SEC NEWS DIGEST Issue 2002-74 April 17, 2002 ENFORCEMENT PROCEEDINGS EX-WEGARD BROKERS BARRED FROM THE SECURITIES INDUSTRY John Adams, Jr., Michael McDermott, Palmer Myers, and Gary Smolokoff, formerly stockbrokers at a "boiler room" brokerage firm, have been barred from association with any broker-dealer. The sanctions were based on their felony convictions and were ordered in an administrative proceeding before an administrative law judge. All four were convicted of conspiracy to commit securities fraud. The wrongdoing that led to their conviction occurred during their employment at L.C. Wegard & Co., Inc., where they induced unsuspecting investors to purchase speculative high-risk securities through the use of fraudulent and deceptive sales practices. The full text of the order may be found on the SEC's website, www.sec.gov. (Rel. 34-45767; File No. 3-10702) SEC ALLEGES FRAUD AGAINST WEST PALM BEACH INTERNET CASINO IN CONNECTION WITH UNREGISTERED SECURITIES OFFERING The Commission announced that on April 15 it filed an emergency federal civil action against The Gaming Factory, Inc., a Panamanian corporation, The Gaming Factory, Inc., a Florida corporation (collectively, TGF), Richard Onorato, TGF's president and Victor Selenow, a TGF sales representative in connection with an alleged fraudulent unregistered offering. TGF operates an Internet website that offers casino gaming and sports wagering. On April 15, 2002, the Honorable Donald M. Middlebrooks, United States District Judge for the Southern District of Florida entered, among other things, a temporary restraining order and an asset freeze to halt the alleged on-going fraudulent unregistered offering of securities by TGF, Onorato and Selenow. The Court also entered an order appointing a Receiver over TGF. According to the SEC's complaint (complaint), TGF, Onorato and Selenow have been offering and selling securities from its offices located in West Palm Beach, Florida. Moreover, the complaint alleges that, unbeknownst to investors, TGF and Onorato paid its sales representatives commissions ranging from 13% to 18% of the money raised. The SEC further alleges that TGF, Onorato and Selenow, among other things, misled the public about TGF's licenses with the Panamanian government, the safety and security of the investment, and TGF's current profitability. As a result, the Commission charges TGF, Onorato and Selenow with violations of 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 and Rule 10b-5 thereunder. The SEC is also seeking in its lawsuit preliminary and permanent injunctions, disgorgement of ill-gotten profits and a civil money penalty against Onorato and Selenow. [SEC v. The Gaming Factory, Inc., a Panamanian corporation, The Gaming Factory, Inc., a Florida Corporation, Richard Onorato and Victor Selenow, Case No. 02- 80331-CIV-MIDDLEBROOKS, S.D. Fla.] (LR-17472) U.S. DISTRICT COURT GRANTS SEC'S APPLICATION FOR AN ORDER COMPELLING SUBPOENA COMPLIANCE The Commission announced that the U.S. District Court for the Southern