SEC NEWS DIGEST Issue 2003-21 January 31, 2003 COMMISSION ANNOUNCEMENTS SECURITIES AND EXCHANGE COMMISSION ANNOUNCES AVAILABILITY OF OPTIONS INTERMARKET LINKAGE Options Intermarket Linkage Provides for Access Among Markets, Better Ensures Customer Orders Trade at Best Published Price The Commission today announced the implementation by the options exchanges of the intermarket linkage. Since the expansion of multiple listing of options, and in particular over the past year, the Commission has encouraged the options exchanges to develop a linkage to ensure that customers' orders are executed at the best published price. Today's implementation of the linkage by the options exchanges is the culmination of the efforts of the five options exchanges: the American Stock Exchange, the Chicago Board Options Exchange, the International Securities Exchange, the Pacific Exchange, and the Philadelphia Stock Exchange. "The implementation of this linkage is a credit to the options exchanges and I commend their hard work in making it a reality." Chairman Harvey L. Pitt said. "This linkage is a victory for investors who are now better assured that their orders will be executed at the best published price." Today, the linkage is available in 14 option classes to those orders that are eligible for automatic execution, which are the smaller-sized orders. The availability of the linkage for these smaller-sized orders will be rolled out to all classes over the next month. Beginning April 30, the exchanges will roll out the linkage for all other orders. For more information on the Commission's recent efforts with regard to the options intermarket linkage, see the SEC News Digest, Issue 2002-238 (December 11, 2002) at http://www.sec.gov/news/digest/12-11.txt. (Press Rel. 2003-17) ENFORCEMENT PROCEEDINGS IN THE MATTER OF IVES HEALTH COMPANY, INC. An Administrative Law Judge has issued an order entering default in the Matter of Ives Health Company, Inc. The Order Instituting Proceedings (OIP) alleged that a U.S. District Court permanently enjoined Ives Health Company, Inc. from violating Sections 5(a) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 12b-25, 13a-1 and 13a-13 thereunder. The order finds the allegations in the OIP to be true and, pursuant to Section 12(j) of the Securities Exchange Act of 1934 revokes the registration of the common stock of Ives Health Company, Inc. (Rel. 34-47291; File No. 3-10871) IN THE MATTER OF CONTINENTAL STOCK TRANSFER AND TRUST COMPANY AND MICHAEL NELSON On Jan. 31, the Commission instituted administrative proceedings against Continental Stock Transfer and Trust Company (Continental), a New York transfer agent and Continental's former President and Treasurer, Michael Nelson (Nelson). Simultaneously with the institution of these proceedings, the Commission accepted offers of settlement from Continental and Nelson. In their settlement offers, Continental and Nelson consented, without admitting or denying the Commission's findings, to the entry of an Order finding that, from 1995 to 2000, Continental and Nelson diverted funds from several hundred dormant agency accounts to accounts of Continental and an affiliate. In the Commission's Order Instituting Public Administrative Proceedings Pursuant to Sections 17A(c) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Remedial Sanction and Cease-and- Desist Order (Order), the Commission found