SEC NEWS DIGEST Issue 2002-203 October 21, 2002 COMMISSION ANNOUNCEMENTS CHANGE IN THE MEETING: TIME CHANGE The closed meeting scheduled for Thursday, Oct. 17 at 10:00 a.m. was changed to Thursday, Oct. 17 at 11:00 a.m. 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. RULES AND RELATED MATTERS IMPROPER INFLUENCE ON CONDUCT OF AUDITS The Commission is proposing for comment amendments to Regulation 13B2 that would implement Section 303 of the Sarbanes-Oxley Act of 2002. The proposed rules would prohibit officers and directors of an issuer, and persons acting under the direction of an officer or director, from fraudulently influencing, coercing, manipulating or misleading the auditor of the issuer's financial statements if that person knew or was unreasonable in not knowing that such action could render the financial statements materially misleading. For further information, please contact Robert Burns, Office of the Chief Accountant, at (202) 942-4425. (Rels. 34-46685; IC-25773; File No. S7-39-02) ENFORCEMENT PROCEEDINGS SEC BARS BELEW FROM ASSOCIATING WITH A BROKER OR DEALER On Oct. 21, the Commission issued an order barring Joseph Randolph Belew from associating with a broker or dealer. Belew previously owned 50 percent of Chimneyville Investments Group, Inc., a registered broker- dealer located in Jackson, Mississippi. The Order finds that the Commission filed a civil injunctive action entitled U.S. Securities and Exchange Commission v. Chimneyville Investments Group, Inc. and Joseph Randolph Belew, Civil Action Number 3:98-CV-574 WS, in Sept. 1998, alleging violations of federal securities laws. The complaint in that matter alleged, among other things, that Belew misappropriated for his own use funds entrusted to him by customers for investments in securities and that he aided and abetted the failure of his firm to maintain adequate net capital and to keep adequate books and records. The Order further finds that Belew was enjoined by consent from future violations by a court order issued in July 2002. (Rel. 34-46687; File No. 3-10874) BARRY SAFFER, FORMER SENIOR FINANCIAL OFFICIAL OF MANUGISTICS GROUP, INC., SENTENCED TO TWO YEARS FOR ILLEGAL INSIDER TRADING On Oct. 17, Barry L. Saffer, a former Director of Financial Planning and Analysis with Manugistics Group, Inc. in Rockville, Maryland, was sentenced to twenty-four months of incarceration for illegal insider trading (See United States v. Barry L. Saffer, 02 CR 864, NRB, SDNY). The court delayed ordering restitution pending resolution of a civil enforcement action filed against Saffer by the Commission, which seeks disgorgement and other remedies. The Honorable Naomi Reice Buchwald of the United States District Court for the Southern District of New York imposed the sentence. On July 2, 2002, Saffer pleaded guilty to ten counts of securities fraud. Saffer obtained nonpublic company information by virtue of his position with Manugistics and traded in advance of company news announcements on multiple occasions over a three-year period from Jan. 1999 through March 2002. Also on July 2, 2002, the Commission filed a related civil action against Saffer alleging that he violated the antifraud provisions of the federal securities