SEC NEWS DIGEST Issue 2002-245 December 20, 2002 COMMISSION ANNOUNCEMENTS SEC, NY ATTORNEY GENERAL, NASD, NASAA, NYSE AND STATE REGULATORS ANNOUNCE HISTORIC AGREEMENT TO REFORM INVESTMENT PRACTICES $1.4 Billion Global Settlement Includes Penalties and Funds for Investors Today, Securities and Exchange Commission Chairman Harvey L. Pitt, New York Attorney General Eliot Spitzer, North American Securities Administrators Association President Christine Bruenn, NASD Chairman and CEO Robert Glauber, New York Stock Exchange Chairman Dick Grasso, and state securities regulators announced an historic settlement with the nation's top investment firms to resolve issues of conflict of interest at brokerage firms. The "global settlement" concludes a joint investigation begun in April by regulators into the undue influence of investment banking interests on securities research at brokerage firms. The settlement will bring about balanced reform in the industry and bolster confidence in the integrity of equity research. Terms of the agreement include: * The insulation of research analysts from investment banking pressure. Firms will be required to sever the links between research and investment banking, including analyst compensation for equity research, and the practice of analysts accompanying investment banking personnel on pitches and road shows. This will help ensure that stock recommendations are not tainted by efforts to obtain investment banking fees. * A complete ban on the spinning of Initial Public Offerings (IPOs). Brokerage firms will not allocate lucrative IPO shares to corporate executives and directors who are in the position to greatly influence investment banking decisions. * An obligation to furnish independent research. For a five-year period, each of the brokerage firms will be required to contract with no less than three independent research firms that will provide research to the brokerage firm's customers. An independent consultant (monitor) for each firm, with final authority to procure independent research from independent providers, will be chosen by regulators. This will ensure that individual investors get access to objective investment advice. * Disclosure of analyst recommendations. Each firm will make publicly available its ratings and price target forecasts. This will allow for evaluation and comparison of performance of analysts. * Settled enforcement actions involving significant monetary sanctions. "This agreement will permanently change the way Wall Street operates," Spitzer said. "Our objective throughout the investigation and negotiations has been to protect the small investor and restore integrity to the marketplace. We are confident that the rules embodied in this agreement will do so. The cooperation among my colleagues at the SEC, NASAA, NYSE and NASD has enabled us to reach this important agreement." SEC Chairman Pitt said: "This cooperative agreement in principle, navigated by Steve Cutler and Lori Richards of the SEC staff, is a tribute to the wonderful cooperative efforts of the NYSE, the NASD, the NYAG and the states in the public interest. I am pleased to recommend this to my colleagues on the Commission." The agreement is subject to approval by the full Commission. "This settlement marks a vital step in restoring investor confidence," said Robert R. Glauber, NASD Chairman and CEO. "It underscores that the industry's highest duty is to investors. It makes plain that cleaning up research and IPO practices is not just good ethics -- it's good business. And it demonstrates NASD's determination to investigate and sanction practices that harm investors and the integrity of the markets." "This agreement represents the dawn of a new day on Wall Street. Our goal and the goal of this agreement are simple: investors, not investment banking fees, come first," said NASAA President Chris Bruenn. "This historic settlement and the real changes it will bring will help restore faith in our markets which, even with their problems, remain the envy of the world." "Restoring investor confidence is paramount," said NYSE Chairman and CEO Dick Grasso. "Investors need to know that the firms they do business with act only with the highest standards of honesty and integrity, putting investors' interests ahead of all others. The NYSE is committed to making certain the system is stripped of those individuals and practices that