SEC NEWS DIGEST Issue 2002-207 October 25, 2002 ENFORCEMENT PROCEEDINGS IN THE MATTER OF AMBASSADOR EYEWEAR GROUP, INC. The common stock registration of Ambassador Eyewear Group, Inc. (Ambassador), has been revoked. An administrative law judge ordered the sanction on Oct. 24. In finding Ambassador in default, the administrative law judge determined that it failed to comply with Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder. Pursuant to Section 12(j), Ambassador's common stock registration was revoked. (Rel. 34-46715; File No. 3-10900) SEC INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST EDGAR REED, FORMER CHIEF INVESTMENT OFFICER OF BACK BAY ADVISORS, L.P. On Oct. 25, the Commission instituted and simultaneously settled an administrative and cease-and-desist proceeding against Edgar M. Reed, former Chief Investment Officer of Back Bay Advisors, L.P., a now- defunct Boston-based investment adviser. The Commission found that Back Bay, under Reed's guidance, had effected affiliated transactions in violation of the Investment Company Act. The affiliated transactions arose largely out of trades - known as "cross trades" - that Back Bay effected between its mutual fund clients and Back Bay's parent company. The Commission also found that Reed had made misleading statements or omissions to clients about those affiliated transactions. The Commission further found that Reed violated the securities laws when he instructed a Back Bay trader to alter trade order tickets concerning cross trades after the Commission's staff had notified the adviser that it intended to conduct an inspection and examination of the firm. Without admitting or denying the Commission's findings, Reed consented to an order that included (i) a one-year suspension from association with an investment adviser or investment company, (ii) a censure, (iii) a cease-and-desist order, and (iv) a penalty of $25,000. The Commission found that, by virtue of the above-described conduct, Reed willfully violated Section 34(a) of the Investment Company Act and willfully aided and abetted and caused violations of Sections 204, 206(1) and (2) of the Advisers Act and Rule 204-2(a)(3) thereunder and Sections 17(a) and 34(b) of the Investment Company Act. (Rels. IA- 2069; IC-25786; File No. 3-10919) SEC INSTITUTES SETTLED ADMINISTRATIVE PROCEEDING AGAINST BACK BAY ADVISORS, L.P. FOR EFFECTING AFFILIATED TRANSACTIONS AND OTHER RELATED VIOLATIONS On Oct. 25, the Commission instituted and simultaneously settled an administrative proceeding against Back Bay Advisors, L.P. in which the Commission found that Back Bay had effected affiliated transactions in violation of the Investment Company Act of 1940 (Investment Company Act). The affiliated transactions arose largely out of trades - known as "cross trades" - that Back Bay effected between its mutual fund clients and Back Bay's parent company. The Commission also found that Back Bay had made false and misleading statements to clients about those affiliated transactions and had engaged in record-keeping violations when the firm's Chief Investment Officer instructed a Back Bay trader to alter trade order tickets concerning cross trades after the Commission's staff had notified the adviser that it intended to conduct an inspection and examination of the firm. Back Bay, which is no longer managing money for clients, compensated its clients in connection with losses they incurred. Without admitting or denying the Commission's findings, Back Bay consented to an order censuring the firm and imposing a penalty of $150,000. By virtue of the above-described conduct, Back Bay willfully violated Sections 204, 206(1), and 206(2) of the Investment Advisers Act (Advisers Act) and Rule 204-2(a)(3) thereunder and Section 34(a) of the Investment Company Act and willfully aided and abetted violations of Sections 17(a)(1) and (2) and 34(b) of the Investment Company Act. Back Bay also failed reasonably to supervise its personnel with a view to preventing their violations