SEC NEWS DIGEST Issue 2002-68 April 9, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS ADDITIONAL CLOSED MEETING - TUESDAY, APRIL 9, 2002 - 2:30 P.M. An additional closed meeting will be held on Tuesday, April 9, 2002, at 2:30 p.m. The subject matter of the closed meeting will be: Formal orders of private investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; and A litigation matter. 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. ADDITIONAL PUBLIC APPEARANCE OF SENIOR COMMISSION OFFICIAL - APRIL 2002 The following is an additional appearance by a senior SEC official for April 2002. For additional information on events hosted by groups other than the Commission, please call the contact number listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Thursday, April 11 Who: Stephen M. Cutler, Director, Division of Enforcement What: Ray Garrett, Jr. 22nd Annual Corporate and Securities Law Institute Where: Northwestern University School of Law, Chicago, IL Contact: Pete Wentz, (312) 503-1828 ENFORCEMENT PROCEEDINGS IN THE MATTER OF A REGISTRATION STATEMENT OF FONECASH, INC. The Commission announced that on April 8 it issued an Order Fixing Time and Place of Public Hearing and Instituting Proceedings pursuant to Section 8(d) of the Securities Act of 1933, in the Matter of a Registration Statement of FoneCash, Inc. (A-2750). As described therein, the Division of Enforcement alleges that the registration statement FoneCash filed on December 26, 2001, and subsequent preeffective and post effective amendments, misrepresent or omit to state material facts required to be stated therein, specifically, they fail to disclose that a patent to which FoneCash owns the rights has lapsed and they contain financial statements audited by an accountant who was not independent. The Division of Enforcement further alleges that the amendments fail to disclose a massive increase in the number of outstanding shares. Finally, the Division of Enforcement alleges that the registration statement discloses a contract pursuant to which FoneCash was to receive a cash advance, but there is no disclosure that the contract has been voided. The Commission instituted these proceedings pursuant to Section 8(d) of the Securities Act to determine whether the allegations of the Division of Enforcement are true; to afford registrant with an opportunity to establish any defenses to these allegations; and to determine whether a stop order should issue suspending the effectiveness of the FoneCash, Inc., registration statement and amendments. A hearing will be held before an Administrative Law Judge to determine whether these allegations are true at 10:00 a.m. on April 23, 2002. (Rel. 33-8079; File No. 3-10750) ADMINSITRATIVE PROCEEDINGS INSTITUTED AGAINST ROUND HILL SECURITIES, INC., ROBERT HOLUB, ROBERT MINKA, SUNIL DE SILVA AND BRAXTON GRIZZARD On April 8, the Commission instituted and simultaneously settled public administrative and cease-and-desist proceedings against Round Hill Securities, Inc., a nation-wide broker-dealer headquartered in Alamo, California, Roberts S. Holub, the firm's founder, Robert J. Minka, a supervisor, Sunil F. De Silva, a former registered representative in Round Hill's Beverly Hills, California, office, and Braxton G. Grizzard, a former registered representative in Round Hill's Honolulu, Hawaii, office. The Commission's Order Instituting Proceedings found that De Silva and Grizzard defrauded five customers, resulting in losses of $75,540.89 and commission and margin interest charges of $93,707.32. In turn, Round Hill, Holub