SEC NEWS DIGEST Issue 2002-230 November 29, 2002 COMMISSION ANNOUNCEMENTS CHIEF OF STAFF MARK RADKE TO LEAVE COMMISSION On Nov. 27, SEC Chairman Harvey Pitt announced that Chief of Staff Mark Radke is leaving the SEC to return to the private sector. Radke, formerly a lawyer in private practice, joined the SEC in August, 2001. "In his fifteen months as SEC Chief of Staff, Mark was integrally involved in shaping our responses to a series of unprecedented crises, including the September 11th terrorist attacks and the revelation of financial fraud at a number of significant public companies," Pitt said. "The millions of investors whose interests we serve have benefited greatly from Mark's dedicated service, as have I. He is a consummate lawyer and a wonderful counselor." "It has been a privilege to play a role in the important work of this agency," Radke said. "And it has been an honor to work with a staff that is so talented and so dedicated to a critical mission - protecting investors and sustaining confidence in the markets." (Press Rel. 2002- 171) RULES AND RELATED MATTERS ORDER EXTENDING BROKER-DEALER EXEMPTION FROM SENDING FINANCIAL INFORMATION TO CUSTOMERS On Nov. 26, the Commission proposed for comment an amendment to Securities Exchange Act of 1934 (Exchange Act) Rule 17a-5(c) that would codify relief the Commission granted in a pilot program that exempted broker-dealers from the requirement of Exchange Act Section 17(e)(1)(B) and Rule 17a-5(c) to send their full balance sheet to their customers twice a year. To take advantage of the exemption, a broker-dealer would be required to (i) send its customers certain net capital information, (ii) send its full balance sheet to its customers upon request to a toll- free telephone number, and (iii) place its full balance sheet on its web site. The proposed amendment contains modifications from the pilot program regarding circumstances that would disqualify a firm from taking advantage of the relief and also eliminates the requirement contained in the pilot program that broker-dealers taking advantage of the relief submit reports to the Commission concerning the number of requests for copies of their balance sheets, the number of viewings of their balance sheets on their web sites, and customer complaints regarding the exemption. The Commission also extended interim relief for six months, to June 30, 2003. The Commission granted the relief as a two-year pilot program ending Dec. 31, 2001 (Rel. 34-42222, Dec. 10, 1999) and then extended the program for one year, to Dec. 31, 2002 (Rel. 34-45179, Dec. 20, 2001). (Rel. 34-46921) ENFORCEMENT PROCEEDINGS COMMISSION FILES CIVIL ACTION AGAINST JAWSH CORPORATION AND INSTITUTES PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST WILLIAM BATES FOR OPERATING AN UNREGISTERED INVESTMENT COMPANY AND SELLING $16 MILLION IN UNREGISTERED SECURITIES The Commission today announced that it has filed a civil action against Missouri-based Jawsh Corporation (Jawsh), an unregistered investment company, for selling unregistered securities and operating as an unregistered investment company in violation of the registration provisions of the federal securities laws. Simultaneous with the filing of the civil action, Jawsh consented to an order, without admitting or denying the Commission's allegations, except as to jurisdiction, which is admitted: (1) enjoining Jawsh from further violations of the registration provisions it violated; and (2) appointing a trustee to operate Jawsh, and dispose of any or all of its assets in the best interests of investors, and in compliance with the federal securities laws; and (3) freezing Jawsh's assets, and preserving its books and records, until the trustee has been appointed. On Nov. 27, the Commission instituted public administrative and cease-and-desist proceedings against Jawsh's sole officer, director and shareholder, William L. Bates (Bates), age 53, of St. Louis, Missouri, based on findings that: from about 1987 through about September 2000, Bates publicly offered and sold $16 million in unregistered securities to 250 investors in at least 11 