SEC NEWS DIGEST Issue 2003-133 July 14, 2003 ENFORCEMENT PROCEEDINGS IN THE MATTER OF DANIEL COYLE On July 11, the Commission issued an Order Instituting Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Daniel M. Coyle. The Order finds that on May 12, 2003, the United States District Court for the Southern District of New York, entered a final judgment against Coyle in an action captioned SEC v. Nnebe et. al., 01 CV 5247 (K.M.W.), which, among other things, permanently enjoins Coyle from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 15(a) of the Exchange Act. Coyle consented to the entry of the Order without admitting or denying the findings contained therein, except as to personal and subject matter jurisdiction and the entry of the injunction, which he admitted. In the injunctive action, the Commission alleged, among other things, that in connection with the sale of securities issued by Fargo Holdings, Inc., Coyle falsely told investors that Fargo would be conducting an initial public offering (IPO) of its stock in the near future that would cause the price of Fargo stock to double, and that purchasing Fargo stock was risk free because investor funds would be returned if Fargo did not conduct an IPO. The Commission also alleged that Coyle caused a Fargo private placement memorandum to be sent to investors that contained false and misleading statements concerning, among other things, the anticipated use of the offering proceeds, the level of commissions paid for selling Fargo stock, and Fargo's purported business operations; and that Coyle sold unregistered Fargo securities, and acted as an unregistered broker. Based on the above, the Order bars Coyle from association with any broker or dealer, with the right to reapply for association after five years. (Rel. 34-48168; File No. 3-11176) SEC SUES CARNEGIE INTERNATIONAL CORPORATION AND SEVERAL CURRENT AND FORMER EXECUTIVES IN ACCOUNTING FRAUD CASE On July 14, the Commission filed a civil injunctive action in the United States District Court for the District of Columbia against Carnegie International Corporation, a company headquartered in Laurel, Maryland, and six individual defendants. The individual defendants are E. David Gable, Carnegie's chairman, Lowell Farkas, Carnegie's president and chief executive officer, David Pearl, a lawyer and the former corporate secretary of Carnegie, Richard J. Greene, Carnegie's former chief financial officer, Scott Caruthers, a former Carnegie director, and Dashielle Lashra Caruthers, the wife of Scott Caruthers. The Caruthers are also named as relief defendants. All the defendants except Gable have consented to the entry of final judgments in settlement of this matter. The Commission's complaint alleges, among other things, that Gable, Farkas, and Pearl carried out a financial fraud at Carnegie that resulted in Carnegie improperly reporting revenue and income on three transactions in filings with the Commission. The transactions related to Carnegie's sale of a former subsidiary, Electronic Card Acceptance Corporation, and certain business assets of a second subsidiary, Talidan Limited, and its granting of distribution rights to a telephone voice- recognition product called MAVIS. The filings at issue are the company's original and amended registration statements, filed in October 1998 and February 1999, respectively, and its original and amended 1998 Form 10-KSB annual report, filed in April 1999 and January 2000, respectively. The complaint further alleges that Carnegie senior management arranged for the sale of Carnegie shares through management-controlled entities, and had proceeds from these sales transferred to Carnegie as purported payment on certain of these transactions. According to the complaint, Carnegie's accounting for these transactions, and the company's failure to make required disclosures concerning these transactions, including the involvement of related parties, was not in accordance with