SEC NEWS DIGEST Issue 2001-207 October 26, 2001 COMMISSION ANNOUNCEMENTS SEC APPROVES PROPOSAL TO ESTABLISH THE ARCHIPELAGO EXCHANGE AS THE EQUITIES TRADING FACILITY OF THE PACIFIC EXCHANGE, INC. The PCX's Archipelago Exchange Becomes the First Fully Electronic National Securities Exchange for Trading Equity Securities since 1976 On October 25, the Securities and Exchange Commission approved the proposal of the Pacific Exchange, Inc. (PCX) to establish the Archipelago Exchange (ArcaEx) as its new, electronic communications and trading facility. The all-electronic ArcaEx facility will operate in place of the trading floor of the PCX's subsidiary, PCX Equities, Inc., with ArcaEx market makers replacing the traditional floor specialists. The ArcaEx facility is the first fully electronic national securities exchange for the trading of equity securities since the Cincinnati Stock Exchange developed its trading system in 1976. ArcaEx will feature three trading sessions each day: an early trading session, a core trading session, and a late trading session. Members and other users of ArcaEx will submit orders to an electronic file of orders, known as the Arca Book, where all trades will be executed at prices equal to or better than the national best bid or offer. The Archipelago Exchange LLC, a wholly owned subsidiary of Archipelago Holdings LLC, owns and operates ArcaEx. The PCX currently has a 10% ownership interest in Archipelago Holdings. As a self-regulatory organization under the Exchange Act, the PCX is fully responsible for the trading that will take place through ArcaEx and is obligated to conduct all necessary surveillance and to maintain an audit trail of trading through ArcaEx. In addition, the PCX board must approve all rule changes relating to ArcaEx. Finally, the PCX and its ArcaEx facility are also subject to the Commission's oversight and examination. (Press Rel. 2001-122) FINAL RULE AMENDMENTS TO BOOKS AND RECORDS REQUIREMENTS FOR BROKERS AND DEALERS UNDER THE SECURITIES EXCHANGE ACTOF 1934 On October 25, the Commission adopted final rule amendments to the broker-dealer books and records rules (Rule 17a-3 and Rule 17a-4) under the Securities Exchange Act of 1934. The amendments clarify and expand recordkeeping requirements including those for purchase and sale documents, customer records, associated person records, customer complaints, communications with the public, and supervisory procedures. In addition, the amendments require broker-dealers to maintain or promptly produce certain records at each office to which those records relate. These amendments are specifically designed to assist securities regulators when conducting sales practice examinations of broker- dealers, particularly examinations of local offices. The amended rules contain the following general provisions, among others: * A broker-dealer must create a record containing certain minimum information as to each customer and furnish that information to the customer on a periodic basis. A broker-dealer does not have this requirement for an account for which the firm is not required (under any federal or SRO rules) to make a suitability determination. * A broker-dealer must create and maintain certain records for each office of the broker-dealer, and these records must either be maintained at that office or delivered to that office promptly upon request. * A broker-dealer must include additional information on each order ticket, including the identity of the associated person, if any, responsible for the account and any other person who entered or accepted the order on behalf of the customer. The final rules will become effective 18 months after the date of publication in the Federal Register. (Press Rel. 2001-123) SEC CHAIRMAN HARVEY PITT ANNOUNCES THE SELECTION OF MICHAEL ROBINSON AS DIRECTOR OF PUBLIC AFFAIRS Securities and Exchange Commission Chairman Harvey L. Pitt today announced the selection of Michael W. Robinson as Director of the Office of Public Affairs, Policy Evaluation, and Research. Mr. Robinson 37, will serve as the SEC_fs principal spokesperson and raise public awareness of the Commission_fs mission and actions. Prior to joining the Commission, Mr. Robinson was Vice President of Corporate Communications at the Arlington, Va.- based investment firm of Friedman Billings Ramsey. Previously, he was a spokesman for Mobil Corporation, and the National Association of Securities Dealers. Mr. Robinson also served at the Department of Justice and the White House from 1989-1991. Chairman Pitt said, "We are delighted that Michael has joined the SEC. His experience in the securities industry, coupled with his ability to understand complicated issues and create clear explanations, will be a tremendous asset to us." Mr. Robinson received his B.A. degree from the S.I. Newhouse School of Public Communications and the Maxwell School of Citizenship at Syracuse University. (Press Rel. 2001-124) SEC SEEKS TO IMPROVE PUBLIC ACCESS TO FREE, REAL-TIME CORPORATE FILINGS The SEC is considering whether to add hyperlinks from its website to sites that provide free, real-time access to annual and quarterly reports and other company documents filed on EDGAR, the Electronic Data Gathering, Analysis and Retrieval system. EDGAR enhances the efficiency and fairness of the securities markets for the benefit of investors, publicly traded companies, and the capital markets. Since 1995, the SEC has posted EDGAR filings on its website. The SEC website provides access to these filings at least 24 hours after receipt. This delay was designed into the SEC's website in response to Congressional objectives that we balance the competing public policy interests of promoting private-sector competition in the dissemination of EDGAR filings and of providing free public access to EDGAR filings.