SEC NEWS DIGEST Issue 2003-113 June 13, 2003 COMMISSION ANNOUCEMENTS SEC STAFF RESPONDS TO FREQUENTLY ASKED QUESTIONS REGARDING THE USE OF NON- GAAP FINANCIAL MEASURES The Commission's Division of Corporation Finance today provided its responses to 33 frequently asked questions regarding the use of non-GAAP financial measures. On Jan. 22, 2003, the SEC adopted new regulations setting out conditions under which non-GAAP financial measures could be used by public companies. See Release No. 33-8176. The staff's responses to these frequently asked questions, intended to assist market participants in the understanding of and compliance with the new regulations, can be found at http://www.sec.gov/divisions/corpfin/faqs/nongaapfaq.htm. (Press Rel. 2003-73) ENFORCEMENT PROCEEDINGS FORMER SHAWMUT INVESTMENT ADVISERS SALESMAN SANCTIONED Clarke T. Blizzard, formerly associated with Shawmut Investment Advisers, Inc., (now known as Fleet Investment Advisers) of Boston, Massachusetts, has been sanctioned after a hearing before an administrative law judge. The sanctions included a total of $648,233 in fines and disgorgement and a suspension from working at an investment adviser for ninety days. The law judge concluded that he aided and abetted violations of antifraud provisions of the federal securities laws. Shawmut employed Blizzard to sell its money management services to pension funds. He won three accounts of a labor union's pension fund through an introduction by Christopher Roach, the owner of a broker- dealer that had no capacity for execution and settlement of transactions or for producing investment research. Pursuant to an arrangement Blizzard reached with Roach, from 1994 to 1996 Shawmut directed transactions involving thousands of dollars in commissions through Roach's broker-dealer for the sole purpose of obtaining and retaining the union's accounts. Neither Blizzard, nor anyone else at Shawmut, informed the union of this side arrangement, which was material information that a reasonable investor would have considered important in deciding whether to invest. This was a violation of the antifraud provisions of the federal securities laws by Shawmut, which Blizzard aided and abetted. The law judge dismissed charges against Rudolph Abel, also formerly associated with Shawmut. (Initial Decision No. 229; File No. 3-10007) INVESTMENT COMPANY ACT RELEASES AMERICAN PERFORMANCE FUNDS, ET AL. A notice has been issued giving interested persons until July 7, 2003, to request a hearing on an application filed by American Performance Funds, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered management investment companies to invest uninvested cash and cash collateral in one or more affiliated money market funds in excess of the limits in sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-26075 - June 12) FRANKLIN GOLD AND PRECIOUS METALS FUND, ET AL. A notice has been issued giving interested persons until July 7, 2003, to request a hearing on an application filed by Franklin Gold and Precious Metals Fund, et al. for an order under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit (a) certain registered investment companies, private investment companies and managed accounts to invest uninvested cash and cash collateral in affiliated registered and unregistered