SEC NEWS DIGEST Issue 2002-94 May 15, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS ADDITIONAL CLOSED MEETING HELD An additional closed meeting was held on Tuesday, May 14, 2002, at 11:00 a.m. The subject matter of the closed meeting was: Institution and settlement of an administrative proceeding of an enforcement nature. 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 COMMISSION BARS REGISTERED REPRESENTATIVE FOR CHURNING, UNAUTHORIZED TRADING, AND OTHER VIOLATIVE SALES PRACTICES; IMPOSES CEASE-AND-DESIST ORDER, ORDERS DISGORGEMENT, AND ASSESSES CIVIL PENALTIES On May 14, the Commission imposed sanctions on Sandra Simpson, a former Prudential Securities, Inc, (Prudential) registered representative. The Commission found that in four years Simpson and Daphne Pattee, Simpson's sales assistant, defrauded many of her customers, mostly retirees. Simpson and Pattee engaged in unauthorized trading in customer accounts, churned those accounts, and forged letters of authorization allowing the transfer of funds among customer accounts to conceal the fraud. Simpson and Pattee also engaged in unauthorized margin trading and bought and sold mutual funds in a manner designed to maximize the amount and incidence of sales charges. The Commission imposed on Simpson a bar, a cease-and-desist order and a $100,000 civil penalty. It ordered Simpson and Pattee to disgorge jointly and severally $33,769.21. (Rel. 34-45923; File No. 3-9458) IN THE MATTER OF EDISON SCHOOLS, INC. On May 14, the Commission instituted cease-and-desist proceedings against Edison Schools, Inc., for violating the reporting, record- keeping and internal-control requirements of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, and Rules 13a-1, 13a-13 and 12b-20 thereunder. Edison submitted an offer of settlement, in which it neither admits nor denies the Commission's findings, agreeing to be ordered to cease and desist from the alleged violation and to hire a full-time internal auditor. In its order, the Commission found that Edison improperly failed to disclose that approximately 40% of its reported revenues are comprised of payments made by school districts not to Edison but to providers of services in schools managed by Edison, including teachers, who generally remain employees of the school districts. The Commission also found that in its filings, Edison stated that the company "receives" all reported revenues, not disclosing the existence or amount of such District-Paid Expenses. The company will disclose the existence and amounts of District-Paid Expenses. The Commission further found that Edison improperly reported $2.4 million in losses on agreements with two districts, recording the losses over the life of the agreements rather than when the losses became probable and estimable to Edison. In addition, the Commission found that Edison improperly accounted for the proceeds of a warrant and the severance pay of a senior officer. The Commission found as well that Edison has inadequate internal controls and maintained inaccurate books and records in connection with this improper accounting. Edison will reclassify revenues in certain prior periods to reflect a net treatment of revenues relating to those expenses for which it is not a primary obligor, will restate revenues relating to the two loss contracts for two periods in FY 2001, and will restate its balance sheets and adjust retained earnings to reflect proper treatment of the warrant and severance agreement. (Rel. 34-45925; AAE Rel. 1555; File No. 3-10781) MONEY MANAGER ALFRED LEMCKE INDICTED IN FRAUDULENT SCHEME TO DEFRAUD CLIENTS The Commission announced today that, on May 1, 2001, Alfred M. Lemcke was indicted by a grand jury impaneled by the United States Attorney's