SEC NEWS DIGEST Issue 2002-205 October 23, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. CLOSED MEETING - MONDAY, OCTOBER 28, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Monday, Oct. 28, will be: Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; and an Adjudicatory matter. OPEN MEETING - WEDNESDAY, OCTOBER 30, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, Oct. 30, will be: 1. The Commission will consider proposing new rules and amendments regarding the use of pro forma financial information in order to implement Section 401(b) of the Sarbanes-Oxley Act of 2002. In addition, the Commission will consider an amendment to Form 8-K requiring the filing of earnings announcements and releases. 2. The Commission will consider whether to propose rules relating to Section 401(a) of the Sarbanes-Oxley Act of 2002. The proposed rules would require companies to provide in their "Management's Discussion and Analysis" section of the Commission filings: (a) a discussion of off- balance sheet arrangements; (b) a table of aggregate contractual obligations due in short and long-term time horizons; and (c) either a table or textual disclosure of aggregate contingent liabilities and commitments in the short and long-term. 3. The Commission will consider whether to propose new rules that would prohibit an issuer's directors and executive officers from purchasing, selling or otherwise acquiring or transferring any equity security of the issuer during a pension plan blackout period that prevents plan participants or beneficiaries from engaging in equity securities transactions, if the equity security was acquired in connection with the director or executive officer's service or employment as a director or executive officer. These rules would implement Section 306(a) of the Sarbanes-Oxley Act of 2002. In addition, the proposed rules would require issuers to provide advance notice to their directors and executive officers and the Commission of the imposition of a pension plan blackout period. OPEN MEETING - THURSDAY, OCTOBER 31, 2002 - 10:00 A.M. The subject matter of the Open Meeting scheduled for Thursday, October 31, 2002 will be: 1. The Commission will consider whether to propose amendments to the definition of terms used in the exception from the definition of dealer for banks under Section 3(a)(5) of the Securities Exchange Act of 1934. The Commission will consider whether to propose amendments to the related exemption for banks, savings associations, and savings banks as well as propose a new exemption concerning securities lending. These proposals relate to the implementation of the specific exceptions for banks from the definitions of "broker" and "dealer" that were amended by the Gramm-Leach-Bliley Act. 2. The Commission will consider proposed rules establishing standards of professional conduct for attorneys who appear and practice before the Commission in any way in the representation of issuers, as required by Section 307 of the Sarbanes-Oxley Act of 2002. These standards would include a rule requiring an attorney to report "evidence of a material violation of securities laws or breach of fiduciary duty or similar violation by the company or any agent thereof" to the chief legal counsel or the chief executive officer of the company (or the equivalent); and, if they do not respond appropriately to the evidence, requiring the attorney to report the evidence to the audit committee, another committee of independent directors, or the full board of directors. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS COMMISSION ENTERS DEFAULT JUDGMENT AGAINST DAVID HESTERMAN AND KENNETH WEEKS AND SUMMARILY AFFIRMS INITIAL DECISION On Oct. 22, the Commission entered a default judgment against David A. Hesterman and Kenneth L. Weeks. The respondents had appealed an initial decision of an administrative law judge wherein the law judge found that the respondents had violated various securities laws, including the registration and antifraud provisions. The law judge ordered the respondents to make disgorgement and imposed other sanctions, including monetary penalties. On June 6, 2002, the respondents filed an untimely illegible brief with the Commission. The Commission directed the respondents to file a legible brief and were informed the Commission might deem them in default if they failed to do so. Following the respondents' failure to cure their deficient filing, the Commission entered a default judgment against them and summarily affirmed the initial decision of the law judge as to these respondents. The Commission ordered the respondents to cease-and-desist and barred them from participating in any offer of penny stock. The Commission imposed a civil penalty of $250,000 on Hesterman and a civil penalty of $200,000 on weeks. It further ordered each of them to pay disgorgement as follows: Hesterman to disgorge $852,600; Weeks to disgorge $2,443,830; and Hesterman and Weeks (jointly and severally) to disgorge $273,513. The Commission also ordered each of the respondents to pay prejudgment interest. (Rel. 33-8139; 34-46703; File No. 3-9952) CIVIL ACTION AGAINST J. SCOTT ESKIND On Oct. 3, the Commission filed an Application for Order to Show Cause why defendant J. Scott Eskind (Eskind) should not be held in civil contempt for his violation of the Court's Jan. 12, 1998, permanent injunction order enjoining him from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206 of the Investment Advisers Act of 1940. On Oct. 10, the Honorable Charles A. Moye, United States District Judge for the Northern District of Georgia, entered an Order requiring Eskind to show cause why he should not be held in civil contempt for his violation of the Court's Jan. 12, 1998 order. The Commission's application alleged that, subsequent to being enjoined, and continuing until the present, Eskind raised at least $3 million through sales of limited partnership units in Capital Management Fund, Limited Partnership (Capital). Capital purportedly does business by trading in securities through initial or secondary public offerings. The sales materials misrepresented to investors Eskind's broker-dealer experience, and did not disclose his 1991 New York Stock Exchange suspension, the Commission's 1997 civil action or an order issued by the Commission in 2000, barring him from association with an investment adviser. The application alleged that investors were told that IRA accounts had been opened for them at a trust company which serves as an IRA custodian. Investors received statements from Lorus Investments, Inc. (Lorus), an entity controlled by Eskind, indicating their funds in those accounts. In fact, no such accounts were opened. The sales materials also falsely stated that a major law firm provides legal representation for Lorus. Eskind's conduct is also the subject of a civil action, SEC v. Eskind, et al., Civil Action No. 1:02-CV-2429-MHS, filed by the Commission on September 3, 2002 and currently pending before another judge of the Court. For further information see also LR-15395 (June 25, 1997); LR- 15618 (Jan. 14, 1998); and LR-17725 (Sept. 13, 2002). [SEC v. J. Scott Eskind, USDC, NDGA, Civil Action No. 1:97-CV-1790-CAM] (LR-17797) DISTRICT COURT ENTERS FINAL JUDGMENT ORDERING KEITH GREENBERG TO PAY DISGORGEMENT AND INTEREST OF $5.8 MILLION Amount Is in Addition to Civil Money Penalty of $100,000 The Commission announced today that on Oct. 4 the Honorable Daniel T.K. Hurley, United States District Judge for the Southern District of Florida, entered a final judgment imposing, jointly and severally, disgorgement of $3,828,000, together with prejudgment interest thereon of $1,987,346, against