that Continental, at Nelson's direction, improperly transferred a total of $1,118,582 from dormant bank accounts held on behalf of issuers to the operating accounts of Continental and its affiliate, Continental Stock Transfer Corporation (CSTC). Continental then concealed the diversion of these funds from regulators by recording the transfers of funds to Continental and CSTC as either miscellaneous income or reductions to unrelated accounts receivables, or as entries to a balance sheet expense account. Prior to 1997, Continental also periodically commingled funds held on behalf of issuers with funds belonging to Continental and its affiliates in short- term interest bearing "sweep" accounts held by Continental. In further breach of its duty to safeguard such funds, Continental failed adequately to document these transfers. Pursuant to Continental's and Nelson's settlement offers, the Order: (i) directs Continental and Nelson to cease and desist, pursuant to Section 21C of the Exchange Act, from violating or causing any violations and any future violations of Section 17A(d)(1) of the Exchange Act and Rule 17Ad-12 thereunder; and (ii) bars Nelson, pursuant to Section 17A(c)(4)(C) of the Exchange Act, from association with any transfer agent. (Rel. 34-47292; File No. 3-11025) COMMISSION ISSUES ORDER AGAINST AMERICAN RICE, INC. AND THREE EMPLOYEES FOR BRIBING FOREIGN GOVERNMENT OFFICIALS AND FALSELY RECORDING THE BRIBES On Jan. 30, the Commission issued an Order against American Rice, Inc., a Houston, Texas based rice company, Joseph A. Schwartz, Jr., a Houston resident and former controller for Haiti operations, Joel R. Malebranche, a New York resident and former employee, and Allen W. Sturdivant, a Houston resident and former employee (collectively, Respondents). The Commission's Order finds that Schwartz, Malebranche and Sturdivant participated in a scheme to illegally reduce American Rice's import taxes by approximately $1.5 million on rice shipments to Haiti by paying at least 12 bribes to Haitian customs officials totaling approximately $500,000. Schwartz improperly recorded the bribery payments as routine business expenditures. The bribery payments and false entries violated the antibribery and books and records provisions of the Foreign Corrupt Practices Act. American Rice, Schwartz, Malebranche and Sturdivant consented to the Order without admitting or denying its findings. In the Order American Rice, Schwartz, Malebranche and Sturdivant agree to cease and desist from committing or causing any violation and any future violation of the antibribery provisions of the Securities Exchange Act of 1934 (Exchange Act Section 30A); American Rice agrees to cease and desist from committing or causing any violation and any future violation of the books and records provisions of the Exchange Act (Exchange Act Sections 13(b)(2)(A) and 13(b)(2)(B)); and Schwartz agrees to cease and desist from committing or causing any violation and any future violation of Exchange Act Section 13(b)(5) and Exchange Act Rule 13b2-1. In related proceedings, the Commission previously filed, on July 30, 2002, a civil injunctive action in the United States District Court for the Southern District of Texas against Douglas A. Murphy, American Rice's former president, David G. Kay, a former vice president, and Lawrence H. Theriot, a former consultant. The complaint alleges that Kay, with