(1) Some private websites offer free, real-time access to EDGAR filings. To facilitate public access, the SEC is considering whether to provide hyperlinks to these sites from the Commission's website. In conjunction with our internal review, we are seeking public comment on providing hyperlinks from the Commission's website. We are also interested in receiving preliminary indications of interest. Please submit your comments and indications of interest to Jonathan G. Katz, Secretary, U.S. Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. You also may submit your comments and indications of interest electronically at the following e-mail address: EDGAR-comments@sec.gov. _______________________________ (1) See National Securities Markets Improvement Act of 1996, P.L. 104-290, 107 (1996). ENFORCEMENT PROCEEDINGS COMMISSION CENSURES AND SUSPENDS DALE FREY, FORMER CHIEF EXECUTIVE OFFICER OF D.E. FREY & CO. The Commission announced today that it had entered an order finding that Dale E. Frey failed reasonably to supervise three registered representatives who were subject to Frey's supervision. Frey, the former chief executive officer of D.E. Frey & Co., was censured, suspended from association with any broker or dealer for a period of three months, and suspended from association with any broker or dealer in any supervisory or proprietary capacity for 12 months thereafter. According to the order, between 1995 and 1999, three registered representatives at D.E. Frey, each of whom had a disciplinary history or history of customer complaints, engaged in one or more sales practice abuses including unsuitable trading, unauthorized trading or churning in customer accounts. Dale Frey failed reasonably to supervise those registered representatives to prevent or detect violations of the securities laws by them. He failed to develop procedures at D.E. Frey for imposing heightened supervision where appropriate, and failed to develop a system and commit adequate resources for implementing the supervisory procedures the firm did have in place. The order concluded that Frey failed reasonably to supervise, within the meaning of Section 15(b) of the Securities Exchange Act of 1934, individuals subject to his supervision with a view to preventing and detecting violations of the federal securities laws. Frey was censured, suspended from association with any broker or dealer for three-months, and suspended from association in a supervisory or proprietary capacity with any broker or dealer for 12 months, but was not assessed a civil penalty because of his demonstrated inability to pay. Frey consented to entry of the order and the suspensions from association without admitting or denying the Commission's findings. (Rel. 34-44982; File No. 3-10310) TEMPORARY RESTRAINING ORDER, ASSET FREEZE AND APPOINTMENT OF A RECEIVER ORDERED AGAINST ROBERT BENTLEY, ENTRUST GROUP AND BENTLEY FINANCIAL SERVICES, INC. On October 24, United States District Court Judge Jay C. Waldman issued a temporary restraining order against Robert L. Bentley, Bentley Financial Services, Inc. and Entrust Group, prohibiting violations of the antifraud and broker-dealer registrations provisions set forth in Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The order also freezes the defendants' assets and appoints David H. Marion of the Philadelphia law firm Montgomery, McCracken, Walker & Rhoads LLP as a receiver to take control of their assets. The defendants consented to the entry of the order without admitting or denying the Commission's allegations in the action. The Commission's motion for a preliminary injunction against the defendants is pending. The Commission's complaint alleged that the defendants claimed to be selling bank-issued, federally insured certificates of deposit ("CDs"), but that the defendants were in fact selling uninsured securities. Although the defendants were using at least some investor funds to buy CDs, the terms of the CDs often varied substantially from those of the securities defendants were selling. The Commission also alleged that, in many cases, investors had to rely on the defendants' ability to attract new investors in order for previous investors to receive repayment of their principal. Accordingly, investors were not buying the low-risk, federally-insured CDs that they were promised. Rather, they were buying higher risk securities issued by defendants, whose business was uninsured, unaudited and unregulated. When the Commission filed the action, hundreds of financial institutions and individual investors located nationwide had over $300 million invested with the defendants. [SEC v. Robert L. Bentley, Entrust Group and Bentley Financial Services, Inc., Civ. Action No. 53-66, USDC, EDPA] (LR-17206) SEC