SEC NEWS DIGEST Issue 2002-169 August 30, 2002 COMMISSION ANNOUNCEMENTS REGULATORS ISSUE DRAFT WHITE PAPER ON SOUND PRACTICES TO STRENGTHEN THE RESILIENCE OF THE U.S. FINANCIAL SYSTEM Four financial services regulatory agencies today issued a "Draft White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System." The sound practices identified reflect the preliminary conclusions of the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the New York State Banking Department regarding the factors necessary to strengthen the resilience of critical U.S. financial markets in the face of a wide-scale, regional disaster. The conclusions are based on recent interviews with industry participants and market utilities about actions being taken to strengthen their ability to recover and resume critical business activities in the event of future wide-scale, regional disruptions. The paper also discusses appropriate timetables for completing reviews and revisions of business continuity plans and implementation of the sound practices. The sound practices apply most directly to "core clearing and settlement organizations" and "financial institutions that play significant roles in critical markets." Critical markets are defined as the markets for federal funds, foreign exchange, commercial paper, and government, corporate, and mortgage-backed securities. The agencies request comment on the appropriate scope and application of the sound practices and related issues. After consideration of the comments received, the agencies intend to issue a final version of the White Paper. Comments are requested by October 21, 2002. Media contacts: Federal Reserve Susan Stawick (202) 452-2955 OCC Dean DeBuck (202) 874-5770 SEC Christi Harlan (202) 942-0020 N.Y. State Banking Dept. Michelle Kramer (212) 618-6617 (Press Rel. 2002-130) ENFORCEMENT PROCEEDINGS ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST MONICA COLEMAN BASED ON HER CRIMINAL CONVICTION On August 29,. the Commission instituted public administrative proceedings against Monica Lynn Coleman, of Baltimore, Maryland. Coleman was a managing partner for Coleman and Craten LLC (Coleman Craten), a company registered with the Commission as an investment adviser from March 1998 until January 2000, when its investment adviser registration was cancelled for failure to establish its continued eligibility for registration with the Commission. Coleman also owned 50 percent of the firm. The Commission's Order Instituting Public Administrative Proceedings (Order) alleges that from September 30, 1998 to April 20, 1999, Coleman was a registered representative associated with Corporate Securities Group, Inc., a broker-dealer registered with the Commission. From November 3, 1987 to February 17, 1998, Coleman was a registered representative associated with Legg Mason Wood Walker Incorporated (Legg Mason), a broker-dealer registered with the Commission. In February 1998, Coleman established Coleman Craten. Both Coleman and Coleman Craten are currently in bankruptcy. The Commission's Order also alleges that on April 16, 2002, in the case of State of Maryland v. Monica Lynn Coleman, No. 100362045, in the Circuit Court for Baltimore City, Coleman pleaded guilty to five felony counts of securities fraud and one misdemeanor count of