SEC NEWS DIGEST Issue 2002-196 October 9, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. CHANGE IN THE MEETING: ADDITIONAL ITEM The following item has been added to the closed meeting scheduled for Thursday, October 10, 2002, at 2:30 p.m.: Formal order of investigation. OPEN MEETING - WEDNESDAY, OCTOBER 16, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, October 16, will be: 1. The Commission will consider publication of acknowledgements of receipt of Forms 1-N from the Chicago Mercantile Exchange Inc., OneChicago, LLC and Nasdaq LIFFE Markets, LLC to trade security futures. The Commission will also consider whether to delegate authority to the Director of the Division of Market Regulation to publish in the Federal Register acknowledgements of receipt of Forms 1-N filed pursuant to Section 6(g) of the Securities Exchange Act of 1934. 2. The Commission will consider whether to propose rules relating to Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002. The proposed rules would require companies to include in their Exchange Act filings: (1) an annual internal control report, (2) disclosure regarding whether a company has adopted a code of ethics that applies to certain senior officers, and (3) disclosure regarding whether a company has a financial expert on its audit committee. 3. The Commission will consider whether to propose amendments to implement Section 303 of the Sarbanes-Oxley Act of 2002. Section 303(a) prohibits an issuer's officers, directors, and persons acting under the direction of an officer or director, from taking any action to fraudulently influence, coerce, manipulate or mislead the auditor of the issuer's financial statements for the purpose of rendering those financial statements materially misleading. CLOSED MEETING - THURSDAY, OCTOBER 17, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, October 17, will be: Formal orders of investigation; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings 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 SEC SUES JOHN MCCAMEY AND SIERRA EQUITY PARTNERS, LP On October 8, the Commission instituted public administrative proceedings against: (1) John Christopher McCamey, a principal and registered representative of Sierra Brokerage Services, Inc., a broker- dealer based in Columbus, Ohio (Sierra Brokerage); and (2) Sierra Equity Partners LP, a hedge fund based in Columbus, Ohio (the Hedge Fund). The Division of Enforcement (Division) alleges that in November and December 2001, the Respondents engaged in a fraudulent, unregistered offering of securities in the Hedge Fund, which was established by McCamey. In solicitations through letters to Sierra Brokerage's clients, through spam e-mails and through Sierra Brokerage's website, Respondents willfully made false and misleading statements about the safety and return investors could expect from an investment in the Hedge Fund. Respondents told investors that interests in the Hedge Fund were government secured and would produce annual returns of 15 to 50 percent. Respondents' investment strategy for the Hedge Fund involved purchasing real estate tax lien certificates. Contrary to Respondents' claims, tax lien certificates are not government secured. Respondents had no legitimate basis for the claimed returns on the tax lien certificates. McCamey raised $10,000 for the Hedge Fund from one investor on November 28. In mid-December 2001, Respondents terminated the Hedge Fund offering and returned the $10,000 invested. The Division alleges that McCamey willfully violated and committed violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and willfully aided and abetted and caused Sierra Brokerage's violations of Section 15(c) of the Exchange Act and Rule 15c1-2 thereunder, and the Hedge Fund committed violations of Sections 