SEC NEWS DIGEST Issue 2003-177 September 15, 2003 COMMISSION ANNOUNCEMENTS SEC STAFF AND NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TO EXPLORE MEANS TO IMPROVE COOPERATION Joint Initiative Will Develop Best Practices for Coordination of Federal and State Enforcement Activities On September 14, Securities and Exchange Commission Chairman William H. Donaldson and NASAA President Christine A. Bruenn announced a joint initiative to address issues of coordination and cooperation between federal and state securities enforcement authorities. The initiative will focus on enforcement activities relating to regulated entities, such as broker-dealers and mutual funds, and will explore protocols, procedures and best practices for facilitating cooperation and coordination of such federal and state activities. Chairman Donaldson said, "Investors will benefit from better coordination between federal and state regulators. By working toward a systematic protocol that will allow us to maximize our collective resources, we can be more effective at pinpointing and addressing the fraud and abuse we've seen in our securities markets over the past few years. Additionally, we can do a better job of ensuring consistency in our laws and regulations affecting the securities industry." President Bruenn said, "This initiative formalizes the long-standing complementary working relationship between state and federal securities regulators. It should lead to more effective and coordinated efforts in significant enforcement actions." Pursuant to the joint initiative, a working group consisting of six representatives of the Commission staff and six representatives of NASAA will be convened to study and propose ways to improve federal and state cooperation in significant enforcement activities affecting the regulated community. Among the goals of this joint effort are to foster the efficiency of the national markets by promoting federal and state communication. Enhanced communication should result in greater coordination and consultation between federal and state regulators undertaking enforcement activities that may potentially impose requirements on the regulated community outside a single state. Enhanced communication will also assist in building regulatory consensus regarding enforcement remedies. For more information contact: SEC: Office of Public Affairs (202) 942- 0020; NASAA: Bob Webster (202) 737-0900 (Press Rel. 2003-114) KIMBERLY SMITH NAMED ACADEMIC ACCOUNTING FELLOW IN THE OFFICE OF THE CHIEF ACCOUNTANT The Securities and Exchange Commission's Office of the Chief Accountant today announced the selection of Kimberly Smith as Academic Accounting Fellow for a one-year term that began August 2003. Smith is an Associate Professor at the School of Business Administration at The College of William and Mary, where she has taught for the last 15 years. Smith's Ph.D. in Business Administration (Accounting) is from the University of Maryland at College Park. She also earned a Master of Professional Accountancy from West Virginia University and a B.S. in Business Administration (Accounting) from Fairmont State College. Smith is a certified public accountant. Her research interests focus on the dynamic relation between CEO pay and firm performance. Smith has published in journals such as The Accounting Review, Journal of Business, Accounting, Organizations and Society, Journal of Management Accounting Research, Journal of Accountancy, Issues in Accounting Education, and Financial Practice and Education. Smith teaches financial and managerial accounting at all levels and has won a number of teaching awards, including the William and Mary Alumni Fellowship Award and the Dean's MBA Teaching Award. At the Commission, the Academic Accounting Fellow serves as a research resource for the staff by interpreting and communicating research materials as they relate to various areas of interest to the SEC. In addition, the Academic Fellow has been assigned to ongoing projects in the Chief Accountant's office which include rulemaking, liaison with the professional accounting standards-setting bodies and consultation with registrants on accounting and reporting matters. Smith has replaced the previous Academic Accounting Fellow, Paul Munter, who recently returned to his teaching position at Miami University. (Press Rel. 2003-115) FEE