SEC NEWS DIGEST Issue 2002-61 March 29, 2002 COMMISSION ANNOUNCEMENTS SEC TO PREPARE ENVIRONMENTAL ASSESSMENT The Commission is preparing an environmental assessment of its planned lease of approximately 650,000 square feet of office space at Station Place, a project being developed adjacent to Union Station by Louis Dreyfus Properties, LLC. The environmental assessment is being prepared pursuant to the National Environmental Policy Act and National Historic Preservation Act. The SEC is publishing a notice in the Federal Register seeking comment on the potential environmental impacts of the proposed lease. Interested local individuals, groups, and agencies have already been directly solicited for comment. (Rel. 34-45668) ENFORCEMENT PROCEEDINGS SEC FILES ACTIONS AGAINST PICTURETEL CORP. AND THREE INDIVIDUALS IN MULTI- MILLION DOLLAR FINANCIAL FRAUD On March 28, the Commission filed a civil injunctive action against Leonard J. Guida of Sudbury, Massachusetts, the former Vice President of Finance, Worldwide Sales and Service for PictureTel Corp.'s sales department, alleging that Guida orchestrated a $12 million fraud at PictureTel by negotiating, approving and recording revenue from sales transactions for which the purported customers had no obligation to pay. The complaint alleges that because of Guida's conduct, PictureTel materially overstated its revenues from the third quarter of 1996 through the second quarter of 1997. Guida agreed, without admitting or denying the Commission's allegations, to pay a civil penalty of $50,000, to disgorge his 1996 annual bonus of $13,500 plus prejudgment interest, postjudgment interest of $894.59, and to the entry of a permanent injunction prohibiting him from further violations of the antifraud, public company reporting, record-keeping and internal controls provisions of the federal securities laws. According to the Commission's complaint, Guida entered into a series of transactions involving undisclosed side agreements which provided that the customers had no firm commitment to pay. The Commission further alleged that after improperly causing PictureTel to recognize revenue from certain of these purported sales, Guida falsely told the company's auditors that the transactions would be paid. The Commission alleges that this statement was not true because the PictureTel customers had no obligation to pay unless the goods were sold through to end users or involved other significant contingencies. According to the Commission's complaint, PictureTel materially overstated its revenues from the third quarter of 1996 through the second quarter of 1997 by approximately $17.8 million, of which approximately $12 million was attributable to Guida's conduct. The Commission's complaint alleges that Guida violated the antifraud provisions of the federal securities laws, including Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 and Rules l0b-5, 13b2-1, and 13b2-2 thereunder. In addition, the complaint alleges that Guida aided and abetted PictureTel's violations of the public company reporting, record-keeping and internal controls provisions of the federal securities laws, including 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. The Commission also instituted settled cease-and-desist proceedings against PictureTel and Les B. Strauss, the company's former CFO. The Commission's Order found that PictureTel's filings with the Commission were materially false and misleading from the third quarter of 1996 through the second quarter of 