SEC NEWS DIGEST Issue 2002-222 November 18, 2002 ENFORCEMENT PROCEEDINGS COURT IMPOSES OFFICER AND DIRECTOR BAR AND PERMANENT INJUNCTION AGAINST FORMER OFFICER On Nov. 12, Judge Sidney A. Fitzwater, U.S. District Judge for the Northern District of Texas (Dallas Division), permanently enjoined Larry T. Ohms, the former treasurer of Dallas-based United States Lime & Minerals, Inc. (Nasdaq: USLM) ("U.S. Lime" or "the company"), from future violations of the federal securities laws and from serving as an officer or director of a public reporting company. Ohms consented to the order. The SEC charged Ohms with financial fraud and other securities law violations related to his embezzlement of nearly $2.2 million from the company during a four-year period. Ohms, age 40, resides in Carrollton, Texas. According to the Commission's complaint, Ohms held a number of positions at U.S. Lime between January 1998 and December 2001, including corporate controller, secretary, treasurer, and vice president of finance. The Commission's complaint further alleged that Ohms forged the signatures of other company officers on dozens of checks, and falsified the company's check register to create the appearance that the amounts that he personally received or gave to his creditors went to vendors for U.S. Lime's legitimate business expenses. Additionally, the complaint alleged that while Ohms initially embezzled relatively small amounts, his thefts escalated to the point that they were too large to conceal, at which point he abruptly resigned. Without admitting or denying the allegations of the Commission's complaint, Ohms consented to an order permanently enjoining him from further violating, or aiding and abetting violations of, Sections 10(b), 13(a)(2), 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1 and 13b2-2 thereunder. In addition, Ohms consented to an order permanently enjoining him from serving as an officer or director of a public reporting company. Ohms, on Oct. 21, 2002, entered into a plea agreement admitting to one count of wire fraud and one count of making a false statement to a government agency in connection with the scheme alleged in the Commission's complaint. He is expected to enter a formal plea of guilty in late November 2002 and upon sentencing, the Court will likely order him to pay $2.2 million in restitution. [SEC v. Larry T. Ohms, USDC ND/TX, Dallas Division, Civ. 3:02-CV-2361-D] (LR-17843; AAE Rel. 1666) COMMISSION HALTS FRAUDULENT TELEMARKETING SCHEME BY RECIDIVIST On Nov. 14, the U.S. District Court in Riverside, California granted the Securities and Exchange Commission's application for a temporary restraining order regarding a telemarketing scheme run by a repeat securities law violator, Joseph Sanfellipo, 53, of Laguna Beach, California. The Commission's complaint alleges that Sanfellipo seeks to raise $9 million through the sale of stock in an auto repair company he controls, known as California Autocare Corporation of Carlsbad, California. The defendants have raised at least $500,000 in a two-month period. The complaint alleges that Sanfellipo falsely told investors over the phone, on the company website and in the company prospectus that (1) California Autocare Corporation and another Sanfellipo- controlled auto repair company, Autocare Americorp, had significant business relationships with Shell Oil Company, NAPA Auto Parts, Monroe, and Interstate Batteries, when in fact they did not; (2) there were 20 Autocare retail locations throughout California, when in fact there were actually only 5; and (3) the companies were negotiating sponsorship deals with Starbucks and Krispy Kreme Doughnuts, when in fact they were not. In addition to Sanfellipo and his companies, the other defendants are: James E. Gasper, 64, of Solana Beach, California; Kimball R. Vance, Jr., 49, of La Quinta, California; and Elihu M. Sigal, 55, of Palm Desert, California. The Commission's complaint alleges that Gasper, Vance and Sigal sold California Autocare and Autocare Americorp stock through telemarketing at a sales office in Palm Desert, California. The court granted the Commission's application for a temporary restraining