SEC NEWS DIGEST Issue 2002-133 July 11, 2002 COMMISSION ANNOUNCEMENTS ALDEN ADKINS NAMED ASSOCIATE DIRECTOR OF SEC'S DIVISION OF MARKET REGULATION The Securities and Exhange Commission today named Alden Adkins as associate director of the Commission's Division of Market Regulation. As associate director, Adkins will supervise, with Elizabeth King, the Division's Office of Market Supervision. Adkins succeeds Belinda Blaine, who left the Commission in June. "I am very pleased that Alden will be co-leading our Market Supervision office," said Annette Nazareth, the SEC's director of market regulation. "Alden has a wealth of experience in regulatory matters and a broad knowledge of securities firms and markets. He will make an enormous contribution to the work of the division." Adkins, 49, is joining the Commission from the law firm of Bingham McCutchen LLP. Previously, Adkins was with the National Association of Securities Dealers Inc. for 10 years, as general counsel and senior vice president of NASD Regulation; senior vice president for Market Operations; vice president for Strategic Planning, and director of Internal Review. Before joining the NASD, Adkins served two years as counsel to the chairman of the SEC and eight years in the Division of Market Regulation, including as office chief for Automation and International Affairs. Adkins graduated Phi Beta Kappa from Johns Hopkins University and received his law degree magna cum laude from Washington College of Law, American University. He has taught as an adjunct professor in Georgetown Law Center's Securities Law LLM Program. (Press Rel. 2002- 101) SEC ESTABLISHES SECURITIES ANALYSTS WEB SITE SECTION The Securities and Exchange Commission established a "Securities Analysts" section on the SEC Web site. The Division of Market Regulation launched this section in an effort to provide investors and market participants with easy access to a variety of sources of information pertaining to securities analysts. This new section includes links to new analyst rules on the Web sites of the New York Stock Exchange and National Association of Securities Dealers. Investors and others can access this information by visiting the SEC's Web site at www.sec.gov, clicking on "Market Regulation" and then clicking on "Securities Analysts." The Commission voted May 8 to approve the new analyst rules from the NYSE and NASD addressing conflicts of interest that are raised when research analysts recommend securities in public communications. These conflicts can arise when analysts work for firms that have investment banking relationships with the issuers of the recommended securities, or when the analyst or firm owns securities of the recommended issuer. ENFORCEMENT PROCEEDINGS SEC BARS EDWARD GOBORA, FORMER PORTFOLIO MANAGER AND HEAD OF FOREIGN EXCHANGE TRADING AT MERRILL LYNCH INVESTMENT MANAGERS, L.P., FROM ASSOCIATION WITH ANY INVESTMENT ADVISER On July 10, the Commission instituted settled administrative proceedings against Edward F. Gobora, former portfolio manager and head of foreign exchange trading at Merrill Lynch Investment Managers, L.P. (Merrill Lynch). Gobora, age 35, of Newtown, Pennsylvania, was associated with Merrill Lynch as Director and a Managing Director until April 30, 2001. Merrill Lynch is an investment adviser registered with the Commission under Section 203(c) of the Investment Advisers Act (Advisers Act). On May 1, 2002, Gobora, without admitting or denying the findings contained in the Commission's Order Instituting Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) consented to the issuance of the Order which