SEC NEWS DIGEST Issue 2002-72 April 15, 2002 ENFORCEMENT PROCEEDINGS ND MONEY MANAGEMENT, INC., RANSON CAPITAL CORPORATION, ROBERT WALSTAD AND MONTE AVERY SETTLE FRAUD CHARGES On April 12, the Commission today brought fraud and other charges against ND Money Management, Inc. (ND Money Management), Ranson Capital Corporation (Ranson Capital), Robert E. Walstad (Walstad), president of ND Money Management and Ranson, and Monte L. Avery (Avery), portfolio manager for the mutual funds advised by ND Money Management and Ranson Capital (Funds). Without admitting or denying the charges, all four respondents are settling with the Commission. According to the findings in the Order, between May 1, 1996 and at least December 31, 1998, one of the Funds held more than 5% of its net assets in certificates of participation, contrary to the restriction set forth in the Fund's SAIs. Between December 2, 1996 and at least October 1, 1999, three of the Funds, at various times, purchased unrated industrial development bonds contrary to restrictions set forth in their prospectuses. From time to time, between May 1, 1996 and at least September 23, 1999, six of the Funds invested more than 5% of their total assets in another investment company contrary to restrictions set forth in their SAIs. The Order also found that, effective January 1, 1997, ND Money Management, Ranson Capital and the Funds all adopted the same Code of Ethics and Statement on Insider Trading (Code). The Code required, among other things, that certain employees pre-clear all personal securities transactions, have duplicate confirmations sent to the compliance officer by their brokers and report their securities positions on a quarterly and annual basis. It also required the Funds and their advisers to inform the affected employees of these duties. Prior to August 1998, no required employee had duplicate confirmations sent to the compliance officer, nor did they pre-clear securities transactions. Several required employees did not report their securities transactions on a quarterly basis prior to August 1998. The Order found that ND Money Management and Ranson Capital willfully violated and Walstad and Avery willfully aided and abetted and caused their violations of Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act) by permitting the Funds to make investments which materially deviated from investment restrictions set forth in the Funds' respective prospectuses and SAIs. The Commission also found that ND Money Management, Ranson Capital and Walstad willfully violated and Avery willfully aided and abetted and caused their violations of Section 34(b) of the Investment Company Act by filing false and misleading registration statements with the Commission. The Commission also found that ND Money Management, Ranson Capital, Walstad and Avery willfully aided and abetted and caused the Funds' violations of Section 12(d)(1)(A)(1) of the Investment Company Act by acquiring for the Funds the securities of another investment company, the value of which exceeded 5% of the Funds' net assets. The Commission also found that ND Money Management and Ranson Capital willfully violated and Walstad willfully aided and abetted and caused their violations of Section 17(j) of the Investment Company Act and Rules 17j-1(b) and 