SEC NEWS DIGEST Issue 2002-64 April 3, 2002 COMMISSION ANNOUNCEMENTS MEDIA ADVISORY - SEC ANNOUNCES ADDITIONAL PANELIST FOR ROUNDTABLE DISCUSSION IN CHICAGO The Commission today announced the addition of Bank One Chairman and CEO James Dimon as a panelist for the SEC's April 4 roundtable discussion of financial disclosure and auditor oversight in Chicago, Ill. Panel One: Improving Financial Disclosure (10:00 a.m. - noon) Moderator: John Rogers, Chairman and CEO, Ariel Capital Management Panelists: James Dimon, Chairman and CEO, Bank One Robert Litan, Economic Studies Director, Brookings Institution John Markese, President, American Association of Individual Investors John Rekenthaler, Research Director, Morningstar Maryann Waryjas, Katten Muchin Zavis John Zielinski, Senior V.P., Northern Trust Panel Two: Assuring Adequate Oversight of Auditing (1:30 - 3:30 p.m.) Moderator: J. Carter Beese Jr, Riggs Capital Partners Panelists: Ken Bertsch, Director, Corporate Governance, TIAA-CREF David Costello, President and CEO, National Association of State Boards of Accountancy Professor Dan Fischel, University of Chicago Law School Barbara H. Franklin, President and CEO, Barbara Franklin Enterprises Edward Nusbaum, CEO, Grant Thornton The roundtable discussion will take place at the SEC's Midwest Regional Office, 9th floor, 175 W. Jackson Blvd., Chicago. The SEC will provide an audio Webcast (live and archived) of both the morning and afternoon sessions on its Web site at www.sec.gov/news/extra/marchroundcast.htm. A complete transcript will be available on the SEC Web site at a later date. (Press Rel. 2002-50) GIOVANNI PREZIOSO NAMED SEC GENERAL COUNSEL Chairman Harvey L. Pitt announced today that the Commission has named Giovanni P. Prezioso to serve as general counsel, the Commission's chief legal officer and adviser. Prezioso, 44, is a partner in the Washington office of the international law firm of Cleary, Gottlieb, Steen & Hamilton, where he has developed extensive securities law experience representing broker-dealers, banking institutions, investment managers and financial market trade associations. "The investing public and the Commission will be incomparably represented by Giovanni, who has had remarkably broad experience in the private sector and who has demonstrated unparalleled creativity, thoughtfulness, intellectual excellence and sound practical wisdom," Pitt said. "We are very fortunate to have attracted someone of his unique talents." Prezioso joined Cleary, Gottlieb as an associate in 1982, after receiving his law degree magna cum laude from Harvard Law School. He became a partner in the law firm in 1991. He received his bachelor's degree from Harvard College in 1979. "The Commission's critical role in sustaining confidence in the U.S. and global securities markets has rarely been greater than today," Prezioso said. "Chairman Pitt's commitment to this mission, and his record of leadership and integrity, make this a compelling opportunity for me, with unique and irresistible appeal. I am honored that the Commission has invited me to play a part in addressing the many major issues of national and international significance currently on its agenda." Prezioso will succeed David M. Becker, who has announced his intention to return to the private practice of law. Becker will leave the Commission on May 7, 2002. He was named general counsel in December 1999. "David has served three chairmen with distinction, and has been the guiding intellectual and pragmatic force behind every major Commission initiative over the period of his tenure here," Pitt said. "I cannot imagine having had better professional counsel or a closer personal relationship with an outstanding colleague, lawyer and friend. We will all miss David and his intellect; I will also miss being buoyed by his wonderful sense of humor. We wish him the very best in his new endeavors." (Press Rel. 2002-51) ENFORCEMENT PROCEEDINGS SEC SUSPENDS FORMER CRITICAL PATH PRESIDENT FROM PRACTICING BEFORE THE COMMISSION AS AN ACCOUNTANT On April 2, the Commission issued an order suspending former Critical Path president David A. Thatcher from appearing or practicing before the Commission as an accountant. Thatcher consented to the Order, which the Commission issued pursuant to Rule 102(e) of its Rules of Practice, without admitting or denying its findings. The