SEC NEWS DIGEST Issue 2004-45 March 8, 2004 COMMISSION ANNOUNCEMENTS CHANGE IN THE MEETING: DELETION OF ITEMS The following items will not be considered during the closed meeting on Tuesday, March 9, at 2:00 p.m.: Settlement of an administrative proceeding; and A litigation matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 942-7070. SEC DETERMINES AGENDA AND PANELISTS FOR SECURITY HOLDER DIRECTOR NOMINATIONS ROUNDTABLE The Commission announced today the final agenda and participants for a roundtable on proxy access for shareholder nominations to company boards of directors. The "Security Holder Director Nominations Roundtable" scheduled for March 10, 2004, from 9:00 a.m. to 5:15 p.m., will address the rules proposed by the Commission on Oct. 14, 2003, relating to proxy disclosure of security holder director nominations. As more fully described in the proposing release, available at www.sec.gov, the proposals would, under certain circumstances, require companies to include in their proxy materials disclosure regarding security holder nominees for election as director. The Roundtable will cover a number of topics, including (1) whether problems in the proxy process need to be addressed; (2) whether the proposed rules are a reasonable solution to those problems; (3) how the proposed rules would apply to companies and investors; (4) the impact of the proposed rules on retail and other investors; (5) federal and state law issues that may be raised by the proposed rules; and (6) how proxy voting mechanics might impact the proposed rules. An agenda, briefing paper outlining issues to be addressed during the roundtable, and other related materials --- including written statements submitted by participants --- may be obtained through http://www.sec.gov/spotlight/dir-nominations.htm. Roundtable panelists will include: Warren L. Batts (National Association of Corporate Directors) Lucian Arye Bebchuk (Harvard Law School) J. Carter Beese, Jr. (Riggs Capital Partners) Richard C. Breeden (Richard C. Breeden & Co.) Peter C. Clapman (TIAA-CREF) John C. Coffee, Jr. (Columbia University Law School) Richard J. Daly (Automatic Data Processing Inc.) Evelyn Y. Davis (Highlights & Lowlights) Thomas J. Donohue (U.S. Chamber of Commerce) Charles M. Elson (University of Delaware) Jill E. Fisch (Fordham University School of Law) Les Greenberg (Committee of Concerned Shareholders) Joseph A. Grundfest (Stanford Law School) James E. Heard (Institutional Shareholder Services) David A. Katz (Wachtell, Lipton, Rosen & Katz) Randall S. Kroszner (Graduate School of Business, University of Chicago) Robert Todd Lang (Weil, Gotshal & Manges) Donald C. Langevoort (Georgetown University Law Center) Lance E. Lindblom (The Nathan Cummings Foundation) Martin Lipton (Wachtell, Lipton, Rosen & Katz) Ira M. Millstein (Weil, Gotshal & Manges) Nell Minow (The Corporate Library) Richard H. Moore (State of North Carolina) Denise L. Nappier (State of Connecticut) Paul M. Neuhauser (University of Iowa College of Law - retired) Steve Odland (AutoZone Inc.) Franklin D. Raines (Fannie Mae) Eric Roiter (Fidelity Management & Research Company) David S. Ruder (Northwestern University School of Law) Damon Silvers (AFL-CIO) Jeffrey A. Sonnenfeld (Yale University School of Management) Gregory P. Taxin (Glass, Lewis & Co.) E. Norman Veasey (Supreme Court of Delaware) Peter J. Wallison (American Enterprise Institute) Ted White (California Public Employees' Retirement System) Ralph V. Whitworth (Relational Investors, LLC; Apria Healthcare Group Inc.) John C. Wilcox (Georgeson Shareholder Communications Inc.) Susan Ellen Wolf (Schering-Plough Corporation) Ann Yerger (Council of Institutional Investors) The Roundtable will take place in the William O. Douglas Room of the Commission's headquarters at 450 Fifth Street, N.W., Washington, D.C., and will be open to the public with seating on a first-come, first- served basis. Doors will open at 8:00 a.m. The visitors' entrance to the Commission's headquarters is located on Fifth Street, N.W. Visitors will be subject to security checks. Real time and archived webcasts will be accessible at http://www.sec.gov. As the Commission announced on Feb. 9, 2004, the Commission will accept comments regarding issues addressed in the roundtable discussion and otherwise regarding the proposed rule amendments from March 10, 2004, until March 31, 2004. For additional information, please contact Herb Perone or John Heine at (202) 