SEC NEWS DIGEST Issue 2003-81 April 29, 2003 COMMISSION ANNOUCEMENTS COMMISSION MEETINGS CLOSED MEETING - TUESDAY, MAY 6, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, May 6, 2003, will be: Institution and settlement of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. CLOSED MEETING - THURSDAY, MAY 8, 2003 - 10:00 A.M. The subject matter of the closed meeting scheduled for May 8, 2003, will be: Formal orders of investigation; Institution and settlement of administrative proceedings of an enforcement nature; and Institution and settlement of injunctive actions. 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 COMMISSION INSTITUTES SETTLED ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST BARON CAPITAL, INC., RONALD BARON, DAVID SCHNEIDER AND SUSAN BLENKE On April 29, the Commission issued a cease-and-desist Order against Baron Capital, Inc., a broker-dealer, its CEO, Ronald S. Baron, and two of its traders, David Schneider and Susan Blenke, for engaging in the unlawful practice of "marking the close" of a NYSE-listed stock. Ronald Baron manages approximately $8.6 billion through various investment advisory affiliates. Collectively, the respondents are ordered to pay $2.7 million in penalties. The respondents consented to entry of the Commission's Order without admitting or denying the findings. "Marking the close" is the manipulative practice of attempting to influence the closing price of a stock by executing orders at or near the close of the market. The Commission's Order finds that Baron Capital marked the close of Southern Union Company (SUG) stock in October 1999. Ronald Baron directed the traders to purchase the stock and Schneider and Blenke placed the orders with a broker-dealer on the NYSE floor. The findings in the Commission's Order are based in part on telephone conversations recorded by Baron Capital's own recording system in which Baron, Schneider and Blenke discussed the purchases of SUG stock during the relevant period. At the time of the misconduct, client accounts managed by Baron's investment advisory affiliates owned more than 10% of SUG's outstanding shares. Pursuant to a merger agreement, during a ten-day period in October 1999, the average closing price of SUG would determine the cash and stock consideration SUG would pay to consummate a pending corporate acquisition. Baron Capital influenced the closing price of SUG stock during the pricing period by ordering the execution of purchase orders in SUG at or near the close of the market. SUG's average closing price during the ten-day pricing period was higher than SUG's average closing price during the preceding ten trading days. Had the average closing price during the pricing period not increased as it did, SUG would have been required to pay millions of dollars more in cash (instead of SUG stock) for the acquisition. Baron, Schneider and Blenke engaged in numerous telephone conversations in which they discussed Baron Capital's purchases of SUG during the pricing period. For example, on October 22, 1999, Baron instructed Blenke to "do your buying today, and the end of the day, just buy [SUG] up into the twenties . . .. You know, 20 ¬, 20 «, something like that." Baron explained that Blenke should "[u]se the 20 « top at the end of the day . . . like the last half-hour or something like that." Blenke responded affirmatively. Later on the same day, at approximately 12:20 p.m., Baron told Schneider that he "would like to see [SUG] a