SEC NEWS DIGEST Issue 2002-213 November 4, 2002 COMMISSION ANNOUNCEMENTS CHANGES TO SCHEDULE OF PUBLIC APPEARANCES - NOVEMBER 2002 Deputy Chief Accountant Jackson Day will be speaking at the following engagements instead of Robert K. Herdman, Chief Accountant. When: Tuesday, Nov. 5 Who: Jackson Day, Deputy Chief Accountant What: Chief Financial Officer Summit Where: New York, NY Contact: Tracey Santella, (973)-898-4627 When: Wednesday, Nov. 6 Who: Jackson Day, Deputy Chief Accountant What: Pre-Conference to 34th Annual Institute on Securities Regulation Where: New York, NY Contact: Angela Duncan, (212) 590-8844 Chairman Pitt will be speaking only on Friday, Nov. 8 at the following engagement. When: Friday, Nov. 8 Who: Chairman Pitt What: SIA Annual Convention Where: Boca Raton Resort & Club, Boca Raton, FL Contact: Marc Lakritz or Stuart Kaswell, (202) 296-9410 Giovanni P. Prezioso, General Counsel will be speaking at the following event but Commissioner Campos will not be speaking as previously announced. When: Thursday, Nov. 7 Who: Giovanni P. Prezioso, General Counsel What: Practicing Law Institute - 34th Annual Institute on Securities Regulation Where: The New York Hilton Hotel - New York, NY Contact: Anita Carr, (212) 824-5802 or Adele Tanner, (212) 824-5727 COMMISSION TO HOLD CREDIT RATING AGENCY HEARINGS The Commission will hold two full-day hearings this month to discuss a wide range of issues relating to credit rating agencies in the operation of the securities markets. The hearings will be held on Friday, Nov. 15, 2002, and Thursday, Nov. 21, 2002, in the William O. Douglas Room at Commission headquarters, 450 Fifth Street, N.W., Washington, D.C., beginning at 9 a.m. The hearings will be open to the public. The Commission expects the hearings to provide valuable information as it conducts the study required by the Sarbanes-Oxley Act of 2002, and otherwise completes its assessment of the regulatory framework applicable to credit rating agencies. Each hearing will cover the same topics but with a different set of participants. Broad topic areas are expected to include: (1) the current role and function of credit rating agencies; (2) information flow in the credit rating process; (3) concerns regarding credit rating agencies (e.g., potential conflicts-of- interest or abusive practices); and (4) the regulatory treatment of credit rating agencies (including concerns regarding potential barriers to entry). The Commission has invited a distinguished panel of experts to participate in each hearing. Panel participants will represent a wide range of views, including those of rating agencies, investment firms, issuers, regulators, and the academic community. Commissioners and Commission staff also will participate in each hearing. Currently confirmed panelists include: H. Kent Baker, Ph.D., University Professor of Finance, Kogod School of Business, American University; Deborah A. Cunningham, Senior Vice President and Senior Portfolio Manager, Federated Investors Inc.; Sean J. Egan, President, Egan-Jones Ratings Co.; Frank A. Fernandez, Senior Vice President, Chief Economist and Director of Research, The Securities Industry Association; Yasuhiro Harada, Senior Executive Managing Director, Rating and Investment Information