5(a), 5(c) and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and caused Sierra Brokerage's violations of Section 15(c) of the Exchange Act and Rule 15c1-2 thereunder. (Rels. 33-8137; 34-46621; File No. 3-10911. COMMISSION SUSPENDS ACCOUNTANT JOHN GIESECKE, JR. On October 8, the Commission suspended certified public accountant John Giesecke, Jr. (Giesecke) from appearing or practicing before the Commission as an accountant because he has been enjoined for securities fraud. Giesecke consented to the entry of the Commission's Order Instituting Public Administrative Proceedings Pursuant To Rule 102(e) Of The Commission's Rules Of Practice, Making Findings, And Imposing Remedial Sanctions (Order) without admitting or denying its findings. In the Order, the Commission found that from February through December 2001, Giesecke was the Chief Operating Officer of Homestore, Inc. (Homestore) of Westlake Village, California. The Commission previously sued Giesecke in the United States District Court for the Central District of California (Court) for securities fraud. The Commission's complaint alleged that Giesecke overstated Homestore's revenue in its quarterly reports filed with the Commission on Forms 10-Q for the first three quarters of 2001. The complaint also alleged that Giesecke lied to Homestore's auditors. The Order found that on September 26, 2002, the Court entered a Final Judgment Of Permanent Injunction And Other Relief Against Defendant John Giesecke which permanently enjoins Giesecke from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-13, 13b2-1, and 13b2-2 thereunder. The Commission suspended Giesecke pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, 17 C.F.R. Section 201.102(e)(3). (Rel. 34-46622; AAE Rel. 1644; File No. 3-10912) COMMISSION SUSPENDS ACCOUNTANT JOSEPH SHEW On October 8, the Commission suspended certified public accountant Joseph J. Shew (Shew) from appearing or practicing before the Commission as an accountant because he has been enjoined for securities fraud. Shew consented to the entry of the Commission's Order Instituting Public Administrative Proceedings Pursuant To Rule 102(e) Of The Commission's Rules Of Practice, Making Findings, And Imposing Remedial Sanctions (Order) without admitting or denying its findings. In the Order, the Commission found that from February through December 2001, Shew was the Chief Financial Officer of Homestore, Inc. (Homestore) of Westlake Village, California. The Commission previously sued Shew in the United States District Court for the Central District of California (Court) for securities fraud. The Commission's complaint alleged that Shew overstated Homestore's revenue in its quarterly reports filed with the Commission on Forms 10-Q for the first three quarters of 2001. The complaint also alleged that Shew lied to Homestore's auditors. The Order found that on September 26, 2002, the Court entered a Final Judgment Of Permanent Injunction And Other Relief Against Defendant Joseph Shew which permanently enjoins Shew from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-13, 13b2-1, and 13b2-2 thereunder. The Commission suspended Shew pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, 17 C.F.R. Section 201.102(e)(3). (Rel. 34-46623; AAE Rel. 1645; File No. 3-10913) SEC FILES CIVIL ACTION FOR INSIDER TRADING AGAINST MEMBER OF CEO ROUNDTABLE The Commission announced that on October 8 it filed a complaint in the United States District Court for the Northern District of Illinois alleging that Terry L. Kirch (Kirch), a software executive, misappropriated confidential information from an executive of another company at an executive roundtable conference. In its complaint, the Commission alleges that on or about October 1, 1999, Kirch, a then Chief Executive Officer (CEO) of