sec news digest, october 4, 2000 · 2008. 2. 12. · roger hayes managing director banc of america...

SEC NEWS DIGEST

Issue 2000-19 October 2000

COMMISSION ANNOUNCEMENTS

SEC RELEASES FULL AGENDA AND PANELISTS FOR SECOND ANNUAL

MUNICIPAL MARKET ROUNDTABLE BONDS IN THE NEW MILLENNIUM

The Commission today released the full agenda and panelists for the second annual

Municipal Market Roundtable that it will host on Thursday October 12 2000 The

roundtable will be held in the William Douglas Room at the U.S Securities and

Exchange Commission 450 Fifth Street N.W Washington DC The event is open to

the public and free of charge Seating will be on first come first serve basis For

additional information please call the Office of Municipal Securities at 202 942-7300

The roundtable will provide forum for all municipal market participants including

issuers underwriters bond counsel financial advisors scholars investors and regulators

to explore current issues in disclosure and other practices in the municipal marketplace

A2enda

830 900 a.m ARRIVAL

900 910 am Welcome

Martha Mahan Haines

Attorney-Fellow

SEC Office of Municipal Securities

910 930 am Opening Remarks

Paul Maco

Director


930 1000 am Keynote Address

James Lebenthal

Chairman

Lebenthal Co

10001015 am BREAK

1015 1145 a.m PANEL Current Disclosure Issues in the Primary and

Secondary Markets

Moderator

Martha Mahan Haines

Attorney-Fellow


Panelists

David Fredrickson

Assistant General Counsel

SEC Office of the General Counsel

BOND LAWYERAndrew Kintzinger

Preston Gates Ellis LLP

Robert Donovan

Executive Director

Rhode Island Health Educational Bldg Authority

UNDERWRITERRobert Foran

Senior Managing Director

Bear Stearns Co

TRUSTEEMark Brown

Vice President

Bank of New York

CONDUIT BORROWERDenny Drake

General Counsel

Iowa Health System

INSTITUTIONAL INVESTORRafael Costas

Senior Vice President

Franklin Templeton Investments

NEWS DIGEST October 2000

INDIVIDUAL INVESTORHelen Gee

President Metropolitan Washington Chapter

American Association of Individual Investors

1145 130 p.m LUNCH BREAK

Attendees and Panelists are free to make their own arrangements

130 300 p.m PANEL II Use of Electronic Media

Moderator

Catherine McGuire

Associate Director

SEC Division of Market Regulation

Panelists

Stephen Weinstein

Attorney-Fellow


Amy Starr

Special Counsel

SEC Division of Corporation Finance

ISSUER

Jeffrey Green

General Counsel

The Port Authority of New York New Jersey

UNDERWRITER

Roger Hayes

Managing Director

Banc of America Securities

BOND LAWYERUrsula HymanPartner

Latham Watkins

INTERNET WEBSITE OPERATORBradley Wendt

President

BondDesk corn


INSTITUTIONAL INVESTOR

Joseph Deane

Managing Director

Solomon Smith Barney

INDIVIDUAL INVESTORDr Harold Wittman

Board of Directors Metropolitan Washington Chapter

American Association of Individual Investors

3OO315p.m BREAK

315 445 p.m PANEL HI Current Issues Related to MSBB Rules

Moderator

Mary Simpkins

Senior Special Counsel


Panelists

Mark Zehner

Regional Municipal Securities Counsel

SEC Philadelphia District Office

UNDERWRITERPeter Hill

Managing Director

JP Morgan

FINANCIAL ADVISORS

Phyllis Currie

President

Phyllis Currie Consulting

Robert Doty

President

American Government Financial Services

BOND LAWYERNeil Arkuss

Palmer Dodge LLP

INSTITUTIONAL INVESTORLeslie Richards-Yellen

Principal and Associate Counsel

The Vanguard Group


NASDMalcolm Northam

Director

National Association of Securities Dealers

445 500 p.m Closing Remarks

Stephen Weinstein

Attorney-Fellow


Press Rd 2000-150

STOCK MARKETS AGREE TO DISTINGUISH AFTER-HOURS AND REGULARSESSION TRADES WITH MODIFIER

The Commission today announced that the stock markets that comprise the Consolidated

Tape Association CIA have agreed to implement plan to help investors distinguish

after-hours and regular session stock trades

The CIA acts as the central distributor of the consolidated tape -- high-speed

electronic system that constantly reports the latest price and volume data on sales of

exchange-listed stocks The data reflected on the consolidated tape derives from various

market centers including all securities exchanges electronic communications networks

ECNs and other broker-dealers The Nasdaq Stock Market runs similar tape for its

securities Market data vendors supply the tape data to their subscribers and newspapers

use this information to produce their daily stock tables Inaddition many financial news

television programs and Internet sites directly display price and volume information

from the tapes

Over the last year the Commission has received number of complaints from investors

and issuers about confusing end-of-day securities prices This confusion has arisen from

inconsistencies among market data vendors and the media concerning when they take

their end-of-day snap shots of stock prices For example some snap shots have

reflected prices shortly after the end of the regular trading session at 400 p.m Eastern

while others have used prices at various times until the end of the consolidated tape

operations at 630 p.m Eastern This lack of consistency in stock prices can be

particularly confusing if small volume after-hours trades result in sharp price change

from stocks regular session closing price

SEC Chairman Arthur Levitt said commend the CTAs efforts to provide investors

with more reliable and consistent end-of-day share price reports hope that vendors and

the media will take advantage of the new tools provided by the CIA to distinguish

regular session stock prices from those in the less liquid and more volatile after-hours

market

Specifically the CIA is implementing two initiatives to assist vendors and the media in

distinguishing after-hours and regular session stock prices First the CIA recently


began issuing daily 415 p.m Eastern Market Summary that more accurately reflects

regular session stock prices This summary gives snapshot of the market shortly

after the end of the regular trading session the period in which more than 97 percent of

the days trading occurs By using the prices in the Market Summary vendors and the

media can reduce investor confusion about end-of-day security prices

Second the CTA is implementing mechanism to clearly identify after-hours trades on

the consolidated tape At the urging of the Commission staff the CIA participants

decided that modifier should be added to after-hours trade reports in uniform

manner Several markets that operate after-hours trading sessions already have begun

using the modifier and the remaining markets with after-hours sessions have

indicated that they will complete the programming necessary for this by the end of

