SEC NEWS DIGEST Issue 2003-83 May 1, 2003 COMMISSION ANNOUNCEMENTS PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS - MAY 2003 The following is a schedule for May 2003 of the public appearances of SEC officials, including the Chairman, Commissioners, and senior staff members. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Monday, May 5 Who: Commissioner Harvey J. Goldschmid What: 7th Circuit Judicial Conference Where: Pfister Hotel, Milwaukee, Wisconsin Contact: Judith Stockinger, (414) 287-9657 When: Tuesday, May 6 Who: Alan Beller, Director, Division of Corporation Finance What: American Bar Association Where: Capital Hilton, Washington, DC Contact: Ernestine Murphy, (312) 988-6204 When: Wednesday, May 7 Who: Commissioner Paul Atkins What: American Enterprise Institute Where: Wohlstetter Conference Center, Washington, DC Contact: Jessica Browning, (202) 862-5853 When: Thursday, May 8 Who: Commissioner Harvey J. Goldschmid What: ABA Section of International Law Where: Mayflower Hotel, Washington, DC Contact: Jennifer Dabson, (202) 662-1667 When: Thursday, May 8 Who: Alan Beller, Director, Division of Corporation Finance What Practising Law Institute - International Securities Markets 2003 Where: New York, New York Contact: Loula Barkas, (212) 824-5809 When: Thursday, May 8 - Friday, May 9 (GP May 8 only) Who: Giovanni Prezioso, General Counsel, Office of the General Counsel What: Practising Law Institute - International Securities Markets 2003 Where: New York, New York Contact: Loula Barkas, (212) 824-5809 When: Friday, May 9 Who: Annette Nazareth, Director, Division of Market Regulation What: Practising Law Institute - International Securities Markets 2003 Where: New York, New York Contact: Loula Barkas, (212) 824-5809 When: Friday, May 9 Who: Commissioner Cynthia A. Glassman What: Federal Reserve Bank of Chicago Where: The Fairmont Hotel, Chicago, Illinois Contact: Michael H. Moskow, (312) 322-5001 When: Monday, May 12 Who: Paul F. Roye, Director, Division of Investment Management What: Practising Law Institute - Investment Management 2003 Where: New York, New York Contact: Loula Barkas, (212) 824-5809 When: Wednesday, May 14 - Thursday, May 15 Who: Paul F. Roye, Director, Division of Investment Management What: Hedge Fund Roundtable Where: SEC, Room 1C30, Washington, DC Contact: Jennifer McHugh, (202) 942-0592 When: Friday, May 16 Who: Commissioner Cynthia A. Glassman What: Women in Housing and Finance Where: Washington, DC Contact: Kathleen M. James, (703) 683-4742 When: Wednesday, May 21 Who: Alan Beller, Director, Division of Corporation Finance What: Association of the Bar of the City of New York Where: The Association of the Bar 42 West 44th Street, New York Contact: Adele Hogan, (212) 474-1152 When: Friday, May 23 Who: Paul F. Roye, Director, Division of Investment Management What: ICI General Membership Meeting Where: Washington Hilton Hotel, Washington, DC Contact: Tom Simmons, (202) 326-5965 When: Thursday, May 29 Who: Alan Beller, Director, Division of Corporation Finance What: The New York Society of Security Analysts Where: Harvard Club, New York Contact: Stephen Percoco, (732) 499-4300 When: Friday, May 30 Who: Commissioner Paul Atkins; Stephen M. Cutler, Director, Division of Enforcement What: 35th Rocky Mountain Securities Conference Where: Doubletree Hotel, Denver, Colorado Contact: Christina Ashley, (303) 824-5329 RULES AND RELATED MATTERS ADOPTION OF UPDATED EDGAR FILER MANUAL The Commission is adopting revisions to the EDGAR Filer Manual to reflect updates to the EDGAR system based upon recent rulemaking activity related to mandating the electronic filing, and website posting by issuers with corporate websites, of beneficial ownership reports filed by officers, directors and principal security holders under Section 16(a) of the Securities Exchange Act of 