FILES CIVIL FRAUD CHARGES IN UNREGISTERED INTERNET OFFERING OF "PRE-IPO STOCK VOUCHERS" The Commission today filed civil fraud charges in federal district court in Dallas, Texas, against Steven Goldsborough and William Goldsborough, individually and d/b/a The Liquibuyers Group (Defendants), claiming that the Defendants violated the antifraud and registration provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. According to the Commission's complaint, the Defendants operated an Internet website soliciting investors to purchase "vouchers" redeemable for The Liquibuyers Group (Liquibuyers) stock upon a purportedly upcoming initial public offering. The Commission alleges that the Defendants defrauded over 30 investors throughout the United States, raising approximately $750 in the offering of "pre-IPO stock vouchers." The Commission alleges that the Defendants made numerous misrepresentations and omissions of material facts in connection with the offering, including that the Commission had approved the offering, that Liquibuyers would conduct an IPO in January 2001, and that Liquibuyers stock would be valued at $17.50 to $35 per share at the time of its IPO. According to the complaint, however, the Commission never approved the offering and Liquibuyers never undertook any meaningful steps to conduct an IPO. Moreover, Liquibuyers never established offices, never acquired any inventory, and never offered any products or services, via an Internet website or otherwise. The Commission further claims that the Defendants misappropriated all of the fees generated in the offering. In its complaint, the Commission alleged that the Defendants violated the following provisions of the federal securities laws: (1) the antifraud provisions, at Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (2) the registration provisions, at Sections 5(a) and 5(c) of the Securities Act. The complaint sought a permanent injunction against the Defendants from future violations of the foregoing provisions of the federal securities laws. The Defendants have agreed to all relief sought by the Commission in its complaint. [SEC v. Steven Goldsborough and William Goldsborough, individually and doing business as The Liquibuyers Group, Case No. 3:01-CV-2134-G, USDC, Northern District of Texas, Dallas Division] (LR-17207) SEC SUES SAN FRANCISCO STOCKBROKER FOR DEFRAUDING CLIENTS OUT OF $6 MILLION The Commission announced today that it has sued San Francisco stockbroker Daniel Patrick O'Connell, 37, for misappropriating $6 million in client funds. The Commission alleges O'Connell fraudulently transferred the money from his clients' accounts into his own trading account in the hopes of generating a quick personal profit, but instead lost nearly all the money in a four-week spree of securities speculation. In a complaint filed in the United States District Court for the Northern District of California, the Commission alleges that O'Connell, working alone in the San Francisco branch of a New York brokerage firm, acted as the broker for a wealthy Silicon Valley family. In March 2001, O'Connell informed his clients that he was using $2 million from their accounts to purchase low-risk bonds on their behalf. Instead, O'Connell transferred the $2 million to an account he had opened in the name of a fictitious company. O'Connell invested the funds in the stock market, hoping to generate a quick personal profit, but lost most of the money. Over the following weeks, O'Connell misappropriated an additional $4 million from his clients' accounts, again losing much of the money in highly speculative trading. By the time O'Connell's theft was detected in mid-April, O'Connell had lost approximately $4.3 million in client funds. O'Connell, without admitting or denying the allegations, has agreed to a settlement permanently barring him from the brokerage industry and enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In a separate matter, the Office of the United States Attorney for the Northern District of California has announced the filing of criminal charges against O'Connell for his misconduct. The Commission has declined to seek disgorgement or civil penalties in its settlement with O'Connell based on an anticipated restitution order in the criminal proceeding and O'Connell's demonstrated inability to pay. [SEC v. Daniel Patrick O'Connell, USDC, NDCA, Civil Action No. C-01-3980] (LR- 17209) RECEIVER APPOINTED IN PRIME BANK CASE The Commission announced that on October 19 the Honorable Judge David F. Hamilton of the United States District Court for the Southern District of Indiana appointed James A. Knauer, a partner at the law firm of Kroger, Gardis & Regas, LLP in Indianapolis, Indiana, as the receiver in the matter of SEC v. James R. Harrold, et al. On September 7, 2001 the Commission filed a complaint alleging that James R. Harrold (Harrold) and the Entity Defendants were violating the registration and antifraud provisions of the federal securities laws by operating a prime-bank scheme. On the same day, Judge Hamilton entered a Temporary Restraining Order freezing three accounts controlled by Harrold. On September 10, 2001, Judge Hamilton entered a Temporary Restraining Order freezing all of Harrold and the Entity Defendants' assets. On