SEC NEWS DIGEST Issue 2003-116 June 18, 2003 RULES AND RELATED MATTERS COMMISSION ISSUES PROPOSED RULE RELATING TO TRANSFER AGENT ELECTRONIC RECORDKEEPING On June 16, the Commission proposed for public comment two amendments to its rule concerning recordkeeping requirements for registered transfer agents, Rule 17Ad-7, under the Securities Exchange Act of 1934. The amendments would add language to make clear that registered transfer agents may use electronic, microfilm, and microfiche media as a substitute for hard copy records, including cancelled stock certificates, for purposes of complying with the Commission's transfer agent recordkeeping rules and that a third party on behalf of a registered transfer agent may place into escrow the required software information. Publication of the proposal is expected in the Federal Register during the week of June 23. (Rel. 34-48036) ENFORCEMENT PROCEEDINGS IN THE MATTER OF JOHN MCCAMEY AND SIERRA EQUITY PARTNERS, LP An Administrative Law Judge has issued an Initial Decision in Administrative Proceeding No. 3-10911, In the Matter of John Christopher McCamey and Sierra Equity Partners, LP. The Initial Decision finds that John Christopher McCamey and Sierra Equity Partners, LP, willfully violated Sections 5(a), 5(c), 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Initial Decision also finds that McCamey willfully aided and abetted and caused Sierra Brokerage Services, Inc.'s violations of Section 15(c) of the Exchange Act and Rule 15cl-2 thereunder and that Sierra Equity caused Sierra Brokerage's violations of Section 15(c) of the Exchange Act and Rule l5cl-2. The Initial Decision imposes cease- and-desist orders on McCamey and Sierra Equity, bars McCamey from associating with any broker or dealer, and imposes a $60,000 civil monetary penalty on McCamey. (Initial Decision Release No. 230; File No. 3-10911) COMMISSION INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST VIVIAN HAGEN On June 17, the Commission instituted a settled administrative proceeding against Vivian E. Hagen, formerly of Boise, Idaho, pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934. Hagen submitted an Offer of Settlement in which, while neither admitting nor denying the Commission's findings, she consented to the entry of an order barring her from association with any broker or dealer. The Order was based on an injunction entered against her by state securities regulators in Idaho for committing fraud in connection with the offer, sale, or purchase of securities and selling or offering for sale nonexempt and unregistered securities, and a state felony conviction for grand theft arising from the same conduct. The underlying conduct involves Hagen's misappropriation from November 1995 to September 2001 of more than $521,000 from nine elderly Idaho residents who were her investment clients. The Commission acknowledges the assistance of the State of Idaho, Department of Finance, Securities Bureau, and the Ada County, Idaho, Prosecuting Attorney in the investigation of this matter. (Rel. 34-48048; File No. 3-11157) IN THE MATTER OF ANN MARIE NOEL On June 17, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Ann Marie Noel. The Order finds that Noel was employed as a cold caller at J.J. Morgan & Company, a brokerage firm later known as First Cambridge Securities Corp., from July 1994 through June 1995, and as a registered representative at First Cambridge from approximately April 6, 1995, until June 1995. First Cambridge was registered