SEC NEWS DIGEST Issue 2003-105 June 3, 2003 COMMISSION ANNOUNCEMENTS SEC HISTORICAL SOCIETY ANNUAL MEETING TO FEATURE SEC ENFORCEMENT CHIEF, NY STATE ATTORNEY GENERAL On June 2, the Commission announced that the SEC Historical Society will conduct its Annual Meeting on Wednesday, June 4, from 5:30 - 6:30 p.m. EST in the William O. Douglas Room at the Commission headquarters building, 450 5th Street, N.W., Washington, D.C. Stephen Cutler, Director of Enforcement at the Commission, and Eliot Spitzer, Attorney General for the State of New York, will speak on current enforcement issues. Recipients of the SEC Distinguished Service Award and the Manual F. Cohen Award, given by the Federal Bar Association, will also be recognized at the meeting. The SEC Historical Society will offer a live audio-stream of the event on its Web site at www.sechistorical.org. As usual, the Annual Meeting will be videotaped and placed in the virtual archives of the Society. It will also be audio-cast on the SEC's Web site at www.sec.gov. The Society, founded in 1999, is a private, non-profit organization that seeks to create broad understanding of the distinctive role that the SEC has and continues to play in the evolution of American and international financial markets. It is independent of the SEC and receives no federal funding. The annual meeting is open to members of the Society, SEC staff and SEC alumni. For further information, please contact Mary McCue at 202.543.3152. (Press Rel. 2003-68) ENFORCEMENT PROCEEDINGS IN THE MATTER OF KENNETH KASARJIAN On June 2, the Commission instituted settled administrative proceedings against Kenneth P. Kasarjian (Kasarjian), formerly senior vice president of The Bennett Funding Group, Inc. (BFG) and a registered representative of a broker-dealer wholly owned by BFG. Kasarjian consented, without admitting or denying the Commission's findings, to the entry of an Order barring Kasarjian from association with any broker or dealer. The Order describes in detail the Commission's determination that Kasarjian played an instrumental role in a massive "Ponzi" scheme perpetrated by BFG and its former chief financial officer, Patrick Bennett. In its Order, the Commission found that between 1990 and 1995, Kasarjian, through The Kenton Group (Kenton), a company Kasarjian owned, sold over $810 million of unregistered securities in the form of purported office equipment leases that either did not exist or that already had been assigned to others. The Commission also found that Kasarjian and Kenton distributed materially false BFG financial statements in connection with the sale of promissory notes to the public and, from approximately October 1995 through March 1996, sold membership interests in four investment funds by falsely representing that the funds would invest in particular types of income-generating obligations of BFG. On May 7, 2003, in a related civil action, SEC v. Kenneth P. Kasarjian and The Kenton Group, Inc. f/k/a Kenton Portfolio Management, Inc., 97 Civ. 2516 (JES)(SDNY), the Court entered a final judgment permanently enjoining Kasarjian and Kenton from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1993 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. That final judgment also bars the defendants from ever again offering or selling unregistered securities