-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PtD018kw9bPJLvzTR4mVByBMw0e76WmSqSCebgiidiOw6gqa2BZGOBJ8eDyOJsWi GCQzj5hDkPicJLUm7RWTYA== 0000769993-98-000245.txt : 19981103 0000769993-98-000245.hdr.sgml : 19981103 ACCESSION NUMBER: 0000769993-98-000245 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981102 GROUP MEMBERS: BRIDGE STREET FUND 1993, L.P. GROUP MEMBERS: GOLDMAN SACHS GROUP LP GROUP MEMBERS: GOLDMAN, SACHS & CO. GROUP MEMBERS: GS ADVISORS, L.P. GROUP MEMBERS: GS CAPITAL PARTNERS, L.P. GROUP MEMBERS: STONE STREET FUND 1993, L.P GROUP MEMBERS: STONE STREET RESOURCE CORP. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROMEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0000866933 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-TESTING LABORATORIES [8734] IRS NUMBER: 133526980 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46379 FILM NUMBER: 98736247 BUSINESS ADDRESS: STREET 1: 10 MOUNTAIN VIEW ROAD STREET 2: SUITE C-100 CITY: UPPER SADDLE RIVER STATE: NJ ZIP: 07458-1933 BUSINESS PHONE: 2019340660 MAIL ADDRESS: STREET 1: 10 MOUNTAIN VIEW ROAD STREET 2: SUITE C-100 CITY: UPPER SADDLE RIVER STATE: NJ ZIP: 07458-1933 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13D/A 1 AMENDMENT NO. 9 TO SCHEDULE 13-D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 9 Neuromedical Systems, Inc. ----------------------------------------- (Name of Issuer) Common Stock, par value $0.0001 per share ----------------------------------------- (Title of Class of Securities) 64124H109 ----------------------------------------- (CUSIP Number) David J. Greenwald, Esq. Goldman, Sachs & Co. 85 Broad Street New York, New York 10004 (212) 902-1000 -------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 26, 1998 ----------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following box: [ ] Page 1 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person Goldman, Sachs & Co. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC;OO - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [X] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization New York - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ---------------------------- Each 8. Shared Voting Power Reporting Person With 6,862,699 ---------------------------- 9. Sole Dispositive Power 0 ---------------------------- 10. Shared Dispositive Power 6,862,699 ---------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 6,862,699 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 22.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person BD-PN-IA - -------------------------------------------------------------------------------- Page 2 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF;OO - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 140,000 Owned By ----------------------------- Each 8. Shared Voting Power Reporting Person With 6,862,699 ----------------------------- 9. Sole Dispositive Power 140,000 ----------------------------- 10. Shared Dispositive Power 6,862,699 ----------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 7,002,699 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 22.5% - -------------------------------------------------------------------------------- 14. Type of Reporting Person HC-PN - -------------------------------------------------------------------------------- Page 3 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person GS Advisors, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By --------------------------- Each 8. Shared Voting Power Reporting Person With 5,371,758 --------------------------- 9. Sole Dispositive Power 0 --------------------------- 10. Shared Dispositive Power 5,371,758 --------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 5,371,758 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 17.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 4 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person GS Capital Partners, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ---------------------------- Each 8. Shared Voting Power Reporting Person With 5,371,758 ---------------------------- 9. Sole Dispositive Power 0 ---------------------------- 10. Shared Dispositive Power 5,371,758 ---------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 5,371,758 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 17.