SEC NEWS DIGEST Issue 2002-31 February 14, 2002 COMMISSION ANNOUNCEMENTS OFFICE OF THE CHIEF ACCOUNTANT SELECTS FOUR PROFESSIONAL ACCOUNTING FELLOWS The Securities and Exchange Commission's Office of the Chief Accountant has selected four Professional Accounting Fellows for two-year terms beginning in June 2002. They are: D. Douglas Alkema, a Senior Manager from Deloitte & Touche LLP in the Seattle, Washington practice office; Gregory A. Faucette, Senior Manager in Ernst & Young LLP's National Accounting Office in New York; Randolph P. Green, Experienced Manager in Andersen LLP's Atlanta, Georgia practice office; and Eric J. Schuppenhauer, Senior Manager in KPMG LLP's Department of Professional Practice in New York. Alkema, Faucette, Green, and Schuppenhauer will join the current Professional Accounting Fellows, Michael S. Thompson and Carina B. Canedo and will replace outgoing Professional Accounting Fellows R. Scott Blackley, J. Travis Gilmer, David A. Kane, and E. Michael Pierce. At the Commission, the newly selected Professional Accounting Fellows will work with the Chief Accountant and be involved in the study and development of rule proposals under the federal securities laws, liaison with the professional accounting and auditing standards-setting bodies, and consultation with registrants on accounting and reporting matters. "These four individuals were selected in a highly competitive process from a group of outstanding applicants," said Robert K. Herdman, Chief Accountant. " I am looking forward to working with each of them as the SEC staff tackles the many challenging issues that confront us." (Press Rel. 2002-26) ENFORCEMENT PROCEEDINGS NASD'S REFUSAL TO PERMIT EMPLOYMENT OF FRANK KUFROVICH SUSTAINED On February 13, the Commission sustained the NASD's refusal to permit a member firm to employ Frank Kufrovich of Newhall, California. The firm sought to employ Kufrovich as a general securities representative. The member's request was necessary because Kufrovich is subject to a statutory disqualification. In 1997 Kufrovich pled guilty to charges of enticing and attempting to entice a minor to engage in an unlawful sexual act, and traveling interstate with intent to engage in a sexual act with a minor. Before the Commission, Kufrovich did not dispute the NASD's summary of the conduct underlying these felony counts, which reflected that, in early 1996, Kufrovich engaged in discussions of a sexual nature with a 14-year-old girl via an Internet chatroom. Kufrovich, who was then 41 years old, represented himself in these discussions to be closer to the girl's age. These discussions resulted in Kufrovich arranging to meet the girl for sexual relations in a hotel room in another state, where she would be traveling with her mother. When she met Kufrovich at the hotel, the girl immediately realized the deception about his age, left the room, and alerted her mother, who reported the incident to the police. In June 1998, the United States District Court for the District of Connecticut sentenced Kufrovich to 18 months in prison and three years probation. The court also ordered Kufrovich to participate in mental health and substance abuse treatment programs, to pay $25,000 in restitution to a trust fund for the victim, and to have no contact with her. Kufrovich served more than 15 months in prison before being released in late October 1999. Kufrovich will remain on probation until October 30, 2002. In denying its member's application, the NASD stressed that, while not securities-related, Kufrovich's misconduct was deliberately deceitful and directed at a particularly