professionally to investors. Specifically, it permanently enjoins Kasarjian and Kenton from participating in an unregistered offering "while acting as, on behalf of, or in association with, an issuer, underwriter, broker, or dealer." On April 10, 1997, in a parallel action brought by the U.S. Attorney's Office for the Southern District of New York, Kasarjian pleaded guilty in federal court to criminal charges in connection with the fraudulent scheme and agreed to pay $900,000 from the sale of his home to BFG's bankruptcy estate. On July 19, 2000, Kasarjian was sentenced to two years imprisonment and ordered to pay $100,000 in restitution to the BFG estate. In addition, Kasarjian has given the BFG estate an additional $300,000 in proceeds from the sale of his home, $129,641 from his sale of certain securities, and certain other stock holdings. (Rel. 34- 47962; File No. 3-11141) CIVIL ACTION AGAINST J. SCOTT ESKIND The Commission announced that a second application for an order to show cause why defendants J. Scott Eskind (Eskind), Lorus Investments, Inc. (Lorus) and Capital Management Fund, Limited Partnership (Capital) (collectively, the defendants) should not be held in civil contempt was filed by the Commission on May 19, 2003, in the U.S. District Court for the Northern District of Georgia, based on the defendants' failure to provide an accounting, as required by an order issued by the Court on Oct. 11, 2002. The Commission's complaint, filed on Sept. 3, 2002, alleged that Eskind, in violation of a permanent injunction entered on Jan. 12, 1998, and continuing until the filing of the complaint, raised at least $3 million through sales of limited partnership units in Capital. Capital purportedly does business by trading in securities through initial or secondary public offerings. The sales materials misrepresented to investors Eskind's broker-dealer experience, and did not disclose his 1991 NYSE suspension, the Commission's 1997 civil action or the Commission's 2000 order barring him from association with an investment adviser. The complaint alleged that investors were told that IRA accounts had been opened for them at a trust company which serves as an IRA custodian and had received statements from Lorus indicating their funds in those accounts. In fact, no such accounts have been opened. The sales materials falsely stated that a major law firm provided legal representation for Lorus. Finally, the complaint alleged that Lorus is an investment adviser and Eskind's continuing association with Lorus was a violation of the Commission's 2000 order. [SEC v. J. Scott Eskind, Lorus Investments, Inc., and Capital Management Fund, Limited Partnership, USDC NDGA, Civil Action No. 1:02-CV-2429-MHS] (LR-18165) SEC SUES PARTICIPANTS IN $40 MILLION DENVER-BASED PRIME BANK FRAUD On May 21, 2003, the Commission filed an action in U.S. District Court in Denver charging numerous entities and individuals with securities fraud in connection with a Denver-based prime bank scheme, which raised over $40 million from more than 600 investors in at least 31 states. The Commission has applied to the court for emergency relief, including a temporary restraining order, an asset freeze, an accounting, an order preserving documents and an order for the repatriation of funds moved offshore. In its complaint, the Commission