SEC NEWS DIGEST Issue 2002-83 April 30, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CHANGE IN THE MEETING: DELETION OF ITEM/ADDITIONAL ITEM The following item was not considered at the open meeting held on April 30, at 10:00 a.m.: Consideration of whether to issue an exemptive order under Section 36 of the Exchange Act, which would permit broker-dealers to pledge a wider range of collateral when entering into borrowing transactions governed by paragraph (b)(3) of Rule 15c3-3. The provisions in this paragraph apply when broker-dealers borrow fully paid and excess margin securities from customers. The conditions for such borrowings include the requirement that broker-dealers provide customers with full collateral consisting of certain specified financial instruments or cash. The order would expand the types of collateral that could be provided, subject to certain conditions in addition to those required in the Rule. The Commission also will not consider whether to delegate its authority to issue such orders regarding permissible collateral to the Director of the Division of Market Regulation. The following item has been added to the closed meeting scheduled for Wednesday, May 1, 2002: Formal orders of investigations. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS IN THE MATTER OF MARK ANDERSON On April 30, an administrative law judge issued an initial decision in Administrative Proceeding No. 3-9499, In the Matter of Mark David Anderson. The Order Instituting Proceedings alleged that Respondent Anderson charged undisclosed, excessive markups and markdowns that violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. It also alleged that Anderson's undisclosed, excessive markups and markdowns aided and abetted and caused Armscott Securities Ltd., a registered broker-dealer, to violate Sections 15(c)(1) and 15B(c)(1) of the Exchange Act and Rule 15c1-2 thereunder, and Rules G-17 and G-30 of the Municipal Securities Rulemaking Board. The initial decision concluded that the weight of the evidence did not support the allegations, and dismissed the proceeding against Respondent Anderson. (Initial Decision No. 203; File No. 3-9499) COMMISSION INSTITUTES ADMINISTRATIVE ACTION AGAINST ANDREW BODNAR FOR VIOLATIONS OF SECTIONS 5(a), 5(c) AND 17(a) OF THE SECURITIES ACT AND SECTIONS 10(b) and 15(a) OF THE EXCHANGE ACT, RULE 10b-5 THEREUNDER The Commission announced that on April 29 the Commission instituted administrative proceedings against Andrew P. Bodnar for violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The proceedings are based on the April 16, 2002 Order entered in the United States District Court for the Northern District of Ohio permanently enjoining Bodnar from violations of the referenced statutes and rule (SEC v. Bodnar, et al., Civil Action No. 5:99-CV-822). The facts underlying the injunctive complaint filed on April 8, 1999, were that, from November 1996 through July 1997, Bodnar engaged in a scheme to defraud investors and to misappropriate money through the fraudulent offer and sale of the unregistered securities of CBT Holding Corporation (CBT Holding) and CBT-Ohio, Ltd. (CBT-Ohio). In the complaint, the Commission alleged that Bodnar and