Keith Greenberg (Greenberg) and Coyote Consulting and Financial Services, LLP (Coyote). The disgorgement amount was based on fees received for Coyote acting, through Greenberg, as a broker although not registered as such with the Commission. The Court also imposed a civil money penalty of $100,000 against Greenberg and a civil money penalty of $500,000 against Coyote. Greenberg was a co-founder of U.S. Diagnostic, Inc. (USDL), a company that operates outpatient diagnostic imaging centers and has its headquarters in West Palm Beach, Florida. In a complaint filed in December 2000, the Commission alleged that Greenberg prepared or directed the preparation of numerous public statements by USDL which identified him as an officer of the company, but which fraudulently failed to disclose his criminal conviction and his injunction in previous litigation with the Commission. The Commission's complaint additionally alleged that Coyote, through Greenberg, acted as a broker without registering with the Commission. Coyote is a Florida limited liability company owned by a Greenberg family trust and Greenberg's wife, and controlled by Greenberg. On April 4, 2002, the U.S. District Court for the Southern District of Florida entered a final judgment of permanent injunction by default against Greenberg and Coyote permanently enjoining Greenberg from violating the antifraud and broker-dealer registration provisions of the federal securities laws and from aiding and abetting violations of the periodic reporting and corporate recordkeeping provisions, and permanently enjoining Coyote from violating the broker-dealer registration provisions. The final judgment also barred Greenberg from acting as an officer or director of any public company and barred Coyote from acting as an unregistered broker or dealer. The District Court also held Greenberg and Coyote liable for civil penalties and jointly and severally liable for disgorgement. On June 4, 2002, the Court ordered an evidentiary hearing to determine the appropriate disgorgement and civil penalty amounts. In August 2002, following the evidentiary hearing, U.S. Magistrate Judge Frank J. Lynch, Jr. filed a report recommending that Greenberg and Coyote be held jointly and severally liable for $3,828,000 in disgorgement and $1,987,346 in prejudgment interest, that a maximum third-tier civil penalty of $100,000 be imposed on Greenberg, and that a maximum third-tier civil penalty of $500,000 be imposed on Coyote. U.S. District Judge Hurley adopted the recommending report in its entirety. [SEC v. Keith Greenberg and Coyote Consulting and Financial Services, LLP, 00-9109-CIV-HURLEY/LYNCH, S.D. Fla.] (LR- 17798) INVESTMENT COMPANY ACT RELEASES CORVIS CORPORATION A notice has been issued giving interested persons until Nov. 15, 2002, to request a hearing on an application filed by Corvis Corporation for an order under Section 3(b)(2) of the Investment Company Act declaring applicant to be primarily engaged in a business other than that of investing, reinvesting, owning, holding or trading in securities. (Rel. IC-25774 - Oct. 21) OPPENHEIMER INTEGRITY FUNDS, ET AL. An order has been issued on an application filed by Oppenheimer Integrity Funds, et al. under (1) Section 6(c) of the Investment Company Act exempting applicants from Sections 18(f) and 21(b) of the Act; (2) Section 12(d)(1)(J) of the Act exempting applicants from Section 12(d)(1) of the Act; (3) Sections 6(c) and 17(b) of the Act exempting applicants from Sections 17(a)(1) and 17(a)(3) of the Act; and (4) Section 17(d) 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 participate in a joint lending and borrowing facility. (Rel. IC-25776 - Oct. 22) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CSE-2002-14) filed by the Cincinnati Stock Exchange relating to changes in transaction and related fees 