vulnerable class of victim. In its judgment, Kufrovich's activities cast doubt on his character and caused the NASD to question his ability to act in a trustworthy and responsible manner in interactions with the investing public. The NASD also expressed its concerns regarding the level of supervision that the member firm proposed to afford Kufrovich and the fact that, in 1992, Kufrovich consented to NASD discipline. On appeal, the Commission disagreed with Kufrovich's claim that the NASD's assessment that Kufrovich would pose a threat to the investing public if employed under the terms proposed was the result of pure speculation, and failed to take into account Kufrovich's evidence of rehabilitation. The Commission concluded, rather, that this assessment was grounded in the NASD's reasoned consideration of all the evidence before it. (Rel. 34-45437; File No. 3-10461) COMMISSION SUSTAINS NYSE DISCIPLINARY ACTION AGAINST KEITH SPRINGER On February 13, the Commission stained the New York Stock Exchange's disciplinary action against Keith Springer, formerly a registered representative with Everen Securities, Inc. The NYSE censured Springer and barred him for four years from membership, allied membership, approved person status, and from employment or association in any capacity with any member or member organization. The Commission found that Springer effected improper post-execution allocation of trades, delayed allocation of trades, and allocated trades with better execution to his personal account to the detriment of his customers, and attempted to obstruct Everen's internal investigation of his violations. The Commission concluded that this conduct was inconsistent with just and equitable principles of trade. The Commission also found that Springer violated the NYSE's requirement that members adhere to the principles of good business practice by effecting improper post-execution allocation of trades which resulted in the granting of preferential treatment to himself. Finally, the Commission concluded that Springer's conduct caused violations of NYSE and Commission rules requiring brokers and dealers to keep accurate and timely records. Based on its review of the record, the Commission also concluded that the sanctions imposed by the NYSE were neither excessive or oppressive. (Rel. 34-45439; File No. 3-10247) PUBLIC ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST CRAIG SCANLON On February 13, the Commission entered an Order Instituting Public Administrative Proceedings pursuant to Section 203(f) of the Investment Advisers Act against Craig P. Scanlon (Scanlon) based on the entry of an Order of Permanent Injunction and Other Relief against Scanlon, an unregistered investment adviser, enjoining him from future violations of Sections 17(a) of the Securities Act; Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and, Sections 206(1) and 206(2) of the Advisers Act (SEC v. Craig P. Scanlon, et al., Case No. 8:01-CV-1446-T- 24TGW, M.D. Fla. 2001). The SEC alleged in its complaint that from approximately June 1999 to September 2000, Scanlon misappropriated more than $700,000 from at least seven clients (the clients) by employing a common scheme to defraud them. The SEC further alleged that Scanlon fraudulently induced the clients to sell their securities holdings at other broker-dealers and transfer the monies to him based upon his oral promises to reinvest and manage their sales proceeds though Scanlon & Associates, Inc. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Scanlon an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. (Rel. IA-2014; File No. 3-10698) SEC CHARGES FORMER HORSE RACETRACK COMPANY AND THREE OF ITS OFFICERS FOR ACCOUNTING VIOLATIONS The Commission announced today that it filed a settled civil action alleging that Nunzio DeSantis (DeSantis) of Albuquerque, New Mexico, violated anti-fraud, disclosure and tender offer provisions of the federal securities laws while an officer and director of two publicly traded companies, International Thoroughbred Breeders, Inc. (ITB) of New Jersey, and AutoLend Group, Inc. (AutoLend) of Albuquerque. The Commission also announced that it instituted settled cease-and-desist proceedings against ITB's Chief Financial Officer, William H. Warner, and former President, Robert J. Quigley. In the federal court action, which was filed in the United States District Court for the District of Columbia, the Commission alleged that DeSantis aided and abetted ITB's failure to disclose and properly account for certain related party transactions in its Forms 10-Q for the quarters ended December 31, 1996 and March 31, 1997. According to the Complaint, DeSantis repaid ITB the personal expenses paid on his behalf in 1999. The Commission also alleged that DeSantis engaged in a scheme to defraud the holders of AutoLend's 9.5% convertible subordinated debentures during a self tender offer made on October 22, 1996 to the AutoLend bondholders, and that DeSantis aided and abetted AutoLend's failure to disclose related party transactions in the company's December 31, 1996 Form 10-Q and in its March 31, 1997 Form 10-K. The allegations relating to AutoLend were originally contained in a complaint the Commission filed against DeSantis on May 1, 2001, in the United States District Court for the District of New Mexico [LR- 16985]. As part of a settlement with the Commission, the New Mexico case was dismissed and refiled as part of the District of Columbia action. DeSantis, without admitting or denying the allegations in the Complaint, consented to the entry of a final judgment permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 14e-5 (formerly Rule 10b-13) thereunder, and aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A), 13(e) and 14(e) of the Exchange Act and Rules 10b-5, 12b- 20, 13a-1, 13a-13 and 13e-4(j) (formerly Rule 13e-4(b)) thereunder pursuant to Section 20(e) of the Exchange Act. DeSantis also agreed to pay a civil penalty of $80,000 and to be prohibited for a period of five (5) years from acting as an officer or director of any publicly traded company. Without admitting or denying the allegations in the Complaint, ITB consented to the entry of a final judgment permanently enjoining it from future violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20 and 13a-13 promulgated thereunder. In the cease-and-desist proceedings, the Commission found that Warner and Quigley committed and caused violations the reporting, record- keeping and internal control provisions of the Exchange Act by causing ITB to improperly disclose and account for certain related party transactions. Without admitting or denying the Commission's substantive findings, Warner consented to the issuance of an order that he cease and desist from causing any violation or future violation of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a- 13 thereunder and from committing or causing any violations and any future violations of Rules 13b2-1 and 13b2-2, and Quigley consented to the issuance of an order that he cease and desist from causing any violation or future violation of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder and from committing or causing any violation and any future