Inc.; Stephen W. Joynt, President and Chief Executive Officer, Fitch Inc; James A. Kaitz, President and Chief Executive Officer, Association for Financial Professionals; Amy B.R. Lancellota, Senior Counsel, The Investment Company Institute; Malcom S. Macdonald, Vice President - Finance and Treasurer, Ford Motor Company; Erwin W. Martens, Managing Director, Putnam Investments, LLC; Larry G. Mayewski, Executive Vice President, Chief Rating Officer, The A.M. Best Company; Raymond W. McDaniel, President, Moody's Investors Service Inc.; Leo C. O'Neill, President, Standard & Poor's, a Division of The McGraw Hill Companies Inc.; Stephanie B. Petersen, Senior Vice President, Taxable Money Fund and Municipal Research, Charles Schwab & Co.; Barron H. Putnam, Ph.D., President and Financial Economist, LACE Financial Corp.; Glenn L. Reynolds, Chief Executive Officer, CreditSights Inc.; Paul Saltzman, Executive Vice President and General Counsel, The Bond Market Association; Walter Schroeder, President, Dominion Bond Rating Service Limited; Steven L. Schwarcz, Professor of Law, Duke University School of Law School; David L. Shedlarz, Chief Financial Officer, Pfizer Inc.; Cynthia L. Strauss, Fidelity Investments Money Management Inc., Director of Taxable Bond Research; Jerome B. Van Orman Jr., Vice President, Finance and Chief Financial Officer, North American Operations, General Motors Acceptance Corp.; J. Ben Watkins, Director, State of Florida Division of Bond Finance; and Mark L. Zusy, Managing Director, Lehman Brothers Inc. Additional information, including a more detailed list of topics for discussion, will be made available prior to the hearings on the Commission's Web site at www.sec.gov. Copies of materials submitted by the participants will be available by contacting the Commission's Public Reference Room, 450 Fifth Street, N.W., Washington, DC 20549, or by accessing the Commission's Web site at www.sec.gov. (Press Rel. 2002- 157) ENFORCEMENT PROCEEDINGS ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS ENTERED AGAINST WILLIAM STEPHENS The Commission announced that on Nov. 4 it settled an administrative proceeding against William M. Stephens (Stephens). Stephens, without admitting or denying the Commission's findings, consented to an Order that: (a) requires Stephens to cease and desist from committing or causing any violation and any future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (b) requires Stephens to pay a $25,000 civil penalty; and (c) bars Stephens from association with an investment adviser, with the right to reapply for association after two years. Pursuant to the Order and Offer of Settlement, the Commission found that in March 2000, Stephens was associated with a registered investment adviser. At that time, Stephens met with certain persons who offered to introduce Stephens to the trustees of certain union pension funds (the "Union Funds") so that Stephens and his firm could become financial advisers to the Union Funds. Stephens agreed that after he and his firm became financial advisers to the Union Funds, he would arrange to divert a portion of the Union Funds into investments controlled by the persons who introduced him to the Union Funds and those persons would pay kickbacks to the pension fund trustees who