SEC NEWS DIGEST Issue 2003-12 January 17, 2003 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS ADDITIONAL OPEN MEETING TO BE HELD; TIME CHANGE FOR CLOSED MEETING An additional open meeting will be held on Thursday, Jan. 23, at 10:00 a.m., in Room 1C30, the William O. Douglas Room. The closed meeting previously announced to be held on Thursday, Jan. 23, at 10:00 a.m. has been scheduled to immediately follow the open meeting. The following items previously announced for the Jan. 22 open meeting will be considered during the Jan. 23 open meeting. 1. The Commission will consider adopting rules to establish standards of professional conduct for attorneys who appear and practice before the Commission in any way in the representation of issuers. As proposed, the rules would require an attorney to report evidence of a material violation of securities laws, a material breach of fiduciary duty, or similar material violation by the issuer or by any officer, director, employee, or agent of the issuer to the issuer's chief legal officer or the chief executive officer of the company (or the equivalents); if they do not respond appropriately to the evidence, the rule would require the attorney to report the evidence to the issuer's audit committee, another committee of independent directors, or the full board of directors; if the directors do not respond appropriately, the rule would require or permit the attorney to withdraw and notify the Commission of the withdrawal. 2. The Commission will consider whether to adopt amendments to its registration and reporting forms for registered management investment companies, as well as new Rule 30b1-4 and new Form N-PX under the Investment Company Act of 1940. These rules would require mutual funds and other registered management investment companies to disclose the policies and procedures that they use to determine how to vote proxies relating to portfolio securities. They would also require registered management investment companies to file with the Commission on an annual basis, and make available to shareholders, their proxy voting records. 3. The Commission will consider whether to adopt a new rule and amendments to its recordkeeping rules for registered investment advisers under the Investment Advisers Act. The new rule would require investment advisers to adopt proxy voting policies and procedures, describe the policies and procedures to clients and provide clients with copies on request, and disclose how clients can obtain information about how the adviser voted their proxies. The recordkeeping amendments would require advisers to keep certain records regarding client proxies. 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 SEC CHARGES FORMER AT&T EMPLOYEE AND ASSOCIATE WITH INSIDER TRADING On Jan. 16, the Commission filed an injunctive action against Phong Nguyen, of Bloomington, Minnesota, and Chanh Nguyen, of Chanhassen, Minnesota, alleging that the defendants traded on confidential information regarding an Internet-based product developed by AT&T Corporation and iNTELEFILM Corporation. iNTELEFILM, headquartered in Eden Prairie, Minnesota, is a service provider for the television