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 5 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person Stone Street Fund 1993, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By --------------------------- Each 8. Shared Voting Power Reporting Person With 634,673 --------------------------- 9. Sole Dispositive Power 0 --------------------------- 10. Shared Dispositive Power 634,673 --------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 634,673 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 2.0% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 6 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person Bridge Street Fund 1993, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ----------------------------- Each 8. Shared Voting Power Reporting Person With 708,268 ----------------------------- 9. Sole Dispositive Power 0 ----------------------------- 10. Shared Dispositive Power 708,268 ----------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 708,268 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 2.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 7 of 15 pages - ------------------------ CUSIP NO. 64124H109 - ------------------------ - -------------------------------------------------------------------------------- 1. Name of Reporting Person I.R.S. Identification No. of Above Person Stone Street Resource Corp. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power Shares Beneficially 0 Owned By ------------------------------ Each 8. Shared Voting Power Reporting Person With 1,342,941 ------------------------------ 9. Sole Dispositive Power 0 ------------------------------ 10. Shared Dispositive Power 1,342,941 ------------------------------ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 1,342,941 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 4.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person CO - -------------------------------------------------------------------------------- Page 8 of 15 pages AMENDMENT NO. 9 TO SCHEDULE 13D RELATING TO THE COMMON STOCK OF NEUROMEDICAL SYSTEMS, INC. GS Capital Partners, L.P. ("GS Capital"), GS Advisors, L.P. ("GS Advisors, L.P."), Stone Street Fund 1993, L.P. ("Stone Street"), Bridge Street Fund 1993, L.P. ("Bridge Street" and together with GS Capital and Stone Street, the "Limited Partnerships"), Stone Street Resource Corp. ("Resource"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, L.P. ("GS Group", and together with GS Capital, GS Advisors, L.P., Stone Street, Bridge Street, Resource and Goldman Sachs, the "Filing Persons")/1/ hereby amend the statement on Schedule 13D filed with respect to the common stock, par value $.0001 per share (the "Common Stock"), of Neuromedical Systems, Inc., a Delaware corporation (the "Company"), as most recently amended by Amendment No. 8 thereto filed October 19, 1998 (as amended, the "Schedule 13D"). Unless otherwise indicated, all capitalized terms used but not defined herein shall have the same meaning ascribed to them in the Schedule 13D. This Amendment No. 9 is being filed to report a decrease in the percentage of the outstanding shares of Common Stock which may be deemed to be beneficially owned by the Filing Persons which change was solely as a result of a decrease in the number of shares of Common Stock held in client accounts with respect to which Goldman Sachs or employees of Goldman Sachs have voting or investment discretion, or both ("Managed Accounts"). Goldman Sachs and GS Group disclaim beneficial ownership of the shares of Common Stock held in Managed Accounts. - ------------------ /1/Neither the present filing nor anything contained herein shall be construed as an admission that any Filing Person constitutes a "person" for any purposes other than Section 13(d) of the Securities Exchange Act of 1934. Page 9 of 15 pages Item 3 is hereby amended as follows: Item 3. Source and Amount of Funds or Other Consideration ------------------------------------------------- Schedule IV hereto sets forth transactions in the Common Stock which have been effected during the period from October 17, 1998 through October 30, 1998, all of which were effected in the ordinary course of business of Goldman Sachs. The total consideration (exclusive of commissions) for shares of Common Stock purchased during this period was approximately $60,498.44. Funds for ordinary course trading purchases came from working capital of Goldman Sachs. Item 5 is hereby amended as follows: Item 5. Interest in Securities of the Issuer ------------------------------------ (a) As of October 30, 1998, GS Capital beneficially owned, and GS Advisors may be