SEC NEWS DIGEST Issue 2002-40 February 28, 2002 ENFORCEMENT PROCEEDINGS FLORIDIAN CHRISTOPHER ROACH SANCTIONED Christopher P. Roach of Osprey, Florida has been fined $100,000, and East West Institutional Services, Inc., a broker-dealer Roach owns, $500,000. Roach was also ordered to disgorge ill-gotten gains of $950,000. Both were ordered to cease and desist from violations of the antifraud provisions of the securities laws. East West was censured, and its broker-dealer registration revoked, and Roach was barred from association with a broker-dealer. The sanctions were imposed in an administrative proceeding by an administrative law judge who concluded that Roach and East West aided and abetted securities fraud violations of an investment adviser. During 1995 and 1996 Roach and East West had an arrangement with the investment adviser, whereby Roach and East West received commissions from the adviser's clients' transactions in exchange for referring clients. They agreed to conceal the arrangement from the adviser's clients. Roach received $950,000 under the arrangement. The investment adviser did not disclose the payment-for- referral arrangement, and, instead, represented to its clients that it selected brokers to execute clients' transactions on the basis of research the brokers provided. (Rel. 34-45486; IA-2016; File No. 3-10007) SEC CHARGES MONTANA FERTILIZER COMPANY, EX-STOCKBROKER IN SCHEME TO DISTRIBUTE UNREGISTERED STOCK On February 27, the Commission charged a Missoula, Montana fertilizer company and two of its principals in a scheme to distribute nearly 20 million shares of stock to the public, in violation of the registration provisions of the federal securities laws. Named in the Commission's lawsuit was Victor Industries, Inc. (OTCBB: VICI); Penny A. Sperry, Victor's President and CEO; and Sperry's ex-husband Ronald N. Pellett, a former stockbroker who served as a consultant to the company. Also named was Xion, Inc., a separate company that Pellett and Sperry used to trade in Victor stock. Simultaneous with the filing of the Commission's complaint, Victor, Sperry, Pellett and Xion, without admitting or denying the allegations in the complaint, agreed to a court order enjoining them from future violations of the registration provisions of the federal securities laws, and other relief. The Commission's lawsuit alleges that between August and November 2001, Pellett and Sperry caused Victor to issue a series of press releases touting Victor's "revolutionary" new fertilizer product. These releases drove Victor's stock from $0.01 per share to a high of $0.26 on record volume. Pellett and Sperry took advantage of the rising stock price to sell to the public millions of shares of Victor stock that they secretly controlled through a series of nominee accounts. Victor never filed with the Commission a registration statement for any of the shares that Pellett and Sperry sold. Had Victor done so, investors would have known that the vast majority of the stock being offered for sale during this period represented sales by insiders Pellett and Sperry. The Commission's complaint charges Victor, Pellett, Sperry and Xion with violations of the registration provisions of the federal securities laws, Sections 5(a) and 