September 14, 2001, Harrold and the Entity Defendants consented to the entry of an Order of Permanent Injunction, which continued the asset freeze and permanently enjoined Harrold and the Entity Defendants from further violations of the registration and antifraud provisions of the federal securities laws. Harrold and the Entity Defendants consented to the entry of the Order of Permanent Injunction, without admitting or denying the allegations of the complaint. Under the Court's Receiver Order, Mr. Knauer is empowered to take possession of all of Harrold and the Entity Defendants' assets and to search for any hidden or undisclosed assets. Mr. Knauer is required to file an inventory and appraisal of all property and assets of Harrold and the Entity Defendants within thirty (30) days, or such longer time as the Court may approve, of his appointment. Investors or other interested parties should direct any questions to Mr. Knauer at Kroger, Gardis & Regas, LLP, 111 Monument Circle, Suite 900, Indianapolis, Indiana, 46204-5125, telephone (317) 692-9000, fax (317) 264-6832. The firm's website is: http://www.kgrlaw.com. [SEC v. James R. Harrold, Franklin Management and Consulting, LLC, Accipter, LLC, Franklin Asset Management and Consulting, LLC, Franklin Management and Consulting, Inc., and Concord Development Group, LLC., U.S. District Court for the Southern District of Indiana, Cause No. IP 01-1318-C H/K (S.D. Indiana 2001) (LR-17208) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2001-19) and Amendment No. 1, 2, and 3 were filed by the American Stock Exchange relating to Performance Evaluation and Allocation Procedures. Publication of the proposal is expected in the Federal Register during the week of October 29. (Rel. 34-44972) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Amex-2001-67) by the American Stock Exchange to codify certain audit trail and trade comparison requirements and to make other technical amendments to the Exchange's audit trail rules. (Rel. 34-44974) The Commission approved a proposed rule change (SR-NYSE-2001-17) by the New York Stock Exchange amending the Exchange's allocation policy and procedures. (Rel. 34-44975) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the 6 1/5% Convertible Subordinate Debentures (due May 15, 2011) of National Education Corporation, effective at the opening of business on October 26, 2001. (Rel. 34-44984) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the 8 1/8% Senior Notes (due May 1, 2011) of DONCASTERS plc, effective at the opening of business on October 26, 2001. (Rel. 34-44985) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $0.01 par value, 6% Convertible Subordinated Notes (due 11 /1/2001) and 5.625% Convertible Subordinated Notes (due 5/1/2003) of Assisted Living Concepts, Inc., effective at the opening of business on October 26, 2001. (Rel. 34-44986) 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-9 CANADIAN PACIFIC RAILWAY LTD/CAN, PLACE DU CANADA STE 800, PO BOX 6042 STATION A, MONTREAL QUEBEC CANADA H3C 3E4, A8 (514) 395-5151 - 1,000,000,000 ($1,000,000,000) STRAIGHT BONDS. (FILE 333-14014 - OCT. 17) (BR. 5) S-8 HANSON PLC, 1 GROSVENOR PLACE, LONDON WS1X 7JH ENGL, X0 (071) 245-1245 - 141,535 ($999,944.77) FOREIGN COMMON STOCK. (FILE 333-14022 - OCT. 18) (BR. 6) S-8 HANSON PLC, 1 GROSVENOR PLACE, LONDON WS1X 7JH ENGL, X0 (071) 245-1245 - 141,535 ($999,944.77) FOREIGN COMMON STOCK. (FILE 333-14024 - OCT. 18) (BR. 6) S-3 CREDIT SUISSE FIRST BOSTON USA INC, ELEVEN MADISON AVE, NEW YORK, NY 10010 (212) 892-3000 - 10,500,000,000 ($500,000,000) STRAIGHT BONDS. (FILE 333-71850 - OCT. 19) (BR. 7) S-8 MYERS INDUSTRIES INC, 1293 S MAIN ST, AKRON, OH 44301 (216) 253-5592- 72,600 ($873,015) COMMON STOCK. (FILE 333-71852 - OCT. 19) (BR. 6) S-8 NOVA COMMUNICATIONS LTD, 6033 WEST CENTURY BLVD, SUITE 280, LOS ANGELES, CA 90045 (310) 642-0200 - 125,000 ($11,250) COMMON STOCK. (FILE 333- 71854 - OCT. 19) (BR. 1) S-8 ENGELHARD CORP, 101 WOOD AVENUE, ISELIN, NJ 08830 (908) 205-5000 - 3,000,000 ($75,840,000) COMMON STOCK. (FILE 333-71856 - OCT. 19) (BR. 6) S-8 ENDOCARDIAL SOLUTIONS INC, 1350 ENERGY LANE, STE 110, ST PAUL, MN 55108 (612) 644-7890 - 1,050,000 ($6,630,750) COMMON STOCK. (FILE 333-71858- OCT. 19) (BR. 5) S-8 TOO INC, 3885 MORSE ROAD, COLUMBUS, OH 43219 (614) 479-3810 - 1,400,000 ($34,461,000) COMMON STOCK. (FILE 333-71860 - OCT. 19) (BR. 2) S-8 TOO INC, 3885 MORSE ROAD, COLUMBUS, OH 43219 (614) 479-3810 - 200,000 ($4,923,000) COMMON STOCK. (FILE 333-71862 - OCT. 19) (BR. 2) S-8 CORONADO INDUSTRIES INC, 16929 EAST ENTERPRISE DRIVE, SUITE 202, FOUNTAIN HILLS, AZ 85268 (602) 837-6810 - 800,000 ($320,000) COMMON STOCK. (FILE 333-71864 - OCT. 19) (BR. 1) S-8 TRANSGENOMIC INC, 12325 EMMET ST, OMAHA, NE 68164 (402) 738-5480 - 500,000 ($4,175,000) COMMON STOCK. (FILE 333-71866 - OCT. 19) (BR. 5) S-8 VALCOM INC /CA/, 26030 AVENUE HALL STUDIO 5, VALENCIA, CA 91355 (661) 257-8000 - 600,000 ($600,000) COMMON STOCK. (FILE 333-71868 - OCT. 19) (BR. 7) S-8 EQUINIX INC, 901 MARSHALL ST, REDWOOD CITY, CA 94063 (650) 298-0400- 5,000,000 ($2,450,000) COMMON STOCK. (FILE 333-71870 - OCT. 19) (BR. 7) S-8 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA 02141 (617) 949-1000 - 4,000,000 ($47,280,000) COMMON STOCK. (FILE 333-71872- OCT. 