District of California granted its application for enforcement of an investigative subpoena issued to Oval Financial & Investment Group, Ltd. (Oval Financial). The Court found that Oval Financial's response to an order to show cause why it should not be compelled to comply with the Commission's subpoena was without merit. The Commission filed its application for enforcement of its subpoena on January 17, 2002. The investigative subpoena sought documents and testimony regarding, among other things, whether Oval Financial offered and sold unregistered securities and made materially false and misleading statements or omitted to state material facts concerning the use of investor proceeds and the investments' rates of return. [SEC v. Oval Financial & Investment Group, Ltd., Civil Action No. 02- CV-0117 K (JFS) (S.D. Cal.)] (LR- 17473) INVESTMENT COMPANY ACT RELEASES FIRST AMERICAN INVESTMENT FUNDS, INC., ET AL. An order has been issued on an application filed by First American Investment Funds, Inc., et al. under Section 6(c) of the Investment Company Act exempting applicants from Sections 18(f) and 21(b) of the Act; Section 12(d)(1)(J) of the Act exempting applicants from Section 12(d)(1) of the Act; Sections 6(c) and 17(b) of the Act exempting applicants from Sections 17(a)(1) and 17(a)(3) of the Act; and Section 17(d) of the Act and Rule 17d-1 under the Act. The order permits certain registered open-end management investment companies to participate in a joint lending and borrowing facility. The order also amends a prior order. (Rel. IC-25526 - April 15) THE BEAR STEARNS FUNDS, ET AL. An order has been issued on an application filed by The Bear Stearns Funds, et al., under Sections 6(c), 12(d)(1)(J), and 17(b) of the Investment Company Act and Rule 17d-1 under the Act. The order permits certain registered investment companies to pay an affiliated lending agent a fee based on a share of the revenue derived from securities lending activities; the registered investment companies to use uninvested cash and cash collateral from securities lending transactions to purchase shares of certain money market funds and private investment companies; and the registered investment companies to lend portfolio securities to affiliated broker-dealers. (Rel. IC-25527 - April 16) UTEK CORPORATION An order has been issued on an application filed by UTEK Corporation under section 61(a)(3)(B) of the Investment Company Act approving applicant's stock option plan for directors who are not employees or officers of applicant. (Rel. IC-25529 - April 16) INTEGRITY LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Integrity Life Insurance Company, et al. pursuant to Section 26(c) of the Investment Company Act, allowing the substitution of shares of the Touchstone High Yield Fund for shares of the Morgan Stanley High Yield Portfolio. (Rel. IC-25530 - April 16) HOLDING COMPANY ACT RELEASES ALLEGHENY ENERGY, INC., ET AL. A supplemental order has been issued authorizing Allegheny Energy, Inc. (Allegheny), a registered