SEC NEWS DIGEST Issue 2002-234 December 5, 2002 COMMISSION ANNOUNCEMENTS CHAIRMAN HARVEY PITT ANNOUNCES SELECTION OF ARTHUR GABINET TO HEAD THE SEC'S PHILADELPHIA DISTRICT OFFICE On Dec. 4, Chairman Harvey L. Pitt announced the selection of Arthur S. Gabinet as District Administrator of the Commission's Philadelphia District Office. The District Office is part of the Commission's Northeast Region that is comprised of offices in New York, Philadelphia and Boston. In his capacity as District Administrator, Mr. Gabinet will be responsible for managing the enforcement and inspection programs within the Philadelphia office's jurisdiction. It is anticipated that he will assume his post in early January 2003. Mr. Gabinet is currently a partner resident in the Philadelphia office of the Dechert law firm. He joined the firm in 1985 and has been a member of the litigation department, specializing in corporate and commercial litigation, including securities law issues, corporate governance, creditors' rights, intellectual property and lender liability. Prior to joining Dechert, Mr. Gabinet was a litigation associate at Willkie Farr & Gallagher in New York from 1982 to 1985. Chairman Pitt said, "Mr. Gabinet brings a wealth of experience and talent to the Commission. I am confident he will carry out the responsibilities of this important position with intelligence and effectiveness." Wayne M. Carlin, Regional Director of the Commission's Northeast Regional Office, stated, "Mr. Gabinet is a seasoned litigator, with over 20 years of experience in handling a wide variety of complex matters. He will be a dynamic and effective leader of the Commission's Philadelphia office, and I look forward to working with him. I also want to thank Joy Thompson for her service as the Acting District Administrator for the past several months." Mr. Gabinet said, "It's very exciting to be joining the SEC at this challenging time for the securities markets and investors. I am honored to become part of the Commission's team, and I am enthusiastic about working with the staff of the Philadelphia District Office to promote the successful implementation of the SEC's regulatory and enforcement responsibilities in our area." Mr. Gabinet, 44, graduated from Swarthmore College with honors in 1979 and received his J.D. degree (cum laude) from the University of Pennsylvania Law School in 1982. He is married and has two children. (Press Rel. 2002-174) SEC ROUNDTABLES ON INTERNATIONAL IMPACT OF PROPOSED RULES ON AUDITOR INDEPENDENCE, ATTORNEY CONDUCT SET FOR DEC. 17 Chairman Harvey L. Pitt announced today that the Securities and Exhange Commission will hold two interactive roundtable meetings to discuss the international impact of proposed rules on auditor independence and attorney conduct to be promulgated under the Sarbanes-Oxley Act of 2002. The roundtable meetings are scheduled to take place on Tuesday, Dec. 17, 2002, in the William O. Douglas Room at SEC headquarters, 450 Fifth Street, N.W. Washington, D.C. The roundtable discussion concerning the auditor independence rules will begin at 9 a.m. The discussion of the attorney conduct rules will start at 2 p.m. Both meetings will be open to the public and will be webcast. Real time and archived audio webcasts of the roundtables will be accessible at http://www.sec.gov/news/otherwebcasts.shtml. The roundtable discussions will afford the international community an opportunity to engage the Commission