and Minka failed reasonably to supervise the registered representatives. According to the Order, De Silva and Grizzard each violated the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. From January 1996 to November 1997, De Silva churned the accounts of two financially unsophisticated customers and made unsuitable recommendations in both accounts relating to risky trading strategies, including margin use. De Silva also misappropriated funds from an investment club. Between November 1996 and February 1998, Grizzard defrauded two retired and widowed customers. He churned one customer's account, and he recommended unsuitable trading strategies in both customers' accounts, including margin use and trading in below investment-grade bonds. The Order further found that Round Hill did not have adequate supervisory procedures relating to customer account review, or an adequate system to implement its procedures for branch office audits and heightened supervision of registered representatives. Additionally, Holub and Minka failed to follow certain of Round Hill's procedures that might have exposed De Silva's and Grizzard's fraudulent trading practices. As a result, Round Hill, Holub and Minka failed reasonably to supervise De Silva and Grizzard within the meaning of Section 15(b) of the Exchange Act. The Commission's Order imposed the following sanctions: Round Hill was censured for its failure reasonably to supervise the brokers, and ordered to pay a $100,000 penalty. The firm also agreed to retain an independent consultant to review and recommend changes to its supervisory system. Holub was suspended from acting in a supervisory capacity with any broker or dealer for twelve months and the court ordered him to pay a $25,000 penalty. Minka was suspended from acting in a supervisory capacity with any broker or dealer for nine months and ordered to pay a $15,000 penalty. De Silva was barred from association with any broker or dealer, and ordered to cease and desist from violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and he was also ordered to pay a penalty of $25,000. Grizzard was suspended from association with any broker or dealer for twelve months, and he also agreed to be subject to various trading restrictions following his suspension, including being barred from handling discretionary accounts, trading on margin, trading in options and below investment-grade bonds. Grizzard was also ordered to cease and desist from further violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission declined to assess a civil penalty against Grizzard based on his sworn representations in his financial statement, and other documents he submitted to the Commission, and his assertions of his inability to pay a civil penalty. (Rels. 33-8080; 34-45707; File No. 3- 10751) SEC FILES CIVIL INJUNCTIVE ACTION AGAINST DALLAS-BASED COMPANY STAND-BY SYSTEMS, INC. AND ITS PRESIDENT AND CEO, KENNETH PALMER On March 27, 2002, the Commission filed a civil fraud action against Stand-By Systems, Inc. and Kenneth J. Palmer, of Dallas, Texas. The Commission charges that throughout the 1990's Stand-By and Palmer, Stand-By's president, fraudulently sold Stand-By securities to 144 investors nationwide and raised approximately $1.6 million. Initially, defendants falsely claimed, among other things, that Stand-By was in the process of developing personal oxygen dispensers and inhalation masks. Subsequently, they represented that development was complete and manufacturing had begun. In reality, little work was ever conducted to develop the oxygen