others, acting by and through CBT Holding and CBT-Ohio, organized a sales force comprised of certain registered representatives. Bodnar and the others on the sales force fraudulently solicited and induced at least 148 public investors to purchase approximately $6.4 million of promissory notes issued by CBT Holding and CBT-Ohio, making misrepresentations intended to lull investors into the false belief that the securities were safe investments. The Commission's complaint further alleged that, in reality, Bodnar and others misappropriated investor funds raised through the sales of the CBT Holding and CBT-Ohio securities, using those funds for, among other things, personal and business expenses. (Rels. 33-8096; 34-45845; File No. 3-10770) SEC FILES INSIDER TRADING ACTION AGAINST 14 INDIVIDUALS, INCLUDING CURRENT AND FORMER REGISTERED REPRESENTATIVES, IN CONNECTION WITH THE ACQUISITION OF WLR FOODS, INC. BY PILGRIM'S PRIDE CORPORATION The Commission today announced the filing of a civil injunctive action against 14 individuals for violations of the antifraud provisions of the securities laws in connection with trading in the common stock of WLR Foods, Inc. (WLRF) immediately preceding an announcement, on September 27, 2000, of the acquisition of WLRF by Pilgrim's Pride Corporation. In total, the unlawful trading produced profits of nearly $295,000. The complaint alleges that, on or about September 26, 2000, Eric Patton, then an executive with WLRF, communicated to his brother, Steven Patton, that there would be an announcement within two or three days that a company would be acquiring WLRF at a price of $14 per share. On or about September 26, Steven Patton passed that information to Michael Nicolaou (Nicolaou), who was then his registered representative at GBI Capital Partners Inc. (GBI), now Ladenburg Capital Management Inc. (Ladenburg), and indicated the news came from his brother, Eric Patton. Nicolaou then passed some or all of the information to three individuals: Konstantine Drakopoulos, a GBI/Ladenburg registered representative, Panayiotis Papaseraphim, and John Tsiforis. Two of Nicolaou's tippees then passed the information to other individuals: Konstantine Drakopoulos tipped Dimitrios Kostopoulos, a former registered representative at National Discount Brokers Corporation, Lampros Moumouris, and Angelo Rigas; and John Tsiforis tipped Konstantinos Orfanakos, Constantine Stamoulis and Sandra Tsiforis. The Complaint further alleges that Konstantine Drakopoulos and Angelo Rigas tipped three additional members of the Rigas family: Gregory Rigas, George Rigas, and Antonia Bregianos. In its complaint, the Commission requests that the Court enjoin the defendants (except the relief defendants) from violating the antifraud provisions of the Securities Exchange Act of 1934 (Exchange Act), Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5, and that the Court issue an order directing these defendants to disgorge illegal trading profits with prejudgment interest, and to pay civil money penalties, pursuant to Section 21A of the Exchange Act. As to the relief defendants, the complaint seeks an order that these defendants disgorge illegal trading profits with prejudgment interest. The United