on the application of these rules outside the United States. The Commission has invited a distinguished panel of senior experts to participate. Panel participants will represent a wide range of views, including those of regulators, standard setters, the accounting profession, professional associations, law firms, foreign issuers and U.S. issuers with operations abroad. The Commission expects the roundtable discussions to provide valuable information as it prepares to finalize the rules by the statutory deadline of Jan. 26, 2003. The Commission continues to encourage both foreign and domestic parties interested in the rules to provide comments in advance of the final rulemaking. The Commission may consider hosting an additional roundtable at a later date with regard to the international impact of future rule proposals. Entities whose participation has been confirmed include: * European Commission * Ontario Securities Commission * UK Accountancy Foundation * German Chamber of Accountants * Italian Commissione Nazionale per le Societa e la Borsa * Chilean Superintendencia de Valores * KPMG * Deloitte & Touche * Ernst & Young * PricewaterhouseCoopers * Transition Oversight Staff * International Bar Association * Council of the Bars and Law Societies of the European Union * Law Society of England and Wales Copies of materials submitted by the participants will be available by contacting the Commission's Public Reference Room, 450 Fifth Street, N.W., Washington, DC 20549, or by accessing http://www.sec.gov/news/otherwebcasts.shtml. (Press Rel. 2002-175) ENFORCEMENT PROCEEDINGS ADMINISTRATIVE PROCEEDING IN THE MATTER OF THOMAS HALL On Dec. 4, the Commission entered an Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions (Order) against Thomas E. Hall (Hall) based upon the injunction previously entered against Hall in SEC v. Thomas E. Hall, et al. (Case No. CV 02-4213 JRT/FLN). Hall consented to the entry of the injunction in that matter and neither admitted nor denied the findings, except as to the Commission's jurisdiction over him and this matter, which he admitted. Hall also consented to the entry of the Order which bars him from association with any broker or dealer. The Order finds that Hall was a registered representative for a broker- dealer registered with the Commission from 1985 through 2002. The Order further finds that on Nov. 21, 2002, the United States District Court for the District of Minnesota entered an Order of Permanent Injunction against Hall, pursuant to his consent and without Hall admitting or denying the allegations in the Commission's complaint, enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and requiring him to pay a civil monetary penalty of $50,000. The Commission's complaint in this matter alleged that from at least January 1998 through September 2001, Hall and one of his clients perpetrated a fraudulent scheme to artificially increase the closing price of a publicly traded stock. (Rel. 34-46945; File No. 3-10959) PERMANENT INJUNCTION ENTERED AGAINST PATTINSON HAYTON; ORDERS OF DISGORGEMENT ENTERED AGAINST RELIEF DEFENDANTS CONTROLLED BY HAYTON The Commission announced today that on Nov. 27, 2002, the Honorable Gary L. Taylor, United States District Judge, entered a final judgment of permanent injunction by default against Pattinson Hayton, the undisclosed control person of Tradamax Group, Inc. Tradamax formerly had an office in Newport Beach, California. Hayton, who