SEC NEWS DIGEST Issue 2003-140 July 23, 2003 COMMISSION ANNOUNCEMENTS SEC CHAIRMAN DONALDSON COMMENDS NASD/INDUSTRY TASK FORCE FOR "BREAKPOINT" REPORT AND RECOMMENDATIONS; ANNOUNCES SEC REVIEW OF MUTUAL FUND DISCLOSURE On July 22, SEC Chairman William H. Donaldson commended members of the Joint NASD/Industry Task Force on Breakpoints, which issued a report today recommending industry-wide reforms to facilitate the processing of mutual fund purchases with the correct "breakpoint" sales load discounts. The task force's recommendations include improvements to disclosure regarding breakpoints, improvements in the processing of mutual fund purchase orders, and increased investor education on the opportunity to obtain breakpoints. "I welcome the recommendations contained in the breakpoint report, and fully expect that the industry will continue to work to implement these recommendations," Chairman Donaldson said. "Mutual fund investors are saving for education, retirement, and other long-term goals. To meet those goals, they must maximize the returns on their investments. So it is essential that they receive the correct sales loads on their mutual fund transactions. The SEC staff will monitor the progress of the industry's implementation of these important initiatives. "In conjunction with this industry effort," Donaldson said, "I have asked the SEC staff to move ahead with the prospectus disclosure recommendations of the Task Force on Breakpoints and to develop additional investor protection initiatives concerning the costs and conflicts of interest in mutual fund investments. In addition, the Commission is focusing its examination resources on such conflicts issues. I anticipate that the Commission will consider additional regulation in this critical area of our markets in the near future. I also encourage the NASD to continue to pursue its measures aimed at highlighting conflicts of interest in this area as well." The task force report follows a joint examination sweep of 43 broker-dealers conducted from November 2002 through January 2003 by the SEC, NASD and NYSE. Staff examiners found that nearly one in three transactions in front-end load mutual funds that appeared eligible for a breakpoint discount did not receive one. The examination sweep found that most breakpoint problems did not appear to be intentional failures to apply sales load discounts. The most frequent causes were not linking a customer's ownership of different funds in the same mutual fund family, and not linking a customer's purchase of fund shares with shares owned by related persons, such as family members. Typically, breakpoint discounts are applied to front-end load funds to reduce sales loads at investment levels of $50,000, $100,000, $250,000, $500,000 and $1 million. Breakpoint discounts can apply to single large purchase or to purchases made over a specified period of time. Often, investors are allowed to aggregate shares owned across a family of funds, and to aggregate fund shares owned by family members or other related persons, to reach investment levels at which breakpoint discounts are applied. Industry figures show that less than seven percent of all mutual fund sales in 2002 were of front- end load funds. In January, the SEC asked the NASD, joined by the Securities Industry Association and the Investment Company Institute, to convene a task force to address industry-wide failures to deliver breakpoint discounts. At the same time, both the SEC and NASD alerted investors to this issue and posted additional information to assist investors on their Web sites. Investors can learn more about reduced sales loads by going to www.sec.gov/answers/breakpt.htm and www.nasdr.com/alert_breakpoint.htm . Investors can access fund expense calculators at www.sec.gov/investor/tools/mfcc/mfcc-int.htm and www.nasdr.com/fundcalc/expense_analyzers.asp . A list of the task force members can be found at . Investors who believe they have not received breakpoint discounts to which they were entitled should first contact their brokers and ask that the discount be applied. If a broker does not correct the account or provide a satisfactory explanation, the investor should write a letter to the firm's compliance department and ask for a written response. If that response is not satisfactory, the investor can file a complaint with the SEC online at www.sec.gov/complaint.shtml or with NASD at www.nasdr.com/complaints_file.asp . The examination sweep report "Joint SEC/NASD/NYSE Report of Examinations of Broker-Dealers Regarding Discounts on Front-End Sales Charges on Mutual Funds" is available at www.sec.gov/news/studies/breakpointrep.htm . A copy of the Joint NASD/Industry Task Force on Breakpoints report can be found at: http://www.nasdr.com/breakpoints_report.asp (Press Rel. 2003-84) ENFORCEMENT PROCEEDINGS SEC ISSUES ORDER BARRING KEITH GREENBERG FROM ASSOCIATION WITH ANY BROKER OR DEALER On July 23, the Commission issued a settled Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Keith G. Greenberg. Without admitting or denying the Commission's findings, Greenberg consented to the Order, which bars him from association with any broker or dealer, and which is based on the prior entry of a District