generally accepted accounting principles (GAAP). The complaint further alleges that Carnegie's financial reporting was highly susceptible to the financial fraud because Greene, Carnegie's former chief financial officer, failed to implement an adequate system of internal accounting controls. Carnegie is also alleged to have materially misrepresented Talidan's expected future performance in the company's 1998 Form 10-KSB by failing to disclose known adverse events and uncertainties that were materially impacting Talidan's revenues. Finally, the company is alleged to have materially misrepresented the terms of other purported MAVIS distribution agreements in press releases issued in 1998. According to the complaint, Gable and Pearl, along with the Caruthers, personally benefited from this fraud by selling Carnegie shares at inflated prices through an offshore trust, and they failed to make required disclosures concerning their beneficial ownership and sales of Carnegie shares. Based on the facts alleged, the Commission charged the following violations. * Carnegie was charged with securities fraud in violation of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and with violating the reporting, books- and-records, and internal controls provisions of Exchange Act Sections 12(g), 13(a), 13(b)(2)(A), and 13(b)(2)(B), and Exchange Act Rules 12b-20 and 13a-1. * Gable, Farkas, and Pearl were each charged with (i) securities fraud in violation of Exchange Act Section 10(b) and Exchange Act Rule 10b-5; (ii) falsifying Carnegie's books, records, and accounts, and circumventing or failing to implement internal accounting controls, in violation of Exchange Act Section 13(b)(5) and Exchange Act Rule 13b2-1; (iii) misleading Carnegie's auditors in violation of Exchange Act Rule 13b2-2; and (iv) aiding and abetting Carnegie's violations of Exchange Act Sections 12(g), 13(a), 13(b)(2)(A), and 13(b)(2)(B), and Exchange Act Rules 12b-20 and 13a-1. Gable and Pearl were also charged with violating the antifraud provisions of Securities Act Section 17(a) and the stock ownership disclosure requirements of Exchange Act Section 16(a) and Exchange Act Rules 16a-2 and 16a-3. * Greene was charged with failing to implement internal accounting controls in violation of Exchange Act Section 13(b)(5), and with aiding and abetting Carnegie's violation of Exchange Act Section 13(b)(2)(B). * The Caruthers were each charged with violating the stock ownership disclosure provisions of Exchange Act Sections 13(d) and 16(a) and Exchange Act Rules 13d-1, 13d-2, 16a-2, and 16a-3, and, in their capacity as relief defendants, with receiving unjust enrichment as a result of the fraud perpetrated by the other defendants. Without admitting or denying the allegations in the Commission's complaint, all of the defendants except Gable have agreed to settle the Commission's charges by consenting to the entry of final judgments that, if approved by the Court, would permanently enjoin them from further violations of the securities laws. In addition, Farkas and Pearl have consented to be permanently barred from serving as officers or directors of any public company. The Court judgments would not impose civil penalties or disgorgement obligations on the settling individual defendants and relief defendants based on the sworn representations each of them made to the Commission regarding his or her financial condition. With regard to Gable, the Commission's complaint seeks the entry of a final judgment permanently enjoining him from future violations of the federal securities laws, permanently barring him from serving as an officer or director of a public company, and ordering him to pay disgorgement (with prejudgment interest) and civil penalties. In a related administrative proceeding instituted on July 14, the Commission issued an order revoking Carnegie's stock registration pursuant to Exchange Act Section 12(j) based on the company's failure to file with the