SEC NEWS DIGEST Issue 2003-244 December 24, 2003 ENFORCEMENT PROCEEDINGS SEC FILES SETTLED CIVIL FRAUD ACTION AGAINST VIVENDI UNIVERSAL, S.A., ITS FORMER CEO, JEAN-MARIE MESSIER, AND ITS FORMER CFO, GUILLAUME HANNEZO DEFENDANTS AGREE TO PAY OVER $51 MILLION IN DISGORGEMENT AND CIVIL PENALTIES COMPLAINT ALLEGES FRAUD BETWEEN DECEMBER 2000 AND JULY 2002, INCLUDING FALSE PRESS RELEASES, IMPROPER ADJUSTMENTS TO EARNINGS, AND FAILURE TO DISCLOSE FUTURE COMMITMENTS The Commission announced today that it filed settled injunctive actions against Vivendi Universal, S.A. (Vivendi), a media and environmental services conglomerate, its former CEO, Jean-Marie Messier (Messier), and its former CFO, Guillaume Hannezo (Hannezo). The settlements include Vivendi's consent to pay a $50 million civil money penalty. The settlements also include Messier's agreement to relinquish his claims to a _21 million severance package that he negotiated just before he resigned his positions at Vivendi, and payment of disgorgement and civil penalties by Messier and Hannezo that total over $1 million. The Commission's complaint describes a course of fraudulent conduct by Vivendi, Messier, and Hannezo that disguised Vivendi's cash flow and liquidity problems, improperly adjusted accounting reserves to meet earnings before income taxes, depreciation, and amortization (EBITDA) targets, and failed to disclose material financial commitments. Specifically, the Commission's complaint includes the following allegations: * During 2001 and the first half of 2002, Vivendi issued misleading press releases authorized by Messier, Hannezo, and other senior executives. The press releases falsely portrayed Vivendi's liquidity and cash flow as "excellent" or "strong" and as sufficient to meet Vivendi's future liquidity requirements. These statements were misleading in light of Vivendi's inability unilaterally to access the cash flow of two of its most profitable subsidiaries, a situation that substantially impaired Vivendi's ability to satisfy its debt burden and other operating costs. * Vivendi, at the direction of its senior executives, made improper adjustments that raised Vivendi's EBITDA by approximately _59 million during the second quarter of 2001 and by at least _10 million during the third quarter of 2001. These adjustments were made so that Vivendi could meet ambitious earnings targets that it had communicated to the market. * Vivendi failed to disclose future financial commitments regarding two of its subsidiaries. Vivendi failed to disclose the commitments in Commission filings and in meetings with analysts. If Vivendi had revealed those commitments, they would have raised doubts about the company's ability to meet its cash needs. * Vivendi and the other defendants failed timely to disclose all of the material facts about Vivendi's investment in a fund that purchased a 2% stake in Elektrim Telekomunikacja Sp. zo.o (Telco), a Polish telecommunications company in which Vivendi already held a 49% stake. All of the defendants consented to the settlements without admitting or denying the Commission's allegations. The settled action permanently enjoins Vivendi, Messier, and Hannezo from further violations of the federal securities laws and includes other substantial relief: Vivendi is required to pay a civil money penalty in the amount of $50 million and disgorgement of $1; Messier is required to relinquish his claim to a severance package of about _21 million, which includes back pay and bonuses for the first half of 2002, and to pay a civil money penalty of $1 million and disgorgement of $1; Hannezo is required to disgorge $148,149, and to pay a penalty of $120,000; and Messier and Hannezo are prohibited from serving as an officer or director of a public company for, respectively, 10 and 5 years. The Commission intends to direct that disgorgement and penalties