an hourly maintenance fee associated with use of the Nasdaq Workstation II Service by NASD members (SR-NASD-2003-123) 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 25. (Rel. 34-48373) A proposed rule change filed by the NASD (SR-NASD-2003-109) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to changes in fingerprint processing fees contained in Schedule A of the NASD By-Laws 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 August 25. (Rel. 34-48379) 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 VAXGEN INC, 1000 MARINA BLVD, STE 200, BRISBANE, CA, 94005, 6506241000 - 500,000 ($2,055,000.00) Equity, (File 333-108112 - Aug. 21) (BR. 01) S-8 METRO-GOLDWYN-MAYER INC, 10250 CONSTELLATION BLVD, LOS ANGELES, CA, 90067, 3104493000 - 2,000,000 ($28,080,000.00) Equity, (File 333-108113 - Aug. 21) (BR. 05) S-8 LODGENET ENTERTAINMENT CORP, 3900 W. INNOVATION STREET, SIOUX FALLS, SD, 57107-, (605)-988- - 900,000 ($11,308,500.00) Equity, (File 333-108114 - Aug. 21) (BR. 37) S-4 QUOVADX INC, 3034882019 - 2,670,700 ($7,859,320.00) Equity, (File 333-108116 - Aug. 21) (BR. 03) N-2 IVY MULTI MANAGER HEDGE FUND LLC, C/O BNY INVESTMENT ADVISORS,, 1 WALL STREET, NEW YORK, NY, 10286, 2122980113 - 0 ($150,000,000.00) Limited Partnership Interests, (File 333-108118 - Aug. 21) (BR. 17) S-8 CURAGEN CORP, 555 LONG WHARF DRIVE, 11TH FL, NEW HAVEN, CT, 06511, 2034013330 - 3,500,000 ($14,700,000.00) Equity, (File 333-108119 - Aug. 21) (BR. 01) S-8 JACKSON RIVERS CO, 5619677300 - 25,000,000 ($1,375,000.00) Equity, (File 333-108120 - Aug. 21) (BR. 07) S-1 PHARMION CORP, 2525 28TH STREET, BOULDER, CO, 80301, 720 564 9100 - 0 ($86,250,000.00) Equity, (File 333-108122 - Aug. 21) (BR. ) S-8 MERCANTILE BANKSHARES CORP, 2 HOPKINS PLZ, PO BOX 1477, BALTIMORE, MD, 21203, 4102375900 - 322,690 ($645,380.00) Equity, (File 333-108123 - Aug. 21) (BR. 07) S-8 MOBILE REACH INTERNATIONAL INC, 9194696997 - 0 ($5,539,706.50) Equity, (File 333-108124 - Aug. 21) (BR. 09) S-3 CITIGROUP COMMERCIAL MORTGAGE SECURITIES INC, 388 GREENWICH STREET, NEW YORK, NY, 10013, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-108125 - Aug. 21) (BR. ) S-8 DIRECT GENERAL CORP, 1281 MURFREESBORO ROAD, 5-01, NASHVILLE, TN, 37217, 0 ($60,216,960.00) Equity, (File 333-108126 - Aug. 21) (BR. 01) S-8 DND TECHNOLOGIES INC, 3945 S WASATCH BLVD, STE 282, HOLLADAY, UT, 84124, 8015748000 - 5,000,000 ($300,000.00) Equity, (File 333-108127- Aug. 21) (BR. 09) S-8 COTT CORP /CN/, 207 QUEENS QUAY W, SUITE 340, TORONTO ONTARIO CANA, A6, 00000, 4162033898 - 600,000 ($13,890,000.00) Equity, (File 333-108128- Aug. 21) (BR. 02) S-8 LEESPORT FINANCIAL CORP, 1240 BROADCASTING ROAD, WYOMISSING, PA, 19610, 6102080966 - 50,000 ($1,001,500.00) Equity, (File 333-108129 - Aug. 21) (BR. 07) S-8 LEESPORT FINANCIAL CORP, 1240 BROADCASTING ROAD, WYOMISSING, PA, 19610, 6102080966 - 200,000 ($4,006,000.00) Equity, (File 333-108130 - Aug. 21) (BR. 07) S-3 UNITED STATES STEEL CORP, 600 GRANT ST, ROOM 1500, PITTSBURGH, PA, 15219-2800, 415 433 2967 - 3,000,000 ($50,985,000.00) Equity, (File 333-108131 - Aug. 21) (BR. 06) S-4 WELLPOINT HEALTH NETWORKS INC /DE/, 8187034000 - 0 ($171,684,883.28) Equity, (File 333-108132 - Aug. 21) (BR. 01) S-3 GUILFORD PHARMACEUTICALS INC, 6611 TRIBUTARY ST, BALTIMORE, MD, 21224, 4106316300 - 0 ($69,354,000.00) Debt Convertible into Equity, (File 333-108133 - Aug. 21) (BR. 01) S-3 FOCUS ENHANCEMENTS INC, 1370 DELL AVE, CAMPBELL, CA, 