harm investors, so America's equity culture can grow and prosper once again." Each of the firms will pay a fine, pay monies toward investor restitution, and will be required to escrow funds that will be used to pay for independent research. The agreement that was reached totals more than $1.4 billion in penalties, restitution and monies to be used for investor education. Contacts: Juanita Scarlett (NYAG) (212) 416-8060 Christi Harlan (SEC) (202) 942-0020 Nancy Condon (NASD) (202) 728-8379 Marc Beauchamp (NASAA) (202) 737-0900 Diana DeSocio (NYSE) (212)656-5448 (Press Rel. 2002-179) ENFORCEMENT PROCEEDINGS COMMISSION INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST TRANSFER AGENT AND ITS OWNER On Dec. 19, the Commission instituted an administrative proceeding against Alexis Stock Transfer (Alexis) and Gina Ann Zapara (Zapara). Alexis is a registered transfer agent based in Rancho Mirage, California and Zapara is Alexis' sole officer and owner. The Commission simultaneously accepted Alexis' and Zapara's Offer of Settlement wherein, without admitting or denying the Commission's findings, Alexis' registration was revoked and Zapara was barred from association with a transfer agent. The Order finds that Zapara operated Alexis after pleading guilty to one felony count involving filing a false federal income tax return. (Rel. 34-47058; File No. 3-10988) MEXICAN TRADERS IN PRODIGY INSIDER TRADING CASE TO PAY $273,300 IN SETTLEMENT WITH SEC The Commission announced today that the U.S. District Court for the Southern District of New York entered final judgments on December 13, 2002, against Alejandro Duclaud Gonz lez de Castilla and Rodrigo Igartua Baranda, and their respective off-shore trusts, for insider trading in Prodigy Communications Corporation common stock in 1999. The insider trading took place shortly before SBC Communications Inc. announced on November 22, 1999, that it was acquiring a large interest in Prodigy. The defendants consented to the judgments without admitting or denying the allegations. The court permanently enjoined Duclaud and his offshore trust Anushka Trust, and Igartua and his offshore trust Antares Holdings Investment, Ltd., from violating two antifraud provisions of the federal securities laws, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court also ordered Duclaud to pay $182,895 in disgorgement and prejudgment interest and a $57,105 civil penalty, and Igartua to pay $25,375 in disgorgement and prejudgment interest and a $7,925 civil penalty. The Commission's amended complaint alleged the following: Duclaud, then a partner in the Mexico City law firm representing Prodigy's owner in the SBC transaction, tipped his best friend, banker Ignacio Guerrero Pesqueira, and his brother-in-law, Rodrigo Igartua Baranda, about the transaction. In the month preceding the Nov. 22, 1999 announcement of the transaction, Guerrero and Igartua Baranda purchased 59,100 Prodigy shares through their offshore trusts. Guerrero sold his Prodigy shares for substantial profits following the announcement of the Prodigy-SBC transaction, and then transferred $148,300 to Duclaud's offshore trust as a kickback. Guerrero previously paid $1.55 million to settle the Commission charges that he traded illegally in the common stocks of Prodigy and CompUSA, Inc. See Litigation Release No. 16997 (May 11, 2001). The Commission acknowledges the assistance of the New York Stock Exchange, the Comisi¢n Nacional Bancaria y de Valores (CNBV) in Mexico City, and HM Attorney General of the Bailiwick of Guernsey, Channel Islands. [SEC v. Alejandro Duclaud Gonzalez de Castilla, et al., 01 Civ. 3999 (RWS) SDNY] (LR-17903) TERRY DOWDELL PLEADS GUILTY TO CRIMINAL CHARGES IN CONNECTION WITH MULTI- MILLION INVESTMENT FRAUD The Commission announced that Terry L. Dowdell pled guilty on Dec. 19 to 20 felony charges, including Securities Fraud, Money Laundering and Wire Fraud, in connection with a multi-million fraudulent trading program Dowdell operated since 1998. The plea was entered before the Honorable Judge James H. Michael, Senior U.S. District Court Judge for the Western District of Virginia, Charlottesville Division. The prosecution of this case is being conducted jointly by the United States Attorney for the Western District of Virginia and the Criminal Fraud Section of the United States Department of Justice. The charges arise out of a fictitious