Court injunction. According to the Order, in a complaint filed in December 2000, Securities and Exchange Commission v. Keith Greenberg and Coyote Consulting and Financial Services, LLP, 00- 9109-CIV-HURLEY/LYNCH (S.D. Fla.), the Commission alleged that Greenberg prepared or directed the preparation of numerous public statements by U.S. Diagnostic, Inc. (USDL) which identified him as an officer of the company, but which fraudulently failed to disclose his criminal conviction and his injunction in previous litigation with the Commission. The Commission's complaint additionally alleged that Coyote Consulting and Financial Services, LLP, through Greenberg, acted as a broker without registering with the Commission. Coyote was, at all relevant times, a Florida limited liability company owned by a Greenberg family trust and Greenberg's wife, and controlled by Greenberg. On April 4, 2002, the U.S. District Court for the Southern District of Florida entered a final judgment of permanent injunction by default against Greenberg and Coyote permanently enjoining Greenberg from violating Section 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder, and permanently enjoining Coyote from violating Section 15(a) of the Exchange Act. The final judgment also barred Greenberg from acting as an officer or director of any public company. The District Court also held Greenberg and Coyote liable for civil penalties and jointly and severally liable for disgorgement. (Rel. 34-48213; File No. 3-11137) SEC INSTITUTES SETTLED CEASE-AND-DESIST PROCEEDING AGAINST RSA SECURITY INC. FOR MISLEADING STATEMENTS IN PRESS RELEASE AND CONFERENCE CALL On July 23, the Commission instituted and simultaneously settled cease-and-desist proceedings against RSA Security, Inc. The Commission's Order found that RSA violated Section 10(b) of the Securities Exchange Act of 1934 by making misleading statements in an April 10, 2001, press release and corresponding conference call with analysts and others. The Order found that RSA stated that it had achieved analysts' earnings expectations for the first quarter of 2001 in a "difficult economic environment" and compared its net income, operating income, and earnings with its performance for the first quarter of 2000. The Order further found that these statements were misleading because, during the quarter, RSA experienced a material one-time increase in operating income, net income, and earnings that resulted from a change in the way it recognized revenue from sales to distributors. In addition, the Order found that, although the accounting change itself complied with generally accepted accounting principles, RSA's statements created the misleading impression that its ability to meet analysts' earnings expectations for the quarter resulted solely from its operations, rather than, in part, the accounting change. RSA agreed to settle the charge without admitting or denying the Commission's findings. The Commission's Order orders RSA cease and desist from committing or causing any violations, and any future violations, of Section 10(b) of the Exchange Act and Rule 10b- 5 thereunder. (Rels. 34-48214; AAER-1817; File No. 3-11190) COURT ACCEPTS SETTLEMENTS OF COMMISSION'S FINANCIAL FRAUD CLAIMS AGAINST FORMER HBO AND COMPANY OFFICERS The Commission announced that Judge Martin J. Jenkins in San Francisco entered judgments against Jay Gilbertson and Dominick DeRosa on July 1 and July 3, 2003, respectively. The court enjoined Gilbertson, a former Co-President and Chief Financial Officer of HBO and Company (HBOC), and DeRosa, a former HBOC Executive Vice President for Enterprise Sales, from future violations of the federal securities laws noted below and from serving as a director or officer of any public reporting company. The court also ordered Gilbertson to disgorge $733,360, plus prejudgment interest, and to pay a civil penalty of $1,000,000. The court ordered DeRosa to disgorge $325,312, plus prejudgment interest, and to pay a civil penalty of $50,000. Both judgments were the result of settlements in which Gilbertson and DeRosa, without admitting or denying the allegations in the Commission's complaint, consented to the entry of judgments against them. The Commission had alleged that Gilbertson, DeRosa and other officers of HBOC misrepresented HBOC's sales revenue, expenses and income by making false entries in the company's accounting records and hiding the terms of sales contracts in side letters to make the sales appear eligible for revenue recognition. The action is still pending against Albert Bergonzi, Co-President of HBOC and subsequently President of the HBOC division of McKesson Corporation. The judgments enjoined Gilbertson and DeRosa from violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(b)(5) of the Securities Exchange Act of 1934, Rule 13b2-1 and, as to Gilbertson, Rule 13b2-2. [SEC v. Jay Gilbertson, Albert Bergonzi and Dominick DeRosa, Case No. 00-3570 MJJ, N.D. Cal.] (LR-18242) SEC SEEKS CIVIL CONTEMPT SANCTIONS AGAINST PHILIP AND ERIC GRATZ FOR VIOLATING A FEDERAL COURT'S ASSET FREEZE ORDER On June 27, 2003, the Commission filed with the United States District Court for the Southern District of Florida, an Application for an