SEC NEWS DIGEST Issue 2002-177 September 12, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS CHANGE IN THE MEETING: ADDITIONAL ITEM The following item has been added to the closed meeting scheduled for Thursday, September 12, 2002, at 4:00 p.m.: Institution of administrative proceedings of an enforcement nature. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS SEC CHARGES CHURCH CONSULTING COMPANY AND ITS CHAIRMAN, CEO AND CFO WITH AFFINITY FRAUD PONZI SCHEME On September 11, the Commission filed civil charges against Donne Corporation and its founder and officers for perpetrating an affinity fraud in a Ponzi-like investment scheme. Affinity fraud refers to investment scams that prey on members of identifiable groups such as religious, ethnic and racial groups. The promoters of these scams are group members or claim to be group members. The Commission's complaint alleges that, from January 1998 through January 2001, the defendants targeted religious individuals and raised approximately $4 million through the unregistered and fraudulent sale of Donne stock. The defendants are: * Donne Corporation, a suspended California-based corporation with offices in Napa, California and Brandon, Florida, which was a consulting business for churches to raise money for building improvements and expansions. * Sherman S. Smith, 56, of Napa, California, Donne's founder and chairman. Sherman Smith was registered with the State of California as an investment adviser. In addition, he is a Baptist minister and has lectured throughout the country on church and personal finances. * Shawn Smith, 30, of Napa, California, Donne's former chief financial officer. Shawn Smith, who is Sherman Smith's son, maintained Donne's bank accounts and business records. * Bruce Anderson, 46, of Tampa, Florida, Donne's former president and chief executive officer. Anderson oversaw Donne's business activities. Anderson consented, without admitting or denying the allegations in the complaint, to the entry of a permanent injunction and payment of $15,000 in civil penalties and disgorgement. Also today, the United States Attorney's Office for the Northern District of California announced that Sherman Smith was indicted by a federal grand jury on mail, wire and securities fraud and money laundering charges. The indictment also seeks the forfeiture of Smith's money laundering proceeds, including his house located in Lexington, Kentucky. The criminal indictment is based on the same conduct alleged in the Commission's complaint. According to the Commission's complaint, filed in federal court in San Francisco, the defendants operated a Ponzi-like investment scheme through Donne. Sherman Smith solicited religious individuals, whom he had met through his work as a pastor and investment adviser, by making false and misleading statements about Donne's financial status, projected earnings and investment returns, and use of investor funds. The complaint further alleges that Anderson and Shawn Smith prepared false and misleading information about Donne's business and financial condition that was distributed to investors. The complaint also alleges that some Donne investors were promised and paid a guaranteed return of 12% per year on their investment. However, the defendants, without investors' knowledge, used the proceeds from Donne's sales of stock to new investors to pay investment returns to existing investors. The Commission's complaint alleges that the defendants misrepresented that: * Donne was a profitable business and a safe investment, when in fact Donne consistently operated at a loss and did not have enough assets to cover its expenses and liabilities; * Donne stock was increasing in value and would be "revalued" from $10 to $30 per share by the end of 2000, when in fact there was never any reasonable basis for the stock's valuation; and * Donne would use investor funds for its operational expenses, when in fact about $1.8 million of investor funds was used for undisclosed purposes unrelated to Donne's business, including building Smith's home in Kentucky, producing a movie, and paying Smith's personal and unrelated business debts. The Commission charged Donne, Sherman Smith, Shawn Smith and Anderson with violating the registration and antifraud