SEC NEWS DIGEST Issue 2003-20 January 30, 2003 COMMISSION ANNOUNCEMENTS PAULA DUBBERLY NAMED ASSOCIATE DIRECTOR (LEGAL) IN SEC'S DIVISION OF CORPORATION FINANCE On Jan. 27, the Commission named Paula Dubberly as the Associate Director (Legal) of the Division of Corporation Finance. As Associate Director (Legal), Ms. Dubberly will oversee the Offices of Chief Counsel and Rulemaking as well as the Division's Enforcement liaison program. "Paula has a tremendous depth of knowledge of securities regulation and corporate finance and disclosure issues and has proven she is an outstanding contributor and leader in meeting the goals of the Commission," said Alan Beller, director of the Division of Corporation Finance. "This expertise, along with the ability to devise practical solutions to complex problems, is invaluable to the Division and the Commission. I welcome Paula to the Division's senior staff and know she will continue to make remarkable contributions in this position." Dubberly, 41, joined the Division of Corporation Finance as an attorney in 1992. During her tenure with the division, Dubberly has served as Special Counsel, Assistant Director and most recently as Chief Counsel. Dubberly received her J.D. from the American University Washington College of Law in 1989 and received her B.A. in Political Science from George Washington University in 1983. (Press Rel. 2003-14) SHELLEY PARRATT NAMED DEPUTY DIRECTOR IN SEC'S DIVISION OF CORPORATION FINANCE On Jan. 27, Chairman Harvey L. Pitt announced the establishment of a second deputy director position in the Division of Corporation Finance and named Shelley E. Parratt to this position. Parratt will be responsible for disclosure operations. Martin P. Dunn will continue as deputy director, with responsibility for the legal and regulatory programs of the division. "Shelley is tremendously talented and dedicated," Pitt said. "She is well versed in corporation finance and disclosure issues and will play a crucial role as the Commission looks to enhance the financial disclosure system and our review processes. I am thrilled that she is accepting this new responsibility." Alan Beller, director of the Division of Corporation Finance added, "Shelley has valuable experience in all aspects of the disclosure process and a long record of accomplishment with the Commission. Her talent, leadership and dedication to the Commission and the investing public will continue to serve her well in this position. Shelley has played the principal role in leading disclosure operations for some time and this new position recognizes that role and its importance in the division. Together, Shelley and Marty have been and will continue to be an outstanding team in the division." Parratt, 43, joined the Division of Corporation Finance as a Financial Analyst in 1986. During her tenure with the division, Parratt has served as Branch Chief, Assistant Director, Associate Director and most recently as Principal Associate Director (Disclosure Operations). Parratt received her MBA from Syracuse University in 1985 and received her B.A. from St. Lawrence University in 1982. (Press Rel. 2003-15) SEC ORDERS A SUSPENSION OF TRADING IN THE STOCK OF SEDONA SOFTWARE SOLUTIONS, INC. On Jan. 29, the Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Sedona Software Solutions, Inc. (stock symbol SSSI) of Vancouver, Canada at 3:00 p.m. EST on Jan. 29, 2003 and terminating at 11:59 p.m. EST on Feb. 11, 2003. The Commission temporarily suspended trading in the securities of Sedona Software Solutions, Inc. because of questions concerning the accuracy and completeness of information about Sedona on Internet websites, in press releases, and in other sources publicly available to investors concerning, among other things, Sedona's planned merger with Renaissance Mining Corp. (Renaissance), a privately-held company; the assets and business operations of Renaissance; and trading in Sedona common stock in connection with the announced merger. The Commission cautions broker-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, it should refrain from entering quotations relating to Sedona Software Solutions, Inc. securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation that is in violation of the rule, the Commission will consider the need for prompt enforcement action. Any broker-dealer or other person with information relating to this matter is invited to call Ivonia Slade, Senior Counsel, in the Washington, D.C. office of the Securities and Exchange Commission, at (202) 942-4757. (Rel. 34-47283) RULES AND RELATED MATTERS IMPLEMENTATION OF STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS The Commission has adopted final rules to implement Section 307 of the Sarbanes-Oxley Act by setting "standards of professional conduct for attorneys appearing and practicing before the Commission in any way in the representation of issuers." (Rels. 33-8185; 34-47276; IC-25919; File No. S7-45-02) The Commission has also issued proposed rules that set out an alternative to the "noisy withdrawal" provisions of the rules on attorney conduct as originally proposed and has solicited comments on the "noisy withdrawal" provisions originally proposed, the alternative now proposed, and the final rules on attorney conduct. (Rels. 33-8186; 34-47282; IC-25920; File No. S7-45-02). ENFORCEMENT PROCEEDINGS DENVER HEDGE FUND OPERATOR SANCTIONED FOR FRAUD Rickey A. Lang, of the Denver, Colo., area, and Zion Capital Management LLC (Zion), a now-inactive company owned by Lang, have been sanctioned after a hearing before an administrative law judge. Lang and Zion were ordered to pay a total of $431,827 in fines and disgorgement, and Lang was barred from the securities industry. The law judge concluded that they violated antifraud and other provisions of the federal securities laws. Lang and Zion operated a now-defunct hedge fund, Dominion Fund II (Dominion). Lang told investors that he would operate Dominion with the same trading strategy he had used successfully for another entity, Dominion Asset Management (DAM), in which he had a financial interest. However, in trading for both, Lang allocated unprofitable trades to Dominion and profitable trades to DAM. The result was that DAM profited, and Lang obtained over $200,000 in ill-gotten gains, while Dominion lost 60% of its value. Lang's wrongdoing increased Dominion's investors' losses by over $300,000. In addition to the antifraud violations, Lang discarded or failed to keep required records of his trading. (Initial Decision No. 220; File No. 3-10659) IN THE MATTER OF DENNIS HERULA An Administrative Law Judge has issued an order entering default in the Matter of Dennis S. Herula. The Order Instituting Proceedings (OIP) alleged that a U.S. District Court permanently enjoined Herula from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The order finds the allegations in the OIP to be true and, pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Investment Advisers Act of 1940, bars Herula from associating with any broker, dealer, or investment adviser. (Rels. 34-47264; IA-2104; File No. 3- 10931) ORDER APPROVING PLAN OF DISGORGEMENT DISTRIBUTION AND APPOINTING ADMINISTRATOR IN THE MATTER OF HARVEY BURSTEIN AND JAMES LOEFFELBEIN The Commission announced that on Jan. 29 it approved a plan of disgorgement distribution (Plan) in the Matter of Harvey M. Burstein and James D. Loeffelbein pursuant to Rule 613 of the Rules of Practice of the Securities and Exchange Commission, 17 C.F.R. 201.613, and appointed Thomas M. Piccone, a Trial Counsel in the Central Regional Office, Administrator of the Plan pursuant to the terms of the Plan. On April 9, 2002, the Commission found that Respondents Harvey M. Burstein (Burstein) and James D. Loeffelbein (Loeffelbein) willfully violated Sections 5(a) and 5(c) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5, former Rule 10b-6, and Rule 101 of Regulation M under the Exchange Act. It ordered that Burstein and Loeffelbein cease and desist from committing or causing any violation and any future violation of these provisions (except Rule 10b-6, which has been rescinded), barred them from association with any broker or dealer (with the right to reapply for association after four years), and assessed civil penalties. In addition, the Commission ordered Burstein and Loeffelbein, respectively, to pay disgorgement