SEC NEWS DIGEST Issue 2002-161 August 20, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. OPEN MEETING - TUESDAY, AUGUST 27, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Tuesday, August 27, 2002, will be: 1. The Commission will consider approving a delegation to the General Counsel to issue certain orders in Commission administrative proceedings. The proposed delegation would authorize the General Counsel to issue orders, pursuant to Rule of Practice 411(b), under which the Commission would take up on its own motion the issue of what sanctions are appropriate in the public interest. 2. The Commission will consider whether to issue a notice of an application from The Mexico Fund, Inc. (Fund) seeking certain exemptions from the Investment Company Act of 1940. The application seeks an order to permit the Fund to make periodic repurchase offers in compliance with rule 23c-3 under the Act, except that (i) the repurchase offers would be for between one and one hundred percent of the Fund's outstanding shares provided that the Fund will offer to repurchase at least five percent of its outstanding shares each fiscal year; (ii) shareholders participating in the repurchase offers would receive in-kind pro rata portfolio securities of the Fund for their shares; and (iii) the board of directors of the Fund would be able to set and reset the periodic interval between repurchase offers at 3, 6 or 12 months upon prior notice to shareholders. The Fund also requests that the order permit it to remain a closed-end management investment company should the Fund's securities be deemed "redeemable securities" as a result of the repurchase offers and to permit certain affiliated shareholders to participate in the repurchases. 3. The Commission will consider whether to adopt amendments to accelerate the filing of quarterly and annual reports under the Securities Exchange Act of 1934. The amendments also would require companies to disclose in their annual reports whether they provide access to their reports on their websites. The amendments were proposed by the Commission in April, 2002. 4. The Commission will consider whether to adopt new rules that would require an issuer's principal executive and financial officers to certify the issuer's quarterly and annual reports filed under the Securities Exchange Act of 1934. In addition, the new rules would require issuers to maintain internal controls to provide reasonable assurance that they are able to collect, process and disclose the information required in their Exchange Act reports, and to periodically review and evaluate these controls. The Commission announced in Exchange Act Release No. 46300 (Aug. 2, 2002) that it would consider rules to implement Section 302 of the Sarbanes-Oxley Act of 2002. 5. The Commission will consider adopting rules and form amendments to implement the accelerated filing deadline applicable to change of beneficial ownership reports required to be filed by officers, directors and principal security holders under Section 16(a) of the Securities Exchange Act of 1934, as amended by Section 403 of the Sarbanes-Oxley Act of 2002. The Commission announced in Exchange Act Release No. 46313 (Aug. 6, 2002) that it would consider adopting such amendments. 6. The Commission will consider whether the National Association of Securities Dealers, Inc. (NASD) and the Nasdaq Stock Market, Inc. (Nasdaq) have satisfied the conditions that must be implemented prior to or at the same time as Nasdaq's implementation of a new order display and collection facility (SuperMontage). The conditions, which were imposed by the Commission in a prior order granting conditional approval of the SuperMontage, include an alternative display facility established by the NASD for the display of market maker and ECN quotes. 