SEC NEWS DIGEST
Issue 2002-100 May 23, 2002
ENFORCEMENT PROCEEDINGS
CORONA DEL MAR MAN SENTENCED FOR SECURITIES FRAUD
The Commission announced that on May 14, 2002, a federal judge in Santa
Ana, California sentenced a Corona Del Mar man to 84 months in federal
prison and ordered him to pay $8,669,724 in restitution arising out of a
securities fraud scheme. Steven Hevell, 38, pleaded guilty to three
counts of mail fraud derived from a Ponzi scheme that defrauded 350
victims out of nearly $8.7 million. The Honorable Alicemarie H. Stotler
of the U.S. District Court for the Central District of California
imposed the sentence on Hevell, commenting that his companies were "a
fairly straightforward Ponzi scheme."
Hevell defrauded his victims using three companies-MicroWest Industries,
Inc., Advanced I.D. Technology and Consolidated Imaging Centers
Radiology Network. During the period from 1994 to 1997, Hevell sold
investments in these high-technology companies by falsely promising that
the companies would have substantial revenues from selling software that
electronically transmitted radiological images over telephone lines.
Hevell promised his investors an annual interest return of 14 to 17.5
percent. The companies actually had no revenues and Hevell used new
investor dollars to pay interest owed to previous investors, a classic
Ponzi scheme. The interest payments led investors to believe that the
companies were profitable and caused investors to make additional
investments. Eventually, Hevell stopped making the interest payments
and converted the investors' interests into worthless company stock.
Hevell had earlier settled a civil action brought by the Commission by
consenting to the entry of a permanent injunction and specified
disgorgement. In the Commission's case, the District Court enjoined
Hevell from future violations of Sections 5(a), 5(c) and 17(a) of the
Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities
Exchange Act of 1934 and Rule 10b-5 thereunder. The Court also ordered
Hevell to disgorge the sum of $400,000 with a waiver of all but $30,000
based upon financial statements submitted by Hevell. [U.S. v. Steven
Hevell, Criminal Action No. SACR 01-72, C.D. Cal., AHS] (LR-17529)
OFFICER AND DIRECTOR BARS AND ANTIFRAUD INJUNCTIONS ENTERED AGAINST MICHAEL
LESTER AND LARS KRAM
The Commission announced that on May 14, 2002, Judge Barbara S. Jones
entered final judgments against defendants Michael Anthony Lester
(Lester) and Lars M. Kram (Kram), barring them from serving as an
officer or director of a public company. The judgment also contains
permanent injunctions against Lester and Kram, enjoining them from
further violations of Sections 17(a) and of the Securities Act of 1933
and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
thereunder. In addition, the judgment permanently enjoins Lester from
further violations of Section 17(b) of the Exchange Act. The Court
further ordered Kram to disgorge $73,659.98 plus $10,708.75 in
prejudgment interest, but waived payment based on his demonstrated
inability to pay. Finally, the Court did not impose civil monetary
penalties based on Lester's and Kram's demonstrated inabilities to pay.
Defendants Kram and Lester consented to the entry of the judgments,
without admitting or denying the allegations in the Commission's
complaint.
The complaint, filed on August 16, 2001, charged American Healthcare
Providers, Inc. and five individuals for their roles in an Internet
market manipulation scheme. The Commission's complaint alleges that
American Healthcare was a start-up company with "headquarters" in the
New York City apartment of one of the defendants, and had virtually no
business operations. The Commission charges that after pumping up the
price of American Healthcare stock through an extensive campaign of
false press releases and Internet message board postings, certain of the
defendants dumped their holdings of the stock on the unsuspecting
public, reaping at least $1.47 million in illicit gains. The Commission
continues to prosecute the litigation against the remaining defendants.
See also LR-17104 (August 16, 2001).
For tips on how to avoid Internet "pump-and-dump" stock manipulation schemes,
visit http://www.sec.gov/investor/online/pump.htm. For more information about
Internet fraud, visit http://www.sec.gov/divisions/enforce/internetenforce.htm.
