SEC NEWS DIGEST Issue 2002-111 June 10, 2002 ENFORCEMENT PROCEEDINGS SEC CHARGES THREE WITH INSIDER TRADING The Commission today filed an injunctive action in the United States District Court for the District of Columbia, alleging that Jane M. Straub, a former employee of BetzDearborn Inc., John Wesley (Wes) Straub, her husband, and Anthony J. Campisi, engaged in illegal insider trading in advance of the July 30, 1998, public announcement that BetzDearborn Inc. and Hercules Inc. had agreed to merge. The complaint alleges that Jane Straub, an executive assistant at BetzDearborn, learned of the impending merger around July 27, 1998, at which time she tipped her husband, Wes Straub. On July 28, Wes Straub purchased 500 shares of BetzDearborn for a total cost of $17,163. On July 30, 1998, BetzDearborn and Hercules announced that they agreed to merge and that Hercules would pay $72 per share for all outstanding BetzDearborn shares. After the announcement, BetzDearborn common stock increased from the prior day's closing stock price of $35.88 to $69.25 per share, and closed for the day at $67.69. On October 15, 1998, the date the merger closed, Wes Straub exchanged his 500 shares for $72 per share and received an unlawful profit of $18,838. The complaint further alleges that Wes Straub tipped his long-time accountant, Anthony Campisi, concerning the merger. Campisi purchased 500 BetzDearborn shares at a total cost of $17,875 on July 29, 1998 -- the day before the merger announcement. On July 31, after the merger announcement, and after receiving a telephone call from Wes Straub, Campisi sold all his BetzDearborn shares for $67.875 per share, and made an unlawful profit of $16,063. The Commission alleges that as a result of the conduct described above, Wes Straub, Jane Straub, and Anthony Campisi violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. In its action, the Commission is seeking permanent injunctions, disgorgement of the illegal trading profits, prejudgment interest, and civil penalties. Jane Straub, age 57, and Wes Straub, age 59, reside in Churchville, Pennsylvania. Anthony Campisi, age 51, resides in West Collingswood, New Jersey. Without admitting or denying the facts alleged in the complaint, the defendants have agreed to settlements under which they have consented to entry of final judgments permanently enjoining them from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and ordering them to make the following payments: (1) Jane Straub to pay a penalty of $18,838; (2) Wes Straub to pay $18,838 disgorgement of his illegal profits, prejudgment interest, and civil penalties of $34,901; and (3) Anthony Campisi to pay $16,063 disgorgement of his illegal profits, prejudgment interest, and civil penalties of $16,063. The settlements have been filed with the court for court approval. The Commission acknowledges the assistance provided by the Pacific Stock Exchange in the investigation of this matter. This is the Commission's fifth insider trading case concerning trading before the merger of BetzDearborn and Hercules. For further information see SEC v. Rodolfo Luzardo, et al., 01 Civ. 9206 (DC) (S.D.N.Y.) (filed October 18, 2001) (Litigation Release Nos. 17197 and 