RATE ADVISORY #2 FOR FISCAL YEAR 2004 When fiscal year 2004 starts on Oct. 1, 2003, the Securities and Exchange Commission may be operating under a continuing resolution. In that event, fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g) and 31 of the Securities Exchange Act of 1934 will remain at their current rates. Five days after enactment of the Commission's regular fiscal year 2004 appropriation, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions will be increased from the current rate of $80.90 per million to $126.70 per million, as previously announced. In addition, thirty days after enactment of the Commission's regular appropriation, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq will be reduced from the current rate of $46.80 per million to $39.00 per million, as previously announced. Additional information on the transition to the new Section 31 fee rate will be available before the new rate becomes effective on the web sites of The New York Stock Exchange and NASD Regulation at http://www.nyse.com and http://www.nasdr.com. A copy of the Commission's April 30, 2003, order regarding fee rates for fiscal year 2003 is available at http://www.sec.gov/news/press/2003- 57.htm. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2003-116) ENFORCEMENT PROCEEDINGS FORMER CSFB EMPLOYEE BARRED FROM ASSOCIATION WITH BROKER, DEALER, OR INVESTMENT ADVISER On September 12, the Commission instituted administrative proceedings pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings, and Imposing Remedial Sanctions against Paul Gianamore, a former Credit Suisse First Boston financial analyst. The Commission found that on Aug. 21, 2003, a final judgment was entered by consent against Gianamore, permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Exchange Act and Rules 10b- 5 and 14e-3 promulgated thereunder, in the civil action entitled SEC v. Evans et al., Civil Action No, 1:02-CV-005829, in the U.S. District Court for the Northern District of Illinois. The Commission's complaint in the civil action alleged that from at least December 1999 through August 2000, Gianamore tipped his friend Ryan E. Evans (Evans), with material, nonpublic information regarding several publicly traded companies. The Commission's complaint alleged that certain of these tips related to tender offers. The Commission's complaint also alleged that Evans traded in the securities of these companies while in possession of this material, nonpublic information. From October 1999 until April 2001, Gianamore was a financial analyst with Credit Suisse First Boston Corporation, an entity registered with the Commission as an investment adviser and broker-dealer. (Rel. 34-48489; IA-2170; File No. 3-11258) SOUTH CAROLINA JURY RENDERS GUILTY VERDICT AGAINST PAUL NOE On September 3, a South Carolina jury returned a guilty verdict against career criminal Paul Howe Noe for his role in a prime bank fraud scheme that raised at least $1.1 million from more than 20 investors. Noe was convicted on 7 counts of the indictment - - 5 counts of wire fraud, one count of transportation of stolen securities, and one count of conspiracy to defraud. On Feb. 14, 2002, the SEC filed a complaint against Paul Howe Noe, Clif Goldstein, four finders and two entities for the same underlying activities as in the related criminal case, in violation of Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission seeks permanent injunctions against future violations of the antifraud provisions, disgorgement of defendants' ill-gotten gains plus prejudgment interest, and civil penalties. The SEC has obtained default judgments against the two entities named in the complaint and has a settlement in principal with Clif Goldstein. The SEC trial is scheduled for January 2004. [SEC v. Paul Howe Noe, et al., Civil Action No. 3:02- 485-17, D.S.C.]; [U.S. v. Paul Howe Noe, et al., Criminal No. 3:02-0096, D.S.C.] (LR-18349) SEC FILES CIVIL CONTEMPT CHARGES AGAINST LAW FIRM AND ACCOUNTING FIRM FOR VIOLATION OF ASSET FREEZE ORDER The Commission announced that it filed civil contempt charges on Sept. 11 against the Los Angeles, California-based law firm of Geragos & Geragos and two of its attorneys (Mark Geragos and George Buehler), and the Los Angeles-based accounting firm of Laffer & Gottlieb and its two principals (Martin Laffer and Barbara Gottlieb) for