Order to Show Cause why Philip Gratz (Gratz) and Eric Gratz should not be held in civil contempt for failing to comply with the Court's Order of March 21, 2003. That order, among other things, froze the assets of Philip, Christine and Eric Gratz. In the Application for an Order to Show Cause, the SEC alleged that Philip and Eric Gratz, only days after being served with the Asset Freeze Order, arranged to sell expensive artwork photographs. The Order remains in place and specifically lists artwork as assets that cannot be transferred or sold. The application alleged that Eric and Philip Gratz, in direct contravention of a March 21, 2003 Order, sold artwork in order to raise money for their personal use. The application arose out of a prior motion for contempt, filed on March 20, 2003, against Gratz for violating the Final Judgment of Permanent Injunction and Other Relief entered on April 30, 1992, in SEC v. Delta Rental Systems, et. al., Case No. 91-2136- CIV-MARRA (S.D. Fla.) (Delta Final Judgment). The Delta Final Judgment prohibited Gratz from violating the antifraud provisions of the federal securities laws in the future. The SEC alleged that from at least November 1998 through the filing of the first contempt motion, Gratz violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities and Exchange Act of 1934, and Rule 10b-5, thereunder. These violations arose when Gratz fraudulently offered and sold securities to the public, and raised over $9 million from investors. In addition, the motion alleged that Gratz failed to disclose his disciplinary history to investors, which included the Delta Final Judgment, an SEC administrative bar, and a federal criminal conviction for securities and mail fraud. [SEC v. Philip R. Gratz, Case No. 91-2136-CIV-MARRA, S.D. Fla.] (LR-18243) JUDGE GRANTS PERMANENT INJUNCTIONS AGAINST TAMPA AND HOUSTON- BASED NEWSLETTERS WRITERS TO HALT ALLEGED FRAUD; DENIES SEC'S REQUEST FOR PRELIMINARY INJUNCTION AGAINST TAMPA INVESTOR RELATIONS CONSULTANT The Commission announced that a federal district court judge in Tampa, Fla., has granted the SEC's request for default permanent injunctions against two newsletter writers in connection with their stock touting scheme. The judge had previously denied the Commission's request for a preliminary injunction against a third defendant in the case and his company. On Sept. 5, 2002, the SEC filed a complaint against the newsletter writers, Paul A. Spray and Thomas Loyd, and companies in which they were principals, alleging that they violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in connection with the preparation and distribution of several fraudulent newsletters touting thinly traded stocks of public companies whose shares are quoted on the Over- the-Counter Bulletin Board. U.S. District Judge Richard A. Lazzara found that the actions of Spray and Loyd violated Section 10(b) of the Exchange Act and Rule 10b-5, which prohibit fraud in the purchase or sale of securities. He enjoined them from future violations, and also permanently barred Loyd and Spray from future participation in the offering of penny stocks. The SEC also named Tampa investor relations consultant Marc Barhonovich and his company, Equity Advisors, Inc., as defendants in the complaint. On Sept. 26, 2002, Judge Lazzara denied the SEC's request for a preliminary injunction against Barhonovich and Equity Advisors. The judge subsequently set trial against Barhonovich and Equity Advisors on the SEC's request for permanent injunctions for February 2004. For previous releases on this case, See LR-17721, Sept. 11, 2002. [SEC v. Paul A. Spray, Thomas E. Loyd, Marc Barhonovich, et al., Case No. 8:02-CV-1613-T26EAJ, M.D. Fla., filed Sept. 5, 2002] (LR-18244) FINAL JUDGMENT ENTERED SETTING AMOUNT OF DISGORGEMENT AS TO DEFENDANTS THE GAMING FACTORY, INC., THE GAMING FACTORY, INC. AND RICHARD ONORATO AND CIVIL PENALTIES AS TO RICHARD ONORATO The Commission announced that on July 21, the Honorable Donald M. Middlebrooks, United States District Court Judge for the Southern District of Florida, entered a Final Judgment Setting Amount of Disgorgement as to Defendants The Gaming Factory, Inc., A Panamanian Corporation (TGF Panama), The Gaming Factory, Inc. a Florida Corporation (TGF Florida) and Richard Onorato (Onorato) and Civil Penalties as to Defendant Richard Onorato (Final Judgment). The Final Judgment against TGF Panama, TGF Florida and Onorato orders them to jointly and severally pay $1,986,750 in disgorgement, representing their gains from the conduct alleged in the complaint and prejudgment interest in the amount of $113,352.66. The Final Judgment also orders Onorato to pay civil penalties in the amount of $120,000. The disgorgement and civil penalties were imposed pursuant to a Final Judgment of Permanent Injunction against Onorato, by consent on July 11, 2002, which was amended on June 9, 2003, and a Final Judgment of Permanent Injunction against TGF Panama and TGF Florida, pursuant to the Court-Appointed Receiver's consent on May 27, 2003, permanently enjoining them from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [SEC v. The Gaming Factory, Inc., a Panamanian Corporation, et al., Case No. 02-80331-CIV-MIDDLEBROOKS, S.D. Fla.] (LR-18245) COMMISSION FILES COMPLAINT AGAINST MARVIN GOLDSTEIN IN ALLEGED INSIDER TRADING SCHEME; GOLDSTEIN CONSENTS TO PERMANENT INJUNCTION AND OFFICER AND DIRECTOR BAR The Commission announced today that it filed and simultaneously settled an injunctive action in the United States District Court for the District of Minnesota against Marvin W. Goldstein. The action was based on Goldstein's conviction of two counts of securities fraud in violation of 15 U.S.C. . 