Office for the District of Massachusetts on 10 criminal charges, including one count of criminal fraud under the Investment Advisers Act of 1940 and nine counts of wire fraud. The indictment alleges that Lemcke represented that he was in the business of providing investment advice, financial management and related financial services to individuals. The indictment further alleges that Lemcke induced his victims to give him money by falsely representing that he would invest the money in securities appropriate to their financial needs and objectives through Individual Investment Portfolio Design Company, which he described as a Chicago-based financial services company. According to the indictment, Lemcke instead spent nearly all of the money he raised for his own purposes while periodically providing his victims with false account statements designed to lull them into believing that their investments were doing well. In an earlier related proceeding, the Commission obtained a temporary restraining order and asset freeze against Lemcke in Rhode Island federal district court on November 16, 2001, based on its prima facie showing that Lemcke violated the antifraud provisions of the federal securities laws when he engaged in the conduct described above. On December 6, 2001, the Honorable Ronald R. Lagueux, United States District Judge for the District of Rhode Island, granted the Commission's request for a preliminary injunction and continued the asset freeze against Lemcke. [SEC v. Lemcke, et al., Civil Action No. 01-01547-L (D.RI)](LR-17515) FEDERAL COURT ENJOINS PROMOTERS OF NATIONWIDE SECURITIES FRAUD The Commission announced today that on May 6 the Honorable Horace T. Ward of the United States District Court for the Northern District of Georgia entered orders of permanent injunction and other relief against Louis M. Lazorwitz (Lazorwitz), and a general partnership Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group (Tri-Star). Lazorwitz and Tri-Star were ordered to pay disgorgement, prejudgment interest and civil penalties in amounts to be resolved upon motion of the Commission at a later date. Relief defendant Lazor, Ltd. was ordered to pay disgorgement in an amount to be resolved upon motion of the Commission at a later date. Lazorwitz, Tri-Star and Lazor, Ltd. consented to the entry of the orders without admitting or denying the allegations of the Commission's complaint. Defendant J. Charles Reives (Reives) was not affected by the entry of these orders. The Commission's complaint alleged a multimillion-dollar, nationwide, prime bank type and other securities fraud. Lazorwitz, a Texas resident, and Reives, a North Carolina resident, were alleged to have promoted the fraudulent scheme as Tri-Star's general partners, in which they used the general partnership to offer and sell unregistered securities in Tri-Star to over 900 investors in at least 35 states, and raised over $15 million, and that Tri-Star, through Lazorwitz and Reives, initially represented that Tri-Star would invest in bank debentures and later claimed that it might invest in other international trade opportunities. The complaint also alleged that Lazorwitz and Reives promoted Tri-Star directly and through independent agents around the United States known as Facilitators and led investors to expect profits of 20% per month in so-called 13-month trading programs, after an initial 90-day waiting period. The complaint also charged that relief defendant Lazor, Ltd. received ill-gotten gains from the fraud without any legitimate claim to those assets. Tri-Star, Lazorwitz, and Reives made material misrepresentations and omissions of fact to investors concerning, among other things, the use of investor funds, the expected returns, and