SEC NEWS DIGEST Issue 2003-25 February 6, 2003 COMMISSION ANNOUNCEMENTS COMMISSION SUSPENDS TRADING IN THE STOCK OF INTERNATIONAL BIOCHEMICAL INDUSTRIES, INC. The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of International BioChemical Industries, Inc. (IBCL) of Norcross, Georgia at 9:30 a.m. on Feb. 6, 2003, and terminating at 11:59 p.m. on Feb. 20, 2003. The Commission temporarily suspended trading in the securities of IBCL because of questions that have been raised about the accuracy and adequacy of publicly disseminated information that, among other things, indicated that the federal government had contacted IBCL to discuss the effectiveness of the company's products in the war on bioterrorism. The Commission cautions broker-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff of the Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2- 11, he should refrain from entering quotations relating to IBCL's securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker-dealer or other person has any information which may relate to this matter, the Atlanta District Office of the Securities and Exchange Commission should be telephoned at (404) 842-7665 or 7638. (Rel. 34-47320) COMMISSION MEETINGS CLOSED MEETING - TUESDAY, FEBRUARY 11, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, Feb. 11, will be: Formal orders of investigation; Institution and settlement of administrative proceedings of an enforcement nature; Institution and settlement of injunctive actions; and an Opinion. CLOSED MEETING - THURSDAY, FEBRUARY 13, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, Feb. 13, will be: Institution and settlement of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. 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. RULES AND RELATED MATTERS COMPLIANCE PROGRAMS OF INVESTMENT COMPANIES AND INVESTMENT ADVISERS The Commission proposed new Rule 38a-1 under the Investment Company Act, new Rule 206(4)-7 under the Investment Advisers Act (Advisers Act), and amendments to Rule 204-2 under the Advisers Act (collectively, Proposed Rules). The Proposed Rules would require registered investment companies, business development companies, and investment advisers registered with the Commission to adopt and implement policies and procedures reasonably designed to prevent violation of the federal securities laws, review those policies and procedures annually, and appoint a chief compliance officer. The Commission also asked for comment on other possible approaches for involving the private sector in fostering compliance by investment companies and investment advisers with the federal securities laws. Specifically, the Commission requested comment on a requirement that investment companies and investment advisers undergo periodic third- party reviews, an expansion in the scope of the investment company audits performed by independent public accountants to include an examination of compliance controls, the formation of one or more self- regulatory organizations for investment companies or investment advisers, and a requirement that investment advisers obtain a fidelity bond. Comments are due on or before April 18, 2003. (Rels. IC-25925; IA-2107; File No. 3-S7-03-03) ENFORCEMENT PROCEEDINGS IN THE MATTER OF DALE FREY, ROGER RAWLINGS AND WILLIAM PIONTEK An Administrative Law Judge has issued an Initial Decision in the matter of Dale E. Frey, Roger A. Rawlings, and William C. Piontek. The Initial Decision concludes that Respondent William C. Piontek violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder, by willfully engaging in unauthorized trading and recommending unsuitable securities. Respondent Piontek was barred