78j(b) and 17 C.F.R. .240.10b-5. Goldstein, in his criminal plea, agreed to pay fines and restitution totaling $1,000,000. The Commission complaint alleges that Goldstein engaged in insider trading by trading in the securities of Tower Automotive, Inc. and A.O. Smith Corporation while in possession of material, nonpublic information provided by George Kline. This activity constituted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. Goldstein consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violations of Section 10(b) of the Exchange Act and Rule 10b-5 and barring him from serving as an officer or director of any public company. The complaint notes that the Commission did not seek disgorgement and penalties because the plea agreement reached between Goldstein and the U.S. Attorney's office for the District of Minnesota provided for the payment of $1 million. The Commission would like to thank the United States Attorney for the District of Minnesota for its assistance and cooperation in this matter. [SEC v. Marvin W. Goldstein, Case No. 03-4202, Judge Davis, U.S.D.C. Minn. 2003] (LR-18246) SELF REGULATORY ORGANIZATIONS ACCELERATED APPROVAL TO PROPOSED RULE CHANGE A proposed rule change (SR-CHX-2003-20) has been filed by the Chicago Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to trade through liability for certain exchange traded funds. The Commission granted accelerated approval to the proposed rule change. (Rel. 34-48202) APPROVAL OF PROPOSED RULE CHANGE The Commission approved proposed rules (PCAOB-2003-01) submitted by the Public Company Accounting Oversight Board related to the Board's bylaws. The bylaws establish procedures for the operation and administration of the Board, and are intended to facilitate fulfillment of the Board's obligations under the Sarbanes-Oxley Act of 2002. (Rel. 34-48212) DELISTING 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 certain underlying sedurities of Computer Network Technology Corp., Noven Pharmaceuticals, Inc. and Public Service Enterprise Gp, effective at the opening of business on July 24. (Rel. 34-48211) 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-3 RAYONIER INC, 50 NORTH LAURA ST, JACKSONVILLE, FL, 32202, 9043579100 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-107213 - Jul. 22) (BR. 06) S-8 COLLEGE BOUND STUDENT ALLIANCE INC, 333 SOUTH ALLISON PARKWAY SUITE 100, LAKEWOOD, CO, 80226, 3038040155 - 4,595,640 ($2,159,273.00) Equity, (File 333-107214 - Jul. 22) (BR. 08) S-4 MUZAK LLC, 3318 LAKEMONT BLVD., FORT MILL, SC, 29708, 803-396-3000 - 0 ($220,000,000.00) Non-Convertible Debt, (File 333-107215 - Jul. 22) (BR. 08) S-1 SIRNA THERAPEUTICS INC, 2950 WILDERNESS PLACE, BOULDER, CO, 80301, 3034496500 - 2,525,252 ($5,000,000.00) Equity, (File 333-107216 - Jul. 22) (BR. 01) S-3 M&I DEALER AUTO SECURITIZATION LLC, 770 NORTH WATER STREET, MILWAUKEE, WI, 53202, 0 ($1,000,000.00) Asset-Backed Securities, (File 333-107220 - Jul. 22) (BR. 05) S-8 CYTEC INDUSTRIES INC/DE/, FIVE GARRET MOUNTAIN PLAZA, WEST PATERSON, NJ, 07424, 9733573100 - 0 ($27,236,000.00) Equity, (File 333-107221 - Jul. 22) (BR. 02) S-8 AUTO Q INTERNATIONAL INC, C/O AUTO Q INTERNATIONAL INC, 55-57 WOODCOCK TRADING ESTATE, WARMINSTER UK, X0, 00000, 0114419852 - 6,500,000 ($65,000.00) Equity, (File 333-107222 - Jul. 22) (BR. 37) S-8 NAPOLI ENTERPRISES INC, 566 - 1027 DAVIE STREET, VANCOUVER, A1, V6E 4L2, 213-304-1936 - 2,000,000 ($600,000.00) Equity, (File 333-107223 - Jul. 22) (BR. 08) N-2 EATON VANCE LIMITED DURATION INCOME FUND II, THE EATON VANCE BUILDING, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 50,000 ($1,000,000.00) Equity, (File 333-107224 - Jul. 22) (BR. 16) SB-2 ON THE GO HEALTHCARE INC, 85 CORSTATE AVENUE UNIT 1, CONCORD ONT. CANADA, A6, L4K 4Y2, 9057602987 - 7,150,000 ($750,750.00) Equity, (File 333-107225 - Jul. 22) (BR. 02) S-8 SECURITY INTELLIGENCE TECHNOLOGIES INC, 145 HUGUENOT STREET, NEW ROCHELLE, NY, 10801, 9146548700 - 2,200,000 ($880,000.00) Other, (File 333-107226 - Jul. 22) (BR. 02) S-8 WESTERN DIGITAL CORP, 20511 LAKE FOREST DRIVE, LAKE FOREST, CA, 92630, 9499325000 - 0 ($52,120,000.00) Equity, (File 333-107227 - Jul. 22) (BR. 03) S-8 FPB BANCORP INC, 1301 SE PORT ST. LUCIE BLVD, PORT ST. LUCIE, FL, 34952, 5613981388 - 122,666 ($1,287,993.00) Other, (File 333-107228 - Jul. 22) (BR. 07) S-8 WELLS FARGO & CO/MN, 6126671234 - 0 ($1,275,500,000.00) Equity, (File 333-107229 - Jul. 22) (BR. 07) S-4 WELLS FARGO & CO/MN, 6126671234 - 0 ($649,629,915.00) Equity, (File 333-107230 - Jul. 22) (BR. 07) S-8 SYNERGX SYSTEMS INC, 209 LAFAYETTE DR, SYOSSET, NY, 11791, 5164334700 - 404,885 ($1,313,984.00) Equity, (File 333-107231 - Jul. 22) (BR. 37) S-4 TOWER AUTOMOTIVE INC, 5211 CASCADE ROAD, SE, SUITE 300, GRAND