19) (BR. 3) S-8 ASPEN TECHNOLOGY INC /DE/, TEN CANAL PARK, CAMBRIDGE, MA 02141 (617) 949-1000 - 2,000,000 ($23,640,000) COMMON STOCK. (FILE 333-71874- OCT. 19) (BR. 3) S-3 J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY 10017 (212) 270-6000 - 20,000,000,000 STRAIGHT BONDS. (FILE 333-71876 - OCT. 19) (BR. 7) S-8 APPLIED MICRO CIRCUITS CORP, 6290 SEQUENCE DR, SAN DIEGO, CA 92121 (619) 450-9333 - 8,000,000 ($92,960,000) COMMON STOCK. (FILE 333-71878- OCT. 19) (BR. 5) S-1 MMCA AUTO OWNER TRUST 2001-4, PO BOX 6038, CYPRESS, CA 90630 (714) 236-8157 - 1,000,000 ($1,000,000) EQUIPMENT TRUST CERTIFICATES. (FILE 333-71884 - OCT. 19) (NEW ISSUE) S-3 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL 60523 (708) 954-2000 - 110,000 ($2,263,800) COMMON STOCK. (FILE 333-71886 - OCT. 19) (BR. 5) S-8 LIGHTBRIDGE INC, 67 S BEDFORD ST, BURLINGTON, MA 01803 (617) 359-4000 - 200,000 ($1,824,000) COMMON STOCK. (FILE 333-71890 - OCT. 19) (BR. 7) S-8 RADIANT SYSTEMS INC, 3925 BROOKSIDE PARKWAY, STE A, ALPHARETTA, GA 30202 (770) 772-3000 - 4,000,000 ($24,720,000) COMMON STOCK. (FILE 333-71892- OCT. 19) (BR. 3) S-4 SOVEREIGN BANCORP INC, 2000 MARKET ST, PHILADELPHIA, PA 19103 (215) 557-4630 - 15,411,172 ($136,661,148) COMMON STOCK. (FILE 333-71894 - OCT. 19) (BR. 7) S-3 LABORATORY CORP OF AMERICA HOLDINGS, 358 S MAIN ST, BURLINGTON, NC 27215 (336) 229-1127 - 744,000,000 ($544,518,720) STRAIGHT BONDS. (FILE 333-71896 - OCT. 19) (BR. 1) S-8 LSI LOGIC CORP, 1551 MCCARTHY BLVD, MS D 106, MILPITAS, CA 95035 (408) 433-8000 - 316,042 ($4,980,822) COMMON STOCK. (FILE 333-71900 - OCT. 19) (BR. 5) S-8 EMMIS COMMUNICATIONS CORP, ONE EMMIS PLAZA, 40 MONUMENT CIRCLE SUITE 700, INDIANAPOLIS, IN 46204 (317) 266-0100 - 3,000,000 ($43,440,000) COMMON STOCK. (FILE 333-71904 - OCT. 19) (BR. 7) S-3 CONTINENTAL AIRLINES INC /DE/, 1600 SMITH STREET 3303D, DEPT HQSEO, HOUSTON, TX 77002 (713) 324-5000 - 500,000,000 ($500,000,000) STRAIGHT BONDS. (FILE 333-71906 - OCT. 19) (BR. 5) S-8 R TEC TECHNOLOGIES INC, 37 IRONICA ROAD, FLANDERS, NJ 07836 (973) 252-5233 - 470,000 ($369,500) COMMON STOCK. (FILE 333-71908 - OCT. 19) (BR. 6) S-8 SOUTH ALABAMA BANCORPORATION INC, 100 ST JOSEPH ST, P O BOX 3067, MOBILE, AL 36602 (251) 431-7800 - 250,000 ($2,530,000) COMMON STOCK. (FILE 333-71910 - OCT. 19) (BR. 7) S-8 RED HAT INC, 2600 MERIDIAN PARKWAY, DURHAM, NC 27713 (919) 547-0012- 15,000,000 ($59,850,000) COMMON STOCK. (FILE 333-71912 - OCT. 19) (BR. 3) S-3 COPART INC, 5500 E SECOND ST, BENICIA, CA 94510 (707) 748-5000 - 4,600,000 ($143,819,000) COMMON STOCK. (FILE 333-71916 - OCT. 19) (BR. 2) S-8 GLOBAL INDUSTRIAL SERVICES INC, 200-1311 HOWE ST, VANCOUVER BC CANADA, V6Z 2 (509) 891-8373 - 1,108,334 ($166,250.10) COMMON STOCK. (FILE 333-71920 - OCT. 19) (BR. 9) S-1 VANGUARD HEALTH SYSTEMS INC, 20 BURTON HILLS BLVD, 615-665-6000, NASHVILLE, TN 37215 (615) 665-6000 - 300,000,000 ($300,000,000) STRAIGHT BONDS. (FILE 333-71934 - OCT. 19) S-8 INHALE THERAPEUTIC SYSTEMS INC, 150 INDUSTRIAL RD., SAN CARLOS, CA 94070 (650) 631-3100 - 1,900,000 ($40,847,024) COMMON STOCK. (FILE 333-71936- OCT. 19) (BR. 1) S-8 HYBRIDON INC, 345 VASSAR STREET, CAMBRIDGE, MA 02139 (617) 679-5500- 7,000,000 ($6,370,000) COMMON STOCK. (FILE 333-71938 - OCT. 19) (BR. 1) S-3 NOTIFY TECHNOLOGY CORP, 1054 S DE ANZA BLVD., STE 105, SAN JOSE, CA 95129 (408) 777-7920 - 8,132,820 ($3,985,082) COMMON STOCK. (FILE 333-71940 - OCT. 19) (BR. 7) S-4 AMERISOURCEBERGEN CORP, 1800 MORRIS DRIVE, SUITE 100, CHESTERBROOK, PA 19087 (610) 727-7000 - 500,000,000 ($500,000,000) STRAIGHT BONDS. (FILE 333-71942 - OCT. 19) (BR. 1) S-8 VA LINUX SYSTEMS INC, 47071 BAYSIDE PARKWAY, FREMONT, CA 94538 (408) 542-8000 - 3,401,816 ($3,859,106.56) COMMON STOCK. (FILE 333-71944 - OCT. 19) (BR. 3) S-4 SOUTHTRUST CORP, 420 N 20TH ST, BIRMINGHAM, AL 35203 (205) 254-5000- 4,532,646 ($100,843,240.40) COMMON STOCK. (FILE 333-71946 - OCT. 19) (BR. 7) S-8 UNITED TENNESSEE BANKSHARES INC, 344 BROADWAY, NEWPORT, TN 37821 (423) 623-6088 - 27,000 ($234,900) COMMON STOCK. (FILE 333-71948 - OCT. 19) (BR. 7) S-3 FGIC SECURITIES PURCHASE INC, 115 BROADWAY, NEW YORK, NY 10006 (212) 312-3000 - 2,000,000,000 ($500,000) STRAIGHT BONDS. (FILE 333-71950 - OCT. 19) (BR. 7) S-3 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA 23060 (804) 747-0136 - 456,018,605 ($456,018,605) OTHER SECURITIES INCLUDING VOTING TRUST. 235,000 ($47,646,250) COMMON STOCK. (FILE 333-71952 - OCT. 22) (BR. 1) S-3 SAFESCIENCE INC, 31 ST. JAMES AVENUE, 8TH FLOOR, BOSTON, MA 02116 (617) 422-0674 - 723,556 ($745,262.68) COMMON STOCK. (FILE 333-71954 - OCT. 22) (BR. 1) S-3 SUPERCONDUCTOR TECHNOLOGIES INC, 460 WARD DR, STE F, SANTA BARBARA, CA 93111 (805) 683-7646 - 1,986,780 ($7,996,790) COMMON STOCK. (FILE 333-71958 - OCT. 22) (BR. 7) S-8 PEN INTERCONNECT INC, 1601 ALTON PARKWAY, IRVINE, CA 92606 (949) 261-3131 - 9,160,000 ($183,200) COMMON STOCK. (FILE 333-71960 - OCT. 19) (BR. 3) S-3 VNB CAPITAL TRUST I, 1455 VALLEY ROAD, WAYNE, NJ 07470 (973) 305-8800 - 7,000,000 ($175,000,000) PREFERRED STOCK. (FILE 333-71964 - OCT. 22) (NEW ISSUE) 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 ----------------------------------------------------------------------------- ---------------------------------- AAMES FINANCIAL CORP/DE DE X X 08/31/01 AAVID THERMAL TECHNOLOGIES