SEC NEWS DIGEST Issue 2002-152 August 7, 2002 ENFORCEMENT PROCEEDINGS EX-STOCKBROKER JAMES NIES BARRED FROM THE SECURITIES INDUSTRY James A. Nies, formerly a Charlotte, North Carolina, stockbroker, has been barred from association with any broker-dealer. The sanction was ordered in an administrative proceeding before an administrative law judge. Nies had been enjoined from violations of the antifraud provisions of the federal securities laws after he engaged in a fraudulent scheme that involved the stock of banks that were converting from mutually owned thrifts to publicly traded companies. His wrongdoing occurred during his employment with a broker-dealer that was a predecessor to Wachovia Securities, Inc. (Rel. 34-46317; File No. 3-10830) JOSEPH PALERMO ORDERED TO PAY DISGORGEMENT OF INSIDER TRADING PROFITS AFTER JURY VERDICT Joseph C. Palermo, a former New York City corrections officer was ordered to pay full disgorgement by Judge Allen G. Schwartz of the United States District Court for the Southern District of New York. Judge Schwartz's order, which was issued July 17, 2002, resulted from a three day jury trial which concluded with a verdict that Palermo, a third level tippee, had purchased out of the money put options in Edison Brothers Stores in August 1996 and tipped additional individuals allowing them to trade on inside information as well. All other defendants consented to entry of judgment against them without admitting or denying the allegations of the complaint. For more information see LR- 16314. [SEC v. Joseph C. Palermo, USDC, SDNY, C.A. No. 99-CV-10067] (LR- 17662) SEC FILES COMPLAINT ALLEGING THAT ARDIAN FINANCE GROUP CONDUCTED A FRAUDULENT UNREGISTERED OFFERING THAT RAISED OVER $1.2 MILLION FROM INVESTORS On August 6, the Commission filed an emergency injunctive action in the United States Court for the Eastern District of New York alleging that Ardian Finance Group (Ardian) conducted a fraudulent unregistered offering that raised over $1.2 million from at least 70 investors. Vladislav Tartakovsky, the President of Ardian, orchestrated this fraudulent offering, and he retained Michael Yeninas and Michael Green to solicit investors to purchase Ardian securities. Ardian, Tartakovsky, Yeninas and Green all made material misrepresentations to investors to induce them to purchase Ardian securities. The Commission's complaint names the following defendants: * Ardian, a Delaware corporation, which has its principal place of business in Long Island City, New York. Ardian is purportedly in the business of providing short-term financing, including factoring and check- cashing services for small businesses. * Tartakovsky, age 31, a resident of Fair Lawn, New Jersey. Tartakovsky is the President of Ardian. * Yeninas, age 28, a resident of Queens, New York. * Green, age and residence unknown, who is purportedly a "Senior Financial Consultant" to Ardian. Specifically, the complaint alleges the following: From approximately October 2001 through the