SEC NEWS DIGEST Issue 2003-89 May 9, 2003 ENFORCEMENT PROCEEDINGS COMMISSION DENIES MOTION OF CHICAGO BOARD OPTIONS EXCHANGE, INC. TO RECONSIDER ITS OPINION SETTING ASIDE THE FINAL ACTION TERMINATING TOWER TRADING, L.P.'S APPOINTMENT AS A DESIGNATED PRIMARY MARKET-MAKER The Commission today denied the motion of Chicago Board Options Exchange (CBOE) for reconsideration of the Commission's March 19, 2003, opinion that set aside the final action taken by CBOE against Tower Trading, L.P. (Tower). Tower had been appointed by CBOE as a Designated Primary Market-Maker (DPM). CBOE, after a formal hearing, terminated Tower's DPM appointment. The Commission determined that CBOE conducted a procedurally deficient hearing that rendered it unfair, and set aside CBOE's termination decision. CBOE sought certain clarifications to the Commission's opinion that the Commission denied as unwarranted. (Rel. 34-47821; File No. 3-10359) DAMATO PLEADS GUILTY TO CRIMINAL SECURITIES FRAUD Anthony M. Damato, the former president and chief executive officer of Eagle Building Technologies, Inc., of Boca Raton, Florida, pleaded guilty on April 29, 2003, to one count of securities fraud in the Southern District of Florida. In pleading Damato admitted, among other things, that from June 2000 to February 2002 he falsified the company records and press releases of Eagle Building, which trades under the symbol "EGBT." Damato created fraudulent bank account statements and purchase orders and diverted privately invested funds to Eagle Building to create the false appearance of substantial revenue to Eagle Building from sales and operations in India. He also caused Eagle Building to file false quarterly and annual reports. Damato also caused misleading press releases to be issued. Sentencing is scheduled for July 11, 2003 with a maximum of ten years imprisonment, a money penalty of up to $1,000,000 and mandatory restitution. Damato was enjoined by the District Court for the District of Columbia on Oct. 22, 2002, barred from serving as an officer or director of a public company and ordered to disgorge trading profits of $56,263, prejudgment interest of $5,637, and to cancel 367,742 shares of stock received as compensation for acting as an officer and director of the company. Damato consented without admitting or denying the allegations in the Commission's complaint. For further information see LR-17389; LR-17803; and LR-18054. [SEC v. Eagle Building Technologies, Inc. and Anthony Damato, Civil Action No. 1:02CV00397 ESH, USDC, DDC]; [U.S. v. Anthony M. Damato, SD FL, 02-20456CR] (LR-18127; AAE Rel. 1778) SEC SUES FRESNO HOME BUILDER FOR RUNNING $5 MILLION PONZI SCHEME On May 1, the Commission charged Edward Gray of Fresno, California, and his company, Metropolis Holdings, LLC, with defrauding investors out of several million dollars since July 2002. According to the Commission's complaint, Gray raised $5.1 million from investors worldwide by offering interests in a non-existent "Asset Management Program." Gray instead pocketed the money, using investor funds to, among other things, buy a new car and travel to Europe. The United States District Court for the Eastern District of California has issued an order freezing all assets held by Gray and Metropolis. In a complaint filed May 1, the Commission alleges that Gray, a Fresno home builder, told investors that he would use their funds to invest in a $100 million "Leased Asset Management Instrument" promising substantial returns. He further claimed to have obtained an insurance policy guaranteeing the safety of their investments. The Commission's complaint alleges that Gray's representations were entirely false. Gray did not put any money into the supposed investment instruments, nor did he procure any sort of insurance protecting investor funds. Rather, Gray deposited investor funds into a standard brokerage account, withdrawing hundreds of thousands of dollars in cash for himself. The Commission further alleges that Gray spent tens of