hired Stephens and his firm. Neither Stephens nor his firm became advisers to the Union Funds. As a result, no payments were ever made to any trustees of the Union Funds. The Commission's action was the result of an investigation with the United States Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation. (Rel. 33-8143; 34-46766; IA- 2076; File No. 3-10231) CIVIL ACTION AGAINST JAWSH CORPORATION The Commission (Commission) today announced that it had filed a civil action in the United States District Court for the Eastern District of Missouri against Jawsh Corporation (Jawsh) for offering unregistered securities and acting as an unregistered investment company. The Commission's complaint alleges that in about 1984 Jawsh was formed as a Missouri corporation by William L. Bates (Bates) of St. Louis, Missouri, who was, at all times, the Company's sole shareholder, officer and director. The Complaint also alleges that, from about 1987 through about September 2000, Jawsh, through Bates, publicly offered and sold $16 million in unregistered securities to 250 investors in at least 11 states through the means and instruments of interstate commerce and the mails. The Commission's complaint also alleges that Jawsh pooled money obtained from investors and invested it, reinvested it and traded in securities without a registration statement being in effect with the Commission as to Jawsh. The Commission's complaint also alleges that Jawsh thereby violated Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act) and Section 7(a) of the Investment Company Act of 1940 (Investment Company Act). Simultaneously with the filing of the civil action, Jawsh consented to an order, without admitting or denying the Commission's allegations, except as to jurisdiction, which is admitted: (1) enjoining Jawsh from further violations of the registration provisions of the Securities Act of 1933 and the Investment Company Act; (2) for the Court to immediately take exclusive jurisdiction and possession of Jawsh and its books, records and assets, and to appoint a trustee, pursuant to Section 42(d) of the Investment Company Act, to operate Jawsh and dispose of any or all of Jawsh's assets in the best interests of investors, in compliance with the federal securities laws and subject to such terms and conditions as the Court may prescribe; and (3) freezing the Company's assets and preserving its books and records, until the trustee has been appointed. The Commission also instituted public administrative and cease-and- desist proceedings against Bates based on findings that: from about 1987 through about September 2000, Bates publicly offered and sold $16 million in unregistered securities to 250 investors in at least 11 states to invest and trade in securities, solely at Bates' discretion, and caused and willfully aided and abetted Jawsh to act as an unregistered investment company in violation of the registration provisions of the federal securities laws. Simultaneously with the institution of administrative and cease-and-desist proceedings, Bates consented, without admitting or denying the Commission's findings, except as to jurisdiction, which is admitted, to issuance of a Commission order (Order) ordering Bates to: (1) cease and desist from committing or