alleges that Capital Holdings, LLC, Smitty's Investments, LLC (Smitty's), Capital Holdings Int, LLC (CHI), Monarch Capital Holdings LLC (Monarch), National Marketing Solutions, LLC (NMS), North West Group, LLC (NWG) and Heritage America (Heritage), Norman E. Schmidt, George Beros, Charles F. Lewis, Terry Lorenzen, Jeffrey D. Mitchell, John J. Schlabach, Michael D. Smith, Michael Vallone, Roy R. Chavers, Gary N. Herbert and George A. Weed have defrauded investors by falsely promising that: (1) investor funds would be used as collateral to facilitate leveraged trading of financial instruments issued by major banks and governments and that investors would share in the trading profits; (2) investors would earn a fixed monthly return ranging from 2% to 15%; (3) the safety of invested principal would be guaranteed; and (4) investors' funds would be fully insured. The Commission also alleges that there is no trading program and that the defendants have regularly paid undisclosed sales commissions, Ponzi payments and personal expenses with investor funds. The Commission alleges in its complaint that: Capital Holdings, CHI, Smitty's, Monarch, Schmidt and Beros violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; NMS, NWG, Heritage, Lewis, Lorenzen, Mitchell, Schlabach, Smith, Vallone and Chavers violated Sections 5(a), 5(c) and 17(a) of the Securities Act, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder; and Herbert and Weed violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. In addition to the emergency relief sought, the Commission seeks, as against the defendants, preliminary and permanent injunctions, disgorgement plus prejudgment interest, and civil money penalties. The Commission is also seeking an asset freeze and disgorgement from relief defendants Fast Track, LLC, Cambridge Ventures, Ltd., Cambridge Enterprises, LLC, Regency Ventures, Ltd., Jannice M. McLain and Scott Schmidt. [SEC v. Capital Holding, LLC, et al., Civil Action No. 03-RB- 0923 (CBS), USDC, District of Colorado.] (LR-18166) INVESTMENT COMPANY ACT RELEASES NOTICES OF DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT For the month of May, 2003, a notice has been issued giving interested persons until June 24, 2003, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: Merrill Lynch Emerging Markets Debt Fund, Inc. [File No. 811-7794] Hyperion 2002 Term Trust, Inc. [File No. 811-7070] Bergstrom Capital Corporation [File No. 811-1641] CTB Securities Trust Fund [File No. 811-10091] Kenilworth Fund, Inc. [File No. 811-7620] Montgomery Partners Absolute Return Fund LLC [File No. 811-10595] Merrill Lynch KECALP L.P. 1986 [File No. 811-4387] (Rel. IC-26065 - May 30) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and Amendment Nos. 1 and 2, and simultaneously provided notice of filing and granted accelerated approval of Amendment Nos. 3 and 4 to the proposed rule change, all of which were submitted by the National Association of Securities Dealers (SR-NASD-2002-148) relating to the elimination of the Regulatory Fee and institution of a transaction-based Trading Activity Fee. Publication of the order is expected in the Federal Register on or about (Rel. 34- 47946) The Commission approved a proposed rule change and Amendment No. 1, and simultaneously issued notice and granted accelerated approval of