WACHOVIA CORP NEW


ONE WACHOVIA CTR
CHARLOTTE,  NC,
  USA
7043746565
Filing DateCurrent and former namesChanged on date
2003-05-15
FIRST UNION NATIONAL BANCORP INC
1972-11-15
2002-07-01
FIRST UNION CORP
1992-07-03
2001-10-23
WACHOVIA CORP NEW
Central Index Key (CIK)
0000036995
State of Incorporation
NC
Country of Incorporation
USA
Fiscal year end
1231
Std. Industrial Class.
6021 NATIONAL COMMERCIAL BANKS

Ownership (Form 3,4,5)# Filings
BAKER JOHN D II (0001190089) 55
BALLOUN JAMES S (0001183388) 24
BROWN ROBERT J (0001196225) 31
BROWNING PETER C (0001176402) 46
Burr James Floyd (0001354859) 22
CARROLL DAVID M (0001232064) 35
CASTEEN JOHN T III (0001246960) 46
CUMMINGS STEPHEN E (0001232066) 32
Carlson Peter M (0001379320) 12
Clark Ranjana B (0001404051) 8
DAVIS JEAN E (0001232068) 22
EUBANK FREDERICK W (0001258127) 1
EVERETT MALCOLM E III (0001238123) 3
Enos Gerald Adams JR (0001359819) 19
Eubank II Frederick W (0001258127) 6
GEORGE PAUL G (0001017977) 4
GOODWIN WILLIAM H JR (0001017069) 49
Gitt Jerome Alan (0001338286) 21
HAUPTFUHRER W BARNES (0001205564) 6
HERRINGER MARYELLEN C (0001078102) 20
INGRAM ROBERT ALEXANDER (0001219890) 47
JAMES DONALD M (0001188417) 35
JENKINS BENJAMIN P III (0001232069) 44
JULIAN DAVID M (0001232070) 20
KELLY ROBERT P (0001232071) 7
KELLY STANHOPE A (0001232072) 39
LEHMAN ALICE L (0001232074) 41
MALONE WALLACE D JR (0001187175) 7
MCDONALD MACKEY J (0001049371) 47
MCFAYDEN SHANNON W (0001279780) 31
MCMULLEN DONALD A JR (0001232076) 7
McCarthy Courtney R (0001368999) 6
NEUBAUER JOSEPH (0000905129) 47
NOLAND LLOYD U III (0001198500) 23
Perper Scott (0001304599) 1
Phelan Kenneth (0001448575) 3
Proctor Timothy D (0001380482) 21
RADY ERNEST S TRUST (0001009002) 26
RICHEY VAN L (0001192005) 37
Roselle Arthur C (0001304603) 1
SHAW RUTH G (0001215486) 45
SMITH LANTY L (0001232080) 54
Sherburne Jane Cecile (0001438784) 5
Steel Robert King (0001439980) 4
THOMPSON G KENNEDY (0001190149) 38
TREANOR MARK C (0001246957) 30
TRUSLOW DONALD K (0001232078) 38
WHITAKER JOHN C JR (0001248756) 37
WURTZ THOMAS J (0001232079) 33
Wachovia Investors Inc (0001305175) 7
YOUNG DONA D (0001198209) 47
ZWIENER DAVID K (0001029169) 3
All related persons/companies# Filings
1838 BOND DEBENTURE TRADING FUND (0000030125) 5
2002 TARGET TERM TRUST INC (0000893227) 4
2007 TARGET TERM TRUST INC 4
3M INFORMATION PROCESSING INC 8
ABERDEEN COMMONWEALTH INCOME FUND INC (0000876717) 2
ABERDEEN GLOBAL INCOME FUND INC (0000876717) 1
ABRAXAS PETROLEUM CORP (0000867665) 3
ADAC LABORATORIES (0000313798) 1
AGILYSYS INC (0000078749) 1
AIRGAS INC (0000804212) 2
ALABAMA FINANCIAL GROUP INC 27
ALEXANDERS INC (0000003499) 3
ALL AMERICAN TARGET TERM TRUST INC 2
ALL AMERICAN TERM TRUST INC (0000894233) 2
ALL SEASONS GLOBAL FUND INC 1
ALLEGHENY INTERNATIONAL /PA 1
ALLETE 2
ALLETE INC (0000066756) 2
ALLIANCE ONE INTERNATIONAL, INC. (0000939930) 3
ALLTRISTA CORP (0000895655) 1
ALLTRISTA NEWCO CORP (0001177471) 1
ALTERNATIVE RESOURCES CORP (0000920521) 2
AMCORE FINANCIAL INC (0000714756) 2
AMERICA SERVICE GROUP INC /DE (0000877476) 1
AMERICAN MEDICAL RESEARCH INC 3
AMERICAN PACIFIC CORP (0000350832) 4
AMERICAN RESIDENTIAL INVESTMENT TRUST INC 2
AMERICAN STOCK EXCHANGE LLC (0001143313) 38
AMERICAN STRATEGIC INCOME PORTFOLIO INC (0000878930) 3
AMERICAS ALL SEASON FUND INC 1
AMERICORP FINANCIAL INC 2
AMETEK AEROSPACE PRODUCTS INC 3
AMETEK INC/ (0001037868) 3