States Attorney's Office for the Eastern District of New York, on the same day, announced the handing-up of an eleven-count indictment against Konstantine Drakopoulos, Kostopoulos, Angelo Rigas, Moumouris, Stamoulis, John Tsiforis, Orfanakos, Eric Patton and Steve Patton. The indictment charged Konstantine Drakopoulos, Kostopoulos, Angelo Rigas, Moumouris, Stamoulis, John Tsiforis and Orfanakos with conspiracy to commit securities fraud and securities fraud; Konstantine Drakopoulos with false statements made to the Commission staff; Orfanakos with false statements made to the Commission staff, among others, and with perjury; John Tsiforis with false statements and perjury; and Eric Patton and Steven Patton with perjury. Nicolaou, without admitting or denying the Commission's allegations, has consented to an order permanently restraining and enjoining him from violating Section 10(b) of the Exchange Act and Exchange Rule 10b-5. The order also directs Nicolaou to pay disgorgement, including prejudgment interest, in the amount of $22,419, but which, based upon the sworn representations in Nicolaou's Statement of Financial Condition that he submitted to the Commission, waives payment of $21,859, and does not order him to pay a civil money penalty. Following the entry of an injunction, Nicolaou has consented to the entry of a Commission Order pursuant to Section 15(b)(6) of the Exchange Act barring him from association with any broker or dealer. Papaseraphim, without admitting or denying the Commission's allegations, also has consented to an order permanently restraining and enjoining him from violating Section 10(b) of the Exchange Act and Exchange Rule 10b- 5, and has agreed to pay disgorgement, including prejudgment interest, in the amount of $5,906, representing the amount of profits earned by his trading, and a civil penalty of $5,297. [SEC v. Eric Patton, et al., Civil Action No. 02 CV 2564, RR, USDC, EDNY] (LR-17495) HOLDING COMPANY ACT RELEASES AMERICAN ELECTRIC POWER COMPANY INC., ET AL. An order has been issued authorizing American Electric Power Company Inc. (AEP), a registered holding company, and its twelve electric utility subsidiary companies, AEP Generating Company, Appalachian Power Company, Central Power and Light Company, Columbus Southern Power Company, Indiana Michigan Power Company, Kentucky Power Company, Kingsport Power Company, Ohio Power Company, Public Service Company of Oklahoma, Southwestern Electric Power Company, West Texas Utilities Company, and Wheeling Power Company, (collectively, Applicants), to sell certain utility assets, including substations, transmission and distribution lines, lighting and other utility assets that serve customers of the Applicants as well as poles that will be transferred as part of joint use agreements. Each utility applicant is authorized to sell utility assets for consideration up to $15 million per calendar year through September 30, 2006. The assets will be sold at not less than net book value on the date of the sale. (Rel. 35-27524) NISOURCE, INC., ET AL. A supplemental order has been issued regarding a proposal by NiSource Inc., a registered holding company, and certain of its nonutility subsidiary companies. The