their violations of an asset freeze order. That order was entered in May 2002 by a Rhode Island federal court in a Commission fraud action against Dennis S. Herula, Mary Lee Capalbo, and others. Herula is also a defendant and Capalbo is a relief defendant in a second Commission fraud action filed in July 2002 in the U.S. District Court for the Northern District of California. In its contempt application as to the Geragos law firm, the Commission alleged that, in connection with its representation of Herula and Capalbo in the Commission actions, the Geragos firm, through Mark Geragos and George Buehler, solicited and accepted attorneys' fees in the amount of $50,000 through credit card payments from Capalbo in October 2002. The contempt application alleged that those payments violated the asset freeze order entered by the Rhode Island District Court in May 2002 and served on the Geragos firm in July 2002 that prohibited Capalbo and her attorneys from transferring any of her funds. The Commission further alleged that the Geragos firm and the two individual attorneys also failed to adhere to procedures ordered by the court for the payment of attorneys' fees, which required court approval prior to the payment of such fees. In its contempt application as to the Laffer & Gottlieb accounting firm, the Commission alleged that, in connection with accounting services they provided to Herula and Capalbo in the Commission actions, the Laffer & Gottlieb firm, through Martin Laffer and Barbara Gottlieb, solicited and accepted fees in the amount of $41,350 through credit card payments from Capalbo in September and October 2002. The contempt application alleged that the payments to the Laffer & Gottlieb firm violated the May 2002 asset freeze order entered by the Rhode Island District Court against Capalbo. For further information, please see Litigation Release Numbers 18082 (April 10, 2003) [civil contempt charges filed against Herula and Capalbo]; 17957 (Jan. 29, 2003) [final judgment against Capalbo]; 17800 (Oct. 23, 2002) [final judgment against Herula]; and 17514 (May 13, 2002) [preliminary injunction and asset freeze]. [SEC v. Dennis Herula, et al., USDC for the District of Rhode Island, C.A. No. 02 154 ML] (LR-18350) COMMISSION SUES JOHN TURANT, JR., RUSS LUCIANO AND OTHERS FOR RAISING $4.5 MILLION IN OFFERING FRAUD The Commission announced today that it filed a civil action in the U.S. District Court for the Middle District of Pennsylvania against John F. Turant, Jr., of Wapwallopen, Pennsylvania, Russ R. Luciano, of Duryea, Pennsylvania and four entities operated by them, alleging an offering fraud in which the defendants raised approximately $4.5 million from more than 100 investors. The Commission's complaint alleges that, from July 1999 until March 2003, Turant and Luciano solicited funds by falsely representing to prospective investors that they would invest their money in one of two purported hedge funds, defendants JTI Group Fund, LP and Evergreen Investment Group, LP, for the purpose of day-trading securities, promising annual returns from 20% to 120%. The complaint alleges that, in fact, only a small portion of the money raised was ever invested, that the funds were never profitable, and that much of the money that was invested was lost. Turant and Luciano then concealed their scheme and lulled investors by providing fictitious monthly account statements and other false documents to investors. The complaint further alleges that, of the $4.5 million raised, Turant and Luciano used more than $3.8 million for unauthorized purposes, including paying approximately $2.2 million to existing investors, in the nature of a Ponzi scheme. In addition, Turant and Luciano misappropriated almost $1 million for their personal use. Named as defendants in the Commission's action are Turant, Luciano, JTI Group Fund, LP, Evergreen Investment Group, LP and the general partners of the funds, JTI Investment Group, Inc. and New Resource Investment Group, Inc. The complaint charges all of the defendants with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and defendants JTI Group Fund, LP and Evergreen Investment Group, LP with violating Section 7(a) of the Investment Company Act of 1940. The complaint seeks permanent injunctions, disgorgement, prejudgment interest and the imposition of civil penalties. The