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 Oct. 21. (Rel. 34-46688) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-120) to modify application of Additional Circuit/ADP Charge under Rule 7010(f) to NASD Members. The proposed rule change 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 Oct. 21. (Rel. 34- 46695) A proposed rule change (SR-CHX-2002-15) filed by the Chicago Stock Exchange relating to automatic and manual execution procedures 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 Oct. 21. (Rel. 34-46697) PROPOSED RULE CHANGES The Commission noticed for comment a proposed rule change that the National Association of Securities Dealers filed (SR-NASD-2002-121) to modify application of Additional Circuit/ADP Charge under Rule 7010(f) to Non-NASD Members. Publication of the proposal is expected in the Federal Register during the week of Oct. 21. (Rel. 34-46696) The Commission issued a notice of filing of a proposed rule change (SR- ISE-2002-22) by the International Securities Exchange pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The proposed rule change proposes certain fee waivers. Publication of the proposal is expected in the Federal Register during the week of Oct. 21. (Rel. 34- 46698) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment Nos. 1 and 2 and issued notice of filing and granted accelerated approval to Amendment No. 3 to the proposed rule change (SR-Amex-2002-47) filed by the American Stock Exchange under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to non-member fees for transactions in Nasdaq securities traded on an unlisted basis. Publication of the proposal is expected in the Federal Register during the week of Oct. 21. (Rel. 34-46702) 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 KINGSWAY FINANCIAL SERVICES INC, 5310 EXPLORER DRIVE, MISSISSAUGA ONTARIO CANADA L4W 5H8, MISSISSAUGA, 8476197610 - 0 ($57,500,000.00) Other, (File 333-100655 - Oct. 22) (BR. ) S-8 USI HOLDINGS CORP, 50 CALIFORNIA ST, SAN FRANCISCO, CA, 94111, 0 ($118,695,150.00) Equity, (File 333-100657 - Oct. 22) (BR. 01) S-8 AMERICAN SPORTS DEVELOPMENT GROUP INC, 155 VERDIN ROAD, GREENVILLE, SC, 29607, 8642970507 - 15,000 ($4,350.00) Equity, (File 333-100658 - Oct. 22) (BR. 09) S-8 EDUCATIONAL DEVELOPMENT CORP, 10302 E 55TH PL #B, TULSA, OK, 74146, 9186224522 - 0 ($8,370,000.00) Equity, (File 333-100659 - Oct. 22) (BR. 02) S-8 LYONDELL CHEMICAL CO, 1221 MCKINNEY ST, STE 700, HOUSTON, TX, 77010, 7136527200 - 0 ($51,400,000.00) Equity, (File 333-100660 - Oct. 22) (BR. 02) S-8 NATIONAL SEMICONDUCTOR CORP, 2900 SEMICONDUCTOR DR, PO BOX 58090, SANTA CLARA, CA, 95052-8090, 4087215000 - 0 ($2,071,563.30) Equity, (File 333-100662 - Oct. 22) (BR. 36) S-3 FIRST HORIZON ASSET SECURITIES INC, 4000 HORIZON WAY, IRVING, TX, 75063, 9724845600 - 0 ($1,000,000.00) Equity, (File 333-100663 - Oct. 22) (BR. 05) S-8 VITESSE SEMICONDUCTOR CORP, 741 CALLE PLANO, CAMARILLO, CA, 93012, 8053883700 - 8,101,682 ($6,319,350.00) Other, (File 333-100665 - Oct. 22) (BR. 36) N-2 NUVEEN QUALITY PREFERRED INCOME FUND 2, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 0 ($1,000,000.00) Equity, (File 333-100668 - Oct. 22) (BR. 18) S-3 CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP, 11 MADISON AVENUE, NEW YORK, NY, 10010, 2123252000 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-100669 - Oct. 22) (BR. 05) S-3 INSTINET GROUP INC, 3 TIME SQUARE, NEW YORK, NY, 10022, 2123109500 - 0 ($4,078,558.00) Equity, (File 333-100670 - Oct. 22) (BR. 07) S-8 US BANCORP \DE\, 601 2ND AVENUE SOUTH, FIRST BANK PLACE, MINNEAPOLIS, MN, 55402-4302, 6129731111 - 0 ($968,500,000.00) Equity, (File 333-100671 - Oct. 22) (BR. 07) SB-2 IROQUOIS BIO ENERGY CO LLC, 6317 EAST 181ST AVENUE, HEBRON, IN, 46341-9302, 219 996 4925 - 0 ($25,000,000.00) Equity, (File 333-100672 - Oct. 22) (BR. ) SB-2 NEPHROS