SEC NEWS DIGEST Issue 2002-75 April 18, 2002 COMMISSION ANNOUNCEMENT REPORT ON ADMINISTRATIVE PROCEEDINGS ISSUED A Report on Administrative Proceedings for the Period October 1, 2001 through March 31, 2002 has been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The reports, issued each October and April, are published in the SEC Docket and appear on the Commission's website. (Rel. 34-45768) RULES AND RELATED MATTERS AMENDMENT TO DEFINITION OF "EQUITY SECURITY" The Commission has adopted, with a comment period, an amendment to the definition of "equity security" in rules under the Securities Act of 1933 and the Securities Exchange Act of 1934 to include a security future. The amendment conforms the definitions to the statutory changes made by the Commodity Futures Modernization Act of 2000 to the definition of "security" in the Securities Act, and the definition of "equity security" in the Exchange Act with respect to security futures. (Rels. 33-8091; 34-45769) ENFORCEMENT PROCEEDINGS SEC INSTITUTES ADMINISTRATIVE PROCEEDING AGAINST H. DALTON DAVLIN AND ISSUES ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS On April 18, the Commission issued an Order Instituting Public Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings And Imposing Remedial Sanctions (Order) against H. Dalton Davlin (Davlin) of Annapolis, Maryland. The Order directed that Davlin be barred from association with any broker or dealer. In the Order, the Commission finds that it previously filed a civil injunctive action entitled SEC v. James A. Nies, Jeffrey Dene Leader and Harold Dalton Davlin, Civil Action No. 3:00-CV-465-MU (W.D.N.C.). An order permanently enjoining Davlin from aiding and abetting violations of Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder was entered on November 1, 2001. The Order of Permanent Injunction and Other Relief directed Davlin to pay disgorgement in the amount $17,072 plus prejudgment interest thereon, but waived prejudgment interest and did not impose a civil penalty, based upon Davlin's demonstrated inability to pay in excess of $17,072. Davlin consented to the entry of the Order of Permanent Injunction without admitting or denying the allegations contained in the Commission's complaint. Davlin had tendered an Offer of Settlement in which he admitted the jurisdiction of the Commission over him, and further admitted the allegations contained in the Order. The Commission accepted his Offer of Settlement. (Rel. 34-45776; File No. 3-10758) COMMISSION IMPOSES INVESTMENT ADVISER BAR ON JAMES OH The Commission instituted an administrative proceeding pursuant to Section 203(f) of the Investment Advisers Act against James Oh, a portfolio manager formerly associated with two investment advisers in Portland, Oregon. Simultaneous with the institution of the proceeding, Oh submitted an Offer of Settlement in which, while neither admitting nor denying the Commission's findings, he consented to the entry of an Order barring him from association with any investment adviser. The Order was based on the entry of a permanent injunction in a civil action against Oh. The Complaint filed in that action alleges that from April 1999 through January 2000, Oh misappropriated $500,000 of client funds by telling clients about purported investment opportunities and then directing the clients to forward funds to him by check or wire for the investment. The Complaint also alleges that Oh did not invest the funds on his clients' behalf; rather, he commingled the client funds with his personal funds and used the misappropriated funds for