1997. In its Order, the Commission also found that Strauss failed to devise or maintain an adequate system of internal accounting controls at PictureTel by, among other things, eliminating the important segregation of duties between the company's sales and accounting functions and vesting unchecked authority in Guida. Without admitting or denying the Commission's findings, PictureTel and Strauss consented to the entry of the Order, which prohibits future violations of the public company reporting, record-keeping and internal controls provisions of the federal securities laws. In a companion civil action filed in the United States District Court for the District of Massachusetts, which alleged facts similar to the findings in the Commission's Order, Strauss consented to pay a $30,000 civil penalty. In another related matter, the Commission instituted a settled cease-and- desist proceeding against David T. Dodge, the general manager of a leasing company customer. The Commission's Order found that Dodge participated in Guida's scheme by negotiating undisclosed side agreements that relieved his leasing company of any obligation to pay PictureTel unless the goods were sold through to end users. In addition, the Commission's Order found that Dodge assisted Guida's efforts to conceal the scheme by misleading PictureTel's outside auditors about his company's payment obligations for transactions that PictureTel had booked as accounts receivable at the end of 1996. Dodge's statements to the auditors were misleading because his company did not have a firm commitment to pay PictureTel for a substantial portion of the receivable balance. Without admitting or denying the Commission's findings, Dodge consented to the entry of the Order which prohibits him from committing or causing any future violations of the antifraud, public company reporting, record-keeping and internal controls provisions of the federal securities laws, including Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(5) of the Exchange Act, and Rules l0b-5, 13a-1, 13a-13, 12b- 20, 13b2-1, and 13b2-2 thereunder. [SEC v. Leonard J. Guida, United States District Court for the District of Massachusetts, CA. No. 02-CV- 10575-RGS; SEC v. Les B. Strauss, United States District Court for the District of Massachusetts, CA. No. 02-CV-10576-REK] (Rels. 34-45665; AAER-1536; File No. 3-10743; 34-45666; AAER-1537; File No. 3-10744; LR- 17448) FORMER HEDGE FUND MANAGER AND CHICAGO BOARD OPTIONS EXCHANGE TRADER EDWARD JUNG BARRED FROM ASSOCIATION WITH ANY BROKER, DEALER OR INVESTMENT ADVISER; REGISTRATION OF HIS BROKER-DEALER, E. THOMAS JUNG PARTNERS, LTD., REVOKED On March 28, the Commission barred Edward Thomas Jung of Chicago, Illinois, from association with any securities broker or dealer or investment adviser and revoked the registration of his broker-dealer, E. Thomas Jung Partners, Ltd., d/b/a ETJ Partners, Ltd., pursuant to an order instituting and simultaneously settling public administrative proceedings against them. Jung was a trader at the Chicago Board Options Exchange and manager of the Strategic Income Fund hedge fund. ETJ Partners was a market-maker at the CBOE. The administrative proceedings were based upon the entry of an order of permanent injunction against Jung and ETJ Partners, entered by their consent, in a civil fraud case filed by the Commission in federal court in Chicago, Illinois. That order enjoined Jung and ETJ Partners from future violations of the antifraud provisions of the federal securities laws. The