SEC NEWS DIGEST Issue 2003-132 July 11, 2003 ENFORCEMENT PROCEEDINGS COMMISSION BARS MICHAEL FEELEY AND IMPOSES ADDITIONAL SANCTIONS ON FEELEY AND ON FEELEY & WILLCOX ASSET MANAGEMENT CORP. FOR VIOLATIONS OF ANTIFRAUD AND RECORDKEEPING AND REPORTING PROVISIONS The Commission has imposed sanctions on Michael J. Feeley of Summit, New Jersey, an individual who had been associated with Feeley & Willcox Asset Management Corp. (FWAM), a former registered investment adviser, and with Feeley & Willcox Securities, Inc., a registered broker-dealer. The Commission also has imposed sanctions on FWAM. The Commission found that Feeley violated the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 with respect to the sale of securities to his customers when he made misleading statements and omitted material facts regarding the financial condition of the issuer of the securities and the use of the proceeds of the offering. Through these same misleading statements and omissions of material fact, FWAM, operating through Feeley, who aided and abetted the fraud, violated the Investment Advisers Act of 1940. The Commission further found that Feeley aided and abetted FWAM's violations of the Advisers Act by failing to disclose to his advisory clients conflicts of interest, specifically his ownership interest in the issuer of the securities and compensation he would receive in connection with his clients' transfer of their accounts from one broker dealer to another. The Commission also found that Feeley aided and abetted FWAM's violations of books and records and reporting provisions of the Advisers Act. The Commission found that it is in the public interest to bar Feeley from association with a broker or dealer or investment adviser with the right to reapply in a non-supervisory, non-proprietary capacity after two years, and to order Feeley to cease and desist from causing and aiding and abetting violations or any future violations of the antifraud provisions of the securities laws and rules he was found to have violated. The Commission also imposed a civil money penalty in the amount of $15,000 on Feeley and a $150,000 civil money penalty on FWAM. Finally, the Commission ordered FWAM and Feeley to disgorge, jointly and severally, $95,000 plus prejudgment interest. (Rel. 33-8249; 34-48162; IA-2143; File No. 3-9571) FEDERAL COURT ISSUES EMERGENCY ORDER FREEZING ASSETS OF PURPORTED BILLION DOLLAR HEDGE FUND GROUP; SEC ALLEGES MASSIVE OVERVALUATION AND MANIPULATION SCHEME The Commission announced today that a federal judge in South Florida has entered a temporary restraining order against the Connecticut-based advisers of a purported billion-dollar hedge fund to restrain them from violating the antifraud provisions of the federal securities laws. The Honorable William J. Zloch, Chief Judge, U.S. District Court for the Southern District of Florida, also ordered the defendants' assets frozen until at least July 18th, when he has scheduled a hearing. The orders came in response to the SEC's emergency civil injunctive action (complaint) that sought a temporary restraining order, an order freezing assets, disgorgement and civil penalties and other relief against advisers Lancer Management Group, LLC (Lancer) and Lancer Management Group II, LLC (Lancer II) and their principal, Michael Lauer, based on their alleged violations of the federal securities laws. In addition the complaint named as relief defendants Lancer Offshore, Inc. (Offshore), Lancer Partners, LP (Partners), OmniFund, Ltd. (OmniFund), LSPV, Inc. and LSPV, LLC. The court appointed a Receiver to marshall