Murphy's knowledge, authorized the bribery payments and false entry of those payments in American Rice's books and records. The complaint further alleges that Theriot provided substantial assistance to Kay and Murphy by monitoring the bribery payments and exploring alternative schemes. That action is stayed pending an appeal in parallel criminal proceedings. See Litigation Release No. 17651, Aug. 2, 2002. In the parallel criminal proceedings, the Department of Justice obtained indictments against Murphy and Kay. On April 16, 2002, the United States District Court for the Southern District of Texas dismissed those indictments on the grounds that the payments at issue were not made to obtain or retain business as required by the Foreign Corrupt Practices Act. The Department of Justice's appeal of the dismissal is currently before the Fifth Circuit. The Commission wishes to thank the United States Department of Justice for its assistance in this matter. (Rel. 34-47286; AAE Rel. 1710; File No. 3-11024) SEC CHARGES ACCOUNTING SUPERVISOR AT MASSACHUSETTS PHARMACEUTICAL COMPANY AND HIS FATHER WITH INSIDER TRADING On Jan. 30, the Commission filed insider trading charges against George R. Potter and Timothy J. Potter of Bedford, New Hampshire, in connection with trading in the securities of Sepracor, Inc., a Marlborough, Massachusetts-based pharmaceutical company. According to the Commission's complaint, on October 18, 2000, Sepracor employee Timothy Potter tipped his father, George Potter, after learning that Eli Lilly and Company might terminate a license agreement with Sepracor. Minutes later, the Commission's complaint alleges, George Potter bought Sepracor put options. The next day, after Sepracor publicly announced the termination of the license agreement, he sold them, profiting by $55,172. According to the Commission's complaint, on April 18, 2001, George Potter transferred approximately the same amount -- $55,000 -- to Timothy Potter's account. The Commission's complaint alleges that Timothy Potter, a manager in Sepracor's accounting department, learned no later than October 18, 2000, that Eli Lilly and Company might terminate a license agreement with Sepracor concerning the development of a new version of Lilly's top- selling antidepressant, Prozac. According to the complaint, on October 18, Timothy Potter tipped his father about the potential termination, in breach of a duty he owed to Sepracor and its shareholders not to trade, or direct others to trade, in the company's securities while in possession of material, nonpublic information about the company. The Commission's complaint further alleges that George Potter, acting on the tip, purchased put options on Sepracor stock for $30,694 - in effect, betting that the price of Sepracor stock would fall. As a result of the conduct described in the complaint, the Commission charged George Potter and Timothy Potter with securities fraud in violation of the antifraud provisions of the Securities Exchange Act of 1934, based on their illegal insider trading. The Commission's complaint seeks injunctive relief, disgorgement of the profits from their insider trading, plus prejudgment interest, and a civil monetary penalty of up to three times the amount of the profits from their insider trading. The Commission acknowledges the assistance of the Chicago Board Options Exchange in the matter. [SEC v. Timothy J. Potter