violation of Rule 13b2-2 [SEC v. International Thoroughbred Breeders, Inc., and Nunzio DeSantis, Case No. 1:02CV00282, D.D.C.; SEC v. Nunzio DeSantis, Case No. CIV-01-484, D.N.M.] (LR-17361, AAE Rel. 1506); Administrative Proceedings In the Matter of William H. Warner and Robert J. Quigley - Rel. 34-45441, AAE Rel. 1501, File No. 3- 10699) SEC CHARGES NOTORIOUS "DR. NOE" AND FIVE OTHERS IN MILLION DOLLAR PRIME BANK FRAUD The Commission today filed fraud charges against career swindler Clif Goldstein - long known to criminal law authorities as "Dr. Noe" - for bilking at least 20 investors out of nearly $1.1 million in an elaborate fraud known as a prime bank scheme. The lawsuit also names Goldstein's older brother, Paul Howe Noe, and two Boca Raton, Fla. companies run by the brothers, Great American Trust Co. and Great American Trust Corp. "Dr. Noe," whose multi-million dollar swindles have been widely chronicled in U.S. newspapers and abroad for decades, is a high school dropout from Texas who has sometimes claimed to be highly educated in order to gain the confidence of his victims. Goldstein, 71, formerly Clifford Dixon Noe, has a criminal record as a con man that dates back to the 1970s that includes multiple convictions and prison sentences for wire fraud, mail fraud and forgery. Goldstein's brother, Paul Noe, 74, also has an extensive criminal record, including convictions and prison sentences for embezzlement, larceny and wire fraud. The SEC complaint, filed in the U.S. District Court in Columbia, S.C., alleges that Goldstein, Noe and their companies sold wholly fictitious securities that they described as "stand-by letters of credit" sold by "top ten European banks." Four other defendants named in the complaint-Carolyn Kaplan, Noel Alelov, Russell B. Gerstein and Nuell W. Paschal-served as "finders" who were paid for locating and luring potential victims. The prime bank schemes were promoted through in-person solicitations and over the Internet, according to the complaint. Victims who were targeted typically included individuals associated with cash-strapped companies in urgent need of financing and sophisticated investors looking for high returns in short periods of time. In some instances, the defendants promised to double investors' money in 13 weeks. Instead, the complaint charges, they pocketed the money for their own personal use. In its complaint, the SEC alleges that the defendants violated the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctions against future violations of the anti-fraud provisions, disgorgement of defendants' ill-gotten gains plus prejudgment interest, and civil penalties. In a related matter, the U.S. Attorney for the District of South Carolina filed criminal charges against Goldstein, Noe, Gerstein and Paschal for their roles in the alleged investment scheme. The brothers were arrested by the Federal Bureau of Investigation. The Commission acknowledges the assistance of the South Carolina Offices of the FBI and the U.S. Attorney. Additional information about the case can be found in Litigation Release No. 17362. For more information about prime bank fraud, visit the SEC's "Prime Bank Information Center" at www.sec.gov/divisions/enforce/primebank.shtml. To report suspicious activity involving potential Internet fraud, visit www.sec.gov/complaint.shtml. [SEC v. Clif Goldstein, formerly known as Clifford Dixon Noe, Paul Howe Noe, also known as Paul Noe Randall, Carolyn M. Kaplan, Noel Alelov, Russell B. Gerstein, Nuell W. Paschal, Great American Trust Company, Inc., and Great American Trust Corporation, Inc., Civil