bars Gobora from association with any investment adviser, with the right to reapply for association after five years. The Commission's Order is based on the entry of a final judgment against Gobora by the Honorable Richard J. Leon of the United States District Court for the District of Columbia on June 12, 2002. On May 1, 2002, Gobora had consented, without admitting or denying the allegations of the complaint, to the entry of the Final Judgment, which permanently enjoins Gobora from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and from aiding and abetting violations of Sections 204, 206(1), 206(2) and 207 of the Advisers Act and Rule 204-2 thereunder, and from aiding and abetting violations of Sections 31(a) and 34(b) of the Investment Company Act of 1940 and Rule 31a-1 thereunder. In its complaint, filed June 11, 2002, the Commission alleged that Gobora defrauded Merrill Lynch clients in two ways. The first scheme involved "cherry picking" short-term foreign exchange trades, with profitable trades allocated by Gobora to favored clients, and losing trades given to unfavored clients. The second scheme involved delaying the execution and allocation of foreign exchange trades that were prompted by client trades of foreign securities; if the market moved positively after a position was opened, Gobora allocated the trade to favored clients, with the original client trading the foreign exchange at the later, less favorable price. According to the complaint, the Merrill Lynch clients that were hurt by these schemes included several U.S. registered investment companies. (Rel. IA-2042; File No. 3-10828) LAST DEFENDANT SETTLES INSIDER TRADING ACTION INVOLVING PURCHASES OF FSA STOCK The Commission announced that Gerard Pariente, the remaining defendant in this international insider trading case, has, without admitting or denying that he committed any violation, consented to the entry of a final judgment ordering him to disgorge trading profits of $4,000 plus prejudgment interest and permanently enjoining him from violating antifraud provisions of the Securities Exchange Act of 1934, specifically Section 10(b) and Rule 10b-5 thereunder. The order was entered on June 24, 2002. The Amended Complaint alleges that in March 2000, Pariente and the nine other defendants purchased common stock of Financial Security Assurance Holdings, Ltd. while in possession of material, nonpublic information concerning a contemplated acquisition of FSA by Dexia Group, that they knew, or had reason to know, had been communicated to them in breach of fiduciary or similar duties of trust and confidence. For further information see LR-16494 and LR-16900. [SEC v. Avy Amouyal, et al., Civil Action No. 00-Civ-2029, SDNY] (LR-17605) CIVIL ACTION AGAINST SEBASTIAN INTERNATIONAL ENTERPRISES, INC., FERDINAND SEBASTIAN, III, AND JAN SEBASTIAN The Commission announced that on June 7, 2001, the United States District Court for the Middle District of California entered an Order against Ferdinand Sebastian and Jan L. Sebastian, on consent, that imposed civil money penalties of $110,000 on each of them. The SEC also announced that in a separate Order dated June 6, 2001, the Court, on consent, dismissed all claims for disgorgement and penalties against Sebastian International Enterprises, Inc., and all claims against relief defendants Sebastian International Entertainment, Inc., SIE Holdings, Inc., 3dGolfer, Inc. and Grand Oasis, Inc. These Orders resolved all of the SEC's remaining claims against the defendants in this action, who were charged with the fraudulent sale of over $17.7 million of promissory