SEC NEWS DIGEST Issue 2002-66 April 5, 2002 ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD FINDINGS THAT HOWARD PERLES AND LAURENCE GELLER AIDED AND ABETTED A MANIPULATION BY ENGAGING IN PREARRANGED, MATCHED TRADES AND FAILING TO COMPLY WITH BOOKS AND RECORDS REQUIREMENTS The Commission has sustained in part the NASD's findings that Howard R. Perles, formerly associated with I. A. Rabinowitz, a former NASD member firm, and Laurence M. Geller, a registered representative with Wien Securities, Corp., a member firm of the NASD, aided and abetted a fraudulent manipulation of the common shares of Interiors, Inc. by VTR Capital, Inc., another NASD member firm. The Commission found that from April 19 through April 21, 1995, Perles and Geller engaged in a series of back and forth transactions almost exclusively with VTR that inflated Interiors' reported volume creating an artificial appearance of market activity. The Commission also found that during the trading day, Perles and Geller created short positions in Interiors shares far in excess of the preceding day's trading volume. Although the quoted spread for Interiors shares ranged between 12.5 cents and 25 cents, Perles and Geller traded Interiors shares with VTR at prices that differed by pennies only. The Commission found that Perles' and Geller's transactions with VTR were prearranged, matched trades inconsistent with just and equitable principles of trade. The Commission further found that Perles and Geller failed to record the terms and conditions of their illicit transactions with VTR on the books and records of their respective firms in violation of the books and records requirements of the Commission and NASD rules. The Commission sustained the NASD's sanctions. The NASD fined Perles $25,000, suspended him for one year from association with any member in any capacity, and required him to requalify as a general securities representative. Geller was fined $25,000, suspended for 30 days and also required to requalify. (Rel. 34- 45691; File No. 3-10288) COMMISSION SANCTIONS FU-SUNG PETER WU The Commission found that it was in the public interest to order Fu- Sung Peter Wu to cease and desist from committing or causing any violation of or future violation of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, to bar Fu-Sung Peter Wu from association with a broker or dealer, provided that he can apply for association after two years, and to impose on Wu a civil money penalty of $50,000. The Commission found that Wu, by making price predictions to customers without a reasonable basis and by falsely representing to a broker- dealer that he had customers to pay for securities ordered, had engaged in fraudulent conduct in connection with the offer and sale of securities. (Rel. 34-45694; File No. 3-9024) UNITED STATES DISTRICT COURT ENTERS $33 MILLION DEFAULT JUDGMENT AGAINST DEFENDANTS MIKO LEUNG AND SIT WA LEUNG On March 26, 2002, the United States District Court for the District of Columbia entered final judgments by default against defendants Miko and Sit Wa Leung. The Honorable Thomas F. Hogan, United States District Court Judge, ordered Miko and Sit Wa Leung to pay, jointly and severally, $16.24 million disgorgement plus prejudgment interest of $17.235 million. In addition, Judge Hogan ordered each defendant to pay a $100,000 civil money penalty, permanently enjoined each of them from future violations of the antifraud and other provisions of the federal securities laws, and barred both defendants from acting as officers or directors of public companies. The Commission filed its complaint on January 29, 1998, alleging that-between 1990 and 1993-Miko Leung, the former chairman and president of MTC Electronic Technologies, Inc.