5(c) of the Securities Act of 1933. All four defendants, without admitting or denying the allegations, agreed to a court order enjoining them from future violations of Section 5. In addition, Pellett, Sperry and Xion agreed to disgorge their proceeds from the illegal stock sales and pay civil penalties, in amounts to be determined by the court. Pellett and Sperry also agreed to the issuance of a Commission order in a separate administrative proceeding permanently barring them from participating in any future penny stock offerings. [SEC v. Victor Industries, Inc., Ronald Pellett, Penny Sperry and Xion, Inc., USDC, District of Montana, Civil Action No. CV 02-37-MDWM] (LR-17383) FINAL JUDGMENT OF PERMANENT INJUNCTION ENTERED AGAINST TRANS ENERGY, INC., LOREN BAGLEY AND WILLIAM WOODBURN FOR FRAUD On February 26, the United States District Court for the District of Columbia entered a permanent injunction against Trans Energy, Inc. (Trans Energy), its former president, Loren E. Bagley (Bagley), and its former vice president and principal financial officer, William F. Woodburn (Woodburn), permanently enjoining them from future violations of the anti-fraud and reporting provisions of the federal securities laws. Trans Energy, Bagley, and Woodburn, without admitting or denying the Commission's allegations, consented to entry of the injunction, and Bagley and Woodburn also consented to each pay a $20,000 civil penalty. According to the Commission's complaint, from October 2000 through December 2000, Trans Energy issued public statements that grossly overstated the value of its assets in Wyoming's Powder River Basin, inaccurately minimized its auditors' going concern opinion, and falsely described its Chapter 7 involuntary bankruptcy proceeding. The Complaint further charged that Trans Energy's Commission filings from 1998 through 2000 withheld material information about one lawsuit pending against the company, and failed to disclose the existence of another. The two lawsuits allegedly misrepresented and omitted in Trans Energy's Commission filings resulted in entry of over $1 million in consent judgments against the company. According to the complaint, Bagley and Woodburn were responsible for the false and misleading statements. [SEC v. Trans Energy, Inc., Loren E. Bagley, and William F. Woodburn, Civil Action No. 0-01- CV-02060 USDC] (LR-17385) SEC CHARGES CDH & AFFILIATES, INC. AND C. DAVID HALLMAN WITH FRAUD The Commission announced that it filed a civil injunctive action on February 25 in United States District Court for the Northern District of Georgia, against C. David Hallman and CDH & Affiliates, Inc., both of Fayetteville, Georgia. The Commission's complaint alleges that from September 1997 through at least June 1999, Hallman and CDH, a corporation that Hallman controlled, fraudulently raised more than $2.2 million in fees from at least 27 customers, purportedly to prepare corporate bond offerings and sell the bonds for its customers. According to the complaint, Hallman and CDH misappropriated the funds for their own purposes. The complaint also alleges that in an effort to avoid detection of their scheme, Hallman and CDH continued, until at least July 2001 to tell their customers that the customers' bond issues would