October 2000 The Nasdaq tape already uses the modifier to identify after-hours

trades Vendors and the media can use the modifiers to segregate after-hours

transactions from end-of-day stock price summaries that are designed to reflect regular

session trading activity This should reduce investor confusion and concern about trades

occurring after hours where prices diverge from prices in the regular trading session

For more information on the consolidated tape after-hours trading and closing prices

visit www sec gov/consumer/kevword/tconsolt html Press Rel 2000-151

RULES AND RELATED MATTERS

PROCESSING REQUIREMENTS FOR CANCELLED SECURITY CERTIFICATES

The Commission is soliciting comment on proposed Rule 7Ad- 19 and amendments to

existing Rules l7Ad-12 and 17f-1 all under the Securities Exchange Act of 1934

Proposed Rule 7Ad- 19 would require every registered transfer agent to establish and

implement written procedures for the cancellation storage transportation and

destruction of securities certificates The rule also would require transfer agents to mark

each cancelled securities certificate with the word cancelled maintain secure storage

area for cancelled certificates have specific procedures for the destruction of cancelled

certificates and maintain an electronic data base of all of its cancelled certificates

Additionally the Commission proposes to codify that Rules 17f-1 the lost and stolen

securities rule and l7Ad-l the transfer agent safekeeping rule apply to cancelled

certificates Rel 34-4340 File No S7-18-00


ENFORCEMENT PROCEEDINGS

CIVIL ACTION AGAINST AMERICAN IMAGING INC AGUSTIN BARRIES AND

PAUL GRANVILLE

The Commission announced that on March 2000 it filed complaint seeking

permanent injunction against American Imaging Inc American or the Company

Agustin Barres Barres and Paul Granville Granville American is Florida

corporation in the business of developing Internet commerce opportunities Barres was

the president of the Company since September 1998 and Granville acted as consultant

since July 1998 American Barres and Granville consented to the entry of the

permanent injunction without admitting or denying the Commissions allegations In

addition both Barres and Granville were ordered to pay civil money penalty of $10000

pursuant to Section 21 d3 of the Exchange Act

The complaint alleged that in March 1999 American issued false press releases over the

Internet regarding the projected revenues and net income from the processing of minerals

from mining property which would accrue to the benefit of American upon their

acquisition of Little Dutchman New Mexico corporation The complaint alleged that the

representations made by American regarding the projected revenue and net income from

the mining property were false and misleading because American relied on certain

geological tests as bases for the projections while ignoring other geological tests that

showed significantly lower content of minerals in the mining property The complaint

also alleges that the representations made in thepress

releases were false because sufficient

or proper testing was never conducted on the mining property to establish the revenue and

net income projections

Based on the above the Commission alleged that American through Barres and Granville

violated Section 10b of the Securities Exchange Act of 1934 and Rule Ob-5 promulgated

thereunder American Imaging Inc Agustin Barres and Paul Granville Civil

Action No 00-0940-CIV-Moreno LR- 16744

COMMISSION SEEKS TO COMPEL INTELLIGENT DECISION SYSTEMS INC TO

FILE DELINQUENT REPORTS

On September 29 2000 the Commission filed complaint in the United States District

Court for the District of Columbia against Intelligent Decision Systems Inc ID SI The

complaint alleges that IDSI company that markets and leases computer systems failed

to make available to the investing public current and accurate information about its

financial condition and results of operation through the filing of periodic reports with the

Commission as required by the Securities Exchange Act of 1934 Specifically the

complaint alleges that IDSI has not filed its Annual Reports on Form 10-K for the fiscal

years ended June 30 1998 1999 and 2000 its Quarterly Reports on Form 10-Q for the

fiscal quarters ended September 30 1998 December 31 1998 March 31 1999


September 30 1999 December 31 1999 and March 31 2000 and nine Notifications of

Late Filing with respect to its delinquent reports The Commission seeks to compel IDSI

to file its delinquent periodic reports and enjoin IDSI from further violations of Section

13a of the Exchange Act of 1934 and Rules 12b-25 13a-1 and 13a-13 thereunder

Intelligent Decision Systems Inc Civil No 100-CV-02341 D.D.C LR16745

MARC NOGID SETTLES INSIDER TRADING CASE

On October the Commission filed complaint in the United States District Court for

the Southern District of New York against Marc Nogid of New York New York The

complaint alleges the following Nogid received tips containing material nonpublic

information concerning the securities of four companies from Jeffrey Streich who had

received them from Marisa Baridis former compliance employee at two Wall Street

investment firms who had access to confidential information concerning the firms

clients Nogid recommended the securities to others Based on the tips Nogid and the

others collectively traded in four securities and realized illegal profits of $162661 Nogid

served as broker for accounts of Streich and an entity Streich controlled In the course of

trading in these accounts Streich with Nogids knowledge and assistance engaged in

free-riding scheme pursuant to which Streich purchased stock without paying for it and

without enough cash to buy it on margin

Nogid consented without admitting or denying the allegations in the complaint to the

entry of Final Judgment enjoining him from future violations of Sections 10b and

14e of the Securities Exchange Act of 1934 and Rules lOb-5 and 14e-3 thereunder and

requiring him to disgorge illegal trading profits of $162661 plus prejudgment interest

Based on his demonstrated inability to pay disgorgement and civil penalty were

waived Nogid also consented to the entry of Commission Order barring him from

association with any broker or dealer The Order to be issued shortly will be based

upon the complaint and Final Judgment For further information see Lit Rel No 15741

May 15 1998 Lit Rd No 15990 Dec 1998 Securities Exchange Act Rel No40787 Dec 14 1998 Securities Exchange Act Rel No 40788 Dec 14 1998 Lit

