SEC NEWS DIGEST Issue 2002-126 July 1, 2002 COMMISSION ANNOUNCEMENTS PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS - JULY 2002 The following is a schedule for July 2002 of the public appearances of SEC officials, including the Chairman, Commissioners, and senior staff members. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Thursday, July 11 Who: Alan Beller What: American Society of Corporate Secretaries 56th National Conference Where: Toronto, Canada Contact: Suzanne Walker, (212) 681-2008 When: Friday, July 19 Who: Harvey L. Pitt What: The National Press Club Where: The National Press Club Contact: Christi Harlan, (202) 942-0020 SEC PUBLISHES LIST OF COMPANIES WHOSE OFFICERS ARE ORDERED TO CERTIFY ACCURACY AND COMPLETENESS OF RECENT ANNUAL REPORTS On June 28, 2002, the Commission published a list of 945 companies whose chief executive and chief financial officers are now required to personally certify-in writing, under oath, and for publication-that their most recent reports filed with Commission are both complete and accurate. Officers who make false certifications will face personal liability. "This is an unprecedented step to help restore investor confidence,' said SEC Chairman Harvey L. Pitt. "We are demanding that CEOs and CFOs swear that the numbers they've reported in their financial reports are correct and that they've left nothing important out." The order is intended to assure the investing public and the SEC that the corporate disclosure in reports already filed this year with the Commission is in compliance with federal securities laws, or, provide information quickly about those companies where that is not the case. The Commission's order applies to companies with reported annual revenues in excess of $1.2 billion. The order requires the principal executive and financial officers of SEC- registered companies to each file with the Commission a sworn written statement in which the officer must personally attest that the company's most recent periodic reports are materially truthful and complete or explain why such a statement would be incorrect. The officers are required to file their written statements with the Commission no later than the close of business on the first date that their company is required to file a Form 10-K or Form 10-Q with the Commission on or after Aug. 14, 2002. The SEC intends to make the certifications available to the public on the SEC Web site. The certifications will apply to: * the company's most recent Annual Report on Form 10-K filed with the Commission; * all of the company's reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials filed with the Commission subsequent to the filing of the most recent Form 10-K; and * any amendments to any of the above. The Commission's order and list of companies covered by the order have been posted on the SEC Web site at http://www.sec.gov/rules/other/4- 460.htm. The Commission will also notify those covered by the order. For further information about the order, call the SEC at (202) 942-2808. (Press Rel. 2002-96) ENFORCEMENT PROCEEDINGS IN THE MATTER OF ANDREW BODNAR On June 28, 2002, an Administrative Law Judge issued a Default Order barring Andrew P. Bodnar from being associated with a broker or dealer. Mr. Bodnar, a registered representative with a registered broker-dealer from September 1995 until September 1997, acting individually and in concert with others, engaged in a fraudulent scheme that induced at least 148 public investors to purchase some $6.4 million of promissory notes of CBT Holding Corporation and CBT-Ohio. Mr. Bodnar and others misappropriated most, if not all, of the funds raised. This conduct by Mr. Bodnar and other activities resulted in at least two proceedings in federal court. The United States Court for the Northern District of Ohio issued a Final Judgment on April 16, 2002, enjoining Mr. Bodnar from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934. The Final Judgment also ordered Mr. Bodnar to pay a $110,000 civil penalty. In