-whose common stock traded on Nasdaq-and his brother Sit Wa Leung, the former secretary and a board member of MTC, engaged in a false disclosure and accounting fraud scheme that culminated in a "pump and dump" stock manipulation. The Commission's complaint further alleged that the Leung brothers unjustly enriched themselves by more than $16 million by selling MTC stock, including approximately 1.5 million shares they had stolen from MTC. The defendants eluded service of process for three years and, on February 6, 2001, the court granted the Commission's motion to serve them by publication notice in Hong Kong. After the Commission served the defendants, they failed to answer the complaint. The court found that by virtue of their failure to defend, the defendants are deemed to have admitted the allegations in the Commission's complaint, and found that they violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. The court also found that, in addition to his violations of the antifraud provisions of the federal securities laws, defendant Miko Leung violated Exchange Act Section 13(b)(5) and Exchange Act Rules 13b2-1 and 13b2-2. See also Litigation Release No. 15631 (January 29, 1998). [SEC v. Miko Leung (a/k/a Leung Ming Kang) and Sit Wa Leung, Civil Action No. 98-0233 (TFH) (D. D.C.)] (LR-17458; AAE Rel. 1540) SEC OBTAINS EMERGENCY COURT ORDERS HALTING $88 MILLION NATIONWIDE PRIME BANK SCAM AND PRESERVING ASSETS On April 3, Judge Earl H. Carroll of the United States District Court for the District of Arizona granted the Commission's request for various emergency orders to halt a nationwide, $88 million investment scam, and to recover and conserve assets for the benefit of victims of the scam. The Commission alleges in its complaint that the defendants, operating from Phoenix, Chicago and Houston, sold several bogus investments, including "prime" bank investments, treasury futures pools and certificates of deposit (CDs) from a purported Native American chartered "bank." The Court entered ex parte orders freezing assets, and requiring an accounting, the preservation of documents, and the repatriation of funds and assets that had been moved offshore. The Court also appointed a receiver to recover and conserve assets for the benefit of investors. It its complaint, the Commission alleges that the U.S. Reservation Bank & Trust (USRBT), a non-incorporated entity granted business charters by the Rosebud Sioux based in Scottsdale, Arizona, and Global- Link Capital Markets, Ltd. (Global-Link), a limited liability company headquartered in Houston, Texas, raised $78 million through sales of an investment combining a "Leveraged Profit Sharing Agreement" (LPSA) with an uninsured CD issued by USRBT. According to the Commission, USRBT and Global-Link officials promised investors that their funds, while held in "safekeeping," would be "leveraged" to fund participation in "trading programs" involving United States Treasury notes and "bank debentures." The Commission further alleges that USRBT and Global-Link officials promised the investors that they would receive the greater of 20% of the profits from the trading programs or the interest on the USRBT-issued CD. The Commission claims in its complaint that, in reality, USRBT never leveraged any investor funds for investment in trading programs; rather, USRBT used most of the investor funds to make "Ponzi" payments of interest and principal to the investors. In addition, according to the Commission, USRBT officials misused investor funds by spending over $4 million on salaries, commissions and personal and business expenses, including a horse racing stable and a purported casino development company. The Commission also alleges in its complaint that in a