17j-1(c) thereunder by failing to use reasonable diligence and instituting procedures necessary to prevent violations of the Code and failing to notify employees of their duties under the Code. The Commission also found that ND Money Management and Ranson Capital willfully violated and Walstad willfully aided and abetted and caused their violations of Section 204 of the Advisers Act and Rule 204-2(a)(12) thereunder by failing to obtain and maintain quarterly transaction reports from required employees. In their offers of settlement each respondent agreed to be censured and ordered to cease and desist from committing or causing future violations of the Advisers Act and Investment Company Act provisions outlined above. Further, ND Money Management and Ranson Capital agreed to comply with certain remedial undertakings, consisting primarily of obtaining an independent consultant to review their compliance procedures related to the violations outlined above and to establish and implement new procedures as necessary. Last, ND Money Management and Ranson Capital will each pay a $10,000 civil monetary penalty, Walstad will pay a penalty of $15,000 and Avery will pay a penalty of $5,000. (Rels. IA- 2027; IC-25523; 34-45743; File No. 3-10757) INVESTMENT COMPANY ACT RELEASES CORRECTED ORDER OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT A corrected order has been issued under Section 8(f) of the Investment Company Act declaring that the following has ceased to be an investment company: PaineWebber Securities Trust [File No. 811-7374] (Rel. IC-25438A - April 10) PAINEWEBBER INVESTMENT TRUST II An errata has been issued for the purpose of correcting the name that appears in an order issued February 20, 2002 (Investment Company Act Release No. 25439). (Rel. IC-25439A - April 10) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2002-07) and Amendment Nos. 1 and 2 thereto filed by the New York Stock Exchange relating to listing standards applicable to the listing and trading of Trust Issued Receipts. Publication of the proposal is expected in the Federal Register during the week of April 15, 2002. (Rel. 34-45718) The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2002-15) filed by the New York Stock Exchange relating to the trading of certain Holding Company Depositary Receipts (HOLDRs). Publication of the proposal is expected in the Federal Register during the week of April 15. (Rel. 34-45729) PROPOSED RULE CHANGE The International Securities Exchange has filed a proposed rule change (SR-ISE-2002-07) under which ISE would require members to participate in mandatory system tests and would impose fines on members that fail to participate in these tests. Publication of the proposal is expected in the Federal Register during the week of April 15, 2002. (Rel. 34-45726) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment Nos. 1 and 2 thereto filed by the American Stock Exchange LLC relating to specialist unit fees (SR-Amex- 2002-08) 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 April 15. (Rel. 34-45727) The American Stock Exchange filed pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 a proposed rule change (SR-Amex-2002-17) relating to intraday comparison fees for equities. Publication of the proposal is expected in the Federal