with the Commission during the period of Noel's employment. The Order also finds that while employed at First Cambridge, Noel received approximately $32,500 in undisclosed compensation for selling stock of ICIS Management Group, Inc. (formerly known as Alter Sales Co., Inc.), a Florida corporation, and Pilot Transport Inc., a Nevada corporation. Further, the Order finds that on July 18, 2002, a permanent injunction was entered against Noel in the civil action SEC v. Curtis, et al., 99 CV 7357 (E.D.N.Y.). Pursuant to a consent judgment, the Court in that action enjoined Noel from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Based on the above, the Order bars Noel from association with any broker or dealer. Noel consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the permanent injunction, and without admitting or denying any of the allegations in the civil injunctive action, except as to jurisdiction. (Rel. 34-48049; File No. 3-11158) IN THE MATTER OF LILLIAN VINCI On June 17, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Lillian M. Vinci. The Order finds that Vinci was employed from July 1994 through June 1995 as a registered representative at J.J. Morgan & Co., a brokerage firm later known as First Cambridge Securities Corp., and that First Cambridge was registered with the Commission as a broker-dealer during the period of Vinci's employment. The Order also finds that from March 1995 through April 1995, Vinci received approximately $85,000 in undisclosed compensation for selling stock of ICIS Management Group, Inc., a Florida corporation, and Pilot Transport, Inc., a Nevada corporation, and that common stock of ICIS and Pilot was registered with the Commission pursuant to Section 12(g) of the Exchange Act. Further, the Order finds that on July 26, 2002, a permanent injunction was entered against Vinci in the civil action SEC v. Curtis, et al., 99 CV 7357 (E.D.N.Y.). Pursuant to a consent judgment, the Court in that action enjoined Vinci from future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Based on the above, the Order bars Vinci from association with any broker or dealer. Vinci consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the injunction, and without admitting or denying any of the allegations in the civil injunctive action, except as to jurisdiction. (Rel. 34-48050; File No. 3-11159) COMMISSION BARS BROKER FORMERLY ASSOCIATED WITH MELVILLE, NEW YORK, BOILER ROOM On June 17, the Commission barred Jason Hunkler from association with a broker or dealer and from participating in an offering of penny stock. Hunkler pleaded guilty in U. S. District Court for the Southern District of New York to securities fraud and conspiracy to commit securities fraud, mail fraud and wire fraud. According to the criminal indictment, Hunkler engaged in high-pressure sales tactics that included (a) using false and misleading sales pitches to induce clients to buy penny stocks promoted by Investors Associates, Inc. (House stocks), including making baseless price predictions about the stocks and failing to inform clients of negative aspects of the issuers; (b) opening clients' accounts with well-known stocks and switching the clients to House stocks; (c) making unauthorized purchases of House stocks in clients' accounts; (d) making false and misleading statements to persuade customers not to sell House stocks; and (e) failing to take and execute customer orders to sell House stocks. At the time of the conduct underlying the criminal