investment program that Dowdell operated through Vavasseur Corporation, a Bahamian company controlled by Dowdell. According to the 20 Count Information filed in the District Court, investors in this program (Vavasseur Program) were required to sign an investment contract with Vavasseur Corp., termed a "Discretionary Investment Management Agreement" (Agreement). The agreement falsely represented that investor funds would be maintained in a bank account registered as "Vavasseur Corp. for the benefit of (Client name)," and committed Vavasseur: "to use its best efforts to achieve anticipated profits. . . in an amount equal to or exceeding Four Percent (4%) of the Client's funds under management for each week in which trading occurs. [Vavasseur] shall use its best efforts basis to cause trading of Client's funds in a minimum of forty weeks during each fifty-two week Agreement term." This would result in annualized gross return of 160%. As Dowdell now admits, there were no "trades" or "investments" made by VAVASSEUR, but rather investors were paid "profits" in a typical Ponzi scheme fashion from new investor funds diverted to Dowdell's Amsouth accounts. The criminal charges come approximately one year after the SEC filed a civil lawsuit in the U.S. District Court for the Western District of Virginia against Dowdell, Vavasseur and others in connection with the same fraudulent investment scheme. On the day that the SEC filed its lawsuit, November 19, 2001, the Court entered a Temporary Restraining Order prohibiting Dowdell and his associates from raising any additional funds for the Vavasseur Program, ordering frozen all of Dowdell's assets, and requiring the repatriation of all Vavasseur assets located outside of the United States. In connection with this order, more than $23 million of funds directly traced to Vavasseur investors has been frozen in various U.S. banks, including the AmSouth Bank, the Bank of America and The Chase Manhattan Bank. On June 4, 2002, Dowdell admitted to the fraud in the SEC's action in a consent and stipulation, and the court entered an order the same day permanently enjoining Dowdell from future violations of the antifraud provisions of 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. The judgment provides that the amount of disgorgement and civil penalties that Dowdell will have to pay will be determined later. On July 12, 2002, the court appointed Roy M. Terry, Esq. and the law firm of DurretteBradshaw, PLC as receiver over Dowdell's assets and to develop a plan of distribution for the return of funds to injured investors. In his Consent and Stipulation, Dowdell admitted that other foreign nationals, including Shinder Gangar and Alan White, citizens and residents of the United Kingdom, have continued to raise investor funds in connection with the Vavasseur program even after Nov. 19, 2001, and further admitted that various foreign banks have been used in furtherance of the fraud, including Overseas Development Bank & Trust and Investors Bank & Trust in Dominica, the Bank of Ireland in Ireland, Banamex Bank in Mexico, Butterfield Bank in the Commonwealth of Guernsey, Investec Bank in Israel, Fortis Bank in Belgium and Cathay Bank in Belize. The SEC and Department of Justice have been coordinating their enforcement efforts with law enforcement authorities in the United Kingdom and other countries, including the U.K. Serious Fraud Office (SFO), the Leicestershire Constabulary, the U.K. Financial Services Authority (FSA), the Antwerp Police, and Ireland's Criminal Asset Bureau. In related enforcement actions in October 2002, the SFO and the Leicestershire Constabulary arrested Gangar, White and two others suspected of involvement of the Vavasseur Program and other fraudulent investment programs, and the FSA filed civil charges and obtained a worldwide asset freeze against White, Gangar and their accounting firms "Dobb White & Co" a and "Morris White & Co.," accusing them of running an unlawful investment scheme. Additional information concerning the SEC's lawsuit against Dowdell can be found in Litigation Release No. 17242, Nov. 19, 2001, Release No. 17454, April 2, 2002, [Release No. 17553], June 10, 2002, [Release No. 17880], Oct. 10, 2002, and [Release No. 17881], Oct. 10, 2002. Additional information on how prime bank and other banking-related investment schemes work can be found at the SEC's Prime