commercial production industry. In August 2002, iNTELEFILM filed for Chapter 11 bankruptcy. The Commission's complaint alleges that in 1999 Phong Nguyen was employed as an emerging markets developer for AT&T and was working directly with iNTELEFILM to develop an Internet-based product, Intelesource.org. Chanh Nguyen, a close friend of Phong Nguyen, worked for Business Integration Services-an agent of AT&T that was procuring computer hardware for Intelesource.org. While working on the Intelesource.org project, Phong and Chanh Nguyen learned that iNTELEFILM planned to publicly announce Intelesource.org on December 8, 1999. In the five trading days immediately before the announcement, Phong and Chanh Nguyen purchased 76,000 shares of iNTELEFILM stock. They profited by over $200,000 when the price of iNTELEFILM stock more than doubled immediately after the announcement. The complaint also alleges that Chanh Nguyen illegally tipped his father to purchase iNTELEFILM stock, which his father did two days before the announcement. The complaint does not allege, however, that Chanh Nguyen's father acted illegally. The Commission charges the defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The Commission seeks permanent injunctions, disgorgement of ill-gotten trading profits, prejudgment interest and civil penalties. The Commission staff acknowledges the assistance of NASD in connection with this matter. [SEC v. Phong Nguyen and Chanh Nguyen, Civil Action No. 03-863 JMR/FLN, D. Minn.] (LR-17940) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2002-11), which became effective upon filing under Section 19(b)(3)(A) of the Securities Exchange Act, that eliminates all references to Class I and Class II security surveillance in Addendum B of NSCC's Rules and Procedures. Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34-47180) The Government Securities Clearing Corporation filed a proposed rule change (SR-GSCC-2002-06), which became effective upon filing under Section 19(b)(3)(A) of the Act, to adjust the trade comparison fees for GSCC members that use GSCC's real time trade matching process but do not submit trade data on an interactive and timely basis. Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34-47182) A proposed rule change filed by Chicago Board Options Exchange to amend CBOE Rule 9.3A to allow in-firm delivery of the Regulatory Element of Continuing Education (SR-CBOE-2003-01) 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 Jan. 20. (Rel. 34-47188) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change filed by the National Association of Securities Dealers (SR-NASD-2002-89) to amend Nasdaq's listing standards pertaining to American Depositary Receipts, preferred and secondary classes of stock, bid price compliance and monitoring periods, categories of securities eligible for initial inclusion on Nasdaq, and the market capitalization compliance period. Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34-47181) The Commission approved a proposed rule change submitted by the Chicago Board Options Exchange (SR-CBOE-2002-62) to amend Interpretation .01(b)(2) and .05(d)(ii) to CBOE Rule 5.3 which establish the pricing criteria for securities that underlie options traded on the Exchange. Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34-47190) PROPOSED RULE CHANGES The Boston Stock Exchange filed a proposed rule change (SR-BSE-2002-15) to establish trading rules for the Boston Options Exchange facility. Publication of the proposal is expected Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34- 47186) The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2002-15) relating to Rule G-28, on transactions with employees and partners of other municipal securities professionals. Publication of the proposal is expected in the Federal Register during the week of Jan. 20. (Rel. 34-47189) 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 AUGRID OF NEVADA INC, 24200 CHAGRIN BLVD, STE 10, BEACHWOOD, OH, 44122, 7025921816 - 1,850,000 ($129,500.00) Other, (File 333-102514 - Jan. 15) (BR. 09) S-3 CINERGY CORP, 139 E FOURTH ST, CINCINNATI, OH, 45202, 5132872644 - 0 ($750,000,000.00) Other, (File 333-102515 - Jan. 15) (BR. 02) S-3 PEABODY ENERGY CORP, 701 MARKET ST, ST LOUIS, MO, 63101-1826, 3143423400 - 0 ($253,238,390.00) Equity, (File 333-102516 - Jan. 15) (BR. 04) S-8 FAMOUS FIXINS INC, 250 WEST 57TH ST, STE 1112, NEW YORK, NY, 10107, 2122457773 - 11,000,000 ($110,000.00) Equity, (File 333-102517 - Jan. 15) (BR. 09) N-2 BLACKROCK PREFERRED OPPORTUNITY TRUST, 40 EAST 52ND STREET, NEW YORK, NY, 10022, 2127545300 - 100,000 ($1,500,000.00) Equity, (File 333-102518 - Jan. 15) (BR. 22) S-8 PLUMTREE SOFTWARE INC, 500 SANSOME STREET, SAN FRANCISCO, CA, 94104, 4152638900 - 0 ($5,768,800.00) Equity, (File 333-102520 - Jan. 15) (BR. 03) S-8 CYBERONICS INC, 16511 SPACE CENTER BLVD, SUITE 600, HOUSTON, TX, 77058, 7133321375 - 1,000,000 ($18,330,000.00) Equity, (File 333-102521 - Jan. 15) (BR. 36) S-8 SUEZ, 16 RUE DE LA VILLE L EVEQUE, PARIS FRANCE, I0, 75008, 01133140066400 - 830,000 ($15,504,400.00) Equity, (File 333-102522 - Jan. 15) (BR. 06) S-8 ACTUANT CORP, 6101 N. BAKER RD., MILWAUKEE, WI, 53209, 4143524160 - 0 ($23,975,000.00) Equity, (File 333-102523 - Jan. 15) (BR. 06) S-8 ACTUANT CORP, 6101 N. BAKER RD., MILWAUKEE, WI, 53209, 4143524160 - 0 ($1,918,000.00) Equity, (File 333-102524 - Jan. 15) (BR. 06) S-3 RENT WAY INC, ONE RENTWAY PLACE, ERIE, PA, 16505, 8144555378 - 0 ($5,015,500.00) Equity, (File 333-102525 - Jan. 15) (BR. 06) SB-2 BIOPHAN TECHNOLOGIES INC, 150 LUCIUS GORDON DR, STE 215, WEST HENRIETTA, NY, 14586, 5852142441 - 25,471,228 ($16,683,654.34) Equity, (File 333-102526 - Jan. 15) (BR. 09) S-8 AMERICAN INTERNATIONAL INDUSTRIES INC, 601 CIEN ST, SUITE 235, KEMAH, TX, 77565-2701, 2813349479 - 20,000 ($80,000.00) Equity, (File 333-102527 - Jan. 15) (BR. 07) S-8 BAUER PARTNERSHIP INC, 8012569600 - 10,500,000 ($504,000.00) Equity, (File 333-102528 - Jan. 15) (BR. 09) SB-2 REDLINE PERFORMANCE PRODUCTS INC, 2520 FORTUNE WAY, VISTA, CA, 92083, 0 ($17,250,000.00) Equity, (File 333-102529 - Jan. 15) (BR. ) S-3 BUCKEYE PARTNERS L P, 3900 HAMILTON BLVD, ALLENTOWN, PA, 18103, 6107704700 - 300,000,000 ($300,000,000.00) Other, (File 333-102531 - Jan. 15) (BR. 04) SB-2 NORTH AMERICAN GENERAL RESOURCES CORP, 8,023,579 ($1,203,536.85) Equity, (File 