convictions, Hunkler was associated with the Melville, New York, branch of Investors Associates, Inc., a broker- dealer formerly registered with the Commission. Without admitting or denying the Commission's findings, except as to the Commission's jurisdiction and his underlying criminal conviction, Hunkler consented to be barred by the Commission from association with a broker or dealer and from participating in an offering of penny stock. In the criminal proceedings, the U. S. District Court ordered him to pay restitution to victims to the extent of his earnings at Investors Associates, Inc. (Rel. 34-48051; File No. 3-11160) PROCEEDINGS INSTITUTED AGAINST MARK PLATT, JOHN EZELL AND RICHARD OHLHABER On June 18, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 against Mark Gilbert Platt and John Wayne Ezell, former registered representatives of Josephthal & Co., Inc., a broker-dealer formerly registered with the Commission, and public administrative proceedings pursuant to Section 15(b) of the Exchange Act against Richard M. Ohlhaber, a former Josephthal branch office manager. In the Order, the Division of Enforcement alleges that, between October 1998 and May 2001, Platt and Ezell made unauthorized, unsuitable and excessive trades in certain of their customers' accounts. As a result, the Division alleges that Platt and Ezell willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Division also alleges that Ohlhaber failed reasonably to supervise, within the meaning of Section 15(b) of the Exchange Act, the activities of Platt and Ezell, each of whom had a disciplinary history or a history of customer complaints. The Division alleges that, although Ohlhaber was directed to specially supervise Platt and Ezell, he failed to respond to "red flags" evidencing sales practices violations by Platt and Ezell. Among other things, the Division alleges that Ohlhaber failed to halt Platt's and Ezell's violations after reviewing monthly reports showing patterns of excessive and unsuitable trading. The Division further alleges that Ohlhaber took no action against Platt even after one of his customers complained that Platt executed unauthorized trades in his account. Additionally, the Division alleges that in one of Ezell's accounts subject to Ohlhaber's special supervision Ezell executed 19 unauthorized trades. During this period, Ohlhaber never contacted the customer to verify the trading activity. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Platt, Ezell and Ohlhaber an opportunity to respond to the allegations against them, and to determine whether any remedial action should be ordered, or penalties imposed, by the Commission. (Rels. 33- 8242; 34-48054; File No. 3-111610) SEC OBTAINS DEFAULT JUDGMENTS ORDERING TWO DEFENDANTS TO PAY $7.6 MILLION FOR INSIDER TRADING The Commission today announced that the Honorable Victor Marrero of the United States District Court for the Southern District of New York entered Default Judgments against defendants Michael Akva of Flushing, New York, and Robert Fricker of Kew Gardens Hills, New York, on May 14, 2003, and Jan. 29, 2003, respectively. These judgments settle the Commission's claims against these two defendants in a civil action filed by the Commission on March 14, 2000, alleging that from 1997 through January 2000, these defendants and others engaged in a widespread insider trading scheme that produced over $8 million in illegal profits from trading in the securities of 23 public companies. The Commission's complaint