investment risks. The complaint further alleged that Lazorwitz and Reives misappropriated investor funds for their personal benefit. Judge Ward's orders permanently enjoined Lazorwitz and Tri-Star from further violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder, and additionally enjoined Lazorwitz from further violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, and from further violations of the broker-dealer registration provisions of Section 15(a) of the Exchange Act. [SEC v. Louis M. Lazorwitz, J. Charles Reives, and Tri-Star Investment Group, L.L.C. a/k/a Tri-Star Investment Group, Defendants, and Lazor, Ltd., Relief Defendant, Civil Action File No. 1:02-CV-0112, N.D. Ga.] (LR-17516) SEC v. LEWIS MCCONNELL, JR., NED HUGGINS AND GREGORY WOOD The Commission announced that on April 22, 2002, the Honorable Royce C. Lamberth of the United States District Court for the District of Columbia, entered a Final Judgment of Permanent Injunction and imposed a civil penalty of $100,000 against Lewis J. McConnell, Jr. for engaging in a fraudulent offering of unregistered "prime bank note" securities. The Final Judgment, entered by default, enjoins McConnell from violating the antifraud and registration provisions of the federal securities laws (Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder). Judge Lamberth also entered final judgments against Ned L. Huggins and Gregory T. Wood on February 11, 2002, enjoining Huggins and Wood from the same violations of the federal securities laws. Huggins and Wood consented to the entry of the final judgments without admitting or denying the allegations in the Commission's complaint. The Commission's complaint, filed on January 16, 2002, alleged that the defendants raised over $7 million from at least 21 investors by promoting their "Secure Private Placement Program," which purportedly generated risk-free returns of 20-25% per week. In materials distributed to investors, the Secure Private Placement Program was described as a joint venture between the investor and Gold Stream Holdings, Inc., in which the investor would participate in a program of trading certain "highly rated financial instruments." However, according to the complaint, the Secure Private Placement Program was merely a ploy by McConnell to, among other things, obtain financing for Gold Stream Holdings, which was a company through which he was conducting or trying to conduct his entertainment business. The complaint further alleged that McConnell hired Huggins and Wood to distribute certain materials to the investors, and that these materials contained numerous material misrepresentations and omissions concerning, among other things, the existence of such "highly rated financial instruments," Gold Stream Holdings' ability to participate in such a trading program, and the intended use of the investors' funds. All funds obtained by the defendants as a result of their illegal scheme have been returned to investors. This case is part of the SEC's continuing effort to combat prime bank fraud and to alert the public to the risks posed by these phony instruments. The risks of this type of fraud and warnings about how to avoid it are spelled out in the Interagency Advisory: Warning Concerning "Prime Bank" Notes, Guarantees, and Letters of Credit and Similar Financial Instruments (October 21, 1993), and other information which is available through the SEC's Homepage at http://www.sec.gov/divisions/enforce/primebank.shtml. For more information, see Litigation Release No. 17322 (January 16, 2002). [SEC v. Lewis J. McConnell, Jr., Ned L. Huggins and Gregory T. Wood, United States District Court for the District of Columbia, Civil Action No. 02 0075 RCL] (LR-17517) KEITH JOON KIM, VENTURE CAPITALIST, CONVICTED