Amendment No. 2 to the proposed rule change, all of which were submitted by the National Association of Securities Dealers (SR-NASD-2001-75) making permanent an amendment to NASD Rule 4120 relating to Nasdaq's authority to initiate and continue trading halts. Publication of the order in the Federal Register is expected during the week of June 2. (Rel. 34-47949) The Commission approved a proposed rule change submitted by the Philadelphia Stock Exchange and issued notice and granted accelerated approval of Amendment No. 3 to such proposal, which establishes a pilot program for options intermarket linkage fees (SR-Phlx-2003-16). (Rel. 34-47953) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2003-19) filed by the Chicago Board Options Exchange to reinstate the imposition of a marketing fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of June 2. (Rel. 34-47948) A proposed rule change (SR-NASD-2003-87) filed by the National Association of Securities Dealers relating to amendments to NASD Rule 4613 regarding the issuance of Market Participant Identifiers 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 2. (Rel. 34-47954) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change filed by the Cincinnati Stock Exchange (SR-CSE-2003-05) to extend through Dec. 1, 2003, an existing pilot that amends CSE Rule 12.6, Customer Priority, to require designated dealers to better customer orders by sufficient increments in the sub-penny environment in order to trade securities for their own accounts. (Rel. 34-47941) PROPOSED RULE CHANGE The Commission published for comment a proposed rule change (SR-Phlx- 2002-87) submitted by the Philadelphia Stock Exchange concerning a 500 contract cap on payment for order flow fees. Publication of the proposal is expected in the Federal Register during the week of June 2. (Rel. 34-47958) 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-4 XTO ENERGY INC, 810 HOUSTON ST, STE 2000, FORT WORTH, TX, 76102, 8178702800 - 0 ($400,000,000.00) Non-Convertible Debt, (File 333-105752 - Jun. 2) (BR. 04) S-3 YAHOO INC, 4083493300 - 0 ($6,410,341.00) Equity, (File 333-105753 - Jun. 2) (BR. 03) S-3 WHITE ELECTRONIC DESIGNS CORP, 3601 E UNIVERSITY DRIVE, PHOENIX, AZ, 85034, 6024371520 - 4,312,500 ($37,518,750.00) Equity, (File 333-105754 - Jun. 2) (BR. 36) S-1 ASTA FUNDING INC, 210 SYLVAN AVE, ENGLEWOOD CLIFFS, NJ, 07632, 2015675648 - 2,875,000 ($54,409,375.00) Equity, (File 333-105755 - Jun. 2) (BR. 07) S-8 STIFEL FINANCIAL CORP, ONE FINANCIAL PLAZA, 501 N BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 1,300,000 ($16,146,000.00) Equity, (File 333-105756 - Jun. 2) (BR. 07) S-8 MOORE WALLACE INC, 6100 VIPOND DRIVE, MISSISSAUGA, ONTARIO, A6, L5T 2X1, 905 362-3100 - 0 ($26,650,000.00) Equity, (File 333-105757 - Jun. 2) (BR. 05) S-8 MOORE WALLACE INC, 6100 VIPOND DRIVE, MISSISSAUGA, ONTARIO, A6, L5T 2X1, 905 362-3100 - 0 ($6,662,500.00) Equity, (File 333-105758 - Jun. 2) (BR. 05) S-8 STIFEL FINANCIAL CORP, ONE FINANCIAL PLAZA, 501 N BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 710,000 ($8,818,200.00) Equity, (File 333-105759 - Jun. 2) (BR. 07) S-1 TRUMP CASINO HOLDINGS LLC, 0 ($23,335,478.00) Non-Convertible Debt, (File 333-105760 - Jun. 2) (BR. ) S-8 NUI CORP /NJ/, 550 ROUTE 202-206, PO BOX 760, BEDMINSTER, NJ, 07921, 9087810500 - 200,000 ($3,086,000.00) Equity, (File 