SEC NEWS DIGEST Issue 2002-192 October 3, 2002 COMMISSION ANNOUNCEMENTS SEC, NY ATTORNEY GENERAL, NYSE, NASD, NASAA REACH AGREEMENT ON REFORMING WALL STREET PRACTICES Today the Securities and Exchange Commission, the New York State Attorney General's Office, the New York Stock Exchange, the NASD and the North American Securities Administrators Association announced a joint effort to bring to a speedy and coordinated conclusion the various investigations concerning analyst research and IPO allocations. The undertaking is also designed to continue the process of formulating additional rules and regulations in these areas. Swift and appropriate resolution of these investigations will protect investors, facilitate the implementation of immediate and meaningful changes in research analyst and IPO allocation practices, and help enhance investor confidence in the marketplace. The participating regulatory entities will endeavor in the next few weeks, based on the evidence they have compiled and input from interested parties, to formulate a common plan to address conflict-of- interest and other issues pertaining to research analysts and IPO allocations. This plan will then be used as a template to structure appropriate settlements with the companies that are currently under investigation and/or provide a sound basis for proposing industry-wide rules and regulations (including structural reforms) that will be used to govern in these areas. The parties believe that by addressing the research analyst and IPO allocation issues in a joint and unified manner, not only will brokerage firms have an opportunity to effect needed changes, but such changes will be made in a rational and principled manner. The regulators intend to present proposed resolutions to the companies under investigation, and anticipate giving the companies a brief opportunity to work out and enter into final settlements. The regulators intend to continue their investigations, as appropriate, as to non-settling companies. The Chairman of the SEC and the New York Attorney General stressed their desire to bring about appropriate reforms in these areas based upon a common vision of protecting individual investors and the national markets. According to Chairman Harvey Pitt: "The SEC, in conjunction with the New York Attorney General, the SROs, and NASAA, looks forward to moving quickly to a comprehensive resolution of these important matters - a resolution that is designed, first and foremost, to protect investors." Added Attorney General Eliot Spitzer: "This is an important step towards bringing closure and resolution to the critical issues we have been working on. Restoring market confidence and protecting investors are, of course, our top priorities." Contacts: New York Attorney General - Juanita Scarlett 212-416-8060 SEC - Christi Harlan 202-942-0020 (Press Rel. 2002-144) ENFORCEMENT PROCEEDINGS SEC CHARGES NAPA-BASED MUTUAL FUND WITH POSTING MISLEADING PERFORMANCE RESULTS ON ITS WEBSITE On October 2, the Commission charged the Thurlow Funds, Inc., a Napa, California-based mutual fund company, with posting outdated and misleading performance returns on its website. The order instituting proceedings finds that, as late as December 2000, the Thurlow Funds' Internet website