of $74,324 and $101,544, prejudgment interest of $35,230 and $48,617, and post-judgment interest. On Dec. 6, 2002, the Commission issued an order approving publication of notice of the proposed Plan, and notice was published. The Plan provides that $263,345.24 of disgorgement and interest paid by respondents Burstein and Loeffelbein be distributed pro rata among the customers of BMA Financial Services, Inc. (BMA), other than Burstein or Loeffelbein, who purchased shares of the common stock of Edgerton Musical Amplifiers, Inc. through BMA between February 20, 1997 and May 31, 1997. (Rels. 33- 8184; 34-47272; File No. 3-10545) STANSLAV KAMINSKY SUSPENDED FROM ASSOCIATION WITH ANY BROKER OR DEALER FOR TWELVE MONTHS On Jan. 29, the Commission entered an Order Instituting Administrative and Cease-And Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) And Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act) (Order) against Stanslav Kaminsky (Kaminsky). Kaminsky neither admitted nor denied the findings in the Order, except as to jurisdiction, which was admitted. In the Order, the Commission found that during the period April 1996 through the present, Kaminsky was a registered representative associated with various broker-dealers registered with the Commission, including, from April 1997 to November 1997, W.J. Nolan & Company, Inc. (Nolan). The Order finds that, while associated with Nolan, Kaminsky engaged in fraudulent sales practices, including unauthorized and unsuitable trading and churning, in the accounts of five customers. The Order finds that Kaminsky earned $20,509 in commissions from these fraudulent transactions, and the customers incurred realized and unrealized losses totaling $92,746. The Order further finds that Kaminsky caused and willfully aided and abetted certain books and records violations. The Order requires Kaminsky to cease and desist from committing or causing any violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder, and from causing violations of Section 17(a) of the Exchange Act and Rule 17a-3 promulgated thereunder and suspends Kaminsky from association with any broker or dealer for a period of twelve months. The Order further requires Kaminsky to pay disgorgement and prejudgment interest in the amount of $30,454 and a civil penalty of $20,509. (Rels. 33-8187; 34- 47284; File No. 3-11023) COMMISSION SEEKS TO ENFORCE ORDER AGAINST MARK SHINNICK On Jan. 28, the Commission commenced proceedings to collect a civil penalty previously ordered in a Commission administrative proceeding against Mark F. Shinnick. The complaint, filed pursuant to Section 209(d) of the Investment Advisers Act, asks a federal court to order Shinnick to comply with the Commission's Order and pay a $10,000 civil money penalty. The complaint charges that Shinnick failed to comply with the terms of a prior Commission order imposing remedial sanctions issued in the Matter of Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick, Administrative Proceeding File No. 3-10652 (Aug. 28, 2002). [SEC v. Mark F. Shinnick, Civ. Action No. 030635-RSK-FMOX, CDCA] (LR-17955) DEAN JUPITER PERMANENTLY ENJOINED FROM COMMITTING FRAUD The Commission announced today that on Jan. 17, the Honorable Frederic N. Smalkin, U.S. District Judge for the District of Maryland, entered an Order of Permanent Injunction against Dean J. Jupiter, a resident of Jupiter, Florida. The order prohibits Jupiter from engaging in fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 promulgated thereunder. The order also requires Jupiter to pay disgorgement of all ill-gotten gains in an amount to be determined later. Jupiter consented to the order without admitting or denying the allegations in the Commission's complaint. The Commission sued Jupiter on Sept. 28, 2000, for his alleged role in a scheme to defraud Alexander & Alexander Services Inc. (Alexander), a Maryland based insurance brokerage firm, which was acquired by Aon Corp. in 1997. The Commission's complaint alleged: (1) from 1992 through April 1997, Alexander's portfolio manager, William F. Mahon, secretly traded millions of dollars in high-risk derivatives and concealed $62 million in losses and $35 million