1934, generally as required by Section 403 of the Sarbanes-Oxley Act of 2002, as well as the fact that EDGAR will no longer accept magnetic tape cartridges as a filing medium. The new release will include a new Online Forms internet website (https://www.onlineforms.edgarfiling.sec.gov) that will allow for the online creation and submission of ownership reports Forms 3, 4 and 5; their amendments, Forms 3/A, 4/A and 5/A; and, a minor update to EDGARLink submission template 2 to disallow the filing of the ownership forms due to the online capability. The revisions to the Filer Manual reflect these changes, most significantly, within the addition of a third Volume entitled "EDGAR Release 8.5 OnlineForms Filer Manual Volume III." Volumes I and II of the Filer Manual, EDGARLink and the N-SAR Supplement respectively, have been modified, mainly, to reference the new Online Forms website and the removal of magnetic tape cartridges as a filing medium. The updated manual will be incorporated by reference into the Code of Federal Regulations and will be available on May 5, 2003. (Rels. 33-8224; 34-47766; 35-27672; 39-2407; IC-26032) ENFORCEMENT PROCEEDINGS SEC FILES AMENDED COMPLAINT CHARGING FIVE ENRON EXECUTIVES WITH FRAUD AND INSIDER TRADING RELATING TO ENRON'S BROADBAND SUBSIDIARY Kenneth D. Rice, former CEO, Joseph Hirko, former CEO, Kevin P. Hannon, former COO, Rex T. Shelby, former Vice President, and F. Scott Yeager, former Vice President, of Enron Broadband Services, Inc. charged with violating federal securities laws The Commission today filed an Amended Complaint charging five additional former executives of Enron Broadband Services, Inc. (EBS) - a wholly owned subsidiary of Enron Corp. - with violating the antifraud provisions of federal securities laws and personally reaping more than $150 million in unlawful profits. Among other things, the Amended Complaint, filed in U.S. District Court in Houston, seeks disgorgement of those ill-gotten gains as well as civil money penalties from the five defendants: Kenneth D. Rice, former CEO; Joseph Hirko, former CEO; Kevin P. Hannon, former COO; Rex T. Shelby, former Vice President, and F. Scott Yeager, former Vice President. In addition, the SEC is seeking an order providing that any civil penalties will be added to other monies recovered, which will then be distributed to the victims of the alleged violations. Today's action amends the March 12 Complaint filed against former EBS executives Kevin A. Howard and Michael W. Krautz. "The actions described in the Amended Complaint illustrate the lengths to which some at Enron would go to create the illusion of stellar financial performance," said Stephen M. Cutler, Director of the SEC's Division of Enforcement. " It is especially reprehensible that these defendants opted for their own financial well-being at the expense of Enron's shareholders." "At a point when Enron's touted groundbreaking broadband technology was little more than a concept - and its business model was not commercially viable - these defendants played important roles in perpetuating the fairy tale that Enron was capable of spinning straw - or more appropriately, fiber - into gold," said Linda Chatman Thomsen, the SEC's Deputy Director of the Division of Enforcement. The filing of the Amended Complaint "is yet another step in unraveling the various strands of fraudulent conduct that perpetuated the Enron myth," Thomsen said. "Any number of people and entities contributed to Enron's ultimate collapse, and as today's action as well as our previous actions makes clear - we are determined to pursue them, and hold them accountable under law." The Amended Complaint alleges that Rice, Hirko, Hannon, Shelby and Yeager engaged in a wide-ranging fraudulent scheme to, among other things, inflate the value of Enron stock through a series of false and misleading