causing any violation, and any future violation, of Sections 5(a) and 5(c) of the Securities Act and Section 7(a) of the Investment Company Act; and (2) comply with his undertakings to: (a) pay the costs of the trustee appointed in the civil action up to $20,000; and (b) cooperate fully, truthfully and without compensation, with the Commission and the trustee, by: transferring Jawsh's assets, producing any documents in his possession, custody or control, providing truthful testimony in any depositions and hearings in which his testimony may be relevant, and providing whatever other assistance is requested of him. [SEC v. Jawsh Corporation, Civil Action No. 4:02:CV1640DDN (E.D. Mo.) (Noce, J.)] (LR-17826) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change filed by the American Stock Exchange (SR-Amex-2002-19), on a pilot basis until April 5, 2003, to provide a rule for reviewing the performance of specialists trading securities on an unlisted trading privileges basis on the Exchange. (Rel. 34-46750) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval for a proposed rule change filed by the American Stock Exchange (SR-Amex-2001-32) relating to the listing of fixed income trusts receipts under Amex Rule 1000A. Publication of the notice and order granting accelerated approval is expected in the Federal Register during the week of Nov. 4. (Rel. 34- 46738) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the Philadelphia Stock Exchange (SR-Phlx-2002-46) amending certain Phlx by- laws and rules relating to the functions of the Phlx's Membership Services Department and its Director, the Director of the Examinations Department, and the Floor Procedure Committee has become effective under Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Nov. 4. (Rel. 34-46755) A proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2002-155) extending a pilot under NASD Rule 4710, Participant Obligations in NNMS, has become effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of Nov. 4. (Rel. 34-46757) PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2002-11) and Amendment No. 1 thereto has been filed by the Philadelphia Stock Exchange to amend Phlx Rule 201A(b), Alternate Specialist Assignment. Publication of the proposal is expected in the Federal Register during the week of Nov. 4. (Rel. 34- 46758) 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 ZIM CORP, 200-20 COLONADE RD, OTTOWA, A6, K2E7M2, 0 ($1.00) Equity, (File 333-100920 - Nov. 1) (BR. 03) S-3 ADVANCE AUTO PARTS INC, 5673 AIRPORT RD, ROANOKE, VA, 24012, 5405613225 - 0 ($457,185,109.00) Equity, (File 333-100921 - Nov. 1) (BR. 02) S-8 TREND MICRO INC, ODAKYU SOUTHERN TOWER 10F 2-1 YOYOGI 2, CHOME SHIBUYA-KU, TOKYO 151-8583 JAPAN, M0, 00000, 0 ($13,120,042.25) Equity, (File 333-100922 - Nov. 1) (BR. 03) S-8 INTERGRAPH CORP, 1 MADISON INDUSTRIAL PARK IW2000, HUNTSVILLE, AL, 35894-0001, 2567302000 - 2,000,000 ($38,840,000.00) Equity, (File 333-100923 - Nov. 1) (BR. 03) S-8 NUEVO ENERGY CO, 1021 MAIN SUITE 2100, HOUSTON, TX, 77002, 7136520706 - 250,000 ($3,486,250.00) Equity, (File 333-100924 - Nov. 1) (BR. 04) SB-2 SPONGETECH DELIVERY SYSTEMS INC, 410 PARK AVENUE, SUITE 1530, NEW YORK, NY, 10022, 2129719111 - 994,000 ($248,500.00) Equity, (File 333-100925 - Nov. 