states to invest in and trade securities, solely at Bates' discretion in violation of Sections 5(a) and 5(c) of the Securities Act of 1933, and caused and willfully aided and abetted Jawsh to act as an unregistered investment company in violation of Section 7(a) of the Investment Company Act of 1940. Simultaneous with the institution of administrative and cease-and-desist proceedings against Bates, the Commission accepted his Offer of Settlement pursuant to which he consented, without admitting or denying the Commission's findings, except as to jurisdiction, which is admitted, to issuance of a Commission order (Order) ordering Bates to: (1) cease and desist from committing or causing any violation, and any future violation, of the registration provisions the Commission found he violated; and (2) comply with his undertakings to: (a) pay the costs of the trustee appointed in the civil action up to $20,000; and (b) cooperate fully, truthfully and without compensation, with the Commission and the trustee, by: transferring Jawsh's assets, producing any documents in his possession, custody or control, providing truthful testimony in any depositions and hearings in which his testimony may be relevant, and providing whatever other assistance is requested of him. (Rels. 33-8152; IC-25837; IA- 2086; File No. 3-10956) INVESTMENT COMPANY ACT RELEASES WARWICK VALLEY TELEPHONE COMPANY An order has been issued under Section 3(b)(2) of the Investment Company Act granting Warwick Valley Telephone Company (WVTC) a temporary exemption from all provisions of the Act. WVTC filed an application on Oct. 1, 2002 for an order under Section 3(b)(2) declaring that it is not an investment company. The temporary order extends the sixty-day automatic exemption provided by Section 3(b)(2) through Jan. 31, 2003. (Rel. IC-25834 - Nov. 26) SELF-REGULATORY ORGANIZATIONS NOTICE OF CORRECTION The Commission corrected the rule text contained in the Release issued on Nov. 20, 2002, of a notice of a proposed rule change submitted by the New York Stock Exchange (SR-NYSE-2002-36) to amend and adopt rules, which relate to the establishment, maintenance, and testing of Internal Controls and Supervision. Publication of the notice in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46585A) PROPOSED RULE CHANGES A proposed rule change has been filed by the American Stock Exchange (SR-Amex-2002-97) relating to initial and continued listing standards. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46887) A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2002-34) amending NYSE Rule 342 (Offices - Approval, Supervision, and Control) to provide a new definition of the term "branch office." Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46888) The Depository Trust Company filed a proposed rule change (SR-DTC-2002- 13) to establish and make available the Prospectus Repository System, which will make prospectuses and official statements relating to new corporate and municipal securities available electronically to interested DTC participants and DTC-authorized third parties. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46915) The American Stock Exchange filed a proposed rule change (SR-Amex-2002- 36) to amend Amex's Rule 731 and adopt Commentary .08 to Rule 731 to provide flexibility in establishing resolution times for uncompared transactions in equities, including shares of exchange traded funds and shares of trust-issued receipts. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46916) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change filed by the Pacific Exchange (SR-PCX-2002-63) to amend its clearly erroneous policy, under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46902) The Commission approved a proposed rule change (SR-BSE-2002-10) submitted by the Boston Stock Exchange to eliminate the Exchange's current revenue sharing program and to establish two market data revenue sharing programs. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46911) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the American Stock Exchange (SR-AMEX- 2002-87) and Amendment No. 1 thereto, relating to the elimination of separate Exchange requirements regarding the use of written consent solicitations, has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46904) A proposed rule change filed by the American Stock Exchange (SR-AMEX- 2002-85) and Amendment No. 1 thereto, relating to amendments to Sections 610 and 701 of the Exchange Company Guide, has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46905) A proposed rule change filed by the New York Stock Exchange (SR-NYSE- 2002-47) extending the NYSE Direct+ pilot program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46906) A proposed rule change filed by the Philadelphia Stock Exchange to set time limits within which Phlx members must request credits under the Phlx monthly credit program (SR-Phlx-2002-72) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46912) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-151) to modify SuperMontage transaction execution fees and credits. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46917) A proposed rule change filed by the Chicago Board Options Exchange to eliminate certain CBOEdirect connectivity fees (SR-CBOE-2002-66) has become immediately effective pursuant to Rule 19b-4(f)(2) under the Securities and Exchange Act of 1934. (Rel. 34-46922) ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval of a proposed rule change (SR-NSCC-2002-09) filed by National Securities Clearing Corporation relating to the acceptance by NSCC of trade data from derivatives clearing organizations. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46913) The Commission granted accelerated approval of a proposed rule change (SR-OCC-2002-22) filed by The Options Clearing Corporation amending OCC's by-laws and rules to accommodate the clearance and settlement of options on fund shares representing interests in entities holding portfolios or baskets of nonequity securities. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46914) The Commission granted accelerated approval to a proposed rule change (SR-Amex-2002-92) submitted by the American Stock Exchange relating to the Listing and Trading of Corporate Bond TRACERS Units Representing Ownership Interest in a Trust Linked to a Basket of Investment Grade Fixed Income Securities. Publication of the proposal in the Federal Register is expected during the week of Dec. 2. (Rel. 34-46923) 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 RPM INTERNATIONAL INC/DE/, 2628 PEARL RD, P O BOX 777, MEDINA, OH, 44258, 3302735090 - 650,000 ($9,363,250.00) Equity, (File 333-101501 - Nov. 27) (BR. 02) F-3 WORKSTREAM INC, 495 MARCH RD STE 300, OTTAWA ONTARIO, CANADA K2K 3G2, A6, 00000, 6132362263 - 11,051,034 ($20,444,412.00) Other, (File 333-101502 - Nov. 27) (BR. 08) S-4 HYSEQ INC, 670 ALMANOR AVE, SUNNYVALE, CA, 94085, 4085248100 - 0 ($37,109,833.27) Equity, (File 333-101503 - Nov. 27) (BR. 01) F-6 TELECOMMUNICATIONS CO OF CHILE, PROVIDENCIA NO 111, PISO 2 PROVIDENCIA, SANTIAGO CHILE, F3, 00000, 100,000,000 ($5,000,000.00) Equity, (File 333-101504 - Nov. 27) (BR. 37) S-8 AMEREN CORP, 1901 CHOUTEAU AVE, MC 1370, ST LOUIS, MO, 63166-6149, 431723446 - 400,000 ($16,044,000.00) Equity, (File 333-101506 - Nov. 27) (BR. 02) S-8 URBANALIEN CORP, 1,000,000 ($1,000.00) Equity, (File 333-101507 - Nov. 27) (BR. 08) S-8 FIRST FEDERAL BANCSHARES INC /DE, 109 EAST DEPOT STREET, COLCHESTER, IL, 62326, 3097763225 - 47,814 ($407,375.00) Equity, (File 333-101508 - Nov. 27) (BR. 07) S-8 DIGENE CORP, 1201 CLOPPER ROAD, GAITHERSBURG, MD, 20878, 3019447000 - 0 ($7,980,000.00) Equity, (File 333-101509 - Nov. 27) (BR. 01) F-6 BRITISH SKY BROADCASTING GROUP PLC, 6 CENTAURA BUSINESS PARK GRANT WAY, ISLEWORTH, MIDDLESEX TW7 5QD EN, X0, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-101510 - Nov. 27) (BR. 37) SB-2 EVEOLUTION VENTURES INC, 2393,-595 BURRARD ST., VANCOUVER, A1, V7X 1K8, 6046891976 - 0 ($17,577,083.00) Equity, (File 333-101511 - Nov. 27) (BR. ) S-8 RPM INTERNATIONAL INC/DE/, 2628 PEARL RD, P O BOX 777, MEDINA, OH, 44258, 3302735090 - 1,330,000 ($4,413,150.00) Equity, (File 333-101512 - Nov. 27) (BR. 02) S-8 RASCALS