Action No. 302048517, D. SC, Columbia Division] (LR-17362; Press Rel. 2002-25) INVESTMENT COMPANY ACT RELEASES THE HARTFORD MUTUAL FUNDS, INC., ET AL. An order has been issued on an application filed by The Hartford Mutual Funds, Inc., Hartford Series Fund, Inc., Hartford Advisers HLS Fund, Inc., Hartford Money Market HLS Fund, Inc., Hartford Bond HLS Fund, Inc., Hartford Index HLS Fund, Inc., HL Investment Advisors, LLC and Hartford Investment Financial Services, LLC under section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from section 15(f)(1)(A) of the Act. The order permits certain registered open-end investment companies not to reconstitute their boards of trustees to meet the 75 percent non-interested director requirement of Section 15(f)(1)(A) of the Act, following the acquisition of the assets of certain other registered open-end investment companies. (Rel. IC-25419 - February 13) DFA INVESTMENT DIMENSIONS GROUP INC., ET AL. A notice has been issued giving interested persons until March 8, 2002, to request a hearing on an application filed by DFA Investment Dimensions Group Inc. (Fund) and Dimensional Fund Advisors, Inc. (DFA) for an order under Section 6(c) of the Investment Company Act to permit shares of the Fund and any other investment company that is designed to fund insurance products and for which DFA and any of its affiliates may serve in the future as investment adviser, manager, principal underwriter, sponsor, or administrator to be sold and held by: (a) separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated life insurance companies; (b) qualified pension and retirement plans outside of the separate account context; (c) separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act; (d) DFA or certain related corporations; and (e) any other person permitted to hold shares of the Fund or future funds pursuant to Treasury Regulation 1.817-5, including the general account of any life insurance company whose separate account holds, or will hold, shares of the Fund or future funds or certain related corporations. (Rel. IC-25421 - February 13) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Depository Trust Company filed a proposed rule change (SR-DTC-2002- 01), which became effective upon filing, to provide an interpretation with respect to Dutch issues in the Direct Registration System and to increase the limits of the surety bond that is part of the Profile Surety Program. Publication of the proposal is expected in the Federal Register during the week of February 11. (Rel. 34-45430) 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-1 RBX CORP, 5221 VALLEYPARK DR, ROANOKE, VA, 24019-3074, 5405616100 - 0 ($10,018,751.00) Equity, 0 ($16,500,000.00) Non-Convertible Debt, (File 333-82630 - Feb. 13) (BR. 06) S-4 ALLIED WASTE INDUSTRIES INC, 15880 N. GREENWAY-HAYDEN LOOP, SUITE 100, SCOTTSDALE, AZ, 85260, 4806272700 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-82632 - Feb. 13) (BR. 06) S-3 WEATHERFORD INTERNATIONAL INC /NEW/, 515 POST OAK BLVD, SUITE 600, HOUSTON, TX, 77027-3415, 7132978400 - 0 ($52,050,625.00) Equity, (File 333-82634 - Feb. 13) (BR. 04) SB-2 DELTA OIL & GAS INC, 2300 W SAHARA AVE, STE 500 BOX 18, LAS VEGAS, NV, 89102, 7023126255 - 5,008,500 ($1,252,125.00) Equity, (File 333-82636 - Feb. 13) (BR. ) SB-2 OCEAN POWER CORP, 5000 ROBERT J MATHEWS PARKWAY, EL DORADO HILLS, CA, 95672, 9169338100 - 13,720,270 ($13,720,270.00) Equity, (File 333-82638 - Feb. 13) (BR. 05) S-3 NETEGRITY INC, 245 WINTER ST, WALTHAM, MA, 02154, 6178901700 - 2,499,968 ($34,049,564.00) Equity, (File 333-82640 - Feb. 13) (BR. 03) S-3 