942-0020. (Press Rel. 2004-27) ENFORCEMENT PROCEEDINGS COMMISSION BARS FORMER INVESTMENT FIRM CHAIRMAN FROM ASSOCIATING WITH A BROKER, DEALER OR INVESTMENT ADVISER On March 5, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Frederick W. McCarthy, a resident of Boston, Massachusetts and Palm Beach, Florida. McCarthy served as a principal and the chairman of Triumph Capital Group, Inc. (Triumph), a Boston investment firm, since its founding in 1990. The Order found that on Oct. 28, 2003, a Connecticut federal court entered final judgment by consent against McCarthy, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 in the civil action entitled Securities and Exchange Commission v. Paul J. Silvester, et al., Civil Action Number 3:00-CV-1941 (D. Conn.). The Commission's complaint, filed Oct. 10, 2000, alleged, among other things, that Triumph and McCarthy provided $2 million in consulting contracts to associates of the Connecticut State Treasurer (Treasurer) in order to secure the Treasurer's decision to invest $200 million in state pension funds in a Triumph investment fund. The Commission's complaint further alleged that McCarthy violated his fiduciary duty to the state pension fund by failing to disclose the quid pro quo arrangement to the state pension fund. The Order also found that on Sept. 4, 2003, McCarthy pleaded guilty to one count of theft or bribery concerning programs receiving federal funds, in violation of 18 U.S.C. 666, in the U.S. Court for the District of Connecticut. The count of the indictment to which McCarthy pleaded guilty alleged, among other things, that McCarthy, beginning on or about November 1998, rewarded the Treasurer by providing consulting contracts valued at approximately $2 million to the Treasurer's associates, at least in part, for the Treasurer's decision to increase the investment of state pension assets in a Triumph investment fund. Based upon the above, the Commission issued an Order barring McCarthy from associating with a broker, dealer, or investment adviser. McCarthy consented to the issuance of the administrative Order without admitting or denying the findings in the Order. For further information, please see Litigation Release Numbers 18461 (Nov. 17, 2003), 18436 (Oct. 30, 2003), 16834 (Dec. 19, 2000) and 16759 (Oct. 10, 2000). SEC v. Paul J. Silvester et al., (USDC, District of Connecticut, Civil Action No. 3:00 CV 1941 (SRU)) United States v. Triumph Capital Group et al. (United States District Court for the District of Connecticut, Criminal Action No. 3:00 CR 217 (EBB)). (Rels. 34-49369; IA-2218; File No. 3-11422) ADMINISTRATIVE PROCEEDING IN THE MATTER OF CLIFFORD BURTON On March 5, the Commission issued an order barring Clifford Ray Burton of Durham, North Carolina from associating with any broker, dealer or investment adviser. Burton was a principal of Linville Group, LLC, a now-defunct investment adviser that promoted a fraudulent investment scheme over the Internet. Burton consented to the issuance of the order, which was based on a final judgment entered against him on Feb. 11, 2004 by the U.S. District Court for the Western District of North Carolina. The Court permanently enjoined Burton from future violations of Sections 5(a) and (c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, but waived payment of any disgorgement or a civil money penalty based on Burton's demonstrated inability to pay. (SEC v. Linville Group, LLC, et al., Civil Action No. 3:01-CV332-MU (W.D.N.C. Feb. 11, 2004)). The Commission alleged in the civil action that Burton and his brother and co-defendant, James Reuben Burton, among other things, sold securities without a registration statement being in effect and acted as an unregistered broker-dealer. In February 2002, James Reuben Burton pleaded guilty to and was convicted of one count of securities fraud, three counts of mail fraud and one count of money laundering in connection with his activities at Linville Group. He was later sentenced to seventy months in prison. (U.S. v. James Reuben Burton, 3:02 CR 21 (W.D.N.C. Feb. 8, 2002)). In March 2003, in the Commission's parallel civil action, the Court entered a final judgment against James Reuben Burton permanently enjoining him from future violations of the antifraud and registration provisions of the federal securities laws. The Court also held James Reuben Burton liable for disgorgement in the amount of $3,097,359, plus prejudgment interest in the amount of $306,131, and