notes. For further information, see Litigation Release No. 16257 (Aug. 20, 1999). [SEC v. Sebastian International Enterprises, Inc., Ferdinand Ben Sebastian, III, and Jan L. Sebastian, Case No. 99-1053-CIV-ORL-18-A, MD Fla.] (LR-17606) $1.2 MILLION JUDGMENT ENTERED AGAINST COMPANIES IN PONZI SCHEME THAT USED SEPTEMBER 11 TERRORIST ATTACKS TO SELL INVESTMENTS TO THE ELDERLY Following the September 11 terrorist attacks, Texon Energy Corp. solicited the elderly to invest in its oil and gas Ponzi scheme, claiming that Texon was in a "good position" to benefit from the war on terrorism because energy prices would rise and Texon owned oil and gas well interests. On July 8, 2002, a federal district court entered a judgment against Texon and a related company, Lonestar Petroleum Corp., pursuant to consent, enjoining each of them from committing further securities fraud and violating the securities registration provisions. The judgment also ordered Texon and Lonestar to pay jointly and severally in disgorgement $1,268,253, the amount raised from investors plus prejudgment interest. As part of the settlement, Texon and Lonestar did not admit or deny the SEC's allegations. The SEC's complaint further alleged that Texon and Lonestar, which were controlled by Barry V. Reed and repeat securities-law violator James E. Hammonds, sold unregistered securities by fraudulently promising investors an annual 12% "dividend" derived from Texon's oil and gas profits and misrepresenting that Texon was a profitable business and safe investment. Instead, Texon paid investors the so-called "dividend" with money raised from other investors. Previously, the U.S. District Court for the Central District of California appointed a Receiver to take control of Texon and Lonestar for the investors' benefit. The Receiver is in the process of collecting and liquidating Texon's and Lonestar's assets, the net proceeds of which will be distributed to investors pursuant to a plan approved at a later date by the district court. The judgment provides that if the Receiver's recovery and liquidation of Texon's and Lonestar's assets fail to satisfy the disgorgement and prejudgment interest amount of $1,268,253, then the unsatisfied amount shall be waived. The judgment further provides that if the Receiver collects more than $1,268,253, Texon and Lonestar shall pay civil penalties in an amount not to exceed $1,254,100. The SEC enjoined Hammonds in 1994 for participating in a similar oil and gas fraud and barred Hammonds in 1996 from the securities industry. The SEC charged that Hammonds' involvement in Texon was never disclosed to investors. The Commission's case against Hammonds and Reed is still pending. For further information, see Litigation Release No.17231 (November 14, 2001), announcing the filing of the Commission's civil action against Texon, Lonestar, Hammonds, and Reed. [SEC v. Texon Energy Corporation, Lonestar Petroleum Corporation, James E. Hammonds aka Jake Hammonds aka Jake Davis and Barry V. Reed, Case No. CV-01-09706-LGB (MANx), CD Cal.] (LR-17607) INVESTMENT COMPANY ACT RELEASES PRINCIPAL BOND FUND, INC., ET AL. An notice has been issued giving interested persons until July 30 to request a hearing on an application filed by Principal Bond Fund, Inc., et al. for an order under Section 17(b) of the Investment Company Act exempting applicants from Section 17(a) of the Act. The order would permit a registered open-end management investment company to acquire all of the assets and assume all of the liabilities of another registered open-end management investment company. Because of certain