money market funds, and (b) the registered investment companies and certain affiliated entities to continue to engage in purchase and sale transactions involving portfolio securities in reliance on Rule 17a-7 under the Act. The order would supersede a prior order. The order also would amend a prior order. (Rel. IC-26076 - June 12) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-PCX-2003-16) submitted by the Pacific Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to a one-year extension of the Exchange's Auto-Ex Incentive Pilot Program. Publication of the proposal is expected in the Federal Register during the week of June 13. (Rel. 34-48019) A proposed rule change (SR-Amex-2003-36) and Amendments No. 1 and 2 thereto filed by the American Stock Exchange to initiate a pilot program that will allow the Amex to list options on selected stocks trading below $20 at one-point intervals have been given accelerated approval under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48024) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2003-53) filed by the American Stock Exchange relating to Maximum Bid/Offer Differentials for Option Contracts 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 16. (Rel. 34- 48023) PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD PROPOSED RULES The Commission published for public comment proposed rules filed by the Public Company Accounting Oversight Board (PCAOB) (File No. PCAOB-2003- 01) under Section 19(b)(1) of the Exchange Act. The proposed rules are the bylaws that will govern the PCAOB's performance of its responsibilities under the Sarbanes-Oxley Act of 2002. Publication of the proposal is expected in the Federal Register during the week of June 16. (Rel. 34-48027) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting the underlying common stock of the following companies effective at the opening of business on June 13: Solectron Corp. American Standard Cos. Inc. Greenpoint Financial Corp. (Rel. 34-48020) An order has been issued granting the application of Kadant Inc. to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange effective at the opening of business on June 13. (Rel. 34-48021) 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 The MIIX Group, Inc., effective at the opening of business on June 13. (Rel. 34-48022) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Corporate Units of NRG Energy, Inc., effective at the opening of business on June 13. (Rel. 34-48025) 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 BRL HOLDINGS INC, 340 GRANITE STREET, SUITE 200, MANCHESTER, NH, 03102-4004, 6036418443 - 2,000,000 ($120,000.00) Other, (File 333-106039 - Jun. 12) (BR. 05) S-3 AMERICAN INTERNATIONAL GROUP INC, 70 PINE ST, NEW YORK, NY, 10270, 2127707000 - 0 ($5,139,770,000.00) Other, (File 333-106040 - Jun. 12) (BR. 01) S-3 BAXTER INTERNATIONAL INC, ONE BAXTER PKWY, DF2-2W, DEERFIELD, IL, 60015, 8479482000 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-106041 - Jun. 12) (BR. 36) S-4 JEFFERSON SMURFIT CORP US, JEFFERSON SMURFIT CTR, 8182 MARYLAND AVE, ST LOUIS, MO, 63105, 3147461100 - 0 ($300,000,000.00) Other, (File 333-106042 - Jun. 12) (BR. 04) S-8 FORMFACTOR INC, 2140 RESEARCH DRIVE, LIVERMORE, CA, 94550, 0 ($106,125,499.00) Equity, (File 333-106043 - Jun. 12) (BR. 36) S-8 