in gains resulting from such trading on Alexander's books and records; (2) Jupiter, a former registered representative of a brokerage firm, sold Mahon several of these derivatives and received sales commissions of at least $14.3 million; (3) from 1993 to 1995, Jupiter paid Mahon at least $190,000 in kickbacks to induce him to continue investing in the high-risk derivatives; (4) at the inception of the scheme, Jupiter discussed with Mahon how to conceal from Alexander losses from his trading in the high-risk derivatives; and (5) Jupiter never disclosed to Alexander his knowledge of the scheme or his kickback payments to Mahon. Previously, Mahon consented, without admitting or denying the allegations in the complaint, to an order permanently enjoined him from violating Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b- 5 and 13b2-1 thereunder. He also paid disgorgement of $190,000, prejudgment interest of $114,862.08 and a civil penalty of $50,000. [SEC v. William F. Mahon and Dean J. Jupiter, Civil Action No. S-00- 2918, D. Md.] (LR-17956) COURT ISSUES PERMANENT INJUNCTION AGAINST ATTORNEY MARY CAPALBO IN CONNECTION WITH FRAUDULENT OFFERING SCHEME The Commission announced that on Jan. 27 a Rhode Island federal court entered a default judgment imposing a permanent injunction against Mary Lee Capalbo, a Rhode Island attorney who participated in a fraudulent offering scheme that raised at least $52 million from investors. In addition to being permanently enjoined from future violations of the federal securities laws, Capalbo was ordered to pay over $19 million in disgorgement, prejudgment interest, and penalties. The Commission filed its action against Capalbo and eight other defendants and a relief defendant on April 1, 2002, alleging that individuals associated with an entity known as Brite Business Corporation made fraudulent representations to investors, promising exorbitant returns through a high yield trading program. According to the Commission's complaint, most of the Brite Business investor funds were maintained in a brokerage account at the Cranston, Rhode Island office of Raymond James Financial Services, where Capalbo's husband, Dennis Herula, worked as a broker. The complaint alleges that, between 1999 and 2001, Capalbo, Herula and others associated with Brite Business misappropriated, transferred or lost approximately $20 million in investor funds. On April 3, 2002, the federal court in Rhode Island entered a temporary restraining order and asset freeze against Capalbo, and on May 8, 2002, the court entered a written preliminary injunction against her. The court entered the final judgment by default against Capalbo on Jan. 27, permanently enjoining her from future violations of the antifraud provisions of the federal securities laws [Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder]. Capalbo was also ordered to pay disgorgement of $16,708,520.83, plus prejudgment interest of $2,583,581.31, for total disgorgement liability of $19,292,102.14. She was also assessed a $250,000 civil monetary penalty. In its memorandum and order, the court found that Capalbo used her status as an attorney to perpetrate fraud against investors. According to the court, Capalbo allowed her status as an attorney to be used to attract investor funds, lied to investors about the status of their funds, and then spent investor money on luxury items for herself, such as jewelry, art, cars, and trips. The court found a permanent injunction against Capalbo necessary, stating that, based on her conduct in this matter, future violations by her are all but certain. For further information, please see Litigation Release Numbers 17800 (Oct. 23, 2002) [final judgment against Dennis Herula]; 17514 (May 13, 2002) [preliminary injunction and asset freeze against Capalbo, Herula and others]; 17461 (April 5, 2002) [temporary restraining order and asset freeze against Capalbo, Herula and others]. [SEC v. Dennis Herula, et al., USDC for the District of Rhode Island, C.A. No. 02 154 ML] (LR-17957) INVESTMENT COMPANY ACT RELEASES GLADSTONE CAPITAL CORPORATION An order has been issued on an application filed by Gladstone Capital Corporation under Section 