personal expenses. The Commission wishes to thank the State of Oregon Department of Consumer and Business Services, Division of Finance and Corporate Securities and the State of Washington Department of Financial Institutions, Securities Division for their assistance in this matter. (Rel. IA-2029; File No. 3-10759) SEC SUES PROMOTER OF MULTIMILLION-DOLLAR, PRIME BANK FRAUD The Commission announced that it filed a civil injunctive action on March 27, 2002, in United States District Court for the Western District of North Carolina against defendant Frederick J. Gilliland and relief defendant MM ACMC Banque de Commerce, Inc. (MBC). The Commission's complaint alleges Gilliland, a Canadian citizen who resided in Florida at the time, promoted a multimillion-dollar, prime bank securities fraud raising more than $20 million from at least 200 investors in the United States, Canada and the United Kingdom. The complaint also charges that relief defendant MBC was unjustly enriched by the receipt of $20 million of the ill-gotten gains Gilliland raised through his fraudulent schemes and seeks disgorgement of those funds from MBC. The Commission's complaint alleges that Gilliland told investors that their money would be used to purchase and trade discounted financial instruments issued by purported prime banks, a term referring to the Top 250 or "Prime" world banks, in a clandestine overseas market to generate huge returns for the investor. The secret trading market Gilliland described to investors does not exist. Further, the complaint alleges that in order to induce people to invest in these fraudulent trading programs, Gilliland made material misrepresentations and omissions of fact to investors concerning, among other things, the existence of the trading programs, unreasonable claims of expected profits from the programs, and the purported safe, risk-free nature of the programs. For example, the complaint alleges that Gilliland led investors to expect profits of between 30% per month to 130% per ten days in purported trading programs where the investments were purportedly fully secured by U.S. Treasury bills. The Commission's complaint charges Gilliland with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder. The Commission would like to acknowledge the assistance of the United States Attorney's Offices for the Western District of North Carolina and for the Northern District of Florida, the Internal Revenue Service (Criminal Investigation), and the Federal Bureau of Investigation in this matter. Additional information on how prime bank and other banking-related investment schemes work can be found at the SEC's Prime Bank Fraud Information Center (http://www.sec.gov/divisions/enforce/primebank.shtml) in the Enforcement Section of the SEC Web site. [SEC V. FREDERICK J. GILLILAND, Defendant, AND MM ACMC BANQUE DE COMMERCE, INC., Relief Defendant, Civil Action No. 3:02CV128-H (W.D. N.C.)] (LR-17474) SEC SETTLEMENT BARS MINNESOTA FINANCIER GEORGE KLINE FROM SERVING AS PUBLIC COMPANY OFFICER OR DIRECTOR The Commission today filed and settled insider trading charges against investor George Kline in connection with an elaborate insider trading scheme involving the stock of several companies where Kline was a board member. The settlement permanently bars Kline from future service as an officer or director for any publicly traded company. The SEC also filed and settled insider trading charges against Kline's two sons, Erich and Chris Kline, for their roles in the multi-million dollar scheme, which was carried out over the past several