SEC NEWS DIGEST Issue 2002-116 June 17, 2002 ENFORCEMENT PROCEEDINGS SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST JEFFREY DENE LEADER AND ISSUES ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS On June 17, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings And Imposing Remedial Sanctions (Order) against Jeffrey Dene Leader (Leader) of New York, New York. The Order directed that Leader be barred from association with any broker or dealer. In the Order, the Commission finds that it previously filed a civil injunctive action entitled SEC v. James A. Nies, Jeffrey Dene Leader and Harold Dalton Davlin, Civil Action No. 3:00-CV-465-MU (W.D.N.C.). An order permanently enjoining Leader from violating Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder was entered on November 1, 2001. The Order of Permanent Injunction and Other Relief directed Leader to pay disgorgement in the amount $190,000 plus prejudgment interest thereon, but waived payment of disgorgement in excess of $125,000, waived payment of prejudgment interest and did not impose a civil penalty, based upon Leader's sworn representations regarding his financial condition. Leader consented to the entry of the Order of Permanent Injunction without admitting or denying the allegations contained in the Commission's complaint. Leader had tendered an Offer of Settlement in which he admitted the jurisdiction of the Commission over him, and further admitted the allegations contained in the Order. The Commission accepted his Offer of Settlement. (Rel. 34-46080; File No. 3-10801) ALAN DAVIS PERMANENTLY ENJOINED FROM SECURITIES VIOLATIONS The Commission announced today that on May 24, 2002, the Honorable Clarence Cooper of the United States District Court for the Northern District of Georgia entered an order of permanent injunction and other relief against Alan T. Davis (Davis) of Seymour, Tennessee for engaging in violations of the antifraud and accounting control provisions of the securities laws during his tenure as an outside auditor of Vista 2000, Inc. (Vista), a now defunct consumer products company formerly headquartered in Roswell, Georgia. Judge Cooper's order permanently enjoined Davis from further violations of 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, Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder, and Section 14(e) of the Exchange Act and Rule 14e-3 thereunder. Davis was ordered to pay disgorgement in the amount of $255,627 and pre-judgment interest thereon in the amount of $159,680. The order against Davis was entered pursuant to a default judgment, in which the facts of the Commission's complaint were deemed to be true against Davis. The Commission previously sued Davis and three other men for various violations of the federal securities law. The other defendants are Arnold E. Johns, Jr. of Atlanta, Georgia, Michael J. Becker of Marietta, Georgia and Richard P. Smyth of Fernandina Beach, Florida. Johns, Smyth and Becker are former officers of Vista. Johns was a director of Vista and its president, and Smyth was Vista's founder and chief executive officer. Becker was Vista's vice president of finance. The litigation is continuing as to Johns. Smyth and Becker were previously enjoined by separate orders of the court. The Commission's complaint alleged a wide-range of