order; appointed a receiver over the companies; and froze the assets of, prohibited the destruction of documents by, and ordered accountings from the defendants. The temporary restraining order bars California Autocare Corporation, Autocare Americorp and Sanfellipo from committing securities fraud in violation of Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) and Rule 10b-5 thereunder of the Securities Exchange Act of 1934 (Exchange Act). The Court's order also temporarily restrains California Autocare Corporation, Autocare Americorp, Sanfellipo, Gasper, Vance and Sigal from violating the securities registration provisions of Sections 5(a) and 5(c) of the Securities Act. The Court's order also temporarily restrains Gasper, Vance and Sigal from committing violations of the broker-dealer registration provisions of Section 15(a) of the Exchange Act. A hearing on whether a preliminary injunction should be issued against the defendants is scheduled for November 25, 2002. In April 1998, Sanfellipo was ordered by the Commission to cease and desist from future securities fraud violations. In that matter, the Commission found that the company Sanfellipo controlled, a publicly traded parcel packaging and shipping corporation, fraudulently overstated its assets, revenue, and income in 1990 and 1991. In addition to the interim relief granted on Nov. 14, 2002, the Commission seeks a final judgment against all the defendants enjoining them from future violations of the securities and broker-dealer registration provisions, as well as the antifraud provisions, ordering the defendants to disgorge all ill-gotten gains, and assessing civil penalties against them. [SEC v. California Autocare Corporation, Autocare Americorp, Joseph Sanfellipo, James E. Gasper, Kimball R. Vance, Jr., and Elihu M. Sigal, Case No. ED-CV-02-1229 VAP, SGLx, C.D. Cal.] (LR-17844) INVESTMENT COMPANY ACT RELEASES THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL. An order has been issued pursuant to Section 26(c) of the Investment Company Act to The Equitable Life Assurance Society of the United States, The American Franklin Life Insurance Company, Integrity Life Insurance Company and certain of their separate accounts approving the substitution of shares of the EQ/Alliance International Portfolio for shares of the EQ/Alliance Global Portfolio. An order also has been issued pursuant to Section 17(b) of the Act to permit certain in-kind transactions in connection with the substitution. (Rel. IC-25803 - Nov. 14) HOLDING COMPANY ACT RELEASES MISSISSIPPI POWER COMPANY Mississippi Power Company, an electric utility wholly owned subsidiary of The Southern Company, a registered holding company under the Act, proposes to issue and sell from time-to-time, prior to March 31, 2006, short-term and/or term-loan notes to lenders, commercial paper to or through dealers and/or issue non-negotiable promissory notes to public entities for their revenue anticipation notes in an aggregate principal amount at any one time outstanding of up to $500 million. (Rel. 35- 27602) SAVANNAH ELECTRIC POWER COMPANY Savannah Electric Power Company, a wholly-owned subsidiary of The Southern Company, a registered holding company, proposes to issue and sell from time-to-time, prior to March 31, 2006, short-term and/or term- loan notes to lenders, commercial paper to or through dealers and/or issue non-negotiable promissory notes to public entities for their revenue anticipation notes in an aggregate principal amount at any onetime outstanding of up to $120 million. (Rel. 35-27602) ENTERGY, ET AL. A notice has been issued giving interested persons until Dec. 10, 2002 to request a hearing on a proposal by Entergy Corporation (Entergy), a registered holding company, and Entergy's wholly owned subsidiaries Entergy Power, Inc., Entergy Enterprises, Inc., Entergy Global Power Operations Corporation, Entergy Nuclear, Inc., Entergy Operations Services, Inc. and Entergy Power Operations U.S., Inc. (together, Applicants). Applicants request authority to acquire equity interests in nonutility subsidiary companies, issue securities, provide services at other than cost, reorganize and