statements and the omission of material information in such public statements about the technology, financial condition, performance and value of EBS. The false and misleading statements took the form of press releases over a two-year period as well as presentations and statements made at Enron's annual analyst conference in January 2000 and 2001. The false statements sought to distinguish the capabilities of the Enron Intelligent Network (EIN), Enron's broadband network, from other networks by claiming that it contained built-in intelligence - a software control layer called the "Broadband Operating System" (BOS) - that allowed it to perform more sophisticated applications than other networks. The BOS and its predecessor, InterAgent, however, did not work as Enron claimed and the EIN was unable to perform the applications that were represented it could perform. In addition, Rice and Hannon made false statements and material omissions concerning the value of Enron's broadband business and its commercial success at the January 2001 analyst conference. As a result of the false statements, Enron's stock was artificially inflated. Rice, Hirko, Hannon, Shelby and Yeager then sold large amounts of Enron stock at the inflated levels, at a time when they knew that the statements were false and misleading and when they were in possession of material non-public information concerning the true status of the technology and EBS's commercial success. The unlawful profits were substantial: Hirko -- $53.0 million; Rice -- $40.3 million; Yeager -- $35.1 million; Shelby -- $17.5 million; and Hannon -- $9.0 million. The Amended Complaint charges Rice, Hirko, Hannon, Shelby and Yeager with violating the antifraud provisions of the federal securities laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking disgorgement of their ill-gotten gains, civil money penalties, a permanent bar from acting as an officer or director of a publicly held company, and an injunction against future violations of the federal securities laws. This action amends the Complaint filed against Kevin A. Howard and Michael W. Krautz, two former EBS executives, on March 12, 2003. That Complaint as well as the Amended Complaint alleges that Howard and Krautz engaged in a sham transaction, known as "Project Braveheart," which caused Enron to overstate its reported net income for the year 2000 by $53 million and for first quarter 2001 by $58 million. The Amended Complaint alleges that the fictitious net income generated through Project Braveheart was an integral part of a broader fraudulent scheme to deceive the public about EBS. The Commission brought this action in coordination with the Justice Department's Enron Task Force, which today filed related criminal charges against Rice, Hirko, Hannon, Shelby and Yeager. The Commission's investigation is continuing. [SEC v. Kevin A. Howard, Michael W. Krautz, Kenneth D. Rice, Joseph Hirko, Kevin P. Hannon, Rex T. Shelby, and F. Scott Yeager, Civil Action No. H-03-0905 (Harmon) (SDTX)] (LR-18122; AAE Rel. 1771); (Press Rel. 2003-58) COMMISSION DECLARES DECISION AS TO EDWARD KOHLER FINAL The decision of an administrative law judge with respect to Edward J. Kohler has become final. Kohler was the President and Chief Executive Officer of Piper Capital Management, Inc. from August 1985 to November 1994. The Division of Enforcement charged that Kohler failed to ensure that Piper Capital had established reasonable supervisory systems to prevent securities laws violations, and that Kohler failed reasonably to supervise two individuals associated with Piper Capital. Finding that the Division did not establish that Kohler failed reasonably to supervise, the law judge dismissed the allegations against Kohler. (Rels. 33-8229; 34-47773; IC-26038; IA-2125; File No. 3-9657) FINDINGS MADE AND SANCTIONS IMPOSED