333-105761 - Jun. 2) (BR. 02) S-8 XENICENT INC, P.O. BOX 243, CHIMNEY ROCK, NC, 28720, 8286252666 - 800,000 ($120,000.00) Equity, (File 333-105764 - Jun. 2) (BR. 05) S-8 CAROLINA BANK HOLDINGS INC, PO BOX 10209, GREENSBORO, NC, 27404-0209, 3362881898 - 0 ($1,191,000.00) Equity, (File 333-105765 - Jun. 2) (BR. 07) S-3 YAHOO INC, 4083493300 - 0 ($790,312,500.00) Debt Convertible into Equity, (File 333-105766 - Jun. 2) (BR. 03) S-8 EXTREME NETWORKS INC, 3585 MONROE STREET, SANTA CLARA, CA, 95051, 4085792800 - 0 ($34,485,824.73) Equity, (File 333-105767 - Jun. 2) (BR. 03) S-8 PIER 1 IMPORTS INC/DE, 301 COMMERCE ST STE 600, FORT WORTH, TX, 76102, 8178788000 - 0 ($18,985,000.00) Equity, (File 333-105768 - Jun. 2) (BR. 02) S-3 ONYX SOFTWARE CORP/WA, 3180 139TH AVENUE SE, SUITE 500, BELLEVUE, WA, 98005-4081, 4254518060 - 4,567,788 ($3,836,942.00) Equity, (File 333-105769 - Jun. 2) (BR. 03) S-8 COMPUMED INC, 1230 ROSECRANS AVE STE 1000, MANHATTAN BEACH, CA, 90266, 3106435106 - 0 ($440,750.00) Equity, (File 333-105770 - Jun. 2) (BR. 03) S-8 FIRST ALBANY COMPANIES INC, 30 S PEARL ST, ALBANY, NY, 12207, 5184478673 - 0 ($959,840.00) Equity, (File 333-105771 - Jun. 2) (BR. 07) S-8 FIRST ALBANY COMPANIES INC, 30 S PEARL ST, ALBANY, NY, 12207, 5184478673 - 0 ($7,700,000.00) Equity, (File 333-105772 - Jun. 2) (BR. 07) S-8 CENTERPOINT ENERGY INC, 1111 LOUISIANT ST., HOUSTON, TX, 77002, 7132073000 - 500,000 ($2,232,500.00) Equity, (File 333-105773 - Jun. 2) (BR. 02) S-3 SBC COMMUNICATIONS INC, 175 E HOUSTON, ROOM 9-Q-04, SAN ANTONIO, TX, 78205, 2108214105 - 0 ($6,000,000,000.00) Unallocated (Universal) Shelf, (File 333-105774 - Jun. 2) (BR. 37) S-8 LIFEPOINT HOSPITALS INC, 103 POWELL COURT, SUITE 200, BRENTWOOD, TN, 37027, 6153728500 - 0 ($56,565,000.00) Equity, (File 333-105775 - Jun. 2) (BR. 01) S-8 INFE COM INC, 7787 LEESBURG PIKE, SUITE 200, FALLS CHURCH, VA, 22043, 7037345650 - 8,000,000 ($284,000.00) Equity, (File 333-105776 - Jun. 2) (BR. 08) SB-2 MAGNADATA INC, TRYON CAPITAL, 100 EUROPA DRIVE, DURHAM, NC, 27517, 30,000,000 ($3,000,000.00) Equity, (File 333-105778 - Jun. 2) (BR. ) S-8 WINN DIXIE STORES INC, 5050 EDGEWOOD CT, JACKSONVILLE, FL, 32224, 9047835000 - 0 ($40,290,000.00) Equity, (File 333-105779 - Jun. 2) (BR. 02) S-8 MASTEC INC, 3155 N W 77TH AVE, MIAMI, FL, 33122, 3055991800 - 9,000,000 ($30,825,000.00) Equity, (File 333-105781 - Jun. 2) (BR. 06) S-4 TESORO PETROLEUM CORP /NEW/, 300 CONCORD PLAZA DRIVE, SAN ANTONIO, TX, 78216-6999, 2108288484 - 0 ($375,000,000.00) Non-Convertible Debt, (File 333-105783 - Jun. 2) (BR. 04) S-3 DUPONT PHOTOMASKS INC, 131 OLD SETTLERS BLVD, ROUND ROCK, TX, 78664, 5122440024 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-105784 - Jun. 2) (BR. 36) N-2 ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND, 40 ($1,000,000.00) Equity, (File 333-105785 - Jun. 2) (BR. 18) 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 ----------------------------------------------------------------------------------- AAMES FINANCIAL CORP/DE DE X 05/30/03 AAMES FINANCIAL CORP/DE DE X 06/02/03 ABN AMRO MORTGAGE CORP MUL CL MORT PA DE X 05/01/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 05/01/03 ACCLAIM ENTERTAINMENT INC DE X X 06/01/03 ALLIANCE BANCSHARES CALIFORNIA CA X 05/30/03 AMANASU ENVIRONMENT CORP NV X X 05/14/03 AMERALIA INC UT X X 05/31/03 