pay dividends out of capital surplus. (Rel. 35-27602) GEORGIA POWER COMPANY A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal filed by Georgia Power Company, a wholly-owned subsidiary of The Southern Company, a registered holding company, to issue and sell from time-to-time, prior to March 31, 2006, short-term and/or long-term notes to lenders, commercial paper to or through dealers and/or issue non-negotiable promissory notes to public entities for their revenue anticipation notes in an aggregate principal amount at any one time outstanding of up to $3.2 billion. (Rel. 35- 27602) ENTERGY LOUISIANA, INC. A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal by Entergy Louisiana, Inc. (ELI), an electric public utility subsidiary of Entergy Corporation, a registered holding company, for authorization to use capital surplus to pay dividends and repurchase of common stock up to an aggregate amount of $350 million. (Rel. 35-27602) AMERICAN ELECTRIC POWER SERVICE CORPORATION A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal by American Electric Power Service Corporation (American Service), a wholly owned subsidiary of American Electric Power Company Inc., a registered holding company under the Act. American Service requests an extension of the authority granted under previous Commission orders to license and sell to nonassociate entities specialized computer programs and to provide support services to licensees and entities that have purchased the software. The applicant requests that this authority extend through Dec. 21, 2008. (Rel. 35- 27602) ENTERGY LOUISIANA, INC. A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal by Entergy Louisiana, Inc. (Entergy Louisiana), a public-utility company subsidiary of Entergy Corporation, a registered holding company. Entergy Louisiana requests authority to: (1) issue and sell up to an aggregate amount of $750 million (Aggregate Limit) of first mortgage bonds, preferred stock, unsecured long-term indebtedness, and other forms of preferred or equity-linked securities; (2) acquire special purpose subsidiaries, which would facilitate the issuance of certain of those securities; (3) engage in various transactions that allow those special purpose subsidiaries to facilitate the issuance and sale of certain types of securities; (4) enter into arrangements with one or more government authorities to issue and sell on behalf of the company up to an aggregate amount of $420 million of tax exempt bonds (Tax-Exempt Bonds); (5) issue and pledge to an aggregate amount of $470 million of first mortgage bonds, which would serve as collateral for the Tax Exempt Bonds; and (6) certain related transactions. (Rel. 35-27602) FIRSTENERGY CORP., ET AL. A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal by FirstEnergy Corp. (FirstEnergy), a registered holding company, Ohio Edison Company, a public-utility company subsidiary of First Energy and exempt holding company under Section 3(a)(2) of the Act, The Cleveland Electric Illuminating Company, a public-utility company subsidiary of First Energy, The Toledo Edison Company, a public-utility company subsidiary of First Energy, American Transmission Systems, Incorporated, a public-utility company subsidiary of First Energy, Pennsylvania Power Company, a public-utility company subsidiary of Ohio Edison, Metropolitan Edison Company, a public-utility company subsidiary of First Energy, Pennsylvania Electric Company, a public-utility company subsidiary of First Energy, and Jersey Central Power & Light Company, a public-utility company subsidiary of First Energy, to invest, through Dec. 31, 2005, up to $100 million in Low Income Housing Tax Credits projects located anywhere in the United States and historic building or other qualified rehabilitated building projects located within their service territories. (Rel. 35-27602) AMERICAN ELECTRIC POWER SERVICE CORP. A notice has been issued giving interested persons until Dec. 10, 2002, to request a hearing on a proposal by American Electric Power Service Corporation (AEPSC). AEPSC proposes to extend through June 30, 2005, the authority previously granted it to use excess resources to