Rel No 16090 Mar 18 1999 Securities Exchange Act Rel No 41182 Mar 18

1999 Securities Exchange Act Rel No 41220 Mar 29 1999 Lit Rel No 16227

Aug 1999 Lit Rel No 16326 Oct 1999 Lit Rel No 16458 Feb 29 2000Marc Nogid 00 Civ 7460 USDC SDNY LR-16746

FEDERAL JUDGE GRANTS PRELIMINARY INJUNCTION CONTINUES ASSETFREEZE IN SEC CASE INVOLVING EMULEX HOAX

The Commission announced that Judge Virginia Phillips granted its application for

preliminary injunction against Mark Jakob Jakob of El Segundo California The

preliminary injunction against Jakob which also continues the previously ordered asset

freeze was granted in response to the Commissions Complaint charging Jakob with

perpetrating the August 25 2000 Internet hoax involving fake press release about

Emulex Corp of Costa Mesa California In addition to continuing the asset freeze of


more than $400000 in assets held by Jakob the Courts order also enjoins him from

violating the antifraud provisions of the federal securities laws Section 17a of the

Securities Act of 1933 and Section 10b of the Securities Exchange Act of 1934 and

Rule lOb-5 thereunder Additionally the order prohibits Jakob from destroying or

otherwise disposing of any documents including computer records Finally the Court

ordered the release of $30000 from the frozen assets for the payment of Jakobs

attorneys fees

The preliminary injunction asset freeze and other relief will remain in effect pending

trial of this action Mark Jakob Civil Action No EDCV-00-687 VAP Mcx

C.D Cal LR-16747

DEFENDANT FREDERICK TROPEANO SANCTIONED AND WITh DEFENDANT

GOLF EMPORIUM CORPORATION ORDERED TO DISGORGE FUNDS OBTAINED

FRAUDULENTLY FROM ELDERLY INVESTORS

The Commission announced today that on September 26 2000 the United States

District Court for the Southern District of New York entered final judgments by

default against defendants Golf Emporium Corporation Golf and its president

Frederick Tropeano The Final Judgments permanently enjoin Tropeano from future

violations of the antifraud provisions of the federal securities laws and require Golf and

Tropeano to disgorge $3622014 representing the funds and benefits that Golf and

Tropeano obtained as result of their fraudulent conduct The Final Judgments also

require Golf and Tropeano to pay civil penalties of $5000000 and $1000000

respectively The Court had earlier entered partial judgment by default against Golf

on January 2000 permanently enjoining Golf from future violations of the antifraud

provisions of the federal securities laws

The Final Judgments result from civil injunctive action commenced by the

Commission on October 1999 in which the Commission alleged that since at least

January 1998 Golf and Tropeano obtained at least $3000000 by using material

misrepresentations in phone solicitations and in private placement memoranda for

Golfs common stock to induce at least 193 investors -- many of whom are elderly-- to

buy Golf common stock in purported private placement Golf and Tropeano failed to

answer plead or otherwise respond to Commissions complaint and Amended

complaint Golf Emporium Corporation and Frederick Tropeano 99 Civ

10259 JSR SDNY LR-16748

BRIAN OCONNOR SETTLES CHARGES THAT HE MISAPPROPRIATED FUNDS

FROM HIS INVESTMENT ADVISORY CLIENTS

The Commission announced that on September 20 2000 the Honorable Judge Deborah

Batts entered final judgment on consent in connection with civil injunctive action filed

by the Commission on August 11 2000 against Brian OConnor the former principalof

Brian OConnor Co Inc an investment adviser formerly registered with the

Commission Among other things the Commission alleged that OConnor had defrauded


two investment advisory clients by misappropriating at least $633000 from them and

through false and misleading account statements designed to conceal his misappropriationsThe complaint also alleged that OConnor had made several misrepresentations in his

firms Form ADV filed with the Commission and caused books and records to be false and

misleading The final judgment permanently enjoins OConnor from violations of Section

17a of the Securities Act of 1933 Section 10b of the Securities Exchange Act of 1934

and Rule lOb-5 and Section 207 of the Investment Advisers Act of 1940 and from

violating or aiding and abetting violations of Sections 204 2061 and 2062 of the

Advisers Act and Rules 204-2a12 and 2064-2 The Court waived the payment of

disgorgement and prejudgment interest thereon and did not impose civil penalty based

on OConnors demonstrated inability to pay The Commission previously instituted and

settled administrative proceedings against OConnor based on OConnors criminal

conviction for portion of the misconduct alleged in the Commissions complaint Forfurther information see Rel IA-1893 File No 3-10269 Brian OConnor 00-

CIV-3971 DB SDNY LR-16749

COURT ENTERS FINAL JUDGMENT AGAINST JAMES EBERHART

On September 21 2000 the Honorable David Carter of the United District Court for

the Central District of California entered Final Judgment of Permanent Injunction andOther Relief against Defendant James Eberhart This judgment concludes the lawsuit

filed by the Commission on October 1999 against Eberhart of Costa Mesa California

for fraudulently selling $2.3 million in unregistered securities to 150 investors

nationwide from January through July 1997 Eberhart sold sale-leaseback program for

point-of-sale terminals The complaint alleged that Eberhart falsely represented that

investor funds would be used to purchase terminals when in fact approximately 66

percent of investor funds were used for sales commissions administrative costs andreturns to investors Eberhart failed to answer the complaint and the Court entered

judgment against him by default The judgment enjoins Eberhart against violations ofthe antifraud securities registration and broker-dealer

registration provisions of Sections

5a 5c and 17a of the Securities Act of 1933 and Sections 10b and 15a of the

Securities Exchange Act of 1934 and Rule lob-S The judgment orders Eberhart to pay$76102 in disgorgement $3625 in pre-judgment interest and $76102 in civil penalties

Debisys Inc Mark Flanagan and James Eberhart Civil Action NoSACV 99-1237 DOC EEx C.D Cal.JLR-16750

