Embed Size (px)
Citation preview
SEC NEWS DIGEST
Issue 2001-215 November 2001
COMMISSION ANNOUNCEMENTS
SECURITIES AND EXCHANGE COMMISSION STATEMENT ON TREASURY LONGBOND SITUATION
The Securities and Exchange Commission today issued the following statement
Following referral from the Department of the Treasury we have initiated an
investigation into the circumstances surrounding the announcement of the Treasurys
decision to end its 30-year bond offerings Enforcement Division Director Stephen
Cutler added In keeping with our responsibilities to ensure the integrity of the nations
securities markets we will vigorously pursue this matter During the course of this
investigation we will decline to comment further Press Rel 2001-131
FIVE PAPERS TO BE DELIVERED AT SEC HISTORICAL SOCIETY MAJOR ISSUES
CONFERENCE
The Securities and Exchange Commission today announced that the upcoming SEC
Historical Societys Major Issue Conference on Securities Regulation in the Global
Internet Economywhich is sponsored by the Securities and Exchange Commission
Historical Society in cooperation with the Commission and with the support of the
Northwestern University School of Lawwill feature five papers that will explore the
fundamentals of securities regulation in the 21St century
Each of the papers will provide foundation for discussion among distinguished panels
of U.S and foreign securities regulators stock market officials accountants lawyers and
academics
believe these papers are timely and highly provocative While the positions taken in
these papers are the opinions of the respective authors they will be catalyst for lively
discussion among the panel members Success in developing public policy can only be
achieved through open and vigorous debate of the issues said SEC Chairman Harvey
Pitt anticipate that everyone who attends will gain great deal of insight into the
issues that may shape the Commissions agenda in the coming years The Historical
Society should take pride in its success assembling such distinguished group of
panelists representing such wide spectrum of views and backqrounds
The papers will cover broad array of regulatory interests and challenges including
Recent Developments in SEC Information-Sharing Arrangements analyzes the
concept of sovereignty and jurisdiction in todays complex global markets and
discusses recent challenges to the ability of securities regulators to share
information across international boundaries
The Investment Company Act of 1940 At the Frontiersexamines the 40 Act
and the emergence of mutual fund alternatives including hedge funds online
portfolio services and wrap accounts
Lending Hand to the Invisible Hand How National Market System
Contributes to the Evolution of the U.S Securities Marketplace discusses the
core purposes of the national market systemeliminating anticompetitive
burdens and promoting cross-market access to market information and trading
opportunities at time technology is transforming the marketplace
Accounting in Global Market Looking to the Future traces the recent history
of efforts to create global financial system and suggests key issues that must be
resolved for an international financial accounting system to be successful
Building on the International Convergence of the Global Markets model for
Securities Law Reform sets out fundamental goals that should underlie any effort
to facilitate raising capital in foreign markets without sacrificing investor