systems. In fact, a working prototype was never developed. The defendants also misrepresented the returns associated with the investment, and falsely clamed that investor funds would be used solely for operating expenses of Stand-By. Contrary to this representation, Palmer diverted a large portion of investor funds for unauthorized personal and business expenditures, including automobiles, maintenance of his boat, settlement of a personal judgment against him, club memberships and living expenses. Palmer also used investor funds to purchase a residence and an airplane, purportedly for Stand-By business use. However, Palmer personally held title to the residence and, shortly after its purchase, obtained a loan on the residence and used a large portion of the loan proceeds for personal expenses. Moreover, Palmer later sold the airplane and placed the proceeds into his personal account. Palmer also spent investor funds for expenses related to the residence, such as expensive interior decorations and landscaping. The Commission's complaint charges that Stand-By and Palmer violated Section 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. The Commission seeks a permanent injunction, disgorgement with pre-judgment interest, civil money penalties and an accounting. [SEC v. Stand-By Systems, Inc. and Kenneth Palmer, Civil Action No. 3:02-CV-0642-H, USDC, Northern District of Texas, Dallas Division] (LR-17463) INVESTMENT COMPANY ACT RELEASES MIDLAND NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until April 30 to request a hearing on an application filed by Midland National Life Insurance Company (Midland), Midland National Life Separate Account C, and Sammons Securities Company, LLC (collectively Applicants). Applicants seek an order of the Commission exempting them with respect to certain variable annuity contracts (Contracts) and certain other variable annuity contracts that are substantially similar in all material respects, that Midland may issue in the future (Future Contracts), and any other separate accounts of Midland and its successors in interest that support Future Contracts, and certain National Association of Securities Dealers, Inc. member broker-dealers which in the future, may act as principal underwriter of such contracts, from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Investment Company Act and Rule 22c-1 thereunder, pursuant to Section 6(c) of the Act, to the extent necessary to permit the recapture of a bonus credit (previously applied to premium payments) where the contract owner exercises his or her "free look" right. (Rel. IC-25511 - April 5) PIONEER BALANCED FUND, ET AL. A notice has been issued giving interested persons until May 3, 2002, to request a hearing on an application filed by Pioneer Balanced Fund, Pioneer Global Value Fund, Pioneer Variable Contracts Trust, and Pioneer Investment Management, Inc. for an order granting an exemption from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order would permit applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC- 25512 - April 8) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-4 SINCLAIR BROADCAST GROUP INC, 2000 WEST 41ST ST, BALTIMORE, MD, 21211, 4104675005 - 0 ($310,000,000.00) Non-Convertible Debt, (File 333-85718 - Apr. 8) (BR. 37) S-8 NETTAXI INC, 1696 DELL AVE, CAMPBELL, CA, 95008, 4088799880 - 13,772,500 ($2,801,225.00) Equity, (File 333-85720 - Apr. 8) (BR. 08) S-8 XECHEM INTERNATIONAL INC, 100 JERSEY AVE E, BLDG B STE 310, NEW BRUNSWICK, NJ, 08901, 9082473300 - 16,000,000 ($160,000.00) Equity, (File 333-85806 - Apr. 