RAPIDS, MI, 49546, (616) 802-1600 - 0 ($258,000,000.00) Non-Convertible Debt, (File 333-107232 - Jul. 22) (BR. 06) S-4 ASSURE ENERGY INC, 6786 WILLOWWOOD DR, STE G1006, BOCA RATON, FL, 33434, 5614826952 - 16,433,000 ($49,709,825.00) Equity, (File 333-107233 - Jul. 22) (BR. 05) S-11 CRUSADE MANAGEMENT LTD, LEVEL 11, 55 MARKET STREET, SIDNEY NSW 2217 AUSTRALIA, 0 ($1,000,000.00) Debt Convertible into Equity, (File 333-107234 - Jul. 22) (BR. 05) S-4 SOUTH FINANCIAL GROUP INC, 102 S MAIN ST, GREENVILLE, SC, 29601, 8642557900 - 6,889,803 ($143,439,348.00) Equity, (File 333-107235 - Jul. 22) (BR. 07) S-8 WITNESS SYSTEMS INC, 1105 SANCTUARY PKWY, STE 210, ALPHARETTA, GA, 30004, 7707541900 - 0 ($9,945,794.00) Equity, (File 333-107236 - Jul. 22) (BR. 03) S-4 MERCHANTS & MANUFACTURERS BANCORPORATION INC, 14100 W. NATIONAL AVENUE, P.O. BOX 511160, NEW BERLIN, WI, 53151, 414-827-6713 - 0 ($1.00) Equity, (File 333-107237 - Jul. 22) (BR. 07) S-8 SANOFI SYNTHELABO SA, 174 AVENUE DE FRANCE, PARIS, I0, 75013, 33153774400 - 0 ($69,110,274.00) Equity, (File 333-107238 - Jul. 22) (BR. 01) S-8 NEOMEDIA TECHNOLOGIES INC, 2201 SECOND ST STE 600, STE 600, FORT MYERS, FL, 33901, 6303554404 - 3,600,000 ($95,400.00) Equity, (File 333-107239 - Jul. 22) (BR. 03) S-8 GANNETT CO INC /DE/, 7950 JONES BRANCH DRIVE, MCLEAN, VA, 22107-0910, 7038546000 - 0 ($73,849,500.00) Other, (File 333-107240 - Jul. 22) (BR. 05) S-8 BELDEN INC, 7701 FORSYTH BLVD STE 800, ST LOUIS, MO, 63105, 3148548000 - 0 ($13,220,000.00) Equity, (File 333-107241 - Jul. 22) (BR. 06) S-8 PARTNERRE LTD, 96 PITTS BAY RD, CHESNEY HOUSE, PEMBROKE BERMUDA, D0, HM 08, 14412920888 - 1,000,000 ($50,880,000.00) Equity, (File 333-107242 - Jul. 22) (BR. 01) S-8 ANDREW CORP, 10500 W 153RD ST, ORLAND PARK, IL, 60462, 7083493300 - 0 ($47,168,000.00) Equity, (File 333-107243 - Jul. 22) (BR. 06) S-8 EQUITY RESIDENTIAL, EQUITY RESIDENTIAL, 2 N RIVERSIDE PLAZA, STE 400, CHICAGO, IL, 60606, 3129281182 - 0 ($131,650,000.00) Equity, (File 333-107244 - Jul. 22) (BR. 08) S-8 AMERICAN MEDICAL SYSTEMS HOLDINGS INC, 10700 BREN ROAD WEST, MINNETONKA, MN, 55343, 9529334666 - 0 ($36,500,000.00) Equity, (File 333-107245 - Jul. 22) (BR. 36) S-8 MAIN STREET BANKS INC /NEW/, 676 CHASTAIN ROAD, KENNESAW, GA, 30144, 7704222888 - 0 ($19,736,000.00) Equity, (File 333-107246 - Jul. 22) (BR. 07) S-3 CENTENE CORP, 7711 CARONDELET AVE, ST LOUIS, MO, 63105, 3147254477 - 0 ($89,734,500.00) Equity, (File 333-107247 - Jul. 22) (BR. 01) S-4 UNIVERSAL COMPRESSION INC, 4440 BRITTMOORE RD, HOUSTON, TX, 77041, 7134664103 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-107250 - Jul. 22) (BR. 06) F-3 DIVERSINET CORP, 2225 SHEPPARD AVE EAST STE 1700, TORONTO CANADA M2J 5C2, ONTARIO, A6, 00000, 4167562324 - 6,760,000 ($15,345,200.00) Equity, (File 333-107251 - Jul. 22) (BR. 03) S-8 NEW WORLD BRANDS INC, 2797 OCEAN PARKWAY, BROOKLYN, NY, 11235, 7187696042 - 1,800,000 ($756,000.00) Equity, (File 333-107252 - Jul. 22) (BR. 02) S-8 APTARGROUP INC, 475 W TERRA COTTA AVE, STE E, CRYSTAL LAKE, IL, 60014, 8154770424 - 0 ($18,290,000.00) Equity, (File 333-107253 - Jul. 22) (BR. 06) S-1 XO COMMUNICATIONS INC, 11111 SUNSNET HILLS ROAD, RESTON, VA, 22102, 7035472000 - 0 ($216,666,665.00) Equity, (File 333-107254 - Jul. 22) (BR. 37) F-10 PENGROWTH ENERGY TRUST, 0 ($104,720,000.00) Equity, (File 333-107255 - Jul. 22) (BR. 04) S-8 MAXCOR FINANCIAL GROUP INC, ONE SEAPORT PLAZA, 19TH FLOOR, NEW YORK, NY, 10038, 6463467000 - 1,500,000 ($13,094,250.00) Equity, (File 333-107256 - Jul. 22) (BR. 07) S-4 TRANSMONTAIGNE INC, 370 17TH ST, SUITE 2750, DENVER, CO, 80202, 3036268200 - 0 ($200,000,000.00) Other, (File 333-107257 - Jul. 22) (BR. 04) 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 99 CENTS ONLY STORES CA X X 07/22/03 ABGENIX INC DE X X 07/22/03 ACCESS ANYTIME BANCORP INC DE X X 07/21/03 ACTIVISION INC /NY DE X X 07/22/03 ADVANCED GAMING TECHNOLOGY INC WY X 07/22/03 ADVANSTAR COMMUNICATIONS INC NY X X 07/21/03 ADVANSTAR COMMUNICATIONS INC NY X X 07/21/03 ADVANSTAR INC DE X X 07/22/03 ADVANSTAR INC DE X 07/22/03 AEHR TEST SYSTEMS CA X X 07/22/03 AETRIUM INC MN X X 07/21/03 ALASKA AIR GROUP INC DE X X 07/22/03 ALCAN INC A6 X 07/22/03 AMANASU ENVIRONMENT CORP NV X X 07/21/03 AMAZON COM INC DE X 07/22/03 AMERICA WEST HOLDINGS CORP DE X X 07/22/03 AMERICAN EXPRESS CO NY X 07/22/03 AMERICAN ORIENTAL BIOENGINEERING INC CO X X 07/18/03 AMERICAN SHARED HOSPITAL SERVICES CA X X 07/22/03 AMERISERV FINANCIAL INC /PA/ PA X 07/22/03 AMERITRADE HOLDING CORP DE X X 07/22/03 AMPCO PITTSBURGH CORP PA X 06/30/03 AMPHENOL CORP /DE/ DE X X 07/16/03 AMSURG CORP TN X 07/22/03 ANTARES PHARMA INC MN X X 07/17/03 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 07/16/03 APPLIX INC /MA/ MA X 07/22/03 APRIA HEALTHCARE GROUP INC DE X X 06/30/03 ARCTIC CAT INC MN X X 07/17/03 ARIBA INC DE X X 07/22/03 ART TECHNOLOGY GROUP INC DE X 07/22/03 ARTESYN TECHNOLOGIES INC FL X 07/22/03 ARTISOFT INC DE X X 07/22/03 ASCENTIAL SOFTWARE CORP DE X 07/22/03 ASHLAND INC KY X X 07/22/03 ASIAINFO HOLDINGS INC DE X 07/22/03 ASK JEEVES INC DE X X 06/30/03 ATLANTIC DATA SERVICES INC MA X X 07/22/03 AVERY DENNISON CORPORATION DE X X 07/22/03 AVIATION GENERAL INC DE X 07/05/03 AVISTA CORP WA X X 