holding company, Allegheny Ventures, Inc., a nonutility subsidiary company of Allegheny, and Allegheny Energy Supply Company, L.L.C., a generating subsidiary company of Allegheny, for Allegheny to issue contracts to purchase common stock within the parameters set forth in the order dated December 31, 2001 (HCAR No. 27486) (Order) and to extend the maturity of the notes as authorized in the Order from 270 days to 364 days. (Rel. 35-27521) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2002- 10) to extend a Pilot Rule Interpretation relating to trading of Nasdaq/NM Securities in Subpenny Increments 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 April 22. (Rel. 34-45755) A proposed rule change (SR-Amex-2002-29), as amended, filed by the American Stock Exchange relating to an increase to 500 contracts in the maximum permissible number of Nasdaq-100 Tracking Stock (QQQ) option contracts in an order executable through AUTO-EX 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 April 22. (Rel. 34-45756) ORDER GRANTING PARTIAL APPROVAL OF PROPOSED RULE CHANGE AND AMENDMENT NO. 2 THERETO TO CLARIFY CERTAIN ASPECTS OF INTERPRETATION AND POLICY .02 TO CBOE RULE 6.8 The Commission partially approved a proposed rule change (SR-CBOE-99- 45), and Amendment No. 2 thereto, submitted under Rule 19b-4 of the Securities Exchange Act of 1934 by the Chicago Board Options Exchange, which clarifies certain aspects of Interpretation and Policy .02 to CBOE Rule 6.8. Publication of the proposal is expected in the Federal Register during the week of April 22. (Rel. 34-45757) APPROVAL OF PROPOSED RULE CHANGE AND AMENDMENT NOS. 1, 2, 3, AND 4 THERETO AND NOTICE OF FILING AND ORDER GRANTING ACCELERATED APPROVAL OF AMENDMENT NO. 5 THERETO The Commission approved a proposed rule change and Amendment Nos. 1, 2, 3, and 4 thereto and issued notice of filing and order granting accelerated approval to Amendment No. 5 thereto submitted by the Philadelphia Stock Exchange establishing a six-month pilot program relating to broker-dealer access to AUTOM (SR-Phlx-2001-40). (Rel. 34- 45758) PROPOSED RULE CHANGE A proposed rule change and Amendment No. 1 thereto has been filed with the Commission by the National Association of Securities Dealers relating to the permanent establishment of a minimum quotation increment for Nasdaq securities quoting in decimals (SR-NASD-2002-08). Publication of the proposal is expected in the Federal Register during the week of April 22. (Rel. 34-45763) DELISTING GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on April 17, 2002. (Rel. 34-45759) 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 AMERICAN FIRE RETARDANT CORP, 9337 BOND AVENUE, 806-479-0449, EL CAJON, CA, 92012, 619-390-68 - 7,500,000 ($375,000.00) Equity, (File 333-86290 - Apr. 16) (BR. 02) S-8 CAPITAL DEVELOPMENT GROUP INC, 4129 MAIN STREET, SUITE 3600, RIVERSIDE, CA, 92501, 9092460873 - 1,500,000 ($45,000.00) Equity, (File 333-86294 - Apr. 16) (BR. 02) N-2 PIMCO CALIFORNIA MUNICIPAL INCOME FUND II, 1345 AVENUE