SEC NEWS DIGEST Issue 2003-47 March 12, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CHANGE IN THE MEETING: ADDITIONAL ITEM The following item has been added to the closed meeting scheduled for Wednesday, March 12: Litigation matter. CLOSED MEETING - TUESDAY, MARCH 18, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, March 18, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution of injunctive actions; Adjudicatory matters; and Opinion. CLOSED MEETING - THURSDAY, MARCH 20, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, March 20, will be: Regulatory matter involving a financial institution; Institution and settlement of administrative proceedings of an enforcement nature; Settlement injunctive actions; and Litigation matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS FORMER BANK PRESIDENT AND BROKERAGE DIRECTOR CONSENTS TO BAR FROM ASSOCIATION WITH ANY BROKER OR DEALER The Commission announced that on March 12 the Commission issued an Order in a settled administrative proceeding, pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, against Peter Meyer Kolben (Kolben), a former bank president and brokerage firm director. The Order bars Kolben from association with any broker or dealer and is based on his federal felony conviction for violating Title 18 United States Code, Section 1005, by knowingly and willfully making a false statement on behalf of a federally insured financial institution. Kolben's conviction was entered on March 6, 2002, by the U.S. District Court for the District of New Jersey. The false statement, that Broadway Bank & Trust Company (Broadway Bank) did not make sales of recourse loans to other financial institutions, was made in the annual report on Form 10-K of Broadway Financial Corporation (the holding company for Broadway Bank) for its fiscal year ended Dec. 31, 1990. At the time, Kolben was President of Broadway Bank and a director of Broadway Financial Investment Services Corp., a registered broker- dealer. The District Court sentenced Kolben to two years probation and a $5,000 fine. Simultaneous with the institution of the administrative proceeding, and without admitting or denying the substantive findings contained therein except with respect to the finding concerning his criminal conviction, Kolben consented to the issuance of the Commission Order barring him from association with any broker or dealer. (Rel. 34- 47486; File No. 3-11060) ADMINISTRATIVE PROCEEDINGS INSTITUTED AND SIMULTANEOUSLY SETTLED WITH FORMER REGISTERED REPRESENTATIVE On March 12, the Commission announced that it instituted and simultaneously settled public administrative proceedings against Peter Matus, a former registered representative. Without admitting or denying the allegations in the order, Matus consented to an order barring him from association with any broker or dealer. On Dec. 4, 2001, the Commission named Matus as a defendant in an insider trading case, along with his brother, George Matus who was the Vice President of Investor Relations of Carreker Corporation. According to the Commission's Complaint, the Matus brothers obtained $209,940 in illegal trading profits by trading on inside information concerning Carreker's May 22, 2001, announcement that the company would miss its first-quarter earnings estimate. Peter Matus and George Matus were permanently enjoined on June 24, 2002, from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder, by the United States District Court for the Eastern District of Texas. (Rel. 34-47487; File No. 3-11061) COURT JAILS DEFENDANT IN SEC LAWSUIT FOR CONTEMPT, FINDS OTHERS IN COMPTEMPT The Commission announced that last week a federal district court judge in Charlottesville, Virginia jailed Terry Dowdell, a Charlottesville resident, for spending as much as $850,000 of funds that the court had ordered frozen in a pending civil enforcement action brought by the SEC against him. Dowdell, age 56, was the mastermind of a massive international investment fraud, and the principal defendant in an SEC's enforcement action pending before