INVESTMENT COMPANY ACT RELEASES

EQUITY MANAGERS TRUST ET AL

notice has been issued giving interested persons until October 27 to request hearing

on an application filed by Equity Managers Trust et al for an order under Section

12d1J of the Investment Company Act for an exemption from Sections 12d1Aand of the Act under Sections 6c and 17b of the Act for an exemption from

10 NEWS DIGEST October 2000

Section 17a of the Act and under Section 17d of the Act and Rule 7d- under the

Act to permit certain joint transactions Re IC-24672 October

SELF-REGULATORY ORGANIZATIONS

APPROVAL OF PROPOSED RULE CHANGES AND NOTICE AND ACCELERATEDAPPROVAL OF AMENDMENTS TO PROPOSED RULE CHANGES

The Commission granted approval to proposed rule change SR-CHX-00-16 and

Amendment No and accelerated approva to Amendment Nos and thereto filed

by the Chicago Stock Exchange and approval to proposed rule change SR-Amex-00-

10 and Amendment No and accelerated approval to Amendment No thereto filed

by the American Stock Exchange relating to listing standards for trust issued receipts

Publication of the proposal is expected in the Federal Register during the week of

October Rel 34-43396

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES

proposed rule change filed by the Chicago Stock Exchange relating to membership

dues and fees during the E-Session SR-CHX-00-29 has become effective under Section

19b3A of the Securities Exchange Act of 1934 Publication of the proposal is

expected in the Federal Register during the week of October Re 34-43402

proposed rule change filed by the Chicago Stock Exchange relating to membership

dues and fees during the E-Session SR-CHX-00-30 has become effective under Section

19b3A of the Securities Exchange Act of 1934 Publication of the proposal is

expected in the Federal Register during the week of October Rel 34-43403

APPROVAL OF PROPOSED RULE CHANGE

The Commission approved proposed rule change SR-PCX-99-50 filed by the Pacific

Exchange which allows non-agency orders to be executed in the P/COAST system

Publication of the notice in the Federal Register is expected during the week of October

Re 34-43404

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 designation if the

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 e-mail box address publicinfosec.gov In most cases this information is

also available on the Commissions website www.sec.gov

S-4 BETHURUM LABORATORIES INC 6371 RICHMOND 200 HOUSTON TX 77057

713 2668005 3300750 $2888156.25 COMMON STOCK FILE 333

46670

SEP 27 BR

S-i ALBION AVIATION INC 24351 PASTO ROAD DANA POINT CA 92629

949 4892400 50000 $250000 COMMON STOCK FILE 33346672

SEP 26 BR NEW ISSUE

S-8 COUSINS PROPERTIES INC 2500 WINDY RIDGE PKWY STE 1600 ATLANTA GA

30339 770 9552200 1604202 $69281473 COMMON STOCK FILE

33346674 SEP 27 BR

S-3 COUSINS PROPERTIES INC 2500 WINDY RIDGE PKWY STE 1600 ATLANTA GA


33346676 SEP 27 BR

S8 STATE STREET CORP 225 FRANKLIN ST BOSTON MA 02110 617 786-3000

7900000 $978612500 COMMON STOCK FILE 33346678 SEP 27 BR

S-8 UCAR INTERNATIONAL INC 3102 WEST END AVENUE SUITE 1100 J-4

NASHVILLETX 37203 615 7068227 15000000 $15000000OTHER SECURITIES INCLUDING VOTING TRUST FILE 333-46680 SEP 27

BR

SB-2 K-i BUILDERS INC 3945 SOUTH WASATCH BLVD 282 HOLLADAY UT 84124


SEP 27 BR NEW ISSUE

S-3 CHELSEA GCA REALTY INC 103 EISENHOWER PKWY ROSELAND NJ 07068


SEP 27 BR

S8 LUMINEX CORP 12212 TECHNOLOGY BLVD1 512-219-8020 AUSTIN TX 78727


S-8 ATTORNEYS COM INC BOX 280 186 PARKWAY LAKE HELEN FL


33346688 SEP 27 BR


SB-2 BECOR COIll4UNICATIONS INC 17337 VENTURA BLVD SUITE 224 ENCINO CA

91316 818 7840040 3200000 $640000 COMMON STOCK FILE 3336690

SEP 27 BR NEW ISSUE

S-3 VDC COMMUNICATIONS INC 75 HOLLY HILL LANE GREENWICH CT 06830


SEP 27 BR

S8 PROLOGIS TRUST 14100 EAST 35TH PLACE AURORA CO 80011 303 3759292


S8 PROLOGIS TRUST 14100 EAST 35TH PLACE AURORA CO 80011 303 3759292

5000000 $118905000 COMMON STOCK FILE 33346700 SEP 27BR

S-8 BACH-HAUSER INC 2080 FLAMINGO RD STE 112 LAS VEGAS NV 89119

702 8662500 600000 $228000 COMMON STOCK FILE 33346702SEP 27 BR

S-8 ARDEN GROUP INC 2020 CENTRAL AyE COMPTOM CA 90220 310 638-

2842


S-8 HYDRIL CO 3300 SAM HOUSTON PKWY HOUSTON TX 77032 281 449-

2000

2170000 $36890000 COMMON STOCK FILE 33346706 SEP 27BR

S-8 GO2NET INC 999 THIRD AVENUE SUITE 4700 SEATTLE WA 98104


SEP 27 BR

S-8 INTEGRA INC 1060 FIRST AVENUE STE 202 KING OF PRUSSIA PA 19406


S-8 ALADDIN SYSTEMS HOLDINGS INC 165 WESTRIDGE DR WATSONVILLE CA

95076


SEP 27 BR

S-8 STAR GAS PARTNERS LP 2187 ATLANTIC ST STAMFORD CT 06902


S-3 EAST WEST BANCORP INC 415 HUNTINGTON DRIVE SAN MARINO CA 91108



S-8 INFOCROSSING INC CHRISTIE HEIGHTS STREET LEONIA NJ 07605


SEP 27 BR

S-8 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ 6531 NW 18TH COURT PLANTATION