provisions of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and the antifraud provisions of Section 10(b) and Rule 10b-5 thereunder of the Securities Exchange Act of 1934. Sherman Smith is also being charged with violating the antifraud provisions of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The complaint seeks permanent injunctions against Donne, Sherman Smith, Shawn Smith and Anderson. It also seeks civil penalties and disgorgement from Sherman Smith, Shawn Smith and Anderson, and an order barring Sherman Smith from serving as an officer or director of a public company. Simultaneous with the filing of the complaint, Anderson settled with the Commission. He consented, without admitting or denying the allegations in the complaint, to the entry of a final judgment permanently enjoining him from future violations of the registration and antifraud provisions of the federal securities laws and ordering him to pay a total of $15,000 in civil penalties and disgorgement. The Commission acknowledges the assistance and cooperation of the Federal Bureau of Investigation and the United States Attorney's Office for the Northern District of California in connection with this matter. [SEC v. Donne Corporation, Sherman S. Smith, Shawn Smith, and Bruce Anderson, Case No. C 02-04238 SC, NDCA] (LR-17719; AAE Rel. 1626) SEC SETTLES FINANCIAL FRAUD CHARGES AGAINST KENNETH KURTZ, ALEX SHEYFER, AND ALEXANDER ZALMENENKO The Commission announced that on July 26, 2002, the Honorable William H. Pauley, United States District Judge for the Southern District of New York, entered Final Consent Judgments of Injunction and Other Relief (Judgments) against Kenneth Kurtz (Kurtz) of Salt Lake City, Utah, Alex Sheyfer (Sheyfer) of Staten Island, New York, and Alexander Zalmenenko of Brooklyn, New York. The Commission's complaint alleged that Kurtz, Sheyfer, Zalmenenko, and others engaged in a scheme to manipulate the stock price of Maid Aide, Inc. (MDAN), a publicly traded shell company. To facilitate the scheme, the defendants gained control of MDAN, set up two boiler room operations, and directed unlicensed brokers to sell unregistered stock at artificially inflated prices, using high-pressure sales tactics, in exchange for undisclosed kickbacks. Through this scheme, the defendants defrauded investors out of more than $3.7 million. The Judgment against Kurtz enjoins him from future violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 promulgated thereunder. Kurtz's Judgment orders him to pay $153,773 in disgorgement and prejudgment interest and a $50,000 civil penalty. The Judgments against Sheyfer and Zalmenenko enjoin them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act, and Rule 10b-5 promulgated thereunder. The Judgments order each of them to pay $1,753,993.54 in disgorgement and prejudgment interest, but waive such payments, and not impose civil monetary penalties, based upon Sheyfer's and Zalmenenko's sworn statements of financial condition and other documents submitted to the Commission indicating their inability to pay. Sheyfer and Zalmenenko were indicted for conspiracy to commit securities fraud, securities fraud, and wire fraud for similar boiler room activities at or around the time of the MDAN fraud. They each subsequently pled guilty. See also: Litigation Releases 17305 (January 14, 2002) and 17678 (August 13, 2002). [SEC v. Tanner, et al., 02-CIV- 0306, SDNY] (LR-17720) SEC SUES TAMPA AND HOUSTON-BASED NEWSLETTER WRITERS TO HALT ALLEGED FRAUD The Commission announced today that on September 5 it filed a complaint against two newsletter writers, an intermediary that contracted for some of the newsletters, and certain associated companies for their roles in a newsletter touting scheme. The complaint alleges that defendants Paul A. Spray, Thomas E. Loyd, Marc Barhonovich, and others prepared and distributed several fraudulent newsletters touting thinly traded stocks of public companies whose shares are quoted on the Over-the-Counter Bulletin Board. According to the complaint, from at least July 2001 to May 2002, Spray, based in Tampa, Florida, and Loyd, based in Houston, Texas, prepared and distributed their respective newsletters, "OTC Investor's Edge" and "Investors' Alert," to millions of potential investors