be funded, and made other misrepresentations to encourage the customers to believe that funding was imminent. According to the complaint, Hallman made numerous misrepresentations to CDH's customers, including false claims that some companies' bonds had been successfully sold, that bond sales were imminent and that the proceeds of the bond sales would be invested in a high-yield investment program that would pay 30%- 40% every ten days. The complaint alleges that CDH never sold bonds for any customer and that no such high- yield investment program exists. The complaint also alleges that Hallman and CDH operated as unregistered brokers while selling this investment scheme to CDH's customers. The SEC's complaint charges Hallman and CDH with violations of Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC seeks permanent injunctions, accountings, disgorgement of ill- gotten gains, and civil penalties against both Hallman and CDH. [SEC v. CDH & Affiliates, Inc. and C. David Hallman, Civil Action Number 3:02-CV-017-JTC, ND Ga.] (LR-17386) CONVICTED SECURITIES FRAUDSTER SETTLES CASE WITH THE COMMISSION The Commission obtained a Final Judgment as to Frank L. Harris III, a former registered representative of Josephthal & Co., Inc.'s Addison, Texas branch office, permanently enjoining him from committing future violations of the antifraud provisions of the federal securities laws. Harris consented to the entry of the injunction without admitting or denying the allegations of the complaint. Previously, on June 29, 2001, Harris pleaded guilty to one count of federal securities fraud resulting from a criminal information brought by the United States Attorney's Office in which he admitted to stealing funds from 19 his brokerage customers. Because of the related criminal proceedings, in which Harris was imprisoned for a term of 46 months and ordered to pay restitution in the amount of $1,619,847, the Commission dismissed claims for disgorgement, prejudgment interest and penalties. The Commission's complaint charged that from January 2000 until March 2001, Harris diverted money from his customers using three schemes: 1) falsely representing that customer funds would be used to purchase a particular security; 2) borrowing against securities in the customer margin accounts without customer authorization; and 3) liquidating customer securities without their authorization. Harris' schemes were uncovered when he failed to report to work and fled to Cancun, Mexico. Harris later returned to the United States, was apprehended and faced criminal charges. In addition, on February 28, the Commission announced the institution and simultaneous settlement of public administrative proceedings against Harris in which he agreed to the entry of an Order barring him from association with any broker or dealer for his willful violations of the antifraud provisions of the federal securities laws and the entry of the injunction against him. [SEC v. Frank L. Harris, III, Case No. CA 4:01CV117, USDC, EDTX (Sherman Division)] (LR- 17387); (Administrative Proceeding in the Matter of Frank Lee Harris III, Rel. 34-45485, File No. 3-10712) CORRECTION An inaccurate litigation release number appeared in yesterday's Digest for SEC v. Robert Bartzoff, Case No. 