FL


33346722 SEP 27 BR

S-8 CHEAP TICKETS INC 1440 KAPIOLP.NI BLVD STE 800 HONOLULU HI 96814


SEP 27 BR

S-8 WMS INDUSTRIES INC /DE/ 3401 CALIFORNIA AyE CHICAGO IL 60618


672

SEP 27 BR

S-3 INTERNATIONAL FIBERCOM INC 3410 UNIVERSITY SUITE 180 PHOENIX

AZ


33346728 SEP 27 BR

S-4 SBA COMMUNICATIONS CORP ONE TOWN CENTER RD THIRD FLOOR BOCA

P.ATON FL


33346730 SEP 27 BR

S-8 DUN BRADSTREET CORP/NW ONE DIAMOND HILL RD ONE DIAMOND HILL RD

MURRAY HILL NJ 07974 908 6655000 9325400 $130275838COMMON STOCK FILE 333-46732 SEP 27 BR

S-8 SBA COMMUNICATIONS CORP ONE TOWN CENTER RD THIRD FLOOR BOCA

RATON FL


33346734 SEP 27 BR

S-3 COMCAST CABLE COMMUNICATIONS INC 1201 MARKET STREET SUITE 2201

WILMINGTON DE 19801 302 5948700 4000000000 $4000000000STRAIGHT BONDS FILE 33346736 SEP 27 BR

S-3 HOME PROPERTIES OF NEW YORK INC 850 CLINTON SQ ROCHESTER NY 14604


SEP 27 BR

S-8 MAVERICK TUBE CORPORATION 16401 SWINGLEY RIDGE RD STE 700

CHESTERFIELD MO 63017 636 7331600 694191 $19503296 COMMON

STOCK

FILE 33346740 SEP 27 BR

S-8 NORTHERN STAR FINANCIAL INC 1650 MADISON AyE SUITE 510 MANKATO

56001 507 3872265 116700 $751257 COMMON STOCK FILE 333

46742

SEP 27 BR


S-8 CALYPTE BIOMEDICAL CORP 1265 HARBOR BAY PARKWAY ALAMEDA CA 94502510 7495100 6150000 $14606250 COMMON STOCK FILE 33346744

SEP 27 BR

S-3 CARESIDE INC dO CARESIDE INC 6100 BRISTOL PARKWAY CULVER CITYCA

90230 310 3386767 4491940 $16283282.50 COMMON STOCK FILE33346746 SEP 27 BR

S3 SBE INC 4550 NORRIS CANYON ROAD SAN RAMON CA 94583 510 3552000


S-8 AVANTGO INC 1700 SOUTH ANPHLETT BLVD1 SUITE 300 SAN MATEO CA94402


SEP 27 BR

S8 MfiLYTAG CORP 403 4TH ST NEWTON IA 50208 515 79280003966000 $122822063 COMMON STOCK FILE 33346752 SEP 27 BR

S-3 SHOP AT HOME INC /TN/ 5388 HICKORY HALLOW PARKWAY P0 BOX 305249NASHVILLE TN 37013 615 2638000 10212791 $26808576 COMMON

STOCK

FILE 33346754 SEP 27 BR

S-3 HYPERTENSION DIAGNOSTICS INC /MN 2915 WATERS ROAD SUITE 1086126879999 EAGAN MN 55121 612 6879999 350000 $1 706 250WARRANTS OPTIONS OR RIGHTS FILE 333-46756 SEP 27 BR

SB-2 VALLEY FINANCIAL CORP IVA/ 36 CHURCH AVENUE SW ROANOKE VA 24011540 3422265 230000 $4255000 COMMON STOCK FILE 33346758SEP 27 BR

S-4 DIGITAL FUSION INC 590 NORTH GULPH RD KING OF PRUSSIA PA 19406


SEP 27 NEW ISSUE

S-8 IDIAL NETWORKS INC 16990 DALLAS PARKWAY SUITE 106 SUITE 106DALLAS

TX 75248 949 2489561 1726230 $863115 COMMON STOCK FILE33346764 SEP 27 BR

S-8 ANTS SOFTWARE COM INC 500 AIRPORT BLVD SUITE 100 BURLINGAME CA94010


SEP 27 BR

S-8 EDEN BIOSCIENCE CORP 11816 CREEK PARKWAY NORTH BOTHELL WA 98011425 8067300 9718000 $125853240 COMMON STOCK FILE 333

46768

SEP 27 BR


S-3 FLEXTRONICS INTERNATIONAL LTD 11 UBI ROAD

07 01 02 MEIBAN INDUSTRIAL BLDG SINGAPORE 408723 U0 065 4495255

30000000 $2444062500 FOREIGN COI4ON STOCK FILE 33346770

SEP 27 BR

S-8 PGE CORP ONE MARKET SPEAR TOWER SUITE 2400 SAN FRANCISCO CA

94105

415 2677000 25000000 $664062500 COIII4ON STOCK FILE 333

46772

SEP 27 BR

S-4 FLEXTRONICS INTERNATIONAL LTD 11 UBI ROAD

07 01 02 MEIBAN INDUSTRIAL BLDG SINGAPORE 408723 U0 065 4495255

632225000 $632225000 STRAIGHT BONDS FILE 33346774 SEP 27

BR

S-3 LABORATORY CORP OF AMERICA HOLDINGS 358 MAIN ST

4225 EXECUTIVE SQ STE 800 BURLINGTON NC 27215 336 2291127

5000000$557500000 COIVIIVION STOCK FILE 33346776 SEP 28 BR

SB-2 FUTURELINK CORP 100 MORGAN IRVINE CA 92618 403 216-6000


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 Dispsition of Assets

Item Baiikruptcy or Receivership

Item Changes in Registrants Certifying Accountant

Item Other Materially Important Events

Item Resignations ot Registrants Directors

Item Financial Statements and Exhibits

Item Change in Fiscal Year

Item Regulation Offerings

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 Commissiof Public Reference Branch at 450 Fifth Street N.W Washington D.C