thousands of dollars of investor funds on trips to Europe, New York, and Las Vegas, a car, jewelry, computers and electronics, and other personal items. In addition, the Commission's papers show that, upon learning of its investigation, Gray lied to the Commission about the whereabouts of investor funds. Even after agreeing to freeze investor funds pending the Commission's investigation, Gray attempted to wire funds from an account he had concealed from the Commission into his lawyer's bank account. Based on the evidence, the Court issued an order temporarily freezing all of Gray's and Metropolis' funds, requiring an accounting, and prohibiting Gray and Metropolis from destroying documents. The Commission's complaint charges Gray and Metropolis with violating 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 complaint seeks permanent injunctions prohibiting future violations of the securities laws, disgorgement, and civil penalties. [SEC v. Metropolis Holdings, LLC and Edward Gray, USDC EDCA, Fresno Division, Civil Action No. F-03-5538] (LR-18128) SEC OBTAINS FINAL JUDGMENTS AGAINST REMAINING DEFENDANTS IN XYLOGICS INSIDER TRADING CASE The Commission recently obtained final judgments against the last four defendants in its insider trading case involving purchases of the stock of Xylogics, Inc. in September 1995. Two of the defendants - Michael R.Hendrix and Craig Larrew -consented to the all of the relief ordered, while the other two defendants - Douglas S. Sawamura and Nick S. Park - consented to some of the relief ordered and unsuccessfully contested the remainder. The Commission's complaint, originally filed in June 2000 and later amended in October 2000, charged a total of 12 defendants with insider trading and tipping before the September 6, 1995 public announcement that Bay Networks, Inc. would acquire Xylogics. The Commission has now successfully concluded the litigation against all 12 defendants, who collectively have been ordered to pay nearly $2 million in disgorgement, interest, and civil penalties. The most recent judgments were entered against: * Michael R. Hendrix, a mid-level manager at Bay Networks at the time of the relevant trading, and a former stockbroker, who settled the case without admitting or denying the allegations of the Commission's complaint. Hendrix consented to a final judgment, entered on April 24, 2003, that permanently enjoined him from violating the anti-fraud provisions of the Securities Exchange Act of 1934 and ordered him to pay a total of $722,100 over five years, which amount consists of $104,886 in disgorgement of his own trading profits, $56,203 in prejudgment interest on those profits, and a $561,011 civil penalty (the penalty being equal to the profits realized by those he tipped plus three times his own trading profits). * Craig Larrew, one of Hendrix's direct tippees, who also settled the case without admitting or denying the Commission's allegations. Larrew consented to a final judgment, entered on February 19, 2003, that permanently enjoined him from violating the anti-fraud provisions of the Exchange Act and ordered him to pay $88,813, which amount consists of $36,839 in disgorgement of his trading profits, $15,135 in prejudgment interest on those profits, and a $36,839 civil penalty. * Douglas S. Sawamura, another Hendrix tippee, who conceded the appropriateness of disgorgement with prejudgment interest, but contested the Commission's request for other remedies in a trial held before the Honorable James Ware, U.S. District Judge for the Northern District of California, on January 30, 2003. After trial, Judge Ware found Sawamura liable for insider trading and entered a judgment, dated March 19, 2003, that permanently enjoined Sawamura from violating the anti-fraud provisions of Exchange Act Section 10(b) and Rule 10b-5 and ordered him to pay $124,615 in disgorgement of trading profits, prejudgment interest in an amount yet to be specified, and a $75,000 civil penalty. * Nick S. Park, an indirect