from associating with a broker or dealer, a member of a national securities exchange, or registered securities association for six months. He was also ordered to cease and desist from committing or causing violations or future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. (Initial Decision No. 221; File No. 3-10310) IN THE MATTER OF APPLICATIONS OF ENRON CORP. The Chief Administrative Law Judge has issued an initial decision in the matter of Applications of Enron Corp. The Chief Administrative Law Judge denied Enron Corp.'s (Enron) applications for orders exempting it from the provisions of the Public Utility Holding Company Act of 1935. Enron applied for an exemption pursuant to Section 3(a)(1), because it could no longer provide the financial information required by Form U-3A-2 to retain the exemption. Enron also applied for an exemption pursuant to Section 3(a)(3) and Section 3(a)(5), to provide Enron relief from the Federal Energy Regulatory Commission's ownership restrictions of qualifying facilities under the Public Utility Regulatory Policies Act of 1978. The Chief Administrative Law Judge determined that Enron did not prove by a preponderance of the evidence that Enron and Portland General Electric Company (Portland General), a vertically integrated electric utility wholly owned by Enron, met the statutory criteria for any of the exemptions. Factors involved in determining the denial of Enron's Section 3(a)(1) exemption included: * From 1999 through 2001, Portland General earned an average of 34.14% of its total revenues from interstate sales. * Approximately 14% of Portland General's owned generation is located out of state. * Portland General depends to a significant degree on power purchased out of state to serve its retail customers. * From 2000 through the first nine months of 2002, Portland General earned between 9% and 19% of its gross revenues from marketing electric power interstate. * Portland General owns 20% of the Pacific Northwest AC Intertie, which is used primarily for interstate electricity sales. The Chief Administrative Law Judge also rejected arguments that Enron should be granted a temporary exemption under Section 3(a)(3) and Section 3(a)(5). (Initial Decision No. 222; File No. 3-10909) SEC CHARGES BROKER TODD EBERHARD, AND HIS FIRMS, WITH SECURITIES FRAUD AND LOOTING OF CUSTOMER BROKERAGE ACCOUNTS The Commission announced today that it filed an emergency action on Feb. 5 charging securities fraud, including looting of customer brokerage accounts, against broker and television investment personality Todd M. Eberhard and his brokerage and investment advisory firms, Park South Securities, LLC (Park South), a registered broker-dealer and registered investment adviser,, and Eberhard Investment Associates, Inc. (EIA), an investment adviser that was not registered with the Commission. The complaint also names Stone House Capital Partners LP (Stone House), a Park South affiliated hedge fund, as a relief defendant that received transfers of Park South customer funds at Eberhard's direction. The complaint alleges that Eberhard and his companies systematically concealed substantial losses in customer accounts by, among other things, issuing phony customer account statements and making other material misrepresentations about the value of the accounts. The defendants also misappropriated customer funds by moving assets back and forth between the accounts of unrelated customers without knowledge or authority of the customers, and by making unauthorized wire transfers out of customer accounts - essentially looting the accounts. The fraud was ongoing: defendants continued to misrepresent the value