protection
The conference will also feature addresses by U.S Senator Paul Sarbanes Chairman of
the Senate Committee on Banking Housing and Urban Affairs Michel Prada Chairman
of the French Commission des Operations de Bourse and SEC Chairman Harvey Pitt
Supported by the SEC and the Northwestern School of Law the Major Issues Conference
will take place November 14-15 at the Grand Hyatt Hotel 1000 Street NW in
Washington D.C
complete list of conference speakers is attached and the entire agenda and registration
form are available on the Commissions website at www.sec.gov For additional
information please contact R.A Pete Wentz Associate Dean Northwestern University
School of Law at 312 503-1828
The Securities and Exchange Commission Historical Society was founded in 1999 It
works to preserve the history of the SEC to sponsor research and educational programs
NEWS DIGEST November 2001
regarding the SEC and to enhance understanding of the Unites States and world capital
markets Press Re 2001-132
IUPORT ON ADMINISTRATIVE P1OCItEDINGS FOR THE PERIOD APRIL 2001
THROUGH SEPTEMBER 30 2001
Report on Administrative Proceedings for the period April 2001 through September
30 2001 has been issued giving summary statistical information on the Commissions
administrative proceedings caseload The reports issued each October and April are
published in the SEC Docket and appear on the Commissions website Re 34-45008
October 31 2001
ENFORCEMENT PROCEEDINGS
LI
PROCEEDINGS AGAINST IMS/CPAs ASSOCIATES VERNON HALL STANLEYHARGRAVE AND JEROME VERNAZZA HELD
The Commission today found that IMS/CPAs Associates IMS registered
investment adviser Jerome Vernazza formerly registered investment adviser and
control person of IMS and Vernon Hall and Stanley Hargrave two other control
persons of IMS made material misrepresentations and omissions in various Forms ADVengagement letters and disclosure statements and thereby willfully violated Section 17aof the Securities Act of 1933 Securities Act and Section 10b of the Securities and
Exchange Act of 1934 Exchange Act and Rule Ob-5 thereunder The Commission also
found that IMS and Vernazza willfully violated Sections 2061 and of the Investment
Advisers Act of 1940 Advisers Act and that Hall and Hargrave as well as Vernazza
aided and abetted and caused said violations by IMS The Commission further found that
IMS and Vernazza as registered investment advisers willfully violated Section 207 of
the Advisers Act in filings with the Commission and that Hargrave the IMS partner
responsible for preparing and making IMSs investment adviser filings also willfully
violated Section 207
The basis for the Commissions findings was the respondents failure to disclose the
existence of financial interest or economic benefit in certain recommendations they
made to their clients Respondents had servicing agreement with another investment
adviser to provide administrative support services for family of funds managed by the
other adviser IMS compensation under the agreement was determined as percentage
of the amount of money invested by clients of IMS in the family of funds Thus the
amount of money IMS received pursuant to the agreement was function of how many
of its clients followed respondents recommendations to invest in the family of funds
The Commission accordingly suspended IMSs investment adviser registration for six