Commission's complaint in that action alleged that Jung and ETJ Partners engaged in a scheme to defraud investors in the Strategic Income Fund by, among other things, misappropriating investor assets to pay the expenses of ETJ Partners and to collateralize Jung's personal trading, resulting in the loss of more than $21 million invested by 60 investors. (Rels. 34- 45669; IA-2025; File No. 3-10745) NEW ENERGY AND ITS SECRETARY/TREASURER, AS WELL AS MAGNUM FINANCIAL GROUP AND ITS PRESIDENT, ENJOINED IN CONNECTION WITH MANIPULATION SCHEME OVER THE INTERNET The Commission announced that on February 19, 2002, New Energy Corp. (New Energy) and its largest shareholder, Tor Ewald (Ewald), were permanently enjoined from future violations of the antifraud provisions of the federal securities laws. Ewald, age 36, of La Jolla, California, is also the Secretary and Treasurer of New Energy. In addition, on February 22, 2002, the Court indefinitely extended an asset freeze previously entered against defendants Marcelino Colt (Colt), a Panamanian citizen residing in Panama and Mexico, who claims to be an investment banker; and Geneva Financial Ltd. (Geneva), a Nevis corporation, which purports to be an international investment banker. Thereafter, on February 27, 2002, Magnum Financial Group, LLC, dba Stratos Research LLC (Magnum), a California limited liability company that provides public and investor relations services, and Magnum's president, Michael S. Manahan, age 46, of Harbor City, California, were also permanently enjoined from future violations of the antifraud provisions of the federal securities laws. The Commission's complaint, filed on February 1, 2002, alleges that New Energy and Ewald were part of a "pump and dump" scheme to manipulate New Energy's stock price during a one-month period ending on January 18, 2002, when the Commission suspended trading. On February 1, 2002, the Commission filed an emergency action to halt the ongoing scheme. The Court issued a temporary restraining order the same day. The Commission's complaint alleges that Colt orchestrated the manipulative scheme, including the hiring of Magnum to post a false and misleading buy recommendation, the distribution of mass e-mails or spam containing fraudulent statements, issuing a false and misleading press release, and placing the release onto New Energy's website. These included, among other things, false and misleading claims regarding a relationship with the Los Angeles Department of Water and Power (DWP), negotiations with Coca-Cola bottlers in Mexico for thermal generators, and false claims that New Energy's partner had a "virtual lock" on the world market for high concentration (HCPV) solar cells. Pursuant to the consent of the parties, the Court entered a limited asset freeze against relief defendants York Chandler (Chandler) and Burke Maxfield (Maxfield). The Court froze $82,500 of Chandler's assets and $159,250 of Maxfield's assets pending the final resolution of the Commission's action against them. The amounts represent alleged ill- gotten gains from trading New Energy shares. The Judgments against New Energy, Ewald, Magnum and Manahan enjoin them from future violations of the antifraud provisions of the Securities Exchange Act of.1934, Section 10(b) and Rule l0b-5 thereunder. The Judgments additionally order that New Energy, Ewald, Magnum and Manahan shall pay any monetary relief in amounts subsequently to be determined by the Court. New Energy, Ewald, Magnum and Manahan consented to the