through facsimile broadcasts and e-mail spams. The complaint further alleges that Barhonovich contracted for, and paid for the distribution of, some of the newsletters. The complaint alleges that Spray, Loyd, and Barhonovich knew, or were reckless in not knowing, that the newsletters contained material misrepresentations and omissions concerning the companies they touted. Among other things, the complaint alleges that the newsletters misrepresented the financial condition and projected earnings and revenues of the touted companies. The complaint charges each of the defendants with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, which prohibit fraud in the offer and sale of securities. The Commission seeks preliminary and permanent injunctive relief, disgorgement and civil monetary penalties, and an order permanently barring Spray, Loyd, and Barhonovich from any future participation in the offering of penny stocks. Upon the Commission's motion, the Honorable Judge Richard A. Lazzara of the United States District Court for the Middle District of Florida entered an order setting a preliminary injunction hearing in this matter on September 26, 2002. [SEC v. Paul A. Spray, Thomas E. Lloyd, Marc Barhonovich, et al., Case No. 8:02-CV-1613-T26EAJ, MDFL] (LR-17721) TYCO FORMER EXECUTIVES L. DENNIS KOZLOWSKI, MARK SWARTZ AND MARK BELNICK SUED FOR FRAUD All Three Charged With Failure To Disclose Millions Of Dollars Of Low Interest and Interest-Free Loans They Received From The Company During Their Employment At Tyco Kozlowski And Swartz Alleged To Have Forgiven Without Proper Authorization, Tens Of Millions Of Dollars Of Their Own Loans and Entered Into Other Secret Transactions With The Company The Commission today filed a civil enforcement action against three former top executives of Tyco International Ltd. charging that they violated the federal securities laws by failing to disclose to shareholders the multi-million dollar low interest and interest-free loans they took from the company. L. Dennis Kozlowski, the former chief executive officer and chairman of Tyco's board of directors, and Mark H. Swartz, the former chief financial officer and a director, granted themselves hundreds of millions of dollars in secret low interest and interest-free loans from the company that they used for personal expenses. They then covertly caused the company to forgive tens of millions of dollars of those outstanding loans, again without disclosure to investors as required by the federal securities laws. In addition, they engaged in other undisclosed related party transactions that cost shareholders hundreds of thousands, if not millions of dollars. Mark A. Belnick, the former chief legal officer, failed to disclose the receipt of more than $14 million of interest-free loans from the company to acquire two residences, an apartment in New York City and a $10 million home in Park City, Utah, where he already owned another home. Kozlowski, Swartz and Belnick also sold their shares of Tyco stock valued at millions of dollars while their self-dealing remained undisclosed. The Commission seeks a final judgment ordering the defendants to disgorge all ill-gotten gains, imposing civil money penalties, and enjoining the defendants from future violations of the federal securities laws. In the cases of Kozlowski and Swartz, this includes (i) disgorgement of all compensation they received subsequent to their fraudulent acts and omissions, including salary, bonuses, stock options and grants and any advances that have not been repaid; (ii) all loans not properly repaid by them to Tyco; (iii) interest imputed at market rates on all low interest or interest-free loans that they should have disclosed to investors; (iv) all losses avoided from their sales of Tyco securities subsequent to their fraudulent acts and omissions; (v) prejudgment interest on the amounts disgorged; (vi) civil money penalties; (vii) orders barring them from ever again serving as officers or directors of a publicly-held company; and (viii) an order enjoining them from violating the antifraud, proxy, reporting, books and records and lying to auditor provisions of the federal securities laws. In the case of Belnick, the Commission seeks (i) disgorgement of all loans not properly