AGAINST JEFFREY GOLDBERG The Commission has issued an Order Making Findings and Imposing Remedial Sanctions Against Jeffrey M. Goldberg (Order) pursuant to Section 15(b) of the Securities Exchange Act of 1934. From 1996 to mid-1999, Goldberg was associated with Medical Research Industries, Inc., an unregistered broker-dealer. The Commission's Order finds that on April 18, 2002, a Judgment of Permanent Injunction and Other Relief, by Goldberg's consent, was entered against Goldberg, permanently enjoining him from further 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. The Order further finds that on Aug. 27, 2002, the U.S. District Court for the Southern District of Florida entered an order imposing disgorgement with prejudgment interest in the amount of $1,487,271 and a civil penalty in the amount of $50,000 against Goldberg. Goldberg submitted, and the Commission accepted, an Offer of Settlement whereby he consented to the entry of the Order, without admitting or denying the findings contained therein except as to jurisdiction and the entry of the permanent injunction and disgorgement and civil penalty order against him. The Commission, based upon the findings and the Offer of Settlement, barred Goldberg from association with any broker or dealer. (Rel. 34-47776; File No. 3-10997) CORRECTION An incorrect cite was reported in yesterday's Digest pertaining to LR- 18120, Candies, Inc., et al. It should have read as follows: [SEC v. Lawrence O'Shaughnessy, Gary H. Klein, Gary K. Levi and Mark Tucker, Civil Action No. 03 CV 3022 (RMB)]; [SEC v. Neil R. Cole, Civil Action No. 03 CV 3021 (RMB)]. INVESTMENT COMPANY ACT RELEASES NOTICES OF DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT For the month of April, 2003, a notice has been issued giving interested persons until May 27, 2003, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Strong Balanced Stock Fund, Inc. [File No. 811-8449] Merrill Lynch Global Bond Fund for Investment and Retirement [File No. 811-4684] Short-Intermediate Income Fund, Inc. [File No. 811-6084] Emerging Growth Fund, Inc. [File No. 811-5320] The Austria Fund, Inc. [File No. 811-5736] Real Estate Securities Fund, Inc. [File No. 811-8500] (Rel. IC-26033 - April 30) THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, ET AL. An order has been issued on an application filed by The Prudential Insurance Company of America, Prudential Individual Variable Contract Account, Prudential Qualified Individual Variable Contract Account, Pruco Life Insurance Company, Pruco Life Flexible Premium Variable Annuity Account, Pruco Life Insurance Company of New Jersey, Pruco Life of New Jersey Flexible Premium Variable Annuity Account, and Prudential Investment Management Services LLC. The order approves the terms of a proposed offer of exchange of the Discovery Plus, Variable Investment Plan and Qualified Variable Investment Plan individual variable annuity contracts for a version of the Strategic Partners Annuity One individual variable annuity (the New Contracts) to be offered by Pruco Life Insurance Company and Pruco Life Insurance Company of New Jersey. The order also approves the terms of a proposed exchange program under Applicants' Strategic Partners FlexElite variable annuity contract. In addition, the order grants exemptions necessary to permit the recapture of any bonus credits granted with respect to purchase payments under the New Contracts (a) if the New Contract is cancelled during the applicable free-look period or (b) for credits granted within one year prior to death where the death benefit is equal to contract value. (Rel. IC- 26034 - April 30) PRINCIPAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Principal Life Insurance Company and Principal Life Insurance Company Variable Life Separate Account (together, Applicants) pursuant to Section 26(c) of the