prominently proclaimed fund returns of over 400% from inception through March 10, 2000 - the day on which the fund reach its highest net asset value. According to the order, however, this claim was misleading because, in the six months following March 10, the fund's total returns had declined by more than half. The respondents consented to the entry of the Commission's order without admitting or denying the allegations. The Commission's administrative order finds that the Thurlow Funds and CEO Thomas F. Thurlow, a 40-year-old Napa-based attorney, violated federal securities laws that require that performance results used in advertising be current to the most recent calendar quarter, and that prohibit misleading statements by investment companies. The order further notes that the Commission staff specifically warned Thurlow about stale performance history on the website following a 1998 examination, yet he nonetheless failed to keep the website updated. Thurlow agreed to pay a penalty of $20,000 and, for a period of five years, to either refrain from posting performance history on the website or hire an independent consultant to assure that any such performance history is in compliance with the rules and regulations set forth under the federal securities laws. Thurlow and the Funds' investment advisor, Thurlow Capital Management, Inc., were censured, and the parties agreed to cease and desist from committing or causing any violation or any future violation of Section 17(a)(2) of the Securities Act of 1933 and Section 34(b) of the Investment Company Act of 1940. (Rels. 33-8136; IA- 2065; IC-25761; File No. 3-10907) SEC BARS MICHAEL PLOSHNICK, FORMER PRINCIPAL OF MEYERS POLLOCK ROBBINS, FROM SECURITIES INDUSTRY; OBTAINS DISGORGEMENT OF $1,975,000 On October 2, the Commission issued an order against Michael Ploshnick of Boca Raton, Florida, barring him from association with any broker or dealer or investment adviser. Ploshnick consented to the issuance of the order, which was based on a permanent injunction entered against him on September 13, 2002, in SEC v. David I. Namer, et al., by the United States District Court for the Southern District of New York (Civil Action No. 97 Civ. 2085). The injunction, to which Ploshnick consented without admitting or denying the allegations in the Commission's complaint, prohibits him from violating the registration and antifraud provisions of the federal securities laws. The consent judgment also orders Ploshnick and his wife, Relief Defendant Shelli Ploshnick, to pay disgorgement in the amount of $1,975,000, which has been satisfied out of funds already forfeited in a related criminal action and on deposit in an interest bearing account in the registry of the court in New York. The judgment also waives payment of prejudgment interest and does not impose a civil penalty based upon the Ploshnicks' sworn representations in their Statements of Financial Condition and other documents submitted to the Commission. The Commission's complaint alleged, among other things, that Michael Ploshnick violated the registration and antifraud provisions of the securities laws by participating in a scheme with Defendant David I. Namer to sell millions of dollars in worthless debt securities through the brokerage