Commission any periodic reports required by Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 for reporting periods after September 30, 2001. In addition, Pearl has consented to the Commission's entry of an order, pursuant to Rule 102(e) of the Commission's Rules of Practice, that will deny him the privilege of appearing or practicing before the Commission as an attorney following the federal court's anticipated entry of an injunction against him. [SEC v. Carnegie International Corporation, et al., No. 1:03CV01513, D.D.C., EGS] (LR-18229; AAER-1813; In the Matter of Carnegie International Corporation, Rel. 34-48170; File No. 3-11177) NORTHERN CALIFORNIA ADVISER SETTLES ACTION BASED ON MISLEADING PERFORMANCE ADVERTISING On July 14, the Commission instituted and simultaneously settled public administrative and cease-and-desist proceedings against Justin S. Mazzon d/b/a American Blue Chip Investment Management. The Commission's Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act found that Mazzon had disseminated false and misleading advertising between at least January 2000 and September 2001 including: * the use of a Securities and Exchange Commission's official seal and the legend: "Prepared by: Division of Investment Management," when the materials had not been prepared by the Division of Investment Management and neither Mazzon nor American Blue Chip had the Commission's endorsement or approval to use its seal or the legend. * the use of a "Historical Performance Review Table" that was false and misleading because the transactions, dates, and prices were not reflective of actual purchases and sales. The Table instead included a mixture of information copied from a third-party's investment newsletter and some from Mazzon's clients' portfolios. Mazzon did not disclose to clients the composite or blended nature of his historical performance figures. Mazzon also did not disclose that the performance results did not reflect fees and did not include all recommendations he made during the relevant time period with the Table. * various other misleading advertising, including misleading information submitted to Nelson's Directory of World Money Managers and characterizing himself as the "1st Place Winner in the Wall Street Journal Investing Championship" when in fact he had won the so-called Dartboard contest once in 1992. In anticipation of this proceeding, Mazzon submitted an offer of settlement, which the Commission accepted. Without admitting or denying the findings in the Order, Mazzon consented to cease and desist from willfully violating Sections 204, 206(1), 206(2), 206(4) and 208(a) of the Investment Advisers Act and Rules 204-2(a)(16), 206(4)-1(a)(2) and 206(4)-1(a)(5) thereunder. In addition, Mazzon agreed to not advertise or obtain any new clients for one year, to waive his advisory fee for 6 months, to pay a civil penalty of $40,000, and to comply with certain undertakings, including hiring an independent consultant to pre-review all advertising and marketing materials for a five-year period and to conduct annual audits to ensure Mazzon is in compliance with books and records requirements. Mazzon must also provide the Commission's Order to all existing advisory clients. (Rel. IA-2145; File No. 3-11178) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2003-14) filed by the International Securities Exchange to amend its fee schedule 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 July 14. (Rel. 34-48157) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 thereto (SR-Amex-2003-63), submitted by the American Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to the Listing and Trading of Notes Linked to the Performance of the Amex Biotechnology Index. Publication of the proposal is expected in the Federal Register during the week of July 14. (Rel. 34- 48151) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-62) submitted by the American Stock Exchange under Rule 19b-4 of the Securities