months suspended Hall Hargrave and Vernazza from being associated with an
NEWS DIGEST November 2001
investment adviser for six months and ordered all respondents to cease and desist from
committing or causing any violations and any future violations of the antifraud provisions
of Section 17a pf the Securities Act and Section 10b of the Exchange Act and Rule
10b5 thereunder The suspensions are effective 14 days from the date of the
Commissions order The Commission further ordered IMS and Vernazsa to cease and
desist from committing or causing and ordered Hall and Hargrave to cease and desist
from causing any violations and any future violations of the antifraud provisions of
Section 206 of the Advisers Act The Commission also ordered respondents to disgorge
$75032.78 jointly and severally minus any amount Vernazza may have refunded to
clients plus prejudgment interest Finally the Commission ordered IMS Hargrave and
Vernazza to cease and desist from committing any violations and future violations of
Section 207 of the Advisers Act Rel 33-803 34-45019 IA-1994 File No 3-9042
INVESTMENT COMPANY ACT RELEASES
AAL VARIABLE PRODUCT SERIES FUND ET AL
notice has been issued giving interested persons until December 2001 to request
hearing on an application filed by AAL Variable Product Series Fund et al for an order
exempting applicants from Sections 2d and 17a of the Investment Company Act
and permitting joint transactions in accordance with Section 17d and Rule 7d- under
the Act The order would permit certain registered open-end management investment
companies to use their cash reserves to purchase shares of an affiliated money market
fund Rel IC-25253 November
THE AAL MUTUAL FUNDS ET AL
notice has been issued giving interested persons until December 2001 to request
hearing on an application filed by The AAL Mutual Funds et al for an order exempting
applicants from Sections 12d1 and 17a of the Investment Company Act and permitting
joint transactions in accordance with Section 17d and Rule 17d-1 under the Act The order
would permit certain registered open-end management investment companies to use their
cash reserves to purchase shares of an affiliated money market fund Rel IC-25254
November
LINDNER INVESTMENTS AND LINDNER ASSET MANAGEMENT INC
notice has been issued giving interested persons until November 29 to request
hearing on an application filed by Lindner Investments and Lindner Asset Management
Inc for an order granting exemptions from Section 15a of the Investment Company
Act and Rule 8f-2 under the Act The order would permit applicants to enter into and
materially amend subadvisory agreements without shareholder approval Rel IC-2525
November
NEWS DIGEST November 2001
SELF-REGULATORY ORGANIIATIONS
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
proposed rule change filed by the National Association of Securities Dealers to extend
the Pilot for Limit Order Protection of securities priced in decimals SR-NASD-200 1-80
has become effective under Section 9b3A of the Securities Exchange Act of 1934
Publication of the proposal is expected in the Federal Register during the week of
November 12 Re 34-45020
proposed rule change filed by The Options Clearing Corporation to allow 0CC to
amend its rules and by-laws to eliminate the theoretical ability of denting members to
ºhoose correspondent clearing corporation SR-OCC-2001 -15 has become effective