Bank Fraud Information Center (http://www.sec.gov/divisions/enforce/primebank.shtml) in the enforcement section of the SEC's Web site. [U.S. v. Terry L. Dowdell, Crim. Action No. 02CR00107 (W.D. Va.)]; [SEC v. Terry L. Dowdell, et al., Civil Action No. 3:01CV00116 (W.D. Va.) (Honorable James H. Michael, Jr.)] (LR-17905) SEC OBTAINS PRELIMINARY INJUNCTION AGAINST BROKER-DEALER AND AFFILIATES The Commission today announced that on Dec. 9, 2002, the U.S. District Court for the Southern District of New York issued a preliminary injunction against eWealth Securities, Inc. (eWealth), a registered broker-dealer; eWealth Holdings, Inc. (Holdings), eWealth's parent company; Neil Formisano (N. Formisano), Chairman and Chief Executive Officer (CEO) of Holdings; Donald Cunningham (Cunningham), President of Holdings; and eWealth registered representatives, Jonathan Aronica (Aronica) and Steven Mastrosimone (Mastrosimone). The court issued the preliminary injunction after a hearing and finding that the Commission had shown that it is likely to succeed in establishing the allegations contained in its complaint. The Commission's complaint, filed on Oct. 29, 2002, alleges that defendants have fraudulently obtained over $7 million from approximately 100 investors in the offering of unregistered Holdings securities. The complaint further alleges that, since January 2000, defendants have misled investors through a host of patently false representations about Holdings - including a repeated misrepresentation that Holdings would conduct an initial public offering (IPO) in the near future. The preliminary injunction order follows a temporary restraining order entered on Oct. 29, 2002 and enjoins the defendants until final resolution of the action from violating antifraud, registration, and books and records provisions of the Securities Act of 1933 (Securities Act) and the Securities Exchange Act of 1934 (Exchange Act), and from participating in any penny stock offerings. Pending resolution of the action, the preliminary injunction order also freezes defendants' assets; requires the defendants to submit accountings; prohibits defendants from destroying documents and other evidence; prohibits defendants from witness tampering, suborning perjury or otherwise impeding this case; and appoints a receiver for Holdings and eWealth. The Commission alleges that the defendants have deceived actual and prospective investors since January 2000 by claiming that Holdings is on the verge of launching an IPO. According to the complaint, Holdings has never filed any registration statement with the Commission or otherwise taken any steps toward an IPO. The Commission also alleges that the defendants have made baseless projections that Holdings stock would trade at 4 to 5 times its offering price on the secondary market. The defendants are also alleged to have misrepresented, among other things, key facts concerning Holdings' management, use of investor proceeds, and business activities, including that Holdings had "entered into contract" to purchase a bank and developed a provider of online financial solutions to banks and other financial institutions. The complaint names the following defendants: 1. eWealth, a New York Corporation, is a registered broker-dealer based in White Plains, New York and employed eleven registered representatives. eWealth is wholly owned by Holdings. 2. Holdings is a Delaware corporation with an office address in White Plains, New York that is identical to eWealth's business address. As of March 1, 2002, Holdings is no longer in existence and good standing in the State of Delaware, and is inoperative and void for non- payment of taxes. 3. N. Formisano, 34, is a resident of Katonah, New York, is the Executive Vice President of eWealth, and holds Series 24 and Series 7 licenses. According to Holdings' offering memoranda, N. Formisano is the Chairman and Chief Executive Officer (CEO) of Holdings. According to N.Formisano, he owns approximately 87% of Holdings. 4. Cunningham, 40, is a resident of Glen Ridge, New Jersey, is a registered representative of eWealth, and holds a Series 7 license. According Holdings' offering memoranda, Cunningham is the President of Holdings. 5. Aronica, 29, is a resident of Great Neck, New York, and is a general principal and registered representative of eWealth, where he holds Series 7 and Series 24 licenses. 