7. The Commission will consider whether to grant a de minimis exemption from the trade-through restrictions of the Intermarket Trading System Plan for transactions in exchange-traded funds tracking the Nasdaq-100 Index (QQQs), the Dow Jones Industrial Average (DIAMONDs), and the Standard and Poors 500 Index (SPDRs). The exemption would cover transactions that are executed at no more than three cents ($0.03) away from the national best bid and offer displayed in the Consolidated Quote. 8. The Commission will consider whether to issue a release adopting rule amendments and a new rule under the Securities Exchange Act of 1934 (Exchange Act) that were proposed for comment in the Federal Register on June 10, 2002. New paragraph (e) of Rule 10b-10 and new Rule 11d2-1 are designed to clarify the disclosures broker- dealers effecting transactions in security futures products in futures accounts must make in the confirmations sent to customers regarding those transactions. 9. The Commission is proposing for comment amendments to the formula for determination of customer reserve requirements (Reserve Formula) of broker-dealers under Rule 15c3-3 to the Securities Exchange Act of 1934. The proposed amendments relate to treatment under the Reserve Formula of customer security futures product margin required and on deposit with a registered clearing agency or a derivatives clearing organization. CLOSED MEETING - WEDNESDAY, AUGUST 28, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Wednesday, August 28, 2002, will be: Formal orders of investigation; Litigation matter; Regulatory matter bearing enforcement implications; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings of an enforcement nature. CLOSED MEETING - THURSDAY, AUGUST 29, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, August 29, 2002, will be: Settlement of injunctive actions; and Opinions. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS SEC SUES PROMOTER AND TWO SALESMEN FOR FRAUDULENT PAYPHONE AND TELEPHONE SWITCH SALES The Commission announced that on August 7 it filed a complaint in the United States District Court for the Northern District of Georgia against William P. Sauer (Sauer), James M. Jordan (Jordan) and Phil D. Kerley (Kerley), alleging that each of them fraudulently sold large amounts of the securities issued in connection with two Ponzi Schemes, ETS Payphones, Inc. (ETS), and Global Telelink Services, Inc. (GTS). Sauer and Kerley also fraudulently sold the securities of Global Contact Corporation (GCC), a corporation controlled by GTS. The Commission's complaint alleges that ETS, GTS and GCC depended on the sale of new investments in order to meet their current financial obligations, such as investor lease payments and refunds. Jordan, Sauer and Kerley knew, or were severely reckless in failing to disclose, among other things, that ETS, GTS and GCC could not make the payments they promised to investors without continually selling their products to new investors. From 1998 until September 2000, Jordan and his agents, including Sauer and Kerley, sold more than $84 million of the ETS payphone investments. Sauer and Kerley sold at least $1 million of the ETS payphone investments at prices between $5,000 and $7,000 per unit. Beginning in November 1999 until at least June 2000, Jordan and his agents, including Sauer and Kerley, sold more than $10 million of the GTS investments. Beginning in August 2000 and continuing until GTS and GCC were enjoined on March 9, 2001, Sauer and his agents, including Kerley, sold about $2 million of GCC investments. The Commission's complaint charges the defendants with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder. The Commission's complaint seeks permanent injunctions, accountings, disgorgement, prejudgment