fraudulent misappropriation by a fiduciary. Sentencing is scheduled for September 2002. The criminal bill alleged that between June 1997 and April 1999, while associated with either Legg Mason or Coleman Craten, Coleman misappropriated more than $2.6 million from at least five investors. As part of the fraud, Coleman solicited various Legg Mason customers to invest their money with her and through Coleman Craten. Among other things, she represented that she would invest their funds in various investment opportunities, including her family business and overseas businesses. Coleman promised these investors annual rates of return of as much as 30 percent and that their investments would be risk free and guaranteed. Rather than invest the funds as promised, Coleman used new investor funds to pay existing investors, business expenses, and to support a lavish lifestyle. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Coleman an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rel. 34-46431; IA-2049; File No. 3-10875) SEC FILES INJUNCTIVE ACTION AGAINST IRA GAINES IN CONNECTION WITH GAINES' FRAUDULENT MINI-TENDER OFFER SCHEME On August 29, the Commission filed a complaint in the United States District Court for the District of Arizona against Ira J. Gaines, individually and d/b/a Wrigley Drive Partners (Wrigley) and Morten Avenue Partners (Morten) of Phoenix, Arizona. In its complaint, the Commission alleges that Gaines, through Wrigley and Morten, made fraudulent mini-tender offers to shareholders to purchase from them up to 1% of the outstanding stock of 287 public companies. The Commission alleges that Gaines deceived the shareholders by falsely implying in his offers that he had the financial means to fund a maximum 1% tender, and by failing to disclose in his offers the following material facts: (1) Gaines' offer price was below the prevailing market price; (2) Gaines reserved sole discretion to modify his offers, including such terms as the offer price and the offer period; and (3) Gaines reserved the right to terminate his offers without notice, regardless of how many shareholders had tendered shares. The Commission further alleges that Gaines profited from his scheme in the approximate total amount of $275,000. According to the Commission, Gaines knew, or was reckless in not knowing, that the shareholders were not receiving this material information. In the complaint, the Commission supports this allegation by pointing out that in 1999, Gaines agreed, in settled proceedings, to a Commission order against Gaines' company, IG Holdings, for virtually identical conduct (In the Matter of IG Holdings, Inc., Exchange Act Release No. 41759, August 19, 1999). The Commission additionally alleges in its complaint that Gaines engaged in obstructionist tactics in connection with the Commission staff's investigation of the Wrigley/Morten matter. In its action, the Commission is seeking a judgment i) permanently enjoining Gaines from violating the antifraud and tender offer antifraud provisions of the Securities Exchange Act of 1934; ii) ordering Gaines to disgorge all monies he derived from his scheme, plus prejudgment interest; and iii) imposing against Gaines a civil money penalty. [SEC v. Ira J. Gaines, individually and d/b/a Wrigley Drive Partners and