6. Mastrosimone, 23, is a resident of Yorktown, New York, and is a general principal and registered representative of eWealth, where he holds Series 7 and Series 24 licenses. The complaint seeks, as final relief against all defendants, permanent injunctions against future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. In addition, the complaint seeks to enjoin eWealth from future violations of Sections 15(g), 17(a) and 17(b) of the Exchange Act, and Rules 17a-4(j) and 15g-9 thereunder, and seeks to enjoin N. Formisano from future violations or aiding and abetting future violations of Sections 17(a) and 17(b) of the Exchange Act, and Rule 17a- 4(j) thereunder. The Commission also seeks against all defendants, disgorgement of all ill-gotten gains plus prejudgment interest, and civil penalties. In addition, the Commission seeks a bar against each defendant from participating in any future offering of penny stocks. The litigation is pending. [SEC v. eWealth Securities, Inc., et al., SDNY 02 Civ. 8626 (JES)] (LR-17906) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission issued notice of filing and granted accelerated approval to Amendment No. 13 to a proposed rule change submitted by the National Association of Securities Dealers (SR-NASD-98-26-Amendment No. 13) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to extend the Short Sale Rule, continue the suspension of the Primary Market Maker standards, and modify the calculation of the bid tick indicator. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34-46999) EXTENSION OF COMMENT PERIOD The Commission has extended the comment periods for proposed rule changes submitted by the New York Stock Exchange (SR-NYSE-2002-36) and the National Association of Securities Dealers (SR-NASD-2002-162) under Rule 19b-4 of the Act to amend and adopt rules, which relate to the establishment, maintenance, and testing of Internal Controls and Supervision pursuant to Section 19(b)(2) of the Act until Jan. 17, 2003. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34-47021) PROPOSED RULE CHANGES The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-158) relating to the establishment of a Nasdaq official closing price and a trade report modifier with which to identify that price to the public. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34- 47022) The Pacific Exchange filed a proposed rule change (SR-PCX-2002-64) regarding rules implementing the Options Intermarket Linkage Plan. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34-47026) The International Securities Exchange filed a proposed rule change (SR- ISE-2002-19) seeking to adopt rules governing the operation of the intermarket linkage. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34-47029) AMENDMENT TO THE OPTIONS INTERMARKET LINKAGE PLAN The American Stock Exchange, Chicago Board Options Exchange, International Securities Exchange, Pacific Exchange, and Philadelphia Stock Exchange have submitted an amendment to the Options Intermarket Linkage Plan, under Rule 11Aa3-2 of the Securities Exchange Act of 1934 relating to the process for potential new options exchanges to have interim access to Linkage information. (Rel. 34-47027) NOTICE OF FILING AND SUMMARY EFFECTIVENESS OF THE FOURTH SUBSTANTIVE AMENDMENT TO THE SECOND RESTATEMENT OF THE CONSOLIDATED TAPE ASSOCIATION PLAN AND THE SECOND SUBSTANTIVE AMENDMENT TO THE RESTATED CONSOLIDATED QUOTATION PLAN On Dec. 16, 2002, pursuant to Rule 11Aa3-2 under the Securities Exchange Act of 1934, the Consolidated Tape Association (CTA) submitted amendments to the CTA and Consolidated Quotation Plans to implement a new capacity planning process, commencing with the Jan. 1, 2003, capacity planning cycle. Publication of the notice is expected in the Federal Register during the week of Dec. 23. (Rel. 34-47030) 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 TURBODYNE TECHNOLOGIES INC, 6155 CARPINTERIA AVE, SUITE 1550, CARPINTERIA, CA, 93013, 8056844551 - 7,500,000 ($1,125,000.00) Equity, (File 333-101977 - Dec. 19) (BR. 05) S-8 TTI TEAM TELECOM INTERNATIONAL LTD, 7 MARTIN GEHL STREET, KIRYAT ARYEH, PETACH TIKVA, L3, 49512, 972 3 926 9700 - 90,833 ($1,919,226.50) Equity, (File 333-101979 - Dec. 19) (BR. 03) S-8 LUMALITE HOLDINGS INC, 2810 VIA ORANGE WAY, SUITE B, SPRING VALLEY, CA, 91978, 6196605410 - 353,947 ($30,085.00) Equity, (File 333-101980 - Dec. 19) (BR. 04) S-8 HUBBELL