a private software company, attended a meeting in Westport, Connecticut of software executives from various companies (Executive Roundtable.) This group consists of about ten software organizations or former software organizations that meets twice a year to discuss ideas and strategies. It was the policy and fundamental understanding of the Executive Roundtable that matters of a confidential or sensitive nature were to be kept confidential. During this meeting, ShowCase Corporation's (Showcase) CEO made a presentation at the roundtable disclosing that ShowCase would not meet analysts' projections for the second quarter. Shortly after this presentation, Kirch called his broker and placed an order to sell certain of his shares of ShowCase. By selling when he did, Kirch avoided losses of approximately $45,688. The Complaint seeks an injunction, disgorgement plus prejudgment interest and a civil penalty. The Commission acknowledges the assistance of the National Association of Securities Dealers in this matter. [SEC v. Terry L. Kirch, USDC, N.D. Ill., Civil Action No. 02C-7195 (MIS/MCA)] (LR-17777) JURY FINDS CERTIFIED PUBLIC ACCOUNTANT GUILTY OF INSIDER TRADING On October 3, after a three-week trial, a federal jury in the United States District Court for the Southern District of New York found Michael A. Robles, a certified public accountant based in Dallas, Texas, guilty on charges of participating in a massive insider-trading scheme that yielded illegal profits of more than $1.3 million in 31 different stocks. According to the evidence at trial, from 1995 through 1997, Robles received inside information from his long-time friend Richard A. Svoboda, who was employed as a credit policy officer at NationsBank, N.A. In violation of NationsBank's policies, Svoboda misappropriated confidential information about yet-to-be-announced tender offers and financial results involving NationsBank's clients, and disclosed it to Robles, who traded in advance of the public announcements of tender offers or financial results. Robles was convicted of one count of conspiracy, 9 counts of securities fraud and 4 counts of tender offer fraud. In February 2002, Svoboda pled guilty to conspiracy, securities fraud, and tender offer fraud charges. The Commission's civil action against Robles and Svoboda, filed at the same time a grand jury in the Southern District of New York indicted them, was stayed pending the outcome of the criminal trial. Once the stay is lifted, the Commission intends to pursue its claims against Robles and Svoboda, for engaging in illegal insider trading in violation of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 14(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e-3 thereunder, and to seek injunctive relief, disgorgement, and civil monetary penalties. For further information, see Litigation Release No. 16791 (November 7, 2000). [SEC v. Richard A. Svoboda and Michael A. Robles, 00 Civ. No. 8557 (MBM) (Southern District of New York)]; [U.S. v. Michael A. Robles, S1 00 1169 (RMB)] (LR-17778) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CBOE-2002-56) filed by the Chicago Board Options Exchange relating to broker-dealer access on the Exchange's Retail Automatic Execution System has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of October 7. (Rel. 34-46598) The Pacific Exchange filed a proposed rule change (SR-PCX-2002-60) to allow PCX market makers to participate in more than two joint accounts. The proposed rule change 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 October 7. (Rel. 34- 46605) A proposed rule change and Amendment No. 1 thereto (SR-CBOE-2002-51) filed by the Chicago Board Options Exchange creating a "safe harbor" from the CBOE's prohibition against "unbundling" of customer option orders 