USRBT spin-off scheme, Higher Investments Technologies, Inc. (HIT), a Nevada corporation headquartered in Mundelein, Illinois, fraudulently raised over $10.6 million from at least six investors or investment groups. According to the Commission, HIT offered investors an opportunity to participate in its "Capital Management Agreements" (CMAs), in which HIT, according to its representations to investors, would use their funds to trade in Treasury bond futures and then share the profits with the investors. In reality, HIT used only about 10% of the investors' funds for such trading, and HIT misused most of the remaining investors' funds by spending them on its office expenses, including rent, supplies, computers, office repairs, payroll, and travel, according to the complaint. The Commission staff coordinated its investigation and lawsuit with several other federal and state law enforcement agencies. The U.S. Attorney's Offices in Phoenix and Cincinnati filed civil forfeiture actions against USRBT and HIT, and seized $20 million and $10.2 million, respectively, against the two entities. The Commission, in its action, is seeking, among other things, recovery of additional funds from these and other entities and individuals involved in the scheme. In its action, the Commission named as defendants, in addition to USRBT, Global-Link and HIT, the following individuals, and characterized them in its complaint as follows: Edward J. Driving Hawk, Sr., a resident of Mesa, Arizona, is the president of USRBT, which he has controlled since at least May 1992. He is the father of Leo and James Driving Hawk. Leo R. Driving Hawk, Sr., a resident of Higley, Arizona, is currently listed as vice president of USRBT, with which he has been associated since at least November 2001. John M. Adams, a resident of Mundelein, Illinois, was the vice president of USRBT from at least 1996 to December 2001. While still associated with USRBT, Adams began raising money for HIT. Edmund J. Smedley, a resident of Harrison, Ohio, has been associated with USRBT since at least January 1996. Smedley is currently a vice president of USRBT. Kenneth S. Harrison, a resident of Houston, Texas, is the registered agent for Global-Link. Through his association with Global-Link, Harrison solicited investors for USRBT. William J. Herisko, a resident of Palm Springs, California, solicited USRBT investors through his association with Global-Link. Thomas T. Emerton, III, a resident of Palm Springs, California, is a principal of Global-Link. Emerton frequently communicated with USRBT investors under the auspices of Global-Link. The Commission also named in its complaint as relief defendants, alleging they were unjustly enriched through receipt of investor funds, the following entities and individuals: Oyate Development, Inc., Oyate Enterprises, L.L.P., Oyate Trust, River Walk Development, L.L.C., Ringthunder Racing Stables, Inc., HPHC, Inc., James R. Driving Hawk and Orpha Jane Johnston (collectively, relief defendants). In granting the Commission's ex parte motion, the Court also froze investor funds in the possession or control of the relief defendants. In its complaint, the Commission alleges that defendants USRBT and HIT 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 also alleges that defendants Global-Link, Edward Driving Hawk, Leo Driving Hawk, Adams, Smedley, Harrison, Herisko and Emerton violated Sections 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. In addition to the emergency relief granted by the Court, the Commission seeks, as against the defendants, preliminary and permanent injunctions, disgorgement plus prejudgment interest, and civil money penalties. The Commission is also seeking disgorgement from the relief