laws by engaging in illegal insider trading (See SEC v. Barry L. Saffer, Litigation Release No. 17597, July 3, 2002). The Commission seeks an injunction, disgorgement with prejudgment interest, and a penalty. The civil action is pending. [US v. Barry L. Saffer, 02 CR 864, NRB, SDNY]; [SEC v. Barry L. Saffer and Mindy W. Saffer, 02 CIV 5117, SWK, SDNY] (LR-17792) COURT ISSUES PRELIMINARY INJUNCTIONS AND ASSET FREEZES AGAINST CLAUDE LEFEBVRE, DENNIS HERULA, MARY LEE CAPALBO, RMO ASSETS MANAGEMENT AND WATCH HILL CAPITAL MANAGEMENT IN SECURITIES FRAUD CASE The Commission announced today that it has obtained preliminary injunctions and asset freezes in a civil fraud action filed against Claude Lefebvre, a purported bond trader, Dennis Herula, a former Rhode Island broker, Mary Lee Capalbo, Herula's wife, and others in connection with a fraudulent scheme that raised $40 million from investors during July 2002. The Commission filed its action on July 31, 2002, and a California federal court entered temporary restraining orders and asset freezes against the defendants on August 1. The court orally entered preliminary injunctions and asset freezes against Lefebvre and RMO Assets Management during an Oct. 1 hearing, and issued a written preliminary injunction and asset freeze order against Herula, Capalbo and Watch Hill Capital Management on Oct. 15. The Commission alleged in its complaint that Lefebvre, acting through RMO Assets Management and Watch Hill Capital Management, falsely promised investors exorbitant returns, such as a 100% return per week, through a fraudulent prime bank trading program. The Commission's complaint alleged that Herula aided and abetted Lefebvre's violations of the federal securities laws, and named Capalbo as a relief defendant on the grounds that she received at least $3 million of investor funds to which she had no legitimate claim. The complaint further alleged that, in the span of several weeks in July 2002, Lefebvre, Herula, and Capalbo spent at least $4 million in investor funds on personal and luxury items such as cars, jewelry, and large hotel bills. The court entered preliminary injunctions against Lefebvre, RMO Assets Management, Herula, Capalbo and Watch Hill Capital Management, prohibiting them from committing further violations of the antifraud provisions of the federal securities laws [Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder]. Although the Commission charged Capalbo as a relief defendant, the court nonetheless found that the Commission made a substantial showing that Capalbo aided and abetted the securities laws violations alleged in the case, and applied the preliminary injunction to Capalbo as well. The court also imposed asset freezes against all of the same defendants. For further information, please see, Litigation Release No. 17759 (Oct. 1, 2002) [civil contempt charges against Lefebvre and RMO Assets Management for violating the court's August 1, 2002 temporary restraining order]; Litigation Release No. 17729 (Sept. 17, 2002) [Lefebvre arrested and charged in parallel criminal action]; Litigation Release No. 17652 (August 2, 2002) [temporary restraining order and asset freeze against Lefebvre, Herula, and others]; Litigation