20549 or at the following e-mail box address publicinfosec.gov In most cases this information is

also available on the Commissions website www.sec.gov

STATE 8K ITEM NO

NP OF ISSUER CODE DATE COMMENT

AAMES FINANCIAL CORP/DE DE 09/28/00

ACUSON CORP DE 09/27/00

ADATOM COM INC DE 09/27/00


STATE 8K ITEM NONP OF ISSUER

ADVANTA MORTGAGE LOAN TRUST 1998-4A

ADVANTA MORTGAGE LOAN TRUST 1998-45

ADVANTA MORTGAGE LOAN TRUST 1998-4C

ADVANTA MORTGAGE LOAN TRUST 2000

ADVANTA MORTGAGE LOAN TRUST 2000-1

ADVANTA REVOLVING HOME EQUITY LOAN

TRUST 2000

AFFYMETRIX INC

ALEXION PHARMACEUTICALS INC

ALLIANCE CAPITAL MANAGEMENT HOLDING

LP

ALLIANCE CAPITAL MANAGEMENT

ALLOY ONLINE INC

ALTRIS SOFTWARE INC

ANBI INC

AMERICA FIRST MORTGAGE INVESTMENTS

INC

AMERICAN PAD PAPER CO

AMERISERVE FOOD DISTRIBUTION INC /D

El

ARCADIA RECEIVABLES FINANCE CORP

ARIS CORP/

ASHFORD COM INC

AUSPEX SYSTEMS INC

AVAYA INC

BACH-HAUSER INC

BANC CORP

BANKRATE INC

BAY VIEW CAPITAL CORP

BEST FOODS

BROADCOM CORP

CABOT CORP

CENTEX CREDIT CORP HOME EQ LN ASSET

BACKED CERT SER 2000

CENTEX HOME EQUITY LOAN TRUST 2000-

CHASE CREDIT CARD MASTER TRUST





CHASE MANHATTAN BANK /NY/



CHASE MANHATTAN BANK /NY/CHASE MANHATTAN BANK /NY/

CHASE MANHATTAN BANK USA CHASE CRED

IT CARD OWNER

CHASE MANHATTAN

IT CARD OWNER

CHASE MANHATTAN

IT CARD OWNER

CHATTEM INC

CODE DATE COMMENT

09/30/00

09/30/00

09/30/00

09/30/00

09/30/00

09/30/00

09/29/00

09/18/00

10/02/00

10/02/00

07/18/00 AMEND

09/20/00

09/29/00

09/26/00

08/02/00 AMEND

10/03/00

09/17/00

08/14/99

09/18/00

08/15/00

10/02/00

09/14/00

09/07/00

09/20/00

09/29/00

09/28/00

07/19/00 AMEND

09/19/00

09/30/00

DE 09/30/00

08/15/00

08/15/00

08/15/00

09/15/00

09/15/00

08/15/00

08/15/00

08/15/00

09/15/00

09/15/00

09/15/00

DE 09/15/00

DE 08/15/00

TN 09/15/00

NY

NY

DE

DE

NV

NV

DE

DE

DE

DE

DE

CA

NY

MD

DE

DE

DE

WA

DE

DE

DE

NV

DE

FL

DE

DE

CA

DE

DE

NY

NY

NY

NY

NY

NY

NY

NY

NY

NY

DE

TR 19993BANK USA CHASE CREDTR 20001BANK USA CHASE CRED

TR 20002


OF ISSUER

STATE 8K ITEM NOCODE DATE COMMENT

CHECKFREE CORP \GA\

CHECKFREE CORP \GA\

CHIRON CORP

CHORDIANT SOFTWARE INC

CMS ENERGY CORP

COACHMEN INDUSTRIES INC

COLORADO WYOMING RESERVE CO

COLUMBIA ENERGY GROUP

COMPUTER NETWORK TECHNOLOGY CORP

CONEXANT SYSTEMS INC

CONSECO INC

CONSUMERS ENERGY CO

CONTANGO OIL GAS CO

CORRECTIONS CORP OF AMERICA/MD

CORVALLIS INC

CRAFTCLICK COM INC

CRONOS GROUP

CSG SYSTEMS INTERNATIONAL INC

CTB INTERNATIONAL CORP

CYBER CARE INC

CYBERSOURCE CORP

DAMARK INTERNATIONAL INC

DAOU SYSTEMS INC

DIGITAL LIGHTWAVE INC

DLJ MORTGAGE ACCEPTANCE CORP

DLJ MORTGAGE ACCEPTANCE CORP

DYNEGY INC /lLEBIZ ENTERPRISES INC

ENTER TECH CORP

EPIQ SYSTEMS INC

ESENJAY EXPLORATION INC

EVEREST RE GROUP LTD

EVEREST REINSURANCE HOLDINGS INC

EXCO RESOURCES INC

FLEETBOSTON FINANCIAL CORP

FORTUNE NATURAL RESOURCES CORP

FRANKLIN RESOURCES INC

GALAXY TELECOM LP

GB HOLDINGS INC

GB PROPERTY FUNDING CORP

GENERAL MOTORS CORP

GLOBALNET FINANCIAL COM INC

GOVERNMENT TRUST PH-i

GRAHAM FIELD HEALTH PRODUCTS INC

GREENPOINT HM EQ LN AS BK NT SR 200

0-1 CL A2 VA RT AS BK NT

09/30/00

10/01/00

09/18/00

07/19/00 AMEND

10/02/00

10/02/00

09/22/00

10/02/00

10/02/00

09/28/00

09/28/00

10/02/00

09/27/00

09/29/00

08/04/00 AMEND

09/14/00 AMEND

09/30/00

09/30/00

09/30/00

10/02/00

09/29/00

09/28/00

10/02/00

09/15/00

09/18/00

09/29/00

10/02/00

09/29/00

08/31/00

09/30/00

10/02/00

09/19/00

09/12/00

09/27/00

10/02/00

09/30/00

09/30/00

09/22/00

10/01/00

10/02/00

10/02/00

09/30/00

09/30/00 AMEND