8:02-CV-325-T-24TBM, MDFL, Tampa Division. The correct number is LR-17384. INVESTMENT COMPANY ACT RELEASES VANTAGEPOINT FUNDS AND VANTAGEPOINT INVESTMENT ADVISERS, LLC A notice has been issued giving interested persons until March 21, 2002, to request a hearing on an application filed by Vantagepoint Funds and Vantagepoint Investment Advisers, LLC, for an order that would grant relief from Sections 10(f), 12(d)(3), 17(a), and 17(e) of the Investment Company Act and from Rule 17e-1 under the Act. The order would permit certain registered open-end management investment companies advised by several investment advisers to engage in principal and brokerage transactions with a broker-dealer affiliated with one of the investment advisers and to purchase securities in certain underwritings. The transactions would be between the broker-dealer and a portion of the investment company's portfolio not advised by the adviser affiliated with that broker-dealer. The order also would permit these investment companies not to aggregate certain purchases from an underwriting syndicate. Further, applicants request relief to permit a portion of an investment company's portfolio to purchase securities issued by a brokerdealer, which is an affiliated person of an investment adviser to another portion, subject otherwise to the limits in Rule 12d3-1 under the Act. (Rel. IC- 25446 - February 26) COMMONFUND INSTITUTIONAL FUNDS, ET AL. An order has been issued on an application filed by Commonfund Institutional Funds and Commonfund Asset Management Company, Inc. under Section 12(d)(1)(J) of the Investment Company Act under Sections 6(c) and 17(b) of the Act, and Rule 17d-1 under the Act to permit certain joint transactions. The order permits certain registered open-end management investment companies to invest uninvested cash and cash collateral in affiliated money market funds and/or short-term bond funds. (Rel. IC-25447 - February 26) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Stock Exchange to provide for rebilling of costs related to member firm connectivity with the MAX System (SR-CHX-2002-04) 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 March 4. (Rel. 3445478) A proposed rule change filed by the Philadelphia Stock Exchange to establish fees for equity trading permit holders (SR-Phlx-2002-10) 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 March 4. (Rel. 34-45480) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE2001-62) relating to minimum trading increments for spread, straddle and combination orders in SPX options. Publication of the notice is expected in the Federal Register during the week of March 4. (Rel. 34 45479) 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 UNITED FIRE & CASUALTY CO, 118 SECOND AVE SE, CEDAR RAPIDS, IA, 52407, 3193995700 - 0 ($57,500,000.00) Equity, (File 333-83446 - Feb. 27) (BR. 01) SB-2 AMERICAN PULP EXCHANGE INC, 20090 BOCA WEST DRIVE, BOCA RATON, FL, 33434, 5614830640 - 1,150,000 ($57,500.00) Equity, (File 333-83448 Feb. 27) (BR. ) S-1 CROSS COUNTRY INC, 6551 PARK OF COMMERCE BLVD, SUITE 200, BOCA RATON, FL, 33487, 8003472264 - 0 ($306,670,500.00) Equity, (File 333-83450 Feb. 27) (BR. 08) S-8 INNOVEX INC, 530 ELEVENTH AVENUE SOUTH, HOPKINS, MN, 55343-9904, 6129384155 - 