333-102533 - Jan. 16) (BR. ) S-8 SOLECTRON CORP, 777 GIBRALTAR DR, MILPITAS, CA, 95035, 4089578500 - 24,000,000 ($99,480,000.00) Equity, (File 333-102534 - Jan. 16) (BR. 36) S-8 SOLECTRON CORP, 777 GIBRALTAR DR, MILPITAS, CA, 95035, 4089578500 - 0 ($14,963,538.27) Equity, (File 333-102535 - Jan. 16) (BR. 36) S-8 ECONNECT, 1010 N. CENTRAL AVE., GLENDALE, CA, 91202, 310-435-6583 - 118,303,528 ($709,821.00) Equity, (File 333-102536 - Jan. 16) (BR. 08) S-8 CELERITEK INC/CA, 3236 SCOTT BLVD, SANTA CLARA, CA, 95054, 4089865060- 240,000 ($1,682,400.00) Equity, (File 333-102538 - Jan. 16) (BR. 36) S-8 21ST CENTURY HOLDING CO, 4161 N W 5TH STREET, PLANTATION, FL, 33317, 9545819993 - 2,201,500 ($26,990,390.00) Equity, (File 333-102539 - Jan. 16) (BR. 01) SB-2 RUBINCON VENTURES INC, 4761 COVE CLIFF ROAD, NORTH VANCOUVER, BRITISH COLUMBIA, CANADA V7G 1H8, A1, 6049290637 - 1,000,000 ($150,000.00) Equity, (File 333-102540 - Jan. 16) (BR. 04) S-4 CRESCENT REAL ESTATE EQUITIES CO, 777 MAIN ST, STE 2100, FORT WORTH, TX, 76102, 8173212100 - 0 ($10,828,497.00) Equity, (File 333-102541 - Jan. 16) (BR. 08) S-8 LINEAR TECHNOLOGY CORP /CA/, 1630 MCCARTHY BLVD, MILPITAS, CA, 95035, 4084321900 - 15,000,000 ($444,075,000.00) Equity, (File 333-102542 - Jan. 16) (BR. 36) S-8 MILLENNIUM PHARMACEUTICALS INC, 75 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176797000 - 14,554,711 ($131,137,946.11) Equity, (File 333-102543 - Jan. 16) (BR. 01) S-8 STERLING BANCSHARES INC, 15000 NORTHWEST FRWY STE 308, HOUSTON, TX, 77040, 7134668300 - 0 ($11,188,577.00) Equity, (File 333-102544 - Jan. 16) (BR. 07) S-8 MICRON TECHNOLOGY INC, 8000 S FEDERAL WAY, PO BOX 6, BOISE, ID, 83716-9632, 2083684000 - 0 ($231,035,000.00) Equity, (File 333-102545- Jan. 16) (BR. 36) S-4 TRICO BANCSHARES /, TRICO BANCSHARES, 63 CONSTITUTION DRIVE, CHICO, CA, 95973, 5308980300 - 784,000 ($19,332,075.20) Equity, (File 333-102546- Jan. 16) (BR. 07) S-2 FIRST BANKS INC, 135 N MERAMEC AVE, ST LOUIS, MO, 63105, 3148544600 - 2,760,000 ($69,000,000.00) Other, (File 333-102549 - Jan. 16) (BR. 07) S-3 CAPTIVA SOFTWARE CORP, 10145 PACIFIC HEIGHTS BLVD., SAN DIEGO, CA, 92121, 858-320-1000 - 2,251,320 ($4,626,463.00) Equity, (File 333-102550 - Jan. 16) (BR. 03) S-8 VISEON INC, 5593 W 78TH ST, STE F, MINNEAPOLIS, MN, 55439, 6128963020- 5,000,000 ($1,550,000.00) Equity, (File 333-102551 - Jan. 16) (BR. 03) S-3 ESSEX PROPERTY TRUST INC, 925 EAST MEADOW DR, PALO ALTO, CA, 94303, 6504943700 - 2,729,875 ($138,868,741.25) Equity, (File 333-102552 - Jan. 16) (BR. 08) S-4 ENTRAVISION COMMUNICATIONS CORP, 2425 OLYMPIC BLVD, STE 6000 WEST, SANTA MONICA, CA, 90404, 3104473870 - 0 ($34,915,251.00) Equity, (File 333-102553 - Jan. 16) (BR. 37) S-8 CAPTIVA SOFTWARE CORP, 10145 PACIFIC HEIGHTS BLVD., SAN DIEGO, CA, 92121, 858-320-1000 - 449,446 ($986,920.55) Equity, (File 333-102554 - Jan. 16) (BR. 03) SB-2 INVICTA GROUP INC, 9553 HARDING AVE, SUITE 301, MIAMI BEACH, FL, 33154, 3058666525 - 20,182,200 ($12,109,320.00) Equity, (File 333-102555 - Jan. 16) (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 ------------------------------------------------------------------------------------ ABRAXAS PETROLEUM