tippee of Hendrix, who conceded liability and the appropriateness of disgorgement, but contested the Commission's request for other remedies in a trial held before Judge Ware on January 29, 2003. After trial, Judge Ware entered a judgment against Park, dated March 19, 2003, that permanently enjoined Park from violating the anti-fraud provisions of Exchange Act Section 10(b) and Rule 10b-5 and ordered him to pay $108,625 in disgorgement of trading profits, prejudgment interest in an amount yet to be specified, and a $36,000 civil penalty. For further information about this case and the Commission's previous settlements with the other defendants, see Litigation Release Nos. 16591 (June 15, 2000), 16999 (May 14, 2001), and 17212 (Oct. 31, 2001). [SEC v. Michael R. Hendrix, et al., Civil Action No. C-00-20655 (JW) (N.D. Cal.)] (LR-18129) HOLDING COMPANY ACT RELEASES NORTHEAST UTILITIES A supplemental order has been issued modifying a previous order authorizing Northeast Utilities (NU) to issue unsecured long-term debt securities in an aggregate amount at any time outstanding not to exceed $600 million and to enter into hedging transactions with respect to existing and future indebtedness of NU and its nonutility subsidiaries. (Rel. 27675) UNISOURCE ENERGY CORPORATION A notice has been issued giving interested persons until June 2, 2003, to request a hearing on proposals by UniSource Energy Corporation (UniSource Energy), an exempt public utility holding company. UniSource Energy requests authority to acquire all the issued and outstanding common stock of one or more newly formed Arizona corporations through which it will acquire the operating electric and gas utility properties of Citizens Communications Company. (Rel. 35-27676) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES A proposed rule change has been filed by the Philadelphia Stock Exchange to retroactively apply its broker-dealer transaction fee for equity option transactions for the period from April 1, 2003, to April 10, 2003, (SR-Phlx-2003-28). Publication of the proposal is expected in the Federal Register during the week of May 12. (Rel. 34-47799) A proposed rule change (SR-CHX-2003-08) has been filed by the Chicago Stock Exchange relating to execution of resting limit orders following primary market block trade-throughs. Publication of the notice in the Federal Register is expected during the week of May 12. (Rel. 34- 47800) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2003- 11) relating to NYSE Broker Volume Web Service. Publication of the notice in the Federal Register is expected during the week of May 12. (Rel. 34-47813) A proposed rule change has been filed by the Municipal Securities Rulemaking Board (SR-MSRB-2003-03) relating to marketing of 529 College Savings Plans in the workplace. Publication of the notice in the Federal Register is expected during the week of May 12. (Rel. 34- 47815) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2003-34) to establish its payment for order flow fees for the period from May through July 2003. The proposal has become effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 12. (Rel. 34-47805) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval of a proposed rule change (SR-OC-2003-05) and Amendment No. 1 thereto submitted by OneChicago, LLC to adopt, on a permanent basis, the standards under which a market maker can qualify for exclusion from OneChicago's margin rules. (Rel. 34- 47810) PARTIAL APPROVAL OF PROPOSED RULE CHANGE The Commission partially approved a proposed rule change (SR-CHX-2002- 20) filed by the Chicago Stock Exchange relating to automatic execution of market and marketable limit orders. Publication of the notice in the Federal Register is expected during the week of May 12. (Rel. 34- 47811) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change submitted by the Municipal Securities Rulemaking Board (SR-MSRB-2002-12) relating to Amendments to Rules G-37, on Political Contributions and Prohibitions on