SEC NEWS DIGEST Issue 2002-37 February 25, 2002 ENFORCEMENT PROCEEDINGS UNITED STATES ATTORNEY'S OFFICE INDICTS TWO SUED BY SEC FOR SECURITIES LAW VIOLATIONS The Commission announced that on February 21 the United States Attorney's Office for the Southern District of Florida (USAO) unsealed a 35 count indictment against Paul R. Johnson, the president and CEO of Link Express Delivery Solutions, Inc. (LEDS), and John Cook II, the owner of Argus Securities, Inc., a securities broker-dealer headquartered in New Port Richey, Florida. The Commission had filed a civil complaint against Johnson, Cook, and others on December 12, 2001, alleging that they illegally raised over $15.5 million from nearly 400 investors for LEDS, a South Florida package delivery service. The indictment charges Johnson and Cook with conspiracy to commit securities fraud, securities fraud, and conspiracy to commit money laundering. The indictment also charges Johnson with money laundering, conspiracy to commit bank fraud, and perjury. One perjury count charges Johnson with making false declarations during a hearing to freeze assets in the Commission's case against him. The indictment charges Johnson and Cook with fraudulently raising funds for LEDS and its successors and related businesses Link Worldwide Logistics, Pony Express Logistics, and Silver State Vending (OTCBB: SVEA). The indictment also charges that Johnson and Cook induced investors to purchase stock by falsely representing that all funds raised would be used for operating, acquisition, and administrative expenses associated with LEDS's package delivery service, when Johnson actually used the money for himself, his close friends and relatives, and his own personal ventures. The Commission's complaint is based on the same misconduct described in the USAO's indictment (SEC v. Paul R. Johnson, et al., Case No. 01-7874-CIV-Hurley, SDFla.). [U.S. v. Paul R. Johnson, et al., Criminal Action No. 02-60012-CR-Ferguson, SDFL] (LR- 17375) SEC v. LARRY TYLER, ADVANCED FINANCIAL SERVICES, INC., ET AL. On February 21, Judge Jorge Solis of the United States District Court for the Northern District of Texas granted the Commission's application for a preliminary injunction and the appointment of a receiver against defendants Larry W. Tyler, of Fort Worth, Texas, and his company, Advanced Financial Services, Inc. (AFS), a Texas corporation headquartered in Fort Worth. The Court found that Tyler and AFS made material misrepresentations and omissions that "were unquestionably deliberate and clearly intentional" in connection with fraudulent sales of AFS-issued investments backed by viaticals. (Viaticals are interests in the death benefits of insurance policies insuring the lives of terminally ill persons.) The Court further stated that Tyler and AFS made "false guarantees about the investments' liquidity, interest rates and `fixed' maturity dates" and that Tyler failed to disclose his commissions for the sales. Thus, the Court concluded that the "Defendants' actions adequately demonstrate an intentional pattern to deceive." In addition to the granting of a preliminary injunction and the appointment of a receiver, the court also ordered an asset freeze and an interim accounting, prohibited the alteration or destruction of documents and authorized expedited discovery. The Commission alleged in its complaint, filed February 11, 2002, that since May 1998, the defendants