17486); SEC v. Joseph F. Doody IV, et al., 01 Civ. 9879 (JK) (S.D.N.Y.) (filed November 8, 2001) (Litigation Release No. 17225); SEC v. Bugenhagen, et al., 01 Civ. 6538 (E.D.PA.) (filed December 18, 2001) (Litigation Release No. 17278); and SEC v. Litvinsky, et al., 02 Civ. 0312 (LMM) (S.D.N.Y.) (filed January 14, 2002) (Litigation Release No. 17306). [SEC v. John Wesley Straub, Jane M. Straub, and Anthony J. Campisi, 1:02CV01128 (EGS) (D.D.C.)] (LR- 17549) SEC FILES SETTLED CEASE-AND-DESIST ORDER AGAINST ASHFORD.COM, INC., TWO OF ITS EXECUTIVES AND AMAZON.COM, INC.; THE COMMISSION FINDS THAT ASHFORD.COM BEAT ANALYSTS' PRO FORMA EARNINGS EXPECTATIONS BY MISSTATING ITS GAAP RESULTS The Commission announced today the filing of a civil action filed in federal court against Kenneth E. Kurtzman (Ashford.com's former Chief Executive Officer) and Brian E. Bergeron (Ashford.com's former Vice President for Finance). Kurtzman and Bergeron consented, without admitting or denying the allegations in the Commission's complaint, to pay civil penalties of $60,000 and $25,000, respectively. The Commission also announced the filing of a settled cease-and-desist order against Ashford.com, Inc., Kurtzman, Bergeron and Amazon.com, Inc. The Commission's Order finds that, in March 2000, Kurtzman and Bergeron, on behalf of Ashford.com, improperly deferred $1.5 million in expenses under a contract with Amazon.com, causing Ashford.com to materially understate its marketing expenses and allowing the company to report a pro forma net loss of $0.30 per share, just beating analysts' pro forma earnings estimates of a net loss of $0.31 per share for the quarter ended March 31, 2000. Without the understatement, Ashford.com would have reported a pro forma loss of $0.32 per share. The improper deferral resulted from the settlement of a dispute with Amazon.com using two separate documents which were prepared by Amazon.com at Ashford.com's request. Ashford.com subsequently failed to disclose one of the two documents to its auditors. The Order also finds that in September 2000, Ashford.com misstated its pro forma results by changing the classification of expenses on its income statement. In two previous quarters, Ashford.com had properly classified these expenses as marketing expenses. But in September 2000, without disclosing that it had made a change, Ashford.com classified the expenses as "depreciation and amortization," which improved the company's pro forma results (which did not take depreciation and amortization into account). Additionally, during 2000, Ashford.com misclassified a portion of the expenses arising under its contracts with Amazon.com, causing Ashford.com to materially understate its reported marketing expenses and improve its pro forma results. Under these agreements, Ashford.com issued common stock in exchange for advertising placements and an agreement not to compete. Ashford.com, however, classified all of the expenses under this contract as "depreciation and amortization." This classification was not in conformity with Generally Accepted Accounting Principles, because Ashford.com should have classified the portion attributable to advertising placements as marketing expenses. The Commission's