imposed a civil money penalty against him in the amount of $120,000. (SEC v. Linville Group, LLC, et al., Civil Action No. 3:01-CV332-MU (W.D.N.C. March 4, 2003)). James Reuben Burton also consented to the issuance of an order by the Commission barring him from associating with any broker, dealer or investment adviser. See Release Nos. 34-47574/IA-2118; File No. 3- 11074. The Commission acknowledges the assistance of the FBI and the U.S. Attorney's Office for the Western District of North Carolina in this matter. (Rels. 34-49370; IA-2219; File No. 3-11423) LARRY STOCKETT ENJOINED, ORDERED TO DISGORGE $1.8 MILLION AND TO PAY THIRD TIER CIVIL PENALTY The Commission announced that on March 4 the U.S. District Court for the District of Nevada entered a final judgment against Larry A. Stockett (Stockett), based upon its grant of summary judgment in favor of the Commission. The judgment permanently enjoins Stockett from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b), 13(a), 13(d) and 16(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 12b-20, 12b-25, 13a- 1, 13a-11, 13a-13, 16a-2 and 16a-3 thereunder. The judgment further orders Stockett to disgorge illegal profits and prejudgment interest totaling $1,836,181.56, and to pay a third tier civil penalty of $120,000. The Commission's complaint alleged that, between August 1999 and April 2003, Stockett orchestrated a fraudulent scheme regarding Hightec, Inc. (Hightec) and The S.I.N.C.L.A.R.E. Group, Inc. (Sinclare), two publicly held but legally defunct corporate entities of which Stockett was the sole officer and director. The complaint further alleged that Stockett issued numerous false statements concerning, among other things, his disciplinary history and the legal status, current operations and prospective revenues of Hightec and Sinclare. The complaint alleged that, while disseminating these false and misleading statements, Stockett sold restricted Hightec stock in unregistered transactions for total profits of approximately $583,687. The complaint further alleged that, during the same period, Stockett failed to file mandatory periodic and current reports with the Commission on behalf of Hightec and Sinclare. [SEC v. Larry A. Stockett, No. CV-S02-0607-PMP-LRL, USDC, D. Nevada] (LR-18609) COMMISSION FILES SUBPOENA ENFORCEMENT ACTION AGAINST AMERCO On March 5, the Commission filed an application with the U.S. District Court for the District of Nevada, Northern Division, for an order to enforce investigative subpoenas served on AMERCO, the parent company of U-Haul, Inc. The Commission's application and supporting papers allege that on Nov. 4, 2002, the Commission issued a formal order of private investigation entitled In the Matter of AMERCO. On Jan. 7, 2003, Jan. 23, 2003, and Feb.21, 2003, the Commission issued administrative subpoenas to AMERCO in the course of that formal investigation into possible violations of the federal securities laws. The subpoenas required AMERCO to produce documents, including e-mails, relevant to the investigation. The Commission further alleges that, as of the date of the Commission's application, over a year has elapsed since service of the last of the subpoenas, and AMERCO has failed to produce all, or even substantially all, of the e-mails subpoenaed, and AMERCO has no valid justification for its failure to comply. The Commission's application and supporting papers also allege that, as recently as March 3, 2004, AMERCO declined to provide the staff of the Commission with a date by which it will complete production of the responsive e-mails and that a court order is necessary to prevent further delay in response to the subpoenas. The Commission further alleges that, several times, AMERCO has promised to complete production of the e-mails only to have the promised date come and go without completion of the production. Moreover, as recently as March 3, 2004, AMERCO declined to provide the staff of the Commission with a date by which it will complete production of the responsive e- mails. It is therefore apparent that an order by the Court compelling compliance is necessary to prevent further delay in response to the subpoenas. [SEC v. AMERCO, Case No. CV-N-04-01-03-DWH-VPC (D. NEV.)] (LR-18610) DCI DEFENDANTS CONSENT TO PERMANENT INJUNCTIONS; DEFENDANT JOSEPH MURPHY AGREES TO PAY CIVIL MONEY PENALTY OF $75,000 The Commission today announced that it has settled its litigation against defendants DCI Telecommunications, Joseph