raised at least $30 million and that Tyler personally reaped over $5.2 million in undisclosed commissions, by fraudulently enticing more than 480 mostly elderly investors into purchasing investments issued by his company, AFS. According to the Commission, Tyler deceived the elderly investors with false guarantees about the AFS investment's liquidity, above-market interest rates and "fixed" maturity dates. Tyler used investors' funds to buy viaticals which rendered the guarantees false because, by definition, viaticals are illiquid investments with no fixed maturity dates and uncertain rates of return. Tyler hid the fact that the underlying viaticals could not fulfill the promises that he had made to investors and that the investors had to rely on him and AFS to carry through on the promises of guaranteed returns, fixed maturities and liquidity. Two weeks before the Commission filed its suit, Tyler and AFS both filed for bankruptcy. The Commission also named as relief defendants in its action two Tyler- controlled limited partnerships, Granbury Plaza Ltd. (Granbury Plaza) and Benbrook Lake L.P. (Benbrook Lake), and a Tyler-controlled Texas corporation, FWLT Holding Company (FWLT). The relief defendants received investor funds totaling $116,000, $1,000,000 and $325,000, respectively. The court also subjected the relief defendants to his receivership order and further ordered an asset freeze of their assets and an interim accounting. The Commission seeks the return of all investor funds received, with pre-judgment interest. In its complaint, the Commission charges Tyler and AFS with violating the antifraud provisions of the federal securities laws, specifically, 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. In addition, the Commission charges the defendants with violations of the securities registration provisions, Sections 5(a) and 5(c) of the Securities Act. The Commission also seeks disgorgement with pre-judgment interest and a civil money penalty against the defendants. Further, the Commission seeks an order finding that Tyler is in violation of a May 17, 2001, Order to Cease and Desist entered in the Matter of Larry W. Tyler, Administrative Proceeding File No. 3-10487. In its order, the Commission barred Tyler from association with a securities broker or dealer for defrauding investors, most of whom - as in the instant action - were elderly. The Commission would like to thank the Texas State Securities Board for its assistance in the investigation of this matter. [SEC v. Larry W. Tyler, Advanced Financial Services, Inc., et al., USDC, ND\TX, Dallas Division, Civil Action No. 3:02-CV-0282-P] (LR-17376) SEC SUES MARK RICE FOR FALSE INTERNET TOUTING On February 22, the Commission filed a federal court action against Mark E. Rice d/b/a Primex Capital (Rice). The Commission's complaint alleges that between September 1999 and July 2000, Rice carried out "pump and dump" schemes to manipulate the stock of four microcap companies, including defendant Status Wines of Tuscany f/k/a Portalzone.com, Inc. (Portalzone). According to the Commission's complaint, the schemes for all four companies involved issuing unsolicited fraudulent "spam" e-mail messages. The Commission's complaint further alleges that for Portalzone and another company, the schemes also involved manipulative trading by Rice and issuing fraudulent press releases or promotional materials. According to the