also uses the name Pat Leslie-Hayton, recently used a business address in Newport, Rhode Island. The final judgment enjoins Hayton from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act of 1934, and Exchange Act Rules 10b-5, 13d-1, 16a-2 and 16a-3. Hayton was also enjoined from aiding and abetting or causing violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act, and Exchange Act Rules 12b-20, 12b-25, 13a-1, 13a-11, and 13a-13. Hayton was also ordered to pay disgorgement of $328,516 plus interest. Further, Hayton was barred from serving as an officer or director of any publicly held company. The Court also ordered that relief defendant Carlisle Holdings, Ltd. pay disgorgement totaling $95,509, plus prejudgment interest and that relief defendant Netvest (Ontario) Ltd., pay disgorgement totaling $62,600, plus prejudgment interest. The complaint alleged that Carlisle and Netvest were controlled by Hayton and were used to sell securities or receive funds from investors who purchased stock from Hayton. The Commission's complaint, filed in the U.S. District Court for the Central District of California on June 21, 2001, alleged that Hayton, Tradamax and Conrad Diaz, a former Tradamax officer and director made numerous fraudulent public statements regarding: (1) the control of Tradamax by Pattinson Hayton, a recidivist securities law violator; (2) the identity of Tradamax's chief executive officer; (3) the company's business, an Internet website portal designed to facilitate coffee bean and other commodities trading; (4) Tradamax's claimed business relationships; and (5) the company's projected revenues and income. As alleged in the complaint, these fraudulent statements were made in press releases, Internet websites, Spam e-mail messages, Internet message boards, reports filed with the Commission, and promotional materials distributed to prospective investors. For more information, see Litigation Releases No.17677 (Aug. 13, 2002), 17046 (June 21, 2001) and 17061 (July 5, 2001). For tips on how to avoid Internet "pump-and-dump" stock manipulation schemes, visit http://www.sec.gov/investor/online/pump.htm. For more information about Internet fraud, visit http://www.sec.gov/divisions/enforce/internetenforce.htm. To report suspicious activity involving possible Internet fraud, visit http://www.sec.gov/complaint.shtml. [SEC v. Pattinson Hayton, et al. Civ. No. 01-589-GLT, USDC CD Cal.] (LR-17873) INVESTMENT COMPANY ACT RELEASES STRATIGOS FUND, L.L.C., ET AL. A notice has been issued giving interested persons until Dec. 27 to request a hearing on an application filed by Stratigos Fund, L.L.C., et al. for an order exempting applicants from Section 17(a) of the Investment Company Act. The order would permit a limited liability company to transfer its assets to a registered closed-end investment company in exchange for interests in the closed-end investment company. (Rel. IC-25839 - Dec. 2) MAXIM SERIES FUND, INC., ET AL. An notice has been issued giving interested persons until Dec. 26 to request a hearing on an application filed by Maxim Series Fund, Inc., et al. for an order under Sections 6(c) and 17(b) of the Investment Company Act exempting applicants from Section 17(a) of the Act and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint transactions. The order would permit certain registered investment companies to pay an affiliated lending agent, and the lending agent to accept, fees based on a