95008, 4088668300 - 2,667,500 ($4,694,800.00) Equity, (File 333-108134 - Aug. 21) (BR. 03) S-3 VCA ANTECH INC, 12401 WEST OLYMPIC BOULEVARD, LOS ANGELES, CA, 90064-1022, 310-584-65 - 188,315 ($4,025,233.13) Equity, (File 333-108135 - Aug. 21) (BR. 04) S-8 NCO GROUP INC, 515 PENNSYLVANIA AVE, FT WASHINGTON, PA, 19034, 2157939300 - 500,000 ($10,285.00) Equity, (File 333-108136 - Aug. 21) (BR. 02) N-2 PIMCO NFJ DIVIDEND INCOME FUND, 1345 AVENUE OF THE AMERICAS, 47TH FLOOR, NEW YORK, NY, 10105, 2127393502 - 1,000 ($25,000.00) Equity, (File 333-108137 - Aug. 21) (BR. ) S-3 VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 2015871000 - 0 ($1,499,280,000.00) Other, (File 333-108138 - Aug. 21) (BR. 08) S-4 AVIALL INC, 972-586-1000 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-108140 - Aug. 21) (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 3M CO DE X 08/21/03 AAIPHARMA INC DE X X 08/21/03 ACCRUE SOFTWARE INC DE X X X 08/15/03 AEROPOSTALE INC X X 08/21/03 AF FINANCIAL GROUP X X 08/18/03 AGILENT TECHNOLOGIES INC DE X 08/20/03 AMERICAN EDUCATION CORP CO X X 08/21/03 AMERICAN SOFTWARE INC GA X X 08/20/03 APPLIANCE RECYCLING CENTERS OF AMERIC MN X 08/14/03 APPLIED SIGNAL TECHNOLOGY INC CA 08/19/03 ARTEMIS INTERNATIONAL SOLUTIONS CORP DE X X 08/14/03 ATWOOD OCEANICS INC TX X X 08/21/03 AUTO DATA NETWORK DE X X 08/20/03 AUTODESK INC DE X 08/21/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 08/21/03 BANK JOS A CLOTHIERS INC /DE/ DE X 08/21/03 BELMONT BANCORP OH X X 08/19/03 BLACK HILLS CORP /SD/ SD X X 08/20/03 BLUE COAT SYSTEMS INC DE X X 08/21/03 BLUE RIVER BANCSHARES INC IN X 08/21/03 BOMBAY COMPANY INC DE X 08/20/03 BON TON STORES INC PA X 08/21/03 BOSTON PACIFIC MEDICAL INC MA X X 08/21/03 BOSTON PACIFIC MEDICAL INC MA X X 05/30/03 AMEND BRILLIANT DIGITAL ENTERTAINMENT INC DE X 08/20/03 C & F FINANCIAL CORP VA X X 08/20/03 C COR NET CORP PA X 08/21/03 CADENCE RESOURCES CORP UT X X 08/20/03 CAP ROCK ENERGY CORP X X 08/20/03 CARRIZO OIL & GAS INC TX 08/14/03 CASUAL MALE RETAIL GROUP INC DE X 08/21/03 CATALYST SEMICONDUCTOR INC DE X X 08/21/03 CATERPILLAR FINANCIAL FUNDING CORP NV X 07/31/03 CBRL GROUP INC TN X X 08/21/03 CENTRAL FEDERAL CORP DE X X 08/20/03 CHAMPIONSHIP AUTO RACING TEAMS INC DE X X 08/21/03 CHARMING SHOPPES INC PA X 08/21/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 07/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/03 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/03 CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 07/31/03 CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 07/31/03 CHINA NETTV HOLDINGS INC NV X 08/20/03 CIENA CORP DE X 08/21/03 CIENA CORP DE X X 08/21/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 08/18/03 CLAIRES STORES INC DE X 08/21/03 COLONY BANKCORP INC GA X X 08/21/03 COMMUNITY BANKSHARES INC /SC/ SC X X 08/21/03 CONSECO INC IN X X 08/15/03 COOPER INDUSTRIES LTD X X 08/21/03 COST PLUS INC/CA/ CA X 08/21/03 CRAY INC WA X 08/20/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 08/21/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/21/03 CRESTED CORP CO X 08/14/03 CROSS TIMBERS ROYALTY TRUST TX X X 08/19/03 CROSSROADS SYSTEMS INC DE X 08/21/03 CRYOLIFE INC FL X X 08/19/03 CSFB MORTGAGE SEC CORP HM EQU PASS TH DE X X 08/25/02 CUBIC CORP /DE/ DE X X 08/20/03 CUNO INC DE X X 08/20/03 CYBERADS INC X X 08/13/03 DATARAM CORP NJ X 08/20/03 DDI CORP CA X X 08/20/03 DDI CORP