1) (BR. ) S-8 GLOBAL POWER EQUIPMENT GROUP INC/, 6120 SOUTH YALE, SUITE 1480, TULSA, OK, 74136, 9184880828 - 0 ($6,352,500.00) Equity, (File 333-100926 - Nov. 1) (BR. 06) S-8 EXULT INC, 4 PARK PLAZA SUITE 350, IRVINE, CA, 92614, 9492508002 - 0 ($92,161,633.89) Equity, (File 333-100927 - Nov. 1) (BR. 08) S-8 ENTERPRISE FINANCIAL SERVICES CORP, 150 NORTH MERAMEC, 150 NORTH MERAMEC, CLAYTON, MO, 63105, 3147255500 - 0 ($3,500,007.00) Equity, (File 333-100928 - Nov. 1) (BR. 07) S-3 ACORN PRODUCTS INC, 390 W NATIONWIDE BLVD, COLUMBUS, OH, 43215-1930, 6142224400 - 2,147,084 ($9,974,712.00) Equity, (File 333-100929 - Nov. 1) (BR. 06) S-4 BNL FINANCIAL CORP, 301 CAMP CRAFT ROAD, SUITE 200, AUSTIN, TX, 78746, 5153273065 - 0 ($5,000,000.00) Non-Convertible Debt, (File 333-100930 - Nov. 1) (BR. 01) S-8 OMEGA FINANCIAL CORP /PA/, 366 WALKER DR, STATE COLLEGE, PA, 16801, 8142317680 - 25,000 ($863,545.00) Equity, (File 333-100931 - Nov. 1) (BR. 07) S-8 DANKA BUSINESS SYSTEMS PLC, 11201 DANKA CIRCLE N, ST PETERSBURG, FL, 33716, 7275766003 - 2,000,000 ($1,325,000.00) Equity, (File 333-100933 - Nov. 1) (BR. 02) S-8 NORFOLK SOUTHERN CORP, THREE COMMERCIAL PL, NORFOLK, VA, 23510-2191, 7576292680 - 0 ($122,400,000.00) Equity, (File 333-100936 - Nov. 1) (BR. 05) S-8 UNITED NATIONAL BANCORP, 1130 ROUTE 22 EAST, BRIDGEWATER, NJ, 08807, 9084292200 - 19,402 ($411,128.00) Equity, (File 333-100937 - Nov. 1) (BR. 07) S-1 DIGITAL ANGEL CORP, 490 VILLAUME AVENUE, SOUTH ST. PAUL, MN, 55075, 6514551621 - 0 ($65,146,120.00) Equity, (File 333-100940 - Nov. 1) (BR. 01) S-1 INPHONIC INC, 1010 WISCONSIN AVE NE STE 250, WASHINGTON, DC, 20007, 2023330001 - 0 ($90,000,000.00) Equity, (File 333-100941 - Nov. 1) (BR. ) F-6 GLANBIA PUBLIC LTD CO /FI, AW HOUSE, 212-839-5564, KILKENNY IRELAND, L2, 10048-0557, 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-100942 - Nov. 1) (BR. ) S-8 AQUATIC CELLULOSE INTERNATIONAL CORP, 3704 32ND STREET, SUITE 301, VERNON BC CANADA, A1, V1T 5N6, 8005656544 - 11,469,100 ($229,383.00) Equity, (File 333-100943 - Nov. 1) (BR. 06) S-3 PROTECTIVE LIFE INSURANCE CO, 2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL, 35223, 2058799230 - 0 ($3,000,000,000.00) Other, (File 333-100944 - Nov. 1) (BR. 20) N-2 SCUDDER RREEF REAL ESTATE FUND INC, 875 N MICHIGAN, CHICAGO, IL, 60611, 8888978480 - 0 ($1,000,000.00) Equity, (File 333-100945 - Nov. 1) (BR. 18) S-8 ITEC ENVIRONMENTAL GROUP INC, 132 S THIRD AVE, OAKDALE, CA, 95361, 2098483900 - 4,000,000 ($400,000.00) Equity, (File 333-100946 - Nov. 1) (BR. 09) S-3 CYTRX CORP, 154 TECHNOLOGY PKWY, TECHNOLOGY PARK/ATLANTA, NORCROSS, GA, 30092, 4043689500 - 0 ($4,323,021.00) Equity, (File 333-100947 - Nov. 1) (BR. 01) S-4 PROVANT INC, 67 BATTERYMARCH ST SUITE 600, BOSTON, MA, 02110, 6172611600 - 4,350,147 ($2,723,192.00) Equity, (File 333-100948 - Nov. 1) (BR. 08) N-2 BLACKROCK NEW YORK INSURED MUNICIPAL INCOME TRUST, 40 EAST 52ND ST, NEW YORK, NY, 10022, 2127545300 - 40 ($1,000,000.00) Equity, (File 333-100949 - Nov. 1) (BR. 22) N-2 BLACKROCK CALIFORNIA INSURED MUNICIPAL INCOME TRUST, 40 EAST 52ND ST, NEW YORK, NY, 10022, 2127545300 - 40 ($1,000,000.00) Equity, (File 333-100950 - Nov. 1) (BR. 22) N-2 BLACKROCK INSURED MUNICIPAL INCOME TRUST, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 2127545300 - 40 ($1,000,000.00) Equity, (File 333-100951 - Nov. 1) (BR. 22) N-2 BLACKROCK FLORIDA INSURED MUNICIPAL INCOME TRUST, 40 EAST 52ND ST, NEW YORK, NY, 10022, 2127545300 - 40 ($1,000,000.00) Equity, (File 333-100952 - Nov. 1) (BR. 22) S-3 UNUMPROVIDENT CORP, 1 FOUNTAIN SQUARE, CHATTANOOGA, TN, 37402, 2077702211 - 0 ($1,475,000,000.00) Equity, (File 333-100953 - Nov. 1) (BR. 01) S-8 INTERNET SECURITY SYSTEMS INC/GA, 6303 BARFIELD RD, ATLANTA, GA, 30328, 6784436000 - 0 ($34,492,382.65) Equity, (File 333-100954 - Nov. 1) (BR. 03) 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 ----------------------------------------------------------------------------------- ADMIRALTY BANCORP INC DE X X 10/16/02 ADVANCED PHOTONIX INC DE X 08/21/02 AMEND ALLERGAN INC DE X X 10/31/02 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 10/31/02 ALLIANCE CAPITAL MANAGEMENT L P DE X X 10/31/02 AMERICA FIRST REAL ESTATE INVESTMENT DE X 09/30/02 AMEND AMERICAN PULP EXCHANGE INC FL X 10/22/02 AMERIGAS PARTNERS LP DE X 11/01/02 AMR CORP DE X 11/01/02 ANACOMP INC IN X 10/18/02 ANADARKO PETROLEUM CORP DE X X 10/31/02 ARENA PHARMACEUTICALS INC DE X X 10/30/02 ARIAD PHARMACEUTICALS INC DE X 10/31/02 AVNET INC NY X X 10/31/02 AVOCENT CORP DE X X 10/31/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 10/23/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 09/26/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 09/17/02 BARRY R G CORP /OH/ OH X X 10/30/02 BAY VIEW CAPITAL CORP DE X X X 11/01/02 BIOMARIN PHARMACEUTICAL INC DE X 10/31/02 BIONUTRICS INC NV X X 10/29/02 BLACK WARRIOR WIRELINE CORP DE X 10/31/02 BORLAND SOFTWARE CORP DE X X 10/29/02 BRIAZZ INC WA X X X 10/31/02 BRISTOL MYERS SQUIBB CO DE X 10/24/02 BROWN FORMAN CORP DE X 11/01/02 BUCKEYE PARTNERS L P DE X X 11/01/02 CAL DIVE INTERNATIONAL INC MN X X 10/31/02 CAP ROCK ENERGY CORP X X 11/01/02 CAPITAL DIRECTIONS INC MI X X 11/02/02 CEVA INC DE X 11/01/02 CHATTEM INC TN X 10/30/02 CHESAPEAKE FINANCIAL SHARES INC VA X X 11/01/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 09/30/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 09/30/02 CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 09/30/02 CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 09/30/02 CHITTENDEN CORP /VT/ VT X 11/01/02 CIGNA CORP DE X X 11/01/02 CINEMA RIDE INC DE X X 10/31/02 CLASSIC BANCSHARES INC DE X X 10/30/02 COLDWATER CREEK INC DE X 11/01/02 COMDIAL CORP DE X X 10/25/02 COMMONWEALTH BIOTECHNOLOGIES INC VA X 10/18/02 AMEND CV THERAPEUTICS INC DE X X 08/07/00 CWABS INC DE X X 10/30/02 CYPOST CORP DE X X 10/30/02 DCAP GROUP INC/ DE X 08/30/02 AMEND DENTAL RESOURCES INC MN X X 11/01/02 DIPPER INC CO X X X X 10/30/02 DRESSER INC DE X X 10/31/02 DSET CORP NJ X X 09/06/02 DSP GROUP INC /DE/ DE X X 10/31/02 EARTHSHELL CORP DE X X 10/30/02 ELITE PHARMACEUTICALS INC /DE/ DE X X 11/01/02 EMAGIN CORP NV X X 10/31/02 ENCOMPASS SERVICES CORP TX X 11/01/02 ENSCO INTERNATIONAL INC DE X 10/31/02 ENTRX CORP DE X X 10/22/02 ENVIRONMENTAL POWER CORP DE X X 11/01/02 EURONET WORLDWIDE INC DE X X 10/31/02 EXTENDED STAY AMERICA INC DE X X 10/31/02 FIBERNET TELECOM GROUP INC\ DE X X 11/01/02 FINET COM INC DE X X 10/31/02 FIRST MID ILLINOIS BANCSHARES INC DE X 11/01/02 FLORIDAFIRST BANCORP INC FL X X 10/31/02 