order confirms that the proposed divestiture of certain nonutility assets complies with the requirements of a previous order regarding the divestiture and is necessary or appropriate to effectuate Section 11(b)(1) of the Act. (Rel. 35-27525) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The Philadelphia Stock Exchange filed a proposed rule change relating to anti-money laundering compliance programs. Publication of the notice in the Federal Register is expected during the week of April 29. (Rel. 34- 45830) 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-3 LIGAND PHARMACEUTICALS INC, 10275 SCIENCE CENTER DRIVE, SAN DIEGO, CA, 92121-1117, 8585507500 - 4,252,500 ($72,164,925.00) Equity, (File 333-87110 - Apr. 29) (BR. 01) S-8 ELEPHANT TALK COMMUNICATIONS INC, 19222 PIONEER BLVD, SUITE 100, CERITOS, CA, 90703, 562-653-0400 - 2,000,000 ($640,000.00) Equity, (File 333-87112 - Apr. 29) (BR. 09) S-8 DATAMEG CORP, 1653 HAIGHT AVENUE, BRONX, NY, 10461-1503, 2126825844 - 5,000,000 ($200,000.00) Equity, (File 333-87114 - Apr. 29) (BR. 05) S-4 SYNAGRO TECHNOLOGIES INC, 1800 BERING STE 1000, HOUSTON, TX, 77057, 7133691700 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-87116 - Apr. 29) (BR. 06) S-8 ELEPHANT TALK COMMUNICATIONS INC, 19222 PIONEER BLVD, SUITE 100, CERITOS, CA, 90703, 562-653-0400 - 2,000,000 ($800,000.00) Equity, (File 333-87118 - Apr. 29) (BR. 09) S-8 ROTARY POWER INTERNATIONAL INC, 22 PASSAIC ST, PO BOX 128, WOODRIDGE, NJ, 07075, 2014707000 - 0 ($31,000.00) Equity, (File 333-87120 - Apr. 29) (BR. 01) S-4 CHARTER COMMUNICATIONS HOLDINGS LLC, 12444 POWERSCOURT DRIVE, SUITE 400, ST. LOUIS, MO, 63131, 3149650555 - 0 ($894,959,000.00) Non-Convertible Debt, (File 333-87122 - Apr. 29) (BR. 37) S-8 WEST MARINE INC, 500 WESTRIDGE DR, WATSONVILLE, CA, 95076-4100, 4087282700 - 0 ($2,189,000.00) Equity, (File 333-87124 - Apr. 29) (BR. 02) S-8 GENERAL DYNAMICS CORP, 3190 FAIRVIEW PARK DRIVE, FALLS CHURCH, VA, 22042, 7038763000 - 0 ($3,733,400.00) Equity, (File 333-87126 - Apr. 29) (BR. 06) S-8 CORNING INC /NY, ONE RIVERFRONT PLAZA, CORNING, NY, 14831, 6079749000 - 30,000,000 ($198,300,000.00) Equity, (File 333-87128 - Apr. 29) (BR. 37) S-4 FNB CORP/NC, 101 SUNSET AVE, P O BOX 1328, ASHEBORO, NC, 27203, 3366268300 - 672,783 ($23,130,280.00) Equity, (File 333-87132 - Apr. 29) (BR. 07) SB-2 I TRAX INC, ONE LOGAN SQUARE, 130 N 18TH ST SUITE 3615, PHILADELPHIA, PA, 19103, 7038600600 - 5,547,692 ($6,990,092.00) Equity, (File 333-87134 - Apr. 29) (BR. 03) S-3 SANGUINE CORP, 101 EAST GREEN ST, #11, PASADENA, CA, 91105, 8184050079 - 0 ($1,618,598.00) Equity, (File 333-87140 - Apr. 29) (BR. 01) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000, 4412955950 - 0 ($391,000.00) Equity, (File 333-87142 - Apr. 29) (BR. 37) S-8 HPL TECHNOLOGIES INC, 2033 GATEWAY PLACE, SUITE 400, SAN JOSE, CA, 95110, 4084371466 - 0 ($1,339,929.00) Equity, (File 333-87144 - Apr. 29) (BR. 03) S-3 BOND SECURITIZATION LLC, 1 BANK ONE PLAZA, CHICAGO, IL, 60670, 3127820600 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-87146 - Apr. 29) (BR. 05) S-8 FACT CORP, 1530 9TH AVENUE, S.E., TG2 0T7, CALGARY ALBERTA, A1, 00000, 4032040260 - 1,000,000 ($1,000,000.00) Equity, (File 333- 87148 - Apr. 29) (BR. 