defendants. Unscrupulous promoters continue to victimize the public with Prime Bank schemes. Accordingly, investors are advised to access the Commission's "Prime Bank" Investor Alert, which provides tips on how to avoid being a victim of these scams. The investor alert can be found on the Commission's web site, at www.sec.gov/divisions/enforce/primebank.shtml. The Commission acknowledges the assistance and cooperation of several other government agencies in this matter, including the, the U.S. Customs Service in Phoenix, the U.S. Attorney's Offices in Phoenix and Cincinnati, and the Texas State Securities Board. [SEC v. U.S. Reservation Bank & Trust, et al., USDC, District of Arizona, Phoenix Division, Civil Action No. 02-CV-581] (LR-17459) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2002-19) filed by the Philadelphia Stock Exchange relating to increasing the amount of the late charge imposed pursuant to Exchange Rule 50 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 8. (Rel. 34-45681) A proposed rule change (SR-CBOE-2002-14) filed by the Chicago Board Options Exchange to permit Designated Primary Market Makers to issue refunds of marketing fee proceeds to market makers on a pro rata basis 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 8. (Rel. 34-45688) PARTIAL ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted partial accelerated approval to a proposed rule change, Amendment No. 1, and Amendment No. 2 thereto submitted by the New York Stock Exchange instituting a pilot program relating to amendments to the initial listing standards and allocation policy for closed-end management investment companies registered under the Investment Company Act (SR-NYSE-2001-45). Publication of the proposal is expected in the Federal Register during the week of April 8. (Rel. 34-45684) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until April 26 to comment on the application for withdrawal from listing and registration (Aon Corporation, Common Stock, $1.00 par value) on the Chicago Stock Exchange. (Rel. 34-45695) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-3 DOCENT INC, 2444 CHARLESTON RD, SUITE 444, MOUNTAIN VIEW, CA, 94043, 6509349500 - 0 ($869,998.26) Equity, (File 333-85494 - Apr. 4) (BR. 08) S-4 EXELON GENERATION CO LLC, 0 ($700,000,000.00) Other, (File 333-85496 - Apr. 4) (BR. ) S-3 GENOME THERAPEUTICS CORP, 1OO BEAVER ST, WALTHAM, MA, 02453, 7813982300 - 0 ($16,752,937.00) Equity, (File 333-85500 - Apr. 4) (BR. 01) S-8 HOMEGATE CORP, 4714 GREENVILLE AVENUE, DALLAS, TX, 75206, 9728416929 - 10,000 ($5,000.00) Equity, (File 333-85502 - Apr. 4) (BR. 04) S-8 NEWSGURUS COM INC, 1460 PANDOSY STREET SUITE 106, KELLOWNA BRITISH COLUMBIA V1Y 1PS, BRITISH COLUMBIA, A1, 00000, 2508688177 - 1,000,000 ($340,000.00) Equity, (File 333-85504 - Apr. 4) (BR. 05) S-8 WASATCH PHARMACEUTICAL INC, 310 EAST 4500 SOUTH, SUITE 450, MURRY, UT, 84107, 801-266-4668 - 36,000,000 ($540,000.00) Equity, (File 333-85506 - Apr. 4) (BR. 02) S-8 EDELBROCK CORP, 2700 CALIFORNIA STREET, TORRANCE, CA, 90503, 3107812222 - 100,000 ($1,325,000.00) Equity, (File 333-85508 - Apr. 4) (BR. 05) S-8 WASATCH PHARMACEUTICAL INC, 310 EAST 4500 SOUTH, SUITE 450, MURRY, UT, 84107, 801-266-4668 - 50,800,000 ($508,000.00) Equity, (File 333-85510 - Apr. 4) (BR. 02) S-8 GLOBAL TELEPHONE COMMUNICATION INC /NV/, SUITE 1800 10 SOUTH RIVERSIDE PLAZA, CHICAGO, IL, 60606, 8779014824 - 0 ($17,000.00) Equity, (File 333-85512 - Apr. 4) (BR. 06) S-8 KV PHARMACEUTICAL CO /DE/, 2503 S HANLEY RD, ST LOUIS, MO, 63144, 3146456600 - 3,750,000 ($108,636,875.00) Equity, (File 333-85516 - Apr. 4) (BR. 01) S-8 EDUCATION MANAGEMENT CORPORATION, 300 SIXTH AVENUE, PITTSBURGH, PA, 15222, 4125620900 - 0 ($39,555,000.00) Equity, (File 