Judge James H. Michael, Jr. in Charlottesville. In the underlying lawsuit, the SEC accused Dowdell of raising more that $70 million from investors in the U.S. and abroad for a fictitious trading program (Vavasseur Program) purportedly involving the purchase and sale of foreign bank instruments and purportedly being operated by Vavasseur Corporation, a Bahamian corporation that is also named as a defendant in this action. According to the SEC, instead of operating a legitimate trading program, Dowdell engaged in an old-fashioned Ponzi scheme, using new investor money to pay old investors their promised profits, and misappropriating millions of dollars of investor funds in the process. Dowdell admitted to the fraud in a Consent and Stipulation he filed in June 2002, and in December 2002, Dowdell pled guilty to criminal charges of securities fraud, wire fraud and money laundering. He is scheduled to be sentenced on May 5, 2003. The Court's commitment order against Dowdell stemmed from a civil contempt motion brought by the law firm of DurretteBradshaw, PLC, which had previously been appointed as Receiver over all of Dowdell's assets. The motion arose from the Commission's discovery that, notwithstanding the existence of an asset freeze covering all investor assets that had been invested in the Vavasseur Program, Dowdell, through Shinder Gangar and Alan White, two of Dowdell's associates in Europe, caused in excess of $850,000 of Vavasseur investor funds to be repatriated into the United States into the bank account of three associates in California, Mark Smyth, Gregory Smyth and Jack Dempsey, who in turn dispersed approximately $450,000 of this amount, at Dowdell's instructions, for the benefit of Dowdell and his family members. Dowdell's repatriation and dissipation of investor funds occurred during a period of time in which Dowdell claimed to be cooperating with federal criminal and civil authorities. At a hearing conducted by the Court on Feb. 5, 2002 in connection with the contempt motion, Dowdell filed a consent and stipulation admitting to virtually all of the Receiver's allegations. When examined by the Commission about such matters as the current location of investor funds and the possibility of additional, unlawful post-freeze transfers of funds, Dowdell asserted his Fifth Amendment privilege, but nonetheless asserted that he had no current access to Vavasseur investor funds. In the March 4 Order requiring Dowdell's incarceration, the Court found that "Dowdell has continuously played marbles on the coattails of the court. There can be no reasonable assurances by Dowdell at this time that he will not continue to violate this court's orders if given the opportunity or that he is unable to purge his contempt. Similarly, Dowdell's assertion that he is no longer has access to funds is rendered hollow by his demonstrated prior access to funds." Citing to United States v. Rylander, 1983 Supreme Court decision, the Court reasoned that Dowdell could not assert inability to comply with a court order while at the same time refusing to answer further questions on the issue through invocation of the Fifth Amendment privilege. The Court found that Dowdell, by asserting his Fifth Amendment privilege, had waived any argument he may have as to inability to comply with the court's repatriation and freeze orders, or to purge himself of the contempt. The Court ordered that Dowdell be incarcerated until such time that he fully and completely purges himself of contempt by repatriating and disgorging all Vavasseur funds and by telling the SEC and the Receiver where all Vavasseur's funds are located and how such funds may be obtained by the Receiver. In addition to finding Dowdell in contempt, the Court, in a separate ruling entered on Feb. 12, 2003, found Mark Smyth and Gregory Smyth in civil contempt for their role in the secret repatriation and dissipation of the $850,000, and subsequently, in an order entered on Feb. 27, 2003, entered judgment against them for the sum of $785, 000, plus prejudgment interest. Additional