INC, 3960 BROADWAY, NEW YORK, NY, 10032, 2127815113 - 0 ($17,250,000.00) Equity, (File 333-100673 - Oct. 22) (BR. ) S-3 PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 44143, 4404615000 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-100674 - Oct. 22) (BR. 01) S-3 DEUTSCHE MORTGAGE SECURITIES INC, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-100675 - Oct. 22) (BR. ) S-3 DEUTSCHE ALT-A SECURITIES INC, 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-100676 - Oct. 22) (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 ------------------------------------------------------------------------------------ ACT TELECONFERENCING INC CO X X 10/22/02 ADMIRALTY BANCORP INC DE X X 10/11/02 ALABAMA POWER CO AL X X 10/16/02 ALPENA BANCSHARES INC X 09/27/02 AMC ENTERTAINMENT INC DE X X 09/26/02 AMERICANA PUBLISHING INC CO X 10/18/02 AT&T CORP NY X 10/22/02 AUDIOVOX CORP DE X X 10/21/02 BARRY R G CORP /OH/ OH X X 10/18/02 BIOSOURCE INTERNATIONAL INC DE X X 10/21/02 BRANTLEY CAPITAL CORP MD X X 09/27/02 CACI INTERNATIONAL INC /DE/ DE X 10/22/02 CARDINAL HEALTH INC OH X X 10/22/02 CENDANT CORP DE X X 10/21/02 CENTEX CORP NV X X 10/22/02 CERTEGY INC GA X X 10/22/02 CHARTER COMMUNICATIONS HOLDINGS LLC DE X X 10/22/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 10/22/02 CHASE CREDIT CARD MASTER TRUST NY X X 09/30/02 CHASE CREDIT CARD OWNER TRUST 2002-6 NY X X 09/30/02 CHASE MANHATTAN BANK /NY/ NY X X 10/15/02 CHASE MANHATTAN BANK USA DE X X 10/15/02 CHASE MANHATTAN BANK USA DE X X 10/15/02 CHASE MANHATTAN BANK USA DE X X 10/15/02 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 10/15/02 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 10/15/02 CHENIERE ENERGY INC DE X X 10/17/02 CITIBANK SOUTH DAKOTA N A DE X 09/25/02 CITIBANK SOUTH DAKOTA N A DE X 09/25/02 CITIGROUP INC DE X 10/16/02 CITIZENS BANKING CORP MI X X X 10/18/02 COACHMEN INDUSTRIES INC IN X X 10/21/02 CONSECO INC IN X X 10/22/02 COOPER INDUSTRIES LTD X X X 10/22/02 COST U LESS INC WA X 10/17/02 DELPHI CORP DE X 10/22/02 DEVELOPERS DIVERSIFIED REALTY CORP OH X 04/11/02 DIASYS CORP DE X 10/22/02 DIASYS CORP DE X 10/22/02 DIOMED HOLDINGS INC NV X X 10/22/02 DOMINOS INC DE X X 10/22/02 DSP GROUP INC /DE/ DE X X 10/21/02 DYNEGY HOLDINGS INC DE X X X 10/16/02 DYNEGY INC /IL/ IL X X X 10/16/02 EDIETS COM INC DE X X 10/22/02 ELECTRIC FUEL CORP DE X X 10/21/02 ELINE ENTERTAINMENT GROUP INC NV X X 10/07/02 AMEND ENCHIRA BIOTECHNOLOGY CORP DE X X 10/22/02 ENDOCARDIAL SOLUTIONS INC DE X X 10/21/02 ENTERGY CORP /DE/ DE X X 10/22/02 EOG RESOURCES INC DE X 10/21/02 EZ EM INC DE X X 10/22/02 FAIR ISAAC & COMPANY INC DE X 08/05/02 AMEND FIRST FEDERAL BANKSHARES INC DE X 10/21/02 FIRST NORTHERN COMMUNITY BANCORP CA X 10/18/02 FIRST SIERRA RECEIVABLES III INC DE X X X 10/01/02 FLANDERS CORP NC X X 10/21/02 FLIGHT SAFETY TECHNOLOGIES INC NV X X 10/03/02 AMEND FREESTAR TECHNOLOGIES NV X 10/18/02 AMEND GEMSTAR TV GUIDE INTERNATIONAL INC DE X X 10/21/02 GREENWICH CAPITAL ACCEPTANCE INC DE X X 10/22/02 HARRAHS ENTERTAINMENT INC DE X X 10/22/02 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 10/21/02 HAWK CORP DE X X 10/14/02 HCA INC/TN DE X X 10/21/02 HEADWATERS INC DE X 10/22/02 HEARUSA INC DE X X 10/22/02 HOME PROPERTIES OF NEW YORK INC MD X 12/31/01 HOMEFED CORP DE X X X X 10/21/02 HONDA AUTO RECEIVABLES 2000-1 OWNER T DE X X 09/30/02 HONDA AUTO RECEIVABLES 2001-1 OWNER T DE X X 09/30/02 HONDA AUTO RECEIVABLES 2001-2 OWNER T DE X X 09/30/02 HONDA AUTO RECEIVABLES 2001-3 OWNER T CA X X 09/30/02 HONDA AUTO RECEIVABLES 2002-1 OWNER T CA X X 09/30/02 HONDA AUTO RECEIVABLES 2002-2 OWNER T CA X X 09/30/02 HONDA AUTO RECEIVABLES 2002-3 OWNER T CA X X 09/30/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 10/15/02 INFORETECH WIRELESS TECHNOLOGY INC NV X X 12/31/02 AMEND INMEDICA DEVELOPMENT CORP UT X X 10/17/02 