INTERNATIONAL INC, 412 PLEASANT VALLEY WAY, SUITE 203, WEST ORANGE, NJ, 07052, 9732438000 - 4,000,000 ($120,000.00) Equity, (File 333-101513 - Nov. 27) (BR. 09) S-3 ESB FINANCIAL CORP, 600 LAWRENCE AVE, ELLWOOD CITY, PA, 16117, 7247585584 - 200,000 ($2,592,000.00) Equity, (File 333-101514 - Nov. 27) (BR. 07) S-8 SIRIUS SATELLITE RADIO INC, 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 2128995000 - 250,000 ($190,000.00) Equity, (File 333-101515 - Nov. 27) (BR. 37) S-1 INFINITY PROPERTY & CASUALTY CORP, 11700 GREAT OAKS WAY, ALPHARETTA, GA, 30022, 0 ($180,000,000.00) Non-Convertible Debt, (File 333-101516 - Nov. 27) (BR. 01) S-8 SONTRA MEDICAL CORP, 58 CHARLES STREET, CAMBRIDGE, MA, 02141, 6174945337 - 0 ($2,235,000.00) Equity, (File 333-101517 - Nov. 27) (BR. 36) S-8 SOURCECORP INC, 3232 MCKINNEY AVE, STE 900, DALLAS, TX, 75204, 2149537555 - 0 ($15,834,850.00) Equity, (File 333-101518 - Nov. 27) (BR. 08) S-8 MERCK & CO INC, ONE MERCK DR, P O BOX 100, WHITEHOUSE STATION, NJ, 08889-0100, 9084234044 - 0 ($58,800,000.00) Equity, 0 ($200,000,000.00) Other, (File 333-101519 - Nov. 27) (BR. 01) S-8 ZENEX INTERNATIONAL INC, 201 ROBERT S. KERR, SUITE 500, OKLAHOMA CITY, OK, 73102, 405-749-9999 - 1,100,000 ($110,000.00) Equity, (File 333-101520 - Nov. 27) (BR. 37) S-4 SERVICE CORPORATION INTERNATIONAL, 1929 ALLEN PKWY, P O BOX 130548, HOUSTON, TX, 77019, 7135225141 - 0 ($172,183,000.00) Non-Convertible Debt, (File 333-101521 - Nov. 27) (BR. 08) S-8 RESOURCE BANKSHARES CORP, 3720 VIRGINIA BEACH BLVD, VIRGINIA BEACH, VA, 23452, 7574632265 - 0 ($2,615,000.00) Equity, (File 333-101522 - Nov. 27) (BR. 07) S-2 VIALINK CO, 13155 NOEL ROAD SUITE 800, DALLAS, TX, 75240, 4059362500 - 0 ($25,051,812.00) Equity, (File 333-101523 - Nov. 27) (BR. 03) S-8 FOSTER WHEELER LTD, PERRYVILLE CORPORATE PARK, SERVICE ROAD EST 173, CLINTON, NJ, 08809, 9087304270 - 2,300,000 ($2,898,000.00) Other, (File 333-101524 - Nov. 27) (BR. 06) S-8 EMISPHERE TECHNOLOGIES INC, 765 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9143472220 - 1,490,000 ($5,974,900.00) Equity, (File 333-101525 - Nov. 27) (BR. 01) S-8 CADBURY SCHWEPPES PUBLIC LTD CO, 25 BERKELEY SQUARE, LONDON ENGLA, X0, W1X 6HT, 2039687905 - 30,000,000 ($780,000,000.00) Equity, (File 333-101526 - Nov. 27) (BR. 02) S-8 TOYS R US INC, 225 SUMMIT AVENUE, C/O TOYS R US NATIONAL OFFICES, MONTVALE, NJ, 07645, 2012627800 - 5,000,000 ($62,150,000.00) Equity, (File 333-101527 - Nov. 27) (BR. 02) S-4 IBERIABANK CORP, 1101 E ADMIRAL DOYLE DR, NEW IBERIA, LA, 70560, 3183652361 - 0 ($36,783,786.00) Equity, (File 333-101529 - Nov. 27) (BR. 07) S-4 NORTHERN STATES POWER CO, 414 NICOLLET MALL, MINNEAPOLIS, MN, 55401, 6123305500 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-101531 - Nov. 27) (BR. 02) S-8 TRANS WORLD ENTERTAINMENT CORP, 38 CORPORATE CIRCLE, ALBANY, NY, 12203, 5184521242 - 0 ($16,480,000.00) Equity, (File 333-101532 - Nov. 27) (BR. 02) S-8 ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY, 11747, 5163911300 - 0 ($48,348,000.00) Equity, (File 333-101533 - Nov. 27) (BR. 36) S-8 ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY, 11747, 5163911300 - 300,000 ($4,266,000.00) Equity, (File 333-101534 - Nov. 27) (BR. 36) S-3 ALANCO TECHNOLOGIES INC, 15900 N 78TH ST, SUITE 101, SCOTTSDALE, AZ, 85260, 4806071010 - 10,128,244 ($6,431,435.00) Equity, (File 333-101535 - Nov. 27) (BR. 06) S-8 4 KIDS ENTERTAINMENT INC, 1414 AVE OF THE AMERICAS, NEW YORK, NY, 10019, 2127587666 - 600,000 ($14,256,000.00) Equity, (File 333-101536 - Nov. 27) (BR. 04) S-1 ITC DELTACOM INC, 1791 O G SKINNER DRIVE, WEST POINT, GA, 31833, 7066453880 - 0 ($52,878,084.54) Equity, (File 333-101537 - Nov. 27) (BR. 37) S-8 WMS INDUSTRIES INC /DE/, 800 S. NORTHPOINT BLVD., WAUKEGAN, IL, 60085, 847-785-3000 - 0 ($24,255,000.00) Equity, (File 333-101538 - Nov. 27) (BR. 06) S-3 DIASYS CORP, 81 WEST MAIN STREET, WATERBURY, CT, 06702, 2037555083 - 1,312,081 ($839,731.84) Equity, (File 333-101540 - Nov. 27) (BR. 36) S-3 BLACK HILLS CORP /SD/, 625 9TH STREET, PO BOX 1400, RAPID CITY, SD, 57709, 6057212343 - 0 ($400,000,000.00) Other, (File 333-101541 - Nov. 27) (BR. 02) S-8 