firm Meyers Pollock Robbins, Inc., which was owned by Shelli Ploshnick and operated by Michael Ploshnick. [SEC v. David I. Namer, et al., Civil Action No. 97 CIV-2085, SDNY] (LR-17763); (Administrative Proceeding -Rels. 34-46584; IA-2066; File No. 3-10908) INVESTMENT ADVISER PLEADS GUILTY TO THREE COUNTS OF WIRE AND MAIL FRAUD IN CONNECTION WITH $1 MILLION FRAUDULENT SOFT DOLLAR SCHEME The Commission announced that on September 26 Gordon J. Rollert, of Wellesley, Massachusetts, pled guilty to two counts of wire fraud and one count of mail fraud. Rollert, formerly the principal of registered investment adviser Sage Advisory Services LLC (Sage) and Standard Group Holdings LLC (Standard) of Wellesley, Massachusetts, was indicted on these counts by the U.S. Attorney for the District of Massachusetts in January 2001. The indictment alleged that Rollert made false statements to a registered broker-dealer in connection with a fraudulent soft dollar scheme. On February 8, 2001, the Commission filed a complaint in the U.S. District Court for the District of Massachusetts in connection with the same fraudulent scheme. The Commission's complaint alleged that, between 1990 and April 1997, Rollert defrauded an advisory client, the Pakachoag Church, of more than $1.1 million. In its complaint, the Commission alleged that Rollert misappropriated the assets of the small Auburn, Massachusetts church through fraudulent soft dollar practices and by fraudulently offering investments in his own advisory business to the church. Finally, according to the complaint, the Forms ADV filed with the Commission by Rollert's investment adviser businesses, Sage Advisory Services and Standard Asset Group, were false because they failed to disclose that Rollert's entities received economic benefits from non- clients, including soft dollars. As a result of the conduct described in the complaint, the Commission charged Rollert with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Section 17(a) of the Securities Act of 1933 and Section 207 of the Investment Advisers Act of 1940, and aiding and abetting Sage's violations of Sections 206(1), and 206(2) of the Advisers Act. The Commission's complaint sought injunctive relief, disgorgement of $1.1 million in improperly-obtained benefits, plus prejudgment interest, and civil penalties. The Commission has also sanctioned Sage and Standard. [U.S. v. Gordon J. Rollert, USDC for the District of Massachusetts, Cr. No. 01-10031-RWZ] (LR-17764) CIVIL ACTION AGAINST J.W. BARCLAY & CO., INC., AND JOHN BRUNO The Commission announced that on July 1, 2002, it filed with the United States District Court for the District of New Jersey an Application for an Order Directing Compliance With an Order of the Securities and Exchange Commission Under Section 21(e) of the Securities Exchange Act of 1934. The Commission's Application alleges that J.W. Barclay and Co., Inc. and John Bruno, its president, Executive Officer and controlling shareholder, failed to comply with the terms of the Commission's October 15, 2001 Opinion and Order Imposing Remedial Sanctions, which among other things, required J.W. Barclay & Co. to pay a $25,000 civil penalty within 30 days of the entry of the Order. In its October 15, 2001 Opinion and Order, the