of Sections 17(a)(1) and (2) of the Investment Company Act, within the meaning of Section 203(e)(6) of the Advisers Act. (Rel. IA-2070; IC-25787; File No. 3-10920) COMMISSION SEEKS CIVIL CONTEMPT AGAINST WEARE AND J&K GLOBAL MARKETING FOR VIOLATION OF ASSET FREEZE The Commission announced that on Oct. 21 it filed a motion seeking entry of a civil contempt order against Kenneth Roy Weare, also known as Roy Weaver, a resident of Littleton, Colorado, and his company, J&K Global Marketing Corporation. The Commission alleged that Weare and J&K have violated orders entered by the United States District Court for the District of Colorado freezing the defendants' assets, requiring the defendants to repatriate funds held in offshore accounts, prepare an accounting of funds raised by the defendants in an investment scheme, and pay disgorgement of over $6.2 million in funds illegally obtained from investors. A hearing on the matter is set for October 29, 2002. On Jan. 8, 2002, the District Court entered a permanent injunction by default against Weare, J&K and AAA-Auction.com, another Colorado company operated by Weare. The Court found that Weare and J&K violated the anti- fraud and registration provisions of the federal securities laws when they used the Internet to sell $375 investments in a "rent/mortgage free" program that promised investors returns of 600 percent annually from funds that were suppose to be invested offshore. In fact, the defendants operated a Ponzi scheme where funds raised from later investors were used to pay purported returns to earlier investors. An analysis of the company's bank records disclosed no investments. The Court also found that Weare and AAA-Auction.com had engaged in securities fraud by making false representations to investors in connection with their investments in merchandise resale agreements offered by AAA-Auction, funds from which were to be used to buy merchandise that would be sold through AAA-Auction's live auction website allegedly for a large profit. The Court permanently enjoined Weare and J&K from violating Sections 5(a) and (c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and ordered Weare and J&K together to pay disgorgement of $6,278,334.91 and prejudgment interest of $486,848.02. The Court also ordered Weare to pay a civil penalty of $220,000 and J&K to pay a civil penalty of $110,000. The Court permanently enjoined AAA-Auction from violating Section 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b- 5, and ordered Weare and AAA-Auction together to pay disgorgement of $623,250.00 and prejudgment interest of $142,724.40. The Court also ordered the defendants' assets frozen until the judgments were satisfied, and ordered the defendants to repatriate funds held in offshore accounts. [SEC v. Kenneth Roy Weare, et al., Civil Action No. 01-K-0645, D. Colo.] (LR-17804) PERMANENT INJUNCTIONS ENTERED AGAINST STARCASH, INC., INFINITY CONSULTING, INC., JEAN LECLERCQ, KIP MARSIQUE AND FREDERICK SHAPIRO The Commission announced that on Sept. 23, 2002, the United States District Court for the Southern District of Florida entered final judgments of permanent injunction against Jean B. Leclercq (Leclercq) Kip Marsique (Marsique), and Frederick J. Shapiro (Shapiro) for fraud and for selling unregistered securities. This follows the Court's permanent injunction of August 8, 2002 entered against Starcash, Inc. (Starcash) and Infinity Consulting Services, Inc. (Infinity), both Florida corporations. Leclercq, Shapiro, Marsique, Starcash and Infinity, without admitting or denying the SEC's allegations, consented to the Court Order that permanently enjoins them 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 and Rule 10b-5 thereunder. In its complaint filed on May 16, 2002, the SEC alleged that Starcash, based in Boca Raton, and Ft. Lauderdale, Florida, conducted a fraudulent unregistered offering to raise investor funds for the purported purpose of funding payday advances in the form of short term loans. The