provide services to nonaffiliated utilities. (Rel. 35-27602) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2002-152) and Amendment Nos. 1 and 2 thereto filed by the National Association of Securities Dealers regarding trade throughs and locked markets in the Nasdaq InterMarket has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of Nov. 18. (Rel. 34-46822) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-CBOE-2002-39), as amended by Amendment Nos. 1 and 2 thereto submitted by the Chicago Board Options Exchange making certain changes pertaining to the enforcement of trading conduct and decorum policies. (Rel. 34-46823) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change and Amendment No. 1 thereto submitted by the Chicago Stock Exchange (SR- CHX-2002-27) relating to fixed income ETFs. Publication of the proposal and order granting accelerated approval is expected in the Federal Register during the week of Nov. 18. (Rel. 34-46834) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2002-70) and Amendment No. 1 thereto submitted by the American Stock Exchange relating to trust certificates linked to a basket of investment grade corporate debt. Publication of the proposal is expected in the Federal Register during the week of Nov. 18. (Rel. 34- 46835) PROPOSED AMENDMENT TO THE PLAN FOR REPORTING OF CONSOLIDATED OPTIONS LAST SALE REPORTS AND QUOTATION INFORMATION The Options Price Reporting Authority filed a proposed Plan amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 11Aa3-2 thereunder (SR-OPRA-2002-03) to revise the form of Vendor Agreement entered into between OPRA and vendors of options information. Publication of the proposal is expected in the Federal Register during the week of Nov. 18. (Rel. 34-26839) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 EARTH SCIENCES INC, 8100 SOUTHPARK WAY, B-2, LITTLETON, CO, 80120, 303-734-1727 - 232,095 ($58,023.75) Equity, (File 333-101217 - Nov. 15) (BR. 04) S-3 BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101, 3367332000 - 11,304,157 ($10,000.00) Equity, (File 333-101218 - Nov. 15) (BR. 07) S-8 HOLLIS EDEN PHARMACEUTICALS INC /DE/, 4435 EASTGATE MALL, SUITE 400, SAN DIEGO, CA, 92121, 858-587-9333 - 500,000 ($1,860,000.00) Equity, (File 333-101219 - Nov. 15) (BR. 01) S-8 CHYRON CORP, 5 HUB DR, MELVILLE, NY, 11747, 5168452000 - 2,500,000 ($700,000.00) Equity, (File 333-101220 - Nov. 15) (BR. 36) S-3 HOLLIS EDEN PHARMACEUTICALS INC /DE/, 4435 EASTGATE MALL, SUITE 400, SAN DIEGO, CA, 92121, 858-587-9333 - 50,000 ($186,000.00) Equity, (File 333-101221 - Nov. 15) (BR. 01) S-8 PEDIATRIX MEDICAL GROUP INC, 1301 CONCORD TERRACE, SUNRISE, FL, 33323, 9543840175 - 250,000 ($9,155,000.00) Equity, (File 333-101222 - Nov. 15) (BR. 01) S-8 CORE SOLUTIONS INC, 10922 COPPOLA STREET, NONE, LAS VEGAS, NV, 89141, 702-6161986 - 250,000,000 ($35,000,000.00) Equity, (File 333-101223 - Nov. 15) (BR. 02) S-8 BACKWEB TECHNOLOGIES LTD, 2077 GATEWAY PL, SUITE 500, SAN JOSE, CA, 95110, 4089331763 - 2,750,662 ($710,657.00) Equity, (File 333-101224 - Nov. 15) (BR. 03) S-8 PEDIATRIX MEDICAL GROUP INC, 1301 CONCORD TERRACE, SUNRISE, FL, 33323, 9543840175 - 0 ($9,155,000.00) Equity, (File 333-101225 - Nov. 15) (BR. 01) S-1 MANTECH INTERNATIONAL CORP, 12015 LEE JACKSON MEMORIAL HIGHWAY, FAIRFAX, VA, 22033-3300, 703-218-6000 - 0 ($159,201,975.00) Equity, (File 333-101226 - Nov. 15) (BR. 01) S-3 CONSOLIDATED EDISON CO OF NEW YORK INC, 4 IRVING PL, NEW YORK, NY, 10003, 2124604600 - 0 ($950,000,000.00) Non-Convertible Debt, (File 333-101227 - Nov. 15) (BR. 02) S-3 DELTAGEN INC, 740 BAY ROAD, REDWOOD CITY, CA, 94063-2469, 6505695100 - 0 ($1,493,888.22) Equity, (File 333-101228 - Nov. 15) (BR. 01) S-8 SHERWIN WILLIAMS CO, 101 PROSPECT AVE NW, CLEVELAND, OH, 44115, 2165662200 - 9,195,735 ($257,388,622.65) Equity, (File 333-101229 - Nov. 15) (BR. 02) S-8 IPVOICE COMMUNICATIONS INC, 5050 N 19TH AVE, SUITE 416/417, PHOENIX, AZ, 85015, 3037381266 - 300,000 ($27,000.00) Equity, (File 333-101230 - Nov. 15) (BR. 37) S-3 EPIQ SYSTEMS INC, 501 KANSAS AVENUE, KANSAS CITY, KS, 66105-1309, 9136219500 - 0 ($33,000,000.00) Equity, (File 333-101232 - Nov. 15) (BR. 03) S-8 EPIQ SYSTEMS