Commission found, among other things, that J.W. Barclay had willfully violated Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-5 thereunder, by failing to timely file all or part of its Form BD-Y2K. In this action, the Commission specifically seeks compliance from J.W. Barclay & Co., Inc. and John Bruno with the Commission's Order to pay a $25,000 civil penalty. [SEC v. J.W. Barclay & Co., Inc., and John A. Bruno, Civil Action No. 02CV3164, USDC for the District of New Jersey] (LR-17765) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 19). Under the proposed rule change, NYSE would be permitted to implement a two-year pilot system for portfolio margining and cross- margining for certain accounts. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46576) A proposed rule change (SR-BSE-2002-14) has been filed by the Boston Stock Exchange relating to trade through liability for certain exchange traded funds. Publication of the notice in the Federal Register is expected during the week of October 7. (Rel. 34-46580) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change and Amendment No. 1 thereto submitted by the American Stock Exchange (SR-Amex-2002-50) relating to the trading of trust issued receipts and "Other Securities." Publication of the proposal in the Federal Register is expected during the week of October 7. (Rel. 34-46581) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-CBOE-2002-53) filed by the Chicago Board Options Exchange amending its rules to provide notice of benefits of membership and attendant obligations has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected in the Federal Register during the week of October 7. (Rel. 34-46582) DELISTING GRANTED An order has been issued granting the application of the American 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 October 2, 2002. (Rel. 34-46591) 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-4 ONCOR ELECTRIC DELIVERY CO, 0 ($1,200,000,000.00) Non-Convertible Debt, (File 333-100240 - Oct. 2) (BR. 02) SB-2 JITSOURCE INC, 358,500 ($71,700.00) Equity, (File 333-100241 - Oct. 2) (BR. ) S-4 ONCOR ELECTRIC DELIVERY CO, 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-100242 - Oct. 2) (BR. 02) S-3 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 300,000 ($3,180,000.00) Equity, (File 333-100243 - Oct. 2) (BR. 04) S-8 MACK CALI REALTY CORP, 11 COMMERCE DR, 1ST FLOOR, CRANFORD, NJ, 07016, 9082728000 - 0 ($51,529,500.00) Equity, (File 333-100244 - Oct. 2) (BR. 08) S-8 TURBODYNE TECHNOLOGIES INC, 6155 CARPINTERIA AVE, SUITE 1550, CARPINTERIA, CA, 93013, 8056844551 - 6,000,000 ($1,080,000.00) Equity, (File 333-100245 - Oct. 2) (BR. 05) S-8 CNB CORP /MI/, PO BOX 10, CHEBOYGAN, MI, 49721, 6166277111 - 0 ($2,500,000.00) Equity, (File 333-100250 - Oct. 2) (BR. 07) S-8 BACH-HAUSER INC, 1561 HIGHWAY 3, -, CAYUGA, ONTARIO, A6, N0A 1E0, 9057725738 - 8,000,000 ($80,000.00) Equity, (File 333-100253 - Oct. 2) (BR. 06) S-8 MSC SOFTWARE CORP, 815 COLORADO BLVD, LOS ANGELES, CA, 90041, 3232589111 - 750,000 ($5,947,500.00) Equity, (File 333-100254 - Oct. 2) (BR. 03) S-8 MSC SOFTWARE CORP, 815 COLORADO BLVD, LOS ANGELES, CA, 90041, 3232589111 - 500,000 ($3,965,000.00) Equity, (File 333-100255 - Oct. 2) (BR. 03) SB-2 TECHNOLOGY RESOURCES INC, 2424 MADRID