J. Murphy, Russell B. Hintz, and relief defendant Grace P. Murphy. The settlements were approved by the U.S. District Court for the Southern District of New York. Without admitting or denying the allegations in the Commission's amended complaint, defendant DCI consented to be permanently enjoined from violating Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (Securities Act), and Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 12b-20, 13a-1 and 13a-13. DCI further consented to have the registration of its common stock revoked pursuant to Exchange Act Section 12(j). Defendant Murphy consented to be permanently enjoined from violating Securities Act Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Exchange Act Rules 12b- 20, 13a-1 and 13a-13. Murphy also consented to pay a civil money penalty of $75,000. Defendant Hintz consented to be permanently enjoined from violating Securities Act Sections 17(a)(2) and 17(a)(3), and from aiding and abetting violations of Exchange Act Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) and Exchange Act Rules 12b-20, 13a-1 and 13a- 13. The Commission dismissed its claim against the relief defendant, Grace Murphy. The Commission's amended complaint alleges, among other things, that the defendants improperly accounted for seven acquisitions and overvalued a purported $15 million contract and $5 million promissory note, causing financial statements that DCI filed with the Commission to be inaccurate. The amended complaint also alleges that Murphy and DCI violated Securities Act Section 5 by distributing securities that were not registered with the Commission and not exempt from registration. [SEC v. DCI Telecommunications, et al., 00 Civ.4664 (RWS) SDNY] (LR- 18611; AAE Rel. 1969) INVESTMENT COMPANY ACT RELEASES JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until March 29 to request a hearing on an application filed by Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I, and Jackson National Life Distributors, Inc. (collectively, Applicants). Applicants seek an order under Section 6(c) of the Investment Company Act granting exemptions from Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to permit the recapture of certain contract enhancements applied to purchase payments made under certain variable annuity contracts issued by Jackson National. (Rel. IC- 26378 - March 5) JACKSON NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until March 29 to request a hearing on an application filed by Jackson National Life Insurance Company (Jackson National), Jackson National Separate Account - I, Jackson National Life Insurance Company of New York (JNL New York), JNLNY Separate Account I, and Jackson National Life Distributors, Inc. (collectively, Applicants). Applicants seek an amended order under Section 6(c) of the Investment Company Act granting exemptions from Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder to permit the recapture of certain contract enhancements applied to purchase payments made under certain variable annuity contracts issued by Jackson National and JNL New York. Rel. IC- 26379 - March 5) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to modifications to the fee schedule to delete obsolete fees and clarify language (SR-Phlx-2004-15) has become 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 March 8. (Rel. 34-49362) The Fixed Income Clearing Corporation filed a proposed rule change (SR- FICC-2004-03) under Section 19(b)(1) of the Exchange Act, which became effective upon filing, to (i) delete the Late Trade Data Submission Fine from the rules of the Government Securities Division (GSD) and (ii) amend GSD's clearing fund rule. Publication of the proposal is expected in the Federal Register during the week of March 8. (Rel. 34-49363) A proposed rule change filed by the Municipal Securities Rulemaking Board relating to Interpretation of Rules G-37, on Political Contributions and Prohibitions on Municipal Securities Business, and G- 38, on Consultants (SR-MSRB-2004-01) 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 March 8. (Rel. 34-49368) 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-2 FONIX CORP, 8015536600 - 23,500,000 ($10,810,000.00) Equity, (File 333-113290 - Mar. 5) (BR. 03) S-8 VASTERA INC, 45025 AVIATION DR, STE 200, DULLES, VA, 20166, 0 ($3,798,831.40) Equity, (File 333-113292 - Mar. 5) (BR. 03) S-3 JUPITERMEDIA CORP, 23 OLD KINGS HIGHWAY SOUTH, DARIEN, CT, 06820, 2036622800 - 4,830,000 ($44,242,800.00) Equity, (File 333-113293 - Mar. 5) (BR. 08) F-10 TELESYSTEM INTERNATIONAL WIRELESS INC, 1250 REN?