repaid by him to Tyco; (ii) interest imputed on all low interest or interest-free loans that he should have disclosed to investors; (iii) all losses avoided from his sales of Tyco securities subsequent to his fraudulent acts and omissions at market rates; (iv) all rent payments that he received from Tyco for the home office he maintained in the Utah residence; (v) prejudgment interest on the amounts disgorged; (vi) civil money penalties; (vii) an order barring him from ever again serving as an officer or director of a publicly-held company; and (viii) an order enjoining him from violating the antifraud, proxy and reporting provisions of the federal securities laws. [SEC v. L. Dennis Kozlowski, Mark H. Swartz and Mark A. Belnick, Civil Action No. 02 CV 7312] (LR-17722; AAE Rel. 1627; Press Rel. 2002-135) RELIEF DEFENDANT HELD IN CONTEMPT FOR DISSIPATING FUNDS IN VIOLATION OF A COURT-ORDERED ASSET FREEZE On August 30, 2002, the Honorable William L. Osteen, U.S. District Court Judge, held relief defendants Patrick Wilson and C.R.C.C. L.L.C. in contempt of court for dissipating $1.7 million worth of assets that were the subject of the Court's August 10, 2000 temporary restraining order (TRO) and its August 17, 2000 preliminary injunction and asset freeze (asset freeze). The Commission obtained the TRO and asset freeze in a civil action alleging that Elfindepan, S.A., a supposed Costa Rican financial company, and others defrauded investors nationwide in connection with the unregistered offer and sale of Elfindepan securities. See Litigation Release 16649 (August 10, 2000). The asset freeze prohibited all persons and entities holding or coming into possession of Elfindepan funds from allowing those funds to be withdrawn, removed, or transferred. [SEC v. Elfindepan, S.A., et al., U.S. District Court for the Middle District of North Carolina, Civil Action No. 1:00CV00742] (LR-17723) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change submitted by the Chicago Board Options Exchange (SR-CBOE-2002-45) requiring each member and member organization to develop and implement an anti-money laundering compliance program. Publication of the notice and order in the Federal Register is expected during the week of September 9. (Rel. 34-46462) The Commission granted accelerated approval to a proposed rule change submitted by the Chicago Stock Exchange (SR-CHX-2001-32) relating to CHX Article XX, Rule 37 governing automatic execution of market and marketable limit orders. (Rel. 34-46475) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2002-57) filed by the American Stock Exchange relating to the automatic execution of broker-dealer options orders. Publication of the order in the Federal Register is expected during the week of September 16. (Rel. 34-46479) APPROVAL OF PROPOSED NINETEENTH AMENDMENT TO THE ITS PLAN The Commission approved a proposed amendment to the ITS Plan (File No. 4- 208) submitted under Rule 11Aa3-2 of the Securities Exchange Act relating to the Philadelphia Stock Exchange's implementation of a remote specialist program. Publication of the order is expected in the Federal Register during the week of September 16. (Rel. 34-46474) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change filed by the Boston Stock Exchange (SR-BSE-2002-07) relating to competing specialists and objections to competing specialist competition. (Rel. 34-46480) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-Phlx-2002-48) filed by the Philadelphia Stock Exchange relating to trade through liability for certain exchange traded funds has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 on a pilot basis. Publication of the notice in the Federal Register is expected during the week of September 16. (Rel. 34- 46481) A proposed rule change (SR-BSE-2002-13) filed by the Boston Stock Exchange relating to trade through liability for certain exchange traded funds has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 on a pilot basis. Publication of the notice in the Federal Register is expected during the week of September 16. (Rel. 34-46482) A proposed rule change filed by the American Stock Exchange (SR-Amex- 2002-59) under Section 19(b)(1) of the Securities Exchange Act of 1934 adding a new fee schedule related to the trading of