present, Tartakovsky orchestrated a fraudulent unregistered offering of Ardian securities through which Ardian raised approximately $1.2 million from at least 70 investors. To facilitate this Offering, Ardian and Tartakovsky retained Yeninas and Green and other salespersons to offer and sell Ardian securities to investors. In connection with its Offering, Ardian provided private offering memoranda (POM), which Tartakovsky helped prepare, to investors. The POM contained material misrepresentations. For instance, Ardian claimed that it had a "matching fund commitment by an unrelated third party financing institution" to provide funds to finance Ardian's operations. This representation was false. Ardian had no such agreement. In its POM, Ardian also claimed that William Marconi (Marconi) and Michael Rehzets (Rehzets) were currently serving as officers and/or directors of Ardian. This representation too was false. To date, neither Rehzets nor Marconi has performed any functions for Ardian. In connection with their efforts to solicit investors, Yeninas and Green also concocted a variety of purported facts to persuade investors to purchase Ardian securities. Among other things, Yeninas and Green told investors that (i) Ardian was planning an initial public offering (IPO) on a date certain (i.e. July 2002), and (ii) investors could sell their stock the first day Ardian stock was publicly traded at a specific price (i.e. $5-7 per share), which was a significant premium over the $2.00 to $2.50 per share that the investor was paying to purchase the stock in the Offering. These representations were false. In fact, Ardian had not taken any steps to conduct an IPO. Additionally, Yeninas told investors that Ardian was financing companies involved in the Ground Zero clean-up following the September 11, 2001 terrorist attacks. This representation was false. Ardian provided no such financing. The Commission alleges that through this conduct, Ardian, Tartakovsky, Yeninas and Green violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934. Additionally, Green violated Section 15(a)(1) of the Exchange Act. In addition to expedited relief, including a temporary restraining order, the Commission is seeking permanent injunctions, and disgorgement and prejudgment interest against all of the defendants. The Commission is also seeking civil penalties against Tartakovsky, Yeninas and Green. Additionally, the complaint names JBS Investments, Inc., a New Jersey corporation with its principal place of business in Brooklyn, New York, as a relief defendant. [SEC v. Ardian Finance Group, et al., C.A. No. CV 02 4386 (EDNY)] (LR-17663) INVESTMENT COMPANY ACT RELEASES THE PHOENIX EDGE SERIES FUND, ET AL. An order has been issued on an application filed by The Phoenix Edge Series Fund, et al., exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-25693 - August 6) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2002-43) filed by the Philadelphia Stock Exchange increasing the maximum guarantee size for