-L?VESQUE WEST, 38TH FLOOR, MONTREAL, QUEBEC, E6, H3B 4W8, 514-673-8497 - 0 ($283,279,500.00) Equity, (File 333-113294 - Mar. 5) (BR. 37) S-1 BRILLIAN CORP, 1600 NORTH DESERT DRIVE, TEMPE, AZ, 85281-1230, 6023898888 - 0 ($40,000,000.00) Equity, (File 333-113295 - Mar. 5) (BR. 37) SB-2 REESE CORP, 4676 WEST 6TH AVE, VANCOUVER BC CANADA, A1, V6R1V7, 6,097,650 ($1,219,530.00) Equity, (File 333-113296 - Mar. 5) (BR. 09) F-6 CHINA OILFIELD SERVICES LTD/FI, 3-1516 HELEI ROAD, HAIYONG NEW AND HI-TECH DEVELOPMENT ZONE, TIANJIN, F4, 300451, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-113298 - Mar. 5) (BR. ) S-8 INTROGEN THERAPEUTICS INC, 301 CONGRESS AVE, SUITE 1850, AUSTIN, TX, 78701, 5127089310 - 0 ($11,757,007.36) Equity, (File 333-113299 - Mar. 5) (BR. 01) S-3 DTE ENERGY CO, 2000 2ND AVENUE, ROOM 2412, DETRIOT, MI, 48226-1279, 3132354000 - 0 ($174,735,469.00) Equity, (File 333-113300 - Mar. 5) (BR. 02) S-8 POWER TECHNOLOGY INC/CN, 1000 W BONANZA RD, 604-925-0716, LAS VEGAS, NV, 89106, 7023823385 - 1,800,000 ($72,000.00) Equity, (File 333-113301 - Mar. 5) (BR. 09) S-8 CLIFTON SAVINGS BANCORP INC, 145,454 ($1,797,812.00) Equity, (File 333-113302 - Mar. 5) (BR. 07) S-8 RJV NETWORK INC, 15147 SE 46TH WAY, BELLEVUE, WA, 98006, 5,000,000 ($2,500,000.00) Equity, (File 333-113303 - Mar. 5) (BR. 09) S-8 RJV NETWORK INC, 15147 SE 46TH WAY, BELLEVUE, WA, 98006, 5,000,000 ($2,500,000.00) Equity, (File 333-113304 - Mar. 5) (BR. 09) S-8 NIGHTHAWK SYSTEMS INC, 8200 EAST PACIFIC PLS, SUITE 204, DENVER, CO, 80231, 2103414811 - 5,000,000 ($1,207,600.00) Equity, (File 333-113305 - Mar. 5) (BR. 37) S-8 STEREO VISION ENTERTAINMENT INC, 11166 BURBANK BLVD, NORTH HOLLYWOOD, CA, 91601, 8187607007 - 365,000 ($226,300.00) Equity, (File 333-113309 - Mar. 5) (BR. 02) S-3 CARNIVAL PLC, 5 GAINSFORD ST, CARNIVAL HOUSE, LONDON WC1A 1PP ENGL, X0, 00000, 0 ($500,000,000.00) Equity, (File 333-113310 - Mar. 5) (BR. 05) S-3 MERITAGE HOSPITALITY GROUP INC, 1971 E BELTLINE NE - SUITE 200, GRAND RAPIDS, MI, 49525, 6167762600 - 2,647,664 ($10,639,574.31) Equity, (File 333-113311 - Mar. 5) (BR. 05) S-3 RED HAT INC, 1801 VARSITY DRIVE, RALEIGH, NC, 27606, 9197543700 - 3,978,366 ($71,451,453.36) Equity, (File 333-113312 - Mar. 5) (BR. 03) S-3 TEXTRON INC, 40 WESTMINSTER ST, PROVIDENCE, RI, 02903, 4014212800 - 0 ($2,000,000,000.00) Other, (File 333-113313 - Mar. 5) (BR. 05) S-8 CORNERSTONE BANCSHARES INC, 4154 RINGGOLD RD, CHATTANOOGA, TN, 37412-416, 4236982454 - 0 ($1,120,250.00) Equity, (File 333-113314 - Mar. 5) (BR. 07) S-8 COOPER TIRE & RUBBER CO, LIMA & WESTERN AVENUES, FINDLAY, OH, 45840, 4194231321 - 2,040,000 ($40,759,200.00) Equity, (File 333-113315 - Mar. 5) (BR. 06) N-2 BLACKROCK S&P QUALITY RANKINGS TRUST, 40 E 52ND ST, NEW YORK, NY, 10022, 100,000 ($1,500,000.00) Equity, (File 333-113316 - Mar. 5) (BR. ) S-8 ESSXSPORT CORP, 9812-14 GLENOAKS BOULEVARD, SUN VALLEY, CA, 91352, 8172852886 - 40,000,000 ($800,000.00) Equity, (File 333-113317 - Mar. 5) (BR. 05) S-8 CENTILLIUM COMMUNICATIONS INC, 47211 LAKEVIEW BLVD, FREMONT, CA, 94538, 5107713700 - 2,648,175 ($12,529,575.72) Equity, (File 333-113318 - Mar. 5) (BR. 37) S-3 HOME SOLUTIONS OF AMERICA INC, 11850 JONES ROAD, -, HOUSTON, TX, 77070, 281-970-9859 - 10,532,825 ($17,905,802.50) Equity, (File 333-113319 - Mar. 5) (BR. 08) S-3 ZHONE TECHNOLOGIES INC, 2 CRESCENT PLACE, OCEANPORT, NJ, 07757, 0 ($249,893,574.02) Unallocated (Universal) Shelf, (File 333-113320 - Mar. 5) (BR. 37) S-3 R&G FINANCIAL CORP, 280 JESUS T. PINERO AVE, HATO REY, SAN JUAN, PR, 00918, 4,000,000 ($100,000,000.00) Non-Convertible Debt, (File 333-113321 - Mar. 5) (BR. 07) S-8 SERVICEMASTER CO, 3250 LACEY ROAD, SUITE 600, DOWNERS GROVE, IL, 60515, 6306632700 - 150,000 ($1,651,500.00) Other, (File 333-113322 - Mar. 5) (BR. 08) S-8 ALABAMA NATIONAL BANCORPORATION, 1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35209, 2055833600 - 0 ($2,713,575.00) Equity, (File 333-113323 - Mar. 5) (BR. 07) S-8 ALABAMA NATIONAL BANCORPORATION, 1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35209, 2055833600 - 0 ($396,903.00) Equity, (File 333-113324 - Mar. 5) (BR. 07) S-4 NEWMARKET CORP, 18,500,000 ($355,755,000.00) Equity, (File 333-113325 - Mar. 5) (BR. ) S-8 MAXIM PHARMACEUTICALS INC, 8899 UNIVERSITY CTR LANE, STE 400, SAN DIEGO, CA, 92122, 8584534040 - 0 ($23,000,000.00) Equity, (File 333-113326 - Mar. 