07/10/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 07/22/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 07/22/03 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 07/22/03 BANK OF THE OZARKS INC AR X X 07/22/03 BANKUNITED FINANCIAL CORP FL X X 07/22/03 BE AEROSPACE INC DE X X X 07/21/03 BEAZER HOMES USA INC DE X X 07/22/03 BECTON DICKINSON & CO NJ X X 07/22/03 BELMONT BANCORP OH X X 07/18/03 BERRY PETROLEUM CO DE X 07/22/03 BHA GROUP INC DE X X 07/22/03 BIOMASSE INTERNATIONAL INC FL X 11/25/03 BIOMASSE INTERNATIONAL INC FL X 05/30/03 BIOSOURCE INTERNATIONAL INC DE X X 07/22/03 BJ SERVICES CO DE X X 07/22/03 BLACK BOX CORP DE X X 07/22/03 BLUE MARTINI SOFTWARE INC X X 07/22/03 BNC BANCORP NC X X 07/21/03 BOSTON SCIENTIFIC CORP DE X X 07/22/03 BREMER FINANCIAL CORP MN X 06/30/03 BRIDGE STREET FINANCIAL INC NY X X 07/21/03 BROADCOM CORP CA X 07/22/03 BROADVIEW MEDIA INC MN X X 07/18/03 BURLINGTON NORTHERN SANTA FE CORP DE X X 07/22/03 C H ROBINSON WORLDWIDE INC DE X X 07/22/03 CADENCE DESIGN SYSTEMS INC DE X 07/15/03 CALIFORNIA MICRO DEVICES CORP CA X X 07/16/03 CALIFORNIA STEEL INDUSTRIES INC X X 07/21/03 CAPITAL AUTOMOTIVE REIT MD X X 07/22/03 CARDIODYNAMICS INTERNATIONAL CORP CA X 07/21/03 CARRIER ACCESS CORP DE X X 07/22/03 CASCADE FINANCIAL CORP DE X X 06/30/03 CATUITY INC DE X 07/22/03 CB BANCSHARES INC/HI HI X X 07/21/03 CELERITEK INC/CA CA X X 07/22/03 CENDANT CORP DE X X 07/21/03 CENTEX CONSTRUCTION PRODUCTS INC DE X X 07/21/03 CENTEX CONSTRUCTION PRODUCTS INC DE X X X 07/21/03 CENTEX CORP NV X X 07/21/03 CENTEX CORP NV X X 07/21/03 CENTRAL COAST BANCORP CA X X 07/22/03 CEPHALON INC DE X 07/22/03 CH ENERGY GROUP INC NY X X 06/30/03 CHASE FUNDING INC NY X X 07/21/03 CHEMICAL FINANCIAL CORP MI X X 07/22/03 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE X 07/22/03 CHORDIANT SOFTWARE INC DE X 07/22/03 CINCINNATI GAS & ELECTRIC CO OH X 07/22/03 CIPRICO INC DE X X 07/22/03 CIT HOME EQUITY LOAN TRUST 2003-1 DE X X 06/30/03 CKF BANCORP INC DE X 07/15/03 CLAYTON HOMES INC DE X X 07/22/03 CNET NETWORKS INC DE X 06/30/03 CNF INC DE X 06/30/03 CNH CAPITAL RECEIVABLES INC DE X X 07/15/03 CNH RECEIVABLES INC DE X X 07/15/03 COGNIZANT TECHNOLOGY SOLUTIONS CORP X X 07/22/03 COHERENT INC DE X X 07/22/03 COLGATE PALMOLIVE CO DE X X 07/22/03 COLLAGENEX PHARMACEUTICALS INC DE X 07/22/03 COLUMBUS MCKINNON CORP NY X X 07/22/03 COLUMBUS MCKINNON CORP NY X X 07/22/03 COMMONWEALTH INDUSTRIES INC/DE/ DE X 07/22/03 CORIO INC DE X X 07/22/03 CORN PRODUCTS INTERNATIONAL INC DE X X X 07/18/03 CORNERSTONE BANCSHARES INC TN X X 07/20/03 CORNING INC /NY NY X 06/30/03 AMEND COSINE COMMUNICATIONS INC DE X X 07/22/03 CRESTED CORP CO X 06/23/03 CROSS TIMBERS ROYALTY TRUST TX X X 07/21/03 CROWN MEDIA HOLDINGS INC DE X X 07/21/03 CROWN PACIFIC PARTNERS L P DE X X 07/18/03 CRYSTAL DECISIONS INC DE X X 07/18/03 CT COMMUNICATIONS INC /NC NC X X 07/22/03 CWABS INC DE X X 07/21/03 CYMER INC NV X X 07/22/03 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 07/17/03 DANA CORP VA X X 07/22/03 DATASTREAM SYSTEMS INC DE X X 07/22/03 DAWSON GEOPHYSICAL CO TX X X 07/22/03 DCB FINANCIAL CORP OH X X 07/22/03 DIAMETRICS MEDICAL INC MN X X 07/17/03 DIGIMARC CORP DE X X 07/22/03 DISCOVERY PARTNERS INTERNATIONAL INC DE X 07/22/03 DIVERSA CORP DE X X 07/21/03 DIVERSIFIED FINANCIAL RESOURCES CORP DE X X 07/11/03 DOMINION RESOURCES INC /VA/ VA X X 07/21/03 DONEGAL GROUP INC DE X 07/18/03 DOUBLECLICK INC DE X 07/22/03 DREW INDUSTRIES INCORPORATED DE X X 07/21/03 DUN & BRADSTREET CORP/NW DE X X 07/22/03 EAGLE PICHER HOLDINGS INC DE X X 07/21/03 EARTHLINK INC DE X X 07/22/03 EASTGROUP PROPERTIES INC MD X X 07/21/03 EB2B COMMERCE INC /NY/ NJ X X 07/08/03 ECOLAB INC DE X X 07/22/03 ECOLLEGE COM DE X X 07/22/03 EDWARDS LIFESCIENCES CORP DE X X 07/22/03 ELECTRIC & GAS TECHNOLOGY INC TX X X 07/16/03 ELECTRONICS FOR IMAGING INC DE X X 07/22/03 ENCORE CAPITAL GROUP INC DE X 07/21/03 ENGAGE INC DE X X 06/20/03 AMEND ENTERGY CORP /DE/ DE X X 07/21/03 EVEREST RE GROUP LTD C8 X X 07/21/03 EXACT SCIENCES CORP DE X 07/21/03 EZCORP INC DE X X 07/22/03 FAMOUS DAVES OF AMERICA INC MN X X 07/22/03 FARGO ELECTRONICS INC X X 07/22/03 FIBERMARK INC DE X 07/22/03 FINANCIAL INSTITUTIONS INC NY X X 07/22/03 FINDWHAT COM INC NV X X 07/21/03 FIRST ADVANTAGE CORP DE X X 06/05/03 AMEND FIRST CASH FINANCIAL SERVICES INC DE X X 07/22/03 FIRST COMMUNITY BANCORP /CA/ CA X X 07/21/03 FIRST DEFIANCE FINANCIAL CORP OH X X 07/21/03 FIRST FEDERAL BANCSHARES INC /DE DE X X 07/18/03 FIRST FRANKLIN MORTGAGE LOAN TRUST 20 DE X X 06/26/03 FIRST PLACE FINANCIAL CORP /DE/ DE X X 07/22/03 FIRST PLACE FINANCIAL CORP /DE/ DE X X 07/22/03 FIRST STATE BANCORPORATION NM X X 07/21/03 FIRSTSERVICE CORP X 07/22/03 FISHER COMMUNICATIONS INC WA X X X 07/18/03 FLOWSERVE CORP NY X 07/22/03 FSF FINANCIAL CORP MN X X 07/21/03 FTS APPAREL INC CO X 07/21/03 GALLAGHER ARTHUR J & CO DE X 07/22/03 GAP INC DE X X 07/22/03 GENERAL BINDING CORP DE X 07/22/03 GENESIS MICROCHIP INC /DE DE X 07/19/03 GENLYTE GROUP INC DE X X 07/21/03 GLACIER BANCORP INC DE X X 07/15/03 GLOBESPANVIRATA INC DE X 07/21/03 GOLDEN EAGLE INTERNATIONAL INC CO X X 07/18/03 GOLDEN WEST FINANCIAL CORP /DE/ DE X 07/21/03 GRAPHIC PACKAGING INTERNATIONAL CORP CO X X 07/22/03 GREAT LAKES DREDGE & DOCK