APPLERA CORP, 301 MERRITT 7, NORWALK, CT, 06851, 2038402000 - 15,000,000 ($15,000,000.00) Non-Convertible Debt, (File 333-101542 - Nov. 27) (BR. 36) S-8 FLEETWOOD ENTERPRISES INC/DE/, 3125 MYERS ST, P O BOX 7638, RIVERSIDE, CA, 92503, 9093513798 - 0 ($25,579,425.00) Equity, (File 333-101543 - Nov. 27) (BR. 05) SB-2 AMERICAN SPORTS DEVELOPMENT GROUP INC, 155 VERDIN ROAD, GREENVILLE, SC, 29607, 8642970507 - 119,191,281 ($2,383,825.60) Equity, (File 333-101544 - Nov. 27) (BR. 09) S-8 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382, 8047470136 - 0 ($7,902,000.00) Equity, (File 333-101545 - Nov. 27) (BR. 01) S-8 TELTRONICS INC, 2150 WHITEFIELD INDUSTRIAL WAY, SARASOTA, FL, 34243, 941-753-5000 - 5,000 ($1,350.00) Equity, (File 333-101546 - Nov. 27) (BR. 37) S-3 ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 250, SANTA MONICA, CA, 90401, 310-255-4493 - 0 ($57,105,000.00) Equity, (File 333-101547 - Nov. 27) (BR. 08) S-8 DENTSPLY INTERNATIONAL INC /DE/, 570 W COLLEGE AVE, YORK, PA, 17405, 7178460256 - 7,000,000 ($233,240,000.00) Equity, (File 333-101548 - Nov. 27) (BR. 36) S-3 LEXICON GENETICS INC/TX, 4000 RESEARCH FOREST DRIVE, 281-364-0100, THE WOODLANDS, TX, 77381, 2813640100 - 12,000,000 ($47,760,000.00) Equity, (File 333-101549 - Nov. 27) (BR. 01) S-3 ABN AMRO MORTGAGE CORP, 135 S LASALLE STREET, CHICAGO, IL, 60603, 2129042000 - 0 ($1,000,000.00) Mortgage Backed Securities, (File 333-101550 - Nov. 27) (BR. 05) SB-2 UNIVERSAL TANNING VENTURES INC, 600 E. ALTAMONTE DR., UNIT 1050, ALTAMONTE SPRINGS, FL, 32701, 4076943714 - 1,000,000 ($1,000,000.00) Equity, (File 333-101551 - Nov. 27) (BR. ) SB-2 MSTG SOLUTIONS INC, 3111 NORTH TUSTIN AVE, SUITE 280, ORANGE, CA, 92865, 714-279-2980 - 1,447,167 ($1,447,167.00) Equity, 1,876,000 ($2,814,000.00) Other, (File 333-101552 - Nov. 27) (BR. ) S-8 PARTHUSCEVA INC, 2033 GATEWAY PLACE, SUITE 150, SAN JOSE, CA, 95110-1002, 4085142900 - 0 ($65,224,873.00) Equity, (File 333-101553 - Nov. 27) (BR. 36) F-6 CORPORACION FINANCIERA DEL VALLE SA, 7,7-71-TORRE A, PISO, BOGOTA, D.C., COLUMBIA, F8, 00000, 5713765666 - 10,000,000 ($500.00) ADRs/ADSs, (File 333-101554 - Nov. 27) (BR. ) S-8 LEADING BRANDS INC, 7400 RIVER ROAD, RICHMOND, CANADA, V6X 1X6, A1, 00000, 604 214 9722 X270 - 4,100,519 ($4,733,294.00) Equity, (File 333-101555 - Nov. 27) (BR. 02) S-4 PHILADELPHIA SUBURBAN CORP, 762 LANCASTER AVE, BRYN MAWR, PA, 19010, 2155278000 - 0 ($67,741,409.00) Equity, (File 333-101556 - Nov. 27) (BR. 02) S-8 PATTERSON UTI ENERGY INC, 4510 LAMESA HWY, P O DRAWER 1416, SNYDER, TX, 79549, 9155731104 - 24,000 ($687,000.00) Equity, (File 333-101557 - Nov. 27) (BR. 04) S-8 MIDAS INC, 1300 ARLINGTON HEIGHTS ROAD, ITASCA, IL, 60143, 630-438-30 - 0 ($761,000.00) Equity, (File 333-101559 - Nov. 27) (BR. 05) S-2 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 11,940,700 ($3,940,431.00) Equity, (File 333-101560 - Nov. 27) (BR. 01) S-2 BESTNET COMMUNICATIONS CORP, 5210 E WILLIAMS CIRCLE, STE 200, TUCSON, AR, 85711, 5207509093 - 1,662,050 ($1,495,845.00) Equity, (File 333-101561 - Nov. 27) (BR. 37) SB-2 CAREDECISION CORP, 2 PENN PLAZA, 15TH FLOOR SUITE 1500-53, NEW YORK, NY, 10121, 2122924959 - 44,217,044 ($1,768,681.76) Equity, (File 333-101562 - Nov. 27) (BR. 09) N-2 NUVEEN QUALITY PREFERRED INCOME FUND 3, 0 ($1,000,000.00) Equity, (File 333-101563 - Nov. 27) (BR. 18) S-8 HANOVER DIRECT INC, 1500 HARBOR BLVD, WEEHAWKEN, NJ, 07087, 2018653800 - 0 ($1,075,000.00) Equity, (File 333-101564 - Nov. 27) (BR. 02) S-8 WHOLE FOODS MARKET INC, 601 N LAMAR BLVD, STE 300, AUSTIN, TX, 78703, 5124774455 - 5,000,000 ($256,250,000.00) Equity, (File 333-101565 - Nov. 27) (BR. 02) F-6 ROCHE HOLDING LTD, C/O ROCHE HOLDING LTD, GRENZACHERSTRASSE 124, CH-4070, BASEL, SWITZERLAND, 9732354295 - 50,000,000 ($2,750,000.00) ADRs/ADSs, (File 333-101566 - Nov. 27) (BR. ) S-4 PLUG POWER INC, 968 ALBANY-SHAKER ROAD, LATHAM, NY, 12110, 5187827700 - 0 ($48,004,980.00) Equity, (File 333-101567 - Nov. 27) (BR. 36) S-8 CONSUMER DIRECT OF AMERICA, 20 CORPORATE PARK, SUITE 285, IRVINE, CA, 92606, 949-260-1801 - 0 ($858,000.00) Equity, (File 333-101568 - Nov. 27) (BR. 04) S-8 