61(a) (3) (B) of the Investment Company Act approving the grant of certain stock options to directors who are not officers or employees of the applicant pursuant to its Amended and Restated 2001 Equity Incentive Plan. (Rel. IC-25917 - Jan. 29) HOLDING COMPANY ACT RELEASES DOMINION RESOURCES, INC. A supplemental order has been issued authorizing a proposal by Dominion Resources, Inc. (DRI), a registered holding company, to continue its process of divesting the holdings of its subsidiary Dominion Capital, Inc., through Jan. 28, 2006. (Rel. 35-27644) AMEREN CORPORATION, ET AL. An order has been issued authorizing a proposal by Ameren Corporation, a registered holding company under the Public Utility Holding Company Act of 1935, as amended (Act), Ameren Energy Fuels and Services Company, Ameren's indirect wholly owned nonutility subsidiary, certain of Ameren's utility and nonutility subsidiaries, CILCORP Inc. (CILCORP), an exempt holding company under Section 3(a)(1) of the Act and a wholly owned subsidiary of The AES Corporation, an exempt holding company under Section 3(a)(5) of the Act, CILCORP's public utility subsidiary, Central Illinois Light Company (CILCO), and CILCO's utility subsidiary Central Illinois Generation, Inc. The proposal involves the acquisition by Ameren of all of the issued and outstanding common stock of CILCORP and other related transactions. (Rel. 35-27645) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-NASD-2002-166) and Amendment No. 1 thereto and granted accelerated approval of Amendment No. 2 to the proposed rule change submitted by the National Association of Securities Dealers, with respect to margin rule amendments for security futures contracts on a pilot basis. Publication of the order is expected in the Federal Register during the week of Jan. 27. (Rel. 34-47244) The Commission approved a proposed rule change and granted accelerated approval to Amendment No. 1 to a proposed rule change submitted by the National Association of Securities Dealers (SR-NASD-2001-47) to establish record-keeping requirements for ATSs that trade security futures and to require ATSs to coordinate trading halts with markets trading the underlying securities and markets trading related securities. Publication of the order is expected in the Federal Register during the week of Feb. 3, 2003. (Rel. 34-47259) ACCELERATED APPROVAL OF A PROPOSED RULE CHANGE The Commission has granted accelerated approval of a proposed rule change (SR-Amex-2002-113) by the American Stock Exchange regarding listing standards for closed-end management investment companies registered under the Investment Company Act of 1940. Publication of the order is expected in the Federal Register during the week of Feb. 3, 2003. (Rel. 34-47267) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSE-2003-03) filed by the New York Stock Exchange relating to transaction fees for certain exchange traded funds 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 Feb. 3, 2003. (Rel. 34-47273) APPROVAL OF JOINT AMENDMENT The Commission has approved a joint amendment to the Options Intermarket Linkage Plan (File No. 4-429), submitted under Rule 11Aa3-2 of the Securities Exchange Act of 1934 by the Philadelphia Stock Exchange, International Stock Exchange, Chicago Board Options Exchange, American Stock Exchange and Pacific Exchange, to provide a process for potential new options exchanges to have interim access to linkage information. Publication of the proposal is expected in the Federal Register during the week of Feb. 3, 2003. (Rel. 34-47274) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Kmart Corporation, and the 7.75% Trust Convertible Preferred Securities of Kmart Financing I, effective at the opening of business on Jan. 30. (Rel. 34-47277) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, no par value, of Hunt Corporation, effective at the opening of business on Jan. 30. (Rel. 34-47278) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.10 par value, of Owens Corning, effective at the opening of business on Feb. 3, 2003. (Rel. 34-47279) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing ten Class A ordinary shares nominal value $1.00 Argentine peso per