and safeguard the entities' assets. The SEC's court papers allege that from at least March 2000 to the present, Lauer, Lancer and Lancer II, engaged in a scheme to over- inflate the performances and net asset values of Offshore, Partners and OmniFund, three hedge funds controlled by Lauer (collectively the Funds) which recently claimed to have assets worth over $1 billion dollars. Specifically, the complaint alleges that the defendants systematically manipulated the month end closing prices of certain securities held by the Funds to overstate the value of the Funds' holdings in virtually worthless companies. The SEC's complaint states that the defendants then provided unfounded and unrealistic valuation opinions to auditors to obtain audited financial statements for Offshore. The complaint also alleges that the defendants made numerous materially false and misleading statements and omissions in the Funds' offering and marketing materials. Finally, the complaint alleges that the fraudulent manipulative trading practices and pumped-up valuations employed by Lauer, Lancer and Lancer II were designed to attract new investors to invest in the Funds and to induce current investors to forgo redemptions and to continue investing in the Funds which resulted in increased management fees paid to the defendants. Upon the SEC's motion, the Court appointed Marty Steinberg, Esq., an attorney in the law firm of Hunton & Williams LLP, as Receiver over Lancer, Lancer II, Offshore, OmniFund, LSPV, Inc. and LSPV, LLC. Among other things, Mr. Steinberg is responsible for taking control of Lancer, Lancer II, Offshore, OmniFund, LSPV, Inc. and LSPV, LLC and for marshaling and safeguarding their assets. The complaint charges Lauer, Lancer and Lancer II with violations of Sections 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and Sections 206(1) and (2) of the Investment Advisers Act of 1940 (Advisers Act). The complaint also alleges that Lauer acted as the "control person" for Lancer and Lancer II under Section 20(a) of the Exchange Act for their violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The SEC is also seeking, among other things, permanent injunctions, disgorgement of ill-gotten profits, civil money penalties and an accounting. [SEC v. Michael Lauer, Lancer Management Group, LLC, and Lancer Management Group II, LLC, Defendants, and Lancer Offshore, Inc., Lancer Partners, LP, Omnifund, Ltd., LSPV, Inc., and LSPV, LLC, Relief Defendants, Case No. 03-80612-CIV-ZLOCH, SD Fla.] (LR-18226) JUDGE ORDERS ASSETS FROZEN AND PRELIMINARILY ENJOINS WILLIAM DAVIS The Commission today announced that on July 9 the Honorable James G. Carr, U.S. District Judge for the Northern District of Ohio, in Toledo, entered an order preliminarily enjoining William Clark Davis of Lambertville, Michigan, from violating the anti-fraud and registration provisions of the federal securities laws. Davis consented to the order, which also froze his assets and ordered him to provide a sworn accounting to the Commission. In its complaint, filed on July 9, the Commission alleged that: (1) Davis is a former registered representative of Continental Capital Securities, Inc. and Continental Capital Investment Services, Inc., brokerage firms registered with the Commission; (2) since at least May 2001, Davis forged customer signatures on letters of authorization to sell conservative securities in his customers' brokerage accounts and used the proceeds to purchase at least $715,900 of unsecured promissory notes on their behalf, without their knowledge or consent; (3) Davis was an