share of the revenues generated from securities lending transactions and to lend portfolio securities to affiliated broker-dealers. (Rel. IC-25840 - Dec. 2) FEDERATED INDEX TRUST, ET AL. An order has been issued on an application filed by Federated Index Trust, et al., exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-25841 - Dec. 3) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendments No. 1 and 2 thereto submitted by the Chicago Board Options Exchange (SR-CBOE-2002- 27) relating to permanent approval of the 100 Spoke RAES Wheel Pilot Program and elimination of the "vacation penalty." Publication of the order in the Federal Register is expected during the week of Dec. 9. (Rel. 34-46935) PROPOSED RULE CHANGES The National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc., filed a proposed rule change (SR-NASD-2002-127) to amend Rule 11890 concerning clearly erroneous transactions. Publication of the proposal is expected in the Federal Register during the week of Dec. 9. (Rel. 34-46939) The National Association of Securities Dealers filed a proposed rule change (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 Dec. 9. (Rel. 34- 46940) The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 58) to amend the exchange's automatic execution facility (NYSE Direct+). Publication of the proposal is expected in the Federal Register during the week of Dec. 9. (Rel. 34-46943) AMENDMENT TO PROPOSED RULE CHANGE The National Association of Securities Dealers filed Amendment Nos. 3 and 4 to a proposed rule change (SR-NASD-99-60) regarding restrictions on the purchase and sale of initial public offerings of equity securities. (Rel. 34-46942) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put option contracts issued by The Options Clearing Corporation with respect to certain underlying securities, effective at the opening of business on Dec. 5, 2002. (Rel. 34-46944) 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: . SB-2 ONE VOICE TECHNOLOGIES INC, 6333 GREENWICH DR #240, SAN DIEGO, CA, 92122, 6195524466 - 19,595,276 ($4,506,913.48) Equity, (File 333-101630 - Dec. 4) (BR. 03) S-8 MODERNGROOVE ENTERTAINMENT INC, 2435 N CENTRAL EXPRESSWAY, STE 1200, RICHARDSON, TX, 75080, 2147127336 - 2,000,000 ($50,000.00) Equity, (File 333-101631 - Dec. 4) (BR. 05) S-8 INTRABIOTICS PHARMACEUTICALS INC /DE, 1255 TERRA BELLA AVENUE, MOUNTAIN VIEW, CA, 94043, 6505266800 - 0 ($3,668,305.92) Equity, (File 333-101632 - Dec. 4) (BR. 01) S-3 INTRABIOTICS PHARMACEUTICALS INC /DE, 1255 TERRA BELLA AVENUE, MOUNTAIN VIEW, CA, 94043, 6505266800 - 1,400,000 ($476,000.00) Equity, (File 333-101633 - Dec. 4) (BR. 01) S-8 GENERAL DYNAMICS CORP, 3190 FAIRVIEW PARK DRIVE, FALLS CHURCH, VA, 22042, 7038763000 - 0 ($24,606,000.00) Equity, (File 333-101634 - Dec. 4) (BR. 06) S-8 SCIENCE DYNAMICS CORP, 1919 SPRINGDALE RD, CHERRY HILL, NJ, 08003, 8564240068 - 40,000,000 ($1,600,000.00) Equity, (File 333-101635 - Dec. 4) (BR. 03) S-8 RSA SECURITY INC/DE/, 174 MIDDLESEX TURNPIKE, BEDFORD, MA, 01730, 781-515-5422 - 0 ($6,670,000.00) Equity, (File 333-101636 - Dec. 4) (BR. 03) F-6 GRUPO CASA SABA SA DE CV, FRAY SERVANDO TERESA DE MIER NO. 100, COL CENTRO, MEXICO, O5, DF 06080, 5252274559 - 10,000,000 ($500,000.00) ADRs/ADSs, (File 333-101637 - Dec. 4) (BR. 01) S-8 NEOGEN CORP, 620 LESHER PLACE, LANSING, MI, 48912, 5173729200 - 0 ($1,312,500.00) Equity, (File 333-101638 - Dec. 4) (BR. 01) S-8 NEOGEN CORP, 620 LESHER PLACE, LANSING, MI, 