April 2001, Mr. Bodnar pled guilty to charges of criminal securities fraud, mail fraud, and conspiracy in the United States Court for the Northern District of Ohio. He is presently serving a sentence of eleven years and three months in prison that he received on August 27, 2001. Mr. Bodnar was also ordered to pay $20 million in restitution. (Rel. 34-46142; File No. 3-10770) ADMINISTRATIVE PROCEEDINGS INSTITUTED AND SIMULTANEOUSLY SETTLED AGAINST TERRANCE O'DONOHUE AND FINAL JUDGMENT OF PERMANENT INJUNCTION ENTERED AGAINST TERRANCE O'DONOHUE AND O'DONOHUE FUND MANAGEMENT, INC. On July 1, the Commission entered an Order Instituting Public Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act Making Findings, and Imposing Remedial Sanctions against Terrance Michael O'Donohue. O'Donohue was a former registered representative and an unregistered investment adviser based in Atlanta, Georgia. The Commission simultaneously accepted the Offer of Settlement submitted by O'Donohue, in which he consented to the entry of the Order barring him from association with any broker, dealer or investment adviser while neither admitting nor denying the Commission's findings, except as to his criminal conviction and the filing of the Commission's complaint and entry of an Order of Permanent Injunction against him, which were admitted. The Order was based on the entry of a permanent injunction in a related civil action against O'Donohue and O'Donohue Fund Management, a company O'Donohue used to conduct business, and on O'Donohue's criminal conviction. On June 20, 2002, the Honorable Thomas W. Thrash, Jr. of the United States District Court for the Northern District of Georgia entered an Order of Permanent Injunction against Terrance Michael O'Donohue and O'Donohue Fund Management, Inc. O'Donohue and O'Donohue Fund Management consented, without admitting or denying the allegations in the complaint, to the entry of final judgment that permanently enjoins them from violating Sections 5(a), 5(c), and 117(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule l0b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act. The Commission did not seek disgorgement or civil penalties because of the criminal sanctions already imposed. On June 17, 2002, the Commission filed a complaint with the United States District Court for the Northern District of Georgia which alleges that, from June 1995 until November 2000, O'Donohue raised almost $3 million for three limited partnerships from 53 investors. The complaint alleges that O'Donohue, who was a Georgia resident, or O'Donohue Fund Management, a Georgia corporation controlled by O'Donohue, were the general partners and made the investment decisions for the partnerships. According to the Commission's complaint, O'Donohue diverted over $2 million of investor funds, falsely stated to investors that their funds were invested, sent out false account statements indicating that investors' funds were earning returns, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors. The complaint also alleges that O'Donohue and O'Donohue Fund Management sold unregistered securities. O'Donohue was convicted of three counts of mail fraud involving this same conduct. He was sentenced in the United Stated District Court for the Northern District of Georgia to serve 48 months in prison, followed by three years of supervised release, and was ordered to pay restitution of $2,468,912.41. The Order was also based on O'Donohue's criminal conviction for his conduct related to this matter. O'Donohue pled guilty to three counts of mail fraud in violation of 18 U.S.C. 1341 and 1342. O'Donohue was sentenced to 48 months in prison followed by three years of supervised release and ordered to pay $2,468,912.41 in restitution. The Commission wishes to thank the U.S. Attorney's Office for the Northern District of Georgia and the Georgia Secretary of State, Securities Division, for their assistance in this matter. [SEC v. Terrance Michael O'Donohue and O'Donohue Fund Management, Inc., Civil