Exchange Act of 1934 relating to the Listing and Trading of Partial Principal Protected Notes Linked to the Performance of the Standard & Poor's 500 Stock Index. Publication of the proposal is expected in the Federal Register during the week of July 14. (Rel. 34-48152) The Commission approved a proposed rule change filed by NASD (SR-NASD- 2003-57) under Section 19(b)(1) of the Securities Exchange Act of 1934 and noticed an amendment and accelerated approval thereof regarding revisions to Forms U4 and U5. (Rel. 34-48161) A proposed rule change (SR-Phlx-2003-46) has been filed by the Philadelphia 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. 34-48163) PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2003-17) and Amendment No. 1 thereto filed by the Pacific Exchange relating to the Exchange's rules under the minor rule plan has been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of July 14. (Rel. 34-48158) A proposed rule change (SR-NYSE-2002-64) and Amendment No. 1 thereto, filed by the New York Stock Exchange to amend the interpretation of NYSE Rule 345A ("Continuing Education for Registered Persons") have been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of July 14. (Rel. 34-48159) A proposed rule change (SR-Phlx-2003-15) and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange relating to the prohibition against specialists accepting discretionary orders on the limit order book have been filed under Section 19(b)(1) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of July 14. (Rel. 34-48160) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Phlx-2002-87) submitted by the Philadelphia Stock Exchange concerning a 500 contract cap on payment for order flow fees. Publication of the order is expected in the Federal Register during the week of July 14. (Rel. 34- 48166) WITHDRAWALS A notice has been issued giving interested persons until August 5, 2003 to comment on the application of CyberGuard Corporation to withdraw its common stock, $.01 par value, from listing and registration on the American Stock Exchange. (Rel. 34-48164) An order has been issued granting the application of Azco Mining Inc., to withdraw its common stock, $.002 par value, from listing and registration on the American Stock Exchange, effective at the opening of business on July 14, 2003. (Rel. 34-48165) 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 ENTERTAINMENT TECHNOLOGIES & PROGRAMS INC, 2814866115 - 8,000,000 ($160,000.00) Equity, (File 333-106947 - Jul. 11) (BR. 05) S-8 JUNIPER GROUP INC, 111 GREAT NECK RD STE 604, GREAT NECK, NY, 11021, 5168294670 - 1,500,000 ($1,875,000.00) Equity, (File 333-106948 - Jul. 11) (BR. 03) S-3 VALERO ENERGY CORP/TX, P.O. BOX 500, SAN ANTONIO, TX, 78292-0500, 2103702000 - 10,000,000 ($250,000,000.00) Equity, (File 333-106949 - Jul. 11) (BR. 04) S-3 SBE INC, 4550 NORRIS CANYON ROAD, SAN RAMON, CA, 94583, 5103552000 - 700,000 ($980,000.00) Equity, (File 333-106951 - Jul. 11) (BR. 03) S-4 DELTA AIR LINES INC /DE/, HARTSFIELD ATLANTA INTL AIRPORT, 1030 DELTA BLVD, ATLANTA, GA, 30354-1989, 4047152600 - 0 ($391,583,000.00) Non-Convertible Debt, (File 333-106952 - Jul. 11) (BR. 05) S-3 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045, 4107400081 - 0 ($16,397,223.18) Equity, (File 333-106953 - Jul. 11) (BR. 01) S-4 LYONDELL CHEMICAL CO, 1221 MCKINNEY ST, STE 700, HOUSTON, TX, 77010, 7136527200 - 0 ($325,000,000.00) Non-Convertible Debt, (File 333-106954 - Jul. 11) (BR. 02) SB-1 HERITAGE MANAGEMENT INC, 1591 E INTERSTATE 30 SUTE 104, GARLAND, TX, 75043, 9723030907 - 1,000,000 ($500,000.00) Other, (File 333-106955 - Jul. 11) (BR. 09) S-8 UNIZAN FINANCIAL CORP, 220 MARKET AVE SOUTH, CANTON, OH, 44701, 3304381230 - 1,800,000 ($34,380,000.00) Equity, (File 333-106956 - Jul. 11) (BR. 07) F-10 VASOGEN INC, 2155 DUNVIN DR, SUITE 10 L5L4M1, MISSISSAUGA ONTARIO, A6, 00000, 8,120,000 ($42,630,000.00) Equity, (File 333-106958 - Jul. 11) (BR. 36) S-3 UNITED DOMINION REALTY TRUST