5) (BR. 01) S-8 BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA, 02109, 6175561900 - 0 ($1,593,772.72) Equity, (File 333-113327 - Mar. 5) (BR. 07) S-8 RADIAN GROUP INC, 1601 MARKET STREET, 12TH FLOOR, PHILADELPHIA, PA, 19103, 2155646600 - 300,000 ($13,371,000.00) Equity, (File 333-113328 - Mar. 5) (BR. 01) S-1 ANGIODYNAMICS INC, 603 QUEENSBURY AVE, QUEENSBURY, NY, 12804, 5187981215 - 0 ($30,590,000.00) Equity, (File 333-113329 - Mar. 5) (BR. ) S-8 PERFORMANCE TECHNOLOGIES INC \DE\, 205 INDIGO CREEK DRIVE, ROCHESTER, NY, 14626, 5852560200 - 1,500,000 ($30,000,000.00) Equity, (File 333-113330 - Mar. 5) (BR. 36) S-1 BLACKBOARD INC, 1899 L ST NW, 5TH FLR, WASHINGTON, DC, 20036, 0 ($75,000,000.00) Equity, (File 333-113332 - Mar. 5) (BR. ) SB-2 TORA TECHNOLOGIES INC, 256-4438 WEST 10TH AVE., VANCOUVER BC, A1, 00000, 4,430,000 ($886,000.00) Equity, (File 333-113333 - Mar. 5) (BR. ) S-3 SECURITY BANK CORP, 4719 FORSYTH RD, MACON, GA, 31210, 4787226200 - 0 ($20,955,438.00) Equity, (File 333-113335 - Mar. 5) (BR. 07) S-3 NATIONAL COLLEGIATE FUNDING LLC, 30 LITTLE HARBOR, MARBLEHEAD, MA, 01945, 7816392000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-113336 - Mar. 5) (BR. ) S-4 CUMULUS MEDIA INC, 3535 PIEDMONT ROAD, BUILDING 14, FOURTEENTH FLOOR, ATLANTA, GA, 30305, 4049490700 - 10,000,000 ($198,400,000.00) Equity, (File 333-113337 - Mar. 5) (BR. 37) S-8 FIDELITY D & D BANCORP INC, BLAKELY & DRINKER STREETS, DUNMORE, PA, 18512, 5703428281 - 10,000 ($3,575,000.00) Other, (File 333-113339 - Mar. 5) (BR. 07) S-1 MEWBOURNE ENERGY PARTNERS O4-A LP, 3901 S BROADWAY, TYLER, TX, 75701, 9035612900 - 0 ($50,000,000.00) Limited Partnership Interests, (File 333-113340 - Mar. 5) (BR. ) S-8 BOOKHAM TECHNOLOGY PLC, 90 MILTON PARK ABINGDON, 011-44-1235-827200, OXFORDSHIRE ENGLAND, X0, OX14 4RY, 0 ($25,433,276.00) Other, (File 333-113341 - Mar. 5) (BR. 36) S-3 AUGUST TECHNOLOGY CORP, 4900 W 78TH ST, BLOOMINGTON, MN, 55435, 9528200080 - 0 ($5,160,350.00) Equity, (File 333-113342 - Mar. 5) (BR. 36) S-1 NUVASIVE INC, 10065 OLD GROVE RD, SAN DIEGO, CA, 92131, 8582717070 - 0 ($92,000,000.00) Equity, (File 333-113344 - Mar. 5) (BR. ) S-4 UAP HOLDING CORP, C/O UNITED AGRI PRODUCTS INC, 7251 W 4TH STREET, GREELEY, CO, 80634, 9703554400 - 0 ($83,423,750.00) Non-Convertible Debt, (File 333-113345 - Mar. 5) (BR. ) S-3 HI/FN INC, 750 UNIVERSITY AVENUE, ., LOS GATOS, CA, 95032, 4093993500 - 2,200,000 ($28,270,000.00) Equity, (File 333-113346 - Mar. 5) (BR. 36) SB-2 BIB HOLDINGS LTD, 101 E. PANTANO RD, TUCSON, AZ, 85710, 5208859207 - 130,500,000 ($13,702,500.00) Equity, (File 333-113347 - Mar. 5) (BR. 02) S-8 TECSCAN INTERNATIONAL INC, 117 EAST LOUISA STREET, SUITE #104, SEATTLE, WA, 98102, 206-324-6025 - 4,000,000 ($1,120,000.00) Equity, (File 333-113348 - Mar. 5) (BR. 05) S-3 ALPHA TECHNOLOGIES GROUP INC, 11990 SAN VICENTE BLVD, SUITE 350, LOS ANGELESENA, CA, 90049, 6267999171 - 258,225 ($413,160.00) Equity, (File 333-113350 - Mar. 5) (BR. 06) S-4 HARRAHS ENTERTAINMENT INC, ONE HARRAHS COURT, LAS VEGAS, NV, 89119, 7024076000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-113351 - Mar. 5) (BR. 05) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 0 ($368,000.00) Equity, (File 333-113352 - Mar. 5) (BR. 09) S-3 ALLOS THERAPEUTICS INC, 11080 CIRCLEPOINT ROAD, SUITE 200, WESTMINSTER, CO, 80020, 3034266262 - 0 ($75,000,000.00) Other, (File 333-113353 - Mar. 5) (BR. 01) S-1 NETGEAR INC, 4084955316 - 10,350,000 ($154,991,250.00) Equity, (File 333-113354 - Mar. 5) (BR. 37) S-3 DECORIZE INC, 1938 EAST PHELPS, ., SPRINGFIELD, MO, 65802, 417-879-3326 - 6,677,045 ($3,472,063.40) Equity, (File 333-113356 - Mar. 5) (BR. 02) S-3 NYER MEDICAL GROUP INC, 1292 HAMMOND ST, BANGOR, ME, 04401, 207-942-5273 - 150,000 ($421,500.00) Equity, (File 333-113357 - Mar. 5) (BR. 01) S-8 KLA TENCOR CORP, 160 RIO ROBLES, SAN JOSE, CA, 95134, 4084344200 - 0 ($345,376,872.90) Equity, (File 333-113358 - Mar. 5) (BR. 36) S-3 GENOME THERAPEUTICS CORP, 1OO BEAVER ST, WALTHAM, MA, 02453, 7813982300 - 0 ($53,522,764.00) Equity, (File 333-113359 - Mar. 5) (BR. 01) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ABX AIR INC X X 03/04/04 ACL SEMICONDUCTOR INC X 03/02/04 ADA-ES INC CO X 03/05/04 ADVANCE TECHNOLOGIES INC NV X 03/05/04 ADVANCED MARKETING SERVICES INC DE X 03/05/04 AIRTRAN HOLDINGS INC NV X X 03/05/04 ALABAMA NATIONAL BANCORPORATION DE X X 02/27/04 ALION SCIENCE & TECHNOLOGY CORP DE X X X 02/13/04 AMEND AMERICAN EAGLE OUTFITTERS INC DE X X 03/03/04 