securities law violations, including that misstatements were made by Vista in filings with the Commission. The allegations against Davis included that he audited Vista's 1994 financial statements at a time when he owned 23,333 shares of Vista common stock, and as its outside auditor assisted Vista in preparing its reports on Form 10-QSB until November 1995. In addition, Davis engaged in illegal insider trading in Vista stock and in the stock of a company acquired by Vista, and violated generally accepted auditing standards while conducting his audit of Vista. [SEC v. Richard P. Smyth, Arnold E. Johns, Jr., Michael J. Becker and Alan T. Davis, Civil Action File No. 1:01-CV-1344 (ND Ga.)] (LR-17566) LAST TWO CONSENT JUDGMENTS ENTERED IN SECURITIES FRAUD CASE ARISING FROM SCHEME TO PUMP AND DUMP THE STOCK OF INTERACTIVE MULTIMEDIA PUBLISHERS, INC. The Honorable Dan Aaron Polster, United States District Judge for the Northern District of Ohio, Eastern Division, has entered consent judgments as to Defendants Richard M. Johnson and Edward Meyer, Jr. (and Meyer's now-defunct corporate alter-ego, Hazlet Investors, Inc.) arising from their involvement in a 1996 scheme to pump and dump the stock of Interactive MultiMedia Publishers, Inc. (IMP), an Akron, Ohio software development firm that is now defunct. Without admitting or denying the allegations in the Commission's complaint, Johnson, Meyer and Hazlet Investors consented to judgments that permanently enjoin them from violations of the registration, antifraud and antitouting provisions of the federal securities laws (Sections 5(a), 5(c) and 17(b) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder). The consent judgment against Meyer and Hazlet Investors also orders them to disgorge $75,000 in stock sale proceeds. On the basis of their representations in sworn financial statements and other documents and information furnished to the Commission, payment of additional disgorgement by Meyer and Hazlet Investors was waived and civil penalties were not imposed. On the basis of Johnson's sworn representations in his Chapter 7 bankruptcy schedules, payment of disgorgement by Johnson was waived and civil penalties were not imposed. The consent judgment against Meyer and Hazlet Investors was filed on May 20, 2002 and the consent judgment against Johnson was filed on May 31, 2002. [SEC v. P. Joseph Vertucci, et al., Civil Action No. 5:99CV 426, NDOH] (LR-17567) SEC v. WEDGEWOOD FINANCIAL GROUP, INC., ET AL. The Commission announced that on August 9, 2001, the Honorable Kenneth A. Ryskamp of the United States District Court for the Southern District of Florida entered an order (Final Order), on the SEC's motion, in SEC v. Wedgewood Financial Group, Inc., et al. The Final Order dismissed with prejudice the corporate defendants, Wedgewood Financial Group, Inc. (Wedgewood), Colorado Paging Group Partners (Colorado Paging), and JPI Site Management, Inc., all of which had been placed under the control of the Court appointed Receiver. The Final Order also dismissed with prejudice relief defendants Stonepine Holdings, Ltd. (Stonepine Holdings) and its president, Robert Fabregas. Finally, with the consent of defendant William Scrak (who consented without admitting or denying the SEC's allegations), the Final Order ordered that Scrak be jointly