600,000 ($2,436,000.00) Equity, (File 333-83452 - Feb. 27) (BR. 36) S-8 COLLABORATIVE FINANCIAL NETWORK GROUP INC, 150 1875 CENTURY PARK EAST, CENTURY CITY, CA, 90067, 8777393812 - 14,500,000 ($725,000.00) Equity, (File 333-83454 - Feb. 27) (BR. 09) S-8 ACE CASH EXPRESS INC/TX, 1231 GREENWAY DR STE 800, IRVING, TX, 75038, 2145505000 - 0 ($4,352,500.00) Equity, (File 333-83460 - Feb. 27) (BR. 07) S-8 WELLPOINT HEALTH NETWORKS INC /DE/, 8187034000 - 0 ($201,200,000.00) Equity, (File 333-83462 - Feb. 27) (BR. 01) S-8 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES INC /CA, 1046 CALLE RECODO, UNIT B, SAN CLEMENTE, CA, 92673, 9492341999 - 0 ($75,000.00) Equity, (File 333-83464 - Feb. 27) (BR. 06) F-3 EXFO ELECTRO OPTICAL ENGINEERING INC, 485 GODIN AVENUE, VANIER QUEBEC CANADA G1M 3G7, 4186830211 - 2,599,717 ($18,717,962.40) Equity, (File 333-83466 - Feb. 27) (BR. 05) S-8 THERMO ELECTRON CORP, 81 WYMAN ST, P O BOX 9046, WALTHAM, MA, 02454-9046, 7816221000 - 2,241,444 ($43,618,500.00) Equity, (File 333-83470 - Feb. 27) (BR. 36) S-8 HOUSEHOLD INTERNATIONAL INC, 2700 SANDERS RD, PROSPECT HEIGHTS, IL, 60070, 8475645000 - 2,000 ($96,640.00) Other, (File 333- 83474 Feb. 27) (BR. 07) S-8 SHADOWS BEND DEVELOPMENT INC, 200 LAFAYETTE ST, STE 750, BATON ROUGE, LA, 70801, 2253437811 - 2,500,000 ($1,250,000.00) Equity, (File 333-83476 - Feb. 27) (BR. 08) S-3 MAVERICK TUBE CORPORATION, 16401 SWINGLEY RIDGE RD, STE 700, CHESTERFIELD, MO, 63017-1713, 6367331600 - 200,000 ($2,398,000.00) Equity, (File 333-83478 - Feb. 27) (BR. 06) S-8 COI SOLUTIONS INC, 5300 WEST SAHARA SUITE 101, SUITE 101, LAS VEGAS, NV, 89102, 9052011952 - 500,000 ($255,000.00) Equity, (File 333-83480 - Feb. 27) (BR. 03) S-8 BIORELIANCE CORP, C/O MICROBIOLOGICAL ASSOCIATES INC, 9900 BLACKWELL RD, ROCKVILLE, MD, 20850, 3017381000 - 0 ($14.42) Equity, (File 333-83486 - Feb. 27) (BR. 01) S-8 SCHICK TECHNOLOGIES INC, 31-00 47TH AVENUE, LONG ISLAND CITY, NY, 11101, 7189375765 - 2,794,600 ($5,812,768.00) Equity, (File 333-83488 - Feb. 27) (BR. 36) S-3 PRECIS SMART CARD SYSTEMS INC, 2500 SOUTH MCGEE DR, SUITE 147, OKLAHOMA CITY, OK, 73072, 4057525550 - 0 ($3,129,000.00) Equity, (File 333-83490 - Feb. 27) (BR. 05) S-3 GTECH CORP, 55 TECHNOLOGY WAY, WEST GREENWICH, RI, 02817, 4013921000 - 0 ($194,468,750.00) Debt Convertible into Equity, (File 333-83492 Feb. 27) (BR. ) S-3 AMERADA HESS CORP, 1185 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 2129978500 - 0 ($600,000,000.00) Non-Convertible Debt, (File 333-83494 - Feb. 27) (BR. 04) SB-2 TOFFEE SENSATIONS INC, 1,500,000 ($1,500,000.00) Equity, (File 333-83496 - Feb. 27) (BR. ) S-8 ADC TELECOMMUNICATIONS INC, 12501 WHITEWATER DR, MINNETONKA, MN, 55343, 9529462324 - 0 ($10,569,104.00) Equity, (File 333-83498 - Feb. 27) (BR. 37) S-3 POLO RALPH LAUREN CORP, 650 MADISON AVENUE, NEW YORK, NY, 10022, 2123187000 - 0 ($346,736,500.00) Equity, (File 333-83500 - Feb. 27) (BR. 02) S-8 AKAMAI TECHNOLOGIES INC, 500 TECHNOLOGY SQ, CAMBRIDGE, MA, 02139, 6172503000 - 0 ($16,050,000.00) Equity, (File 333-83502 - Feb. 27) (BR. 08) S-8 COMPOSITE TECHNOLOGY CORP, 18881 VON KARMAN AVE, SUITE 1630, IRVINE, CA, 92612, 9,000,000 ($13,500,000.00) Equity, (File 333-83504 - Feb. 27) (BR. 09) N-2 UM INVESTMENT TRUST, 700 N PEARL ST, STE 