share, of Siderca S.A.I.C., effective at the opening of business on Jan. 30. (Rel. 34-47280) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 NOVELLUS SYSTEMS INC, 4000 N FIRST ST, SAN JOSE, CA, 95134, 4089439700 - 0 ($137,902,500.00) Equity, (File 333-102784 - Jan. 29) (BR. 36) SB-2 PROVIDENTIAL HOLDINGS INC, 7145960244 - 50,000,000 ($3,500,000.00) Equity, (File 333-102785 - Jan. 29) (BR. 08) S-3 BIOPURE CORP, 11 HURLEY ST, CAMBRIDGE, MA, 02141, 6172346500 - 522,193 ($120.00) Other, (File 333-102786 - Jan. 29) (BR. 01) S-8 AOL TIME WARNER INC, 75 ROCKEFELLER PLAZA, NEW YORK, NY, 10019, 2124848000 - 30,000,000 ($409,200,000.00) Equity, (File 333-102787 - Jan. 29) (BR. 05) SB-2 FLIGHT SAFETY TECHNOLOGIES INC, 28 COTTRELL, STREET, MYSTIC, CT, 06355, 8602450191 - 2,078,964 ($3,949,004.12) Equity, (File 333-102788 - Jan. 29) (BR. 05) S-8 NOVA COMMUNICATIONS LTD, 3830 DEL AMO BOULEVARD, SUITE 101, TORRANCE, CA, 90503, 3106420200 - 15,000,000 ($150,000.00) Equity, (File 333-102789 - Jan. 29) (BR. 01) S-3 COLLEGE LOAN CORP, 16855 W BERNARDO DRIVE, SAN DIEGO, CA, 92127, 8587161586 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-102791 - Jan. 29) (BR. ) S-8 INTASYS CORP, 1 PLACE VILLE MARIE SUITE 2001, MONTREAL, ONTARIO CANADA L4Z I, A6, 5148740888 - 480,000 ($984,000.00) Equity, (File 333-102792 - Jan. 29) (BR. 37) S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6, 00000, 6137381440 - 2,000,000 ($48,180,000.00) Equity, (File 333-102793 - Jan. 29) (BR. 03) S-8 COGNOS INC, 3755 RIVERSIDE DR, PO BOX 9707, OTTAWA ONTARIO CAN K, A6, 00000, 6137381440 - 857,879 ($20,383,205.00) Equity, (File 333-102794 - Jan. 29) (BR. 03) S-8 COMMERCIAL CAPITAL BANCORP INC, ONE VENTURE, 3RD FL, IRVINE, CA, 92618, 9495857500 - 0 ($16,800,000.00) Equity, (File 333-102795 - Jan. 29) (BR. 07) S-8 SWEETWATER FINANCIAL GROUP INC, 4485 N. TOWN SQUARE, SUITE 102, POWDER SPRINGS, GA, 30127, 7709431400 - 486,086 ($4,860,860.00) Equity, (File 333-102796 - Jan. 29) (BR. 07) S-3 ELECTRONIC ARTS INC, 209 REDWOOD SHORES PARKWAY, REDWOOD CITY, CA, 94065, 650-628-1500 - 0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-102797 - Jan. 29) (BR. 03) S-8 COMPETITIVE TECHNOLOGIES INC, 1960 BRONSON ROAD, BUILDING 1, FAIRFIELD, CT, 06824, 2032256044 - 300,000 ($723,000.00) Equity, (File 333-102798 - Jan. 29) (BR. 04) S-3 AON CORP, 123 N WACKER DR, CHICAGO, IL, 60606, 3127013000 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-102799 - Jan. 29) (BR. 01) F-3 DURBAN ROODEPOORT DEEP LTD, 5 PRESS AVE, SELBY, JOHANNESBURG, SOUTH, T3, 00000, 0 ($66,000,000.00) Debt Convertible into Equity, (File 333-102800 - Jan. 29) (BR. 04) S-8 VILLAGEEDOCS INC, 14471 CHAMBERS ROAD SUITE 105, TUSTIN, CA, 92780, 15,830,958 ($5,809,983.00) Equity, (File 333-102802 - Jan. 29) (BR. 09) S-4 SUNLINK HEALTH SYSTEMS INC, 900 CIRCLE 75 PARKWAY, SUITE 1300, ATLANTA, GA, 30339, 7709337000 - 0 ($3,292,800.00) Equity, (File 333-102803 - Jan. 29) (BR. 01) S-3 INKINE PHARMACEUTICAL CO INC, 1787 SENTRY PARKWAY WEST, BUILDING 18 SUITE 440, BLUE BELL, PA, 19422, 2152836850 - 13,419,678 ($21,068,894.00) Other, (File 333-102804 - Jan. 29) (BR. 01) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 0 ($10,830,000.00) Equity, (File 333-102805 - Jan. 29) (BR. 04) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 0 ($32,490,000.00) Equity, (File 333-102806 - Jan. 29) (BR. 04) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 0 ($32,490,000.00) Equity, (File 333-102808 - Jan. 29) (BR. 04) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, 5074375737 - 0 ($16,245,000.00) Equity, (File 333-102810 - Jan. 29) (BR. 04) S-8 COLUMBIA BANCORP, 10480 LITTLE PATUXENT PKWY, PARK VIEW BUILDING, COLUMBIA, MD, 21044, 3017305000 - 0 ($2,706,600.00) Equity, (File 333-102811 - Jan. 29) (BR. 07) S-8 DQE INC, CHERRINGTON CORPORATE CNTR STE 100, 500 CHERRINGTON PKWY, CORAOPOLIS, PA, 15108-3184, 4122624700 - 2,690,468 ($39,899,640.00) Equity, (File 333-102812 - Jan. 29) (BR. 02) S-3 LEXAR MEDIA INC, 47421 BAYSIDE PARKWAY, FREMONT, CA, 94538, 5104131200 - 0 ($96,275,793.00) Unallocated (Universal) Shelf, (File 333-102813 - Jan. 29) (BR. 36) S-8 ARKANSAS BEST CORP /DE/, 3801 OLD GREENWOOD RD, FORT SMITH, AR, 72903, 