Commission brought this action in coordination with the U.S. Attorney for the Middle District of Pennsylvania, who has filed related criminal charges against Turant and Luciano. [SEC v. John F. Turant, et al., Civil Action No. 3:CV03-1614, M.D. Pa.] (LR-18351) INVESTMENT COMPANY ACT RELEASES FIDELITY COMMONWEALTH TRUST, ET AL. An order has been issued on an application filed by Fidelity Commonwealth Trust, Fidelity Distributors Corporation, and Fidelity Management & Research Company. The order permits series of an open-end management investment company, whose portfolios would consist of the component securities of certain equity securities indices, to issue shares of limited redeemability that would trade in the secondary market at negotiated prices. The order also permits (a) certain affiliated persons of the series to deposit securities into, and receive securities from, the series, and (b) dealers to sell shares of the series in the secondary market unaccompanied by a prospectus, when the Securities Act of 1933 does not require prospectus delivery. (Rel. IC- 26178 - September 12) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Emerging Markets Clearing Corporation filed a proposed rule change (SR-EMCC-2003-04) to create a new "inactive member" membership category in EMCC's rules. Publication of the proposal is expected in the Federal Register during the week of September 15. (Rel. 34-48463) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-74), submitted by the American Stock Exchange relating to the listing and trading of Contingent Principal Protection Notes linked to the performance of the Standard & Poor's 500 Stock Index. Publication of the proposal is expected in the Federal Register during the week of September 15. (Rel. 34-48486) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2003-138) filed by the National Association of Securities Dealers relating to changes to the territorial boundaries of certain NASD District Offices 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 September 15. (Rel. 34-48488) 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: . SB-2 PEOPLES REPUBLIC OF CHINA, 2300 CONNECTICUT AVE, STE 2250, WASHINGTON, DC, 20008, 3,000,000,000 ($3,000,000,000.00) Non-Convertible Debt, (File 333-108727 - Sep. 12) (BR. 07) S-8 TANKLESS SYSTEMS WORLDWIDE INC, 2920 E. CAMELBACK ROAD, SUITE 150, PHOENIX, AZ, 85016, 6029578574 - 960,000 ($960,000.00) Equity, (File 333-108728 - Sep. 12) (BR. 02) S-1 TERCICA INC, 651 GATEWAY BLVD SUITE 950, SOUTH SAN FRANCISCO, CA, 94060, 6506244900 - 0 ($86,250,000.00) Equity, (File 333-108729 - Sep. 12) (BR. 01) S-3 SCHLUMBERGER LTD /NV/, 42 RUE ST DOMINIQUE, PARIS FRANCE 75007, I0, 75007, 2123509400 - 0 ($1,425,000,000.00) Debt Convertible into Equity, (File 333-108730 - Sep. 12) (BR. 04) S-8 SEABULK INTERNATIONAL INC, 2200 ELLER DR BLDG 27, PO BOX 13038, FORT LAUDERDALE, FL, 33316, 954-524-4200 - 0 ($13,690,625.00) Equity, (File 333-108732 - Sep. 12) (BR. 05) S-8 V I TECHNOLOGIES INC, 134 COOLIDGE AVE, WATERTOWN, MA, 02472, 5167527314 - 750,000 ($1,840,226.83) Equity, (File 333-108733 - Sep. 12) (BR. 01) S-8 V I TECHNOLOGIES INC, 134 COOLIDGE AVE, WATERTOWN, MA, 02472, 5167527314 - 200,000 ($490,000.00) Equity, (File 333-108734 - Sep. 12) (BR. 01) S-8 MERCHANTS & MANUFACTURERS BANCORPORATION INC, 14100 W. NATIONAL AVENUE, P.O. BOX 511160, NEW BERLIN, WI, 53151, 414-827-6713 - 200,000 ($7,252,000.00) Equity, (File 333-108735 - Sep. 12) (BR. 07) S-8 MANATRON INC, 510 E MILHAM AVENUE, PORTAGE, MI, 49002, 6163755300 - 200,000 ($1,428,000.00) Equity, (File 333-108736 - Sep. 12) (BR. 03) S-1 DATATEC SYSTEMS INC, 23 MADISON RD, FAIRFIELD, NJ, 07004, 9738084000 - 8,071,611 ($11,156,345.70) Equity, (File 333-108737 - Sep. 12) (BR. 03) S-8 FIRST TENNESSEE NATIONAL CORP, 165 MADISON AVE, MEMPHIS, TN, 38103, 9015234638 - 30,000,000 ($30,000,000.00) Non-Convertible Debt, (File 333-108738 - Sep. 12) (BR. 07) S-1 21ST CENTURY HOLDING CO, 4161 N W 5TH STREET, PLANTATION, FL, 33317, 9545819993 - 625,000 ($9,806,250.00) Equity, (File 333-108739 - Sep. 12) (BR. 01) S-8 CELL GENESYS INC, 500 FORBES BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 6502663000 - 600,000 ($8,196,000.00) Equity, (File 333-108740 - Sep. 12) (BR. 01) S-8 FLAG TELECOM GROUP LTD, CEDAR HOUSE, 41 CEDAR AVENUE, HAMILTON HM12 BERMUD, 00000, 0 ($14,055,541.50) Equity, (File 