Action No. 1:02 CV 1663, N.D. Ga.] (Rels. 34-46150; IA-2041; File No. 3- 10817) TENNESSEE NOTE AND BOND MARKETER CONSENTS TO ANTIFRAUD CHARGES FOR HIS ROLE IN $314 MILLION PONZI SCHEME, ACCEPTS BAR FROM ASSOCIATION WITH ANY BROKER OR DEALER On July 1, the Commission entered an Order Instituting Public Administrative Proceedings Pursuant to Section 15 (b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against Charles Edward Dickerson of Nashville, Tennessee, for his role in a $314 million Ponzi scheme involving at least 1000 investors. Without admitting or denying its findings except as to the Commission's jurisdiction, Dickerson consented to the entry of the Order, which bars him from associating with any broker or dealer. The $314 million Ponzi scheme in which Dickerson was involved is one of the largest Ponzi schemes that the Commission has pursued. The Commission filed a complaint against Dickerson charging that he participated in the Ponzi scheme controlled by Charles Richard Homa and Michael Gause from approximately April 1998 through October 1999 [SEC v. Homa, et al., 99 C 6895 N.D. Ill.]. Dickerson, as part of an extensive sales network developed by Homa and Gause, offered and sold securities, in the form of promissory notes and bonds issued by Bellwether Holdings, LLC and Southwestern Holdings, LLC which purported to provide returns through investments in the car title and payday loan business. Dickerson raised at least $19 million from investors. The investment funds raised in the scheme were not used in the car title or payday loan business, but rather were used to make interest payments to existing investors, to pay marketer commissions, and for personal expenditures of Homa and Gause. The complaint alleges that Dickerson made misrepresentations and omissions of material fact concerning the use of investor funds and failed to disclose the source of the interest payments and that the receivables purportedly securing certain offerings were insufficient security. On February 15, 2002, in SEC v. Homa, the U.S. District Court for the Northern District of Illinois issued an order enjoining Dickerson from violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 15(a), and 15(c) of the Securities Exchange Act of 1934 and Rules 10b-5 and l5cl-2 thereunder. (Rel. 34-46151; File No. 3- 10818) COURT ORDERS WORLDCOM TO PRESERVE DOCUMENTS AND ASSETS, WILL APPOINT CORPORATE MONITOR On June 28, 2002, based upon a joint agreement between the Commission and defendant WorldCom, Inc., U.S. District Court Judge Jed S. Rakoff entered an order: * Directing WorldCom and its affiliates to preserve all items relating to WorldCom's financial reporting obligations, public disclosures required by the federal securities laws, or accounting matters. * Providing for the Court to appoint a Corporate Monitor having oversight responsibility with respect to all compensation paid by WorldCom. The Corporate Monitor will have responsibility to prevent unjust enrichment as a result of the conduct alleged in the Commission's complaint and to ensure that WorldCom's assets are not dissipated by payments that are not necessary to the operation of WorldCom's business. * Forbidding, until the Corporate Monitor is in place, WorldCom from (1) paying more than $100,000 to any present or former officer, director or employee, or any of its affiliates; or (2) making any extraordinary payment to any present or former WorldCom director, present or former officer who holds or formerly held a position at or above the level of vice president, or any person currently or formerly employed within WorldCom's financial reporting or accounting functions. * Directing WorldCom to cooperate with the Corporate Monitor in full and make its books, records and accounts available to the Corporate Monitor. For further information, see Litigation Release No. 17588 (June 27, 2002), announcing the filing of the Commission's civil action against WorldCom. [SEC v.WorldCom, Inc., Civil Action 02 CV 4963, S.D.N.Y., June 