INC, 501 KANSAS AVENUE, KANSAS CITY, KS, 66105-1309, 9136219500 - 0 ($19,800,000.00) Equity, (File 333-101233 - Nov. 15) (BR. 03) S-4 PLAINS ALL AMERICAN PIPELINE LP, 333 CLAY STREET, SUITE 1600, HOUSTON, TX, 77002, 7136544100 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-101234 - Nov. 15) (BR. 04) S-8 UNIVERSAL COMMUNICATION SYSTEMS INC, 407 LINCOLN ROAD, SUITE 6K, MIAMI, FL, 33139, 5108396100 - 500,000 ($290,000.00) Equity, (File 333-101235 - Nov. 15) (BR. 37) S-8 IDINE REWARDS NETWORK INC, 11900 BISCAYNE BLVD, STE 460, MIAMI, FL, 33181, 3058923300 - 3,738,966 ($18,373,802.00) Equity, (File 333-101237 - Nov. 15) (BR. 08) S-4 SIMON PROPERTY GROUP L P /DE/, 115 WEST WASHINGTON, INDIANAPOLIS, IN, 46204-3464, 3176361600 - 0 ($500,000,000.00) Other, (File 333-101238 - Nov. 15) (BR. 08) S-8 PROGRESS SOFTWARE CORP /MA, 14 OAK PARK, BEDFORD, MA, 01730, 6172804000 - 0 ($36,870,000.00) Equity, (File 333-101239 - Nov. 15) (BR. 03) F-10 ENERPLUS RESOURCES FUND, 1900 700 9TH AVE SW, 403-298-2200, CALGARY ALBERTA CANADA, A0, T2P 4B3, 4032982200 - 0 ($193,481,750.00) Equity, (File 333-101240 - Nov. 15) (BR. 04) S-8 ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 2192676131 - 0 ($120,300,000.00) Equity, (File 333-101243 - Nov. 15) (BR. 36) S-4 VALHI INC /DE/, 5430 LBJ FRWY, STE 1700, DALLAS, TX, 75240, 9722331700 - 0 ($215,810,980.00) Equity, (File 333-101244 - Nov. 15) (BR. 04) S-3 HYPERTENSION DIAGNOSTICS INC /MN, 2915 WATERS ROAD SUITE 108, EAGAN, MN, 55121-1562, 6126879999 - 0 ($1,302,000.00) Equity, (File 333-101245 - Nov. 15) (BR. 36) S-3 NUEVO ENERGY CO, 1021 MAIN SUITE 2100, HOUSTON, TX, 77002, 7136520706 - 1,969,580 ($25,200,776.10) Equity, (File 333-101247 - Nov. 15) (BR. 04) N-2 SCUDDER MUNICIPAL BOND FUND INC, 0 ($15,000.00) Equity, (File 333-101252 - Nov. 15) (BR. ) S-3 PEOPLES BANCORP INC, 138 PUTNAM ST, P O BOX 738, MARIETTA, OH, 45750-0738, 7403733155 - 1,380,000 ($38,985,000.00) Equity, (File 333-101253 - Nov. 15) (BR. 07) S-3 MORTGAGE ASSET SECURITIZATION TRANSACTIONS INC, 1285 AVE OF THE AMERICAS, NEW YORK, NY, 10019, 2127132000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-101254 - Nov. 15) (BR. 05) S-3 BOSTON PROPERTIES INC, 800 BOYLSTON STREET, SUITE 400, BOSTON, MA, 02199, 6172363300 - 0 ($261,457,210.98) Equity, (File 333-101255 - Nov. 15) (BR. 08) S-8 RIBOZYME PHARMACEUTICALS INC, 2950 WILDERNESS PLACE, BOULDER, CO, 80301, 3034496500 - 0 ($880,000.00) Equity, (File 333-101256 - Nov. 15) (BR. 01) 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 ----------------------------------------------------------------------------------- - 3M CO DE X X 11/15/02 ABINGTON BANCORP INC MA X 09/13/02 AMEND ACE SECURITIES CORP DE X X 11/15/02 ACT TELECONFERENCING INC CO X X 11/14/02 ACTERNA CORP DE X X 11/14/02 ADRIATIC HOLDINGS LTD X 09/30/02 ADVANTA EQUIPMENT LEASING RECEIVABLES NV X 11/12/02 ALLIANCE BANCORP OF NEW ENGLAND INC DE X X 11/14/02 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 11/15/02 ALLIANCE CAPITAL MANAGEMENT L P DE X X 11/15/02 ALLIANCE RESOURCE PARTNERS LP DE X X X 11/14/02 AMERICAN EAGLE OUTFITTERS INC DE X X 11/14/02 AMERICAN EXPRESS CENTURION BANK UT X X 11/15/02 AMERICAN EXPRESS MASTER TRUST DE X X 11/15/02 AMERICAN PULP EXCHANGE INC FL X X X 11/04/02 AMERICAN RESTAURANT GROUP INC DE X X 11/13/02 AMERICAN RESTAURANT GROUP INC DE X X 11/15/02 AMERICAN RETIREMENT CORP TN X 11/15/02 AMEND AMERICAN SPECTRUM REALTY INC MD X X 11/14/02 AMERICAN WAGERING INC NV X 11/14/02 AMERIGON INC CA X 11/14/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 11/15/02 ARIZONA PUBLIC SERVICE CO AZ X X 11/14/02 ARRIS GROUP INC DE X X 11/13/02 ASTORIA FINANCIAL CORP DE X X 10/17/02 AT&T LATIN AMERICA CORP DE X 11/14/02 ATA HOLDINGS CORP IN X X 11/14/02 ATCHISON CASTING CORP KS X X 11/15/02 ATLAS AIR INC DE X 11/14/02 ATLAS AIR WORLDWIDE HOLDINGS INC DE X 11/14/02 ATSI COMMUNICATIONS INC/DE DE X X 11/15/02 AVANI INTERNATIONAL GROUP INC // NV X 10/23/02 AMEND AXA FINANCIAL INC DE X 09/14/02 AXESSTEL INC NV X X X 11/14/02 AMEND BACH-HAUSER INC NV X 10/25/02 BANC ONE CREDIT CARD MASTER TRUST NY X X 11/15/02 BANK OF NEW YORK CO INC NY X 