Release Nos. 17737 (Sept. 19, 2002), 17514 (May 13, 2002), and 17461 (April 5, 2002) [separate action filed in federal district court in Rhode Island alleging similar fraudulent scheme by Herula, Capalbo, and others]. [SEC v. Claude Lefebvre, et al., USDC, NDCA, No. C 02-3704, SBA] (LR-17793) INVESTMENT COMPANY ACT RELEASES BLDRS INDEX FUNDS TRUST, SERIES 1, ET AL. A notice has been issued giving interested persons until Nov. 7, 2002, to request a hearing on an application filed by BLDRS Index Funds Trust, Series 1, 2, 3, 4, 5, 6 and 7 (Fund), Nasdaq Financial Products Services, Inc. (Sponsor), and ALPS Distributors, Inc. for an order to permit: (a) the Fund, a unit investment trust with multiple series (each, a "Trust") whose portfolios will consist of the component stocks of certain depositary receipt indices to issue shares of limited redeemability that would trade in the secondary market at negotiated prices (Trust Shares); (b) dealers to sell Trust Shares to purchasers in the secondary market unaccompanied by a prospectus, when prospectus delivery is not required by the Securities Act of 1933; (c) the Trust, rather than the Sponsor, to bear certain expenses associated with its creation and maintenance; (d) certain "affiliated persons" of the Trust to deposit securities into, and receive securities from, the Trust in connection with the purchase and redemption of Trust Shares; and (e) the Trust to reimburse the Sponsor for payment of an annual licensing fee to The Bank of New York, the provider of the underlying indices. The order would also exempt the Sponsor from purchasing, or placing with others, $100,000 worth of Trust Shares. (Rel. IC-25772 - Oct. 17) HOLDING COMPANY ACT RELEASES ALLEGHENY ENERGY, INC., ET AL. A supplemental order has been issued authorizing a proposal by Allegheny Energy, Inc., a registered holding company, and Allegheny Energy Supply Company, LLC (Supply), its wholly owned generating subsidiary company, whereby Supply will issue and sell up to $2 billion of short-term and/or long-term debt at any one time outstanding, secured by substantially all of the assets of Supply its subsidiaries. (Rel. 35-27579) SELF-REGULATORY ORGANIZATIONS ACKNOWLEDGEMENT OF RECEIPT OF FORMS 1-N The Commission has acknowledged receipt of Forms 1-N from the Chicago Mercantile Exchange Inc., OneChicago, LLC and Nasdaq LIFFE Markets, LLC to trade security futures. (Rels. 34- 46668, 34-46669, 34-46670) IMMEDIATE EFFECTIVENESS OF PROPOSED AMENDMENT The Options Price Reporting Authority filed a notice of filing and immediate effectiveness of a proposed Plan amendment pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934 (SR-OPRA-2002-04) to revise its fees. (Rel. 34-46675) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change filed by the Philadelphia Stock Exchange relating to amending Exchange Rule 607, Registration Fee, and Deleting Exchange Rule 608, Charge for Making Transaction (SR-Phlx-2002-51) 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 October 21. (Rel. 34-46682) PROPOSED RULE CHANGE The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2002-27) and Amendment Nos. 1 and 2 thereto relating to permanent approval of the 100 Spoke RAES Wheel. Publication