04) S-8 LIBERTY NATIONAL BANCSHARES INC, PO BOX 82030, CONYERS, GA, 30208, 7707607573 - 100,000 ($1,121,000.00) Equity, (File 333-87150 - Apr. 29) (BR. 07) S-1 GOLDEN AMERICAN LIFE INSURANCE CO /NY/, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-1478, 6104253400 - 0 ($600,000,000.00) Other, (File 333-87152 - Apr. 29) (BR. 20) SB-2 NUWAVE TECHNOLOGIES INC, ONE PASSAIC AVE, FAIRFIELD, NJ, 07004, 9738828810 - 5,238,095 ($3,142,857.00) Equity, (File 333-87154 - Apr. 29) (BR. 37) S-8 ROYAL FINANCE INC, 1481 S. MILLING TRAIL, SUITE 14, WEST PALM BEACH, FL, 33415, 5616493901 - 3,850,000 ($154,000.00) Equity, (File 333-87156 - Apr. 29) (BR. 07) S-1 NOMOS CORP, 2591 WEXFORD BAYNE ROAD, SEWICKLEY, PA, 15143, 7249348200 - 0 ($50,000,000.00) Equity, (File 333-87158 - Apr. 29) (BR. ) S-3 EMS TECHNOLOGIES INC, 660 ENGINEERING DRIVE, NORCROSS, GA, 30092, 7702639200 - 0 ($4,565,000.00) Equity, (File 333-87160 - Apr. 29) (BR. 37) S-8 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152, 3135913000 - 3,420,000 ($124,884,720.00) Equity, (File 333-87162 - Apr. 29) (BR. 02) S-8 SIRENZA MICRODEVICES INC, 522 ALMANOR AVENUE, SUNNYVALE, CA, 94086, 4086165400 - 0 ($4,979,344.00) Equity, (File 333-87164 - Apr. 29) (BR. 36) S-4 BURLINGTON RESOURCES INC, 5051 WESTHEIMER, SUITE 1400, HOUSTON, TX, 77056, 7136249500 - 0 ($1,500,000,000.00) Other, (File 333-87166 - Apr. 29) (BR. 04) S-8 LIBERTY NATIONAL BANCSHARES INC, PO BOX 82030, CONYERS, GA, 30208, 7707607573 - 100,000 ($1,121,000.00) Equity, (File 333-87168 - Apr. 29) (BR. 07) S-3 BURLINGTON RESOURCES INC, 5051 WESTHEIMER, SUITE 1400, HOUSTON, TX, 77056, 7136249500 - 0 ($1,500,000,000.00) Other, (File 333-87170 - Apr. 29) (BR. 04) S-8 MIPS TECHNOLOGIES INC, 1225 CHARLESTON ROAD, MOUNTAIN VIEW, CA, 94043-1353, 6505675000 - 1,000,000 ($7,120,000.00) Equity, (File 333-87172 - Apr. 29) (BR. 36) S-1 SAGE LIFE ASSURANCE OF AMERICA INC, 300 ATLANTIC ST, SUITE 302, STAMFORD, CT, 06901, 2033246338 - 0 ($56,000,000.00) Other, (File 333-87174 - Apr. 29) (BR. 20) S-1 SAGE LIFE ASSURANCE OF AMERICA INC, 300 ATLANTIC ST, SUITE 302, STAMFORD, CT, 06901, 2033246338 - 0 ($14,000,000.00) Other, (File 333-87178 - Apr. 29) (BR. 20) S-3 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($128,300,000.00) Equity, (File 333-87180 - Apr. 29) (BR. 01) S-1 SAGE LIFE ASSURANCE OF AMERICA INC, 300 ATLANTIC ST, SUITE 302, STAMFORD, CT, 06901, 2033246338 - 0 ($28,000,000.00) Other, (File 333-87182 - Apr. 29) (BR. 20) S-8 INTERWOVEN INC, 1195 W FREMONT AVE, STE 2000, SUNNYVALE, CA, 94087, 4087742000 - 0 ($3,729,736.08) Equity, (File 333-87186 - Apr. 29) (BR. 03) S-3 TOO INC, 3885 MORSE ROAD, COLUMBUS, OH, 43219, 6144793810 - 0 ($81,640,800.00) Equity, (File 333-87188 - Apr. 29) (BR. 02) S-3 GREAT PLAINS ENERGY INC, 1201 WALNUT, KANSAS CITY, MO, 64106, 8165562200 - 0 ($300,000,000.00) Equity, (File 333-87190 - Apr. 29) (BR. 02) S-8 RWD TECHNOLOGIES INC, 10480 LITTLE PATUXENT PARKWAY, SUITE 1200, COLUMBIA, MD, 21044-3530, 4107304377 - 2,400,000 ($8,640,000.00) Equity, (File 333-87192 - Apr. 29) (BR. 08) S-3 BROOKS AUTOMATION INC, 15 ELIZABETH DR, CHELMSFORD, MA, 01824, 9782622400 - 0 ($5,783,982.00) Equity, (File 333-87194 - Apr. 29) (BR. 36) SB-2 SAN HOLDINGS INC, 900 