Commission's complaint, the false statements concerned, among other things, Portalzone's product (purportedly an advanced Internet search engine), its revenue sources and business relationships with third parties, as well as Rice's stock- picking track record and trading intentions. Moreover, the Commission's complaint alleges that the schemes enabled Rice, and his alter ego entities, proposed relief defendants Primex (USA), Inc. (Primex) and Applegate Sentry, S.A. (Applegate), to sell restricted stock of three of the four companies into the resulting inflated market for total profits of approximately $900,367. The Commission's complaint, filed in the U.S. District Court for the Southern District of Texas, alleges that Rice violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b- 5 thereunder, and Regulation M, Rule 101. As to Rice, the complaint seeks an injunction against Rice and disgorgement, prejudgment interest and third-tier civil penalties, and as to the two relief defendants, disgorgement and prejudgment interest. Without admitting or denying the Commission's allegations, Rice has consented to the entry of an order that would enjoin him from future violations of the foregoing provisions and directing him to pay disgorgement and prejudgment interest in an amount to be determined after the completion of the Commission's discovery in this action; and in which he would agree to the Court's continuing jurisdiction over the action for the purpose of determining whether to assess civil penalties against him. [SEC v. Mark E. Rice, et al., Civ. Action No. 4:02CV00636 (USDC, SD\TX] (LR-17377) COMMISSION CHARGES JOHN CASSESE WITH INSIDER TRADING IN SHARES OF DATA PROCESSING RESOURCES CORPORATION The Commission announced today that it has filed and settled a complaint against John J. Cassese (Cassese), the chairman and president of Computer Horizons Corporation (Computer Horizons), in Federal Court in Los Angeles. The Commission's complaint alleges that Cassese violated Section 14(e) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 14e-3 thereunder by engaging in insider trading in the stock of Data Processing Resources Corporation (DPRC) while in possession of material, nonpublic information about a tender offer for DPRC stock by Compuware Corporation (Compuware). The settlement provides, in part, that Cassese will pay a total of more than $300,000 in ill-gotten trading profits, interest and civil penalties. During the relevant period, Computer Horizon's, DPRC's and Compuware's shares all traded on the NASDAQ-NMS under the ticker symbols CHRZ, DPRC and CPWR, respectively. The complaint alleges that Cassese learned that Compuware would be acquiring DPRC three days before the public announcement of the tender offer from Compuware's Chairman and CEO. The day after Cassese learned of the material, non-public information regarding the pending acquisition of DPRC, he purchased 15,000 DPRC shares. After Compuware and DPRC publicly announced the acquisition on June 24, 1999, DPRC's share price rose to $23.375 per share, a 91% increase from the previous day's close of $12.25 per share. Cassese sold all 15,000 shares immediately after the public announcement of the acquisition, realizing a profit of $150,937.50. Without admitting or denying the allegations in the complaint, Cassese consented to the entry of a final judgment that would permanently enjoin him from future violations of