INC, 584 DERBY MILFORD RD, ORANGE, CT, 06477-4024, 2037994100 - 0 ($10,686,000.00) Equity, (File 333-101981 - Dec. 19) (BR. 36) S-8 HUBBELL INC, 584 DERBY MILFORD RD, ORANGE, CT, 06477-4024, 2037994100 - 0 ($82,378,446.98) Equity, (File 333-101982 - Dec. 19) (BR. 36) S-8 TERADYNE INC, 321 HARRISON AVE, MAIL STOP H93, BOSTON, MA, 02118, 6174822700 - 0 ($67,125,000.00) Equity, (File 333-101983 - Dec. 19) (BR. 36) SB-2 GREENWAY TECHNOLOGIES CORP, 185 HAI ZHOU RD, SHANGHAI, F4, 00000, 01185260947990 - 10,500,000 ($105,000.00) Equity, (File 333-101984 - Dec. 19) (BR. ) SB-2 AM BUILD INC, 120 EGLINTON AVENUE EAST, SUITE 500, TORONTO ONTARIO, A6, M4P 1E2, 4164819333 - 2,000,000 ($2,000,000.00) Equity, (File 333-101985 - Dec. 19) (BR. ) F-6 SUMITOMO MITSUI BANKING CORP /ADR/, BANKERS TRUST CO 4 ALBANY ST, NEW YORK, NY, 10006, 2122508500 - 10,000,000 ($500,000.00) Equity, (File 333-101986 - Dec. 19) (BR. ) S-8 DRACO HOLDING CORP/NV, 511 EAST ST GEORGE BLVD, ST. GEORGE, UT, 84770, 8012090545 - 1,500,000 ($15,000.00) Equity, (File 333-101987 - Dec. 19) (BR. 05) S-8 GREENLAND CORP, 6194584226 - 3,500,000 ($35,000.00) Equity, (File 333-101988 - Dec. 19) (BR. 07) S-8 ZKID NETWORK CO, 445 WEST ERIE STREET, SUITE 106B, CHICAGO, IL, 60610, 3126540733 - 0 ($50,625.00) Equity, (File 333-101989 - Dec. 19) (BR. 09) S-8 TOP IMAGE SYSTEMS LTD, 2 HABARZEL ST, TEL AVIV 69710 ISRA, L3, 00000, 01197236487722 - 360,000 ($332,600.00) Equity, (File 333-101990 - Dec. 19) (BR. 03) S-8 SCHWAB CHARLES CORP, 120 KEARNY STREET, SAN FRANCISCO, CA, 94104, 4156277000 - 1,500,000 ($16,350,000.00) Equity, (File 333-101992 - Dec. 19) (BR. 07) S-8 MERCURY COMPUTER SYSTEMS INC, 199 RIVERNECK RD, CHELMSFORD, MA, 01824, 9782561300 - 0 ($118,299,055.00) Equity, (File 333-101993 - Dec. 19) (BR. 36) S-8 BALLY TOTAL FITNESS HOLDING CORP, 8700 WEST BRYN MAWR AVENUE, SECOND FLOOR, CHICAGO, IL, 60631, 7733997656 - 2,500,000 ($17,450,000.00) Equity, (File 333-101994 - Dec. 19) (BR. 05) S-8 MAYTAG CORP, 403 W 4TH ST N, NEWTON, IA, 50208, 6417927000 - 0 ($18,000,000.00) Other, (File 333-101995 - Dec. 19) (BR. 02) S-8 XANSER CORP, 2435 N. CENTRAL EXPRESSWAY, SUITE 700, RICHARDSON, TX, 75080, 9726994000 - 1,000,000 ($1,690,000.00) Equity, (File 333-101996 - Dec. 19) (BR. 06) S-3 ALLEGIANCE TELECOM INC, 1950 STEMMONS FRWY, STE 3026, DALLAS, TX, 75207, 2148537100 - 0 ($381,984.00) Equity, (File 333-101997 - Dec. 19) (BR. 37) S-8 MAYTAG CORP, 403 W 4TH ST N, NEWTON, IA, 50208, 6417927000 - 0 ($6,892,500.00) Equity, (File 333-101998 - Dec. 19) (BR. 02) S-8 BALLY TOTAL FITNESS HOLDING CORP, 8700 WEST BRYN MAWR AVENUE, SECOND FLOOR, CHICAGO, IL, 60631, 7733997656 - 250,000 ($1,745,000.00) Equity, (File 333-101999 - Dec. 19) (BR. 05) S-8 GOALTIMER INTERNATIONAL INC, 231 W. JAMISON, LITTLETON, CO, 80002, 3037340235 - 39,825,782 ($99,564.46) Debt Convertible into Equity, (File 333-102000 - Dec. 19) (BR. 09) S-8 MAYTAG CORP, 403 W 4TH ST N, NEWTON, IA, 50208, 6417927000 - 0 ($13,785,000.00) Equity, (File 333-102001 - Dec. 19) (BR. 02) S-8 MAYTAG CORP, 403 W 4TH ST N, NEWTON, IA, 50208, 6417927000 - 0 ($137,850.00) Equity, (File 333-102002 - Dec. 19) (BR. 02) S-8 PARADIGM GENETICS INC, 104 ALEXANDER DR, ADMINISTIVE BLDG #6, RESEARCH TRIANGLE PA, NC, 27709, 9195445578 - 0 ($354,200.00) Equity, (File 333-102003 - Dec. 19) (BR. 01) S-8 THOUSAND TRAILS INC /DE/, 2711 LBJ FREEWAY, SUITE 200, DALLAS, TX, 75234, 9722432228 - 0 ($6,175,000.00) Equity, (File 333-102004 - Dec. 19) (BR. 08) S-3 CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY, 10003, 2124604600 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-102005 - Dec. 19) (BR. 04) S-8 DEL MONTE FOODS CO, ONE MARKET @ THE LANDMARK, C/O DEL MONTE CORP, SAN FRANCISCO, CA, 94105, 4152473000 - 0 ($128,513,000.00) Equity, (File 333-102006 - Dec. 19) (BR. 04) S-3 NATIONWIDE FINANCIAL SERVICES INC/, ONE NATIONWIDE PLAZA, COLUMBUS, OH, 43215, 6142497111 - 0 ($1,300,000,000.00) Other, (File 333-102007 - Dec. 19) (BR. 01) S-8 CENTRAL VERMONT PUBLIC SERVICE CORP, 77 GROVE ST, RUTLAND, VT, 05701, 802-773-2711 - 350,000 ($6,352,500.00) Equity, (File 333-102008 - Dec. 19) (BR. 02) N-2 AEW REAL ESTATE INCOME FUND, 10 ($250,000.00) Equity, (File 333-102009 - Dec. 19) (BR. 18) S-3 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 532,765 ($8,689,397.15) Equity, (File 333-102010 - Dec. 19) (BR. 04) S-3 UNION BANKSHARES CORP, 212 NORTH MAIN ST, P O BOX 