1625, DALLAS, TX, 75201, 2149997200 - 0 ($1.00) Other, (File 811-21044 - Feb. 27) (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 ------------------------------------------------------------------------------------ ABGENIX INC DE X X X 02/26/02 ABN AMRO MORTGAGE CORP SERIES 2000-1 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-2 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-3 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-1A DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-2 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-3 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-5 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-6 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-7 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-8 DE X 02/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-2 DE X X 02/26/02 ABN AMRO MORTGAGE CORP SERIES 2002-2 DE X X 02/26/02 ADAPTEC INC DE X X 02/27/02 ALEXANDRIA REAL ESTATE EQUITIES INC MD X X 01/16/02 ALLIED HOLDINGS INC GA X X 02/26/02 AMERICAN SOUTHWEST FINANCIAL SECURITI AZ X 02/01/02 AMERICAN SPECTRUM REALTY INC MD X 02/22/02 AMSOUTH AUTO TRUST 2000-1 NY X X 02/15/02 APEX MORTGAGE CAPITAL INC MD X X 02/22/02 APO HEALTH INC /NV/ NV X 06/13/01 AMEND APO HEALTH INC /NV/ NV X 10/02/01 AMEND APPLEBEES INTERNATIONAL INC DE X X 02/27/02 AQUA CLARA BOTTLING & DISTRIBUTION IN CO X X 09/18/98 AMEND AREMISSOFT CORP /DE/ DE X 01/23/02 AMEND AT&T WIRELESS SERVICES INC DE X 02/27/02 AUTOZONE INC NV X X 02/26/02 AXEDA SYSTEMS INC DE X X 02/25/02 AXIA GROUP INC/UT NV X X 02/15/02 BAXTROM & ASSOCIATES INC X X 02/01/02 BB&T CORP NC X 02/27/02 BEACON CAPITAL PARTNERS INC MD X X 01/02/02 BEST BUY CO INC MN X X 02/25/02 BIOJECT MEDICAL TECHNOLOGIES INC OR X X 02/26/02 BRIDGE BANCORP INC NY X 02/13/02 CARDIAC SCIENCE INC DE X X 02/27/02 CARRIZO OIL & GAS INC TX X 02/20/02 CENTEX CORP NV X X 02/27/02 CENTRAL VALLEY COMMUNITY BANCORP CA X X 02/13/02 CHINA FUND INC MD X 01/01/02 CITICORP MORTGAGE SECURITIES INC DE X 02/27/02 CLAYTON HOMES INC DE X X 02/27/02 COGENT COMMUNICATIONS GROUP INC X X 02/26/02 COMMERCE BANCORP INC /NJ/ NJ X 02/27/02 COMMUNITY BANKS INC /PA/ PA X 02/27/02 CTN MEDIA GROUP INC DE X 02/14/02 CWABS INC DE X X 02/26/92 DAVEL COMMUNICATIONS INC IL X X 02/19/02 DEUTSCHE FLOORPLAN RECEIVABLES L P DE X X 01/31/02 DYCOM INDUSTRIES INC FL X X 02/21/02 E COMNETRIX INC X 02/26/02 ENBRIDGE ENERGY PARTNERS LP DE X X 02/26/02 ENDOCARDIAL SOLUTIONS INC DE X 02/27/02 EOS INTERNATIONAL INC DE X 12/27/01 AMEND EQUITY ONE ABS INC DE X 02/27/02 FEDDERS CORP /DE DE X X 02/26/02 FEDDERS CORP /DE DE X X 02/26/02 AMEND FINANCIAL COMMERCE NETWORK INC NV X 02/12/02 FIRST BANK CORPORATE CARD MASTER TRUS NY X X 02/27/02 FIRST UNION LEH BRO BANK OF AMER COM NY X X 02/19/02 FMC TECHNOLOGIES INC X X 02/27/02 FRONTIER FINANCIAL CORP /WA/ WA X X 02/27/02 FUSION FUND INC /DE/ DE X X 08/02/01 AMEND GAP INC DE X X 02/26/02 GOLD BANC CORP INC KS X X 02/27/02 GOTTSCHALKS INC DE X X 02/22/02 GREAT ATLANTIC & PACIFIC TEA CO INC MD X 02/23/02 GREATER BAY BANCORP CA X X X 02/25/02 GTECH HOLDINGS CORP DE X X 02/27/02 GULFMARK OFFSHORE INC DE X 02/27/02 HALLIBURTON CO DE X X 02/22/02 HANOVER COMPRESSOR CO / DE X X 02/26/06 HANOVER COMPRESSOR CO / DE X X 02/26/02 HEARME