of the proposal is expected in the Federal Register during the week of October 21. (Rel. 34-46683) ACCELERATED APPROVAL OF PROPOSED RULE CHANGE The Commission granted accelerated approval to a proposed rule change (SR-NYSE-2002-51) submitted by the New York Stock Exchange regarding listing and trading of certain exchange traded funds on the Exchange. Publication of the notice is expected in the Federal Register is expected during the week of October 21. (Rel. 34-46686) 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 PAUL SON GAMING CORP, 1700 S INDUSTRIAL ROAD, LAS VEGAS, NV, 89102, 7023842425 - 0 ($1,161,097.00) Equity, (File 333-100608 - Oct. 18) (BR. 05) S-4 PHOTOMEDEX INC, FIVE RADNOR CORPORATE CENTER, SUITE 470, RADNOR, PA, 19087, 4072814103 - 2,607,320 ($3,598,102.00) Equity, (File 333-100609 - Oct. 18) (BR. 36) S-8 MULTIMEDIA GAMES INC, 8900 SHOAL CREEK BLVD, STE 300, AUSTIN, TX, 78757, 5123717100 - 0 ($37,887,500.00) Equity, (File 333-100611 - Oct. 18) (BR. 05) S-8 MULTIMEDIA GAMES INC, 8900 SHOAL CREEK BLVD, STE 300, AUSTIN, TX, 78757, 5123717100 - 0 ($15,079,225.00) Equity, (File 333-100612 - Oct. 18) (BR. 05) S-3 ACETO CORP, ONE HOLLOW LANE, LAKE SUCCESS, NY, 11042, 5166276000 - 600,000 ($5,148,000.00) Equity, (File 333-100613 - Oct. 18) (BR. 02) S-3 GS MORTGAGE SECURITIES CORP, 85 BROAD STREET, NEW YORK, NY, 10004, 1 ($1,000,000.00) Other, (File 333-100615 - Oct. 18) (BR. 05) S-8 APOGEE ENTERPRISES INC, 7900 XERXES AVE S, SUITE 1800, MINNEAPOLIS, MN, 55431, 6128351874 - 0 ($19,116,000.00) Equity, (File 333-100618 - Oct. 18) (BR. 06) S-3 ACCREDITED HOME LENDERS INC, 11000 BROKEN LAND PARKWAY, NORWEST BANK MINNESOTA, COLUMBIA, MD, 21044, 8586762100 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-100619 - Oct. 18) (BR. 08) N-2 COHEN & STEERS ADVANTAGE INCOME FUND INC, 757 THIRD AVE, NEW YORK, NY, 10017, 2128323232 - 40 ($1,000,000.00) Equity, (File 333-100620 - Oct. 18) (BR. 22) S-3 WORLD OMNI AUTO RECEIVABLES LLC, 190 NW 12TH AVENUE, DEERFIELD BEACH, FL, 33442, 9544292200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-100621 - Oct. 18) (BR. 05) SB-2 MOBILEPRO CORP, 3204 TOWER OAKS BLVD., SUITE 350, ROCKVILLE, MD, 20852, 301-230-9125 - 37,614,557 ($3,761,455.70) Equity, (File 333-100622 - Oct. 18) (BR. 09) S-3 PUBLIC SERVICE CO OF OKLAHOMA, 212 E 6TH ST, TULSA, OK, 74119, 9185992000 - 0 ($306,000,000.00) Non-Convertible Debt, (File 333-100623 - Oct. 18) (BR. 02) S-8 MEDTRONIC INC, 710 MEDTRONIC PKWY, MS LC300, MINNEAPOLIS, MN, 55432, 7635144000 - 0 ($562,478.58) Equity, (File 333-100624 - Oct. 18) (BR. 36) S-3 WESTELL TECHNOLOGIES INC, 750 N COMMONS DRIVE, AURORA, IL, 60504, 6308982500 - 512,820 ($594,871.20) Equity, (File 333-100625 - Oct. 18) (BR. 37) S-3 MANUGISTICS GROUP INC, 2115 E JEFFERSON ST, ROCKVILLE, MD, 20852, 3019845000 - 66,979 ($151,373.00) Equity, (File 333-100627 - Oct. 18) (BR. 03) S-8 AFFILIATED MANAGERS GROUP INC, 600 HALE STREET, /, PRIDES CROSSING, MA, 01965, 6177473300 - 0 ($85,840,000.00) Equity, (File 333-100628 - Oct. 18) (BR. 07) S-8 SCM MICROSYSTEMS INC, 160 KNOWLES DRIVE, LOS GATOS, CA, 95030, 4083704888 - 0 ($14,251,386.24) Equity, (File 333-100629 - Oct. 18) (BR. 03) S-8 FIRST INDUSTRIAL REALTY TRUST INC, 311 S WACKER DRIVE, SUITE 