Section 14(e) of the Exchange Act and Rule 14e-3 thereunder. Cassese also agreed to disgorge $150,937.50 in ill- gotten gains, plus prejudgment interest, and will pay a civil penalty of $150,937.50. The Commission acknowledges the assistance provided by NASD Regulation, Inc. in connection with this matter. [SEC v. Cassese, Civil Action No. 02-01605 FMC (AJWx) (C.D. Cal.)] (LR-17378) SEC SUES CHRISTINA SKOUSEN FOR WRITING FALSE ANALYST REPORTS On February 22, the Commission filed a federal court action against California resident Christina Skousen, individually and doing business as CSK Securities Research. The Commission's complaint alleged that between May 1999 and December 2000, Skousen, a self-styled "analyst," wrote fraudulent research reports touting eight microcap companies. Skousen's reports for seven of the companies contained false and misleading revenue, income and earnings. The revenue projections exceeded the companies' most recently reported revenue figures by as much as 260,913%, and exceeded the companies' most recently reported income figures by as much as 30,089%. Skousen's reports additionally failed to disclose that six of the companies required significant additional financing, which was not assured, to implement their business plans or continue in operation. Skousen's reports for the same seven companies also contained arbitrary projected stock prices, which exceeded the companies' current stock prices by as much as 18,650%. Skousen, who typically was paid in cash for all of the reports, failed to disclose her receipt of compensation in two instances where she personally published the reports. The Commission's complaint alleges that Skousen violated Section 17(b) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks an injunction against Skousen and disgorgement of $30,000 and prejudgment interest and third-tier civil penalties. Without admitting or denying the Commission's allegations, Skousen has consented to the entry of an order that would enjoin her from future violations of the foregoing provisions and directing her to pay disgorgement and prejudgment interest. Under the proposed order, Skousen would not be required to pay disgorgement or civil penalties based on her demonstrated inability to pay. [SEC v. Christina Skousen, Civ. Action No. C02-894 VRW (USDC, N.D. Cal.)] (LR-17379) INVESTMENT COMPANY ACT RELEASES DEREGISTRATIONS UNDER THE INVESTMENT COMPANY ACT For the month of February, 2002, a notice has been issued giving interested persons until March 19, 2002, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: The Kent Funds [File No. 811-4824] Credit Suisse Warburg Pincus Central and Eastern Europe Fund, Inc. [File No. 811-8905] Credit Suisse Warburg Pincus Technology Index Fund, Inc. [File No. 811- 9959] Threshold Advisor Funds, Inc. [File No. 811-10117] Searay Financial Funds [File No. 811-9743] Strong International Income Funds, Inc. [File No. 811-8318] SCM Strategic Growth Fund [File No. 811-8745] Merrill Lynch Growth Fund [File No. 811-4934] Schroder Series Trust II [File No. 811-8567] Jurika & Voyles Fund Group [File No. 811-8646] The Pakistan Investment Fund, Inc. [File No. 811-6636] Texas Municipals Portfolio [File No. 811-7212] Dreyfus Global Growth Fund [File No. 811-4695] COUNTRY Asset Allocation Fund, Inc. [File No. 811-2839] SG Cowen Standby Reserve Fund, Inc. [File No. 811-3220] SG Cowen Funds, Inc. [File No. 811-5388] SG Cowen