SEC NEWS DIGEST Issue 2002-99 May 22, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. OPEN MEETING - WEDNESDAY, MAY 29, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Wednesday, May 29, 2002, will be: 1. The Commission will consider whether to issue an order approving the application by Xcel Energy Inc. (Xcel Energy), a registered holding company under the Public Utility Holding Company Act of 1935, as amended, and its wholly owned subsidiary, NRG Acquisition Company, LLC, to acquire the outstanding publicly held stock of Xcel Energy's majority owned subsidiary, NRG Energy, Inc., by means of a tender or exchange offer and to engage in related transactions. The Commission will also consider whether to grant a hearing requested by an individual shareholder of Xcel Energy. 2. The Commission will consider whether to issue notices of two applications from Barclays Global Fund Advisors (Barclays) seeking certain exemptions from the Investment Company Act of 1940. One application seeks an order to permit Barclays to introduce exchange- traded funds based on fixed income securities indices. The other application seeks an order to allow the shares of the proposed exchange- traded funds, as well as the shares of exchange-traded funds advised by Barclays and based on equity securities indices, to be sold in the secondary market without prospectus delivery when not required by the Securities Act of 1933. 3. The Commission will consider a proposal by the options exchanges to amend the Options Intermarket Linkage Plan. The Commission also will consider proposing a repeal of Rule 11Ac1-7 under the Securities Exchange Act of 1934 and extending a temporary exemption for broker- dealers from the requirements of the rule. Rule 11Ac1-7 requires a broker-dealer to disclose to its customer when the customer's order for listed options is executed at a price inferior to a better published quote, and to disclose the better published quote available at that time, unless the broker-dealer effects the transaction on an exchange that participates in an approved linkage plan. 4. The Commission will consider whether to issue a release proposing for comment an amendment to paragraph (b)(3) of Rule 15c3-3. The provisions in this paragraph apply when broker-dealers borrow fully paid and excess margin securities from customers. The conditions for such borrowings include the requirement that broker-dealers provide customers with full collateral consisting of certain specified financial instruments or cash. The amendment would allow broker-dealers to pledge such other collateral as the Commission designates as permissible by order as necessary or appropriate in the public interest and consistent with the protection of investors after giving consideration to the collateral's liquidity, volatility, market depth and location, and the issuer's creditworthiness. 5. The Commission will consider whether to issue, jointly with the Commodity Futures Trading Commission, an order to permit certain foreign security index futures to continue to be treated as broad-based index futures. 6. The Commission will consider a release proposing amendments to Rule 10b- 10 under the Securities Exchange Act of 1934 ("Exchange Act") and new Exchange Act Rule 11d2-1, which are designed to clarify the disclosures broker-dealers effecting transactions in security futures products in customers' futures accounts must make in the confirmations sent to customers regarding those transactions. The Commission will also consider issuing an exemptive order providing that broker-dealers effecting transactions in security futures products in customers' futures accounts are exempted from the requirements of Exchange Act Rule 10b-10 and Exchange Act Section 11(d)(2) until the amendments to Exchange Act Rule 10b-10 and new Rule 11d2-1 become effective. CLOSED MEETING - THURSDAY, MAY 30, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Thursday, May 30, 2002, will be: Formal order of investigation; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings of an enforcement nature. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS TEMPORARY RESTRAINING ORDER, ASSETS FREEZES AND OTHER EMERGENCY RELIEF ORDERED IN FRAUDULENT SCHEME INVOLVING INVESTCO, INC. STOCK On May 20, the Commission obtained a Temporary Restraining Order (TRO) from the United States District Court for the Southern District of Florida, temporarily restraining Investco, Inc. (Investco), Joseph L. Lents (Lents), Brian E. Baginski (Baginski), Electronic Commerce Consultants, Inc. (ECC), Anthony V. Yonadi (Yonadi), and Southeast Capital Partners, Inc. (Southeast Capital) from violating the antifraud and registration provisions of the federal securities laws. The TRO also temporarily restrains First International Finance Corporation (FIFC) and Michael E. Zapetis (Zapetis) from violating the antifraud provisions of the federal securities laws. The Court also entered orders freezing the assets of Lents, Baginski, ECC, Yonadi and Southeast Capital, requiring Lents to repatriate assets, requiring the defendants to give an accounting, prohibiting document destruction and permitting expedited discovery. In its complaint, the Commission alleged that the defendants, from December 2001 through the filing of the complaint, engaged in a scheme to manipulate the price of Investco's common stock. Investco's stock was quoted on the OTC Bulletin Board until the Commission suspended trading on April 29, 2002. The complaint alleged that Investco, through Lents, issued false and misleading press releases about Investco's assets, operations and business combinations. The complaint alleged that Zapetis and FIFC aided and abetted the scheme by providing information about the fictitious business deals, including a supposed cash tender offer by FIFC, that Investco announced to the investing public. The complaint further alleged that, while Investco issued false press releases, Lents actively sold Investco stock and distributed it through others, including Baginski and ECC. The Commission alleged also that Baginski arranged with Yonadi to simulate demand for Investco stock by placing buy orders, through Southeast Capital, at prices above the quoted bid. According to the complaint, Lents, Baginski, ECC, Yonadi and Southeast Capital obtained ill-gotten gains from the manipulative scheme. In its complaint, apart from emergency relief, the Commission seeks preliminary and permanent injunctive relief, disgorgement, civil penalties, and an order barring Lents from serving as officer or director of a public company. [SEC v. Investco, Inc., Joseph L. Lents, First International Finance Corporation, Michael E. Zapetis, Brian E. Baginski, Electronic Commerce Consultants, Inc., Anthony V. Yonadi, and Southeast Capital Partners, Inc., USDC, SDFL, Civil Action No. 02-80466, Hurley, J.] (LR-17525) SEC FILES CHARGES IN CONNECTION WITH FRAUDULENT PAY TELEPHONE SCAMS On May 21, the Commission filed a securities fraud case in the United States District Court for the Northern District of Texas, Lubbock Division, charging two licensed insurance agents with selling unregistered securities and misleading investors in connection with two different pay telephone scams. According to the complaint, between November 1999 and May 2001, the defendants raised over $5 million by fraudulently offering and selling unregistered investment contracts in Phoenix Telecom, L.L.C. and Alpha Telcom, Inc., entities previously sued by the Commission for fraud. The defendants targeted their sales efforts at their elderly insurance clients and from the sales of these investment contracts, the defendants received over $750,000 in undisclosed commissions. In its complaint, the Commission charged the following