alleges that John Freeman, a temporary word- processing employee at Goldman Sachs & Co., Inc. and later Credit Suisse First Boston, tipped a number of defendants about merger and acquisition transactions involving clients of those investment banking firms. The complaint alleges that Freeman tipped his friend, Akva. Akva traded in advance of seven transactions and realized profits of $104,813. Akva introduced Freeman to Fricker. Both Akva and Freeman provided tips to Fricker, who traded in advance of four transactions and realized profits of $995,303. The Default Judgments permanently enjoin the defendants from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Akva was ordered to pay disgorgement in the amount of $1,100,116 with pre-judgment interest in the amount of $24,668.97 and a civil penalty of $3,300,348. Fricker was ordered to pay disgorgement in the amount of $995,303 with pre-judgment interest in the amount of $256,764.15 and a civil penalty of $2,985,909. Fricker was found guilty after a criminal trial that was prosecuted by the United States Attorney's Office for the Southern District of New York. Fricker was sentenced on Jan. 7, 2002, to forty-six months incarceration, three years supervised probation, a $1 million fine, a $1,200 special assessment, and ordered to pay $958,000 to the Commission. Akva pleaded guilty on Sept. 20, 2002, after he was extradited from Israel where he fled after his arrest. Akva was sentenced on Jan. 30, 2003, to thirty months incarceration, three years supervised probation, and a $300 special assessment, with credit for time that he served while in custody in Israel awaiting extradition. The Commission originally sued nineteen defendants. The case has now been concluded against seventeen defendants, including the two default judgments. The Commission settled the case against fifteen defendants and received administrative bars against three of the settling defendants. See LR-16469 (March 14, 2000); LR-17267 (Dec. 12, 2001); LR- 17501 (May 2, 2002); LR-17912 (Jan. 2, 2003); LR-18149 (May 20, 2003); and LR-18175 (June 5, 2003). [SEC v. John Freeman, James Cooper, Benton Erskine, Anthony Seminara, Norman Lehrman, Linda Karlsen, Timothy Siemers, Norman Grossman, Lawrence Schwartz, Michael Akva, Robert Fricker, Richard Zelman, Bradley Burke, Benjamin Cooper, Chad L. Conner, Deon Benson, Gordon K. Allen, Jr., Jon Geibel, and William H. Borders II, 00 Civ. 1963, VM, Southern District of New York] (LR-18193) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change submitted by the Pacific Exchange (SR-PCX-2003- 26) relating to changes to its marketing fee schedule has become immediately effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48028) A proposed rule change filed by the Pacific Exchange (SR-PCX-2003-25) relating to order cancellation fees has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48031) A proposed rule change (SR-Phlx-2003-42) filed by the Philadelphia Stock Exchange relating to payment for order flow fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48032) The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx- 2003-41) relating to an increase in the technology fee. The proposed rule change has become immediately effective under Section 19(b)(3)(A)(ii) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48034) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Pacific Exchange filed a proposed rule change (SR-PCX-2003-15) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to its Auto-Ex Book Function pilot program. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34- 48043) PROPOSED RULE CHANGE The Government Securities Clearing Corporation filed a proposed rule change (SR-GSCC-2002-07) under Section 19(b) of the Securities Exchange Act. The proposed rule change eliminates the comparison-only membership requirement for new GSCC members. Publication of the proposal is expected in the Federal Register during the week of June 23. (Rel. 34- 48010) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change filed by the Pacific Exchange (SR-PCX-2002-25) relating to elimination of the Lead Market Maker concentration level of 15% of the issues traded on the Exchange's options floor, under Section 19(b)(2) of the Securities Exchange Act of 1934. (Rel. 34-48029) The Commission approved a proposed rule change (SR-Phlx-2003-28) submitted under Rule 19b-4 of the Securities Exchange Act of 1934 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. (Rel. 34-48040) DELISTINGS An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of Regions Financial Corporation (RF - Amex/PCX), effective at the opening of business on June 17. (Rel. 34- 48044) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting underlying securities of the following companies, effective at the opening of business on June 18: Christopher & Banks Corporation (CBK); Computer Network Technology Corporation (QDO/CMNT); Cooper Tire & Rubber Company (CTB); and Packaging Corporation of America (PKG). (Rel. 34-48047) WITHDRAWAL A notice has been issued giving interested persons until July 8, 2003, to comment on the application of Impac Mortgage Holdings, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48046) 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-3 MGI PHARMA INC, 5775 WEST OLD SHAKOPEE RD, SUITE 100, BLOOMINGTON, MN, 55437, 952-346-4700 - 0 ($150,000,000.00) Other, (File 333-106179 - Jun. 17) (BR. 01) S-8 CEPHEID, 1190 BORREGAS AVE, SUNNYVALE, CA, 94089, 4085414191 - 1,128,897 ($5,825,108.52) Equity, (File 333-106181 - Jun. 17) (BR. 36) F-3 BUNGE LTD, 50 MAIN STREET, WHITE PLAINS, NY, 10606, 9146842800 - 0 ($35,200,000.00) Debt Convertible into Equity, (File 333-106182 - Jun. 17) (BR. 04) S-8 GREENSMART CORP, UNIT C11 8TH FLOOR 14 HING YIP ST, WING HING INDUSTRIAL BLDG, KWUN TONG, K3, 00000, 85225193933 - 0 ($1,000,000.00) Equity, (File 333-106183 - Jun. 17) (BR. 04) S-4 SCANSOFT INC, 9 CENTENNIAL DRIVE, PEABODY, MA, 01960, 9789772000 - 0 ($196,950,000.00) Equity, (File 333-106184 - Jun. 17) (BR. 03) S-8 SIRENZA MICRODEVICES INC, 522 ALMANOR AVENUE, SUNNYVALE, CA, 94086, 4086165400 - 0 ($2,058,637.00) Equity, (File 333-106189 - Jun. 17) (BR. 36) S-8 GREAT SOUTHERN BANCORP INC, 1451 E BATTLEFIELD, SPRINGFIELD, MO, 65804, 4177764400 - 598,224 ($22,978,883.00) Equity, (File 333-106190 - Jun. 17) (BR. 07) S-8 NVIDIA CORP, 2701 SAN TOMAS EXPRESSWAY, SANTA CLARA, CA, 95050, 408-486-2000 - 12,539,888 ($303,151,792.40) Equity, (File 333-106191 - Jun. 17) (BR. 36) S-8 INDEPENDENCE COMMUNITY BANK CORP, 195 MONTAGUE ST, BROOKLYN, NY, 11201, 7187225300 - 2,800,000 ($80,349,169.00) Equity, (File 333-106193 - Jun. 17) (BR. 07) S-3 ALLOY INC, 151 WEST 26TH STREET, 11TH FLOOR, NEW YORK, NY, 10001, 2122444307 - 2,534,563 ($16,145,166.31) Equity, (File 333-106194 - Jun. 17) (BR. 02) S-3 PENN VIRGINIA RESOURCE PARTNERS L P, THREE RADNOR CORP CTR, 100 MATSONFORD RD STE 230, RADNOR, PA, 19087, 610 687 8900 - 0 ($300,000.00) Unallocated (Universal) Shelf, (File 333-106195 - Jun. 