SEC alleged that between Oct. 2001 and May 2002, the Starcash defendants raised more than $6 million from investors nationwide through a network of boiler rooms to allegedly fund short-term payday loans. According to the SEC's complaint, the Starcash defendants falsely represented that investor funds would be used to fund advance payday loans, and that the investments were virtually risk free and were secured by the purported loans. In fact, Starcash paid exorbitant commissions to the boiler rooms from investor monies, and the loans were unsafe and grossly undersecured. In addition, the complaint alleged that Starcash made baseless predictions to investors that its payday advance business could generate up to $80 million in revenue a year. On May 17, 2002, the Court entered, among other things, a temporary restraining order and an asset freeze against all defendants and relief defendants. On May 28, 2002, the Court entered an Order Granting Motion for Preliminary Injunction of Asset Freeze as to the relief defendants. On May 28, 2002, the Court entered a Preliminary Injunction and other relief against all defendants by consent without admitting or denying the charges. [SEC v. Starcash, et al., Case No. 02-80456-CIV- MIDDLEBROOKS/VITUNAC, SD FLORIDA] (LR-17805) COMMISSION CHARGES WILLIAM PARDUE WITH INSIDER TRADING IN STOCK OF CENTRAL SPRINKLER CORP. The Commission announced today that it filed a civil lawsuit against William J. Pardue, a Devon, Pennsylvania resident for insider trading using confidential information that Tyco International Ltd. planned to take over Central Sprinkler Corp. of Lansdale, Pennsylvania. The Commission's complaint, filed October 24, 2002 in Philadelphia federal district court, alleges that Pardue made more than $140,000 in illegal profits. The complaint alleges that Pardue had worked for Central Sprinkler for over 20 years, rising to become a senior officer. At the time of his trading, he was still employed by the company as a consultant. According to the complaint, Pardue learned from his father-in-law, the former chairman of Central Sprinkler, that Tyco was planning to acquire Central Sprinkler, and he illegally used the information to trade for his own personal profit. In the weeks before Tyco's public announcement of the acquisition, Pardue spent over $200,000 to accumulate 13,100 shares of Central Sprinkler stock. After the acquisition was announced, Pardue sold this stock for a profit of $140,475. * The Commission alleged in its complaint that defendant Pardue violated the antifraud provisions of the securities laws when he misused material nonpublic information about Central Sprinkler to trade for his personal profit. The Commission seeks a permanent injunction, disgorgement of illegal trading profits, prejudgment interest and civil penalties. [SEC v. William J. Pardue, USDC, EDPA, 02CV8048] (LR-17806) 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 has ceased to be an investment company: ABN AMRO Funds [File No. 811-7244] (Rel. IC-25777 - October 22, 2002) Principal High Yield Fund, Inc. [File No. 811-5174] (Rel. IC-25778 - October 22, 2002) Current Income Shares, Inc. [File No. 811-2357] (Rel. IC-25779 - October 22, 2002) Putnam Asia Pacific Growth Fund [File No. 811-6202] (Rel. IC-25780 - October 22, 2002) Putnam Strategic Income Fund [File No. 811-7221] (Rel. IC-25781 - October 22, 2002) Intermediate Tax Free Portfolio [File No. 811-6700] (Rel. IC-25782 - October 22, 2002) Alliance Money Market Fund [File No. 811-8838] (Rel. IC-25783 - October 22, 2002) HOLDING COMPANY ACT RELEASES CINERGY CORP. An order has been issued authorizing a proposal by Cinergy Corp. (Cinergy) to: (1) engage, indirectly through new or existing nonutility subsidiaries to provide infrastructure services (Infrastructure Services) in the United States, and (2) invest up to $500 million from time to time through March 31, 2005 in one or more new or existing companies that derive or will derive substantially all of their operating revenues