AUTO-X eligible orders in options on the Nasdaq-100 Index Tracking Stock from 250 contracts to 1,000 contracts has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of August 12. (Rel. 34-46307) A proposed rule change and Amendment No. 1 thereto filed by the National Association of Securities Dealers relating to the modification of a pilot program to provide daily share volume reports via NasdaqTrader.com (SR-NASD-2002-90) has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of August 12. (Rel. 34-46316) 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-1 HORIZON NR LLC, 2000 ASHLAND DRIVE, ASHLAND, KY, 41101, 6069207400 - 450,000,000 ($450,000,000.00) Non-Convertible Debt, (File 333-97693 - Aug. 6) (BR. 04) S-8 FAIR ISAAC & COMPANY INC, 200 SMITH RANCH ROAD, SAN RAFAEL, CA, 94903, 4154722211 - 0 ($141,513,955.00) Equity, (File 333-97695 - Aug. 6) (BR. 08) S-3 WASTE MANAGEMENT INC, 1001 FANNIN STREET, STE 4000, HOUSTON, TX, 77002, 7135126200 - 0 ($1,868,070,886.00) Other, (File 333-97697 - Aug. 6) (BR. 06) S-4 WASTE MANAGEMENT INC, 1001 FANNIN STREET, STE 4000, HOUSTON, TX, 77002, 7135126200 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-97699 - Aug. 6) (BR. 06) S-8 PRESTIGE GROUP NET INC, 4610 SO. ULSTER STREET, SUITE 150, DENVER, CO, 80237, 720-528-7303 - 1,000,000 ($310,000.00) Equity, (File 333-97701 - Aug. 6) (BR. 09) S-8 FAIRCHILD CORP, 45025 AVIATION DR, STE 400, DULLES, VA, 20166, 7034785800 - 500,000 ($2,305,000.00) Equity, (File 333-97703 - Aug. 6) (BR. 06) S-4 NORTHERN BORDER PIPELINE CO, 1111 SOUTH 103RD STREET, OMAHA, NE, 68124-1000, 4023987700 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-97705 - Aug. 6) (BR. 02) S-8 AES CORPORATION, 1001 N 19TH ST, STE 2000, ARLINGTON, VA, 22209, 7035221315 - 0 ($15,375,000.00) Equity, (File 333-97707 - Aug. 6) (BR. 02) S-8 RARE HOSPITALITY INTERNATIONAL INC, 8215 ROSWELL RD, BLDG 600, ATLANTA, GA, 30350, 7703999595 - 900,000 ($23,730,691.82) Equity, (File 333-97711 - Aug. 6) (BR. 05) S-8 NOVELL INC, 1800 SOUTH NOVELL PLACE, PROVO, UT, 84606, 8018617000 - 35,449,718 ($130,749,417.00) Equity, (File 333-97713 - Aug. 6) (BR. 03) S-3 SOVRAN SELF STORAGE INC, 5166 MAIN ST, WILLIAMSVILLE, NY, 14221, 7166331850 - 0 ($83,371,266.00) Equity, (File 333-97715 - Aug. 6) (BR. 08) N-2 SCUDDER RREEF REIT FUND INC, 875 N MICHIGAN, CHICAGO, IL, 60611, 8888978480 - 1,000 ($15,000.00) Equity, (File 333-97717 - Aug. 6) (BR. 18) S-8 VIEWPOINT CORP/NY/, 498 SEVENTH AVE, NEW YORK, NY, 10018, 8055666200 - 0 ($29,217,500.00) Equity, (File 333-97719 - Aug. 6) (BR. 03) S-4 VERTIS INC, 250 WEST PRATT STREET 18TH FL, BALTIMORE, MD, 21201, 4105289800 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-97721 - Aug. 6) (BR. ) S-1 LOEWS CINEPLEX ENTERTAINMENT CORP, 711 FIFTH AVE 11TH FLOOR, NEW YORK, NY, 10022, 2128336200 - 0 ($300,000,000.00) Equity, (File 333-97723 - Aug. 6) (BR. 05) S-8 MAXXZONE COM INC, 1770 N GREEN VALLEY PARKWAY ST 3214, HENDERSON, NV, 89014, 702-616-7337 - 225,000 ($24,750.00) Equity, (File 333-97725 - Aug. 6) (BR. 08) S-4 EBAY INC, 2125 HAMILTON AVENUE, SAN JOSE, CA, 95125, 4085587400 - 0 ($1,304,116,007.00) Equity, (File 333-97727 - Aug. 6) (BR. 08) S-8 EBAY INC, 2125 HAMILTON AVENUE, SAN JOSE, CA, 95125, 4085587400 - 0 ($1,080,800,000.00) Equity, (File 333-97729 - Aug. 6) (BR. 08) S-4 SYBRON DENTAL SPECIALTIES INC, 1717 WEST COLLINS AVENUE, ORANGE, CA, 92867, 7145167400 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-97733 - Aug. 6) (BR. 01) S-8 21ST CENTURY TECHNOLOGIES INC, 5050 EAST BELKNAP, HALTOM CITY, TX, 76117, 8172840099 - 50,000,000 ($1,450.00) Equity, (File 333-97735 - Aug. 6) (BR. 09) S-4 CHEVRON PHILLIPS CHEMICAL CO LLC, 10001 SIX PINES DR, THE WOODLANDS, TX, 77380, 8328134100 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-97737 - Aug. 6) (BR. 04) S-8 SYMPHONY TELECOM CORP, 41 GEORGE STREET SOUTH, BRAMPTON ONTARIO CANADA, L6Y 2E1, A6, 00000, 85228442988 - 23,000,000 ($690,000.00) Equity, (File 333-97739 - Aug. 6) (BR. 03) S-8 PLX TECHNOLOGY INC, 390 POTRERO AVENUE, SUNNYVALE, CA, 94086, 4087749060 - 900,000 ($2,367,000.00) Equity, (File 333-97741 - Aug. 6) (BR. 36) 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 ------------------------------------------------------------------------------------ ACTERNA CORP DE X X 08/06/02 ADAM INC GA X X 08/06/02 AGILENT TECHNOLOGIES INC DE X X 08/06/02 AIRTRAX INC NJ X X 07/15/02 ALLTEL CORP DE X X 08/01/02 AMEDISYS INC DE X X 08/06/02 AMERICAN CLASSIC VOYAGES CO DE X X 07/30/02 ANALOG DEVICES INC MA X X 08/06/02 ANDREW CORP DE X 06/04/02 AMEND ARVINMERITOR INC IN X X 08/06/02 AUTHENTIDATE HOLDING CORP DE X X 08/05/02 AVERY DENNISON CORPORATION DE X X 08/06/02 BALLY TOTAL FITNESS HOLDING CORP DE X X 08/06/02 BANYAN CORP /OR/ OR X X X 08/05/02 BEAR STEARNS ALT A TR MORTGAGE PASS T NY X X 07/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 07/25/02 BEAR STEARNS AS BCK SEC TR 2001-AC1 A DE X X 07/25/02 BEAR STEARNS ASSET BACKED SECURITIES DE X 07/29/02 AMEND BEAR STEARNS ASSET BCK SEC TR AS-BCK NY X X 07/25/02 BROWN TOM INC /DE DE X X 08/05/02 CABOT CORP DE X X 08/05/02 CABOT MICROELECTRONICS CORP DE X X 08/05/02 CANAL CAPITAL CORP DE X 08/05/02 CAPITAL AUTO RECEIVABLES INC DE X X 08/02/02 AMEND CARBIDE GRAPHITE GROUP INC /DE/ DE X X 07/26/02 CARDIMA INC DE X X 08/06/02 CAREADVANTAGE INC DE X 07/30/02 CHARTER COMMUNICATIONS INC /MO/ DE X X X 08/06/02 CHESAPEAKE ENERGY CORP OK X 08/05/02 CHILDTIME LEARNING CENTERS INC MI X X X 07/19/02 CLICK2LEARN INC/DE/ DE X X 08/06/02 COACHMEN INDUSTRIES INC IN X X 08/05/02 COHO ENERGY INC TX X X 08/05/02 COM21 INC DE X X 07/19/02 COMMUNITY BANCSHARES INC /NC/ NC X X 08/02/02 COMPETITIVE TECHNOLOGIES INC DE X 07/16/02 CONCERO INC DE X 08/01/02 COOPER INDUSTRIES LTD X X X 08/06/02 CORIO INC DE X 08/01/02 CYTYC CORP DE X X 08/01/02 DEERE & CO DE X 08/06/02 DIOMED HOLDINGS INC NV X X 08/06/02 DOE RUN RESOURCES CORP NY X X 08/06/02 DRYCLEAN USA INC DE X X 07/31/02 DST SYSTEMS INC DE X 08/02/02 DYNCORP DE X 08/06/02 E TRADE BANK ARM TRUST MORTGAGE PASS DE