17) (BR. 04) S-8 LYNX THERAPEUTICS INC, 5106709300 - 200,000 ($754,000.00) Equity, (File 333-106196 - Jun. 17) (BR. 01) S-8 NORTH AMERICAN SCIENTIFIC INC, 20200 SUNBURST ST, CHATSWORTH, CA, 91311, 8187348600 - 0 ($4,208,325.00) Equity, (File 333-106197 - Jun. 17) (BR. 01) S-8 ALLIANCE BANCSHARES CALIFORNIA, 100 CORPORATE POINTE, SUITE 110, CULVER CITY, CA, 90230, 3104109281 - 200,000 ($1,170,000.00) Equity, (File 333-106198 - Jun. 17) (BR. 07) S-2 EAGLE BANCORP INC, 7815 WOODMONT AVENUE, BETHESDA, MD, 20814, 3019861800 - 2,040,816 ($16,000,000.00) Equity, (File 333-106199 - Jun. 17) (BR. 07) S-3 PPL CORP, TWO N NINTH ST, ALLENTOWN, PA, 181011179, 6107745151 - 0 ($400,000,000.00) Other, (File 333-106200 - Jun. 17) (BR. 02) S-8 SONTRA MEDICAL CORP, 58 CHARLES STREET, CAMBRIDGE, MA, 02141, 6174945337 - 2,500,000 ($4,475,000.00) Equity, (File 333-106201 - Jun. 17) (BR. 36) S-2 POLYMER RESEARCH CORP OF AMERICA, 2186 MILL AVE, BROOKLYN, NY, 11234, 7184444300 - 650,000 ($357,500.00) Equity, (File 333-106202 - Jun. 17) (BR. 01) S-8 ON ASSIGNMENT INC, 26651 WEST AGOURA ROAD, CALABASAS, CA, 91302, 8188787900 - 0 ($4,280,000.00) Equity, (File 333-106203 - Jun. 17) (BR. 08) SB-2 PEAK ENTERTAINEMENT HOLDINGS INC, BAGSHAW HALL, BAGSHAW HILL, BAKEWELL, DEBRYSHIRE, X0, DE45 1DL, 44 1629 814555 - 17,763,334 ($10,706,634.00) Equity, (File 333-106204 - Jun. 17) (BR. 37) S-8 LSI LOGIC CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 0 ($6,990,000.00) Equity, (File 333-106205 - Jun. 17) (BR. 36) S-8 LSI LOGIC CORP, 1621 BARBER LANE, MILPITAS, CA, 95035, 4084338000 - 0 ($76,890,000.00) Equity, (File 333-106206 - Jun. 17) (BR. 36) S-3 KFX INC, 3300 EAST 1ST AVENUE, SUITE 290, DENVER, CO, 80206, 3032932992 - 1,969,553 ($8,508,469.00) Equity, (File 333-106207 - Jun. 17) (BR. 02) S-4 PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826, 3143423400 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-106208 - Jun. 17) (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 ABRAXAS PETROLEUM CORP NV X 06/17/03 ADE CORP MA X X 06/17/03 ALAMO GROUP INC DE X 06/17/03 ALASKA AIR GROUP INC DE X 06/16/03 ALLERGY IMMUNO TECHNOLOGIES INC DE X 06/10/03 ALLIANCE PHARMACEUTICAL CORP NY X X 06/16/03 ALLIED PRODUCTS CORP /DE/ DE X X 05/01/03 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE X X 06/09/03 AMYLIN PHARMACEUTICALS INC DE X X 06/16/03 ANC RENTAL CORP DE X X 06/14/03 APOGEE ENTERPRISES INC MN X X 06/16/03 ARABIAN AMERICAN DEVELOPMENT CO DE X 06/16/03 ASHCROFT HOMES CORP CO X 04/03/03 AMEND ASPENBIO INC CO X X 06/17/03 AUSPEX SYSTEMS INC DE X X 06/13/03 AUTHENTIDATE HOLDING CORP DE X X 06/16/03 BADGER PAPER MILLS INC WI X X 06/16/03 BALDOR ELECTRIC CO MO X 03/29/03 AMEND BARNEYS NEW YORK INC X X 06/17/03 BERKELEY TECHNOLOGY LTD X 06/17/03 BEVSYSTEMS INTERNATIONAL INC CO X X 06/09/03 BOWATER INC DE X 06/17/03 BRANDAID MARKETING CORP DE X 06/30/03 BRIDGE BANCORP INC NY X 06/17/03 BSQUARE CORP /WA WA X X 06/17/03 CALLAWAY GOLF CO /CA DE X X 06/16/03 CANARGO ENERGY CORP DE X X 05/15/03 CE CASECNAN WATER & ENERGY CO INC X X 06/17/03 CELEBRITY ENTERTAINMENT INC DE X X X 06/12/03 CELL THERAPEUTICS INC WA X 06/16/03 CENTENNIAL COMMUNICATIONS CORP /DE DE X 06/17/03 CENTIV INC DE X X 06/12/03 CHASE CREDIT CARD MASTER TRUST NY X X 06/01/03 CHASE CREDIT CARD MASTER TRUST NY X X 06/16/03 CHASE CREDIT CARD MASTER TRUST NY X X 06/16/03 CHASE MANHATTAN BANK USA DE X X 06/16/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 06/16/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 