little bit higher here . . .. About 20 ¬, 20 «, something like that." At the time, SUG was trading at $19.8125 per share. Schneider asked, "How many more days of this do we have to go?" Baron responded, "Well this is four days so far . . .. Let's see that's 15, the 18th, 19th, 20th, 21st, this is the fifth day. That's fifteen days." Schneider then asked, "Okay, and it's the closing price that matters, right?" "Yeah, exactly," Baron replied. Blenke relayed Baron's instructions to the order clerk on the floor of the NYSE, "by the end of the day, buy 34,600 up to 20«." The clerk responded, "You want to take it up to 20«?" Blenke said "Yup," and noted moments later that "I had trouble yesterday when it didn't close where I wanted it to close so make sure it closes . . .." The clerk asked, "Where do you want [it], where would you like it to close ultimately?" Blenke responded "20 and «." Also on Oct. 22, 1999, Schneider told another Baron Capital employee that Baron "wants it to close at 20 and « today." Schneider further explained that "there's a deal, and the, the lower it goes, the more [Baron] gets diluted.. [H]e'd like it to close at 20 and «." Referring to the pricing period, Schneider added, "he's gonna buy this thing for 10 days, and he's already bought it for the last 4 or 5 days . . .." Later that day, Baron Capital purchased 49,600 shares of SUG during the last twenty minutes of the trading day - including 15,000 shares at 4:00 p.m. - at increasingly higher prices ranging from $20 to $20.50 per share. SUG closed for the day at $20.50 per share on Baron Capital's purchase. The Commission's Order finds that Baron Capital willfully violated Section 15(c)(1)(A) of the Securities Exchange Act of 1934, which prohibits brokers and dealers from using "any manipulative, deceptive, or other fraudulent device or contrivance" in connection with securities transactions. The Order finds that Ronald Baron, Schneider and Blenke willfully aided and abetted and caused Baron Capital's violation. The Order requires Baron Capital, Baron, Schneider and Blenke to cease and desist from committing or causing any violations and any future violations of Section 15(c)(1) of the Exchange Act. The Order also censures each of the Respondents and imposes civil monetary penalties of $2,000,000 for Baron Capital, $500,000 for Ronald Baron, $125,000 for David Schneider and $75,000 for Susan Blenke. Baron Capital has also undertaken new policies and procedures concerning end of day trading and hired a new compliance officer. The Commission acknowledges the assistance of the New York Stock Exchange in this matter. (Rel. 34-47751; File No. 3-11096) HOLDING COMPANY ACT RELEASES KEYSPAN CORPORATION An order has been issued authorizing a proposal by KeySpan Corporation (KeySpan), a registered holding company, for the release of jurisdiction over the retention of certain energy related subsidiaries, currently held by KeySpan's wholly owned nonutility subsidiary holding company, KeySpan Services, Inc. (Rel. 35- 27670) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF PROPOSED RULE CHANGES The Commission granted accelerated approval to a proposed rule change (SR-Amex-2003-25) submitted by the American Stock Exchange relating to trust certificates linked to a basket of investment grade fixed income securities. Publication of the notice is expected in the Federal Register during the week of April 28. (Rel. 34-47730) The Commission granted accelerated