METROCALL HOLDINGS INC, 6677 RICHMOND HWY, ALEXANDRIA, VA, 22306, 7036606677 - 0 ($198,100.00) Equity, (File 333-106044 - Jun. 12) (BR. 37) S-8 ULTRAGUARD WATER SYSTEMS CORP, 5763 203 A STREET, 2ND FLOOR, LANGLEY BC CANADA, A1, V3A 1W7, 6045399398 - 1,500,000 ($195,000.00) Equity, (File 333-106045 - Jun. 12) (BR. 06) S-8 ST JOE CO, 1650 PRUDENTIAL DR STE 400, JACKSONVILLE, FL, 32207, 9043966600 - 3,000,000 ($92,280,000.00) Equity, (File 333-106046 - Jun. 12) (BR. 08) S-8 H QUOTIENT INC, 8150 LEESBURG PIKE, SUITE 503, VIENNA, VA, 20182, 7037160100 - 2,000,000 ($1,260,000.00) Equity, (File 333-106047 - Jun. 12) (BR. 03) S-3 ALTEON INC /DE, 170 WILLIAMS DR, RAMSEY, NJ, 07446, 2019345000 - 0 ($100,000,000.00) Equity, (File 333-106048 - Jun. 12) (BR. 01) F-6 METOREX LTD, 2ND FLOOR, SOUTH WING, CRADOCK HEIGHTS, 21 CRADOCK AVENUE, ROSEBANK, T3, 2146, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-106049 - Jun. 12) (BR. ) S-8 JONES APPAREL GROUP INC, 250 RITTENHOUSE CIRCLE, KEYSTONE PK, BRISTOL, PA, 19007, 2157854000 - 325,000 ($9,049,625.00) Equity, (File 333-106050 - Jun. 12) (BR. 02) S-8 C&D TECHNOLOGIES INC, 1400 UNION MEETING ROAD, PO BOX 3053, BLUE BELL, PA, 19422, 2156192700 - 50,000 ($716,750.00) Equity, (File 333-106051 - Jun. 12) (BR. 36) S-8 JONES APPAREL GROUP INC, 250 RITTENHOUSE CIRCLE, KEYSTONE PK, BRISTOL, PA, 19007, 2157854000 - 1,500,000 ($41,767,500.00) Equity, (File 333-106052 - Jun. 12) (BR. 02) S-8 OHANA ENTERPRISES, 268 WEST 400 SOUTH SUITE 300, SALT LAKE CITY, X1, 84101, 801-575-8073 - 2,200,000 ($1,232,000.00) Equity, (File 333-106053 - Jun. 12) (BR. 08) S-3 PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($30,000,000.00) Equity, (File 333-106054 - Jun. 12) (BR. 02) F-9 ABITIBI CONSOLIDATED CO OF CANADA, 0 ($200,000,000.00) Non-Convertible Debt, (File 333-106055 - Jun. 12) (BR. 04) S-8 LARSCOM INC, 1845 MCCANDLESS DR, MILPITAS, CA, 95035, 4089414000 - 186,989 ($4,530,743.47) Equity, (File 333-106056 - Jun. 12) (BR. 37) S-8 ART TECHNOLOGY GROUP INC, 25 FIRST STREET, CAMBRIDGE, MA, 02141, 6178591212 - 0 ($905,000.00) Equity, (File 333-106057 - Jun. 12) (BR. 03) S-8 ART TECHNOLOGY GROUP INC, 25 FIRST STREET, CAMBRIDGE, MA, 02141, 6178591212 - 0 ($3,620,000.00) Equity, (File 333-106058 - Jun. 12) (BR. 03) S-8 MONROE JAMES BANCORP INC, 3033 WILSON BLVD, ARLINGTON, VA, 22201, 7035248100 - 250,000 ($4,767,500.00) Equity, (File 333-106059 - Jun. 12) (BR. 07) S-8 LA JOLLA PHARMACEUTICAL CO, 6455 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584526600 - 1,100,000 ($4,136,000.00) Equity, (File 333-106060 - Jun. 12) (BR. 01) S-4 SIMON PROPERTY GROUP L P /DE/, 115 WEST WASHINGTON, INDIANAPOLIS, IN, 46204-3464, 3176361600 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-106061 - Jun. 12) (BR. 08) S-8 CARAUSTAR INDUSTRIES INC, 3100 JOE JERKINS BLVD, AUSTELL, GA, 30106, 7709483101 - 0 ($6,528,000.00) Equity, (File 333-106062 - Jun. 12) (BR. 04) S-1 WESTERN UNITED HOLDING CO, 0 ($120,000,000.00) Equity, (File 333-106063 - Jun. 12) (BR. 01) S-8 CARAUSTAR INDUSTRIES INC, 3100 JOE JERKINS BLVD, AUSTELL, GA, 30106, 7709483101 - 4,000,000 ($32,640,000.00) Equity, (File 333-106064 - Jun. 12) (BR. 04) S-2 RGC RESOURCES INC, 519 KIMBALLAVENUE N.E., ROANOKE, VA, 24016, 5407774427 - 400,000 ($9,398,000.00) Equity, (File 333-106065 - Jun. 12) (BR. 