333-108741 - Sep. 12) (BR. 37) S-4 MAF BANCORP INC, 55TH ST & HOLMES AVE, CLARENDON HILLS, IL, 60514, 6303257300 - 8,520,000 ($319,705,140.00) Equity, (File 333-108742 - Sep. 12) (BR. 07) S-4 CHUBB CORP, 15 MOUNTAIN VIEW RD P O BOX 1615, WARREN, NJ, 07061, 9089032000 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-108743 - Sep. 12) (BR. 01) S-8 WARNACO GROUP INC /DE/, 90 PARK AVE, 26TH FLOOR, NEW YORK, NY, 10016, 2126611300 - 5,000,000 ($82,600,000.00) Equity, (File 333-108744 - Sep. 12) (BR. 02) S-8 FIRST AVIATION SERVICES INC, 15 RIVERSIDE AVE, WESTPORT, CT, 06880-4214, 2032913303 - 200,000 ($684,000.00) Other, (File 333-108745 - Sep. 12) (BR. 05) S-8 STET HELLAS TELECOMMUNICATIONS SA, 60 KIFISSIAS AVE, 15125 MAROUSSI, ATHENS GREECE, J3, 00000, 30106158000 - 0 ($12,532,000.00) Equity, (File 333-108746 - Sep. 12) (BR. 37) S-8 ISLAND PACIFIC INC, 3252 HOLIDAY COURT, STE 208, LA JOLLA, CA, 92037, 8585503345 - 3,265,872 ($8,817,854.00) Equity, (File 333-108747 - Sep. 12) (BR. 03) S-8 JONES FINANCIAL COMPANIES LP LLP, 12555 MANCHESTER, ST LOUIS, MO, 63131, 3148512000 - 150,000 ($150,000,000.00) Limited Partnership Interests, (File 333-108748 - Sep. 12) (BR. 07) S-8 NUCOR CORP, 2100 REXFORD RD, CHARLOTTE, NC, 28211, 7043667000 - 5,000,000 ($239,850,000.00) Equity, (File 333-108749 - Sep. 12) (BR. 06) S-8 FIRST TENNESSEE NATIONAL CORP, 165 MADISON AVE, MEMPHIS, TN, 38103, 9015234638 - 1,750,000 ($68,617,500.00) Equity, (File 333-108750 - Sep. 12) (BR. 07) S-8 NUCOR CORP, 2100 REXFORD RD, CHARLOTTE, NC, 28211, 7043667000 - 1,000,000 ($47,970,000.00) Equity, (File 333-108751 - Sep. 12) (BR. 06) S-3 GENETRONICS BIOMEDICAL CORP, 11199 SORRENTO VALLEY RD, SAN DIEGO, CA, 92121, 6195976006 - 0 ($36,789,114.00) Equity, (File 333-108752 - Sep. 12) (BR. 36) S-8 PROCTER & GAMBLE EMPLOYEE STOCK OWNERSHIP TRUST OF THE PROFI, TWO PROCTER & GAMBLE PLAZA, CINCINNATI, OH, 45202, 5139831100 - 2,000,000 ($182,700,000.00) Other, (File 333-108753 - Sep. 12) (BR. ) S-8 ZILA INC, 5227 NORTH 7TH STREET, PHOENIX, AZ, 85014-2800, 6022666700 - 500,000 ($1,540,000.00) Equity, (File 333-108754 - Sep. 12) (BR. 01) S-8 ALCATEL, 54 RUE LA BOETIE, 2288 BH, PARIS FRANCE, I0, 75008, 3314076101 - 0 ($434,263,776.51) Equity, (File 333-108755 - Sep. 12) (BR. 37) SB-2 PHARMAVET INC, P O BOX 940007, BELLEHARBOR, NY, 11694-0007, 718 318 0994 - 0 ($8,060.00) Equity, (File 333-108756 - Sep. 12) (BR. 09) S-8 CELLTECH GROUP PLC, 0 ($10,140,000.00) Equity, (File 333-108757 - Sep. 12) (BR. 01) S-8 CENTREX INC, 9202 S. TOLEDO, AVENUE, TULSA, OK, 74137, 918-494-2880 - 9,200,000 ($588,800.00) Equity, (File 333-108758 - Sep. 12) (BR. 01) S-3 MED-DESIGN CORP, 2810 BUNSEN AVE, VENTURA, CA, 93003, 8053390375 - 5,158,744 ($22,956,410.00) Equity, (File 333-108759 - Sep. 12) (BR. 36) S-3 SOUTH CAROLINA ELECTRIC & GAS CO, 1426 MAIN ST, COLUMBIA, SC, 29201, 8032179000 - 600,000,000 ($600,000,000.00) Non-Convertible Debt, (File 333-108760 - Sep. 12) (BR. 02) S-3 NEW YORK HEALTH CARE INC, 1850 MCDONALD AVE, BROOKLYN, NY, 11223, 7184210500 - 9,415,035 ($32,952,622.50) Equity, (File 333-108761 - Sep. 12) (BR. 01) S-3 WCI COMMUNITIES INC, 24301 WALDEN CENTER DRIVE, SUITE 300, BONITA SPRINGS, FL, 34134, 2394988605 - 0 ($125,000,000.00) Debt Convertible into Equity, (File 333-108762 - Sep. 12) (BR. 06) S-8 DIGITAL WORLD CUP INC, 3266 YONGE STREET STE 1208, BC, TORONTO ONTARIO CANA, A6, 00000, 20,000,000 ($800,000.00) Equity, (File 333-108763 - Sep. 12) (BR. 08) S-3 ONE LIBERTY PROPERTIES INC, 60 CUTTER MILL RD, SUITE 303, GREAT NECK, NY, 11021-3190, 5164663100 - 0 ($200,000,000.00) Equity, (File 333-108765 - Sep. 12) (BR. 08) S-4 CENTERPOINT ENERGY HOUSTON ELECTRIC LLC, 1111 LOUISIANA, HOUSTON, TX, 77002, 7132073000 - 0 ($962,275,000.00) Non-Convertible Debt, (File 333-108766 - Sep. 12) (BR. 02) S-8 SCANSOFT INC, 9 CENTENNIAL DRIVE, PEABODY, MA, 01960, 9789772000 - 0 ($34,127,574.00) Equity, (File 333-108767 - Sep. 12) (BR. 03) S-3 MILLENNIUM CELL INC, INDUSTRIAL WAY WEST, EATONTOWN, NJ, 07724, 7325424000 - 5,372,500 ($12,356,750.00) Other, (File 333-108768 - Sep. 12) (BR. 36) S-1 ISOLAGEN INC, 713-780-4754 - 24,976,541 ($223,855,809.06) Equity, (File 333-108769 - Sep. 12) (BR. 01) F-1 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 0 ($11,808,096.00) Other, (File 333-108770 - Sep. 12) (BR. 36) S-8 FIRST FEDERAL FINANCIAL CORPORATION OF