4000, CHICAGO, IL, 60606, 3123444300 - 2,000,000 ($57,660,000.00) Equity, (File 333-100630 - Oct. 18) (BR. 08) S-3 EQUITY RESIDENTIAL PROPERTIES TRUST, TWO N RIVERSIDE PLZ, STE 400, CHICAGO, IL, 60606, 3124741300 - 0 ($8,803,125.00) Equity, (File 333-100631 - Oct. 18) (BR. 08) S-3 SOUTHWESTERN ELECTRIC POWER CO, 428 TRAVIS ST, SHREVEPORT, LA, 71156, 3182222141 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-100632 - Oct. 18) (BR. 02) S-3 NOVATEL WIRELESS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO, CA, 92121, 8583208800 - 22,382,634 ($3,581,221.44) Equity, (File 333-100633 - Oct. 18) (BR. 03) N-2 BOULDER GROWTH & INCOME FUND, 1680 38TH STREET, SUITE 800, BOULDER, CO, 80301, 3034445483 - 5,663,892 ($29,169,043.00) Equity, (File 333-100634 - Oct. 18) (BR. 18) S-8 PSYCHIATRIC SOLUTIONS INC, 113 SEABOARD LANE, SUITE C-100, FRANKLIN, TN, 37067, 615-312-5700 - 0 ($2,174,777.00) Equity, (File 333-100635 - Oct. 18) (BR. 01) SB-2 ENWIN RESOURCES INC, 2,000,000 ($200,000.00) Equity, (File 333-100636 - Oct. 18) (BR. ) S-3 ALTAIR NANOTECHNOLOGIES INC, 1725 SHERIDAN AVE, SUITE 140, CODY, WY, 82414, 3075878245 - 8,616,660 ($5,557,746.00) Equity, (File 333-100637 - Oct. 18) (BR. 04) S-3 CELSION CORP, 10220-I OLD COLUMBIA PIKE, STE I, COLUMBIA, MD, 21046-1705, 4102905390 - 10,036,000 ($3,914,040.00) Equity, (File 333-100638 - Oct. 18) (BR. 36) S-4 MASCO CORP /DE/, 21001 VAN BORN RD, TAYLOR, MI, 48180, 3132747400 - 45,530,539 ($836,744,257.30) Equity, (File 333-100639 - Oct. 18) (BR. 06) S-4 KAISER GROUP HOLDINGS INC, 9300 LEE HWY, FAIRFAX, VA, 22031, 7039343600 - 0 ($40,000,000.00) Debt Convertible into Equity, (File 333-100640 - Oct. 18) (BR. 06) S-3 MASCO CORP /DE/, 21001 VAN BORN RD, TAYLOR, MI, 48180, 3132747400 - 0 ($2,000,000,000.00) Other, (File 333-100641 - Oct. 18) (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 ------------------------------------------------------------------------------------ ADELPHIA COMMUNICATIONS CORP DE X 10/10/02 ADVANCED MICRO DEVICES INC DE X X 10/16/02 ADVOCAT INC DE X 10/18/02 AGL RESOURCES INC GA X 10/18/02 AIRSPAN NETWORKS INC WA X X 10/04/02 ALASKA COMMUNICATIONS SYSTEMS HOLDING DE X X 10/02/02 ALLETE INC MN X 10/18/02 AMERCO /NV/ NV X X 10/15/02 AMERI-FIRST FINANCIAL GROUP INC DE X X 07/11/01 AMEND AMERI-FIRST FINANCIAL GROUP INC DE X X 08/27/02 AMEND AMERICREDIT FINANCIAL SERVICES INC DE X X 10/16/02 AMES NATIONAL CORP IA X 10/18/02 AMKOR TECHNOLOGY INC DE X X 10/18/02 ARBITRON INC DE X X 10/17/02 ARIZONA PUBLIC SERVICE CO AZ X 10/17/02 ASSET BACKED SECURITIES CORP DE X 10/18/02 ASSET BACKED SECURITIES CORP DE X 10/18/02 ATCHISON CASTING CORP KS X X 10/17/02 ATLAS AIR INC DE X 10/18/02 ATLAS AIR WORLDWIDE HOLDINGS INC DE X 10/18/02 AULT INC MN X X 07/16/02 AMEND AVNET INC NY X X 10/16/02 AXEDA SYSTEMS INC DE X 10/17/02 BEAR STEARNS COMMERCIAL MORTGAGE SEC DE X X 10/03/02 BERKSHIRE HILLS BANCORP INC X X 10/17/02 BIOMARIN PHARMACEUTICAL INC DE X 10/17/02 AMEND BLUE RIVER BANCSHARES INC IN X X 10/18/02 BOEING CAPITAL CORP DE X X 10/18/02 CELL GENESYS INC DE X 10/18/02 CHAMPION ENTERPRISES INC MI X X 10/18/02 CHEMED CORP DE X X 10/09/02 CHITTENDEN CORP /VT/ VT X 10/17/02 CIGNA CORP DE X X 10/18/02 CIT GROUP INC NV X X 10/17/02 CLARUS