affiliations, applicants may not rely on Rule 17a-8 under the Act. (Rel. IC-25651 - July 8) LINCOLN NATIONAL LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Lincoln National Life Insurance Company, et al., pursuant to Section 26(c) of the Investment Company Act, allowing the substitution of shares of certain portfolios of variable insurance product funds for shares of portfolios of certain other variable insurance products funds. (Rel. IC-25652 - July 9) SUNAMERICA ASSET MANAGEMENT CORP., ET AL. An order has been issued on an application filed by SunAmerica Asset Management Corp., et al. under (1) Section 6(c) of the Investment Company Act granting an exemption from Sections 18(f) and 21(b) of the Act; (2) Section 12(d)(1)(J) of the Act granting an exemption from Section 12(d)(1) of the Act; (3) Sections 6(c) and 17(b) of the Act granting an exemption from Sections 17(a)(1) and 17(a)(3) of the Act; and (4) 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. (Rel. IC-25653 - July 9) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-PHLX-2002-09) submitted under Rule 19b-4 by the Philadelphia Stock Exchange to amend rules for the administration of order, decorum, health, safety, and welfare on the Exchange. Publication of the order in the Federal Register is expected during the week of July 15. (Rel. 34-46167) WITHDRAWAL GRANTED An order has been issued granting the application of I.D. Systems, Inc. to withdraw its Common Stock, $.01 par value, from listing and registration on the Boston Stock Exchange, effective at the opening of business on July 11, 2002. (Rel. 34-46179) 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 EARLY DETECT, 2950 N. GLASSELL, ORANGE, CA, 92865, 7142835190 - 3,000,000 ($18,000,000.00) Equity, (File 333-92158 - Jul. 10) (BR. 36) S-8 PETSMART INC, 19601 N 27TH AVE, STE C-100, PHOENIX, AZ, 85027, 6235806100 - 0 ($56,320,000.00) Equity, (File 333-92160 - Jul. 10) (BR. 02) S-8 MED GEN INC, 7472 W PALMETTO ROAD, SUITE 106, BOCA RATON, FL, 33433, 5617501100 - 5,370,000 ($1,503,600.00) Equity, (File 333-92162 - Jul. 10) (BR. 01) S-8 BPC HOLDING CORP, 101 OAKLEY ST, P O BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 75,000 ($11,670,000.00) Equity, (File 333-92164 - Jul. 10) (BR. 06) S-8 ULTRADATA SYSTEMS INC, 9375 DIELMAN INDUSTRIAL DR, ST LOUIS, MO, 63132, 3149972250 - 390,002 ($91,299.00) Equity, (File 333-92166 - Jul. 10) (BR. 03) S-8 GLOBAL ASSETS & SERVICES INC, P O BOX 1467, BOULDER, CO, 80306, 3034405356 - 1,000,000 ($100,000.00) Equity, (File 333-92168 - Jul. 10) (BR. 09) SB-2 TRADERIGHT CORP, 2424 N FEDERAL HWY, SUITE 350, BOCA RATON, FL, 33431, 5613388050 - 2,370,000 ($2,370,000.00) Equity, (File 333-92172 - Jul. 10) (BR. 07) S-3 DATA SYSTEMS & SOFTWARE INC, 200 RTE 17, MAHWAH, NJ, 07430, 2015292026 - 973,417 ($2,646,042.00) Equity, (File 333-92174 - Jul. 10) (BR. 03) S-8 MEDSOURCE TECHNOLOGIES INC, 110 CHESHIRE LANE, MINNEAPOLIS, MN, 55305, 3,019,717 ($49,583,753.00) Equity, (File 333-92176 - Jul. 10) (BR. 36) S-8 SPEEDFAM IPEC INC, 305 NH 54TH ST, CHANDLER, AZ, 85226, 4807052100 - 306,720 ($1,392,509.00) Equity, (File 333-92178 - Jul. 10) (BR. 36) S-8 FFLC BANCORP INC, P O BOX 490420, LEESBURG, FL, 34749-0420, 352-787-3311 - 250,000 ($6,750,000.00) Equity, (File 333-92180 - Jul. 10) (BR. 07) S-8 NEVADA HOLDING GROUP INC /NV/, 4729 LOMAS SANTE FE STREET, LAS VEGAS, NV, 89147-6028, 702-220-3120 - 400,000 ($7.36) Equity, (File 333-92184 - Jul. 10) (BR. 09) S-4 SCOTTS COMPANY, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 6147195500 - 0 ($70,000,000.00) Non-Convertible Debt, (File 333-92186 - Jul. 10) (BR. 02) SB-2 UNITED