AMEREN CORP MO X X 05/30/03 AMERENENERGY GENERATING CO IL X X 05/30/03 AMERICAN HONDA RECEIVABLES CORP AUTO CA X X X 05/21/03 AMERICAN HOSPITAL RESOURCES INC UT X 05/30/03 AMERICAN SOFTWARE INC GA X X 06/02/03 AMERICREDIT CORP TX X X 06/02/03 ANTEX BIOLOGICS INC DE X X 05/29/03 APARTMENT INVESTMENT & MANAGEMENT CO MD X 05/30/03 ASPEN TECHNOLOGY INC /DE/ DE X X 06/01/03 ASTA FUNDING INC DE X X 06/02/03 ATC HEALTHCARE INC /DE/ DE X X 05/29/03 ATLANTIC BANCGROUP INC FL X 05/20/03 AUSSIE APPAREL GROUP LTD NV X 05/27/03 BANK ONE CORP DE X X 05/30/03 BRIAZZ INC WA X 05/29/03 BRIAZZ INC WA X 05/30/03 BROADCOM CORP CA X X 06/02/03 BROOKE CORP KS X X 05/21/03 BROWN FORMAN CORP DE X X 06/02/03 CANNON EXPRESS INC DE X X X X 05/27/03 CDMI PRODUCTIONS INC NY X 05/14/03 CENTRAL ILLINOIS PUBLIC SERVICE CO IL X 05/30/03 CENTURY ALUMINUM CO DE X X 06/02/03 CFS BANCORP INC DE X X 05/30/03 CHASE MORTGAGE FINANCE CORP DE X X 05/30/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X X X 05/28/03 CITIGROUP GLOBAL MARKETS HOLDINGS INC NY X 05/27/03 COLONIAL PROPERTIES TRUST AL X X 05/28/03 COMARCO INC CA X X 06/02/03 COUNTY BANK CORP MI X 06/02/03 CREDENCE SYSTEMS CORP DE X X 06/02/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 06/02/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 05/29/03 CROWN CASTLE INTERNATIONAL CORP DE X X 05/30/03 CSFB MORT SEC CORP MORT BACKED PASS T DE X X 05/27/03 CSFB MORTGAGE ACCEPTANCE CORP MORT BA DE X X 05/27/03 CSFB MORTGAGE SEC CORP HOME EQ MORT P DE X X 05/27/03 CT COMMUNICATIONS INC /NC NC X 06/02/03 DELTA AIR LINES INC /DE/ DE X X 06/02/03 DEVRY INC DE X 05/16/03 DIAMOND OFFSHORE DRILLING INC DE X X 06/02/03 DIGITAL LIGHTWAVE INC DE X 06/02/03 DIVINE INC DE X X 05/06/03 DOLLAR TREE STORES INC VA X 05/31/03 EASTGROUP PROPERTIES INC MD X X 06/02/03 ENGINEERED SUPPORT SYSTEMS INC MO X X 05/28/03 ENTERPRISE PRODUCTS PARTNERS L P DE X X 05/29/03 ENVIRONMENTAL POWER CORP DE X X 06/02/03 ESSEX PROPERTY TRUST INC MD X 06/03/03 EVANS BOB FARMS INC DE X X 06/02/03 FIRST CAPITAL INC IN X 03/20/03 AMEND FIRST LITCHFIELD FINANCIAL CORP DE X 05/29/03 FREESTAR TECHNOLOGY CORP NV X X 09/10/02 AMEND FREMONT GENERAL CORP NV X 05/27/03 GALAXY NUTRITIONAL FOODS CO DE X X 05/30/03 GENE LOGIC INC DE X 04/01/03 AMEND GLOBAL CROSSING LTD X X 05/30/03 GOODYS FAMILY CLOTHING INC /TN TN X 06/02/03 GROUP 1 AUTOMOTIVE INC DE X 05/30/03 GUSANA EXPLORATIONS INC X 06/02/03 HAWAIIAN HOLDINGS INC DE X X 05/30/03 HOLLY CORP DE X X 06/02/03 HOUSEHOLD CONSUMER LOAN TRUST 1997-1 DE X 05/14/03 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 05/14/02 HOUSEHOLD HOME EQUITY LOAN TRUST 1999 DE X 05/20/03 HOUSEHOLD HOME EQUITY LOAN TRUST 2002 X 05/20/03 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC X 05/20/03 HOUSING PROGRAMS LTD CA X 05/30/03 HYDROFLO INC X 06/02/03 INNERSPACE CORP DE X 05/23/03 AMEND INSTINET GROUP INC DE X X 05/30/03 INTERNATIONAL BUSINESS MACHINES CORP NY X 06/02/03 INTERNATIONAL FLAVORS & FRAGRANCES IN NY X 04/02/03 INTERNATIONAL WIRELESS INC MD X 05/30/03 INTERNATIONAL WIRELESS INC MD X 06/02/03 INTERWOVEN INC CA X X 06/02/03 ITXC CORP NJ X 05/30/03 IWO HOLDINGS INC DE X 06/02/03 JONES APPAREL GROUP INC PA X 06/02/03 KAYDON CORP DE X 05/30/03 LAMAR MEDIA CORP/DE DE X X 05/29/03 LANDMARK LAND CO INC/DE DE X 05/13/03 AMEND LCA VISION INC DE X X 06/02/03 LEHMAN