X X 07/25/02 EARTHLINK INC DE X X 07/25/02 EAST TEXAS FINANCIAL SERVICES INC DE X X 08/02/02 EBAY INC DE X 08/06/02 ELECTRONIC DATA SYSTEMS CORP /DE/ DE X X 07/26/02 ELEPHANT TALK COMMUNICATIONS INC CA X X 08/02/02 EMAGIN CORP NV X 07/29/02 ENTRAVISION COMMUNICATIONS CORP DE X X 08/06/02 EUROTECH LTD DC X X 07/24/02 EXELON CORP PA X 08/06/02 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 08/05/02 FIRST HORIZON ASSET SECURITIES INC DE X X 07/30/02 FIRST NORTHERN COMMUNITY BANCORP CA X 07/30/02 FLEMING COMPANIES INC /OK/ OK X 08/05/02 FNANB CREDIT CARD MASTER TRUST X 08/06/02 FREEREALTIME COM INC DE X X 07/22/02 FULLCOMM TECHNOLOGIES INC DE X X X X 07/22/02 GE CAPITAL COMMERCIAL MORT CORP MORT DE X X 08/02/02 GENERAL CABLE CORP /DE/ DE X X 08/06/02 GENERAL MOTORS CORP DE X 08/06/02 GILLETTE CO DE X 08/05/02 GILLETTE CO DE X X 07/30/02 GOLDMAN SACHS GROUP INC/ DE X X 08/06/02 GRAHAM CORP DE X X 06/30/02 GREATER BAY BANCORP CA X X X 08/06/02 GUILFORD MILLS INC DE X 08/05/02 HANOVER COMPRESSOR CO / DE X X 08/05/02 HARBOURTON FINANCIAL CORP DE X X 08/05/02 HAUSER INC DE X 07/30/02 HCC INSURANCE HOLDINGS INC/DE/ DE X 08/05/02 HERITAGE PROPERTY INVESTMENT TRUST IN MD X X X 08/06/02 HFC REVOLVING CORP HOUSEHOLD HOME EQU DE X 07/22/02 HILTON HOTELS CORP DE X X 08/05/02 HOUSEHOLD AUTOMOTIVE TRUST VI SERIES NV X 07/17/02 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 07/22/02 HOUSEHOLD REVOLVING HOME EQUITY LOAN DE X 07/22/02 HOVNANIAN ENTERPRISES INC DE X X 08/05/02 IMPROVENET INC DE X X 07/31/02 INTELEFILM CORP MN X X 08/05/02 INTERSTATE NATIONAL DEALER SERVICES I DE X X 08/06/02 AMEND ION NETWORKS INC DE X X 07/31/02 ION NETWORKS INC DE X X 08/06/02 JDS UNIPHASE CORP /CA/ DE X X 06/29/02 LCC INTERNATIONAL INC DE X 08/05/02 LIBERTY CORP SC X 08/06/02 LIBERTY CORP SC X 08/06/02 LIBERTY SELF STOR INC MD X 08/05/02 LORAL SPACE & COMMUNICATIONS LTD D0 X 08/06/02 MAGNA ENTERTAINMENT CORP DE X X 06/30/02 MARK SOLUTIONS INC DE X 07/29/02 MCG CAPITAL CORP DE X X 08/06/02 MCLEODUSA INC DE X X 07/16/02 MERRY LAND PROPERTIES INC GA X 12/31/02 METLIFE INC DE X X 08/05/02 MILINX BUSINESS GROUP INC DE X 07/24/02 MINORPLANET SYSTEMS USA DE X X 08/02/02 MOBILE PET SYSTEMS INC DE X X 08/06/02 MONY GROUP INC DE X X X 08/06/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X X 04/26/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X X 04/25/02 MOTHERS WORK INC DE X 08/06/02 MTS INC CA X X 08/05/02 MURPHY OIL CORP /DE DE X 08/05/02 NATIONAL HEALTH INVESTORS INC MD X 08/05/02 NEOWARE SYSTEMS INC DE X 08/06/02 NETRO CORP CA X X 08/02/02 NETRO CORP CA X 08/02/02 AMEND NETSMART TECHNOLOGIES INC DE X X 12/31/01 AMEND NEWPOWER HOLDINGS INC DE X X 07/19/02 NN INC DE X X 08/06/02 NORTH EUROPEAN OIL ROYALTY TRUST DE X 07/31/02 NUMERICAL TECHNOLOGIES INC DE X X 08/01/02 OMEGA WORLDWIDE INC MD X X 08/01/02 OMNICOM GROUP INC NY X 08/06/02 ONLINE POWER SUPPLY INC NV X 07/30/02 ONLINE POWER SUPPLY INC NV X 08/06/02 ONTRO INC CA X 08/06/02 OPTICAL CABLE CORP VA X 07/30/02 OPTION ONE