8) (BR. 01) S-3 PRECIS SMART CARD SYSTEMS INC, 2500 SOUTH MCGEE DR, SUITE 147, OKLAHOMA CITY, OK, 73072, 4057525550 - 0 ($3,453,000.00) Equity, (File 333-85808 - Apr. 8) (BR. 08) S-8 PIPELINE TECHNOLOGIES INC, 1001 KINGS AVE, STE 200, JACKSONVILLE, FL, 32207, 9043460170 - 1,650,000 ($297,000.00) Equity, (File 333-85810 - Apr. 8) (BR. 05) S-8 TIDELANDS OIL & GAS CORP/WA, P E BOX 270234, CORPUS CHRISTI, TX, 78247, 5098918373 - 1,000,000 ($900,000.00) Debt Convertible into Equity, (File 333-85812 - Apr. 8) (BR. 09) S-8 LORAL SPACE & COMMUNICATIONS LTD, 600 THIRD AVE, C/O LORAL SPACECOM CORP, NEW YORK, NY, 10016, 2126971105 - 10,000,000 ($20,900,000.00) Equity, (File 333-85814 - Apr. 8) (BR. 37) S-8 NOVA COMMUNICATIONS LTD, 3830 DEL AMO BOULEVARD, SUITE 101, TORRANCE, CA, 90503, 3106420200 - 56,410 ($3,949.00) Equity, (File 333-85816 - Apr. 8) (BR. 01) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 20,000,000 ($20,000,000.00) Equity, (File 333-85818 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 8,575 ($354,319.00) Equity, (File 333-85820 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 3,200,000 ($132,224,000.00) Equity, (File 333-85822 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 3,000,000 ($123,960,000.00) Equity, (File 333-85824 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 1,000,000 ($41,320,000.00) Equity, (File 333-85826 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 20,000,000 ($826,400,000.00) Equity, (File 333-85828 - Apr. 8) (BR. 04) S-8 INTERNATIONAL PAPER CO /NEW/, 400 ATLANTIC STREET, STAMFORD, CT, 06921, 203-541-8000 - 22,000,000 ($909,040,000.00) Equity, (File 333-85830 - Apr. 8) (BR. 04) S-8 SIMPLETECH INC, 3001 DAIMLER ST, SANTA ANA, CA, 92705-5812, 8003677330 - 0 ($16,026,416.00) Equity, (File 333-85832 - Apr. 8) (BR. 03) S-8 CHILDRENS PLACE RETAIL STORES INC, ONE DODGE DR, CALDWELL, NJ, 07006, 9732278900 - 500,000 ($16,845,000.00) Equity, (File 333-85834 - Apr. 8) (BR. 02) SB-2 FPB BANCORP INC, 1301 SE PORT ST. LUCIE BLVD, PORT ST. LUCIE, FL, 34952, 5613981388 - 500,000 ($5,500,000.00) Equity, (File 333-85836 - Apr. 8) (BR. 09) S-1 TIERONE CORP, 1235 N STREET, LINCOLN, NE, 68508, 4024750521 - 0 ($182,505,000.00) Equity, (File 333-85838 - Apr. 8) (BR. ) S-8 NEOFORMA INC/CA/, 3061 ZANKER ROAD, SAN JOSE, CA, 95134, 4086545700 - 0 ($18,992,245.00) Equity, (File 333-85840 - Apr. 8) (BR. 08) S-8 CROWN CORK & SEAL CO INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154, 2156985100 - 1,000,000 ($8,790,000.00) Equity, (File 333-85842 - Apr. 8) (BR. 06) S-3 APARTMENT INVESTMENT & MANAGEMENT CO, COLORADO CENTER TOWER TWO, 2000 S COLORADO BLVD STE 2-1000, DENVER, CO, 80222-4348, 3037578101 - 0 ($210,412,263.00) Equity, (File 333-85844 - Apr. 8) (BR. 08) S-8 CROWN CORK & SEAL CO INC, ONE CROWN WAY, PHILADELPHIA, PA, 19154, 2156985100 - 3,000,000 ($26,369,999.98) Equity, (File 333-85846 - Apr. 8) (BR. 06) S-11 WELLS REAL ESTATE INVESTMENT TRUST INC, 6200 THE CORNERS PARKWAY, SUITE 250, NORCROSS, GA, 30092, 7704497800 - 0 ($10,560.00) Debt Convertible into Equity, 0 ($3,458,400,000.00) Equity, (File 333-85848 - Apr. 8) (BR. 08) S-8 NEXIA HOLDINGS INC, 268 WEST 400 SOUTH, STE 300, SALT LAKE CITY, UT, 84101, 8015758073 - 20,000,000 ($1,200,000.00) Equity, (File 333-85852 - Apr. 8) (BR. 09) S-8 COHERENT INC, 5100 PATRICK HENRY DR, SANTA CLARA, CA, 95054, 4087644000 - 0 ($94,248,000.00) Equity, (File 333-85854 - Apr. 8) (BR. 36) S-8 MARTEK BIOSCIENCES CORP, 6480 DOBBIN RD, COLUMBIA, MD, 21045, 4107400081 - 1,682,000 ($50,670,250.00) Equity, (File 333-85856 - Apr. 8) (BR. 01) S-2 