To report suspicious activity involving possible Internet fraud, visit
http://www.sec.gov/complaint.shtml. [SEC v. American Healthcare
Providers, Inc., Arthur W. Wheeler, Lars M. Kram, Angel L. Lorie Jr.,
Luis F. Lorie, and Michael Anthony Lester, 01 Civ 7649, B.S.J, S.D.N.Y.,
May 14, 2002] (LR-17530)
SECURITIES AND EXCHANGE COMMISSION OBTAINS JUDGMENTS AGAINST ALL FOUR
DEFENDANTS INVOLVED IN FRAUDULENT PROMISSORY NOTE CASE
The Commission announced that the U.S. District Court for the Southern
District of Florida has entered final judgments against all four of the
defendants involved in a securities fraud action arising from a
promissory note scheme. The Court granted summary judgments against two
individual defendants, Raphael "Ray" Levy of Lake Worth, Florida, and
Larry Schwartz of Boca Raton, Florida, for their involvement in a scheme
that fraudulently induced more than 600 investors in 27 states to
purchase at least $55 million in unregistered promissory notes. The
remaining two defendants, U.S. Capital Funding, Inc. and First Capital
Services, Inc., consented to the entry of final judgments against them.
The Court permanently enjoined all four defendants from future
violations of the antifraud provisions of the federal securities laws
and from offering or selling unregistered securities and ordered that
they pay disgorgement plus prejudgment interest and civil penalties. In
addition, the court permanently enjoined Levy and U.S. Capital from
selling securities without registering with the Commission as broker-
dealers or associating with registered broker-dealers. [SEC v. First
Capital Services, Inc. et al., Civil Action No. 00-8445-CIV-
MIDDLEBROOKS, S.D. Florida, Miami Division] (LR-17531)
INVESTMENT COMPANY ACT RELEASES
PRICE COMMUNICATIONS CORPORATION, ET AL.
An order has been issued under Section 6(c) of the Investment Company
Act on an application filed by Price Communications Corporation (Price)
and Price Communications Wireless, Inc. (PCW) exempting Price and PCW
from all provisions of the Act for a period of no longer than four
years. (Rel. IC-25579 - May 22)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change
submitted by the American Stock Exchange (SR-Amex-2002-24) under Rule
19b-4 of the Securities Exchange Act of 1934 relating to the listing and
trading of Securities Linked to the Nasdaq- 100 Index. Publication of
the proposal is expected in the Federal Register during the week of May
27. (Rel. 34-45966)
PROPOSED RULE CHANGES
The National Association of Securities Dealers has filed a proposed rule
change and Amendment Nos. 1, 2 and 3 (SR-NASD-2002-42) under Section
19(b)(1) of the Securities Exchange Act of 1934 relating to the
integrated processing of odd-lot share amounts in Nasdaq's SuperMontage
system. Publication of the proposal is expected in the Federal Register
during the week of May 27. (Rel. 34-45968)
The Commission published notice of a proposed rule change (File No. SR-
DTC-2002-04) filed by The Depository Trust Company under Section
19(b)(1) of the Exchange Act. The proposed rule change would amend DTC's
Procedures to authorize the application of a Receiver-Authorized
Delivery-like function to Maturity Presentments for Money Market
Instruments in times of unusual market stress. Publication of the
proposal is expected in the Federal Register during the week of May 27.
(Rel. 34-45969)
The New York Stock Exchange filed a proposed rule change (SR-NYSE-2001-
33) under Section 19(b)(1) of the Exchange Act. The proposed rule change
to specify that a stock may be listed on the NYSE notwithstanding that
it is dematerialized or in book-entry-only form if the stock is included
in the Direct Registration System. Publication of the proposal is
expected in the Federal Register during the week of May 27. (Rel. 34-
45970)
WITHDRAWAL
An order has been issued granting the application AT Plastics, Inc. to
withdraw its Common Stock, no par value, from listing and registration
on the American Stock Exchange effective at the opening of business on
May 23, 2002. (Rel. 34-45973)
CORRECTION
The item in yesterday's Digest concerning SR-NASD-2002-56 should have
given an expected Federal Register publication date of May 27.
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:
<publicinfo@sec.gov>. In most cases, this information is also available
on the Commission's website: <www.sec.gov>.