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 October 7. (Rel. 34-46607) A proposed rule change (SR-Amex-2002-72) submitted by the American Stock Exchange to extend the eQPriority pilot program until October 11, 2002, has been filed and become immediately effective pursuant to Rule 19b-4 under the Securities Exchange Act of 1934. (Rel. 34-46610) A proposed rule change (SR-PCX-2002-58) filed by the Pacific Exchange to amend the definition of a "Primary Only Order" 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 October 7. (Rel. 34-46617) A proposed rule change filed by the American Stock Exchange to extend a suspension of transaction charges for certain exchange traded funds (SR- Amex-2002-79) 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 October 7. (Rel. 34- 46618) APPROVAL OF A PROPOSED RULE CHANGE The Commission granted approval of a proposed rule change (SR-OCC-2002- 12) filed by The Options Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to accelerating the maturity date for certain adjusted stock futures contracts. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46606) PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 46) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to shareholder approval of equity compensation plans and the voting of proxies. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46620) DELISTINGS GRANTED An order has been issued granting the application of the Philadelphia 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 8, 2002. (Rel. 34-46609) An order has been issued granting the application of the Pacific 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 8, 2002. (Rel. 34-46611) 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 MEMC ELECTRONIC MATERIALS INC, 501 PEARL DR, ST PETERS, MO, 63376, 6364745000 - 650,000 ($2,106,000.00) Equity, (File 333-100404 - Oct. 8) (BR. 36) S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($20,000,000.00) Other, (File 333-100405 - Oct. 8) (BR. 01) S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($20,000,000.00) Other, (File 333-100406 - Oct. 8) (BR. 01) S-3 STRAYER EDUCATION INC, 1025 15TH STREET NW, WASHINGTON, DC, 20005, 2024082400 - 2,300,000 ($129,697,000.00) Equity, (File 333-100407 - Oct. 8) (BR. 08) S-3 AULT INC, 7105 NORTHLAND TERRACE, MINNEAPOLIS, MN, 55428-1028, 6125921900 - 600,000 ($1,194,000.00) Equity, (File 333-100409 - Oct. 8) (BR. 36) S-8 FINANCIALCONTENT INC, 55 HAWTHORNE STREET, SUITE 550, SAN FRANCISCO, CA, 94105, 4153566800 - 20,000 ($5,000.00) Equity, (File 333-100410 - Oct. 8) (BR. 02) S-8 TRANS WORLD CORP, 545 FIFTH AVE, STE 940, NEW YORK, NY, 10017, 2129833355 - 5,211,000 ($781,740.00) Equity, (File 333-100411 - Oct. 8) (BR. 02) S-8 INSYNQ INC, 1127 BROADWAY PLAZA, SUITE #10, TACOMA, WA, 98402, 2532842000 - 16,000,000 ($24,000.00) Equity, (File 333-100413 - Oct. 8) (BR. 05) S-8 STIFEL FINANCIAL CORP, ONE FINANCIAL PLAZA, 501 N BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 1,000,000 ($12,300,000.00) Equity, (File 333-100414 - Oct. 8) (BR. 07) S-8 AMCAST INDUSTRIAL CORP, 7887 WASHINGTON VILLAGE DR, DAYTON, OH, 45459, 9372917000 - 0 ($471,201.00) Equity, (File 333-100415 - Oct. 8) (BR. 06) S-3 LIBERTY MEDIA CORP /DE/, 9197 SOUTH PEORIA STREET, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($310,000,000.00) Equity, (File 333-100416 - Oct. 8) (BR. 37) S-3 SMARTSERV ONLINE INC, METRO CENTER, ONE STATION PLACE, STAMFORD, CT, 06902, 2033535950 - 129,990 ($110,491.50) Equity, (File 333-100417 - Oct. 8) (BR. 03) S-3 CWMBS INC, 4500 PARK GRANADA, CALABASAS, CA, 91302, 8183045591 - 0 ($10,978,548,884.00) Mortgage Backed Securities, (File 333-100418 - Oct. 8) (BR. 05) S-3 HUMANA INC, 500 W MAIN ST, LOUISVILLE, KY, 40202, 5025801000 - 600,000,000 ($600,000,000.00) Debt Convertible into Equity, (File 333-100419 - Oct. 