deemed to have beneficially owned, an aggregate of 5,371,758 shares of Common Stock, representing in the aggregate approximately 17.3% of the shares of the Common Stock reported to be outstanding as of August 7, 1998 in the Company's most recent Quarterly Report on Form 10-Q for the quarter ended June 30, 1998 (the "Company's 10-Q"). As of October 30, 1998, Stone Street beneficially owned an aggregate of 634,673 shares of Common Stock, representing in the aggregate approximately 2.0% of the shares of Common Stock reported to be outstanding as of August 7, 1998 in the Company's 10-Q. As of October 30, 1998, Bridge Street beneficially owned an aggregate of 708,268 shares of Common Stock, representing in the aggregate approximately 2.3% of the shares of Common Stock reported to be outstanding as of August 7, 1998 in the Company's 10-Q. As of October 30, 1998, Resource may be deemed to have beneficially owned an aggregate of 1,342,941 shares of Common Stock, which are owned by Stone Street and Bridge Street as described above, representing in the aggregate approximately 4.3% of the shares of Common Stock reported to be outstanding as of August 7, 1998 in the Company's 10-Q. As of October 30, 1998, Goldman Sachs may be deemed to have beneficially owned an aggregate of 6,862,699 shares of Common Stock, including (i) the shares of Common Stock beneficially owned by the Limited Partnerships described above and (ii) 148,000 shares of Common Stock held in Managed Accounts, representing in the aggregate approximately 22.1% of the Common Stock reported to be outstanding as of August 7, 1998 in the Company's 10-Q. As of October 30, 1998, GS Group may be deemed to have beneficially owned an aggregate of 7,002,699 shares of Common Stock, including (i) the shares of Common Stock beneficially owned by Goldman Sachs, (ii) 125,000 shares of Common Stock owned by GS Group and (iii) 15,000 Directors Options, representing in the aggregate approximately 22.5% of the shares of Common Stock reported to be outstanding as of August 7, 1998 in the Company's 10-Q. Page 10 of 15 pages GS Group and Goldman Sachs disclaim beneficial ownership of (i) the shares of Common Stock beneficially owned by the Limited Partnerships to the extent of partnership interests in the Limited Partnerships held by persons other than GS Group, Goldman Sachs or their affiliates and (ii) shares of Common Stock held in Managed Accounts. None of the Filing Persons or, to the knowledge of any of the Filing Persons, any of the persons listed on Schedules I, II-A or II-B hereto, beneficially owns any shares of Common Stock as of October 30, 1998 other than as set forth herein. (c) Schedule IV sets forth transactions in the Common Stock which have been effected during the period from October 17, 1998 through October 30, 1998, all of which were effected in the ordinary course of business of Goldman Sachs. The transactions in the Common Stock, described in Schedule IV, were effected in the NASDAQ National Market. The total consideration (exclusive of commissions) for the shares of Common Stock purchased during this period was approximately $60,498.44. Except as set forth on Schedule IV, no transactions in the Common Stock were effected by Filing Persons, or, to the knowledge of any of the Filing Persons, any of the persons listed on Schedules I, II-A or II-B hereto, during the period from October 17, 1998 through October 30, 1998. Page 11 of 15 pages SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: November 2, 1998 GOLDMAN, SACHS & CO. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact THE GOLDMAN SACHS GROUP, L.P. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact GS ADVISORS, L.P. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact GS CAPITAL PARTNERS, L.P. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact STONE STREET FUND 1993, L.P. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact BRIDGE STREET FUND 1993, L.P. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact STONE STREET RESOURCE CORP. By:/s/ Hans-Linhard Reich --------------------------- Name: Hans-Linhard Reich Title: Attorney-in-fact Page 12 of 15 pages SCHEDULE IV ----------- Neuromedical Systems, Inc. Cusip No. 64124H109