Investment Company Act permitting the substitution of shares of the Bond Account of Principal Variable Contracts Fund, Inc. for shares of the High Yield Account of Principal Variable Contacts Fund, Inc. The order also exempts Applicants from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitution. (Rel. IC-26035 - April 30) PRINCIPAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Principal Life Insurance Company, Principal Life Insurance Company Variable Life VL Separate Account, and Principal Life Insurance Company Separate Account B (collectively, Applicants) pursuant to Section 26(c) of the Investment Company Act permitting the substitution of shares of the SmallCap Account of Principal Variable Contracts Fund, Inc., for shares of the MicroCap Account of Principal Variable Contracts Fund, Inc. The order also exempts Applicants from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitution. (Rel. IC-26036 - April 30) CUNA MUTUAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by CUNA Mutual Life Insurance Company, CUNA Mutual Life Variable Annuity Account, and CUNA Mutual Life Variable Account pursuant to Section 26(c) of the Investment Company Act approving the substitution of Z Class shares of the Multi- Cap Growth Stock Fund of the Ultra Series Fund for Initial Class shares of the MFS Emerging Growth Series of the MFS Variable Insurance Trust. (Rel. IC- 26037 - April 30) HOLDING COMPANY ACT RELEASES TXU US HOLDINGS COMPANY An order has been issued granting an exemption under Section 3(a)(1) of the Act to TXU US Holdings Company (TXU Holdings), a Texas corporation on the basis that TXU Holdings and Oncor Electric Delivery Company (Oncor), its only public-utility subsidiary, are both incorporated in Texas, the state in which Oncor conducts all of its public-utility operations. (Rel. 35-27671) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the Chicago Board Options Exchange relating to a one-year pilot for options intermarket linkage fees (SR-CBOE-2003-11) (Rel. 34-47761) DELISTING GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Class A Common Stock, $.01 par value, of Rouge Industries, Inc., effective at the opening of business on April 30. (Rel. 34-47763) 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 ANZA CAPITAL INC, 3200 BRISTOL STREET, SUITE 710, COSTA MESA, CA, 92626, 7148662100 - 750,000 ($281,250.00) Equity, (File 333-104833 - Apr. 30) (BR. 07) SB-2 MILLENNIUM CAPITAL VENTURE HOLDINGS INC, 9348 BASILE ROUTHIER, MONTREAL QUEBEC, CANADA H2M 1T8, A8, 00000, 5142586441 - 6,850,000 ($685,000.00) Equity, (File 333-104834 - Apr. 30) (BR. 09) S-8 WEST COAST BANCORP /NEW/OR/, 5335 SW MEADOWS RD, SUITE 201, LAKE OSWEGO, OR, 97035, 5036840884 - 100,000 ($1,613,500.00) Equity, 0 ($2,500,000.00) Other, (File 333-104835 - Apr. 30) (BR. 07) S-2 LIONS GATE ENTERTAINMENT CORP /CN/, 3 BENTALL CENTER ,SUITE 3123, BURRARD ST, VANCOUVER BC CANADA, A1, V7X 1J1, 6046096110 - 17,250,000 ($32,775,000.00) Equity, (File 333-104836 - Apr. 30) (BR. 05) S-8 CALBATECH INC, 18300 VON KARMAN, SUITE 710, IRVINE, CA, 92612, 9498092126 - 0 ($396.41) Equity, (File 333-104837 - Apr. 30) (BR. 09) S-8 ARETE INDUSTRIES INC, 7102 LA VISTA PLACE, STE 100, NIWOT, CO, 80503, 3036523113 - 20,000,000 ($200,000.00) Equity, (File 333-104852 - Apr. 30) (BR. 02) S-3 MATRITECH INC/DE/, 330 NEVADA ST, NEWTON, MA, 02160, 6176616660 - 0 ($10,044,390.00) Equity, (File 333-104853 - Apr. 30) (BR. 01) SB-2 SIMTEK CORP, 4250 BUCKINGHAM DR 100, COLORADO SPRINGS, CO, 80907, 7195319444 - 9,615,384 ($2,451,922.92) Equity, (File 333-104854 - Apr. 30) (BR. 36) S-8 MONSANTO CO /NEW/, 800 N LINDBERGH BLVD, ST LOUIS, MO, 63167, 3146944296 - 0 ($266,699,000.00) Equity, (File 333-104855 - Apr. 30) (BR. 02) S-8 MILLENNIUM PHARMACEUTICALS INC, 75 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176797000 - 3,000,000 ($32,790,000.00) Equity, (File 333-104856 - Apr. 30) (BR. 01) S-8 MILLENNIUM PHARMACEUTICALS INC, 75 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176797000 - 500,000 ($5,465,000.00) Equity, (File 333-104857 - Apr. 30) (BR. 01) S-3 DELUXE CORP, 3680 VICTORIA STREET NORTH, SHOREVIEW, MN, 55126, 6514837111 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-104858 - Apr. 30) (BR. 05) S-8 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 9057602987 - 1,660,000 ($16,600.00) Equity, (File 333-104859 - Apr. 30) (BR. 02) S-3 NIKU CORP, 305 MAIN ST, REDWOOD CITY, CA, 94063, 6502984600 - 4,919,264 ($20,906,872.00) Equity, (File 333-104860 - Apr. 30) (BR. 03) S-8 GRANITE CITY FOOD & BREWERY LTD, 5831 CEDAR LAKE ROAD, ST LOUIS PARK, MN, 55416, 6125252070 - 0 ($196,000.00) Equity, (File 333-104861 - Apr. 30) (BR. 05) S-3 GRANITE CITY FOOD & BREWERY LTD, 5831 CEDAR LAKE ROAD, ST LOUIS PARK, MN, 55416, 6125252070 - 0 ($13,654,239.00) Equity, (File 333-104862 - Apr. 30) (BR. 05) S-8 CREE INC, 4600 SILICON DR, DURHAM, NC, 27703, 9193135300 - 750,000 ($14,613,750.00) Equity, (File 333-104863 - Apr. 30) (BR. 36) S-8 FIRST SOUTHERN BANCORP, 101B SOUTH ZETTEROWER AVE, STATESBORO, GA, 30458, 9124897600 - 328,051 ($3,280,510.00) Equity, (File 333-104864 - Apr. 30) (BR. 07) SB-2 CYBERLUX CORP, 50 ORANGE ROAD, PINEHURST, NC, 28374, 9102350066 - 42,713,763 ($32,035,322.25) Equity, (File 333-104865 - Apr. 30) (BR.36) S-8 MAXWELL SHOE CO INC, 101 SPRAGUE ST, P O BOX 37, READVILLE, MA, 02137, 6173645090 - 750,000 ($9,041,250.00) Equity, (File 333-104866 - Apr. 30) (BR. 02) S-8 HIV VAC INC, 7028665834 - 0 ($58,100.00) Equity, (File 333-104867 - Apr. 30) (BR. 01) S-8 AUTOCARBON INC, 136 M 10TH STREET, RAMONA, CA, 92065, 2129309700 - 1,480,000 ($1,628,000.00) Equity, (File 333-104868 - Apr. 30) (BR. 05) S-8 BIO STANDARD CORP, 301 CLEMATIS STREET, SUITE 3000, WEST PALM BEACH, FL, 33401, 561-651-7336 - 5,000,000 ($15,000.00) Equity, (File 333-104869 - Apr. 30) (BR. 07) S-8 ROCK TENN CO, 504 THRASHER ST, NORCROSS, GA, 30071, 7704482193 - 0 ($2,000,000.00) Other, (File 333-104870 - Apr. 30) (BR. 04) S-8 WEBSTER FINANCIAL CORP, WEBSTER PLAZA, 145 BANK ST, WATERBURY, CT, 06720, 2037532921 - 375,000 ($13,826,250.00) Equity, (File 333-104871 - Apr. 30) (BR. 07) S-3 DARLING INTERNATIONAL INC, 251 O CONNOR RIDGE BLVD, STE 300, IRVING, TX, 75038, 9727170300 - 46,205,086 ($91,958,121.00) Equity, (File 333-104872 - Apr. 30) (BR. 04) S-8 SIRNA THERAPEUTICS INC, 2950 WILDERNESS PLACE, BOULDER, CO, 80301, 3034496500 - 7,499,999 ($25,049,996.66) Equity, (File 333-104873 - Apr. 30) (BR. 01) S-4 AMERIPATH INC, 7289 GARDEN RD, SUITE 200, RIVER BEACH, FL, 33404, 5618451850 - 0 ($275,000,000.00) Non-Convertible Debt, (File 333-104874 - Apr. 30) (BR. 01) S-3 AMERICAN HONDA RECEIVABLES CORP, 700 VAN NESS AVENUE, C/O AMERICAN HONDA RECIEVABLES CORP, TORRANCE, CA, 90501, 3107814318 - 0 ($1,000,000.00) Debt Convertible into Equity, (File 333-104875 - Apr. 30) (BR. 05) S-3 PARTNERRE LTD, 96 PITTS BAY RD, CHESNEY HOUSE, PEMBROKE BERMUDA, D0, HM 08, 14412920888 - 8,340,731 ($457,406,688.00) Equity, (File 333-104876 - Apr. 30) (BR. 01) S-3 BALLY TOTAL FITNESS HOLDING CORP, 8700 WEST BRYN MAWR AVENUE, SECOND FLOOR, CHICAGO, IL, 60631, 7733803000 - 735,701 ($3,958,071.38) Equity, (File 333-104877 - Apr. 30) (BR. 05) S-3 PERSISTENCE SOFTWARE INC, 1720 SOUTH AMPHLETT BLVD., 3RD FLOOR, SAN MATEO, CA, 94402, 6503417733 - 5,093,822 ($1,273,455.50) Equity, (File 333-104878 - Apr. 30) (BR. 03) S-3 DEVON ENERGY CORP/DE, 20 N BROADWAY, STE 1500, OKLAHOMA CITY, OK, 73102, 4052353611 - 0 ($45,430,000.00) Equity, (File 333-104879 - Apr. 30) (BR. 04) 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 --------------------------------------------------------------------------------- 3 D SYSTEMS CORP DE X X 04/23/03 ABRAXAS PETROLEUM CORP NV X 04/30/03 ABRAXAS PETROLEUM