and severally liable with defendant Paul Iwankowski to disgorge $18,150 plus prejudgment interest thereon, and be jointly and severally liable with defendant Paul Iwankowski and relief defendant Joanna Iwankowski to disgorge $106,788, plus prejudgment interest thereon, provided, however, that Scrak's payment of those amounts was waived, and no civil money penalty imposed, based on Scrak's demonstrated financial inability to pay. In its complaint filed in April 1997, the SEC alleged that defendants Paul Iwankowski, Scrak, and the corporate defendants were engaged in a fraudulent offering of securities in Colorado Paging in violation of the antifraud provisions of the federal securities laws. The complaint also alleged that Wedgewood was illegally operating as a broker-dealer. The SEC's complaint also sought relief from relief defendants Joanna Iwankowski (Paul Iwankowski's wife), Stonepine Holdings, Fabregas, Prime Tel Paging Group Partners, Randy Gilbert, and Darrell Bauguess. On April 4, 1997, the Court granted the Commission's motion for a temporary restraining order and other relief, and also appointed a Receiver over the corporate defendants. In August 1997, the Court entered an Order of Permanent Injunction and Other Relief as to defendant Scrak, which enjoined him from further violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5, there under. The Court also ordered that Scrak be jointly and severally liable with the corporate defendants and Iwankowski to disgorge all amounts fraudulently raised from investors, less any amount the Receiver distributed to investors. Scrak consented to injunction and other relief without admitting or denying the Commission's allegations. In January 1999, the Commission obtained a final judgment of permanent injunction and other relief against defendant Paul Iwankowski. The Court ordered Paul Iwankowski individually to disgorge $18,150 in disgorgement and $2,903 in prejudgment interest and to pay a $50,000 civil money penalty. In addition, the Court ordered Paul Iwankowski to pay, jointly and severally with relief defendant Joanna Iwankowski, disgorgement of $106,788 and prejudgment interest of $17,082. On the Commission's motion, on April 24, 1998, the Court entered an Order Dismissing Prime Tel, Gilbert, and Bauguess, from the action, with prejudice. [SEC v. Wedgewood Financial Group, Inc., et al., Case No. 97-6350-CIV-RYSKAMP, SDFL] (LR-17568) SEC v. SOUTHERN FINANCIAL GROUP, INC., ET AL. The Commission announced that on June 5 the Honorable David C. Norton, United States District Judge for the District of South Carolina, Charleston Division, entered orders of preliminary injunction and other relief as to defendants Charles Dennis McKittrick (McKittrick) and Gerald F. Hunter, Jr. (Hunter). The orders restrained and enjoined McKittrick and Hunter from violating 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. The order further restrained and enjoined McKittrick from violating or aiding and abetting violations of Sections 15(c)(3) and 17(a)(1) of the Exchange Act and Rules 15c3-1, 15c3-3, 17a-3, 17a-5 and 17a-11 thereunder. The Court also ordered a freeze of assets held or controlled by McKittrick and Hunter, and required them to submit accountings of all monies received from the scheme and of the disposition and use of said