APPALACHIAN BANCSHARES INC GA X 03/05/04 APPLIED FILMS CORP CO X X 03/02/04 ARGENT SECURITIES INC ASSET BACK PASS X 03/04/04 ARGENT SECURITIES INC ASSET BACK PASS X 03/04/04 ARMSTRONG HOLDINGS INC /PA/ PA X 03/04/04 ASHFORD HOSPITALITY TRUST INC MD X 03/04/04 ASIA PAYMENT SYSTEMS NV X X 02/24/04 ASK JEEVES INC DE X X X 03/03/04 ASSET BACKED FUNDING CORP DE X X 03/05/04 ASSET BACKED FUNDING CORP C BASS MOR DE X X 02/25/04 ASTEC INDUSTRIES INC TN X 12/31/03 AURORA FOODS INC /DE/ DE X X X 03/05/04 BAKER MICHAEL CORP PA X X 02/27/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 03/04/04 BANNER CORP WA X X 03/04/04 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 03/05/04 BEST BUY CO INC MN X X 03/04/04 BLUE RHINO CORP DE X X 03/05/04 BOULDER ACQUISITIONS INC NV X X 02/23/04 BRIGHAM EXPLORATION CO DE X X 03/04/04 CABLETEL COMMUNICATIONS CORP X X 02/27/04 CARDINAL MINERALS INC NV X X X X 01/26/04 CARNIVAL CORP DE X X X 02/27/04 CASEYS GENERAL STORES INC IA X X 03/04/04 CEC ENTERTAINMENT INC KS X 12/28/03 CENDANT MORTGAGE CAPITAL LLC CDMC MO DE X 02/25/04 CENTRAL VALLEY COMMUNITY BANCORP CA X X 03/04/04 CERISTAR INC DE X X 02/26/04 CHASE FUNDING INC NY X X 02/20/04 CHROMCRAFT REVINGTON INC DE X 03/03/04 CIRCOR INTERNATIONAL INC DE X X 03/01/04 CITIGROUP MORTGAGE LOAN TRUST SERIES X 02/25/04 CLAIMSNET COM INC DE X 03/05/04 CLEVELAND CLIFFS INC OH X 03/04/04 COLLECTORS UNIVERSE INC DE X X 02/19/04 COMMERCIAL NATIONAL FINANCIAL CORP /M MI X X 03/01/04 COMMUNITY CAPITAL CORP /SC/ SC X X 03/04/04 CONCEPTUS INC DE X X 03/02/04 CONNETICS CORP DE X 03/04/04 COOPER COMPANIES INC DE X X 03/02/04 CORPORATE BOND BACKED CERT TR SER 199 X X 03/01/04 COTELLIGENT INC DE X X 03/02/04 CRESTED CORP CO X X 01/30/04 AMEND CRIIMI MAE FINANCIAL CORP MD X 03/01/04 CRYO CELL INTERNATIONAL INC DE X X 03/04/04 CUMBERLAND TECHNOLOGIES INC FL X X 02/26/04 CWMBS INC DE X X 01/29/04 CYTYC CORP DE X X 03/01/04 DATA SYSTEMS & SOFTWARE INC DE X X 02/26/04 DATAMEG CORP NY X X 03/05/04 DEB SHOPS INC PA X X 03/03/04 DEEP WELL OIL & GAS INC NV X X X X X 03/04/04 DELTATHREE INC DE X X 03/04/04 AMEND DEUTSCHE COMMERCIAL MORTGAGE PASS THR DE X X 03/04/04 DORCHESTER MINERALS LP DE X X X 12/31/03 DOVER MOTORSPORTS INC DE X 03/04/04 DYNAMEX INC DE X X 03/03/04 EGL INC TX X 03/05/04 ELITE PHARMACEUTICALS INC /DE/ DE X X 03/04/04 EMERITUS CORP\WA\ WA X 12/31/03 EMULEX CORP /DE/ DE X X 03/05/04 ENCORE CAPITAL GROUP INC DE X 03/02/04 ENERGY WEST INC MT X X 02/20/04 ENPATH MEDICAL INC MN X X 03/03/04 ERIE FAMILY LIFE INSURANCE CO PA X X 03/05/04 EXUS GLOBAL INC NV X X 03/03/04 FARMER BROTHERS CO CA X 03/04/04 FEDERAL MOGUL CORP MI X 03/05/04 FIDELIS ENERGY INC NV X X 03/05/04 FIRST FINANCIAL BANKSHARES INC TX X X 03/04/04 FIRST LITCHFIELD FINANCIAL CORP DE X 03/05/04 FIRST MERCHANTS CORP IN X X X 03/05/04 FISHER SCIENTIFIC INTERNATIONAL INC DE X 03/03/04 FLEXPOINT SENSOR SYSTEMS INC DE X X X X 02/24/04 FONIX CORP DE X X 02/24/04 FOX ENTERTAINMENT GROUP INC DE X X 03/05/04 AMEND GRAPHON CORP/DE DE X 12/31/03 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 02/25/04 GREENPOINT MORTGAGE SECURITIES INC/ DE X X 02/17/04 GREENPOINT MORTGAGE SECURITIES LLC DE X X 02/25/04 GREG MANNING AUCTIONS INC NY X X 02/19/04 GROUP 1 AUTOMOTIVE INC DE X 03/05/04 GS MORTGAGE SECURITIES CORP DE X X 03/02/03 GS MORTGAGE SECURITIES CORP DE X X 03/02/04 GS MORTGAGE SECURITIES CORP DE X X 03/03/04 GS MORTGAGE SECURITIES CORP DE X 03/04/04 GUARANTY BANCSHARES INC /TX/ TX X X 03/05/04 HARRINGTON WEST FINANCIAL GROUP INC/C X X 03/05/04 HOLLINGER INTERNATIONAL INC DE X X 03/04/04 HOMESTAR MORTGAGE ACCEPTANCE CORP DE X X X 03/05/04 HOST AMERICA CORP DE X X 12/23/03 AMEND HOST MARRIOTT CORP/ MD X X 03/04/04 HUNTINGTON BANCSHARES INC/MD MD X X 02/18/04 AMEND IMC GLOBAL INC DE X X 02/27/04 IMPAX LABORATORIES INC DE X 03/05/04 IMPERIAL SUGAR CO /NEW/ TX X X 02/26/04 INDEPENDENT BANK CORP /MI/ MI X 03/05/04 INDUS INTERNATIONAL INC DE X X 03/04/04 INFORTE CORP DE X X 03/04/04 INPUT OUTPUT INC DE X X 02/23/04 INSIGHT HEALTH SERVICES HOLDINGS CORP X X 02/13/04 AMEND INTERNET BUSINESS INTERNATIONAL INC NV X X 12/08/03 INTEST CORP DE X X 03/03/04 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 03/04/04 INTROGEN THERAPEUTICS INC X X 03/05/04 INVESTNET INC NV X X 12/15/03 AMEND INVESTNET INC NV X X 12/15/03 AMEND INVESTORS TITLE CO NC X 03/02/04 ISCO INC NE X X 03/05/04 ISLAND PACIFIC INC DE X 01/30/04 AMEND IT GROUP INC DE X X 02/27/04 JEFFERIES GROUP INC /DE/ DE X X 03/03/04 