CORP NV X 01/15/03 ABRAXAS PETROLEUM CORP NV X 01/15/03 ACTRADE FINANCIAL TECHNOLOGIES LTD DE X X X 01/14/03 ADPADS INC CO X 06/21/01 AMEND ADVANTA EQUIPMENT LEASING RECEIVABLES NV X 01/10/03 AIRNET SYSTEMS INC OH X X 12/26/02 AMEREN CORP MO X 12/10/02 AMERICAN EXPRESS CENTURION BANK UT X X 01/15/03 AMERICAN EXPRESS MASTER TRUST DE X X 01/15/03 AMERICAN POWER CONVERSION CORPORATION MA X X 01/14/03 AMG OIL LTD NV X 01/15/03 ASSET BACKED FUNDING CORP ABFC ASST B DE X X 09/26/02 BANC ONE CREDIT CARD MASTER TRUST NY X X 01/15/03 BANK OF AMERICA CORP /DE/ DE X X X 01/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 01/10/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 01/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 01/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 12/16/02 BANK ONE DELAWARE NATIONAL ASSOCIAT X 01/15/03 BANK ONE DELAWARE NATIONAL ASSOCIAT X X 01/15/03 BRIGHTPOINT INC DE X X 12/19/02 CABOT INDUSTRIAL PROPERTIES LP DE X X 01/15/03 CAPITAL ONE AUTO FINANCE TRUST 2002-A VA X 01/15/03 CAPITAL ONE AUTO FINANCE TRUST 2002-A VA X 01/06/03 AMEND CAPITAL ONE AUTO FINANCE TRUST 2002-B DE X 01/15/03 CARMAX AUTO OWNER TRUST 2002-1 DE X X 01/15/03 CARMAX AUTO OWNER TRUST 2002-2 DE X X 01/15/03 CASCADE NATURAL GAS CORP WA X X 12/31/02 CC MASTER CREDIT CARD TRUST II MD X 01/15/03 CEL SCI CORP CO X X 01/07/03 CENDANT MORTGAGE CAPITAL LLC DE X 12/26/02 CENDANT MORTGAGE CAPITAL LLC DE X 12/26/02 CHASE MANHATTAN BANK USA DE X X 01/15/03 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 01/15/03 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 01/15/03 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 12/31/02 CITICORP MORTGAGE SECURITIES INC DE X 04/25/02 CITICORP MORTGAGE SECURITIES INC DE X 04/25/02 CITICORP MORTGAGE SECURITIES INC DE X 04/25/02 CITICORP MORTGAGE SECURITIES INC DE X 04/25/02 CITICORP MORTGAGE SECURITIES INC DE X 05/28/02 CITICORP MORTGAGE SECURITIES INC DE X 05/28/02 CITICORP MORTGAGE SECURITIES INC DE X 05/28/02 CITICORP MORTGAGE SECURITIES INC DE X 05/28/02 CITICORP MORTGAGE SECURITIES INC DE X 05/28/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITICORP MORTGAGE SECURITIES INC DE X 06/25/02 CITY NATIONAL CORP DE X X 01/14/03 COHERENT INC DE X 11/06/02 COLONIAL BANCGROUP INC DE X 01/15/03 COMM BANCORP INC PA X 01/15/03 COMMUNITY TRUST BANCORP INC /KY/ KY X 12/31/02 CONTINENTAL AIRLINES INC /DE/ DE X X 01/15/03 CRESCENT OPERATING INC DE X 01/15/03 CWMBS INC DE X X 12/31/02 DECISIONLINK INC DE X X 01/15/03 DESERT HEALTH PRODUCTS INC AZ X 01/10/03 DUPONT E I DE NEMOURS & CO DE X 01/15/03 DUSA PHARMACEUTICALS INC NJ X X 12/30/02 EARTHNETMEDIA INC NV X X 01/15/03 EMAGIN CORP NV X X 01/08/03 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 01/15/03 ENERGEN CORP AL X 01/15/03 ENSCO INTERNATIONAL INC DE X 01/15/03 ENTREMED INC DE X X 12/31/02 EOP OPERATING LTD PARTNERSHIP DE X X 01/09/03 EOS INTERNATIONAL INC DE X X X 01/14/03 EP MEDSYSTEMS INC NJ X 01/09/03 EQUITY OFFICE PROPERTIES TRUST MD X X 01/09/03 EQUITY ONE INC MD X 01/15/03 EXELON CORP PA X 01/15/03 EXELON CORP PA X X X 11/01/02 EXPRESSJET HOLDINGS INC DE X X 01/15/03 FAR EAST ENERGY CORP X 