information on how prime bank and other banking-related investment schemes work can be found at the SEC's Prime Bank Fraud Information Center (http://www.sec.gov/divisions/enforce/primebank.shtml) in the enforcement section of the SEC's Web site. [SEC v. Terry L. Dowdell, et al., Civil Action No. 3:01CV00116, WDVA, James H. Michael, Jr.] (LR- 18029) SEC CHARGES TWO ENRON EXECUTIVES WITH FRAUD RELATING TO ENRON'S BROADBAND SUBSIDIARY Former CFO Kevin A. Howard, Former Senior Director of Accounting Michael W. Krautz Charged with Violating Federal Securities Laws The Commission today charged Kevin A. Howard, the former chief financial officer, and Michael W. Krautz, a former senior director of accounting, of Enron Broadband Services Inc. (EBS) with violating the antifraud, periodic reporting, books and records, and internal controls provisions of the federal securities laws. EBS is a wholly owned subsidiary of Enron Corp. The complaint, filed in U.S. District Court for the Southern District of Texas, alleges that defendants Howard and Krautz engaged in a scheme to overstate the reported earnings of Enron, and its EBS subsidiary, by $111 million during the fourth quarter of 2000 and the first quarter of 2001. The scheme, known as "Project Braveheart," involved a sham sale of certain assets to accelerate recognition of income from a long-term agreement to develop and provide video-on-demand services. Conceptually, defendants sought to sell an interest in the future revenues associated with this agreement for purposes of immediate income recognition. As alleged in the complaint, Project Braveheart was a sham from its inception: the transaction had no economic substance and was created solely for the purpose of generating income. The Commission's complaint alleges that defendants Howard and Krautz carried out the scheme by forming a purported joint venture, assigning the agreement to the joint venture, and selling an interest in the joint venture to a third-party financial institution. The entity enlisted by defendants Howard and Krautz to form the joint venture was a partner in name only and was never intended to participate in the joint venture. The equity stake of this joint venture partner was not at risk because Enron guaranteed the entity a short-term take-out at a specified rate of return. The financial institution to which Enron sold a portion of its interest in the joint venture also did not have equity at risk as required, having been guaranteed against loss by Enron. As a result of Project Braveheart, Enron overstated its reported net income for the year 2000 by $53 million and for first quarter 2001 by $58 million. The Commission alleges that as a result of the conduct described above, that Howard and Krautz violated 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; falsified Enron's book and records, Section 13(b)(5) of the Exchange Act and Exchange Act Rule 13b2-1; aided and abetted Enron's filing of false and misleading quarterly reports, Sections 13(a) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder; and aided and abetted Enron's books and records and internal accounting control violations, Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. The Commission is seeking disgorgement of ill-gotten gains, civil money penalties, a permanent bar from acting as a director or officer of a publicly held company, and an injunction against future violations of the federal securities laws. The Commission brought this action in coordination with the Justice Department's Enron Task Force, which today filed related criminal charges against Howard and Krautz. The Commission's investigation is continuing. [SEC v. Kevin A. Howard and Michael W. Krautz, Civil Action No. H-03-0905 (Harmon) SDTX] (LR- 18030; AAE Rel. 1738) SEC OBTAINS TEMPORARY RESTRAINING ORDER FREEZING ASSETS OF U.S. TECHNOLOGIES INC. AND C. GREGORY EARLS On March 11, the U.S. District Court for the District of Columbia granted the Commission's ex parte application to freeze the assets of U.S. Technologies, Inc. and C. Gregory