Order further finds that: * Ashford.com violated Sections 10(b), 13(a) and 13(b)(2)(A) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder; * Kurtzman violated Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1 and 13b2-2 thereunder and was a cause of Ashford.com's violation of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20 and 13a-1 thereunder; * Bergeron violated Exchange Act Rule 13b2-1 and was a cause of Ashford.com's violation of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder; and * Amazon.com, Inc. was a cause of Ashford.com's violation of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-1 thereunder. Ashford.com, Kurtzman, Bergeron and Amazon.com consented, without admitting or denying the findings in the Commission's Order, to cease- and-desist from committing or causing violations of the provisions of the federal securities laws cited above. The allegations in the Commission's civil action are substantially the same as set forth in the Commission's Order. [SEC v. Kenneth E. Kurtzman and Brian E. Bergeron, 1:02CV01126 (D.D.C.) (LR-17550, AAE Rel. 1574); (Administrative Proceeding In the Matter of Ashford.com, Inc., Kenneth E. Kurtzman, Brian E. Bergeron and Amazon.com, Inc. - Rel. 34-46052, AAE Rel. 1573, File No. 3- 10797) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENT The Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed Plan amendment pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934 (SR-OPRA-2002-02) extending a pilot program to permit fee-exempt access to market data for an additional two years, or such later date as OPRA may subsequently determine. (Rel. 34-46032) PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 21) and Amendment Nos. 1, 2, 3 and 4 thereto under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Exchange Rule 175(c) to permit limited side-by-side trading and integrated market making. Publication of the proposal is expected in the Federal Register during the week of June 10. (Rel. 34-46036) The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2002-14) to delete the provisions of its rules that govern or make reference to the trading of options on the Exchange. Publication of the proposal is expected in the Federal Register during the week of June 10. (Rel. 34- 46044) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx- 2002-27) relating to committee voting procedures has become immediately 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 June 10. (Rel. 34-46040) A proposed rule change filed by the National Association of Securities Dealers to correct research analyst rule language (SR-NASD-2002-74) has become immediately 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 June 10. (Rel. 34-46042) A proposed rule change filed by the New York Stock Exchange regarding a proposed interpretation to NYSE Rule 345 (Employees-Registration, Approval, Records) and registered persons who volunteer or are called into active military duty, and deletion of a provision regarding verbal transfer approvals (SR-NYSE-2002-16) 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 June 10. (Rel. 34-46046) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-PHLX-2002-29) filed by the