KENTUCKY, 2323 RING ROAD, ELIZABETHTOWN, KY, 42701, 2707652131 - 155,870 ($4,941,079.00) Other, (File 333-108771 - Sep. 12) (BR. 07) S-8 LIVESTAR ENTERTAINMENT GROUP INC, 4TH FLOOR 62 W 8TH AVENU, VANCOUVER, BRITISH COLUMBIA CN, A1, 6046826541 - 21,500,000 ($279,500.00) Equity, (File 333-108772 - Sep. 12) (BR. 09) S-8 FIRST FEDERAL FINANCIAL CORPORATION OF KENTUCKY, 2323 RING ROAD, ELIZABETHTOWN, KY, 42701, 2707652131 - 48,541 ($1,538,750.00) Other, (File 333-108773 - Sep. 12) (BR. 07) S-8 PETROGEN CORP, 6049437515 - 3,000,000 ($1,350,000.00) Equity, (File 333-108774 - Sep. 12) (BR. 04) S-8 BALLARD POWER SYSTEMS INC, 9000 GLENLYON PARKWAY, BURNABY, BRITISH COLUMBIA V5J, A1, 2128948940 - 12,000 ($153,120.00) Equity, (File 333-108775 - Sep. 12) (BR. 36) S-8 INTERNATIONAL ISOTOPES INC, 4137 COMMERCE CIRCLE, IDAHO FALLS, ID, 83401, 2085245300 - 20,000,000 ($600,000.00) Equity, (File 333-108776 - Sep. 12) (BR. 36) S-3 REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121, 2066742700 - 0 ($100,000,000.00) Debt Convertible into Equity, (File 333-108777 - Sep. 12) (BR. 03) S-3 CARDIMA INC, 47266 BENICIA STREET, FREMONT, CA, 94538, 5103540300 - 0 ($15,014,135.00) Equity, (File 333-108778 - Sep. 12) (BR. 36) S-8 CHALONE WINE GROUP LTD, 621 AIRPARK RD, NAPA, CA, 94558, (707) 254-4200 - 50,000 ($391,000.00) Equity, (File 333-108779 - Sep. 12) (BR. 02) S-11 HINES REAL ESTATE INVESTMENT TRUST INC, 2800 POST OAK BLVD, SUITE 5000, HOUSTON, TX, 77056-6118, 7136218000 - 220,000,000 ($2,195,000,000.00) Equity, (File 333-108780 - Sep. 12) (BR. ) S-1 EYETECH PHARMACEUTICALS INC, 300 EAST 42ND ST 3RD FL, NEW YORK, NY, 10017, 2128831700 - 0 ($100,000,000.00) Equity, (File 333-108781 - Sep. 12) (BR. ) S-8 ASCENTIAL SOFTWARE CORP, 50 WASHINGTON STREET, WESTBOROUGH, MA, 01581, 6509266300 - 0 ($42,794,362.50) Equity, (File 333-108782 - Sep. 12) (BR. 03) S-3 EQUINIX INC, 301 VELOCITY WAY, 5TH FLOOR, FOSTER CITY, CA, 94404, 650-513-7000 - 0 ($9,580,000.00) Equity, (File 333-108783 - Sep. 12) (BR. 37) S-4 WESTERN WIRELESS CORP, 3650 131 ST AVENUE SE, SUITE 400, BELLEVUE, WA, 98006, 4255868700 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-108784 - Sep. 12) (BR. 37) S-3 CORPORATE OFFICE PROPERTIES TRUST, 8815 CENTRE PARK DR, SUITE 400, COLUMBIA, MD, 21045, 6105381800 - 0 ($400,000,000.00) Equity, (File 333-108785 - Sep. 12) (BR. 08) S-3 PARKWAY PROPERTIES INC, ONE JACKSON PL, 188 E CAPITOL ST STE 1000, JACKSON, MS, 39225-4647, 6019484091 - 0 ($300,000,000.00) Equity, (File 333-108786 - Sep. 12) (BR. 08) S-1 HARKEN ENERGY CORP, 2815044000 - 8,549,100 ($4,317,295.50) Equity, (File 333-108787 - Sep. 12) (BR. 04) S-8 PEOPLESOFT INC, 4460 HACIENDA DRIVE, PLEASANTON, CA, 94588-8618, 925-225-3000 - 0 ($41,000,000.00) Other, (File 333-108788 - Sep. 12) (BR. 03) S-3 DOUBLECLICK INC, 450 W 33RD ST, 16TH FL, NEW YORK, NY, 10001, 2126830001 - 0 ($135,000,000.00) Debt Convertible into Equity, (File 333-108789 - Sep. 12) (BR. 03) S-8 AMERICAN PACIFIC CORP, 3770 HOWARD HUGHES PKWY STE 300, LAS VEGAS, NV, 89109, 7027352200 - 1 ($1.00) Equity, (File 333-108790 - Sep. 12) (BR. 02) S-8 PEOPLESOFT INC, 4460 HACIENDA DRIVE, PLEASANTON, CA, 94588-8618, 925-225-3000 - 0 ($335,759,009.00) Equity, (File 333-108791 - Sep. 12) (BR. 03) S-3 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 9,395,973 ($168,187,916.70) Equity, (File 333-108792 - Sep. 12) (BR. 06) S-3 VASCO DATA SECURITY INTERNATIONAL INC, 1901 SOUTH MYERS ROAD, SUITE 210, OAKBROOK TERRACE, IL, 60181, 6309328844 - 7,500,000 ($21,675,000.00) Equity, (File 333-108793 - Sep. 12) (BR. 03) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP MULTI CLA MOR DE X X 08/28/03 AEI INCOME & GROWTH FUND 24 LLC DE X X 08/27/03 AEI INCOME & GROWTH FUND XXII LTD PAR MN X X 08/27/03 AEI REAL ESTATE FUND XVI LTD PARTNERS MN X X 08/29/03 AEI REAL ESTATE FUND XVIII LIMITED PA MN X X 08/27/03 AFG INVESTMENT TRUST A DE X 08/29/03 AGCO CORP /DE DE X X 09/10/03 AIRPLANES LTD DE X 09/12/03 ALAMOSA DELAWARE INC DE X X X 09/12/03 ALAMOSA HOLDINGS INC DE X X X 09/12/03 ALEXION PHARMACEUTICALS INC DE X X 09/12/03 ALLIANCE GAMING CORP NV X X 09/11/03 AMERCO /NV/ NV X X 09/05/03 AMERICAN INCOME FUND I-C LTD PARTNERS MA X 08/29/03 AMERICAN INCOME FUND I-D LTD PARTNERS MA X 08/29/03 AMERICAN INCOME FUND I-E LTD PARTNERS MA X 08/29/03 AMERICAN INCOME PARTNERS V A LTD PART MA X 08/29/03 AMERICAN INCOME