under Section 19b3A of the Exchange Act Publication of the proposal is expected
in the Federal Register during the week of November 12 Re 34-45030
proposed rule change filed by The Options Clearing Corporation to allow 0CC to
correct an erroneous cross-reference in Section 5e of Article VIII of OCCs by-laws
SR-OCC-2001-14 has become effective under Section 19b3A of the Exchange
Act Publication of the proposal is expected in the Federal Register during the week of
November 12 Re 34-45031
PROPOSED RULE CHANGE
The Commission published notice of proposed rule change SR-OCC-2001-04 filed
by The Options Clearing Corporation under Section 19b1 of the Exchange Act The
proposed rule change would expand the types of debt securities that clearing members
may deposit with 0CC as margin collateral to include non-callable debt securities
issued by the Federal Home Loan Mortgage Corporation and the Federal National
Mortgage Association Publication of the proposal is expected in the Federal Register
during the week of November Re 34-45021
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted acØelerated approval to proposed rule change SR-NASD2001-79 submitted by the National Association of Securities Dealers that provides for
the listing and trading of Enhanced Return Notes Linked to the Nasdaq- 100 Index
Publication of the order is expected in the Federal Register during the week of November
Re 34-45024
NEWS DIGEST November 2001
DELISTINGS GRANTED
An order has been issued granting the application of the New York Stock Exchange to
strike from listing and registration the Class Common Stock $.01 par value of Asia
Pacific Resources International Holdings Ltd effective at the opening of business on
November 2001 Re 34-45033
An order has been issued granting the application of the New York Stock Exchange to
strike from listing and registration the Common Stock $.0l par value 10.5% Series
Senior Cumulative Preferred Stock and 8.5% Series Cumulative Participating
Convertible Preferred Stock of Prime Retail Inc effective at the opening of business on
November 2001 Re 34-45034
An order has been issued granting the application of the New York Stock Exchange to
strike from listing and registration the Liquid Yield Option Notes due September 202011 Zero Coupon Subordinated of The Pep Boys-Manny Moe Jack effective at
the opening of business on November 2001 Re 34-45035
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 andlor face amount
of the securities being offered Name of the managing underwriter or depositor if
applicable File number and date filed Assigned Branch and designation ifthe statement
is New Issue
Registration statements may be obtained in person or by writing to the Commissions Public
Reference Branch at 450 Fifth Street N.W Washington D.C 20549 or at the following
mail box address publicinfosec.gov In most cases this information is also available
on the Commissions website www.sec.gov
F3 BIOMIRA INC 2011-94TH STREET EDMONTON ALBERTA CAN AD 403 4503761
5500000 $22165000 FOREIGN COMMON STOCK FILE 33314056 OCT30
BR
S-8 MICRO COMPONENT TECHNOLOGY INC 2340 COUNTY RD ST PAUL MN
55113
651 6974000 450000 $855000 COMMON STOCK FILE 33372508OCT 31 BR
S-8 MATRIA HEALTHCARE INC 1850 PARKWAY PL 12TH FL MARIETTA GA 30067
770 4234500 50000 $1136750 COMMON STOCK FILE 33372512OCT 31 BR
NEWS DIGEST November 2001
S-8 SEARS ROEBUCK CO 3333 BEVERLY RD B-5 317A HOFFMAN ESTATES IL
60179
847 2862500 15000000 $571050000 COMMON STOCK FILE 333