APTARGROUP INC (0000896622) 5
ARAMARK CORP/DE (0001144528) 5
ARAMARK WORLDWIDE CORP 5
ARKANSAS POWER & LIGHT CO 2
ARMAGH GROUP INC 3
ARVIN INDUSTRIES INC (0000007636) 3
ASIA PACIFIC FUND INC (0000795618) 7
ASIA TIGERS FUND INC (0000912729) 3
ASPI EUROPE INC 3
ASSOCIATED SPRING CORP 5
AVECOR CARDIOVASCULAR INC (0000883982) 1
AmNet Morgage, Inc. 2
AmNet Mortgage, Inc. (0001035744) 2
American Community Newspapers Inc. (0001321544) 2
BAIN CAPITAL PARTNERS VIII, L.P. (0001309466) 1
BAKER JOHN D II (0001190089) 55
BALLOUN JAMES S (0001183388) 24
BANCO SANTANDER S A (0000891478) 1
BANTA CORP (0000009801) 5
BANTA GEORGE CO INC 5
BANTA GEORGE PUBLISHING CO 5
BARCLAYS BANK INTERNATIONAL LTD 9
BARCLAYS BANK PLC /ENG/ (0000312070) 9
BARCLAYS GLOBAL INVESTORS FUNDS (0000893818) 17
BARCLAYS GLOBAL INVESTORS FUNDS INC 17
BARCLAYS GLOBAL INVESTORS NA /CA/ (0000913414) 9
BARNES GROUP INC (0000009984) 5
BENCHMARK ELECTRONICS INC (0000863436) 3
BENSON FINANCIAL CORP (0000927717) 1
BLACKROCK INCOME OPPORTUNITY TRUST INC (0000880280) 8
BLACKROCK INVESTMENT QUALITY TERM TRUST INC (0000883368) 2
BLACKROCK NORTH AMERICAN GOVERNMENT INCOME TRUST INC (0000880280) 9
BLACKROCK S&P GLOBAL QUALITY RANKINGS TRUST 4
BLACKROCK S&P QUALITY RANKINGS GLOBAL EQUITY MANAGED TRUST (0001280936) 4
BLACKROCK S&P QUALITY RANKINGS TRUST 4
BLACKROCK STRATEGIC TERM TRUST INC (0000868784) 2
BLACKSTONE 1997 TERM TRUST INC 2
BLACKSTONE INVESTMENT QUALITY TERM TRUST INC 2
BLACKSTONE NORTH AMERICAN GOVERNMENT INCOME TRUST INC 9
BLACKSTONE STRATEGIC TERM TRUST INC 2
BLOUNT INTERNATIONAL INC (0001001606) 2
BLUE NILE INC (0001091171) 1
BOEING AIRPLANE CO 3
BOEING CO (0000012927) 3
BOLT TECHNOLOGY CORP (0000354655) 3
BONTEX INC (0000041052) 3
BOSTONFED BANCORP INC (0000948515) 1
BOYAR SCHULTZ INC 5
BROTHERS GOURMET COFFEES INC (0000913344) 2
BROWN ROBERT J (0001196225) 31
BROWN TOM DRILLING CO INC 3
BROWN TOM INC /DE (0000014803) 3
BROWNING PETER C (0001176402) 46
BSB BANCORP INC (0000830257) 3
BUTLER MANUFACTURING CO (0000015840) 4
BZW BARCLAYS GLOBAL INVESTORS NA 9
Brooklyn Cheesecake & Desert Com (0000949721) 2
Burr James Floyd (0001354859) 22
C TEC CORP 4
C&D TECHNOLOGIES INC (0000808064) 5
CADMUS COMMUNICATIONS CORP/NEW (0000745274) 3
CALLAWAY GOLF CO /CA (0000837465) 5
CAMBREX CORP (0000820081) 2
CAMERON FINANCIAL CORP 4,119
CANNON EXPRESS INC (0000801558) 2
CAPITAL BEVERAGE CORP (0001020186) 1
CAPITAL GROUP COMPANIES INC 2
CAPITAL GROUP COMPANIES INC ET AL (0000732812) 2
CAPITAL GROUP INC 2
CAPITAL RESEARCH & MANAGEMENT CO (0000017283) 4
CARAUSTAR INDUSTRIES INC (0000825692) 2
CAROLINA FIRST CORP 3
CAROLINA POWER & LIGHT CO (0000017797) 1
CARROLL DAVID M (0001232064) 35
CASH AMERICA INTERNATIONAL INC (0000807884) 3
CASH AMERICA INVESTMENTS INC /TX/ 3
CASTEEN JOHN T III (0001246960) 46
CATTANI MARYELLEN 20
CAVCO INDUSTRIES INC (0000278166) 9
CB BANCSHARES INC/HI (0000316312) 3
CDS HOLDING CORP 4
CENTIGRAM COMMUNICATIONS CORP (0000877908) 1
CENTRAL EUROPEAN EQUITY FUND INC (0001003649) 1
CENTRAL ILLINOIS PUBLIC SERVICE CO (0000018654) 2
CFB BANCORP INC (0000932780) 2
CHATTEM DRUG & CHEMICAL CO 3
CHATTEM INC (0000019520) 3
CHELSEA GCA REALTY INC (0000911215) 2
CHIQUITA BRANDS INTERNATIONAL INC (0000101063) 7
CIRCLE INTERNATIONAL GROUP INC /DE/ (0000045674) 1
CLEAN HARBORS INC (0000822818) 2
CNF TRUST I (0001041534) 1
CNS INC (0000862846) 4
CNS INC /DE/ (0000814258) 1
COCA COLA BOTTLING CO CONSOLIDATED /DE/ (0000317540) 6