CORPORATE EXECUTIVE BOARD CO, 2000 PENNSYLVANIA AVE NW, WASHINGTON, DC, 20006, 2026725600 - 0 ($100,880,000.00) Equity, (File 333-82642 - Feb. 13) (BR. 08) S-1 PRINTCAFE SOFTWARE INC, 40 24TH STREET 5TH FLOOR, PITTSBURGH, PA, 15222, 0 ($75,000,000.00) Equity, (File 333-82646 - Feb. 13) (BR. 08) SB-2 RETURN ASSURED INC, 1901 AVENUE OF THE STARS, SUITE 1710, LOS ANGELES, CA, 90067, 8888848809 - 0 ($300,000.00) Equity, (File 333-82648 - Feb. 13) (BR. 06) S-2 EMERGING VISION INC, 100 QUENTIN ROOSEVELT BLVD, SUITE 508, GARDEN CITY, NY, 11530, 6462233600 - 3,825,000 ($334,688.00) Equity, (File 333-82650 - Feb. 13) (BR. 02) S-8 GAMESTOP CORP, 2250 WILLIAM D. TATE AVE., GRAPEVINE, TX, 76051, 8174242159 - 0 ($146,882,272.50) Equity, (File 333-82652 - Feb. 13) (BR. 02) S-3 MILLENNIUM PHARMACEUTICALS INC, 75 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176797000 - 0 ($300,000,000.00) Debt Convertible into Equity, (File 333-82654 - Feb. 13) (BR. 01) SB-2 VIRTUAL LOT INC, 18 N VALLEYVIEW DR, NORTH SALT LAKE CITY, UT, 84054, 8012962799 - 2,030,000 ($1,015,000.00) Equity, (File 333-82656 - Feb. 13) (BR. ) S-8 NEWFIELD EXPLORATION CO /DE/, 363 N SAM HOUSTON PKWY E, STE 2020, HOUSTON, TX, 77060, 2818476000 - 400,000 ($13,360,000.00) Equity, (File 333-82658 - Feb. 13) (BR. 04) S-8 DIGIMARC CORP, 19801 SW 72ND AVENUE, STE 100, TUALATIN, OR, 97062, 5039682908 - 0 ($34,363,990.00) Equity, (File 333-82660 - Feb. 13) (BR. 03) SB-2 DIGITAL DESCRIPTOR SYSTEMS INC, 2010F CABOT BLVD WEST, LANGHORNE, PA, 19047, 2157520963 - 98,024,841 ($1,862,227.00) Equity, (File 333-82662 - Feb. 13) (BR. 03) S-3 PROTOSOURCE CORP, 2300 TULARE STREET, SUITE 210, FRESNO, CA, 93721, 3103149801 - 1,331,230 ($1,264,669.00) Equity, (File 333-82664 - Feb. 13) (BR. 03) S-3 HERSHA HOSPITALITY TRUST, 148 SHERATON DRIVE, BOX A, NEW CUMBERLAND, PA, 17070, 7177702405 - 0 ($3,005,000.00) Equity, (File 333-82666 - Feb. 13) (BR. 08) S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($298,564.00) Equity, (File 333-82668 - Feb. 13) (BR. 03) S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($16,010,781.00) Equity, (File 333-82670 - Feb. 13) (BR. 03) S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($986,375.00) Equity, (File 333-82672 - Feb. 13) (BR. 03) S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($9,307,500.00) Equity, (File 333-82674 - Feb. 13) (BR. 03) S-8 SIMPLEX SOLUTIONS INC, 521 ALMANOR AVENUE, SUNNYVALE, CA, 94085, 4086176100 - 0 ($26,406,663.42) Equity, (File 333-82676 - Feb. 13) (BR. 03) S-8 DIGI INTERNATIONAL INC, 11001 BREN ROAD EAST, MINNETONKA, MN, 55343, 6129123444 - 0 ($4,653,750.00) Equity, (File 333-82678 - Feb. 13) (BR. 03) S-8 CABOT MICROELECTRONICS CORP, 870 NORTH COMMONS DRIVE, AURORA, IL, 60504, 6303756631 - 0 ($184,575,000.00) Equity, (File 333-82680 - Feb. 13) (BR. 06) S-8 UNIFIRST CORP, 68 JONSPIN RD, WILMINGTON, MA, 01887, (978) 658-8888 - 0 ($6,607,500.00) Equity, (File 333-82682 - Feb. 13) (BR. 08) S-8 MOBIUS MANAGEMENT SYSTEMS INC, 120 OLD POST ROAD, RYE, NY, 10580, 9146377200 - 514,000 ($1,233,600.00) Equity, (File 333-82684 - Feb. 13) (BR. 03) S-8 CONCURRENT COMPUTER CORP/DE, 4375 RIVER GREEN PARKWAY, DULUTH, GA, 30097, 6782584000 - 6,824,800 ($86,811,456.00) Equity, (File 333-82686 - Feb. 13) (BR. 03) S-8 LADENBURG THALMANN FINANCIAL SERVICES INC, 590 MADISON AVENUE 34TH FLOOR, NEW YORK, NY, 10022, 5164701000 - 300,000 ($1,218,750.00) Equity, (File 333-82688 - Feb. 13) (BR. 07) S-8 VERIZON COMMUNICATIONS INC, 1095 AVE OF THE AMERICAS, NEW YORK, NY, 10036, 2123952121 - 200,000,000 ($8,808,000,000.00) Equity, (File 333-82690 - Feb. 13) (BR. 37) S-8 WORLD WIDE