72514
OCT 31 BR
S-8 MATRIA HEALTHCARE INC 1850 PARKWAY PL 12TH FL MARIETTA GA 30067
770 4234500 250000 $5683750 COMMON STOCK FILE 33372516
OCT 31 BR
S-8 CONCORD COMMUNICATIONS INC 600 NICKERSON RD MARLBORO MA 01752
508 4604646 500000 $6630000 COMMON STOCK FILE 33372518
OCT 31 BR
S-8 POLYCOM INC 1565 BARBER LANE MILPITAS CA 95035 408 526-9000
1231593 $39423291.93 COMMON STOCK FILE 33372544 OCT 31
BR
S-8 PALM INC 5470 GREAT AMERICA PARKWAY SANTA CLARA CA 95052
408 3269000 6000000 $14070000 COMMON STOCK PILE 33372568
OCT 31 BR
S8 KIRBY CORP 55 WAUGH DR STE 1000 HOUSTON TX 77385 713 4351000
2000000 $200000 COMMON STOCK FILE 33372592 NOV 01 BR
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events
Item Changes in Control of Registrant
Item Acquisition or Disposition of Assets
Item Bankruptcy or Receivership
Item Changes in Registrants Certifying Accountant
Item Other Materially Important Events
Item Resignations of Registrants Directors
Item Financial Statements and Exhibits
Item Change in Fiscal YearItem 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 items of the form specified 8-K reports may be obtained in person
or by writing to the Commissions Public Reference Branch at 450 Fifth Street N.W Washington D.C
20549 or at the following e-mail box address pub1icinfosec.gov In most cases this information is
also available on the Commissions website www.sec.gov
NEWS DIGEST November 2001
NANE OF ISSUER
STATE
CODE
BK ITEM NO12345678 DATE COMMENT
NOVO BROADBAND INC
AAMES FINANCIAL CORP/DE
ABC BANCORP
ACCESS PHARMACEUTICALS INC
ACKERLEY GROUP INC
ADVANCED TISSUE SCIENCES INC
ALLIANCE PHARMACEUTICAL CORP
ALLOY INC
AMEDISYS INC
AMERICAN
AMERICAN
AMERICAN
1MG CORP
AMERICAN INTERNATIONAL GROUP INC
AMERICAN MEDIcAL ALERT CORP
AMERIGAS FINANCE CORP
AMERIGAS PARTNERS LP
APCOA INC
APPLEBEES INTERNATIONAL INC
ARGONAUT GROUP INC
ASIA GLOBAL CROSSING LTD
ASSISTED LIVING CONCEPTS INC
ATCHISON CASTING CORP
ATLANTIC COAST AIRLINES HOLDINGS IN
BALLY TOTAL FITNESS HOLDING CORP
BANC OF AMERICA COMMERCIAL MORTGAGE
INC
BANTA CORP
BAXTER INTERNATIONAL INC
BEAR STEARNS COMMERCIAL MORTGAGE SE
CURITIES TRUST 2001TOP4
BIO SOLUTIONS INTERNATIONAL INC
BRL UNIVERSAL EQUIPMENT CORP
BRL UNIVERSAL EQUIPMENT 2001
BROWN BROWN INC
BANCORPORATION INC
CALIFORNIA MICRO DEVICES CORP
CAPITAL ONE MASTER TRUST
CARBIDE GRAPHITE GROUP INC /DE/
CERIDIAN CORP /DE/
CHESAPEAKE CORP /VA/
CLEVELAND CLIFFS INC
COCA COLA ENTERPRISES INC
CONTINENTAL AIRLINES INC IDECREATIVE TECHNOLOGIES HOLDINGS INC
CRITICAL PATH INC
CROWN ENERGY CORP
CRYO CELL INTERNATIONAL INC
CSB BANCORP INC /OH
CSFB MORTGAGE PASS THROUGH CERTIFIC
ATES SERIES 2001 HE2O
09/04/01 AMEND
11/02/01
11/05/01
10/19/01
11/01/01
11/05/01
10/31/01
11/01/01
11/05/01
11/06/01
11/06/01
11/06/01
11/06/01
11/01/01
08/21/01 AMEND
08/21/01 AMEND
11/06/01
11/06/01
08/23/01 AMEND
11/06/01
10/30/01
11/06/01
11/07/01
11/06/01
11/05/01
11/05/01
11/05/01
11/05/01
11/05/01
10/23/01
10/23/01
11/01/01
10/22/01
09/21/01
11/01/01
11/02/01
11/06/01
VA 11/05/01
11/02/01
10/16/01
11/06/01
11/05/01
09/24/01
11/0 6/0
11/0 6/0
11/06/01
09/25/01
EXPRESS CENTURION BANK
EXPRESS MASTER TRUST
EXPRESS RECEIVABLES FINANC
OH
DE
GA
DE
DE
DE
NY
DE
DE
UT
DE
DE
DE
NY
DE
DE
DE
DE
DE
NV
KS
DE
DE
DE
WI
DE
DE
NV
DE
DE
FL
GA
CA
VA
DE
DE
OH
DE
DE
NV
CA
UT
DE
OH
DE
NEWS DIGEST November 2001
STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT
CT WOLDINGS INC DE
CTN MEDIA GROUP INC DE