02) S-8 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 0 ($2,797,500.00) Equity, (File 333-106066 - Jun. 12) (BR. 01) S-8 LACROSSE FOOTWEAR INC, 1319 ST ANDREW ST, LACROSSE, WI, 54603, 6087823020 - 700,000 ($2,185,282.00) Equity, (File 333-106067 - Jun. 12) (BR. 06) S-3 ILEX ONCOLOGY INC, 4545 HORIZON HILL BLVD, SAN ANTONIO, TX, 78229, 210-949-8200 - 0 ($10,000,000.00) Equity, (File 333-106068 - Jun. 12) (BR. 01) S-3 ONYX PHARMACEUTICALS INC, 3031 RESEARCH DR, BLDG A, RICHMOND, CA, 94806, 5102229700 - 0 ($75,000,000.00) Equity, (File 333-106070 - Jun. 12) (BR. 01) S-3 FIRST DATA CORP, 6200 SOUTH QUEBEC ST, GREENWOOD VILLAGE, CO, 80111, 3034888000 - 0 ($1,800,000,000.00) Other, (File 333-106071 - Jun. 12) (BR. 07) S-8 ANTIGENICS INC /DE/, 630 FIFTH AVENUE SUITE 2170, NEW YORK, NY, 10111, 2123324774 - 0 ($1,494,000.00) Equity, (File 333-106072 - Jun. 12) (BR. 01) S-3 EAGLE BROADBAND INC, 101 COURAGEOUS DR, LEAGUE CITY, TX, 77573, 2815386000 - 16,995,650 ($7,478,086.00) Equity, (File 333-106074 - Jun. 12) (BR. 37) S-3 NYER MEDICAL GROUP INC, 1292 HAMMOND ST, BANGOR, ME, 04401, 207-942-5273 - 30,000 ($35,100.00) Equity, (File 333-106075 - Jun. 12) (BR. 01) S-1 CAPITALSOURCE INC, 0 ($402,500,000.00) Equity, (File 333-106076 - Jun. 12) (BR. ) S-4 DAN RIVER INC /GA/, 261 MEMORIAL DRIVE, DANVILLE, VA, 24543, 4347997000 - 0 ($149,204,950.00) Non-Convertible Debt, (File 333-106077 - Jun. 12) (BR. 02) S-3 OMNIVISION TECHNOLOGIES INC, 930 THOMPSON PL, SUNNYVALE, CA, 94085, 4087333030 - 0 ($119,510,156.00) Equity, (File 333-106078 - Jun. 12) (BR. 36) S-3 PUBLIC SERVICE CO OF NEW MEXICO, ALVARADO SQUARE, MS2706, ALBUQUERQUE, NM, 87158, 5058482700 - 0 ($285,000,000.00) Other, (File 333-106079 - Jun. 12) (BR. 02) S-3 PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($500,000,000.00) Other, (File 333-106080 - Jun. 12) (BR. 02) N-2 GABELLI EQUITY TRUST INC, ONE CORP CENTER, RYE, NY, 10580, 9149215070 - 40,100 ($3,500,000.00) Equity, (File 333-106081 - Jun. 12) (BR. 22) 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 ---------------------------------------------------------------------------------- 24/7 REAL MEDIA INC DE X X 05/28/03 AAMES CAPITAL CORP CA X 05/27/03 ABN AMRO MORTGAGE CORP MULTI CL MORT DE X 05/28/03 ACCREDO HEALTH INC DE X 06/11/03 ADOBE SYSTEMS INC DE X 06/12/03 AIRPLANES LTD DE X 06/12/03 AIRTRAX INC NJ X X 06/06/03 ALICO INC FL X 08/31/03 ALLIS CHALMERS CORP DE X X 06/09/03 AMERICAN AIRLINES INC DE X 06/11/03 AMERICAN COLOR GRAPHICS INC NY X 06/12/03 AMERICAN GENERAL MRT LN ASST BCKD PS DE X X 05/28/03 AMERIGAS PARTNERS LP DE X X 06/11/03 AMPEX CORP /DE/ DE X X 06/06/03 ANDREW CORP DE X X 06/11/03 ARCHSTONE SMITH OPERATING TRUST MD X X 06/10/03 ARIAD PHARMACEUTICALS INC DE X X 06/12/03 AUDIOVOX CORP DE X X 06/09/03 AVENUE GROUP INC DE X X 05/21/03 BARRETT BUSINESS SERVICES INC MD X X 05/30/03 BEAR STEARNS COMPANIES INC DE X X 06/02/03 BEARINGPOINT INC DE X X 06/11/03 BESTWAY INC DE X 06/12/03 BEYOND COM CORP DE X X 05/16/03 BIOMARIN PHARMACEUTICAL INC DE X 06/30/03 BOWATER INC DE X 06/12/03 BRANDYWINE REALTY TRUST MD X X 06/10/03 BROADVIEW MEDIA INC MN X X 06/04/03 BROOKLINE BANCORP INC MA X 06/11/03 BSI2000 INC DE X X 06/12/03 BSRT LIQUIDATING TRUST MA X X 06/12/03 CC V HOLDINGS LLC DE X 06/06/03 CENTRAL COAST BANCORP CA X 06/11/03 CHAMPION