COLE KENNETH PRODUCTIONS INC (0000921691) 3
COLORADO GAMING & ENTERTAINMENT CO (0000918390) 2
COLUMBIA GAS SYSTEM INC (0000022099) 1
COLUMBUS REALTY TRUST (0000913602) 2
COMET ENTERTAINMENT INC 1
COMMONWEALTH TELEPHONE ENTERPRISES INC 4
COMMONWEALTH TELEPHONE ENTERPRISES INC /NEW/ (0000310433) 4
COMNET CORP 3
COMPUTER NETWORK CORP 3
COMSYS IT PARTNERS INC (0000948850) 7
CONCORD NATIONAL INC 3
CONDOR TECHNOLOGY GROUP INC/ FA 1
CONDOR TECHNOLOGY GRP 1
CONDOR TECHNOLOGY GRP INC 1
CONDOR TECHNOLOGY SOLUTIONS INC (0001042799) 1
CONNECTICUT LIGHT & POWER CO (0000023426) 6
CONTINENTAL HOMES HOLDING CORP (0000796122) 3
CORESTAFF INC (0001000366) 1
CRANE & CO INC (0001124057) 1
CRANE CO /DE/ (0000025445) 5
CRAWFORD & CO (0000025475) 10
CREATIVE BAKERIES INC 2
CTI INC /TN 2
CTI MOLECULAR IMAGING INC (0001129552) 2
CULP INC (0000723603) 8
CUMMINGS STEPHEN E (0001232066) 32
CYBEROPTICS CORP (0000768411) 1
CYTEC INDUSTRIES INC/DE/ (0000912513) 2
Carlson Peter M (0001379320) 12
Clark Ranjana B (0001404051) 8
Claymore Exchange-Traded Fund Trust (0001364089) 5
Claymore Exchange-Traded Fund Trust 2 (0001365662) 9
Commercial Vehicle Group, Inc. (0001290900) 3
Courtside Acquisition Corp 2
DANNER FOODS INC 3
DAVIS JEAN E (0001232068) 22
DB Commodity Index Tracking Fund 2
DB Multi-Sector Commodity Trust 3
DB Multi-Sector Trust 3
DECS TRUST V (0001084945) 1
DEISEL WEMMER GILBERT CORP 11
DESERT NATIVE DESIGNS INC 7
DEUTSCHE BANK AKTIENGESEUSCHAFT LONDON BRANCH (0001167713) 6
DIAGNOSTIC INC 3
DIGITAL SOLUTIONS INC 24
DIME FINANCIAL CORP /CT/ (0000841909) 3
DIMON INC 3
DIXIE GROUP INC (0000029332) 2
DIXIE MERCERIZING CO 2
DIXIE YARNS INC 2
DOMINION RESOURCES INC /VA/ (0000715957) 4
DREXEL BOND DEBENTURE TRADING FUND 5
DREXEL INCOME SECURITIES INC 5
DUCKWALL ALCO STORES INC (0000030302) 1
DWG CIGAR CORP 9
DWG CORP 11
DealerTrack Holdings, Inc. (0001333513) 2
EAST WEST BANCORP INC (0001069157) 2
EASTERN CO (0000031107) 3
EATERIES INC (0000796369) 2
EDMARK CORP (0000777249) 1
EDWARDS A G INC (0000718482) 14
EDWARDS J D & CO (0000798757) 2
EMCORE CORP (0000808326) 2
EMMIS BROADCASTING CORPORATION 2
EMMIS COMMUNICATIONS CORP (0000783005) 2
ENCHANTED VILLAGE INC (0000714284) 3
ENRON LIQUIDS PIPELINE L P (0000888228) 2
ENSERCH CORP 2
ENTERGY ARKANSAS INC (0000007323) 2
EPIC DESIGN TECHNOLOGY INC /CA/ (0000929457) 2
EQUITY CORP INTERNATIONAL (0000928155) 2
EQUITY RESIDENTIAL (0000906107) 1
EQUITY RESIDENTIAL PROPERTIES TRUST (0000906107) 2
ESTERLINE CORP 5
ESTERLINE TECHNOLOGIES CORP (0000033619) 5
EUBANK FREDERICK W (0001258127) 7
EUROPE FUND INC (0000860510) 5
EUROPEAN EQUITY FUND, INC / MD (0000791718) 7
EUROPEAN WARRANT FUND INC (0000863903) 2
EVERETT MALCOLM E III (0001238123) 3
EXPLORATION SURVEYS INC 7
EZ COMMUNICATIONS INC /VA/ (0000802896) 3
Enos Gerald Adams JR (0001359819) 19
Eubank II Frederick W (0001258127) 6
FERRO CORP (0000035214) 4
FIBERNET TELECOM GROUP INC\ (0001001868) 7
FIRST ALLIANCE CORP /DE/ (0001029321) 1
FIRST ALLIANCE MORTGAGE LOAN TRUST 1996-3 (0001023006) 2
FIRST CHARTER CORP /NC/ (0000717306) 3
FIRST CHARTER CORP/NC/ 3
FIRST COMMONWEALTH FUND INC 2
FIRST INDEX INVESTMENT TRUST 5
FIRST OAK BANCSHARES (0000717837) 2
FIRST OAK BROOK BANCSHARES INC (0000717837) 1
FIRST PALM BEACH BANCORP INC (0000906608) 1
FIRST STATE BANCORPORATION (0000897861) 6
FIRST TRUST ADVISORS LP (0001125816) 19
FIRST TRUST EXCHANGE TRADED FUND (0001259542) 1