Register during the week of April 15. (Rel. 34-45728) APPROVAL OF PROPOSED RULE CHANGES The Commission has approved a proposed rule change submitted by the National Association of Securities Dealers, through its wholly-owned subsidiary, NASD Regulation, Inc. (SR-NASD-2002-11) amending NASD Rule 2260 to require members to make reasonable efforts to forward issuer and trustee communications to beneficial holders of non-municipal debt securities. Publication of the order in the Federal Register is expected during the week of April 15. (Rel. 34-45736) The Commission approved a proposed rule change (SR-PCX-00-45) and issued notice of filing and granted accelerated approval to Amendment No. 1 to the proposed rule change submitted by the Pacific Exchange to eliminate position and exercise limits for certain qualified hedge strategies. (Rel. 34-45737) WITHDRAWALS SOUGHT Notice has been issued giving interested persons until May 2, 2002, to comment on the application of BIOQUAL, Inc. to withdraw its Common Stock, $0.01 par value, from listing and registration on the Chicago Stock Exchange. (Rel. 34-45747) Notice has been issued giving interested persons until May 2, 2002, to comment on the application of DRS Technologies, Inc. to withdraw its Common Stock, par value $.01 per share par value, from listing and registration on the American Stock Exchange. (Rel. 34-45747) DELISTINGS GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the Common Stock, $.001 par value, of Longport, Inc., effective at the opening of business on April 15, 2002. (Rel. 34-45750) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Class A Common Stock, $.001 par value, of Clarion Commercial Holdings, Inc., effective at the opening of business on April 12, 2002. (Rel. 34-45751) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the Common Stock, $.001 par value, of GenesisIntermedia, Inc., effective at the opening of business on April 15, 2002. (Rel. 34-45752) 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 securities, effective April 15, 2002. (Rel. 34- 45753) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the Common Stock, no par value, of Crew Development Corporation, effective at the opening of business on April 15, 2002. (Rel. 34-45754) 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-4 BIOMERICA INC, 1533 MONROVIA AVENUE, NEWPORT BEACH, CA, 92663, 9496452111 - 50,000 ($2,500.00) Equity, (File 333-86066 - Apr. 12) (BR. 36) S-4 GRAY COMMUNICATIONS SYSTEMS INC /GA/, 4370 PEACHTREE ROAD NE, ALBANY, GA, 30319, 9128889390 - 0 ($180,000,000.00) Non-Convertible Debt, (File 333-86068 - Apr. 12) (BR. 37) S-3 MATTSON TECHNOLOGY INC, 2800 BAYVIEW DR, FREMONT, CA, 94538, 5106575900 - 7,423,644 ($53,598,709.68) Equity, (File 333-86072 - Apr. 12) (BR. 36) S-3 SMITH A O CORP, P O BOX 245009, MILWAUKEE, WI, 53224-9509, 4143594000 - 4,025,000 ($106,099,000.00) Equity, (File 333-86074 - Apr. 12) (BR. 36) S-1 HEALTHETECH INC, 523 PARK POINT DRIVE, 3RD FLOOR, GOLDEN, CO, 80401, 303-526-5085 - 0 ($86,250,000.00) Equity, (File 333-86076 - Apr. 12) (BR. ) SB-2 CONSCIOUS INTENTION INC, 853,000 ($426,500.00) Equity, (File 333-86078 - Apr. 12) (BR. ) S-8 HALLIBURTON CO, 3600 LINCOLN PLZ, 500 N AKARD ST, DALLAS, TX, 75201-3391, 2149782600 - 15,000,000 ($248,325,000.00) Equity, (File 333-86080 - Apr. 12) (BR. 04) SB-2 SOUTHERN COMMUNITY BANCSHARES INC /GA, 525 NORTH JEFF DAVIS DRIVE, FAYETTEVILLE, GA, 30214, 7704614365 - 0 ($8,000,000.00) Equity, (File 333-86082 - Apr. 12) (BR. ) S-2 VIRGINIA COMMERCE BANCORP INC, 5350 LEE HIGHWAY, ARLINGTON, VA, 22207, 035340700 - 0 ($7,050,000.00) Equity, (File 333-86084 - Apr. 12) BR. 07) S-3 SIMON PROPERTY GROUP INC /DE/, 115 WEST WASHINGTON STREET, INDIANAPOLIS, IN, 46204, 3176361600 - 0 ($3,320,000.00) Equity, (File 333-86086 - Apr. 12) (BR. 08) S-3 CHATEAU COMMUNITIES INC, 6160 S SYRACUSE WAY, GREENWOOD VILLAGE, CO, 80111, 3037418707 - 0 ($112,864,651.00) Equity, (File 333-86088 - Apr. 12) (BR. 08) S-8 EMPYREAN COMMUNICATIONS INC, 2537 SOUTH GESSNER SUITE 114, HOUSTON, TX, 77063, 7132607236 - 3,500,000 ($630,000.00) Equity, (File 333-86092 - Apr. 12) (BR. 05) S-8 ROANOKE TECHNOLOGY CORP, 539 BECKER DRIVE, ROANOKE RAPIDS, NC, 27870, 2525379222 - 1,000,000 ($120,000.00) Equity, (File 333-86094 - Apr. 12) (BR. 08) N-2 COHEN & STEERS STRATEGIC INCOME REALTY FUND INC, 757 THIRD AVENUE, NEW YORK, NY, 10017, 66,666 ($1,000,000.00) Equity, (File 333-86096 - Apr. 12) (BR. ) S-3 ADAPTEC INC, 691 S MILPITAS BLVD, M/S25, MILPITAS, CA, 95035, 4089458600 - 150,000 ($1,878,000.00) Equity, (File 333-86098 - Apr. 12) (BR. 03) S-3 CELLPOINT INC, 3000 HILLSWOOD DR, HILLSWOOD BUSINESS PARK, CHERTSEY SURREY ENGL, 0114685449 - 1,273,411 ($700,376.05) Equity, (File 333-86100 - Apr. 12) (BR. 37) S-8 ACE LTD, ACE BLDG, 30 WOODBOURNE AVE, HAMILTON HM 08 BERMU, D0, 00000, 8092955200 - 500,000 ($21,615,000.00) Equity, (File 333-86102 - Apr. 12) (BR. 01) S-8 H-ENTERTAINMENT INC, 4695 MACARTHUR COURT, STE 1450, NEWPORT BEACH, CA, 92660, 7148335380 - 7,500,000 ($393,750.00) Equity, (File 333- 86104 - Apr. 12) (BR. 05) S-8 DURECT CORP, 10240 BUBB RD, CUPERTINO, CA, 95014, 4087771417 - 0 ($18,760,950.00) Equity, (File 333-86110 - Apr. 12) (BR. 06) S-8 WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 2539242345 - 27,365,500 ($1,665,601,157.50) Equity, (File 333- 86114 - Apr. 12) (BR. 06) S-8 DIGITAL ANGEL CORP, 490 VILLAUME AVENUE, SOUTH ST. PAUL, MN, 55075, 6514551621 - 5,195,312 ($2,154,141.00) Equity, (File 333-86116 - Apr. 12) (BR. 01) S-8 SUMMUS INC USA, TWO HANOVER SQUARE, 434 FAYETTEVILLE STREET SUITE 2120, RALEIGH, NC, 27601, 9198075693 - 6,775,000 ($8,265,500.00) Equity, (File 333-86120 - Apr. 12) (BR. 08) S-8 STEWART & STEVENSON SERVICES INC, 2707 N LOOP W, HOUSTON, TX, 77008, 7138687700 - 0 ($2,721,800.00) Equity, (File 333-86122 - Apr. 12) (BR. 36) SB-2 CELL ROBOTICS INTERNATIONAL INC, 2715 BROADBENT PKWY. N.E., ALBUQUERQUE, NM, 87107, 7195904900 - 1,266,667 ($703,000.00) Equity, (File 333-86138 - Apr. 12) (BR. 36) S-8 RAMBUS INC, 4440 EL CAMINO REAL, LOS ALTOS, CA, 94022, 650-947-5000 - 0 ($86,362,565.77) Equity, (File 333-86140 - Apr. 12) (BR. 36) S-4 PARK PLACE ENTERTAINMENT CORP, 3930 HOWARD HUGHES PKWY, LAS VEGAS, NV, 89109, 7026995000 - 0 ($375,000,000.00) Non-Convertible Debt, (File 333-86142 - Apr. 12) (BR. 08) S-8 STEWART & STEVENSON SERVICES INC, 2707 N LOOP W, HOUSTON, TX, 77008, 7138687700 - 0 ($6,146,000.00) Equity, (File 333-86144 - Apr. 12) (BR. 36) S-4 FELCOR LODGING L P, 545 E. JOHN CARPENTER FREEWAY, SUITE 1300, IRVING, TX, 75062, 9724444900 - 0 ($100,000,000.00) Non-Convertible Debt, (File 