Municipal Securities Business, G-8, on Books and Records, Revisions to Form G-37/G-38 and the Withdrawal of Certain Rule G-37 Questions and Answers. The Commission's approval order is expected in the Federal Register during the week of May 12. (Rel. 34-47814) The Commission approved a proposed rule change submitted by the Philadelphia Stock Exchange (SR-Phlx-2002-17) relating to crossing, facilitation, and solicited orders. Publication of the order in the Federal Register is expected during the week of May 12. (Rel. 34-47819) 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 TEMPLE INLAND INC, 1300 MOPAC EXPRESSWAY SOUTH, AUSTIN, TX, 78746, 5124348000 - 2,600,000 ($117,325,000.00) Equity, (File 333-105072 - May. 8) (BR. 04) S-8 INTERNATIONAL MICROCOMPUTER SOFTWARE INC /CA/, 75 ROWLAND WAY, NOVATO, CA, 94945, 4158784000 - 6,400,413 ($4,596,552.00) Equity, (File 333-105073 - May. 8) (BR. 03) S-8 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 3,000,000 ($660,000.00) Other, (File 333-105074 - May. 8) (BR. 37) SB-2 OGDEN GOLF CO CORP, 1781 WASHINGTON BLVD, OGDEN, UT, 84404, 8016274442 - 2,596,500 ($1,293,250.00) Equity, (File 333-105075 - May. 8) (BR. ) F-9 PETRO CANADA, 150 6TH AVE S W, CALGARY ALBERTA CANA, A0, T2P 3Y7, 4032968000 - 0 ($1,000,000,000.00) Other, (File 333-105076 - May. 8) (BR. 04) S-3 CAPITAL AUTO RECEIVABLES INC, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 3135561240 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-105077 - May. 8) (BR. 05) S-3 DIGITALTHINK INC, 601 BRANNAN STREET, SAN FRANCISCO, CA, 94107, 4156254000 - 2,000,000 ($4,850,000.00) Equity, (File 333-105078 - May. 8) (BR. 08) S-8 ENTERPRISE BANCORP INC /MA/, 222 MERRIMACK ST, LOWELL, MA, 01852, 5084599000 - 176,546 ($2,303,925.30) Other, (File 333-105079 - May. 8) (BR. 07) S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 5176361000 - 500,000 ($16,100,000.00) Equity, (File 333-105080 - May. 8) (BR. 02) S-8 JARDEN CORP, 555 THEODORE FREMD AVE, RYE, NY, 10580, 914 967 9400 - 2,300,000 ($67,482,000.00) Equity, (File 333-105081 - May. 8) (BR. 02) S-8 PERFORMANCE FOOD GROUP CO, 12500 WEST CREEK PARKWAY, RICHMOND, VA, 23238, 804-484-7700 - 2,325,189 ($79,723,130.81) Equity, (File 333-105082 - May. 8) (BR. 04) S-8 ZETA CORP, 1628 WEST 1ST AVENUE, UNIT 216, VANCOUVER, A1, V6J 1G1, 604-659-5005 - 39,100,000 ($26,851,000.00) Equity, (File 333-105083 - May. 8) (BR. 09) S-3 ELECTRIC CITY CORP, 1280 LANDMEIER ROAD, ELK GROVE, IL, 60007, 8474371666 - 0 ($23,509,922.00) Equity, (File 333-105084 - May. 8) (BR. 03) S-8 BEVSYSTEMS INTERNATIONAL INC, 501 BRICKELL KEY DRIVE, SUITE 407, MIAMI, FL, 33151, 786-425-2201 - 7,550,000 ($717,250.00) Equity, (File 333-105086 - May. 8) (BR. 02) S-8 ALLIANCE GAMING CORP, 6601 S. BERMUDA RD., LAS VEGAS, NV, 89119, 7028967700 - 2,000,000 ($32,740,000.00) Equity, (File 333-105087 - May. 8) (BR. 05) S-3 I MANY INC, 537 CONGRESS STREET, 5TH FLOOR, PORTLAND, ME, 04101, 2077743244 - 1,088,339 ($1,110,106.00) Equity, (File 333-105088 - May. 8) (BR. 05) S-1 MONY LIFE INSURANCE COMPANY OF AMERICA, 1740 BROADWAY, NEW YORK, NY, 10017, 0 ($200,000,000.00) Other, (File 333-105089 - May. 8) (BR. 20) S-8 CENTURYTEL INC, P O BOX 4065, 100 CENTURYTEL DR, MONROE, LA, 71203, 3183889000 - 6,000,000 ($6,000,000.00) Equity, (File 333-105090 - May. 8) (BR. 37) S-8 WELLS FARGO & CO/MN, 420 MONTGOMERY ST, SAN FRANCISCO, CA, 94163, 6126671234 - 0 ($38,768,000.00) Equity, (File 333-105091 - May. 8) (BR. 07) S-3 OHIO CASUALTY CORP, 9450 SEWARD ROAD, FAIRFIELD, OH, 45014, 5136032600 - 1 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-105092 - May. 8) (BR. 01) S-3 CDW COMPUTER CENTERS INC, 200 N MILWAUKEE AVE, VERNON HILLS, IL, 60061, 8474656000 - 1,108,864 ($49,178,118.00) Equity, (File 333-105093 - May. 8) (BR. 02) S-8 NORTH AMERICAN TECHNOLOGIES GROUP INC /MI/, 14315 WEST HARDY ROAD, SUITE 301, HOUSTON, TX, 77060, 281-847-0029 - 2,500,000 ($1,500,000.00) Equity, (File 333-105094 - May. 8) (BR. 02) S-3 USA INTERACTIVE, 152 WEST 57TH ST, NEW YORK, NY, 