12/31/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 01/15/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 01/27/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 01/27/03 FARMER MAC MORTGAGE SECURITIES CORP DE X 01/27/03 FINGERHUT RECEIVABLES INC DE X 01/15/03 FLEET CREDIT CARD MASTER TRUST II NY X 01/15/03 FNANB CREDIT CARD MASTER TRUST X X 12/31/02 FNANB CREDIT CARD MASTER TRUST X X 12/31/02 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 12/31/02 FRANKLIN STREET PROPERTIES CORP /MA/ X X 01/14/03 FULLER H B CO MN X X 01/14/03 GENERAL DATACOMM INDUSTRIES INC DE X X 10/31/02 GLOBAL CROSSING LTD X X 01/08/03 GLOBAL EXPRESS CAPITAL REAL ESTATE IN X X 01/06/03 AMEND GLOBALSTAR LP DE X X 01/15/03 GOLDMAN SACHS GROUP INC/ DE X 01/15/03 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 12/30/02 HALL KINION & ASSOCIATES INC DE X X 01/14/03 HARBOR FLORIDA BANCSHARES INC DE X 12/31/02 HARRIS CORP /DE/ DE X X 01/15/03 HIBERNIA CORP LA X X 12/31/02 HOLLYWOOD PARTNERS COM INC DE X X X 12/31/02 HOMEGOLD FINANCIAL INC SC X X 12/31/02 HOOKER FURNITURE CORP VA X X 01/02/03 HUGHES ELECTRONICS CORP DE X 10/15/03 ILLINOIS POWER CO IL X X 01/15/03 IMMTECH INTERNATIONAL INC DE X X 01/14/03 INCARA PHARMACEUTICALS CORP DE X X 01/13/03 INTEL CORP DE X 12/28/02 INVESTMENT AGENTS INC NV X X X 12/11/02 IVORY CAPITAL CORP CO X X 01/15/03 JACKSONVILLE BANCORP INC TX X X 01/14/03 JL FRENCH AUTOMOTIVE CASTING INC DE X X 01/06/03 JMB 245 PARK AVENUE ASSOCIATES LTD IL X X 12/31/02 K TRON INTERNATIONAL INC NJ X X 01/02/03 KAMAN CORP CT X 01/15/03 KEYCORP /NEW/ OH X X X 01/15/03 KEYSPAN CORP NY X X 01/15/03 KMART CORP MI X X 01/14/03 L & L FINANCIAL HOLDINGS INC NV X 01/14/03 L & L FINANCIAL HOLDINGS INC NV X 01/14/03 AMEND L & L FINANCIAL HOLDINGS INC NV X 01/14/03 AMEND LAWRENCE FINANCIAL HOLDINGS INC MD X X 01/14/03 LCNB CORP OH X X 01/15/03 LEHMAN ABS CORP DE X X 12/15/02 LIFE PARTNERS HOLDINGS INC TX X 01/14/03 LIQUID AUDIO INC DE X X 01/13/03 LONE STAR TECHNOLOGIES INC DE X 01/15/03 LONG BEACH ACCEPTANCE CORP X X 01/15/03 LONGPORT INC DE X X 01/15/03 LTV CORP DE X X 12/31/02 MACREPORT NET INC DE X X 01/13/03 MANHATTAN ASSOCIATES INC GA X X 12/31/02 MERRILL LYNCH & CO INC DE X 01/15/03 METALLURG HOLDINGS INC DE X X 12/31/02 METALLURG INC DE X X 12/31/02 MONTPELIER RE HOLDINGS LTD D0 X X 01/15/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/13/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/14/03 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 01/14/03 MYLAN LABORATORIES INC PA X 01/07/03 NATIONAL CITY CORP DE X 01/15/03 NATIONAL DATACOMPUTER INC DE X X 01/10/03 NATIONAL PROCESSING INC OH X X 01/15/03 NEW HORIZONS WORLDWIDE INC DE X 03/31/03 NEW YORK HEALTH CARE INC NY X X X 01/02/03 NEWTEK BUSINESS SERVICES INC NY X X 12/31/02 NOBLE INTERNATIONAL LTD DE X X 12/31/02 NTL INC DE X X 01/15/03 NTN COMMUNICATIONS INC DE X 01/15/03 NUMATICS INC MI X X 12/26/02 OHIO VALLEY BANC CORP OH X 12/31/02 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 01/14/03 ORYX TECHNOLOGY CORP DE X X 01/09/03 PARADIGM GENETICS INC X 01/15/03 PENN VIRGINIA RESOURCE PARTNERS L P DE X 01/15/03 PHAR MOR INC PA X 01/15/03 PILGRIMS PRIDE CORP DE X 12/28/02 PIONEER