interest and civil penalties against each defendant. [SEC v. William P. Sauer, James M. Jordan and Phil D. Kerley, Civil Action No. 1:02-CV- 2191, NDGA] (LR-17687) SEC CHARGES JOHN SLOCUM, JEFFREY GORDON AND THEIR RHODE ISLAND INVESTMENT ADVISORY FIRM IN SCHEME THAT DIVERTED MORE THAN $1 MILLION IN TRADING PROFITS FROM CLIENTS The Commission today filed a civil fraud case against Rhode Island residents John J. Slocum, Jr. and Jeffrey L. Gordon, and their Newport, Rhode Island-based registered investment advisory firm, Slocum, Gordon & Co. (SGC). The Commission's complaint, filed in Rhode Island federal district court, alleges that, beginning as early as 1988 and continuing through mid-2000, the defendants illegally diverted more than $1 million in short-term trading profits from SGC's advisory clients to SGC's own account for the benefit of SGC, Slocum and Gordon. The Commission's complaint alleges that Slocum and Gordon used accounts that improperly mixed their clients' assets with SGC's assets. According to the Commission's complaint, the improper mixing of assets enabled Slocum and Gordon to engage in a practice known as "cherry- picking," where they allocated profitable trades to themselves and non- profitable trades to clients. Specifically, Slocum and Gordon would often purchase stocks without identifying whether the stocks were bought for the firm or for clients. They then waited to assign trades until just before the settlement date (usually three business days after purchase) so they could first determine whether the firm could make money for itself. The Commission's complaint alleges that, in many cases when the stock price went up on or before the settlement date, Slocum and Gordon sold profitable stocks that had been intended for clients and credited the profits to SGC. In other instances when the stock price had fallen before the settlement date, they assigned stocks originally intended for SGC to clients instead. According to the Commission's complaint, as a result of these practices, Slocum and Gordon enjoyed extraordinary success in their trading for SGC. For example, Slocum and Gordon realized a profit on nearly all of their trades for SGC from 1996 until 2000, generating more than $1 million in profits. As principals of SGC, Slocum and Gordon personally benefited from the scheme. The Commission's complaint alleges that defendants' practice of appropriating short-term trading profits for SGC instead of clients and assigning non-profitable trades to clients instead of SGC constituted a breach of their fiduciary duty to the clients. The Commission alleged in its complaint that SGC, Slocum and Gordon violated the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (Exchange Act). The Commission's complaint also charges SGC with violating the antifraud and record- keeping provisions of the Investment Advisers Act of 1940 (Advisers Act) and SGC and Gordon with violating the reporting requirements of the Advisers Act. According to the Commission's complaint, Slocum and Gordon also aided and abetted SGC's violations of the Advisers Act. The Commission's complaint seeks permanent injunctions against SGC, Slocum and Gordon, monetary penalties, and disgorgement of ill-gotten gains and losses avoided, plus prejudgment interest. [SEC v. Slocum, Gordon & Co., et al., USDC for the District of Rhode Island, Civil Action No. 02- 367L] (LR-17688) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2002-07) under Section 19(b)(1) of the Securities Exchange Act. The proposed rule change, which became effective upon filing under Section 19(b)(3)(A) of the Act, will adjust NSCC's fee schedule for the Initial Application Information feature of its Insurance Processing Service. Publication of the proposal is expected in the