years. Separately, all three were sentenced earlier today after pleading guilty last July to criminal charges filed by the U.S. Attorney's Office in Minneapolis. "The cooperation between the SEC and the U.S. Attorney's office demonstrates the government's resolve to clamp down on insider trading abuses by corporate directors," said Mary Keefe, SEC Midwest Regional Director. Keefe congratulated the Minnesota U.S. Attorney's Office for its "impressive work in bringing a speedy end to a large and complex scheme." An SEC attorney had been assigned as a Special Assistant U.S. Attorney to assist the prosecution of the criminal case. The SEC complaint alleges that in recent years, as a board member for several Minneapolis and St. Paul area companies, George Kline had access to material non-public information that he used as the basis for his trades involving those companies' stock. The complaint also alleges that Kline failed to report those trades as required and engaged in illegal short sales. The SEC complaint further charges that his sons helped conceal Kline's trading activity and made trades for their own benefit using the same inside information from their father. Without admitting or denying the SEC's allegations, George Kline consented to be barred from future service as an officer or director of a public company. He was also enjoined from further violations of federal securities laws. Similarly, Erich and Chris Kline also consented to be enjoined from further violation of federal securities laws without admitting or denying the charges in the SEC complaint. The SEC charges were filed in the U.S. District Court in Minneapolis. The SEC did not seek disgorgement and penalties as they were provided for in the criminal case. Under terms of the plea agreements between the Klines and the U.S. Attorney's Office, George Kline will pay approximately $5 million, Erich Kline approximately $450,000, and Chris Kline approximately $475,000 in restitution and penalties. George Kline consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violating Sections 10(b), 16(a) and 16(c) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 16a-3 thereunder, and to an officer and director bar pursuant to Section 21(d)(2) of the Exchange Act. Erich Kline consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violating Sections 10(b), 16(a) and 16(c) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. Chris Kline consented, without admitting or denying the allegations in the complaint, to the entry of an order of permanent injunction enjoining him from violating Sections 10(b), 16(a) and 16(c) of the Exchange Act and Rules 10b-5 and 16a-3 thereunder. [SEC v. George Kline, Erich Kline and Christian Kline, USDC for the District of Minnesota 02-CV-817 (Doty)] (LR-17475) SEC AWARDS $29,000 AS BOUNTY IN INSIDER TRADING CASE The Commission today announced the award of a $29,000 bounty to John L. Skipper of Lincoln City, Oregon, who provided information and testimony leading to the imposition and collection of civil penalties in this litigation. Mr. Skipper, a former officer of Assix International, Inc., the predecessor to Excal Enterprises, Inc., notified the Commission of possible financial fraud at Assix and possible insider trading by individuals aware of the fraud. In addition to bringing this matter to the Commission's attention, he provided investigative testimony and a deposition in the litigation. The case was settled as to all defendants, who consented to the entry of injunctions and orders requiring the payment of penalties totaling $290,795 (as well