FORD MOTOR CO DE X X 11/01/02 FORD MOTOR CREDIT CO DE X X 11/01/02 GENERAL MOTORS CORP DE X 11/01/02 GLOBAL POWER EQUIPMENT GROUP INC/ DE X X X 10/28/02 H&R BLOCK INC MO X 11/01/02 HANCOCK JOHN FINANCIAL SERVICES INC X 10/31/02 HANCOCK JOHN LIFE INSURANCE CO MA X 10/31/02 HANOVER COMPRESSOR CO / DE X X 10/31/02 HORIZON OFFSHORE INC DE X X 10/30/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-1 DE X 10/11/02 HOUSEHOLD CONSUMER LOAN TRUST 1996-2 DE X 10/11/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-1 DE X 10/11/02 HOUSEHOLD CONSUMER LOAN TRUST 1997-2 DE X 10/11/02 HOUSEHOLD CREDIT CARD MASTER NOTE TRU DE X 10/15/02 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 10/21/02 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 10/21/02 HYSEQ INC NV X 10/25/02 IEC ELECTRONICS CORP DE X 10/25/02 IMMERSION CORP DE X X 10/28/02 INSTINET GROUP INC DE X X 11/01/02 ITC DELTACOM INC DE X X 10/17/02 JACOBSON STORES INC MI X X 10/28/02 JARDEN CORP DE X X 11/01/02 KEMET CORP DE X 11/01/02 KRYSTAL COMPANY TN X X 10/17/02 LABORATORY CORP OF AMERICA HOLDINGS DE X 11/01/02 LANDAIR CORP TN X X 11/01/02 LANDSTAR SYSTEM INC DE X 11/01/02 LENNOC VENTURES INC NV X 10/28/02 LEXINGTON PRECISION CORP DE X X 10/31/02 LINCOLN NATIONAL CORP IN X 09/30/02 LML PAYMENT SYSTEMS INC A1 X 10/30/02 LONG BEACH SECURITIES CORP DE X X 10/31/02 MADISON RIVER CAPITAL LLC DE X X 10/31/02 MATLACK SYSTEMS INC DE X X 11/01/02 MEDIX RESOURCES INC CO X 10/30/02 MERRILL LYNCH & CO INC DE X X 11/01/02 MICROS SYSTEMS INC MD X 10/30/02 MICROSEMI CORP DE X 11/01/02 MID AMERICA APARTMENT COMMUNITIES INC TN X 10/31/02 MINERALS TECHNOLOGIES INC DE X 11/01/02 MODEM MEDIA INC DE X X X 10/31/02 MOORE CORPORATION LTD X 11/01/02 MORGAN GROUP HOLDING CO X 10/18/02 MORGAN GROUP INC IN X 10/31/02 MUTUAL RISK MANAGEMENT LTD D0 X 10/18/02 NATIONAL BEAUTY CORP NV X 10/24/02 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 10/01/02 NDCHEALTH CORP DE X X 10/29/02 NEOSE TECHNOLOGIES INC DE X X 10/30/02 NEUBERGER BERMAN INC DE X X 10/29/02 NEWFIELD EXPLORATION CO /DE/ DE X X 10/31/02 NEXTCARD INC DE X 10/24/02 NISOURCE INC/DE DE X X 10/28/02 NITCHES INC CA X X 11/01/02 NN INC DE X X 11/01/02 NORTHEAST INDIANA BANCORP INC DE X X 11/01/02 O CHARLEYS INC TN X X X 10/28/02 OGLEBAY NORTON CO /OHIO/ OH X X 10/25/02 OI CORP OK X X 10/29/02 PARK PLACE ENTERTAINMENT CORP DE X X 10/24/02 PATINA OIL & GAS CORP DE X 11/01/02 PAXSON COMMUNICATIONS CORP DE X X 11/01/02 PENNZOIL QUAKER STATE CO DE X X 11/01/02 POINT 360 CA X 09/30/02 PRECISION OPTICS CORPORATION INC MA X 11/01/02 PROGRESSIVE CORP/OH/ OH X X 11/01/02 PUGET ENERGY INC /WA WA X X 10/31/02 RAIT INVESTMENT TRUST MD X X 10/24/02 RAMCO GERSHENSON PROPERTIES TRUST MA X X 11/01/02 RAYBOR MANAGEMENT INC A1 X X 08/22/02 RHBT FINANCIAL CORP SC X 10/31/02 RHEOMETRIC SCIENTIFIC INC NJ X X 10/11/02 RIGHT MANAGEMENT CONSULTANTS INC PA X X 10/24/02 ROCK OF AGES CORP DE X X 11/01/02 ROCKWELL COLLINS INC DE X X 10/30/02 ROPER INDUSTRIES INC /DE/ DE X X 11/01/02 RUDDICK CORP NC X X 10/31/02 SAFENET INC DE X X 10/30/02 SANCHEZ COMPUTER ASSOCIATES INC PA X X 10/31/02 SAUER DANFOSS INC DE X 10/30/02 SAUL CENTERS INC MD X 11/01/02 SENETEK PLC /ENG/ X X 10/15/02 SIERRA PACIFIC RESOURCES /NV/ 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