MORTGAGE LOAN TR ASSET BAC DE X 08/06/02 ORIENT EXPRESS HOTELS LTD X 07/22/02 PACIFIC GAS & ELECTRIC CO CA X 08/06/02 PARADIGM GENETICS INC X 07/18/02 PAYPAL INC DE X 08/06/02 PG&E CORP CA X 08/06/02 PG&E NATIONAL ENERGY GROUP INC DE X 08/06/02 POLAND COMMUNICATIONS INC NY X X 07/10/02 AMEND POWERCOLD CORP NV X 08/01/02 PPG INDUSTRIES INC PA X 08/05/02 PRESTIGE GROUP NET INC NV X X 08/05/02 PRICE COMMUNICATIONS CORP NY X X 08/05/02 PRIMECORE MORTGAGE TRUST INC MD X 08/06/02 PRUDENTIAL FINANCIAL INC NJ X X 08/06/02 PSYCHIATRIC SOLUTIONS INC DE X X 08/05/02 PURCHASESOFT INC DE X 07/31/02 RAILWORKS CORP DE X 07/30/02 RAZORFISH INC DE X 08/05/02 REPEATER TECHNOLOGIES INC DE X X 08/05/02 RFS HOTEL INVESTORS INC TN X 08/06/02 RJ REYNOLDS TOBACCO HOLDINGS INC DE X 08/06/02 ROCKWELL AUTOMATION INC DE X 08/06/02 RURAL CELLULAR CORP MN X X 08/05/02 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 02/25/02 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 03/25/02 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 04/25/02 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 05/28/02 SALOMON BROS MORT SEC VII SAL HOME EQ DE X 06/25/02 SANDATA TECHNOLOGIES INC DE X 08/05/02 SAVE THE WORLD AIR INC NV X X 06/14/02 SCE FUNDING LLC DE X 08/06/02 SCIOS INC DE X X 08/05/02 SECURITY ASSOCIATES INTERNATIONAL INC DE X 07/29/02 SEQUIAM CORP CA X X 07/19/02 SHALLBETTER INDUSTRIES INC MN X X 07/19/02 AMEND SILICON IMAGE INC DE X 08/02/02 SKYLINE CORP IN X 08/06/02 SNELLING TRAVEL INC CO X X 08/02/02 SOBIESKI BANCORP INC DE X X 08/02/02 SONICWALL INC CA X X 07/31/02 SOUTH FINANCIAL GROUP INC SC X X 08/06/02 SSP SOLUTIONS INC DE X X 07/25/02 AMEND STEIN MART INC FL X 08/06/02 STEPAN CO DE X 08/01/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 07/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 07/25/02 STRUCTURED ASSET SEC CORP MORT PASS T X X 07/25/02 SURGICARE INC/DE DE X X X 06/04/02 SYKES ENTERPRISES INC FL X 08/05/02 TECH LABORATORIES INC NJ X X 08/02/02 TELLABS INC DE X 08/06/02 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 07/25/02 TOMAHAWK INDUSTRIES INC NV X X 08/01/02 TRIANGLE PHARMACEUTICALS INC DE X X 08/05/02 UNITED COMMUNITY BANCORP NC X 08/02/02 UNITED GUARDIAN INC DE X 09/30/02 UNUMPROVIDENT CORP DE X 08/06/02 UPC POLSKA INC DE X X 07/10/02 AMEND US AIRWAYS GROUP INC DE X X 08/06/02 V GPO INC FL X 08/06/02 VIAD CORP DE X X 08/06/02 VION PHARMACEUTICALS INC DE X X 08/05/02 WADE COOK FINANCIAL CORP NV X X X 06/10/02 WEIDER NUTRITION INTERNATIONAL INC DE X X 07/26/02 WELLS FARGO ASSET SEC CORP MORT PASS NY X X 07/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 07/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 07/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 07/25/02 WERNER ENTERPRISES INC NE X X 08/05/02 WESTERN DIGITAL CORP DE X X 08/05/02 WHIRLPOOL CORP /DE/ DE X 08/06/02 WILLIAMS COMPANIES INC DE X 08/01/02 WPCS INTERNATIONAL INC DE X X 08/05/02 AMEND XCEL ENERGY INC MN X X 07/31/02 ZIONS BANCORPORATION /UT/ UT X X 07/17/02