INC DE X 10/23/01 ABN AMRO MORTGAGE CORP DE X 10/01/01 ABN AMRO MORTGAGE CORP SERIES 1998- DE X 10/01/01 2 ABN AMRO MORTGAGE CORP SERIES 1998- DE X 10/01/01 3 ABN AMRO MORTGAGE CORP SERIES 1998- DE X 10/01/01 4 ABN AMRO MORTGAGE CORP SERIES 1998- DE X 10/01/01 5 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 1 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 2 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 3 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 4 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 5 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 6 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 7 ABN AMRO MORTGAGE CORP SERIES 1999- DE X 10/01/01 8 ABN AMRO MORTGAGE CORP SERIES 2000- DE X 10/01/01 1 ABN AMRO MORTGAGE CORP SERIES 2000- DE X 10/01/01 2 ABN AMRO MORTGAGE CORP SERIES 2000- DE X 10/01/01 3 ABN AMRO MORTGAGE CORP SERIES 2000- DE X 10/01/01 4 ABN AMRO MORTGAGE CORP SERIES 2001- DE X X 10/25/01 1A ABN AMRO MORTGAGE CORP SERIES 2001- DE X 10/01/01 2 ABN AMRO MORTGAGE CORP SERIES 2001- DE X 10/01/01 3 ABN AMRO MORTGAGE CORP SERIES 2001- DE X 10/01/01 3 ABN AMRO MORTGAGE CORP SERIES 2001- DE X 10/01/01 5 ACACIA RESEARCH CORP DE X X 10/24/01 ACE LTD D0 X 10/24/01 ACE LTD D0 X 10/25/01 ACE SECURITIES CORP HO EQ LO TR SE DE X 09/25/01 2001-AQ1 AS BA PA TH CE ACE SECURITIES CORP HO EQ LO TR SE DE X 09/25/01 2001-NC1 AS BA PA TH CE ADEN ENTERPRISES INC CA X 10/16/01 ADVANTA CORP DE X X 10/23/01 AK STEEL HOLDING CORP DE X X 10/23/01 ALLIANCE FINANCIAL CORP /NY/ NY X X X 10/19/01 ALLIED RISER COMMUNICATIONS CORP DE X 10/25/01 ALTEON INC /DE DE X 10/23/01 AMB FINANCIAL CORP DE X X 10/24/01 AMERADA HESS CORP DE X 08/14/01 AMEND AMERICAN RETIREMENT VILLAS PROPERTI CA X X 10/05/01 ES III LTD PARTNERSHIP AMERICAN SOUTHWEST FINANCIAL SECURI AZ X 10/01/01 TIES CORP AMERICAN TISSUE INC DE X X 10/24/01 AMEND AMYLIN PHARMACEUTICALS INC DE X X 10/12/01 APCO ARGENTINA INC/NEW X X 10/25/01 APO HEALTH INC /NV/ NV X X 06/13/01 AMEND APPLEBEES INTERNATIONAL INC DE X 10/24/01 APPLERA CORP DE X X 10/24/01 ARV ASSISTED LIVING INC DE X X 10/08/01 ASSET BACKED FUND CORP MORT LN ASSE DE X 09/25/01 T BCKD CERT SER 2001-AQ1 ASSET BACKED FUND CORP MORT LN ASSE DE X 09/25/01 T BCKD CERT SER 2001-AQ1 ASSET BACKED FUND CORP MORT LN ASSE DE X 09/25/01 T BCKD CERT SER 2001-AQ1 ASV INC /MN/ MN X X 10/24/01 AT HOME CORP DE X X 10/18/01 AUTOBYTEL INC DE X X 10/25/01 AVANI INTERNATIONAL GROUP INC // NV X X 09/26/01 AMEND AVAYA INC DE X 10/24/01 AVNET INC NY X X 10/22/01 AVNET INC NY X X 10/25/01 BAIRNCO CORP /DE/ DE X X 10/25/01 BANC ONE HELOC TRUST 1998-1 OH X X 05/21/01 BANC ONE HELOC 1999-1 OH X X 05/21/01 BANC ONE HELOC 1999-1 OH X X 05/21/01 BAY VIEW SECURITIZATION CORP DE X 10/15/01 BE AEROSPACE INC DE X X 10/23/01 BEAR STEARNS COMMERCIAL MORTGAGE SE DE X 10/01/01 CURITIES INC BEAR STEARNS COMMERCIAL MORTGAGE SE DE X X 10/23/01 CURITIES INC BELLSOUTH CORP GA X X 10/22/01 BMC INDUSTRIES INC/MN/ MN X X 10/12/01 BOWATER INC DE X X 04/02/01 AMEND BROWN & BROWN INC FL X 10/23/01 BUCA INC /MN MN X X 10/23/01 CADIZ INC DE X 10/22/01 CALPINE CORP DE X X 09/30/01 CAPITAL ONE FINANCIAL CORP VA X 10/24/01 CAPITAL ONE MASTER TRUST VA X X 10/18/01 CARDIAC SCIENCE INC DE X 09/26/01 AMEND CARNIVAL CORP DE X X 10/25/01 CD WAREHOUSE INC DE X 10/04/01 CDX COM INC CO X 10/09/01 CEDAR INCOME FUND LTD /MD/ MD X X 10/24/01 CENTURYTEL INC LA X 10/22/01 CHASE MANHATTAN AUTO OWNER TRUST 20 DE X X 10/05/01 01 A CHASE MANHATTAN AUTO OWNER TRUST 20 DE X X 10/05/01 01-B CHASE MORTGAGE FINANCE CORP DE X X 10/18/01 CHESAPEAKE ENERGY CORP OK X X 10/23/01 CHESAPEAKE ENERGY CORP OK X 10/25/01 CHICAGO MERCANTILE EXCHANGE INC IL X 10/24/01 CHINA BROADBAND CORP NV X 10/19/01 CHINA FUND INC MD X 09/30/01 CHURCHILL DOWNS INC KY X 09/30/01 CIT EQUIPMENT COLLATERAL 2001-1 X 10/18/01 CLARENT CORP/DE DE X X 10/23/01 CLARITI TELECOMMUNICATIONS INTERNAT DE X 10/24/01 IONAL LTD COBRA ELECTRONICS CORP DE X X 10/24/01 COMMONWEALTH BANCORP INC PA X X 10/24/01 COMMONWEALTH EDISON CO IL X 10/23/01 COMMSCOPE INC DE X X 10/25/01 COMMUNITY BANCORP /VT VT X 10/05/01 COMMUNITY BANK SYSTEM INC DE X 08/31/01 AMEND COMMUNITY HEALTH SYSTEMS INC/ DE X X 10/24/01 COMPAQ COMPUTER CORP DE X X 10/23/01 CONCURRENT COMPUTER CORP/DE DE X 10/25/01 CONSOLIDATED FREIGHTWAYS CORP DE X 10/24/01 CONSOLIDATED GRAPHICS INC /TX/ TX X X 10/24/01 CONSTELLATION 3D INC FL X X 10/24/01 CORILLIAN CORP OR X X 10/24/01 CORONADO EXPLORATIONS LTD DE X X X 10/18/01 CORPORATE OFFICE PROPERTIES TRUST MD X X 10/24/01 COX COMMUNICATIONS INC /DE/ DE X X 10/22/01 CREDIT SUISSE FIRST BOSTON MORTGAGE DE X X 10/23/01 SECURITIES CORP CSFB ABS TRUST SERIES 2001-S13 DE X X 10/25/01 CSFB MORTGAGE PASS THROUGH CERTIFIC DE X X 10/25/01 ATES SERIES 2001 HE20 CWMBS INC DE X X 10/25/01 CYTOCLONAL PHARMACEUTICS INC /DE DE X X 10/24/01 DALEEN TECHNOLOGIES INC DE X 10/24/01 DIAMONDCLUSTER INTERNATIONAL INC DE X X 10/24/01 DIGEX INC/DE DE X X 10/24/01 DISTINCTIVE DEVICES INC NY X X 10/23/01 DOLLAR TREE STORES INC VA X X 09/30/01 DOW CHEMICAL CO /DE/ DE X X 10/25/01 DRUGMAX COM INC NV X X 10/24/01 DSI TOYS INC TX X 10/12/01 DST SYSTEMS INC DE X 10/25/01 DUPONT E I DE NEMOURS & CO DE X 09/30/01 EDUCATION LOANS INC /DE DE X X 10/23/01 EFUNDS CORP DE X X 10/10/01 EL PASO ENERGY PARTNERS LP DE