Morten Avenue Partners, United States District Court for the District of Arizona, Case. No. CIV02-1685 PHX (PGR)] (LR-17703) FINAL JUDGMENT ENTERED AGAINST THOMAS CARTER On August 16, a federal judge in Los Angeles entered a Final Judgment against Thomas Carter, concluding the Commission's action alleging that Carter manipulated the prices of the securities of four companies during the summer of 1999. Carter settled the action without admitting or denying the allegations in the Commission's complaint. As part of the Final Judgment, the Court issued a permanent injunction prohibiting Carter from violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The Court also ordered Carter to pay disgorgement of $12,816.47 plus prejudgment interest. The Court, however, waived the payment of disgorgement and prejudgment interest, and did not impose a civil penalty, based upon Carter's representations in his sworn financial statement and other documents submitted to the Commission. The Commission's complaint, filed on September 6, 2000, alleged that Carter disseminated tens of thousands of e-mails, identified as the "Unity List" e-mails, which contained materially false information regarding certain companies in which Carter had recently purchased stock. The complaint further alleged that the false information concerned purported pending announcements by the profiled companies and information regarding the timing of Carter's purchases and sales of the securities of the profiled companies. The complaint further alleged that the trading volume and the stock price of each of the four companies rose dramatically immediately following Carter's dissemination of the e-mails, at which time Carter sold all of his stock in the companies at a profit. For additional information, see Litigation Release No. 16679 (September 6, 2000). [SEC v. Thomas Carter, Civil Action No. CV-00-09457 GHK (SHx) (C.D. Cal.)] (LR-17704) INVESTMENT COMPANY ACT RELEASES FREMONT MUTUAL FUNDS, INC., ET AL. An order has been issued on an application filed by Fremont Mutual Funds, Inc. and Fremont Investors Advisors, Inc. for an exemption under Section 12(d)(1)(J) of the Investment Company Act from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act from Section 17(a) of the Act, and pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order permits certain registered management investment companies to invest uninvested cash and cash collateral in affiliated money market funds in excess of the limits in Sections 12(d)(1)(A) and (B) of the Act. (Rel. IC-25751 - August 27) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Commission issued a notice of filing of a proposed rule change (SR- NYSE-2002-24) by the New York Stock Exchange. The proposed rule change amends NYSE Rule 342 (Offices - Approval, Supervision and Control). Publication of the notice in the Federal Register is expected during the week of September 3. (Rel. 34-46425) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on August 29, 2002. (Rel. 34-46433) 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: . F-3 QIAO XING UNIVERSAL TELEPHONE INC, QIAO XING BUILDING WU SHI INDUSTRIAL ZON, 011-86-752-2808188, HUIZHOU CITY GUANG D, F4, 80111, 0 ($1,670,000.00) Equity, (File 333-98885 - Aug. 29) (BR. 37) S-3 CNH CAPITAL RECEIVABLES