and George R. Potter, USDC, District of New Hampshire, C.A. No. C-03-32- M] (LR-17958) FORMER INVESTMENT ADVISER SEARS CRIMINALLY INDICTED FOR SECURITIES FRAUD The Commission announced that on Jan. 23 Robert C. Sears (Sears) of Northampton, Massachusetts and Block Island, Rhode Island was criminally indicted by the U.S. Attorney for the District of Massachusetts for wire fraud. The indictment alleges that from Feb. 1, 2000 to Sept. 15, 2000, Sears, an unregistered investment adviser, misappropriated more than $1.3 million of his clients' funds by causing unauthorized wire transfers from his clients' accounts at several brokerage firms. To accomplish the transfers, Sears either forged his clients' signatures on letters directing the brokerage firms to transfer funds or fraudulently induced clients to transfer funds to the bank account of a corporation, Last Minute Concessions, Inc. (Last Minute), of which Sears was the president and 50% owner. To generate the transferred cash, Sears forged client signatures on margin agreements and obtained unauthorized margin loans in client accounts. Last Minute used the money to buy a controlling interest in Cold Spring Golf, an entity developing a golf course near Belchertown, Massachusetts. Last Minute also purchased stock in Cold Spring Development, which was to build an adjoining condominium community. The indictment further alleges that when Sears' clients eventually learned of the transfers and began to question Sears, he provided varying false explanations and failed to disclose material facts, including his own financial interest in Last Minute and Last Minutes' controlling interest in Cold Spring Golf. If convicted on the current criminal charges, Sears faces up to five years imprisonment and a $250,000 fine. On Sept. 26, 2000, the Commission filed a civil complaint in connection with the scheme described above. The Commission's complaint charged that Sears' conduct violated the antifraud provisions of the Securities Act of 1933 (Section 17(a)), the Securities Exchange Act of 1934 (Section 10(b) and Rule 10b-5 thereunder), and the Investment Advisers Act of 1940 (Sections 206(1) and 206(2)). On Sept. 10, 2002, the United States District Court for the District of Massachusetts entered a default judgment against Sears enjoining him from further violations of the antifraud provisions cited above and ordering him to pay disgorgement and prejudgment interest of over $2.5 million and a penalty of $500,000. The Commission also obtained a default judgment against Sears on Jan. 13, 2003 in an administrative proceeding before an Administrative Law Judge, who ordered Sears barred from acting as an investment adviser and from associating with an investment adviser. For further information, see Litigation Release No. 16735 and IA Release No. 2099. [SEC v. Robert C. Sears, Civil Action No. 00CV30170-FHF, USDC, District of Massachusetts] (LR-17959) CORRECTED RELEASE NO. An administrative proceeding in the matter of Dennis Herula, which appeared in the Jan. 30th issue of the Digest, contained an inaccurate release number. The correct release is 34-47266. SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NYSE-2003-02) filed by the New York Stock Exchange amending Exchange Rule 111 to correct certain internal rule references 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 Feb. 3. (Rel. 34- 47275) PROPOSED RULE