entry of the Judgments without admitting or denying the Commission's allegations. [SEC v. New Energy Corp., et al., Civil Action No. CV-02- 989-MMM, CWx, C.D.Cal.] (LR-17446) HOLDING COMPANY RELEASE CONECTIV, INC., ET AL. A notice has been issued giving interested persons until April 19, 2002, to request a hearing on a proposal by Conectiv, Inc. (Conectiv), a registered holding company, and Conectiv's nonutility and utility subsidiaries to issue long-term and short-term debt; guarantee the obligations of direct and indirect subsidiaries; enter into hedging and anticipatory hedging transactions; modify certain previously approved financing parameters; and refund up to $150 million of long-term debt scheduled to mature in the authorization period. (Rel. 35-27512) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES The Cincinnati Stock Exchange filed pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 a proposed rule change (SR-CSE-2002-03) relating to changes in transaction fees and establishing a pilot revenue sharing program for trading in Nasdaq National Market Securities. Publication of the proposal is expected in the Federal Register during the week of April 1, 2002. (Rel. 34-45642) A proposed rule change filed by the American Stock Exchange to extend a pilot program relating to Amex Rule 126 (Size Precedence) (SR-Amex- 200222) 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 April 1, 2002. (Rel. 34-45658) A proposed rule change and Amendment No. 1 thereto filed by the National Association of Securities Dealers (SR-NASD-2002-38) relating to the replacement of an arbitrator upon disqualification or other disability of an arbitrator under Rule 10313 of the Code of Arbitration Procedure 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 April 1, 2002. (Rel. 34-45663) A proposed rule change, as amended by Amendment No. 1 thereto, filed by the Philadelphia Stock Exchange (SR-Phlx-2002-20) extending its participation in the Interim Intermarket Linkage Program has become immediately 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 April 1, 2002. (Rel. 34-45667) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change and Amendment Nos. l and 2 to the proposed rule change (SR-Amex-2001-72) submitted under Rule 19b-4 by the American Stock Exchange to eliminate position and exercise limits for certain qualified hedge strategies. (Rel. 34-45650) PROPOSED RULE CHANGES The Municipal Securities Rulemaking Board filed a proposed rule change (SR MRSB-2002-03) relating to professional qualifications of Municipal Fund Securities Limited Principals, pursuant to MSRB Rule G-3. Publication of the proposal is expected in the Federal Register during the week of April 1, 2002. (Rel. 34-45652) The American Stock Exchange filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Amex-2002-23) to make permanent a pilot program under Amex Rule 126(g), Commentary .01 relating to size precedence. Publication of the notice in the Federal Register is expected during the week of April 1, 2002. (Rel. 34-45660) DELISTING An order has been issued granting the application of the Chicago Stock Exchange to strike from listing and registration Enron Corp., Common Stock, no par value, and Cumulative Second Preferred Convertible Stock, no par value, effective March 29, 2002. (Rel. 34-45664) 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-1 MORGAN STANLEY CHARTER MSFCM LP, 1221 AVE. OF THE AMERICAS, 23RD FL., NEW YORK, NY, 10020, 3,000,000 ($51,780,000.00) Limited Partnership