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND (0001383496) 1
FIRST TRUST EXCHANGE-TRADED FUND (0001329377) 12
FIRST TRUST/FIDAC MORTGAGE INCOME FUND (0001319183) 3
FIRST UNION CAPITAL I (0001026561) 3
FIRST UNION CAPITAL II (0001026562) 3
FIRST UNION CAPITAL III (0001026563) 2
FIRST UNION CORP (0000036995) 4,120
FIRST UNION INSTITUTIONAL CAPITAL I (0001029732) 3
FIRST UNION INSTITUTIONAL CAPITAL II (0001031668) 2
FIRST UNION NATIONAL BANCORP INC 4,159
FIRST WACHOVIA CORP 64
FLEMINGTON PHARMACEUTICAL CORP 1
FLOATING RATE INCOME STRATEGIES FUND INC (0001259708) 2
FLORIDA PUBLIC UTILITIES CO (0000037643) 13
FOREIGN FUND INC 25
FORENSIC TECHNOLOGIES INTERNATIONAL CORP 6
FOREST OIL CORP (0000038079) 3
FRANCE GROWTH FUND INC (0000860743) 3
FRP PROPERTIES INC (0000844059) 3
FTI CONSULTING INC (0000887936) 6
Ferghana-Wellspring Exchange Traded Fund, Inc. 2
GABELLI GLOBAL MULTIMEDIA TRUST INC (0000921671) 2
GADZOOKS INC (0000924140) 4
GENERAL ELECTRIC CO (0000040545) 5
GEORESOURCES EXPLORATION INC 1
GEORESOURCES INC (0000041023) 1
GEORGE PAUL G (0001017977) 4
GEORGIA BONDED FIBERS INC (0000041052) 4
GEOWORKS /CA/ (0000922285) 2
GERMANY FUND INC (0000791718) 8
GILEAD SCIENCES INC (0000882095) 3
GLADSTONE CAPITAL CORP (0001143513) 2
GLOBAL EQUITY CURRENCY FUND INC 3
GLOBAL OPPORTUNITIES INCOME FUND INC 2
GLOBAL PARTNERS INCOME FUND INC 2
GLOBECOMM SYSTEMS INC (0001031028) 3
GOLDEN WEST FINANCIAL CORP /DE/ (0000042293) 23
GOODWIN WILLIAM H JR (0001017069) 49
GOTHAM APPAREL CORP (0000889898) 1
GOURMET COFFEES OF AMERICA INC 2
GRANITE CONSTRUCTION INC (0000861459) 5
GREENVILLE FIRST BANCSHARES INC (0001090009) 2
GROUP 1 AUTOMOTIVE INC (0001031203) 8
GROUP 1 SOFTWARE INC (0000023055) 3
Genpact LTD (0001398659) 1
Gitt Jerome Alan (0001338286) 21
H Lines Holding Corp 2
HARLAND JOHN H CO (0000045599) 2
HARPER GROUP INC /DE/ 1
HAUPTFUHRER W BARNES (0001205564) 6
HAWAIIAN ELECTRIC CO INC (0000046207) 1
HAWAIIAN ELECTRIC CO LTD 1
HCC INSURANCE HOLDINGS INC/DE/ (0000888919) 7
HEALTHCARE REALTY TRUST INC (0000899749) 3
HEALTHCARE RECOVERIES INC 1
HEI INC (0000351298) 5
HEIDRICK & STRUGGLES INTERNATIONAL INC (0001066605) 2
HELVETIA FUND INC 11
HEMMETER ENTERPRISES INC 2
HERRINGER MARYELLEN C (0001078102) 20
HGI REALTY INC (0000911645) 4
HOLLYWOOD CASINO CORP (0000888245) 1
HORIZON GROUP INC (0000911645) 3
HORIZON OUTLET CENTERS INC 4
HORIZON/GLEN OUTLET CENTERS LTD PART (0000944143) 1
HOSPOSABLE PRODUCTS INC (0000048569) 2
HYPERION 2002 TERM TRUST INC (0000890337) 3
HYPERION 2005 INVESTMENT GRADE OPPORTUNITY TERM TRUST INC (0000895415) 4
HYPERION TERM TRUST B INC 3
HealthShares (TM) Inc. (0001352853) 2
HealthShares Inc. 2
Horizon Lines, Inc. (0001302707) 2
IMATION CORP (0001014111) 8
INDEX EXCHANGE LISTED SECURITIES TRUST 57
INFINEON TECHNOLOGIES AG (0001107457) 3
INGRAM ROBERT A 47
INGRAM ROBERT ALEXANDER (0001219890) 47
INSURED MUNICIPAL INCOME FUND INC (0000897802) 2
INTEGRAL SYSTEMS INC /MD/ (0000718130) 2
INTERCHANGE FINANCIAL SERVICES CORP 4
INTERCHANGE FINANCIAL SERVICES CORP /NJ/ (0000755933) 4
INTERCHANGER STATE BANK 4
INTERNATIONAL GOVERNMENT INCOME TRUST 2
INTERNET DIAMONDS INC 1
INVESTMENT TECHNOLOGY GROUP INC (0000920424) 2
IRISH INVESTMENT FUND INC 6
ISHARES GOLDMAN SACHS TECHNOLOGY INDEX FUND (0001137183) 6
ISHARES INC (0000930667) 4
ISHARES RUSSELL MIDCAP INDEX FUNDS (0001161966) 2
ISHARES TRUST (0001100663) 4
IVEST FUND INC 42