Federal Register during the week of August 26. (Rel. 34-46374) PROPOSED RULE CHANGES The Commission published notice of a proposed rule change (SR-OCC-2002- 15) filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act. Under the proposed rule change OCC would date the assignments of options with the date of the related exercise. Publication of the proposal is expected made in the Federal Register during the week of August 19. (Rel. 34-46377) The Commission published notice of a proposed rule change (SR-OCC-2002- 18) filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act. The proposed rule change relates to matched trade reporting. Publication of the proposal is expected in the Federal Register during the week of August 19. (Rel. 34-46378) PARTIAL TEMPORARY APPROVAL OF AMENDMENT A proposed amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis ("Nasdaq UTP Plan" or "Plan") has been granted partial temporary approval. (Rel. 34-44822) 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-3 US UNWIRED INC, CM TOWER SUITE 1900, ONE LAKESHORE DRIVE, LAKE CHARLES, LA, 70629, 3184369000 - 0 ($45,900,563.62) Equity, (File 333-98305 - Aug. 19) (BR. 37) S-8 NEUROGEN CORP, 35 NORTHEAST INDUSTRIAL RD, BRANFORD, CT, 06405, 2034888201 - 200,000 ($1,943,000.00) Equity, (File 333-98307 - Aug. 19) (BR. 01) S-8 NEUROGEN CORP, 35 NORTHEAST INDUSTRIAL RD, BRANFORD, CT, 06405, 2034888201 - 100,000 ($971,500.00) Equity, (File 333-98309 - Aug. 19) (BR. 01) SB-1 RUB A DUB SOAP INC, 13279 W OHIO AVE, LAKEWOOD, CO, 80228, 303-949-5834 - 800,000 ($200,000.00) Equity, (File 333-98315 - Aug. 19) (BR. ) S-8 XDOGS COM INC, 527 MARQUETTE AVE, SUITE 2130, MINNEAPOLIS, MN, 55402, 6123599020 - 300,000 ($10,500.00) Equity, (File 333-98317 - Aug. 19) (BR. 05) S-8 PLUMAS BANCORP, 35 S LINDEN AVENUE, QUINCY, CA, 95971, 5302837305 - 96,640 ($2,189,862.40) Equity, (File 333-98319 - Aug. 19) (BR. 09) S-8 INHALE THERAPEUTIC SYSTEMS INC, 150 INDUSTRIAL RD, SAN CARLOS, CA, 94070, 6506313100 - 0 ($3,900,000.00) Equity, (File 333-98321 - Aug. 19) (BR. 01) S-8 COMMUNICATIONS SYSTEMS INC, 213 S MAIN ST, HECTOR, MN, 55342, 3208486231 - 0 ($1,324,000.00) Equity, (File 333-98323 - Aug. 19) (BR. 37) S-8 COMMUNICATIONS SYSTEMS INC, 213 S MAIN ST, HECTOR, MN, 55342, 3208486231 - 0 ($662,000.00) Equity, (File 333-98325 - Aug. 19) (BR. 37) S-8 FAMILY STEAK HOUSES OF FLORIDA INC, 2113 FLORIDA BLVD, STE A, NEPTUNE BEACH, FL, 32266, 9042494197 - 200,000 ($166,000.00) Equity, (File 333-98327 - Aug. 19) (BR. 05) S-8 TERREMARK WORLDWIDE INC, 2601 SOUTH BAYSHORE DRIVE, MIAMI, FL, 33133, 2123199160 - 0 ($9,207,664.23) Equity, (File 333-98331 - Aug. 19) (BR. 37) S-3 ANDREW CORP, 10500 W 153RD ST, ORLAND PARK, IL, 60462, 7083493300 - 0 ($132,183,897.00) Equity, (File 333-98333 - Aug. 19) (BR. 06) S-8 SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 3,752,025 ($134,247,454.50) Equity, (File 333-98335 - Aug. 19) (BR. 04) SB-2 YOSEMITE MORTGAGE FUND II LLC, 414 13TH STREET, SUITE 400, OAKLAND, CA, 94612, 5104529144 - 6,500,000 ($65,000,000.00) Equity, (File 333-98337 - Aug. 19) (BR. ) S-3 MELLON RESIDENTIAL FUNDING CORP, ONE MELLON BANK CENTER, ROOM 410, PITTSBURGH, PA, 15258, 4122366559 - 0 ($1,000,000.00) Equity, (File 333-98339 - Aug. 19) (BR. 05) S-8 DIAMETRICS MEDICAL INC, 2658 PATTON RD, ROSEVILLE, MN, 55113, 6516398035 - 0 ($1,983,750.00) Equity, (File 333-98341 - Aug. 19) (BR. 36) S-8 REMEC INC, 9404 CHESAPEAKE DRIVE, SAN DIEGO, CA, 92123, 6195601301 - 0 ($2,962,500.00) Equity, (File 333-98343 - Aug. 19) (BR. 36) SB-2 OCEANIC EXPLORATION CO, 5000 S QUEBEC ST, SUITE 450, DENVER, CO, 80237, 3032208330 - 0 ($3,150,450.00) Equity, (File 333-98347 - Aug. 19) (BR. 04) S-8 DIVINE INC, 1301 N ELSTON AVENUE, CHICAGO, IL, 60622, 7733946600 - 0 ($169,752.00) Equity, (File 333-98349 - Aug. 