48912, 5173729200 - 0 ($2,625,000.00) Equity, (File 333-101639 - Dec. 4) (BR. 01) S-8 AMERICAN INTERNATIONAL GROUP INC, 70 PINE ST, NEW YORK, NY, 10270, 2127707000 - 0 ($500,000,000.00) Other, (File 333-101640 - Dec. 4) (BR. 01) S-8 ENERGY & ENGINE TECHNOLOGY CORP, 5308 WEST PLANO PARKWAY, PLANO, TX, 75093, 7705189542 - 1,000,000 ($70,000.00) Equity, (File 333-101641 - Dec. 4) (BR. 09) S-8 GENTEX CORP, 600 N CENTENNIAL ST, ZEELAND, MI, 49464, 6167721800 - 500,000 ($14,562,500.00) Equity, (File 333-101642 - Dec. 4) (BR. 05) S-B UNITED MEXICAN STATES, 375 PARK AVENUE, SUITE 1905, NEW YORK, NY, 10152, 0 ($5,157,614,239.00) Non-Convertible Debt, (File 333-101643 - Dec. 4) (BR. DN) S-8 CAVALCADE OF SPORTS MEDIA INC, 12268 VIA LATINA, DEL MAR, CA, 92914, 8584812207 - 0 ($400,000.00) Equity, (File 333-101644 - Dec. 4) (BR. 03) S-8 COMCAST CORP, 0 ($1,889,212,641.00) Equity, (File 333-101645 - Dec. 4) (BR. 37) S-3 ZIONS BANCORPORATION /UT/, ONE SOUTH MAIN STREET, SUITE 1380, SALT LAKE CITY, UT, 84111, 8015244787 - 79,693 ($3,237,129.60) Equity, (File 333-101646 - Dec. 4) (BR. 07) S-3 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 5176361000 - 0 ($2,000,000,000.00) Equity, (File 333-101647 - Dec. 4) (BR. 02) S-3 E LOAN INC, 5875 ARNOLD RD., SUITE 100, DUBLIN, CA, 94568, 9252412402 - 1,115,459 ($1,818,198.00) Equity, (File 333-101648 - Dec. 4) (BR. 07) S-8 WINMAX TRADING GROUP INC, 530 SOUTH FEDERAL HIGHWAY, SUITE 150, DEERFIELD BEACH, FL, 33441, 8666244466 - 0 ($539,750.00) Equity, (File 333-101649 - Dec. 4) (BR. 09) S-8 RAVEN MOON ENTERTAINMENT INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 40,000,000 ($400,000.00) Equity, (File 333-101650 - Dec. 4) (BR. 05) S-8 BIOTIME INC, 935 PARDEE ST, BERKELEY, CA, 94710, 5108459535 - 1,000,000 ($1,690,000.00) Equity, (File 333-101651 - Dec. 4) (BR. 01) S-8 PARTNER COMMUNICATIONS CO LTD, 8 AMAL STREET AFEQ INDUSTRIAL PARK, 972 3 905 4888, ROSH HAAYIN 48103 IS, L3, 00000, 4,472,222 ($24,058,173.65) Equity, (File 333-101652 - Dec. 4) (BR. 37) 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 ------------------------------------------------------------------------------------ AAIPHARMA INC DE X 12/03/02 ABINGTON BANCORP INC MA X X 12/04/02 ADVANCED NEUROMODULATION SYSTEMS INC TX X 12/31/02 AES CORPORATION DE X 12/04/02 ALTAIR NANOTECHNOLOGIES INC A6 X X 11/25/02 AMEND AMERICABILIA COM INC FL X 11/25/02 AMERICAN CLASSIC VOYAGES CO DE X X 11/27/02 AMERICAN TISSUE INC DE X X 12/02/02 AMERISTAR CASINOS INC NV X X 11/25/02 APA OPTICS INC /MN/ MN X X 12/04/02 APOGEE TECHNOLOGY INC DE X X 12/04/02 APTA HOLDINGS INC DE X X 11/22/02 ASBURY AUTOMOTIVE GROUP INC DE X 12/04/02 ASPECT COMMUNICATIONS CORP CA X X 11/22/02 ASSET BACKED CERTIFICATES SERIES 2002 DE X 11/25/02 AVATECH SOLUTIONS INC DE X 12/04/02 AZZ INC TX X X 12/04/02 BA MORTGAGE SECURITIES INC MORT PS TH DE X 11/25/02 BA MORTGAGE SECURITIES INC PASS THR C DE X 11/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 11/25/02 BANCINSURANCE CORP OH X X 12/04/02 BANK OF AMERICA 1999-10 NC X 11/25/02 BANK OF AMERICA 1999-11 NC X 11/25/02 BANK OF AMERICA 1999-3 NC X 11/25/02 BANK OF AMERICA 1999-4 DE X 11/25/02 BANK OF AMERICA 1999-5 NC X 11/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 11/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 11/25/02 BANK OF AMERICA MORT SEC MORT PASS TH DE X 11/25/02 BANK OF AMERICA MORT SECS MORT PASS T DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC INC MORT DE X 11/25/02 BANK OF AMERICA MORTGAGE SEC MORT PAS NC X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 11/25/02 BAXTER INTERNATIONAL INC DE X X 12/03/02 BAY BANKS OF VIRGINIA INC VA X X 11/26/02 BEAR STEARNS ASSET BACKED FUNDING INC DE X X 12/02/02 BMC SOFTWARE INC DE X X 11/20/02 BOSTON PROPERTIES INC DE X X 09/25/02 AMEND BRIGHTPOINT INC DE X 12/01/02 BUCKTV COM INC NV X 12/04/02 CAMDEN NATIONAL CORP ME X X 12/04/02 CANAL CAPITAL CORP DE X 12/03/02 CENTIV INC GA X X 11/25/02 CHART INDUSTRIES INC DE X X X 11/22/02 CHL MORTGAGE PASS THROUGH TRUST SERIE DE X 11/25/02 CHL MORTGAGE PASS-THROUGH TRUST 2002- DE X 11/25/02 CHL MORTGAGE PSS THROUGH TRUST 2002-1 DE X 11/25/02 CITIGROUP INC DE X X 11/20/02 CLICK2LEARN INC/DE/ DE X X 12/03/02 CONSECO INC IN X X X 12/03/02 CONTINENTAL AIRLINES INC /DE/ DE X X 12/04/02 CORIO INC DE X 09/20/02 AMEND CORSPAN INC DE X 11/19/02 COUNTRYWIDE HOME LOANS MORT PASS THR DE X 11/25/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 12/04/02 CRIIMI MAE INC MD X 12/04/02 CROWN AMERICAN REALTY TRUST MD X 12/04/02 CROWN MEDIA HOLDINGS INC DE X 11/08/02 CSFB MORT SEC CORP HOME EQUITY MORT T DE X 09/26/02 AMEND CWABS INC ASSET BACKED CERTIFICATES DE X 11/25/02 CWABS INC ASSET BACK CERT SERIES 2002 DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 11/25/02 CWABS INC ASSET BACKED CERTIFICATESS DE X 11/25/02 CWABS INC ASSET-BACKED CERTIFICATES S DE X 11/25/02 CWMBS CHL MORT PASS THRU CERTIFICATES DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH DE X 11/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2002 DE X 11/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2002 DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THR TRUST DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS THRU TRUS DE X 11/25/02 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 11/25/02 CWMBS INC MORT PASS THROUGH CERT SERI DE X 11/25/02 CWMBS INC MORT PASS THROUGH CERTIFICA DE X 11/25/02 CWMBS INC MORTGAGE PASS THR CERT SER DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 CWMBS INC MORTGAGE PASS THROUGH CERTI DE X 11/25/02 DEERE & CO DE X 12/04/02 DISCOVER CARD MASTER TRUST I DE X X 12/03/02 DIVERSA CORP DE X X 12/03/02 DTE ENERGY CO MI X 12/03/02 EDISON CONTROLS CORP NJ X X 12/04/02 ELDERTRUST MD X 12/05/02 EMAGIN CORP NV X X 11/29/02 ENERGY & ENGINE TECHNOLOGY CORP NV X 12/03/02 EQCC RECEIVABLES CORP DE X 11/25/02 EQCC RECEIVABLES CORP DE X 11/25/02 EQCC TRUST 2002-1 NY X 11/25/02 EQUITY ONE INC MD X X 12/04/02 EXPEDIA INC WA X X 12/04/02 FIBERMARK INC DE X X 12/03/02 FIRST BANCTRUST CORP DE X X 12/04/02 FIRST COMMUNITY BANCORP /CA/ CA X X 12/04/02 FIRST HORIZON ASSET SEC INC MOR PAS T DE X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 11/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 11/25/02 FIRST HORIZON MORTGAGE PASS-THROUGH T DE X 11/25/02 FLEET CREDIT CARD FUNDING TRUST X X 11/26/02 FLORIDA PUBLIC UTILITIES CO FL X 12/04/02 FOSTER WHEELER LTD D0 X X 12/04/02 GENERAL CHEMICAL GROUP INC DE X X 12/03/02 GENERAL CHEMICAL INDUSTRIAL PRODUCTS DE X X 12/03/02 GENUITY INC DE X X X 11/27/02 GRANITE CITY FOOD & BREWERY LTD MN X X 11/27/02 HALLMARK FINANCIAL SERVICES INC NV X X X 12/03/02 HANOVER COMPRESSOR CO / DE X X 12/03/02 HASTINGS MANUFACTURING CO MI X X 12/04/02 HEALTHEXTRAS INC DE X 12/03/02 HONDA AUTO RECEIVABLES 2002-4 OWNER T CA X X 11/20/02 IMC GLOBAL INC DE X 12/02/02 IMH ASSETS CORP IMPAC CMB TRUST SERIE DE X 10/25/02 IMPAC CMB TRUST