from the sale of Infrastructure Services. Cinergy requests that the Commission reserve jurisdiction over sales of Infrastructure Services in any country other than the United States pending completion of the record. (Rel. 35-27581) PG&E CORP., ET AL. A supplemental notice has been issued giving interested persons until November 18, 2002 to request a hearing on a proposal by PG&E Corporation (PG&E Corp.), a holding company claiming exemption from registration under section 3(a)(1) of the Act by rule 2, Pacific Gas and Electric Company (PG&E), a direct public-utility company subsidiary of PG&E Corp., Newco Energy Corporation (Newco), Electric Generation LLC (Gen and collectively, Applicants), a direct nonutility subsidiary of PG&E. Applicants request authority to effect transactions that are part of PG&E's a plan of reorganization, including the acquisitions of Newco, a holding company within the meaning of the Act, and up to thirty-one public-utility companies, including Gen and ETrans LLC, which would be direct or indirect subsidiaries of Newco. (Rel. 35-27583) THE SOUTHERN COMPANY, ET AL. An order has been issued authorizing The Southern Company, a registered holding company, and Georgia Power Company, its public-utility company subsidiary, to: (1) organize special purpose subsidiaries (SPEs); (2) issue and sell, through June 30, 2006, up to $650 million of preferred securities through the SPEs; and (3) guarantee certain payments in connection with the SPE financings. (Rel. 35-27584) ALLEGHENY ENERGY, INC., ET AL. A supplemental order has been issued authorizing a proposal by Allegheny Energy, Inc. (Allegheny), a registered holding company, and certain of its subsidiaries to (i) add Mountaineer Gas Company, an indirect wholly owned utility subsidiary, as a participant in the Allegheny system money pool, and (ii) expand the term for short-term notes issued to banks from 270 days to 364 days. (Rel. 35-27585) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Phlx-2002-52) filed by the Philadelphia Stock Exchange to extend the PACE Price Improvement and Order Execution and Price Protection pilot programs until March 31, 2003 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of Oct. 28. (Rel. 34-46706) 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 C & F FINANCIAL CORP, EIGHTH & MAIN STREETS, P O BOX 391, WEST POINT, VA, 23181, 8048432360 - 0 ($2,287,000.00) Equity, (File 333-100701 - Oct. 24) (BR. 07) S-8 SOUTHWESTERN ENERGY CO, 2350 N. SAM HOUSTON PARKWAY EAST, SUITE 300, HOUSTON, TX, 77032, 2816184700 - 212,600 ($2,252,511.00) Equity, (File 333-100702 - Oct. 24) (BR. 04) S-8 ROCKY MOUNTAIN ENERGY CORP, 333 N SAM HOUSTON PKWY E, SUITE 910, HOUSTON, TX, 77060, 281-448-6500 - 300,000 ($6,000.00) Equity, (File 333-100703 - Oct. 24) (BR. 09) S-8 MOST HOME CORP, 20145 STEWART CRESCENT, SUITE 101, MAPLE RIDGE, BRITISH COLUMBIA, CANADA, A6, V2X 0T6, 604-460-7634 - 4,000,000 ($920,000.00) Equity, (File 333-100704 - Oct. 24) (BR. 06) S-8 DIGITAL WORLD CUP INC, 3266 YONGE STREET STE 1208, BC, TORONTO ONTARIO CANA, A6, 00000, 10,000,000 ($2,000,000.00) Equity, (File 333-100705 - Oct. 24) (BR. 08) S-3 SUPERGEN INC, 4140 DUBLIN BLVD, SUITE 200, DUBLIN, CA, 94568, 9255600100 - 0 ($6,760,976.00) Equity, (File 333-100707 - Oct. 24) (BR. 01) SB-2 AMERICAN AMMUNITION INC /CA, 3545 NW 71ST STREET, NONE, MIAMI, FL, 33147, (305) 835-7400 - 18,546,517 ($7,975,002.31) Equity, (File 333-100708 - Oct. 24) (BR. 06) S-8 COGNEX CORP, ONE VISION DR, NATICK, MA, 01760, 5086503000 - 0 ($129,637,500.00) Equity, (File 333-100709 - Oct. 24) (BR. 36) S-8 RADIO ONE INC, 5900 PRINCESS GARDEN PARKWAY, 8TH FL, LANHAM, MD, 20706, 3013061111 - 0 ($33,080,000.00) Equity, (File 333-100711 - Oct. 24) (BR. 37) S-8 TRIDENT SYSTEMS INTERNATIONAL INC, 180 NEWPORT CENTER DR, SUITE 100, NEWPORT BEACH, CA, 92660, 8012668093 - 3,000,000 ($120,000.00) Equity, (File 333-100712 - Oct. 24) (BR. 09) S-3 PRUCO LIFE INSURANCE OF NEW JERSEY, 213 WASHINGTON ST, NEWARK, NJ, 07102, 9738022859 - 0 ($200,000,000.00) Other, (File 333-100713 - Oct. 24) (BR. 20) S-8 PACEL CORP, 8870 RIXLEW LANE SUITE 201, MANASSAS, VA, 20109, 7032574759 - 30,000,000 ($217,500.00) Equity, (File 333-100714 - Oct. 24) (BR. 03) S-3 XOMA LTD /DE/, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 - 5,000,000 ($27,350,000.00) Equity, (File 333-100715 - Oct. 24) (BR. 01) S-8 SHUFFLE MASTER INC, 1106 PALMS AIRPORT DRIVE, LAS VEGAS, NV, 89119, 7028977150 - 0 ($39,420,000.00) Equity, (File 333-100716 - Oct. 24) (BR. 06) S-4 SWIFT & CO, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 9705068000 - 0 ($250,526,400.00) Non-Convertible Debt, (File 333-100717 - Oct. 24) (BR. ) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 2037287000 - 500,000 ($29,075,000.00) Equity, (File 333-100718 - Oct. 24) (BR. 05) S-3 CSK AUTO CORP, 645 E MISSOURI AVENUE, PHOENIX, AZ, 85012, 6022659200 - 3,041,967 ($36,686,122.02) Equity, (File 333-100719 - Oct. 24) (BR. 02) S-3 ALABAMA POWER CO, 600 N 18TH ST, P O BOX 2641, BIRMINGHAM, AL, 35291, 2052571000 - 2,045,000,000 ($2,045,000,000.00) Other, (File 333-100721 - Oct. 24) (BR. 02) S-8 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($155,534,000.00) Equity, (File 333-100722 - Oct. 24) (BR. 01) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 2037287000 - 8,000,000 ($465,200,000.00) Equity, (File 333-100723 - Oct. 24) (BR. 05) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 2037287000 - 18,000,000 ($1,046,700,000.00) Equity, (File 333-100724 - Oct. 24) (BR. 05) S-3 METAL MANAGEMENT INC, 500 N DEARBORN ST, STE 405, CHICAGO, IL, 60610, 3126450700 - 0 ($6,778,125.00) Equity, (File 333-100725 - Oct. 24) (BR. 02) S-8 METAL MANAGEMENT INC, 500 N DEARBORN ST, STE 405, CHICAGO, IL, 60610, 3126450700 - 0 ($7,500,000.00) Equity, (File 333-100726 - Oct. 24) (BR. 02) S-3 GENZYME CORP, ONE KENDALL SQ, CAMBRIDGE, MA, 02139, 6172527500 - 0 ($1,446,007.00) Equity, (File 333-100727 - Oct. 24) (BR. 01) S-1 EPIMMUNE INC, 5820 NANCY RIDGE DRIVE, SAN DIEGO, CA, 92121, 858-860-2500 - 7,250,000 ($7,431,250.00) Equity, (File 333-100728 - Oct. 24) (BR. 01) S-8 DENDRITE INTERNATIONAL INC, 1200 MOUNT KEMBLE AVE, MORRISTOWN, NJ, 07960, 2014251200 - 450,000 ($2,817,000.00) Equity, (File 333-100729 - Oct. 24) (BR. 03) S-8 DENDRITE INTERNATIONAL INC, 1200 MOUNT KEMBLE AVE, MORRISTOWN, NJ, 07960, 2014251200 - 1,500,000 ($9,390,000.00) Equity, (File 333-100730 - Oct. 24) (BR. 03) S-3 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 0 ($900,000,000.00) Other, (File 333-100731 - Oct. 24) (BR. 06) S-8 ROCKPORT HEALTHCARE GROUP INC, 50 BRIAR HOLLOW LANE, STE 515 WEST, HOUSTON, TX, 77027, 8007344460 - 0 ($220,000.00) Equity, (File 333-100732 - Oct. 24) (BR. 09) S-3 NETWOLVES CORP, 4002 EISENHOWER BOULEVARD, STE 101, TAMPA, FL, 33634, 8132868644 - 2,700,000 ($1,809,000.00) Equity, (File 333-100734 - Oct. 24) (BR. 03) 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 ------------------------------------------------------------------------------------ ABIOMED INC DE X 10/10/02 ABN AMRO MORTGAGE CORP DE X 10/01/02 ABN AMRO MORTGAGE CORP DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-2 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-3 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-4 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1998-5 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-1 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-2 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-3 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-4 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 1999-7 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-2 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2000-4 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-1A DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-2 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-1 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-1A DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-2 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-3 