BROTHERS HOLDINGS INC DE X 06/02/03 LOEWS CORP DE X X 06/02/03 LOGILITY INC GA X X 06/02/03 LONDON PACIFIC GROUP LTD X 06/02/03 MAINE PUBLIC SERVICE CO ME X 05/30/03 MAXUS REALTY TRUST INC MO X X 05/29/03 MEDIABIN INC GA X X 05/30/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 05/28/03 METROCALL HOLDINGS INC DE X X 05/14/03 METROCALL HOLDINGS INC DE X X 06/02/03 MICROFINANCIAL INC MA X X 05/29/03 MIDDLETON DOLL CO WI X X 06/02/03 MIRANT AMERICAS GENERATING LLC DE X 06/02/03 MIRANT CORP DE X 06/02/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 05/27/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 05/27/03 MORGAN STANLEY ABS CAPITAL I INC DE X X 05/28/03 MORGAN STANLEY CAPITAL I TRUST 2003-I DE X X 05/29/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 05/20/03 MTS INC CA X 06/02/03 NATIONAL TAX CREDIT INVESTORS II CA X 05/30/03 NATIONAL TAX CREDIT PARTNERS L P CA X 05/30/03 NAVISITE INC DE X X 05/16/03 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X 03/31/03 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X 04/30/03 NCT FUNDING CO LLC DE X 06/02/03 NESS ENERGY INTERNATIONAL INC /NV/ WA X 06/02/03 NEW ENGLAND BUSINESS SERVICE INC DE X 06/02/03 NEW WORLD PASTA CO DE X X 06/02/03 NEWFIELD EXPLORATION CO /DE/ DE X X 06/02/03 NICOR INC IL X 06/02/03 NTELOS INC VA X X 05/30/03 OMNOVA SOLUTIONS INC OH X X 05/28/03 ONLINE POWER SUPPLY INC NV X 06/01/03 ONLINE POWER SUPPLY INC NV X 06/01/03 AMEND OPTIO SOFTWARE INC GA X X 05/29/03 OSTEOTECH INC DE X 06/02/03 PACIFIC CREST CAPITAL INC DE X X 05/30/03 PACIFIC GAS & ELECTRIC CO CA X 06/02/03 PARAGON FINANCIAL CORP DE X 05/28/03 PARK PHARMACY CORP CO X X X 05/20/03 PENN TRAFFIC CO DE X X X 05/30/03 PENNEXX FOODS INC PA X X 05/29/03 PENNFED FINANCIAL SERVICES INC DE X X 06/02/03 PEOPLESOFT INC DE X X 06/01/03 PG&E CORP CA X 06/02/03 PNC FINANCIAL SERVICES GROUP INC PA X X 06/02/03 POINT THERAPEUTICS INC DE X X 06/02/03 POP N GO INC DE X X 06/02/03 PREMCOR INC DE X X 05/30/03 PRESIDENT CASINOS INC DE X X 05/29/03 PROSPERITY BANCSHARES INC TX X X 06/02/03 PULASKI FINANCIAL CORP DE X X 05/23/03 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE X X 06/02/03 QUINTEK TECHNOLOGIES INC CA X X 06/02/03 R H DONNELLEY CORP DE X 06/03/03 REAL ESTATE ASSOCIATES LTD II CA X 05/30/03 REAL ESTATE ASSOCIATES LTD III CA X 05/30/03 REAL ESTATE ASSOCIATES LTD IV CA X 05/30/03 REAL ESTATE ASSOCIATES LTD V CA X 05/30/03 REAL ESTATE ASSOCIATES LTD VI CA X 05/30/03 REAL ESTATE ASSOCIATES LTD VII CA X 05/30/03 REAL ESTATE ASSOCIATES LTD/CA CA X 05/30/03 REINSURANCE GROUP OF AMERICA INC MO X X 05/23/03 SAMSONITE CORP/FL DE X X 05/29/03 SECUREVIEW SYSTEMS INC/CAN X 05/30/03 SELECT MEDICAL CORP DE X X 06/02/03 SHELLS SEAFOOD RESTAURANTS INC DE X 06/02/03 SHURGARD STORAGE CENTERS INC WA X 05/30/03 SPORTS CLUB CO INC DE X X 05/23/03 SSI SURGICAL SERVICES INC NY X X 05/21/03 STATE STREET CORP MA X X 05/30/03 STRATEGIC DISTRIBUTION INC DE X X 05/22/03 STRUCTURED ASSET SEC CORP MORT PS THR DE X 05/01/03 STRUCTURED ASSET SECURITIES CORP DE X 05/30/03 STRUCTURED ASSET SECURITIES CORP DE X 05/30/03 STRUCTURED ASSET SECURITIES CORP DE X 05/28/03 STRUCTURED ASSET SECURITIES CORP DE X 05/30/03 SUNTRUST BANKS INC GA X 06/02/03 SUPERVALU INC DE X 05/30/03 SYMBIAT INC DE X X 05/20/03 SYMPHONIX DEVICES 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