as the payment of disgorgement and prejudgment interest totaling an additional $220,266). Section 21A(e) of the Securities Exchange Act of 1934 authorizes the Commission, in its discretion, to award a bounty to a person who provides information leading to recovery of a civil penalty from an insider trader, a person who "tipped" information to an insider trader, or a person who directly or indirectly controls an insider trader. The bounty may be in an amount up to 10% of the civil penalty actually recovered in the Commission's action. Additional information about insider trading bounties and applications for payment of a bounty is available on the Commission's Internet site at http://www.sec.gov. [SEC v. Excal Enterprises, Inc., et al., Civil Action No. 95-1583-CIV-T-23B (M.D. Fla.)] (LR-17476) INVESTMENT COMPANY ACT RELEASES NATIONWIDE LIFE INSURANCE COMPANY, ET AL. An order has been issued on an application filed by Nationwide Life Insurance Company, et al. exempting applicants from Sections 12(d)(1)(A) and (B) of the Investment Company Act and from Section 17(a) of the Act. The order permits certain registered open-end management investment companies to acquire shares of registered open-end management investment companies and registered unit investment trusts both within and outside the same group of investment companies. (Rel. IC-25528 - April 16) HOLDING COMPANY ACT RELEASES PROGRESS ENERGY, INC., ET AL. A supplemental order has been issued authorizing a tax allocation agreement between Progress Energy, Inc. (Progress Energy), a registered holding company, and its direct and indirect subsidiaries, including Carolina Power & Light Company, North Carolina Natural Gas Corporation, Florida Power Corporation, all public-utility company subsidiaries of Progress Energy, Progress Energy Service Company LLC, the service company subsidiary of Progress Energy, and Florida Progress Corporation, an exempt holding company subsidiary of Progress Energy. (Rel. 35- 27522) SELF-REGULATORY ORGANIZATIONS ORDER APPROVING PROPOSED RULE CHANGE AND AMENDMENT NOS. 1, 2, 3, AND 4 TO PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-NASD-00-82) and Amendment Nos. 1, 2, 3, and 4 thereto submitted by the National Association of Securities Dealers pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the assessment of fees for Unit Investment Trusts included in Nasdaq's Mutual Fund Quotation Service. Publication of the order is expected in the Federal Register during the week of April 22. (Rel. 34-45760) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the National Association of Securities Dealers to extend the Pilot for the operation of the short sale rule in a decimals environment (SR-NASD-2002-53) 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 April 22. (Rel. 34-45761) A proposed rule change filed by the National Association of Securities Dealers to extend the Pilot for Limit Order Protection of securities priced in decimals (SR-NASD-2002-54) 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 April 22. (Rel. 34-45762) A proposed rule change filed by the American Stock Exchange to establish examination fees for member firms for which the Amex is the Designated Examining Authority (SR-Amex-2002-10) 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 April 22. (Rel. 34-45764) A proposed rule change filed by the International Securities Exchange to establish a $.10 surcharge for non-customer transactions in options on Nasdaq Biotech Indexr iShares (SR-ISE-2002-10) has become immediately 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 