CORP DE X X 07/22/03 GREENWICH CAPITAL ACCEPTANCE INC DE X 07/22/03 GS MORTGAGE SECURITIES CORP DE X X 07/18/03 GS MORTGAGE SECURITIES CORP DE X X 07/15/03 GSI LUMONICS INC A3 X X 07/22/03 GSV INC DE X X X 07/21/03 GULF POWER CO ME X X 07/10/03 HANDSPRING INC CA X X 07/22/03 HARRAHS ENTERTAINMENT INC DE X X 07/22/03 HARRIS & HARRIS GROUP INC /NY/ NY X 06/30/03 HAWAIIAN ELECTRIC INDUSTRIES INC HI X X 07/21/03 HCA INC/TN DE X 07/22/03 HEALTH CARE PROPERTY INVESTORS INC MD X 07/22/03 HEALTH MANAGEMENT ASSOCIATES INC DE X X 07/22/03 HEALTHGATE DATA CORP DE X 07/21/03 HEXCEL CORP /DE/ DE X X 07/21/03 HILB ROGAL & HAMILTON CO /VA/ VA X X 07/21/03 HOME SOLUTIONS OF AMERICA INC DE X X 07/10/03 HON INDUSTRIES INC IA X 07/21/03 HUGOTON ROYALTY TRUST TX X X 07/21/03 HUNTINGTON BANCSHARES INC/MD MD X X X 07/17/03 HUTCHINSON TECHNOLOGY INC MN X X 07/22/03 I MANY INC DE X X 07/18/03 IBT BANCORP INC PA X X 07/22/03 IDT CORP DE X X 07/21/03 IDX SYSTEMS CORP VT X 07/22/03 ILLINOIS TOOL WORKS INC DE X 06/30/03 IMAGING TECHNOLOGIES CORP/CA DE X 07/22/03 IMMUCELL CORP /DE/ DE X X 07/21/03 INCO LTD X 06/30/03 INDEPENDENCE COMMUNITY BANK CORP DE X X 07/21/03 INDIANTOWN COGENERATION LP DE X 07/08/03 INKSURE TECHNOLOGIES INC NV X X 07/08/03 INSTINET GROUP INC DE X 07/21/03 INTEGRA BANK CORP IN X 07/21/03 INTER TEL INC AZ X X 07/21/03 INTERACTIVE INTELLIGENCE INC IN X 07/22/03 INTERDIGITAL COMMUNICATIONS CORP PA X X 07/18/03 INTERSTATE GENERAL CO L P DE X 07/22/03 INTEVAC INC CA X X 07/22/03 INVISION TECHNOLOGIES INC DE X X 07/22/03 IOWA FIRST BANCSHARES CORP IA X 07/22/03 IRIDEX CORP DE X X 07/22/03 ISCO INTERNATIONAL INC DE X X X 07/22/03 ISTA PHARMACEUTICALS INC CA X X 07/22/03 J2 GLOBAL COMMUNICATIONS INC DE X X 07/22/03 J2 GLOBAL COMMUNICATIONS INC DE X X 07/21/03 JAKKS PACIFIC INC DE X X 07/22/03 K TRON INTERNATIONAL INC NJ X 07/17/03 K2 INC DE X 07/21/03 K2 INC DE X 07/22/03 KAMAN CORP CT X 06/30/03 KANSAS CITY SOUTHERN DE X X 07/21/03 KDSM INC X 07/21/03 KELLY SERVICES INC DE X X 07/22/03 KEYNOTE SYSTEMS INC DE X X 07/22/03 KOMAG INC /DE/ DE X X 07/22/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 07/22/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 07/21/03 LABORATORY CORP OF AMERICA HOLDINGS DE X 07/22/03 LADISH CO INC WI X X 07/22/03 LASALLE HOTEL PROPERTIES MD X X 07/21/03 LATTICE SEMICONDUCTOR CORP DE X X 07/21/03 LAWSON PRODUCTS INC/NEW/DE/ DE X X 07/21/03 LEHMAN BROTHERS HOLDINGS INC DE X X 07/22/03 LENDINGTREE INC X X X 07/22/03 LIBERTY PROPERTY TRUST MD X X 07/22/03 LIFECELL CORP DE X X 07/22/03 LINCARE HOLDINGS INC DE X X 07/21/03 LIQUID AUDIO INC DE X X 07/22/03 LNB BANCORP INC OH X 07/22/03 LOCKHEED MARTIN CORP MD X X X 07/22/03 AMEND LUBRIZOL CORP OH X X 07/22/03 MADISON BANCSHARES INC FL X 07/22/03 MAF BANCORP INC DE X 07/22/03 MANDALAY RESORT GROUP NV X X 07/22/03 MANUFACTURED HOME COMMUNITIES INC MD X X 07/22/03 MAPINFO CORP DE X 06/30/03 MARTEK BIOSCIENCES CORP DE X X 07/21/03 MAXTOR CORP DE X X 07/22/03 MCF CORP DE X X 07/22/03 MDI TECHNOLOGIES INC DE X X 07/14/03 MEDAMICUS INC MN X X X 07/22/03 MEDAREX INC NJ X X 07/22/03 MEDICINES CO /DE DE X 07/22/03 MEGO FINANCIAL CORP NY X 07/21/03 MEGO FINANCIAL CORP NY X 07/22/03 MERITAGE CORP MD X X 07/21/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 07/22/03 METLIFE INC DE X X 07/22/03 METRO-GOLDWYN-MAYER INC DE X X 07/22/03 METRO-GOLDWYN-MAYER INC DE X X 07/18/03 MEVC DRAPER FISHER JURVETSON FUND I I DE X 07/21/03 MICRON ENVIRO SYSTEMS INC NV X 07/21/03 MIDWEST EXPRESS HOLDINGS INC WI X X 07/22/03 MIIX GROUP INC DE X X 07/17/03 MILLENNIUM PHARMACEUTICALS INC DE X 07/22/03 MIRANT AMERICAS GENERATING LLC DE X 07/21/03 MIRANT CORP DE X 07/21/03 MIRANT MID ATLANTIC LLC DE X 07/21/03 MKS INSTRUMENTS INC MA X 07/22/03 MM COMPANIES INC DE X X 07/22/03 MOCON INC MN X X 07/22/03 MPS GROUP INC FL X X 07/22/03 MS STRUCTURED ASSET CORP DE X 07/01/03 MTS SYSTEMS CORP MN X X 07/22/03 NATIONAL BEVERAGE CORP DE X X 07/22/03 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 07/15/03 NATIONAL CITY CREDIT CARD MASTER TRUS X X 07/15/03 NATIONAL RV HOLDINGS INC DE X X 07/22/03 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 07/01/03 NAVARRE CORP /MN/ MN X X 07/22/03 NAVIGANT CONSULTING INC DE X X 07/22/03 NBC CAPITAL CORP MS X X 07/21/03 NELNET EDUCATION LOAN FUNDING INC NE X X 07/10/03 NEOGEN CORP MI X 07/22/03 NETNATION COMMUNICATIONS INC DE X X 07/18/03 NETOPIA INC DE X X 07/22/03 NEUBERGER BERMAN INC DE X X X 07/21/03 NEWPOWER HOLDINGS INC DE X 07/13/03 NOBILITY HOMES INC FL X X 07/15/03 NORFOLK SOUTHERN CORP VA X 07/22/03 NORTHEAST PENNSYLVANIA FINANCIAL CORP DE X X 07/21/03 NORTHEAST UTILITIES SYSTEM MA X 07/22/03 NORTHWEST BANCORP INC PA X X 07/21/03 NS GROUP INC KY X X 07/21/03 NTELOS INC VA X X 07/22/03 NUI CORP /NJ/ NJ X 07/22/03 NYFIX INC NY X X 07/22/03 OAK TECHNOLOGY INC DE X X 07/22/03 OCCIDENTAL PETROLEUM CORP /DE/ DE X 07/22/03 ON THE GO HEALTHCARE INC DE X 07/22/03 ONLINE RESOURCES CORP DE X X 07/22/03 ONYX PHARMACEUTICALS INC DE X X 07/21/03 ORBITAL SCIENCES CORP /DE/ DE X 07/22/03 OUTLOOK GROUP CORP WI X X 07/21/03 PACKAGING CORP OF AMERICA X X 07/17/03 PANHANDLE EASTERN PIPE LINE CO DE X X 07/22/03 AMEND PARTHUSCEVA INC DE X 07/22/03 PATRICK INDUSTRIES INC IN X X 07/17/03 