446, BOWLING GREEN, VA, 22427, 8046335031 - 0 ($1,556,841.00) Equity, (File 333-102012 - Dec. 19) (BR. 07) F-6 SADIA SA, RUA FORTUNATO FERRAZ 659 VILA ANASTACIO, SAO PAULO SP 05093-901 BRAZIL, BRAZIL, D5, 00000, 50,000,000 ($2,500,000.00) ADRs/ADSs, (File 333-102013 - Dec. 19) (BR. 04) S-4 MAPICS INC, 1000 WINDWARD CONCOURSE PARKWAY, ALPHARETTA, GA, 30005, 4047053000 - 0 ($30,772,880.00) Equity, (File 333-102014 - Dec. 19) (BR. 03) S-8 TRIPOS INC, 1699 SOUTH HANLEY RD, STE 303, ST LOUIS, MO, 63144, 3146471099 - 250,000 ($1,432,500.00) Equity, (File 333-102015 - Dec. 19) (BR. 03) S-4 CITIZENS INC, 400 EAST ANDERSON LANE, AUSTIN, TX, 78752, 5128377100 - 0 ($17,188,918.00) Equity, (File 333-102016 - Dec. 19) (BR. 01) S-8 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 1,600,000 ($26,096,000.00) Equity, (File 333-102017 - Dec. 19) (BR. 04) S-3 TECO ENERGY INC, 702 N FRANKLIN ST, TECO PLAZA, TAMPA, FL, 33602, 8132284111 - 0 ($598,578,450.00) Equity, (File 333-102018 - Dec. 19) (BR. 02) S-4 TECO ENERGY INC, 702 N FRANKLIN ST, TECO PLAZA, TAMPA, FL, 33602, 8132284111 - 0 ($380,000,000.00) Non-Convertible Debt, (File 333-102019 - Dec. 19) (BR. 02) S-3 PRAXAIR INC, 39 OLD RIDGEBURY RD, DANBURY, CT, 06810-5113, 2038372000 - 1,375,000,000 ($1,375,000,000.00) Other, (File 333-102020 - Dec. 19) (BR. 02) S-8 USA SUNRISE BEVERAGES INC, PO BOX 938, SPEARFISH, SD, 57783, 6056425560 - 3,500,000 ($1,785,000.00) Equity, (File 333-102021 - Dec. 19) (BR. 09) 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 12/18/02 24/7 MEDIA INC DE X X 10/15/02 AMEND ACCESS ANYTIME BANCORP INC DE X 12/16/02 ADVANCED REFRIGERATION TECHNOLOGIES I CA X X 12/17/02 AIRSPAN NETWORKS INC WA X X 12/18/02 ALLEGHENY ENERGY INC MD X X 12/18/02 ALLEGHENY ENERGY SUPPLY CO LLC X X 12/18/02 AMERICAN REAL ESTATE PARTNERS L P DE X X 12/19/02 AMERICAN RIVER HOLDINGS CA X X 12/19/02 ANALYTICAL SURVEYS INC CO X 12/19/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 12/19/02 ARIZONA PUBLIC SERVICE CO AZ X X 11/15/02 ARRAY BIOPHARMA INC DE X 12/19/02 AUTOTRADECENTER COM INC AZ X 12/04/02 AVAILENT FINANCIAL INC DE X X X 12/04/02 BAB INC DE X 12/31/02 BANC OF AMERICA COMMERCIAL MORT PASS DE X X 12/11/02 BEAR STEARNS COMMERCIAL MORTGAGE SEC DE X X 12/15/02 BEAR STEARNS COMPANIES INC DE X X 12/18/02 BICO INC/PA PA X 12/19/02 BRANTLEY CAPITAL CORP MD X X 12/18/02 CALAVO GROWERS INC CA X X 12/19/02 CALIFORNIA STEEL INDUSTRIES INC X X 12/12/02 CALLAWAY GOLF CO /CA DE X X X 12/12/02 CALPINE CORP DE X X 12/18/02 CARCORP USA CORP DE X X X X 09/09/02 CARNIVAL CORP DE X X 11/30/02 CAROLINA BANK HOLDINGS INC NC X 12/17/02 CATERPILLAR INC DE X 12/19/02 CELLSTAR CORP DE X X 12/19/02 CERAMICS PROCESS SYSTEMS CORP/DE/ DE X 12/04/02 CHADMOORE WIRELESS GROUP INC CO X 12/19/02 CITICORP MORTGAGE SECURITIES INC DE X X 12/19/02 CITICORP MORTGAGE SECURITIES INC DE X 12/19/02 CNA FINANCIAL CORP DE X X 12/19/02 COLE NATIONAL CORP /DE/ DE X 12/19/02 COLE NATIONAL GROUP INC DE X 12/19/02 COLONY BANKCORP INC GA X X 12/19/02 COMMERCIAL MORTGAGE PASS-THROUGH CERT MO X X 12/12/02 COMMONWEALTH BANCORP INC PA X X 12/19/02 COMMUNITY BANKS INC /PA/ PA X X 12/17/02 COMTEX NEWS NETWORK INC NY X 12/10/02 CONCUR TECHNOLOGIES INC WA X X 12/16/02 CONSECO FINANCE CORP DE X X 12/17/02 CONSECO FINANCE CORP DE X X 12/17/02 CONSECO FINANCE CORP DE X X 12/17/02 CONSECO INC IN X X 12/18/02 CONSOLIDATED EDISON CO OF NEW YORK IN NY X X 12/19/02 COUNTRYWIDE HOME LOAN TRUST HOME LOAN NY X X 12/12/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 12/19/02 CRIIMI MAE INC MD X 12/19/02 CROWN CORK & SEAL CO INC PA X 12/11/02 CSK AUTO CORP DE X X 12/18/02 CWABS INC DE X X 12/19/02 DALEEN TECHNOLOGIES INC DE X 10/17/02 DALLAS GOLD & SILVER EXCHANGE INC /NV NV X X 12/16/02 DARDEN RESTAURANTS INC FL X X 12/19/02 DEL MONTE FOODS CO DE X X 12/18/02 DENNYS CORP DE X 12/16/02 DILLARD ASSET FUNDING CO DE X X 11/15/02 DVI RECEIVABLES CORP DE X 11/30/02 DVI RECEIVABLES CORP VIII DE X 11/30/02 DYNACORE HOLDINGS CORP DE X 12/18/02 ENDOCARE INC DE X X 12/18/02 ESB FINANCIAL CORP PA X X 12/18/02 ESSEX PROPERTY TRUST INC MD X X 12/17/02 EVOLVE SOFTWARE INC DE X 12/17/02 EXCELON CORP DE X 12/19/02 EXELON CORP PA X 12/19/02 FASHIONMALL COM INC DE X X 12/19/02 FIRST DATA CORP DE X 12/18/02 FIRST MIDWEST BANCORP INC DE X X 12/19/02 FIRST NIAGARA FINANCIAL GROUP INC DE X X 12/13/02 GALAXY NUTRITIONAL FOODS CO DE X X 12/17/02 GATX CORP NY X 12/19/02 