19) (BR. 08) S-8 US MICROBICS INC, 5922 B FARNSWORTH COURT, CARLSBAD, CA, 92008, 7609181860 - 2,000,000 ($260,000.00) Equity, (File 333-98353 - Aug. 19) (BR. 01) S-3 AMERICA SERVICE GROUP INC /DE, 105 WESTPARK DR, STE 300, BRENTWOOD, TN, 37027, 6153733100 - 0 ($4,804,800.00) Equity, (File 333-98355 - Aug. 19) (BR. 01) N-2 BLACKROCK MUNICIPAL INCOME TRUST III, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 2127545300 - 100,000 ($1,500,000.00) Equity, (File 333-98357 - Aug. 19) (BR. ) N-2 BLACKROCK NEW YORK MUNICIPAL INCOME TRUST III, 40 EAST 52ND ST, NEW YORK, NY, 10022, 2127545300 - 100,000 ($1,500,000.00) Equity, (File 333-98361 - Aug. 19) (BR. ) N-2 BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST III, 40 EAST 52ND ST, NEW YORK, NY, 10022, 2127545300 - 100,000 ($1,500,000.00) Equity, (File 333-98363 - Aug. 19) (BR. ) 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 ------------------------------------------------------------------------------------ AEROCENTURY CORP DE X 08/12/02 AMEND AGRILINK FOODS INC NY X X 08/19/02 ALLIED WASTE INDUSTRIES INC DE X X 08/19/02 ALMOST FAMILY INC DE X 08/19/02 AVERY SPORTS TURF INC DE X 08/14/02 BALANCED CARE CORP DE X X 08/19/02 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 08/19/02 BANYAN STRATEGIC REALTY TRUST MA X X 08/13/02 BARRINGTON FOODS INTERNATIONAL INC CA X 08/06/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 08/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X 08/01/02 BEYOND COM CORP DE X X 08/01/02 C 3D DIGITAL INC UT X 08/15/02 CAMBRIDGE ENERGY CORP NV X X 08/19/02 AMEND CASTLE DENTAL CENTERS INC DE X X 08/19/02 CBRE HOLDING INC DE X 08/07/02 CDC COMMERCIAL MORTGAGE TRUST 2002-FX X 08/01/02 CE CASECNAN WATER & ENERGY CO INC X X 08/14/02 CENDANT CORP DE X 08/14/02 CHAMPION ENTERPRISES INC MI X X 08/19/02 CHAMPION ENTERPRISES INC MI X X 08/19/02 CHAMPION ENTERPRISES INC MI X X 08/08/02 AMEND CHAMPION ENTERPRISES INC MI X 07/17/02 AMEND CHECKPOINT SYSTEMS INC PA X 08/15/02 CIRCUIT RESEARCH LABS INC AZ X X 08/19/02 COMDISCO INC DE X X 06/30/02 COMSHARE INC MI X X 08/15/02 CONSECO FINANCE CORP DE X X 08/15/02 COOPER INDUSTRIES LTD X X 08/19/02 CREATOR CAPITAL LTD D0 X X 08/16/02 CREE INC NC X 08/16/02 CT HOLDINGS INC DE X X 08/19/02 CTB INTERNATIONAL CORP DE X X 08/16/02 CWMBS INC DE X X 04/30/02 CWMBS INC DE X X 04/30/02 CYTOGEN CORP DE X X 08/14/02 DIMON INC VA X X 08/19/02 DMC STRATEX NETWORKS INC DE X 08/14/02 DST MEDIA INC DE X 08/14/02 ELOCITY NETWORKS CORP DE X X 07/07/02 ELOCITY NETWORKS CORP DE X X 07/24/02 AMEND ENDOCARDIAL SOLUTIONS INC DE X 08/19/02 ENRON CORP/OR/ OR X X 08/15/02 ENTRADA NETWORKS INC DE X X 08/16/02 EQUIFAX INC GA X X 08/15/02 EXIDE CORP DE X 08/19/02 FAIR ISAAC & COMPANY INC DE X X 08/05/02 FAIRCHILD INTERNATIONAL CORP NV X 08/19/02 FAUQUIER BANKSHARES INC VA X 08/14/02 FEI CO OR X 08/19/02 FIRST M&F CORP/MS MS X X 08/16/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X 08/01/02 FIRST UNION NATIONAL BANK COM MORT PA NC X 08/01/02 FOSTER WHEELER LTD D0 X X 08/16/02 FOSTER WHEELER LTD D0 X X 08/16/02 GENESCO INC TN X 08/20/02 GENETRONICS BIOMEDICAL CORP X X 08/16/02 GENLYTE GROUP INC DE X 08/19/02 GENOMED INC X X 08/16/02 GERBER SCIENTIFIC INC CT X 08/19/02 GLOBAL PREFERRED HOLDINGS INC DE X X 08/19/02 GLYCOGENESYS INC NV X X 08/19/02 GLYKO BIOMEDICAL LTD X 08/19/02 GLYKO BIOMEDICAL LTD X X 08/09/02 AMEND GMAC COMMERCIAL MORTGAGE SECURITIES I DE X 08/01/02 GUIDELINE CAPITAL INC NV X 08/12/02 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 08/16/02 HERCULES INC DE X X 08/14/02 HERITAGE COMPANIES INC NV X 06/28/02 HERITAGE FINANCIAL HOLDING X 06/30/02 HFC REVOLVING CORP DE X X 08/19/02 IMP INC DE X 08/19/02 IN SPORTS INTERNATIONAL INC DE X 08/14/02 INTERNATIONAL LEASE FINANCE CORP CA X X 08/08/02 INTERNATIONAL