CURAGEN CORP DE
DATATEC SYSTEMS INC DE
DIGITALREACH HOLDINGS INC
DISCOUNT MORTGAGE SOURCE INC
DISTINCTIVE DEVICES INC
DIVINE INC DE
DT INDUSTRIES INC DE
DTVN HOLDINGS INC DE
DWFCM INTERNATIONAL ACCESS FUND LP DE
EBENX INC MN
EDGE PETROLEUM CORP DE
EDWARDS CO CO
ELLETT BROTHERS INC SC
EMERGENCY FIL7ATTON PODUCTS INC/ i\Tv
NV
ENCHIRA BIOTECHNOLOGY CORP
EPIQ SYSTEMS INC
EPS SOLUTIONS CORP
ESS TECHNOLOGY INC
FIRST COMMERCE CORP
FIRST WASHINGTON FINANCIAL CORP
FLEMING COMPANIES INC /OK/
FOREST OIL CORP
FORTUNE BRANDS INC
FREEREALTIME COM INC
FRONTLINE CAPITAL GROUP
FUNDTECH LTD
GENCORP INC
GENERAL MILLS INC
GERON CORPORATION
GLOBAL CROSSING LTD
GLOBAL MARINE INC
GLOBAL MARINE INC
GOODRICH CORP
GRANGE NATIONAL BANC CORP
GREATER BAY BANCORP
GROUP SOFTWARE INC
GS MORTGAGE SECURITIES CORP
GUILFORD MILLS INC
HADRON INC
HADRON INC
HAIN CELESTIAL GROUP INC
HALLIBURTON CO
HANCOCK JOHN FINANCIAL SERVICES INC
HANOVER COMPRESSOR CO
HARRIS INTERACTIVE INC
HAWAIIAN ELECTRIC INDUSTRIES INC
HEWLETT PACKARD CO
HIGH COUNTRY BANCORP INC
HORMEL FOODS CORP /DE/
TX XXNY
10/30/01
10/31/01
10/23/01
11/02/01
11/05/01
11/06/01
10/31/01
11/01/01
11/06/01
10/11/01
08/30/99
11/06/01
11/05/01
11/05/01
11/06/01
11/01/01
11/05/01
11/06/01
10/29/01
11/06/01
11/05/01
10/22/01
11/06/01
11/06/01
11/06/01
10/23/01
10/25/01
10/31/01
10/19/01
10/31/01 AMEND
11/02/01
11/06/01
11/05/01
11/06/01
11/06/01
10/31/01
11/02/01
11/06/01
11/05/01
12/30/01
11/01/01
11/05/01
11/05/01
11/01/01
11/01/01
11/02/01
11/01/01
11/05/01
11/05/01
11/05/01
10/25/01
DE
MO
DE
CA
NC
NJ
OK
NY
DE
DE
DE
OH
DE
DE
DE
DE
NY
PA
CA
DE
DE
DE
NY
NY
DE
DE
DE
DE
HI
DE
CO
DE
NEWS DIGEST November 2001
NdE OF ISSUER
STATE
CODE
8K ITEM NO12345678 DATE COMMENT
HYBRID NETWORKS INC
IDIAL NETWORKS INC
IKON OFFICE SOLUTIONS INC
INFRACOR INC
INTERNATURAL PHARMACEUTICALS INC
INTRUSION CON INC
ISTAR FINANCIAL INC
ITSA LTD
KIMBALL INTERNATIONAL INC
KNOWLEDGE NETWORKS INC
LABORATORY CORP OF AMERICA HOLDINGS
LEUCADIA NATIONAL CORP
LIBERTY CORP
LIFE FINANCIAL CORP
LINCOLN NATIONAL CORP
LIQUID AUDIO INC
MAGNA ENTERTAINMENT CORP
MASSEY ENERGY CO
MAX ERMAS RESTAURANTS INC
MAXUM DEVELOPMENT INC
MEMBERWORKS INC
METLIFE INC
METRIS MASTER TRUST
METRIS MASTER TRUST
METRIS RECEIVABLES INC
METRIS RECEIVABLES INC
MEXICAN RESTAURANTS INC
MICROSEMI CORP
MICROSEMI CORP
MID-STATE HOMES INC
MOCON INC
MODEM MEDIA
MONEY STORE
ES SERIES
MONEY STORE
INC
ASSET BACKED CERTIFICAT
1998BHOME EQUITY LOAN TRUST
1998AMONEY STORE HOME IMPROVEMENT LOAN
ACKED CERT SERIES 1998-I
MONEY STORE RESIDENTIAL TRUST 1998- NJ
MONEY STORE TRUST 1998
MORGAN STANLEY DEAN WITTER CHARTER
GRAHM LP
MORGAN STANLEY DEAN WITTER CHARTER
MILLBURN LP
MORGAN STANLEY DEAN WITTER CHARTER
WELTON LP
NAVISTAR FINANCIAL RETAIL RECEIVABL
ES CORPORATION
NEOMEDIA TECHNOLOGIES INC
NETDIGEST CON INC
NETOPIA INC
11/06/01
10/12/00
11/06/01
10/30/01
11/05/01
11/01/01
10/30/01
02/05/01
11/06/01
11/06/01
11/05/01
08/21/01 AMEND
11/06/01
10/29/01
11/02/01
11/06/01
11/02/01
10/30/01
11/01/01
08/10/01 AMEND
08/24/01 AMEND
11/06/01
09/30/01
09/30/01
09/30/01
09/30/01
10/26/01
08/16/01 AMEND
11/05/01
11/01/01
10/24/01
11/0 6/0
10/15/01
10/15/01
10/15/01
10/15/01
10/15/01
08/30/99
08/30/99
08/30/99
11/02/01
10/24/01 AMEND
09/25/01 AMEND
11/06/01
DE
NV
OH
VA
DE
MD
IN
DE
NY
SC
DE
IN
DE
DE
DE
DE
MA
DE
DE
DE
DE
DE
DE
TX
DE
DE
FL
MN
DE
NJ
DE
DE
DE
DE
DE
DE
DE
XX
10 NEWS DIGEST November 2001
NETSILICON INC
NEW YORK HEALTH CARE INC