PARTNERS V B LTD PART MA X 08/29/03 AMERICAS CARMART INC TX X X 09/10/03 APPLE HOSPITALITY FIVE INC VA X X 08/30/03 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 09/10/03 ASSOCIATED MATERIALS INC DE X X 08/29/03 AXIOM PHARMACEUTICALS INC NV X X X 09/12/03 AZCO MINING INC DE X 09/05/03 BANYAN CORP /OR/ OR X X 09/08/03 BANYAN CORP /OR/ OR X X 09/10/03 BE INC CA X 09/12/03 BGR CORP NV X X X 08/22/03 AMEND BIG LOTS INC OH X 09/12/03 BRADY CORP WI X 09/12/03 CALAVO GROWERS INC CA X X X 09/04/03 CALYPTE BIOMEDICAL CORP DE X X 09/02/03 CANARGO ENERGY CORP DE X X 09/08/03 CAROLINA POWER & LIGHT CO NC X X 09/08/03 CDMC MORTGAGE PASS THROUGH CERTIFICAT DE X 08/25/03 CDMC MORTGAGE PASS-THROUGH CERTIFICAT DE X 08/25/03 CEDAR MOUNTAIN DISTRIBUTORS INC NV X X 08/28/03 AMEND CENDANT MORT CAPITAL LLC CDMC MORT PA DE X 08/25/03 CENTENNIAL COMMUNICATIONS CORP /DE DE X 09/12/03 CENTENNIAL COMMUNICATIONS CORP /DE DE X X 09/12/03 CENTRAL UTILITIES PRODUCTION CORP NV X 09/12/03 CERTIFIED SERVICES INC NV X X X 07/01/03 AMEND CHASE FUNDING INC NY X X 09/10/03 CIT EC EF 2001-A DE X 09/12/03 CIT EQUIPMENT COLLATERAL 2000-2 NY X 09/12/03 CIT EQUIPMENT COLLATERAL 2001-1 X 09/12/03 CIT EQUIPMENT COLLATERAL 2002-VT1 DE X 09/12/03 CLASSICA GROUP INC NY X 08/19/03 CLASSICA GROUP INC NY X 08/29/03 CNL RETIREMENT PROPERTIES INC MD X X 09/12/03 COLLEGIATE FUNDING SERVICES EDUCATION DE X X 08/31/03 COLMENA CORP DE X X 08/25/03 COMPUTERIZED THERMAL IMAGING INC NV X 09/05/03 CORPORATE OFFICE PROPERTIES TRUST MD X 09/12/03 COVISTA COMMUNICATIONS INC NJ X X 09/12/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/12/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/12/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 09/12/03 CWMBS INC DE X X 07/01/03 CWMBS INC DE X X 07/29/03 CWMBS INC DE X X 07/31/03 CWMBS INC DE X X 07/31/03 CWMBS INC DE X X 07/31/03 D&E COMMUNICATIONS INC PA X 09/12/03 DCM ENTERPRISES NV X X 09/09/03 DELTA & PINE LAND CO DE X X 08/31/03 DIGITAL WORLD CUP INC X X 09/11/03 DIRECT WIRELESS COMMUNICATIONS INC TX X 08/26/03 DOTRONIX INC MN X X 09/08/03 EAGLE FOOD CENTERS INC DE X 09/11/03 EDISON SCHOOLS INC DE X 09/12/03 ENRON CORP/OR/ OR X X 09/12/03 EP MEDSYSTEMS INC NJ X 08/28/03 EQUITY OIL CO CO X X 09/12/03 EXELON CORP PA X 09/12/03 EXELON CORP PA X 09/12/03 EXPRESSJET HOLDINGS INC DE X 09/12/03 FIRST COMMUNITY BANCSHARES INC /NV/ NV X X 09/12/03 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 09/12/03 FIRST FINANCIAL CORP /IN/ IN X X X 09/10/03 FIRST MIDWEST BANCORP INC DE X X 09/11/03 FIRST MIDWEST BANCORP INC DE X X 09/12/03 FIRST SENTINEL BANCORP INC DE X X 09/04/03 FIRSTENERGY CORP OH X 09/11/03 FOREST CITY ENTERPRISES INC OH X 09/12/03 FOREST CITY ENTERPRISES INC OH X X 09/12/03 FORTUNE DIVERSIFIED INDUSTRIES INC DE X 07/01/03 AMEND FREEPORT MCMORAN COPPER & GOLD INC DE X 09/12/03 FRESH BRANDS INC X 09/12/03 FRIEDMANS INC DE X 09/08/03 FTD INC DE X X X 08/05/03 GENERAL GROWTH PROPERTIES INC DE X 06/11/03 AMEND GENERAL MOTORS CORP DE X 09/11/03 GLOBAL WIRELESS SATELLITE NETWORKS US DE X 09/02/03 GLOBESPANVIRATA INC DE X 09/12/03 GREENWICH CAPITAL ACCEPT INC HARBORVI DE X 09/12/03 GREENWICH CAPITAL ACCEPTANCE THORNBUR DE X 08/30/03 GS MORTGAGE SECURITIES CORP DE X 09/12/03 GTECH CORP DE X 09/12/03 HALIFAX CORP VA X X 09/12/03 HANDLEMAN CO /MI/ MI X 09/10/03 HEMISPHERX BIOPHARMA INC DE X 09/11/03 HERITAGE COMPANIES INC NV X X 09/10/03 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X X 08/28/03 HIENERGY TECHNOLOGIES INC WA X 09/11/03 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 07/25/02 HOME EQUITY PASS THROUGH CERTIFICATES DE X X 08/25/02 I STAT CORPORATION /DE/ DE X X 09/12/03 ICN PHARMACEUTICALS INC DE X X 09/08/03 IMH ASSETS CORP DE X X 09/12/03 INTAC INTERNATIONAL INC NV X X 09/12/03 INTERSIL CORP/DE DE X X 08/28/03 INTRAWARE INC DE X X 09/09/03 INVESTORS CAPITAL HOLDINGS LTD MA X X 09/12/03 INVESTORS CAPITAL HOLDINGS LTD MA X 09/12/03 ISECURETRAC CORP DE X X 08/28/03 JAMESON INNS INC GA X X 09/12/03 JUPITERMEDIA CORP DE X X 06/30/03 KORN FERRY INTERNATIONAL DE X X 09/10/03 LANDSTAR SYSTEM INC DE X 09/11/03 LASERSIGHT INC /DE DE X X 09/12/03 LEVI STRAUSS & CO DE X X 09/10/03 LIGAND PHARMACEUTICALS INC DE X X 09/11/03 LIGHTSPAN INC DE X 09/10/03 LIONBRIDGE TECHNOLOGIES INC /DE/ DE X X 09/09/03 LMI AEROSPACE INC MO X X 09/08/03 LTWC CORP DE X X 08/22/03 MACROCHEM CORP