AVENUE, SAFETY HARBOR, FL, 34695, 7277992100 - 5,500,000 ($220,000.00) Equity, (File 333-100258 - Oct. 2) (BR. ) SB-2 LAURIER INTERNATIONAL INC, PO BOX 16265, HOUSTON, TX, 77496, 2813435775 - 501,000 ($150,300.00) Other, (File 333-100259 - Oct. 2) (BR. ) S-8 SONORAN ENERGY INC, 521 WEST 23RD ST, 2ND FL, NEW YORK, NY, 10011, 2126479223 - 650,000 ($5.98) Equity, (File 333-100260 - Oct. 2) (BR. 08) SB-2 NORTHWARD VENTURES INC, 1066 W. HASTINGS ST., SUITE 2120, VANCOUVER, A1, V6E 3X1, 6044843588 - 2,210,000 ($1,105,000.00) Equity, (File 333-100261 - Oct. 2) (BR. ) S-8 EON LABS INC, 787 SEVENTH AVE, NEW YORK, NY, 10019, 2127288116 - 0 ($65,700,000.00) Equity, (File 333-100262 - Oct. 2) (BR. 01) S-8 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC, 600 MAYER ST, BRIDGEVILLE, PA, 15017, 4122577600 - 300,000 ($1,674,000.00) Equity, (File 333-100263 - Oct. 2) (BR. 06) S-8 ECOM CORP, 2078 PROSPECTER AVE, PARK CITY, UT, 84060, 4356550856 - 0 ($80,000.00) Equity, (File 333-100264 - Oct. 2) (BR. 08) S-8 ECOM CORP, 2078 PROSPECTER AVE, PARK CITY, UT, 84060, 4356550856 - 0 ($40,000.00) Equity, (File 333-100265 - Oct. 2) (BR. 08) S-8 CV THERAPEUTICS INC, 3172 PORTER DR, PALO ALTO, CA, 94304, 6503848500 - 0 ($10,400,000.00) Equity, (File 333-100266 - Oct. 2) (BR. 01) S-8 GENESIS BIOVENTURES INC, 1A - 3033 KING GEORGE HIGHWAY, SURREY, BRITISH COLUMBIA CAN, A1, V4P 1B8, 6045420820 - 200,000 ($20,000.00) Other, (File 333-100267 - Oct. 2) (BR. 01) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 4,000,000 ($156,360,000.00) Equity, (File 333-100268 - Oct. 2) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 10,000,000 ($390,900,000.00) Equity, (File 333-100269 - Oct. 2) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 80,000,000 ($80,000,000.00) Equity, (File 333-100270 - Oct. 2) (BR. 05) S-8 GENERAL MOTORS CORP, 300 RENAISSANCE CTR, MAIL CODE: 482-C34-D71, DETROIT, MI, 48265-3000, 3135565000 - 500,000 ($19,545,000.00) Equity, (File 333-100271 - Oct. 2) (BR. 05) S-3D INVESTORS REAL ESTATE TRUST, 12 S MAIN STREET, SUITE 100, MINOT, ND, 58701, 701-837-4738 - 220,000 ($2,195,600.00) Equity, (File 333-100272 - Oct. 2) (BR. 08) S-11 AAA REALTY INCOME & GROWTH LTD, 8 GREENWAY PLAZA STE 824, HOUSTON, TX, 77046, 7138501400 - 25,000 ($25,000,000.00) Limited Partnership Interests, (File 333-100273 - Oct. 2) (BR. ) S-8 FIRST RELIANCE BANCSHARES INC, 2170 W PALMETTO ST, FLORENCE, SC, 29501, 8436628802 - 0 ($1,211,706.00) Equity, (File 333-100282 - Oct. 2) (BR. 07) S-8 PRECOM TECHNOLOGY INC, 2001 W. MAIN STREET, STE. 208, STAMFORD, CT, 06902, 2039610306 - 18,237,850 ($182,378.50) Equity, (File 333-100283 - Oct. 2) (BR. 02) SB-2 LIQUIDIX INC, 16929 E. ENTERPRISE DRIVE, #206, FOUNTAIN HILLS, AZ, 85268, 4808166140 - 5,370,370 ($859,259.26) Equity, (File 333-100284 - Oct. 2) (BR. 02) S-8 EXTENDED SYSTEMS INC, 5777 MEEKER AVENUE, BOISE, ID, 83713, 2023227575 - 497,891 ($1,323,229.58) Equity, (File 333-100285 - Oct. 2) (BR. 03) S-8 TIERONE CORP, 1235 N STREET, LINCOLN, NE, 68508, 4024750521 - 1,000,000 ($14,270,000.00) Equity, (File 333-100286 - Oct. 2) (BR. 09) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ACTV INC /DE/ DE X X 09/26/02 ADRIATIC HOLDINGS LTD X 09/17/02 ALABAMA POWER CO AL X X 09/26/02 ALLEGIANT BANCORP INC/MO/ MO X X 09/17/02 