OF THE AMERICAS, 47TH FL, NEW YORK, NY, 10105, 1,000 ($15,000.00) Equity, (File 333-86298 - Apr. 16) (BR. ) SB-2 INTEGRATED TECHNOLOGY GROUP, 301 WEST MAIN, STE 500, ARDMORE, OK, 73401, 5802260511 - 4,000,000 ($2,600,000.00) Equity, (File 333-86300 - Apr. 16) (BR. 05) S-8 INTERNATIONAL MULTIFOODS CORP, 110 CHESHIREL LANE, SUITE 300, MINNETONKA, MN, 55305-1060, 9525943300 - 0 ($23,908,841.93) Equity, (File 333-86302 - Apr. 16) (BR. 04) S-3 FIDELITY NATIONAL CORP /GA/, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 0 ($487,500.00) Equity, (File 333-86304 - Apr. 16) (BR. 07) S-8 SUNTRUST BANKS INC, 303 PEACHTREE ST N E, ATLANTA, GA, 30308, 4045887711 - 0 ($534,640,000.00) Equity, (File 333-86306 - Apr. 16) (BR. 07) S-4 RURAL CELLULAR CORP, 3905 DAKOTA ST SW, P O BOX 2000, ALEXANDRIA, MN, 56308, 3207622000 - 0 ($300,000,000.00) Other, (File 333-86308 - Apr. 16) (BR. 37) S-3 THERMOGENESIS CORP, 3146 GOLD CAMP DRIVE, RANCHO CORDOVA, CA, 95670, 9168585100 - 3,504,310 ($8,445,387.00) Equity, (File 333-86312 - Apr. 16) (BR. 36) S-3 MONMOUTH CAPITAL CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779993 - 1,000,000 ($3,410,000.00) Equity, (File 333-86316 - Apr. 16) (BR. 08) S-3 CLICKACTION INC, 2197 EAST BAYSHORE RD, PALO ALTO, CA, 94303, 4154733600 - 0 ($227,500.00) Equity, (File 333-86318 - Apr. 16) (BR. 03) S-8 LITHIUM TECHNOLOGY CORP, 5115 CAMPUS DR, PLYMOUTH MEETING, PA, 19462-1129, 6109406090 - 7,000,000 ($1,085,000.00) Equity, (File 333-86320 - Apr. 16) (BR. 36) S-4 US ONCOLOGY INC, 16825 NORTHCHASE DR, STE 1300, HOUSTON, TX, 77060, 2818732674 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-86322 - Apr. 16) (BR. 01) S-8 SILICON IMAGE INC, 1060 EAST ARQUES AVE, SUNNYVALE, CA, 94086, 4086164000 - 0 ($30,987,520.00) Equity, (File 333-86324 - Apr. 16) (BR. 36) S-8 CITIZENS BANKING CORP, ONE CITIZENS BANKING CTR, 328 SOUTH SAGINAW STREET, FLINT, MI, 48502, 5177767568 - 7,000,000 ($229,810,000.00) Equity, (File 333-86326 - Apr. 16) (BR. 07) S-8 DDI CORP, 1220 SAMON CIRCLE, AHAMEIM, CA, 92806, 7145887200 - 0 ($10,697,725.00) Equity, (File 333-86328 - Apr. 16) (BR. 36) S-3 SUNTRUST BANKS INC, 303 PEACHTREE ST N E, ATLANTA, GA, 30308, 4045887711 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-86330 - Apr. 16) (BR. 07) S-1 BAKERS FOOTWEAR GROUP INC, 2815 SCOTT AVE, ST LOUIS, MO, 63103, 3146210699 - 0 ($27,940,000.00) Equity, (File 333-86332 - Apr. 16) (BR. ) S-4 GILLETTE CO, PRUDENTIAL TOWER BLDG, SUITE 4800, BOSTON, MA, 02199, 6174217000 - 350,000,000 ($349,587,000.00) Non-Convertible Debt, (File 333-86334 - Apr. 16) (BR. 06) S-3 GILLETTE CO, PRUDENTIAL TOWER BLDG, SUITE 4800, BOSTON, MA, 02199, 6174217000 - 0 ($1,500,000,000.00) Non-Convertible Debt, (File 333-86336 - Apr. 16) (BR. 06) S-8 HEI INC, 1495 STEIGER LAKE LN, P O BOX 5000, VICTORIA, MN, 55386, 9524432500 - 0 ($5,565,000.00) Equity, (File 333-86338 - Apr. 16) (BR. 36) S-8 LIQUID AUDIO INC, 800 CHESAPEAKE DRIVE, REDWOOD CITY, CA, 94063, 6505492000 - 0 ($3,995,247.00) Equity, (File 333-86340 - Apr. 16) (BR. 03) S-3 