10019, 2123147300 - 4,400,000 ($99,396,000.00) Equity, (File 333-105095 - May. 8) (BR. 37) S-B CORPORACION ANDINA DE FOMENTO, TORRE CENTRAL, AVENIDA LUIS ROCHE ALTAMIRA, CARACAS VENEZUELA, X5, 999999999, 0 ($200,000,000.00) Non-Convertible Debt, (File 333-105096 - May. 8) (BR. DN) S-8 DIGIMARC CORP, 19801 SW 72ND AVENUE, STE 100, TUALATIN, OR, 97062, 5039682908 - 0 ($26,293,149.98) Equity, (File 333-105097 - May. 8) (BR. 03) 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 ------------------------------------------------------------------------------------ 24/7 REAL MEDIA INC DE X X 05/08/03 3DO CO DE X X 05/02/03 ABERCROMBIE & FITCH CO /DE/ DE X X 05/08/03 ABFC MORTGAGE LOAN ASSET BACKED CERT DE X X 05/08/03 ACETO CORP NY X X 05/08/03 ACTERNA CORP DE X X 05/06/03 ACTIVISION INC /NY DE X X 05/08/03 ADAM INC GA X X 05/06/03 ADVANCED PLANT PHARMACEUTICALS INC DE X 03/11/03 AMEND ADVANSTAR COMMUNICATIONS INC NY X X 05/07/03 AIRGAS INC DE X X 05/07/03 AIRLEASE LTD CA X X 04/29/03 AIRNET SYSTEMS INC OH X X 05/07/03 AIRSPAN NETWORKS INC WA X X 04/30/03 ALAMO GROUP INC DE X 05/06/03 ALLIANCE BANKSHARES CORP X X 05/07/03 ALLIANT TECHSYSTEMS INC DE X X 05/06/03 ALLIED HEALTHCARE INTERNATIONAL INC NY X X X 05/08/03 ALPHANET SOLUTIONS INC NJ X X 05/06/03 AMERICAN BUSINESS FINANCIAL SERVICES DE X X 05/01/03 AMERICAN EXPRESS CENTURION BANK UT X X 05/07/03 AMERICAN INSURED MORTGAGE INVESTORS CA X X 03/31/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 03/31/03 AMERICAN INSURED MORTGAGE INVESTORS L DE X X 03/31/03 AMERICAN INSURED MORTGAGE INVESTORS S CA X X 03/31/03 AMERICAN MORTGAGE ACCEPTANCE CO MA X X 05/07/03 AMERICAN OIL & GAS INC NV X 05/08/03 AMERICAN RETIREMENT CORP TN X X 05/08/03 AMERICAN RETIREMENT CORP TN X X 05/08/03 AMERIQUEST MORT SEC INC ASSET BACK PA DE X X 04/04/03 AMERUS GROUP CO/IA IA X X X 05/06/03 ANGELO & MAXIES INC DE X X 05/08/03 APROPOS TECHNOLOGY INC X X 04/18/03 ARAMARK CORP/DE DE X X 05/08/03 ARAMARK CORP/DE DE X X 05/08/03 ARDEN GROUP INC DE X X 05/08/03 ARGONAUT GROUP INC DE X X 05/08/03 ARIS INDUSTRIES INC NY X X 05/08/03 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE X X 05/02/03 ASANTE TECHNOLOGIES INC DE X X 04/30/03 ASCENT ASSURANCE INC DE X X 05/08/03 ASSET BACKED PASS THROUGH CERTIFICATE DE X X 04/04/03 ASSISTED LIVING CONCEPTS INC NV X 05/07/03 ATARI INC DE X X 05/06/03 ATCHISON CASTING CORP KS X X 05/07/03 AVANIR PHARMACEUTICALS CA X X 05/08/03 AVI BIOPHARMA INC OR X X 05/05/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 05/08/03 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 05/08/03 BARRY R G CORP /OH/ OH X X 05/08/03 BAY NATIONAL CORP X X 04/30/03 BEAR ISLAND PAPER CO LLC VA X X 05/05/03 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 05/08/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 05/08/03 BEAR STEARNS ASSET BACKED SECURITIES DE X X 05/08/03 BEBE STORES INC CA X X 05/08/03 BERKSHIRE HATHAWAY INC DE X 05/05/03 BERRY PETROLEUM CO DE X 05/05/03 BETA OIL & GAS INC NV X X 05/06/03 BIO IMAGING TECHNOLOGIES INC DE X X 05/08/03 BIRNER DENTAL MANAGEMENT SERVICES INC CO X X 05/08/03 BOWNE & CO INC DE X X 05/07/03 BRAUN CONSULTING INC DE X X 05/08/03 BRIGHAM EXPLORATION CO DE X X 05/06/03 BROOKFIELD HOMES CORP DE X X 05/05/03 BROWN TOM INC /DE DE X 05/08/03 BRUKER AXS INC X X 05/08/03 BUFFETS INC MN X 05/08/03 BUYERS UNITED INC DE X X 05/01/03 CALIFORNIA MICRO DEVICES CORP CA X X 05/08/03 CAMBRIDGE HEART INC DE X X 05/08/03 CAPTARIS INC WA X X 05/08/03 CARRIZO OIL & GAS INC TX X X 05/01/03 CATALINA MARKETING CORP/DE DE X 05/08/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 04/25/03 CDRJ INVESTMENTS LUX S A N4 X X 05/08/03 CENTRAL BANCORP INC /MA/ MA X X 05/02/03 CENTURY CASINOS INC /CO/ DE X 05/08/03 AMEND CERES GROUP INC DE X X 05/07/03 CH2M HILL COMPANIES LTD OR X 05/05/03 CITADEL SECURITY SOFTWARE INC DE X 05/06/03 CLASSICA GROUP INC NY X X X 05/08/03 AMEND CLECO CORP LA X X X 05/05/03 CLOROX CO /DE/ DE X 05/08/03 CLOROX CO /DE/ DE X 05/08/03 AMEND CLOVER LEAF FINANCIAL