India Globalization Capital, Inc. (0001326205) 2
Invesco PowerShares Capital Management LLC (0001224696) 2
JACKSONVILLE BANCORP INC (0001005507) 2
JAMES DONALD M (0001188417) 35
JAPAN ASIA SPECIAL FUND INC 7
JAPAN EMERGING EQUITY FUND INC 2
JAPAN EQUITY FUND INC (0000866095) 2
JDN REALTY CORP (0000916836) 1
JENKINS BENJAMIN P III (0001232069) 44
JOURNAL CO 2
JOURNAL COMMUNICATIONS INC (0001232241) 2
JOURNAL REGISTER CO (0001035815) 4
JULIAN DAVID M (0001232070) 20
James River Group, INC (0001325177) 2
K CAPITAL INC 3
K N ENERGY INC (0000054502) 1
KADANT INC (0000886346) 8
KANEB PIPE LINE PARTNERS L P (0000853890) 2
KANSAS NEBRASKA NATURAL GAS CO INC 1
KAUFMAN & BROAD HOME CORP 2
KB HOME (0000795266) 2
KELLY ROBERT P (0001232071) 7
KELLY STANHOPE A (0001232072) 39
KERYX BIOPHARMACEUTICALS INC (0001114220) 6
KEY TECHNOLOGY INC (0000906193) 2
KINDER MORGAN ENERGY PARTNERS L P (0000888228) 1
KN ENERGY INC (0000054502) 1
KNAPE & VOGT MANUFACTURING CO (0000056362) 1
KRANZCO REALTY TRUST (0000889427) 3
LAZARD GLOBAL TOTAL RETURN & INCOME FUND INC (0001278211) 3
LEHMAN ALICE L (0001232074) 41
LENOX FUND INC 9
LIFECORE BIOMEDICAL INC (0000028626) 3
LINCARE HOLDINGS INC (0000882235) 2
LINENS N THINGS INC (0001023052) 2
LITTLEFIELD ADAMS & CO (0000059870) 1
LOEHMANNS INC (0000060064) 2
LONE STAR GAS CO 2
LONE STAR STEAKHOUSE & SALOON INC (0000883670) 2
Legg Mason Partners Fund Advisor, LLC (0001370027) 1
MAGAININ PHARMACEUTICALS INC (0000880431) 3
MALONE WALLACE D JR (0001187175) 7
MANITOWOC CO INC (0000061986) 6
MARINEMAX INC (0001057060) 2
MARKET VECTORS ETF TRUST (0001137360) 3
MARKET VECTORS TRUST 3
MASON DIXON CAPITAL TRUST II (0001056583) 5
MASTERWORKS FUNDS INC 17
MAVERICK TUBE CORP (0000869087) 1
MAVERICK TUBE CORPORATION (0000869087) 2
MAXIS INC (0000943583) 1
MCDONALD MACKEY J (0001049371) 47
MCFAYDEN SHANNON W (0001279780) 31
MCMULLEN DONALD A JR (0001232076) 7
MEDAPHIS CORP 2
MEDIWARE INFORMATION SYSTEMS INC (0000874733) 1
MEDPARTNERS INC (0001000736) 2
MEDPARTNERS INC /DE/ 2
MEDPARTNERS MULLIKIN INC 2
MERCHANTS GROUP INC (0000803027) 2
MERIX CORP (0000921365) 1
MEXICO ADVANTAGE FUND INC 2
MEXICO CONVERTIBLE ADVANTAGE FUND INC 2
MEXICO EQUITY & INCOME FUND INC (0000863900) 2
MFS GOVERNMENT MARKETS INCOME TRUST (0000811922) 10
MFS INTERMEDIATE INCOME TRUST (0000826735) 2
MFS MULTI GOVERNMENT INTERMEDIATE TRUST 2
MIDCOM COMMUNICATIONS INC (0000943357) 2
MINNESOTA POWER & LIGHT CO 2
MINNESOTA POWER INC 2
MOCON INC (0000067279) 2
MODERN CONTROLS INC 2
MOLDFLOW CORP (0001103234) 6
MONEY STORE INC /NJ (0000876297) 1
MORGAN STANLEY ASIA INVESTMENT FUND INC 11
MORGAN STANLEY ASIA PACIFIC FUND INC (0000919808) 11
MORGAN STANLEY DEAN WITTER ASIA PACIFIC FUND INC (0000919808) 11
MORGAN STANLEY DEAN WITTER EMERGING MARKETS FUND INC (0000878929) 6
MORGAN STANLEY DEAN WITTER GOVERNMENT INCOME TRUST 1
MORGAN STANLEY EMERGING MARKETS FUND INC 6
MORGAN STANLEY GOVERNMENT INCOME TRUST (0000825353) 1
MORRISON INC /DE/ 2
MORRISON RESTAURANTS INC 2
MORRISON RESTAURANTS INC/ 2
MUELLER INDUSTRIES INC (0000089439) 6
McCarthy Courtney R (0001368999) 6
NATIONAL SERVICE INDUSTRIES INC (0000070538) 2
NATURAL MICROSYSTEMS CORP (0000915866) 1
NETSOLVE INC (0001071342) 4
NEUBAUER JOSEPH (0000905129) 47
NEW GERMANY FUND INC (0000858706) 9
NEW HOLDING CO 3
NEW IRELAND FUND INC (0000858707) 6
NEW YORK STOCK EXCHANGE INC (0000876661) 5
NEW YORK STOCK EXCHANGE LLC (0000876661) 2