09/30/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/15/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X 11/15/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/15/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/15/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/12/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 11/06/02 BANK UNITED CORP LITIGATION CONTINGEN DE X 11/15/02 BANYAN CORP /OR/ OR X X 11/13/02 BAYCORP HOLDINGS LTD DE X X 11/01/02 BELMONT BANCORP OH X 11/12/02 BERKLEY W R CORP DE X X 11/14/02 BIOFARM INC NV X X 10/31/02 BIOSHIELD TECHNOLOGIES INC GA X 05/16/02 BIOTRANSPLANT INC DE X X 11/15/02 BOND SECURITIZATION LLC DE X X 11/13/02 BORLAND SOFTWARE CORP DE X X 11/14/02 BOSTON PROPERTIES INC DE X 11/15/02 BRE PROPERTIES INC /MD/ MD X X 10/14/02 BRIGHTSTAR INFORMATION TECHNOLOGY GRO DE X X 11/15/02 BRISTOL MYERS SQUIBB CO DE X X 11/15/02 BROADLEAF CAPITAL PARTNERS INC CO X 11/15/02 BROWN & BROWN INC FL X 11/14/02 BUILDING MATERIALS HOLDING CORP DE X 11/12/02 CABOT MICROELECTRONICS CORP DE X X 11/13/02 CALL-SOLUTIONS INC CA X 11/11/02 CAMBRIDGE HEART INC DE X X 11/15/02 CAPITAL ONE FINANCIAL CORP DE X 11/14/02 CARAUSTAR INDUSTRIES INC NC X 11/14/02 CARMAX AUTO OWNER TRUST 2002-1 DE X X 11/15/02 CBRE HOLDING INC DE X 11/07/02 CC MASTER CREDIT CARD TRUST II MD X 11/15/02 CDC MORTGAGE CAPITAL TRUST 2002 HE1 X 05/28/02 AMEND CENDANT CORP DE X X 11/15/02 CENTER TRUST INC MD X 11/14/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 11/15/02 CHASE CREDIT CARD MASTER TRUST NY X X 11/15/02 CHASE CREDIT CARD MASTER TRUST NY X X 11/15/02 CHASE CREDIT CARD MASTER TRUST NY X 11/15/02 CHASE MANHATTAN BANK USA DE X X 11/15/02 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 11/15/02 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 11/15/02 CHATEAU COMMUNITIES INC MD X X 11/14/02 CIMAREX ENERGY CO DE X X 11/15/02 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 10/31/02 CKF BANCORP INC DE X X 11/12/02 CNA SURETY CORP DE X X 11/14/02 COBALT CORP WI X X 11/15/02 COGNIGEN NETWORKS INC CO X X 11/14/02 COLLATERALIZED ASSET-BACKED BONDS SER DE X 07/25/02 AMEND COLONIAL BANCGROUP INC DE X 09/14/02 COMPOSITECH LTD DE X X 11/13/02 COMSHARE INC MI X X 11/14/02 CONSOLIDATED GRAPHICS INC /TX/ TX X 11/14/02 CORDIA CORP NV X X 11/14/02 CORNERSTONE PROPANE PARTNERS LP DE X X 11/07/02 CP LTD PARTNERSHIP MD X X 11/14/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 11/15/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 11/15/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/15/02 AMEND CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 11/15/02 AMEND CRESCENT BANKING CO GA X X 11/15/02 CROWN CASTLE INTERNATIONAL CORP DE X 11/14/02 CROWN CASTLE INTERNATIONAL CORP DE X X 11/14/02 CROWN CORK & SEAL CO INC PA X 11/13/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X 10/30/02 CSK AUTO CORP DE X X 11/15/02 CSK AUTO CORP DE X X 11/15/02 CURATIVE HEALTH SERVICES INC MN X X 11/15/02 CURIS INC DE X X 11/12/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X 11/14/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 11/14/02 DAKOTA GROWERS PASTA CO INC ND X X 11/06/02 DEMARCO ENERGY SYSTEMS OF AMERICA INC UT X X 10/28/02 DENBURY RESOURCES INC DE X X 11/14/02 DICE INC DE X 11/15/02 DISCOVER CARD MASTER TRUST I DE X 11/15/02 DIVERSIFIED THERMAL SOLUTIONS INC NV X X 10/28/02 DRESSER INC DE X X 11/14/02 DREXLER TECHNOLOGY CORP DE X X 11/13/02 DRIVETIME AUTOMOTIVE GROUP INC DE X 11/14/02 DST SYSTEMS INC DE X X 09/30/02 DUTCHFORK BANCSHARES INC DE X X 11/15/02 DVI RECEIVABLES CORP DE X 10/31/02 DVI RECEIVABLES CORP VIII DE X 10/31/02 DYNEGY INC /IL/ IL X X 11/14/02 E CENTIVES INC DE X 11/14/02 E COM TECHNOLOGIES CORP NV X 11/08/02 EBAY INC DE X 11/14/02 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X X 11/14/02 ELOYALTY CORP DE X 11/14/02 ENNIS BUSINESS FORMS INC TX X X 11/15/02 ENRON CORP/OR/ OR X X 11/15/02 ENSCO INTERNATIONAL INC DE X 11/15/02 EPIQ SYSTEMS INC MO X X 11/07/02 EPIX MEDICAL INC X X 11/14/02 EROOMSYSTEM TECHNOLOGIES INC NV X X 11/14/02 EVERGREENBANCORP INC WA X X 11/13/02 FBR ASSET INVESTMENT CORP/VA VA X X 11/14/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 11/14/02 FEDERAL SCREW WORKS