NEWAGECITIES COM INC
NORTEL NETWORKS CORP
NORTEL NETWORKS LTD
NORTHLAND CRANBERRIES INC /WI/
NORTHLAND CRANBERRIES INC /WI/
NOVELL INC
NX NETWORKS INC
OAO TECHNOLOGY SOLUTIONS INC
ODYSSEY HEALTHCARE INC
OPHIDIAN PHARMACEUTICALS INC
OXIGENE INC
PCB HOLDING CO
PENTACON INC
PETROCAL LNC
PHILADELPHIA CONSOLIDATED HOLDING
ORE
PHOTONICS CORP
PMI GROUP INC
POGO PRODUCING CO
POTOMAC EDISON CO
PPI CAPITAL GROUP INC
PREMIER MORTGAGE RESOURCES INC
PREMIER MORTGAGE RESOURCES INC
PRODIGY COMMUNICATIONS CORP
PROVINCE HEALTHCARE CO
RECKSON ASSOCIATES REALTY CORP
RECKSON OPERATING PARTNERSHIP LP
REGENCY AFFILIATES INC
REGISTER COM INC
RENAISSANCE ACCEPTANCE GROUP INC
RESIDENTIAL ASSET MORTGAGE PRODUCTS
INC
RESTORATION HARDWARE INC
ROCKWELL COLLINS INC
ROPER INDUSTRIES INC /DE/
RSA SECURITY INC/DE/
RURAL CELLULAR CORP
RUSSELL-STANLEY HOLDINGS INC
SAFEWAY INC
SALON MEDIA GROUP INC
SAUER DANFOSS INC
SCHEIB EARL INC
SCILABS HOLDINGS INC
SCREAMING MEDIA COM INC
SENIOR CARE INDUSTRIES INC
SHIMODA RESOURCES HOLDINGS INC
SIGMATRON INTERNATIONAL INC
SLM FUNDING CORP
SOUTH ALABAMA BANCORPORATION INC
SSP SOLUTIONS INC
8K ITEM NO12345678
10/30/01
10/11/01 AMEND
11/05/01 AMEND
11/06/01
11/06/01
11/06/01
11/06/01
11/06/01
10/10/01
10/22/01
10/30/01
08/21/01 AMEND
10/31/01
11/05/01
11/01/01
07/31/01 AMEND
11/02/01
10/18/01
11/06/01
11/06/01
11/06/01
10/26/01
11/01/01
11/01/01 AMEND
11/ 01/0
10/29/01
11/06/01
11/06/01
10/01/01 AMEND
11/05/01
07/02/01 AMEND
09/25/01
11/06/01
11/06/01
11/06/01
11/05/01
11/05/01
11/05/01
11/05/01
10/24/01
10/31/01
10/08/01
11/05/01
08/21/01 AMEND
07/05/01
10/31/01 AMEND
10/31/01
10/25/01
11/02/01
08/24/01 AMEND
STATE
NME OF ISSUER CODE DATE COMMENT
MANY
FL
WI
WI
DE
DE
DE
DE
DE
DR
IN
DE
DR
PA
CA
DE
DE
MD
UT
NV
NV
DR
DR
MD
DR
DR
DE
DR
DR
CA
DR
DR
DR
MN
DE
DR
DR
DR
DR
DE
DR
NV
NV
DR
DR
AL
DR
11 NEWS DIGEST November 2001
NAME OF ISSUER
STATE
CODE
8K ITEM NO12345678 DATE COMMENT
STERLING CEMIOAL INC DE
STERLING CHEMICALS HOLDINGS INC /TX DE
STERLING FINANCIAL CORP /PA/
STORAGE USA INC
SUPERIOR NATIONAL INSURANCE GROUP
NC
SUSA PARTNERSHIP LP
SWITCHBOARD INC
TANGRAM ENTERPRISE SOLUTIONS INC
TCF FINANCIAL CORP
TELIK INC
TELLABS INC
TENNECO AUTOMOTIVE INC
TERAFORCE- TECHNOLOGY CORP
TESORO PETROLEUM CORP /NEW/
TEXAS CAPITAL BANCSHARES INC/Tx
TMS MORTGAGE INC
TMS MORTGAGE INC
TRI NATIONAL DEVELOPMENT CORP
TRITON PCS HOLDINGS INC
TRITON PCS INC
TROYDEN CORP
UAL CORP /DE/
UMPQUA HOLDINGS CORP
UNITED PETROLEUM CORP
UNUMPROVIDENT CORP
US AIRWAYS GROUP INC
US AIRWAYS INC
USA VIDEO INTERACTIVE CORP
USAONESTAR NET INC
USX CAPITAL LLC
USX CORP
VERIZON PENNSYLVANIA INC
VICOM INC
WASHINGTON MUTUAL MORTGAGE SECURITI
ES CORP
WASHINGTON REAL ESTATE INVESTMENT
RUST
WEATHERFORD INTERNATIONAL INC /NEW/
WESTERN RESOURCES INC /KSWESTPORT RESOURCES CORP /NV/
WHITE MOUNTAINS INSURANCE GROUP LTD
ZEBALLOS MINING CO
SYSTEMS CORP
5B TECHNOLOGIES CORP
10/22/01
10/22/01
11/02/01
10/31/01
11/02/01
10/31/0110 /2 6/01
10/31/01
11/05/01
11/02/01
11/05/01
10/24/01
08/30/01
08/27/01
10/22/01
10/15/01
10/15/01
11/02/01
11/05/01
11/05/01
10/10/01
11/05/01
12/18/00 AMEND
10/30/01
11/06/01
11/05/01
11/05/01
11/05/01
11/01/01
11/06/01
11/05/01
11/06/01
10/22/01 AMEND
11/01/01
11/05/01
11/06/01
11/06/01
11/05/01
11/01/01
11/01/01
08/20/01 AMEND
10/01/01 AMEND
AMEND
AMEND
PA
TN
DE
TN
DE
PA
DE
DE
DE
DE
DE
DE
DE
NJ
NJ
WY
NV
DE
OR
DE
DE
DE
DE
WY
NV
DE
DE
PA
MN
DE
DE
KS
NV
DE
NV
DE
DE
12 NEWS DIGEST November 2001