CORP DE X X 10/17/02 CNET NETWORKS INC DE X X 10/18/02 COCA COLA ENTERPRISES INC DE X X 10/16/02 COLUMBIA LABORATORIES INC DE X X 10/17/02 COMDISCO HOLDING CO INC DE X X 10/18/02 COMMUNITY BANKS INC /PA/ PA X 09/30/02 COWLITZ BANCORPORATION WA X X 10/18/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/18/02 CROSS COUNTRY INC DE X X 10/09/02 CV THERAPEUTICS INC DE X X 10/17/02 CWABS INC DE X X 10/10/02 CWABS INC DE X X 08/14/02 CWABS INC DE X X 09/30/02 CYGNUS INC /DE/ DE X X 10/17/02 DEALER AUTO RECEIVABLES CO LLC DE X X 10/15/02 DELPHI CORP DE X 10/17/02 DIAL CORP /NEW/ DE X X X 10/17/02 DIGITAL POWER CORP CA X 10/17/02 DIGITAL WORLD CUP INC X 10/10/01 DIRECTRIX INC DE X 10/02/02 DISCOVER CARD MASTER TRUST I DE X X 10/17/02 DSL NET INC DE X X 10/16/02 EAST TEXAS FINANCIAL SERVICES INC DE X X 10/18/02 EL PASO ENERGY PARTNERS LP DE X X 10/18/02 ELMERS RESTAURANTS INC OR X 10/15/02 EN POINTE TECHNOLOGIES INC DE X X 10/11/02 ENCOMPASS SERVICES CORP TX X X 10/18/02 ENSCO INTERNATIONAL INC DE X 10/17/02 ENTERGY CORP /DE/ DE X X 10/18/02 ENTERGY MISSISSIPPI INC MS X X 10/18/02 ENTERRA ENERGY CORP A0 X 10/15/02 EQUIFAX INC GA X X 10/17/02 EQUITY ONE ABS INC DE X X 10/16/02 EXACT SCIENCES CORP DE X X 10/17/02 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE X X 10/18/02 FARMSTEAD TELEPHONE GROUP INC DE X X 10/16/02 FEDDERS CORP /DE DE X X 10/18/02 FIBERNET TELECOM GROUP INC\ DE X X 10/18/02 FIRST ALLIANCE CORP /DE/ DE X X 10/11/02 FIRST COMMUNITY BANCSHARES INC /NV/ NV X 09/30/02 FIRST MORTGAGE CORP /CA/ CA X 10/16/02 FIRST NATIONAL FUNDING LLC NE X X 10/18/02 FNANB CREDIT CARD MASTER TRUST X X 09/30/02 FOG CUTTER CAPITAL GROUP INC MD X X 10/18/02 FRONTIER FINANCIAL CORP /WA/ WA X X 10/17/02 FSI INTERNATIONAL INC MN X X 10/15/02 FULLCIRCLE REGISTRY INC NV X X 10/18/02 AMEND GENAERA CORP DE X X 10/17/02 HEADWATERS INC DE X X 10/14/02 HFB FINANCIAL CORP TN X X 09/26/02 HUNTINGTON BANCSHARES INC/MD MD X X 10/16/02 HYPERTENSION DIAGNOSTICS INC /MN MN X X 10/17/02 IBIZ TECHNOLOGY CORP FL X X 10/17/02 INDIAN RIVER BANKING COMPANY FL X X 10/18/02 INPRIMIS INC FL X 09/06/02 AMEND INTERNATIONAL RECTIFIER CORP /DE/ DE X 10/10/02 INTRUSION INC DE X 10/17/02 J P MORGAN CHASE & CO DE X X 10/16/02 JACKSONVILLE BANCORP INC /FL/ FL X X 10/17/02 KITTY HAWK INC DE X 10/18/02 LEHMAN BROTHERS HOLDINGS INC DE X 10/18/02 LEXINGTON PRECISION CORP DE X X 10/18/02 LOEWS CORP DE X 10/18/02 LUCENT TECHNOLOGIES INC DE X X 10/18/02 MAHASKA INVESTMENT CO IA X 10/03/02 MAINE PUBLIC SERVICE CO ME X 10/18/02 MAINSOURCE FINANCIAL GROUP IN X X 10/10/02 MANTECH INTERNATIONAL CORP DE X X 08/05/02 AMEND MANUFACTURED HOUSING CONT SEN/SUB PAS TN X 09/25/02 MARTIN MARIETTA MATERIALS INC NC X X 10/18/02 MATTEL INC /DE/ DE X X 10/18/02 MAXXAM INC DE X 10/18/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 09/30/02 MBNA AMERICA BANK NATIONAL ASSOCIATIO DE X X 09/30/02 MBNA CORP MD X 09/30/02 MELLON FINANCIAL CORP PA X X 10/16/02 MERCANTILE BANKSHARES CORP MD X X 10/17/02 MERCK & CO INC NJ X X 10/18/02 MERRILL LYNCH & CO INC DE X 10/17/02 METRIS COMPANIES INC DE X 10/16/02 METROPOLITAN HEALTH NETWORKS INC FL X 09/24/02 MFB CORP IN X 09/30/02 MFB CORP IN X 09/30/02 MORGAN STANLEY DE X 