CORP DE X X 05/06/03 CMS ENERGY CORP MI X X 05/08/03 CNA FINANCIAL CORP DE X X 05/08/03 COLMENA CORP DE X X X 05/08/03 COMMUNICATIONS SYSTEMS INC MN X 05/06/03 COMMUNITY BANK SYSTEM INC DE X X 05/06/03 COMPREHENSIVE CARE CORP DE X X 05/08/03 CONCEPTUS INC DE X X X 05/08/03 CONRAD INDUSTRIES INC DE X X X 05/07/03 CORNELL COMPANIES INC DE X X 05/07/03 CORRECTIONS CORP OF AMERICA MD X X 05/08/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 05/08/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 05/08/03 CRESCENT BANKING CO GA X X 05/07/03 CUBIST PHARMACEUTICALS INC DE X X 05/07/03 CWMBS INC DE X X 05/08/03 CYTYC CORP DE X X 05/07/03 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 05/07/03 DCAP GROUP INC/ DE X 04/29/03 DEAN FOODS CO/ DE X X X 05/08/03 DELCO REMY INTERNATIONAL INC DE X 05/08/03 DENNYS CORP DE X 05/07/03 DEVON ENERGY CORP/DE DE X 05/08/03 DEVON ENERGY CORP/DE DE X 05/08/03 DEVON ENERGY CORP/DE DE X 05/08/03 AMEND DIGITAL COURIER TECHNOLOGIES INC DE X X 05/07/03 DIGITAL LIGHTWAVE INC DE X 05/08/03 DIME COMMUNITY BANCSHARES INC DE X 05/08/03 DOANE PET CARE CO DE X 05/08/03 DOLLAR GENERAL CORP TN X X 05/08/03 DOLLAR TREE STORES INC VA X 05/03/03 DUKE ENERGY CORP NC X X 05/07/03 DYNAMIC IMAGING GROUP INC/FL FL X 05/11/02 AMEND E TRADE BANK ARM TRUST MORTGAGE PASS DE X X 05/08/03 EASYLINK SERVICES CORP DE X X 05/08/03 ECHOSTAR DBS CORP CO X 05/08/03 EL PASO ENERGY PARTNERS LP DE X X 05/08/03 ELECTRIC FUEL CORP DE X 08/02/02 AMEND ELECTRONIC DATA SYSTEMS CORP /DE/ DE X X 05/07/03 AMEND EMISPHERE TECHNOLOGIES INC DE X X 05/08/03 EMPIRE DISTRICT ELECTRIC CO KS X 05/08/03 ENBRIDGE ENERGY PARTNERS LP DE X X 05/06/03 ENDOLOGIX INC /DE/ DE X X 05/08/03 ENTERCOM COMMUNICATIONS CORP PA X X 05/05/03 EQUITY OIL CO CO X X 05/08/03 EQUITY ONE INC MD X X 05/08/03 EXELON CORP PA X 05/07/03 FEDERATED DEPARTMENT STORES INC /DE/ DE X 05/08/03 FIRST NATIONAL BANKSHARES CORP WV X X 03/31/03 FIRST TENNESSEE NATIONAL CORP TN X X 05/07/03 FLEMING COMPANIES INC /OK/ OK X X 05/02/03 FLORIDAFIRST BANCORP INC FL X X 05/05/03 FOOT LOCKER INC NY X X 05/08/03 G REIT INC VA X X X 04/25/03 GABELLI ASSET MANAGEMENT INC NY X 05/08/03 AMEND GABELLI GLOBAL MULTIMEDIA TRUST INC MD X 05/08/03 AMEND GABLES RESIDENTIAL TRUST MD X X 05/08/03 GAP INC DE X X X 05/08/03 GATX CORP NY X X 05/08/03 GENERAL COMMUNICATION INC AK X 05/07/03 GENESIS ENERGY LP DE X 05/02/02 GENZYME CORP MA X 05/08/03 GILEAD SCIENCES INC DE X X 01/16/03 AMEND GLOBAL INDUSTRIES LTD LA X 03/31/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 05/08/03 GORAN CAPITAL INC A6 X 05/05/03 GREY WOLF INC TX X X 05/08/03 GUILFORD PHARMACEUTICALS INC DE X 05/08/03 GYMBOREE CORP DE X X 05/08/03 HALLWOOD REALTY PARTNERS L P DE X 05/05/03 HARRIS & HARRIS GROUP INC /NY/ NY X 05/05/03 HARRIS INTERACTIVE INC DE X 05/08/03 HARTFORD FINANCIAL SERVICES GROUP INC DE X 05/08/03 HARVEST NATURAL RESOURCES INC DE X X 05/07/03 HCC INSURANCE HOLDINGS INC/DE/ DE X X 05/08/03 HEARUSA INC DE X X 05/06/03 HINES HORTICULTURE INC DE X X 05/05/03 HOME PROPERTIES OF NEW YORK INC MD X X 03/31/03 AMEND HOMESTORE INC DE X 05/07/03 HORNBECK OFFSHORE SERVICES INC /LA DE X X 05/08/03 HOT TOPIC INC /CA/ CA X X 05/07/03 HOUSEHOLD FINANCE CORP DE X 05/08/02 IESI CORP DE X X 05/08/03 IGATE CORP PA X X 05/08/03 IKON RECEIVABLES FUNDING LLC DE X X 04/23/03 IMAGISTICS INTERNATIONAL INC DE X X 05/08/03 IMAX CORP A6 X 05/07/03 IMMUNOGEN INC MA X X 05/08/03 IMPAX LABORATORIES INC DE X X 05/06/03 IMS HEALTH INC DE X 05/07/03 INFOUSA INC DE X X 05/07/03 INSIGNIA SOLUTIONS PLC X X 04/23/03 INTER PARFUMS INC DE X 05/08/03 INTERNATIONAL BANCSHARES CORP TX X X 05/07/03 AMEND INTERNATIONAL MICROCOMPUTER SOFTWARE CA X 04/30/03 INTERNET AMERICA INC TX X X X 05/07/03 INTERNET CAPITAL GROUP INC DE X X 05/08/03 INTERPUBLIC GROUP OF COMPANIES INC DE X X 05/08/03 IRVINE SENSORS CORP/DE/ DE X X 05/06/03 IRWIN HOME EQUITY LOAN BACK CERTS SER NY X X 05/08/03 IRWIN HOME EQUITY LOAN BACK NOTES SER NY X X 05/08/03 ISIS PHARMACEUTICALS INC DE X X 05/08/03 ITIS