of customer account balances as recently as last week. Upon the Commission's application, the United States District Court for the Southern District of New York today entered a temporary restraining order, and an order freezing the assets of Eberhard and his entities as well as assets of Stone House that are traceable to Eberhard's customers. The Court also appointed a receiver for Park South and EIA and ordered an immediate verified accounting from all defendants and expedited discovery. The litigation is pending. The Commission would like to thank the United States Attorney's Office for the Southern District of New York for its assistance and cooperation in this matter. [SEC v. Eberhard, et al., SDNY, Civ. 03 CV 813 (RJB)] (LR-17969) PHARMACEUTICAL COMPANY ACCOUNTING MANAGER CRIMINALLY INDICTED ON INSIDER TRADING CHARGES The Commission announced today that, on Jan. 30, 2003, Timothy J. Potter of Bedford, New Hampshire, was criminally indicted by the United States Attorney for the District of New Hampshire on insider trading charges. Potter is scheduled to be arraigned on Feb. 13, 2003. According to the indictment in United States of America v. Timothy John Potter (Criminal No. 03-21-01-JD, District of New Hampshire), Potter was employed as a manager in the accounting department of Sepracor, Inc., a publicly-traded pharmaceutical company based in Marlborough, Massachusetts. The indictment alleges that, on Oct. 18, 2000, Potter learned that representatives of Eli Lilly and Company had informed Sepracor they intended to recommend that Lilly terminate an exclusive license agreement with Sepracor concerning an antidepressant drug under development. The indictment further alleges that, on or about Oct. 18, 2000, Potter disclosed the material, nonpublic information to a co- conspirator, who used the information to purchase Sepracor put options and made an overnight profit of $55,313 when he sold the options the next day following Sepracor's public announcement of the termination. On April 18, 2001, the co-conspirator used the profits of that transaction to make a $55,000 payment to Potter. According to the indictment, Potter and the co-conspirator made false and misleading statements, under oath, to attorneys on the Commission staff who were investigating the co-conspirator's purchase of the Sepracor put options. The indictment charges Potter with one count each of securities fraud and conspiracy to commit securities fraud, based on the illegal insider trading. If convicted on the criminal charges, Potter faces up to five years imprisonment and a fine of up to $250,000 on each of the counts. Earlier on Jan. 30, 2003, the Commission filed a civil fraud case charging Timothy Potter and his father, George R. Potter, of Bedford, New Hampshire, with insider trading based on George Potter's Oct. 18, 2000 purchase of Sepracor options after he was tipped by Timothy Potter concerning Eli Lilly's potential license termination. According to the Commission's complaint, by their conduct, the defendants violated the antifraud provisions of the Securities Exchange Act of 1934. The Commission's complaint seeks injunctive relief, disgorgement of the profits from their insider trading, plus prejudgment interest, and civil monetary penalties against each of the defendants of up to three times the amount of their profits from their insider trading. [SEC v. Timothy J. Potter and George R. Potter, USDC, District of New Hampshire, C.A. No. C-03-32-M)] (LR-17970) INVESTMENT COMPANY ACT RELEASES EVERGREEN VENTURES LLC, ET AL. An order has been issued on an application filed by Evergreen Ventures LLC, et al. under Sections 6(b) and 6(e) of the Investment