April 22. (Rel. 34-45765) APPROVAL OF PROPOSED RULE CHANGE The Commission issued an order granting approval of a proposed rule change (SR-CHX-2001-26) by the Chicago Stock Exchange pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The proposed rule change relates to automatic and manual execution procedures on the CHX's Midwest Automated Execution (MAX) System. Publication of the notice in the Federal Register is expected during the week of April 22. (Rel. 34-45770) DELISTING GRANTED An order has been issued granting the application of the American Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, of Voicenet, Inc., effective at the opening of business on April 17, 2002. (Rel. 34-45766) WITHDRAWALS GRANTED An order has been issued granting the application of Local Financial Corporation, to withdraw its 11% Senior Notes from listing and registration on the American Stock Exchange, effective at the opening of business on April 18, 2002. (Rel. 34- 45771) An order has been issued granting the application of Bankers Trust Corporation and BT Alex. Brown Holdings Incorporated, to withdraw its 7 5/8% Senior Notes (due 2005) from listing and registration on the New York Stock Exchange, effective at the opening of business on April 18, 2002. (Rel. 34-45775) 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 MOMENTUM HOLDINGS CORP, 36 WEST 25TH ST SECOND FL, NEW YORK, NY, 10010, 3034943000 - 5,000,000 ($55,000.00) Equity, (File 333-86364 - Apr. 17) (BR. 09) SB-2 LEBLANC PETROLEUM INC, 4213 N TABOR STREET, MESA, AZ, 82515, 4808320094 - 9,500,000 ($950,000.00) Other, (File 333-86368 - Apr. 17) (BR. 09) S-1 INTERPOOL INC, 211 COLLEGE RD E, PRINCTON, NJ, 08540, 6094528900 - 1,422,894 ($31,467,850.00) Debt Convertible into Equity, (File 333-86370 - Apr. 17) (BR. 06) S-3 PUBLIC SERVICE ENTERPRISE GROUP INC, 80 PARK PLAZA, P.O. BOX 1171, NEWARK, NJ, 07101-1171, 973-430-7000 - 1 ($1,500,000.00) Unallocated (Universal) Shelf, (File 333-86372 - Apr. 17) (BR. 02) S-8 SABRE HOLDINGS CORP, 4255 AMON CARTER BLVD, FORT WORTH, TX, 76155, 8179636400 - 0 ($205,139,919.32) Equity, (File 333-86376 - Apr. 17) (BR. 03) S-3 HEWLETT PACKARD CO, 3000 HANOVER ST, PALO ALTO, CA, 94304, 4158571501 - 0 ($656,824,760.00) Equity, (File 333-86378 - Apr. 17) (BR. 03) S-8 TS&B HOLDINGS INC, 10 GUNNEBA DR, LONOKE, AR, 72086, 5016762994 - 5,000,000 ($850,000.00) Equity, (File 333-86380 - Apr. 17) (BR. 09) S-8 ATR SEARCH CORP, 29 E 31ST STREET, 2ND FLOOR, NEW YORK, NY, 10016, 2127256150 - 500,000 ($40,000.00) Equity, (File 333-86386 - Apr. 17) (BR. 09) S-8 ALD SERVICES INC, 30 SEMBRADO, RANCHO STA MARGARITA, CA, 92688, 9494591220 - 25,000 ($136,250.00) Equity, (File 333-86388 - Apr. 17) (BR. 09) S-1 COSI INC, COSI INC, 242 WEST 38TH STREET, NEW YORK, NY, 10018, 2126531600 - 0 ($60,000,000.00) Equity, (File 333-86390 - Apr. 17) (BR. 05) S-1 MERCK MEDCO MANAGED CARE LLC, 100 PARSONS POND DR, FRANKLIN LAKES, NJ, 07417, 2012693400 - 0 ($1,000,000,000.00) Equity, (File 333-86392 - Apr. 17) (BR. 01) S-3 COLLINS & AIKMAN CORP, 5755 NEW KING CT, TROY, MI, 48098, 2488242500 - 0 ($1,000,000,000.00) Other, (File 333-86394 - Apr. 17) (BR. 02) S-4 COLLINS & AIKMAN CORP, 5755 NEW KING CT, TROY, MI, 48098, 2488242500 - 0 ($500,000,000.00) Other, (File 333-86396 - Apr. 17) (BR. 02) S-8 BICO INC/PA, 2275 SWALLOW HILL ROAD, PITTSBURGH, PA, 15220, 4124290673 - 0 ($1,430,000.00) Equity, (File 333-86398 - Apr. 17) (BR. 02) S-8 E REX INC, 11645 BISCAYNE BLVD, STE 210, MIAMI, FL, 33181, 2065212090 - 11,800,000 ($98,400.00) Equity, (File 333-86400 - Apr. 17) (BR. 09) S-11 OWENS