Commission suspended Thatcher-who throughout his employment at Critical Path was licensed as a CPA (inactive) in California-based on a United States District Court's order enjoining him from violating the antifraud and other provisions of the federal securities laws. See SEC v. David A. Thatcher and Timothy J. Ganley, Civil Action No. C-02-0621 (SBA)(N.D. Cal. March 28, 2002). The Commission's complaint in that action, filed on February 5, 2002, alleged, among other things, that for two successive fiscal quarters in later 2000, Thatcher and other Critical Path employees caused Critical Path to materially overstate its revenue, and materially understate its loss, in contravention of Generally Accepted Accounting Principles. See Litigation Release No. 17353 (February 5, 2002). The final judgment-on which this Rule 102(e) Order is based-permanently enjoined Thatcher from violating Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5 and 13b2-1 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Exchange Act Rule 13a-13 thereunder. (Rel. 34-45683; AAE Rel. No. 1539; File No. 3-10747) TLC ENTITIES' PRESIDENT AND CFO PLEAD GUILTY TO TAX FRAUD The U.S. Attorney for the Southern District of California announced that the president and Chief Financial Officer of TLC Investments & Trade Co. and related entities pleaded guilty to criminal charges brought in connection with a multimillion dollar offering fraud perpetrated nationwide. Ernest F. Cossey, President, and Gary Williams, CFO of the TLC entities pleaded guilty on March 22, 2002 and February 14, 2002, respectively. Cossey pleaded guilty to one count of conspiracy to commit mail fraud and one count of filing a false tax return. Williams pleaded guilty to one count of preparing a false tax return for Cossey. Cossey faces a possible sentence of 57 to 71 months in prison and Williams faces a possible sentence of 18 to 24 months in prison. Cossey and Williams are scheduled to be sentenced in July 2002. In October 2000, the Commission filed an emergency action against Cossey, Williams and several other defendants, alleging that they violated the registration and antifraud provisions of the securities laws. The Commission's complaint alleged that since 1998, the defendants committed securities fraud by perpetrating a real estate Ponzi scheme. The TLC entities raised over $150 million from more than 1,800 investors, most of whom are senior citizens. The TLC entities promised investors a safe, liquid investment that would pay guaranteed returns of 8 to 15%. Instead, Cossey and Williams misused at least $28.3 million of investor funds to pay other investors, invest in a prime bank scheme, buy racehorses, make charitable contributions and wire funds overseas. Cossey and Williams settled the Commission's action by consenting to the entry of permanent injunctions prohibiting future violations of the antifraud provisions. Cossey also consented to the entry of an injunction prohibiting future violations of the securities registration provisions. The judgments require Cossey to pay $10,690,697 in disgorgement, $271, 921.53 in prejudgment interest and $110,000 in civil penalties and require Williams to pay $248,145 in disgorgement. Prior Litigation Releases dealing with this case: LR-16754, LR- 16789, LR-17085, LR-17199, and LR-17255. [U.S. v. Ernest Frank Cossey, Case No. 02-CR-0795J (S.D. Cal.); U.S. v. Gary Williams, Case No. 02-CR-0285J (S.D. Cal.) (LR-17451) SEC OBTAINS PRELIMINARY INJUNCTION AGAINST ANAMAR COMMUNICATIONS, INC. AND BRETT MALLORY IN CONNECTION WITH ALLEGED FRAUDULENT STOCK OFFERING The Commission announced that on April 1 the Honorable Douglas P. Woodlock, United States District Judge for the District of Massachusetts, issued a preliminarily injunction against Anamar Communications, Inc. and Brett R. Mallory, Anamar's president and CEO, based on the Commission's prima facie showing that Mallory and Anamar violated the antifraud provisions of the federal securities laws by fraudulently offering and selling shares of Anamar stock via the Internet and other means. The Commission's complaint alleges that, since August 2001, Mallory has raised at least $130,000 from at least 14 investors in Massachusetts, Ohio, Virginia and California. According to the Commission, Mallory falsely told investors that, if they purchased Anamar stock at five cents per share, they