WIRELESS COMMUNICATIONS INC, 520 THIRD STREET SUITE 101, 510-839-6100, OAKLAND, CA, 94607, 5108396100 - 30,000,000 ($225,000.00) Equity, (File 333-82692 - Feb. 13) (BR. 07) S-8 FAIRCHILD SEMICONDUCTOR INTERNATIONAL INC, 82 RUNNING HILL RD, SOUTH PORTLAND, ME, 04106, 2077758100 - 0 ($98,746,282.00) Equity, (File 333-82694 - Feb. 13) (BR. 36) S-3 ALLEN TELECOM INC, 25101 CHAGRIN BLVD # 350, BEACHWOOD, OH, 44122-5619, 2167655818 - 7,202,631 ($110,157,889.00) Equity, (File 333-82696 - Feb. 13) (BR. 37) S-8 CIBA SPECIALTY CHEMICALS HOLDING INC /FI/, KLYBECKSTRASSE 141, CH 4002 BASEL, 4161696341 - 1,000,000 ($34,015,000.00) ADRs/ADSs, (File 333-82698 - Feb. 13) (BR. 02) S-4 COMPASS MINERALS GROUP INC, 8300 COLLEGE BLVD, OVERLAND PARK, KS, 66210, 2129061200 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-82700 - Feb. 13) (BR. ) S-8 VIRAGE LOGIC CORP, 46501 LANDING PARKWAY, FREEMONT, CA, 94538, 5103608000 - 0 ($27,632,500.00) Equity, (File 333-82702 - Feb. 13) (BR. 01) SB-1 NEW MILLENIUM PACKAGING INC, 222 LAKEVIEW AVENUE, PMB 435, WEST PALM BEACH, FL, 33401, 561-832-5698 - 1,000,000 ($1,000,000.00) Equity, (File 333-82704 - Feb. 13) (BR. ) SB-2 TELENETICS CORP, 25111 ARCTIC OCEAN, LAKE FOREST, CA, 92630, 9494554000 - 20,479,416 ($7,065,399.00) Equity, (File 333-82706 - Feb. 13) (BR. 37) S-4 RES CARE INC /KY/, 10140 LINN STATION RD, LOUISVILLE, KY, 40223, 5023942100 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-82708 - Feb. 13) (BR. 08) S-3 MAXWELL TECHNOLOGIES INC, 8888 BALBOA AVENUE, ., SAN DIEGO, CA, 92123, 8582795100 - 0 ($5,556,090.00) Equity, (File 333-82710 - Feb. 13) (BR. 03) S-3 GENERAL COMMUNICATION INC, 2550 DENALI ST STE 1000, ANCHORAGE, AK, 99503, 9072655600 - 4,500,000 ($33,345,000.00) Equity, (File 333-82712 - Feb. 13) (BR. 37) S-8 CYBER CARE INC, 2500 QUANTUM LAKE DRIVE, SUITE 1000, BOYNTON BEACH, FL, 33426, 5677425000 - 0 ($216,360.00) Equity, (File 333-82714 - Feb. 13) (BR. 01) S-3 MORGAN STANLEY ABS CAPITAL II INC, 1585 BROADWAY, NEW YORK, NY, 10036, 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-82716 - Feb. 13) (BR. 05) N-2 ACP CONTINUUM RETURN FUND II LLC, 1235 WESTLAKES DRIVE, SUITE 350, BERWYN, PA, 19312, 6107863276 - 10 ($10.00) Other, (File 811-21030 - Feb. 13) (BR. ) N-2 ACP STRATEGIC OPPORTUNITIES FUND II LLC, 10 ($10.00) Other, (File 811-21031 - Feb. 13) (BR. ) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------- ADVANCED SWITCHING COMMUNICATIONS INC DE X X 02/12/02 AFFILIATED COMPUTER SERVICES INC DE X X 02/12/02 AIRPLANES LTD DE X 02/13/02 ALLIED WASTE INDUSTRIES INC DE X 02/14/02 AMERICAN BIO MEDICA CORP NY X X 02/12/02 AMERICAN EXPRESS RECEIVABLES FINANCIN DE X X 02/11/02 ANTHRACITE CAPITAL INC MD X X 02/13/02 APPLEBEES INTERNATIONAL INC DE X 02/13/02 APPLEBEES INTERNATIONAL INC DE X X 02/13/02 APPLIED IMAGING CORP DE X 01/31/02 ARRIS GROUP INC DE X X 01/08/02 AMEND ASSOCIATED AUTOMOTIVE GROUP INC FL X X X 01/10/02 AMEND ATCHISON CASTING CORP KS X X 02/13/02 AVAYA INC DE X X 02/11/02 BALLY TOTAL FITNESS HOLDING CORP DE X X 02/13/02 BANNER CORP WA X X 02/11/02 BRESLER & REINER INC DE X X 01/31/02 CAPITAL ONE AUTO FINANCE TRUST 2001-A DE X 08/23/01 CARNIVAL CORP DE X X 02/12/02 CARRIER1 INTERNATIONAL S A N4 X X 02/13/02 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X 02/13/02 CEPHALON INC DE X X 12/28/01 AMEND CHAMPION ENTERPRISES INC MI X 02/13/02 CHARTER COMMUNICATIONS INC /MO/ DE X X 01/30/02 COGENT COMMUNICATIONS GROUP INC X X 02/04/02 AMEND CORPORATE OFFICE PROPERTIES TRUST MD X 02/13/02 CPL TRANSITION FUNDING LLC X X 02/07/02 CRIIMI MAE FINANCIAL CORP MD X 02/01/02 CRIIMI MAE INC MD X 02/13/02 