CHANGES The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 48) and Amendment No. 1 thereto relating to its marketing performance standards for Exchange specialists. Publication of the proposal is expected in the Federal Register during the week of Feb. 3. (Rel. 34- 47281) The New York Stock Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-NYSE-2002-44) to amend its Direct+ system so that executions will not be available if the resulting trade would be more than five cents from the last sale. Publication of the proposal is expected in the Federal Register during the week of Feb. 3. (Rel. 34- 47285) The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2002-40) and Amendment No. 1 thereto relating to options on the CBOE Asian 25 Index and CBOE Euro 25 Index. Publication of the proposal is expected in the Federal Register during the week of Feb. 3. (Rel. 34- 47287) A proposed rule change (SR-CBOE-2003-02) has been filed by the Chicago Board Options Exchange relating to the reporting of other affiliations of Associated Persons to the Exchange. Publication of the notice is expected in the Federal Register during the week of Feb. 3. (Rel. 34- 47290) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-ISE-2002-28) submitted by the International Securities Exchange to increase the number of authorized shares of Class B Common Stock, Series B-2 from 100 to 130, resulting in the creation of 30 additional Competitive Market Maker memberships. (Rel. 34-47289) DELISTING GRANTED An order has been issued granting the application of the Chicago Stock Exchange to strike from listing and registration, the Common Stock, $1.00 par value, of Kmart Corporation, effective at the opening of business on Jan. 31. (Rel. 34-47288) 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 TECHNOLOGY CONNECTIONS INC, 13777 BALLANTYNE CORPORATE PLACE, SUITE 250, CHARLOTTE, NC, 28277, 1,750,000 ($262,500.00) Equity, (File 333-102818 - Jan. 30) (BR. 06) S-8 AMERICAN FIRE RETARDANT CORP, 9337 BOND AVENUE, 806-479-0449, EL CAJON, CA, 92012, 619-390-68 - 50,000,000 ($350,000.00) Equity, (File 333-102822 - Jan. 30) (BR. 02) S-8 LATITUDE COMMUNICATIONS INC, 2121 TASMAN DRIVE, SANTA CLARA, CA, 95054, 0 ($2,420,121.00) Equity, (File 333-102823 - Jan. 30) (BR. 03) S-3 WENDYS INTERNATIONAL INC, 4288 W DUBLIN GRANVILLE RD, P O BOX 256, DUBLIN, OH, 43017, 6147643100 - 500,000,000 ($500,000,000.00) Other, (File 333-102824 - Jan. 30) (BR. 05) S-8 INTERNATIONAL FLAVORS & FRAGRANCES INC, 521 W 57TH ST, NEW YORK, NY, 10019, 2127655500 - 0 ($146,880,000.00) Equity, (File 333-102825 - Jan. 30) (BR. 02) F-6 TELKOM SA LTD, TELKOM TOWERS NORTH, 152 PROES STREET PRETORIA REPUBLIC OF, SOUTH AFRICA, T3, 00000, 27123215808 - 100,000,000 ($5,000,000.00) ADRs/ADSs, (File 333-102826 - Jan. 30) (BR. ) S-8 FINX GROUP INC, 249 NORTH SAW MILL RIVER ROAD, ELMSFORD, NY, 10523, 9145925930 - 90,000,000 ($2,250,000.00) Equity, (File 333-102827 - Jan. 30) (BR. 03) S-3 VIEWPOINT CORP/NY/, 498 SEVENTH AVENUE, SUITE 1810, NEW YORK, NY, 10018, 212-201-0800 - 0 ($7,987,069.91) Equity, (File 333-102829 - Jan. 30) (BR. 03) S-8 BANK ONE CORP, 1 BANK ONE PLAZA, CHICAGO, IL, 60670, 3127324000 - 0 ($555,900,000.00) Equity, (File 333-102830 - Jan. 30) (BR. 07) S-8 LEXAR MEDIA INC, 47421 BAYSIDE PARKWAY, FREMONT, CA, 94538, 5104131200 - 0 ($37,609,342.00) Equity, (File 333-102831 - Jan. 30) (BR. 36) S-8 MOLDFLOW CORP, 91 HARTWELL