ALLIED HEALTHCARE INTERNATIONAL INC NY X 10/02/02 AMERICAN ECOLOGY CORP DE X X 09/30/02 ANIXTER INTERNATIONAL INC DE X 09/20/02 AQUILA INC DE X X 10/01/02 ARC COMMUNICATIONS INC NJ X 10/01/02 AVON PRODUCTS INC NY X 09/30/02 BANK OF NEW YORK CO INC NY X X 09/30/02 BANKATLANTIC BANCORP INC FL X 09/26/02 BANYAN STRATEGIC REALTY TRUST MA X X 10/01/02 BEAR STEARNS COMMERCIAL MORTGAGE SECU DE X X 10/01/02 BETA OIL & GAS INC NV X X 10/01/02 BLUE DOLPHIN ENERGY CO DE X X 10/01/02 BMC INDUSTRIES INC/MN/ MN X 10/02/02 BRAVO FOODS INTERNATIONAL CORP DE X X 09/30/02 BRIGHTPOINT INC DE X X 09/27/02 BRINKER INTERNATIONAL INC DE X 10/02/02 BUCKEYE TECHNOLOGIES INC DE X 09/30/02 BURLINGTON NORTHERN SANTA FE CORP DE X X 10/01/02 C BASS MORTGAGE LOAN ASSET BACKED CER DE X X 09/25/02 CHANGE TECHNOLOGY PARTNERS INC DE X X 09/30/02 CHASE FUNDING INC NY X X 09/20/02 CNB FINANCIAL CORP/PA PA X X 09/25/02 COLOR IMAGING INC DE X 09/30/02 COMDIAL CORP DE X X 09/25/02 COMDIAL CORP DE X X 09/25/02 AMEND COMERICA INC /NEW/ DE X 10/02/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 09/17/01 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 12/17/01 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 03/15/01 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 07/17/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 08/15/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X X 09/16/02 CONTINENTAL AIRLINES INC /DE/ DE X X 10/01/02 COX TECHNOLOGIES INC NC X X 09/30/02 CREDIT SUISSE FIRST BOSTON ABS TRUST DE X X 09/25/02 CREDIT SUISSE FIRST BOSTON MOR SEC CO DE X X 09/25/02 CREDIT SUISSE FST BOS MOR SEC CSFB MO DE X X 09/25/02 CRONOS GROUP N4 X X X 09/18/02 CRYSTAL DECISIONS INC DE X X 10/01/02 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 09/25/02 CWABS INC DE X X 09/30/02 CWABS INC DE X X 09/30/02 CWMBS INC DE X X 10/02/02 DEERE & CO DE X 10/02/02 DELCATH SYSTEMS INC DE X 10/01/02 DETWILER MITCHELL & CO DE X 09/30/02 DOW CHEMICAL CO /DE/ DE X X 10/02/02 DYNEGY HOLDINGS INC DE X X 09/30/02 DYNEGY INC /IL/ IL X X 09/30/02 EAUTOCLAIMS COM INC NV X X 10/02/02 EL PASO CORP/DE DE X X 10/02/02 EL PASO CORP/DE DE X X 10/02/02 ELAMEX SA DE CV X X 10/01/02 AMEND ELECTRONIC DATA SYSTEMS CORP /DE/ DE X 10/02/02 EMAIL MORTGAGE COM INC CO X X X 09/04/02 ENTERPRISE PRODUCTS PARTNERS L P DE X X 10/02/02 ENTRUST INC MD X X 09/30/02 ENZON INC DE X X 10/02/02 EXPRESSJET HOLDINGS INC DE X X 10/01/02 EXUS NETWORKS INC NV X 10/01/02 FAMILY DOLLAR STORES INC DE X 10/02/02 FONAR CORP DE X 09/10/02 AMEND FORD MOTOR CREDIT CO DE X 10/02/02 FREEWILLPC COM INC NV X X X 06/14/02 AMEND GE CAPITAL COM MORT CORP COM MORT PAS DE X X 06/15/01 GERBER SCIENTIFIC INC CT X 10/02/02 GTECH HOLDINGS CORP DE X 10/02/02 HALLIBURTON CO DE X X 10/01/02 HANOVER DIRECT INC DE X 10/02/02 HARBORSIDE HEALTHCARE CORP DE X 09/28/02 HAWK CORP DE X X 09/27/02 HAWK CORP DE X X 10/02/02 HOOKER FURNITURE CORP VA X X 09/30/02 HURRY INC GA X X 09/30/02 INFOSPACE INC DE X X 09/27/02 INNOFONE COM INC NV X X 08/12/02 AMEND INSCI CORP DE X 09/10/02 INSPIRE PHARMACEUTICALS INC DE X 10/02/02 JEWETT CAMERON TRADING CO LTD OR X X 02/25/02 AMEND KEVCO INC TX X X 09/30/02 KEY ENERGY SERVICES INC MD X 07/19/02 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE X X 10/02/02 LADENBURG THALMANN