funds. The accountings are to be submitted to the Court within 30 days of the date of the Court's orders. McKittrick and Hunter consented to the relief without admitting or denying the allegations set forth in the Commission's complaint, filed on May 24, 2002. The complaint alleged that defendants McKittrick, Hunter, Southern Financial Group, Inc. (Southern), and Richard M. Wooten raised at least $25 million through a fraudulent scheme involving the sale of short-term notes on behalf of UC Properties LLC. The complaint alleged that the defendants operated these note offerings as a Ponzi scheme, using funds raised from current note offerings to pay principal and interest to investors in prior offerings, and that at least $5 million was transferred to relief defendant Springdale Investments, Inc. The complaint further alleged that Southern operated in violation of the net capital rule since at least October 2001, and that the firm's FOCUS reports and other books and records have been inaccurate since that time. On May 24, 2002, the Court entered an order for defendants and relief defendant to show cause as to why a preliminary injunction pursuant to Rule 65 of the Federal Rules of Civil Procedure should not be granted, as requested by the Commission. [SEC v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18] (LR-17569) INVESTMENT COMPANY ACT RELEASES SUNAMERICA ASSET MANAGEMENT CORP., ET AL. A notice has been issued giving interested persons until July 8, 2002, to request a hearing on an application filed by SunAmerica Asset Management Corp., et al. for an order 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 would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-25612 - June 13) HOLDING COMPANY ACT RELEASES E.ON AG, ET AL. An order has been issued authorizing a proposal by E.ON AG (E.ON), a German holding company not currently registered under the Act; E.ON's direct and indirect subsidiaries; Powergen plc (Powergen), a U.K. registered holding company and Powergen's direct and indirect subsidiaries (collectively, Applicants). Applicants request authority for E.ON to acquire Powergen (Acquisition), and thereby acquire Powergen's indirect wholly owned subsidiary LG&E Energy Corp. (LG&E Energy) a Kentucky holding company exempt from registration under Section 3(a)(1) of the Act, and LG&E Energy's utility subsidiaries Louisville Gas and Electric Company and Kentucky Utilities Company. E.ON will then register as a public utility holding company under the Act. After the acquisition, E.ON and its subsidiary companies request authorization to engage in financing transactions including the issuance of equity and debt securities in an aggregate amount of up to $75 billion. Additionally, E.ON proposes to invest in exempt wholesale generators, foreign utility companies and energy-related companies engaged in business outside the United States. (Rel. 35-27539; International Series Release No. 1260) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-PCX-2002-27) filed by the Pacific Exchange to adopt a new order modifier called a timed order and to adopt new interpretations under PCXE rules, has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 17. (Rel. 34-46071) A proposed rule change (SR-PCX-2002-28) filed by the Pacific Exchange relating to the PCX's schedule of