defendants: * Dennis Watts, individually and d/b/a Senior Benefit Plans, of Lubbock, Texas; and * James Nathan Grimes, also of Lubbock, Texas. The SEC's complaint alleges that the defendants represented, among other things, that they offered safe, secure and risk free investments in pay telephone lease programs, that they had thoroughly investigated the companies offering the lease programs and that the companies were in good financial condition. These representations were made even though defendants knew that there were no audited financials and that the unaudited financials for the companies demonstrated that the companies were in poor financial condition. Additionally, while defendants were aware that several states had issued cease and desist orders against the issurers, they failed to disclose this information to their investors. And, remarkably, defendants continued to offer and sell investment contracts in Alpha Telcom that were virtually identical to those offered by Phoenix Telecom, even though Phoenix Telecom had failed. Despite the defendants' assurances that the investments were safe and risk free, in reality, both Phoenix Telecom and Alpha Telcom were operating huge nationwide "Ponzi" schemes. The Commission previously filed suit against Phoenix Telecom and Alpha Telcom, obtaining emergency injunctive relief against each issuer to halt their fraudulent securities offerings. The Commission's complaint charged Watts and Grimes directly or indirectly sold unregistered securities, in violation of Sections 5(a) and 5(c) of the Securities Act of 1933; and committed securities fraud in violation of Section 17(a) of the Securities Act of 1933 Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, the Commission's complaint charged each defendant with acting as an unregistered broker or dealer in violation of Section 15(a) of the Securities Exchange Act. In its Complaint, the Commission requested that the defendants be enjoined from future securities violations and be ordered to disgorge their illegal profits and pay civil money penalties. [SEC v. Dennis Watts, Individually and dba Senior Benefit Plans and Nathan James Grimes, USDC ND/TX, Civil Action No. 5-02CV-0109-C] (LR-17527) SEC OBTAINS EMERGENCY ORDERS SHUTTING DOWN STARCASH AND AMERICASH, TWO FRAUDULENT PAYDAY ADVANCE SCHEMES The Commission announced that on May 16 it filed two separate emergency federal civil actions seeking to halt two fraudulent securities offerings. The first action was filed against defendants Starcash, Inc., Infinity Consulting Services, Inc., Jean B. Leclercq, Kip Marsique and Frederick J. Shapiro (The Starcash defendants) and relief defendants Starcash Consulting, Inc., Starcash Industries, Inc. and Starcash Media, Inc. The Starcash defendants are headquartered in Boca Raton and Ft. Lauderdale. The second action was filed against defendants Americash- Inc.com, Inc., National Business Concepts, Inc. d/b/a Americash and Norman Benjamin (the Americash defendants) and relief defendant World Business Systems LLC, d/b/a World Business Systems, Inc. The Americash defendants are headquartered in Boca Raton. The SEC alleged that the defendants in both schemes were conducting a fraudulent unregistered offering to raise investor funds for the purported purpose of funding payday advances in the form of short term loans. On May 16, the Honorable Daniel Hurley, United States District Judge for the Southern District of Florida, entered, among other things, a temporary restraining order, a freeze of the defendants' assets and an appointment of a receiver in the Americash offering. (SEC v. Americash- Inc.com, Inc., et al., Case No. 02-80457-CIV-HURLEY). On May 17, 2002, the Honorable Donald Middlebrooks, United States District Judge for the Southern District of Florida entered identical relief against the defendants in Starcash. (SEC v. Starcash, Inc., et