27, 2002] (LR-17594) INVESTMENT COMPANY ACT RELEASES ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following his ceased to be an investment company: Belstar Trust [File No. 811-21045] (Rel. IC- 25625 -June 26,2002) Dreyfus Strategic Governments Income, Inc. [File No. 811-5552] (Rel. IC- 25626 - June 26,2002) Dreyfus U.S. Treasury Short Term Fund [File No. 811-5077] (Rel. IC- 25627 - June 26,2002) Daily Income Fund, Inc. [File No. 811-2477] (Rel. IC- 25628 - June 26,2002) Daily Dollar Reserves, Inc. [File No. 811-3555] (Rel. IC- 25629 - June 26,2002) Tax-Free Instrument Trust [File No. 811-3337] (Rel. IC-25630 - June 26,2002) Back Bay Funds, Inc. [File No. 811-8339] (Rel. IC- 25631 - June 26,2002) Merrill, Lynch Asset Income Fund, Inc. [File No. 811-7181] (Rel. IC-25632 - June 26,2002) Merrill Lynch Asset Growth Fund, Inc. [File No. 811-7183] (Rel. IC- 25633 - June 26,2002) Olde Custodian Fund [File No. 811-5256] (Rel. IC- 25634 - June 26,2002) Global Utility Fund Inc. [File No. 811-5695] (Rel. IC- 25635 - June 26,2002) Program for the Accumulation of Shares of Technology Fund [File No. 811- 146] (Rel. IC- 25636 - June 26,2002) Battery Park Funds, Inc. [File No. 811-7675] (Rel. IC-125637 - June 26,2002) AMERICAN SKANDIA LIFE ASSURANCE CORPORATION, ET AL. An order has been issued pursuan to Section 6(c) of the Investment Company Act amending a prior order granting exemptive relief from the provisions of Sections 2(a)(32) and 27(i)(2)(A) of the Act and Rule 22c- 1 thereunder to American Skandia Life Assurance Corporation (ASLAC), American Skandia Life Assurance Corporation Variable Account B (Class 1 Sub-Accounts), American Skandia Life Assurance Corporation Variable Account B (Class 9 Sub- Accounts) (the Accounts), and American Skandia Marketing, Incorporated (collectively, the Accounts) to the extent necessary to permit under specified circumstances the recapture of certain additional credits offered on a promotional basis applied to payments made under certain deferred variable annuity contracts and certificates that ASLAC will offer funded by the Accounts (the contracts and certificates, collectively referred to as the "Contracts"); and contracts that ASLAC may ofrfer in the future funded by the Accounts or any other separate account established in the future by ASLAC to support certain deferred variable annuity contracts and certificates issued by ASLAC ("Future Account"), which contracts are substantially similar in all material respects to the Contracts (the "Future Contracts"). Applicants also requested that the order being sought extend to any National Association broker-dealer controlling or controlled by, or under common control with, ASLAC wether existing or created in the future, that serves as a distributor or principal underwriter for the Contracts or Future Contracts offered through the Accounts or any Future Account. (Rel. IC-25639 - June 26, 2002) HOLDING COMPANY ACT RELEASES EXELON CORPORATION A supplemental order has been issued authorizing a proposal by Exelon Corporation, a registered holding company; PECO Energy Company, an electric and gas utility company; Exelon Generation Company LLC, an electric utility generating subsidiary company; and InfraSource, Inc. (InfraSource), formerly Exelon Infrastructure Services, Inc., and Exelon Services, Inc., both indirect nonutility subsidiaries that provide infrastructure services. The supplemental order extends the interim period for an exemption from at-cost provisions for infrastructure services provided by InfraSource and ES under the prior order from June 30, 2002 to February 28, 2003. (Rel. 35-27547) SELF-REGULATORY ORGANIZATIONS NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-ISE-2002-17) filed by the International Securities Exchange to extend its Enhanced Size Pilot until Otober 31, 2002 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 July 1. (Rel. 34- 46129) A proposed rule change (SR-PCX-2002-32) filed by the Pacific Exchange on May 30, 2002, relating to the