fees and charges has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 17. (Rel. 34-46070) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2002-31) relating to handling of customer orders. Publication of the proposal is expected in the Federal Register during the week of June 17. (Rel. 34-46073) The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 52) to require members and member organizations to establish anti-money laundering compliance programs. Publication of the notice in the Federal Register is expected during the week of June 17. (Rel. 34- 46075) The National Association of Securities Dealers, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., filed a proposed rule change (SR-NASD-2002-62) amending the NASD Code of Arbitration Procedure to conform Rule 10314(b) to the current minimum standard applicable to claims. Publication of the proposal is expected in the Federal Register during the week of June 17. (Rel. 34-46077) 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 June 14, 2002. (Rel. 34-46076) 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-8 BALDWIN & LYONS INC, 1099 N MERIDIAN ST, STE 700, INDIANAPOLIS, IN, 46204, 3176369800 - 371,200 ($8,400,256.00) Equity, (File 333-90452 - Jun. 14) (BR. 01) SB-2 SPORTS TACK INC, 2441 TECH CENTER COURT, SUITE 111, LAS VEGAS, NV, 89128, 7022545069 - 1,500,000 ($150,000.00) Equity, (File 333-90454 - Jun. 14) (BR. 09) SB-2 TECH NET COMMUNICATIONS INC, BOX 38088 KING EDWARD COURT, VANCOUVER, A1, 00000, 6042204012 - 2,536,000 ($101,440.00) Equity, (File 333-90456 - Jun. 14) (BR. 09) S-3 HYSEQ INC, 670 ALMANOR AVE, SUNNYVALE, CA, 94085, 4085248100 - 6,948,454 ($14,035,877.08) Equity, (File 333-90458 - Jun. 14) (BR. 01) S-8 ICU MEDICAL INC/DE, 951 CALLE AMANECER, SAN CLEMENTE, CA, 92769, 9493662183 - 750,000 ($22,635,000.00) Equity, (File 333-90462 - Jun. 14) (BR. 36) S-8 ICU MEDICAL INC/DE, 951 CALLE AMANECER, SAN CLEMENTE, CA, 92769, 9493662183 - 6,750,000 ($203,715,000.00) Equity, (File 333-90464 - Jun. 14) (BR. 36) S-8 ECONNECT, 2500 VIA CABRILLO MARINA SUITE 112, SAN PEDRO, CA, 90731, 3105414393 - 0 ($10,800.00) Equity, (File 333-90466 - Jun. 14) (BR. 08) S-3 BAUSCH & LOMB INC, BAUSCH & LOMB INCORPORATED, ONE BAUSCH & LOMB PLACE, ROCHESTER, NY, 14604-2701, 5853386000 - 0 ($500,000,000.00) Other, (File 333-90468 - Jun. 14) (BR. 36) S-1 ANTHEM INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 0 ($950,000,000.00) Non-Convertible Debt, (File 333-90478 - Jun. 14) (BR. 01) S-8 ARIAD PHARMACEUTICALS INC, 26 LANDSDOWNE ST, CAMBRIDGE, MA, 02139, 6174940400 - 0 ($6,208,000.00) Equity, (File 333-90480 - Jun. 14) (BR. 01) S-8 VERIDIEN CORP, 2875 MCI DRIVE, SUITE B, PINELLAS PARK, FL, 33782, 7275761600 - 10,000,000 ($400,000.00) Equity, (File 333-90482 - Jun. 14) (BR. 09) F-1 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 754,704 ($7,018,747.00) Equity, (File 333-90496 - Jun. 14) (BR. ) S-8 MKS INSTRUMENTS INC, SIX SHATTUCK RD, ANDOVER, MA, 01810, 9789752350 - 0 ($571,500.00) Equity, (File 333-90498 - Jun. 14) (BR. 36) S-8 MKS INSTRUMENTS INC, SIX SHATTUCK RD, ANDOVER, MA, 01810, 9789752350 - 0 ($120,015,000.00) Equity, (File 333-90500 - Jun. 14) (BR. 36) S-8 MKS INSTRUMENTS INC, SIX SHATTUCK RD, ANDOVER, MA, 01810, 9789752350 - 0 ($5,715,000.00) Equity, (File 333-90502 - Jun. 14) (BR. 36) S-8 