al., Case No. 02- 80456-CIV-MIDDLEBROOKS). The Commission alleged that the Americash defendants, through a boiler room, raised approximately $1.2 million from more than 45 investors to fund a purported business providing an instant short term cash advance (of up to $500) available up to two weeks before a person's payday. In raising money for this enterprise from investors, the Americash defendants falsely represented that the investment was low risk, that a 36% return was guaranteed and that all monies were lent out to Americash customers. According to the SEC complaint, Americash in fact operated as a Ponzi scheme, paying interest to existing investors with new investor monies, and spending investor funds on salaries, commissions, and expenses to operate its boiler room. With regard to Starcash, the Commission alleged that the Starcash defendants raised at least $6 million from investors through a network of boiler rooms to allegedly fund short-term payday loans. According to the SEC's complaint, the Starcash defendants falsely represented that investor funds would be used to fund advance payday loans, and that the investments were virtually risk free and were secured by the purported loans. In fact, Starcash paid exorbitant commissions to the boiler rooms from investor monies, and the loans were unsafe and grossly undersecured. In addition, Starcash has made baseless predictions to investors that its payday advance business could generate up to $80 million in revenue a year. The Commission's complaint charges both the Starcash and Americash defendants with violating the antifraud and registration provisions of the federal securities laws. Specifically, the Commission alleges that the defendants in both Starcash and Americash violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. The complaint against the Starcash defendants also alleges that they violated Section 15(a) of the Securities Exchange Act of 1934. In addition to the emergency relief described above, the complaint seeks permanent injunctions prohibiting future violations of the securities laws, disgorgement, and civil penalties. The SEC would like to extend its thanks to the FBI and the United States Attorney's Office for the Southern District of Florida as well as the Broward County Sheriff's office for their assistance in this matter. [SEC v. Starcash, Inc., Infinity Consulting Services, Inc., Jean B. Leclercq, Kip Marsique, Frederick J. Shapiro (Defendants) and Starcash Consulting, Inc., Starcash Industries, Inc., and Starcash Media, Inc. (Relief Defendants), Case No. 02-80456-CIV. MIDDLEBROOKS (S.D. Fla.)]; [SEC v. American-Inc.com, Inc., National Business Concepts, Inc. d/b/a Americash, Norman Benjamin (Defendants) and World Business Systems LLC d/b/a World Business Systems, Inc. (Relief Defendant), Case No. 02-80457- CIV-HURLEY (S.D. Fla.)] (LR-17526) SEC SUES MILLENNIUM FINANCIAL, LTD. FOR RUNNING AN INTERNATIONAL BOILER ROOM OPERATION; COURT ORDERS FREEZE OF MILLENNIUM'S ASSETS The Honorable Michael B. Mukasey of the Southern District of New York, in response to an emergency action filed today by the SEC, issued an Order temporarily restraining Millennium Financial, Ltd. from violating the antifraud provisions of the federal securities laws. The Court also ordered a freeze of Millennium's assets, an accounting of those assets and other emergency equitable relief. The Commission alleges that Millennium has been running an ongoing international boiler room operation that has defrauded at least 150 investors from over 20 countries out of more than $2 million. The Commission also sued Newpont Fiduciaries & Nominees, S.A. as a relief defendant, because Newpont received investor funds at the direction of Millennium. The Commission's Complaint alleges that Millennium made a number of fraudulent statements to investors in connection with the offer and sale of