Philadelphia Stock Exchange adopting Phlx Rule 757, Anti-Money Laundering Compliance Program. Publication of the notice in the Federal Register is expected during the week of June 10. (Rel. 34-46041) DELISTINGS GRANTED An order has been issued granting the application of the Chicago Stock Exchange to strike from listing and registration the Common Stock, $.10 par value, of Comdisco, Inc., effective June 10, 2002. (Rel. 34-46049) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on June 11, 2002. (Rel. 34-46050) 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 VIANET TECHNOLOGIES INC, 6509 WINDCREST DRIVE SUITE 160, PLANO, TX, 75024, 2122197680 - 32,500,000 ($1,787,500.00) Equity, (File 333-89990 - Jun. 7) (BR. 03) S-8 COMMUNITRONICS OF AMERICA INC, P O BOX 7065, SUITE WW, SPANISH FORT, AL, 36577, 3346256426 - 4,000,000 ($40,000.00) Equity, (File 333-89992 - Jun. 7) (BR. 02) S-8 DIXIE GROUP INC, P O BOX 12542, CALHOUN, GA, 307037010, 7066257980 - 0 ($8,437,500.00) Equity, (File 333-89994 - Jun. 7) (BR. 02) SB-2 VALCOM INC /CA/, 26030 AVENUE HALL STUDIO 5, VALENCIA, CA, 91355, 6612578000 - 250,000 ($230,000.00) Equity, (File 333-89996 - Jun. 7) (BR. 37) S-4 ENSCO INTERNATIONAL INC, 2700 FOUNTAIN PL, 1445 ROSS AVE STE 2700, DALLAS, TX, 75202-2792, 2149221500 - 0 ($333,827,740.00) Equity, (File 333-89998 - Jun. 7) (BR. 04) S-8 COMMUNITRONICS OF AMERICA INC, P O BOX 7065, SUITE WW, SPANISH FORT, AL, 36577, 3346256426 - 4,000,000 ($40,000.00) Equity, (File 333-90002 - Jun. 7) (BR. 02) S-8 MOVADO GROUP INC, 125 CHUBB AVE, LYNDHURST, NJ, 07071, 2014604800 - 1,500,000 ($29,880,000.00) Equity, (File 333-90004 - Jun. 7) (BR. 02) S-8 NORTH BAY BANCORP/CA, 1500 SOSCOL AVE, NAPA, CA, 94559, 7072578500 - 587,229 ($15,267,954.00) Equity, (File 333-90006 - Jun. 7) (BR. 07) SB-2 PATH 1 NETWORK TECHNOLOGIES INC, 3636 NOSEL DR, SUITE 275, SAN DIEGO, CA, 92101, 8584504220 - 2,285,714 ($5,554,285.71) Debt Convertible into Equity, (File 333-90008 - Jun. 7) (BR. 08) S-8 GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN, 55426, 7637642311 - 10,000,000 ($447,450,000.00) Equity, (File 333-90010 - Jun. 7) (BR. 04) S-8 GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN, 55426, 7637642311 - 700,000 ($31,321,500.00) Equity, (File 333-90012 - Jun. 7) (BR. 04) S-8 FIRST NATIONAL CORP /SC/, 950 JOHN C CALHOUN DR S.E., ORANGEBURG, SC, 29115, 8035342175 - 300,000 ($8,229,000.00) Equity, (File 333-90014 - Jun. 7) (BR. 07) F-1 LJ INTERNATIONAL INC, UNIT #12 12/F BLOCK A FOCAL INDUSTRIAL, CENTER 21 MAN LOK ST, HUNG HOM KOWLOON HON, K3, 00000, 0 ($10,536,760.00) Equity, (File 333-90016 - Jun. 7) (BR. 02) S-8 STAAR SURGICAL COMPANY, 1911 WALKER AVE, MONROVIA, CA, 91016, 8183037902 - 0 ($948,000.00) Equity, (File 333-90018 - Jun. 7) (BR. 36) S-8 FOAMEX INTERNATIONAL INC, 1000 COLUMBIA AVENUE, LINWOOD, PA, 19061, 6108593000 - 2,100,000 ($23,625,000.00) Equity, (File 333-90020 - Jun. 7) (BR. 06) S-8 HARTE HANKS INC, 200 CONCORD PLAZA DR STE 800, SAN ANTONIO, TX, 78216, 2108299000 - 0 ($63,840,000.00) Equity, (File 333-90022 - Jun. 7) (BR. 05) S-8 WRIGHT MEDICAL GROUP INC, 5677 AIRLINE ROAD, ARLINGTON, TN, 38002, 9018679971 - 200,000 ($4,136,000.00) Equity, (File 333-90024 - Jun. 7) (BR. 36) S-8 DELTIC