Company Act. The order exempts certain investment funds formed for the benefit of eligible current and former employees of Pillsbury Winthrop LLP and its affiliates from certain provisions of the Act. Each fund will be an "employees' securities company" within the meaning of Section 2(a)(13) of the Act. (Rel. IC-25926 - Feb. 5) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change and granted accelerated approval to Amendment No. 1 to the proposed rule change submitted by the National Association of Securities Dealers (SR-NASD-2002-134) relating to exemptions from options position and exercise limits. (Rel. 34- 47307) The Commission approved a proposed rule change and Amendment No. 1 thereto submitted by the American Stock Exchange to permit limited side- by-side trading and integrated market making of certain iShares Lehman Treasury Index exchange-traded fund shares and their related options (SR- Amex-2002-96). (Rel. 34-47312) The Commission approved a proposed rule submitted by the Chicago Board Options Exchange (SR-CBOE-2002-49) relating to RAES access rules for broad-based index options and options on exchange-traded funds on broad- based indexes. (Rel. 34-47318) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the National Association of Securities Dealers to make permanent Nasdaq's pilot program that makes available certain Nasdaq services and facilities until 6:30 P.M. Eastern Time (SR- NASD-2003-14) 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 Feb. 10. (Rel. 34- 47308) 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 CALYPSO WIRELESS INC, 5979 NW 151ST STREET, MIAMI LAKES, FL, 33014, 7136547777 - 0 ($800.00) Equity, (File 333-102967 - Feb. 5) (BR. 05) S-1 COMMUNICATION INTELLIGENCE CORP, 275 SHORELINE DR 6TH FL, STE 520, REDWOOD SHORES, CA, 94065, 6508027888 - 0 ($9,039,331.00) Equity, (File 333-102968 - Feb. 5) (BR. 03) S-3 REVLON INC /DE/, 625 MADISON AVENUE, NEW YORK, NY, 10022, 2125274000 - 3,913,044 ($9,000,000.00) Equity, (File 333-102969 - Feb. 5) (BR. 02) S-3 SCHERING PLOUGH CORP, ONE GIRALDA FARMS, MADISON, NJ, 07940-1000, 9738227000 - 0 ($2,000,000,000.00) Other, (File 333-102970 - Feb. 5) (BR. 01) SB-2 FREEDOM BANCSHARES INC, P O BOX 788, COMMERCE, GA, 30529, 7064232500 - 1,300,000 ($13,000,000.00) Equity, (File 333-102971 - Feb. 5) (BR. ) S-8 BIO STANDARD CORP, 301 CLEMATIS STREET, SUITE 3000, WEST PALM BEACH, FL, 33401, 561-651-7336 - 1,205,000 ($21,690.00) Equity, (File 333-102973 - Feb. 5) (BR. 07) S-8 NARA BANCORP INC, 3701 WILSHIRE BLVD, SUITE 220, LOS ANGELES, CA, 90010, 2136391700 - 0 ($440,800.00) Equity, (File 333-102974 - Feb. 5) (BR. 07) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 3,000 ($23,610.00) Equity, (File 333-102975 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 5,000 ($41,550.00) Equity, (File 333-102976 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 6,000 ($49,800.00) Equity, (File 333-102977 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 500,000 ($2,995,000.00) Equity, (File 333-102978 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 7,000 ($58,170.00) Equity, (File 333-102979 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 18,000 ($141,660.00) Equity, (File 333-102980 - Feb. 5) (BR. 36) S-8 CONCORD CAMERA CORP, 4000 HOLLYWOOD BLVD, STE 650 NORTH, HOLLYWOOD, FL, 33021, 9543314211 - 500,000 ($2,995,000.00) Equity, (File 333-102981 - Feb. 5) (BR. 36) S-8 HOLLYWOOD ENTERTAINMENT CORP, 9275 SW PEYTON LANE, WILSONVILLE, OR, 97070, 5035701600 - 3,000,000 ($39,780,000.00) Equity, (File 333-102982 - Feb. 5) (BR. 05) S-3 3DO CO, 200 CARDINAL WAY, REDWOOD CITY, CA, 94063, 6502613000 - 558,205 ($1,200,141.00) Other, (File 