paid in this case be paid to defrauded investors, including those who held Vivendi's ordinary shares and its American Depository Shares during the time period alleged in the Commission's Complaint, pursuant to Section 308 (Fair Funds for Investors) of the Sarbanes-Oxley Act of 2002. The _21 million payment, now valued at approximately $25 million (including interest), to which Messier is relinquishing his claim has already been placed in an escrow account as a result of the Commission's successful litigation pursuant to Section 1103 of the Sarbanes-Oxley of 2002. On the SEC's motion, the District Court in New York ordered Vivendi to place those funds in escrow on Sept. 24, 2003. The Commission acknowledges the cooperation of the U.S. Attorney's Office for the Southern District of New York and the Autorit‚ des marches financiers, formerly the Commission des Op‚rations de Bourse. The Commission's investigation is continuing. [SEC v. Vivendi Universal, S.A., Jean-Marie Messier, and Guillaume Hannezo, 03-CIV-10195 (SDNY)] (LR-18523; AAE Rel. 1935) ADDITIONS AND CORRECTIONS Press Rel. 2003-182, which appeared in yesterday's Digest, did not include the cite and litigation release concerning FAC. The information is as follows: [SEC v. James P. Lewis, Jr., Individually And Doing Business As Financial Advisory Consultants, Income Fund, Ltd. And Growth Fund, Ltd. (Case No. CV-03-9354 (ABC)(C.D. Cal., S. Div.)] (LR-18525) Press Rel. 2003-183, which appeared in yesterday's Digest, did not include the cite and litigation release concerning Daniel Calugar and Security Brokerage, Inc. The information is as follows: [SEC v. Daniel Calugar and Security Brokerage, Inc. (U.S. District Court for the District of Nevada, Civil Action No. CV S-03-1600-RCJ (RJJ))] (LR-18524) HOLDING COMPANY ACT RELEASES CINERGY CORP., ET AL. An order has been issued on a proposal by Cinergy Corp., a registered holding company, Cinergy's nonutility subsidiaries, Cinergy Investments, Inc., Cinergy Global Resources, Inc., CinTec LLC, Cinergy Technologies, Inc., and Cinergy Wholesale Energy, Inc., KO Transmission Company, South Construction Company, Inc. and Tri-State Company (together, Applicants). Applicants request authority to acquire the securities of intermediate parents, undertake internal corporate reorganizations, pay dividends out of unearned surplus, and enter into service agreements through March 31, 2007. (Rel. 35-27779) AGL RESOURCES, INC., ET AL. A supplemental order has been issued authorizing AGL Resources, Inc., a registered holding company, and certain of its subsidiary companies, to enter into a tax allocation agreement. (Rel. 35-27781) SELF- REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-176), under Section 19(b)(2) of the Securities Exchange Act of 1934, relating to Chief Executive Officer and Chief Compliance Officer Certification. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48961) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2003-183) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central Registration Depository continuing education Regulatory Element e-mails. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48986) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2003-07) filed by the National Association of Securities Dealers, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, to amend NASD Rules 1011, 1014 and 1017. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48969) The Commission approved a proposed rule change (SR-NASD-00-04) submitted by the National Association of Securities Dealers amending its corporate financing rule. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48989) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-185) filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., to amend NASD Rule 7010(i) to reduce pricing for execution of Non-Directed and Preferenced Orders in SuperMontage. (Rel. 34-48972) JOINT INDUSTRY PLANS NOTICE OF FILING OF THE SIXTH SUBSTANTIVE AMENDMENT TO THE SECOND RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN AND THE FOURTH SUBSTANTIVE AMENDMENT TO THE RESTATED CONSOLIDATED QUOTATION PLAN AND AMENDMENT NO. 1 THERETO On Nov. 28, 2003, pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934, the Consolidated Tape Association (CTA) submitted amendments to the CTA and Consolidated Quotation Plans to separate the functions of administering contracts into which vendors and others enter for the purpose of receiving and using market data. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48984) NOTICE OF FILING OF THE FIFTH SUBSTANTIVE AMENDMENT TO THE SECOND RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN AND THE THIRD SUBSTANTIVE AMENDMENT TO THE RESTATED CONSOLIDATED QUOTATION PLAN AND AMENDMENT NO. 1 THERETO On Nov. 28, 2003, pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934, the Consolidated Tape Association (CTA) submitted amendments to the CTA and Consolidated Quotation Plans (collectively, Plans) to delete the provisions of the Plans that exempt any Participant in the Plans from paying market data fees for the receipt of data on its trading floor for regulation or surveillance or for other specifically approved purposes. Publication of the proposal is expected in the Federal Register during the week of December 29. (Rel. 34-48987) 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-4 SONIC AUTOMOTIVE INC, 5401 EAST INDEPENDENCE BLVD, PO BOX 18747, CHARLOTTE, NC, 28212, 7045323354 - 0 ($75,000,000.00) Non-Convertible Debt, (File 333-111463 - Dec. 23) (BR. 02) S-3 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 0 ($40,000,000.00) Equity, (File 333-111464 - Dec. 23) (BR. 01) S-3 DJ ORTHOPEDICS INC, 2985 SCOTT STREET, VISTA, CA, 92083, 7607271280 - 0 ($188,840,000.00) Equity, (File 333-111465 - Dec. 23) (BR. 36) S-8 HUGHES ELECTRONICS CORP, 200 N SEPULVEDA BLVD, EL SEGUNDO, CA, 90245-0956, 3106629688 - 0 ($1,462,333,615.55) Equity, (File 333-111466 - Dec. 23) (BR. 37) S-8 HUGHES ELECTRONICS CORP, 200 N SEPULVEDA BLVD, EL SEGUNDO, CA, 90245-0956, 3106629688 - 0 ($690,993.50) Equity, (File 333-111467 - Dec. 23) (BR. 37) S-4 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 0 ($307,696,590.00) Equity, (File 333-111468 - Dec. 23) (BR. 07) S-8 HUGHES ELECTRONICS CORP, 200 N SEPULVEDA BLVD, EL SEGUNDO, CA, 90245-0956, 3106629688 - 0 ($15,170,000.00) Equity, (File 333-111469 - Dec. 23) (BR. 37) S-4 METROPCS INC, 8144 WALNUT HILL LANE, SUITE 600, DALLAS, TX, 75231, 0 ($150,000,000.00) Non-Convertible Debt, (File 333-111470 - Dec. 23) (BR. 37) S-1 ZILOG INC, 532 RACE STREET, SAN JOSE, CA, 95126, 4085588500 - 9,200,000 ($47,104,000.00) Equity, (File 333-111471 - Dec. 23) (BR. 36) S-4 DOLLAR FINANCIAL GROUP INC, 1436 LANCASTER AVE, STE 210, BERWYN, PA, 19312-1288, 6102963400 - 0 ($220,000,000.00) Debt Convertible into Equity, (File 333-111473 - Dec. 23) (BR. 07) S-1 MEMORY PHARMACEUTICALS CORP, 100 PHILIPS PARKWAY, MONTVALE, NJ, 07645, 2018027100 - 0 ($86,250,000.00) Equity, (File 333-111474 - Dec. 23) (BR. 01) S-2 CARRIZO OIL & GAS INC, 14701 ST MARYS LANE, STE 800, HOUSTON, TX, 77079, 2814961352 - 0 ($40,812,000.00) Equity, (File 333-111475 - Dec. 23) (BR. 04) S-3 BOSTON EDISON CO, 800 BOYLSTON ST, P1600, BOSTON, MA, 02199, 6174242000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-111476 - Dec. 23) (BR. 02) S-8 AMERICAN SUPERCONDUCTOR CORP /DE/, TWO TECHNOLOGY DR, WESTBOROUGH, MA, 01581, 5088364200 - 250,000 ($2,862,500.00) Equity, (File 333-111477 - Dec. 23) (BR. 01) S-3 KULICKE & SOFFA INDUSTRIES INC, 2101 BLAIR MILL RD, WILLOW GROVE, PA, 19090, 2157846000 - 0 ($205,000,000.00) Debt Convertible into Equity, (File 333-111478 - Dec. 23) (BR. 36) S-4 JACUZZI BRANDS INC, PHILLIPS POINT - WEST TOWER, 777 S. FLAGLER