5017856000 - 1,000,000 ($23,015,000.00) Equity, (File 333-102815 - Jan. 29) (BR. 05) S-8 ARKANSAS BEST CORP /DE/, 3801 OLD GREENWOOD RD, FORT SMITH, AR, 72903, 5017856000 - 0 ($35,000,000.00) Equity, (File 333-102816 - Jan. 29) (BR. 05) 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 ------------------------------------------------------------------------------------ AAIPHARMA INC DE X X 01/28/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 01/01/03 ACTION PERFORMANCE COMPANIES INC AZ X X 01/27/03 ADELPHIA COMMUNICATIONS CORP DE X 01/23/03 AGRILINK FOODS INC NY X 01/29/03 ALLIANCE RESOURCE PARTNERS LP DE X X 01/28/03 ALTRIA GROUP INC VA X 01/27/03 ALTRIA GROUP INC VA X X 01/29/03 AMERICAN ARCHITECTURAL PRODUCTS CORP DE X X 11/29/02 AMSOUTH AUTO RECEIVABLES LLC X X 01/15/03 ANGELCITI ENTERTAINMENT INC /FL/ NV X X X 01/20/03 APPLE HOSPITALITY TWO INC VA X 01/17/03 ARAHOVA COMMUNICATIONS INC DE X 01/23/03 ARCHER DANIELS MIDLAND CO DE X 12/31/02 ARTESYN TECHNOLOGIES INC FL X X 01/28/03 ASIA GLOBAL CROSSING LTD X X 01/28/03 ASIA PREMIUM TELEVISION GROUP NV X X 01/29/03 ATHEROGENICS INC GA X X 01/28/03 ATLANTIC COAST AIRLINES HOLDINGS INC DE X 01/29/03 AUBRYN INTERNATIONAL INC MN X 01/27/03 AUTO DATA NETWORK DE X X 01/18/03 AVAYA INC DE X X 01/29/03 BARR LABORATORIES INC NY X 01/28/03 BIOMARIN PHARMACEUTICAL INC DE X 01/29/03 CARDIMA INC DE X X 12/31/02 AMEND CBRL GROUP INC TN X 01/16/03 CHASE MORTGAGE FINANCE CORP DE X X 01/29/03 CHESAPEAKE CORP /VA/ VA X 01/28/03 CLARK/BARDES INC DE X X 11/26/02 COCA COLA ENTERPRISES INC DE X X 01/29/03 COGENT COMMUNICATIONS GROUP INC X 01/28/03 COM21 INC DE X 12/31/02 COMMUNITY BANK SHARES OF INDIANA INC IN X 12/31/02 CORPORATE OFFICE PROPERTIES TRUST MD X X 01/29/03 CWABS INC DE X X 12/27/02 CWABS INC DE X X 01/29/03 CWMBS INC DE X X 01/29/03 CWMBS INC DE X X 01/29/03 CWMBS INC DE X X 01/29/03 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 12/30/02 CWMBS INC DE X X 01/29/03 CYBER CARE INC FL X X 12/10/02 AMEND D&E COMMUNICATIONS INC PA X X 01/14/03 DEFAULT PROOF CREDIT CARD SYSTEM INC FL X 01/29/03 DIAL CORP /NEW/ DE X X 01/29/03 DORCHESTER HUGOTON LTD TX X 01/29/03 DRESS BARN INC CT X 01/28/03 DST SYSTEMS INC DE X 01/28/03 DUKE REALTY CORP IN X X 01/29/03 EMC INSURANCE GROUP INC IA X 01/29/03 ESG RE LTD X X 12/09/02 AMEND EXACTECH INC FL X X 01/29/03 FBR ASSET INVESTMENT CORP/VA VA X 01/29/03 FIDELITY NATIONAL FINANCIAL INC /DE/ DE X X 01/29/03 FIRST CHESTER COUNTY CORP PA X 12/31/02 FIRST COMMUNITY BANCORP /CA/ CA X X 01/29/03 FIRST COMMUNITY FINANCIAL GROUP INC WA X X 01/28/03 FIRST HORIZON ASSET SECURITIES INC DE X X 01/24/03 FIRST MID ILLINOIS BANCSHARES INC DE X 12/31/02 FIRSTFED FINANCIAL CORP DE X 12/31/02 FIRSTFED FINANCIAL CORP DE X 12/31/02 FREEPORT MCMORAN COPPER & GOLD INC DE X 01/29/03 FRONTIERVISION HOLDINGS LP DE X 01/23/03 FRONTIERVISION OPERATING PARTNERS LP DE X 01/23/03 FSI INTERNATIONAL INC MN X X 01/28/03 GENERAL ELECTRIC CO NY X X 01/23/03 GILEAD SCIENCES INC DE X X 01/16/03 GLOBAL ASSET HOLDINGS INC DE X 12/06/02 GROUP 1 AUTOMOTIVE INC DE X 01/27/03 GROUP MANAGEMENT CORP DE X 01/29/03 HAGGAR CORP NV X X X 01/28/03 HAGGAR CORP NV X X 01/29/03 HANOVER DIRECT INC DE X X 01/29/03 HEALTHSOUTH CORP DE X X 01/28/03 HERSHEY FOODS CORP DE X 01/29/03 IMH ASSETS CORP IMPAC CMB TRUST SERI DE X 11/25/02 IMH ASSETS CORP IMPAC CMB TRUST SERI DE X 12/26/02 INDYMAC BANCORP INC DE X 01/29/03 INDYMAC MBS INC X X 01/29/03 KENNAMETAL INC PA X 01/29/03 KEYSTONE PROPERTY TRUST MD X X 01/29/03 KOGER EQUITY INC FL X X 12/16/02 KOGER EQUITY INC FL X X 01/24/03 KRAFT FOODS INC VA X X 01/29/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 01/29/03 LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE X X 01/29/03 LIPID SCIENCES INC/ AZ X X 01/28/03 M&T BANK CORP NY X 01/10/03 AMEND MANPOWER INC /WI/ WI X X 01/29/03 MAYORS JEWELERS INC/DE DE X 01/15/03 MDU RESOURCES GROUP INC DE X X 12/31/02 MEADWESTVACO CORP DE X X 01/29/03 MEDIX RESOURCES INC CO X 01/21/03 MEDTOX SCIENTIFIC INC DE X 01/27/03 METASOURCE GROUP INC NV X X 01/03/03 METAWAVE COMMUNICATIONS CORP DE X 01/31/03 MICRON ENVIRO SYSTEMS INC NV X 01/29/03 MICRON TECHNOLOGY INC DE X X 01/29/03 MICROPAC INDUSTRIES INC DE X 01/28/03 