S-8 ST MARY LAND & EXPLORATION CO, 1776 LINCOLN ST STE 1100, DENVER, CO,
80203, 3038618140 - 1,000,000 ($24,210,000.00) Equity,
(File 333-88780 - May. 22) (BR. 04)
S-1 MYMETICS CORP, 50-52 AVENUE DU CHANOINE CARTELLIER,
SAINT GENIS LAVAL FRANCE, 69230, 6046462030 -
0 ($140,315,766.50) Equity, (File 333-88782 - May. 22) (BR. 01)
S-8 LONGS DRUG STORES CORP, 141 N CIVIC DR, WALNUT CREEK, CA, 94596,
4159371170 - 20,000,000 ($20,000,000.00) Equity, (File 333-88786 -
May. 22) (BR. 01)
N-2 HYPERION STRATEGIC MORTGAGE INCOME FUND INC, ONE LIBERTY PLAZA,
165 BROADWAY 36TH FLOOR, NEW YORK, NY, 10006-1404, 2125498466 -
4,000,000 ($60,000,000.00) Equity, (File 333-88788 - May. 22) (BR. 22)
S-8 BILLYWEB CORP, 222 LAKE AVENUE, WEST PALM BEACH, FL, 33401,
3,000,000 ($1,500,000.00) Equity, (File 333-88790 - May. 22) (BR. 09)
S-8 AVANT CORP, 46871 BAYSIDE PKWY, FREMONT, CA, 94538, 5104138000 -
250,000 ($4,762,500.00) Equity, (File 333-88792 - May. 22) (BR. 03)
S-3 AMERUS GROUP CO/IA, 699 WALNUT STREET, DES MOINES, IA, 50309,
5153623600 - 0 ($185,000,000.00) Equity, (File 333-88794 - May. 22)
(BR. 01)
S-8 ISECURETRAC CORP, 3345 N 107 ST, OMAHA, NE, 68154, 4024982734 -
0 ($11,002,500.00) Equity, (File 333-88798 - May. 22) (BR. 04)
S-4 DURA OPERATING CORP, 2791 RESEARCH DRIVE, ROCHSESTER HILLS, MI, 48309,
2482997500 - 0 ($350,000,000.00) Other, (File 333-88800 - May. 22)
(BR. 05)
S-4 ISLE OF CAPRI CASINOS INC, 1641 POPPS FERRY RD, BILOXI, MS, 39532,
2283967044 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-88802 - May. 22) (BR. 05)
S-8 INFOGRAMES INC, 417 FIFTH AVENUE, NEW YORK, NY, 10016, 2127266500 -
0 ($2,892,789.52) Equity, (File 333-88804 - May. 22) (BR. 03)
S-8 SELECTIVE INSURANCE GROUP INC, 40 WANTAGE AVENUE, BRANCHVILLE, NJ,
07890, 2019483000 - 0 ($40,648,953.00) Equity, (File 333-88806 -
May. 22) (BR. 01)
S-8 ILLUMINA INC, 9390 TOWNE CENTRE DRIVE, SUITE 200, SAN DIEGO, CA, 92121,
8585874290 - 1,500,000 ($9,900,000.00) Equity, (File 333-88808 -
May. 22) (BR. 36)
SB-2 LONE MOOSE ADVENTURES INC, 200,000 ($100,000.00) Equity,
(File 333-88810 - May. 22) (BR. )
S-3 STORAGE COMPUTER CORP, 11 RIVERSIDE STREET, NASHUA, NH, 03062-1373,
6038803005 - 0 ($5,340,600.00) Equity, (File 333-88812 - May. 22)
(BR. 03)
S-3 EMAC SECURITIES CORP, 91 WESTBOROUGH BLVD, STE 200, SAN FRANCISCO, CA,
94080, 6509521000 - 0 ($1,000,000.00) Mortgage Backed Securities,
(File 333-88814 - May. 22) (BR. )
S-8 NEW CENTURY FINANCIAL CORP, 18400 VON KARMAN, SUITE 1000, IRVINE, CA,
92612, 7148637243 - 2,000,000 ($51,740,000.00) Equity,
(File 333-88816 - May. 22) (BR. 07)
S-8 EXPEDITORS INTERNATIONAL OF WASHINGTON INC,
1015 THIRD AVENUE 12TH FLOOR, SEATTLE, WA, 98104, 2066743400 -
0 ($213,615,240.00) Equity, (File 333-88818 - May. 22) (BR. 05)
SB-1 SEARCHHELP INC, 8,000,000 ($4,000,000.00) Other, (File 333-88820 -
May. 22) (BR. )
SB-2 AIR PACKAGING TECHNOLOGIES INC, 25620 RYE CANYON ROAD, VALENCIA, CA,
91355, 6612942222 - 2,092,488 ($941,620.00) Equity, (File 333-88826 -