METROPOLITAN MORTGAGE & SECURITIES CO INC, 601 W. 1ST AVENUE, DEPT 115000, SPOKANE, WA, 99201-5015, 5098383111 - 0 ($145,000,000.00) Equity, (File 333-85858 - Apr. 8) (BR. 07) S-8 OXIGENE INC, 321 ARSENAL STREET, WATERTOWN, MA, 02472, 6176737800 - 345,053 ($714,260.00) Equity, (File 333-85860 - Apr. 8) (BR. 01) S-3 WATTS INDUSTRIES INC, 815 CHESTNUT ST, NORTH ANDOVER, MA, 01845, 9786881811 - 1,200,000 ($19,350,000.00) Equity, (File 333-85862 - Apr. 8) (BR. 06) S-3 UNOCAL CORP, 2141 ROSECRANS AVE, STE 4000, EL SEGUNDO, CA, 90245, 3107267600 - 1,150,310 ($43,987,854.00) Equity, (File 333-85864 - Apr. 8) (BR. 04) S-8 ATLANTIS PLASTICS INC, 1870 THE EXCHANGE, STE 200, ATLANTA, GA, 30339, 8004977659 - 500,000 ($2,043,500.00) Equity, (File 333-85866 - Apr. 8) (BR. 06) 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 ------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP SERIES 2002-3 DE X 03/28/02 ADVANCED MARKETING SERVICES INC DE X X 04/08/02 AMBASSADORS INTERNATIONAL INC DE X X 04/04/02 APPLEBEES INTERNATIONAL INC DE X 04/05/02 ASPEON INC DE X X 03/22/02 AT&T WIRELESS SERVICES INC DE X X 04/08/02 BANC ONE FINANCIAL SERVICES HOME EQUI NY X X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 12/20/01 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS- NY X X 03/25/02 BEAR STEARNS AS BCK SEC TR 2001-AC1 A DE X X 03/25/02 BEAR STEARNS ASSET BACKED CERTIFICATE DE X X 03/25/02 BEAR STEARNS ASSET BACKED SEC TR ASSE X X 03/25/02 BEAR STEARNS ASSET BACKED SECURITIES NY X X 03/25/02 BEYOND COM CORP DE X X 03/20/02 BIOSPHERE MEDICAL INC DE X 04/08/02 BOOK CORP OF AMERICA UT X X 04/05/02 BUILDING MATERIALS HOLDING CORP DE X X 03/28/02 BULL RUN CORP GA X X 04/08/02 BURRARD TECHNOLOGIES INC NV X 12/18/01 AMEND CALPINE CORP DE X X 03/25/02 AMEND CARAUSTAR INDUSTRIES INC NC X X 04/02/02 CATALINA LIGHTING INC FL X X 04/08/02 CENTRA SOFTWARE INC DE X X 04/02/02 CHART INDUSTRIES INC DE X X 01/28/02 AMEND CHESAPEAKE CORP /VA/ VA X 04/08/02 CLICK2LEARN INC/DE/ DE X X 04/04/02 CNL RETIREMENT PROPERTIES INC MD X X 03/22/02 COMPAQ COMPUTER CORP DE X X 04/08/02 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 04/08/02 CONSTELLATION BRANDS INC DE X X 04/04/02 CONVERGE GLOBAL INC/CA UT X X X X 04/08/02 CPI CORP DE X 04/04/02 CREATIVE BEAUTY SUPPLY INC NJ X 03/04/02 AMEND CSX TRADE RECEIVABLES CORP DE X X 03/25/02 CYTOMEDIX INC DE X X 04/08/02 D G JEWELRY INC A6 X 03/12/02 DOUBLE EAGLE PETROLEUM CO MD X X 04/08/02 DSP GROUP INC /DE/ DE X X 04/05/02 E PERCEPTION INC NV X X 01/24/02 AMEND E TRADE BANK ARM TRUST MORTGAGE PASS DE X X 03/25/02 EMERGENT FINANCIAL GROUP INC DE X 04/03/02 EMERGISOFT HOLDING INC NV X 03/31/02 EXPRESSIONS GRAPHICS INC NV X X 03/23/02 FIREBRAND FINANCIAL GROUP INC DE X 03/28/02 FIRST CENTURY BANKSHARES INC WV X X 04/04/02 FIRST FINANCIAL BANCORP /CA/ CA X 04/04/02 FIRST UNION COMMERCIAL MORTGAGE SECUR NC X 03/18/02 FRIEDE GOLDMAN HALTER INC MS X X 04/05/02 FRIEDE GOLDMAN HALTER INC MS X X 04/05/02 GENAERA CORP DE X X 04/04/02 HAWKER PACIFIC AEROSPACE CA X X 04/04/02 HOMESTORE COM INC DE X 04/08/02 HOUSEHOLD INTERNATIONAL INC DE X 12/31/01 HRPT PROPERTIES TRUST MD X X 04/04/02 I MANY INC DE X X 03/28/02 IMPAC SECURED ASSETS CORP CA X 03/28/02 INDEVUS PHARMACEUTICALS INC DE X X 04/02/02 INDIAN RIVER BANKING COMPANY FL X X 04/08/02 INDIGINET INC/FL FL X X 06/30/02 AMEND INFODATA SYSTEMS INC VA X X 04/08/02 INTERGRAPH CORP DE X 04/08/02 INTERNATIONAL BUSINESS MACHINES CORP NY X 04/08/02 INTERNATIONAL SPEEDWAY CORP FL X 04/04/02 INTERNATIONAL WIRELESS INC MD X 03/29/02 IRON MASK MINING CO ID X X 03/31/02 JVWEB INC