STANDARD ELECTRONICS INC OH X X 01/15/03 PLUMAS BANCORP CA X X 01/15/03 POLYONE CORP X X 01/14/03 PRIME RECEIVABLES CORP DE X 01/15/03 PROTECTION ONE INC DE X X 01/14/03 PROVANT INC DE X X 12/31/02 PROVIDIAN FINANCIAL CORP DE X 12/31/02 PTEK HOLDINGS INC GA X X 01/15/03 PUGET ENERGY INC /WA WA X 01/15/03 PUMATECH INC DE X X 01/15/03 PURCHASEPRO COM INC NV X 01/08/03 QUANTITATIVE METHODS CORP NV X X 12/31/02 REPUBLIC BANCORP INC MI X 01/14/03 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 01/15/03 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/03 RMED INTERNATIONAL INC CO X 01/15/03 ROCKWELL COLLINS INC DE X X 01/14/03 ROHN INDUSTRIES INC DE X X 12/31/02 AMEND SAKS CREDIT CARD MASTER TRUST NV X X 01/15/03 SANMINA-SCI CORP DE X X 01/15/03 AMEND SAXON ASSET SECURITIES CO MORT LN AS VA X 01/10/03 SCANA CORP SC X 01/15/03 SEARS CREDIT ACCOUNT MASTER TRUST II IL X X 01/15/03 SENETEK PLC /ENG/ X X 12/31/02 SIMON PROPERTY GROUP INC /DE/ DE X X 01/15/03 SOUTHTRUST CORP DE X 01/15/03 STATE STREET CORP MA X X 01/15/03 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 12/26/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 12/30/02 STRUCTURED ASSET SECURITIES CORP MOR DE X 12/25/02 SUN HEALTHCARE GROUP INC DE X X 09/15/03 SYNBIOTICS CORP CA X X 01/07/03 SYNDICATED FOOD SERVICE INTERNATIONAL FL X 12/31/02 SYNOVUS FINANCIAL CORP GA X X 01/15/03 TARRANT APPAREL GROUP CA X X 12/31/02 TECUMSEH PRODUCTS CO MI X 12/30/02 AMEND TERAFORCE TECHNOLOGY CORP DE X X 10/03/02 AMEND TRAVIS BOATS & MOTORS INC TX X X X 12/31/02 ULTRAGUARD WATER SYSTEMS CORP NV X 01/15/03 UNITED PAN EUROPE COMMUNICATIONS NV X X 01/09/03 AMEND UNITEDGLOBALCOM INC DE X X 01/09/03 AMEND VALUEVISION MEDIA INC MN X X 01/15/03 VENTURE CATALYST INC UT X 01/14/03 VERTEL CORP CA X X 01/10/03 W HOLDING CO INC PR X X 01/15/03 WELLMAN INC DE X 01/15/03 WESTERN UNITED HOLDING CO WA X 01/03/03 WESTPOINT STEVENS INC DE X X 01/10/03 WORKSTREAM INC X X 01/14/03 XM SATELLITE RADIO HOLDINGS INC DE X X 01/15/03 XM SATELLITE RADIO INC DE X X 01/15/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X X 12/23/02 ACE COMM CORP MD X X 01/07/03 ALBANY MOLECULAR RESEARCH INC DE X X 01/01/03 ALLCITY INSURANCE CO /NY/ NY X X 01/15/03 ALPHA HOSPITALITY CORP DE X X X 12/10/02 AMEND AMARILLO MESQUITE GRILL INC KS X 01/09/03 AMB PROPERTY CORP MD X 01/14/03 AMERICAN RIVER HOLDINGS CA X X 12/19/02 ANFI INC CA X X 01/09/03 ANNUITY & LIFE RE HOLDINGS LTD X X 12/31/02 ARS NETWORKS INC NH X 01/10/03 ATMOS ENERGY CORP TX X X 01/13/03 AVERY DENNISON CORPORATION DE X X 01/14/03 BANK OF AMERICA MORTGAGE SEC INC MORT DE X X 09/26/02 BAYCORP HOLDINGS LTD DE X X X 01/09/03 BEVERLY NATIONAL CORP MA X X 01/16/03 BORLAND SOFTWARE CORP DE X X 01/14/03 BRIAZZ INC WA X 12/30/02 BUCA INC /MN MN X 01/15/03 CCC INFORMATION SERVICES GROUP INC DE X 01/16/03 CENDANT MORTGAGE CAPITAL CDMC MORT PA DE X 12/26/02 CENDANT MORTGAGE CAPITAL CDMC MORT PA DE X 12/26/02 CENDANT MORTGAGE CAPITAL CDMC MORT PA DE X 12/26/02 CENTER TRUST INC MD X X 01/15/03 CENTURY ALUMINUM CO DE X X 01/16/03 CHASE CREDIT CARD MASTER TRUST NY X 12/16/02 CHASE CREDIT CARD MASTER TRUST NY X X 01/15/03 CHASE MANHATTAN BANK USA DE X X 01/15/03 