May. 22) (BR. 06)
S-8 EN POINTE TECHNOLOGIES INC, 100 N SEPULVEDA BLVD, 19TH FL, EL SEGUNDO,
CA, 90245-, 3107255200 - 0 ($227,500.00) Equity, (File 333-88828 -
May. 22) (BR. 03)
S-8 FULLCIRCLE REGISTRY INC, 500 WEST JEFFERSON STREET,
PNC PLAZA, SUITE 2310, LOUISVILLE, KY, 40202, 502 540-5112 -
1,400,000 ($11,900,000.00) Equity, (File 333-88830 - May. 22) (BR. 09)
S-8 ATMOS ENERGY CORP, 1800 THREE LINCOLN CTR, 5430 LBJ FREEWAY, DALLAS,
TX, 75240, 9729349227 - 0 ($58,300,000.00) Equity, (File 333-88832 -
May. 22) (BR. 02)
S-3 AMGEN INC, ONE AMGEN CENTER DRIVE, THOUSAND OAKS, CA, 91320-1799,
805-447-1000 - 0 ($2,713,255,000.00) Equity, (File 333-88834 - May. 22)
(BR. 01)
S-8 POWERWAVE TECHNOLOGIES INC, 2026 MCGAW AVE, IRVINE, CA, 92614,
9497570530 - 0 ($23,340,000.00) Equity, (File 333-88836 - May. 22)
(BR. 37)
S-8 MIRACOR DIAGNOSTICS INC, 9191 TOWNE CENTRE DR, STE 420, SAN DIEGO, CA,
92122, 8584557127 - 950,000 ($228,000.00) Equity, (File 333-88838 -
May. 22) (BR. 01)
S-3 SONICBLUE INC, 2841 MISSION COLLEGE BLVD, SANTA CLARA, CA, 95054,
4085888000 - 0 ($25,569,347.00) Equity, (File 333-88840 - May. 22)
(BR. 03)
S-8 OHIO LEGACY CORP, 305 WEST LIBERTY STREET, WOOSTER, OH, 44691,
3302620437 - 200,000 ($2,000,000.00) Equity, (File 333-88842 - May. 22)
(BR. 07)
S-8 CHICOS FAS INC, 11215 METRO PKWY, FT MYERS, FL, 33912-1206,
8134335505 - 2,750,000 ($107,868,750.00) Equity, (File 333-88844 -
May. 22) (BR. 02)
S-8 PETROQUEST ENERGY INC, 400 E KALISTE SALOOM RD SUITE 6000, LAFAYETTE,
LA, 70508, 3372327028 - 0 ($3,447,468.00) Equity, (File 333-88846 -
May. 22) (BR. 04)
S-8 ADSTAR COM INC, 4553 GLENCO AVENUE, SUITE 325, MARINA DEL RAY, CA,
90292, 1,080,000 ($1,242,966.00) Equity, (File 333-88848 - May. 22)
(BR. 08)
S-3 USA INTERACTIVE, 152 WEST 57TH ST, NEW YORK, NY, 10019, 2123147300 -
0 ($577,270,030.04) Equity, (File 333-88850 - May. 22) (BR. 37)
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: <publicinfo@sec.gov>. In most
cases, this information is also available on the Commission's website:
<www.sec.gov>.
STATE 8K ITEM NO.
NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT
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ACT TELECONFERENCING INC CO X X 05/21/02
ACTIVISION INC /NY DE X X 05/22/02
ADAIR INTERNATIONAL OIL & GAS INC TX X 05/16/02
ADC TELECOMMUNICATIONS INC MN X X 05/21/02
AFC ENTERPRISES INC MN X 05/22/02
ALBECCA INC GA X X 05/20/02
ALLEGHENY ENERGY INC MD X X 05/22/02
ALLEGHENY ENERGY SUPPLY CO LLC X X 05/22/02
ALLOS THERAPEUTICS INC DE X 05/13/02
AMERICAN MEDICAL ALERT CORP NY X X 05/22/02
AMERICAN SKIING CO /ME DE X 05/22/02
AMGEN INC DE X X 05/16/02
ASHTON TECHNOLOGY GROUP INC DE X X X X 05/31/02
AUTOBYTEL INC DE X X 05/21/02
AVI BIOPHARMA INC OR X 05/15/02
BANC ONE AUTO GRANTOR TRUST 1997-B NY X X 05/22/02
BB&T CORP NC X 05/22/02
BEAR STEARNS COMMERCIAL MORTGAGE SEC NY X X 05/15/02
BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 05/15/02
BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 05/15/02
BEAR STEARNS MORT SEC INC COM MORT PA NY X X 05/15/02
BEAR STEARNS MORT SEC INC COMM MORT P NY X X 05/15/02
BIO TECHNOLOGY GENERAL CORP DE X X 05/08/02 AMEND
BIOJECT MEDICAL TECHNOLOGIES INC OR X X 05/10/02 AMEND
CAL DIVE INTERNATIONAL INC MN X X 05/21/02
CAPITAL ONE AUTO FINANCE TRUST 2002-A DE X 05/21/02
CARBO CERAMICS INC DE X X 05/22/02
CARDIMA INC DE X X 05/21/02
CASELLA WASTE SYSTEMS INC DE X X 05/20/02
CENTRACK INTERNATIONAL INC DE X X 02/04/02 AMEND
CHARMING SHOPPES INC PA X 05/22/02
CHEVY CHASE AUTO RECEIVABLES TRUST 19 MD X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 19 MD X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 04/30/02
CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 04/30/02
CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 04/30/02
CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 04/30/02
CHINA FUND INC MD X 04/01/01
CITIGROUP INC DE X X 05/21/02
CLAYTON WILLIAMS ENERGY INC /DE DE X 05/17/02
CLAYTON WILLIAMS ENERGY INC /DE DE X X 05/22/02
CMC SECURITIES CORP II DE X X 02/25/02
CMC SECURITIES CORP II DE X X 03/25/02
COASTAL CARIBBEAN OILS & MINERALS LTD D0 X X 05/21/02
COEUR D ALENE MINES CORP ID X X 05/13/02
COLGATE PALMOLIVE CO DE X X 05/15/02
COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 05/17/02
COMMERCIAL MORTGAGE PASS THRU CERTIFI DE X X 05/25/02
COMVERSE TECHNOLOGY INC/NY/ NY X X 05/22/02
CONAGRA FOODS INC /DE/ DE X X 05/21/02
CONSOLIDATED NATURAL GAS CO/VA DE X X 05/22/02
CONSUMER PORTFOLIO SERVICES INC CA X X 03/08/02 AMEND
COOPER COMPANIES INC DE X X 05/21/02
COOPER INDUSTRIES INC OH X X X 05/22/02
CORECOMM LTD /DE/ DE X X 05/22/02
COUNTRYWIDE HOME LOAN TRUST HOME LOAN NY X X 05/10/02
CPS AUTO RECEIVABLES TRUST 1998-4 CA X 04/30/02
CRIIMI MAE INC MD X 05/21/02
CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 05/20/02
CURAGEN CORP DE X X 05/21/02
CYTOGEN CORP DE X X 05/20/02 AMEND
DAISYTEK INTERNATIONAL CORPORATION /D DE X X 05/07/02
DALEEN TECHNOLOGIES INC DE X 05/16/02
DELTA NATURAL GAS CO INC KY X 05/22/02
DENBURY RESOURCES INC DE X 05/14/02
DERMA SCIENCES INC PA X X 04/30/02
DISCOVER CARD MASTER TRUST I DE X X 05/20/02
DOMINIX INC DE X X X X 04/30/02
DRS TECHNOLOGIES INC DE X 05/17/02
EAGLE BANCSHARES INC GA X X 05/17/02
EAGLE SUPPLY GROUP INC DE X X 05/16/02
EATON VANCE CORP MD X 04/30/02
ENZON INC DE X X 05/17/02
EXELON CORP PA X 05/17/02
EXELON CORP PA X 05/22/02
FIRST COMMONWEALTH CORP VA X 05/21/02
FIRST COMMUNITY CAPITAL CORP TX X X 05/10/02
FIRST MIDWEST BANCORP INC DE X X 05/22/02
FIRST UNION COM MOR SEC INC COM MOR P NY X X 05/17/02
FIRST UNION COMM MORT TRUST COMM MOR NY X X 05/16/02
FIRST UNION COMM MORT TRUST COMM MOR NY X X 05/17/02
FIRST UNION COMM MORT TRUST COMM MOR NY X X 05/17/02
FIRST UNION COMM MORT TRUST COMM MOR NY X X 05/17/02
FIRST UNION COMMERCIAL MORTGAGE PASS NC X X 05/14/02
FIRST UNION NATIONAL BANK COM MORT PA NC X X 05/14/02