Interests, (File 333-85074 - Mar. 28) (BR. 08) S-1 MORGAN STANLEY CHARTER GRAHAM LP/, 1221 AVE. OF THE AMERICAS, 23RD FLOOR, NEW YORK, NY, 10020, 2,000,000 ($26,160,000.00) Limited Partnership Interests, (File 333-85076 - Mar. 28) (BR. 08) S-1 MORGAN STANLEY CHARTER CAMPBELL LP, 3,000,000 ($30,000,000.00) Limited Partnership Interests, (File 333-85078 - Mar. 28) (BR. ) S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA, 95134, 4089431234 - 0 ($5,453,304.32) Equity, (File 333-85080 - Mar. 28) (BR. 03) S-3 PEETS COFFEE & TEA INC, 1400 PARK AVE, EMERYVILLE, CA, 94608, 5105942147 - 3,162,500 ($12.91) Equity, (File 333-85082 - Mar. 28) (BR. 04) S-3 ASSOCIATED AUTOMOTIVE GROUP INC, 1900 GLADES RD, SUITE 351, BOCA RATON, FL, 33431, 5613476398 - 1,323,931 ($4,064,468.00) Equity, (File 333-85092 - Mar. 28) (BR. 09) S-8 DOMINION RESOURCES INC /VA/, 120 TREDEGAR STREET, P O BOX 26532, RICHMOND, VA, 23219, 8048192000 - 1,000,000 ($64,080,000.00) Equity, (File 333-85094 - Mar. 28) (BR. 02) S-8 INTERACTIVE MULTIMEDIA NETWORK INC, 3163 KENNEDY BLVD, JERSEY CITY, NJ, 07306, 2012174137 - 400,000 ($112,000.00) Equity, (File 333-85096 - Mar. 28) (BR. 08) S-8 INTER TEL INC, 120 N 44TH ST, STE 200, PHOENIX, AZ, 85034-1822, 6023028900 - 2,004,161 ($34,170,945.05) Equity, (File 333-85098 - Mar. 28) (BR. 37) S-3 HERLEY INDUSTRIES INC /NEW, 10 INDUSTRY DR, LANCASTER, PA, 17603, 7173972777 - 0 ($71,225,250.00) Equity, (File 333-85104 - Mar. 28) (BR. 05) S-3 PRACTICEWORKS INC, 1765 THE EXCHANGE, SUITE 200, ATLANTA, GA, 30339, 0 ($34,442,500.00) Equity, (File 333-85106 - Mar. 28) (BR. 08) S-8 DEALCHECK COM INC, 65 QUEEN STREET WEST, SUITE 1905, TORONTO ONTARIO M5H, A6, 00000, 1,560,000 ($390,000.00) Equity, (File 333-85108 - Mar. 28) (BR. 08) S-8 BOSTON BEER CO INC, 75 ARLINGTON ST, BOSTON, MA, 02116, 6174821332 - 100,000 ($1,467,500.00) Equity, (File 333-85110 - Mar. 28) (BR. 02) S-8 BOSTON BEER CO INC, 75 ARLINGTON ST, BOSTON, MA, 02116, 6174821332 - 100,000 ($14,675,000.00) Equity, (File 333-85112 - Mar. 28) (BR. 02) S-8 PEMCO AVIATION GROUP INC, 12000 E 47TH AVENUE, SUITE 400 N, DENVER, CO, 80237, 3033716525 - 500,000 ($10,330,000.00) Equity, (File 333-85114 - Mar. 28) (BR. 05) S-1 CANARGO ENERGY CORP, 1580 GUINNESS HOUSE 727 AVENUE SW, CALGARY, ALBERTA CANADA, A0, T2P 0T5, 4037771185 - 0 ($1,523,925.00) Equity, (File 333-85116 - Mar. 28) (BR. 04) S-8 NORTHWEST BANCORP INC, LIBERTY & SECOND STS, WARREN, PA, 16365, 8147287260 - 800,000 ($9,273,878.00) Equity, (File 333-85118 - Mar. 28) (BR. 07) S-1 FIRST PACTRUST BANCORP INC, 610 BAY BLVD, CHULA VISTA, CA, 91910, 6196911519 - 4,099,750 ($40,997,500.00) Equity, (File 333-85120 - Mar. 28) (BR. ) S-4 MIRANT AMERICAS GENERATING LLC, 1155 PERIMETER CENTER WEST, ATLANTA, GA, 30338-4780, 6785795000 - 750,000 ($748,768,500.00) Non-Convertible Debt, (File 333-85124 - Mar. 28) (BR. 02) S-8 PROVIDENT FINANCIAL GROUP INC, ONE E FOURTH ST, CINCINNATI, OH, 45202, 5135792000 - 25,000 ($711,750.00) Equity, (File 333-85126 - Mar. 28) (BR. 07) S-8 PROVIDENT FINANCIAL GROUP INC, ONE E FOURTH ST, CINCINNATI, OH, 45202, 5135792000 - 500,000 ($14,235,000.00) Equity, 25,000,000 ($25,000,000.00) Other, (File 333-85128 - Mar. 28) (BR. 07) S-8 PICK UPS PLUS INC, 3532 IRVIN SIMPSON RD, MASON, OH, 45040, 5133984344 - 3,400,000 ($170,000.00) Equity, (File 333-85130 - Mar. 28) (BR. 04) S-8 SAFEWAY INC, 5918 STONERIDGE MALL RD, PLEASANTON, CA, 94588, 9254673000 - 700,000 ($30,947,000.00) Equity, (File 333-85132 - Mar. 28) (BR. 02) S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, PALO