INSIGNIA SOLUTIONS PLC X X 10/17/02 INSPIRE PHARMACEUTICALS INC DE X X 10/21/02 INSTINET GROUP INC DE X X 10/22/02 INTEGRATED INFORMATION SYSTEMS INC DE X X 10/22/02 IRWIN FINANCIAL CORPORATION IN X X 10/22/02 ISLAND CRITICAL CARE CORP DE X 10/22/02 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 10/15/02 KANKAKEE BANCORP INC DE X X 10/22/02 KLEENAIR SYSTEMS INC NV X 10/15/02 LABORATORY CORP OF AMERICA HOLDINGS DE X 10/22/02 LASALLE HOTEL PROPERTIES MD X X 10/21/02 LOGIC DEVICES INC CA X 10/22/02 LYONDELL CHEMICAL CO DE X X 08/21/02 MAINSTREET BANKSHARES INC VA X 10/16/02 MERIDIAN HOLDINGS INC CO X 10/22/02 AMEND MERIDIAN MEDICAL TECHNOLOGIES INC DE X X 10/19/02 METASOLV INC DE X X 10/09/02 METLIFE INC DE X X 10/22/02 METRIS COMPANIES INC DE X 04/16/02 AMEND MILLBROOK PRESS INC DE X X 10/17/02 MISSION RESOURCES CORP DE X 10/17/02 MMCA AUTO RECEIVABLES TRUST II DE X X 10/22/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 05/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 06/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 08/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 09/25/02 MOST HOME CORP NV X 09/17/02 NATURAL RESOURCE PARTNERS LP DE X X 10/18/02 NELNET STUDENT LOAN CORP- 2 NV X X 10/08/02 NELNET STUDENT LOAN FUNDING LLC X X 10/08/02 NETWORK ACCESS SOLUTIONS CORP DE X X 10/21/02 NEUBERGER BERMAN INC DE X X 10/22/02 NEW YORK COMMUNITY BANCORP INC DE X X 10/16/02 NORTEL NETWORKS CORP X 10/17/02 NORTEL NETWORKS LTD X 10/17/02 NORTH VALLEY BANCORP CA X X 10/17/02 NORTHEAST PENNSYLVANIA FINANCIAL CORP DE X X 10/21/02 ORTHOVITA INC X X 10/18/02 OXFORD HEALTH PLANS INC DE X X 10/21/02 PALM INC DE X X 10/15/02 PEOPLES HOLDING CO MS X 10/22/02 PG&E CORP CA X X 10/22/02 PG&E GAS TRANSMISSION NORTHWEST CORP CA X 10/21/02 PHARMACIA CORP /DE/ DE X X 10/22/02 PNM RESOURCES NM X 10/21/02 POWDER RIVER BASIN GAS CORP CO X 10/21/02 PREDICTIVE SYSTEMS INC DE X X 10/18/02 PROGRESS FINANCIAL CORP DE X 10/22/02 PROSPERITY BANCSHARES INC TX X X 10/21/02 PROVIDENT BANKSHARES CORP MD X 10/17/02 PROVIDIAN MASTER TRUST X X 10/15/02 PROXIM CORP DE X 08/05/02 AMEND PURCHASEPRO COM INC NV X X 10/15/02 PURE RESOURCES INC DE X X 10/21/02 QCR HOLDINGS INC DE X 10/22/02 QUANTA SERVICES INC DE X X 10/15/02 ROADWAY CORP DE X 10/21/02 RURAL METRO CORP /DE/ DE X X 10/17/02 RX TECHNOLOGY HOLDINGS INC X 10/17/02 AMEND S&T BANCORP INC PA X 09/30/02 SABRE HOLDINGS CORP DE X 10/18/02 SALOMON BROTHERS COMMERCIAL MORTGAGE DE X X 10/15/02 SILICON LABORATORIES INC DE X 10/22/02 SMTEK INTERNATIONAL INC DE X 10/14/02 SNAP ON INC DE X X 10/22/02 SOBIESKI BANCORP INC DE X X 10/21/02 SPIRE CORP MA X X 10/21/02 STAR RECEIVABLES FUNDING INC DE X 09/16/02 STAR RECEIVABLES FUNDING INC DE X 10/16/02 STRUCTURED PRODUCTS CORP DE X X 10/21/02 TAB PRODUCTS CO DE X X 10/22/02 TEMECULA VALLEY BANCORP INC DE X 10/22/02 TGC INDUSTRIES INC TX X 10/18/02 THOMAS & BETTS CORP TN X X X 10/21/02 TIDEWATER INC DE X 10/22/02 TOWER AUTOMOTIVE INC DE X 10/18/02 TOWER AUTOMOTIVE INC DE X X 10/18/02 UNITRONIX CORP NJ X 10/22/02 US INDUSTRIES INC /DE DE X X 10/22/02 VAXGEN INC DE X X 10/21/02 VENTURE HOLDINGS CO LLC MI X 10/22/02 VERITAS SOFTWARE CORP /DE/ DE X X 10/21/02 VOICEFLASH NETWORKS INC FL X 10/22/02 WACHOVIA COMMERCIAL MORTGAGE SECURITI NC X X 10/18/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 10/18/02 WELLS FARGO & CO/MN DE X X 10/22/02 WELLS FARGO ASSET SECURITIES CORP DE X X 10/22/02 WELLS FARGO ASSET SECURITIES CORP DE X X 10/22/02 WELLS FARGO ASSET SECURITIES CORP DE X X 10/22/02 WELLS FARGO ASSET SECURITIES CORP DE X X 10/22/02 WELLS FARGO FINANCIAL INC IA X X 10/22/02 WERNER ENTERPRISES INC NE X X 10/15/02 WESTPAC SECURITISATION MANAGEMENT PTY X 10/21/02 WFS FINANCIAL 2002-3 OWNER TRUST CA X X 10/21/02 WITNESS SYSTEMS INC DE X X 10/17/02 YARDVILLE NATIONAL BANCORP NJ X X 10/21/02 YELLOW CORP DE X X 10/22/02