WISCONSIN GRAIN PRODUCERS LLC, W7503 COUNTRY DRIVE, BEAVER DAM, WI, 53916, 9208872471 - 0 ($33,000,000.00) Equity, (File 333-92188 - Jul. 10) (BR. ) SB-2 NATIONAL BEAUTY CORP, 4818 WEST COMMERICAL BLVD, FT LAUDERDALE, FL, 33319, 9547335785 - 5,325,000 ($2,172,250.00) Equity, 4,000,000 ($1,000,000.00) Other, (File 333-92190 - Jul. 10) (BR. 05) S-8 ENVIRONMENTAL ENERGY SERVICES INC, 205 S BICKFORD AVE., OKLAHOMA CITY, OK, 73036, 4052620800 - 0 ($800,000.00) Equity, (File 333-92192 - Jul. 10) (BR. 02) S-3 BREK ENERGY CORP, 19TH FLOOR, 80 GLOUCESTER ROAD, HONG KONG, K3, 00000, 85228015181 - 3,470,000 ($2,290,200.00) Equity, (File 333-92194 - Jul. 10) (BR. 04) S-3 QUICKSILVER RESOURCES INC, 777 WEST ROSEDALE ST, SUITE 300, FORT WORTH, TX, 76104, 8176655000 - 750,000 ($17,437,500.00) Equity, (File 333-92196 - Jul. 10) (BR. 04) S-8 BREK ENERGY CORP, 19TH FLOOR, 80 GLOUCESTER ROAD, HONG KONG, K3, 00000, 85228015181 - 3,000,000 ($1,980,000.00) Equity, (File 333-92198 - Jul. 10) (BR. 04) N-2 EATON VANCE INSURED NEW YORK MUNICIPAL BOND FUND, EATON VANCE BLDG, 255 STATE ST, BOSTON, MA, 02109, 6,666,667 ($100,000,000.00) Equity, (File 333-92200 - Jul. 10) (BR. 16) N-2 EATON VANCE INSURED CALIFORNIA MUNICIPAL BOND FUND, EATON VANCE BLDG, 255 STATE ST, BOSTON, MA, 02109, 6,666,667 ($100,000,000.00) Equity, (File 333-92202 - Jul. 10) (BR. 16) S-8 IXYS CORP /DE/, 3540 BASSETT ST, SANTA CLARA, CA, 95054, 4089540500 - 0 ($14,130,252.00) Equity, (File 333-92204 - Jul. 10) (BR. 36) S-8 NASTECH PHARMACEUTICAL CO INC, 45 DAVIDS DR, HAUPPAUGE, NY, 11788, 6312730101 - 561,719 ($8,681,367.15) Equity, (File 333-92206 - Jul. 10) (BR. 01) S-3 ATLAS PIPELINE PARTNERS LP, 311 ROUSER ROAD, MOON TOWNSHIP, PA, 15108, 4122622830 - 108,159 ($2,533,084.00) Limited Partnership Interests, (File 333-92208 - Jul. 10) (BR. 02) S-3 ACCESS PHARMACEUTICALS INC, 2600 N STEMMONS FRWY, STE 176, DALLAS, TX, 75207, 2149055100 - 197,584 ($444,564.00) Equity, (File 333-92210 - Jul. 10) (BR. 01) S-3 MCDONALDS CORP, ONE MCDONALD'S PLZ, OAK BROOK, IL, 60523, 6306233000 - 0 ($684,239,130.00) Non-Convertible Debt, (File 333-92212 - Jul. 10) (BR. 05) S-4 CELLCO PARTNERSHIP, 180 WASHINGTON VALLEY ROAD, BEDMINSTER, NJ, 07921, 9083067000 - 0 ($3,645,000,000.00) Non-Convertible Debt, (File 333-92214 - Jul. 10) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ 8X8 INC /DE/ DE X X 07/10/02 AAVID THERMAL TECHNOLOGIES INC DE X X 07/10/02 AGRILINK FOODS INC NY X X 07/09/02 ALTIGEN COMMUNICATIONS INC X X 06/20/02 AMEND AMB PROPERTY CORP MD X 07/08/02 AMEND AMERICAN CLASSIC VOYAGES CO DE X X 06/13/02 ARIZONA LAND INCOME CORP AZ X X 07/02/02 AUTONATION INC /FL DE X 05/30/02 AMEND BANKATLANTIC BANCORP INC FL X 04/26/02 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X 07/10/02 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X 07/10/02 AMEND BESTWAY INC DE X X 07/08/02 BIO RAD LABORATORIES INC DE X 07/08/02 BOUNDLESS CORP DE X X 06/27/02 CADIZ INC DE X X 07/10/02 CAPITAL ONE MASTER TRUST VA X X 07/09/02 CDC MORTGAGE CAPITAL TRUST 2002 HE1 X 05/28/02 CDC MORTGAGE CAPITAL TRUST 2002 HE1 X 06/25/02 CHASE FUNDING INC NY X X 06/25/02 CHASE MORTGAGE FINANCE CORP DE X X 06/25/02 CINEMA RIDE INC DE X X 07/03/02 CLIP N PIERCE FASHION INC X 06/30/02 COGENT COMMUNICATIONS GROUP INC X X 07/10/02 COLLATERALIZED ASSET-BACKED BONDS SER DE X 06/26/02 COMCAST CORP PA X 07/10/02 CONEXANT SYSTEMS INC DE X 07/10/02 AMEND CONSOLIDATED WATER CO LTD E6 X 07/09/02 CORPORATE EXECUTIVE BOARD CO DE X X 07/10/02 CREDIT STORE INC DE X X 07/09/02 CRIIMI MAE FINANCIAL CORP MD X 07/01/02 CRYOMEDICAL SCIENCES INC DE X X X 06/24/02 CSB BANCORP INC /OH OH