ALTO, CA, 94304, 4158571501 - 0 ($26,029,932.00) Equity, (File 333-85136 - Mar. 28) (BR. 03) S-8 FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 0 ($10,000,000.00) Equity, (File 333-85138 - Mar. 28) (BR. 05) S-3 ALLTEL CORP, ONE ALLIED DR, LITTLE ROCK, AR, 72202, 5019055616 - 5,000,000,000 ($5,000,000,000.00) Other, (File 333-85142 - Mar. 28) (BR. 37) S-3 LEAR CORP /DE/, 21557 TELEGRAPH RD, SOUTHFIELD, MI, 48034, 2484471500 - 0 ($269,600,000.00) Debt Convertible into Equity, (File 333-85144 - Mar. 28) (BR. 06) S-1 CECO ENVIRONMENTAL CORP, 505 UNIVERSITY AVE, STE 1400, TORONTO ONTARIO MSG, A6, 4165936543 - 0 ($7,881,207.00) Equity, (File 333-85146 - Mar. 28) (BR. 06) S-8 MORGAN STANLEY DEAN WITTER & CO, 1585 BROADWAY, NEW YORK, NY, 10036, 2127614000 - 1,000,000 ($55,570,000.00) Equity, (File 333-85148 - Mar. 28) (BR. 07) S-8 MORGAN STANLEY DEAN WITTER & CO, 1585 BROADWAY, NEW YORK, NY, 10036, 2127614000 - 5,000,000 ($277,850,000.00) Equity, (File 333-85150 - Mar. 28) (BR. 07) S-4 UNITED STATES STEEL CORP, 600 GRANT ST, ROOM 1500, PITTSBURGH, PA, 15219-2800, 415 433 2967 - 0 ($535,000,000.00) Other, (File 333-85152 - Mar. 28) (BR. 06) SB-2 LOCATEPLUS HOLDINGS CORP, 100 CUMMINGS CENTER, SUITE 235M, BEVERLY, MA, 01915, 978-921-2727 - 10,000,000 ($276.00) Equity, (File 333-85154 - Mar. 28) (BR. ) S-8 DEPARTMENT 56 INC, ONE VILLAGE PL, 6436 CITY W PKWY, EDEN PRAIRIE, MN, 55344, 6129445600 - 0 ($2,549,250.00) Equity, (File 333-85156 - Mar. 28) (BR. 06) S-8 SIMULA INC, 2700 NORTH CENTRAL AVE, STE 1000, PHOENIX, AZ, 85004, 6026314005 - 200,000 ($800,000.00) Equity, (File 333-85158 - Mar. 28) (BR. 06) S-3 QUESTCOR PHARMACEUTICALS INC, 26118 RESEARCH ROAD, HAYWARD, CA, 94545, 5107325551 - 4,467,087 ($8,018,421.17) Equity, (File 333-85160 - Mar. 28) (BR. 01) S-3 MERISTAR HOSPITALITY CORP, 1010 WISCONSIN AVENUE N W, WASHINGTON, DC, 20007, 9725506800 - 0 ($500,000,000.00) Other, (File 333-85162 - Mar. 28) (BR. 08) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ABN AMRO MORTGAGE CORP SERIES 2002-3 DE X 03/27/02 ABRAXAS PETROLEUM CORP NV X 03/28/02 ACCIDENT PREVENTION PLUS INC NV X X 03/25/02 ADELPHIA COMMUNICATIONS CORP DE X 03/27/02 AIRNET COMMUNICATIONS CORP DE X X 03/26/02 ALLETE INC MN X X 03/27/02 ALLTRISTA CORP IN X X 03/28/02 AMERICAN WATER WORKS CO INC DE X 03/28/02 ANDRX CORP /DE/ DE X X 03/28/02 AQUATIC CELLULOSE INTERNATIONAL CORP X 01/28/02 ARCH WIRELESS COMMUNICATIONS INC DE X X 03/28/02 ARCH WIRELESS INC DE X X 03/28/02 ATALANTA SOSNOFF CAPITAL CORP /DE/ DE X X 03/22/02 BAYLOR INDUSTRIES INC NV X X 03/18/02 BE INC CA X 03/15/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 03/21/01 BEAR STEARNS DEPOSITOR INC X X 03/28/02 BEARD CO /OK OK X 03/28/02 BENCHMARK TECHNOLOGY CORP TX X X 03/18/02 BRIGHAM EXPLORATION CO DE X X 03/27/02 BUDGET GROUP INC DE X X 03/20/02 CALLAWAY GOLF CO /CA DE X X 03/22/02 CCC GLOBALCOM CORP NV X 03/14/02 CDW COMPUTER CENTERS INC IL X 03/27/02 CECS CORP DE X 03/28/01 CENTEX CONSTRUCTION PRODUCTS INC DE X X 03/23/02 CENTEX CORP NV X X 03/23/02 CENTEX DEVELOPMENT CO LP DE X X 03/23/02 CENTRAL EUROPEAN DISTRIBUTION CORP DE X X 03/28/02 CHASE MANHATTAN HOME EQUITY LOAN TRUS NY X X 03/15/02 CHICAGO MERCANTILE EXCHANGE HOLDINGS DE X X 03/21/02 CITICORP MORTGAGE SECURITIES INC DE X 03/28/02 CITICORP MORTGAGE SECURITIES INC DE X 03/28/02 COMMUNITY FIRST BANKSHARES INC DE X X 03/27/02 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 03/28/02 COREL CORP A6 X X 03/14/02 COST U LESS INC WA X 03/21/02 COTTAGE