PACIFIC SUNWEAR OF CALIFORNIA INC, 3450 EAST MIRALOMA AVENUE, ANAHEIM, CA, 92806, 714-414-4000 - 2,000,000 ($50,540,000.00) Equity, (File 333-101569 - Nov. 27) (BR. 02) S-1 LP INNOVATIONS INC, 11,200,000 ($4,880,000.00) Equity, (File 333-101570 - Nov. 27) (BR. ) S-8 OSTEOTECH INC, 51 JAMES WAY, EATONTOWN, NJ, 07724, 7325422800 - 200,000 ($952,000.00) Equity, (File 333-101571 - Nov. 27) (BR. 01) 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 ------------------------------------------------------------------------------------ 1-800 ATTORNEY INC FL X 11/27/02 AAMES FINANCIAL CORP/DE DE X 11/27/02 AASTROM BIOSCIENCES INC MI X X 10/30/02 ABERCROMBIE & FITCH CO /DE/ DE X X 11/14/02 ABN AMRO MORTGAGE CORP DE X X 11/27/02 ABN AMRO MORTGAGE CORP SERIES 2000-2 DE X 11/01/02 ABN AMRO MORTGAGE CORP SERIES 2001-2 DE X 11/01/02 ACRODYNE COMMUNICATIONS INC DE X 11/27/02 ADVANCED BIOTHERAPY INC NV X X 11/26/02 ADVO INC DE X X 11/25/02 AEI REAL ESTATE FUND 86-A LTD PARTNER DE X X 11/14/02 AES CORPORATION DE X 11/27/02 AG SERVICES OF AMERICA INC IA X 11/14/02 ALLBRITTON COMMUNICATIONS CO DE X 12/02/02 AMEND ALLEGIANCE TELECOM INC DE X X 11/27/02 ALTAIR NANOTECHNOLOGIES INC A6 X 11/25/02 AMC ENTERTAINMENT INC DE X 11/19/02 AMERICAN CRYSTAL SUGAR CO /MN/ MN X X 11/27/02 AMERICAN INDEPENDENCE CORP DE X X X 11/14/02 AMERICAN PULP EXCHANGE INC FL X X 11/18/02 AMERICAN SKIING CO /ME DE X 11/22/02 AMERICAN SOUTHWEST FINANCIAL SECURITI AZ X 11/01/02 AMERIVEST PROPERTIES INC MD X X 11/12/02 AMSOUTH AUTO RECEIVABLES LLC X X 11/15/02 ANACOMP INC IN X 10/18/02 AMEND ANACOMP INC IN X 06/30/02 AMEND ANIXTER INTERNATIONAL INC DE X 11/25/02 AMEND APPIANT TECHNOLOGIES INC DE X 11/13/02 AMEND ARCHON CORP NV X X 11/27/02 ARIZONA PUBLIC SERVICE CO AZ X 11/22/02 BA MASTER CREDIT CARD TRUST / X 11/15/02 BALL CORP IN X X 11/27/02 BANKUNITED FINANCIAL CORP FL X 11/27/02 BASIC TECHNOLOGIES INC CO X X 11/26/02 BEARINGPOINT INC DE X X 11/14/02 BIOPROGRESS TECHNOLOGY INTERNATIONAL NV X 11/27/02 AMEND BLUE RHINO CORP DE X X 11/21/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 10/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 11/30/02 BOMBARDIER CREDIT RECEIVABLES CORP SE DE X 11/30/02 CALIFORNIA MICRO DEVICES CORP CA X X 11/25/02 CANARGO ENERGY CORP DE X X 11/21/02 CAPITAL AUTO RECEIVABLES INC DE X 11/27/02 CAREER WORTH INC NV X 11/22/02 CARROLLTON BANCORP MD X 11/27/02 CATALYST INTERNATIONAL INC DE X X 11/27/02 CBRL GROUP INC TN X X 11/27/02 CENTRAL ILLINOIS PUBLIC SERVICE CO IL X X 11/27/02 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 11/27/02 CHARLES RIVER LABORATORIES INC X 11/22/02 CHARLES RIVER LABORATORIES INTERNATIO X 11/22/02 CHASE FUNDING INC NY X X 11/25/02 CIGNA CORP DE X X 11/26/02 CIRCUIT RESEARCH LABS INC AZ X 11/27/02 CITGO PETROLEUM CORP DE X X 11/26/02 CLARK/BARDES INC DE X X 11/26/02 CNH CAPITAL RECEIVABLES INC DE X X 11/19/02 COMBINED PROFESSIONAL SERVICES INC NV X X 11/23/02 CONCEPTUS INC DE X 11/26/02 CONSTAR INTERNATIONAL INC DE X 11/20/02 CONTINENTAL SOUTHERN RESOURCES INC NV X X X 02/20/02 AMEND CORMAX BUSINESS SOLUTIONS INC UT X 08/26/02 AMEND CORNERSTONE PROPANE PARTNERS LP DE X 11/21/02 CREDENCE SYSTEMS CORP DE X X 11/27/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 11/27/02 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 11/18/02 CSFB MORT SEC CORP COMM MORT PAS THR DE X X 11/18/02 CSFB MORTGAGE BACKED PASS THR CERT SE DE X X 11/25/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 11/25/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 11/25/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 11/25/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 11/20/02 CSFB MORTGAGE BACKED PASS THROUGH CER DE X X 11/25/02 CSFB MORTGAGE BACKED PASS THRU CERTS DE X X 11/25/02 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/25/02 CSFB MORTGAGE PASS THROUGH CERTIFICAT DE X X 11/25/02 CSFB MORTGAGED BACKED PASS THROUGH CE DE X X 11/25/02 CWABS INC DE X X 11/27/02 CWABS INC DE X X 11/27/02 CWMBS INC DE X 11/27/02 CWMBS INC DE X 11/27/02 DEERE JOHN RECEIVABLES INC DE X X 11/15/02 DEMEGEN INC CO X X 11/27/02 DEUTSCHE MORTGAGE SECURITIES