AVIGEN INC \DE, 1201 HARBOR BAY PARKWAY, SUITE 1000, ALAMEDA, CA, 94502, 5107487150 - 1,000,000 ($7,930,000.00) Equity, (File 333-90504 - Jun. 14) (BR. 01) S-3 SYNOVUS FINANCIAL CORP, 901 FRONT AVENUE, STE 202 PO BOX 120, COLUMBUS, GA, 31901, 7066494818 - 702,433 ($17,420,338.40) Equity, (File 333-90506 - Jun. 14) (BR. 07) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($10,270,500.00) Equity, (File 333-90510 - Jun. 14) (BR. 01) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($148,800,000.00) Equity, (File 333-90512 - Jun. 14) (BR. 01) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($715,250.00) Equity, (File 333-90514 - Jun. 14) (BR. 01) S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 0 ($26,576,250.00) Equity, (File 333-90518 - Jun. 14) (BR. 03) S-8 PROVIDENT BANKSHARES CORP, 114 EAST LEXINGTON ST, BALTIMORE, MD, 21202, 4102777000 - 0 ($24,200,000.00) Equity, (File 333-90520 - Jun. 14) (BR. 07) S-4 CENTER FINANCIAL CORP, 3435 WILSHIRE BLVD, STE 700, LOS ANGELES, CA, 90010, 2132512222 - 6,810,954 ($90,585,688.20) Equity, (File 333-90522 - Jun. 14) (BR. ) S-8 REDHOOK ALE BREWERY INC, 3400 PHINNEY AVE N, SEATTLE, WA, 98103, 2065488000 - 0 ($849,430.00) Equity, (File 333-90524 - Jun. 14) (BR. 02) S-1 GOLDEN AMERICAN LIFE INSURANCE CO /NY/, 1475 DUNWOODY DRIVE, SUITE 400, WEST CHESTER, PA, 19380-1478, 6104253400 - 0 ($1,000,000,000.00) Other, (File 333-90528 - Jun. 14) (BR. 20) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($17 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 ------------------------------------------------------------------------------------ 99 CENTS ONLY STORE CA X X 06/13/02 AAIPHARMA INC DE X 03/07/02 AMEND AAMES FINANCIAL CORP/DE DE X X 06/13/02 ACTERNA CORP DE X X 06/14/02 ADELPHIA COMMUNICATIONS CORP DE X X X X 06/09/02 ADVISORY BOARD CO MD X X 06/14/02 AFP IMAGING CORP NY X X 06/14/02 ALR TECHNOLOGIES INC NV X 06/14/02 AMERICAN HOME MORTGAGE HOLDINGS INC DE X X X 06/13/02 ANKER COAL GROUP INC DE X X 06/13/02 APPLIEDTHEORY CORP DE X 03/31/02 ARDEN GROUP INC DE X X 06/14/02 ASSET BACKED PASS THROUGH CERTIFICATE DE X X 05/30/02 ASSURE ENERGY INC DE X X 05/30/02 ATLAS AIR INC DE X 06/14/02 ATLAS AIR WORLDWIDE HOLDINGS INC DE X 06/14/02 AVNET INC NY X X 06/13/02 AXEDA SYSTEMS INC DE X 06/14/02 B&G FOODS INC DE X X 06/14/02 BAIRNCO CORP /DE/ DE X 06/14/02 BANDAG INC IA X X 06/14/02 BAUSCH & LOMB INC NY X 06/13/02 BAY VIEW CAPITAL CORP DE X 06/12/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 06/14/02 BIO TECHNOLOGY GENERAL CORP DE X 06/07/02 BJ SERVICES CO DE X X X X 05/31/02 BON TON STORES INC PA X X 06/13/02 BOROUGH CORP DE X X 05/16/02 BRIGHAM EXPLORATION CO DE X X 06/07/02 BTU INTERNATIONAL INC DE X X 06/14/02 CAPITAL ONE MASTER TRUST VA X X 06/11/02 CAPITAL TITLE GROUP INC DE X X 06/14/02 CAPITAL TITLE GROUP INC DE X X 04/01/02 AMEND CAPSTEAD MORTGAGE CORP MD X 05/01/02 CAVALCADE OF SPORTS MEDIA INC NV X X X 05/25/02 CH2M HILL COMPANIES LTD OR X X X 06/14/02 CHASE CREDIT CARD MASTER TRUST NY X X 05/30/02 CHASE MORTGAGE FINANCE CORP DE X X 06/14/02 CLEAR CHANNEL COMMUNICATIONS INC TX X X 06/14/02 CNET NETWORKS INC DE X 06/17/02 COLLINS & AIKMAN CORP DE X 06/14/02 COMMUNITY BANCSHARES INC /DE/ DE X 05/31/02 COMMUNITY BANCSHARES INC /DE/ DE X 06/14/02 COMMUNITY NATIONAL BANCORPORATION GA X 06/12/02 CONCORD COMMUNICATIONS