would double their money in as little as 90 days because Verizon Communications, Inc. had agreed to purchase the company for ten cents per share by December 31, 2001. Mallory also falsely told investors their investments would be risk-free because Verizon had agreed to pay Anamar an opt-out fee if the deal fell through. According to the Commission, however, Verizon never offered or agreed to purchase Anamar, and investors have been unable to recover any of their investments. Previously, on March 15, 2002, the Commission obtained entry of an order temporarily restraining Anamar and Mallory from directly or indirectly continuing to violate the federal securities laws, an asset freeze, an accounting of investor proceeds, and prohibitions against the destruction or alteration of documents. The court's April 1, 2001 order, maintains the asset freeze and preliminarily enjoins Anamar and Mallory from directly or indirectly violating the federal securities laws. For further information, see Litigation Release No. 17419. [SEC v. Anamar Communications, Inc. and Brett R. Mallory, Civil Action No. 02-10471(DPW) (D. MA.)] (LR-17452) SEC MOVES TO ENFORCE INVESTIGATIVE SUBPOENA SERVED ON WIFE OF RAFI KHAN On April 1, the Commission filed an application with the United States District Court for the Central District of California for an order to enforce an investigative subpoena served on Rubina Khan. Rubina Khan is the wife of Rafi Khan, who was a defendant in a prior Commission enforcement action. The subpoena sought testimony from Rubina Khan regarding, among other things, transactions in a bank account and brokerage account in her name. The Commission's application alleges that the information sought from Rubina Khan is directly relevant to a new Commission investigation involving whether Rafi Khan has violated the terms of a prior injunction or Commission bar order, and whether Rafi Khan and others have violated, or are about to violate, certain registration, disclosure, and antifraud provisions of the federal securities laws. The Commission is investigating, among other things, whether Rafi Khan, in performing various services for four public companies, has acted as an unregistered broker or dealer or engaged in fraud in connection with writing and disseminating promotional buy recommendations on each company. The Commission is also investigating whether Rafi Khan may be using a brokerage account held in the name of his wife, Rubina Khan, to conceal his activities. In April 2000, Rafi Khan consented to the entry of a federal district court order permanently enjoining him from violating certain antifraud provisions of the federal securities laws relating to allegations of market manipulation. The Commission alleged, among other things, that Khan manipulated the stock price of two companies using a variety of manipulative practices. In May 2000, Rafi Khan consented to a Commission order barring him from associating with any broker or dealer, with the right to reapply after five years. The Commission's application alleges that Rubina Khan has failed to comply with a subpoena legally issued by the Commission, and that she has no valid justification for failing to comply. A hearing on the Commission's application has not yet been scheduled. [SEC v. Rubina Khan (Case No. CV 02-02666 FMC) (CTx) CD Cal.] (LR-17453) UNITED STATES DISTRICT COURT ISSUES PRELIMINARY INJUNCTION ORDER AGAINST MARKETERS OF $50 MILLION PONZI SCHEME On March 14, following a three-day hearing, the Honorable James H. Michael, Jr., Senior U. S. District Judge for the Western District of Virginia, issued a preliminary injunction order against three participants in an alleged Ponzi scheme orchestrated by Defendant Terry L. Dowdell that has raised more than $50 million since April 1998. The SEC alleged that Defendants Vavasseur Corporation, a Bahamian corporation, Kenneth G. Mason, an attorney residing in Wilmette, Illinois and Birgit Mechlenburg, a resident of Lenox, Massachusetts, offered fictitious "prime bank" securities that they claimed would provide virtually risk-free returns of 4 percent per week for 40 weeks per year - up to 160% per year. The SEC further alleged that there was in fact no actual trading program, and that the Defendants were instead operating a classic Ponzi scheme in which old investors were being paid with new investor