DE X X 03/22/02 KEYCORP STUDENT LOAN TRUST 2001-A X X 03/27/02 KNIGHT TRADING GROUP INC DE X X 04/04/02 LADENBURG THALMANN FINANCIAL SERVICES FL X X 04/05/02 LCA VISION INC DE X X 04/04/02 LEXINGTON PRECISION CORP DE X X 04/01/02 LIFEPOINT HOSPITALS INC DE X X 04/05/02 LONE STAR STEAKHOUSE & SALOON INC DE X X 04/02/02 LORAL SPACE & COMMUNICATIONS LTD D0 X 04/03/02 MASTR ASSET SECURITIZATION TRUST 2002 X X 03/25/02 MATLACK SYSTEMS INC DE X X 04/08/02 MAY DEPARTMENT STORES CO DE X 04/08/02 MED-DESIGN CORP DE X 04/08/02 MERRILL LYNCH MORTGAGE INV INC MOR PS NY X X 03/25/02 METROMEDIA FIBER NETWORK INC DE X X 04/08/02 MEVC DRAPER FISHER JURVESTON FUND I I DE X 04/05/02 MORGAN STANLEY CAPITAL I INC HOME EQ NY X X 03/25/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 04/05/02 NATIONAL MORTGAGE ACCEPTANCE CORP VA X X 04/08/02 NATIONAL PENN BANCSHARES INC PA X X 03/27/02 NETBANK INC GA X X 03/31/02 NETTAXI INC NV X X 04/08/02 NEW CENTURY FINANCIAL CORP DE X X 04/05/02 NU ELECTRIC CORP DE X 04/02/02 OCEANEERING INTERNATIONAL INC DE X 04/08/02 OMNI NUTRACEUTICALS UT X X 04/03/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X 03/25/02 PACIFICHEALTH LABORATORIES INC DE X X 04/01/02 PEETS COFFEE & TEA INC X X 04/03/02 PEREGRINE SYSTEMS INC DE X X 04/02/02 PETROQUEST ENERGY INC DE X 04/08/02 PLIANT CORP UT X X 04/05/02 POLO RALPH LAUREN CORP DE X 04/05/02 POLYONE CORP X X 04/08/02 POLYONE CORP X X 04/08/02 POWERCOLD CORP NV X 04/05/02 PRIMEDIA INC DE X X 04/04/02 AMEND PROXYMED INC /FT LAUDERDALE/ FL X X 04/05/02 PURCHASEPRO COM INC NV X X 11/29/01 AMEND PXRE GROUP LTD X X 04/05/02 QUICK MED TECHNOLOGIES INC NV X 03/24/02 RATEXCHANGE CORP DE X X 04/05/02 RELIANT ENERGY INC TX X X 04/05/02 RELIANT RESOURCES INC DE X X 04/05/02 SABRE HOLDINGS CORP DE X 04/04/02 SCIENCE APPLICATIONS INTERNATIONAL CO DE X X 04/08/02 SCOTTS LIQUID GOLD INC CO X X 04/08/02 SIERRA PACIFIC RESOURCES /NV/ NV X X 04/05/02 SMARTFORCE PUBLIC LTD CO X X 04/02/02 SPARTAN MOTORS INC MI X X 04/08/02 SPORTING MAGIC INC DE X X 02/01/02 AMEND STARWOOD HOTEL & RESORTS WORLDWIDE IN MD X X 04/05/02 STARWOOD HOTEL & RESORTS WORLDWIDE IN MD X X 04/08/02 STRUCTURED ASSET MORT INV MORT PASS T NY X X 03/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 03/25/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 03/25/02 STRUCTURED ASSET SEC CORP MORT PASS T X X 03/25/02 STRUCTURED ASSET SEC CORP PASS THROUG DE X X 03/25/02 STRUCTURES ASSET MORTGAGE INV INC MOR NY X X 03/25/02 SUN BANCORP INC PA X X 04/09/02 AMEND SUPERCONDUCTOR TECHNOLOGIES INC DE X 03/28/02 SUPERCONDUCTOR TECHNOLOGIES INC DE X 04/04/02 THC COMMUNICATION INC DE X X 01/22/02 AMEND TIMKEN CO OH X 04/08/02 TRAILER BRIDGE INC X 04/02/02 TRANSOCEAN SEDCO FOREX INC E9 X 04/05/02 TRANSPORTATION LOGISTICS INTL INC CO X 04/05/02 TTI HOLDINGS OF AMERICA CORP DE X 04/01/02 UNION BANKSHARES INC VT X 04/05/02 UNIVERSAL AUTOMOTIVE INDUSTRIES INC / DE X 04/05/02 UNIVERSAL ICE BLAST INC NV X 04/02/02 UNOCAL CORP DE X 04/08/02 USURF AMERICA INC NV X 04/05/02 VIANT CORP CA X X 04/05/02 VITAL SIGNS INC NJ X X 03/28/02 VSOURCE INC DE X X 04/03/02 WELLS FARGO ASSET SEC CORP MORT PASS NY X X 03/25/02 WELLS FARGO ASSET SECURITIES CORP MOR DE X X 03/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 03/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 03/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 03/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 03/25/02 WELLS FARGO MORTGAGE BACKED SECURITIE NY X X 03/25/02 WHY USA FINANCIAL GROUP INC NV X 02/21/02 AMEND XM SATELLITE RADIO HOLDINGS INC DE X 04/05/02