ENTERPRISES INC MI X X 06/12/03 CHARLES RIVER ASSOCIATES INC MA X X 06/12/03 CHARTER COMMUNICATIONS HOLDINGS LLC DE X 06/06/03 CHARTER COMMUNICATIONS INC /MO/ DE X 06/06/03 CHASE FUNDING INC NY X X 06/11/03 CHASE MORTGAGE FINANCE CORP DE X X 05/28/03 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 06/11/03 CHINA FUND INC MD X 05/01/03 CLAYTON HOMES INC DE X X 06/12/03 CMGI INC DE X X 06/12/03 CNA FINANCIAL CORP DE X X 06/12/03 CONSOLIDATED EDISON CO OF NEW YORK IN NY X X 06/10/03 CONTINENTAL AIRLINES INC /DE/ DE X X 06/10/03 CORINTHIAN COLLEGES INC X X 06/10/03 CORPORATE ASSET BACKED CORP DE X 06/01/03 CYCLE COUNTRY ACCESSORIES CORP NV X 06/11/03 DAN RIVER INC /GA/ GA X 06/11/03 DELPHI CORP DE X 06/12/03 DERMA SCIENCES INC PA X X 06/11/03 DEVCON INTERNATIONAL CORP FL X 06/11/03 DISTRIBUTION MANAGEMENT SERVICES INC X X X 05/30/03 DOLLAR GENERAL CORP TN X X 06/12/03 DURECT CORP DE X X 06/11/03 EARTH SEARCH SCIENCES INC UT X X 06/11/03 EASTERN VIRGINIA BANKSHARES INC VA X 06/12/03 EBT INTERNATIONAL INC DE X X 06/10/03 ELIZABETH ARDEN INC FL X X 06/11/03 ENSTAR GROUP INC GA X X 03/31/03 AMEND ESS TECHNOLOGY INC CA X X 06/12/03 EUROSOFT CORP FL X 06/06/03 EUROSOFT CORP FL X 06/06/03 F&M BANK CORP VA X 06/12/03 FANSTEEL INC DE X 04/30/03 FINANCIAL FEDERAL CORP NV X 06/10/03 FIRST AVENUE NETWORKS INC DE X X 06/06/03 FIRST CYPRESS TECHNOLOGIES INC NV X 06/12/03 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 05/31/03 FRONTIER OIL CORP /NEW/ WY X X 06/10/03 GENAERA CORP DE X X 06/09/03 GENERAL MOTORS CORP DE X 06/10/03 GLADSTONE CAPITAL CORP MD X X 06/11/03 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 05/29/03 GS MORTGAGE PASS-THROUGH CERTIFICATES DE X 05/30/03 GSAMP TRUST 2003-HE1 DE X X 05/28/03 GYRODYNE CO OF AMERICA INC NY X X 06/10/03 H&R BLOCK INC MO X 06/11/03 HANCOCK FABRICS INC DE X X 06/11/03 HAROLDS STORES INC OK X X 06/03/03 HEAVENEXPRESS COM INC FL X 06/07/03 HERITAGE OAKS BANCORP CA X X 06/11/03 HOCKEY CO DE X 06/11/03 HOLLY CORP DE X X 06/12/03 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X X X 05/29/03 IMPAC MORTGAGE HOLDINGS INC MD X X 06/11/03 INDEPENDENT BANK CORP MI X 06/12/03 INFOWAVE SOFTWARE INC X 05/24/03 INTERNATIONAL WIRELESS INC MD X 06/12/03 INVESTORS FINANCIAL SERVICES CORP DE X 06/11/03 IQ POWER TECHNOLOGY INC X X 06/05/03 IT GROUP INC DE X X 05/19/03 JACKSONVILLE BANCORP INC TX X X 06/11/03 JAKKS PACIFIC INC DE X 06/09/03 JAMESON INNS INC GA X X 06/12/03 JUPITERMEDIA CORP DE X 06/11/03 KEANE INC MA X 06/12/03 KEANE INC MA X X X 06/12/03 KOPPERS INC PA X 06/10/03 LADISH CO INC WI X X 06/11/03 LENNAR CORP /NEW/ DE X X 06/10/03 LIFE PARTNERS HOLDINGS INC TX X 06/12/03 LIN TV CORP DE X 06/11/03 LINCARE HOLDINGS INC DE X X 06/11/03 MANDALAY RESORT GROUP NV X X 06/12/03 MARKWEST HYDROCARBON INC DE X X 06/05/03 MAX & ERMAS RESTAURANTS INC DE X X 06/12/03 MAXWORLDWIDE INC DE X X 02/10/03 AMEND MBNA CORP MD X 06/12/03 MEDICALCV INC MN X X 06/12/03 MERRILL LYNCH DEPOSITOR INC DE X X 06/02/03 MERRILL LYNCH DEPOSITOR INC DE X X 06/02/03 MERRILL LYNCH DEPOSITOR INC DE X X 06/02/03 MERRILL LYNCH DEPOSITOR INC DE X X 06/02/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 06/02/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 06/02/03 MESA AIR GROUP INC NV X X 06/11/03 MICRONETICS INC DE X X 06/12/03 MOBILITY