FEDEX CORP, 942 SOUTH SHADY GROVE ROAD, MEMPHIS, TN, 38120-, 9013693600 - 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-86342 - Apr. 16) (BR. 05) S-8 ARCHER DANIELS MIDLAND CO, 4666 FARIES PKWY, DECATUR, IL, 62526, 2174244798 - 0 ($4,194,000.00) Equity, (File 333-86344 - Apr. 16) (BR. 04) S-8 IPVOICE COMMUNICATIONS INC, 5050 N 19TH AVE, SUITE 416/417, PHOENIX, AZ, 85015, 3037381266 - 500,000 ($25,000.00) Debt Convertible into Equity, (File 333-86346 - Apr. 16) (BR. 37) S-8 ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($25,905,000.00) Equity, (File 333-86350 - Apr. 16) (BR. 01) S-1 RELIASTAR LIFE INSURANCE CO OF NEW YORK, 1000 WOODBURY ROAD, SUITE 102, WOODBURY, NY, 11797, 6104253400 - 0 ($1,000,000.00) Other, (File 333-86352 - Apr. 16) (BR. 01) S-3 SEACOAST FINANCIAL SERVICES CORP, ONE COMPASS PLACE, NEW BEDFORD, MA, 02740, 5089846000 - 0 ($51,750,000.00) Equity, (File 333-86354 - Apr. 16) (BR. 07) S-3 ANADARKO PETROLEUM CORP, 17001 NORTHCHASE DR, HOUSTON, TX, 77060-2141, 2818751101 - 0 ($1,000,000,000.00) Other, (File 333-86356 - Apr. 16) (BR. 04) S-3 FAMOUS DAVES OF AMERICA INC, 7657 ANAGRAM DR, EDEN PRAIRIE, MN, 55344, 612-557-57 - 0 ($206,960.00) Equity, (File 333-86358 - Apr. 16) (BR. 05) S-3 FIFTH THIRD BANCORP, 38 FOUNTAIN SQ PLZ, FIFTH THIRD CENTER, CINCINNATI, OH, 45263, 5135795300 - 0 ($2,000,000,000.00) Other, (File 333-86360 - Apr. 16) (BR. 07) S-3 BOISE CASCADE CORP, 1111 WEST JEFFERSON STREET, P O BOX 50, BOISE, ID, 83728-0001, 2083846161 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-86362 - Apr. 16) (BR. 04) S-3 BEAR STEARNS COMMERCIAL MORTGAGE SECURITIES INC, 245 PARK AVE, NEW YORK, NY, 10167, 2122722000 - 10,000,000,000 ($10,000,000,000.00) Mortgage Backed Securities, (File 333-86366 - Apr. 16) (BR. 05) 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 ------------------------------------------------------------------------------------ ADMIRALTY BANCORP INC DE X X 04/11/02 ADVANCE AUTO PARTS INC DE X X 04/03/02 AMEND ADVANCE STORES CO INC VA X X 04/03/02 AMEND ALLIED PRODUCTS CORP /DE/ DE X X 03/01/02 ALPH NET CONSULTING GROUP LTD NV X X X X 12/31/01 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 04/10/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 04/10/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 04/10/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR X X 04/10/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 04/10/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 04/10/02 AMSURG CORP TN X X 04/16/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 04/11/02 APTARGROUP INC DE X 04/16/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 04/15/02 ASIA GLOBAL CROSSING LTD X X 04/15/02 AT&T CORP NY X X 04/13/02 ATC HEALTHCARE INC /DE/ DE X 01/31/02 AMEND AUTODESK INC DE X X 04/01/02 BALANCED CARE CORP DE X X 03/31/02 BANK UNITED CORP LITIGATION CONTINGEN DE X X 04/05/02 BETHLEHEM STEEL CORP /DE/ DE X X 04/16/02 BETHLEHEM STEEL CORP /DE/ DE X 04/16/02 BIOENVISION INC DE X 02/01/02 BIOMARIN PHARMACEUTICAL INC DE