TIMBER CORP, 210 EAST ELM ST, P O BOX 7200, EL DORADO, AR, 71730, 8708819400 - 1,800,000 ($32,211,247.32) Equity, (File 333-90026 - Jun. 7) (BR. 06) S-1 CARMIKE CINEMAS INC, 1301 FIRST AVE, COLUMBUS, GA, 31901, 7065763400 - 4,025,000 ($109,681,250.00) Equity, (File 333-90028 - Jun. 7) (BR. 05) S-8 INTEGRATED BUSINESS SYSTEMS & SERVICES INC, 115 ATRIUM WAY, SUITE 128, COLUMBIA, SC, 29223, 8037365595 - 2,319,786 ($4,272,747.00) Equity, (File 333-90030 - Jun. 7) (BR. 03) S-8 CONSECO INC, 11825 N PENNSYLVANIA ST, CARMEL, IN, 46032, 3178176100 - 150,000 ($373,500.00) Equity, (File 333-90032 - Jun. 7) (BR. 01) S-3 MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 - 0 ($400,000,000.00) Other, (File 333-90034 - Jun. 7) (BR. 04) S-3 CAMPBELL SOUP CO, CAMPBELL PL, CAMDEN, NJ, 08103, 6093424800 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-90036 - Jun. 7) (BR. 04) S-8 IEXALT INC, 12000 AEROSPACE AVE, SUITE 375, HOUSTON, TX, 77034, 2814648400 - 0 ($85,000.00) Equity, (File 333-90038 - Jun. 7) (BR. 03) S-8 AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 10,000,000 ($287,000,000.00) Equity, (File 333-90042 - Jun. 7) (BR. 08) S-3 PROGRESS FINANCIAL CORP, 4 SENTRY PARKWAY SUITE 200, BLUE BELL, PA, 19422-0764, 6108258800 - 1,153,330 ($11,475,633.50) Equity, (File 333-90044 - Jun. 7) (BR. 07) S-8 EDIETS COM INC, 3467 W HILLSBORO BLVD., DEERFIELD BEACH, FL, 33442, 9543609022 - 4,100,000 ($6,765,000.00) Equity, (File 333-90046 - Jun. 7) (BR. 08) S-8 DURASWITCH INDUSTRIES INC, 234 S EXTENSION RD, MESA, AZ, 85210, 4805863300 - 250,000 ($1,635,892.00) Equity, (File 333-90048 - Jun. 7) (BR. 09) S-8 MAN SANG HOLDINGS INC, 21/F RAILWAY PLAZA, 39 CHATHAM RD SOUTH, TSIMSHATSUI KOWLOON, HONG KONG, K3, 8529427722 - 0 ($370,000.00) Equity, (File 333-90050 - Jun. 7) (BR. 02) SB-2 NICOLET BANKSHARES INC, 920 430 1400 - 0 ($12,500,000.00) Equity, (File 333-90052 - Jun. 7) (BR. ) S-8 MIGRATEC INC, 11494 LUNA ROAD, SUITE 100, DALLAS, TX, 75234, 972-969-03 - 0 ($2,240,000.00) Equity, (File 333-90054 - Jun. 7) (BR. 03) S-3 CONCURRENT COMPUTER CORP/DE, 4375 RIVER GREEN PARKWAY, DULUTH, GA, 30097, 6782584000 - 0 ($1,751,681.00) Equity, (File 333-90056 - Jun. 7) (BR. 03) S-3 SHAW GROUP INC, 8545 UNITED PLAZA BOULEVARD, 2ND FLOOR, BATON ROUGE, LA, 70809, 2259322500 - 1,671,336 ($50,942,321.28) Equity, (File 333-90058 - Jun. 7) (BR. 06) S-8 HEXCEL CORP /DE/, TWO STAMFORD PLAZA, 281 TRESSER BLVD., 16TH FLOOR, STAMFORD, CT, 06901, 203-969-0666 - 0 ($4,150,000.00) Equity, (File 333-90060 - Jun. 7) (BR. 06) S-8 HEXCEL CORP /DE/, TWO STAMFORD PLAZA, 281 TRESSER BLVD., 16TH FLOOR, STAMFORD, CT, 06901, 203-969-0666 - 0 ($1,482,384.00) Equity, (File 333-90062 - Jun. 7) (BR. 06) SB-2 NIKKY D CORP, 8100 W SAHARA AVE, 2ND FLOOR, LAS VEGAS, NV, 89117, 7022218300 - 2,000,000 ($200,000.00) Equity, (File 333-90064 - Jun. 7) (BR. ) S-3 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA, 02141, 6179491000 - 0 ($138,452,740.00) Equity, (File 333-90066 - Jun. 7) (BR. 03) S-1 DOVEBID INC, 1241 E HILLSDALE BLVD, FOSTER CITY, CA, 94404, 6505717400 - 0 ($90,000,000.00) Equity, (File 333-90068 - Jun. 7) (BR. 08) S-8 OPTA FOOD INGREDIENTS INC /DE, 25 WIGGINS AVE, BEDFORD, MA, 01730, 6172765100 - 250,000 ($365,000.00) Equity, (File 