INC, 400 EAST CARY STREET, RICHMOND, VA, 23219-3802, 8047802691 - 0 ($60,660,593.07) Equity, (File 333-106959 - Jul. 11) (BR. 08) S-8 INTEVAC INC, 356O BASSETT ST, SANTA CLARA, CA, 95054, 4089869888 - 250,000 ($1,558,750.00) Equity, (File 333-106960 - Jul. 11) (BR. 36) S-8 TUCOWS INC /PA/, 96 MOWAT AVENUE, TORONTO, A6, M6K 3M1, 4165350123 - 0 ($316,250.00) Equity, (File 333-106961 - Jul. 11) (BR. 03) S-8 WITNET INTERNATIONAL INC, 5300 W. SAHARA AVE, SUITE 101, LAS VEGAS, NV, 89146, 7028665800 - 12,000,000 ($960,000.00) Equity, (File 333-106962 - Jul. 11) (BR. 09) S-8 NUTECH DIGITAL INC, 7900 GLORIA AVE, VAN NUYS, CA, 91406, 8189943831X12 - 5,000,000 ($725,000.00) Equity, (File 333-106963 - Jul. 11) (BR. 05) S-3 ABLE LABORATORIES INC, 6 HOLLYWOOD COURT, ., SOUTH PLAINFIELD, NJ, 07080, 908-754-2253 - 2,040,000 ($42,105,600.00) Equity, (File 333-106964 - Jul. 11) (BR. 01) S-8 MICHAEL ANTHONY JEWELERS INC, 115 SO MACQUESTEN PKWY, MOUNT VERNON, NY, 10550, 9146990000 - 800,000 ($1,480,000.00) Equity, (File 333-106965 - Jul. 11) (BR. 02) S-8 IMAGING DIAGNOSTIC SYSTEMS INC /FL/, 6531 NW 18TH COURT, PLANTATION, FL, 33313-4520, 3057460500 - 2,000,000 ($560,000.00) Equity, (File 333-106966 - Jul. 11) (BR. 36) S-8 WALGREEN CO, 200 WILMOT RD, DEERFIELD, IL, 60015, 8479402500 - 10,000,000 ($300,550,000.00) Equity, (File 333-106967 - Jul. 11) (BR. 01) S-B LANDWIRTSCHAFTLICHE RENTENBANK, HOCHSTRASSE 2, FRANKFURT, I8, 60313, 01149692107247 - 0 ($3,250,000,000.00) Non-Convertible Debt, (File 333-106968 - Jul. 11) (BR. DN) S-3 CAPITAL TRUST INC, 410 PARK AVENUE, 14TH FLOOR, NEW YORK, NY, 10022, 2126550220 - 1,075,000 ($22,284,750.00) Unallocated (Universal) Shelf, (File 333-106970 - Jul. 11) (BR. 08) S-8 WOLVERINE WORLD WIDE INC /DE/, 9341 COURTLAND DR, ROCKFORD, MI, 49351, 6168665500 - 1,300,000 ($25,285,000.00) Equity, (File 333-106973 - Jul. 11) (BR. 02) N-2 PREFERRED & CORPORATE INCOME STRATEGIES FUND INC, 800 SCUDDERS MILL ROAD, PLAINSBORO, NJ, 08536, 6092822116 - 40 ($1,000,000.00) Equity, (File 333-106974 - Jul. 11) (BR. 17) S-8 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE INC, 650,414 ($1,736,605.00) Equity, (File 333-106975 - Jul. 11) (BR. 05) S-3 MAVERICK TUBE CORPORATION, 16401 SWINGLEY RIDGE RD, STE 700, CHESTERFIELD, MO, 63017-1713, 6367331600 - 4,110,997 ($120,000,000.00) Debt Convertible into Equity, (File 333-106976 - Jul. 11) (BR. 06) S-8 WEST PHARMACEUTICAL SERVICES INC, 101 GORDON DR, P O BOX 645, LIONVILLE, PA, 19341-0645, 6105942900 - 1,500,000 ($37,025.26) Other, (File 333-106977 - Jul. 11) (BR. 06) S-8 SIGMA DESIGNS INC, 1221 CALIFORNIA CIRCLE, MILPITAS, CA, 95035, 4082629003 - 982,683 ($2,358,439.18) Equity, (File 333-106978 - Jul. 11) (BR. 03) S-8 RASCALS INTERNATIONAL INC, 414 EAGLE ROCK AVENUE, STE 308, WEST ORANGE, NJ, 07052, 9732438080 - 500,000 ($63.00) Equity, (File 333-106979 - Jul. 11) (BR. 05) N-2 EVERGREEN MANAGED INCOME FUND, 400 ($10,000,000.00) Equity, (File 333-106980 - Jul. 11) (BR. 22) S-3 MORTGAGE ASSET SECURITIZATION TRANSACTIONS INC, 1285 AVE OF THE AMERICAS, NEW YORK, NY, 10019, 2127132000 - 0 ($1,000,000.00) Other, (File 333-106982 - Jul. 11) (BR. 05) S-8 BINDVIEW DEVELOPMENT CORP, 5151 SAN FELIPE 25TH FLOOR, HOUSTON, TX, 77056, 7135613000 - 4,900,000 ($10,192,000.00) Equity, (File 333-106983 - Jul. 11) (BR. 03) SB-2 GOLDEN PHOENIX MINERALS INC /MN/, 7758534919 - 23,624,604 ($7,087,381.20) Equity, (File 333-106984 - Jul. 11) (BR. 04) F-3 CONSOLIDATED WATER CO LTD, TRAFALGAR PL, WEST BAY RD, GRAND CAYMAN BWI CAY, E9, 00000, 8099474277 - 0 ($3,158,053.00) Equity, (File 333-106985 - Jul. 11) (BR. 02) S-8 RJV NETWORK INC, 15147 SE 46TH WAY, BELLEVUE, WA, 98006, 5,000,000 ($850,000.00) Equity, (File 333-106986 - Jul. 11) (BR. 09) S-1 MURDOCK COMMUNICATIONS CORP, 3193626900 - 18,290,762 ($12,803,533.40) Equity, (File 333-106987 - Jul. 11) (BR. 37) S-3 ESPERION THERAPEUTICS INC/MI, 3621 S STATE STREET 695KMS PLACE, 734-332-0506, ANN ARBOR, MI, 48108, 0 ($88,044,000.00) Equity, (File 