officer, director, manager, or general partner of all of the entities that issued the promissory notes and exerted power and control over them; (4) Davis diverted proceeds from the sale of the notes for his own use; and (5) overall, Davis sold at least $12 million in promissory notes to over 90 investors in Ohio and Michigan. In addition to the relief already obtained, the complaint seeks a permanent injunction, disgorgement plus prejudgment interest of Davis's ill-gotten gains, and a civil penalty. The Commission acknowledges the assistance and cooperation of the U.S. Attorney's Office for the Northern District of Ohio, the U.S. Postal Inspection Service, the Ohio Bureau of Criminal Identification and Investigation; the Ohio Department of Commerce Division of Securities; and the National Association of Securities Dealers. [SEC v. William Clark Davis, Civil Action No. 3: 03 CV 7332, ND Ohio] (LR-18227) COMPLAINT FILED AGAINST ROBERT SNYDER, ALPHACOM, INC. AND JAMES STAMP FOR FRAUDULENT SALES OF SECURITIES AND AGAINST GARY KENDRON FOR RETURN OF FUNDS On July 10, the Commission filed a complaint in the U.S. District Court for the Northern District of Ohio, against AlphaCom, Inc., Robert Snyder, AlphaCom's President, and James Stamp, an accountant, for their fraudulent sales of AlphaCom securities, and against Gary Kendron as a relief defendant. Snyder, AlphaCom, Stamp and Kendron are located in the Akron, Ohio area. The complaint alleges that, from September 1997 through October 2000, Snyder, AlphaCom and Stamp raised $8.9 million from the sale of AlphaCom securities in unregistered transactions to over 1000 investors. The complaint further alleges that, in selling AlphaCom securities: * Snyder, AlphaCom and Stamp falsely represented that AlphaCom owned exclusive rights to two Internet technologies that were supposed to increase speeds of Internet access and downloading; * Snyder falsely represented that AlphaCom owned the exclusive rights to sell the Insat Wireless Modem, when, in reality, he had failed to acquire those rights; and * Snyder and AlphaCom misrepresented that investors' funds would be used for AlphaCom's business, when, in fact, Snyder misused nearly over $950,000 to buy a home and to lend funds to Kendron, who did not repay the loan. The complaint also alleges that Snyder and Stamp acted as unregistered broker-dealers. In addition, the complaint alleges that AlphaCom, through Snyder, filed a Form 10-K for 2000 without audited financial statements and failed to file required periodic reports with the Commission since April 2001. The complaint alleges that Snyder, AlphaCom and Stamp violated the securities registration and antifraud provisions, Snyder and Stamp violated the broker-dealer registration provisions, and AlphaCom violated, and Snyder aided and abetted AlphaCom's violation of reporting provisions, of the federal securities laws. The complaint seeks a permanent injunction, civil penalties, and disgorgement against Snyder and AlphaCom; an order barring Snyder from acting as an officer or director of public companies; a permanent injunction and civil penalties against James Stamp; and disgorgement from Kendron of the money he received from AlphaCom. The Commission thanks the Akron Police Department and the Ohio Division of Securities for their assistance and cooperation in this matter. [SEC v. Robert Snyder, AlphaCom, Inc., James Stamp, and Gary Kendron, Civil Action No. 1;03CV1349, USDC, ND Ohio] (LR-18228) INVESTMENT COMPANY ACT RELEASES DRESDNER BANK AG, ET AL. An order has been issued on an application filed by Dresdner Bank