Nasdaq securities on the Amex pursuant to unlisted trading privileges has become effective under Section 19(b)(3)(A) of the Act. Publication of the proposal is expected in the Federal Register during the week of September 16. (Rel. 34-46484) A proposed rule change (SR-PCX-2002-59) filed by the Pacific Exchange 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 September 16. (Rel. 34-46485) A proposed rule change filed by the American Stock Exchange to extend a suspension of transaction charges for certain exchange traded funds (SR- Amex-2002-71) 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 September 16. (Rel. 34-46486) A proposed rule change filed by the Boston Stock Exchange to amend its Floor Operations and Transaction Fees Schedules (SR-BSE-2002-11) 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 September 16. (Rel. 34-46488) A proposed rule change filed by the Boston Stock Exchange to amend its Fee Schedule (SR-BSE-2002-12) 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 September 16. (Rel. 34-46489) PROPOSED RULE CHANGE The American Stock Exchange filed a proposed rule change and Amendment Nos. 1 and 2 (SR-Amex-2002-47) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to non-member fees for transactions in Nasdaq securities traded on an unlisted basis. Publication of the proposal is expected in the Federal Register during the week of September 16. (Rel. 34-46483) WITHDRAWALS GRANTED An order has been issued granting the application of EVCI Career Colleges to withdraw its Common Stock, $.0001 par value, from listing and registration on the Pacific Exchange, effective September 11, 2002. (Rel. 34-46487) An order has been issued granting the application of Carolina Power & Light Company to withdraw its $5.00 Preferred Stock, no par value, from listing and registration on the American Stock Exchange, effective September 12, 2002. (Rel. 34-46490) 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 SIMON PROPERTY GROUP INC /DE/, 115 WEST WASHINGTON STREET, INDIANAPOLIS, IN, 46204, 3176361600 - 0 ($103,116,550.00) Equity, (File 333-99409 - Sep. 11) (BR. 08) S-8 SM&A, 4695 MACARTHUR COURT, 8TH FLOOR, NEWPORT BEACH, CA, 92660, 9499751550 - 0 ($359,000.00) Equity, (File 333-99411 - Sep. 11) (BR. 08) S-3 GENUS INC, 1139 KARLSTAD DRIVE, SUNNYVALE, CA, 94089-2117, 4087477120 - 10,361,235 ($14,802,489.00) Equity, (File 333-99413 - Sep. 11) (BR. 36) SB-2 AMERICAN LIFE HOLDING CO INC, 4823 OLD KINGSTON PIKE, SUITE 125, KNOXVILLE, TN, 37919, 8655888228 - 391,449 ($1,957,245.00) Equity, (File 333-99415 - Sep. 11) (BR. ) N-2 JOHN HANCOCK PREFERRED INCOME FUND, 101 HUNTINGTON AVENUE, BOSTON, MA, 02199, 6173751617 - 40 ($1,000,000.00) Equity, (File 333-99417 - Sep. 11) (BR. 17) S-8 INCARA PHARMACEUTICALS CORP, 79 T.W. ALEXANDER DRIVE, 4401 RESEARCH COMMONS- SUITE 200, RESEARCH TRIANGLE PK, NC, 27709, 9195588688 - 0 ($99,000.00) Equity, (File 333-99421 - Sep. 11) (BR. 01) S-8 VICOR CORP, 25 FRONTAGE ROAD, ANDOVER, MA, 01810, 9784702900 - 2,000,000 ($14,620,000.00) Equity, (File 333-99423 - Sep. 11) (BR. 36) SB-2 FINGER TIP DRIVE INC, 17210 BEACH BLVD, HUNTINGTON BEACH, CA, 92647, 9492508655 - 1,130,000 ($169,500.00) Equity, (File 333-99425 - Sep. 11) (BR. ) SB-2 AMERICAN CORP, 0 ($13,950,000.00) Equity, (File 333-99427 - Sep. 11) (BR. ) S-3 KORN FERRY INTERNATIONAL, 1800 CENTURY PARK EAST, STE 900, LOS ANGELES, CA, 90067, 3105521834 - 0 ($41,122,740.00) Equity, (File 333-99429 - Sep. 11) (BR. 08) S-8 TAKE TWO INTERACTIVE SOFTWARE INC, 575 BROADWAY, 6TH FLOOR, NEW YORK, NY, 10012, 2123346633 - 3,000,000 ($69,120,000.00) Equity, (File 333-99433 - Sep. 11) (BR. 03) S-3 U S RESTAURANT PROPERTIES INC, 12240 INWOOD ROAD, SUITE 200, DALLAS, TX, 75244, 9723871487 - 0 ($3,266,860.00) Equity, (File 333-99435 - Sep. 11) (BR. 08) S-8 GETTY IMAGES INC, 601 NORTH 34TH STREET, SEATTLE, WA, 98103, 2069256449 - 0 ($4,995,855.70) Equity, (File 333-99439 - Sep. 11) (BR. 08) S-3 STRUCTURED PRODUCTS CORP, 390 GREENWICH ST, NEW YORK, NY, 10013, 2127836645 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-99441 - Sep. 11) (BR. 07) SB-2 NUCOTEC INC, 1080 SE 3RD AVENUE, FT LAUDERDALE, FL, 33316, 9543568100 - 0 ($241,450.00) Equity, (File 333-99443 - Sep. 11) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ABN AMRO MORTGAGE