333-102983 - Feb. 5) (BR. 03) S-4 MAIN STREET BANKS INC /NEW/, 676 CHASTAIN ROAD, KENNESAW, GA, 30144, 7704222888 - 0 ($24,011,000.00) Equity, (File 333-102984 - Feb. 5) (BR. 07) S-8 VERISITY LTD, 2041 LANDINGS DRIVE, MOUNTAIN VIEW, CA, 94043, 4154341665 - 0 ($8,569,000.00) Equity, (File 333-102985 - Feb. 5) (BR. 03) S-B NORDIC INVESTMENT BANK, FABIANINKATU 34, PB 249, HELSINKI FINLAND, H9, 00171, 011358918001 - 0 ($1,213,737,500.00) Non-Convertible Debt, (File 333-102986 - Feb. 5) (BR. DN) S-8 UNICO INC /AZ/, 6475 GRANDVIEW AVE, MAGALIA, CA, 95954, 5308734394 - 2,000,000 ($190,000.00) Equity, (File 333-102987 - Feb. 5) (BR. 04) S-3 QUESTCOR PHARMACEUTICALS INC, 26118 RESEARCH ROAD, HAYWARD, CA, 94545, 5107325551 - 14,186,936 ($15,038,152.16) Equity, (File 333-102988 - Feb. 5) (BR. 01) S-8 MOBILITY ELECTRONICS INC, 7955 E REDFIELD RD, SCOTTSDALE, AZ, 85260, 4805960061 - 0 ($1,575,000.00) Equity, (File 333-102990 - Feb. 5) (BR. 03) S-3 WASHINGTON MUTUAL INC, 1201 THIRD AVE, STE 1500, SEATTLE, WA, 98101, 2064612000 - 0 ($1,250,000,000.00) Other, (File 333-102991 - Feb. 5) (BR. 07) S-8 FLIR SYSTEMS INC, 16505 SW 72ND AVE, PORTLAND, OR, 97224, 5036843731 - 1,500,000 ($69,735,000.00) Equity, (File 333-102992 - Feb. 5) (BR. 05) S-3 VIROLOGIC INC, 345 OYSTER POINT BLVD., SOUTH SAN FRANCISCO, CA, 94080, 650.635.1100 - 14,935,103 ($13,142,890.64) Equity, (File 333-102995 - Feb. 5) (BR. 01) S-8 ROCKY MOUNTAIN ENERGY CORP, 333 N SAM HOUSTON PKWY E, SUITE 910, HOUSTON, TX, 77060, 281-448-6500 - 7,600,000 ($912,000.00) Equity, (File 333-103001 - Feb. 5) (BR. 09) 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 ------------------------------------------------------------------------------------ 2KSOUNDS CORP NV X X 01/30/03 2U ONLINE COM INC DE X 02/05/03 ADEPT TECHNOLOGY INC DE X X 02/05/03 ADVANCED LIGHTING TECHNOLOGIES INC OH X X X 02/05/03 AIRBORNE INC /DE/ DE X X 02/05/03 AIRGATE PCS INC /DE/ DE X 02/03/03 ALLTEL CORP DE X X 02/05/03 AMC ENTERTAINMENT INC DE X 12/26/02 AMERICAN EXPRESS CREDIT CORP DE X 02/05/03 AMERON INTERNATIONAL CORP DE X 02/03/03 ANSYS INC DE X X 02/04/03 ANWORTH MORTGAGE ASSET CORP MD X X 02/04/03 APPLIED DNA SCIENCES INC NV X 02/02/03 APPLIX INC /MA/ MA X X 01/21/03 ATWOOD OCEANICS INC TX X X 02/05/03 AVNET INC NY X X 01/31/03 AXEDA SYSTEMS INC DE X X X 02/04/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 01/27/03 BA MORTGAGE SECURITIES INC MORT PASS DE X X 01/27/03 BEAR STEARNS ARM TRUST 2002-7 DE X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 01/27/03 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 01/27/03 BEAR STEARNS COMPANIES INC DE X X 01/30/03 BECTON DICKINSON & CO NJ X X 02/05/03 BETHLEHEM STEEL CORP /DE/ DE X X 02/05/03 BLUE RHINO CORP DE X 11/22/02 AMEND BLUE RIVER BANCSHARES INC IN X X 02/05/03 BORGWARNER INC DE X X 02/05/03 BROADCOM CORP CA X X 01/31/03 C H ROBINSON WORLDWIDE INC DE X X 02/04/03 CARIBBEAN CLUBS INTERNATIONAL INC UT X X X 11/16/02 AMEND CBL & ASSOCIATES PROPERTIES INC DE X 12/31/02 CEDAR INCOME FUND LTD /MD/ MD X 11/22/02 AMEND CHART INDUSTRIES INC DE X X 02/04/03 CHASE CREDIT CARD OWNER TRUST 2003-1 NY X X 01/15/03 CHEC FUNDING LLC CENTEX HOME EQUITY L DE X X 01/27/03 CINERGY CORP DE X X 02/05/03 COACHMEN INDUSTRIES INC IN X X 02/05/03 COLUMBUS SOUTHERN POWER CO /OH/ OH X 02/04/03 COMCAST CORP PA X 01/31/03 COMMUNITY BANCORP INC DE X 01/30/03 CREDIT SUISSE FIRST BOSTON MORT BACK DE X X 01/27/03 CROWN CORK & SEAL CO INC PA X X 02/04/03 CSFB MORTGAGE BACKED PASS THR CERTS DE X X 01/27/03 CURATIVE HEALTH SERVICES INC MN X X 02/05/03 DOMINION HOMES INC OH X X 02/05/03 DREW INDUSTRIES INCORPORATED DE X X 02/05/03 ECHOSTAR COMMUNICATIONS CORP NV X 02/04/03 