MORTGAGE INVESTMENT FUND, 2221 OLYMPIC BLVD, P O BOX 2308, WALNUT CREEK, CA, 94595, 9252805393 - 0 ($50,000.00) Limited Partnership Interests, (File 333-86402 - Apr. 17) (BR. 08) S-1 MERCK MEDCO MANAGED CARE LLC, 100 PARSONS POND DR, FRANKLIN LAKES, NJ, 07417, 2012693400 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-86404 - Apr. 17) (BR. 01) S-8 GAMECOM INC, 440 NORTH CENTER, ARLINGTON, TX, 76011, 8172650440 - 825,000 ($222,750.00) Other, (File 333-86406 - Apr. 17) (BR. 08) S-3 VERSICOR INC /CA, 34790 ARDENTECH COURT, 510-739-3000, FREMONT, CA, 94555, 0 ($49,158,196.00) Equity, (File 333-86408 - Apr. 17) (BR. 01) S-8 NORSTAN INC, 5101 SHADY OAK ROAD, MINNETONKA, MN, 55343, 6123524000 - 0 ($7,810,000.00) Equity, (File 333-86410 - Apr. 17) (BR. 37) S-8 TELKONET INC, 670 RITCHIE HIGHWAY, 2ND FLOOR, SEVERNA PARK, MD, 21146, 8012628844 - 4,000,000 ($4,126,348.00) Equity, (File 333-86412 - Apr. 17) (BR. 09) N-2 TRI CONTINENTAL CORP, 100 PARK AVE, 7TH FLOOR, NEW YORK, NY, 10017, 2128501864 - 1,000,000 ($18,680,000.00) Equity, (File 333-86414 - Apr. 17) (BR. 22) SB-2 GREENGATE CORP, 3070 BRISTOL ST, STE 450, COSTA MESA, CA, 92626, 7144292900 - 0 ($750,000.00) Equity, (File 333-86416 - Apr. 17) (BR. 09) S-8 NORTHERN TRUST CORP, 50 S LASALLE ST, CHICAGO, IL, 60675, 3126306000 - 7,500,000 ($426,975,000.00) Equity, (File 333-86418 - Apr. 17) (BR. 07) S-8 FINX GROUP INC, 249 NORTH SAW MILL RIVER ROAD, ELMSFORD, NY, 10523, 9145925930 - 6,850,000 ($205,500.00) Equity, (File 333-86420 - Apr. 17) (BR. 03) S-3 CONSECO FINANCE CORP, 1100 LANDMARK TOWERS, 345 ST PETER ST, SAINT PAUL, MN, 55102-1639, 6512933400 - 0 ($3,000,000,000.00) Mortgage Backed Securities, (File 333-86422 - Apr. 17) (BR. 05) S-1 CHYRON CORP, 5 HUB DR, MELVILLE, NY, 11747, 5168452000 - 10,807,424 ($4,647,192.32) Equity, (File 333-86424 - Apr. 17) (BR. 36) S-8 TARANTELLA INC, 425 ENCINAL STREET, PO BOX 1900, SANTA CRUZ, CA, 95061, 4084277172 - 0 ($95,625.00) Equity, (File 333-86426 - Apr. 17) (BR. 03) S-3 CONSECO FINANCE CORP, 1100 LANDMARK TOWERS, 345 ST PETER ST, SAINT PAUL, MN, 55102-1639, 6512933400 - 0 ($3,000,000,000.00) Mortgage Backed Securities, (File 333-86430 - Apr. 17) (BR. 05) S-3 MED-DESIGN CORP, 2810 BUNSEN AVE, VENTURA, CA, 93003, 8053390375 - 1,366,260 ($18,758,765.00) Equity, (File 333-86432 - Apr. 17) (BR. 36) S-3 PROQUEST CO, 300 NORTH ZEEB ROAD, ANN ARBOR, MI, 48103-1553, 7347614700 - 0 ($230,787,750.00) Equity, (File 333-86434 - Apr. 17) (BR. 05) S-8 LOOKSMART LTD, 625 SECOND STREET, SAN FRANCISCO, CA, 94107, 4153487000 - 295,921 ($973,580.09) Equity, (File 333-86436 - Apr. 17) (BR. 03) S-3 P COM INC, 3175 S WINCHESTER BLVD, CAMPBELL, CA, 95008, 4088663666 - 0 ($541,139.19) Equity, (File 333-86438 - Apr. 17) (BR. 37) S-3 HYPERCOM CORP, 2851 W KATHLEEN RD, PHOENIX, AZ, 85023, 6025045000 - 7,870,000 ($48,479,200.00) Equity, (File 333-86440 - Apr. 17) (BR. 03) S-8 UNITY HOLDINGS INC, 19 SOUTH PUBLIC SQUARE SUITE 103, CARTERSVILLE, GA, 30120, 7706060555 - 10,000 ($150,000.00) Equity, (File 333-86442 - Apr. 17) (BR. 07) S-8 JETBLUE AIRWAYS CORP, 80-02 KEW GARDENS ROAD, 4TH FLOOR, KEW GARDENS, NY, 11415, 7182867900 - 0 ($340,320,460.40) Equity, (File 333-86444 - Apr. 17) (BR. 05) S-3 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 3,000,000 ($74,250,000.00) Equity, (File 333-86448 - Apr. 17) (BR. 06) S-3 STONE ENERGY CORP, 625 E KALISTE SALOOM RD, LAFAYETTE, LA, 70508, 3182370410 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-86450 - Apr. 17) (BR. 04) S-8 TIMKEN CO, 1835 DUEBER AVE SW, CANTON, OH, 44706-2798, 3304713078 - 2,900,000 ($71,775,000.00) Equity, (File 333-86452 - Apr. 17) (BR. 06) S-4 HOWTEK INC, 21 PARK AVE, HUDSON, NH, 03051, 6038825200 - 10,400,000 ($27,733.31) Equity, (File 333-86454 - Apr. 17) (BR. 03) S-4 XEROX CORP, 800 LONG RIDGE RD, P O BOX 1600, STAMFORD, CT, 06904-1600, 2039683000 - 600,000,000 ($600,000,000.00) Non-Convertible Debt, (File 333-86456 - Apr. 17) (BR. 03) S-8 SPRINT CORP, 2330 SHAWNEE MISSION PKWY, WESTWOOD, KS, 66205, 9136243000 - 6,200,000 ($85,746,000.00) Equity, (File 333-86458 - Apr. 17) (BR. 37) 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 ------------------------------------------------------------------------------------ A B WATLEY GROUP INC DE X X 04/12/02 ACTIVE IQ TECHNOLOGIES INC CO X X X X 04/30/01 AMEND ACTIVE IQ TECHNOLOGIES INC CO X X 06/06/01 AMEND ACTIVE IQ TECHNOLOGIES INC CO X X 09/18/01 AMEND ADVANCED MEDICAL TECHNOLOGIES INC/CAN NV X X 04/05/02 ALLEGHENY TECHNOLOGIES INC DE X X 04/17/02 ANCHOR GLASS CONTAINER CORP /NEW DE X X 04/15/02 APTIMUS INC WA X X 04/17/02 ATLAS MINERALS INC CO X 04/17/02 AZURIX CORP DE X X 04/01/02 AMEND BANK OF NEW YORK CO INC NY X X 03/31/02 BANK ONE CORP DE X X 04/16/02 BAY STATE BANCORP INC DE X X 04/15/02 BERKLEY W R CORP DE X X 04/10/02 BIO IMAGING TECHNOLOGIES INC DE X X 04/15/02 BLACKHAWK BANCORP INC WI X 04/05/02 BRE PROPERTIES INC /MD/ MD X X 04/15/02 CAGLES INC GA X 12/29/01 AMEND CAPITAL ONE AUTO FINANCE TRUST 2002-A DE X X 04/15/02 CENTERSTATE BANKS OF FLORIDA INC FL X X 04/16/02 CHAMPION ENTERPRISES INC MI X 04/17/02 CHAMPION ENTERPRISES INC MI X 04/17/02 CITICORP DE X 04/15/02 CITY NATIONAL CORP DE X X 04/16/02 COLLINS & AIKMAN CORP DE X 12/31/01 COLONIAL BANCGROUP INC DE X 04/16/02 COMMUNITY BANK SHARES OF INDIANA INC IN X 04/17/02 CONSECO FINANCE SECURITIZATIONS CORP DE X 04/16/02 COOPER COMPANIES INC DE X X 04/15/02 CORE LABORATORIES N V P7 X X 04/16/02 CORECOMM HOLDCO INC DE X X 04/17/02 CORECOMM LTD /DE/ DE X X 04/17/02 CPS AUTO RECEIVABLES TRUST 1998-4 CA X 03/31/02 CREDIT SUISSE FIRST BOSTON MORT ACCEP DE X X 03/25/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 03/28/02 CYBERONICS INC DE X X 04/10/02 CYGNUS INC /DE/ DE X X 04/15/02 DAW TECHNOLOGIES INC /UT UT X X 04/08/02 DEAN FOODS CO/ DE X 04/12/02 DISCOVER CARD MASTER TRUST I DE X X 04/16/02 DISPLAY TECHNOLOGIES INC NV X X 04/11/02 DVI RECEIVABLES CORP DE X 03/31/02 DVI RECEIVABLES CORP VIII DE X 03/31/02 ELGRANDE COM INC NV X 04/17/02 ELOCITY NETWORKS CORP DE X X X 12/31/02 ENCORE MEDICAL CORP DE X X 02/08/02 AMEND ENSCO INTERNATIONAL INC DE X 04/16/02 EOTT ENERGY PARTNERS LP DE X X 04/15/02 EQUITY ONE ABS INC DE X X 04/16/02 ESTEE LAUDER COMPANIES INC DE X 04/17/02 EXDS INC DE X X 04/16/02 EXIDE CORP DE X X 04/15/02 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 04/17/02 EYECITY COM INC DE X 04/01/02 AMEND FIBERNET TELECOM GROUP INC\ DE X 04/15/02 FIRST CHESTER COUNTY CORP PA X 03/31/02 FIRST INDUSTRIAL LP DE X X 04/04/02 FIRST MIDWEST BANCORP INC DE X X 04/17/02 FIRST SOUTHERN BANCSHARES INC/DE DE X X 04/16/02 FORD MOTOR CO DE X X 04/17/02 FORD MOTOR CREDIT CO DE X X 04/17/02 FOX SPORTS NETWORKS LLC DE X 04/17/02 FPIC INSURANCE GROUP INC FL X X 04/17/02 GENERAL DATACOMM INDUSTRIES INC DE X 06/30/02 GLIMCHER REALTY TRUST MD X X 04/17/02 GREKA ENERGY CORP CO X X 04/17/02 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV X X 04/16/02 HARLEYSVILLE NATIONAL CORP PA X 03/31/02 HARRAHS ENTERTAINMENT INC DE X X 04/17/02 HEIDRICK & STRUGGLES INTERNATIONAL IN DE X X 04/17/02 HOUSEHOLD INTERNATIONAL INC DE X 03/31/02 HUDSON CITY BANCORP 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