CORP SERIES 2002-7 DE X X 08/27/02 AKAMAI TECHNOLOGIES INC DE X X 09/10/02 AMERICAN FIRE RETARDANT CORP NV X 09/30/02 AMERIQUEST MORT SEC INC ASSET BCKD PS DE X X 09/10/02 ARISTOTLE CORP DE X 09/09/02 ASSET BACKED FUNDING CORP DE X X 09/10/02 ASSURE ENERGY INC DE X X X 08/27/02 BAKER HUGHES INC DE X X 09/10/02 BANYAN CORP /OR/ OR X X 09/04/02 BLYTH INC DE X X 09/05/02 BORDERS GROUP INC DE X X 09/11/02 BRIGHTCUBE INC NV X 09/11/02 CALPINE CORP DE X X 09/10/02 CAPITAL ONE MASTER TRUST NY X X 09/10/02 CASUAL MALE RETAIL GROUP INC DE X X 09/11/02 CASUAL MALE RETAIL GROUP INC DE X X 09/11/02 CASUAL MALE RETAIL GROUP INC DE X 05/14/02 AMEND CHARTER FINANCIAL CORP/GA X X 09/10/02 CHEVRONTEXACO CORP DE X 09/10/02 CIRCLE GROUP INTERNET INC IL X X 08/27/02 CLEVELAND ELECTRIC ILLUMINATING CO OH X X 09/09/02 COUNTY BANK CORP MI X 09/11/02 COVENTRY HEALTH CARE INC DE X 08/29/02 CWMBS INC DE X X 06/28/02 CWMBS INC DE X X 06/28/02 CWMBS INC DE X X 09/11/02 DALEEN TECHNOLOGIES INC DE X 09/11/02 DELPHAX TECHNOLOGIES INC MN X 09/09/02 DELTA & PINE LAND CO DE X X 09/03/02 DOMINION RESOURCES INC /VA/ VA X X 09/09/02 DYNACORE HOLDINGS CORP DE X 08/19/02 ELEC COMMUNICATIONS CORP NY X 09/11/02 EMCEE BROADCAST PRODUCTS INC DE X 08/28/02 EMCEE BROADCAST PRODUCTS INC DE X 09/09/02 ENHERENT CORP DE X 09/10/02 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 09/11/02 FOREST CITY ENTERPRISES INC OH X 09/11/02 GAP INC DE X X 09/10/02 GEN PROBE INC DE X 09/09/02 GENERAL GROWTH PROPERTIES INC DE X 08/26/02 GEORGIA PACIFIC CORP GA X X 08/30/02 GK INTELLIGENT SYSTEMS INC DE X 09/11/02 GLOBETRAC INC DE X X X 09/11/02 GOSUN COMMUNICATIONS LTD INC TX X 06/10/02 GOTTSCHALKS INC DE X 09/09/02 GRAND COURT LIFESTYLES INC DE X X 09/04/02 GS MORTGAGE SECURITIES CORP DE X X 09/09/02 GS MORTGAGE SECURITIES CORP DE X X 09/09/02 HAUSER INC DE X X 08/27/02 HORIZON MEDICAL PRODUCTS INC GA X X X 09/03/02 HORIZON OFFSHORE INC DE X X 09/10/02 HOUSEHOLD AUTO RECEIVABLES CORP NV X X 08/08/02 INTERNATIONAL TOTAL SERVICES INC OH X X 09/06/02 INTRAWARE INC DE X X 08/12/02 ITIS INC DE X X 08/27/02 JACOBSON STORES INC MI X X 09/04/02 JSCE INC DE X X 09/10/02 JUDGE GROUP INC PA X X 09/06/02 KESTREL ENERGY INC CO X X 08/22/02 AMEND MACKIE DESIGNS INC WA X 09/06/02 MED-DESIGN CORP DE X 09/10/02 MEMC ELECTRONIC MATERIALS INC DE X 09/10/02 MERISTAR HOSPITALITY CORP MD X 09/11/02 MERISTAR HOSPITALITY OPERATING PARTNE DE X 09/11/02 MERITAGE CORP MD X X 07/12/02 AMEND MMCA AUTO RECEIVABLES TRUST DE X 09/11/02 MMCA AUTO RECEIVABLES TRUST DE X X 09/11/02 MMCA AUTO RECEIVABLES TRUST DE X X 09/11/02 MMCA AUTO RECEIVABLES TRUST DE X X 09/11/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 08/27/02 NCR CORP MD X 09/11/02 NISOURCE INC/DE DE X 09/11/02 NISOURCE INC/DE DE X 09/11/02 AMEND OHIO ART CO OH X X 09/10/02 OPENTV CORP X 08/27/02 OWOSSO CORP PA X 07/30/02 PONCA ACQUISITION NV X X X 12/27/01 PRESIDENTIAL REALTY CORP/DE/ DE X 08/30/02 PROBEX CORP CO X X 09/10/02 REGENT COMMUNICATIONS INC DE X X 08/27/02 REGIS CORP MN X X 08/15/02 RESIDENTIAL ASSET FUNDING CORP NC X 09/11/02 RESMED INC DE X 09/09/02 ROYAL GOLD INC /DE/ DE X 09/11/02 SAFE ALTERNATIVES CORP OF AMERICA INC FL X 08/15/02 AMEND SALIX PHARMACEUTICALS LTD X X 09/10/02 SCB COMPUTER TECHNOLOGY INC TN X X 09/10/02 SCOTTS LIQUID GOLD INC CO X X 09/09/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 07/19/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/19/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 07/22/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/20/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 07/30/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 08/29/02 SEQUOIA RESIDENTIAL FUNDING INC X X 08/20/02 SMURFIT STONE CONTAINER CORP DE X X 09/10/02 SOFTSTONE INC /DE/ DE X 09/05/02 TIFFANY & CO DE X X 09/11/02 TIMCO AVIATION SERVICES INC DE X X 06/12/02 AMEND TRUDY CORP DE X 09/10/02 UNITED TECHNOLOGIES CORP /DE/ DE X X 09/10/02 UNIVERSAL BROADBAND COMMUNICATIONS IN NV X X 08/30/02 US MICROBICS INC CO X 09/30/02 VENTURES NATIONAL INC UT X X 09/11/02 VIALINK CO DE X 09/11/02 VIRGINIA ELECTRIC & POWER CO VA X X 09/10/02 WARREN RESOURCES INC NY X X 09/05/02 WITNESS SYSTEMS INC DE X X X 09/05/02 YOUTHSTREAM MEDIA NETWORKS INC DE X 09/11/02 ZIONS BANCORPORATION /UT/ UT X 09/10/02