OF MAKING FALSE STATEMENT TO THE SECURITIES AND EXCHANGE COMMISSION On May 7, following a jury trial before the U.S. District Court for the Northern District of California, a verdict was returned finding Keith Joon Kim guilty of one count of making a false statement to a federal government agency, in violation of 18 U.S.C. 1001. The false statement was made to the staff of the Securities and Exchange Commission in response to the staff's questions regarding Kim's trading in the securities of Meridian Data, Inc. (Meridian). Kim's trading took place in the context of a March 1999 Snowmass, Colorado retreat of the Young Presidents' Organization (YPO), an international organization comprised of company presidents under the age of fifty whose members meet in small groups, or "forums," to discuss confidential personal and business matters with their peers. Meridian's CEO at the time and Kim were both YPO members who belonged to the "1917 Forum" and were both scheduled to attend the Snowmass retreat. YPO members are expected to be present at all forum meetings. While on board a private plane en route to the retreat, the YPO forum's moderator announced that Meridian's CEO could not attend the retreat because he was in merger negotiations with Quantum Corporation (Quantum). Immediately upon his arrival in Snowmass, Kim began a series of purchases of Meridian common stock -- ultimately purchasing 187,300 shares between March 1 and March 4. Kim made his purchases ahead of the May 11, 1999, public announcement that Quantum would acquire Meridian, and thereby made a profit of $832,877 on his March Meridian trades. The indictment charging Kim with making false statements to the SEC alleged that Kim "falsely told the SEC that he did not know the reason why the CEO of Meridian failed to attend the 1917 Forum retreat to Snowmass, Colorado, on March 1, 1999." The jury found Kim guilty with regard to that allegation. The indictment also alleged that Kim "falsely told the SEC that he purchased Meridian shares in March 1999 on the basis of a March 1, 1999, Wall Street Journal article regarding Quantum." The jury found Kim not guilty with regard to that allegation. The District Court set a sentencing hearing date of September 11, 2002, for Kim. [U.S. v. Keith Joon Kim, CR-01-0193 CRB, NDCA] (LR-17518) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2002-18) extending the pilot regarding shareholder approval of stock option plans until June 30, 2002, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of May 13. (Rel. 34-45918) PROPOSED RULE CHANGE The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2002-12) to amend the rules relating to the composition of its Minor Rule Violation Panel. Publication of the notice in the Federal Register is expected during the week of May 20. (Rel. 34-45921) 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 MERRILL LYNCH DEPOSITOR INC, WORLD FINANCIAL CENTER, NEW YORK, NY, 10281, 2124491000 - 0 ($1,000,000,000.00) Other, (File 333-88166 - May. 14) (BR. 05) S-4 TSI TELECOMMUNICATION SERVICES INC, 201 N FRANKLIN STREET, SUITE 700, TAMPA, FL, 33602, 8132733000 - 0 ($245,000,000.00) Non-Convertible Debt, (File 333-88168 - May. 14) (BR. 37) S-3 ZAMBA CORP, 7301 OHMS LANE STE 200, MINNEAPOLIS, MN, 55439, 6128329800 - 0 ($2,063,820.00) Equity, (File 333-88174 - May. 14) (BR. 03) S-3 TRC COMPANIES INC /DE/, 5 WATERSIDE CROSSING, WINDSOR, CT, 06095, 2032898631 - 0 ($24,761,000.00) Equity, (File 333-88176 - May. 14) (BR. 06) S-8 METRIS COMPANIES INC, 10900 WAYZABA BLVD, MINNETONKA, MN, 55305, 6125255020 - 2,000,000 ($25,500,000.00) Equity, (File 333-88178 - May. 14) (BR. 07) S-8 BACH-HAUSER INC, 2080 E FLAMINGO RD, STE 112, LAS VEGAS, NV, 89119, 7026505660 - 5,100,000 ($178,500.00) Equity, (File 333-88180 - May. 14) (BR. 06) S-8 DIGITAL INSIGHT CORP, 26025 MUREAU RD, CALABASAS, CA, 93012, 8188710000 - 1,081,000 ($17,868,930.00) Equity, (File 333-88182 - May. 14) (BR. 08) S-8 SUNDEW INTERNATIONAL INC, 1422 CHESTNUT STREET, SUITE 410, PHILADELPHIA, PA, 19102, 215-564-9484 X11 - 1,000,000 ($2,500.00) Equity, (File 333-88184 - May. 14) (BR. 09) S-8 MAYTAG CORP, 403 W 4TH ST N, NEWTON, IA, 50208, 6417927000 - 0 ($148,054,500.00) Equity, (File 333-88186 - May. 14) (BR. 02) S-8 MUELLER PAUL CO, 1600 W PHELPS ST, PO BOX 828, SPRINGFIELD, MO, 65802, 4178313000 - 60,000 ($1,927,200.00) Equity, (File 333-88188 - May. 14) (BR. 06) S-8 BROOKS-PRI AUTOMATION INC, 15 ELIZABETH DR, CHELMSFORD, MA, 01824, 9782622400 - 0 ($151,331,047.70) Equity, (File 333-88190 - May. 14) (BR. 36) S-3 AMERICAN MEDICAL ALERT CORP, 3265 LAWSON BLVD, OCEANSIDE, NY, 11572, 5165365850 - 1,251,250 ($4,102,547.50) Equity, (File 333-88192 - May. 14) (BR. 08) S-8 SYMPHONIX DEVICES INC, 2331 ZANKER ROAD, SAN JOSE, CA, 95131-1107, 4082320710 - 0 ($585,000.00) Equity, (File 333-88194 - May. 14) (BR. 36) S-3 ECOM ECOM COM INC, 2700 PGA BLVD STE 103, PALM BEACH GARDENS, FL, 33410, 5616224395 - 0 ($253,333.00) Equity, (File 333-88196 - May. 14) (BR. 03) S-3 US DATAWORKS INC, 5301 HOLLISTER ROAD, SUITE 250, HOUSTON, TX, 77040, 713-934-3856 - 30,000,000 ($4,500,000.00) Equity, (File 333-88198 - May. 14) (BR. 02) S-8 SMITH MIDLAND CORP, ROUTE 28, P O BOX 300, MIDLAND, VA, 22728, 5404393266 - 575,000 ($659,718.00) Equity, (File 333-88200 - May. 14) (BR. 06) N-2 NEW COLONY INVESTMENT TRUST, 3,450,000 ($69,000,000.00) Other, (File 333-88202 - May. 14) (BR. ) S-8 SCANTEK MEDICAL INC, 321 PALMER ROAD, DENVILLE, NJ, 079834, 9733665250 - 950,000 ($66,500.00) Equity, (File 333-88204 - May. 14) (BR. 01) S-3 PARKER HANNIFIN CORP, 6035 PARKLAND BOULEVARD, CLEVELAND, OH, 44124-4141, 2168963000 - 0 ($14,185,702.64) Equity, (File 333-88206 - May. 14) (BR. 06) S-8 INTERSIL CORP/DE, 7585 IRVINE CENTER DR, STE 100, IRVINE, CA, 92618, 3217295639 - 0 ($155,193,385.00) Equity, (File 333-88208 - May. 14) (BR. 36) S-8 CELESTICA INC, 12 CONCORD PL, 7TH FL, ONTARIO CANADA, A6, M3C 1V7, 416442211 - 0 ($28.53) Equity, (File 333-88210 - May. 14) (BR. 36) S-4 COLLINS & AIKMAN FLOOR COVERINGS INC, 311 SMITH INDUSTRIAL BLVD, DALTON, GA, 30721, 7062599711 - 0 ($175,000,000.00) Non-Convertible Debt, (File 333-88212 - May. 14) (BR. 02) S-3 INNOVATIVE MEDICAL SERVICES, 1725 GILLESPIE WAY, STE H, EL CAJON, CA, 92020, 6195968600 - 925,000 ($1,480,000.00) Equity, (File 333-88214 - May. 14) (BR. 36) S-3 HEARST ARGYLE TELEVISION INC, 888 SEVENTH AVE, NEW YORK, NY, 10106, 2126492300 - 0 ($294,385,301.50) Equity, (File 333-88216 - May. 14) (BR. 37) S-4 POREX HOLDINGS INC, 500 BOMANNON RD., FAIRBURN, GA, 30213, 7709641421 - 0 ($200,000,000.00) Equity, (File 333-88218 - May. 14) (BR. ) S-3 CHIPPAC INC, 3151 CORONADO DR, SANTA CLARA, CA, 95054, 4084865900 - 0 ($139,380,000.00) Equity, (File 333-88220 - May. 14) (BR. 36) S-8 STERLING CONSTRUCTION CO INC, 2751 CENTERVILLE RD., SUITE 3131, WILMINGTON, DE, 19803, 3024789170 - 0 ($1,365,000.00) Equity, (File 333-88224 - May. 14) (BR. 05) S-8 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 0 ($85,580,000.00) Equity, (File 333-88226 - May. 14) (BR. 07) S-8 STERLING CONSTRUCTION CO INC, 2751 CENTERVILLE RD., SUITE 3131, WILMINGTON, DE, 19803, 3024789170 - 0 ($975,000.00) Equity, (File 333-88228 - May. 14) (BR. 05) S-8 AMERISOURCEBERGEN CORP, 1300 MORRIS DRIVE, SUITE 100, CHESTERBROOK, PA, 19087-5594, 6107277000 - 0 ($347,898,000.00) Equity, (File 333-88230 - May. 14) (BR. 01) S-8 ABGENIX INC, 7601 DUMBARTON CIRCLE, FREMONT, CA, 94555, 5106086500 - 0 ($55,524,000.00) Equity, (File 333-88232 - May. 14) (BR. 01) SB-2 TITANIUM