INC, 100 SOUTH SAUNDERS RD., LAKE FOREST, IL, 60045, 8477359200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-98887 - Aug. 29) (BR. 07) S-8 CAL BAY INTERNATIONAL INC, 1582 PARKWAY LOOP SUITE G, TUSTIN, CA, 92780, 7142587070 - 2,240,000 ($739,200.00) Equity, (File 333-98893 - Aug. 29) (BR. 06) SB-2 HUDSON VENTURES INC, 444 EAST COLUMBIA ST, NEW WESTMINSTER, A1, V3L 3C5, 6045791680 - 1,587,000 ($793,500.00) Equity, (File 333-98895 - Aug. 29) (BR. 09) S-8 GENE CELL INC, 1010 HERCULES, HOUSTON, TX, 77058, 2814617996 - 475,000 ($382,375.00) Equity, (File 333-98897 - Aug. 29) (BR. 01) S-3 MATRIXX INITIATIVES INC, 2375 EAST CAMELBACK ROAD, SUITE 500, PHOENIX, AZ, 85016, 6023875353 - 200,000 ($1,986,000.00) Equity, (File 333-98901 - Aug. 29) (BR. 01) S-8 WESTFIELD FINANCIAL INC, 141 ELM STREET, WESTFIELD, MA, 01085, 4135681911 - 696,164 ($10,404,935.80) Equity, (File 333-98903 - Aug. 29) (BR. 07) S-3 NORTECH SYSTEMS INC, 641 EAST LAKE ST, SUITE 234, WAYZATA, MN, 55391, 6124734102 - 0 ($965,063.00) Equity, (File 333-98905 - Aug. 29) (BR. 36) SB-2 MERGE MEDIA INC, 1450 S DIXIE HWY, SUITE 101, BOCA RATON, FL, 33432, 5614478804 - 2,050,000 ($6,850,000.00) Equity, (File 333-98907 - Aug. 29) (BR. ) S-4 NOVELLUS SYSTEMS INC, 4000 N FIRST ST, SAN JOSE, CA, 95134, 4089439700 - 0 ($34,673,912.00) Equity, (File 333-98909 - Aug. 29) (BR. 36) S-8 MYKROLIS CORP, 80 ASHBY ROAD, BEDFORD, MA, 01730, 8006455476 - 0 ($2,932,523.00) Equity, (File 333-98911 - Aug. 29) (BR. 36) S-8 LONGS DRUG STORES CORP, 141 N CIVIC DR, WALNUT CREEK, CA, 94596, 4159371170 - 0 ($49,240,000.00) Equity, (File 333-98913 - Aug. 29) (BR. 01) S-8 LONGS DRUG STORES CORP, 141 N CIVIC DR, WALNUT CREEK, CA, 94596, 4159371170 - 0 ($73,860,000.00) Equity, (File 333-98915 - Aug. 29) (BR. 01) S-8 HORACE MANN EDUCATORS CORP /DE/, 1 HORACE MANN PLZ, SPRINGFIELD, IL, 62715-0001, 2177892500 - 0 ($90,569,500.00) Equity, (File 333-98917 - Aug. 29) (BR. 01) S-8 AXIA GROUP INC/UT, 268 W 400 S STE 300, SALT LAKE CITY, UT, 84101, 8015758073 - 5,000,000 ($500,000.00) Equity, (File 333-98919 - Aug. 29) (BR. 08) S-3 UNITED STATES CELLULAR CORP, 8410 W BRYN MAWR AVE, STE 700, CHICAGO, IL, 60631, 7733998900 - 0 ($175,000,000.00) Equity, (File 333-98921 - Aug. 29) (BR. 37) S-8 MERCURY WASTE SOLUTIONS INC, 302 N RIVERFRONT DR, STE 100A, MANKATO, MN, 56001, 5073450522 - 129,000 ($45,150.00) Equity, (File 333-98923 - Aug. 29) (BR. 06) S-8 ASCENTIAL SOFTWARE CORP, 50 WASHINGTON STREET, WESTBOROUGH, MA, 01581, 6509266300 - 0 ($11,725,000.00) Equity, (File 333-98925 - Aug. 29) (BR. 03) S-4 HARVARD BIOSCIENCE INC, 84 OCTOBER HILL RD, HOLLISTON, MA, 01746, 5088938999 - 0 ($12,567,466.00) Equity, (File 333-98927 - Aug. 29) (BR. 36) S-8 TYLER TECHNOLOGIES INC, 2800 W MOCKINGBIRD LANE, DALLAS, TX, 75235, 2147547800 - 0 ($6,593,708.00) Equity, (File 333-98929 - Aug. 29) (BR. 03) S-8 ACCREDO HEALTH INC, 1640 CENTURY CENTER PARKWAY, SUITE 101, MEMPHIS, TN, 38134, 9013853688 - 2,600,000 ($128,830,000.00) Equity, (File 333-98931 - Aug. 29) (BR. 01) S-8 CENDANT CORP, 9 WEST 57TH STREET, NEW YORK, NY, 10019, 2124131800 - 0 ($146,500,000.00) Equity, (File 333-98933 - Aug. 29) (BR. 08) S-4 VERSICOR INC /CA, 34790 ARDENTECH COURT, 510-739-3000, FREMONT, CA, 94555, 0 ($206,075,787.00) Equity, (File 333-98935 - Aug. 29) (BR. 01) N-2 FIRST