X X X 10/25/01 ELECTRO SENSORS INC MN X X 03/26/01 ELINE ENTERTAINMENT GROUP INC NV X 10/22/01 AMEND EMCEE BROADCAST PRODUCTS INC DE X 10/24/01 ENERGY EAST CORP NY X 10/25/01 ENHERENT CORP DE X 10/23/01 ENTERPRISES SOLUTIONS INC NV X 10/21/01 EQUALNET COMMUNICATIONS CORP TX X X 10/10/01 ESTEE LAUDER COMPANIES INC DE X 10/25/01 ETOYS INC DE X X 10/19/01 EVOLVE SOFTWARE INC DE X X X 10/09/01 EXELON CORP PA X 10/23/01 FAIRCHILD SEMICONDUCTOR INTERNATION DE X X 10/23/01 AL INC FAIRWOOD CORP DE X X 10/09/01 FARADAY FINANCIAL INC DE X 08/08/01 AMEND FARMSTEAD TELEPHONE GROUP INC DE X X 10/17/01 FBR ASSET INVESTMENT CORP/VA VA X 09/30/01 FGIC SECURITIES PURCHASE INC DE X X 10/24/01 FIRST AMERICAN FINANCIAL CORP CA X X 10/25/01 FIRST COMMUNITY BANCORP /CA/ CA X 10/08/01 AMEND FIRST FINANCIAL HOLDINGS INC /DE/ DE X X 10/23/01 FIRST SECURITY BANCORP INC /KY/ KY X 09/30/01 FIRST UNION COMMERCIAL MORTGAGE PAS NC X 10/01/01 S THR CER SER 2001-C3 FIRST UNION COMMERCIAL MORTGAGE SEC NC X 10/01/01 URITIES INC FORD MOTOR CO DE X X 10/24/01 FORD MOTOR CREDIT CO DE X X 10/24/01 FRANKLIN RESOURCES INC DE X X 10/25/01 FREESTAR TECHNOLOGIES NV X 10/18/01 FRESH AMERICA CORP TX X X 10/15/01 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X 09/30/01 FRONTIER FINANCIAL CORP /WA/ WA X X 10/18/01 G&L REALTY CORP MD X X 10/22/01 GENERAL MAGIC INC DE X X 10/24/01 GENERAL MOTORS ACCEPTANCE CORP DE X X 10/23/01 GENERAL MOTORS ACCEPTANCE CORP DE X 10/23/01 GENERAL MOTORS ACCEPTANCE CORP DE X 10/23/01 GENERAL MOTORS CORP DE X 10/23/01 GENERAL MOTORS CORP DE X 10/23/01 GENESEE CORP NY X X X 10/10/01 GENESIS REALTY GROUP INC X 10/05/01 GIANT GROUP LTD DE X X 10/18/01 GL ENERGY & EXPLORATION INC X X 10/01/01 GLOBAL ENERGY GROUP INC DE X X 10/22/01 GLOBAL TELESYSTEMS EUROPE B V P7 X X 10/18/01 AMEND GLOBAL TELESYSTEMS INC DE X X 10/18/01 AMEND GO RACHELS COM CORP MN X 10/24/01 GOODRICH CORP NY X X 10/25/01 GRAHAM CORP DE X 10/24/01 GRANITE BROADCASTING CORP DE X X 10/23/01 GREATER BAY BANCORP CA X X 10/23/01 GREENWICH CAPITAL ACC INC HARBORVW DE X 09/19/01 MOR LN TR 2000-2 GREENWICH CAPITAL ACC INC HARBORVW DE X 10/19/01 MOR LN TR 2000-2 GSE SYSTEMS INC DE X 10/24/01 H-ENTERTAINMENT INC NV X 10/04/01 HALLIBURTON CO DE X X 10/23/01 HCA INC/TN DE X X 10/24/01 HEALTHCARE REALTY TRUST INC MD X X 10/25/01 HEALTHY PLANET PRODUCTS INC DE X 10/22/01 HERSHEY FOODS CORP DE X 10/24/01 HEXCEL CORP /DE/ DE X X 10/25/01 HONDA AUTO LEASE TRUST 1999A DE X X 09/30/01 HONDA AUTO RECEIVABLES 1999-1 OWNER DE X X 09/30/01 TRUST HONDA AUTO RECEIVABLES 2000-1 OWNER DE X X 09/30/01 TRUST HONDA AUTO RECEIVABLES 2001-1 OWNER DE X X 09/30/01 TRUST HONDA AUTO RECEIVABLES 2001-2 OWNER DE X X 09/30/01 TRUST HONEYWELL INTERNATIONAL INC DE X 10/24/01 HORTON D R INC /DE/ DE X X 10/22/01 HOUSEHOLD AUTOMOBILE REVOLVING TRUS NV X 10/17/01 T I HOUSEHOLD AUTOMOTIVE TRUST III SERI NV X 10/17/01 ES 1999-1 HOUSEHOLD AUTOMOTIVE TRUST IV SERIE DE X 10/17/01 S 2000-1 HOUSEHOLD AUTOMOTIVE TRUST SERIES 2 DE X 10/17/01 001-2 HOUSEHOLD AUTOMOTIVE TRUST V SERIES DE X 10/17/01 2000 2 HOUSEHOLD AUTOMOTIVE TRUST VI SERIE NV X 10/17/01 S 2000 3 HOUSEHOLD AUTOMOTIVE TRUST 2001-1 DE X 10/17/01 HOUSEHOLD CREDIT CARD MASTER NOTE T DE X 10/15/01 RUST I HOUSEHOLD FINANCE CORP HOUSEHOLD AF DE X 10/15/01 F CRE CAR MAS TR I HOUSEHOLD FINANCE CORP HOUSEHOLD AF DE X 10/15/01 F CRE CAR MAS TR I HRSI FUNDING INC II DE X 10/15/01 HUNT CORP PA X X 10/09/01 IBIS TECHNOLOGY CORP MA X X 10/24/01 IGOHEALTHY COM INC CO X X X 10/17/01 II-VI INC PA X X 06/30/02 IMH ASSETS CORP DE X X 10/25/01 IMH ASSETS CORP IMPAC CMB TRUST SER CA X 10/01/01 IES 1999-1 IMPAC SECURED ASSETS CORP CA X 10/24/01 IMS HEALTH INC DE X X 10/23/01 INHALE THERAPEUTIC SYSTEMS INC DE X X 10/24/01 INTERLIANT INC DE X X 10/19/01 INTERNETSTUDIOS COM INC NV X X 10/09/01 AMEND INVESTMENT PROPERTIES ASSOCIATES NY X X 10/24/01 ION NETWORKS INC DE X X 10/24/01 ISEMPLOYMENT COM INC X X 10/25/01 AMEND IVILLAGE INC DE X X 10/25/01 IXYS CORP /DE/ DE X 10/18/01 JAMESON INNS INC GA X X 10/25/01 JDS UNIPHASE CORP /CA/ DE X X 10/25/01 JOHNSON CONTROLS INC WI X X 10/23/01 J2 GLOBAL COMMUNICATIONS INC DE X X 10/22/01 KEANE INC MA X X 10/24/01 KEYSPAN CORP NY X X X 10/24/01 KIEWIT MATERIALS CO DE X X 10/24/01 KING POWER INTERNATIONAL GROUP CO L NV X 10/15/01 TD LA-Z-BOY INC MI X 10/25/01 LABRANCHE & CO INC DE X X 10/22/01 LACLEDE GROUP INC MO X X 10/25/01 LANDEC CORP \CA\ CA X X 10/25/01 LANTRONIX INC DE X X 10/18/01 LEAP WIRELESS INTERNATIONAL INC DE X 10/24/01 LEAP WIRELESS INTERNATIONAL INC DE X 10/24/01 AMEND LEHMAN ABS CORP DE X X 10/19/01 LEHMAN ABS CORP DE X X 10/22/01 LEVEL 3 COMMUNICATIONS INC DE X 10/25/01 LIGHTPATH TECHNOLOGIES INC DE X X 10/25/01 LINCOLN NATIONAL CORP IN X 10/23/01 LIQUID AUDIO INC DE X X 10/25/01 LOWES COMPANIES INC NC X 10/16/01 LSI LOGIC CORP DE X 10/23/01 MACC PRIVATE EQUITIES INC DE X 10/24/01 MAJOR AUTOMOTIVE COMPANIES INC NV X X 10/19/01 MALACOLOGY INC NV X X 10/23/01 MARKWEST HYDROCARBON INC DE X 08/10/01 AMEND MATLACK SYSTEMS INC DE X X 10/24/01 MAXCOR FINANCIAL GROUP INC DE X X 09/18/01 MEDIX RESOURCES INC CO X 10/22/01 MEDQUIST INC NJ X 10/24/01 MERCK & CO INC NJ X X 10/24/01 METASOLV INC DE X X 10/24/01 MFB CORP IN X 09/30/01 MID STATE RACEWAY INC NY X X 10/19/01 MIDWAY GAMES INC DE X X 10/24/01 MMCA AUTO OWNER TRUST 