FRANKS NURSERY & CRAFTS INC MI X X 05/07/02
FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 05/17/02
GAP INC DE X X 05/22/02
GMAC COMMERCIAL MORTGAGE SEC INC MRT X X 05/15/02
HADRO RESOURCES INC NV X X 05/22/02
HADRON INC NY X X 05/21/02
HATHAWAY CORP CO X X 05/20/02
HERBALIFE INTERNATIONAL INC NV X X 05/17/02
HOUSEHOLD AUTO RECEIVABLES CORP NV X X 05/20/02
HOUSEHOLD AUTOMOBILE REVOLVING TRUST NV X 05/14/02
HOUSEHOLD AUTOMOTIVE TRUST III SERIES NV X 05/14/02
HOUSEHOLD AUTOMOTIVE TRUST IV SERIES DE X 05/14/02
HOUSEHOLD AUTOMOTIVE TRUST V SERIES 2 DE X 05/14/02
HOUSEHOLD AUTOMOTIVE TRUST V SERIES 2 DE X 05/14/02
HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE X 05/14/02
HYPERTENSION DIAGNOSTICS INC /MN MN X 05/20/02
INTERNATIONAL LOTTERY & TOTALIZATOR S CA X X 05/22/02
LACLEDE STEEL CO /DE/ DE X X 05/16/02
LASALLE RE HOLDINGS LTD X X 05/16/02
LEBLANC PETROLEUM INC NV X X X X 12/01/01
LENNOX INTERNATIONAL INC DE X 05/20/02
LIBERATE TECHNOLOGIES DE X 05/15/02
LIFE PARTNERS HOLDINGS INC TX X 05/31/02
LIFESMART NUTRITION TECHNOLOGIES INC UT X X 05/22/02
LITEGLOW INDUSTRIES INC UT X X 05/17/02
LYNX THERAPEUTICS INC DE X X 04/29/02 AMEND
MAIL WELL INC CO X 05/22/02
MELLON RESIDENTIAL FUNDING CORP MOR P DE X X 05/15/02
METROMEDIA FIBER NETWORK INC DE X X 05/20/02
MICRON ENVIRO SYSTEMS INC X 05/15/02
MIDWAY GAMES INC DE X X 05/21/02
MITY ENTERPRISES INC UT X 05/22/02
MORGAN STANLEY DEAN WITTER CAP I INC DE X X 05/15/02
MSC INDUSTRIAL DIRECT CO INC NY X X 05/15/02 AMEND
MYRIAD GENETICS INC DE X X 05/16/02
NATIONWIDE FINANCIAL SERVICES INC/ DE X X 05/22/02
NEXT GENERATION TECHNOLOGY HOLDINGS I DE X X 04/15/02
NMXS COM INC DE X 05/08/02 AMEND
NORTH BAY BANCORP/CA CA X X 05/20/02
NORTHWESTERN CORP DE X X X 05/16/02
OFFICE DEPOT INC DE X X 05/22/02
OLD SECOND BANCORP INC DE X X 05/22/02
ONVIA COM INC DE X X 05/16/02
ORGANITECH USA INC DE X X X 05/15/02
OXFORD INDUSTRIES INC GA X 05/22/02
PAGELAB NETWORK INC MN X 05/21/02
PARALLEL PETROLEUM CORP /DE/ DE X 03/31/02 AMEND
PINNACLE HOLDINGS INC DE X X X 05/21/02
PRIME RECEIVABLES CORP DE X 05/15/02
QUADRAMED CORP DE X X 05/22/02
QUINTILES TRANSNATIONAL CORP NC X X 05/17/02
RAZORFISH INC DE X X 05/17/02
REGISTER COM INC DE X 03/08/02 AMEND
SAFENET INC DE X X 05/07/02
SALIVA DIAGNOSTIC SYSTEMS INC DE X 05/21/02
SALOMON MORTGAGE LOAN TRUST SER 2002- DE X X 04/30/02
SANGSTAT MEDICAL CORP DE X 03/31/02
SERVICEMASTER CO DE X 05/22/02
SPECTRASITE HOLDINGS INC DE X 05/15/02 AMEND
STERLING BANCSHARES INC TX X X 05/22/02
STONERIDGE INC OH X X 05/21/02
SUITE 101 COM INC DE X 05/21/02
SUPERIOR FINANCIAL CORP /AR/ DE X 05/21/02
SURFORAMA COM INC NV X X 05/21/02
T & G2 NV X 05/16/02 AMEND
TAIWAN FUND INC DE X 04/01/02
TENET HEALTHCARE CORP NV X X 05/22/02
TRAILER BRIDGE INC X 05/22/02
TRENWICK AMERICA CORP DE X X 05/16/02
TRENWICK GROUP LTD X X 05/16/02
TRIKON TECHNOLOGIES INC CA X X 05/17/02
TRUSTCO BANK CORP N Y NY X 05/22/02
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