GATX FINANCIAL CORP DE X 12/19/02 GE CAPITAL COMMERCIAL MORT CORP MORT DE X X 12/10/02 GEMSTAR TV GUIDE INTERNATIONAL INC DE X X 11/22/02 GENERAL DYNAMICS CORP DE X X 12/19/02 GENERAL MOTORS CORP DE X 12/19/02 GENERAL MOTORS CORP DE X 12/11/02 GMAC COMMERCIAL MORTGAGE SEC INC MRT X X 12/15/02 GOLDMAN SACHS GROUP INC/ DE X 12/19/02 GOLF PRODUCT TECHNOLOGIES INC FL X X X 12/02/02 GREATER BAY BANCORP CA X X X 12/16/02 GREYHOUND LINES INC DE X 12/19/02 GS MORTGAGE SEC CORP MORT PASS THR CE DE X X 10/07/02 AMEND HALLIBURTON CO DE X 12/18/02 HALLIBURTON CO DE X 12/18/02 HARRINGTON WEST FINANCIAL GROUP INC/C X 12/19/02 HARVEST NATURAL RESOURCES INC DE X X 12/18/02 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 12/19/02 HEALTHETECH INC X X 12/11/02 HERITAGE COMPANIES INC NV X X X 12/17/02 HOLIDAY RV SUPERSTORES INC DE X X 12/13/02 HUGHES ELECTRONICS CORP DE X 12/11/02 IMAGING TECHNOLOGIES CORP/CA DE X X 12/19/02 IMAGIS TECHNOLOGIES INC A1 X 12/09/02 IMPROVENET INC DE X X 12/13/02 IMPSAT FIBER NETWORKS INC DE X X 12/16/02 INCYTE GENOMICS INC DE X 12/19/02 INETEVENTS INC DE X 11/19/02 INFORMATION RESOURCES INC DE X X 12/13/02 INKINE PHARMACEUTICAL CO INC NY X X 12/17/02 INSILCO HOLDING CO DE X X X 12/16/02 INSILCO TECHNOLOGIES INC DE X X X 12/16/02 INTERNATIONAL LEASE FINANCE CORP CA X 12/16/02 JOHNSONDIVERSEY INC DE X 12/19/02 JP MORGAN CHASE COM MORT SEC CORP PAS DE X X 12/12/02 KAISER ALUMINUM & CHEMICAL CORP DE X X 12/18/02 KAISER ALUMINUM CORP DE X X 12/18/02 KERR MCGEE CORP /DE DE X 12/19/02 LA-Z-BOY INC MI X 12/19/02 LATTICE SEMICONDUCTOR CORP DE X 01/18/02 AMEND LEHMAN BROTHERS HOLDINGS INC DE X 12/19/02 LOTTERY & WAGERING SOLUTIONS INC DE X X 12/16/02 MACK CALI REALTY CORP MD X X 12/12/02 MCMORAN EXPLORATION CO /DE/ DE X 12/17/02 MILLENNIUM CHEMICALS INC DE X X 11/30/02 MILLS CORP DE X 12/16/02 MISSION RESOURCES CORP DE X X 12/19/02 MMCA AUTO OWNER TRUST 2002-1 DE X X 12/16/02 MMCA AUTO OWNER TRUST 2002-2 X X 12/16/02 MMCA AUTO OWNER TRUST 2002-3 X X 12/16/02 MMCA AUTO OWNER TRUST 2002-4 DE X X 12/16/02 MORGAN STANLEY DE X X 12/19/02 MORTGAGE ASSET SEC TRANS INC MORT PAS NY X 12/19/02 MUSE TECHNOLOGIES INC DE X 12/18/02 NECO ENERGY CORP X X 08/09/02 AMEND NIGHTINGALE INC UT X X 12/31/02 NORTHERN BORDER PARTNERS LP DE X 12/11/02 NORTHWEST BIOTHERAPEUTICS INC DE X X 12/18/02 OCEANIC EXPLORATION CO DE X 12/16/02 ORTHOVITA INC X X 12/18/02 PANERA BREAD CO DE X 12/19/02 PAYCHEX INC DE X 12/19/02 PHARMACEUTICAL FORMULATIONS INC DE X 12/19/02 PHARMANETICS INC NC X X 12/19/02 PMI GROUP INC DE X 12/18/02 PNC FINANCIAL SERVICES GROUP INC PA X X 12/19/02 PNC MORT SEC CORP COM MORT PASS THR C MO X X 12/16/02 PNC MORTGAGE ACCEPTANCE CORP MO X X 12/12/02 PNM RESOURCES NM X 11/30/02 PREVIO INC DE X X 12/18/02 RALCORP HOLDINGS INC /MO MO X X 12/19/02 RENT WAY INC PA X 12/19/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 12/19/02 RESTORATION HARDWARE INC CA X X 12/18/02 RURAL ELECTRIC COOPERATIVE GRANTOR TR NY X X 12/16/02 SAFECO CORP WA X 12/19/02 SALIX PHARMACEUTICALS LTD X X 12/19/02 SELECT COMFORT CORP MN X 12/19/02 SHARECOM INC /IL/ NV X X X 12/13/02 SHIRE PHARMACEUTICALS GROUP PLC X X 12/19/02 SIGMA ALDRICH CORP DE X X 12/19/02 SNB BANCSHARES INC GA X 12/19/02 SONEX RESEARCH INC MD X 12/17/02 SOVEREIGN SPECIALTY CHEMICALS INC DE X 12/19/02 SPECTRUM PHARMACEUTICALS INC DE X 12/11/02 SPX CORP DE X X 12/13/02 STATER BROS HOLDINGS INC DE X 12/19/02 STRATOSPHERE CORP DE X X 12/19/02 SUN BANCORP INC PA X X 12/18/02 SUNBEAM CORP/FL/ DE X X 12/17/02 SYNERGY FINANCIAL GROUP INC X X 12/19/02 SYSCOMM INTERNATIONAL CORP DE X X 08/01/02 AMEND TASKER CAPITAL CORP NV X X 12/19/02 TEAM FINANCIAL INC /KS KS X X 12/18/02 TECO ENERGY INC FL X X 12/19/02 TETON PETROLEUM CO DE X 12/12/02 TEXAS BIOTECHNOLOGY CORP /DE/ DE X 12/19/02 TOWER BANCORP INC PA X 12/18/02 TREATS INTERNATIONAL ENTERPRISES INC DE X 12/17/02 TULLYS COFFEE CORP X 12/19/02 UNIVERSAL ACCESS GLOBAL HOLDINGS INC DE X 12/19/02 VAXGEN INC DE X X 12/19/02 VENTURE HOLDINGS CO LLC MI X 12/19/02 VIRGINIA COMMERCE BANCORP INC X X 12/19/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 12/19/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 12/19/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 12/19/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 12/17/02 WEBHIRE INC DE X X 12/18/02 WILLIAMS COMPANIES INC DE X 12/17/02 WSN GROUP INC NV X X 12/18/02 ZETA CORP /CA FL X 12/19/02