09/30/00 AMEND

09/28/00

08/01/00 AMEND

08/15/00

09/14/00

09/15/00

CREDIT SUISSE FIR BOS MOR SEC CORP

MO BK PA TH CE SE 99-WM1





CRITICAL PATH INC

DE

DE

DE

MI

IN

WY

DE

MN

DE

IN

MI

NV

MD

NV

UT

DE

CA

N4

DE

DE

FL

DE

MN

DE

DE

DE

DE

IL

NV

NV

MO

OK

C8

DE

TX

RI

DE

DE

DE

DE

DE

DE

DE

NY

DE


NAb OF ISSUER

GREENPOINT HM EQ LN TR 1999-2 REV.H

EQ ASS BK NOT SE 1999-2

GREENWICH CAPITAL ACCEPTANCE INC

HEARTLAND BANCSHARES INC uNHIGHLAND BANCORP INC

HOLOGIC INC

HOME STAKE OIL GAS CO

HOUSEHOLD HOME EQUITY LOAN TRUST 19

991

STATE 8K ITEM NOCODE DATE CObENT

DE 09/15/00

09/25/00

10/02/00

09/29/00

09/15/00

10/03/00

09/29/00

HOUSEHOLD

TRUST

HOUSEHOLD

TRUST

HOUSEHOLD

TRUST 1996-1

HOUSEHOLD REVOLVING HOME EQUITY LOA

TRUST 1996-2

HSB GROUP INC

HUGHES ELECTRONICS CORP

HUTCHINSON TECHNOLOGY INC

IBP INC

IGEN INTERNATIONAL INC IDE

IMH ASSETS CORP COLLATERALIZED ASSE

BACKED BONDS SER 2000

IMPAC SECURED ASSETS CORP

IMX PHARMACEUTICALS INC

INFE COM INC

INTEGRATED ORTHOPEDICS INC

INTERNATIONAL BANCSHARES CORP

INTERNATIONAL COSMETICS MARKETING

INTERNATIONAL FLAVORS FRAGRANCES

INC

REVOLVING HOME EQUITY LOA

19 951DE 09/29/00

DE 09/29/00

DE 09/29/00

DE 09/29/00

09/28/00

09/28/00

09/20/00

10/02/00

09/20/00

09/25/00

09/25/00

07/21/00 AMEND

10/02/00

09/18/00

10/03/00

09/26/00

NY 09/26/00

NY

IN

DE

DE

OK

DE

REVOLVING HOME EQUITY LOA

19 952REVOLVING HOME EQUITY LOA

CT

DE

MN

DE

CA

DE

CA

UT

FL

TX

TX

FL

ITC DELTACOM INC DE 09/29/00

JLK DIRECT DISTRIBUTION INC PA 10/03/00

JONES SODA CO WY 09/29/00

KIEWIT MATERIALS CO DE 09/30/00

LEADINGSIDE INC DE 10/03/00

LEE ENTERPRISES INC DE 10/02/00

LIGHTPATH TECHNOLOGIES INC DE 09/20/00LOISLPLW COM INC AR 09/29/00MF BANCORP INC /Nc/ NC 09/26/00

MERIDIAN RESOURCE CORP TX 09/28/00

MERRILL LYNCH DEPOSITOR INC DE 08/01/00MERRILL LYNCH DEPOSITOR INC DE 09/01/00

META GROUP INC DE 09/19/00

MGM MIRAGE DE 09/12/00

MICRO ASI INC TX 07/21/00MICROMUSE INC DE 07/18/00

MILLENNIUM PHARMACEUTICALS INC DE 09/29/00MJ1I PRODUCTS INC DE 12/30/00MODERN COMPUTER 09/15/00

AMEND

AMEND

AMEND


NP OF ISSUER


NJ

1998AMONEY STORE HOME IMPROVEMENT LOAN

ACKED CERT SERIES 1998-I

MONEY STORE RESIDENTIAL TRUST 1998- NJ

MONEY STORE TRUST 1998

NATIONAL PENN BANCSHARES INC

NATURAL SOLUTIONS CORP

NEBCO EVANS HOLDING CO

NETNATION COMMUNICATIONS INC

NETNATION COMMUNICATIONS INC

NEW CENTURY MORT SEC INC NEW CENT

EQ LN TR SER 2000-NCA

NORFOLK SOUTHERN CORP

NORFOLK SOUTHERN RAILWAY CO /VA/

NORTH FORK BANCORPORATION INC

NORTHERN BORDER PARTNERS LP

NORTHERN BORDER PIPELINE CO

NORTHWESTERN CORP

NORWEST ASSET SEC CORP MORT PAS THR

CER SER 2000-2 TR

NOVASTAR FINANCIAL INC

NTL COMMUNICATIONS CORP

NYER MEDICAL GROUP INC

OAK HILL FINANCIAL INC

OAKWOOD MORTGAGE INVESTORS INC

OGDEN CORP

OLIN CORP

ONI SYSTEMS CORP

OPTION ONE MORT ACCEPT CORP ASSET

ACKED CERT SERIES 2000-3

OPTION ONE MORT ACCEPT CORP ASSET

ACKED CERT SERIES 2000-3

PALM INC

PC SERVICE SOURCE INC

PENTON MEDIA INC

PEOPLES HOLDING CO

PETER KIEWIT SONS INC IDEPIONEER BANKSHARES INC/VA

PLASTICS MFG CO

PLEXUS CORP

PMC SIERRA INC

PNC MORTGAGE SEC CORP MORT PASS THR

CERT SER 2000-1

PNC MORTGAGE SEC CORP MORT PASS THR

CERT SER 20003PNC MORTGAGE SEC CORP MORT PASS THR

CERT SER 20005PNC MORTGAGE SECURITIES CORP MORT

ASS THRO CERT SER 2000-2

09/15/00

09/15/00

09/15/00

09/15/00

09/15/00

09/27/00

06/20/00 AMEND

10/03/00

09/25/ 00

09/26/00

09/30/00

10/02/00

10/03/00

09/29/00

06/30/00

06/30/ 00

10/02/00

09/25/00

09/29/00

09/25/00

09/25/00

10/02/00

09/28/00

10/02/00