333-85518 - Apr. 4) (BR. 08) S-3 VIASAT INC, 6155 EL CAMINO REAL, CARLSBAD, CA, 92009, 760-476-2200 - 407,117 ($5,536,791.20) Equity, (File 333-85522 - Apr. 4) (BR. 37) S-8 UNIGENE LABORATORIES INC, 110 LITTLE FALLS RD, FAIRFIELD, NJ, 07004-2193, 9738820860 - 3,770,000 ($2,193,450.00) Equity, (File 333-85524 - Apr. 4) (BR. 01) S-8 BANKUNITED FINANCIAL CORP, 255 ALHAMBRA CIRCLE, CORAL GABLES, FL, 33134, 3055692000 - 0 ($104,176,000.00) Equity, (File 333-85526 - Apr. 4) (BR. 07) S-3 RF MICRO DEVICES INC, 7628 THORNDIKE ROAD, GREENSBORO, NC, 27409-9421, 3369317042 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-85530 - Apr. 4) (BR. 36) S-3 UNIVIEW TECHNOLOGIES CORP, 17300 NORTH DALLAS PARKWAY, STE 2050, DALLAS, TX, 75248, 2145038880 - 4,000,000 ($2,680,000.00) Equity, (File 333-85532 - Apr. 4) (BR. 02) S-8 ECONNECT, 2500 VIA CABRILLO MARINA SUITE 112, SAN PEDRO, CA, 90731, 3105414393 - 0 ($15,600.00) Equity, (File 333-85534 - Apr. 4) (BR. 08) S-3 AGCO CORP /DE, 4205 RIVER GREEN PKWAY, DULUTH, GA, 30096, 7708139200 - 0 ($21,366,254.64) Equity, (File 333-85536 - Apr. 4) (BR. 36) S-8 WORLD WIDE VIDEO INC, 102A N. MAIN STREET, CULPEPPER, VA, 22701, 5407277551 - 6,000,000 ($600,000.00) Equity, (File 333-85538 - Apr. 4) (BR. 09) S-3 WILLIAMS COMPANIES INC, ONE WILLIAMS CTR, TULSA, OK, 74172, 9185732000 - 0 ($2,700,000,000.00) Other, (File 333-85540 - Apr. 4) (BR. 02) S-8 WILLIAMS COMPANIES INC, ONE WILLIAMS CTR, TULSA, OK, 74172, 9185732000 - 0 ($237,500,000.00) Equity, (File 333-85542 - Apr. 4) (BR. 02) S-8 ARRIS GROUP INC, 11450 TECHNOLOGY CIRCLE, DULUTH, GA, 30097, 6784732000 - 0 ($57,390,000.00) Equity, (File 333-85544 - Apr. 4) (BR. 37) S-8 WILLIAMS COMPANIES INC, ONE WILLIAMS CTR, TULSA, OK, 74172, 9185732000 - 0 ($561,929,370.00) Equity, (File 333-85546 - Apr. 4) (BR. 02) S-3 ORCHID BIOSCIENCES INC, 303 COLLEGE RD. EAST, PRINCETON, NJ, 08540, 6097502200 - 5,179,738 ($12,431,371.20) Equity, (File 333-85550 - Apr. 4) (BR. 01) S-8 AQUATIC CELLULOSE INTERNATIONAL CORP, 3704 32ND STREET, SUITE 301, VERNON BC CANADA, A1, V1T 5N6, 8005656544 - 5,200,000 ($260,000.00) Equity, (File 333-85552 - Apr. 4) (BR. 06) S-3 TETRA TECH INC, 670 N ROSEMEAD BOULEVARD, PASEDENA, CA, 91107-2190, 6263514664 - 0 ($5,509,370.00) Equity, (File 333-85554 - Apr. 4) (BR. 06) S-8 ACCESS POWER INC, 10033 SAWGRASS DR W, STE 100, PONTE VEDRA BEACH, FL, 32082, 9042732980 - 3,300,000 ($66,000.00) Equity, (File 333-85556 - Apr. 4) (BR. 37) S-8 TETRA TECH INC, 670 N ROSEMEAD BOULEVARD, PASEDENA, CA, 91107-2190, 6263514664 - 0 ($56,200,000.00) Equity, (File 333-85558 - Apr. 4) (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 X 03/28/02 AGCO CORP /DE DE X X 03/05/02 AMEND AGL RESOURCES INC GA X 03/28/02 AMANDA CO INC UT X X 03/26/02 AMR CORP DE X 04/04/02 ANC RENTAL CORP DE X X 04/04/02 ASPI EUROPE INC X X X 03/26/02 ASSET BACKED SECURITIES CORP DE X X 03/06/02 AMEND ASYST TECHNOLOGIES INC /CA/ CA X X 04/02/02 AUCTION ANYTHING COM INC DE X X X 03/21/02 AUDIOVOX CORP DE X 03/21/02 AXCESS INC/TX DE X X 03/20/02 BARRETT BUSINESS SERVICES INC MD X X 02/03/02 BAS SECURITIZATION LLC DE X X 04/04/02 BAY BANKS OF VIRGINIA INC VA X X 03/26/02 AMEND BEAR STEARNS ASSET BACKED SECURITIES DE X X 04/04/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 04/04/02 BEAZER HOMES USA INC DE X X 04/03/02 BEAZER HOMES USA INC DE X X 04/03/02 BICO INC/PA PA X 04/03/02 BROOKS AUTOMATION INC DE X 10/05/01 AMEND CAPITAL PACIFIC HOLDINGS INC DE X X 04/04/02 CENTEX HOME EQUITY LOAN TRUST 2002 B DE X X 04/03/02 CHANGE TECHNOLOGY PARTNERS INC DE X X 04/03/02 CHANGE TECHNOLOGY PARTNERS INC DE X X 04/03/02 CHESAPEAKE ENERGY CORP OK X 04/04/02 COGENT COMMUNICATIONS GROUP INC X X 04/04/02 COMMERCE GROUP INC /MA MA X 12/31/01 COMPASS BANCSHARES