approval to a proposed rule change (SR-PCX-2003-13) filed by the Pacific Exchange relating to its arbitration program. Publication of the proposal is expected in the Federal Register during the week of April 28. (Rel. 34-47734) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-Amex-2003-31) filed by the American Stock Exchange relating to rules implementing the Options Linkage, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice in the Federal Register is expected during the week of April 28. (Rel. 34-47737) APPROVAL OF PROPOSED RULE CHANGES The Commission approved a proposed rule change (SR-Phlx-2001-28) submitted by the Philadelphia Stock Exchange relating to who allocates options trades. Publication of the proposal is expected in the Federal Register during the week of April 28. (Rel. 34-47738) The Commission approved a proposed rule change (SR-Phlx-2001-39) submitted by the Philadelphia Stock Exchange relating to the allocation of trades. Publication of the proposal is expected in the Federal Register during the week of April 28. (Rel. 34-47739) The Commission approved a proposed rule change (SR-Amex-2002-108) submitted by the American Stock Exchange to amend Amex Rule 152 to provide that a member that fails to execute an order may be compelled to take or supply the securities named in the order. (Rel. 34-47748) PROPOSED RULE CHANGE The International Securities Exchange filed a proposed rule change (SR- ISE-2003-05), and Amendment No. 1 thereto, enabling the Exchange to list and trade index options. Publication of the proposal is expected in the Federal Register during the week of April 28. (Rel. 34-47749) 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: . SB-2 CITADEL SECURITY SOFTWARE INC, 7,907,440 ($9,251,705.00) Equity, (File 333-104777 - Apr. 28) (BR. 03) S-8 ARCADIS N V, 3026587581 - 0 ($2,334,000.00) Equity, (File 333-104780 - Apr. 28) (BR. 06) S-8 LINUXWIZARDRY SYSTEMS INC, 185 10751 SHELLBRIDGE WAY, RICHMOND BC V6X 2W8, A1, 00000, 1,500,000 ($75,000.00) Equity, (File 333-104781 - Apr. 28) (BR. 04) S-4 CENTRAL PACIFIC FINANCIAL CORP, 220 S KING ST, HONOLULU, HI, 96813, 8085440500 - 0 ($192,668,508.00) Equity, (File 333-104783 - Apr. 28) (BR. 07) S-3 CENTRAL EUROPEAN MEDIA ENTERPRISES LTD, C/O CME DEVELOPEMENT CORP, 8TH FLOOR ALDWYCH HOUSE 71-91 ALDWYCH, LONDON, X0, WC2B 4HN, 011442074305430 - 348,000 ($4,323,900.00) Equity, (File 333-104784 - Apr. 28) (BR. 37) S-8 TECH OPS SEVCON INC, 155 NORTHBORO ROAD, SOUTHBOROUGH, MA, 01772, 5082815510 - 150,000 ($649,500.00) Equity, (File 333-104785 - Apr. 28) (BR. 36) S-3 WPS RESOURCES CORP, 700 N ADAMS ST, PO BOX 19001, GREEN BAY, WI, 54307-9001, 9204334901 - 350,000,000 ($350,000,000.00) Unallocated (Universal) Shelf, (File 333-104787 - Apr. 28) (BR. 02) S-8 PEGASYSTEMS INC, 101 MAIN ST, CAMBRIDGE, MA, 02142-1590, 6173749600 - 2,000,000 ($8,340,000.00) Equity, (File 333-104788 - Apr. 28) (BR. 03) S-3 ALLSTATE LIFE INSURANCE CO, 3075 SANDERS RD, SUITE G4A, NORTHBROOK, IL, 60062, 8474025000 - 0 ($200,000,000.00) Other, (File 333-104789 - Apr. 28) (BR. 20) SB-2 INKSURE TECHNOLOGIES INC, 9 WEST RAILROAD AVENUE, TENAFLY, NJ, 07670, 2018949961 - 0 ($21,636,569.00) Equity, (File 333-104790 - Apr. 28) (BR. 06) S-3 CARDIMA INC, 47266 BENICIA STREET, FREMONT, CA, 94538, 5103540300 - 0 ($15,766,413.00) Equity, (File 333-104791 - Apr. 28) (BR. 36) S-3 FX ENERGY INC, 3006 HIGHLAND DR, STE 206, SALT LAKE CITY, UT, 84106, 801-486-5555 - 4,520,000 ($14,192,800.00) Equity, (File 