SERIES 2002-4F DE X 10/25/02 IMPAC SECURED ASSETS CORP CA X 10/25/02 IMPAC SECURED ASSETS CORP CA X 10/25/02 IMPROVENET INC DE X X 12/03/02 INTERNATIONAL BUSINESS MACHINES CORP NY X 12/04/02 INVESTMENT AGENTS INC NV X X 11/14/02 AMEND IWT TESORO CORP NV X 10/24/02 AMEND JOHNSON & JOHNSON NJ X 12/04/02 JOHNSON CONTROLS INC WI X 12/04/02 KINSHIP SYSTEMS INC UT X X X 11/18/02 KOALA CORP /CO/ CO X 12/04/02 LACLEDE STEEL CO /DE/ DE X X 11/25/02 LEXINGTON PRECISION CORP DE X X 12/04/02 LIBBEY INC DE X 12/02/02 LIMITED BRANDS INC DE X X 11/25/02 LOUDEYE TECHNOLOGIES INC X X 11/19/02 MACROVISION CORP DE X 12/04/02 MANPOWER INC /WI/ WI X X 12/03/02 MANUFACTURERS SERVICES LTD DE X X 11/27/02 MCLAREN PERFORMANCE TECHNOLOGIES INC DE X 12/03/02 METROMEDIA INTERNATIONAL GROUP INC DE X X X 11/26/02 MGI PHARMA INC MN X X 12/02/02 MILLENNIUM PHARMACEUTICALS INC DE X X 12/04/02 MILLENNIUM PHARMACEUTICALS INC DE X X 12/04/02 MONSANTO CO /NEW/ DE X X 12/04/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 11/25/02 MORGAN STANLEY DEAN WITTER CAPITAL TR DE X X 11/26/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 11/25/02 MRV COMMUNICATIONS INC DE X 10/15/02 AMEND MTI TECHNOLOGY CORP DE X X 12/04/02 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 12/03/02 NATIONWIDE LIFE INSURANCE CO OH X 12/03/02 NAVARRE CORP /MN/ MN X X 07/31/02 AMEND NEW YORK HEALTH CARE INC NY X X 11/27/02 NOVO NETWORKS INC DE X 12/03/02 OFFICE DEPOT INC DE X X 12/04/02 OPTION ONE MORTGAGE ACCEPT CORP ASSET DE X X X 11/22/02 PACIFIC GAS & ELECTRIC CO CA X X 12/04/02 PARK PHARMACY CORP CO X 12/02/02 PATAGONIA GOLD CORP FL X 12/03/02 PAYSTAR CORP NV X 10/30/02 PEERLESS SYSTEMS CORP DE X X 12/03/02 PERKINELMER INC MA X 12/04/02 PG&E CORP CA X X 12/04/02 PIVOTAL CORP X X 11/13/02 PMA CAPITAL CORP PA X 12/03/02 POLYONE CORP X X 12/04/02 PRUDENTIAL FINANCIAL INC NJ X 12/04/02 PRUDENTIAL FINANCIAL INC NJ X 12/04/02 RESERVE BANCORP INC PA X X 11/26/02 RESIDENTIAL ASSET MORT PROD GMACM MOR X X 11/25/02 ROCKWELL AUTOMATION INC DE X X 12/04/02 ROCKWELL COLLINS INC DE X X 12/04/02 SANMINA-SCI CORP DE X X 12/03/02 SATELLITE ENTERPRISES CORP X X 11/27/02 SATELLITE ENTERPRISES CORP X X 02/05/02 AMEND SILVER KEY MINING CO INC ID X X 11/27/02 SIMPSON MANUFACTURING CO INC /CA/ DE X 12/02/02 SMURFIT STONE CONTAINER CORP DE X X 12/04/02 SOUTHWESTERN ENERGY CO AR X X 12/04/02 STANDARD COMMERCIAL CORP NC X X 12/03/02 STEWART & STEVENSON SERVICES INC TX X X 12/04/02 STONE CONTAINER CORP DE X X 12/04/02 STRONGHOLD TECHNOLOGIES INC NV X X 12/31/02 STRUCTURED ASSET MORT INV INC MORT P DE X 11/25/02 SYNCOR INTERNATIONAL CORP /DE/ DE X X 12/04/02 TARGETED GENETICS CORP /WA/ WA X X 12/04/02 TAYLOR CAPITAL GROUP INC DE X 11/26/02 TEXAS CAPITAL BANCSHARES INC/TX DE X X 11/12/02 TITANIUM METALS CORP DE X 12/04/02 TRADESTATION GROUP INC FL X X 11/26/02 TRANSCANADA CAPITAL DE X X 10/30/02 TRANSKARYOTIC THERAPIES INC DE X 11/27/02 TRANSPORT CORPORATION OF AMERICA INC MN X X 12/04/02 TRIANGLE PHARMACEUTICALS INC DE X X 12/03/02 U S DIAGNOSTIC INC DE X X 12/03/02 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE X 12/04/02 UNIVERSITY REAL ESTATE PARTNERSHIP V CA X X 09/06/02 AMEND WELLS FARGO ASSET SEC CORP MORT PASS DE X X 11/25/02 WELLS FARGO ASSET SEC CORP MORT PASS NY X X 11/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 11/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 11/25/02 WESTWOOD ONE INC /DE/ DE X 12/03/02 WFS RECEIVABLES CORP CA X X 11/14/02