NICOR INC (0000072020) 1
NOLAND LLOYD U III (0001198500) 23
NORTHERN STATES POWER CO /MN/ 3
NORTHERN TRUST INVESTMENTS INC 3
NORTHERN TRUST INVESTMENTS NA (0001256909) 3
NORTHWEST BANCORPORATION 16
NORWEST CORP 16
NOVA CORP \GA\ (0001009918) 1
NOVADEL PHARMA INC (0001043873) 1
NYMAGIC INC (0000847431) 1
NYSE Alternext US LLC (0001143313) 9
NYSE Amex (0001143313) 5
Neenah Paper Inc (0001296435) 4
ONEITA INDUSTRIES INC (0000820957) 2
OTR EXPRESS INC/KS (0000881895) 1
PACER INTERNATIONAL INC (0001091735) 3
PAINEWEBBER PREMIER INSURED MUNICIPAL INCOME FUND INC 2
PAMRAPO BANCORP INC (0000854071) 2
PARK ELECTROCHEMICAL CORP (0000076267) 6
PARLEX CORP (0000724988) 5
PEERLESS MANUFACTURING CO (0000076954) 4
PENN ENGINEERING & MANUFACTURING CORP (0000077106) 1
PENN VIRGINIA CORP (0000077159) 1
PENNICHUCK CORP (0000788885) 1
PEOPLES SAVINGS FINANCIAL CORP /CT/ (0000846801) 5
PER SE TECHNOLOGIES INC (0000878556) 2
PEROT SYSTEMS CORP (0000894253) 5
PERSONNEL GROUP OF AMERICA INC 7
PETERSEN COMPANIES INC (0001043412) 1
PETROLEUM HELICOPTERS INC (0000350403) 2
PIONEER STANDARD ELECTRONICS INC (0000078749) 3
POLISH TELEPHONES & MICROWAVE CORP 2
POWERSHARES CAPITAL MANAGEMENT LLC (0001224696) 3
POWERSHARES DB AGRICULTURE FUND (0001383082) 5
POWERSHARES DB BASE METALS FUND (0001383084) 3
POWERSHARES EXCHANGE TRADED FUND TRUST (0001209466) 162
PROFUNDS ETF TRUST 7
PROJECT SOFTWARE & DEVELOPMENT INC (0000920354) 2
PROSHARES TRUST (0001174610) 7
PROSPERITY BANCSHARES INC (0001068851) 4
PRT CORP 1
PULITZER INC (0001068848) 6
PUTNAM HIGH BOND FUND 3
PUTNAM HIGH INCOME BOND FUND 3
PUTNAM HIGH INCOME CONVERTIBLE & BOND FUND 3
PUTNAM HIGH INCOME SECURITIES FUND (0000810943) 3
PUTNAM MASTER INTERMEDIATE INCOME TRUST (0000830622) 4
PUTNAM MUNICIPAL OPPORTUNITIES TRUST (0000900422) 2
Perper Scott (0001304599) 1
Phelan Kenneth (0001448575) 3
PowerShares DB Commodity Index Tracking Fund (0001328237) 2
PowerShares DB Multi-Sector Commodity Trust (0001367306) 3
PowerShares DB Oil Fund (0001383058) 3
PowerShares DB US Dollar Index Bullish Fund (0001383151) 5
PowerShares Exchange-Traded Fund Trust II (0001378872) 20
PowerShares Global Exchange-Traded Fund Trust (0001378872) 21
Proctor Timothy D (0001380482) 21
RADY ERNEST S TRUST (0001009002) 26
RALSTON PURINA CO (0000081870) 1
RARITAN BANCORP INC (0000811434) 2
RAYOVAC CORP (0001028985) 9
RCM STRATEGIC GLOBAL GOVERNMENT FUND INC (0000916183) 2
REDDY ICE HOLDINGS INC (0001268984) 3
REYNOLDS & REYNOLDS CO (0000083588) 5
RICHEY VAN L (0001192005) 37
RIVUS BOND FUND (0000030125) 3
RMR ADVISORS INC (0001177132) 2
ROBBINS & MYERS INC (0000084290) 1
ROBERN APPAREL INC 1
ROBERN INDUSTRIES INC 1
ROHM & HAAS CO (0000084792) 5
ROYCE FOCUS TRUST INC (0000825202) 1
ROYCE GLOBAL TRUST INC 1
RUBY TUESDAY INC (0000068270) 2
RYANS FAMILY STEAKHOUSES INC (0000355622) 5
RYANS RESTAURANT GROUP INC (0000355622) 4
RYDEX ETF TRUST (0001208211) 10
RYERSON TULL INC (0001013595) 1
Roselle Arthur C (0001304603) 1
S&P QUALITY RANKINGS GLOBAL EQUITY MANAGED TRUST 4
SALOMON BROTHERS GLOBAL PARTNERS INCOME FUND INC 2
SALOMON BROTHERS HIGH INCOME FUND INC 1
SCANA CORP (0000754737) 3
SCOTTS COMPANY (0000825542) 4
SCOTTS MIRACLE-GRO CO (0000825542) 1
SCUDDER NEW ASIA FUND INC (0000798738) 7
SDL INC (0000934741) 1
SEACOAST BANKING CORP OF FLORIDA (0000730708) 3
SEAWAY FOOD TOWN INC (0000088296) 3
SECTOR SPDR TRUST 23
SELECT SECTOR SPDR TRUST (0001064641) 23