CORP NV X 04/29/03 AMEND ACADIA REALTY TRUST MD X X 04/30/03 ACCREDITED HOME LENDERS HOLDING CO DE X X 04/30/03 ACE COMM CORP MD X X 04/30/03 ACE LTD D0 X X 04/29/03 ACLARA BIOSCIENCES INC DE X X 04/30/03 ACTION PERFORMANCE COMPANIES INC AZ X X 04/28/03 ADVANCED NEUROMODULATION SYSTEMS INC TX X 03/17/03 AMEND AIRBORNE INC /DE/ DE X X 04/15/03 AKAMAI TECHNOLOGIES INC DE X 04/30/03 ALARIS MEDICAL INC DE X 04/29/03 ALBANY MOLECULAR RESEARCH INC DE X 04/23/03 ALKERMES INC PA X X 04/29/03 ALLIANCE BANCORP OF NEW ENGLAND INC DE X X 04/29/03 ALLIANCE FIBER OPTIC PRODUCTS INC CA X X 04/30/03 ALLOS THERAPEUTICS INC DE X X 04/23/03 ALTIGEN COMMUNICATIONS INC X 04/30/03 AMEREN CORP MO X X 03/31/03 AMERICAN COIN MERCHANDISING INC DE X X 04/15/03 AMERICAN EXPRESS CO NY X 04/30/03 AMERICAN SCIENCE & ENGINEERING INC MA X X 04/30/03 AMERICAN TOWER CORP /MA/ DE X X 04/30/03 AMERICAN VANTAGE COMPANIES NV X X 04/16/03 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X X 04/10/03 AMERIGAS PARTNERS LP DE X X 04/30/03 AMERISTAR CASINOS INC NV X X 04/29/03 AMLI RESIDENTIAL PROPERTIES TRUST MD X X 04/29/03 AMN HEALTHCARE SERVICES INC DE X X 04/29/03 AMORITIZING RESIDENTIAL COL TR MOR PA X X 04/26/03 AMEND AMORTIZING RESI COLLAT TR MORT PAS TH DE X X 04/26/03 AMEND ANDRX CORP /DE/ DE X X 04/29/03 ANIXTER INTERNATIONAL INC DE X X 04/29/03 ANSYS INC DE X X 04/30/03 ANTEON INTERNATIONAL CORP DE X 04/30/03 ANTEON INTERNATIONAL CORP DE X 04/30/03 ANTHEM INC IN X 04/30/03 APACHE CORP DE X X 04/24/03 APPLETON PAPERS INC/WI X X 04/30/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARCADIA RECEIVABLES FINANCE CORP DE X 04/15/03 ARDEN REALTY INC MD X 04/29/03 ARIZONA VENTURES INC NV X 04/30/02 ARKANSAS BEST CORP /DE/ DE X X 04/28/03 ARTESIAN RESOURCES CORP DE X 04/30/03 ASBURY AUTOMOTIVE GROUP INC DE X 03/31/03 ASSET BACKED FUNDING CORP DE X X 04/28/03 AUGUST TECHNOLOGY CORP MN X X 04/15/03 AVALONBAY COMMUNITIES INC MD X X 04/29/03 AVANEX CORP DE X X 04/30/03 AVANT IMMUNOTHERAPEUTICS INC DE X X 04/30/03 AVENUE GROUP INC DE X X 04/20/03 AVIGEN INC \DE DE X 04/30/03 AVISTA CORP WA X X 04/30/03 AVNET INC NY X X 04/30/03 AVX CORP DE X 03/31/03 AXS ONE INC DE X X 04/30/03 BACKWEB TECHNOLOGIES LTD X X 04/30/03 BANCTRUST FINANCIAL GROUP INC AL X 04/28/03 BANK OF AMERICA CORP /DE/ DE X X 04/23/03 BANKNORTH GROUP INC/ME ME X X 04/23/03 BANKRATE INC FL X X 04/30/03 BARNESANDNOBLE COM INC DE X X 04/30/03 BAY NATIONAL CORP X X 04/30/03 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 04/27/03 AMEND BEAR 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TIRE & RUBBER CO /OH/ OH X X 04/30/03 GRANGE NATIONAL BANC CORP PA X 04/30/03 GREENE COUNTY BANCORP INC DE X 03/31/03 GRIFFON CORP DE X 03/31/03 GS MORTGAGE SECURITIES CORP DE X 04/29/03 GSI COMMERCE INC DE X X 04/30/03 GUESS INC ET AL/CA/ DE X X 04/30/03 GULF ISLAND FABRICATION INC LA X X 04/30/03 GUSANA EXPLORATIONS INC X 04/29/03 HANCOCK JOHN FINANCIAL SERVICES INC X 04/30/03 HARMAN INTERNATIONAL INDUSTRIES INC / DE X X 03/31/03 HCA INC/TN DE X 04/29/03 HEALTHEXTRAS INC DE X 03/31/03 HEALTHSOUTH CORP DE X X 04/30/03 HOOPER HOLMES INC NY X X 04/24/03 HOST MARRIOTT CORP/ MD X X 04/30/03 HOUSEHOLD HOME EQUITY LOAN TRUST 1999 DE X 04/21/03 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 X 04/21/03 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 04/21/03 HOUSING PROGRAMS LTD CA X 04/30/03 HUDSON VALLEY HOLDING CORP NY X X 04/30/03 HYPERFEED TECHNOLOGIES INC DE X X 04/28/03 I LINK INC FL X X 12/10/02 AMEND ICOS CORP / DE DE X X 04/30/03 IDX SYSTEMS CORP VT X 04/30/03 IDX SYSTEMS CORP VT X 04/30/03 AMEND IKONICS CORP X X 04/17/03 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL X 04/29/03 IMCLONE SYSTEMS INC/DE DE X X 04/29/03 IMPAX LABORATORIES INC DE X 04/30/03 INAMED CORP DE X X 04/30/03 INFOCUS CORP OR X X 04/30/03 INFONET SERVICES CORP X X 04/29/03 INGLES