INTELLIGENCE INC, 14TH FLOOR 265 WEST 37TH STREET, NEW YORK, NY, 10018, 2,500,000 ($100,000.00) Equity, (File 333-88234 - May. 14) (BR. ) S-8 WHITNEY INFORMATION NETWORK INC, 4818 CONRONADO PARKWAY, CAPE CORAL, FL, 33904, 9415428999 - 2,187,500 ($6,015,625.00) Equity, (File 333-88236 - May. 14) (BR. 37) S-3 EUROTECH LTD, 1216 16TH STREET N W, WASHINGTON, DC, 20036, 202-466-54 - 131,602,611 ($32,900,652.75) Equity, (File 333-88238 - May. 14) (BR. 06) S-8 PRIMEDIA INC, 745 FIFTH AVE, NEW YORK, NY, 10151, 2127450100 - 877,000 ($2,499,450.00) Equity, (File 333-88240 - May. 14) (BR. 05) S-4 GAMECO INC, 240 MAIN STREET, BLACK HAWK, CO, 80422, 3035821117 - 0 ($125,000,000.00) Non-Convertible Debt, (File 333-88242 - May. 14) (BR. ) S-4 GUITAR CENTER INC, 5155 CLARETON DR, AGOURA HILLS, CA, 91301, 8187358800 - 0 ($35,035,000.00) Equity, (File 333-88244 - May. 14) (BR.02) 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 ------------------------------------------------------------------------------------ 800AMERICA COM INC NV X X 12/05/01 A TIME TO GROW INC TX X 05/14/02 ABRAXAS PETROLEUM CORP NV X 05/14/02 AEROVOX INC DE X X 04/29/02 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 05/13/02 ALLIANCE CAPITAL MANAGEMENT L P DE X X 05/13/02 ALLIANT TECHSYSTEMS INC DE X X 05/07/02 AMERICAN CAREER CENTERS INC NV X X X X 02/28/02 AMEND AMERICAN HONDA RECEIVABLES CORP CA X X 05/13/02 AMERICAN LAWYER MEDIA HOLDINGS INC DE X X X 05/01/02 AMERICAN LAWYER MEDIA INC DE X X X 05/01/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 05/09/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 05/09/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 05/09/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR X X 05/09/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 05/09/02 ARCH WIRELESS COMMUNICATIONS INC DE X X 05/14/02 ARCH WIRELESS INC DE X X 05/14/02 ARTESYN TECHNOLOGIES INC FL X X 05/09/02 ATCHISON CASTING CORP KS X X 05/13/02 BASSETT FURNITURE INDUSTRIES INC VA X X 05/14/02 BCOM3 GROUP INC DE X 05/13/02 BICO INC/PA PA X 05/14/02 BLUE STAR COFFEE INC NV X 05/14/02 AMEND BLUE STAR COFFEE INC NV X 05/14/02 AMEND CABOT CORP DE X X 05/10/02 CADDO ENTERPRISES INC NV X X 12/24/01 AMEND CD WAREHOUSE INC DE X X X 05/07/02 CENTRAL EUROPEAN DISTRIBUTION CORP DE X 05/14/02 AMEND CHINA GLOBAL DEVELOPMENT INC DE X 06/12/01 AMEND CISCO SYSTEMS INC CA X X 04/30/02 CITIZENS COMMUNICATIONS CO DE X 03/31/02 COCA COLA BOTTLING CO CONSOLIDATED /D DE X X 05/13/02 COMPUTER ACCESS TECHNOLOGY CORP DE X X 05/09/02 CONSOLIDATED EDISON CO OF NEW YORK IN NY X 05/13/02 COOPER INDUSTRIES INC OH X X 05/14/02 CPI CORP DE X 05/09/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 05/14/02 CRESCENT REAL ESTATE EQUITIES CO TX X X 05/10/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X 04/26/02 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X 02/26/02 CSG SYSTEMS INTERNATIONAL INC DE X 05/14/02 AMEND CV THERAPEUTICS INC DE X X 05/09/02 DENDRITE INTERNATIONAL INC NJ X X 05/14/02 DIOMED HOLDINGS INC NV X X 05/14/02 DMI FURNITURE INC DE X X 05/07/02 DYNACARE INC X X 05/09/02 EB2B COMMERCE INC /NY/ NJ X 05/09/02 EDEN BIOSCIENCE CORP WA X X 05/08/02 EDUCATION MANAGEMENT CORPORATION X X 05/09/02 EDUVERSE COM NV X 05/08/02 ELECTRIC LIGHTWAVE INC DE X X 03/31/02 ELECTRO SCIENTIFIC INDUSTRIES INC OR X X 05/07/02 EMMIS COMMUNICATIONS CORP IN X 05/13/02 EMMIS OPERATING CO IN X 05/13/02 EXACT SCIENCES CORP DE X X 05/07/02 EXELON CORP PA X 05/14/02 FAIRCHILD CORP DE X 05/09/02 FAIRPOINT COMMUNICATIONS INC DE X 05/10/02 FAR EAST ENERGY CORP X 05/10/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 05/28/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 05/28/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 