money. The Court found that the SEC had established a substantial likelihood of success in proving that Mason, Mechlenburg and Vavasseur Corp. each made material misrepresentations in connection with the sale of these securities and that each did so recklessly. Judge Michael previously issued an agreed preliminary injunction order on February 27, 2002 against Defendants Terry L. Dowdell and Dowdell, Dutcher & Associates, Inc., both of Charlottesville, Virginia. In the preliminary injunction orders, the Court extended its earlier asset freeze order, pursuant to which more than $20 million of misappropriated investor funds have been frozen. [SEC v. Dowdell et al., Civil Action No. 3:01CV00116 (W.D. Virginia)] (LR- 17454) MARK GINSBURG AND JORDAN GINSBURG SETTLE INSIDER TRADING CHARGES BY PAYING OVER $4.7 MILLION The Commission announced today that on March 30, 2002, Judge Kenneth L. Ryskamp of the U.S. District Court for the Southern District of Florida, entered final judgments against Mark J. Ginsburg and Jordan E. Ginsburg in a case involving charges of unlawful insider trading in the stock of EZ Communications, Inc. by Mark and Jordan Ginsburg, and additional unlawful insider trading in the stock of Katz Media Group, Inc. by Mark Ginsburg. The SEC's complaint alleges that Mark Ginsburg's brother, then a CEO of a radio company, tipped Mark Ginsburg with material nonpublic "inside" information that EZ Communications, Inc. was for sale in July 1996 and that Mark Ginsburg purchased EZ stock and tipped their father Jordan Ginburg who also purchased EZ stock prior to the announcement of the sale of EZ to American Radio Systems, Inc. The SEC's complaint also alleges that, less than a year later, in June 1997, Mark Ginsburg received from his brother information about the sale of Katz Media at a time when substantial steps had been taken towards a joint tender offer for the shares of Katz Media. Without admitting or denying the SEC's allegations in the complaint, Mark Ginsburg and Jordan Ginsburg settled the SEC's insider trading charges against them by consenting to the entry of final judgments, which (1) permanently enjoins Mark Ginsburg against violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 ("Exchange Act") and Rules 10b-5 and 14e-3 thereunder, and requires him to pay disgorgement, prejudgment interest, and a civil money penalty pursuant to Section 21A of the Exchange Act in the total amount of $3,695,902.35; and (2) permanently enjoins Jordan Ginsburg against violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and requires him to pay disgorgement, prejudgment interest, and a civil money penalty pursuant to Section 21A of the Exchange Act in the total amount of $1,060,647.95. The SEC is continuing to litigate against the remaining defendant in this action. The SEC acknowledges the valuable assistance provided by The American Stock Exchange in certain parts of the investigation of this matter. For further information, see LR- 16275. [SEC v. Scott K. Ginsburg, et al., Civil Action No. 99-8694- CIV-RYSKAMP, SD Fla., West Palm Beach Div.] (LR-17455) INVESTMENT COMPANY RELEASES CONSECO VARIABLE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until April 25, 2002, to request a hearing on an application filed by Conseco Variable Insurance Company (Conseco Variable), Conseco Variable Annuity Account C, Conseco Variable Annuity Account E, Conseco Variable Annuity Account F, Conseco Variable Annuity Account G, Conseco Variable Annuity Account H, and Conseco Variable Annuity I (each an "Account," together the "Accounts") (the Accounts together with Conseco Variable, the "Applicants"). Applicants seek an order approving the substitution of securities issued by Strong Opportunity Fund II: Investor Class for securities issued by Berger IPT-New Generation Fund currently held in the Accounts to support certain variable annuity contracts issued by the Applicants. [Rel. IC-25504 - April 1) THE CATHOLIC FUNDS, INC., ET AL. An order has been issued on an application filed by The Catholic Funds, Inc., et al. under Section 17(b) of the Act granting an exemption from Section 17(a) of the Act. The order permits a series of a registered open-end management investment company to acquire substantially all of the assets, net of liabilities, of certain other series of the same registered open-end management investment