Purchases Sales Price Trade Date Settlement Date - -------------------------------------------------------------------------------- 10,000 0 5/32 26-Oct-98 29-Oct-98 10,000 0 5/32 26-Oct-98 29-Oct-98 3,850 0 7/32 27-Oct-98 30-Oct-98 5,000 0 3/16 27-Oct-98 30-Oct-98 5,000 0 3/16 27-Oct-98 30-Oct-98 5,000 0 3/16 27-Oct-98 30-Oct-98 1,000 0 3/16 27-Oct-98 30-Oct-98 25,000 0 7/32 27-Oct-98 30-Oct-98 4,950 0 7/32 27-Oct-98 30-Oct-98 6,000 0 7/32 27-Oct-98 30-Oct-98 5,000 0 3/16 27-Oct-98 30-Oct-98 1,000 0 3/16 27-Oct-98 30-Oct-98 6,200 0 7/32 27-Oct-98 30-Oct-98 1,000 0 3/16 27-Oct-98 30-Oct-98 400 0 17/32 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 2,000 0 17/32 28-Oct-98 2-Nov-98 8,500 0 17/32 28-Oct-98 2-Nov-98 3,200 0 9/16 28-Oct-98 2-Nov-98 2,000 0 17/32 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 1,759 0 7/16 28-Oct-98 2-Nov-98 1,500 0 3/16 28-Oct-98 2-Nov-98 1,500 0 9/16 28-Oct-98 2-Nov-98 2,000 0 3/8 28-Oct-98 2-Nov-98 3,000 0 5/8 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 5,000 0 17/32 28-Oct-98 2-Nov-98 2,000 0 5/8 28-Oct-98 2-Nov-98 280 0 2/4 28-Oct-98 2-Nov-98 1,000 0 15/32 28-Oct-98 2-Nov-98 1,000 0 5/16 28-Oct-98 2-Nov-98 1,500 0 9/16 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 1,000 0 15/32 28-Oct-98 2-Nov-98 1,250 0 19/32 28-Oct-98 2-Nov-98 1,000 0 21/32 28-Oct-98 2-Nov-98 1,500 0 7/16 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 2,200 0 17/32 28-Oct-98 2-Nov-98 4,200 0 7/16 28-Oct-98 2-Nov-98 1,000 0 17/32 28-Oct-98 2-Nov-98 Page 13 of 15 pages Purchases Sales Price Trade Date Settlement Date - -------------------------------------------------------------------------------- 5,000 0 9/16 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 240 0 2/4 28-Oct-98 2-Nov-98 1,200 0 2/4 28-Oct-98 2-Nov-98 1,000 0 19/32 28-Oct-98 2-Nov-98 1,000 0 7/16 28-Oct-98 2-Nov-98 1,600 0 5/8 28-Oct-98 2-Nov-98 1,500 0 15/32 28-Oct-98 2-Nov-98 1,500 0 9/16 28-Oct-98 2-Nov-98 2,500 0 2/4 28-Oct-98 2-Nov-98 2,000 0 7/16 28-Oct-98 2-Nov-98 1,700 0 7/16 28-Oct-98 2-Nov-98 23,500 0 7/16 28-Oct-98 2-Nov-98 2,500 0 2/4 28-Oct-98 2-Nov-98 300 0 7/16 28-Oct-98 2-Nov-98 1,000 0 2/4 28-Oct-98 2-Nov-98 2,000 0 9/16 28-Oct-98 2-Nov-98 500 0 19/32 28-Oct-98 2-Nov-98 1,000 0 9/16 28-Oct-98 2-Nov-98 2,000 0 5/8 28-Oct-98 2-Nov-98 1,500 0 5/8 29-Oct-98 3-Nov-98 500 0 5/8 29-Oct-98 3-Nov-98 5,000 0 5/8 29-Oct-98 3-Nov-98 3,500 0 21/32 29-Oct-98 3-Nov-98 1,000 0 19/32 29-Oct-98 3-Nov-98 1,000 0 11/16 29-Oct-98 3-Nov-98 1,000 0 9/16 29-Oct-98 3-Nov-98 1,000 0 17/32 29-Oct-98 3-Nov-98 2,000 0 21/32 29-Oct-98 3-Nov-98 3,000 0 23/32 29-Oct-98 3-Nov-98 1,000 0 21/32 29-Oct-98 3-Nov-98 500 0 5/8 29-Oct-98 3-Nov-98 5,000 0 21/32 29-Oct-98 3-Nov-98 1,000 0 17/32 29-Oct-98 3-Nov-98 4,000 0 23/32 29-Oct-98 3-Nov-98 1,000 0 23/32 29-Oct-98 3-Nov-98 1,000 0 5/8 29-Oct-98 3-Nov-98 1,000 0 23/32 29-Oct-98 3-Nov-98 1,000 0 21/32 29-Oct-98 3-Nov-98 2,000 0 17/32 29-Oct-98 3-Nov-98 1,000 0 17/32 29-Oct-98 3-Nov-98 5,000 0 5/8 29-Oct-98 3-Nov-98 1,000 0 5/8 29-Oct-98 3-Nov-98 3,000 0 9/16 29-Oct-98 3-Nov-98 Page 14 of 15 pages Purchases Sales Price Trade Date Settlement Date - -------------------------------------------------------------------------------- 500 0 5/8 29-Oct-98 3-Nov-98 1,000 0 2/4 30-Oct-98 4-Nov-98 11,000 0 2/4 30-Oct-98 4-Nov-98 9,000 0 17/32 30-Oct-98 4-Nov-98 2,500 0 17/32 30-Oct-98 4-Nov-98 2,500 0 2/4 30-Oct-98 4-Nov-98 1,000 0 2/4 30-Oct-98 4-Nov-98 2,500 0 2/4 30-Oct-98 4-Nov-98 1,800 0 15/32 30-Oct-98 4-Nov-98 2,500 0 17/32 30-Oct-98 4-Nov-98 1,000 0 2/4 30-Oct-98 4-Nov-98 200 0 5/8 30-Oct-98 4-Nov-98 1,000 0 2/4 30-Oct-98 4-Nov-98 1,000 0 2/4 30-Oct-98 4-Nov-98 2,000 0 2/4 30-Oct-98 4-Nov-98 25,000 0.15 22-Oct-98 27-Oct-98 32,500 0.15 22-Oct-98 27-Oct-98 32,500 0.15 22-Oct-98 27-Oct-98 12,500 0.15 26-Oct-98 29-Oct-98 12,500 0.2 20-Oct-98 23-Oct-98 2,500 0.2 20-Oct-98 23-Oct-98 37,500 0.15 21-Oct-98 26-Oct-98 25,000 0.15 22-Oct-98 27-Oct-98 5,000 0.2 20-Oct-98 23-Oct-98 25,000 0.15 22-Oct-98 27-Oct-98 32,500 0.15 22-Oct-98 27-Oct-98 43,000 0.17 26-Oct-98 29-Oct-98 20,000 0 5/32 26-Oct-98 29-Oct-98 139,500 0.15 26-Oct-98 29-Oct-98 19,500 0.155 26-Oct-98 29-Oct-98 14,000 0.155 26-Oct-98 29-Oct-98 12,500 0.15 21-Oct-98 26-Oct-98 36,500 0.155 26-Oct-98 29-Oct-98 10,000 0.15 22-Oct-98 27-Oct-98 27,500 0.155 26-Oct-98 29-Oct-98 20,500 0.155 26-Oct-98 29-Oct-98 26,000 0.155 26-Oct-98 29-Oct-98 47,500 0.15 22-Oct-98 27-Oct-98 28,000 0.15 23-Oct-98 28-Oct-98 22,500 0.15 23-Oct-98 28-Oct-98 27,500 0.155 26-Oct-98 29-Oct-98 3,500 0.155 26-Oct-98 29-Oct-98 23,000 0.155 26-Oct-98 29-Oct-98 10,000 0 7/16 28-Oct-98 2-Nov-98 15,000 0 13/32 28-Oct-98 2-Nov-98 12,500 0 7/16 28-Oct-98 2-Nov-98 4,500 0.155 26-Oct-98 29-Oct-98 Page 15 of 15 pages
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