DE X X 02/25/02 HEWLETT PACKARD CO DE X X 02/27/02 ICN PHARMACEUTICALS INC DE X X 02/27/02 IFX CORP DE X X X 02/19/02 IMH ASSETS CORP DE X X X 02/27/02 IMPERIAL SUGAR CO /NEW/ TX X X 02/27/02 INDYMAC MBS INC X X 02/27/02 INDYMAC MBS INC X 09/27/02 INTERWORLD CORP DE X 02/19/02 IRWIN FINANCIAL CORPORATION IN X X 02/27/02 IRWIN FINANCIAL CORPORATION IN X X 02/27/02 JCC HOLDING CO DE X X 02/25/02 KELLYS COFFEE GROUP INC CO X X 02/15/02 AMEND KEY ENERGY SERVICES INC MD X X 02/22/02 KITTY HAWK INC DE X X 02/27/02 KOGER EQUITY INC FL X X 02/21/02 KUSHNER LOCKE CO CA X 02/27/02 LABONE INC/ MO X 02/26/02 LESLIES POOLMART INC DE X 01/31/02 LORAL SPACE & COMMUNICATIONS LTD D0 X X 02/15/02 MACERICH CO MD X 02/27/02 MARATHON OIL CORP DE X X 02/27/02 METRO-GOLDWYN-MAYER INC DE X X 02/26/02 MGM MIRAGE DE X X 02/13/02 MICROHELIX INC OR X X 02/27/02 MONTANA POWER CO /MT/ MT X X 02/13/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 02/25/02 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 02/01/02 NATIONWIDE HEALTH PROPERTIES INC MD X X 02/25/02 NATIONWIDE HEALTH PROPERTIES INC MD X X 02/25/02 NCO GROUP INC PA X X 02/12/02 NEFFS BANCORP INC PA X X 02/27/02 NETCENTIVES INC DE X X 02/14/02 NETRO CORP CA X X 02/12/02 NS GROUP INC KY X X 02/27/02 NUTRASTAR INC CA X X 12/14/01 AMEND OFFICE DEPOT INC DE X 02/27/02 PARADIGM GENETICS INC X X 02/26/02 PAXAR CORP NY X X 02/20/02 PEOPLES BANCORP OF NORTH CAROLINA INC NC X X 02/25/02 PETROQUEST ENERGY INC DE X X 02/27/02 PHONETEL TECHNOLOGIES INC OH X X 02/19/02 PHOTOGEN TECHNOLOGIES INC NV X X 02/26/02 PNM RESOURCES NM X 01/31/02 PNW CAPITAL INC DE X 02/22/02 PORTLAND GENERAL ELECTRIC CO /OR/ OR X X 02/25/02 PRIDE INTERNATIONAL INC DE X X X 02/26/02 AMEND PRIMIX DE X X 02/20/02 PROFORM GOLF INC DE X 02/27/02 PROTEO INC NV X X 02/11/02 AMEND PROVIDENT BANKSHARES CORP MD X X 02/22/02 PROVINCE HEALTHCARE CO DE X X 02/11/02 QUOTEMEDIA COM INC NV X X 02/25/02 RAYONIER INC NC X X 02/27/02 REGISTER COM INC DE X X 02/22/02 RITE AID CORP DE X X 02/27/02 ROYAL FINANCE INC FL X X X X 03/31/02 SHELDAHL INC MN X X X 02/15/02 SHELLS SEAFOOD RESTAURANTS INC DE X X 02/11/02 SMUCKER J M CO OH X X 02/14/02 SPSS INC DE X X 02/06/02 AMEND STEEL DYNAMICS INC IN X X 02/04/02 STERLING CHEMICALS HOLDINGS INC /TX/ DE X X 02/20/02 SVT INC DE X X 02/21/02 TECHNICAL VENTURES INC NY X 02/26/02 TELENETICS CORP CA X 02/27/02 TOUCH AMERICA HOLDINGS INC X X 02/13/02 TREMOR ENTERTAINMENT INC /NV/ NV X 12/12/01 AMEND TRW INC OH X X 02/26/02 U S LIQUIDS INC DE X X 02/25/02 UPLAND ENERGY CORP UT X X X 02/15/02 UTILICORP UNITED INC DE X X 02/27/02 VANDERBILT ABS CORP DE X X 02/27/02 VANDERBILT MORTGAGE & FINANCE INC TN X X 02/27/02 VANTAGEMED CORP DE X X 02/08/02 AMEND VAXGEN INC DE X 02/25/02 VAXGEN INC DE X X 01/31/02 VAXGEN INC DE X X 02/25/02 WASTE CONVERSION SYSTEMS INC NV X X X 02/24/02 WAXMAN INDUSTRIES INC DE X X 02/13/02 WEINGARTEN REALTY INVESTORS /TX/ TX X X 02/25/02 WESTERN RESOURCES INC /KS KS X X 02/18/02 WHITNEY HOLDING CORP LA X 02/27/02 WODFI LLC FL X 02/15/02 WORLD OMNI AUTO RECEIVABLES LLC DE X 01/31/02 WORLD OMNI AUTO RECEIVABLES LLC DE X 01/31/02 WVS FINANCIAL CORP PA X 02/27/02 XCEL ENERGY INC MN X X 02/25/02 ZEROS & ONES INC NV X X 02/15/02 ZOND PANAERO WINDSYSTEM PARTNERS I CA X 02/05/02 AMEND