INC X X 11/27/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 11/15/02 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 11/15/02 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 11/15/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 11/15/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 11/15/02 DOLLAR GENERAL CORP TN X X 11/26/02 DOLLAR GENERAL CORP TN X X 11/27/02 E CENTIVES INC DE X X 11/26/02 EARTHSHELL CORP DE X X 11/26/02 EDISON INTERNATIONAL CA X 11/19/02 EDISON MISSION ENERGY CA X 11/19/02 EDUCATION LOANS INC /DE DE X X 11/25/02 EL PASO CORP/DE DE X X 11/27/02 ELECSYS CORP KS X X 10/31/02 FGI GROUP INC DE X X 11/25/02 FIDELITY BANCORP INC /DE/ DE X 11/27/02 FIRST HORIZON ASSET SECURITIES INC DE X 11/25/02 FIRST HORIZON ASSET SECURITIES INC DE X X 11/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 11/25/02 FIRST HORIZON ASSET SECURITIES INC DE X X 11/26/02 FIRST HORIZON ASSET SECURITIES INC DE X X 11/25/02 FIRST REAL ESTATE INVESTMENT TRUST OF NJ X 11/27/02 FIRST SECURITY GROUP INC/TN TN X X X 11/27/02 FIRST UNION COM MOR SEC INC COM MOR P NY X X 11/18/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 11/15/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 11/18/02 FIRST UNION COMM MORT TRUST COMM MOR NY X X 11/18/02 FIRST UNION COMMERCIAL MORTGAGE PASS NC X X 11/15/02 FIRST UNION LEH BRO BANK OF AMER COM NY X X 11/18/02 FIRST UNION NATIONAL BANK COM MORT PA NC X X 11/15/02 FLOW INTERNATIONAL CORP WA X 11/26/02 FOCUS ENHANCEMENTS INC DE X 11/25/02 GENERAL MOTORS CORP DE X 11/27/02 GENERAL MOTORS CORP DE X 11/27/02 GEORGIA PACIFIC CORP GA X X 11/12/02 AMEND GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 11/25/02 GS MORTGAGE SECURITIES CORP MOR PASS DE X X 11/25/02 GS MORTGAGE SECURITIES CORP MORT PAS DE X X 11/25/02 GSR MORTGAGE LOAN TRUST 2002-5 X X 11/25/02 GSR MORTGAGE LOAN TRUST 2002-7 X X 11/25/02 GYRODYNE CO OF AMERICA INC NY X 11/27/02 HAGGAR CORP NV X X 11/27/02 HANCOCK JOHN FINANCIAL SERVICES INC X 11/26/02 HANCOCK JOHN LIFE INSURANCE CO MA X 11/26/02 HARTVILLE GROUP INC NV X X X X 09/12/02 AMEND HEARME DE X 11/21/02 HELIX BIOMEDIX INC DE X X 11/25/02 HERITAGE BANCSHARES INC /TX DE X X 11/20/02 HIGHLANDS INSURANCE GROUP INC DE X X 11/22/02 HOLIDAY RV SUPERSTORES INC DE X X 11/22/02 HOMETOWN AUTO RETAILERS INC DE X X 11/26/02 HORIZON HEALTH CORP /DE/ DE X 11/27/02 IDS LIFE INSURANCE CO MN X 11/20/02 IMPAC MORTGAGE HOLDINGS INC MD X 11/27/02 IMPAC MORTGAGE HOLDINGS INC MD X X 11/26/02 AMEND INDIANA GAS CO INC IN X 11/27/02 INDYMAC MBS INC X X 11/27/02 INFINIUM SOFTWARE INC MA X X 11/25/02 INFOWAVE SOFTWARE INC X X 11/25/02 INTEGRAMED AMERICA INC DE X X 11/27/02 INTERACTIVE TELESIS INC DE X 11/27/02 INTERMOUNTAIN RESOURCES INC NV X 11/27/02 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 11/22/02 INTRUSION INC DE X 11/26/02 ITS NETWORKS INC OK X 11/11/02 KAISER GROUP HOLDINGS INC DE X X 11/27/02 KANEB PIPE LINE OPERATING PARTNERSHIP DE X X 11/22/02 KANEB PIPE LINE PARTNERS L P DE X X 11/22/02 KANEB SERVICES LLC DE X X 11/22/02 KEYCORP STUDENT LOAN TRUST 2000-A OH X X 11/25/02 KITTY HAWK INC DE X 09/30/02 AMEND LAIDLAW GLOBAL CORP DE X X 11/13/02 LAND O LAKES INC X 11/27/02 LEAPFROG ENTERPRISES INC X 11/27/02 LONE STAR TECHNOLOGIES INC DE X 09/30/02 AMEND LSP ENERGY LTD PARTNERSHIP DE X 11/22/02 LUMMI DEVELOPMENT INC DE X 10/31/02 AMEND M B A HOLDINGS INC NV X X 10/26/02 MACROPORE INC DE X X 11/13/02 MAF BANCORP INC DE X 11/27/02 MEADE INSTRUMENTS CORP DE X 10/25/02 AMEND MED DIVERSIFIED INC NV X X 11/21/02 MEDIABIN INC GA X X 11/27/02 MEDICINES CO/ MA DE X 11/21/02 MEDINEX SYSTEMS INC DE X 11/27/02 MERA PHARMACEUTICALS INC DE X X 09/16/02 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 11/25/02 METASOURCE GROUP INC NV X 11/20/02 METRICOM INC / DE DE X X 11/19/02 MICRONETICS WIRELESS INC DE X 03/26/02 AMEND MIDWEST GENERATION LLC CA X 11/25/02 MIKRON INFRARED INC NJ X X 11/27/02 MILLS CORP DE X 05/31/02 AMEND MISSION ENERGY HOLDING CO DE X 11/19/02 MIV THERAPEUTICS INC NV X X 11/18/02 MMCA AUTO OWNER TRUST 2002-1 DE X X 11/15/02 MMCA AUTO OWNER TRUST 2002-2 X X 10/15/02 MMCA AUTO OWNER