333-86146 - Apr. 12) (BR. 08) S-3 FSI INTERNATIONAL INC, 322 LAKE HAZELTINE DR, CHASKA, MN, 55318, 6124485440 - 0 ($31,505,984.25) Equity, (File 333-86148 - Apr. 12) (BR. 36) S-4 WESTAMERICA BANCORPORATION, 1108 FIFTH AVE, SAN RAFAEL, CA, 94901, 7078636038 - 1,489,636 ($15,715,659.80) Equity, (File 333-86150 - Apr. 12) (BR. 07) S-8 VASOMEDICAL INC, 180 LINDEN AVENUE, WESTBURY, NY, 11590, 5169974600 - 2,000,000 ($5,540,000.00) Equity, (File 333-86152 - Apr. 12) (BR. 36) S-3 BIO VASCULAR INC, 2575 UNIVERSITY AVENUE, ST PAUL, MN, 55114-1024, 6516033700 - 140,434 ($1,084,150.00) Equity, (File 333-86154 - Apr. 12) (BR. 36) S-3 IGEN INTERNATIONAL INC /DE, 16020 INDUSTRIAL DR, GAITHERSBURG, MD, 20877, 3019848000 - 31,726 ($1,169,896.25) Equity, (File 333-86156 - Apr. 12) (BR. 04) S-8 ACME COMMUNICATIONS INC, 2101 E FOURTH STREET SUITE 202, SANTA ANA, CA, 92705, 7142459499 - 4,200,000 ($45,360,000.00) Equity, (File 333-86158 - Apr. 12) (BR. 37) S-8 PARTNERS TRUST FINANCIAL GROUP INC, 233 GENESEE STREET, UTICA, NY, 13501, 0 ($1.00) Equity, (File 333-86160 - Apr. 12) (BR. 09) S-1 CHINA BROADBAND CORP, 2080 442 2 AVE SW, CALGARY ALBERTA, CANADA T2P 5E9, A1, 4032348885 - 4,451,500 ($1,488,741.52) Equity, (File 333-86162 - Apr. 12) (BR. 09) S-8 AMERITRADE HOLDING CORP, 4211 SOUTH 102ND ST, OMAHA, NE, 68127, 4023317856 - 0 ($63,440,000.00) Equity, (File 333-86164 - Apr. 12) (BR. 07) S-3 ACTIVISION INC /NY, 3100 OCEAN PARK BLVD, STE 1000, SANTA MONICA, CA, 90405, 3102552000 - 327,586 ($9,280,511.38) Unallocated (Universal) Shelf, (File 333-86166 - Apr. 12) (BR. 03) S-8 WATCHGUARD TECHNOLOGIES INC, 505 FIFTH AVENUE SOUTH SUITE 500, SEATTLE, WA, 98104, 2065218340 - 0 ($2,937,547.00) Equity, (File 333-86168 - Apr. 12) (BR. 03) S-8 BRIGHT HORIZONS FAMILY SOLUTIONS INC, ONE KENDALL SQUARE, BUILDING 200, CAMBRIDGE, MA, 02139, 6152569915 - 0 ($22,466,250.00) Equity, (File 333-86170 - Apr. 12) (BR. 01) S-8 DELTAGEN INC, 740 BAY ROAD, REDWOOD CITY, CA, 94063-2469, 6505695100 - 0 ($22,337,075.00) Equity, (File 333-86172 - Apr. 12) (BR. 01) S-3 PENTON MEDIA INC, 1300 EAST NINTH STREET, CLEVELAND, OH, 44114, 2166967000 - 8,871,349 ($66,756,901.00) Equity, (File 333-86174 - Apr. 12) (BR. 05) S-8 VASTERA INC, 45025 AVIATION DR, STE 200, DULLES, VA, 20166, 0 ($12,894,042.35) Equity, (File 333-86176 - Apr. 12) (BR. 04) S-8 VERISIGN INC/CA, 1350 CHARLESTON RD, MOUNTAIN VIEW, CA, 94043, 6509617500 - 0 ($47,082,542.00) Equity, (File 333-86178 - Apr. 12) (BR. 03) S-1 NOVIRIO PHARMACEUTICALS LTD, BOX 265 WALKER HOUSE, GEORGE TOWN, GRAND CAYMAN CAYMAN ISLANDS, E9, 3459490100 - 0 ($115,000,000.00) Equity, (File 333-86184 - Apr. 12) (BR. ) S-8 VERISIGN INC/CA, 1350 CHARLESTON RD, MOUNTAIN VIEW, CA, 94043, 6509617500 - 0 ($110,804,510.00) Equity, (File 333-86188 - Apr. 12) (BR. 03) S-1 ASPENBIO INC, 8100 SOUTHPARK WAY, UNIT B 1, LITTLETON, CO, 80120, 3037942000 - 0 ($4,313,263.00) Equity, (File 333-86190 - Apr. 12) (BR. ) S-3 MANUFACTURERS SERVICES LTD, 300 BAKER AVENUE, CONCORD, MA, 01742, 6173307682 - 0 ($29,984,178.00) Equity, (File 333-86192 - Apr. 12) (BR. 36) S-3 OMNICOM GROUP INC, 437 MADISON AVE, NEW YORK, NY, 10022, 2124153700 - 1 ($921,420,000.00) Debt Convertible into Equity, (File 333-86194 - Apr. 12) (BR. 02) S-3 SILVERSTREAM SOFTWARE INC, TWO FEDERAL ST, BILLERICA, MA, 01821, 