X X 07/10/02 CSS INDUSTRIES INC DE X 07/03/02 CWMBS INC DE X X 03/28/02 AMEND CYBERNET INTERNET SERVICES INTERNATIO DE X 06/25/02 AMEND CYGNUS INC /DE/ DE X X 07/09/02 DAKOTA GROWERS PASTA CO ND X X 07/01/02 DELTA CAPITAL TECHNOLOGIES INC DE X X 04/15/02 DEPOMED INC CA X X 05/28/02 DOE RUN RESOURCES CORP NY X X 07/09/02 DOLE FOOD COMPANY INC DE X X 07/09/02 DOT HILL SYSTEMS CORP NY X 05/28/02 EL PASO CORP/DE DE X X 07/10/02 EMERGISOFT HOLDING INC NV X 06/28/02 ENDOVASC LTD INC NV X X 07/09/02 ENTERPRISE FINANCIAL SERVICES CORP DE X X 07/09/02 ENVIRONMENTAL STRATEGIES & TECHNOLOGI FL X X 07/10/02 EZ EM INC DE X X 07/10/02 FASHIONMALL COM INC DE X X 07/09/02 FINANCIAL ASSETS SEC CORP FIRST FRANK DE X X 06/25/02 FIRST CHARTER CORP /NC/ NC X X 07/10/02 FOX SPORTS NETWORKS LLC DE X X 07/10/02 GABLES RESIDENTIAL TRUST MD X X 07/09/02 GS MORTGAGE SECURITIES CORP DE X X 07/09/02 HATHAWAY CORP CO X X 07/09/02 HCC INSURANCE HOLDINGS INC/DE/ DE X X 07/10/02 HEALTHY PLANET PRODUCTS INC DE X 07/08/02 HIENERGY TECHNOLOGIES INC WA X X 06/24/02 IMPAC SECURED ASSETS CORP MORTGAGE PA CA X 06/28/02 INSURANCE MANAGEMENT SOLUTIONS GROUP FL X X 06/26/02 INTERNATIONAL DISPLAYWORKS INC OR X X 06/25/02 AMEND INTERNATIONAL SPEEDWAY CORP FL X 07/10/02 INTERSIL CORP/DE DE X X 05/14/02 AMEND INTUIT INC DE X 06/27/02 IRWIN FINANCIAL CORPORATION IN X X 07/10/02 KIEWIT MATERIALS CO DE X X 07/09/02 KYZEN CORP TN X X 07/10/02 LCC INTERNATIONAL INC DE X X 07/09/02 LEXINGTON PRECISION CORP DE X X 07/10/02 LIGAND PHARMACEUTICALS INC DE X X 07/10/02 LIL MARC INC NV X 07/05/02 LUXTEC CORP /MA/ MA X 07/09/02 MARTEN TRANSPORT LTD DE X X 07/03/02 MASTR ADJUSTABLE RATE MORTGAGES TRUST DE X X 06/25/02 MCKESSON CORP DE X X 07/10/02 MEDIMMUNE INC /DE DE X 07/09/02 MESA OFFSHORE TRUST TX X X 07/03/02 MESA ROYALTY TRUST/TX TX X X 07/03/02 MIDCAROLINA FINANCIAL CORP NC X X 07/10/02 MIDDLEFIELD BANC CORP OH X X 07/10/02 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 06/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 07/08/02 MOTIENT CORP DE X 07/10/02 NAPCO SECURITY SYSTEMS INC DE X 07/09/02 NETNATION COMMUNICATIONS INC DE X 07/10/02 NEWELL RUBBERMAID INC DE X 07/09/02 NORTHERN STATES POWER CO MN X X 07/08/02 NUTRI SYSTEM INC /DE/ DE X X 07/03/02 OCEAN POWER CORP DE X X 06/26/02 ONYX ACCEPTANCE FINANCIAL CORP DE X X 07/09/02 PEMCO AVIATION GROUP INC DE X X 07/08/02 PENNROCK FINANCIAL SERVICES CORP PA X 07/09/02 PEREGRINE SYSTEMS INC DE X X 06/26/02 PHILIP SERVICES CORP/DE DE X 07/09/02 PLAINS RESOURCES INC DE X X 07/03/02 PNM RESOURCES NM X X 07/09/02 POWER INTEGRATIONS INC CA X 06/21/02 AMEND PRIME GROUP REALTY TRUST MD X X 06/26/02 PROVIDIAN FINANCIAL CORP DE X 06/25/02 REDWOOD EMPIRE BANCORP CA X 07/08/02 RENTECH INC /CO/ CO X X 11/10/98 AMEND RETRACTABLE TECHNOLOGIES INC TX X X 06/21/02 SALIX PHARMACEUTICALS LTD X X 07/10/02 SAUCONY INC MA X 07/10/02 SEQUOIA MORTGAGE FUNDING CORP MD X 07/08/02 SONOMAWEST HOLDINGS INC CA X X 07/10/02 STANDARD REGISTER CO OH X X 07/02/02 STRUCTURED PRODUCTS CORP DE X 07/15/02 STURM RUGER & CO INC DE X X 07/06/02 SUMMUS INC USA FL X X 07/10/02 SUPERIOR FINANCIAL CORP /AR/ DE X 07/10/02 TARANTELLA INC CA X X 06/26/02 TEMTEX INDUSTRIES INC DE X X 06/28/02 AMEND THIRD MILLENIUM TELECOMMUNICATIONS IN CO X X 06/27/02 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 06/25/02 TIFFANY & CO DE X 07/09/02 UNITED PAN EUROPE COMMUNICATIONS NV X 07/05/02 VERMONT TEDDY BEAR CO INC NY X 06/27/02 VIVUS INC CA X X 07/08/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 07/08/02 WORKSTREAM INC X X 06/28/02 WORLD OMNI AUTO RECEIVABLES LLC DE X 07/10/02 XOX CORP DE X X 07/03/02