MARKETS INC NC X X 04/28/03 INSIGNIA FINANCIAL GROUP INC /DE/ DE X 04/30/03 INTEGRATED DEFENSE TECHNOLOGIES INC DE X X 04/30/03 INTERACTIVE GAMING & COMMUNICATIONS I DE X X 04/29/03 INTERGRAPH CORP DE X 04/30/03 INTERLINK ELECTRONICS INC DE X X 04/24/03 INTERNET PICTURES CORP DE X 04/30/03 INTERWAVE COMMUNICATIONS INTERNATIONA X X 04/30/03 INTEST CORP DE X X X 04/23/03 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 04/29/03 INVERESK RESEARCH GROUP INC DE X X 04/30/03 IOMED INC UT X X X 04/29/03 IRON MOUNTAIN INC/PA PA X X 04/30/03 JAMESON INNS INC GA X X 04/30/03 JANUS HOTELS & RESORTS INC DE X X 04/30/03 KADANT INC DE X 04/30/03 KANKAKEE BANCORP INC DE X X 04/30/03 KENNAMETAL INC PA X 04/30/03 KERR MCGEE CORP /DE DE X 04/29/03 KERR MCGEE 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OMTOOL LTD DE X X 04/21/03 ON TECHNOLOGY CORP DE X X 04/30/03 ONLINE POWER SUPPLY INC NV X 04/25/03 ONYX ACCEPTANCE CORP DE X X 04/30/03 ORASURE TECHNOLOGIES INC DE X X 04/29/03 PAC-WEST TELECOMM INC X 04/29/03 PACIFIC MAGTRON INTERNATIONAL CORP NV X X 04/28/03 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 04/30/03 PAPA JOHNS INTERNATIONAL INC DE X X 04/29/03 PARADIGM GENETICS INC X X 04/30/03 PARK PHARMACY CORP CO X X 04/20/03 PAVILION BANCORP INC X X 04/30/03 PAXAR CORP NY X X 04/29/03 PC MALL INC DE X X 03/31/03 PCD INC MA X 04/15/03 PEETS COFFEE & TEA INC WA X X 04/30/03 PEGASUS SOLUTIONS INC DE X 03/31/03 PENNSYLVANIA REAL ESTATE INVESTMENT T PA X X 04/29/03 PEP BOYS MANNY MOE & JACK PA X X 04/30/03 AMEND PERFICIENT INC DE X X 04/29/03 PHARMANETICS INC NC X X 04/30/03 PHOENIX FOOTWEAR GROUP INC MA X X 04/29/03 PITTSTON CO VA X 04/30/03 PLC SYSTEMS INC X 04/30/03 PLUMAS BANCORP CA X X 04/30/03 PNM RESOURCES INC NM X 04/30/03 POLARIS INDUSTRIES INC/MN MN X X 04/30/03 POLYONE CORP X X 04/29/03 POPULAR INC PR X X 04/30/03 POTOMAC BANCSHARES INC WV X X 04/30/03 PREMIER FINANCIAL BANCORP INC KY X 04/28/03 PROBUSINESS SERVICES INC DE X 04/30/03 PROGENICS PHARMACEUTICALS INC DE X X 04/30/03 PROGRESS ENERGY INC NC X X 04/30/03 PROLOGIC MANAGEMENT SYSTEMS INC AZ X 04/30/03 PROTECTIVE LIFE CORP DE X 03/31/03 PROVIDENT BANCORP INC/NY/ X X X 04/30/03 PROVIDENT FINANCIAL GROUP INC OH X X 04/30/03 PROVIDENTIAL HOLDINGS INC NV X X 09/12/02 AMEND PS PARTNERS IV LTD CA X X 04/28/03 QRS CORP DE X X 04/30/03 QUADRAMED CORP DE X X 04/17/03 RAINBOW RENTALS INC OH X X 04/30/03 RAKO CAPITAL CORP NV X 04/30/03 RAYOVAC CORP WI X X 04/24/03 RCM TECHNOLOGIES INC NV X X 03/31/03 REAL ESTATE ASSOCIATES LTD II CA X 04/30/03 REAL ESTATE ASSOCIATES LTD III CA X 04/30/03 REAL ESTATE ASSOCIATES LTD IV CA X 04/30/03 REAL ESTATE ASSOCIATES LTD V CA X 04/30/03 REAL ESTATE ASSOCIATES LTD VI CA X 04/30/03 REAL ESTATE ASSOCIATES LTD VII CA X 04/30/03 REAL ESTATE ASSOCIATES LTD/CA CA X 04/30/03 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DE X X 03/31/03 SOUTHWEST GAS CORP CA X X 04/29/03 AMEND SPAR GROUP INC DE X X 04/23/03 SPIEGEL INC DE X 04/28/03 ST JUDE MEDICAL INC MN X 04/16/03 ST JUDE MEDICAL INC MN X 04/16/03 ST PAUL COMPANIES INC /MN/ MN X 04/29/03 ST PAUL COMPANIES INC /MN/ MN X 04/30/03 STAR GAS PARTNERS LP DE X X 04/29/03 STATEFED FINANCIAL CORP DE X X 04/28/03 STATION CASINOS INC NV X X 04/30/03 STEINWAY MUSICAL INSTRUMENTS INC DE X X 04/30/03 STEPAN CO DE X X 04/29/03 STERLING CHEMICALS INC DE X X 04/29/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/26/03 AMEND STRUCTURED ASSET SEC CORP MORT PASS T X X 04/25/02 AMEND STRUCTURED ASSET SEC CORP PASS THR CE DE X X 04/26/03 AMEND STRUCTURED ASSET SECURITIES CORP 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LLC DE X 03/31/03 WORLD OMNI AUTO RECEIVABLES LLC DE X 03/31/03 ZENITH NATIONAL INSURANCE CORP DE X X 04/29/03 ZIONS BANCORPORATION /UT/ UT X 04/30/03 ZIONS BANCORPORATION /UT/ UT X 04/30/03 ZOMAX INC /MN/ MN X X 04/28/03 ZYGO CORP DE X X 04/30/03