FINANCIAL SERVICES FL X X 09/30/02 LEESPORT FINANCIAL CORP PA X X 10/01/02 LEHMAN BROTHERS HOLDINGS INC DE X 10/02/02 LIFEPOINT HOSPITALS INC DE X X 10/02/02 LONE STAR TECHNOLOGIES INC DE X 10/02/02 LONG BEACH SECURITIES CORP DE X X 10/01/02 LPA HOLDING CORP DE X X 09/30/02 MACERICH CO MD X 10/02/02 AMEND MACK CALI REALTY CORP MD X X 09/27/02 MACK CALI REALTY L P DE X X 09/27/02 MALLON RESOURCES CORP CO X 10/01/02 MANGOSOFT INC NV X X 09/30/02 MARSHALL & ILSLEY CORP/WI/ WI X X 10/01/02 MEVC DRAPER FISHER JURVESTON FUND I I DE X 10/01/02 MICRON ENVIRO SYSTEMS INC X 10/02/02 MID AMERICA APARTMENT COMMUNITIES INC TN X 10/02/02 MID AMERICA APARTMENT COMMUNITIES INC TN X 10/02/02 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA X 10/02/02 MKTG SERVICES INC NV X 10/02/02 MORGAN STANLEY DE X X 10/02/02 MORGAN STANLEY DEAN WITTER CAPITAL IN DE X X 08/30/02 MORTGAGE PROFESSIONALS LEAD SOURCE IN UT X X X 09/26/02 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X 07/31/02 NEWFIELD EXPLORATION CO /DE/ DE X 10/02/02 NEWPOWER HOLDINGS INC DE X X 09/23/02 NEWTEK CAPITAL INC NY X X X 09/12/02 NORD PACIFIC LIMITED X 10/02/02 NORTH FORK BANCORPORATION INC DE X 10/02/02 NORTHERN BORDER PARTNERS LP DE X X 10/02/02 NORTHERN BORDER PIPELINE CO TX X X 10/02/02 NORTHERN TRUST CORP DE X X 09/27/02 ON SEMICONDUCTOR CORP DE X X 10/02/02 PACIFIC CONTINENTAL CORP OR X 09/30/02 PENNZOIL QUAKER STATE CO DE X X 10/01/02 PHOTOELECTRON CORP MA X X 10/02/02 POSTERALLEY COM INC CO X X 09/30/02 PROSPERITY BANCSHARES INC TX X X 10/01/02 RETEK INC DE X X 09/27/02 ROBBINS & MYERS INC OH X X 10/02/02 RPS GROUP INC FL X X X 09/12/02 RX TECHNOLOGY HOLDINGS INC X X 06/27/02 SABA SOFTWARE INC DE X X 10/02/02 SAFE ALTERNATIVES CORP OF AMERICA INC FL X X X 09/17/02 SCHLUMBERGER LTD /NV/ P8 X X 10/01/02 SCHULMAN A INC DE X X 09/30/02 SCIENCE APPLICATIONS INTERNATIONAL CO DE X 09/27/02 SCORES HOLDING CO INC UT X X 11/14/01 AMEND SCS TRANSPORTATION INC DE X X 09/30/02 SECURED DIVERSIFIED INVESTMENT LTD NV X 10/02/02 SEIBELS BRUCE GROUP INC SC X X 10/02/02 SIERRA PACIFIC RESOURCES /NV/ NV X X 09/30/02 SOUTHERN ENERGY HOMES INC DE X X 10/01/02 SPHERION CORP DE X 10/01/02 STANCORP FINANCIAL GROUP INC OR X X 10/01/02 STANDARD MANAGEMENT CORP IN X X 09/17/02 STATION CASINOS INC NV X X 09/30/02 STORAGE TECHNOLOGY CORP DE X X 10/02/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/25/02 SUPERCONDUCTOR TECHNOLOGIES INC DE X 09/30/02 SYNBIOTICS CORP CA X X 09/24/02 TARGET RECEIVABLES CORP MN X 09/25/02 TECUMSEH PRODUCTS CO MI X X 10/01/02 TEXAS BIOTECHNOLOGY CORP /DE/ DE X 10/02/02 TRANSCAT INC OH X 10/01/02 TRIANGLE PHARMACEUTICALS INC DE X X 09/27/02 TRIPLE-S MANAGEMENT CORP X 09/24/02 TTR TECHNOLOGIES INC DE X 10/02/02 UNIVERSAL BROADBAND COMMUNICATIONS IN NV X X 10/01/02 AMEND UNOCAL CORP DE X X 10/01/02 UNOVA INC DE X X 10/01/02 VALENCE TECHNOLOGY INC DE X X 09/30/02 VARI L CO INC CO X X 10/01/02 VERITAS DGC INC DE X X 09/27/02 VERSANT CORP CA X X 09/30/02 VERTEX INTERACTIVE INC NJ X X 06/30/02 VIALINK CO DE X X X 10/02/02 WARNACO GROUP INC /DE/ DE X X 10/01/02 WARWICK VALLEY TELEPHONE CO NY X 10/02/02 WELLS FARGO ASSET SECURITIES CORP DE X X 05/30/02 WESTMARK GROUP HOLDINGS INC DE X X 09/25/02 WORLDWIDE MEDICAL CORP/CA/ DE X 09/18/02 XEROX CREDIT CORP DE X X 09/26/02