Series Funds, Inc. [File No. 811-8487] AARP Growth Trust [File No. 811-4048] SG Cowen Income & Growth Fund, Inc. [File No. 811-4672] The Innovative Funds [File No. 811-9767] Separate Account IPL-1 [File No. 811-9213] COVA Series Trust [File No. 811-5252] (Rel. IC-25443 - February 22) ALPHA SELECT FUNDS, ET AL. A notice has been issued giving interested persons until March 21, 2002, to request a hearing on an application filed by Alpha Select Funds, et al. for an order under section 6(c) of the Investment Company Act requesting an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act. The order would permit applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-25444 - February 22) SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The New York Stock Exchange filed a proposed rule change (SR-NYSE-2002- 08) relating to changes to the NYSE's audit trail identification codes. Publication of the proposal is expected in the Federal Register during the week of February 25. (Rel. 34-45462) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-ISE-2002-03) filed by the International Securities Exchange to amend its rules relating to ratio orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of February 25. (Rel. 34-45464) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, and Depositary Shares (each representing 1/100th of a share of Cumulative Convertible Exchangeable Preferred Stock) of IT Group, Inc., effective at the opening of business on February 22, 2002. (Rel. 34-45466) An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing twenty shares of common stock) of Grupo Tribasa, S.A. de C.V., effective at the opening of business on February 22, 2002. (Rel. 34-45467) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration the Common Stock, $1.00 par value, of BellSouth Corporation, effective at the opening of business on February 25, 2002. (Rel. 34-45468) An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, and Common Stock Purchase Warrants of Paradise Music & Entertainment, Inc., effective immediately. (Rel. 34-45469) 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 PACEL CORP, 8870 RIXLEW LANE SUITE 201, MANASSAS, VA, 20109, 7032574759 - 0 ($300,000.00) Equity, (File 333-83178 - Feb. 22) (BR. 03) F-3 BP PLC, BRITANNIC HOUSE, 1 FINSBURY CIRCUS, LONDON EC2M 7BA ENGL, X0, 00000, 442074964000 - 0 ($6,000,000,000.00) Non-Convertible Debt, (File 333-83180 - Feb. 22) (BR. 04) S-8 GREENLAND CORP, 1935 AVENIDA DEL ORO, SUITE D, OCEANSIDE, CA, 92056, 6194584226 - 0 ($231,000.00) Equity, (File 333-83182 - Feb. 22) (BR. 07) S-8 NORTHRIM BANCORP INC, P O BOX 241489, ANCHORAGE, AK, 99524-1489, 0 ($5,437,466.00) Equity, (File 333-83184 - Feb. 22) (BR. 05) S-3 DANAHER CORP /DE/, 1250 24TH ST NW, SUITE 800, WASHINGTON, DC, 20037, 2028280850 - 0 ($1,000,000,000.00) Other, (File 333-83186 - Feb. 22) (BR. 05) S-2 BESTNET COMMUNICATIONS CORP, 5210 E WILLIAMS CIRCLE, STE 200, TUCSON, AR, 85711, 5207509093 - 920,235 ($681,107.00) Other, (File 333-83188 - Feb. 22) (BR. 37) S-8 CENTENE CORP, 7711 CARONDELET AVE, ST LOUIS, MO, 63105, 3147254477 - 0 ($16,686,324.00) Equity, (File 333-83190 - Feb. 22) (BR. 01) S-8 TECHNOLOGY VISIONS GROUP INC, 5950 LA PLACE COURT, SUITE 155, CARLSBAD, CA, 92008, 760-918-9168 - 10,500,000 ($315,000.00) Equity, (File 333-83192 - Feb. 22) (BR. 06) S-8 NEW ENGLAND BUSINESS SERVICE INC, 500 MAIN ST, GROTON, MA, 01471, 5084486111 - 1,000,000 ($22,260,000.00) Equity, (File 333-83196 - Feb. 22) (BR. 05) S-8 ALPENA BANCSHARES INC, 100 SOUTH SECOND AVENUE, ALPNEA, MI, 49707, 5173569041 - 91,180 ($1,073,956.00) Equity, (File 333-83198 - Feb. 22) (BR. 07) S-8 WHITE MOUNTAINS INSURANCE GROUP LTD, 28 GATE STREET, WHITE RIVER JUNCTION, VT, 05001-7066, 8022954500 - 0 ($175,854,000.00) Equity, (File 333-83206 - Feb. 22) (BR. 01) S-3 BOEING CAPITAL CORP, 500 NACHES AVE SW 3RD FLOOR, RENTON, WA, 98055, 425-393-2914 - 0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-83208 - Feb. 22) (BR. 07) S-3 CENTEX CORP, P O BOX 199000, 2728 N HARWOOD, DALLAS, TX, 75201, 2149815000 - 0 ($1,481,000,000.00) Other, (File 333-83212 - Feb. 22) (BR. 06) S-8 TRAVLANG INC, 7000 W PALMETTO PARK RD, SUITE 501, BOCA RATON, FL, 33433, 5616209202 - 5,000,000 ($500,000.00) Equity, (File 333-83224 - Feb. 22) (BR. 09) S-8 NETAIR COM, 242 FALL STREET, SALT LAKE CITY, UT, 84116, 9492489561 - 4,500,000 ($450,000.00) Debt Convertible into Equity, (File 333-83228 - Feb. 22) (BR. 05) S-3 COMMUNITY FIRST BANKSHARES INC, 520 MAIN AVENUE, FARGO, ND, 58124-0001, 7012985600 - 0 ($180,000,000.00) Other, (File 333-83240 - Feb. 22) (BR. 07) S-3 GALAXY NUTRITIONAL FOODS CO, 2441 VISCOUNT ROW, ORLANDO, FL, 32809, 4078555500 - 690,100 ($3,899,065.00) Equity, (File 333-83248 - Feb. 22) (BR. 04) S-3 HASBRO INC, 1027 NEWPORT AVE, P O BOX 1059, PAWTUCKET, RI, 02861, 4014318697 - 0 ($232,500,000.00) Debt Convertible into Equity, (File 333-83250 - Feb. 22) (BR. 05) N-2 LIBERTY ALL STAR EQUITY FUND, FEDERAL RESERVE PLZ, BOSTON, MA, 02210, 6177226000 - 10,910,930 ($121,655,755.00) Equity, (File 333-83252 - Feb. 22) (BR. 22) S-4 QUESTAR MARKET RESOURCES INC, 180 EAST 100 SOUTH, SALT LAKE CITY, UT, 84145-0433, 0 ($200,000,000.00) Other, (File 333-83254 - Feb. 22) (BR. 04) S-8 IEXALT INC, 12000 AEROSPACE AVE, SUITE 375, HOUSTON, TX, 77034, 2814648400 - 240,000 ($144,000.00) Equity, (File 333-83258 - Feb. 22) (BR. 03) S-8 GROUP 1 AUTOMOTIVE INC, 950 ECHO LANE, STE 100, HOUSTON, TX, 77024, 7134676268 - 0 ($10,000,000.00) Other, (File 333-83260 - Feb. 22) (BR. 02) S-8 BLUE RHINO CORP, 104 CAMBRIDGE PLAZA DRIVE, WINSTON SALEM, NC, 27104, 3366596900 - 0 ($6,222,005.00) Equity, (File 333-83262 - Feb. 22) (BR. 02) S-4 STEELCASE INC, 901 44TH ST, GRAND RAPIDS, MI, 49508, 6162472710 - 0 ($248,743,333.00) Non-Convertible Debt, (File 333-83264 - Feb. 22) (BR. 06) SB-2 FOOD PALACE INTERNATIONAL INC, 3550 NATIONAL AVE, SAN DIEGO, CA, 92113, 6192342156 - 4,000,000 ($4,000,000.00) Equity, (File 333-83268 - Feb. 22) (BR. ) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 4046762121 - 3,000,000 ($138,630,000.00) Other, (File 333-83270 - Feb. 22) (BR. 02) S-1 QUINTON CARDIOLOGY SYSTEMS INC, 3303 MONTE VILLA PKWY, BOTHELL, WA, 98021, 4254022000 - 0 ($57,500,000.00) Equity, (File 333-83272 - Feb. 22) (BR. ) S-1 GLOBAL PREFERRED HOLDINGS INC, 11315 JOHN CREEK PARKWAY, DULUTH, GA, 30097, 7702483311 - 0 ($120,750,000.00) Equity, (File 333-83276 - Feb. 22) (BR. 01) S-3 SONOSITE INC, 21919 30TH DRIVE S E, 22100 BOTHEL EVERETT HGWY, BOTHELL, WA, 98021-3904, 4259511200 - 0 ($71,694,450.00) Equity, (File 333-83278 - Feb. 22) (BR. 36) S-8 THERMA WAVE INC, 1250 RELIANCE WAY, FREMONT, CA, 94539, 5104903663 - 0 ($39,609,030.00) Equity, (File 333-83282 - Feb. 22) (BR. 36) F-1 ALCON INC, 6201 SOUTH FREEWAY, FORT WORTH, TX, 76134, 8175516878 - 0 ($2,685,375,000.00) Equity, (File 333-83286 - Feb. 22) (BR. ) S-8 DECTRON