INC DE X X 04/24/03 AMEND J CREW GROUP INC NY X X 05/06/03 JARDINE FLEMING CHINA REGION FUND INC MD X 05/08/03 JDS UNIPHASE CORP /CA/ DE X 06/30/03 JMXI INC DE X X 05/01/03 JO-ANN STORES INC OH X X 05/08/03 JONES LANG LASALLE INC MD X X 05/07/03 JOSTENS INC MN X 05/08/03 KEITH COMPANIES INC CA X X 05/08/03 KFX INC DE X X 05/08/03 KIMCO REALTY CORP MD X X 05/08/03 LANCER CORP /TX/ TX X X 05/07/03 LAZARUS INDUSTRIES INC UT X X 05/07/03 LECTEC CORP /MN/ MN X X 05/07/03 LEHMAN BROTHERS HOLDINGS INC DE X 05/08/03 LEHMAN BROTHERS HOLDINGS INC DE X 05/08/03 LIBERTY CORP SC X 05/06/03 LIQUID AUDIO INC DE X 05/01/03 LIVEPERSON INC DE X X 05/01/03 LOEWS CORP DE X X 05/09/03 LONDON PACIFIC GROUP LTD X 05/08/03 M & F WORLDWIDE CORP DE X X 05/07/03 MACK CALI REALTY CORP MD X X 05/07/03 MAIN STREET & MAIN INC DE X 05/08/03 MAJESTIC INVESTOR HOLDINGS LLC DE X X 05/08/03 MAJESTIC STAR CASINO LLC IN X X 05/08/03 MANUFACTURED HOME COMMUNITIES INC MD X X 05/08/03 MARTIN MIDSTREAM PARTNERS LP DE X X 05/07/03 MARVEL ENTERPRISES INC DE X X 05/06/03 MAY DEPARTMENT STORES CO DE X X 05/08/03 MBNA CORP MD X 05/08/03 MEDALLION FINANCIAL CORP DE X X 05/08/03 MEDCATH CORP DE X X 05/08/03 MEGO FINANCIAL CORP NY X X 05/05/03 AMEND MERISTAR HOSPITALITY CORP MD X 05/08/03 MERISTAR HOSPITALITY OPERATING PARTNE DE X 05/08/03 MERRILL LYNCH MORT INVEST INC MORT LN DE X X 05/08/03 METALDYNE CORP DE X 05/08/03 MICHAELS STORES INC DE X X 05/08/03 MICROFINANCIAL INC MA X X 05/07/03 MID ATLANTIC MEDICAL SERVICES INC DE X 03/31/03 MIDCAROLINA FINANCIAL CORP NC X 05/08/03 MIDCAROLINA FINANCIAL CORP NC X 05/08/03 MIIX GROUP INC DE X X 05/07/03 MILLER HERMAN INC MI X 05/05/03 MONSANTO CO /NEW/ DE X X 05/08/03 MONTEREY PASTA CO DE X X 05/08/03 MONY GROUP INC DE X X X 05/08/03 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 05/08/03 MORTGAGE ASSET SEC TRANSACTIONS INC M DE X X 05/08/03 MOVIE GALLERY INC DE X X 05/08/03 MPHASE TECHNOLOGIES INC NJ X X 05/08/03 MPOWER HOLDING CORP DE X X 05/06/03 MYMETICS CORP DE X 05/05/03 NACCO INDUSTRIES INC DE X 05/05/03 NASDAQ STOCK MARKET INC DE X X 05/08/03 NATIONAL VISION INC GA X 05/06/03 NATIONAL WESTERN LIFE INSURANCE CO CO X 05/07/03 NATURAL GAS SERVICES GROUP INC X 05/08/03 NATURAL RESOURCE PARTNERS LP DE X X 05/08/03 NEIMAN MARCUS GROUP INC DE X X 05/08/03 NETMEASURE TECHNOLOGY INC NV X 04/24/03 NEW ENGLAND REALTY ASSOCIATES LIMITED MA X X 04/25/03 NEW HORIZONS WORLDWIDE INC DE X 04/30/03 AMEND NEW PLAN EXCEL REALTY TRUST INC MD X X 05/08/03 NEW PLAN EXCEL REALTY TRUST INC MD X 05/08/03 NEW WORLD PASTA CO DE X X 05/05/03 NEXTEL PARTNERS INC DE X 05/06/03 NORTH COAST ENERGY INC / DE/ DE X X 05/08/03 NORTHWESTERN CORP DE X X 05/07/03 NORTHWESTERN CORP DE X 04/30/03 NOTIFY TECHNOLOGY CORP CA X X 05/08/03 NUMEREX CORP /PA/ PA X X 05/06/03 NVIDIA CORP DE X 05/08/03 OCULAR SCIENCES INC /DE/ DE X 05/08/03 OHIO CASUALTY CORP OH X 05/08/03 OHIO CASUALTY CORP OH X X 05/08/03 OLD REPUBLIC INTERNATIONAL CORP DE X 05/08/03 OLYMPIC STEEL INC OH X X 05/08/03 OMEGA HEALTHCARE INVESTORS INC MD X X 05/08/03 ORCHID BIOSCIENCES INC X X 05/08/03 OREGON STEEL MILLS INC DE X 03/31/03 OREGON TRAIL FINANCIAL CORP OR X X 05/08/03 PACIFIC BIOMETRICS INC DE X X 05/06/03 PACKAGED ICE INC TX X X 05/06/03 PANERA BREAD CO DE X 05/08/03 PARK OHIO HOLDINGS CORP OH X X 05/07/03 PARTNERRE LTD X X 05/08/03 PC TEL INC DE X X 05/08/03 PEMCO AVIATION GROUP INC DE X X 05/02/03 PENN VIRGINIA CORP VA X X 05/08/03 PENN VIRGINIA RESOURCE PARTNERS L P DE X X 05/08/03 PEOPLES BANCORP IN X X 05/05/03 PER SE TECHNOLOGIES INC DE X X 05/08/03 PERCEPTRON INC/MI MI X X 05/08/03 PERINI CORP MA X 05/08/03 PERMA TUNE ELECTRONICS INC TX X X 05/06/03 PETROCORP INC TX X X 05/07/03 PETROLEUM DEVELOPMENT CORP NV X 05/07/03 PETROQUEST ENERGY INC DE X X 05/08/03 PHOENIX COMPANIES INC/DE DE X X 05/08/03 PHOTRONICS INC CT X X 05/07/03 PICCADILLY CAFETERIAS INC LA X X 05/07/03 PLAYBOY ENTERPRISES INC DE X 05/07/03 PLIANT CORP UT X 05/07/03 POZEN INC /NC X X 05/08/03 PROCTER & GAMBLE CO OH X 05/08/03 PROSPERITY