AVE, LEXINGTON, MA, 02421, 7816740085 - 0 ($10,260,561.00) Equity, (File 333-102833 - Jan. 30) (BR. 03) F-1 TELKOM SA LTD, TELKOM TOWERS NORTH, 152 PROES STREET PRETORIA REPUBLIC OF, SOUTH AFRICA, T3, 00000, 27123215808 - 0 ($227,306,456.00) ADRs/ADSs, (File 333-102834 - Jan. 30) (BR. ) S-8 LACLEDE GROUP INC, 720 OLIVE ST, ST LOUIS, MO, 63101, 3143420500 - 1,250,000 ($29,450,000.00) Equity, (File 333-102835 - Jan. 30) (BR. 02) S-8 LACLEDE GROUP INC, 720 OLIVE ST, ST LOUIS, MO, 63101, 3143420500 - 50,000 ($1,178,000.00) Equity, (File 333-102836 - Jan. 30) (BR. 02) S-3 CARDIMA INC, 47266 BENICIA STREET, FREMONT, CA, 94538, 5103540300 - 0 ($11,354,654.00) Equity, (File 333-102837 - Jan. 30) (BR. 36) S-8 FAN ENERGY INC, 5355 CAPITAL COURT, SUITE 108, RENO, NV, 89502, 6022677500 - 10,000,000 ($100,000.00) Other, (File 333-102838 - Jan. 30) (BR. 08) S-3 GEORGIA POWER CO, 241 RALPH MCGILL BOULEVARD, ATLANTA, GA, 30308, 4045066526 - 800,000,000 ($800,000,000.00) Unallocated (Universal) Shelf, (File 333-102839 - Jan. 30) (BR. 02) S-8 US DATAWORKS INC, 5301 HOLLISTER ROAD, SUITE 250, HOUSTON, TX, 77040, 713-934-3856 - 8,000,000 ($3,632,918.00) Equity, (File 333-102840 - Jan. 30) (BR. 02) S-8 US DATAWORKS INC, 5301 HOLLISTER ROAD, SUITE 250, HOUSTON, TX, 77040, 713-934-3856 - 621,750 ($2,305,958.00) Equity, (File 333-102842 - Jan. 30) (BR. 02) S-3 ALLEGIANT BANCORP INC/MO/, 2122 KRATKY ROAD, ST LOUIS, MO, 63114, 314-530-8000 - 1,725,000 ($31,101,750.00) Equity, (File 333-102843 - Jan. 30) (BR. 07) S-3D PPL CORP, TWO N NINTH ST, ALLENTOWN, PA, 181011179, 6107745151 - 0 ($104,280,000.00) Equity, (File 333-102845 - Jan. 30) (BR. 02) S-3 P COM INC, 3175 S WINCHESTER BLVD, CAMPBELL, CA, 95008, 4088663666 - 0 ($22,468,000.00) Unallocated (Universal) Shelf, (File 333-102847 - Jan. 30) (BR. 37) S-8 FAIR ISAAC & COMPANY INC, 200 SMITH RANCH ROAD, SAN RAFAEL, CA, 94903, 4154722211 - 2,932,093 ($137,720,408.21) Equity, (File 333-102848 - Jan. 30) (BR. 08) S-8 FAIR ISAAC & COMPANY INC, 200 SMITH RANCH ROAD, SAN RAFAEL, CA, 94903, 4154722211 - 248,750 ($8,151,825.00) Equity, (File 333-102849 - Jan. 30) (BR. 08) S-1 INTERVIDEO INC, 47350 FREMONT BLVD, FREMONT, CA, 94538, 5106510888 - 0 ($56,350,000.00) Equity, (File 333-102851 - Jan. 30) (BR. 03) S-8 BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 0 ($2,407,600,000.00) Equity, (File 333-102852 - Jan. 30) (BR. 07) 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 ------------------------------------------------------------------------------------ ACE COMM CORP MD X X 01/23/03 ACTERNA CORP DE X X 01/29/03 AFFILIATED MANAGERS GROUP INC DE X 01/29/03 AFFYMETRIX INC DE X X 01/30/03 AFFYMETRIX INC DE X X 01/30/03 AIRGAS INC DE X X 01/29/03 ALASKA AIR GROUP INC DE X X 01/30/03 ALLIANCE DATA SYSTEMS CORP DE X X 01/29/03 AMERADA HESS CORP DE X 01/30/03 AMEREN CORP MO X X 01/30/03 AMERICAN ITALIAN PASTA CO DE X X X 01/29/03 AMERICAN RIVER HOLDINGS CA X X 01/29/03 AMERICAN WOODMARK CORP VA X X 01/30/03 AMR CORP DE X 01/30/03 AMSCAN HOLDINGS INC DE X X 12/20/02 ANIKA THERAPEUTICS INC MA X X 01/28/03 APA OPTICS INC /MN/ MN X X 01/29/03 APPIANT TECHNOLOGIES INC DE X 11/13/02 AMEND ARIZONA PUBLIC SERVICE CO AZ X 01/15/03 ASSET BACKED FUNDING CORP ASSET BK FU DE X X 12/26/02 ATWOOD OCEANICS INC TX X X 01/30/03 AUTOZONE INC NV X X 01/29/03 AVOCENT CORP DE X 01/30/03 BANK OF NEW YORK CO INC NY X X 01/23/03 BELDEN INC DE X 01/30/03 