X 04/30/02 CAPITAL AUTO RECEIVABLES INC DE X 04/15/02 CAPITAL ONE FINANCIAL CORP VA X X 04/16/02 CATERPILLAR INC DE X 04/16/02 CATERPILLAR INC DE X 04/16/02 CBCT BANCSHARES INC MD X X 04/04/02 CEPHALON INC DE X X 12/28/01 AMEND CERIDIAN CORP /DE/ DE X X 04/16/02 CHESAPEAKE ENERGY CORP OK X 04/16/02 CITIGROUP INC DE X 04/15/02 CITIZENS FINANCIAL SERVICES INC PA X 03/30/02 CLEVELAND CLIFFS INC OH X 04/15/02 COATES INTERNATIONAL LTD \DE\ DE X 04/12/02 COGNIZANT TECHNOLOGY SOLUTIONS CORP X X 04/16/02 COMMONWEALTH BANCORP INC PA X X 04/16/02 COMPUTER LEARNING CENTERS INC DE X X 04/10/02 CONTINENTAL AIRLINES INC /DE/ DE X X 04/16/02 COOPERATIVE BANKSHARES INC NC X X 04/16/02 CORPORATE ASSET BACKED CORP DE X 04/01/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 02/28/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 04/12/02 CRESCENT REAL ESTATE EQUITIES CO TX X X 04/10/02 CRESCENT REAL ESTATE EQUITIES LTD PAR DE X X 04/10/02 CROWN NORTHCORP INC DE X X 03/26/02 AMEND CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 03/25/02 CTC COMMUNICATIONS GROUP INC DE X 04/15/02 DAIMLERCHRYSLER SERVICES NORTH AMERIC MI X X 04/15/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 04/16/02 DELTA AIR LINES INC /DE/ DE X X 04/16/02 DOE RUN RESOURCES CORP NY X 04/15/02 DOWNEY FINANCIAL CORP DE X X 03/31/02 DUANE READE INC DE X 04/16/02 ECHELON CORP DE X 01/31/02 AMEND EDO CORP NY X 04/15/02 EMPIRE PETROLEUM CORP DE X X 04/16/02 EOS INTERNATIONAL INC DE X X 04/15/02 EOTT ENERGY PARTNERS LP DE X X 04/12/02 EPICEDGE INC TX X 04/08/02 EQUITY ONE ABS INC DE X X 04/16/02 ESTEE LAUDER COMPANIES INC DE X 04/16/02 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 03/31/02 FIRST INDIANA CORP IN X X 04/15/02 FLEETBOSTON FINANCIAL CORP RI X X 04/16/02 FLEMING COMPANIES INC /OK/ OK X X 04/15/02 FORWARD INDUSTRIES INC NY X X 04/11/02 FOURTHCAI INC NV X X X X X 04/09/02 FRANKLIN LAKE RESOURCES INC /NV NV X X X X 04/09/02 GATX CORP NY X X 04/16/02 GENERAL MOTORS ACCEPTANCE CORP DE X 04/16/02 GENERAL MOTORS CORP DE X 04/15/02 GOLFGEAR NV X X 04/08/02 GREATER BAY BANCORP CA X X X 04/16/02 HANOVER COMPRESSOR CO / DE X 08/31/01 AMEND HARTFORD FINANCIAL SERVICES GROUP INC DE X 03/19/02 I2 TECHNOLOGIES INC DE X X 04/15/02 IDEX CORP /DE/ DE X X 04/16/02 IMAGIS TECHNOLOGIES INC A1 X X 03/15/02 IMX PHARMACEUTICALS INC UT X 01/31/02 AMEND INDEPENDENT BANK CORP /MI/ MI X 04/16/02 INNOVATIVE SOLUTIONS & SUPPORT INC PA X 04/15/02 INTERDIGITAL COMMUNICATIONS CORP PA X X 04/10/02 J C PENNEY CO INC DE X 04/16/02 JACKSONVILLE BANCORP INC TX X X 04/15/02 JOHNSON & JOHNSON NJ X 04/16/02 JORE CORP MT X 04/15/02 JOSHUA TREE CONSTRUCTION INC NV X X 01/04/02 JOSHUA TREE CONSTRUCTION INC NV X X 03/22/02 K2 DIGITAL INC DE X 12/31/01 KANSAS CITY SOUTHERN INDUSTRIES INC DE X X 04/10/02 KNOWLES ELECTRONICS HOLDINGS INC DE X 04/12/02 L & L FINANCIAL HOLDINGS INC NV X 04/16/02 LANNETT CO INC DE X 04/16/02 LASERSIGHT INC /DE DE X X 04/16/02 LEHMAN ABS CORP KINDER MORGAN DEBEN B DE X X 04/16/02 LOGISTICS MANAGEMENT RESOURCES INC CO X