BANCSHARES INC TX X X 05/06/03 PXRE GROUP LTD X X 05/07/03 PXRE GROUP LTD X X 05/07/03 AMEND QCR HOLDINGS INC DE X 05/08/03 QUIPP INC FL X X 05/07/03 RADIO ONE INC DE X 05/08/03 RADYNE COMSTREAM INC NY X X 05/07/03 RAINBOW RENTALS INC OH X X 05/07/03 RAYONIER INC NC X X 05/08/03 RECONDITIONED SYSTEMS INC AZ X X X 05/07/03 RELIANT RESOURCES INC DE X X 05/08/03 RENAISSANCE MORT ACCEPT CORP HOME EQ DE X X 05/08/03 RES CARE INC /KY/ KY X 05/07/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 05/08/03 RESOURCE AMERICA INC DE X X X 05/08/03 RIDGEWOOD HOTELS INC DE X 05/08/03 ROCKWELL MEDICAL TECHNOLOGIES INC MI X 05/08/03 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO X X 05/08/03 ROSS STORES INC DE X X 05/08/03 ROUSE COMPANY MD X X 05/08/03 ROYAL GOLD INC DE X X 05/08/02 RSTAR CORP DE X 05/07/03 RUBIOS RESTAURANTS INC DE X X 05/08/03 RUSS BERRIE & CO INC NJ X X 05/08/03 SAVVIS COMMUNICATIONS CORP DE X 05/07/03 SCHIMATIC CASH TRANSACTIONS NETWORK C FL X X 04/30/03 SCPIE HOLDINGS INC DE X X 05/08/03 SERVICE CORPORATION INTERNATIONAL TX X X 05/08/03 SGD HOLDINGS LTD DE X 04/23/03 SHIRE PHARMACEUTICALS GROUP PLC X X 05/08/03 SIMON PROPERTY GROUP INC /DE/ DE X X 05/07/03 SMITH & WOLLENSKY RESTAURANT GROUP IN DE X X 05/08/03 SOS STAFFING SERVICES INC UT X X 03/31/02 SPIEGEL INC DE X 05/08/03 SPINNAKER EXPLORATION CO DE X 05/06/03 ST MARY LAND & EXPLORATION CO DE X X 03/31/03 STAGE STORES INC NV X X 05/08/03 STANLEY WORKS CT X X 05/08/03 STAR E MEDIA CORP NV X 04/30/03 STATEN ISLAND BANCORP INC DE X X 05/08/03 STEPHAN CO FL X X 04/30/03 STONE ENERGY CORP DE X X 03/31/03 STONEPATH GROUP INC DE X X 05/07/03 STRONGHOLD TECHNOLOGIES INC NV X X 05/05/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 05/08/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 05/08/03 STRUCTURED ASSET MORT INV INC THORNBU NY X X 05/08/03 STURM RUGER & CO INC DE X X 05/06/03 SUB SURFACE WASTE MANAGEMENT OF DELAW DE X X 05/07/03 SUNRISE ASSISTED LIVING INC DE X X 05/08/03 SYNAGRO TECHNOLOGIES INC DE X X 05/08/03 TALBOTS INC DE X X 05/08/03 TALBOTS INC DE X X 02/28/03 TAYLOR ANN STORES CORP DE X X 05/08/03 TECHTEAM GLOBAL INC DE X X 05/08/03 TENFOLD CORP /UT DE X X 05/07/03 TEXAS BIOTECHNOLOGY CORP /DE/ DE X X 05/08/03 TIDELANDS OIL & GAS CORP/WA NV X X X 05/06/03 TOLL BROTHERS INC DE X X 05/08/03 TRC COMPANIES INC /DE/ DE X X 05/08/03 TRIZEC PROPERTIES INC DE X X 05/08/03 TTM TECHNOLOGIES INC WA X 05/06/03 TTM TECHNOLOGIES INC WA X 05/08/03 TVE CORP DE X X 03/20/03 AMEND TVIA INC DE X X 05/08/03 U S RESTAURANT PROPERTIES INC MD X X 05/07/03 UFP TECHNOLOGIES INC DE X X 05/07/03 UNITED GUARDIAN INC DE X X 05/06/03 UNITEDHEALTH GROUP INC MN X X 05/08/03 UNIVISION COMMUNICATIONS INC DE X 05/08/03 UNUMPROVIDENT CORP DE X X 05/07/03 URBAN OUTFITTERS INC PA X X 05/08/03 US INDUSTRIES INC /DE DE X X 05/08/03 USA VIDEO INTERACTIVE CORP WY X X 05/07/03 VERTICALNET INC PA X X 05/06/03 VIEWLOCITY INC X X 05/02/03 VINTAGE PETROLEUM INC DE X X 05/07/03 VIROPHARMA INC DE X 05/08/03 VISION BANCSHARES INC AL X X 05/08/03 VISIONS IN GLASS INC DE X X 05/06/03 VITAL SIGNS INC NJ X X 05/08/03 VORNADO OPERATING CO DE X X 05/07/03 WACKENHUT CORRECTIONS CORP FL X X X 05/01/03 WELLS FARGO ASSET SECURITIES CORP DE X X 05/07/03 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 05/08/03 WELLSFORD REAL PROPERTIES INC MD X X 05/08/03 WERNER HOLDING CO INC /DE/ DE X X 05/07/03 WESTCOAST HOSPITALITY CORP WA X 05/07/03 WESTERN GAS RESOURCES INC DE X 05/08/03 WESTERN POWER & EQUIPMENT CORP DE X X 05/01/03 WHOLE FOODS MARKET INC TX X X 05/07/03 WILLBROS GROUP INC R1 X X 05/07/03 WILLIAM LYON HOMES DE X 05/08/03 WINESHARES INTERNATIONAL INC X 04/09/03 AMEND WISER OIL CO DE X X 05/07/03 WJ COMMUNICATIONS INC CA X X 05/06/03 WMS INDUSTRIES INC /DE/ DE X 05/07/03 XM SATELLITE RADIO HOLDINGS INC DE X X 05/08/03 XYNERGY CORP NV X X 04/27/03 AMEND Z TEL TECHNOLOGIES INC DE X 05/08/03 ZALE CORP DE X X 05/08/03 ZARLINK SEMICONDUCTOR INC X X 05/08/03 ZILA INC DE X X 05/05/03 ZOOLINK CORP NV X 02/04/03 AMEND