333-90070 - Jun. 7) (BR. 04) S-8 PHON NET COM INC, 16 WEST 46TH STREET, 7TH FLOOR, NEW YORK, NY, 10039, 212-504-8206 - 30,000,000 ($2,700,000.00) Equity, (File 333-90072 - Jun. 7) (BR. 03) S-8 AGERE SYSTEMS INC, 555 UNION BLVD, ALLENTOWN, PA, 18109, 6107124323 - 226,675,960 ($1,543,198,397.28) Equity, (File 333-90076 - Jun. 7) (BR. 36) S-8 AQUA VIE BEVERAGE CORP, 333 SOUTH MAIN STREET, PO BOX 6759, KETCHUM, ID, 83340, 2086227792 - 14,000,000 ($280,000.00) Equity, (File 333-90078 - Jun. 7) (BR. 09) S-3 EXABYTE CORP /DE/, 1685 38TH ST, BOULDER, CO, 80301, 3034424333 - 25,840,436 ($26,098,840.36) Equity, (File 333-90080 - Jun. 7) (BR. 03) S-8 EMPYREAN COMMUNICATIONS INC, 2537 SOUTH GESSNER SUITE 114, HOUSTON, TX, 77063, 7132607236 - 50,000 ($19,000.00) Equity, (File 333-90084 - Jun. 7) (BR. 05) S-3 LEXAR MEDIA INC, 47421 BAYSIDE PARKWAY, FREMONT, CA, 94538, 5104131200 - 0 ($50,000,000.00) Other, (File 333-90086 - Jun. 7) (BR. 36) S-8 GOAMERICA INC, C/O GOAMERICA, INC., 433 HACKENSACK AVENUE, HACKENSACK, NJ, 07601, 2019961717 - 5,824,743 ($5,221,739.43) Equity, (File 333-90088 - Jun. 7) (BR. 37) SB-2 DATA CONVERSION LABORATORY, 184-13 HORACE HARDING EXPRESSWAY, FRESH MEDOWS, NY, 11365, 7183578700 - 0 ($33,415,625.00) Equity, (File 333-90090 - Jun. 7) (BR. ) S-8 JNI CORP, 9775 TOWNE CENTRE DRIVE, SAN DIEGO, CA, 92121, 8585353121 - 0 ($8,214,477.80) Equity, (File 333-90092 - Jun. 7) (BR. 36) S-3 KV PHARMACEUTICAL CO /DE/, 2503 S HANLEY RD, ST LOUIS, MO, 63144, 3146456600 - 0 ($142,876,000.00) Equity, (File 333-90094 - Jun. 7) (BR. 01) S-3 WILD OATS MARKETS INC, 3375 MITCHELL LANE, BOULDER, CO, 80301, 3034405220 - 3,250,000 ($46,393,750.00) Equity, (File 333-90096 - Jun. 7) (BR. 02) S-8 INTEGRATED TELECOM EXPRESS INC/ CA, 400 RACE STREET, SAN JOSE, CA, 95126, 408-792-0797 - 0 ($5,760,500.00) Equity, (File 333-90098 - Jun. 7) (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: . 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 ------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP SERIES 2002-1A DE X X 05/23/02 ACCREDO HEALTH INC DE X 06/05/02 ALLEGIANCE TELECOM INC DE X X 05/31/02 AMERICAN INSURED MORTGAGE INVESTORS CA X X X 06/07/02 AMERICAN INSURED MORTGAGE INVESTORS L DE X X X 06/07/02 AMERICAN INSURED MORTGAGE INVESTORS L DE X X X 06/07/02 AMERICAN INSURED MORTGAGE INVESTORS S CA X X X 06/07/02 ASPEN TECHNOLOGY INC /DE/ DE X X 06/05/02 ASSET BACKED FUNDING CORP 2002 WF1 TR DE X X 05/25/02 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 05/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 05/25/02 BEAR STEARNS AS BCK SEC TR 2001-AC1 A DE X X 05/25/02 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 05/25/02 BEAR STEARNS ASSET BACKED SEC TR ASSE X X 05/25/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 05/30/02 BEAR STEARNS ASSET BCK SEC TR AS-BCK NY X X 05/25/02 BEAR STEARNS ASSET BCK SEC TR AS-BCK NY X X 05/25/02 BEAR STEARNS AST BCK SEC INC MADISON DE X X 05/25/02 BLUE DOLPHIN ENERGY CO DE X 05/16/02 BLYTH INC DE X X 06/04/02 BRIDGE BANCORP INC NY X X 06/07/02 BSQUARE CORP /WA WA X X 05/23/02 AMEND CAPITAL BANCORP INC TN X X 06/06/02 CASTLE A M & CO DE X 06/07/02 CD WAREHOUSE INC DE X X X 05/07/02 AMEND CHASE MANHATTAN AUTO