10/02/00

09/29/00

07/27/00 AMEND

DE 09/25/00

09/21/00

09/26/00

10/02/00

09/22/00

08/30/00

09/26/00

09/29/00

09/19/00

09/29/00

10/01/00

DE 10/01/00

DE 10/01/00

DE 10/01/00

MONEY STORE

ES SERIES

MONEY STORE

ASSET BACKED CERTIFICAT

1998BHOME EQUITY LOAN TRUST

PA

NV

DE

DE

DE

DE

VA

VADE

DE

TX

DE

DE

MD

DE

FL

01-I

NV

DE

VA

DE

DE

DE

DE

MS

DE

WI

WI

DE

DE


NP1 OF ISSUER

PNC MORTGAGE SECURITIES CORP MORT

ASS THRU CERT SER 2000

POST APARTMENT HOMES LP

POST PROPERTIES INC

PRETORY USA INC

PRIDE COMPANIES LP

PRUDENTIAL SECURITIES SECURED FINAN

CING CORP

PUBLIC SERVICE CO OF NEW MEXICO

QUORUM HEALTH GROUP INC

RENAL CARE GROUP INC

RENT WRECK OF AMERICA INC

RESIDENTIAL ASSET FUNDING CORP

RESIDENTIAL ASSET MORTGAGE PRODUCTS

INC

RESIDENTIAL ASSET MORTGAGE PRODUCTS

INC

RYANS FAMILY STEAKHOUSES INC

SALOMON BROTHERS MOR SEC VII FL RTMR PA TH CER SER 2000 LE1

SEC COMMUNICATIONS INC

SECOM GENERAL CORP

SILICON STORAGE TECHNOLOGY INC

SOUTHERN COMMUNITY BANCORP

SOUTHERN ENERGY INC

STILWELL FINANCIAL INC

STRATOSPHERE CORP

STRUCTURED ASSET SECURITIES CORP MO

RT PAS THR CERT SE 2000

SUMMIT BANCORP/NJ/

SURGE COMPONENTS INC

SUSQUEHANNA MEDIA CO

SYNERGY TECHNOLOGIES CORP

TALK VISUAL CORP

TARGETED GENETICS CORP /WA/

TC PIPELINES LP

TECH ELECTRO INDUSTRIES INC/TX

TEPPCO PARTNERS LP

TEPAGLOBAL COMMUNICATIONS CORP

TICE TECHNOLOGY INC

TITANIUM METALS CORP

TOREADOR RESOURCES CORP

TORVEC INC

TOTAL FILM GROUP INC

TOTAL TEL USA COMMUNICATIONS INC

TOWER AUTOMOTIVE INC

TRANSAMERICAN ENERGY CORP

TRANSAMERICAN REFINING CORP

TV COMMUNICATIONS NETWORK INCLABORATORIES INC

UICI

UNIDYNE CORP

UNIFAB INTERNATIONAL INC


DE 10/01/00

10/02/00

10/02/00

09/28/00

09/26/00

09/25/00

10/03/00

10/02/00

10/02/00

09/21/00

09/25/00

09/21/00

DE 09/25/00

09/27/00

09/25/00

10/02/00

10/02/00

10/01/00

09/22/00

09/26/00

10/02/00

10/03/0

09/25/00

10/01/00

09/26/00

10/03/00

09/25/00

07/20/00 AMEND

09/19/00

09/26/00

09/20/00

07/21/00 AMEND

10/04/00

10/02/00

10/02/0

09/19/00

09/30/00

09/28/00

09/29/00

10/02/00

08/31/00

08/31/00

10/02/00

09/07/00 AMEND

09/29/00

05/15/00

09/29/00

GA

GA

NV

DE

DE

NM

DE

DE

DE

NC

DE

SC

DE

DE

DE

CA

FL

DE

DE

DE

DE

NJ

NY

DE

CO

NV

WA

DE

TX

DE

DE

DE

DE

DE

NY

DE

NJ

DE

DE

TX

CO

DE

DE

DE

LA


NAME OF ISSUER


UNITED STATIONERS INC

UNITED STATIONERS SUPPLY Co

UNIVERSAL CORP /VA/

UNOCAL CORP

URBAN SHOPPING CENTERS INC

VARI CO INC

VENCOR INC /NEW/

VENTAS INC

VERSO TECHNOLOGIES INC

VERTEX INDUSTRIES INC

VIALOG CORP

VIALOG CORP

VLASIC FOODS INTERNATIONAL INC

WAVETECH INTERNATIONAL INC

WELLS FARGO ASSET SEC CORP MORT PAS

THR CERT SER 2000-2

WELLS FARGO ASSET SEC CORP MORT PAS

THR CERT SERIES 2000-4

WELLS FARGO ASSET SECURITIES CORP



ORT BK SEC 2000-3 TRUST

WFS FINANCIAL 2000-A OWNER TRUST

WHX CORP

WINNERS EDGE COM INC

WORLDPORT COMMUNICATIONS INC

WORLDWIDE WEB NETWORX CORP

WYANT CORP

XEROX CORP

ZIASUN TECHNOLOGIES INC

ZSTAR ENTERPRISES INC

1STOPSALE COM HOLDINGS INC

10/02/00

10/02/00

10/02/00

09/30/00

01/01/99

09/29/00

09/29/00

09/29/00

09/29/0009/18/00

10/01/00

10/01/00

09/29/00

09/27/00

09/25/00

NY 09/25/00

09/29/00

09/29/00

09/25/00

06/20/00

10/03/00

09/28/00

09/15/00

09/27/00

10/02/00

10/02/00

09/29/00

10/02/00 AMEND

10/02/00

DE

IL

VA

DE

MD

CO

DE

DE

NJ

MA

MA

NJ

NV

NY

DE

DE

DE

DE

DE

DE

DE

NY

NY

NV

NV

DE


sec news digest, october 4, 2000 · 2008. 2. 12. · roger hayes managing director banc of america...

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