333-104792 - Apr. 28) (BR. 04) S-4 MERCANTILE BANKSHARES CORP, 2 HOPKINS PLZ, PO BOX 1477, BALTIMORE, MD, 21203, 4102375900 - 0 ($389,509,201.00) Equity, (File 333-104793 - Apr. 28) (BR. 07) S-8 FINANCIALCONTENT INC, 55 HAWTHORNE STREET, SUITE 550, SAN FRANCISCO, CA, 94105, 4153566800 - 500,000 ($170,000.00) Equity, (File 333-104794 - Apr. 28) (BR. 02) 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 ---------------------------------------------------------------------------------- AAMES FINANCIAL CORP/DE DE X 04/25/03 ABN AMRO MORT CORP MULTI-CLASS MORT P DE X 04/01/03 ABN AMRO MORTGAGE CORP DE X X 04/28/03 ABN AMRO MORTGAGE CORP MUL CL MORT PA DE X 04/01/03 ABN AMRO MORTGAGE CORP MUL CLASS MOR DE X 04/01/03 ACCESSPOINT CORP /NV/ NV X 04/28/03 ACRODYNE COMMUNICATIONS INC DE X 04/21/03 ADAPTEC INC DE X X 04/28/03 ADVANCE FINANCIAL BANCORP DE X X 04/25/03 ADVANCED POWER TECHNOLOGY INC X 04/23/03 AEROGEN INC DE X X 04/24/03 ALCOA INC PA X X 04/23/03 ALLERGAN INC DE X X 04/28/03 ALLIANCE RESOURCE PARTNERS LP DE X X 04/25/03 ALLIANT ENERGY CORP WI X X 04/28/03 ALTERA CORP DE X 04/28/03 AMERICAN BUILDING CONTROL INC DE X 04/28/03 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE X X 04/23/03 AMERICAN RECREATIONAL ENTERPRISES INC NV X 04/23/03 AMERIGROUP CORP X X 04/28/03 ANDREA ELECTRONICS CORP NY X X 04/11/03 ARI NETWORK SERVICES INC /WI WI X X 04/25/03 ARIBA INC DE X X 04/28/03 ARTESYN TECHNOLOGIES INC FL X X 04/22/03 ARTHROCARE CORP DE X X 04/25/03 ATLANTIS PLASTICS INC FL X X 04/28/03 ATNG INC TX X X 04/15/03 AUBURN NATIONAL BANCORPORATION INC DE X X 04/25/03 AUTONATION INC /FL DE X X 04/28/03 AVERY SPORTS TURF INC DE X 04/24/03 AVIS GROUP HOLDINGS INC DE X 04/28/03 BANYAN CORP /OR/ OR X X 04/28/03 BAY VIEW CAPITAL CORP DE X X 04/22/03 BELL MICROPRODUCTS INC CA X X 04/22/03 BIOTRANSPLANT INC DE X X 04/15/03 BUTLER MANUFACTURING CO DE X X 04/25/03 BWC FINANCIAL CORP CA X 03/31/03 CAPITOL REVOLVING HOME EQUITY LOAN TR MD X 04/21/03 CAPSTEAD MORTGAGE CORP MD X X 04/24/03 CELL GENESYS INC DE X 03/31/03 CERUS CORP DE X X X 04/28/03 CFC INTERNATIONAL INC DE X 04/24/03 CHEC FUNDING LLC CENTEX HOME EQUITY L DE X X 04/25/03 CHIPPAC INC CA X X 04/28/03 CHOICEPOINT INC GA X X 04/22/03 CINERGY CORP DE X 04/28/03 CITIBANK SOUTH DAKOTA N A DE X 03/31/03 CITICORP MORTGAGE SECURITIES INC DE X X 04/25/03 CITICORP MORTGAGE SECURITIES INC DE 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CERTS DE X X 04/25/03 CSFB MORTGAGE SEC CORP HOME EQ MORT P DE X X 04/25/03 CT COMMUNICATIONS INC /NC NC X X 04/28/03 CYBER GROUP NETWORK CORP X X 08/30/02 D & K HEALTHCARE RESOURCES INC DE X X 04/28/03 DATARAM CORP NJ X X 04/28/03 DCB FINANCIAL CORP OH X X 04/28/03 DEL LABORATORIES INC DE X X 04/25/03 DIEBOLD INC OH X X 04/28/03 DRUCKER INC DE X 04/24/03 DRUGSTORE COM INC DE X X 04/25/03 DTVN HOLDINGS INC DE X X 04/25/03 AMEND DURECT CORP DE X X 04/28/03 EAGLE BROADBAND INC TX X 04/28/03 EDIETS COM INC DE X X 04/24/03 EGAMES INC PA X 04/28/03 EMAGIN CORP NV X X 04/28/03 ENDO NETWORKS INC TX X X X X X X 04/28/03 ENHANCE BIOTECH INC DE X 04/18/03 ENTERGY CORP /DE/ DE X X 04/28/03 ENTERGY CORP /DE/ DE X X 04/28/03 EPIQ SYSTEMS INC MO X X 04/28/03 EVEREST RE GROUP LTD C8 X X 04/28/03 EVERGREEN RESOURCES INC CO X X 04/28/03 EXHAUST TECHNOLOGIES INC WA X X 04/23/03 EXPLORATION CO OF DELAWARE INC DE X 04/28/03 F&M BANCORP MD X 04/24/03 FALMOUTH BANCORP INC DE X X 04/24/03 FAMOUS DAVES OF 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