05/15/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 05/28/02 FIRST CITIZENS BANC CORP /OH OH X 04/01/02 AMEND FIRST COMMUNITY BANCORP /CA/ CA X X X 03/07/02 AMEND FIRST OAK BROOK BANCSHARES INC DE X X 05/14/02 FIRST USA BANK NATIONAL ASSOCIATION X 03/27/02 FOG CUTTER CAPITAL GROUP INC MD X X 05/13/02 FREDS INC TN X X 05/14/02 GAIGE FINANCIAL GROUP INC FL X X X 05/01/02 GENERAL MAGIC INC DE X X 05/13/02 GIANT INDUSTRIES INC DE X 05/14/02 GREATER BAY BANCORP CA X X X 05/13/02 GRUBB & ELLIS CO DE X 05/13/02 HANOVER COMPRESSOR CO / DE X X 05/13/02 HERSHEY FOODS CORP DE X 05/14/02 HONEYWELL INTERNATIONAL INC DE X 05/15/02 HORIZON PCS INC DE X X 05/13/02 HUNAPU INC NV X X 05/10/02 IMH ASSETS CORP DE X X 04/29/02 INTERSIL CORP/DE DE X X 05/14/02 JAMESON INNS INC GA X X 05/14/02 KLEENAIR SYSTEMS INC NV X X 04/30/02 LAMAUR CORP DE X X 04/29/02 LASALLE HOTEL PROPERTIES MD X X 05/13/02 LDM TECHNOLOGIES INC MI X 05/06/02 LUIGINOS INC MN X 05/14/02 MB SOFTWARE CORP CO X X 05/08/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X 04/30/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 04/30/02 MBNA CORP MD X 04/30/02 MCDATA CORP DE X 05/13/02 MERIDIAN BIOSCIENCE INC OH X X 05/13/02 MERRILL LYNCH & CO INC DE X X 05/14/02 MERRIMAC INDUSTRIES INC DE X X 04/26/02 AMEND MORGAN STANLEY ABS CAPITAL I INC DE X X 04/19/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 04/25/02 NATIONAL BANCSHARES CORP /OH/ OH X X 04/03/02 AMEND NEOPHARM INC DE X X 05/03/02 AMEND NEOSE TECHNOLOGIES INC DE X 05/09/02 NETSMART TECHNOLOGIES INC DE X X 12/31/01 NEW CENTURY EQUITY HOLDINGS CORP DE X X 05/13/02 NOMADIC COLLABORATION INTERNATIONAL I NV X 05/07/02 NORTECH SYSTEMS INC MN X 05/01/02 NUTEK INC NV X 05/14/02 ONELINK INC MN X X 04/24/02 OVERLAND DATA INC CA X 05/07/02 OVERSEAS PARTNERS LTD X 05/13/02 PACIFIC CAPITAL BANCORP /CA/ CA X 05/13/02 PACIFIC CMA INC CO X X 04/30/02 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X X 05/14/02 PEETS COFFEE & TEA INC X X 05/13/02 PHILADELPHIA SUBURBAN CORP PA X 07/26/00 PICCADILLY CAFETERIAS INC LA X X 05/14/02 POCKETSPEC TECHNOLOGIES INC CO X 05/13/02 POORE BROTHERS INC DE X X 05/08/02 PRICE LEGACY CORP MD X X 05/13/02 PROFESSIONAL DETAILING INC DE X 05/13/02 PSF GROUP HOLDINGS INC NC X X 05/14/02 PUBLIC SERVICE CO OF COLORADO CO X X 05/13/02 QUICK MED TECHNOLOGIES INC NV X 02/26/02 AMEND REII INC DE X 06/30/02 RELEVANT LINKS INC CO X X X 04/29/02 RESIDENTIAL ACCREDIT LOANS INC DE X X 04/30/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 05/14/02 RUSHMORE FINANCIAL GROUP INC TX X 05/07/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 05/14/02 SHELBOURNE PROPERTIES I INC DE X X 04/30/02 SHELBOURNE PROPERTIES II INC DE X X 04/30/02 SHELBOURNE PROPERTIES III INC DE X X 04/30/02 SIBONEY CORP MD X X 05/14/02 SMTEK INTERNATIONAL INC DE X 05/14/02 SPECTRANETICS CORP DE X X 05/10/02 STRANDTEK INTERNATIONAL INC / DE X X 05/13/02 STRUCTURED ASSET SECURITIES CORP MOR DE X X 04/30/02 SUNTRON CORP DE X X 02/28/02 AMEND SUSA PARTNERSHIP LP TN X X 05/10/02 T REIT INC VA X X 05/14/02 AMEND T REIT INC VA X X 05/14/02 AMEND TELESPECTRUM WORLDWIDE INC DE X X 03/31/02 TEXAS INSTRUMENTS INC DE X 05/13/02 TRADESTATION GROUP INC FL X X 05/13/02 TRAVELERS INSURANCE GROUP HOLDINGS IN DE X X 05/10/02 TRC COMPANIES INC /DE/ DE X 10/26/01 AMEND USA VIDEO INTERACTIVE CORP WY X X 05/14/02 VARI L CO INC CO X X 05/13/02 VASTERA INC DE X X 05/14/02 VCA ANTECH INC DE X X 05/13/02 VELOCITA CORP DE X X 05/14/02 VIA NET WORKS INC DE X 05/13/02 WAYCOOL3D INC NJ X X X 04/30/02 WELLS REAL ESTATE INVESTMENT TRUST IN MD X X 05/08/02 WESBANCO INC WV X 03/01/02 AMEND WILSHIRE FINANCIAL SERVICES GROUP INC DE X X 05/13/02 WJ COMMUNICATIONS INC CA X 05/08/02 XCEL ENERGY INC MN X X 05/13/02 XTREME COS INC NV X 05/14/02