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-4 DE X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-5 IL X 10/01/02 ABN AMRO MORTGAGE CORP SERIES 2002-7 DE X 10/01/02 ADVANTA CORP DE X X 10/24/02 ADVANTAGE MARKETING SYSTEMS INC/OK OK X 10/23/02 AES CORPORATION DE X X 10/24/02 AFFILIATED MANAGERS GROUP INC DE X 10/23/02 AGWAY INC DE X X 10/22/02 AIRGAS INC DE X X 10/23/02 AIRTRAN HOLDINGS INC NV X X X 10/23/02 ALFORD REFRIGERATED WAREHOUSES INC X 10/18/02 AMEDISYS INC DE X X 10/23/02 AMERADA HESS CORP DE X 10/24/02 AMERICAN BIO MEDICA CORP NY X X 10/23/02 AMERICAN SOUTHWEST FINANCIAL SECURITI AZ X 10/01/02 AMERIQUEST MORT SEC INC ASS BK PAS T DE X 09/25/02 AMERIQUEST MORT SEC INC ASS BK PAS T DE X 07/25/02 AMEND AMERIQUEST MORT SEC INC ASS BK PAS T DE X 08/26/02 AMEND ANACOMP INC IN X 10/31/02 ANALYSTS INTERNATIONAL CORP MN X X 10/10/02 ANC RENTAL CORP DE X X 10/23/02 ANTS SOFTWARE INC DE X 10/23/02 ASSET BACKED FUNDING CORP DE X X 10/24/02 ATNG INC TX X 10/24/02 AUTOFUND SERVICING INC NV X 12/31/02 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 10/11/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 10/24/02 BAY VIEW SECURITIZATION CORP DE X X 09/30/02 BEAR STEARNS ASSET BACKED SECURITIES DE X 10/01/02 BELDEN & BLAKE CORP /OH/ OH X 10/10/02 BENTLEY COMMUNICATIONS CORP/DE DE X X X 10/14/02 BIOJECT MEDICAL TECHNOLOGIES INC OR X 10/11/02 CABOT MICROELECTRONICS CORP DE X X 10/24/02 CADMUS COMMUNICATIONS CORP/NEW VA X X 10/24/02 CALAVO GROWERS INC CA X X X 10/22/02 CALIFORNIA FIRST NATIONAL BANCORP CA X 10/23/02 CAP ROCK ENERGY CORP X 10/24/02 CAPITAL AUTO RECEIVABLES INC DE X 10/24/02 CAPITAL ONE FINANCIAL CORP DE X X 10/23/02 CAPRIUS INC DE X X 10/09/02 CARMINA TECHNOLOGIES INC UT X X X 10/11/02 CDC COMMERCIAL MORTGAGE TRUST 2002-FX X 10/01/02 CENTEX HOME EQUITY LOAN TRUST 2002-A X X 09/25/02 CENTEX HOME EQUITY LOAN TRUST 2002-A X X 10/25/02 CH ENERGY GROUP INC NY X 10/24/02 CHESAPEAKE CORP /VA/ VA X 10/24/02 CHURCHILL DOWNS INC KY X 09/30/02 CIT GROUP INC DE X X 10/17/02 CITICORP MORTGAGE SECURITIES INC DE X X 10/24/02 COHO ENERGY INC TX X X 10/21/02 COMMERCIAL MORTGAGE PASS THROUGH CERT DE X 10/01/02 COMMUNITY TRUST BANCORP INC /KY/ KY X 10/24/02 CORE SOLUTIONS INC NV X 10/23/02 COUNTRYWIDE HOME LOAN TRUST HOME LOAN NY X X 10/12/02 COVINGHAM CAPITAL CORP DE X X X 10/24/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 10/01/02 CURAGEN CORP DE X X 10/24/02 CWABS INC DE X X 10/15/02 CWABS INC DE X X 10/15/02 DAIRENE INTERNATIONAL X 10/21/02 DEPARTMENT 56 INC DE X 10/24/02 DIGITAL LIGHTWAVE INC DE X 10/24/02 DNB FINANCIAL CORP /PA/ PA X X 10/24/02 DOW CHEMICAL CO /DE/ DE X X 10/24/02 DST SYSTEMS INC DE X 10/23/02 EB2B COMMERCE INC /NY/ NJ X 09/30/02 EDGEWATER TECHNOLOGY INC/DE/ DE X X 10/23/02 EGAMES INC PA X X 10/23/02 ENDO PHARMACEUTICALS HOLDINGS INC DE X X 10/24/02 ENERCORP INC CO X X 10/24/02 ENERGY EAST CORP NY X 10/24/02 EQUIFAX INC GA X X 10/24/02 EXEGENICS INC DE X X 10/24/02 EXOTICS COM INC NV X 09/05/02 AMEND FINX GROUP INC NY X X 10/18/02 FIRST CHESTER COUNTY CORP PA X 10/24/02 FIRST CITIZENS BANCORPORATION OF SOUT SC X X 10/23/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 10/18/02 FIRST UNION LEH BRO BANK OF AMER COM NY X X 10/18/02 FMC CORP DE X X 10/21/02 FRANKLIN RESOURCES INC DE X X 10/24/02 GATX CORP NY X 10/23/02 GATX CORP NY X 10/24/02 GE CAPITAL COMMERCIAL MORT CORP MORT DE X X 10/10/02 GENEVA STEEL HOLDINGS CORP X X 10/22/02 GENZYME CORP MA X X 10/24/02 GENZYME CORP MA X X 10/24/02 GLEN MANOR RESOURCES INC NV X 09/30/02 GLOBAL MED TECHNOLOGIES INC CO X 10/24/02 GROUP 1 AUTOMOTIVE INC DE X X 10/24/02 GS MORTGAGE SECURITIES CORP DE X X 10/22/02 HANOVER COMPRESSOR CO / DE X 10/23/02 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 09/19/02 HEALTHCARE REALTY TRUST INC MD X X 10/24/02 HRPT PROPERTIES TRUST MD X X 10/10/02 HUNTINGTON BANCSHARES INC/MD MD X X 10/17/02 IBM CREDIT CORP DE X 09/30/02 ILLINOIS SUPERCONDUCTOR 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