DRIVE - STE. 1108, WEST PALM BEACH, FL, 33401, (561) 514-3838 - 0 ($380,000,000.00) Non-Convertible Debt, (File 333-111479 - Dec. 23) (BR. 06) S-3 NEW PLAN EXCEL REALTY TRUST INC, 1120 AVENUE OF THE AMERICAS 12TH FL, NEW YORK, NY, 10036, 2128693000 - 0 ($34,443,512.00) Equity, (File 333-111480 - Dec. 23) (BR. 08) S-B ITALY REPUBLIC OF, MINISTRY OF ECONOMY AND FINANCE, VIA XX SETTEMBRE, 97, ROME, L6, 00187, 01139064814985 - 0 ($6,672,604,000.00) Non-Convertible Debt, (File 333-111482 - Dec. 23) (BR. DN) S-3 EDO CORP, 60 EAST 42ND STREET, 42ND FLOOR, NEW YORK, NY, 10165, 2127162000 - 0 ($500,000,000.00) Other, (File 333-111483 - Dec. 23) (BR. 05) S-3 JB OXFORD HOLDINGS INC, 9665 WILSHIRE BLVD, SUITE 300, BEVERLY HILLS, CA, 90212, 3107778888 - 2,149,474 ($6,362,443.00) Equity, (File 333-111484 - Dec. 23) (BR. 07) F-9 FALCONBRIDGE LTD \CAN\, BCE PLACE, 181 BAY STREET, SUITE 200, TORONTO, A6, M5J 2T3, 416-982-7115 - 0 ($600,000,000.00) Other, (File 333-111485 - Dec. 23) (BR. 04) SB-2 NORTHWEST HORIZON CORP, 1453 JOHNSTON ROAD 71510, WHITE ROCK, BRITISH COLOMBIA CANADA, A1, 00000, 6045280996 - 600,000 ($60,000.00) Equity, (File 333-111486 - Dec. 23) (BR. 09) S-8 INTERVOICE INC, 17811 WATERVIEW PKWY, DALLAS, TX, 75252, 9724548000 - 0 ($4,790,000.00) Equity, (File 333-111487 - Dec. 23) (BR. 37) S-8 INTERVOICE INC, 17811 WATERVIEW PKWY, DALLAS, TX, 75252, 9724548000 - 0 ($19,160,000.00) Equity, (File 333-111488 - Dec. 23) (BR. 37) S-3 SCORS DEPOSITOR INC, 55 EAST 52ND STREET, NEW YORK, NY, 10055, 2124091000 - 1,000,000 ($1,000,000.00) Other, (File 333-111489 - Dec. 23) (BR. 05) S-3 ROYAL GOLD INC, 1660 WYNKOOP STREET, SUITE 1000, DENVER, CO, 80202-1132, 303-573-1660 - 0 ($300,000,000.00) Other, (File 333-111490 - Dec. 23) (BR. 04) S-1 AGC HOLDINGS LTD, 0 ($100,000,000.00) Equity, (File 333-111491 - Dec. 23) (BR. 01) S-8 VIRTUAL GAMING ENTERPRISES INC, 2580 SEA SCAPE GLEN, ESCONDIDO, CA, 92026, 7605100188 - 250,000,000 ($400,000.00) Equity, (File 333-111492 - Dec. 23) (BR. 09) S-8 UNIVERSAL COMMUNICATION SYSTEMS INC, 407 LINCOLN ROAD, SUITE 6K, MIAMI, FL, 33139, 5108396100 - 11,000,000 ($896,500.00) Equity, (File 333-111493 - Dec. 23) (BR. 37) S-4 FIRST PLACE FINANCIAL CORP /DE/, 185 E MARKET ST, WARREN, OH, 44482, 3303731221 - 0 ($38,866,763.00) Equity, (File 333-111494 - Dec. 23) (BR. 07) S-3 SOHU COM INC, 7 JIANGGUOMEN NEI AVE #1519 TOWER TWO, BEIJING CHINA CHANG AN BLDG, BEIJING CHINA 100005, F4, 00000, 011861065102160 - 0 ($2,618,301.40) Equity, (File 333-111495 - Dec. 23) (BR. 03) S-3 ILLUMINA INC, 9885 TOWNE CENTRE DRIVE, ., SAN DIEGO, CA, 92121, 8582024500 - 0 ($65,000,000.00) Equity, (File 333-111496 - Dec. 23) (BR. 36) S-3 KEMPER INVESTORS LIFE INSURANCE CO, 1600 MCCONNOR PARKWAY, SCHAUMBURG, IL, 60196-6801, 847-874-4000 - 10,000,000 ($10,000,000.00) Equity, (File 333-111497 - Dec. 23) (BR. 20) S-8 ISLE OF CAPRI CASINOS INC, 1641 POPPS FERRY RD, BILOXI, MS, 39532, 2283967044 - 0 ($32,655,000.00) Equity, (File 333-111498 - Dec. 23) (BR. 05) S-8 YELLOW ROADWAY CORP, ATTN: FINANCIAL REPORTING MANAGER - A415, 10990 ROE AVENUE, OVERLAND PARK, KS, 66211, 9136966100 - 0 ($33,130,000.00) Equity, (File 333-111499 - Dec. 23) (BR. 05) S-1 ENERGY CONVERSION DEVICES INC, 2956 WATERVIEW DRIVE, ROCHESTER HILLS, MI, 48309, 248-293-0440 - 5,385,830 ($45,564,122.00) Equity, (File 333-111500 - Dec. 23) (BR. 36) S-3D UNITED BANCORPORATION OF ALABAMA INC, P O BOX DRAWER 8, ATMORE, AL, 36502, 2053682525 - 0 ($3,000,000.00) Equity, (File 333-111503 - Dec. 23) (BR. 07) S-3 PACCAR FINANCIAL CORP, 777 106TH AVE N E, PO BOX 1518, BELLEVUE, WA, 98004, 4254557400 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-111504 - Dec. 23) (BR. 07) S-3 MAIN STREET BANKS INC /NEW/, 676 CHASTAIN ROAD, KENNESAW, GA, 30144, 7704222888 - 0 ($100,000,000.00) Equity, (File 333-111505 - Dec. 23) (BR. 07) S-8 COLOR IMAGING INC, 4350 PEACHTREE BLVD, SUITE 