BLACK & DECKER CORP MD X X 01/30/03 BLUE RIVER BANCSHARES INC IN X X 01/30/03 BOEING CAPITAL CORP DE X 01/30/03 BRADLEY PHARMACEUTICALS INC DE X X 01/29/03 BUTLER MANUFACTURING CO DE X 01/30/03 CABOT INDUSTRIAL PROPERTIES LP DE X X 01/29/03 CAPITAL AUTO RECEIVABLES INC DE X 01/30/03 CELL GENESYS INC DE X X 01/30/03 CENTERSTATE BANKS OF FLORIDA INC FL X X 01/20/03 CENTURY ALUMINUM CO DE X X 01/30/03 CHASE FUNDING INC NY X X 01/30/03 CHASE MORTGAGE FINANCE CORP DE X X 01/16/03 AMEND CHRONIMED INC MN X X 01/29/03 CHURCH & DWIGHT CO INC /DE/ DE X X 01/16/03 CINEMARK USA INC /TX TX X 01/30/03 CITICORP MORTGAGE SECURITIES INC DE X 01/30/03 CLECO CORP LA X X X 01/28/03 CLEVELAND CLIFFS INC OH X 01/29/03 CNH CAPITAL RECEIVABLES INC DE X X 01/15/03 CNH RECEIVABLES INC DE X X 01/15/03 COMMUNITY BANCSHARES INC /DE/ DE X 01/27/03 CONCERO INC DE X 01/29/03 CONOCOPHILLIPS DE X X 01/30/03 COVISTA COMMUNICATIONS INC NJ X X 01/29/03 CREDIT SUISSE FIRST BOSTON MORTGAGE A DE X 01/30/03 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 01/30/03 CRIIMI MAE INC MD X 01/24/03 CROWN AMERICAN REALTY TRUST MD X 01/30/03 AMEND CUMMINS INC IN X X 01/29/03 CURAGEN CORP DE X X 01/30/03 CWABS INC ASSET BACKED CERTIFICATES DE X X 09/30/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 09/30/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 12/30/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 12/30/02 CWMBS INC DE X 01/30/03 CWMBS INC DE X X 12/31/02 CWMBS INC DE X 01/30/03 CWMBS INC DE X 01/30/03 CWMBS INC DE X 01/30/03 CYCO NET INC NV X 01/29/03 DANAHER CORP /DE/ DE X X 01/30/03 DANIELSON HOLDING CORP DE X 01/27/03 DEUTSCHE FLOORPLAN RECEIVABLES L P DE X X 12/31/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 12/31/02 DICE INC DE X 01/30/03 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 12/31/02 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 12/31/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 12/31/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 12/31/02 DIVINE INC DE X 01/28/03 DOT HILL SYSTEMS CORP NY X X 01/29/03 DOW CHEMICAL CO /DE/ DE X X 01/30/03 DSI TOYS INC TX X X 01/28/03 DTVN HOLDINGS INC DE X X 01/23/03 DTVN HOLDINGS INC DE X X 01/27/03 EGAMES INC PA X X 01/29/03 ENSCO INTERNATIONAL INC DE X 01/29/03 EQUITY ONE INC MD X 01/30/03 ESB FINANCIAL CORP PA X X 01/29/03 ESTEE LAUDER COMPANIES INC DE X 01/30/03 EXELON CORP PA X 01/29/03 EXPRESSJET HOLDINGS INC DE X X 01/30/03 EXXON MOBIL CORP NJ X 01/30/03 FALCONSTOR SOFTWARE INC DE X X 01/30/03 FINANCIAL ASSET SEC CORP C BASS MORT DE X X 01/27/03 FIRST CHESTER COUNTY CORP PA X 12/31/02 FIRST CONSULTING GROUP INC DE X 01/29/03 FIRST HORIZON ASSET SECURITIES INC DE X X 01/30/03 FIRST NATIONAL FUNDING LLC NE X 01/15/03 FIRST OAK BROOK BANCSHARES INC DE X X 01/29/03 FLO OIL & GAS PROPERTIES INC NV X 12/03/03 FLORIDA COMMUNITY BANKS INC FL X 01/29/03 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 01/29/03 GATEWAY INC DE X X 01/29/03 GATX CORP NY X 01/30/03 GENERAL DYNAMICS CORP DE X X 01/30/03 GILLETTE CO DE X X 01/30/03 GLOBAL INNOVATIVE SYSTEMS INC NV X X 01/30/03 GLOBESPANVIRATA INC DE X X 01/30/03 GREAT WEST LIFE & ANNUITY INSURANCE C CO X 12/31/02 GWL&A FINANCIAL INC DE X 01/30/03 HA LO INDUSTRIES INC IL X X 01/30/03 HALLMARK FINANCIAL SERVICES INC NV X X 01/27/03 HANOVER DIRECT INC DE X 01/28/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 01/28/03 HASBRO INC RI X X 