INC MA X X 06/14/02 CONTANGO OIL & GAS CO NV X X 06/10/02 CORE CARE SYSTEMS INC DE X X 06/07/02 CREATOR CAPITAL LTD D0 X 06/13/02 CREDIT SUISSE FIRST BOSTON ABS TRUST DE X X 05/28/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 05/28/02 CSFB MORTGAGE PASS THRU CERT SERIES 2 X X 05/28/02 CTC COMMUNICATIONS GROUP INC DE X 06/13/02 CUBIST PHARMACEUTICALS INC DE X X 06/13/02 CWABS INC DE X X 06/12/02 DATIGEN COM INC UT X 06/14/02 DELTA PETROLEUM CORP/CO CO X X X 05/24/02 DEMARCO ENERGY SYSTEMS OF AMERICA INC UT X X 05/29/02 DESIGNS INC DE X 05/14/02 AMEND DIGITAL RIVER INC /DE DE X X 03/31/02 AMEND DIGITAS INC DE X X 06/13/02 DONALDSON CO INC DE X X 06/13/02 E REX INC NV X 02/04/02 AMEND EDGE TECHNOLOGY GROUP INC DE X X 05/30/02 EL PASO CORP/DE DE X X 06/14/02 EL PASO CORP/DE DE X X 06/14/02 ELGAR HOLDINGS INC DE X X X 06/10/02 EMPYREAN COMMUNICATIONS INC NV X X 06/04/02 ENSTAR INCOME GROWTH PROGRAM FIVE-A L GA X X 06/10/02 ENSTAR INCOME GROWTH PROGRAM FIVE-B L GA X X 06/10/02 ENSTAR INCOME GROWTH PROGRAM SIX A L GA X X 06/10/02 ENSTAR INCOME PROGRAM 1984-1 LP GA X X 06/10/02 ENSTAR INCOME PROGRAM II-1 LP GA X X 06/10/02 ENSTAR INCOME PROGRAM II-2 LP GA X X 06/10/02 ENSTAR INCOME PROGRAM IV-1 LP GA X X 06/10/02 ENSTAR INCOME PROGRAM IV-2 LP GA X X 06/10/02 ENSTAR INCOME PROGRAM IV-3 L P GA X X 06/10/02 ENTERGY CORP /DE/ DE X X 06/14/02 ENTRADE INC PA X X 06/03/02 EQUITY ONE ABS INC MORTGAGE PASS THRU DE X 06/14/02 EXABYTE CORP /DE/ DE X 08/31/01 EXCHANGE APPLICATIONS INC DE X X 06/11/02 FAIRCHILD INTERNATIONAL CORP NV X 06/12/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/17/02 FARMER MAC MORTGAGE SECURITIES CORP DE X 06/25/02 FIRST ALLIANCE CORP /DE/ DE X X 06/14/02 FLEMING COMPANIES INC /OK/ OK X 05/20/02 AMEND FMC CORP DE X X 06/13/02 FMC CORP DE X X 06/14/02 FORD CREDIT AUTO RECEIVABLES TWO LLC DE X X 05/31/02 FORD CREDIT FLOORPLAN MASTER OWNER TR DE X X 05/31/02 FORD CREDIT FLOORPLAN MASTER OWNER TR DE X X 05/31/02 GENETRONICS BIOMEDICAL CORP X X 06/07/02 GLOBAL ENTERTAINMENT HOLDINGS/EQUITIE CO X 06/06/02 GOLDSTATE CORP NV X X 06/13/02 GREAT LAKES CHEMICAL CORP DE X X 06/14/02 GS MORTGAGE SECURITIES CORP DE X X 05/30/02 GUIDANT CORP IN X 06/13/02 HAND BRAND DISTRIBUTION INC FL X X 01/14/02 AMEND HNC SOFTWARE INC/DE DE X 06/12/02 HOST MARRIOTT CORP/ MD X X 06/06/02 HOST MARRIOTT L P DE X X 06/06/02 ICN PHARMACEUTICALS INC DE X 06/11/02 ICONET INC NV X 06/14/02 IGATE CORP PA X X 06/14/02 IGEN INTERNATIONAL INC /DE DE X 06/13/02 IKON RECEIVABLES FUNDING LLC DE X X 05/30/02 IMP INC DE X X 06/12/02 INFORMATION MANAGEMENT ASSOCIATES INC CT X X 05/23/02 INSTINET GROUP INC DE X X 06/14/02 INTERNATIONAL RECTIFIER CORP /DE/ DE X 06/14/02 INVIVO CORP DE X X 05/30/02 IPSWICH BANCSHARES INC MA X 06/14/02 ITS NETWORKS INC OK X X 04/18/02 KADANT INC DE X X 06/14/02 KARTS INTERNATIONAL INC NV X X 06/13/02 KENDLE INTERNATIONAL INC OH X X 06/14/02 KUSHNER LOCKE CO CA X X X 05/16/02 AMEND LABONE INC/ MO X 06/14/02 LABOR READY INC WA X X 06/13/02 LEE ENTERPRISES INC DE X 06/14/02 AMEND LEHMAN ABS CORP DE X X 05/15/02 LEHMAN ABS CORP DE X X 12/01/01 LEHMAN ABS CORP DE X X 11/15/01 LEHMAN ABS CORP DE X X 12/15/01 LEHMAN ABS CORP DE X X 04/01/02 LEHMAN ABS CORP DE X X 02/01/02 LEHMAN ABS CORP DE X X 01/01/02 LIBERTY SATELLITE & TECHNOLOGY INC DE X X X 04/01/02 AMEND LOUDEYE