INTERNATIONALE INC, 4300 POIRIER BLVD, MONTREAL QUEBEC, H4R 2C5, 5143349609 - 1,150,000 ($6,514,200.00) Equity, (File 333-83288 - Feb. 22) (BR. 06) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 4046762121 - 150,000,000 ($150,000,000.00) Other, (File 333-83290 - Feb. 22) (BR. 02) S-4 AMERICAN REALTY INVESTORS INC, 10670 NORTH CENTRAL EXPRESSWAY, SUITE 300, DALLAS, TX, 75231, 2147404700 - 0 ($152,940,881.21) Equity, (File 333-83292 - Feb. 22) (BR. 08) S-3 RACING CHAMPIONS CORP, 800 ROOSEVELT ROAD BUILDING C SUITE 320, GLEN ELLYN, IL, 60137, 6307903507 - 0 ($73,950,750.00) Equity, (File 333-83296 - Feb. 22) (BR. 02) F-1 BUCK A DAY CO INC, 465 DAVIS DR STE 226, NEWMARKET ONTARIO, L3Y 2P1 CANADA, A6, 00000, 9058689485 - 29,622,974 ($29,622,974.00) Equity, (File 333-83300 - Feb. 22) (BR. ) 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 ------------------------------------------------------------------------------------- AFFILIATED MANAGERS GROUP INC DE X X 01/23/02 AGERE SYSTEMS INC DE X X 01/16/02 AMEND AIRGATE PCS INC /DE/ DE X X 02/14/02 AIRTRAX INC NJ X X 02/15/02 ALBECCA INC GA X X 02/08/02 AMERICAN AIRLINES INC DE X 02/22/02 AMEXDRUG CORP CA X 12/17/01 AMEND AMR CORP DE X 02/28/02 AMTRAN INC IN X 02/22/02 ANADARKO PETROLEUM CORP DE X X 02/22/01 APPLIANCE RECYCLING CENTERS OF AMERIC MN X X 02/21/02 AQUA CLARA BOTTLING & DISTRIBUTION IN CO X X 09/18/98 AREMISSOFT CORP /DE/ DE X X 02/11/02 AREMISSOFT CORP /DE/ DE X X 01/23/02 AMEND ARTS WAY MANUFACTURING CO INC DE X 02/13/02 AUG CORP DE X 02/08/02 AVISTA CORP WA X X 02/20/02 BANKNORTH GROUP INC/ME ME X X 02/14/02 BANYAN STRATEGIC REALTY TRUST MA X X 02/21/02 BAY VIEW SECURITIZATION CORP DE X 02/15/02 BEAR STEARNS ASSET BACKED SECURITIES DE X 02/06/02 BLACK HAWK GAMING & DEVELOPMENT CO IN CO X X 02/22/02 CABOT CORP DE X X 02/08/02 CARBIDE GRAPHITE GROUP INC /DE/ DE X X 02/20/02 CARRIER1 INTERNATIONAL S A N4 X X 02/22/02 CHASE MORTGAGE FINANCE CORP DE X X 02/21/02 CIRCUIT CITY STORES INC VA X X 02/22/02 CIT GROUP INC NV X X 02/14/02 CITIGROUP INC DE X 02/22/02 COLONIAL HOLDINGS INC VA X 02/22/02 COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 02/22/02 CONSOLIDATED CONTAINER CO LLC DE X X 02/22/02 CREATOR CAPITAL LTD D0 X 02/22/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 02/22/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 02/22/02 CRESCENT OPERATING INC DE X X 06/28/01 AMEND CYCLE COUNTRY ACCESSORIES CORP NV X X 02/15/02 CYSIVE INC DE X 02/22/02 AMEND CYTOMEDIX INC DE X 02/21/02 CYTOMEDIX INC DE X 02/21/02 CYTOMEDIX INC DE X 02/21/02 CYTOMEDIX INC DE X 02/21/02 CYTOMEDIX INC DE X 02/21/02 CYTOMEDIX INC DE X 02/21/02 AMEND DEERE JOHN RECEIVABLES INC DE X X 02/22/02 DEPARTMENT 56 INC DE X X 02/20/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 01/31/02 DEVELOPERS DIVERSIFIED REALTY CORP OH X 02/22/02 DIGI INTERNATIONAL INC DE X X 02/13/02 DIGITAL WORLD CUP INC X X X 01/30/02 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 01/31/02 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 01/31/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 01/31/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 01/31/02 DLJ MORTGAGE ACCEPTANCE CORP DE X X 02/22/02 EDAC TECHNOLOGIES CORP WI X X 02/19/02 ERESOURCE CAPITAL GROUP INC DE X 01/31/02 AMEND EYECITY COM INC DE X X X 02/07/02 FGIC SECURITIES PURCHASE INC DE X X 02/21/02 FIRSTENERGY CORP OH X X 02/21/02 FORD MOTOR CREDIT CO DE X X 