WIRELESS INC MD X X 08/14/02 JAMES CABLE PARTNERS LP /DE/ DE X 08/14/02 JUNIPER GROUP INC NY X 08/19/02 KASPER A S L LTD DE X X 08/19/02 KERR MCGEE CORP /DE DE X X 08/15/02 KLEVER MARKETING INC DE X X 08/16/02 LA JOLLA FRESH SQUEEZED COFFEE CO INC DE X X X 08/15/02 LINCOLN NATIONAL CORP IN X 08/19/02 LUMALITE HOLDINGS INC NV X 08/19/02 MANOR CARE INC DE X X 08/19/02 MAXTOR CORP DE X X 08/15/02 MEADWESTVACO CORP DE X X 08/19/02 MED DIVERSIFIED INC NV X X 08/15/02 MED DIVERSIFIED INC NV X 07/26/02 AMEND MEMRY CORP DE X 08/19/02 MINDARROW SYSTEMS INC NV X 08/16/02 MOHEGAN TRIBAL GAMING AUTHORITY X X 08/19/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 08/19/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 08/01/02 MOTIENT CORP DE X 08/19/02 NATIONAL PENN BANCSHARES INC PA X 08/19/02 NCS HEALTHCARE INC DE X X 08/01/02 NEOFORMA INC/CA/ DE X 08/15/02 NEOTHERAPEUTICS INC DE X 08/19/02 NESCO INDUSTRIES INC NV X X 08/13/02 NETWOLVES CORP NY X X 07/16/02 NEUROGENESIS INC DE X 08/12/02 AMEND NISSAN AUTO RECEIVABLES 2002 C OWNER DE X X 08/19/02 NORTHERN BORDER PARTNERS LP DE X 08/16/02 NORTHERN BORDER PIPELINE CO TX X 08/16/02 OMNICARE INC DE X 08/15/02 PACIFIC GAS & ELECTRIC CO CA X X 08/19/02 PARADIGM GENETICS INC X 08/12/02 PG&E CORP CA X X 08/19/02 PHOENIX INTERNATIONAL INDUSTRIES INC FL X 08/16/02 PINNACLE HOLDINGS INC DE X X 07/30/02 PIVOTAL SELF SERVICE TECHNOLOGIES INC DE X X 08/19/02 PNM RESOURCES NM X 07/31/02 PRECIS SMART CARD SYSTEMS INC OK X 08/19/02 PRG SCHULTZ INTERNATIONAL INC GA X X 08/19/02 PRO FAC COOPERATIVE INC NY X X 08/19/02 PROXIM CORP DE X X 08/05/02 PRUDENTIAL SECURITIES SEC FIN CORP MO DE X 08/01/02 QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 08/19/02 QWEST CORP CO X 08/19/02 REPUBLIC RESOURCES INC /CO/ NV X X X X 06/24/02 AMEND REPUBLIC TECHNOLOGIES INTERNATIONAL H DE X X 08/19/02 RICA FOODS INC NV X 08/19/02 RJ REYNOLDS TOBACCO HOLDINGS INC DE X X 08/19/02 ROBBINS & MYERS INC OH X 08/16/02 RSTAR CORP DE X X 08/02/02 SAKS CREDIT CARD MASTER TRUST NV X X 07/26/02 SALOMON BROTHERS COMMERCIAL MORTGAGE DE X X 08/13/02 SALOMON SMITH BARNEY HOLDINGS INC DE X 08/14/02 SCIENCE APPLICATIONS INTERNATIONAL CO DE X 08/19/02 SECURITY ASSOCIATES INTERNATIONAL INC DE X 07/29/02 AMEND SEITEL INC DE X X 08/02/02 SELIGMAN NEW TECHNOLOGIES FUND II INC MD X X 08/16/02 SELIGMAN NEW TECHNOLOGIES FUND INC X X 08/16/02 SLI INC OK X 08/19/02 SONTRA MEDICAL CORP MN X X 08/14/02 SOUTHWEST BANCORP OF TEXAS INC TX X X 08/15/02 SPECTRE INDUSTRIES INC NV X 08/19/02 STATE STREET CORP MA X X 08/19/02 STEWART & STEVENSON SERVICES INC TX X X 08/19/02 STRUCTURED ASSET SEC CORP COMM MORT P DE X 08/01/02 STRUCTURED ASSET SECURITIES CORP DE X 08/01/02 STRUCTURED ASSET SECURITIES CORP LB-U DE X 08/01/02 SURGILIGHT INC DE X 08/19/02 TBA ENTERTAINMENT CORP DE X 08/16/02 TERAYON COMMUNICATION SYSTEMS DE X X 08/14/02 TIDEL TECHNOLOGIES INC DE X X 08/19/02 TRAVELZOO INC DE X X 08/15/02 TRUSTCO BANK CORP N Y NY X 08/19/02 TYLER TECHNOLOGIES INC DE X X 08/16/02 UNIFAB INTERNATIONAL INC LA X X 08/13/02 URS CORP /NEW/ DE X X 08/19/02 US AIRWAYS GROUP INC DE X 08/16/02 US UNWIRED INC LA X X 08/16/02 VAALCO ENERGY INC /DE/ DE X X 08/14/02 VANDERBILT MORT & FIN INC SENIOR SUB TN X 07/25/02 VANDERBILT MORTGAGE & FIN INC SEN SUB TN X 07/25/02 VEECO INSTRUMENTS INC DE X 08/19/02 VESTCOM INTERNATIONAL INC NJ X X 08/16/02 VIA NET WORKS INC DE X X 08/19/02 VISUAL NETWORKS INC DE X X 08/19/02 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X 08/01/02 WELLS FARGO ASSET SECURITIES CORP DE X X 08/19/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 05/30/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 07/30/02 WHISPERING OAKS INTERNATIONAL INC TX X 08/06/02 WHOLE FOODS MARKET INC TX X X 08/16/02 WOLVERINE WORLD WIDE INC /DE/ MI X X 08/19/02