OWNER TRUST 2002 DE X X 05/30/02 CHINA FUND INC MD X 04/01/02 AMEND COMMUNICATENOW COM INC X 06/05/02 COMMUNITY BANCORP INC /MA/ MA X 06/06/02 COMPLE TEL EUROPE NV X X 06/07/02 COMPREHENSIVE CARE CORP DE X X 06/07/02 COMPUTER MOTION INC DE X X 06/07/02 CONCURRENT COMPUTER CORP/DE DE X X 06/07/02 CONECTIV DE X 06/07/02 CREATIVE BEAUTY SUPPLY INC NJ X X 03/04/02 AMEND CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 05/31/02 CSK AUTO CORP DE X X 06/06/02 CSX TRADE RECEIVABLES CORP DE X X 05/27/02 CYBERGUARD CORP FL X X 06/04/02 CYTOMEDIX INC DE X X 06/07/02 DIAL CORP /NEW/ DE X X 06/07/02 DIGENE CORP DE X X 06/07/02 DIPPY FOODS INC NV X 06/03/02 DONAR ENTERPRISES INC DE X X 06/07/02 AMEND DUSA PHARMACEUTICALS INC NJ X X 06/07/02 E TRADE BANK ARM TRUST MORTGAGE PASS DE X X 05/25/02 ELIZABETH ARDEN INC FL X X 06/04/02 ENCHIRA BIOTECHNOLOGY CORP DE X X 06/07/02 ENDOCARE INC DE X 03/25/02 AMEND ENRON CORP/OR/ OR X X 06/07/02 EXTENDED SYSTEMS INC DE X X 05/28/02 FACT CORP CO X 06/01/02 FANSTEEL INC DE X 04/30/02 FAR EAST ENERGY CORP X 06/05/02 FIFTH THIRD BANCORP OH X X 06/06/02 FIRST REAL ESTATE INVESTMENT TRUST OF NJ X 06/06/02 FOAMEX INTERNATIONAL INC DE X X X 06/05/02 FONECASH INC DE X 05/14/02 GENERAL DATACOMM INDUSTRIES INC DE X X 04/30/02 GENERAL DATACOMM INDUSTRIES INC DE X X 04/30/02 GENERAL DYNAMICS CORP DE X X 06/07/02 GOLD ENTERTAINMENT GROUP INC NV X 06/06/02 HORIZON HEALTH CORP /DE/ DE X 06/07/02 HORIZON OFFSHORE INC DE X X 06/03/02 HOST FUNDING INC MD X X 05/23/02 HOWTEK INC DE X X 06/05/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 06/06/02 INDEVUS PHARMACEUTICALS INC DE X X 06/07/02 IQ POWER TECHNOLOGY INC X X 06/07/02 IXYS CORP /DE/ DE X X 06/06/02 JCC HOLDING CO DE X X 06/06/02 JKC GROUP INC NY X 06/05/02 KAIRE HOLDINGS INC DE X X 06/06/02 KEY TRONIC CORP WA X X 06/07/02 LABORATORY CORP OF AMERICA HOLDINGS DE X X 06/05/02 LANTRONIX INC DE X X 05/28/02 LEHMAN ABS CORP DE X X 06/03/02 LNB BANCORP INC OH X 06/07/02 LOCAL TELECOM SYSTEMS INC NV X 05/24/02 AMEND LONG BEACH MORT LOAN TRUST 2002-1AS B DE X 05/28/02 LUMENON INNOVATIVE LIGHTWAVE TECHNOLO DE X X 06/06/02 MAGNA ENTERTAINMENT CORP DE X X 06/04/02 MARKWEST ENERGY PARTNERS L P DE X X 05/24/02 MASTR ADJUSTABLE RATE MORTGAGE TRUST X X 05/25/02 MASTR ASSET SECURITIZATION TRUST 2002 X X 05/25/02 MEDIFAST INC DE X 06/07/02 METAWAVE COMMUNICATIONS CORP DE X X 06/07/02 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 05/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 06/04/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 05/28/02 MORTGAGE ASSET SEC TRANS INC MOR PASS DE X X 05/29/02 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 05/25/02 MTS SYSTEMS CORP MN X X 05/31/02 NEOTHERAPEUTICS INC DE X X 06/05/02 NETDIGEST COM INC DE X 05/31/02 NETWORK ACCESS SOLUTIONS CORP DE X X 06/04/02 NEWS CORP LTD X 05/23/02 NEWS CORP LTD X 05/23/02 NN INC DE X X 06/07/02 NORTH BAY BANCORP/CA CA X X 06/06/02 NUCOR CORP DE X X 05/30/02 OMNICOMM SYSTEMS INC DE X 05/31/02 OPTION ONE MORT ACCEPT CORP ASSET BAC DE X X 05/25/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X 05/25/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X X 05/25/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X X 