the so-called pre-initial public offering (or "pre-IPO") stocks of at least three U.S. companies -- Key Card Communications, Inc., kNutek Holdings, Inc. and Sonic Garden, Inc. The Complaint alleges that, through unsolicited telephone calls and mass mailings, Millennium made fraudulent statements concerning (i) whether and when a U.S. company was going to have an IPO; (ii) whether investors could profitably resell their pre-IPO shares before the IPO; (iii) the price at which the stock would be offered in the IPO itself; and (iv) the price at which the stock would trade shortly after the IPO. The Commission's Complaint specifically alleges, among other things, that: * In the case of Key Card, Millennium told potential investors that Key Card would have an IPO within a few months. In fact, Key Card did not have an IPO within the promised timeframe and has never had an IPO. * Millennium sold Key Card pre-IPO shares to investors for $5 per share. Millennium fraudulently told investors that they could profitably sell their pre-IPO shares before the IPO for between $7.50 and $10 per share. * Millennium further told investors that the stock would be offered in Key Card's IPO for at least $10 per share and that trading would soar to $50 per share in post-IPO trading - representing a 900 percent return relative to an original investment of $5 per share. These price predictions were baseless. * Millennium falsely claimed that it is an international financial consulting firm based in Uruguay, with offices in several foreign countries. In fact, Millennium does not have the offices it claims to have in those countries. It has also operated in Ireland without proper authorization from the Central Bank of Ireland. Documents filed in support of the Commission's Complaint further allege that Millennium has solicited investors on a worldwide basis. Investor funds have come from Australia, Belgium, Denmark, England, France, Germany, Greece, Guernsey, Indonesia, Ireland, Italy, Luxembourg, Malaysia, The Netherlands, New Zealand, Portugal, Saudi Arabia, Scotland, Singapore, Sri Lanka, Sweden, Switzerland, the United States, and the United Arab Emirates. The majority of the known investors are from the United Kingdom and Ireland. The Court's Order temporarily restrains Millennium from violating the antifraud provisions contained within Section 17(a) of the Securities Act of 1933, and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. In addition to the asset freeze, the Order also provides the Commission with other emergency equitable relief, including an order directing Millennium to repatriate to the U.S. all funds and assets that it obtained as a result of the activities alleged in the Complaint. The Commission's Complaint ultimately seeks a final judgment ordering permanent injunctive relief, disgorgement and monetary penalties. The Commission wishes to acknowledge the cooperation and assistance of the regulatory and law enforcement officials of several foreign jurisdictions in connection with this matter. In order to assist investors, the SEC has released an online brochure on pre-IPO fraud. Entitled "Risky Business: Pre-IPO Investing," the brochure advises investors about the consequences of investing at the pre-IPO stage and provides key questions investors should ask. The brochure is available at http://www.sec.gov/investor/pubs/preipo.htm. The Commission is continuing its investigation in this matter. [SEC v. Millennium Financial, Ltd., and Newpont Fiduciaries & Nominees, S.A., Civil Action No. 02 CV 3901 (MBM) (SDNY)] (LR-17528) CORRECTION Yesterday's News Digest item titled "SEC BRINGS FINANCIAL FRAUD CHARGES AGAINST EXECUTIVES AT THREE NORTHERN CALIFORNIA SOFTWARE COMPANIES" failed to include the following cite: [SEC v. David Malmstedt and Mark Huetteman, No. C022427 JW PVT] (LR-17524). SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGE The National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc. (Nasdaq), filed a proposed rule change (SR- NASD-2002-56) and Amendment No. 1 thereto under Rule 19b-4 of the Securities Exchange Act of 1934 establishing a uniform process for opening daily trading in SuperMontage. Publication of the proposal is expected in the Federal Register during the week of March 27. (Rel. 34- 45965) DELISTING GRANTED An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective May 22, 2002. (Rel. 34-45971) 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-3 CRITICARE SYSTEMS INC /DE/, 20925 CROSSROADS CIRCLE, WAUKESHA, WI, 53186, 4147988282 - 100,000 ($528,000.00) Equity, (File 333-88696 - May. 21) (BR. 36) S-8 CRITICARE SYSTEMS INC /DE/, 20925 CROSSROADS CIRCLE, WAUKESHA, WI, 53186, 4147988282 - 500,000 ($2,640,000.00) Equity, (File 333-88698 - May. 21) (BR. 36) S-8 IPC ACQUISITION CORP, 88 PINE ST., NEW YORK, NY, 10005, 2128259060 - 1,000,000 ($10,000,000.00) Equity, (File 333-88700 - May. 21) (BR. 37) S-8 SCIENTIFIC ENERGY INC, 630 NORTH 400 WEST, SALT LAKE CITY, UT, 83103, 801-359-2410 - 5,200,000 ($130,000.00) Equity, (File 333-88702 - May. 21) (BR. 09) S-3 QUICKLOGIC CORPORATION, 1277 ORLEANS DR, SUNNYVALE, CA, 94089-1138, 4089904000 - 0 ($12,307,360.00) Equity, (File 333-88706 - May. 21) (BR. 36) S-8 STEWART INFORMATION SERVICES CORP, 1980 POST OAK BLVD, HOUSTON, TX, 77056, 7136258100 - 0 ($5,745,000.00) Equity, (File 333-88708 - May. 21) (BR. 01) S-1 NPTEST INC, 150 BAYTECH DRIVE, SAN JOSE, CA, 95134, 4085868200 - 0 ($575,000,000.00) Equity, (File 333-88710 - May. 21) (BR. ) S-3 ST MARY LAND & EXPLORATION CO, 1776 LINCOLN ST STE 1100, DENVER, CO, 80203, 3038618140 - 0 ($100,000,000.00) Debt Convertible into Equity, (File 333-88712 - May. 21) (BR. 04) S-3 I MANY INC, 537 CONGRESS STREET, 5TH FLOOR, PORTLAND, ME, 04101, 2077743244 - 0 ($12,131,059.00) Equity, (File 333-88714 - May. 21) (BR. 05) S-8 GUILFORD PHARMACEUTICALS INC, 6611 TRIBUTARY ST, BALTIMORE, MD, 21224, 4106316300 - 0 ($2,010,000.00) Equity, (File 333-88716 - May. 21) (BR. 01) S-3 MACERICH CO, 401 WILSHIRE BLVD, STE 700, SANTA MONICA, CA, 90401, 3103946000 - 0 ($769,692,792.00) Equity, (File 333-88718 - May. 21) (BR. 08) S-3 BOSTON LIFE SCIENCES INC /DE, 137 NEWBURY STREET, 8TH FLOOR, BOSTON, MA, 02116, 6174250200 - 0 ($3,693,726.00) Equity, (File 333-88726 - May. 21) (BR. 01) S-8 TIBCO SOFTWARE INC, 3165 PORTER DRIVE, PALO ALTO, CA, 94304, 6508465000 - 0 ($3,489,713.00) Equity, (File 333-88730 - May. 21) (BR. 03) S-8 TELLIUM INC, 2 CRESCENT PLACE, OCEANPORT, NJ, 07757, 0 ($6,800,000.00) Equity, (File 333-88732 - May. 21) (BR. 37) S-3 RAINDANCE COMMUNICATIONS INC, 1157 CENTURY DR, LOUISVILLE, CO, 80027, 8008787326 - 0 ($1,187,235.00) Equity, (File 333-88734 - May. 21) (BR. 37) S-8 UGOMEDIA INTERACTIVE CORP, 3400 W DESERT INN RD ST 13, LAS VEGAS, NV, 89102, 7028763004 - 500,000 ($140,000.00) Equity, (File 333-88736 - May. 21) (BR. 03) S-8 PRECISE LIFE SCIENCES LTD, 1239 W GEORGIA ST #3004, VANCOUVER, B C V6E 4R8, CA, 92024, 6046640499 - 4,297,213 ($601,609.82) Equity, (File 333-88740 - May. 21) (BR. 04) S-4 WOLVERINE TUBE INC, 200 CLINTON AVENUE WEST STE 1000, HUNTSVILLE, AL, 35806, 2568900460 - 0 ($120,000,000.00) Non-Convertible Debt, (File 333-88742 - May. 21) (BR. 06) S-8 ALMOST FAMILY INC, 100 MALLARD CREEK RD, STE 400, LOUISVILLE, KY, 40207, 5028995355 - 500,000 ($4,563,621.00) Equity, (File 333-88744 - May. 21) (BR. 01) S-8 ADVANCED FIBRE COMMUNICATIONS INC, 1465 MCDOWELL BLVD NORTH, PETALUMA, CA, 94954, 7077947700 - 3,694,597 ($47,088,227.00) Equity, (File 333-88746 - May. 21) (BR. 37) S-8 SVT INC, 59 JOHN ST, 3RD FL, NEW YORK, NY, 10038, 2126716904 - 1,000,000 ($250,000.00) Equity, (File 333-88750 - May. 21) (BR. 08) S-8 LIBBEY INC, 300 MADISON AVE, PO BOX 10060, TOLEDO, OH, 43604, 4193252100 - 450,000 ($16,677,000.00) Equity, (File 333-88752 - May. 21) (BR. 06) S-8 RAVEN MOON INTERNATIONAL INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 8,500,000 ($255,000.00) Other, (File 333-88754 - May. 21) (BR. 05) S-8 RAVEN MOON INTERNATIONAL INC, 120 INTERNATIONAL PARKWAY, SUITE 220, HEATHROW, FL, 32746, 342,000 ($10,260.00) Other, (File 333-88756 - May. 21) (BR. 05) S-3 KRISPY KREME DOUGHNUTS INC, 370 KNOLLWOOD ST., SUITE 500, WINSTON SALEM, NC, 27103, 3367222981 - 0 ($5,827,715.72) Equity, (File 333-88758 - May. 21) (BR. 05) S-8 BORLAND SOFTWARE CORP, 100 ENTERPRISE WAY, SCOTTS VALLEY, CA, 95066-3249, 8314311000 - 2,500,000 ($2,224.10) Equity, 900,000 ($800.68) Other, (File 333-88760 - May. 21) (BR. 03) S-3 HARTFORD FINANCIAL SERVICES GROUP INC/DE, HARTFORD PLZ, HARTFORD, CT, 06115, 8605475000 - 0 ($1,500,000,000.00) Other, (File 333-88762 - May. 21) (BR. 01) S-8 CYTYC CORP, 237 CEDAR HILL ST, MARLBOROUGH, MA, 01752, 5082638000 - 0 ($119,097,720.65) Equity, (File 333-88764 - May. 21) (BR. 36) S-8 UNITED ONLINE INC, 2555 TOWNGATE ROAD, WESTLAKE VILLAGE, CA, 91361, 0 ($26,349,493.76) Equity, (File 333-88766 - May. 21) (BR. 03) S-8 TIBCO SOFTWARE INC, 3165 PORTER DRIVE, PALO ALTO, CA, 94304, 6508465000 - 0 ($46,536,750.00) Equity, (File 333-88770 - May. 21) (BR. 03) S-8 NEW WORLD BRANDS INC, 2797 OCEAN PARKWAY, BROOKLYN, NY, 11235, 7187696042 - 15,000 ($3,750.00) Equity, (File 333-88772 - May. 21) (BR. 01) S-8 BRIO SOFTWARE INC, 4980 GREAT AMERICA PARKWAY, SANTA CLARA, CA, 95054, 4084967400 - 0 ($2,750,000.00) Equity, (File 333-88774 - May. 21) (BR. 03) S-4 ANTHEM INC, 120 MONUMENT CIRCLE, INDIANAPOLIS, IN, 46204, 3174886000 - 0 ($2,632,895,497.00) Equity, (File 333-88776 - May. 21) (BR. 01) S-4 JAKKS PACIFIC INC, 22761 PACIFIC COAST HWY, #B202, MALIBU, CA, 90265, 3104567799 - 0 ($446,419.00) Equity, (File 333-88778 - May. 21) (BR. 05) 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 ------------------------------------------------------------------------------------ ACCEPTANCE INSURANCE COMPANIES INC DE X 05/21/02 ACCRUE SOFTWARE INC DE X X 05/20/02 ADVANCED BIOTHERAPY INC NV X X 05/21/02 ADVANCED ENERGY INDUSTRIES INC DE X X 05/17/02 AEROFLEX INC DE X X 05/20/02 ALBERTSONS INC /DE/ DE X 08/01/02 ALLION HEALTHCARE INC DE X X 05/16/02 APPLIED DIGITAL SOLUTIONS INC MO X X 05/14/02 AQUILA INC DE X X 05/21/02 ARTESCOPE INC X X 05/21/02 ATCHISON CASTING CORP KS X X 05/15/02 ATWOOD OCEANICS INC TX X X 05/21/02 AZURIX CORP DE X X 04/01/02 AMEND BANC ONE HELOC 1999-1 OH X X 05/20/02 BANC ONE HELOC TRUST 1998-1 OH X X 05/20/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X X 05/21/02 BAY VIEW SECURITIZATION CORP DE X 05/15/02 BEECHPORT CAPITAL CORP CO X X 02/05/02 BICO INC/PA PA X 05/16/02 CHARMING SHOPPES INC PA X 05/20/02 CHART HOUSE ENTERPRISES INC DE X X 05/20/02 CINTAS CORP WA X X X 05/13/02 CIRCUIT CITY CREDIT CARD MASTER TRUST DE X X 05/21/02 CITICORP MORTGAGE SECURITIES INC DE X X 05/21/02 COLLINS & AIKMAN CORP DE X X 12/31/01 COMMUNITY BANCORP INC /MA/ MA X 05/21/02 COVEST BANCSHARES INC DE X X 05/21/02 CYBERIA HOLDINGS INC DE X X 05/17/02 CYBERNET INTERNET SERVICES INTERNATIO DE X 05/16/02 CYTOMEDIX INC DE X X 05/20/02 DEUTSCHE RECREATIONAL ASSET FUNDING C NV X X 04/30/02 DISTRIBUTION FINANCIAL SERVICES MARIN NY X X 04/30/02 DISTRIBUTION FINANCIAL SERVICES RV MA NV X X 04/30/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 04/30/02 DISTRIBUTION FINANCIAL SERVICES RV TR NY X X 04/30/02 DOCENT INC DE X X 05/17/02 DONNELLY CORP MI X 05/17/02 DURA AUTOMOTIVE SYSTEMS INC DE X X 05/21/02 DVI RECEIVABLES CORP DE X 04/30/02 DVI RECEIVABLES CORP VIII DE X 04/30/02 EDAC TECHNOLOGIES CORP WI X 05/16/02 EMAGIN CORP NV X X 05/20/02 ENGAGE INC DE X X 05/21/02 ENTERTAINMENT PROPERTIES TRUST MD X 03/15/02 AMEND EQUITYALERT COM INC NV X 06/30/02 FIRST INVESTORS FINANCIAL SERVICES GR TX X X 05/13/02 AMEND FIRST 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