Earls, the two defendants in a securities fraud case the Commission filed on Dec. 19, 2002. The Court's order, among other things, prohibits UST and Earls from disposing or transferring their assets pending further order of the Court, orders them to provide accountings of their assets and liabilities, prohibits them from destroying relevant documents, and orders them to appear before the Court on March 25, 2003, to show cause why these safeguards should not be extended until final adjudication of the case on the merits and why the Court should not appoint a corporate monitor to review and approve UST's future disbursements and corporate actions. The Commission's complaint in the case alleges that from June 1998 through August 2002, Earls misappropriated approximately $13.8 million from investors who believed they were giving Earls money to purchase preferred stock and warrants from UST. The complaint further charges that Earls and UST made numerous materially misleading statements and omissions to cover up Earls' misdeeds. The Commission's complaint charges UST with violating Section 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13. It charges Earls with violating Securities Act Section 17(a), Exchange Act Sections 10(b) and 13(b)(5), and Exchange Act Rules 10b-5 and 13b2-1. The complaint also charges Earls with aiding and abetting UST's violations of Exchange Act Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(b), and Exchange Act Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13. The Commission is asking the Court to enjoin both defendants from violating the relevant provisions of the federal securities laws, to order Earls to disgorge his ill-gotten gains and pay a civil penalty, and to bar Earls from serving as an officer or director of any public company. In a related criminal proceeding, Earls has been charged with securities fraud, mail fraud, and wire fraud (U.S. v. C. Gregory Earls, No. 02-MAG- 531, SDNY). That case is being prosecuted by the U.S. Attorney's Office for the Southern District of New York. At the request of the U.S. Attorney's office, the Court has ordered a limited stay of discovery in the SEC's case. [SEC v. U.S. Technologies, Inc. and C. Gregory Earls, No. 1:02CV02495 (Robertson, J.) D.D.C.] (LR-18031; AAE Rel. 1739) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Amex-2002-48) and Amendment No. 1 thereto submitted by the American Stock Exchange relating to its marketing performance standards for exchange specialists. Publication of the proposal is expected in the Federal Register during the week of March 10. (Rel. 34-47472) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-NASD-2003-27) filed by the National Association of Securities Dealers, through its subsidiary The Nasdaq Stock Market, Inc., to establish two enterprise license pilot programs regarding the fees assessed upon distributors of Nasdaq ViewSuite data products 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 March 10. (Rel. 34- 47477) A proposed rule change (SR-NASD-2003-28) filed by the National Association of Securities Dealers, through its subsidiary The Nasdaq Stock Market, Inc., establishing a thirty-day waiver of certain ViewSuite data services fees assessed under NASD Rule 7010(q) 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 March 10. (Rel. 34-47478) A proposed rule change filed by the National Association of Securities Dealers regarding the Automated Confirmation Transaction Service Workstation (SR-NASD-2003-29) 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 March 10. (Rel. 34-47481) A proposed rule change (SR-NASD-2003-34) submitted by the National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., relating to the bid price test in the Nasdaq listing standards has become immediately effective. (Rel. 34-47482) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until April 3, 2003, to comment on the application of Koppers Inc. (formerly known as Koppers Industries, Inc.) to withdraw its 9-7/8% Senior Notes (due 2007) from listing and registration on