company. Because of certain affiliations, applicants may not rely on Rule 17a-8 under the Act. (Rel. IC-25505 - April 2) JEFFERSON PILOT FINANCIAL INSURANCE COMPANY, ET AL. An order has been issued on an Application filed by Jefferson Pilot Financial Insurance Company and its JPF Separate Account A, JPF Separate Account C, JPF Variable Annuity Separate Account, JPF Variable Annuity Separate Account II, and Jefferson Pilot LifeAmerica Insurance Company, and its JPF Separate Account B, pursuant to Section 26(c) of the Investment Company Act of 1940 approving the substitution of shares of the Oppenheimer Bond Fund/VA with shares of the PIMCO Total Return Bond Portfolio; shares of the Oppenheimer Strategic Bond Fund/VA with shares of the PIMCO Total Return Bond Portfolio; shares of the Oppenheimer Capital Appreciation Fund/VA with shares of the Growth Portfolio of the Fidelity VIP Fund; and shares of the JPVF Global Hard Assets Portfolio with shares of the JPVF World Growth Stock Portfolio. (Rel. IC-25506 - April 2) INVESTEC ERNST & COMPANY, ET AL. A notice has been issued giving interested persons until April 23, 2002 to request a hearing on an application filed by Investec Ernst & Company (Sponsor), Equity Securities Trust, and EST Symphony Trust. Applicants request an order (a) under Section 12(d)(1)(J) of the Investment Company Act of 1940 ("Act") to permit certain series of registered unit investment trusts to offer and sell their units to the public with a sales load that exceeds the 1.5% limit in Section 12(d)(1)(F)(ii) of the Act; (b) under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act to permit the trust series to invest in affiliated registered investment companies within the limits of Section 12(d)(1)(F) of the Act; and (c) under Section 6(c) of the Act for exemptions from Sections 14(a) and 19(b) of the Act and Rule 19b-1 thereunder to permit the trust series to publicly offer their units without the Sponsor having to take for its own account or place with others $100,000 worth of units, and to permit the trust series to distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC- 25507 - April 3) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change and Amendment No.1 thereto filed by the Pacific Exchange relating to the addition of a surcharge fee for the automatic execution of broker-dealer orders (SR-PCX-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 1. (Rel. 34-45662) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change under Rule 19b-4 (SR-CBOE-2002-08) relating to the allocation of orders. Publication of the proposal is expected in the Federal Register during the week of April 1. (Rel. 34-45670) The National Association of Securities Dealers, through its subsidiary, the Nasdaq Stock Market, Inc., has filed a proposed rule change (SR-NASD-2002-01) and Amendment No. 1 thereto relating to the automatic refreshing of quotations in Nasdaq's SuperMontage system and the withdrawal of market makers that fail to maintain a clearing relationship. Publication of the proposal is expected in the Federal Register during the week of April 1. (Rel. 34-45671) EXTENSION OF THE COMMENT PERIOD On February 13, 2002, the National Association of Securities Dealers, Inc., and on February 27, 2002, the New York Stock Exchange, filed with the Securities and Exchange Commission proposed rule changes SR-NASD-2002-21 and SR-NYSE-2002-09, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, relating to research analyst conflicts of interest. The comment period expires on April 4, 2002. The Commission has decided to extend the comment period pursuant to Section 19(b)(2) of the Act. Accordingly, the comment period shall be extended until April 18, 2002. Publication of the Notice of Extension of the Comment Period is expected in the Federal Register during the week of April 1. (Rel. 34-45679) WITHDRAWAL GRANTED An order has been issued granting the application of The Rottlund Company, Inc. to withdraw its Common Stock, $.10 par value, from listing and registration on the American Stock Exchange, effective April 3, 2002. (Rel. 34-45682) 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 BSQUARE CORP /WA, 3150 139TH AVE SE SUITE 500, BELLEVUE, WA, 98005, 4255195900 - 181,631 ($156,184.67) Equity, (File 333-85340 - Apr. 2) (BR. 08) S-8 JANUARY 31 2002 VOTING TRUST, 333 MIDDLEFIELD ROAD, SUITE 200, MENLO