AG, et al. for an order exempting applicants from Sections 12(d)(1), 17(a) and 17(e) of the Investment Company Act and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits (a) certain registered management investment companies and certain private companies to use cash collateral from securities lending transactions to purchase shares of certain registered open-end management investment companies and private investment companies (Investment Funds); (b) certain registered management investment companies to pay an affiliated lending agent a fee based on a share of the revenue derived from securities lending activities; (c) certain affiliated broker-dealers to engage in principal transactions with, and receive brokerage commissions from, certain registered investment companies that are affiliated with the broker-dealers solely as a result of investing cash collateral in an Investment Fund; and (d) certain registered management investment companies to lend portfolio securities to affiliated broker-dealers. (Rel. IC-26096 - July 9) NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until July 30 to request a hearing on an application filed by National Life Insurance Company (NLIC), National Variable Annuity Account II (Annuity Account), and National Variable Life Insurance Account (Life Account). The Applicants request an order pursuant to Section 26(c) of the Investment Company Act to permit the substitutions by NLIC of securities issued by two series of the Sentinel Variable Products Trust for securities issued by two series of the Gartmore Variable Insurance Trust, and held by either the Annuity Account or the Life Account, to support variable annuity contracts or variable life insurance contracts issued by NLIC. (Rel. IC-26097 - July 9) HOLDING COMPANY ACT RELEASES KEYSPAN ENERGY CANADA PARTNERSHIP, ET AL. A notice has been issued giving interested persons until Aug. 4, 2003, to request a hearing on a proposal filed by KeySpan Energy Canada Partnership (KECP) and KeySpan Energy Facilities Limited (KEFL), wholly- owned nonutility subsidiaries of KeySpan Corporation, a registered holding company. KECP and KEFL request authorization for KECP and/or KEFL to acquire 5.2% of the voting securities of Rimbey Pipe Line Co. Ltd., in partial consideration for KECP's agreement to amend certain terms of a natural gas liquids purchase and sale agreement. (Rel. 35- 27696) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Phlx-2003-21) and Amendment No. 1 thereto submitted by the Philadelphia Stock Exchange relating to a disclaimer by Susquehanna Indices, LLP. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48135) The Commission approved a proposed rule change (SR-CBOE-2002-36) submitted by the Chicago Board Options Exchange relating to closing-only transactions. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48142) The Commission granted approval to a proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx-2003-31) amending the Exchange's Rule 229 to provide for the automatic execution of odd-lot market and marketable limit orders received over PACE during locked and crossed markets. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48144) PROPOSED RULE CHANGE The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-80) and Amendment No. 1 thereto to require an issuer's audit committee or another independent body of the board of directors to approve related party transactions. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48137) IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2003-12), which was effective upon filing, making technical modifications to NSCC's trade comparison rules and procedures to clarify (1) the format, availability, and content of trade data available to its participants and (2) that NSCC will no longer provide trade comparison processing for New York Stock Exchange and American Stock Exchange equity trades. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48141) The Depository Trust and Company filed a proposed rule change (SR-DTC - 2003-03), which was effective upon filing, modifying DTC's settlement progress payment (SPP) procedures to allow DTC participants, including issuing/paying agents, to direct that the proceeds from a specific SPP be used to fund a particular transaction, including the maturity presentments of maturing securities from a particular money market instrument program. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48145) A proposed rule change filed by Nasdaq Liffe Markets (SR-NQLX-2003-05) to remove Rule 903(c)(7) from the maintenance listing standards and to add Rule 408(e) relating to the clearing account indicator has become effective under Section 19(b)(7) of the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34-48148) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying common stock of Synopsys, Inc., effective July 11. (Rel. 34-48153) 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 the underlying securities of Gadzooks, Inc. (EQK/GADZ), effective at the opening of business on July 11. (Rel. 34-48154) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the common stock, $2.50 par value, of Fleming Companies, Inc., effective at the opening of business on July 11. (Rel. 34-48156) WITHDRAWAL GRANTED An order has been issued granting the application of Impac Mortgage Holdings, Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on July 11. (Rel. 34-48155) 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 REALITY WIRELESS NETWORKS INC, 4106 FACTORIA BLVD. SE,, SUITE 214, BELLEVUE, WA, 98006, 4083791716 - 31,000,000 ($930,000.00) Equity, (File 333-106914 - Jul. 10) (BR. 03) S-8 INTERNATIONAL BROADCASTING CORP /NV/, 8059385573 - 10,000,000 ($300,000.00) Equity, (File 333-106915 - Jul. 10) (BR. 05) S-4 PREMCOR REFINING GROUP INC, 8182 MARYLAND AVE, C/O MILTON BURMASTER, ST LOUIS, MO, 63105-3721, 3148549696 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-106916 - Jul. 10) (BR. 04) S-4 SOUTHERN CALIFORNIA EDISON CO, 2244 WALNUT GROVE AVE, P O BOX 800, ROSEMEAD, CA, 91770, 6263021212 - 0 ($965,965,000.00) Non-Convertible Debt, (File 333-106917 - Jul. 10) (BR. 02) S-3 AVANT IMMUNOTHERAPEUTICS INC, 119 FOURTH AVE, NEEDHAM, MA, 02494, 7814330771 - 0 ($13,053,331.00) Equity, (File 333-106918 - Jul. 10) (BR. 01) S-1 MONTPELIER RE HOLDINGS LTD, MINTFLOWER PLACE, 8 PAR-LA-VILLE ROAD, HAMILTON HM 08, B0, 00000, 441 296 5550 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-106919 - Jul. 10) (BR. 01) S-8 INFONOW CORP /, 1875 LAWRENCE STREET, SUITE 1100, DENVER, CO, 80202, 3033684646 - 2,500,000 ($3,112,500.00) Equity, (File 333-106921 - Jul. 10) (BR. 03) S-8 CARDIMA INC, 47266 BENICIA STREET, FREMONT, CA, 94538, 5103540300 - 0 ($1,540,000.00) Equity, (File 333-106922 - Jul. 10) (BR. 36) S-8 ROXIO INC, 461 S MILPITAS BLVD, MILPITAS, CA, 95035, 4089572553 - 0 ($5,276,064.00) Equity, (File 333-106923 - Jul. 10) (BR. 03) S-8 CROSSROADS SYSTEMS INC, 8300 NORTH MOPAC EXPRESSWAY, AUSTIN, TX, 78759, 5123490300 - 0 ($5,950,000.00) Equity, (File 333-106924 - Jul. 10) (BR. 03) S-3 STRUCTURED ASSET SECURITIES CORP, 2125267000 - 1 ($1,000,000.00) Equity, (File 333-106925 - Jul. 10) (BR. 05) S-3 LIFESTREAM