ECOLLEGE COM DE X X 02/03/03 ECOLLEGE COM DE X X 02/04/03 ELECTRONIC CLEARING HOUSE INC NV X X 01/29/03 ENDOCARDIAL SOLUTIONS INC DE X 02/05/03 ENERGY RIVER CORP NV X 12/18/02 AMEND ENTERPRISE TECHNOLOGIES INC DE X 02/05/03 ENVIROGEN INC DE X X 02/05/03 ERESEARCHTECHNOLOGY INC /DE/ DE X X 02/05/03 ESG RE LTD X X 01/31/03 FIRST KEYSTONE CORP PA X 01/31/03 FOREST CITY ENTERPRISES INC OH X X 02/05/03 FULLNET COMMUNICATIONS INC OK X X 01/30/03 GASCO ENERGY INC NV X 02/05/03 GENDER SCIENCES INC NJ X 12/11/02 AMEND GRANT PRIDECO INC DE X 02/05/03 GS MORTGAGE SECURITIES CORP DE X X 02/03/03 GS MORTGAGE SECURITIES CORP DE X X 02/03/03 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 02/04/03 HARRAHS ENTERTAINMENT INC DE X X 02/05/03 HCA INC/TN DE X X 02/04/03 HEALTHEXTRAS INC DE X X 12/16/02 AMEND HF FINANCIAL CORP DE X 01/31/03 HOME DIRECTOR INC DE X X 02/05/03 HOTELS COM DE X 02/05/03 IC ISAACS & CO INC DE X X 01/24/03 ICON CASH FLOW PARTNERS L P SERIES D DE X 12/31/02 ICON CASH FLOW PARTNERS L P SERIES E DE X 12/31/02 ICON CASH FLOW PARTNERS L P SEVEN DE X 12/31/02 ICON CASH FLOW PARTNERS L P SIX DE X 12/31/02 ICON INCOME FUND EIGHT /DE DE X 12/31/02 ICON INCOME FUND EIGHT B LP X 12/31/02 IMS HEALTH INC DE X X 02/05/03 INERGY L P X X 02/04/03 ISONICS CORP CA X X 12/23/02 ITLA CAPITAL CORP CA X X 02/05/03 IVILLAGE INC DE X 02/04/03 JDS UNIPHASE CORP /CA/ DE X 03/31/03 JONES APPAREL GROUP INC PA X X 02/05/03 JONES LANG LASALLE INC MD X X 02/04/03 KELLWOOD CO DE X X 02/04/03 KEY3MEDIA GROUP INC DE X X 02/03/03 KNIGHT TRADING GROUP INC DE X X 02/05/03 LABOR READY INC WA X X 02/04/03 LACLEDE STEEL CO /DE/ DE X X 01/28/03 LATINOCARE MANAGEMENT CORP NV X X 01/17/03 AMEND LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE X X 01/29/03 LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE X X 01/29/03 LEXENT INC DE X 02/05/03 M WAVE INC DE X X 02/04/03 MASCO CORP /DE/ DE X X 02/05/03 MASSEY ENERGY CO DE X X 01/30/03 MAX RE CAPITAL LTD X X 01/31/03 MBNA CORP MD X 02/04/03 MCDATA CORP DE X 02/05/03 AMEND MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 02/04/03 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 02/05/03 METROCALL INC DE X X 02/05/03 MONSANTO CO /NEW/ DE X X 02/05/03 MORTON INDUSTRIAL GROUP INC GA X 02/03/03 MPS GROUP INC FL X X 02/05/03 NAVIGANT INTERNATIONAL INC DE X X 02/04/03 NIMBUS GROUP INC X 02/03/03 NISSAN AUTO RECEIVABLES 2002 B OWNER DE X 12/31/02 AMEND NORTHWEST NATURAL GAS CO OR X 02/04/03 OHIO CASUALTY CORP OH X X 02/05/03 OHIO POWER CO OH X 02/04/03 ONEOK INC /NEW/ OK X X 02/03/03 PEGASUS SOLUTIONS INC DE X X 12/31/02 PENNICHUCK CORP NH X 02/02/03 PERRY ELLIS INTERNATIONAL INC FL X X 02/03/03 PHARMANETICS INC NC X X 02/05/03 PMA CAPITAL CORP PA X X 02/05/03 PULASKI FINANCIAL CORP DE X X 02/03/03 QUOVADX INC DE X X 02/04/03 RADIO UNICA COMMUNICATIONS CORP DE X 02/03/03 RAKO CAPITAL CORP NV X X X 02/05/03 REGIONAL BANKSHARES INC SC X 01/02/03 AMEND REVLON CONSUMER PRODUCTS CORP DE X X 02/05/03 REVLON INC /DE/ DE X X 02/05/03 RIDGEWOOD POWER GROWTH FUND /NJ DE X X 12/31/02 AMEND RIVIANA FOODS INC /DE/ DE X X 02/04/03 RIVOLI BANCORP INC GA X 02/03/03 AMEND ROYAL PRECISION INC DE X X 02/04/03 SAFETY KLEEN CORP/ DE X X 01/23/03 SALANT CORP DE X X 02/03/03 SALTON INC DE X X 02/05/03 SAVVIS COMMUNICATIONS CORP DE X X 02/04/03 SEALED AIR CORP/DE DE X 02/05/03 SHOLODGE INC TN X X 02/04/03 SOUTHERN CALIFORNIA EDISON CO CA X X 02/05/02 SPIEGEL INC DE X 02/05/03 STAKE TECHNOLOGY LTD X X 01/31/03 STATE STREET CORP MA X X 01/31/03 STRATEGIC CAPITAL RESOURCES INC DE X X 02/05/03 STRUCTURED ASSET MORT INV INC BEAR ST DE X X 01/27/03 STRUCTURED ASSET MORT 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