PARK, CA, 94025, 4154644600 - 1,250,000 ($237,500.00) Equity, (File 333-85342 - Apr. 2) (BR. ) S-8 CYBERFAST SYSTEMS INC, 777 YAMATO ROAD SUITE 105, BOCA RATON, FL, 33431, 5619956255 - 1,250,000 ($237,500.00) Equity, (File 333-85344 - Apr. 2) (BR. 37) S-8 VOIP TELECOM INC//, 1116-1030 W GEORGIA STREET, VANCOUVER BC V6E 2YE, CA, 92660, 6044696957 - 420,000 ($210,000.00) Debt Convertible into Equity, (File 333-85346 - Apr. 2) (BR. 05) S-8 HIBERNIA CORP, 313 CARONDELET ST, NEW ORLEANS, LA, 70130, 5045335333 - 0 ($65,957,500.00) Equity, (File 333-85350 - Apr. 2) (BR. 07) S-3D INVESTORS REAL ESTATE TRUST, 12 S MAIN STREET, SUITE 100, MINOT, ND, 58701, 701-837-4738 - 200,000 ($1,918,000.00) Equity, (File 333-85352 - Apr. 2) (BR. 08) S-8 TERAYON COMMUNICATION SYSTEMS, 2952 BUNKER HILL LN, SANTA CLARA, CA, 95054, 4087274400 - 0 ($22,935,000.00) Equity, (File 333-85354 - Apr. 2) (BR. 37) S-1 INVERESK RESEARCH GROUP INC, 11000 WESTON PARKWAY, SUITE 100, CARY, NC, 27513, 9194609005 - 0 ($150,000,000.00) Equity, (File 333-85356 - Apr. 2) (BR. ) S-8 CONSTELLATION 3D INC, 230 PARK AVENUE, SUITE 453, NEW YORK, NY, 10169, 9545683007 - 290,000 ($92,800.00) Equity, (File 333-85358 - Apr. 2) (BR. 03) S-8 SENSIENT TECHNOLOGIES CORP, 777 EAST WISCONSIN AVENUE, MILWAUKEE, WI, 53202, 4142716755 - 0 ($690,300.00) Equity, (File 333-85360 - Apr. 2) (BR. 02) S-8 JAMES BARCLAY ALAN INC, 509 MADISON AVENUE 16TH FLOOR, NEW YORK, NY, 10022, 2126050150 - 993,250 ($297,975.00) Equity, (File 333-85362 - Apr. 2) (BR. 09) SB-2 PACIFIC NAKON INTERNATIONAL INC, 10,000,000 ($10,000,000.00) Non-Convertible Debt, (File 333-85364 - Apr. 2) (BR. ) S-8 PEDIATRIX MEDICAL GROUP INC, 1301 CONCORD TERRACE, SUNRISE, FL, 33323, 9543840175 - 2,500,000 ($100,800,000.00) Equity, (File 333-85366 - Apr. 2) (BR. 01) S-8 BIOMARIN PHARMACEUTICAL INC, 371 BEL MARIN KEYS BLVD, STE 210, NOVATO, CA, 94949, 4158846700 - 6,717,229 ($64,955,604.43) Equity, (File 333-85368 - Apr. 2) (BR. 01) S-3 HEALTH CARE PROPERTY INVESTORS INC, 4675 MACARTHUR COURT 9TH FL, SUITE 900, NEWPORT BEACH, CA, 92660, 9492210600 - 0 ($203,850,000.00) Equity, (File 333-85370 - Apr. 2) (BR. 08) S-8 HLM DESIGN INC, 121 W TRADE ST, STE 2950, CHARLOTTE, NC, 28202, 7043580779 - 50,000 ($150,000.00) Equity, (File 333-85372 - Apr. 2) (BR. 06) S-8 CNET NETWORKS INC, 150 CHESTNUT ST, SAN FRANCISCO, CA, 94111, 4153648000 - 7,500,000 ($59,400,000.00) Equity, (File 333-85374 - Apr. 2) (BR. 05) S-8 SIERRA MONITOR CORP /CA/, 1991 TAROB CT, MILPITAS, CA, 95035, 4082626611 - 302,458 ($447,638.00) Equity, (File 333-85376 - Apr. 2) (BR. 36) S-8 INTERTRUST TECHNOLOGIES CORP, 4750 PATRICK HENRY BLVD., SANTA CLARA, CA, 95054, 4088550100 - 0 ($4,551,000.00) Equity, (File 333-85378 - Apr. 2) (BR. 03) S-8 VISTA MEDICAL TECHNOLOGIES INC, 5451 AVENIDA ENCINAS, SUITE A, CARLSBAD, CA, 92008, 7606039120 - 0 ($774,375.00) Equity, (File 333-85380 - Apr. 2) (BR. 36) S-3 MULTIMEDIA GAMES INC, 8900 SHOAL CREEK BLVD, STE 300, AUSTIN, TX, 78757, 5123717100 - 0 ($120,198,000.00) Equity, (File 333-85382 - Apr. 2) (BR. 05) S-8 ABCI HOLDINGS INC, 5897 OBERLIN DRIVE, SUITE 210, SAN DIEGO, CA, 92121, 7604348486 - 0 ($25,000.00) Equity, (File 333-85384 - Apr. 2) (BR. 08) S-3 VERSO TECHNOLOGIES INC, 400 GALLERIA PARKWAY, SUITE 300, ATLANTA, GA, 30326, 7706123500 - 0 ($635,968.00) Equity, (File 333-85386 - Apr. 2) (BR. 03) S-8 SULZER MEDICA LTD, ZURCHERSTERSTRASSE 12, 8401 WINTERTHUR SWIT, V8, 7135616300 - 0 ($2,318,750.00) ADRs/ADSs, (File 333-85388 - Apr. 2) (BR. 01) S-8 ABM INDUSTRIES INC /DE/, 160 PACIFIC AVENUE, SUITE 222, SAN FRANCISCO, CA, 94111, 4157334000 - 2,000,000 ($73,160,000.00) Equity, (File 333-85390 - Apr. 2) (BR. 08) S-8 ASCENDANT SOLUTIONS INC, 13727 NOEL ROAD, SUITE 500, DALLAS, TX, 75240, 2143487200 - 2,000,000 ($700,000.00) Equity, (File 333-85392 - Apr. 2) (BR. 07) S-8 BIO IMAGING TECHNOLOGIES INC, 826 NEWTOWN-YARDLEY ROAD, NEWTOWN, PA, 18940-1721, 2677571360 - 950,000 ($1,140,000.00) Equity, (File 333-85394 - Apr. 2) (BR. 01) S-4 BANKNORTH GROUP INC/ME, ONE PORTLAND SQ, P O BOX 9540, PORTLAND, ME, 04112, 2077618500 - 0 ($22,448,628.00) Equity, (File 333-85396 - Apr. 2) (BR. 07) S-3 GOOD GUYS INC, 7000 MARINA BLVD, BRISBANE, CA, 94005, 4156155000 - 3,080,000 ($8,254,400.00) Equity, (File 333-85398 - Apr. 2) (BR. 02) S-8 AGCO CORP /DE, 4205 RIVER GREEN PKWAY, DULUTH, GA, 30096, 7708139200 - 0 ($27,337,500.00) Equity, (File 