PCX's marketing fees for certain options 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 July 1. (Rel. 34-46138) A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 200222) extending the pilot regarding shareholder approval of stock option plans until August 31, 2002, 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 July 1. (Rel. 34-46143) JOINT INDUSTRY PLAN NOTICE OF FILING AND PARTIAL SUMMARY EFFECTIVENESS OF AMENDMENT A proposed amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis has been filed by the Plan participants. Publication of the proposed amendment is expected in the Federal Register during the week of July 1. (Rel. 34-46139) ACCELERATED APPROVAL OF AMENDMENTS TO PROPOSED RULE CHANGE The Commission approved an amended proposal by the National Association of Securities Dealers (SR-NASD-2002-46) pursuant to Section 19(b)(2) of the Securities Exchange Act, relating to the Rule 6200 Series or the TRACE Rules. The Commission also granted accelerated approval to Amendment Nos. 2 and 3 to that proposal pursuant to Section 19(b)(2) of the Act. Publication of the notice in the Federal Register is expected during the week of July 1. (Rel. 34-46144) The American Stock Exchange has filed a proposed rule change and Amendment No. 1 thereto (SR-Amex-2002-38) under Section 19(b)(1) of the Securities Exchange Act proposing to designate the new trading floor on the ground floor of the Exchange (Harry's) as a "separate trading area." Publication of the proposal is expected in the Federal Register during the week of July 1. (Rel. 34-46131) 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 BLOUNT INTERNATIONAL INC, PO BOX 949, 4520 EXECUTIVE PK DR, MONTGOMERY, AL, 36116-1602, 3342444000 - 5,875,000 ($24,851,250.00) Equity, (File 333-91390 - Jun. 28) (BR. 06) S-8 MEDAREX INC, 707 STATE ROAD 206, PRINCETON, NJ, 08540, 9087136001 - 0 ($20,865,000.00) Equity, (File 333-91392 - Jun. 28) (BR. 01) S-8 MEDAREX INC, 707 STATE ROAD 206, PRINCETON, NJ, 08540, 9087136001 - 0 ($3,477,500.00) Equity, (File 333-91394 - Jun. 28) (BR. 01) S-8 BANCINSURANCE CORP, 20 E BROAD ST, 4TH FLOOR, COLUMBUS, OH, 43215, 6142282800 - 600,000 ($3,030,000.00) Equity, (File 333-91396 - Jun. 28) (BR. 01) S-1 HORIZON NATURAL RESOURCES CO, 1500 NORTH BIG RUN ROAD, ASHLAND, KY, 41102, 6069280450 - 400,000 ($4,900,000.00) Equity, (File 333-91404 - Jun. 28) (BR. 04) S-8 SEMCO ENERGY INC, 28470 13 MILE ROAD, SUITE 300, FARMINGTON HILLS, MI, 48334, 248-702-6000 - 0 ($3,120,000.00) Equity, (File 333-91406 - Jun. 28) (BR. 02) S-8 UFP TECHNOLOGIES INC, 172 EAST MAIN ST, GEORGETOWN, MA, 01833, 5083522200 - 0 ($630,000.00) Equity, (File 333-91408 - Jun. 28) (BR. 06) SB-2 HUMANA TRANS SERVICES GROUP LTD, 68 A CAMAR STREET, WEST BABYLON, NY, 11794, 6316433610 - 2,000,000 ($2,000,000.00) Equity, 4,198,000 ($4,198,000.00) Other, (File 333-91410 - Jun. 28) (BR. ) S-3 GRANGE NATIONAL BANC CORP, 198 E. TIOGA ST., TUNKHANNOCK, PA, 18657, 7178362100 - 100,000 ($4,135,000.00) Equity, (File 333-91412 - Jun. 28) (BR. 07) S-8 LIGAND PHARMACEUTICALS INC, 10275 SCIENCE CENTER DRIVE, SAN DIEGO, CA, 92121-1117, 8585507500 - 6,948,529 ($11,393,250.00) Equity, (File 333-91414 - Jun. 28) (BR. 01) S-8 SAKS INC, 750 LAKESHORE PARKWAY, BIRMINGHAM, AL, 35211, 2059404000 - 1,500,000 ($9,195,000.00) Equity, (File 333-91416 - Jun. 28) (BR. 02) S-8 MAX & ERMAS RESTAURANTS INC, 4849 EVANSWOOD DR, COLUMBUS, OH, 43229, 6144315800 - 250,000 ($3,375,000.00) Equity, (File 333-91418 - Jun. 28) (BR. 05) S-8 RTI INTERNATIONAL METALS INC, 1000 WARREN AVE, NILES, OH, 44446, 2165447700 - 0 ($4,488,000.00) Equity, (File 333-91420 - Jun. 28) (BR. 06) S-8 NETWORKS ASSOCIATES INC/, 3965 FREEDOM CIRCLE, SANTA CLARA, CA, 95054, 4089883832 - 0 ($119,940,000.00) Equity, (File 333-91422 - Jun. 28) (BR. 03) S-8 QWEST COMMUNICATIONS INTERNATIONAL INC, 1801 CALIFORNIA ST, DENVER, CO, 80202, 3039921400 - 24,000,000 ($50,400,000.00) Equity, (File 333-91424 - Jun. 28) (BR. 37) S-8 SCIENTIFIC LEARNING CORP, 1995 UNIVERSITY AVENUE, STE 400, BERKELEY, CA, 