05/25/02 OPTION ONE MORTGAGE LOAN TR ASSET BAC DE X X 05/25/02 OSTEX INTERNATIONAL INC /WA/ WA X X 05/22/02 AMEND OTHNET INC DE X X 05/09/02 PANACO INC DE X 06/07/02 PANGEA PETROLEUM CORP CO X X X 05/31/02 PASS THROUGH CERTIFICATES SERIES 2002 DE X X 06/01/02 PAWNMART INC DE X 04/02/02 PEPCO HOLDINGS INC DE X X 06/07/02 PHOENIX STAR VENTURES INC DE X X 05/24/02 POCKETSPEC TECHNOLOGIES INC CO X 06/07/02 POLAROID CORP DE X X 06/07/02 PRIVATE BUSINESS INC TN X 06/07/02 PRO TECH COMMUNICATIONS INC FL X 04/06/02 PROVIDENT FINANCIAL GROUP INC OH X X 06/07/02 PUBLICARD INC PA X X 06/06/02 R&G FINANCIAL CORP PR X X 06/07/02 RENAISSANCE HOME EQUITY LOAN ASSET-BK DE X X 05/25/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/06/02 RICKS CABARET INTERNATIONAL INC TX X X 05/31/02 ROHN INDUSTRIES INC DE X X 06/04/02 RUSHMORE FINANCIAL GROUP INC TX X 05/07/02 AMEND SAFETY KLEEN CORP/ DE X X 06/06/02 SANDERS MORRIS HARRIS GROUP INC TX X X 06/07/02 SCIENTIFIC LEARNING CORP DE X X 06/04/02 SEARCHHOUND COM INC NV X 06/06/02 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 06/06/02 SEITEL INC DE X X 06/07/02 SIMON TRANSPORTATION SERVICES INC NV X 06/07/02 SMITH INTERNATIONAL INC DE X X 06/06/02 SONIC CORP DE X X 06/03/02 SPARTA SURGICAL CORP DE X 06/07/02 SPECTRANETICS CORP DE X X 06/06/02 STAGE STORES INC NV X X 06/06/02 STEELCASE INC MI X 05/24/02 STILWELL FINANCIAL INC DE X X X 06/07/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 05/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 05/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 05/25/02 STRUCTURED ASSET SEC CORP PASS THROUG DE X X 05/25/02 STRUCTURED ASSET SECURITIES CORP MOR DE X X 05/25/02 STRUCTURED ASSET SECURITIES CORP MORT DE X X 05/25/02 STRUCTURED PRODUCTS CORP DE X 05/15/02 STRUCTURES ASSET MORTGAGE INV INC MOR NY X X 05/25/02 SURGE COMPONENTS INC NY X 06/07/02 SYLVAN INC NV X X 05/31/02 TIVO INC DE X 05/31/02 U S GOLD CORP CO X 05/31/02 UAL CORP /DE/ DE X 06/07/02 ULTRAK INC DE X X 06/07/02 ULTRALIFE BATTERIES INC DE X 06/04/02 UNITED NATIONAL BANCORP NJ X X 06/06/02 VALUECLICK INC/CA DE X X 05/23/02 AMEND VANGUARD HEALTH SYSTEMS INC DE X X 06/07/02 VERADO HOLDINGS INC DE X X 05/22/02 VIRAGE LOGIC CORP CA X X 05/24/02 WACHOVIA COMMERCIAL MORT PASS THRU CE NC X X 06/07/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 06/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 06/01/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X X 06/01/02 WAMU MORTGAGE PASS THRU CERTS SERIES DE X X 06/01/02 WAMU MORTGAGE PASS-THROUGH CERTIFICAT DE X X 06/01/02 WASHINGTON MUTUAL MOR SEC CORP MOR PA DE X X 06/01/02 WASHINGTON MUTUAL MORT SEC CORP MORT DE X X 06/01/02 WASHINGTON MUTUAL MORT SEC WAMU MOR P DE X X 06/01/02 WASHINGTON MUTUAL MSC MORT PASS THROU DE X X 06/01/02 WASHINGTON MUTUAL MSC MORTGAGE PASS-T DE X X 06/01/02 WELLS FARGO ASSET SEC CORP MORT PASS NY X X 05/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 05/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 05/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 05/25/02 WEYERHAEUSER CO WA X 06/06/02 WIND RIVER SYSTEMS INC DE X X 05/01/02 AMEND WKI HOLDING CO INC DE X X 05/31/02 YORK RESEARCH CORP DE X X 06/07/02 ZONES INC WA X X 06/06/02