333-85400 - Apr. 2) (BR. 36) S-8 INVERNESS MEDICAL INNOVATIONS INC, 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($556,346.40) Equity, (File 333-85402 - Apr. 2) (BR. 01) S-8 AGCO CORP /DE, 4205 RIVER GREEN PKWAY, DULUTH, GA, 30096, 7708139200 - 0 ($57,374,589.06) Equity, (File 333-85404 - Apr. 2) (BR. 36) S-3 VISTEON CORP, 5500 AUTO CLUB DR, DEARBORN, MI, 48126-2683, 0 ($800,000,000.00) Other, (File 333-85406 - Apr. 2) (BR. 05) F-3 STELMAR SHIPPING LTD, STATUS CENTER 2A AREOS STREET, VOULIAGMENI GR 16671 ATHENS GREECE, ATHENS GREECE, J3, 00000, 0113019670 - 0 ($68,999,998.00) Equity, (File 333-85408 - Apr. 2) (BR. 05) S-3 MTI TECHNOLOGY CORP, 4905 E LA PALMA AVE, ANAHEIM, CA, 92807, 7149700300 - 0 ($196,398.33) Equity, (File 333-85410 - Apr. 2) (BR. 03) S-8 MONARCH CASINO & RESORT INC, 1175 W MOANA LANE, STE 200, RENO, NV, 89509, 7758253355 - 75,000 ($637,796.00) Equity, (File 333-85412 - Apr. 2) (BR. 05) SB-2 DYNASTY INTERNATIONAL CORP INC, 600,000 ($60,000.00) Equity, (File 333-85414 - Apr. 2) (BR. ) S-8 MONARCH CASINO & RESORT INC, 1175 W MOANA LANE, STE 200, RENO, NV, 89509, 7758253355 - 250,000 ($1,783,500.00) Equity, (File 333-85418 - Apr. 2) (BR. 05) S-8 MONARCH CASINO & RESORT INC, 1175 W MOANA LANE, STE 200, RENO, NV, 89509, 7758253355 - 100,000 ($776,240.00) Equity, (File 333-85420 - Apr. 2) (BR. 05) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ AAIPHARMA INC DE X X 03/29/02 ACHIEVEMENT TECH HOLDINGS INC /ID/ ID X X 03/19/02 ACT MANUFACTURING INC MA X X 03/25/02 ADVANCED ENERGY INDUSTRIES INC DE X 01/18/02 AMEND AIRTRAN HOLDINGS INC NV X X 04/02/02 AIRTRAN HOLDINGS INC NV X X 04/02/02 AMEND ALKERMES INC PA X X 04/02/02 ALLIANCE DATA SYSTEMS CORP DE X X 04/01/02 ALLIED HOLDINGS INC GA X X 04/02/02 ALPINE AIR EXPRESS INC/DE DE X 04/01/02 AMERICAN COMMUNITY PROPERTIES TRUST MD X 04/02/02 AMERICAN PHYSICIANS SERVICE GROUP INC TX X 04/02/02 AMERIQUEST MORTGAGE SECURITIES INC AS DE X X 03/21/02 APACHE CORP DE X X 03/29/02 APACHE OFFSHORE INVESTMENT PARTNERSHI DE X X 03/29/02 ATCHISON CASTING CORP KS X X 02/02/02 ATLANTIC CITY ELECTRIC CO NJ X X 04/01/02 AVI BIOPHARMA INC OR X X 03/25/02 BA MORTGAGE SECURITIES INC MORT PS TH DE X 03/25/02 BA MORTGAGE SECURITIES INC PASS THR C DE X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BAMS MORTGAGE PASS THROUGH CERTIFICAT NC X 03/25/02 BANK OF AMERICA 1999-10 NC X 03/25/02 BANK OF AMERICA 1999-11 NC X 03/25/02 BANK OF AMERICA 1999-11 NC X 03/25/02 BANK OF AMERICA 1999-3 NC X 03/25/02 BANK OF AMERICA 1999-4 DE X 03/25/02 BANK OF AMERICA 1999-5 NC X 03/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 03/25/02 BANK OF AMERICA MOR SEC INC MOR PASS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS DE X 03/25/02 BANK OF AMERICA MORT SEC INC MORT PAS NC X 03/25/02 BANK OF AMERICA MORT SECS MORT PASS T DE X 03/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 03/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X 03/25/02 BANK OF AMERICA MORTGAGE SEC MORT PAS NC X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANK OF AMERICA MORTGAGE SECURITIES I DE X 03/25/02 BANYAN STRATEGIC REALTY TRUST MA X X 04/01/02 BAY BANKS OF VIRGINIA INC VA X X 03/26/02 BEAR STEARNS ARM TRUST MORTGAGE PASS DE X X 03/25/02 BEAR STEARNS ARM TRUST MORTGAGE PASS NY X X 03/25/02 BEAR STEARNS COMPANIES INC DE X X 03/27/02 BLACK & DECKER CORP MD X X 04/02/02 BUCKEYE TECHNOLOGIES INC DE X 03/31/02 BUDGET GROUP INC DE X X 04/02/02 CADDO ENTERPRISES INC NV X 03/28/02 CALDERA INTERNATIONAL INC/UT DE X 04/01/02 CENTEX CONSTRUCTION PRODUCTS INC DE X X 03/23/02 AMEND CENTEX CORP NV X X 03/23/02 AMEND CENTEX DEVELOPMENT CO LP DE X X 03/23/02 AMEND CHINA GLOBAL DEVELOPMENT INC DE X X 03/26/02 CHL MORTGAGE PASS THROUGH CERTIFICATE DE X 03/25/02 CHL MORTGAGE PASS THROUGH TRUST 2001 DE X 03/25/02 CHL MORTGAGE PASS-THROUGH TRUST 2001- DE X 03/25/02 CHL MORTGAGE PSS THROUGH TRUST 2002-1 DE X 03/25/02 CMC SECURITIES CORP II DE X X 01/25/02 COBALT CORP WI X X 03/29/02 CONCIERGE TECHNOLOGIES INC CA X 03/20/02 CONECTIV DE X X 04/01/02 CONTINENTAL AIRLINES INC /DE/ DE X X 04/01/02 CORECOMM LTD /DE/ DE X X 04/01/02 COUNTRYWIDE HOME LOANS MORT PAS THR T DE X 03/25/02 COUNTRYWIDE HOME LOANS MORT PAS THR T DE X 03/25/02 COVANTA ENERGY CORP DE X X 04/01/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X 04/02/02 CROWN NORTHCORP INC DE X 03/26/02 CROWN PACIFIC PARTNERS