100, NORCROSS, GA, 30071, 7708401090 - 1,500,000 ($2,388,600.00) Equity, (File 333-111506 - Dec. 23) (BR. 08) S-4 STATE AUTO FINANCIAL CORP, 518 E BROAD ST, COLUMBUS, OH, 43215-3976, 6144645000 - 100,000,000 ($100,000,000.00) Non-Convertible Debt, (File 333-111507 - Dec. 23) (BR. 01) S-8 TALK AMERICA HOLDINGS INC, 12020 SUNRISE VALLEY DRIVE, RESTON, VA, 22091, 2158621500 - 1,350,000 ($13,959,000.00) Equity, (File 333-111508 - Dec. 23) (BR. 37) S-8 OPEN SOLUTIONS INC, 300 WINDING BROOK DRIVE, GLASTONBURY, CT, 06033, 8606523155 - 1,379,310 ($22,372,408.20) Equity, (File 333-111509 - Dec. 23) (BR. 03) S-3 FEATHERLITE INC, HIGHWAYS 63 & 9, PO BOX 320, CRESCO, IA, 52136, 3195476000 - 0 ($3.25) Equity, (File 333-111510 - Dec. 23) (BR. 05) S-8 P COM INC, 3175 S WINCHESTER BLVD, CAMPBELL, CA, 95008, 4088663666 - 74,900,000 ($10,472,000.00) Equity, (File 333-111511 - Dec. 23) (BR. 37) F-3 WORLD HEART CORP, 1 LASER STREET, OTTAWA, ONTARIO CANADA, A6, K2E 7V1, 6132374278 - 11,909,231 ($89,676,509.43) Equity, (File 333-111512 - Dec. 23) (BR. 36) S-8 TRANSATLANTIC HOLDINGS INC, 80 PINE ST, NEW YORK, NY, 10005, 2127702000 - 500,000 ($38,195,000.00) Equity, (File 333-111513 - Dec. 23) (BR. 01) S-4 OSULLIVAN INDUSTRIES INC, 1900 GULF STREET, LAMAR, MO, 64759-1899, 4176823322 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-111514 - Dec. 23) (BR. 06) S-1 SANTARUS INC, 10590 W OCEAN AIR DR, STE 200, SAN DIEGO, CA, 92130, 8583145700 - 0 ($85,000,000.00) Equity, (File 333-111515 - Dec. 23) (BR. ) S-3 IMPAC MORTGAGE HOLDINGS INC, 1401 DOVE STREET, NEWPORT BEACH, CA, 92660, 9494753600 - 500,000,000 ($500,000,000.00) Equity, (File 333-111517 - Dec. 23) (BR. 08) S-3 NETWORK ENGINES INC, 25 DAN ROAD, CANTON, MA, 02021, 7813321000 - 3,331,043 ($15,506,005.17) Equity, (File 333-111519 - Dec. 23) (BR. 03) S-8 RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036461800 - 150,000 ($2,463,000.00) Equity, (File 333-111520 - Dec. 23) (BR. 03) S-1 LYDIAN TRUST CO, 3801 PGA BOULEVARD, PALM BEACH GARDENS, FL, 33410, 5617768860 - 0 ($75,000,000.00) Equity, (File 333-111521 - Dec. 23) (BR. ) S-3 SATCON TECHNOLOGY CORP, 161 FIRST STREET, CAMBRIDGE, MA, 02142, 6176610540 - 0 ($15,291,848.27) Equity, (File 333-111522 - Dec. 23) (BR. 36) S-8 CONCUR TECHNOLOGIES INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 4257028808 - 309,273 ($2,970,567.16) Equity, (File 333-111523 - Dec. 23) (BR. 03) S-3 AMERICREDIT CORP, 801 CHERRY STREET, SUITE 3900, FORT WORTH, TX, 76102, 8173027000 - 0 ($200,000,000.00) Debt Convertible into Equity, (File 333-111524 - Dec. 23) (BR. 07) S-3 CURIS INC, 61 MOULTON ST, CAMBRIDGE, MA, 02138, 6178760086 - 0 ($40,000,000.00) Equity, (File 333-111525 - Dec. 23) (BR. 01) S-3 RCG COMPANIES INC, 6836 MORRISON BOULEVARD, SUITE 200, CHARLOTTE, NC, 28211, 7043665054 - 0 ($14,881,476.65) Equity, (File 333-111526 - Dec. 23) (BR. 08) S-3 MATTSON TECHNOLOGY INC, 2800 BAYVIEW DR, FREMONT, CA, 94538, 5106575900 - 0 ($172,216,000.00) Unallocated (Universal) Shelf, (File 333-111527 - Dec. 23) (BR. 36) S-3 CHARLOTTE RUSSE HOLDING INC, 4645 MORENA BLVD, SAN DIEGO, CA, 92117, 8585871500 - 3,410,000 ($44,671,000.00) Equity, (File 333-111528 - Dec. 23) (BR. 02) S-8 TUPPERWARE CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 32837-6600, (407) 826-5050 - 2,850,000 ($46,811,250.00) Equity, (File 333-111530 - Dec. 23) (BR. 06) S-8 ICT GROUP INC, 800 TOWN CENTER DR, LANGHORNE, PA, 19047, 2157570200 - 0 ($9,675,000.00) Equity, (File 333-111531 - Dec. 23) (BR. 08) S-3 NATURAL RESOURCE PARTNERS LP, 601 JEFFERSON STREET, SUITE 3600, HOUSTON, TX, 77002, 7137517514 - 0 ($25,998,556.00) Equity, 0 ($500,000,000.00) Other, (File 333-111532 - Dec. 23) (BR. 04) S-4 ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 2192676131 - 0 ($4,938,000.00) Equity, (File 333-111533 - Dec. 23) (BR. 36) S-3 DIGITAL RECORDERS INC, 4018 PATRIOT DRIVE, SUITE 100, DURHAM, NC, 27703, 9193612155 - 0 ($8,911,615.02) Equity, (File 333-111534 - Dec. 23) (BR. 37) 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. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. 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 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ 3333 HOLDING CORP NV X X 12/23/03 ACTIVISION INC /NY DE X X 12/23/03 ADVANCED LIGHTING TECHNOLOGIES INC OH X X 12/08/03 AERO SYSTEMS ENGINEERING INC MN X X 12/23/03 AMASYS CORP DE X X 12/22/03 AMERICAN GREETINGS CORP OH X X 12/23/03 AMERICAN PHYSICIANS CAPITAL INC MI X X 12/23/03 AMERICAN TOWER CORP /MA/ DE X X 12/22/03 AMERICHIP INTERNATIONAL INC X 12/23/03 AMREIT TX X X X 12/31/02 ANTEON INTERNATIONAL CORP DE X 12/23/03 ANZA CAPITAL INC NV X 12/18/03 APPLETON PAPERS INC/WI X X 12/23/03 APPLIED MATERIALS INC /DE DC X X 12/23/03 ARC COMMUNICATIONS INC NJ X X 12/08/03 ARCH COAL INC DE X 12/22/03 ARGENT SECURITIES INC X X 12/22/03 ARGENT SECURITIES INC ASSET BACKED PA X X 12/18/03 ARGENT SECURITIES INC ASSET BACKED PA X X X 12/22/03 ARMOR HOLDINGS INC DE X X 12/09/03 AROTECH CORP DE X X 12/18/03 ASBURY AUTOMOTIVE GROUP INC DE X X 12/23/03 ASSET BACKED SECURITIES CORP DE X 12/23/03 ATLANTIC CITY ELECTRIC TRANSITION FUN DE X X 12/23/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 12/23/03 ATX COMMUNICATIONS INC DE X X 12/19/03 AUGUST BIOMEDICAL CORP NV X X 12/15/03 AUTHENTIDATE HOLDING CORP DE X X 12/23/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 12/23/03 BAXTER INTERNATIONAL INC DE X 12/23/03 BB&T CORP NC X X 12/17/03 BEDFORD PROPERTY INVESTORS INC/MD MD X X 12/23/03 BEST BUY CO INC MN X X 12/17/03 BLOUNT INTERNATIONAL INC DE X X 12/23/03 BOISE CASCADE CORP DE X X 12/09/03 BRALORNE MINING CO NV X 12/22/03 BROWN TOM INC /DE DE X 12/18/03 BUCS FINANCIAL CORP MD X X 12/22/03 BUSINESS OBJECTS SA X X 12/11/03 CALIFORNIA AMPLIFIER INC DE X X X 12/23/03 CAPSTONE INTERNATIONAL CORP DE X 12/23/03 CARDIODYNAMICS INTERNATIONAL CORP CA X 12/23/03 CASCADE BANCORP OR X X 12/23/03 CBRL GROUP INC TN X X 12/22/03 CHASE MORTGAGE FINANCE CORP DE X X 12/22/03 CHESAPEAKE ENERGY CORP OK X X X 12/22/03 CHRISTOPHER & BANKS CORP DE X X 12/23/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 12/18/03 CIT EQUIPMENT COLLATERAL 2003-EF1 DE X 12/18/03 CIT EQUIPMENT COLLATERAL 2003-VT1 DE X 11/30/03 CIT GROUP INC DE X 12/22/03 CITICORP MORTGAGE SECURITIES INC DE X X 12/22/03 CITICORP MORTGAGE SECURITIES INC DE X 12/23/03 CITIGROUP MORTGAGE LOAN TRUST INC X 12/17/03 CLEARONE COMMUNICATIONS INC UT X 12/18/03 COGENTRIX ENERGY INC NC X X X 12/19/03 COLONIAL BANCGROUP INC DE X X 12/23/03 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 12/23/03 COMPUTER TASK GROUP INC NY X 12/23/03 CONSOL ENERGY INC X X 12/23/03 CONTANGO OIL & GAS CO DE X X 12/19/03 CONTINENTAL AIRLINES INC /DE/ DE X 12/10/03 CORIXA CORP DE X X 12/22/03 CORPORATE BOND BACKED CERT TR SER 199 X X 12/15/03 COVANTA ENERGY CORP DE X X 12/18/03 COVENTRY HEALTH CARE INC DE X 12/23/03 CSFB MORTGAGE BACKED PASS THR CERTS S DE X 12/23/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X 12/23/03 CSFB MORTGAGE BACKED PASS THROUGH CER DE X 12/23/03 CWMBS INC DE X 12/23/03 CYGNUS INC /DE/ DE X X 12/23/03 DEUTSCHE MORT & ASSET RECEIVING CORP DE X X 06/30/03 AMEND DOV PHARMACEUTICAL INC DE X X 12/19/03 DPAC TECHNOLOGIES CORP CA X X 12/18/03 DPAC TECHNOLOGIES CORP CA X X 12/23/03 DRUGSTORE COM INC DE X X 12/08/03 DUANE READE INC DE X X 12/22/03 EDO CORP NY X 12/23/03 ELDERTRUST MD X X 12/05/03 ENCYSIVE PHARMACEUTICALS INC DE X X 12/23/03 ENERGY CORP OF AMERICA WV X X 12/22/03 ENETPC INC MN X 12/22/03 ENTRUST INC MD X X 07/22/03 AMEND ENTRUST INC MD X X 10/29/03 AMEND EPIXTAR CORP FL X X 12/23/03 EQUISTAR CHEMICALS LP X X 12/17/03 ESPERION THERAPEUTICS INC/MI DE X X 12/19/03 EYE CARE CENTERS OF AMERICA INC TX X 12/23/03 FARMLAND INDUSTRIES INC KS X 12/16/03 FINANCIAL