CWABS INC ASSET BACKED CERTIFICATESS DE X X 02/13/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X X 02/12/02 DEERE & CO DE X X 02/12/02 DEERE JOHN CAPITAL CORP DE X X 02/12/02 DELTATHREE INC DE X X 02/13/02 DRUCKER INC DE X 02/13/02 ECOMETRY CORP FL X 02/05/02 EDUVERSE COM NV X X 12/12/01 ELITE TECHNOLOGIES INC /TX/ TX X 02/13/02 EMMIS COMMUNICATIONS CORP IN X 02/13/02 ENETPC INC MN X X 02/13/02 EPRESENCE INC MA X X 02/13/02 EQUITY ONE ABS INC DE X X 02/12/02 EVANS BANCORP INC NY X X 02/13/02 EXELON CORP PA X 02/12/02 EXPEDIA INC WA X 02/04/02 FIRST AMERICAN FINANCIAL CORP CA X X 12/31/01 FIRST NILES FINANCIAL INC DE X X 02/11/02 FLORIDA EAST COAST INDUSTRIES INC FL X 02/13/02 FREEREALTIME COM INC DE X X 01/29/02 FRESENIUS MEDICAL CARE HOLDINGS INC / NY X X 02/13/02 FRIEDMANS INC DE X X 02/11/02 GLOBESPAN INC/DE DE X 12/31/01 AMEND GOODRICH CORP NY X X 09/04/01 GRANITE BROADCASTING CORP DE X X 02/11/02 GROUP LONG DISTANCE INC FL X 02/04/02 HADRON INC NY X X 02/12/02 HALLIBURTON CO DE X X 02/07/02 HEALTH & NUTRITION SYSTEMS INTERNATIO FL X X 02/12/02 HEALTH MANAGEMENT ASSOCIATES INC DE X 01/28/02 HERITAGE PROPANE PARTNERS L P DE X X 02/04/02 HOMESEEKERS COM INC NV X X 02/05/02 HTE INC FL X X 02/13/02 HUB GROUP INC DE X X 02/12/02 I TRAX INC DE X X 02/12/02 INSTINET GROUP INC DE X X 02/13/02 INTERPUBLIC GROUP OF COMPANIES INC DE X X 02/11/02 KANA SOFTWARE INC DE X X 02/12/02 KANEB PIPE LINE OPERATING PARTNERSHIP DE X X 02/11/02 KANEB PIPE LINE PARTNERS L P DE X X 02/11/02 KENDLE INTERNATIONAL INC OH X X 01/29/02 KOGER EQUITY INC FL X X 02/12/02 LABORATORY CORP OF AMERICA HOLDINGS DE X X 02/13/02 LABORATORY CORP OF AMERICA HOLDINGS DE X 02/13/02 LASALLE HOTEL PROPERTIES MD X X 02/11/02 LEVEL 3 COMMUNICATIONS INC DE X 02/13/02 LIBERTY MEDIA CORP /DE/ DE X X 01/30/02 LIFE SCIENCES RESEARCH INC MD X X 02/12/02 MATTEL INC /DE/ DE X X 01/31/02 MAXXAM GROUP HOLDINGS INC DE X 02/12/02 MAXXAM INC DE X 12/02/02 MECHANICAL TECHNOLOGY INC NY X 02/13/02 MFB CORP IN X X 12/31/01 MICROFINANCIAL INC MA X X 02/11/02 MILACRON INC DE X X X 12/31/01 MILLENNIUM PHARMACEUTICALS INC DE X X 02/13/02 MOLICHEM MEDICINES INC DE X X 02/06/02 MORGAN STANLEY DEAN WITTER CAPITAL I DE X 12/31/01 MRV COMMUNICATIONS INC DE X 02/12/02 NATIONAL CITY BANK / X X 01/31/02 NETEGRITY INC DE X 12/14/01 AMEND NEW CENTURY COMPANIES INC DE X 02/04/02 NEW PACIFIC INC X X 01/28/02 NEWSEARCH INC CO X X 01/30/02 AMEND NMS COMMUNICATIONS CORP DE X 11/30/01 AMEND NMS COMMUNICATIONS CORP DE X 11/30/01 AMEND NORTHERN BORDER PARTNERS LP DE X 02/11/02 AMEND NORTHERN BORDER PIPELINE CO TX X 02/11/02 AMEND OFFICE DEPOT INC DE X X 02/13/02 OVERSEAS PARTNERS LTD X X 02/13/02 PACIFIC GAS & ELECTRIC CO CA X 02/13/02 PDG ENVIRONMENTAL INC DE X X 06/21/01 AMEND PG&E CORP CA X 02/13/02 PIER 1 IMPORTS INC/DE DE X 02/12/02 PNW CAPITAL INC DE X X 01/31/02 PRUDENTIAL FINANCIAL INC NJ X X 02/12/02 PUGET SOUND ENERGY INC WA X 02/13/02 RESIDENTIAL ACCREDIT LOANS INC DE X X 02/13/02 AMEND RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 02/13/02 AMEND SIMON PROPERTY GROUP INC /DE/ DE X X 02/07/02 SKY FINANCIAL GROUP INC OH X X 01/29/02 STATEFED FINANCIAL CORP DE X X 02/13/02 SURGILIGHT INC DE X X 02/13/02 TIVO INC DE X 01/22/02 TOYOTA AUTO FINANCE RECEIVABLES LLC DE X X 01/29/02 TRC COMPANIES INC /DE/ DE X 02/06/02 TRIDEX CORP CT X 02/13/02 VDO COM INC /FL FL X X 01/30/02 VIACOM INC DE X 02/13/02 WATERLINK INC DE X X 02/12/02 WATERSIDE CAPITAL CORP VA X 02/12/02 WINDSORTECH INC DE X X X X X 01/30/02 XTREME WEBWORKS NV X 02/13/02 YOUNG BROADCASTING INC /DE/ DE X X 02/13/02 ZOND PANAERO WINDSYSTEM PARTNERS I CA X 02/05/02