the New York Stock Exchange. (Rel. 34- 47485) 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 BIOANALYTICAL SYSTEMS INC, 2701 KENT AVE, WEST LAFAYETT, IN, 47906-1382, 3174634527 - 300,000 ($897,000.00) Equity, (File 333-103717 - Mar. 11) (BR. 01) S-8 QUINTEK TECHNOLOGIES INC, 537 CONSTITUTION AVE, STE B, CAMARILLO, CA, 93012, 8003826874 - 4,900,000 ($63.95) Equity, (File 333-103718 - Mar. 11) (BR. 08) S-3 CAREER EDUCATION CORP, 2895 GREENSPOINT, SUITE 600, HOFFMAN ESTATES, IL, 60195, 8477813600 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-103719 - Mar. 11) (BR. 08) S-8 EQUITEX INC, 7315 E PEAKVIEW AVE, GREENWOOD EXECUTIVE PARK BLDG 8, ENGLEWOOD, CO, 80111, 3037968940 - 380,715 ($300,675.00) Equity, (File 333-103720 - Mar. 11) (BR. 07) S-3 CALIFORNIA WATER SERVICE GROUP, 1720 N FIRST ST, C/O CALIFORNIA WATER SERVICE CO, SAN JOSE, CA, 95112, 4083678200 - 1,000,000 ($120,000,000.00) Equity, (File 333-103721 - Mar. 11) (BR. 02) S-8 EMC INSURANCE GROUP INC, 717 MULBERRY ST, DES MOINES, IA, 50309, 5152802902 - 500,000 ($8,685,000.00) Equity, (File 333-103722 - Mar. 11) (BR. 01) S-8 FORTUNE BRANDS INC, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 2036985000 - 5,000,000 ($207,050,000.00) Equity, (File 333-103734 - Mar. 11) (BR. 06) S-8 FORTUNE BRANDS INC, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 2036985000 - 200,000 ($8,282,000.00) Equity, (File 333-103735 - Mar. 11) (BR. 06) S-8 FORTUNE BRANDS INC, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 2036985000 - 250,000 ($10,352,500.00) Equity, (File 333-103736 - Mar. 11) (BR. 06) S-8 ABSOLUTE GLASS PROTECTION INC, 1250 SOUTH BURNHAM, #212, LAS VEGAS, NV, 89104, 702-384-0667 - 500,000 ($260,000.00) Equity, (File 333-103737 - Mar. 11) (BR. 05) S-8 TTTTICKETS HOLDING CORP, 178 VILLA PARK DR, LEWISVILLE, TX, 75067, 9722330300 - 13,000,000 ($32,500.00) Equity, (File 333-103738 - Mar. 11) (BR. 06) S-B URUGUAY REPUBLIC OF, 2021 L STREET N W, SUITE 201, WASHINGTON, DC, 20036, 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-103739 - Mar. 11) (BR. ) S-8 METASOLV INC, 5560 TENNYSON PKWY, PLANO, TX, 75024, 9724038300 - 375,932 ($466,156.00) Equity, (File 333-103740 - Mar. 11) (BR. 03) S-8 FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC, 27371-0508, 9105766171 - 0 ($325,000.00) Equity, (File 333-103741 - Mar. 11) (BR. 07) S-8 METASOLV INC, 5560 TENNYSON PKWY, PLANO, TX, 75024, 9724038300 - 1,879,660 ($2,330,778.00) Equity, (File 333-103742 - Mar. 11) (BR. 03) S-4 UNITED RENTALS NORTH AMERICA INC, FIVE GREENWICH OFFICE PARK, GREENWICH, CT, 06830, 2036223131 - 0 ($210,000,000.00) Non-Convertible Debt, (File 333-103744 - Mar. 11) (BR. 06) N-2 BLACKROCK PREFERRED OPPORTUNITY TRUST, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 2127545300 - 40 ($1,000,000.00) Equity, (File 333-103745 - Mar. 11) (BR. 22) SB-2 INNOVATIVE DESIGNS INC, 223 NORTH MAIN STREET, SUITE 1, PITTSBURG, PA, 15215, 4127990350 - 1,515,075 ($3,181,657.50) Equity, (File 333-103746 - Mar. 11) (BR. ) SB-2 FAMILY ROOM ENTERTAINMENT CORP, 1041 NORTH FORMOSA AVENUE, MARY PICKFORD BUILDING SUITE 101, LOS ANGELES, CA, 90046, 3238502800 - 21,583,333 ($10,002,500.00) Equity, (File 333-103747 - Mar. 11) (BR. 04) S-8 HUNT J B TRANSPORT SERVICES INC, 615 JB HUNT CORPORATE DR, LOWELL, AR, 72745, 5018200000 - 0 ($28,824,000.00) Equity, (File 333-103748 - Mar. 11) (BR. 05) S-4 MAINE & MARITIMES CORP, 209 STATE ST., PO BOX 1209, PRESQUE ISLE, ME, 04769-1209, 2077685811 - 0 ($40,869,399.00) Equity, (File 333-103749 - Mar. 11) (BR. ) S-4 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 1,200,000,000 ($1,299,960,000.00) Other, (File 333-103750 - Mar. 11) (BR. 04) S-8 TITAN CORP, 3033 SCIENCE PARK RD, SAN DIEGO, CA, 92121, 8585529500 - 0 ($95,918,596.00) Equity, (File 333-103751 - Mar. 11) (BR. 03) S-8 L 3 COMMUNICATIONS HOLDINGS INC, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 10016, 2126971111 - 5,000,000 ($176,050,000.00) Equity, (File 333-103752 - Mar. 11) (BR. 37) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 2,000,000 ($31,280,000.00) Equity, (File 