TRUST 2002-3 X X 11/15/02 MMCA AUTO OWNER TRUST 2002-4 DE X X 11/15/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/26/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X 11/27/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 11/26/02 MULTI LINK TELECOMMUNICATIONS INC CO X X 11/20/02 NASH FINCH CO DE X 11/27/02 NATIONAL CITY AUTO RECEIVABLES TRUST DE X X 11/15/02 NATIONAL CITY CREDIT CARD MASTER TRUS X X 11/15/02 NATIONSBANK OF DELAWARE NA DE X X 11/15/02 NATIONSCREDIT GRANTOR TRUST 1996-1 DE X X 11/15/02 NATIONSCREDIT GRANTOR TRUST 1997-1 DE X X 11/15/02 NATIONSCREDIT GRANTOR TRUST 1997-2 DE X X 11/15/02 NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 11/01/02 NATURAL RESOURCE PARTNERS LP DE X 11/25/02 NAVISTAR FINANCIAL CORP DE X X 07/31/02 NCR CORP MD X 11/25/02 NCR CORP MD X 11/25/02 NEORX CORP WA X X 11/12/02 NETSCREEN TECHNOLOGIES INC DE X 09/18/02 AMEND NEW ENGLAND POWER CO MA X 11/27/02 NEWFIELD EXPLORATION CO /DE/ DE X X 11/26/02 NIMBUS GROUP INC X X 11/21/02 NMT MEDICAL INC DE X X 11/27/02 NORTHEAST UTILITIES SYSTEM MA X 11/26/02 AMEND NORTHROP GRUMMAN CORP /DE/ DE X X 11/27/02 NRG ENERGY INC DE X 11/22/02 NRG NORTHEAST GENERATING LLC DE X 11/22/02 NRG SOUTH CENTRAL GENERATING LLC DE X 11/22/02 NSTAR/MA MA X 11/27/02 OCCIDENTAL PETROLEUM CORP /DE/ DE X 11/26/02 ONEOK INC /NEW/ OK X X 11/25/02 PARK CITY GROUP INC DE X X 11/27/02 PERSISTENCE SOFTWARE INC CA X X 11/27/02 PETRIE STORES LIQUIDATING TRUST NY X 11/19/02 PHARMAKINETICS LABORATORIES INC MD X X 11/21/02 PINNACLE WEST CAPITAL CORP AZ X 11/22/02 POKER COM INC FL X X 11/24/02 POOLED AUTO SECURITIES SHELF LLC DE X X 11/27/02 PORTLAND GENERAL ELECTRIC CO /OR/ OR X 11/19/02 PORTOLA PACKAGING INC DE X 11/27/02 PREMCOR INC DE X 11/26/02 PRO GLASS TECHNOLOGIES INC NV X X X 09/10/02 AMEND PROVECTUS PHARMACEUTICALS INC NV X X X 11/19/02 PROVIDENT FINANCIAL HOLDINGS INC DE X X 11/26/02 QAD INC DE X X 11/26/02 QAD INC DE X X 11/12/02 QUALITY PRODUCTS INC OH X X 09/27/02 QUEST RESOURCE CORP NV X X 11/07/02 RAWLINGS SPORTING GOODS CO INC DE X 11/27/02 RBX CORP DE X X 11/27/02 REGAN HOLDING CORP CA X X 11/26/02 REGENERATION TECHNOLOGIES INC FL X X 11/27/02 REGISTER COM INC DE X X 11/25/02 RIDGEWOOD ELECTRIC POWER TRUST V DE X 09/30/02 RIDGEWOOD POWER GROWTH FUND /NJ DE X 12/31/02 SAXON ASSET SECURITIES CO MORT LN AS VA X 11/27/02 AMEND SBM CERTIFICATE CO MN X X 11/12/02 SCOTTISH ANNUITY & LIFE HOLDINGS LTD E9 X X 11/27/02 SECURITY ASSOCIATES INTERNATIONAL INC DE X 11/22/02 SEQUOIA RESIDENTIAL FUNDING INC X X 11/27/02 SEQUOIA RESIDENTIAL FUNDING INC X X 11/27/02 SHIRE PHARMACEUTICALS GROUP PLC X X 11/27/02 SOBIESKI BANCORP INC DE X X 11/27/02 SOUTHERN CALIFORNIA EDISON CO CA X 11/20/02 SOUTHERN CONNECTICUT BANCORP INC CT X 11/26/02 SOUTHERN INDIANA GAS & ELECTRIC CO IN X 11/27/02 SOVEREIGN SPECIALTY CHEMICALS INC DE X X 11/21/02 STRUCTURED ASSET SEC CORP MOR PASS TH DE X 11/01/02 STRUCTURED ASSET SEC CORP MORT PASS T DE X 11/01/02 STRUCTURED ASSET SECURITIES CORP DE X 11/12/02 STRUCTURED ASSET SECURITIES CORP DE X 11/27/02 STRUCTURED ASSET SECURITIES CORP MORT DE X 11/01/02 STUDENT LOAN CORP DE X 11/20/02 SUNBEAM CORP/FL/ DE X X 11/25/02 SURG II INC MN X X 11/12/02 T NETIX INC DE X X 11/26/02 TAKE TWO INTERACTIVE SOFTWARE INC DE X X 11/19/02 TECUMSEH PRODUCTS CO MI X X 11/27/02 TELEVIDEO INC DE X X 11/27/02 TELS CORP UT X 09/12/02 AMEND THEGLOBE COM INC DE X 11/12/02 AMEND TOLL BROTHERS INC DE X X 11/27/02 TRANSPRO INC DE X X 11/22/02 TRIAD INNOVATIONS INC NV X 11/26/02 TRIARC COMPANIES INC DE X X 11/27/02 TRUDY CORP DE X 08/20/02 AMEND UIL HOLDINGS CORP CT X 11/27/02 UMPQUA HOLDINGS CORP OR X X 11/27/02 UNISOURCE ENERGY CORP AZ X X 11/27/02 UNITED TRADING COM NV X 10/09/02 UNITEDGLOBALCOM INC DE X 11/22/02 UNITY WIRELESS CORP DE X 11/27/02 VALLEY COMMUNITY BANCSHARES INC X 11/21/02 VECTREN CORP IN X 11/27/02 VECTREN UTILITY HOLDINGS INC IN X 11/27/02 VERSANT CORP CA X X 11/19/02 VERTIS INC DE X X 11/25/02 VINTAGE PETROLEUM INC DE X X 11/22/02 WAMU MORTGAGE PASS THROUGH CERTIFICAT DE X 11/19/02 WORLDCOM INC GA X X 11/26/02 WPCS INTERNATIONAL INC DE X X 11/13/02 XCEL ENERGY INC MN X X 11/21/02