SHARON STEEL CORP 6
SHAW RUTH G (0001215486) 45
SHENANDOAH TELECOMMUNICATIONS CO (0001118404) 3
SHONEYS BIG BOY ENTERPRISES INC 3
SHONEYS INC (0000089902) 3
SHOPPING SHERLOCK INC 3
SI INTERNATIONAL INC (0001143363) 2
SINGAPORE FUND INC/MD/ (0000864415) 7
SMART VIDEO TECHNOLOGIES INC (0001089525) 3
SMITH LANTY L (0001232080) 54
SORL Auto Parts Inc (0000714284) 2
SOTHEBYS HOLDINGS INC (0000823094) 2
SOUTH FINANCIAL GROUP INC (0000797871) 3
SOUTHERN BANCORPORATION OF ALABAMA 27
SOUTHTRUST CORP (0000092081) 27
SPDR SERIES TRUST (0001064642) 41
SPECIALTY EQUIPMENT COMPANIES INC (0000814013) 1
SPS TECHNOLOGIES INC (0000093444) 3
STAGECOACH INC 17
STANDARD COMMERCIAL CORP (0000093319) 7
STANDARD COMMERCIAL TOBACCO CO INC 7
STANDARD PRESSED STEEL CO 3
STAR AMUSEMENT CO INC 1
STATE FINANCIAL SERVICES CORP (0000745614) 1
STEWART & STEVENSON SERVICES INC (0000094328) 1
STEWART INFORMATION SERVICES CORP (0000094344) 2
STRATTEC SECURITY CORP (0000933034) 2
STREETTRACKS SERIES TRUST (0001064642) 57
SUNBEAM CORP/FL/ (0000003662) 1
SUNBEAM OSTER COMPANY INC 1
SUNBEAM OSTER COMPANY INC /DE/ 1
SUNNINGDALE, INC. 2
SUPREME INDUSTRIES INC (0000350846) 7
SURETY CAPITAL CORP /DE/ (0000784932) 3
SWISS HELVETIA FUND INC (0000813623) 5
SWISS HELVETIA FUND, INC. (0000813623) 6
Salomon Brothers Floating Rate Strategic Fund Inc. 2
Salomon Brothers Variable Rate Strategic Fund Inc. 2
Sherburne Jane Cecile (0001438784) 5
Spectrum Brands, Inc. (0001028985) 3
State Street Global Advisors Ltd. (0001324601) 4
Steel Robert King (0001439980) 4
Symmetry Medical Inc. (0001292055) 3
TASTY BAKING CO (0000096412) 10
TBS INTERNATIONAL LTD (0001065648) 3
TBS SHIPPING INTERNATIONAL LTD 3
TCW DW TERM TRUST 2002 (0000891164) 2
TCW DW TERM TRUST 2003 (0000896346) 2
TEAMSTAFF INC (0000785557) 24
TECH OPS SEVCON INC (0000825411) 3
TECHNITROL INC (0000096763) 2
TELSCAPE INTERNATIONAL INC (0000925928) 2
TEMPLETON EMERGING MARKETS FUND (0000809708) 1
TEMPLETON EMERGING MARKETS FUND INC (0000809708) 2
TEMPLETON GLOBAL INCOME FUND INC (0000828803) 1
TEXOIL INC /NV/ (0000748856) 1
THERMO FIBERTEK INC 8
THOMAS & BETTS CORP (0000097854) 3
THOMPSON G KENNEDY (0001190149) 38
TIMBERLAND CO (0000814361) 2
TNP ENTERPRISES INC (0000741612) 3
TOWER AUTOMOTIVE INC (0000925548) 3
TRANS WORLD FINANCIAL CO 23
TRANS WORLD FINANCIAL CORP 23
TRANSCAT INC (0000099302) 4
TRANSMATION INC 4
TREANOR MARK C (0001246957) 30
TRIARC COMPANIES INC (0000030697) 11
TRITON PCS HOLDINGS INC (0001091973) 1
TROVER SOLUTIONS INC (0000858629) 1
TRUSLOW DONALD K (0001232078) 38
TUCKER PROPERTIES CORP (0000908257) 2
TXU GAS CO (0000033015) 2
TreeHouse Foods, Inc. (0001320695) 2
U S HOME CORP /DE/ (0000101640) 2
ULTRAMAR CORP /DE (0000887207) 2
ULTRAMAR DIAMOND SHAMROCK CORP (0000887207) 1
UNION ELECTRIC CO (0000100826) 4
UNION INSTITUTIONAL CAPITAL I (0001029732) 3
UNITED BRANDS CO 7
UNITED STATES HOME & DEVELOPMENT CORP 2
UNIVERSAL HEALTH SERVICES INC (0000352915) 1
US LEC CORP (0001054290) 1
USA DETERGENTS INC (0000946816) 3
VAAL REEFS EXPLORATION & MINING CO LTD /FI (0000801981) 1
VALASSIS COMMUNICATIONS INC (0000883293) 5
VAN ECK ALTERNATIVES INDEX FUND 3
VAN ECK ECONOMEX INDUSTRIES INDEX FUND 3
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VAN KAMPEN AMERICAN CAPITAL ADVANTAGE MUNICIPAL INCOME TRUST 2
VAN KAMPEN AMERICAN CAPITAL SELECT SECTOR MUNICIPAL TRUST 2
VAN KAMPEN AMERICAN CAPITAL TR FOR INVSTMNT GRADE MUNICIPALS 2