INC DE X X 04/04/02 COMPUTER MOTION INC DE X X X 04/03/02 CONNECTICUT BANCSHARES INC/DE DE X X 04/02/02 CONNECTICUT BANCSHARES INC/DE DE X X 04/02/02 CONSOLIDATED EDISON INC NY X X 04/03/02 CORPORATE OFFICE PROPERTIES TRUST MD X 03/05/02 CYBERTEL COMMUNICATIONS CORP NV X X 03/26/02 CYGNUS INC /DE/ DE X X 04/04/02 CYLINK CORP /CA/ CA X 04/03/02 DIAL CORP /NEW/ DE X X 04/04/02 DICE INC DE X X 04/03/02 DIGITAL BRIDGE INC NV X 04/04/02 DOLLAR GENERAL CORP TN X 04/04/02 ENTERASYS NETWORKS INC /DE/ DE X 04/01/02 ENTREPORT CORP FL X X 03/28/02 ENVIRONMENTAL SAFEGUARDS INC/TX NV X X 04/03/02 FARMSTEAD TELEPHONE GROUP INC DE X 04/03/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 04/04/02 AMEND FELCOR LODGING TRUST INC MD X X 04/04/02 FIRST CITIZENS BANC CORP /OH OH X X 04/01/02 FIRST CITIZENS BANC CORP /OH OH X X 04/01/02 FORWARD INDUSTRIES INC NY X X 04/04/02 GALEY & LORD INC DE X X 03/19/02 GE CAPITAL COMMERCIAL MORTGAGE CORP DE X X 04/04/02 GENESCO INC TN X 04/04/02 GLOBALSANTAFE CORP X X 04/04/02 GLYKO BIOMEDICAL LTD X X 04/02/02 GREATER BAY BANCORP CA X X X 04/03/02 GTECH HOLDINGS CORP DE X 04/02/02 GUARANTY FEDERAL BANCSHARES INC DE X X 03/26/02 HAWAIIAN ELECTRIC INDUSTRIES INC HI X 03/25/02 IDEXX LABORATORIES INC /DE DE X 03/29/02 IDIAL NETWORKS INC NV X 03/29/02 AMEND ILLINOIS POWER CO IL X X 03/15/02 INDYMAC ABS INC DE X 04/04/02 INDYMAC MBS INC X 03/28/02 INTERMEDIA COMMUNICATIONS INC DE X X 04/01/02 INTERNATIONAL BANCSHARES CORP TX X X 04/04/02 JONES LANG LASALLE INC MD X X 04/04/02 KROLL INC OH X X 04/01/02 LANDEC CORP \CA\ CA X X 03/28/02 LEHMAN ABS CORP GEN ELEC CAP SERVICES DE X X 04/02/02 LIGAND PHARMACEUTICALS INC DE X 04/04/02 LIMITED INC DE X X 03/21/02 MCM CAPITAL GROUP INC DE X X 04/04/02 MINNESOTA CORN PROCESSORS LLC CO X X 04/03/02 AMEND MKR HOLDINGS UT X X X 04/02/02 MONSANTO CO /NEW/ DE X X 04/04/02 MONSANTO CO /NEW/ DE X 04/04/02 AMEND MOORE CORPORATION LTD X 04/02/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 04/03/02 MSU DEVICES INC DE X X 04/04/02 MSU DEVICES INC DE X X 04/04/02 NATIONAL STEEL CORP DE X X 04/03/02 NEOSE TECHNOLOGIES INC DE X X 03/29/02 NEW FRONTIER MEDIA INC /CO/ CO X X 04/03/02 NEW WORLD RESTAURANT GROUP INC DE X X 04/04/02 NEWPOWER HOLDINGS INC DE X X 04/01/02 NORTEL NETWORKS CORP X X 04/04/02 NORTEL NETWORKS LTD X X 04/04/02 ON TECHNOLOGY CORP DE X X 04/01/02 ORIUS CORP FL X X 03/29/02 PACIFIC CAPITAL BANCORP /CA/ CA X X 03/29/02 PANERA BREAD CO DE X 04/04/02 PAWNBROKERS EXCHANGE INC UT X X X X 03/31/02 PENN NATIONAL GAMING INC PA X X 04/04/02 PHOTRONICS INC CT X X 04/04/02 PLANAR SYSTEMS INC OR X X 04/03/02 PNW CAPITAL INC DE X 04/05/02 PRECISION OPTICS CORPORATION INC MA X 04/03/02 PRIMEDIA INC DE X 04/04/02 PROVIDENCE & WORCESTER RAILROAD CO/RI RI X 04/04/02 RAMTRON INTERNATIONAL CORP DE X 03/28/02 RARE MEDIUM GROUP INC DE X X 04/04/02 RETRACTABLE TECHNOLOGIES INC TX X 04/03/02 SELECT COMFORT CORP MN X 04/03/02 SHOPKO STORES INC WI X X 03/27/02 SIERRA PACIFIC RESOURCES /NV/ NV X X 04/03/02 SMITH INTERNATIONAL INC DE X X 04/04/02 SONEX RESEARCH INC MD X 04/04/02 SOUTH FINANCIAL GROUP INC SC X X 03/21/02 SPECTRAFAX CORP FL X X 03/25/02 STC BROADCASTING INC DE X X 03/28/02 STRATUS SERVICES GROUP INC DE X X X 02/28/02 SUNSHINE PCS CORP DE X X 04/03/02 TAYLOR DEVICES INC NY X 03/20/02 TIME WARNER TELECOM INC DE X 04/03/02 TITAN CORP DE X X 03/21/02 AMEND TOYOTA MOTOR CREDIT CORP CA X 04/04/02 TRIZEC PROPERTIES INC DE X X 04/04/02 UNITED AUSTRALIA PACIFIC INC CO X 03/29/02 US AIRWAYS GROUP INC DE X X 04/04/02 VALENCE TECHNOLOGY INC DE X X 04/03/02 VIEWCAST COM INC DE X X 04/03/02 VINTAGE PETROLEUM INC DE X X 04/03/02 WILLIAMS COMMUNICATIONS GROUP INC DE X X 04/01/02 X-CHANGE CORP INC NV X X X 01/15/02 AMEND XTRANA INC DE X X 03/28/02