94704, 5106659700 - 820,588 ($1,070,265.10) Equity, (File 333-91426 - Jun. 28) (BR. 08) S-8 PRIME COMPANIES INC, 409 CENTER STREET, 2ND FLOOR, YUBA CITY, CA, 95991, 5307553580 - 190,000 ($13,300.00) Equity, (File 333-91428 - Jun. 28) (BR. 37) S-8 PLC SYSTEMS INC, 10 FORGE PK, FRANKLIN, MA, 02038, 5085418800 - 0 ($168,000.00) Equity, (File 333-91430 - Jun. 28) (BR. 36) S-8 LACLEDE GROUP INC, 720 OLIVE ST, ST LOUIS, MO, 63101, 3143420500 - 2,000,000 ($45,820,000.00) Equity, (File 333-91432 - Jun. 28) (BR. 02) S-8 MERCANTILE BANK CORP, 5650 BYRON CENTER AVENUE S. W., WYOMING, MI, 49509, 616 406-3000 - 60,000 ($1,216,200.00) Equity, (File 333-91434 - Jun. 28) (BR. 07) SB-2 OCIS CORP, 2081 SOUTH LAKE LINE DRIVE, SALT LAKE CITY, UT, 84109, 8014674566 - 600,000 ($150,000.00) Equity, (File 333-91436 - Jun. 28) (BR. ) S-8 SCHERING PLOUGH CORP, ONE GIRALDA FARMS, MADISON, NJ, 07940-1000, 9738227000 - 72,000,000 ($1,704,960,000.00) Equity, (File 333-91440 - Jun. 28) (BR. 01) S-8 OAO TECHNOLOGY SOLUTIONS INC, 7500 GREENWAY CENTER DR, GREENBELT, MD, 20770, 3014860400 - 1,236,268 ($1,854,402.00) Equity, (File 333-91442 - Jun. 28) (BR. 03) S-8 DELPHI CORP, 5725 DELPHI DRIVE, TROY, MI, 48098, 2484471500 - 0 ($1.00) Equity, (File 333-91444 - Jun. 28) (BR. 05) S-8 DELPHI CORP, 5725 DELPHI DRIVE, TROY, MI, 48098, 2484471500 - 0 ($1.00) Equity, (File 333-91446 - Jun. 28) (BR. 05) S-8 INVIVO CORP, 5104687600 - 220,000 ($220,000.00) Equity, (File 333-91450 - Jun. 28) (BR. 36) S-8 CRYOCON INC, 2250 NORTH 1500 WEST, OGDEN, UT, 84404, 8013952796 - 260,000 ($83,200.00) Equity, (File 333-91452 - Jun. 28) (BR. 06) S-3 COMPASS ASSET ACCEPTANCE CO, 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-91454 - Jun. 28) (BR. ) S-8 FIDELITY BANKSHARES INC, 218 DATURA ST, WEST PALM BEACH, FL, 33401-5679, 5616596600 - 1,217,432 ($24,525,678.80) Equity, (File 333-91456 - Jun. 28) (BR. 07) S-8 COBIZ INC, 821 - 17TH STREET, SUITE 900, DENVER, CO, 80202, 3032932265 - 0 ($3,346,000.00) Equity, (File 333-91458 - Jun. 28) (BR. 07) S-8 XTO ENERGY INC, 810 HOUSTON ST, STE 2000, FORT WORTH, TX, 76102, 8178702800 - 0 ($2,337,000.00) Other, (File 333-91460 - Jun. 28) (BR. 04) SB-2 NEOPROBE CORP, 425 METRO PLACE N, STE 400, DUBLIN, OH, 43017, 6147937500 - 9,714,737 ($2,914,421.10) Equity, (File 333-91462 - Jun. 28) (BR. 01) S-8 HARMONIC INC, 549 BALTIC WAY, SUNNYVALE, CA, 94089, 4085422500 - 0 ($5,339,000.00) Equity, (File 333-91464 - Jun. 28) (BR. 37) S-8 FIRST BANCTRUST CORP, 206 SOUTH CENTRAL AVENUE, PARIS, IL, 61944, 2174656381 - 10,000 ($164,500.00) Equity, (File 333-91466 - Jun. 28) (BR. 07) S-8 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 0 ($809,700.00) Equity, (File 333-91468 - Jun. 28) (BR. 01) S-8 GTC BIOTHERAPEUTICS INC, 175 CROSSING BLVD, FRAMINGHAM, MA, 01701, 508620-970 - 0 ($3,373,750.00) Equity, (File 333-91470 - Jun. 28) (BR. 01) S-8 CEPHEID, 1190 BORREGAS, X, SUNNYVALE, CA, 94089, 4085414191 - 999,238 ($4,936,235.71) Equity, (File 333-91472 - Jun. 28) (BR. 36) F-3 QIAGEN NV, 5911 KJ VENLO, SPOORSTRAAT, P7, 50, 31-77-320-8400 - 564,334 ($6,179,457.30) Equity, (File 333-91474 - Jun. 28) (BR. 01) S-8 COMMERCIAL FEDERAL CORP, 2120 S 72ND ST, OMAHA, NE, 68124, 4025549200 - 0 ($57,645,000.00) Equity, (File 333-91476 - Jun. 28) (BR. 07) S-8 KANSAS CITY SOUTHERN, 427 WEST 12TH STREET, KANSAS CITY, MO, 64105, 8169831303 - 350,000 ($5,444,250.00) Equity, (File 333-91478 - Jun. 28) (BR. 05) S-3 ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 210, SANTA MONICA, CA, 90401, 3103931428 - 2,000,000 ($26,900,000.00) Equity, (File 333-91480 - Jun. 28) (BR. 08) S-8 PILLOWTEX CORP, ONE LAKE CIRCLE DRIVE, KANNAPOLIS, NC, 28081, 704-939-4619 - 1,400,000 ($10,640,000.00) Equity, (File 333-91482 - Jun. 28) (BR. 02) SB-2 WOOD PRODUCTS INC, 2,775,000 ($277,500.00) Equity, (File 333-91484 - Jun. 28) (BR. ) S-8 BOSTON PRIVATE FINANCIAL HOLDINGS INC, 10 POST OFFICE SQ, BOSTON, MA, 02109, 6175561900 - 0 ($10,570,500.00) Equity, (File 333-91486 - Jun. 28) (BR. 07) S-8 ELCOM INTERNATIONAL INC, 10 