ELECTRONICS INC DE X X 06/11/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 06/10/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 06/09/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 06/09/03 MTS INC CA X 06/10/03 NATIONAL CITY CORP DE X X 06/12/03 NATIONAL RESEARCH CORP WI X X 06/11/03 NEW FRONTIER MEDIA INC /CO/ CO X X 06/12/03 NEW JERSEY RESOURCES CORP NJ X X 06/12/03 NEXMED INC NV X X 06/12/03 NEXTEL PARTNERS INC DE X 06/11/03 NICHOLAS INVESTMENT CO INC NV X X X X 06/12/03 NN INC DE X X 06/12/03 OMNICARE INC DE X X 06/11/03 ONYX PHARMACEUTICALS INC DE X X 06/11/03 OPTICAL CABLE CORP VA X X 06/05/03 ORACLE CORP /DE/ DE X X 06/12/03 ORPHAN MEDICAL INC MN X X X 06/10/03 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 06/05/03 PANERA BREAD CO DE X 06/12/03 PAXAR CORP NY X 05/30/03 PEERLESS SYSTEMS CORP DE X X 06/12/03 PEGASUS COMMUNICATIONS CORP / DE X 06/10/03 PENN NATIONAL GAMING INC PA X 06/10/03 PENNEXX FOODS INC PA X 06/11/03 PENTON MEDIA INC DE X X 06/11/03 PEOPLESOFT INC DE X 06/11/03 PNM RESOURCES INC NM X X 06/12/03 POKER COM INC FL X 06/11/03 PRINCETON VIDEO IMAGE INC NJ X 05/29/03 PUREZZA GROUP INC X X 06/10/03 PUROFLOW INC DE X 05/20/03 AMEND REGENCY CENTERS CORP FL X X 06/11/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 06/11/03 RESIDENTIAL ACCREDIT LOANS INC DE X X 06/11/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/11/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/12/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/12/03 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/12/03 RIVERSTONE NETWORKS INC DE X 06/05/03 SAKS CREDIT CARD MASTER TRUST NV X 05/15/03 SAXON ASSET SECURITIES CO VA X 05/29/03 SCHLUMBERGER LTD /NV/ P8 X X 06/12/03 SECURITY FINANCIAL BANCORP INC DE X X 06/11/03 SEQUOIA RESIDENTIAL FUNDING INC X 06/10/03 SHIRE PHARMACEUTICALS GROUP PLC X X 06/12/03 SIMON PROPERTY GROUP INC /DE/ DE X X 06/12/03 SIMON PROPERTY GROUP L P /DE/ DE X X 06/12/03 SOUNDVIEW TECHNOLOGY GROUP INC DE X X X 06/12/03 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD X X 05/29/03 STRUCTURED ASSET MORT INV INC MORT PA DE X 05/30/03 STRUCTURED ASSET SEC CORP MORT PAS TH DE X 05/30/03 TAIWAN FUND INC DE X 05/01/03 TEXAS CAPITAL BANCSHARES INC/TX DE X X 03/28/03 THERMO ELECTRON CORP DE X 06/05/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 2 CA X X 06/12/03 TRIAD AUTOMOBILE RECEIVABLES TRUST 20 DE X X 06/12/03 ULTRALIFE BATTERIES INC DE X 06/04/03 ULTRALIFE BATTERIES INC DE X X 06/12/03 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE X X 06/12/03 UNIVERSAL AMERICAN FINANCIAL CORP NY X X 03/31/03 AMEND URSTADT BIDDLE PROPERTIES INC MD X 04/30/03 VAIL RESORTS INC DE X 04/30/03 VALERO L P DE X X 06/12/03 VALPEY FISHER CORP MD X X 05/28/03 VERIDIAN CORP DE X X 06/10/03 VION PHARMACEUTICALS INC DE X X 06/12/03 VIRGINIA FINANCIAL GROUP INC VA X X 06/12/03 VOLT INFORMATION SCIENCES INC NY X X 06/12/03 WASHINGTON GROUP INTERNATIONAL INC DE X 06/11/03 WEB PRESS CORP WA X 06/12/03 WELLS FARGO ASSET SECURITIES CORP DE X X 06/12/03 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 03/28/03 WELLS REAL ESTATE INVESTMENT TRUST IN MD X 06/12/03 WILLIAMS COAL SEAM GAS ROYALTY TRUST DE X X 06/06/03 WINN DIXIE STORES INC FL X 06/11/03 WORLDWIDE RESTAURANT CONCEPTS INC DE X 06/12/03 XEROX CORP NY X 06/11/03