WEST CASTLETON ROAD, SUITE 100, CASTLE ROCK, CO, 80104, 3036603933 - 28,859,432 ($20,201,602.40) Equity, 7,237,108 ($6,976,291.88) Other, (File 333-87196 - Apr. 29) (BR. 03) S-8 GATEWAY DISTRIBUTORS LTD, 500 EAST CHEYENNE AVENUE, LAS VEGAS, NV, 89030, 0 ($2,000,000.00) Equity, (File 333-87198 - Apr. 29) (BR. 08) 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 --------------------------------------------------------------------------------- AAMES FINANCIAL CORP/DE DE X 03/31/02 ADOLOR CORP X 04/25/02 ALD SERVICES INC NV X X X 04/26/02 ALPINE AIR EXPRESS INC/DE DE X 04/25/02 AMEDISYS INC DE X X 04/29/02 AMEREN CORP MO X X 04/29/02 AMERICAN EXPRESS RECEIVABLES FINANCIN DE X X 02/07/02 AMSOUTH AUTO RECEIVABLES LLC X X 04/15/02 ANTHRACITE CAPITAL INC MD X 04/29/02 APEX SILVER MINES LTD X 04/26/02 APPLIEDTHEORY CORP DE X X 04/26/02 ASTURIAS INDUSTRIES INC FL X 04/23/02 AT COMM CORP DE X X 04/29/02 AVANI INTERNATIONAL GROUP INC // NV X 04/02/02 BAXTER CAPITAL CO FL X 12/15/99 BEAR STEARNS ASSET BACKED SECURITIES DE X X 04/30/02 BERKLEY W R CORP DE X X 04/29/02 BLACK DIAMOND INDUSTRIES INC FL X 12/15/99 BLACKHAWK BANCORP INC WI X X 04/24/02 BLUESTONE HOLDING CORP /DE/ DE X X X 04/12/02 BSB BANCORP INC DE X X 04/23/02 CANAL CAPITAL CORP DE X 04/26/02 CELLEGY PHARMACEUTICALS INC CA X 04/26/02 CENTURYTEL INC LA X 04/29/02 CHARTER COMMUNICATIONS INC /MO/ DE X X X 04/29/02 CITICORP MORTGAGE SECURITIES INC DE X 04/29/02 COLONIAL BANCGROUP INC DE X X 04/29/02 CONCEPTUS INC DE X 04/24/02 COOPER COMPANIES INC DE X 02/28/02 CORE LABORATORIES N V P7 X X 04/10/02 AMEND CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 04/24/02 CREDIT SUISSE FST BOS MOR SEC CSFB MO DE X X 04/25/02 CRESCENT REAL ESTATE EQUITIES CO TX X 04/22/02 AMEND CROWN PACIFIC PARTNERS L P DE X X 04/19/02 CV THERAPEUTICS INC DE X X 04/22/02 CYGNUS INC /DE/ DE X X 04/24/02 DEXTERITY SURGICAL INC DE X X 04/25/02 DIASENSE INC/PA PA X 04/24/02 DIASENSE INC/PA PA X 04/26/02 AMEND DIGI INTERNATIONAL INC DE X 02/13/02 AMEND DIGI INTERNATIONAL INC DE X 03/25/02 AMEND DYNEGY HOLDINGS INC DE X X 04/29/02 DYNEGY INC /IL/ IL X X 04/29/02 DYNEX CAPITAL INC VA X X 04/29/02 E REX INC NV X 04/23/02 E SYNC NETWORKS INC DE X X 04/29/02 AMEND EAUTOCLAIMS COM INC NV X X 04/30/02 EL PASO ENERGY PARTNERS LP DE X X 04/29/02 ENEFTECH CORP TX X 12/31/01 AMEND ENVIRO RECOVERY INC TX X X 04/24/02 EOG RESOURCES INC DE X 04/29/02 EPICEDGE INC TX X X 04/18/02 EXTREME NETWORKS INC DE X X 04/17/02 FAIR ISAAC & COMPANY INC DE X X 04/28/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 04/29/02 FIRST CHESTER COUNTY CORP PA X 04/29/02 FIRST REAL ESTATE INVESTMENT TRUST OF NJ X 04/23/02 FIRST SECURITY BANCORP INC /KY/ KY X 03/31/02 FNB BANCORP/CA/ X X 04/26/02 FORTUNE BRANDS INC DE X X 04/12/02 GENERAL BINDING CORP DE X X 04/29/02 GENESCO INC TN X 04/29/02 GENTA INCORPORATED /DE/ DE X X 04/29/02 GIANT INDUSTRIES INC DE X 04/26/02 GLOBAL SEAFOOD TECHNOLOGIES INC NV X X 04/22/02 GO ONLINE NETWORKS CORP CO X 04/29/02 GRAVITAS INTERNATIONAL INC FL X X 04/25/02 GRIC COMMUNICATIONS INC CA X X 04/19/02 GUITAR CENTER INC DE X X 04/25/02 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 04/30/02 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 