333-106988 - Jul. 11) (BR. 01) S-3 STAAR SURGICAL COMPANY, 1911 WALKER AVE, MONROVIA, CA, 91016, 8183037902 - 1,000,000 ($13,310,000.00) Equity, (File 333-106989 - Jul. 11) (BR. 36) S-8 AMNIS SYSTEMS INC, 3450 HILLVIEW AVENUE, PALO ALTO, CA, 94304, 6508550200 - 10,000,000 ($1,300,000.00) Equity, (File 333-106990 - Jul. 11) (BR. 37) S-3 ROXIO INC, 461 S MILPITAS BLVD, MILPITAS, CA, 95035, 4089572553 - 0 ($52,250,378.80) Equity, (File 333-106991 - Jul. 11) (BR. 03) S-4 RENT A CENTER INC DE, 5700 TENNYSON PARKWAY, THIRD FLOOR, PLANO, TX, 75024, 2144192613 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-106993 - Jul. 11) (BR. 06) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($5,384,024.00) Equity, (File 333-106994 - Jul. 11) (BR. 01) S-4 TEAM AMERICA INC, 110 E WILSON BRIDGE RD, WORTHINGTON, OH, 43085, 6148483995 - 0 ($3,377,717.56) Equity, (File 333-106995 - Jul. 11) (BR. 08) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($9,635,000.00) Equity, (File 333-106996 - Jul. 11) (BR. 01) 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 07/08/03 ABC BANCORP GA X X 07/10/03 ABERCROMBIE & FITCH CO /DE/ DE X X 07/11/03 ABN AMRO MORTGAGE CORP MORT PS THR CR DE X X 06/26/03 ABN AMRO MORTGAGE CORP MORT PS THR CR DE X 06/26/03 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X X 06/26/03 ABN AMRO MORTGAGE CORP MUILTI CL MORT DE X X 06/26/03 AMEND ABSS CORP DE X 05/05/03 ACTION PRODUCTS INTERNATIONAL INC FL X X 07/09/03 ACXIOM CORP DE X 07/09/03 AIRPLANES LTD DE X 07/11/03 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 07/11/03 ALLIANCE CAPITAL MANAGEMENT L P DE X X 07/11/03 AMERICAN EAGLE OUTFITTERS INC DE X X 07/09/03 AMERICAN FINANCIAL REALTY TRUST X X 06/30/03 AMR CORP DE X 07/11/03 AMREP CORP OK X 07/09/03 ANAREN INC NY X X 07/10/03 AON CORP DE X 07/11/03 APPLIX INC /MA/ MA X 01/21/03 AMEND ASBURY AUTOMOTIVE GROUP INC DE X 07/01/03 ASPEN TECHNOLOGY INC /DE/ DE X X 07/11/03 BALDOR ELECTRIC CO MO X 06/28/03 BALLISTIC RECOVERY SYSTEMS INC MN X X 07/09/03 BANC OF AMERICA ALTERNATIVE LOAN TRUS DE X X 04/24/03 BANC OF AMERICA MORT SEC INC MORT PAS DE X X 04/24/03 BANK OF THE OZARKS INC AR X X 07/10/03 BERKSHIRE HILLS BANCORP INC X X 07/11/03 BIOANALYTICAL SYSTEMS INC IN X X 06/30/03 BORLAND SOFTWARE CORP DE X 07/11/03 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA X X 07/10/03 BOSTONFED BANCORP INC DE X X 07/10/03 BROWN TOM INC /DE DE X X 06/27/03 BUSANDA EXPLORATIONS INC NV X X X 06/30/03 CACI INTERNATIONAL INC /DE/ DE X X 07/11/03 CALPINE CORP DE X 07/10/03 CAREDECISION CORP NV X 07/11/03 CARMAX INC VA X 07/11/03 CASH TECHNOLOGIES INC DE X 06/30/03 CBR BREWING CO INC FL X X 07/04/03 CENDANT MORT CAPITAL LLC CDMC MORT PA DE X 06/27/03 CENTEX HOME EQUITY LOAN TRUST 2003-B DE X 07/11/03 CHART INDUSTRIES INC DE X X 07/11/03 CHARTER COMMUNICATIONS HOLDINGS LLC DE X 07/10/03 CHARTER COMMUNICATIONS INC /MO/ DE X 07/10/03 CIGNA CORP DE X X 07/11/03 CITGO PETROLEUM CORP DE X 07/10/03 CITIZENS BANKING CORP MI X X 07/11/03 CMS ENERGY CORP MI X 07/03/03 COCA COLA CO DE X 07/11/03 COLONY BANKCORP INC GA X X 07/11/03 COMMERCE ONE INC / DE/ DE X 07/11/03 COMMERCIAL NET LEASE REALTY INC MD X 06/30/03 CORAM HEALTHCARE CORP DE X X 06/26/03 CREDIT & ASSET REPACKAGING VEHICLE CO DE X 07/01/03 CROSSTEX ENERGY LP DE X X 06/30/03 CSFB MORTGAGE BACK PASS THR CER SER 2 DE X 07/11/03 AMEND CV THERAPEUTICS INC DE X X 07/09/03 CWABS INC ASSET BACKED CERTIFICATES S DE X X 06/30/03 CWABS INC ASSET-BACKED CERTIFICATES S DE X X 05/05/03 CWMBS INC DE X X 07/11/03 CYBERGUARD CORP FL X X 07/11/03 CYTOGEN CORP DE X 07/10/03 DAOU SYSTEMS INC DE X X 07/09/03 DIVINE INC DE X X X 06/09/03 AMEND DURATEK INC DE X X 07/11/03 EARTHSHELL CORP DE X X 06/26/03 AMEND ECHELON CORP DE X X 07/10/03 EDISON INTERNATIONAL CA X X 07/10/03 ENRON CORP/OR/ OR X X 07/11/03 EQUITY INNS INC TN X X 07/10/03 EXELON CORP PA X 07/03/03 EYE CARE INTERNATIONAL INC DE X X 03/21/03 AMEND FCCC 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