L P DE X X 04/01/02 CWABS INC ASSET BACKED CERTIFICATES S DE X 03/25/02 CWMBS CHL MORT PASS THRU CERTIFICATES DE X 03/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2001 DE X 03/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2001 DE X 03/25/02 CWMBS INC ALTERNATIVE LOAN TRUST 2001 DE X 03/25/02 CWMBS INC CHL MORTGAGE PAS THR TRUST DE X 03/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH C DE X 03/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 03/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 03/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 03/25/02 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 03/25/02 CWMBS INC MORT PASS THROUGH CERT SERI DE X 03/25/02 CWMBS INC RESECURITIZATION MORTGAGE T DE X 03/28/02 DEL GLOBAL TECHNOLOGIES CORP NY X 04/01/02 DIGITAS INC DE X X 03/27/02 DOCUMENTUM INC DE X X 04/01/02 DURA AUTOMOTIVE SYSTEMS INC DE X X 04/01/02 DYNAMICS RESEARCH CORP MA X 03/29/02 EMCLAIRE FINANCIAL CORP PA X 03/21/02 AMEND ENTERPRISE PRODUCTS PARTNERS L P DE X X 04/02/02 EQCC RECEIVABLES CORP DE X 03/25/02 EQCC RECEIVABLES CORP DE X 03/25/02 FARO TECHNOLOGIES INC FL X X 01/16/02 AMEND FIRST CONSUMERS MASTER TRUST IL X 02/28/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T TX X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T NY X 03/25/02 FIRST HORIZON MORTGAGE PASS THROUGH T DE X 03/25/02 FIRST HORIZON MORTGAGE PASS-THROUGH T DE X 03/25/02 FIRST MERCHANTS CORP IN X X 04/02/02 FIRST SOUTHERN BANCSHARES INC/DE DE X X 04/02/02 FLEMING COMPANIES INC /OK/ OK X X 04/01/02 FORD MOTOR CO DE X X 04/02/02 FORD MOTOR CREDIT CO DE X X 04/02/02 FOSTER WHEELER LTD D0 X X 04/01/02 FTLA INC FL X X X X 03/29/02 GALAXY INVESTMENTS INC CO X 03/31/02 GE CAPITAL COMMERCIAL MORTGAGE CORP DE X X 04/02/02 GENERAL MOTORS CORP DE X 04/02/02 GLYKO BIOMEDICAL LTD X X 03/28/02 GREATE BAY CASINO CORP DE X X 03/20/02 HAGGAR CORP NV X X 04/02/02 HOMEGATE CORP DE X X 06/01/01 AMEND HUMPHREY HOSPITALITY TRUST INC VA X 04/02/02 IDI GLOBAL INC NV X X 01/16/02 INTERLOCK SERVICES INC NV X X 03/15/02 AMEND INTERSTATE BAKERIES CORP/DE/ DE X X 04/01/02 INVISION TECHNOLOGIES INC DE X X 04/02/02 JACOBS ENGINEERING GROUP INC /DE/ DE X X 04/01/02 KFX INC DE X X 03/28/02 KINDRED HEALTHCARE INC DE X X 04/01/02 LATTICE SEMICONDUCTOR CORP DE X X 01/18/02 AMEND LEE ENTERPRISES INC DE X 04/01/02 LIFECELL CORP DE X X 04/02/02 LIGAND PHARMACEUTICALS INC DE X X 04/01/02 LMI AEROSPACE INC MO X 04/02/02 LML PAYMENT SYSTEMS INC A1 X X 03/28/01 LONG BEACH SECURITIES CORP DE X 04/02/02 MAVERICK TUBE CORPORATION DE X X 04/02/02 MAYNARD OIL CO DE X X 04/01/02 MEADWESTVACO CORP DE X X 04/02/02 MERCHANTS BANCSHARES INC DE X X 02/25/02 AMEND MERIX CORP OR X X 04/01/02 META GROUP INC DE X X 04/01/02 MODINE MANUFACTURING CO WI X 04/01/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 03/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 03/25/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 03/25/02 NB&T FINANCIAL GROUP INC OH X 03/19/02 AMEND NEOMEDIA TECHNOLOGIES INC DE X 04/01/02 NEOTHERAPEUTICS INC DE X 04/02/02 NEOWARE SYSTEMS INC DE X X 03/25/02 NETRADIO CORP MN X 04/02/02 NORTHEAST GENERATION CO CT X 03/15/02 NS GROUP INC KY X X 04/01/02 NS GROUP INC KY X X 04/02/02 NTL INC/DE/ DE X X 04/02/02 ON SEMICONDUCTOR CORP DE X X 04/02/02 ONTRACK DATA INTERNATIONAL INC MN X X 04/01/02 OSTEOTECH INC DE X 04/01/02 PACIFIC GAS & ELECTRIC CO CA X X 04/02/02 PARAMARK ENTERPRISES INC DE X X 03/05/02 AMEND PAXAR CORP NY X X 03/27/02 AMEND PENNZOIL QUAKER STATE CO DE X 03/25/02 AMEND PERRY ELLIS INTERNATIONAL INC FL X X 03/22/02 PG&E CORP CA X X 04/02/02 PHARMACEUTICAL RESOURCES INC NJ X 01/11/02 AMEND PIERRE FOODS INC NC X X 03/27/02 PROVIDENT FINANCIAL HOLDINGS INC DE X X 04/02/02 QUEST DIAGNOSTICS INC DE X 04/02/02 RURBAN FINANCIAL CORP OH X X 04/02/02 SALOMON BROTHERS COMMERCIAL MORTGAGE DE X X 03/13/02 SOLECTRON CORP DE X X 03/28/02 SOURCINGLINK NET INC DE X X 03/27/02 SOUTHERN SECURITY BANK CORP DE X X 12/31/01 AMEND SPECIAL METALS CORP DE X X 03/27/02 SPECTRAFAX CORP FL X X 03/29/02 STILWELL FINANCIAL INC DE X X 04/02/02 TALX CORP MO X X X 03/27/02 TBM HOLDINGS INC FL X X 04/01/02 TEAM HEALTH INC TN X X 04/02/02 THUNOR INTERNATIONAL INC DE X X X 03/29/02 UNILAB CORP /DE/ DE X X 04/01/02 UNIVERSAL EQUITY PARTNERS INC DE X X 03/13/02 AMEND VALERO L P DE X 04/02/02 X NET SERVICES CORP NV X 01/02/02