DE X 09/11/03 MARITRANS INC /DE/ DE X 09/10/03 MBNA AMERICA BK NAT ASSOC MBNA MASTER X X 09/12/03 MERCER INTERNATIONAL INC WA X X 09/12/03 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE X X 09/02/03 MERRILL LYNCH DEPOSITOR INC PUBLIC ST DE X X 09/02/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 09/11/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 08/28/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 08/29/03 MICHAEL ANTHONY JEWELERS INC DE X X 09/12/03 MICROSIGNAL CORP/NV NV X 06/30/03 MILLENNIUM CELL INC DE X 09/12/03 MIRENCO INC X X 07/23/03 AMEND MORGAN STANLEY ABS CAPITAL I INC TRUS DE X X 08/26/03 MORTGAGE ASSET SEC TRANS INCMASTR ASS DE X X 08/25/03 MULTIMEDIA GAMES INC TX X 09/12/03 NATIONAL STEEL CORP DE X X 09/09/03 NATIONAL STEEL CORP DE X X 07/21/03 AMEND NATIONAL TECHNICAL SYSTEMS INC /CA/ CA X X 09/10/03 NATURAL RESOURCE PARTNERS LP DE X X 09/12/03 NCT FUNDING CO LLC DE X 09/12/03 NET PERCEPTIONS INC DE X X 09/12/03 NETGEAR INC DE X X 09/12/03 NEUROCRINE BIOSCIENCES INC CA X X 09/11/03 NEW CENTURY FINANCIAL CORP DE X X 08/28/03 NOMURA ASSET ACCEPTANCE CORP DE X X 09/10/03 NOMURA ASSET ACCEPTANCE CORP DE X X 09/10/03 NOMURA ASSET ACCEPTANCE CORP DE X X 09/12/03 NORTHERN STATES FINANCIAL CORP /DE/ DE X X 09/11/03 NORTHWEST BANCORP INC PA X X 09/11/03 NVIDIA CORP DE X 09/11/03 OAKWOOD HOMES CORP NC X X 09/09/03 OIL STATES INTERNATIONAL INC DE X 09/12/03 OPENTV CORP X 07/01/03 AMEND ORACLE CORP /DE/ DE X X 09/12/03 PCS RESEARCH TECHNOLOGY INC DE X X 09/08/03 PER SE TECHNOLOGIES INC DE X X X 09/11/03 PHIBRO ANIMAL HEALTH CORP X X 08/28/03 PHILIP SERVICES CORP/DE DE X X 09/12/03 POKER COM INC FL X 09/11/03 PORTAL SOFTWARE INC DE X X 09/11/03 PRICESMART INC DE X 09/05/03 PROGRESSIVE CORP/OH/ OH X 09/12/03 RADIAN GROUP INC DE X 09/12/03 REALNETWORKS INC WA X 08/04/03 AMEND REEDS JEWELERS INC NC X X 09/10/03 RELIANCE STEEL & ALUMINUM CO CA X X X 07/01/03 AMEND RENAISSANCE MORTGAGE ACCEPTANCE CORP DE X 09/12/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 09/12/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 09/12/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 09/12/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 09/12/03 REVCARE INC NV X X X 08/29/03 RIVERVIEW BANCORP INC WA X X 07/18/03 AMEND ROCKWELL COLLINS INC DE X X 09/11/03 ROLLTECH INC X X 09/10/03 RONSON CORP NJ X X 09/12/03 SATCON TECHNOLOGY CORP DE X X 09/10/03 SAUER DANFOSS INC DE X 09/11/03 SCHLUMBERGER LTD /NV/ P8 X X 09/11/03 SEALIFE CORP DE X X 09/12/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/19/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/20/03 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/28/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/03 SKIBO FINANCIAL CORP X X 09/11/03 SOLUTIA INC DE X X 09/10/03 SPIEGEL INC DE X X 09/12/03 STARTEK INC DE X 09/10/03 STRATEX NETWORKS INC DE X X 09/12/03 STRUCTURED ASSET MORTGAGE INVESTMENTS X X 08/28/02 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 08/29/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 08/29/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 08/29/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 08/29/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 08/29/03 SUPERIOR TELECOM INC DE X X 09/02/03 TEMTEX INDUSTRIES INC DE X X 09/08/03 TF FINANCIAL CORP DE X X 09/12/03 TIMKEN CO OH X 09/11/03 TIMKEN CO OH X 09/12/03 TIMKEN CO OH X 09/12/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 2 CA X X 09/12/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 DE X X 09/12/03 TWINLAB CORP DE X X 09/10/03 UCAP INC CO X 07/29/03 AMEND UNIFIED FINANCIAL SERVICES INC DE X X 09/05/03 UNION NATIONAL FINANCIAL CORP / PA PA X 09/12/03 UNITED PARCEL SERVICE INC DE X 09/12/03 USANA HEALTH SCIENCES INC UT X 09/11/03 VOICE MOBILITY INTERNATIONAL INC NV X 09/11/03 WASHINGTON MUTUAL MORT SEC CORP PASS DE X 09/12/03 WATERFORD GAMING LLC DE X 09/12/03 WEBMD CORP /NEW/ DE X 09/12/03 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 08/25/03 WELLS REAL ESTATE FUND III L P GA X 09/12/03 WELLS REAL ESTATE FUND V L P GA X 09/12/03 WELLS REAL ESTATE FUND VI L P GA X 09/12/03 WELLS REAL ESTATE FUND VII L P GA X 09/12/03 WESTERN WIRELESS CORP WA X X 09/11/03 WILLIAMS COMPANIES INC DE X X X 09/10/03 WPCS INTERNATIONAL INC DE X X 09/12/03 YARDVILLE NATIONAL BANCORP NJ X X 09/04/03