02/22/02 FOURTH SHIFT CORP MN X X 01/23/02 AMEND FPL GROUP INC FL X 02/20/02 FRESH BRANDS INC X 02/22/02 FRONTLINE CAPITAL GROUP DE X 02/22/02 GENETRONICS BIOMEDICAL CORP X X 02/22/02 GLOBAL PREFERRED HOLDINGS INC DE X X 12/28/01 GRAPHIC PACKAGING INTERNATIONAL CORP CO X 02/12/02 GREYSTONE DIGITAL TECHNOLOGY INC DE X X X 02/22/02 AMEND HCC INSURANCE HOLDINGS INC/DE/ DE X X X 02/21/02 HEALTH CARE REIT INC /DE/ DE X X 02/04/02 HEAVENEXPRESS COM INC FL X 02/22/02 HONDA AUTO RECEIVABLES 2001-1 OWNER T DE X X 01/31/02 HONDA AUTO RECEIVABLES 2001-2 OWNER T DE X X 01/31/02 HONDA AUTO RECEIVABLES 2001-3 OWNER T CA X X 01/31/02 HONDA AUTO RECEIVABLES 2002-1 OWNER T CA X X 01/31/02 HORTON D R INC /DE/ DE X X 02/21/02 IBIS TECHNOLOGY CORP MA X X 02/20/02 IEC ELECTRONICS CORP DE X 02/22/02 ILLINOIS SUPERCONDUCTOR CORPORATION DE X 02/15/02 INDIGINET INC/FL FL X X 03/31/02 IPCS INC DE X X 02/14/02 KEITH COMPANIES INC CA X X 02/14/02 LABORATORY CORP OF AMERICA HOLDINGS DE X X 02/22/02 LCA VISION INC DE X X 02/19/02 LEARN2 CORP DE X 02/21/02 LIGHTNING ROD SOFTWARE INC DE X X 02/14/02 LONGVIEW FIBRE CO WA X 02/21/02 MAF BANCORP INC DE X 02/22/02 MDU COMMUNICATIONS INTERNATIONAL INC DE X 02/14/02 METROPOLITAN EDISON CO PA X X 02/21/02 MONROE BANCORP IN X 02/22/01 MOODYS CORP /DE/ DE X X 02/10/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X X 12/25/01 NASDAQ STOCK MARKET INC DE X X 02/22/02 NATIONAL CITY CREDIT CARD MASTER TRUS X 02/15/02 NCO PORTFOLIO MANAGEMENT INC DE X X 02/12/02 NQL INC DE X X X X 02/15/02 NTL DELAWARE INC DE X X 02/21/02 NTL INC/DE/ DE X X 02/22/02 NUWAY ENERGY INC DE X 02/21/02 OAKWOOD MORTGAGE INVESTORS INC NV X X 02/20/02 OPTION ONE MORTGAGE LOAN TR 2002-1 AS DE X X X 02/20/02 OTG SOFTWARE INC DE X X 02/20/02 PALAL MINING CORP NV X X X 02/22/02 PENNSYLVANIA ELECTRIC CO PA X X 02/21/02 PNW CAPITAL INC DE X X 02/22/02 PRICE LEGACY CORP MD X X 02/21/02 PROSPERITY BANCSHARES INC TX X X 02/22/02 QCR HOLDINGS INC DE X 02/21/02 RENCO METALS INC DE X 02/14/02 RESTAURANT TEAMS INTERNATIONAL INC TX X X X 12/05/01 AMEND ROCKSHOX INC DE X X 02/19/02 SAFLINK CORP DE X X 02/12/02 SED INTERNATIONAL HOLDINGS INC DE X 02/21/02 AMEND SEMCO ENERGY INC MI X 02/22/02 SOLAR SATELLITE COMMUNICATION INC CO X 12/07/01 AMEND ST MARY LAND & EXPLORATION CO DE X X 02/19/02 STATIA TERMINALS GROUP NV P8 X X X X 02/22/02 STORAGE TECHNOLOGY CORP DE X 02/22/02 STRATEGIC DIAGNOSTICS INC/DE/ DE X X 02/21/02 SUSQUEHANNA MEDIA CO DE X X 02/22/02 TELIGENT INC DE X X 02/15/02 TESORO PETROLEUM CORP /NEW/ DE X X 02/21/02 THOMAS & BETTS CORP TN X 02/21/02 TIMKEN CO OH X 02/22/02 TIVO INC DE X 02/05/02 TOYMAX INTERNATIONAL INC DE X X 02/10/02 TRANS CENTURY RESOURCES INC DE X X X X 11/19/01 TRANSOCEAN SEDCO FOREX INC E9 X X 02/22/02 TRANSTECH INDUSTRIES INC DE X 02/20/02 TRW INC OH X X 02/22/02 UNICORP INC /NEW NV X 02/20/02 UNITED PARK CITY MINES CO DE X 02/22/02 URBAN IMPROVEMENT FUND LIMITED 1972 CA X 02/08/02 AMEND URBAN IMPROVEMENT FUND LTD 1973 CA X 02/08/03 AMEND URBAN IMPROVEMENT FUND LTD 1973 II CA X 02/08/02 AMEND URBAN IMPROVEMENT FUND LTD 1974 CA X 02/08/02 AMEND VCA ANTECH INC DE X X 02/21/02 VERTEL CORP CA X X 02/21/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 02/22/02 WASHINGTON MUTUAL MORTGAGE SECURITIES DE X X 02/22/02 WASHINGTON REAL ESTATE INVESTMENT TRU MD X X 02/21/02 WHY USA FINANCIAL GROUP INC NV X X 02/21/02 WINTRUST FINANCIAL CORP IL X X 02/22/02 XCEL ENERGY INC MN X 02/22/02