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VAN KAMPEN MERRITT SELECT SECTOR MUNICIPAL TRUST 2
VAN KAMPEN MERRITT TRUST FOR INVESTMENT GRADE MUNICIPALS 2
VAN KAMPEN SELECT SECTOR MUNICIPAL TRUST (0000912022) 2
VAN KAMPEN TRUST FOR INVSTMENT GRADE MUNICIPALS (0000880892) 2
VANGUARD GROUP INC (0000102909) 6
VANGUARD INDEX FUNDS (0000036405) 5
VANGUARD INDEX FUNDS/ (0000036405) 5
VANGUARD INDEX TRUST 5
VANGUARD INTERNATIONAL EQUITY INDEX FUND INC 2
VANGUARD INTERNATIONAL EQUITY INDEX FUNDS (0000857489) 2
VANGUARD WORLD FUND (0000052848) 33
VANGUARD WORLD FUND INC 42
VANGUARD WORLD FUNDS (0000052848) 42
VENTURI PARTNERS INC 7
VIDEO TELECOM CORP 1
VIDEOLAN TECHNOLOGIES INC /DE/ (0000946345) 1
VIRGINIA COAL & IRON CO 1
VLASIC FOODS INTERNATIONAL INC (0001056312) 1
VTEL CORP (0000884144) 1
VTL Associates, LLC (0001388712) 3
WABASH NATIONAL CORP /DE (0000879526) 2
WACHOVIA CAPITAL TRUST III (0001350489) 5
WACHOVIA CORP/ NC (0000774203) 64
WACHOVIA PREFERRED FUNDING CORP (0001188382) 20
WASHINGTON GAS LIGHT CO (0000104819) 1
WCI COMMUNITIES INC (0001137778) 3
WEBS INDEX FUND INC 25
WEBSTER FINANCIAL CORP (0000801337) 2
WELLINGTON MANAGEMENT CO (0000902219) 2
WELLINGTON MANAGEMENT CO LLP (0000902219) 1
WELLS FARGO & CO/MN (0000072971) 16
WELLS FARGO INSTITUTIONAL TRUST CO 9
WENDY'S/ARBY'S GROUP, INC. (0000030697) 2
WESCAST INDUSTRIES INC (0000928422) 2
WEST CO INC (0000105770) 9
WEST PHARMACEUTICAL SERVICES INC (0000105770) 7
WESTCORP /CA/ (0000813461) 11
WESTCORP INC 11
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND (0001267902) 1
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND (0001254370) 2
WESTERN ASSET CLAYMORE US TREASURY INFLATION PRO SEC FUND 2 (0001267902) 2
WESTERN ASSET CLAYMORE US TREASURY INFLATION PRO SECU FUND (0001254370) 3
WESTERN ASSET GLOBAL PARTNERS INCOME FUND INC. (0000911638) 2
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WESTERN ASSET VARIABLE RATE STRATEGIC FUND INC. (0001299393) 2
WESTERN ASSET/CLAYMORE INFLATION-PROTECTED SECURITIES FUND 3
WESTMORELAND COAL CO (0000106455) 3
WFS FINANCIAL INC (0000946343) 10
WHITAKER JOHN C JR (0001248756) 37
WILLIAM GREENBERG JR DESSERTS & CAFES INC 2
WINSTAR COMMUNICATIONS INC (0000868797) 1
WINSTON RESOURCES INC (0000815274) 2
WITTER DEAN GOVERNMENT INCOME TRUST 1
WMG Parent Corp. 2
WORLD WRESTLING ENTERTAINMENTINC (0001091907) 5
WORLD WRESTLING FEDERATION ENTERTAINMENT INC 5
WSI COMMUNICATIONS INC 3
WURTZ THOMAS J (0001232079) 33
WWFENTERTAINMENT INC 5
Wachovia Capital Trust IV (0001388375) 5
Wachovia Capital Trust IX (0001388346) 4
Wachovia Capital Trust X (0001388352) 4
Wachovia Capital Trust XI (0001388351) 1
Wachovia Capital Trust XII (0001388350) 1
Wachovia Capital Trust XIII (0001388349) 1
Wachovia Capital Trust XIV (0001388347) 1
Wachovia Capital Trust XV (0001388345) 1
Wachovia Investors, Inc. (0001305175) 7
Warner Music Group Corp. (0001319161) 2
Wisdom Tree Asset Management Inc (0001409832) 8
WisdomTree Trust (0001350487) 44
XCEL ENERGY INC (0000072903) 3
XTRASHARES TRUST 7
YELLOW CORP 4
YELLOW ROADWAY CORP (0000716006) 4
YOUNG DONA D (0001198209) 47
YRC WORLDWIDE INC (0000716006) 2
ZIONS BANCORPORATION /UT/ (0000109380) 2
ZIONS FIRST NATIONAL INVESTMENT CO 2
ZIONS UTAH BANCORPORATION 2
ZWIENER DAVID K (0001029169) 3
iSHARES INC (0000930667) 21
iSHARES TRUST (0001100663) 88
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