8) (BR. 01) S-8 COLUMBIA BANKING SYSTEM INC, 1102 BROADWAY PLAZA, TACOMA, WA, 98402, 2533051900 - 740,300 ($8,721,407.68) Equity, (File 333-100420 - Oct. 8) (BR. 07) N-2 EATON VANCE INSURED NEW YORK MUNICIPAL BOND FUND I, EATON VANCE BLDG, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 66,667 ($1,000,000.00) Equity, (File 333-100422 - Oct. 8) (BR. ) N-2 EATON VANCE INSURED CALIFORNIA MUNICIPAL BOND FUND I, EATON VANCE BLDG, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 66,667 ($1,000,000.00) Equity, (File 333-100423 - Oct. 8) (BR. ) S-8 IDT CORP, 190 MAIN ST, HACKENSACK, NJ, 07601, 2019281000 - 3,000,000 ($46,275,000.00) Equity, (File 333-100424 - Oct. 8) (BR. 37) N-2 EATON VANCE INSURED MUNICIPAL BOND FUND I, EATON VANCE BLDG, 255 STATE STREET, BOSTON, MA, 02109, 6174828260 - 66,667 ($1,000,000.00) Equity, (File 333-100425 - Oct. 8) (BR. ) S-8 EBAY INC, 2145 HAMILTON AVENUE, SAN JOSE, CA, 95125, 4085587400 - 0 ($67,097,535.00) Equity, (File 333-100426 - Oct. 8) (BR. 08) S-8 FINISH LINE INC /DE/, 3308 N MITTHOEFFER RD, INDIANAPOLIS, IN, 46235, 3178991022 - 0 ($10,200,000.00) Equity, (File 333-100427 - Oct. 8) (BR. 02) S-3 FTI CONSULTING INC, 900 BESTGATE RD, SUITE 100, ANNAPOLIS, MD, 21401, 4102248770 - 0 ($89,452,167.00) Equity, (File 333-100428 - Oct. 8) (BR. 08) N-2 ABERDEEN GLOBAL INCOME FUND INC, 800 SCUDDERS MILL ROAD, C/O MERRILL LYNCH ASSET MANAGEMENT, PLAINSBORO, NJ, 08536, 2129688800 - 0 ($1,007,000.00) Equity, (File 333-100429 - Oct. 8) (BR. 17) SB-2 CAPITAL TECH INC, 8200 S QUEBEC, A-3 #125, CENTENNTIAL, CO, 80122, 7205299293 - 2,000,000 ($1,000,000.00) Equity, (File 333-100431 - Oct. 8) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ 1 800 CONTACTS INC DE X 07/24/02 AMEND 99 CENTS ONLY STORE CA X 10/08/02 AAMES FINANCIAL CORP/DE DE X 07/31/02 AAMES FINANCIAL CORP/DE DE X 08/31/02 ACCRED HOME LNDRS INC AC MOR LN TR 20 DE X X 09/26/02 ACE SECURITIES CORP DE X X 10/07/02 AMB PROPERTY CORP MD X 10/07/02 AMORITIZING RESIDENTIAL COL TR MOR PA X X 09/25/02 AMSURG CORP TN X X 10/08/02 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 09/26/02 BEAR STEARNS ASSET BACKED CERT SERS DE X X 09/26/02 BEAR STEARNS ASSET BACKED SEC INC ASS DE X X 09/26/02 BEAR STEARNS ASSET BACKED SEC TR ASSE NY X X 09/26/02 BEAR STEARNS ASSET BCK SEC TR AS-BCK NY X X 09/26/02 BIG BUCK BREWERY & STEAKHOUSE INC MI X X 10/07/02 BIO AMERICAN CAPITAL CORP NV X X X 10/07/02 BORLAND SOFTWARE CORP DE X X 10/07/02 BOSTON LIFE SCIENCES INC /DE DE X X 10/08/02 BOSTON PROPERTIES INC DE X X 09/25/02 CENTURYTEL INC LA X X 08/31/02 CHARMING SHOPPES INC PA X 10/08/02 CHARTER ONE FINANCIAL INC DE X 09/04/02 CLEVELAND CLIFFS INC OH X 10/07/02 CONOCOPHILLIPS DE X X 10/03/02 COOPER COMPANIES INC DE X X 10/03/02 CREDIT & ASSET REPACKAGING VEHICLE CO DE X 10/01/02 CROMPTON CORP DE X X 10/08/02 CYBER MERCHANTS EXCHANGE INC CA X 10/08/02 DELTA FUNDING RESIDUAL EXCHANGE CO LL DE X X 10/07/02 DIAMOND OFFSHORE DRILLING INC DE X X 10/08/02 DIGITAL BRIDGE INC NV X 05/03/02 DIGITALTHINK INC DE X 03/31/03 DISCOVER CARD MASTER TRUST I DE X X 10/07/02 DOCUMENTUM INC DE X X 10/03/02 EARTHCARE CO DE X X 07/25/02 AMEND EL PASO ENERGY PARTNERS LP DE X X 10/08/02 ELECSYS CORP KS X X 10/07/02 ENDOCARDIAL SOLUTIONS INC DE X 10/08/02 ENSTAR INCOME GROWTH PROGRAM FIVE-A L GA X 09/30/02 ENSTAR INCOME GROWTH PROGRAM FIVE-B L GA X 09/30/02 EXIDE CORP DE X 09/17/02 FIRST COMMUNITY BANCSHARES INC /IN IN X 10/08/02 FMC CORP DE X X 10/07/02 FRANKLIN CAPITAL CORP DE X X 09/30/02 FRISCHS RESTAURANTS INC OH X 10/07/02 FRONTIER FINANCIAL CORP /WA/ WA X X 10/08/02 GE CAPITAL COM MORT CORP COM MORT PAS DE X X 12/17/01 GE CAPITAL COM MORT CORP COM MORT PAS DE X X 03/15/02 GENERAL MOTORS CORP DE X 10/07/02 GENEREX BIOTECHNOLOGY CORP DE X 10/07/02 GOLD KIST INC GA X 10/01/02 HARDINGE INC NY X X 10/03/02 