MID WISCONSIN FINANCIAL SERVICES INC WI X X X 01/29/03 MIKRON INFRARED INC NJ X X 01/29/03 MITY ENTERPRISES INC UT X X 01/29/03 MMCA AUTO OWNER TRUST 2002-2 X X 01/15/02 MMCA AUTO OWNER TRUST 2002-3 X X 01/15/03 MMCA AUTO OWNER TRUST 2002-4 DE X X 01/15/03 MMCA AUTO OWNER TRUST 2002-5 DE X X 01/15/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 01/27/03 MOMENTUM HOLDINGS CORP DE X 09/16/02 AMEND MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/27/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 01/29/03 NASTECH PHARMACEUTICAL CO INC DE X 01/24/03 NATIONAL FUEL GAS CO NJ X X 12/31/02 NAUTILUS GROUP INC WA X X 01/29/03 NAVIDEC INC CO X 12/25/02 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X 10/31/02 NETWORK COMMERCE INC WA X X 01/14/03 NETWORK ENGINES INC DE X X 01/27/03 NEUBERGER BERMAN INC DE X X X 01/28/03 NIMBUS GROUP INC X 01/28/03 NISSAN AUTO RECEIVABLES 2002 B OWNER DE X 01/15/03 NISSAN AUTO RECEIVABLES 2002 C OWNER DE X 01/15/03 NORFOLK SOUTHERN CORP VA X 01/29/02 NORTH FORK BANCORPORATION INC DE X 01/29/03 NOVELLUS SYSTEMS INC CA X 01/28/03 NTL INC DE X X 01/29/03 O CHARLEYS INC TN X X 01/27/03 OCCIDENTAL PETROLEUM CORP /DE/ DE X X 01/29/03 OLYMPUS CAPITAL CORP DE X 01/23/03 OMEGA VENTURES INC NV X X 01/20/03 ON SEMICONDUCTOR CORP DE X X 01/29/03 PANERA BREAD CO DE X 01/29/03 PLUG POWER INC DE X X 01/24/03 PNM RESOURCES NM X 01/29/03 PRAB INC MI X 01/29/03 PRIME RATE INCOME & DIVIDEND ENTERPRI CO X X 11/12/02 AMEND PRINCETON VIDEO IMAGE INC NJ X 01/21/03 PROVIDENT FINANCIAL HOLDINGS INC DE X X 01/29/03 PUBLIC SERVICE ELECTRIC & GAS CO NJ X X 01/28/03 RADVISION LTD X X 01/29/03 REDDING BANCORP CA X X 01/28/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/29/03 RESIDENTIAL ASSET SECURITIES CORP DE X X 01/28/03 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 12/26/02 SALOMON BROTHER MORT SEC INC SAL HM E DE X 10/25/02 SALOMON BROTHER MORT SEC INC SAL HM E DE X 11/25/02 SALOMON BROTHER MORT SEC INC SAL HM E DE X 12/26/02 SAVANNAH BANCORP INC GA X 01/28/03 SBS INTERACTIVE CO FL X 12/28/02 SCANSOURCE INC SC X 01/29/03 SCOTSMAN HOLDINGS INC DE X X 01/29/03 SELIGMAN NEW TECHNOLOGIES FUND II INC MD X X 01/29/03 SELIGMAN NEW TECHNOLOGIES FUND INC X X 01/29/03 SERVICE MERCHANDISE CO INC TN X X 11/25/02 SHIRE PHARMACEUTICALS GROUP PLC X X 01/29/03 SMURFIT STONE CONTAINER CORP DE X X X 01/29/03 SOLDNET INC X 01/29/03 SONIC CORP DE X 01/28/03 SOUTHBORROUGH VENTURES INC X 01/15/03 SRI SURGICAL EXPRESS INC FL X X 01/16/03 ST PAUL COMPANIES INC /MN/ MN X 01/27/03 ST PAUL COMPANIES INC /MN/ MN X 01/29/03 ST PAUL COMPANIES INC /MN/ MN X 01/27/03 AMEND STONE CONTAINER CORP DE X X 01/29/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 01/01/03 STRUCTURED ASSET SEC CORP MORT PASS T DE X 01/01/03 STRUCTURED ASSET SEC MORT PASS THRU C DE X 12/26/02 STRUCTURED ASSET SECURITIES CORP MORT DE X 01/01/03 SUN BANCORP INC PA X X 01/29/03 SURGICARE INC/DE DE X X 12/02/02 TGFIN HOLDINGS INC DE X X 01/28/03 TIMBERLINE SOFTWARE CORPORATION OR X X 12/31/02 TIMKEN CO OH X X 01/29/03 TOUCH AMERICA HOLDINGS INC DE X X 01/28/03 TRADESTATION GROUP INC FL X X 01/29/03 TRANSPRO INC DE X X 01/29/03 UCBH HOLDINGS INC DE X X 01/28/03 UNION FINANCIAL BANCSHARES INC DE X X 01/29/03 UNITED COMMUNITY FINANCIAL CORP OH X 01/29/03 UNITED FINANCIAL MORTGAGE CORP IL X 01/29/03 UNITEDGLOBALCOM INC DE X 01/27/03 URANIUM RESOURCES INC /DE/ DE X X 01/29/03 URSTADT BIDDLE PROPERTIES INC MD X 12/23/02 VARIAGENICS INC DE X X 01/28/03 VENTURENET CAPITAL GROUP INC DE X X 01/09/03 VERITAS SOFTWARE CORP /DE/ DE X X 01/28/03 VERIZON COMMUNICATIONS INC DE X 01/29/03 VIASYSTEMS GROUP INC DE X X 01/14/03 VIASYSTEMS INC DE X X 01/14/03 VISTA CONTINENTAL CORP DE X 12/03/02 VOICEFLASH NETWORKS INC FL X X X X 01/28/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 01/27/03 WAUSAU MOSINEE PAPER MILLS CORP WI X X X 01/29/03 WELLS FARGO ASSET SECURITIES CORP DE X X 01/28/03 WERNER ENTERPRISES INC NE X X 01/22/03 WESBANCO INC WV X X 01/23/03 WILLIAMS SCOTSMAN INC MD X X 01/29/03 WILLOW GROVE BANCORP INC/NEW PA X X 01/29/03 WMS INDUSTRIES INC /DE/ DE X 01/28/03 WORLD WIDE WEB INC NV X 01/29/03 XETEL CORP DE X X 01/23/03 XM SATELLITE RADIO INC DE X X 01/29/03