TECHNOLOGIES INC, 510 CLEARWATER LOOP, STE 101, POST FALLS, ID, 83854, 2084579409 - 36,335,890 ($7,993,895.80) Equity, (File 333-106926 - Jul. 10) (BR. 36) S-1 CROSSTEX ENERGY LP, 0 ($58,253,250.00) Limited Partnership Interests, (File 333-106927 - Jul. 10) (BR. 04) S-4 FISERV INC, 255 FISERV DR, PO BOX 979, BROOKFIELD, WI, 53045, 4148795000 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-106928 - Jul. 10) (BR. 03) S-8 UNITED BANCSHARES INC/OH, 100 SOUTH HIGH ST, COLUMBUS GROVE, OH, 45830, 4196592141 - 100,000 ($1,501,000.00) Equity, (File 333-106929 - Jul. 10) (BR. 07) S-8 STORAGE TECHNOLOGY CORP, ONE STORAGETEK DRIVE, LOUISVILLE, CO, 80028-4309, 303-673-5151 - 3,000,000 ($68,454,900.00) Equity, (File 333-106930 - Jul. 10) (BR. 03) S-4 AMKOR TECHNOLOGY INC, 1345 ENTERPRISE DR, WEST CHESTER, PA, 19380, 6104319600 - 425,000,000 ($425,000,000.00) Non-Convertible Debt, (File 333-106932 - Jul. 10) (BR. 36) S-8 KRISPY KREME DOUGHNUTS INC, 3367222981 - 15,155 ($687,733.90) Equity, (File 333-106933 - Jul. 10) (BR. 02) S-4 HEXCEL CORP /DE/, TWO STAMFORD PLAZA, 281 TRESSER BLVD., 16TH FLOOR, STAMFORD, CT, 06901, 203-969-0666 - 0 ($123,690,000.00) Non-Convertible Debt, (File 333-106934 - Jul. 10) (BR. 06) S-8 GENESIS BIOVENTURES INC, 1A - 3033 KING GEORGE HIGHWAY, SURREY, BRITISH COLUMBIA CAN, A1, V4P 1B8, 6045420820 - 50,000 ($500.00) Other, (File 333-106935 - Jul. 10) (BR. 01) S-8 COUSINS PROPERTIES INC, 2500 WINDY RIDGE PKWY STE 1600, ATLANTA, GA, 30339-5683, 7709552200 - 1,000,000 ($28,775,000.00) Equity, (File 333-106937 - Jul. 10) (BR. 08) S-8 BEVSYSTEMS INTERNATIONAL INC, 501 BRICKELL KEY DRIVE, SUITE 407, MIAMI, FL, 33151, 786-425-2201 - 9,500,000 ($665,000.00) Equity, (File 333-106938 - Jul. 10) (BR. 02) S-8 BSP ONELINK INC, ONE MARKET PLAZA, SPEAR TOWER, 36TH FLOOR, SAN FRANCISCO, CA, 94105, 415-293-8277 - 2,000,000 ($3,956,500.00) Equity, (File 333-106939 - Jul. 10) (BR. 03) S-3 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 134,797 ($2,148,664.18) Equity, (File 333-106940 - Jul. 10) (BR. 04) S-8 COMMERCE BANCORP INC /NJ/, COMMERCE ATRIUM, 1701 RTE 70 E, CHERRY HILL, NJ, 08034-5400, 8567519000 - 500,000 ($20,157,500.00) Equity, (File 333-106941 - Jul. 10) (BR. 07) S-3 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 0 ($74,366,648.56) Equity, (File 333-106942 - Jul. 10) (BR. 01) S-3 ENCORE ACQUISITION CO, 777 MAIN STREET, SUITE 1400, FORT WORTH, TX, 76102, 8178779955 - 0 ($400,000,000.00) Other, (File 333-106943 - Jul. 10) (BR. 04) S-3 UTSTARCOM INC, 1275 HARBOR BAY PARKWAY, STE 100, ALAMEDA, CA, 94502, 5108648800 - 0 ($663,682,250.00) Debt Convertible into Equity, (File 333-106944 - Jul. 10) (BR. 37) S-8 NASDAQ STOCK MARKET INC, ONE LIBERTY PLAZA, NEW YORK, NY, 10006, 2128584750 - 0 ($6,093,000.00) Equity, (File 333-106945 - Jul. 10) (BR. 07) S-8 CALIPER TECHNOLOGIES CORP, 605 FAIRCHILD DR, STE 405, MOUNTAIN VIEW, CA, 94043, 6506230700 - 0 ($4,486,500.00) Equity, (File 333-106946 - Jul. 10) (BR. 36) S-8 STEREO VISION ENTERTAINMENT INC, 11166 BURBANK BLVD, NORTH HOLLYWOOD, CA, 91601, 8187607007 - 300,000 ($15,000.00) Equity, (File 333-106950 - Jul. 10) (BR. 02) 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 ---------------------------------------------------------------------------------- 1 800 CONTACTS INC DE X 07/10/03 3W CYBER LOGISTICS INC NV X 06/24/03 AMEND AASTROM BIOSCIENCES INC MI X X 07/10/03 ABBOTT LABORATORIES IL X X 07/10/03 ABBOTT LABORATORIES IL X X 06/20/03 ABERCROMBIE & FITCH CO /DE/ DE X X 07/10/03 ABM INDUSTRIES INC /DE/ DE X 07/09/03 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X 06/26/03 