10/17/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/15/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 10/17/02 MORTGAGE ASSET SEC TRANS INC MORT PA DE X X 09/30/02 MTC TECHNOLOGIES INC DE X X 10/18/02 MULTI LINK TELECOMMUNICATIONS INC CO X X 10/14/02 NATIONWIDE FINANCIAL SERVICES INC/ DE X X 10/16/02 NATIONWIDE LIFE INSURANCE CO OH X X 10/16/02 NAVISTAR INTERNATIONAL CORP DE X 10/17/02 NEWPORT CORP NV X X 10/18/02 NEXELL THERAPEUTICS INC DE X X 10/16/02 NS GROUP INC KY X X 10/17/02 NUI CORP /NJ/ NJ X 10/18/02 OGE ENERGY CORP OK X 10/18/02 OIL DRI CORPORATION OF AMERICA DE X 10/18/02 OLYMPUS COMMUNICATIONS LP DE X 10/10/02 OPTI INC CA X 09/30/02 ORALABS HOLDING CORP CO X X 10/15/02 PACIFIC NORTHWEST BANCORP WA X X 10/16/02 PACIFIC NORTHWEST BANCORP WA X X 10/17/02 PENNZOIL QUAKER STATE CO DE X X 10/17/02 PEOPLES FINANCIAL SERVICES CORP/ PA X 10/18/02 PEOPLES HOLDING CO MS X X X 10/18/02 PIEDMONT NATURAL GAS CO INC NC X X 10/16/02 PINNACLE WEST CAPITAL CORP AZ X X 10/17/02 PNC MORT SEC CORP COM MORT PASS THR C MO X X 10/15/02 PNC MORTGAGE ACCEPTANCE CORP MO X X 10/15/02 POLARIS INDUSTRIES INC/MN MN X 10/18/02 PPL CORP PA X X 10/17/02 PRESTIGE GROUP NET INC NV X X 10/18/02 PSB HOLDINGS INC /WI/ WI X X X 10/18/02 PUEBLO XTRA INTERNATIONAL INC DE X 10/18/02 PUEBLO XTRA INTERNATIONAL INC DE X 10/18/02 QRS CORP DE X X 10/17/02 QUADRAMED CORP DE X X 10/16/02 RCN CORP /DE/ DE X X 10/17/02 REGENCY AFFILIATES INC DE X X 10/16/02 RUBY TUESDAY INC GA X 10/18/02 SAFETY KLEEN CORP/ DE X X 10/15/02 SCANSOURCE INC SC X X 10/11/02 SCP POOL CORP DE X X 09/30/02 SCS TRANSPORTATION INC DE X X 10/18/02 SEARS ROEBUCK & CO NY X X 10/17/02 SECOND BANCORP INC OH X 10/17/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 09/30/02 SHIRE PHARMACEUTICALS GROUP PLC X X 10/15/02 SI DIAMOND TECHNOLOGY INC TX X X 10/08/02 SIERRA HEALTH SERVICES INC NV X 10/18/02 SIGNATURE EYEWEAR INC CA X X 10/15/02 SLIPPERY ROCK FINANCIAL CORP PA X X 10/15/02 SMARTIRE SYSTEMS INC X X 10/16/02 SMITH INTERNATIONAL INC DE X X 10/17/02 SOUTHERN ENERGY HOMES INC DE X X 10/17/02 SOUTHWESTERN ENERGY CO AR X X 10/17/02 SPARTAN STORES INC MI X X 10/17/02 STAR STRUCK LTD DE X X 10/16/02 STATEN ISLAND BANCORP INC DE X X 10/16/02 STEWART & STEVENSON SERVICES INC TX X X 10/18/02 SUN HYDRAULICS CORP FL X X 10/17/02 TELLABS INC DE X 10/18/02 THISTLE GROUP HOLDINGS CO X X 10/17/02 TIMKEN CO OH X 10/17/02 TRUSTCO BANK CORP N Y NY X 10/18/02 UNION BANKSHARES INC VT X X 10/16/02 UNITRIN INC DE X X 10/17/02 UNIVERSITY REAL ESTATE PARTNERSHIP V CA X X 09/06/02 US HOME SYSTEMS INC /TX DE X X 10/17/02 US PATRIOT INC SC X X X 10/08/02 USAA ACCEPTANCE LLC X X 09/27/02 USAA ACCEPTANCE LLC AUTO OWNER TRUST X X 09/27/02 USFREIGHTWAYS CORP DE X 10/18/02 VALLEY FINANCIAL CORP /VA/ VA X 10/18/02 VANDERBILT MORT & FIN INC SENIOR SUB TN X 09/25/02 VANDERBILT MORTGAGE & FIN INC SEN SUB TN X 09/25/02 VISTEON CORP DE X X 10/18/02 VOICE MOBILITY INTERNATIONAL INC NV X 10/15/02 VOICE MOBILITY INTERNATIONAL INC NV X 10/15/02 AMEND WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 09/30/02 WD 40 CO DE X 10/02/02 WFN CREDIT CO LLC DE X 10/15/02 WICKES INC DE X 10/18/02 WORKSTREAM INC X X 10/11/02 WORLD FINANCIAL NETWORK NATIONAL BANK OH X 10/15/02 ZYMOGENETICS INC WA X X 10/04/02