ASSET SEC CORP C BASS MORT DE X X 12/04/03 FINOVA GROUP INC DE X 12/19/03 FIRST NATIONAL BANCSHARES INC /SC/ SC X 12/19/03 FIRST PLACE FINANCIAL CORP /DE/ DE X 12/19/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 12/15/03 FIRST UNION COMM MORT TRUST COMM MOR NY X X 12/17/02 FIRSTENERGY CORP OH X X X 12/23/03 FIRSTFED FINANCIAL CORP DE X 11/30/03 FLEETWOOD ENTERPRISES INC/DE/ DE X X 12/22/03 FLEMING COMPANIES INC /OK/ OK X X 12/12/03 FUEL TECH N V X X 12/23/03 G REIT INC VA X 10/10/03 AMEND GALAXY ENERGY CORP CO X X 12/22/03 GALAXY ENERGY CORP CO X X 12/19/03 AMEND GAMETECH INTERNATIONAL INC DE X X 12/22/03 GASCO ENERGY INC NV X X 12/23/03 GENERAL MOTORS CORP DE X 12/22/03 GENESCO INC TN X X 08/21/03 AMEND GENESEE CORP NY X X 12/23/03 GEORGIA PACIFIC CORP GA X X 12/19/03 GERBER SCIENTIFIC INC CT X 12/23/03 GEXA CORP TX X X 12/23/03 GLEN MANOR RESOURCES INC NV X X X X 12/12/03 GLOBAL CROSSING LTD X X X 12/09/03 GLOBAL ENERGY GROUP INC DE X X 12/17/03 GLOBE BANCORP INC LA X 12/23/03 GMAC EDUCATION LOAN FUNDING TRUST I DE X X 12/15/03 GOAMERICA INC DE X X 12/12/03 GRANITE BROADCASTING CORP DE X X 12/22/03 GREAT WESTERN BANCORPORATION INC IA X 12/17/03 HA2003 INC IL X X 10/30/03 HANMI FINANCIAL CORP DE X X 12/22/03 HANMI FINANCIAL CORP DE X X 12/11/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 11/15/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 11/15/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 11/15/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 11/15/03 HARRIS INTERACTIVE INC DE X X 12/23/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 12/19/03 HASBRO INC RI X X 12/23/03 HAUSER INC DE X X 12/15/03 HILLENBRAND INDUSTRIES INC IN X X 12/23/03 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 11/14/03 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC X 10/15/03 HOUSEHOLD MORTGAGE LOAN TRUST 2003-HC DE X 12/22/03 HOUSEHOLD PRIVATE LABEL CREDIT CARD M DE X 12/15/03 IDENTIX INC DE X X 12/23/03 IESI CORP DE X 10/09/03 AMEND IMAGEMAX INC PA X X 12/11/03 IMH ASSETS CORP COLLATERALIZED ASSET DE X 12/23/03 IMMUCOR INC GA X 12/23/03 IMPAC MEDICAL SYSTEMS INC X X 12/22/03 IMPCO TECHNOLOGIES INC DE X X 12/18/03 INNKEEPERS USA TRUST/FL MD X 12/23/03 INTEVAC INC CA X X 12/23/03 INTUITIVE SURGICAL INC DE X X 12/22/03 J&J SNACK FOODS CORP NJ X X 12/22/03 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 12/08/03 K2 INC DE X X 12/11/03 KB HOME DE X X 12/18/03 KERR MCGEE CORP /DE DE X 12/23/03 KERR MCGEE CORP /DE DE X 12/23/03 KNBT BANCORP INC PA X X 10/31/03 AMEND KNIGHTSBRIDGE FINE WINES INC NV X X 12/23/03 LIFECELL CORP DE X X 12/22/03 LINDSAY MANUFACTURING CO DE X X 12/22/03 LION INC/WA WA X X X 12/08/03 LONE STAR STEAKHOUSE & SALOON INC DE X X 12/22/03 LONE STAR STEAKHOUSE & SALOON INC DE X X 12/23/03 LUMINENT MORTGAGE CAPITAL INC X X 12/22/03 M WAVE INC DE X X 12/22/03 M&I AUTO LOAN TRUST 2003-1 X 11/20/03 MAGELLAN MIDSTREAM PARTNERS LP DE X 12/19/03 AMEND MARCONI CORP PLC X0 X 12/23/03 MARTIN MIDSTREAM PARTNERS LP DE X X X 12/23/03 MEDI HUT CO INC DE X X 12/22/03 MEDICSIGHT INC DE X X 11/07/03 AMEND MERISTAR HOSPITALITY CORP MD X X 12/23/03 MERISTAR HOSPITALITY OPERATING PARTNE DE X X 12/23/03 MERITAGE HOSPITALITY GROUP INC MI X 12/22/03 MESA AIR GROUP INC NV X X 12/23/03 MGI PHARMA INC MN X 05/22/01 MGP INGREDIENTS INC KS X X 12/23/03 MGP INGREDIENTS INC KS X X 12/22/03 AMEND MICRON TECHNOLOGY INC DE X X 12/23/03 MISSISSIPPI CHEMICAL CORP /MS/ MS X X 12/22/03 MOBILE MINI INC DE X 12/22/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 12/23/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 12/23/03 MOVADO GROUP INC NY X X 12/22/03 MTS SYSTEMS CORP MN X 12/23/03 NATIONAL CONSUMER COOPERATIVE BANK /D DC X 12/19/03 NATIONAL PROPERTY INVESTORS 7 CA X X 12/09/03 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 12/01/03 NBTY INC DE X X 12/19/03 NELNET EDUCATION