HELIX BIOMEDIX INC DE X 10/03/02 HERITAGE OAKS BANCORP CA X X 10/08/02 HOME EQ LOAN TRUST SER 2002 CIT1 ASST DE X X 09/26/02 HUGHES ELECTRONICS CORP DE X 10/07/02 HUMBOLDT BANCORP CA X X 10/07/02 INDYMAC ABS INC DE X X 09/24/02 INDYMAC ABS INC HOME EQ MORT LOAN AS DE X X 09/30/02 INDYMAC MBS INC X X 09/27/02 INFORMATION HOLDINGS INC DE X X 05/06/02 INKINE PHARMACEUTICAL CO INC NY X X 10/01/02 INVERNESS MEDICAL INNOVATIONS INC DE X X 09/20/02 AMEND IPVOICE COMMUNICATIONS INC NV X X 07/03/02 AMEND IWT TESORO CORP NV X X 09/23/02 AMEND KV PHARMACEUTICAL CO /DE/ DE X X 10/01/02 LECSTAR CORP TX X X 12/31/02 AMEND LEHMAN T H & CO INC DE X 10/03/02 LEVI STRAUSS & CO DE X 10/08/02 LIBERTY LIVEWIRE CORP DE X X 09/30/02 LINCOLN NATIONAL CORP IN X 10/08/02 MANITOWOC CO INC WI X 10/07/02 MASTR ASSET SECURITIZATION TRUST 2002 X X 09/26/02 MATRIA HEALTHCARE INC DE X 09/30/02 MEDSOLUTIONS INC TX X X 09/10/02 AMEND MERRILL LYNCH MORT INVEST INC MORT PA NY X X 09/26/02 MERRILL LYNCH MORTGAGE INV INC MOR PS NY X X 09/26/02 MICROTEL INTERNATIONAL INC DE X X 09/24/02 MILLER EXPLORATION CO DE X 09/30/02 MILLS CORP DE X 10/02/02 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 09/26/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 09/25/02 MORTGAGE ASSET SEC TRANS INC MASTR AS DE X X 09/25/02 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/26/02 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/26/02 MORTGAGE ASSET SEC TRANS INC MORT PAS DE X X 09/26/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 10/07/02 MSDWCC HELOC TRUST 2002-1 DE X X 09/25/02 NEW WORLD RESTAURANT GROUP INC DE X X 10/08/02 NEXTEL COMMUNICATIONS INC DE X X 10/03/02 NORTHWESTERN CORP DE X X 10/02/02 OAK TECHNOLOGY INC DE X X 10/07/02 OAO TECHNOLOGY SOLUTIONS INC DE X 10/04/02 PACKETEER INC DE X X 10/07/02 PEOPLES BANCORP INC OH X 10/08/02 PEPSICO INC NC X X 10/08/02 PICCADILLY CAFETERIAS INC LA X X 10/07/02 PITTS & SPITTS INC NV X X 10/01/02 PROFESSIONALS DIRECT INC MI X X 10/08/02 RENAISSANCE HOME EQUITY LOAN ASSET-BK DE X X 09/26/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 09/26/02 ROHN INDUSTRIES INC DE X X 10/08/02 RTW INC /MN/ MN X 10/07/02 SANTANDER BANCORP X 09/30/02 SCANSOFT INC DE X 10/07/02 SEABOARD CORP /DE/ DE X 09/28/02 SEATTLE GENETICS INC /WA DE X X 10/08/02 SEQUIAM CORP CA X 07/19/02 AMEND SMALL TOWN RADIO INC CO X X 10/08/02 SPEEDWAY MOTORSPORTS INC DE X X 10/07/02 SSP SOLUTIONS INC DE X X 09/27/02 STAPLES INC DE X X 09/26/02 STEAKHOUSE PARTNERS INC DE X 10/08/02 STERLING CONSTRUCTION CO INC DE X X 09/23/02 STEWART & STEVENSON SERVICES INC TX X X 10/08/02 STRAYER EDUCATION INC MD X X 10/08/02 STRUCTURED ASSET SEC CORP MORT PAS TH DE X X 09/26/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 09/26/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/26/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X X 09/26/02 STRUCTURED ASSET SEC CORP MORT PASS T X X 09/25/02 STRUCTURED ASSET SECURITIES CORP MORT DE X X 09/26/02 SYMMETRICOM INC DE X X 10/04/02 SYNTROLEUM CORP DE X 10/04/02 TARGETED GENETICS CORP /WA/ WA X X 10/04/02 TECO ENERGY INC FL X X 10/08/02 TEPPCO PARTNERS LP DE X X 06/30/02 AMEND TESSA COMPLETE HEALTH CARE INC/GA GA X 09/24/02 THORNBURG MORTGAGE SECURITIES TRUST 2 DE X X 09/25/02 TIER TECHNOLOGIES INC CA X X 07/25/02 AMEND TRUSERV CORP DE X X 10/07/02 TYCO INTERNATIONAL LTD /BER/ D0 X 10/07/02 UNIFI INC NY X X 10/07/02 UNION BANKSHARES INC VT X 10/04/02 USCORP NV X X X X 04/02/02 AMEND VERIDIAN CORP X X 09/25/02 VIRGINIA COMMERCE BANCORP INC X X 10/08/02 VOYAGER ENTERTAINMENT INTERNATIONAL I ND X X 09/10/02 WELLS FARGO ASSET SEC CORP MORT PASS NY X X 09/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 09/26/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 09/26/02 WELLS FARGO MORTGAGE BACKED SECURITIE DE X X 09/26/02