333-103753 - Mar. 11) (BR. 06) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 100,000 ($1,564,000.00) Equity, (File 333-103754 - Mar. 11) (BR. 06) S-3 AVALONBAY COMMUNITIES INC, 2900 EISENHOWER AVENUE, SUITE 300, ALEXANDRIA, VA, 22314, 7033296300 - 0 ($750,000,000.00) Debt Convertible into Equity, (File 333-103755 - Mar. 11) (BR. 08) S-8 DEERE & CO, ONE JOHN DEERE PLACE, MOLINE, IL, 61265-8098, (309) 765-5688 - 9,020,416 ($361,493,171.20) Equity, (File 333-103757 - Mar. 11) (BR. 36) 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 ---------------------------------------------------------------------------------- ADIRONDACK PURE SPRINGS MT WATER CO I NY X X 02/24/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 03/10/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 03/10/03 ALLIANCE DATA SYSTEMS CORP DE X 03/10/03 ALMOST FAMILY INC DE X 12/31/03 ALPINE GROUP INC /DE/ DE X X 03/11/03 AMERIVISION COMMUNICATIONS INC X 02/07/03 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 03/06/03 ARIAD PHARMACEUTICALS INC DE X X 03/11/03 ARRIS GROUP INC DE X X 03/11/03 AZZ INC TX X X 03/07/03 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 05/23/02 BLOUNT INTERNATIONAL INC DE X X 03/11/03 BRISTOL MYERS SQUIBB CO DE X X 03/10/03 C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 11/25/02 AMEND C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 12/25/02 AMEND C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 11/25/02 AMEND C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 12/25/02 AMEND CANYON RESOURCES CORP DE X X 03/05/03 CAPITAL GOLD CORP NV X X 03/11/03 CHORDIANT SOFTWARE INC DE X 03/11/03 CHUBB CORP NJ X X 03/11/03 COMPUTER MOTION INC DE X X 03/07/03 CONSTELLATION BRANDS INC DE X 03/11/03 COPART INC CA X X 03/10/03 CORTS TRUST FOR THE DOW CHEMICAL CO D DE X 03/11/03 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 AMEND CWABS INC DE X X 03/11/03 DENBURY RESOURCES INC DE X 03/06/03 DIGITAL ANGEL CORP DE X X 03/06/03 DONLAR CORP IL X 03/06/03 DRESS BARN INC CT X X 03/11/03 E TRADE GROUP INC DE X 03/11/03 EAGLE FOOD CENTERS INC DE X 03/07/03 EPIX MEDICAL INC X X 03/07/03 EQUINE NUTRACEUTICALS INC NV X X 03/03/03 ESTERLINE TECHNOLOGIES CORP DE X 03/05/03 EVOLVING SYSTEMS INC DE X 03/06/03 FANSTEEL INC DE X 01/31/03 FAO INC CA X X 01/31/03 AMEND FIFTH THIRD BANCORP OH X X 03/11/03 FINET COM INC DE X 03/11/03 FIRSTENERGY CORP OH X X 03/11/03 FISHER SCIENTIFIC INTERNATIONAL INC DE X 03/07/03 FOREST OIL CORP NY X 02/26/03 FOSTER WHEELER LTD D0 X X X 03/10/03 FREEMARKETS INC DE X X 03/07/03 FROZEN FOOD EXPRESS INDUSTRIES INC TX X 03/10/03 GEMSTAR TV GUIDE INTERNATIONAL INC DE X X 03/10/03 GENCORP INC OH X X 03/10/03 GENERAL MARITIME CORP/ X 03/11/03 GIANT INDUSTRIES INC DE X 03/11/03 GILLETTE CO DE X X 03/11/03 GLOBAL TELEDATA CORP NV X 02/25/03 GOLDEN TELECOM INC DE X X 03/06/03 GOODRICH CORP NY X 03/10/03 GS MORTGAGE SECURITIES CORP DE X 03/07/03 HEALTH SCIENCES GROUP INC CO X X 02/25/03 HOME EQUITY ASSET TRUST 2002-2 DE X X 08/25/02 AMEND HOME EQUITY ASSET TRUST 2002-3 DE X X 12/25/02 AMEND IMPAC CMB TRUST COLLATERLIZED AB BOND DE X 03/11/03 INCO LTD X 03/11/03 INCOME GROWTH PARTNERS LTD X CA X 12/10/02 INFOSPACE INC DE X X 03/10/03 INSILCO HOLDING CO DE X X 03/10/03 INTERCARE COM DX INC X X 03/11/03 INTERLEUKIN GENETICS INC DE X X X 03/05/03 AMEND INTERPUBLIC GROUP OF COMPANIES INC DE X X 03/11/03 INTRUSION INC DE X X 03/11/03 ISCO INTERNATIONAL INC DE X X 03/11/03 IVIDEONOW INC DE X X X X 03/03/03 KEY COMPONENTS LLC DE X 03/06/03 KFX INC DE X X X 03/10/03 KING PHARMACEUTICALS INC TN X X 03/11/03 KROGER CO OH X X X 03/11/03 LABARGE INC DE X 03/10/03 LAKES ENTERTAINMENT INC MN X X 03/10/03 LANCER CORP /TX/ TX X X 03/10/03 LENDINGTREE INC X X 03/11/03 LOMBARDIA ACQUISITION CORP DE X X 02/24/03 LONG BEACH ACCEPTANCE CORP X X 03/03/03 AMEND MADISON RIVER CAPITAL LLC DE X X 03/07/03 MARSHALL & ILSLEY CORP/WI/ WI X X 03/11/03 MATRIX SERVICE CO DE X X 03/11/03 MELLON RESIDENTIAL FUNDING CORP MOR P DE X X 11/16/02 MERGE 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