OCEANA WAY, SUITE 102, NORWOOD, MA, 02062, 7814403333 - 1,800,000 ($720,000.00) Equity, (File 333-91488 - Jun. 28) (BR. 03) S-8 CHECKFREE CORP \GA\, 4411 E JONES BRIDGE RD, NORCROSS, GA, 30092, 7704413387 - 1,000,000 ($14,190,000.00) Equity, (File 333-91490 - Jun. 28) (BR. 08) S-8 ACCEPTANCE INSURANCE COMPANIES INC, 535 WEST BROADWAY, P.O. BOX 1574, COUNICL BLUFFS, IA, 51503, 712-329-3600 - 250,000 ($1,027,500.00) Equity, (File 333-91492 - Jun. 28) (BR. 01) S-8 ACCEPTANCE INSURANCE COMPANIES INC, 535 WEST BROADWAY, P.O. BOX 1574, COUNICL BLUFFS, IA, 51503, 712-329-3600 - 1,000,000 ($4,659,780.00) Equity, (File 333-91494 - Jun. 28) (BR. 01) S-3 BETA OIL & GAS INC, 6120 S YALE, STE 813, TULSA, OK, 74136, 9184951011 - 1,157,186 ($249.00) Equity, (File 333-91496 - Jun. 28) (BR. 04) S-1 CITIZENS SOUTH BANKING CORP, 245 WEST MAIN STREET, GASTONIA, NC, 28053, 7048685200 - 0 ($90,630,210.00) Equity, (File 333-91498 - Jun. 28) (BR. 07) S-3 DT INDUSTRIES INC, 907 WEST FIFTH STREET, N/A, DAYTON, OH, 45407, 937-586-5600 - 0 ($55,635,122.00) Equity, (File 333-91500 - Jun. 28) (BR. 36) S-8 HEALTHSOUTH CORP, ONE HEALTHSOUTH PKWY, STE 224W, BIRMINGHAM, AL, 35243, 2059677116 - 1,000,000 ($12,170,000.00) Equity, (File 333-91502 - Jun. 28) (BR. 01) S-8 HEALTHSOUTH CORP, ONE HEALTHSOUTH PKWY, STE 224W, BIRMINGHAM, AL, 35243, 2059677116 - 6,500,000 ($79,105,000.00) Equity, (File 333-91504 - Jun. 28) (BR. 01) S-8 HANGER ORTHOPEDIC GROUP INC, TWO BETHESDA METRO CENTER, SUITE 1300, BETHESDA, MD, 20814, 3019860701 - 2,000,000 ($29,880,000.00) Equity, (File 333-91506 - Jun. 28) (BR. 01) S-4 HEALTHSOUTH CORP, ONE HEALTHSOUTH PKWY, STE 224W, BIRMINGHAM, AL, 35243, 2059677116 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-91508 - Jun. 28) (BR. 01) SB-2 CELERITY SYSTEMS INC, 122 PERIMETER PARK DR, KNOXVILLE, TN, 37922, 8655393561 - 80,000,000 ($2,800,000.00) Equity, (File 333-91510 - Jun. 28) (BR. 03) S-8 AIRTRAX INC, 1616 PENNSYLVANIA AVE 122, VINELAND, NJ, 08361, 8563278112 - 0 ($261,600.00) Equity, (File 333-91512 - Jun. 28) (BR. 09) S-3 DIVINE INC, 1301 N ELSTON AVENUE, CHICAGO, IL, 60622, 7733946600 - 0 ($6,340,779.00) Equity, (File 333-91514 - Jun. 28) (BR. 08) S-8 PACKAGING DYNAMICS CORP, 3900 WEST 43RD ST, CHICAGO, IL, 60632, 7738438000 - 2,215,089 ($10,850,000.00) Equity, (File 333-91516 - Jun. 28) (BR. 06) S-8 CYGNUS INC /DE/, 400 PENOBSCOT DR, REDWOOD CITY, CA, 94063, 6503694300 - 0 ($3,546,000.00) Equity, (File 333-91518 - Jun. 28) (BR. 01) S-8 CYCLE COUNTRY ACCESSORIES CORP, 2188 HWY 86, MILFORD, IA, 51351, 65,000 ($194,025.00) Equity, (File 333-91520 - Jun. 28) (BR. 09) S-8 ALFA CORP, 2108 E SOUTH BLVD, PO BOX 11000, MONTGOMERY, AL, 36191-0001, 3342883900 - 0 ($12,760,000.00) Equity, (File 333-91522 - Jun. 28) (BR. 01) S-8 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($14,296,500.00) Equity, (File 333-91524 - Jun. 28) (BR. 36) S-8 QUICKSILVER RESOURCES INC, 777 WEST ROSEDALE ST, SUITE 300, FORT WORTH, TX, 76104, 8176655000 - 0 ($1.00) Other, (File 333-91526 - Jun. 28) (BR. 04) S-3 PACIFIC MAGTRON INTERNATIONAL CORP, 1600 CALIFORNIA CIRCLE, MILPITAS, CA, 95035, 4089568888 - 3,066,668 ($1,686,667.00) Equity, (File 333-91528 - Jun. 28) (BR. 03) S-3 NS GROUP INC, 530 WEST NINTH ST, NEWPORT, KY, 41071, 6062926809 - 0 ($100,000,000.00) Equity, (File 333-91530 - Jun. 28) (BR. 06) S-11 BEHRINGER HARVARD REAL ESTATE INVESTMENT TRUST I INC, 0 ($922,242,816.00) Other, (File 333-91532 - Jun. 28) (BR. ) S-8 E TRADE GROUP INC, 4500 BOHANNON DRIVE, MENLO PARK, CA, 94025, 6503316000 - 5,000,000 ($24,100,000.00) Equity, (File 333-91534 - Jun. 28) (BR. 07) S-3D ALFA CORP, 2108 E SOUTH BLVD, PO BOX 11000, MONTGOMERY, AL, 36191-0001, 3342883900 - 0 ($51,040,000.00) Equity, (File 333-91536 - Jun. 28) (BR. 01) S-3 GENETRONICS BIOMEDICAL CORP, 11199 SORRENTO VALLEY RD, SAN DIEGO, CA, 92121, 6195976006 - 0 ($6,935,456.16) Equity, (File 333-91538 - Jun. 28) (BR. 36) S-8 INCYTE GENOMICS INC, 3160 PORTER DR, PALO ALTO, CA, 94304, 6508550555 - 0 ($2,680,000.00) Equity, (File 333-91540 - Jun. 28) (BR. 01) S-8 INCYTE GENOMICS INC, 3160 PORTER DR, PALO ALTO, CA, 94304, 6508550555 - 0 ($15,435,000.00) Equity, (File 333-91542 - Jun. 28) (BR. 01) S-8 VCAMPUS CORP, 1850 CENTENNIAL PARK DR, SIUTE 200, RESTON, VA, 20191, 7038937800 - 0 ($380,000.00) Equity, (File 333-91544 - Jun. 28) (BR. 08) S-8 VARIAGENICS INC, 60 HAMPSHIRE ST, BLDG 400, CAMBRIDGE, MA, 02139, 6175885300 - 0 ($1,299,500.00) Equity, (File 333-91546 - Jun. 28) (BR. 01) S-3 VCAMPUS CORP, 1850 CENTENNIAL PARK DR, SIUTE 200, RESTON, VA, 20191, 7038937800 - 0 ($4,445,519.00) Equity, (File 333-91548 - Jun. 28) (BR. 08) S-1 BOMBARDIER CREDIT RECEIVABLES CORP, 1600 MOUNTAIN VIEW DRIVE, COLCHESTER, VT, 05466, 8026552824 - 1,000,000 ($1,000,000.00) Debt Convertible into Equity, (File 333-91550 - Jun. 28) (BR. 05) S-8 SHIRE PHARMACEUTICALS GROUP PLC, HAMPSHIRE INTL BUSINESS PARK, CHINEHAM BASINGSTOKE, HAMPSHIRE ENGLAND RG, X0, 1264333455 - 820,000 ($6,961,800.00) Equity, (File 333-91552 - Jun. 28) (BR. 01) S-8 EAST WEST BANCORP INC, 415 HUNTINGTON DRIVE, SAN MARINO, CA, 91108, 6267995700 - 0 ($16,405,000.00) Equity, (File 333-91554 - Jun. 28) (BR. 07) S-8 INCYTE GENOMICS INC, 3160 PORTER DR, PALO ALTO, CA, 94304, 6508550555 - 0 ($1,890,000.00) Equity, (File 333-91556 - Jun. 28) (BR. 01) S-8 AKAMAI TECHNOLOGIES INC, 500 TECHNOLOGY SQ, CAMBRIDGE, MA, 02139, 6172503000 - 0 ($14,534,000.00) Equity, (File 333-91558 - Jun. 28) (BR. 08) S-1 MPHASE TECHNOLOGIES INC, 587 CONNECTICUT AVE, PO BOX 566, NORWALK, CT, 06854, 2038312212 - 38,473,819 ($10,387,931.00) Equity, (File 333-91560 - Jun. 28) (BR. 37) S-8 EPHONE TELECOM INC, 1145 HERNDON PARKWAY, SUITE 100, HENDON, VA, 5406619898 - 6,000,000 ($2,100,000.00) Other, (File 333-91562 - Jun. 28) (BR. 08) SB-2 PIF/CORNERSTONE MINISTRIES INVESTMENTS INC, 6030 BETHELVIEW ROAD SUITE 101, CUMMING, GA, 30071-1345, 7707291433 - 0 ($45,000,000.00) Other, (File 333-91564 - Jun. 28) (BR. 08) S-3 ADSTAR COM INC, 4553 GLENCO AVENUE, SUITE 325, MARINA DEL RAY, CA, 90292, 274,545 ($247,091.00) Equity, (File 333-91568 - Jun. 28) (BR. 08) S-3 CHORDIANT SOFTWARE INC, 20400 STEVENS CREEK BLVD, SUITE 400, CUPERTINO, CA, 95014, 4085176100 - 0 ($848,000.70) Equity, (File 333-91570 - Jun. 28) (BR. 03) S-8 ISIS PHARMACEUTICALS INC, 2292 FARADAY AVE, CARLSBAD, CA, 92008, 7609319200 - 0 ($23,597,680.00) Equity, (File 333-91572 - Jun. 28) (BR. 01) S-4 TRANSDIGM INC, 8233 IMPERIAL DRIVE, WACO, TX, 76712, 2547760650 - 0 ($77,006,250.00) Non-Convertible Debt, (File 333-91574 - Jun. 28) (BR. 05) S-8 PEOPLES COMMUNITY BANCORP INC /MD/, PEOPLES COMMUNITY BANCORP INC, 6100 WEST CHESTER ROAD, WEST CHESTER, OH, 45069, 5138703530 - 276,882 ($5,148,702.75) Equity, (File 333-91578 - Jun. 28) (BR. 07) S-3 POPULAR INC, 209 MUNOZ RIVERA AVE, POPULAR CENTER BUILDING, HATO REY, PR, 00918, 7877659800 - 3,000,000 ($96,712,500.00) Equity, (File 333-91580 - Jun. 28) (BR. 07) S-8 HONEYWELL INTERNATIONAL INC, 101 COLUMBIA RD, PO BOX 4000, MORRISTOWN, NJ, 07962, 9734552000 - 40,000,000 ($1,426,000,000.00) Equity, (File 333-91582 - Jun. 28) (BR. 05) S-8 PC CONNECTION INC, ROUTE 101A, 730 MILFORD RD, MERRIMACK, NH, 03054, 6034232000 - 0 ($892,000.00) Equity, (File 333-91584 - Jun. 28) (BR. 02) S-4 FIRST COMMUNITY BANCORP /CA/, 6110 EL TORDO, RANCHO SANTA FE, CA, 92067, 8587563023 - 0 ($11,636,117.00) Equity, (File 333-91586 - Jun. 28) (BR. 07) S-8 CELLEGY PHARMACEUTICALS INC, 349 OYSTER POINT BLVD., SUITE 200, SO. SAN FRANCISCO, CA, 94080, 6506262200 - 1,500,000 ($3,150,000.00) Equity, (File 333-91588 - Jun. 28) (BR. 01) S-8 SIMULATIONS PLUS INC, 40015 SIERRA HIGHWAY, BLDG B-145, PALMDALE, CA, 93550, 8052668500 - 1,250,000 ($1,650,000.00) Equity, (File 333-91592 - Jun. 28) (BR. 03) SB-2 ABLE ONE CAPITAL INC, 370 LEXINGTON AVENUE, SUITE 1900, NEW YORK, NY, 10017, 2126977400 - 2,000,000 ($1,000,000.00) Equity, (File 333-91594 - Jun. 28) (BR. ) S-3 TAMPA ELECTRIC CO, 702 N FRANKLIN ST, TECO PLZA, TAMPA, FL, 33602, 8132284111 - 0 ($950,000,000.00) Debt Convertible into Equity, (File 333-91602 - Jun. 28) (BR. 02)