ACE SECURITIES CORP DE X X 07/03/03 ACE SECURITIES CORP DE X X 07/08/03 AJAY SPORTS INC DE X 07/10/03 ALBANY INTERNATIONAL CORP /DE/ DE X 07/09/03 ALGIERS RESOURCES INC/NY DE X X 04/26/03 AMEND AMERICAN STANDARD COMPANIES INC DE X 07/10/03 AMERICAN WAGERING INC NV X 07/01/03 AMEND ASV INC /MN/ MN X X 07/10/03 AUGUST BIOMEDICAL CORP NV X X 06/11/03 BASIC EARTH SCIENCE SYSTEMS INC DE X X 07/08/03 BASSETT FURNITURE INDUSTRIES INC VA X X 07/09/03 BEARD CO /OK OK X X 07/10/03 BEBE STORES INC CA X X 07/10/03 BLYTH INC DE X 07/07/03 CAPITAL ONE AUTO FINANCE TRUST 2003-A DE X X 07/10/03 CAPITAL ONE MASTER TRUST NY X X 07/09/03 CAPITAL ONE MULTI ASSET EXECUTION TRU DE X X 07/09/03 CAPITAL ONE PRIME AUTO RECEIVABLES TR DE X X 07/10/03 CAPITAL TRUST INC MD X X 04/02/03 CASCADE BANCORP OR X X 07/10/03 CENTURY BANCORP INC MA X X 07/09/03 CENTURY PROPERTIES FUND XIX CA X X 06/25/03 CERTIFIED SERVICES INC NV X X 07/09/03 CF&I STEEL L P DE X 07/07/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 07/10/03 CITIZENS & NORTHERN CORP PA X X 06/30/03 CNL HOSPITALITY PROPERTIES INC MD X 07/10/03 COMMUNITY CENTRAL BANK CORP MI X X 07/09/03 COMMUNITY VALLEY BANCORP CA X X 07/10/03 COOPER TIRE & RUBBER CO DE X X 07/07/03 CREE INC NC X 07/10/03 CROWN AMERICAN REALTY TRUST MD X 07/10/03 CSB BANCORP INC /OH OH X X 07/10/03 CSFB MORTGAGE BACKED PASS THRU CERT S DE X X 06/25/03 CSX TRADE RECEIVABLES CORP DE X X 06/25/03 CURIS INC DE X X 06/11/03 CWMBS INC DE X X 07/10/03 DOLLAR GENERAL CORP TN X X 07/10/03 DOT COM ENTERTAINMENT GROUP INC FL X X 07/10/03 ELDER BEERMAN STORES CORP OH X 07/10/03 ELECTRONIC MEDIA CENTRAL CORP CA X 07/02/03 EMPIRE RESORTS INC DE X X 07/03/03 ENCORE ACQUISITION CO DE X X 02/11/03 ENERGY EXPLORATION TECHNOLOGIES / A0 X 07/08/03 ENTERGY CORP /DE/ DE X X 07/10/03 EOTT ENERGY LLC DE X X 07/09/03 EVOLVING SYSTEMS INC DE X 07/09/03 F&M BANCORP MD X 07/09/03 FAMOUS DAVES OF AMERICA INC MN X X 07/07/03 FEDERAL MOGUL CORP MI X 07/10/03 FINANCIAL INDUSTRIES CORP TX X 07/10/03 FIRST CANADIAN AMERICAN HOLDING CORP DE X X X 07/10/03 FLEMING COMPANIES INC /OK/ OK X X X X 06/17/03 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV X 07/10/03 FLORIDA ROCK INDUSTRIES INC FL X X 07/03/03 FOOTSTAR INC DE X X 07/10/03 FRESH CHOICE INC DE X X 07/10/03 FURRS RESTAURANT GROUP INC DE X 07/02/03 GALYANS TRADING CO INC IN X X 07/09/03 GAP INC DE X X 07/10/03 GE COMMERCIAL MORTGAGE CORP DE X X 07/10/03 GL ENERGY & EXPLORATION INC DE X X X X 05/29/03 AMEND GLOTECH INDUSTRIES INC NV X X 07/09/03 GOLDEN ENTERPRISES INC DE X 05/31/03 GOLDEN ENTERPRISES INC DE X 05/31/03 GREENVILLE FIRST BANCSHARES INC SC X 06/26/03 GROUP 1 AUTOMOTIVE INC DE X 07/10/03 GS MORTGAGE SECURITIES CORP DE X X 07/08/03 GS MORTGAGE SECURITIES CORP DE X 07/31/03 GUSANA EXPLORATIONS INC X 06/24/03 AMEND HARBOR FLORIDA BANCSHARES INC DE X 06/30/03 HARLEYSVILLE GROUP INC DE X X 07/07/03 HARMONICA ACQUISITION CORP DE X X 01/28/03 HARMONICA ACQUISITION CORP DE X X 11/10/02 HARTCOURT COMPANIES INC UT X X 08/05/02 AMEND HAWAIIAN ELECTRIC INDUSTRIES INC HI X 07/08/03 HEALTH CARE PROPERTY INVESTORS INC MD X X 07/02/03 HEALTH CARE REIT INC /DE/ DE X X 07/08/03 HEALTHGATE DATA CORP DE X 07/10/03 HECLA MINING CO/DE/ DE X 07/08/03 IA GLOBAL INC DE X X 07/07/03 ICT GROUP INC PA X X 07/10/03 IGEN INTERNATIONAL INC /DE DE X 07/10/03 IGEN INTERNATIONAL INC /DE DE X 07/10/03 AMEND IMCLONE SYSTEMS INC/DE DE X X 07/09/03 IMP INC DE X X 07/03/03 AMEND INDEPENDENT BANK CORP MI X X 07/10/03 INSIGNIA SOLUTIONS PLC X 04/23/03 AMEND INTEGRATED BIOPHARMA INC DE X X 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