06/16/03 CHECKFREE CORP \GA\ DE X X 06/17/03 CHEROKEE INC DE X X X 06/17/03 CIENA CORP DE X 06/16/03 CIRCUIT CITY STORES INC VA X X 06/17/03 CLASSIC BANCSHARES INC DE X X 06/17/03 CLASSICA GROUP INC NY X 05/08/03 CLEARCOMM L P DE X 06/11/03 CNA SURETY CORP DE X X 06/17/03 COHESANT TECHNOLOGIES INC DE X 06/16/03 COLE NATIONAL CORP /DE/ DE X X 06/17/03 COLE NATIONAL GROUP INC DE X X 06/17/03 COMMERCIAL METALS CO DE X X 06/17/03 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 06/01/03 COMMONWEALTH ENERGY CORP X X 06/13/03 COMMUNITY BANK SYSTEM INC DE X X 06/07/03 CORE SOLUTIONS INC NV X X X 06/16/03 CRAY INC WA X 06/17/03 CROWN PACIFIC PARTNERS L P DE X X 06/16/03 CYCLE COUNTRY ACCESSORIES CORP NV X X 06/16/03 CYTYC CORP DE X X 06/16/03 DATATRAK INTERNATIONAL INC OH X 06/17/03 DIGITAL WORLD CUP INC X X 03/13/03 DIRECT INSITE CORP DE X X 06/03/03 DONLAR CORP IL X 06/16/05 DOUBLECLICK INC DE X X X 06/17/03 DTE ENERGY CO MI X X 06/17/03 DURATEK INC DE X X 06/16/03 ENNIS BUSINESS FORMS INC TX X X 05/30/03 ENRON CORP/OR/ OR X X 06/17/03 ENZON PHARMACEUTICALS INC DE X 06/17/03 EPIC FINANCIAL CORP NV X 03/31/03 AMEND EXELON CORP PA X 06/13/03 EYE CARE INTERNATIONAL INC DE X X 03/21/03 AMEND FACTORY CARD OUTLET CORP DE X X 06/17/03 FFLC BANCORP INC DE X X 06/17/03 FIBERNET TELECOM GROUP INC\ DE X X 06/13/03 FIRST ALBANY COMPANIES INC NY X 06/16/03 FIRST MEDICAL RESOURCES CORP NV X X 06/16/03 FIRST REAL ESTATE INVESTMENT TRUST OF NJ X 11/17/03 FIRST SECURITY GROUP INC/TN TN X X 06/16/03 FLIR SYSTEMS INC OR X X 06/16/03 FLUSHING FINANCIAL CORP DE X 06/16/03 FOODARAMA SUPERMARKETS INC NJ X 05/03/03 FRONTLINE COMMUNICATIONS CORP DE X 04/03/03 AMEND GENESIS TECHNOLOGY GROUP INC FL X 06/13/03 HALLMARK FINANCIAL SERVICES INC NV X X 06/16/03 HAYES LEMMERZ INTERNATIONAL INC DE X 06/16/03 HEALTHCARE NETWORK SOLUTIONS INC DE X 06/12/03 HEILIG MEYERS CO VA X 04/30/03 HERITAGE OAKS BANCORP CA X 12/16/02 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X 06/17/03 HICKORY TECH CORP MN X 06/16/03 HYDROFLO INC X X 06/17/03 I SECTOR CORP DE X 06/17/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 06/11/03 INDEPENDENCE COMMUNITY BANK CORP DE X X 06/17/03 INDIANTOWN COGENERATION LP DE X 06/17/03 INFOWAVE SOFTWARE INC X 06/02/03 INNOVO GROUP INC DE X X 06/17/03 INVIVO CORP DE X 04/03/03 AMEND ITRON INC /WA/ WA X X 06/17/03 JEFFERSON PILOT CORP NC X 06/17/03 JONES LANG LASALLE INC MD X X 06/17/03 JOSTENS INC MN X 06/17/03 KMART HOLDING CORP DE X X X 06/17/03 AMEND LA JOLLA PHARMACEUTICAL CO DE X X 06/16/03 LATTICE SEMICONDUCTOR CORP DE X X 06/16/03 LEGGETT & PLATT INC MO X 06/17/03 LIN TV CORP DE X 06/13/03 LODGENET ENTERTAINMENT CORP DE X X 06/12/03 LONG BEACH ACCEPTANCE CORP X X 06/16/03 LONG BEACH ACCEPTANCE CORP X X 06/16/03 LUBYS INC DE X 06/16/03 MACQUARIE SECURITISATION LTD DE X X 06/16/03 MAINSTREET BANKSHARES INC VA X 06/16/03 MCK COMMUNICATIONS INC DE X X 06/13/03 MEADE INSTRUMENTS CORP DE X 06/17/03 METLIFE INC DE X X 06/17/03 METROCORP BANCSHARES INC X X 06/16/03 MEYERSON M H & CO INC /NJ/ NJ X X 06/12/03 MISSION RESOURCES CORP DE X X 06/16/03 MMI PRODUCTS INC DE X 06/17/03 MORGAN STANLEY MORTGAGE PASS THR CERT DE X X 06/13/03 NASTECH PHARMACEUTICAL CO INC DE X X 06/17/03 NAVISITE INC DE X 06/17/03 NEW PLAN EXCEL REALTY TRUST INC MD X 06/12/03 NEXTEL PARTNERS INC DE X 06/16/03 NISSAN AUTO RECEIVABLES CORP II 2003- DE X X 06/05/03 NORSTAN INC MN X X 06/17/03 NS GROUP INC KY X X 06/17/03 NVR INC VA X X 06/17/03 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