MI X X 11/14/02 FIBERNET TELECOM GROUP INC\ DE X 10/14/02 FIDELITY FEDERAL BANCORP IN X 11/14/02 FINGERHUT RECEIVABLES INC DE X 11/15/02 FIRST CITIZENS BANCORPORATION OF SOUT SC X 11/14/02 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 11/04/02 FIRSTCITY FINANCIAL CORP DE X X 11/14/02 FIRSTFED FINANCIAL CORP DE X 11/15/02 FLEET CREDIT CARD MASTER TRUST II NY X 11/15/02 FLEMING COMPANIES INC /OK/ OK X 11/13/02 FNANB CREDIT CARD MASTER TRUST X X 10/31/02 FNANB CREDIT CARD MASTER TRUST X X 10/31/02 FOX ENTERTAINMENT GROUP INC DE X 11/12/02 AMEND FRONT PORCH DIGITAL INC NV X X 11/14/02 GAP INC DE X X 11/14/02 GENEREX BIOTECHNOLOGY CORP DE X 10/29/02 GLOBAL IMAGING SYSTEMS INC DE X 11/15/02 GOLDEN TELECOM INC DE X X 11/14/02 GOLDEN TELECOM INC DE X X 09/17/02 AMEND GRAFTECH INTERNATIONAL LTD DE X 11/14/02 GRANITE DEVELOPMENT PARTNERS LP DE X 11/14/02 GREAT PLAINS ENERGY INC MO X X 11/14/02 GROUP 1 AUTOMOTIVE INC DE X X 11/14/02 GROUP 1 AUTOMOTIVE INC DE X 11/13/02 GS MORTGAGE SECURITIES CORP MORT PAS DE X 10/30/02 GSE SYSTEMS INC DE X 11/15/02 GUILFORD PHARMACEUTICALS INC DE X X 11/14/02 H&R BLOCK INC MO X 11/15/02 HALLIBURTON CO DE X 11/14/02 HALLWOOD GROUP INC DE X 11/14/02 HANOVER COMPRESSOR CO / DE X X 11/12/02 HANOVER COMPRESSOR CO / DE X 11/14/02 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 11/14/02 HEILIG MEYERS CO VA X 09/30/02 HIRSCH INTERNATIONAL CORP NY X 11/07/02 HOME EQUITY ASSET TRUST 2002-2 DE X 11/15/02 AMEND HOME EQUITY ASSET TRUST 2002-3 DE X 11/15/02 HORIZON MEDICAL PRODUCTS INC GA X X 11/12/02 HUFFY CORP OH X X 11/13/02 HUMPHREY HOSPITALITY TRUST INC VA X 11/15/02 HUNT CORP PA X X 11/15/02 IMAGE ENTERTAINMENT INC CA X 11/15/02 IMH ASSETS CORP DE X 10/30/02 IMH ASSETS CORP DE X 05/28/02 AMEND IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 09/25/02 IMPAC CMB TRUST SERIES 2002-4F DE X 09/25/02 INDYMAC MBS INC RESIDENTIAL ASSET SEC X 08/26/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 07/25/02 AMEND INDYMAC MBS INC RESIDENTIAL ASSET SEC X 07/25/02 AMEND INFONOW CORP / DE X 11/14/02 INFONOW CORP / DE X 11/15/02 INKTOMI CORP DE X X 11/13/02 INNKEEPERS USA TRUST/FL MD X 11/14/02 INTERFERON SCIENCES INC DE X 11/07/02 INTERNATIONAL RECTIFIER CORP /DE/ DE X 11/14/02 INTERNET CAPITAL GROUP INC DE X X 11/14/02 INTERNET VIP INC DE X X 08/15/02 INTERNETSTUDIOS COM INC NV X 09/30/02 INTERPUBLIC GROUP OF COMPANIES INC DE X X 11/14/02 INTERPUBLIC GROUP OF COMPANIES INC DE X 11/15/02 INTERTRUST TECHNOLOGIES CORP DE X X 11/13/02 INTRAC INC NV X X X 08/22/02 INTUIT INC DE X 11/13/02 IONICS INC MA X 11/15/02 JONES LANG LASALLE INC MD X X 11/15/02 KAISER GROUP HOLDINGS INC DE X X 11/15/02 KOGER EQUITY INC FL X 11/14/02 LASALLE RE HOLDINGS LTD X X 11/13/02 LEHMAN ABS CORP DE X 11/14/02 LEHMAN ABS CORP DE X 11/15/02 LEHMAN ABS CORP REPAC GE GLOB INS FLT DE X X 11/15/02 LIFEPOINT HOSPITALS INC DE X X 11/14/02 LL&E ROYALTY TRUST TX X 11/14/02 LMI AEROSPACE INC MO X 11/14/02 LONG BEACH ACCEPTANCE CORP X X 11/15/02 LONG BEACH MORT LOAN TRUST 2002-1AS B DE X 05/28/02 AMEND LTC PROPERTIES INC MD X 11/14/02 MARGO CARIBE INC PR X 09/30/02 MATTRESS DISCOUNTERS CORP DE X 11/11/02 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/14/02 MILITARY RESALE GROUP INC FL X X 11/14/02 MINUTEMAN INTERNATIONAL INC IL X X 11/12/02 MONARCH CEMENT CO KS X 11/14/02 MONEYFLOW SYSTEMS INTERNATIONAL INC A0 X 11/14/02 MONSANTO CO /NEW/ DE X 11/14/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/13/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/29/02 NATIONAL OILWELL INC DE X X 10/10/02 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 11/15/02 NATIONWIDE LIFE INSURANCE CO OH X 11/15/02 NETWORK ENGINES INC DE X X 11/11/02 NEW SOUTH BANCSHARES INC DE X 11/14/02 NEXSTAR FINANCE HOLDINGS LLC DE X 11/14/02 NEXSTAR FINANCE LLC DE X 11/14/02 NII HOLDINGS INC DE X X 11/12/02 NOBEL LEARNING COMMUNITIES INC DE X X 11/14/02 NOBEL LEARNING COMMUNITIES INC DE X X 11/14/02 NORTHEAST BANCORP /ME/ ME X X 09/30/02 NUEVO ENERGY CO DE X X 09/19/02 NYMAGIC INC NY X 11/14/02 ON COMMAND CORP DE X 11/13/02 ONEIDA LTD NY X 11/14/02 ORIENT EXPRESS HOTELS LTD X X 11/14/02 PACIFIC NORTHWEST BANCORP WA X X 11/13/02 PARTNERRE