X 04/01/02 LUIGINOS INC MN X 04/09/02 MAGICINC COM DE X X 04/08/02 MANPOWER INC /WI/ WI X X 04/10/02 MARKETU INC NV X 03/28/02 MEDICALOGIC/MEDSCAPE INC OR X X 03/25/02 AMEND METROMEDIA FIBER NETWORK INC DE X X 04/16/02 MID STATE RACEWAY INC NY X 04/03/02 MIM CORP DE X 01/31/02 AMEND MOHAWK INDUSTRIES INC DE X X 04/15/02 MONEY STORE COMMERCIAL MORTGAGE INC NJ X X 04/15/02 MONEY STORE INVESTMENT CORP NJ X X 04/15/02 MONEY STORE SBA ADJUSTABLE RATE CERTI NJ X X 04/15/02 MOORE CORPORATION LTD X 04/02/02 AMEND NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X X 04/15/02 NETGURU INC DE X 04/15/02 NETWORK COMMERCE INC WA X X 04/04/02 AMEND NEWMONT MINING CORP /DE/ DE X X 04/12/02 NEWMONT MINING CORP /DE/ DE X 02/15/02 AMEND NORTH BANCSHARES INC DE X 03/31/02 NORTH SHORE CAPITAL III INC CO X X 04/01/02 NRG ENERGY INC DE X 04/15/02 NTL INC/DE/ DE X X 04/16/02 NTS MORTGAGE INCOME FUND DE X 04/15/02 OAKWOOD MORTGAGE INVESTORS INC OMI TR NC X X 04/15/02 ONYX SOFTWARE CORP/WA WA X X 04/11/02 OPTION ONE MORTGAGE ACCEPTANCE CORP DE X X 04/15/02 ORTHOMETRIX INC DE X X X 04/16/02 PAM TRANSPORTATION SERVICES INC DE X X 04/16/02 PEOPLES SIDNEY FINANCIAL CORP DE X X 04/12/02 POINT WEST CAPITAL CORP DE X 04/10/02 PROVIDENT FINANCIAL HOLDINGS INC DE X 04/15/02 PS BUSINESS PARKS INC/CA CA X X 04/16/02 PS PARTNERS VI LTD CA X X 04/15/02 PUBLIC SERVICE ENTERPRISE GROUP INC NJ X X 04/16/02 PYR ENERGY CORP DE X X 04/15/02 RELIASTAR LIFE INSURANCE CO OF NEW YO NY X 03/31/02 RICHARDSON ELECTRONICS LTD/DE DE X 05/31/02 RIMPAC RESOURCES LTD/NM NV X X 02/01/02 AMEND ROUNDYS INC WI X 04/09/02 RUSS BERRIE & CO INC NJ X X 04/15/02 SALOMON BROTHERS MOR SEC VII INC MOR DE X X 11/30/01 SALOMON SMITH BARNEY HOLDINGS INC DE X 03/31/02 SALOMON SMITH BARNEY HOLDINGS INC DE X 04/11/02 SELECT COMFORT CORP MN X 04/15/02 SENIOR SUBORDINATED PASS THROUGH CERT NV X X 04/15/02 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA X 04/16/02 SHOCHET HOLDING CORP X 04/09/02 SONIC AUTOMOTIVE INC DE X X 04/15/02 STONERIDGE INC OH X 04/15/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 04/04/02 SULPHCO INC NV X 04/05/02 SUPERIOR NATIONAL INSURANCE GROUP INC DE X X 04/16/02 SVB FINANCIAL SERVICES INC NJ X X 04/15/02 SWIFT ENERGY CO TX X X 04/11/02 TBM HOLDINGS INC FL X X 04/08/02 TEPPCO PARTNERS LP DE X X 04/16/02 TIMKEN CO OH X 04/16/02 TITAN CORP DE X 04/15/02 TORCH OFFSHORE INC DE X 04/10/02 TRUSTCO BANK CORP N Y NY X 04/16/02 UNITED SURGICAL PARTNERS INTERNATIONA DE X X 04/16/02 US BANCORP \DE\ DE X X 04/16/02 USURF AMERICA INC NV X X 04/05/02 VALERO L P DE X 02/01/02 AMEND VANTAGEMED CORP DE X 02/08/02 AMEND VENDINGDATA CORP NV X 04/08/02 VERITEC INC NV X X 02/13/02 VERTEX INTERACTIVE INC NJ X X 04/09/02 VITAL LIVING INC AZ X 04/01/02 WAREFORCE COM INC CA X 04/02/02 WEDGE NET EXPERTS INC CA X X X 04/01/02 WELLS FARGO & CO/MN DE X X 04/16/02 WORLD WIDE WIRELESS COMMUNICATIONS IN X X 03/27/02 WORLDWIDE RESTAURANT CONCEPTS INC DE X X 02/26/02 XCEL ENERGY INC MN X X 04/16/02 XVARIANT INC NV X X 01/29/02 AMEND ZAP CA X X 04/08/02