INVESTMENTS INC NV X X 12/17/01 AMEND CRESTLINE CAPITAL CORP MD X X 03/27/02 CSS INDUSTRIES INC DE X X 03/15/02 CUMULUS MEDIA INC IL X X 03/28/02 CWMBS INC DE X 03/28/02 CWMBS INC DE X 03/28/02 CWMBS INC DE X 03/28/01 CWMBS INC DE X 03/28/02 CWMBS INC DE X 03/28/02 CWMBS INC DE X X 03/28/02 CYBERNET INTERNET SERVICES INTERNATIO DE X X 03/12/02 DIVERSIFIED RESOURCES GROUP INC X 03/27/02 AMEND DIVINE INC DE X 06/19/01 AMEND EL PASO CORP/DE DE X X 03/26/02 ELITE LOGISTICS INC ID X X 03/28/02 EMCORE CORP NJ X X 03/14/02 ENERGY PARTNERS LTD DE X X 01/15/02 AMEND ENTERGY ARKANSAS INC AR X X 03/26/02 FEDERAL REALTY INVESTMENT TRUST MD X 03/22/02 FIRST HORIZON ASSET SECURITIES INC DE X X 03/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 03/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 03/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 03/28/02 FIRST SOUTH BANCORP INC /VA/ VA X X 03/28/02 FRIEDMAN BILLINGS RAMSEY GROUP INC VA X X 03/22/02 GENCORP INC OH X X 03/26/02 GENERAL TELEPHONY COM INC NV X X 03/18/02 GENETRONICS BIOMEDICAL CORP X 03/28/02 AMEND GOLDEN EAGLE INTERNATIONAL INC CO X X X 03/22/02 GRAND CENTRAL FINANCIAL CORP DE X X 03/27/02 GRAPHIC PACKAGING INTERNATIONAL CORP CO X 02/19/02 GULFMARK OFFSHORE INC DE X 03/18/02 HELPMATE ROBOTICS INC CT X 03/18/02 HORIZON OFFSHORE INC DE X 03/28/02 HORIZON OFFSHORE INC DE X X 03/27/02 HUNTINGTON BANCSHARES INC/MD MD X X 03/27/02 HYBRID NETWORKS INC DE X 03/29/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 03/27/02 IDIAL NETWORKS INC NV X 03/22/02 IGO CORP X X 03/24/02 IMPAC MORTGAGE HOLDINGS INC MD X 03/27/02 INTEGRATED SPATIAL INFORMATION SOLUTI CO X 03/26/02 J A B INTERNATIONAL INC NV X 08/28/02 LANDRYS RESTAURANTS INC DE X X 03/28/02 LANDS END INC DE X 03/28/02 LENDINGTREE INC X X 03/28/02 LOTUS PACIFIC INC DE X X 03/27/02 AMEND MDU RESOURCES GROUP INC DE X 03/25/02 MERCADO INDUSTRIES INX NV X X 03/18/02 MERRILL LYNCH & CO INC DE X X 03/28/02 MERRILL LYNCH & CO INC DE X X 03/28/02 MERRILL LYNCH & CO INC DE X X 03/28/02 MERRILL LYNCH & CO INC DE X X 03/28/02 METRICOM INC / DE DE X X 03/20/02 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA X X 03/27/02 MILLENNIUM PHARMACEUTICALS INC DE X X 03/27/02 MSB FINANCIAL INC MD X X 03/15/02 MSU DEVICES INC DE X X 03/28/02 NATIONAL RURAL UTILITIES COOPERATIVE DC X 03/27/02 NATURAL SOLUTIONS CORP NV X 03/22/02 NATURAL SOLUTIONS CORP NV X 03/21/02 ND HOLDINGS INC ND X 01/15/02 AMEND NEXPUB INC DE X X X X 03/31/02 NOVASTAR MORTGAGE FUNDING CORP DE X 03/27/02 NOVASTAR MORTGAGE FUNDING TRUST SERIE X X 11/26/01 NOVASTAR MORTGAGE FUNDING TRUST SERIE X X 12/26/01 NTL INC/DE/ DE X X 03/28/02 ODETICS INC DE X X 03/19/02 ORYX TECHNOLOGY CORP DE X X 03/28/02 PACIFICNET COM INC DE X X X 03/25/02 PENN VIRGINIA CORP VA X X 03/27/02 PENTON MEDIA INC DE X X 03/28/02 PEOPLES FINANCIAL CORP INC /PA/ PA X X 12/31/01 POINT THERAPEUTICS INC DE X X X 03/15/02 POLYMER GROUP INC DE X 03/26/02 PROXIM CORP DE X X 03/21/02 RELIANT RESOURCES INC DE X 09/26/01 AMEND RHYTHMS NET CONNECTIONS INC DE X X 03/01/02 SEACOAST BANKING CORP OF FLORIDA FL X X 03/28/02 SENSE TECHNOLOGIES INC X X X 03/20/02 SHIPROCK INC NV X X 03/18/02 SONUS NETWORKS INC DE X X 03/27/02 SPHERIX INC DE X 03/20/02 SPINNAKER EXPLORATION CO DE X X 03/27/02 STILWELL FINANCIAL INC DE X X 03/28/02 TAG IT PACIFIC INC DE X X 03/28/02 THERMA WAVE INC DE X 01/16/02 AMEND TRANSOCEAN SEDCO FOREX INC E9 X 03/28/02 TRAVIS BOATS & MOTORS INC TX X X 03/13/02 TRIMBLE NAVIGATION 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