01/30/03 HONEYWELL INTERNATIONAL INC DE X 01/30/03 HORIZON FINANCIAL SERVICES CORP DE X X 01/30/03 HUNT J B TRANSPORT SERVICES INC AR X X 01/30/03 INDYMAC MBS INC X X 01/30/03 INFOSPACE INC DE X X 01/29/03 INSWEB CORP DE X X 01/29/03 INTERLEUKIN GENETICS INC DE X X 01/30/03 INTERMUNE INC DE X X 01/30/03 JAG MEDIA HOLDINGS INC NV X X 01/30/03 JAMESON INNS INC GA X X 01/30/03 JOHNSON & JOHNSON NJ X 01/30/03 KAIRE HOLDINGS INC DE X X X 01/23/03 KBF POLLUTION MANAGEMENT INC NY X 12/30/03 KERR MCGEE CORP /DE DE X X 01/29/03 KING PHARMACEUTICALS INC TN X X 01/30/03 LACLEDE GROUP INC MO X X 01/30/03 LACLEDE GROUP INC MO X X 01/30/03 LCA VISION INC DE X X 01/28/03 LIFE PARTNERS HOLDINGS INC TX X 01/29/03 LINCOLN NATIONAL CORP IN X X 01/29/03 LML PAYMENT SYSTEMS INC A1 X 11/11/02 LOOKSMART LTD DE X 01/28/03 LUMENON INNOVATIVE LIGHTWAVE TECHNOLO DE X X 01/28/03 LYONDELL CHEMICAL CO DE X X 01/30/03 MACQUARIE SECURITISATION LTD DE X X 01/30/03 MAGNOLIA VENTURES INC NV X X X X 01/15/03 MARTIN MARIETTA MATERIALS INC NC X X 01/30/03 MATERIAL SCIENCES CORP DE X X 01/30/03 MAX RE CAPITAL LTD X X 01/28/03 MAXCOR FINANCIAL GROUP INC DE X X 01/30/03 MEMC ELECTRONIC MATERIALS INC DE X 01/30/03 MERIX CORP OR X X 01/30/03 MERRILL LYNCH DEPOSITOR INC PREFERRED DE X X 01/17/03 METASOURCE GROUP INC NV X X X 01/06/03 METASOURCE GROUP INC NV X X X 01/06/03 METASOURCE GROUP INC NV X X X X X 07/12/02 AMEND METROCORP BANCSHARES INC X X 01/30/03 MICRON ENVIRO SYSTEMS INC NV X 01/30/03 MILLS CORP DE X X 12/13/02 AMEND MOHEGAN TRIBAL GAMING AUTHORITY X X 01/30/03 MOHEGAN TRIBAL GAMING AUTHORITY X X 01/28/03 MONTANA MILLS BREAD CO INC DE X X 01/23/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/27/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/28/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/28/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/28/03 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 01/29/03 NABORS INDUSTRIES LTD X X 01/30/03 NAVIGANT CONSULTING INC DE X 01/30/03 NAVISTAR FINANCIAL SECURITIES CORP DE X 10/31/02 NCRIC GROUP INC DC X X 01/28/03 NOBLE CORP X X 01/30/03 NORTH BAY BANCORP/CA CA X X 01/27/03 NORTHEAST INDIANA BANCORP INC DE X X 01/29/03 NORTHERN BORDER PARTNERS LP DE X X 01/29/03 NORTHERN BORDER PIPELINE CO TX X X 01/29/03 NORTHWEST BANCORP INC PA X X 01/24/03 NOVO NETWORKS INC DE X X 01/24/03 NVE CORP /NEW/ MN X X 01/30/03 OMNICARE INC DE X X 01/15/03 ONYX PHARMACEUTICALS INC DE X X 01/27/03 PACIFIC NORTHWEST BANCORP WA X X 01/28/03 PARADIGM ADVANCED TECHNOLOGIES INC DE X X 12/23/02 PARADIGM GENETICS INC X 01/29/03 PEPSICO INC NC X X 01/30/03 PIONEER NATURAL RESOURCES CO DE X X 01/30/03 PITNEY BOWES INC /DE/ DE X 12/31/02 PPL ELECTRIC UTILITIES CORP PA X 01/29/03 PPLUS TRUST SERIES PMC-1 DE X X 01/28/03 PPLUS TRUST SERIES PMC-1 DE X X 01/28/03 PREMIER DEVELOPMENT & INVESTMENT INC NV X 01/30/03 PRESTOLITE ELECTRIC HOLDING INC DE X 01/30/03 PRO FAC COOPERATIVE INC NY X 01/30/03 PROXIM CORP DE X X 01/28/03 RAINING DATA CORP DE X X 01/30/03 RALCORP HOLDINGS INC /MO MO X X 01/30/03 RAYTHEON CO/ DE X 01/30/03 RELIANT RESOURCES INC DE X X 01/30/03 RENAISSANCE LEARNING INC WI X X 01/29/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/21/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/21/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X 01/27/03 RESIDENTIAL ASSET MORTGAGE 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