AMERICAN MINNESOTA MUNICIPAL INCOME FUND II INC, 800 NICOLLETT MALL, MINNEAPOLIS, MN, 55402, 6123031606 - 0 ($1,500,000.00) Equity, (File 333-98937 - Aug. 29) (BR. ) S-8 DURECT CORP, 10240 BUBB RD, CUPERTINO, CA, 95014, 4087771417 - 0 ($993,000.00) Equity, (File 333-98939 - Aug. 29) (BR. 06) S-4 GENESIS HEALTH VENTURES INC /PA, 101 EAST STATE STREET, KENNETT SQUARE, PA, 19348, 6104446350 - 2,613,953 ($55,154,414.63) Equity, (File 333-98941 - Aug. 29) (BR. 01) S-8 GREATER BAY BANCORP, 2860 WEST BAYSHORE ROAD, PALO ALTO, CA, 94303, 4153751555 - 0 ($5,885,000.00) Equity, (File 333-98943 - Aug. 29) (BR. 07) S-8 US ONCOLOGY INC, 16825 NORTHCHASE DR, STE 1300, HOUSTON, TX, 77060, 2818732674 - 0 ($42,650,000.00) Equity, (File 333-98945 - Aug. 29) (BR. 01) S-3 INTEGRAMED AMERICA INC, ONE MANHATTANVILLE RD, PURCHASE, NY, 10577-2100, 9142538000 - 325,600 ($2,074,072.00) Equity, (File 333-98947 - Aug. 29) (BR. 01) SB-2 E RESOURCES INC, 304 N HIGHWAY 377, SUITE 204, ROANOKE, TX, 76262, 8174918698 - 27,934,319 ($3,509,789.87) Other, (File 333-98949 - Aug. 29) (BR. 37) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP DE X 08/01/02 ACCELR8 TECHNOLOGY CORP CO X X 08/28/02 ACCEPTANCE INSURANCE COMPANIES INC DE X 08/27/02 ACCESS POWER INC X 08/28/02 ALLERGAN INC DE X X 08/29/02 AMEND ALPHA HOSPITALITY CORP DE X X 08/29/02 AMERICAN CONSUMERS INC GA X X 08/29/02 AMERICAN RETIREMENT CORP TN X X 08/29/02 AMERICAN STANDARD COMPANIES INC DE X X 08/28/02 ARISTOTLE CORP DE X 08/29/02 AMEND ARIZONA PUBLIC SERVICE CO AZ X 08/27/02 ASBURY AUTOMOTIVE GROUP INC DE X X 08/29/02 AURORA FOODS INC /DE/ DE X X 08/28/02 AVERY SPORTS TURF INC DE X X 08/14/02 AMEND BE INC CA X 08/28/02 BERTHEL GROWTH & INCOME TRUST I DE X 08/26/02 BLYTH INC DE X X 08/28/02 BOYKIN LODGING CO OH X 08/27/02 BUDGET GROUP INC DE X X 08/22/02 CENTERSPAN COMMUNICATIONS CORP OR X 08/23/02 CHROMAVISION MEDICAL SYSTEMS INC DE X 08/28/02 CITICORP MORTGAGE SECURITIES INC DE X 08/29/02 CONTINENTAL AIRLINES INC /DE/ DE X X 08/29/02 COVEST BANCSHARES INC DE X X 08/29/02 CREDIT SUISSE FIRST BOSTON MORT ACCEP DE X X 08/26/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/29/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/29/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 08/29/02 CROSS MEDIA MARKETING CORP DE X X 08/16/02 CSFB MORTGAGE BACKED PASS THR CERT SE DE X X 08/26/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 08/26/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 08/26/02 CSFB MORTGAGE BACKED PASS THRU CERTS DE X X 08/26/02 CWABS INC DE X X 08/29/02 CWMBS INC DE X 08/29/02 CWMBS INC DE X X 08/27/02 CYGNUS INC /DE/ DE X X 08/28/02 DATA RACE INC TX X 06/28/02 DIMON INC VA X 08/29/02 DIVINE INC DE X X 08/28/02 DOCUMENTUM INC DE X X 12/03/01 AMEND DOLLAR GENERAL CORP TN X 08/29/02 DREW INDUSTRIES INCORPORATED DE X 08/28/02 EB2B COMMERCE INC /NY/ NJ X X 08/22/02 EB2B COMMERCE INC /NY/ NJ X X 08/06/02 AMEND EDUCATION LENDING GROUP INC DE X 08/16/02 ELECTRONIC CORPORATE FILING SERVICES NV X 08/29/02 ENZON INC DE X 08/13/02 AMEND EQUITY ONE ABS INC MORTGAGE PAS TH CE DE X X 08/27/02 ESPEED INC DE X 08/26/02 ETOYS INC DE X X 08/15/02 EXOTECH INC DE X X 08/26/02 EXTENSITY INC DE X X 08/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 08/29/02 FIRST STATE BANCORPORATION NM X X 08/29/02 