PATRIOT BANK CORP DE X X 07/22/03 PEC SOLUTIONS INC DE X X 07/22/03 PEDIATRIX MEDICAL GROUP INC FL X X 06/24/03 PEROT SYSTEMS CORP DE X 07/21/03 PFGI CAPITAL CORP MD X X 07/22/03 PHLO CORP DE X 07/21/03 PHOTO CONTROL CORP MN X X 07/21/03 PIXELWORKS INC OR X X 07/16/03 PNM RESOURCES INC NM X 06/30/03 POET HOLDINGS INC DE X X 07/22/03 POLYMER SOLUTIONS INC NV X X 07/15/03 POMEROY COMPUTER RESOURCES INC DE X X 07/21/03 POWERWAVE TECHNOLOGIES INC DE X X 07/18/03 PRICESMART INC DE X X 07/22/03 PROSPERITY BANCSHARES INC TX X X 07/21/03 PROSPERITY BANCSHARES INC TX X X 07/22/03 PROXIM CORP DE X X 07/22/03 PSB GROUP INC MI X X X 07/22/03 PULITZER INC DE X X 07/22/03 QUAKER CITY BANCORP INC DE X 07/17/03 QUANTUM CORP /DE/ DE X 09/22/03 QUEST DIAGNOSTICS INC DE X X 07/22/03 RADIOSHACK CORP DE X X 07/22/03 RAND CAPITAL CORP NY X X 07/17/03 RANGE RESOURCES CORP DE X X 07/21/03 RAYONIER INC NC X X 07/22/03 REGAL ENTERTAINMENT GROUP DE X X X 07/22/03 RELIANT RESOURCES INC DE X X 07/22/03 REPLIGEN CORP DE X 07/22/03 REPUBLIC BANCORP INC MI X X 07/22/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 07/22/03 RETEK INC DE X X 07/22/03 REUNION INDUSTRIES INC DE X 07/21/03 RITA MEDICAL SYSTEMS INC DE X X 07/22/03 RIVERWOOD HOLDING INC DE X 07/22/03 RIVERWOOD HOLDING INC DE X 07/22/03 RIVIERA HOLDINGS CORP NV X X 07/22/03 ROCK TENN CO GA X X 07/22/03 ROCKWELL AUTOMATION INC DE X X 07/22/03 ROTECH HEALTHCARE INC DE X X 07/22/03 RTI INTERNATIONAL METALS INC OH X X 07/21/03 RYLAND GROUP INC MD X 07/22/03 SALIX PHARMACEUTICALS LTD X X 07/22/03 SCIENTIFIC ATLANTA INC GA X 07/17/03 SEACOAST BANKING CORP OF FLORIDA FL X X 07/18/03 AMEND SECURITISATION ADVISORY SERVICES PTY X X 07/17/03 SEITEL INC DE X X 07/21/03 SELECT MEDICAL CORP DE X X 07/21/03 SELKIRK COGEN PARTNERS LP DE X 07/08/03 SEPRACOR INC /DE/ DE X 07/22/03 SHERWIN WILLIAMS CO OH X X 07/22/03 SI TECHNOLOGIES INC DE X 07/16/03 SIEBEL SYSTEMS INC DE X 07/22/03 SIGA TECHNOLOGIES INC DE X 05/23/03 AMEND SIGMA ALDRICH CORP DE X X 06/30/03 SINCLAIR BROADCAST GROUP INC MD X 07/21/03 SIONIX CORP NV X 07/01/03 AMEND SIRENZA MICRODEVICES INC DE X X 07/22/03 SLIPPERY ROCK FINANCIAL CORP PA X X 07/22/03 SMARTIRE SYSTEMS INC X 07/21/03 SMITH INTERNATIONAL INC DE X X 07/21/03 SONO TEK CORP NY X X 06/02/03 SONO TEK CORP NY X X 07/14/03 SONO TEK CORP NY X X 06/02/03 SOUTHWEST BANCORP OF TEXAS INC TX X X 07/21/03 SOUTHWEST GAS CORP CA X X 07/21/03 SOUTHWEST GEORGIA FINANCIAL CORP GA X 07/22/03 SPARTAN STORES INC MI X X 07/07/03 ST JOE CO FL X X 07/22/03 STANLEY WORKS CT X X 07/22/03 STARTECH ENVIRONMENTAL CORP CO X X 07/18/03 STEEL DYNAMICS INC IN X X 07/21/03 STERLING BANCORP NY X X 07/22/03 STERLING FINANCIAL CORP /WA/ WA X 07/22/03 STRUCTURED ASSET SEC CORP II COM MORT X 07/01/03 STRUCTURED ASSET SECURITIES CORP II X 07/01/03 SUMMIT BANK CORP GA X 07/22/03 SUMMIT FINANCIAL CORP SC X X 07/22/03 SUN MICROSYSTEMS INC DE X X 07/22/03 SUSQUEHANNA BANCSHARES INC PA X X 07/22/03 SYNPLICITY INC CA X X 07/22/03 TARGET RECEIVABLES CORP MN X 07/22/03 TARGETED GENETICS CORP /WA/ WA X X 07/21/03 TECHNICAL COMMUNICATIONS CORP MA X X 07/22/03 TELE OPTICS INC DE X X 07/21/03 TENNECO AUTOMOTIVE INC DE X X X 07/22/03 TEXAS PETROCHEMICAL HOLDINGS INC DE X X 07/22/03 TEXAS PETROCHEMICALS LP TX X X 07/22/03 THISTLE GROUP HOLDINGS CO X X 07/17/03 THOMAS & BETTS CORP TN X X 07/21/03 THORATEC CORP CA X X 07/22/03 TIDEWATER INC DE X 07/22/03 TINTIC GOLD MINING CO UT X X 07/21/03 TORCHMARK CORP DE X X 07/22/03 TOWER AUTOMOTIVE INC DE X X 07/22/03 TRACTOR SUPPLY CO /DE/ DE X X 07/21/03 TRIMERIS INC DE X X 07/22/03 TROPICAL SPORTSWEAR INTERNATIONAL COR FL X 06/28/03 TSR INC DE X 07/22/03 TUPPERWARE CORP DE X X 07/22/03 UNIFI INC NY X X 07/17/03 UNISOURCE ENERGY CORP AZ X 07/22/03 UNITED COMMUNITY BANKS INC GA X X 07/22/03 UNIVERSAL HEALTH SERVICES INC DE X X 07/21/03 UNIZAN FINANCIAL CORP OH X X 07/21/03 US CAN CORP DE X X 07/22/03 V F CORP PA X 07/22/03 VAIL BANKS INC CO X X 07/21/03 VALLEY FINANCIAL CORP /VA/ VA X 07/22/03 VALMONT INDUSTRIES INC DE X X 07/21/03 VAXGEN INC DE X 07/18/03 VENTURE FINANCIAL GROUP INC WA X X 07/16/03 VERILINK CORP DE X X 08/22/03 VIRAGE INC DE X 06/30/03 VITESSE SEMICONDUCTOR CORP DE X X 07/22/03 VIXEL CORP DE X 07/22/03 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X 07/01/03 WAKE FOREST BANCSHARES INC X X 07/22/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 07/21/03 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 07/22/03 WASHINGTON REAL ESTATE INVESTMENT TRU MD X X 07/21/03 WAUSAU MOSINEE PAPER CORP WI X X X 07/22/03 WAYNE BANCORP INC /OH/ OH X X 07/21/03 WEBSENSE INC DE X 07/22/03 WEBSTER CITY FEDERAL BANCORP X X 07/21/03 WELLPOINT HEALTH NETWORKS INC /DE/ DE X X 07/22/03 WEST BANCORPORATION INC IA X 07/21/03 WEST PHARMACEUTICAL SERVICES INC PA X 06/30/03 WESTAR ENERGY INC /KS KS X X 07/22/03 WESTERN OHIO FINANCIAL CORP DE X X 07/22/03 WFN CREDIT CO LLC DE X 07/15/03 WHITEWING ENVIRONMENTAL CORP CA X 05/08/03 AMEND WJ COMMUNICATIONS INC CA X X 07/22/03 WOODWARD GOVERNOR CO DE X 06/30/03 WORKFLOW MANAGEMENT INC DE X X 07/21/03 WORLD FINANCIAL NETWORK NATIONAL BANK OH X 07/15/03 WRIGLEY WM JR CO DE X 07/22/03 XTO ENERGY INC DE X X 07/22/03 YP NET INC NV X X 07/16/03 ZIMMER HOLDINGS INC DE X X 07/22/03