04/30/02 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 04/30/02 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 04/16/01 HORIZON OFFSHORE INC DE X X 04/16/02 HUBBELL INC CT X X 04/26/02 IKON OFFICE SOLUTIONS INC OH X X 04/25/02 IMMUNEX CORP /DE/ WA X X 04/22/02 INTERGRAPH CORP DE X 04/29/02 INTERPLAY ENTERTAINMENT CORP DE X X 04/25/02 IOS CAPITAL LLC DE X X 04/25/02 J2 COMMUNICATIONS /CA/ CA X X 04/29/02 JAMES BARCLAY ALAN INC NV X 04/26/02 AMEND LONE STAR STEAKHOUSE & SALOON INC DE X X 04/29/02 LTV CORP DE X X 04/12/02 LTV CORP DE X X 04/29/02 MANHATTAN ASSOCIATES INC GA X X 04/24/02 MCLEODUSA INC DE X X 04/24/02 MDU RESOURCES GROUP INC DE X X 03/31/02 MICRO THERAPEUTICS INC DE X X 04/23/02 MID ATLANTIC MEDICAL SERVICES INC DE X 04/29/02 MIKOHN GAMING CORP NV X X 04/29/02 MORGAN STANLEY ABS CAPITAL I INC DE X X 04/26/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 04/26/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 04/25/02 MSDW STRUCTURED ASSET CORP DE X 04/25/02 AMEND NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 04/15/02 NATIONAL CITY CREDIT CARD MASTER TRUS X X 04/15/02 NATIONAL PENN BANCSHARES INC PA X X 04/24/02 NATURAL SOLUTIONS CORP NV X X 04/08/02 NEOSE TECHNOLOGIES INC DE X X 03/29/02 AMEND NEOTHERAPEUTICS INC DE X X 04/29/02 NEOTHERAPEUTICS INC DE X X 04/29/02 NEWMARK HOMES CORP NV X X 04/15/02 NISSAN AUTO RECEIVABLES 2002 B OWNER DE X X 04/17/02 NTELOS INC VA X 04/29/02 NVIDIA CORP/CA DE X X 04/29/02 NVIDIA CORP/CA DE X 04/23/02 OMEGA CABINETS LTD DE X X 04/12/02 OPTICON MEDICAL INC CO X X 04/29/02 OXFORD HEALTH PLANS INC DE X X 04/29/02 PACIFIC CAPITAL BANCORP /CA/ CA X X 04/23/02 PANHANDLE EASTERN PIPE LINE CO DE X X 04/22/02 PENNICHUCK CORP NH X X 04/29/02 PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC X X 02/19/02 AMEND PINNACLE HOLDINGS INC DE X X 04/26/02 PIONEER NATURAL RESOURCES CO DE X 04/25/02 PRIME GROUP REALTY TRUST MD X 04/29/02 RADVISION LTD X X 04/26/02 RELIANT ENERGY INC TX X X X 04/29/02 RELIANT RESOURCES INC DE X X X 04/29/02 REPUBLIC RESOURCES INC /CO/ NV X X 04/23/02 REPUBLIC SERVICES INC DE X X 04/29/02 ROLLTECH INC X 04/29/02 AMEND ROYAL FINANCE INC FL X X X 04/28/02 RURAL ELECTRIC COOPERATIVE GRANTOR TR NY X X 04/23/02 AMEND RURAL ELECTRIC COOPERATIVE GRANTOR TR NY X X 04/23/02 AMEND RURAL ELECTRIC COOPERATIVE GRANTOR TR NY X X 03/15/02 AMEND SECURITY CAPITAL GROUP INC/ MD X X 04/29/02 SEQUOIA MORTGAGE FUNDING CORP MD X 04/27/02 SILK BOTANICALS COM INC FL X X 04/12/02 SKECHERS USA INC DE X 04/25/02 SPECTRAFAX CORP FL X X 04/29/02 STERLING CHEMICALS HOLDINGS INC /TX/ DE X X 04/22/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 04/26/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X X 04/26/02 STRUCTURED ASSET SECURITIES CORP DE X 04/25/02 SUMMIT FINANCIAL GROUP INC WV X X 04/29/02 TECHNOLOGY SOLUTIONS COMPANY DE X X 04/25/02 TEXAS CAPITAL BANCSHARES INC/TX DE X X 03/21/02 TRANSLATION GROUP LTD DE X X 04/26/02 TRI STATE OUTDOOR MEDIA GROUP INC KS X X 04/24/02 TRICO MARINE SERVICES INC DE X X 04/29/02 TRIGON HEALTHCARE INC VA X X 04/28/02 U S PLASTIC LUMBER CORP NV X X 04/24/02 UGI CORP /PA/ PA X 04/29/02 UMB FINANCIAL CORP MO X 04/29/02 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