TECHNOLOGIES INC X X 06/14/02 MAJESTIC COMPANIES LTD NV X 06/06/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 05/31/02 MBNA CORP MD X 05/30/02 MEASUREMENT SPECIALTIES INC NJ X X 06/07/02 MEDFORD BANCORP INC MA X 06/13/02 MEDIX RESOURCES INC CO X 06/11/02 MEDIX RESOURCES INC CO X 06/07/02 METROMEDIA FIBER NETWORK INC DE X X 06/13/02 MICRO THERAPEUTICS INC DE X X 06/12/02 MOBILE MINI INC DE X X 06/10/02 MONARCH CASINO & RESORT INC NV X 06/14/02 MORGAN STANLEY DEAN WITTER & CO DE X X 06/11/02 MOTO PHOTO INC DE X 06/14/02 MOTO PHOTO INC DE X 06/14/02 NABORS INDUSTRIES INC DE X X 06/14/02 NATIONAL ENERGY GROUP INC DE X X 06/14/02 NATIONAL WINE & SPIRITS INC IN X X 06/11/02 NATIONAL WINE & SPIRITS INC IN X 06/11/02 NAVISTAR FINANCIAL RETAIL RECEIVABLES DE X 05/31/02 NETBANK INC GA X 03/31/02 AMEND NETMANAGE INC DE X X 06/14/02 NEW FRONTIER MEDIA INC /CO/ CO X X 06/10/02 NEW PLAN EXCEL REALTY TRUST INC MD X X 06/11/02 NEWPOWER HOLDINGS INC DE X X X 06/11/02 NOVASTAR MORTGAGE FUNDING CORP DE X X 06/13/02 NPS PHARMACEUTICALS INC DE X X 06/13/02 OSHKOSH TRUCK CORP WI X X 06/14/02 PARALLEL PETROLEUM CORP /DE/ DE X 06/14/02 PIONEER COMPANIES INC DE X X 05/31/02 POOLED AUTO SECURITIES SHELF LLC DE X X 06/13/02 POWER EXPLORATION INC NV X 06/14/02 PRACTICEWORKS INC DE X X 06/12/02 PRIME GROUP REALTY TRUST MD X 06/14/02 PROSPERITY PARTNERS INC DE X X X 06/07/02 RAQUEL INC NV X X 04/15/02 AMEND REALCO INC /NM/ NM X X 06/07/02 REALMARK PROPERTY INVESTORS LIMITED P DE X X 05/30/02 REPUBLIC BANCSHARES INC FL X 06/14/02 SALIENT 3 COMMUNICATIONS INC DE X 06/10/02 SALIENT 3 COMMUNICATIONS INC DE X 06/10/02 SANDS REGENT NV X X 06/01/02 SEI CORP PA X X 06/07/02 SEQUIAM CORP CA X X 06/12/02 SEQUIAM CORP CA X 06/14/02 AMEND SEROLOGICALS CORP DE X X 06/12/02 SHADOWS BEND DEVELOPMENT INC NV X X 06/13/02 AMEND SILICON VALLEY RESEARCH INC CA X X 06/10/02 SMARTFORCE PUBLIC LTD CO X X 06/10/02 SPECIALTY LABORATORIES X X 06/07/02 SPECTRX INC DE X X 06/12/02 SPORTS CLUB CO INC DE X X 06/05/02 SPORTSLINE COM INC DE X X 05/31/02 AMEND STONE CONTAINER CORP DE X X 06/14/02 STREICHER MOBILE FUELING INC FL X 06/12/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 05/31/02 STRUCTURED ASSET MORTGAGE INVESTMENTS DE X 05/31/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 05/30/02 STRUCTURED ASSET SECURITIES CORP MORT DE X X 05/30/02 SUN HEALTHCARE GROUP INC DE X X 06/08/02 SYMONS INTERNATIONAL GROUP INC IN X X 06/10/02 TELEON CORP FL X X 06/12/02 TEXAS VANGUARD OIL CO TX X 06/30/02 THAON COMMUNICATIONS INC NV X 05/31/02 TOROTEL INC MO X 06/13/02 AMEND TOUCHTUNES MUSIC CORP NV X X 06/10/02 TOWER BANCORP INC PA X 06/14/02 TRANSCEND SERVICES INC DE X X 05/31/02 U S LIQUIDS INC DE X X 06/10/02 UACSC 2001-C OWNER TRUST NY X X 06/10/02 UACSC 2002-A OWNER TRST AUTO RECEIVAB NY X X 06/10/02 UNIDYN CORP NV X 06/14/02 UNIVERSAL BROADBAND COMMUNICATIONS IN NV X X 05/31/02 UNIVERSAL CORP /VA/ VA X X 06/13/02 UNIVISION COMMUNICATIONS INC DE X X 06/14/02 US SEARCH CORP COM DE X X 01/18/02 AMEND VALUECLICK INC/CA DE X X 06/04/02 VERSAR INC DE X 06/30/02 VOICE MOBILITY INTERNATIONAL INC NV X 06/13/02 WARNACO GROUP INC /DE/ DE X X 06/14/02 WAVE POWER NET INC DE X X 05/09/02 AMEND WD 40 CO DE X X 05/31/02 WILLIAMS CONTROLS INC DE X X 06/12/02 WISCONSIN ENERGY CORP WI X 06/10/02 WORKFLOW MANAGEMENT INC DE X X 06/14/02