CA X 08/20/03 DEERE JOHN RECEIVABLES INC DE X X 08/21/03 DICKS SPORTING GOODS INC DE X 08/21/03 DIRECT INSITE CORP DE X X 08/19/03 DITECH COMMUNICATIONS CORP DE 08/21/03 DOMINION RESOURCES BLACK WARRIOR TRUS DE X 08/19/03 E DEAL NET INC NV X X 08/21/03 EARTHNETMEDIA INC NV X 08/21/03 EARTHSHELL CORP DE X X 08/15/03 ECOLLEGE COM DE X X 08/13/03 ELDER BEERMAN STORES CORP OH X 08/21/03 EROOMSYSTEM TECHNOLOGIES INC NV X 08/19/03 EVOLVING SYSTEMS INC DE X 08/18/03 EXABYTE CORP /DE/ DE X 08/18/03 FACTORY 2 U STORES INC DE X X 08/20/03 FACTUAL DATA CORP CO X 08/21/03 FARMLAND INDUSTRIES INC KS X X 08/21/03 FINLAY ENTERPRISES INC /DE DE X 08/21/03 FINLAY FINE JEWELRY CORP DE X 08/21/03 FIRST NATIONAL CORP /SC/ SC X 08/21/03 FIRST NIAGARA FINANCIAL GROUP INC DE X X 08/21/03 FIRSTFED FINANCIAL CORP DE X 07/31/03 FLANDERS CORP NC X 08/21/03 FLOWERS FOODS INC GA X X 08/20/03 FLUSHING FINANCIAL CORP DE X 08/20/03 AMEND FOOT LOCKER INC NY X 08/21/03 FORTIS ENTERPRISES NV X X 08/18/03 FREDS INC TN X X 08/21/03 GALYANS TRADING CO INC IN X X 08/21/03 GAP INC DE X X 08/21/03 GENESCO INC TN X 08/21/03 GOLDEN EAGLE INTERNATIONAL INC CO X 08/19/03 GREENMAN TECHNOLOGIES INC DE X X 08/21/03 GULFTERRA ENERGY PARTNERS L P DE X X 08/21/03 HEARTLAND OIL & GAS CORP NV X 08/20/03 HEMAGEN DIAGNOSTICS INC DE X 08/14/03 HIGHWAY ONE OWEB INC UT X 08/19/03 HOLLY CORP DE X X 08/20/03 HOME FEDERAL BANCORP IN 08/21/03 HORIZON PCS INC DE X 08/21/03 HORIZON TELCOM INC OH X 08/21/03 HORMEL FOODS CORP /DE/ DE X 08/21/03 HOUSEHOLD CONSUMER LOAN TRUST 1997-1 DE X 08/14/03 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 08/15/02 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE X 08/15/03 HOUSEHOLD PRIVATE LABEL CREDIT CARD M DE X 08/15/03 HUGOTON ROYALTY TRUST TX X X 08/19/03 HUNNO TECHNOLOGIES INC DE X X 08/15/03 INDIGO ENERGY INC DE X 08/18/03 INFORMATION ARCHITECTS CORP NC X 08/21/03 INFOUSA INC DE X X X 08/20/03 INSTANET INC CO X 06/25/03 AMEND INTEGRATED DATA CORP DE X 08/20/03 INTERNATIONAL BUSINESS MACHINES CORP NY X 08/21/03 ISCO INTERNATIONAL INC DE X X 08/21/03 JAG MEDIA HOLDINGS INC NV X X 08/12/03 AMEND JDS UNIPHASE CORP /CA/ DE X X 08/21/03 JOULE INC DE X X 08/21/03 KAISER ALUMINUM & CHEMICAL CORP DE X X 08/20/03 KAISER ALUMINUM CORP DE X X 08/20/03 KRISPY KREME DOUGHNUTS INC NC 08/21/03 KVH INDUSTRIES INC \DE\ DE X 08/18/03 LABARGE INC DE X 06/29/03 LANCASTER COLONY CORP OH X 08/21/03 LBI MEDIA INC CA X 08/14/03 LEATHER FACTORY INC DE X 08/18/03 LIMITED BRANDS INC DE 08/21/03 LML PAYMENT SYSTEMS INC A1 X 06/18/03 AMEND LNB BANCORP INC OH X 08/21/03 LSI LOGIC CORP DE X 08/19/03 M&I AUTO LOAN TRUST 2002-1 DE X X 08/20/03 MACDERMID INC CT X 06/30/03 MACQUARIE SECURITISATION LTD PUMA GLO DE X X 08/19/03 MAGNETEK INC DE X X 08/21/03 MALAN REALTY INVESTORS INC MI 08/12/03 MALAN REALTY INVESTORS INC MI X X 08/20/03 MARVELL TECHNOLOGY GROUP LTD D0 X 08/21/03 MEDI HUT CO INC DE X X 08/18/03 MERIDIAN RESOURCE CORP TX X 08/21/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 08/20/03 MESA OFFSHORE TRUST TX X X 08/20/03 MESA ROYALTY TRUST/TX TX X X 08/20/03 MILLENNIUM CHEMICALS INC DE X X 08/21/03 MORGAN STANLEY AUTO LOAN TRUST 2003-H DE X X 08/20/03 MS STRUCTURED ASSET CORP DE X 08/01/03 NATIONAL OILWELL INC DE X 08/21/03 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 08/21/03 NEOWARE SYSTEMS INC DE X X 08/21/03 NEW YORK HEALTH CARE INC NY 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