LTD X X 11/07/02 PINNACLE WEST CAPITAL CORP AZ X X 11/14/02 PLAINS ALL AMERICAN PIPELINE LP DE X 08/01/02 PMC SIERRA INC DE X 12/29/02 PNC FINANCIAL SERVICES GROUP INC PA X X 11/14/02 PNC MORT SEC CORP COM MORT PASS THR C MO X X 11/15/02 PORTAL SOFTWARE INC DE X X 11/06/02 PRIMA ENERGY CORP DE X X 11/12/02 PRIMA ENERGY CORP DE X 11/14/02 PRIME GROUP REALTY TRUST MD X 11/14/02 PROGRESSIVE CORP/OH/ OH X X 11/15/02 PROVIDIAN MASTER TRUST X X 11/15/02 QUANTUM CORP /DE/ DE X 11/13/02 QWEST COMMUNICATIONS INTERNATIONAL IN DE X X 11/08/02 R H DONNELLEY CORP DE X 09/30/02 RAINMAKER SYSTEMS INC CA X X 11/14/02 RAIT INVESTMENT TRUST MD X X 11/14/02 RAPIDTRON INC NV X 09/27/02 RESEARCH INC /MN/ MN X X 11/14/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 11/14/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 11/15/02 RETEK INC DE X 11/14/02 RHYTHMS NET CONNECTIONS INC DE X X 10/28/02 RICKS CABARET INTERNATIONAL INC TX X 10/28/02 RIMPAC RESOURCES LTD/NM NV X 11/11/02 ROHN INDUSTRIES INC DE X 11/14/02 SAFECO CORP WA X X 11/15/02 SAKS CREDIT CARD MASTER TRUST NV X X 11/15/02 SANGSTAT MEDICAL CORP DE X X 11/11/02 SBA COMMUNICATIONS CORP FL X 11/15/02 SCORE ONE INC NV X X X X X 11/01/02 SE GLOBAL EQUITIES CORP MN X 11/14/02 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 11/15/02 SEIBELS BRUCE GROUP INC SC X X 11/15/02 SENTO CORP UT X X 11/14/02 SHIRE PHARMACEUTICALS GROUP PLC X X 11/14/02 SMART & FINAL INC/DE DE X 11/15/02 SOVEREIGN SPECIALTY CHEMICALS INC DE X 11/14/02 SPARTON CORP OH X X 11/14/02 SPORTS RESORTS INTERNATIONAL INC MI X X 11/06/02 SPRINT CORP KS X 11/14/02 STAGE STORES INC NV X X 11/14/02 STAR MULTI CARE SERVICES INC NY X X 10/31/02 STAR RECEIVABLES FUNDING INC DE X 11/15/02 STATEFED FINANCIAL CORP DE X X 11/14/02 STRAYER EDUCATION INC MD X X 11/15/02 STRUCTURED ASSET MORT INV INC BEAR ST DE X 10/31/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 10/25/02 STRUCTURED ASSET SEC MORT PASS THRU C DE X X 10/30/02 STRUCTURED ASSET SEC MORT PASS THRU C DE X X 10/30/02 STRUCTURED ASSET SECURITIES CORP MOR DE X 10/30/02 SUMMIT AMERICA TELEVISION INC /TN/ TN X 08/14/02 SUNBEAM CORP/FL/ DE X X 11/13/02 SYNAVANT INC DE X 11/15/02 T/R SYSTEMS INC GA X X 11/13/02 TALX CORP MO X X 11/14/02 TAMPA ELECTRIC CO FL X 11/13/02 TAURUS ENTERTAINMENT COMPANIES INC CO X 11/04/02 TCSI CORP NV X X 11/12/02 TECO ENERGY INC FL X 11/13/02 TECO ENERGY INC FL X X 11/15/02 TELCO BLUE INC DE X 11/12/02 TENET HEALTHCARE CORP NV X X 11/13/02 TERAFORCE TECHNOLOGY CORP DE X X 11/14/02 TERAYON COMMUNICATION SYSTEMS DE X 11/14/02 TOLL BROTHERS INC DE X X 11/15/02 TOYOTA AUTO FINANCE RECEIVABLES LLC DE X X 10/31/02 TRANSDIGM INC DE X X 11/15/02 TRANSTEXAS GAS CORP DE X X 11/15/02 TREMONT CORPORATION DE X X 11/15/02 TRENWICK AMERICA CORP DE X X 11/13/02 TRENWICK GROUP LTD X X 11/13/02 TRICORD SYSTEMS INC /DE/ DE X X 11/14/02 UBICS INC DE X X 11/12/02 UNITED BANCORP INC /MI/ MI X X 11/15/02 UNIVERSAL BROADBAND COMMUNICATIONS IN NV X X 11/14/02 URS CORP /NEW/ DE X 11/15/02 US BANCORP \DE\ DE X X 11/08/02 US BANCORP \DE\ DE X X 11/14/02 US UNWIRED INC LA X X 11/14/02 USI HOLDINGS CORP DE X X 11/13/02 VALHI INC /DE/ DE X X 11/15/02 VARCO INTERNATIONAL INC /DE/ DE X X 11/15/02 VARIAGENICS INC DE X X 11/14/02 VIA NET WORKS INC DE X 11/14/02 VIE FINANCIAL GROUP INC DE X X 11/14/02 VIGNETTE CORP DE X X 11/11/02 VINEYARD NATIONAL BANCORP CA X 11/14/02 VISKASE COMPANIES INC DE X 11/13/02 VISKASE COMPANIES INC DE X 11/15/02 VOICENET INC DE X X 11/13/02 WACHOVIA ASSET SECURITIZATION INC NC X X 10/25/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X 10/24/02 WASHINGTON MUTUAL MSC MORTGAGE PASS T DE X 10/30/02 WERNER ENTERPRISES INC NE X X 11/15/02 WESTAR ENERGY INC /KS KS X X 11/13/02 WHITE ELECTRONIC DESIGNS CORP ID X X 11/14/02 WILLIAMS COMPANIES INC DE X 11/14/02 WILLIAMS ENERGY PARTNERS L P DE X 11/14/02 WILLIAMS ENERGY PARTNERS L P DE X 11/15/02 WILTEL COMMUNICATIONS GROUP INC NV X 11/14/02 WINDROSE MEDICAL PROPERTIES TRUST MD X 11/14/02 WINN DIXIE STORES INC FL X 11/14/02 WIRELESS FACILITIES INC DE X X 11/15/02 WORKGROUP TECHNOLOGY CORP DE X X 11/13/02 YAMAHA MOTOR RECEIVABLES CORP DE X 11/15/02 ZENASCENT INC DE X X 10/16/02