9782623000 - 154,580 ($772,900.00) Equity, (File 333-86198 - Apr. 12) (BR. 03) S-3 APARTMENT INVESTMENT & MANAGEMENT CO, COLORADO CENTER TOWER TWO, 2000 S COLORADO BLVD STE 2-1000, DENVER, CO, 80222-4348, 3037578101 - 0 ($60,688,654.00) Equity, (File 333-86200 - Apr. 12) (BR. 08) S-8 VIRTUAL GAMING ENTERPRISES INC, 2580 SEA SCAPE GLEN, ESCONDIDO, CA, 92026, 7605100188 - 50,000,000 ($2,500,000.00) Equity, (File 333-86204 - Apr. 12) (BR. 09) SB-2 GLOBAL ENERGY GROUP INC, 15445 N NEBRASKA AVENUE, -, LUTZ, FL, 33549, 813-631-8880 - 0 ($8,531,302.30) Equity, (File 333-86208 - Apr. 12) (BR. 09) 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 ----------------------------------------------------------------------------- ------- 5B TECHNOLOGIES CORP DE X 02/28/02 AAIPHARMA INC DE X X 03/07/02 AMEND ABINGTON BANCORP INC MA X X 04/10/02 ADVANCED PRECISION TECHNOLOGY INC NV X 03/25/02 ADVANCED SWITCHING COMMUNICATIONS INC DE X X 04/12/02 ALASKA AIR GROUP INC DE X 04/12/02 ALD SERVICES INC NV X 04/12/02 AMTROL INC /RI/ RI X 04/12/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X X 01/24/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 02/21/02 BANKNORTH GROUP INC/ME ME X X 04/10/02 AMEND BSQUARE CORP /WA WA X 04/09/02 CABLE DESIGN TECHNOLOGIES CORP DE X X 04/08/02 CAPITAL BANCORP INC TN X X 04/12/02 CAPITAL TITLE GROUP INC DE X X 04/01/02 CARDIOGENESIS CORP /CA CA X X X 04/05/02 CAREMARK RX INC DE X X 04/09/02 CARRIZO OIL & GAS INC TX X X 04/11/02 CBRL GROUP INC TN X X 04/10/02 CELL THERAPEUTICS INC WA X X 04/08/02 CHARTER MUNICIPAL MORTGAGE ACCEPTANCE DE X X 04/10/02 CHORDIANT SOFTWARE INC DE X X 04/01/02 CNH CAPITAL RECEIVABLES INC DE X X 03/28/02 COCA COLA ENTERPRISES INC DE X X 04/11/02 COCA COLA ENTERPRISES INC DE X X 01/23/02 AMEND COLGATE PALMOLIVE CO DE X 04/12/02 CONSECO FINANCE CORP DE X 04/05/02 CONSECO FINANCE SECURITIZATIONS CORP DE X X 04/15/02 CORINTHIAN COLLEGES INC X X 04/10/02 CORIXA CORP DE X X 12/13/01 AMEND CYNTECH TECHNOLOGIES INC UT X 04/11/02 CYTOMEDIX INC DE X X 04/12/02 CYTOMEDIX INC DE X X 04/12/02 DCI TELECOMMUNICATIONS INC CO X 04/12/02 DECORIZE INC DE X X 04/12/02 DREXLER TECHNOLOGY CORP DE X X 04/08/02 DYNAMIC IMAGING GROUP INC/FL FL X X 03/01/02 E-MEDSOFT COM NV X X 03/29/02 EL PASO CORP/DE DE X 04/12/02 ENTERTAINMENT PROPERTIES TRUST MD X X 04/08/02 ENTERTAINMENT PROPERTIES TRUST MD X 04/08/02 ENTREPORT CORP FL X X 03/18/02 AMEND EOG RESOURCES INC DE X X 04/04/02 ESOFT INC DE X 04/09/02 FEDEX CORP DE X X 03/11/02 AMEND FILENET CORP DE X 04/02/02 FINDERS KEEPERS INC NV X 12/05/01 AMEND FOCAL COMMUNICATIONS CORP DE X X 04/09/02 FORD MOTOR CREDIT CO DE X X 04/01/02 FOSTER WHEELER LTD D0 X 04/12/02 FRANKLIN CAPITAL CORP DE X X X 04/03/02 GASCO ENERGY INC NV X 04/11/02 GENSYM CORP DE X 04/08/02 GEORGIA PACIFIC CORP GA X X 04/09/02 GLOBAL CROSSING LTD X X 04/12/02 GLOBAL POWER EQUIPMENT GROUP INC/ DE X X 04/08/02 GRAHAM PACKAGING HOLDINGS CO DE X X 03/28/02 GREYHOUND FUNDING LLC DE X X 04/12/02 GREYSTONE DIGITAL TECHNOLOGY INC DE X 04/12/02 GTSR HOPEFUL CORP NV X X X 03/31/02 HEALTHTRAC INC X 04/10/02 HEALTHY PLANET PRODUCTS INC DE X X 04/09/02 HEI INC MN X 04/10/02 ILM II SENIOR LIVING INC /VA VA X X 04/02/02 IMPAC SECURED ASSETS CORP CA X X 03/28/02 IMPAC SECURED ASSETS CORP CA X 03/28/02 IMPLANT SCIENCES CORP MA X X 