JOSTENS HOLDING CORP DE X X 03/05/04 JPS INDUSTRIES INC DE X X 03/05/04 KEANE INC MA X 03/05/04 KEYCORP STUDENT LOAN TRUST 2003-A DE X 03/05/04 KLONDIKE STAR MINERAL CORP DE X 03/03/04 LAKES ENTERTAINMENT INC MN X X 03/04/04 LEVEL 3 COMMUNICATIONS INC DE X X 02/04/03 AMEND LEVEL 3 COMMUNICATIONS INC DE X X 02/04/03 AMEND LIFE SCIENCES INC DE X X 04/08/03 LITTELFUSE INC /DE DE X X 03/02/04 LONGS DRUG STORES CORP MD X 03/05/04 LOUDEYE CORP DE X X 03/01/04 LUDLUM CONSTRUCTION CO INC FL X 03/05/04 MARCONI CORP PLC X0 X 03/05/04 MARKETSHARE RECOVERY INC DE X 08/20/03 AMEND MERRILL LYNCH & CO INC DE X X 03/05/04 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE X X 03/01/04 MERRILL LYNCH DEPOSITOR INC PUBLIC ST DE X X 03/01/04 METROMEDIA INTERNATIONAL GROUP INC DE X X 03/04/04 MFIC CORP DE X X X 03/02/04 MGP INGREDIENTS INC KS X X 03/04/04 MILLENNIUM BANKSHARES CORP VA X X 02/26/04 MIM CORP DE X 03/04/04 MODEM MEDIA INC DE X X X 03/04/04 NATIONAL BEVERAGE CORP DE X X 03/05/04 NATIONAL HEALTH REALTY INC MD X 03/05/04 NATIONAL WESTERN LIFE INSURANCE CO CO X X 03/05/04 NATURAL RESOURCE PARTNERS LP DE X X 03/05/04 NESS ENERGY INTERNATIONAL INC /NV/ WA X X 02/19/04 AMEND NORDSTROM INC WA X X 02/05/04 NORTH AMERICAN SCIENTIFIC INC DE X X 03/02/04 NORTH BANCORP INC MI X X X X 03/05/04 NORTHGATE INNOVATIONS INC DE X X 03/03/04 NORTHLAND CABLE PROPERTIES EIGHT LIMI WA X X 03/05/04 NORTHLAND CABLE PROPERTIES SEVEN LIMI WA X X 03/05/04 NOVASTAR FINANCIAL INC MD X X 01/28/04 AMEND NUEVO ENERGY CO DE X X 03/05/04 OCEAN WEST HOLDING CORP DE X 03/05/04 PERFORMANCE FOOD GROUP CO TN X 03/05/04 PHOSPHATE RESOURCE PARTNERS LIMITED P DE X X 02/27/04 PINNACLE BANCSHARES INC AL X 02/27/04 PRESTOLITE ELECTRIC HOLDING INC DE X 03/05/04 PRIMUS KNOWLEDGE SOLUTIONS INC WA X X 12/22/03 AMEND PROXYMED INC /FT LAUDERDALE/ FL X X X 03/02/04 PSS WORLD MEDICAL INC FL X 03/05/04 PUBLIX SUPER MARKETS INC FL X X 03/01/04 QUOTESMITH COM INC DE X 03/02/04 RELIANCE STEEL & ALUMINUM CO CA X X X 07/01/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/05/04 AMEND RESPIRONICS INC DE X 03/04/04 RITA MEDICAL SYSTEMS INC DE X 03/04/04 ROBBINS & MYERS INC OH X 03/05/04 ROTECH HEALTHCARE INC DE X X 02/25/04 AMEND RURAL METRO CORP /DE/ DE X 07/07/03 RURAL METRO CORP /DE/ DE X X 09/30/03 RURAL METRO CORP /DE/ DE X X 10/13/03 RURBAN FINANCIAL CORP OH X 03/05/04 SATELLITE ENTERPRISES CORP NV X 10/22/03 AMEND SAUER DANFOSS INC DE X 03/04/04 SCO GROUP INC DE X X 03/03/04 SCOTTISH RE GROUP LTD E9 X 12/22/03 AMEND SEALY CORP DE X X 03/04/04 SECOND STAGE VENTURES INC NV X 03/05/04 SECURITIZED ASSET BACKED RECEIVABLES X X 03/03/04 SHIPROCK INC NV X 03/04/04 SIERRA HEALTH SERVICES INC NV X 03/04/04 SIMTEK CORP CO X 03/04/04 SIRNA THERAPEUTICS INC CO X X 03/04/04 SL INDUSTRIES INC NJ X 03/05/04 SRI SURGICAL EXPRESS INC FL X 03/05/04 STAGE STORES INC NV X X 03/05/04 STAGE STORES INC NV X X 03/05/04 SUPERIOR ESSEX INC DE X X 03/05/04 SYNAGRO TECHNOLOGIES INC DE X X 03/05/04 SYNALLOY CORP DE X X 03/05/04 TALRAM CORP DE X X 09/30/03 TECHE HOLDING CO LA X X 03/04/04 TECSCAN INTERNATIONAL INC NV X X 02/18/04 TEJON RANCH CO DE X X 03/05/04 TELEVIDEO INC DE X X 03/05/04 TEXEN OIL & GAS INC NV X 03/05/04 THIRD MELLENNIUM INDUSTRIES INC NV X X 03/01/04 TIVO INC DE X 03/04/04 TOR MINERALS INTERNATIONAL INC DE X X 03/05/04 TRANS WORLD CORP NV X X 03/05/04 TRANSBOTICS CORP DE X 03/04/04 TRANSDIGM INC DE X X 03/01/04 TRANSTECH INDUSTRIES INC DE X 03/05/04 TRINITY LEARNING CORP UT X 03/04/04 AMEND TRUDY CORP DE X 03/04/04 UNI MARTS INC DE X X 03/05/04 UNITED BANCORP INC /MI/ MI X X X 04/22/03 US ENERGY CORP WY X X 01/30/04 AMEND UTAH MEDICAL PRODUCTS INC UT X 03/04/04 V ONE CORP/ DE DE X X 02/27/04 VASCULAR SOLUTIONS INC DE X X 03/04/04 VERSATECH INC NV X X 03/01/04 VERTEL CORP CA X X 02/24/04 VIAD CORP DE X X 03/04/04 VIGNETTE CORP DE X X 03/01/04 VION PHARMACEUTICALS INC DE X X 03/05/04 VISUAL BIBLE INTERNATIONAL INC FL X X X 03/05/04 WACHOVIA COMMERCIAL MORT PASS THR CER NC X X 03/05/04 WASTE MANAGEMENT INC DE X X 03/02/04 WEBMD CORP /NEW/ DE X X 03/04/04 WELLCO ENTERPRISES INC NC X 03/05/04 WESTERN OHIO FINANCIAL CORP DE X X X 03/05/04 WESTERN SIZZLIN CORP DE X X 02/20/04 AMEND WESTPOINT STEVENS INC DE X 01/31/04 WHITTIER ENERGY CORP NV X X 03/03/04 WHY USA FINANCIAL GROUP INC NV X X 03/03/04 AMEND WILLBROS GROUP INC R1 X X 03/05/04 WORKFLOW MANAGEMENT INC DE X X 03/05/04 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 03/05/04 SABINE ROYALTY TRUST TX X X 03/04/04