FLEXTRONICS INTERNATIONAL LTD X X X 05/03/02 AMEND GENERAL KINETICS INC VA X X 08/29/02 GEOWORKS /CA/ DE X X 08/26/02 GOLDEN ENTERPRISES INC DE X 05/31/02 GS MORTGAGE SECURITIES CORP DE X X 08/27/02 GUILFORD MILLS INC DE X 08/29/02 HARRAHS ENTERTAINMENT INC DE X X 08/29/02 HATHAWAY CORP CO X 08/28/02 HEMET BANCORP CA X X 08/28/02 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC X 08/20/02 HOUSEHOLD MORTGAGE LOAN TRUST 2002 HC X 08/20/02 INDYMAC MBS INC X X 08/29/02 INTERNATIONAL SPEEDWAY CORP FL X 08/29/02 INTERVOICE BRITE INC TX X X 08/28/02 IRWIN FINANCIAL CORPORATION IN X X 08/29/02 KELLWOOD CO DE X X X 08/28/02 KITTY HAWK INC DE X X 08/29/02 KRISPY KREME DOUGHNUTS INC X X 08/22/02 LASERLOCK TECHNOLOGIES INC NV X 12/31/01 LAYNE CHRISTENSEN CO DE X 08/29/02 LEAP WIRELESS INTERNATIONAL INC DE X X 08/29/02 LIONBRIDGE TECHNOLOGIES INC /DE/ DE X X 08/28/02 LML PAYMENT SYSTEMS INC A1 X 08/28/02 MAPICS INC GA X 08/28/02 MATLACK SYSTEMS INC DE X X 08/29/02 MBNA CORP MD X 08/29/02 MERRILL LYNCH MORTGAGE INV INC MOR PS NY X X 08/26/02 METLIFE INC DE X X 08/29/02 MID POWER SERVICE CORP DE X 06/14/02 AMEND MITY ENTERPRISES INC UT X X 08/29/02 NATIONAL RURAL UTILITIES COOPERATIVE DC X 08/23/02 NETRO CORP CA X X 08/29/02 NOBLE CORP X X 08/29/02 NOVASTAR MORTGAGE FUNDING CORP DE X X 08/29/02 OMNICOMM SYSTEMS INC DE X 08/19/02 OPSWARE INC DE X X X 08/15/02 PANERA BREAD CO DE X 08/29/02 PARTSBASE INC DE X 08/26/02 PINNACLE WEST CAPITAL CORP AZ X 08/27/02 PROGRESS ENERGY INC NC X X 08/29/02 RCN CORP /DE/ DE X X 08/29/02 RESIDENTIAL ACCREDIT LOANS INC DE X X 08/26/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 08/26/02 RESIDENTIAL ASSET SECURITIES CORP DE X X 08/26/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 08/26/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 08/26/02 ROBOCOM SYSTEMS INTERNATIONAL INC NY X X 08/29/02 RTIN HOLDINGS INC TX X X 08/13/02 AMEND SABA SOFTWARE INC DE X 08/29/02 SCIQUEST INC DE X X 08/29/02 SIEBEL SYSTEMS INC DE X X 08/29/02 SPX CORP DE X X 08/28/02 STERLING FINANCIAL CORP /PA/ PA X X 08/27/02 STEWART & STEVENSON SERVICES INC TX X X 08/29/02 STORAGE COMPUTER CORP DE X X 08/27/02 STRUCTURED ASSET SEC CORP MOR PASS TH DE X 08/01/02 STRUCTURED ASSET SECURITIES CORP DE X 08/27/02 STRUCTURED PRODUCTS CORP DE X X 08/28/02 TECHSYS INC NJ X X 08/29/02 THOMAS INDUSTRIES INC DE X X X 08/29/02 TIVO INC DE X X 08/22/02 TLC VISION CORP A6 X 08/15/02 TRANSPRO INC DE X X 08/28/02 TRIQUINT SEMICONDUCTOR INC DE X X 08/28/02 VIACOM INC DE X 08/21/02 VIRAGE INC DE X X 08/28/02 AMEND WATLEY A B GROUP INC DE X 08/20/02 WEIDER NUTRITION INTERNATIONAL INC DE X 08/29/02 WELLS FARGO ASSET SEC CORP MORT BK SE DE X X 08/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 08/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 08/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 08/26/02 WELLS REAL ESTATE INVESTMENT TRUST IN MD X X 08/15/02 WELLS REAL ESTATE INVESTMENT TRUST IN MD X 08/29/02 WEST PHARMACEUTICAL SERVICES INC PA X X 08/23/02 WEST PHARMACEUTICAL SERVICES INC PA X X 08/29/02 WESTAR ENERGY INC /KS KS X X 08/29/02 WNC HOUSING TAX CREDIT FUND VI LP SER CA X X 08/29/02 WORKSTREAM INC X X 08/29/02 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 08/13/02 WULF INTERNATIONAL LTD CO X 08/29/02 ZAMBA CORP DE X 08/27/02