04/02/02 INDIGINET INC/FL FL X X 03/31/02 AMEND INSIGNIA FINANCIAL GROUP INC /DE/ DE X X 04/12/02 INTELLIGROUP INC NJ X X 04/12/02 INTERDIGITAL COMMUNICATIONS CORP PA X X 04/08/02 INTERNATIONAL BANCSHARES CORP TX X X 04/12/02 INTERNATIONAL WIRELESS INC MD X X 04/05/02 JORE CORP MT X 03/31/02 KIMBERLY CLARK CORP DE X 04/12/02 KOGER EQUITY INC FL X X 01/31/02 AMEND LANDS END INC DE X 04/12/02 LIGAND PHARMACEUTICALS INC DE X X 04/12/02 LONG BEACH MORT LOAN TRUST 2002-1AS B DE X X 04/02/02 LOTUS PACIFIC INC DE X X 03/26/02 AMEND MAIN STREET BANKS INC /NEW/ GA X X 04/12/02 MARVELL TECHNOLOGY GROUP LTD D0 X 04/09/02 MASSACHUSETTS FINCORP INC DE X X 04/10/02 MAY DEPARTMENT STORES CO DE X 04/12/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X X 03/31/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X X 03/31/02 MBNA CORP MD X 03/31/02 MCAFEE COM CORP DE X X 04/10/02 MEDIX RESOURCES INC CO X 04/10/02 MEDTRONIC INC MN X X 04/12/02 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 04/09/02 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 04/09/02 METLIFE INC DE X X 04/11/02 MOLICHEM MEDICINES INC DE X X 04/11/02 MONOGRAM PICTURES INC NV X X X 04/05/02 MTS INC CA X X 04/11/02 NATIONAL BANCSHARES CORP /OH/ OH X X 04/03/02 NATIONAL CONSUMER COOPERATIVE BANK /D DC X X 04/09/02 NATIONAL MERCANTILE BANCORP CA X 12/14/01 AMEND NDCHEALTH CORP DE X X 04/12/02 NETWORD INC DE X X 04/10/02 NEUROTECH DEVELOPMENT CORP DE X 04/12/02 NOVASTAR MORTGAGE FUNDING TRUST SERIE DE X X 03/20/02 NOVASTAR MORTGAGE FUNDING TRUST SERIE DE X 03/27/02 NPS PHARMACEUTICALS INC DE X 04/12/02 NSTOR TECHNOLOGIES INC DE X X 04/10/02 NX NETWORKS INC DE X X 02/28/02 OCEANEERING INTERNATIONAL INC DE X 04/15/02 OLYMPIC CASCADE FINANCIAL CORP DE X 04/10/02 PAUL SON GAMING CORP NV X X 04/11/02 POPULAR INC PR X X 04/10/02 POWERWAVE TECHNOLOGIES INC DE X X 04/11/02 PRIME GROUP REALTY TRUST MD X 04/12/02 PRO PHARMACEUTICALS INC NV X 04/12/02 QUEST DIAGNOSTICS INC DE X X 04/01/02 REPUBLIC FIRST BANCORP INC PA X X 04/05/02 RIGHT MANAGEMENT CONSULTANTS INC PA X X 04/08/02 RSA SECURITY INC/DE/ DE X X 04/11/02 SAF T LOK INC FL X X 04/05/02 SAVE THE WORLD AIR INC NV X X X X 03/28/02 SEQUOIA MORTGAGE FUNDING CORP MD X 04/10/02 SMITH & WESSON HOLDING CORP NV X X 03/28/02 SMITH A O CORP DE X X 04/12/02 ST JOSEPH CAPITAL CORP DE X X 04/11/02 STANDARD COMMERCIAL CORP NC X 04/12/02 STRATEGIC DIAGNOSTICS INC/DE/ DE X X 04/08/02 STRATOS LIGHTWAVE INC DE X X 03/28/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/28/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 03/28/02 STRUCTURED ASSET SECURITIES CORP MORT DE X 03/28/02 SYS CA X 04/12/02 TARANTELLA INC CA X X 03/28/02 TEAMSTAFF INC NJ X X 04/10/02 THQ INC DE X 04/09/02 TII INDUSTRIES INC DE X X 04/09/02 TRICORD SYSTEMS INC /DE/ DE X 04/11/02 TRUSERV CORP DE X X 04/11/02 U S AGGREGATES INC DE X X 04/12/02 UNION NATIONAL FINANCIAL CORP / PA PA X 03/31/02 VIDEO NETWORK COMMUNICATIONS INC DE X 04/12/02 WALGREEN CO IL X X 04/09/02 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X 03/27/02 WASATCH PHARMACEUTICAL INC UT X 04/12/02 WATCHGUARD TECHNOLOGIES INC DE X X 04/02/02 WORKSTREAM INC X X 04/12/02 XEROX CORP NY X X 04/11/02 XEROX CREDIT CORP DE X X 04/11/02 XM SATELLITE RADIO HOLDINGS INC DE X X 04/12/02 XTO ENERGY INC DE X X 04/11/02