LOAN FUNDING INC NE X X 12/10/03 NET PERCEPTIONS INC DE X X 12/23/03 NEVADA GOLD & CASINOS INC NV X 12/23/03 NEW PLAN EXCEL REALTY TRUST INC MD X X 12/23/03 NEW VISUAL CORP UT X X 12/23/03 NORD PACIFIC LIMITED X X X 12/20/03 NORFOLK SOUTHERN CORP VA X X 12/23/03 NORTEL NETWORKS CORP X X 12/23/03 NORTEL NETWORKS LTD X X 12/23/03 NYMAGIC INC NY X X 12/23/03 OLYMPIC RESOURCES LTD A1 X X 12/16/03 ONEOK INC /NEW/ OK X X 12/22/03 ONYX ACCEPTANCE FIN CORP ONYX ACCEPT DE X 11/30/03 ONYX ACCEPTANCE FINANCIAL CORP DE X 11/30/03 ONYX ACCEPTANCE FINANCIAL CORP ONYX A DE X 11/30/03 ONYX ACCEPTANCE OWNER TRUST 2003-A DE X 11/30/03 P COM INC DE X X 12/19/03 PACIFIC GAS & ELECTRIC CO CA X 12/23/03 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 12/19/03 PARK ELECTROCHEMICAL CORP NY X 11/30/03 PATIENT INFOSYSTEMS INC DE X 12/23/03 PATRIOT MOTORCYCLE CORP NV X 12/23/03 PERINI CORP MA X 12/23/03 PFIZER INC DE X X 12/23/03 PG&E CORP CA X 12/23/03 PHILIP SERVICES CORP/DE DE X X 12/23/03 PHOENIX COMPANIES INC/DE DE X 12/22/03 PIEDMONT NATURAL GAS CO INC NC X X 12/19/03 POPE RESOURCES LTD PARTNERSHIP DE X X 12/23/03 PRECISION CASTPARTS CORP OR X X 12/23/03 PRICESMART INC DE X X 12/23/03 PRINCIPAL FINANCIAL GROUP INC DE X 12/22/03 PROXIM CORP DE X X 12/19/03 PRUDENTIAL FINANCIAL INC NJ X 12/22/03 PRUDENTIAL FINANCIAL INC NJ X 12/23/03 QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 12/22/03 RADISYS CORP OR X X 12/22/03 RAMP CORP DE X 12/23/03 REEDS JEWELERS INC NC X X 12/23/03 REEF GLOBAL ENERGY VENTURES NV X X 12/12/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 12/19/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 12/22/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 12/23/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 12/23/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 12/22/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 12/23/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 12/23/03 RICA FOODS INC NV X 12/22/03 RIDGESTONE FINANCIAL SERVICES INC WI X X 12/23/03 ROHN INDUSTRIES INC DE X X X 12/19/03 ROUSE COMPANY MD X X 11/25/03 RYDER SYSTEM INC FL X X 12/19/03 SAKS CREDIT CARD MASTER TRUST NV X 12/20/03 SECURITISATION ADVISORY SERVICES PTY X X 12/22/03 SELECT MEDICAL CORP DE X X 12/23/03 SENETEK PLC /ENG/ X X 12/19/03 SHOPKO STORES INC WI X X 12/22/03 SILVER STAR ENERGY INC NY X X X 12/22/03 SIMULA INC AZ X X 12/09/03 SKYLYNX COMMUNICATIONS INC DE X X 12/10/03 SKYTERRA COMMUNICATIONS INC DE X X 12/23/03 SLM EDUCATION CREDIT FUNDING LLC X X 12/15/03 SLM FUNDING LLC DE X X 12/15/03 SMARTIRE SYSTEMS INC X 12/15/03 SOHU COM INC DE X 11/24/03 AMEND SOLUTIA INC DE X 12/17/03 SOMERA COMMUNICATIONS INC DE X X 12/22/03 SOUTHWALL TECHNOLOGIES INC /DE/ DE X X 12/05/03 SPRINGHILL LAKE INVESTORS LTD PARTNER MD X 12/18/03 STERLING BANCORP NY X X 12/22/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 12/22/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 12/23/03 STRUCTURED ASSET SEC CORP LB UBS COM X 12/01/03 STRUCTURED PRODUCTS CORP DE X 12/22/03 SUMMA INDUSTRIES/ DE X X 12/23/03 SYMS CORP NJ X X 12/23/03 TEAMSTAFF INC NJ X X 12/22/03 TELECOMMUNICATION SYSTEMS INC /FA/ X X 12/18/03 TELEVIDEO INC DE X X 12/22/03 TOTAL FIRST AID INC FL X X 12/19/03 TRESTLE HOLDINGS INC DE X X 12/23/03 TWINLAB CORP DE X X 12/19/03 UAL CORP /DE/ DE X X 10/31/03 UCLUELET EXPLORATION CORP NV X 12/22/03 UNITY BANCORP INC /DE/ DE X X 12/23/03 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE X 12/22/03 VALENCE TECHNOLOGY INC DE X 12/19/03 VALUEVISION MEDIA INC MN X 12/18/03 VENUS EXPLORATION INC DE X X 12/22/03 VERIDIEN CORP DE X 12/23/03 VERIDIUM CORP DE X X 12/23/03 VIALINK CO DE X 12/23/03 VISTA MEDICAL TECHNOLOGIES INC DE X X 12/23/03 WESBANCO INC WV X 12/23/03 WGL HOLDINGS INC VA X 12/18/03 WIRELESS FACILITIES INC DE X X 12/23/03 ZOLTEK COMPANIES INC DE X X 12/18/03 ZYGO CORP DE X X 12/23/03