CHITTENDEN CORP /VT/ VT X 01/15/03 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 07/25/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CITICORP MORTGAGE SECURITIES INC DE X 08/26/02 CLARITI TELECOMMUNICATIONS INTERNATIO DE X X 01/15/03 COMBINED PROFESSIONAL SERVICES INC NV X X 01/13/03 COMBINED PROFESSIONAL SERVICES INC NV X 12/03/02 CONSOLIDATED EDISON INC NY X X X 01/16/03 CRESCENT FINANCIAL CORP NC X 01/14/03 CRYSTALIX GROUP INTERNATIONAL INC NV X 01/13/03 AMEND CWABS INC ASSET BACKED CERTIFICATES S DE X X 12/30/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 12/30/02 CWABS INC ASSET BACKED CERTIFICATES S DE X X 01/15/03 DAKOTA GROWERS PASTA CO INC ND X X 01/11/03 DEL MONTE FOODS CO DE X X X X 12/19/02 AMEND DELTA AIR LINES INC /DE/ DE X X 01/16/03 DIGEX INC/DE DE X X 01/15/03 DORAL FINANCIAL CORP PR X X 01/15/03 DOWNEY FINANCIAL CORP DE X X 12/31/02 DRUMMOND FINANCIAL CORP DE X X 01/15/03 DUKE REALTY LIMITED PARTNERSHIP/ IN X 01/09/03 E CENTIVES INC DE X X 01/10/03 AMEND EAGLE PICHER HOLDINGS INC DE X 01/16/03 ENDOCARE INC DE X X 01/14/03 ENTRADA NETWORKS INC DE X 01/16/03 ESSEX PORTFOLIO LP CA X X 01/16/03 ESSEX PROPERTY TRUST INC MD X X 12/17/02 EXPRESS SCRIPTS INC DE X 01/15/03 EXPRESSJET HOLDINGS INC DE X 01/15/03 FAMILY DOLLAR STORES INC DE X 01/16/03 FIBERNET TELECOM GROUP INC\ DE X X 01/10/03 AMEND FIRST COLONIAL GROUP INC PA X 01/16/03 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 01/16/03 FIRST NATIONAL LINCOLN CORP /ME/ ME X 01/15/03 FIRSTBANK CORP MI X 01/16/03 FLEETBOSTON FINANCIAL CORP RI X X 01/16/03 FOG CUTTER CAPITAL GROUP INC MD X X 01/14/03 FREEPORT MCMORAN COPPER & GOLD INC DE X 01/15/03 FULTON FINANCIAL CORP PA X X 01/16/03 GENE CELL INC NV X X 01/16/03 GENERAL MOTORS ACCEPTANCE CORP DE X 01/16/03 GENERAL MOTORS CORP DE X 10/15/03 GLATFELTER P H CO PA X X 01/16/03 HANCOCK JOHN LIFE INSURANCE CO MA X X 01/16/03 HEALTH SYSTEMS SOLUTIONS INC NV X X X X 10/24/02 AMEND HOUSEHOLD INTERNATIONAL INC DE X X 12/31/02 HUMATECH INC X 01/16/03 IMAGING TECHNOLOGIES CORP/CA DE X X 09/30/02 AMEND IMS HEALTH INC DE X 01/16/03 INDEPENDENT BANK CORP /MI/ MI X 01/16/03 INKTOMI CORP DE X X 09/06/02 AMEND INRAD INC NJ X X 01/16/03 INTERDIGITAL COMMUNICATIONS CORP PA X 01/15/03 INTERNATIONAL PAPER CO /NEW/ NY X X X X 01/16/03 INTERPUBLIC GROUP OF COMPANIES INC DE X X 01/16/03 ITEX CORPORATION NV X 12/29/02 ITEX CORPORATION NV X 01/10/03 JACKSONVILLE BANCORP INC TX X X 01/16/03 JONES APPAREL GROUP INC PA X X 01/16/03 JP MORGAN CHASE COMM MORT PASS THR CE DE X X 01/13/03 KINDER MORGAN ENERGY PARTNERS L P DE X X 01/15/03 KINDER MORGAN INC KS X X 01/15/03 KINDER MORGAN MANAGEMENT LLC DE X X 01/15/03 KOGER EQUITY INC FL X X 12/07/02 LAKELAND BANCORP INC NJ X X 01/16/03 LEVI STRAUSS & CO DE X X 01/16/03 LNR PROPERTY CORP DE X 01/16/03 LOCKHEED MARTIN CORP MD X 01/16/03 LUMMI DEVELOPMENT INC DE X X 12/14/01 AMEND M&T BANK CORP NY X X 01/10/03 MAGELLAN HEALTH SERVICES INC DE X 01/16/03 MANUGISTICS GROUP 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WINTRUST FINANCIAL CORP IL X X 01/16/03 YAHOO INC DE X X 01/15/03 ZIMMERMAN SIGN CO TX X 01/16/03 ZIMMERMAN SIGN CO TX X 01/16/03 ZIX CORP TX X 01/15/03