1999-2 DE X X 10/15/01 MMCA AUTO OWNER TRUST 2000-1 DE X X 10/15/01 MMCA AUTO OWNER TRUST 2000-2 DE X X 10/15/01 MMCA AUTO OWNER TRUST 2001 2 DE X X 10/15/01 MMCA AUTO OWNER TRUST 2001-1 DE X X 10/15/01 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 10/15/01 MONEY STORE INVESTMENT CORP NJ X X 10/15/01 MONEY STORE SBA ADJUSTABLE RATE CER NJ X X 10/15/01 TIFICATES 1998-1 MOORE CORPORATION LTD X 10/24/01 MORGAN STANLEY DEAN WITTER CAPITAL DE X X 10/25/01 I INC MOTHERS WORK INC DE X X 10/24/01 NATIONAL CITY CREDIT CARD MASTER TR X 10/15/01 UST NATIONSLINK FUNDING CORP 1999-LTL-1 DE X 10/01/01 COMMER LOAN PAS THR CER NATIONWIDE FINANCIAL SERVICES INC/ DE X X 10/24/01 NB&T FINANCIAL GROUP INC OH X 10/24/01 NEOSE TECHNOLOGIES INC DE X 10/24/01 NEOTHERAPEUTICS INC DE X X 10/19/01 NETDIGEST COM INC DE X X X 09/25/01 NEUBERGER BERMAN INC DE X X X 10/22/01 NEXTEL COMMUNICATIONS INC DE X X 10/24/01 NEXTEL INTERNATIONAL INC DE X X 10/24/01 NOBLE DRILLING CORP DE X X 10/25/01 NORTH BAY BANCORP/CA CA X X 10/25/01 NORTHEAST INDIANA BANCORP INC DE X X 09/30/01 NORTHEAST UTILITIES SYSTEM MA X 10/23/01 OAKWOOD MORTGAGE INVESTORS INC OMI NV X X 10/15/01 TRUST 2000-D OAKWOOD MORTGAGE INVESTORS INC OMI NC X X 10/15/01 TRUST 2001 D OAKWOOD MORTGAGE INVESTORS INC OMI NV X X 10/15/01 TRUST 2001-C OBIE MEDIA CORP OR X 08/27/01 AMEND OMI TRUST 2000-C NC X X 10/15/01 ONYX SOFTWARE CORP/WA WA X X 10/01/01 OUTSOURCE INTERNATIONAL INC FL X X 10/18/01 PACIFIC GAS & ELECTRIC CO CA X 10/25/01 PC MALL INC DE X X 10/25/01 PECO ENERGY CO PA X 10/23/01 PENNFED FINANCIAL SERVICES INC DE X X X 10/24/01 PEPPERMILL CAPITAL CORP NV X 08/22/01 AMEND PFIZER INC DE X X 10/24/01 PG&E CORP CA X 10/25/01 PHILIPS INTERNATIONAL REALTY CORP MD X 06/30/01 PLAINS ALL AMERICAN PIPELINE LP DE X X 06/22/01 AMEND POGO PRODUCING CO DE X X 10/24/01 PORTLAND BREWING CO /OR/ OR X X 10/12/01 PORTLAND GENERAL ELECTRIC CO /OR/ OR X 10/25/01 POTOMAC ELECTRIC POWER CO VA X X 10/25/01 PPL CORP PA X X 10/24/01 PREMIERWEST BANCORP OR X 10/24/01 PROGRESS ENERGY INC NC X 10/24/01 PROGRESS FINANCIAL CORP DE X 10/24/01 PROSOFTTRAINING COM NV X X 10/16/01 PROXYMED INC /FT LAUDERDALE/ FL X X 10/12/01 PUBLIC SERVICE CO OF NEW MEXICO NM X X 10/25/01 PUBLIC SERVICE ENTERPRISE GROUP INC NJ X X 10/23/01 QUADRACOMM INC CO X X 08/21/01 REGENCY AFFILIATES INC DE X 10/15/01 REGIONS FINANCIAL CORP DE X 10/18/01 RESTORATION HARDWARE INC CA X X 10/10/01 RETRACTABLE TECHNOLOGIES INC TX X 10/23/01 RFS HOTEL INVESTORS INC TN X X 10/23/01 RSA SECURITY INC/DE/ DE X X 10/23/01 SALIX PHARMACEUTICALS LTD X 10/25/01 SALOMON BROTHERS COMMERCIAL MORT TR DE X 10/01/01 2000-C3 SCHULER HOMES INC DE X X 10/22/01 SEARS ROEBUCK & CO NY X X 10/24/01 SEMPRA ENERGY CA X X 10/25/01 SEPARATE ACCOUNT NY-B OF FIRST GOLD X 10/23/01 EN AMER LIFE INS CO OF NY SIERRA HEALTH SERVICES INC NV X 10/26/01 SILGAN HOLDINGS INC DE X 10/24/01 SIMON PROPERTY GROUP L P /DE/ DE X X 10/23/01 SL GREEN REALTY CORP MD X X 10/24/01 SL GREEN REALTY CORP MD X X 10/25/01 SOUTHWESTERN PUBLIC SERVICE CO NM X X 10/23/01 STERLING FINANCIAL CORP /PA/ PA X X 10/23/01 STRATEGIC DIAGNOSTICS INC/DE/ DE X X 10/24/01 STRUCTURED ASS MO INV INC WSH MUT M DE X 09/25/01 O L T MO P TH CE SE 01-1 STRUCTURED ASSET SEC CORP COMM MORT DE X 10/01/01 PAS THR CERT SER 2000 C5 STRUCTURED ASSET SEC CORP MORT PASS DE X X 10/25/01 THR CERT SER 2001-SB1 STYLECLICK INC DE X X 10/24/01 SUNDEW INTERNATIONAL INC DE X 10/24/01 SUSSEX BANCORP NJ X X 10/18/01 TELEX COMMUNICATIONS INC DE X X 10/19/01 TELLIUM INC DE X 10/24/01 TENDER LOVING CARE HEALTH CARE SERV DE X X 10/18/01 ICES INC/ NY TERADYNE INC MA X X 10/24/01 TESORO PETROLEUM CORP /NEW/ DE X X 08/27/01 AMEND TESORO PETROLEUM CORP /NEW/ DE X X 10/24/01 THORATEC CORP CA X X 10/24/01 TITAN CORP DE X 10/24/01 TRANSPRO INC DE X X 10/24/01 TREMONT CORPORATION DE X 10/23/01 TREMONT CORPORATION DE X X 10/24/01 TXU CORP /TX/ TX X 10/25/01 TXU ELECTRIC CO TX X 10/25/01 UGLY DUCKLING CORP DE X 10/25/01 UNITED AUTO GROUP INC DE X X 10/24/01 UNITED DOMINION REALTY TRUST INC VA X 10/22/01 UNIVERSAL COMPRESSION HOLDINGS INC DE X X 10/21/01 UNIVERSAL COMPRESSION INC TX X X 10/21/01 UNIVERSAL CORP /VA/ VA X X 10/23/01 URECOATS INDUSTRIES INC DE X X 09/30/01 US DATA AUTHORITY INC FL X 10/23/01 USA NETWORKS INC DE X X 10/24/01 USX CORP DE X X 10/25/01 V TWIN HOLDINGS INC DC X X 11/27/00 AMEND VALLEY COMMUNITY BANCSHARES INC X X 10/17/01 VALUE CITY DEPARTMENT STORES INC /O OH X X 08/23/01 AMEND H VANDERBILT MOR & FI INC HO CO SE TN X X 10/08/01 SU PS THR CER SER 2001-B VANDERBILT MORTGAGE & FI IN MA HO C TN X X 10/08/01 O SR SU PA TH C SE 2001A VIDEO NETWORK COMMUNICATIONS INC DE X 10/24/01 VINA TECHNOLOGIES INC DE X X 10/17/01 VSOURCE INC DE X X 10/19/01 WALT DISNEY CO/ DE X X 10/24/01 WASHINGTON MUTUAL INC WA X X 10/17/01 WASHINGTON MUTUAL MORTGAGE SECURITI DE X X 10/23/01 ES CORP WASHINGTON MUTUAL MORTGAGE SECURITI DE X X 10/25/01 ES CORP WEBMETHODS INC DE X X 10/18/01 WELLS FARGO ASSET SECURITIES CORP DE X X 10/24/01 WELLS FARGO ASSET SECURITIES CORP DE X X 10/24/01 WESCO INTERNATIONAL INC DE X X 10/24/01 WESTERN DIGITAL CORP DE X X 10/25/01 WESTMORELAND COAL CO DE X X 10/24/01 WESTPORT RESOURCES CORP /NV/ NV X X 10/25/01 WEYERHAEUSER CO WA X 09/30/01 WOLFPACK CORP DE X X 10/15/01 AMEND XEROX CREDIT CORP DE X X 10/25/01