SEC NEWS DIGEST Issue 2002-55 March 21, 2002 ENFORCEMENT PROCEEDINGS LISA BEUCHE, CPA, REINSTATED TO PRACTICE AS AN ACCOUNTANT RESPONSIBLE FOR THE PREPARATION OR REVIEW OF FINANCIAL STATEMENTS OF A PUBLIC COMPANY TO BE FILED WITH THE COMMISSION Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Lisa M. Beuche, CPA has applied for and been granted reinstatement of her privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements of a public company to be filed with the Commission. Ms. Beuche, who was suspended from Commission practice on September 28, 1999, pursuant to a settled proceeding, has represented that she has complied and will continue to comply with the terms of the order that suspended her from appearing or practicing before the Commission as an accountant. Ms. Beuche's reinstatement is effective immediately. (Rel. 34-45596; AAE Rel. 1525; File No. 3-10036) COMMISSION BARS MUNICIPAL BOND UNDERWRITER DAVID FITZGERALD FROM ASSOCIATION WITH ANY BROKER-DEALER OR MUNICIPAL SECURITIES DEALER On March 20, the Commission issued an Order Instituting Public Administrative Proceedings, Making Findings And Imposing Remedial Sanctions Pursuant to Sections 15(b) and 15B(c)(4) of the Securities Exchange Act of 1934 barring David E. Fitzgerald from association with any broker or dealer or municipal securities dealer with a right to reapply for association after five years to the appropriate self- regulatory organization, or if there is none, to the Commission. Fitzgerald consented to the entry of the Order. The Order is based upon the entry of an injunction against Fitzgerald by the United States District Court for the Northern District of California on February 16, 2001. The Court entered an order halting a $13.5 million offering of municipal bonds underwritten by Fitzgerald and his firm, Pacific Genesis Group, Inc. The Court required that all proceeds raised in the offering be immediately returned to investors. The Court further prohibited Fitzgerald from future conduct in violation of Section 17(a) of the Securities Act of 1933. (Rel. 34-45599; File No. 3- 10729) COMMISSION SANCTIONS JEREMIAH AND MICHAEL HEGARTY On March 20, the Commission issued an order settling previously instituted administrative proceedings and imposing remedial sanctions against brothers Jeremiah J. Hegarty and Michael P. Hegarty in connection with their roles in a scheme that defrauded their clients of more than $6.5 million. The Commission had instituted the proceedings against the Hegartys based on the entry of a permanent injunction against them by the U.S. District Court for the District of Massachusetts on August 22, 2000. The Commission accepted Jeremiah Hegarty's offer of settlement, in which he consented, without admitting or denying the Commission's findings, to the entry of an order barring him from association with any investment adviser and any broker or dealer with a right to reapply after five years. The Commission also accepted Michael Hegarty's offer of settlement, in which he consented, without admitting or denying the Commission's findings, to the entry of an order barring him from association with any broker or dealer with a right to reapply after five years. According to the Commission's order, the district court found that the Hegartys defrauded their clients through now defunct Hyannis Trading Advisors Inc., a company operated by Jeremiah Hegarty, when they lost nearly all of the client funds Hyannis Trading managed. The court found, among other things, that the Hegartys failed to disclose to their clients that (1) they had lost the ability to calculate account balances and other fundamental account information; and (2) contrary to representations to clients, they had abandoned certain risk-limiting trading techniques by dramatically increasing the frequency, size and risk of the options trades in client accounts. The court further found that Hyannis Trading's marketing brochure, which Michael Hegarty distributed to clients, contained materially misleading statements regarding Jeremiah Hegarty's past trading performance, and that Jeremiah Hegarty, through Hyannis Trading, collected illegal performance fees. The court entered an order that, among other things, permanently enjoined the Hegartys from violating the antifraud provisions of the federal securities laws. For additional information, see Exchange Act Rel. No. 44187; Adviser Act Rel. No. 1939. (Rels. 34- 45600; IA-2020; File No. 3-10455) NOTICE OF PROPOSED PLAN FOR THE DISTRIBUTION OF DISGORGEMENT FUND IN THE MATTER OF FINANCIAL ASSET MANAGEMENT, INC., JAMES B. RADER AND DEBRA L. KENNEDY On March 21, the Commission issued Notice of a Proposed Plan for the Distribution of Disgorgement Fund (Plan) in the Matter of Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy. The notice provides 30 days, until April 20, 2002, within which persons desiring to comment on the Plan may submit their written views. On January 3, 2002, the Commission issued a settled cease-and-desist order against Financial Asset Management, Inc. (FAM), a registered broker-dealer in Columbus, Ohio, and its two principal officers, James B. Rader and Debra L. Kennedy. In its order, the Commission found that FAM, Rader, and Kennedy were causes of securities law violations committed by Michael W. Berger, the Manhattan Investment Fund, Ltd. (Fund), and Manhattan Capital Management, Inc. The Commission ordered FAM to disgorge $641,877 in commissions earned from the Fund's trading, but waived payment of all amounts in excess of $25,000 based on FAM's documented financial condition. On January 15, 2002, FAM, pursuant to the order, disgorged $25,000, which was placed in the United States Treasury pending the approval of the Plan. The Plan provides that the disgorged funds will be paid by the Commission to the Chapter 11 Bankruptcy Trustee for the Fund, (Helen Gredd, Esq., c/o Lankler, Siffert & Wohl, 500 Fifth Avenue, 33rd Floor, New York, New York 10110-3398, telephone (212-921-8399)), for further distribution to the Fund's creditors in accordance with the provisions of the United States Bankruptcy Code. (Rels. 33-8073; 34-45608; IA-2022; File No. 3- 10670) SEC FILES INSIDER TRADING CHARGES RELATED TO ACQUISITION OF INTERACT COMMERCE CORP. On March 20, the Commission filed a complaint in federal court in Phoenix, Arizona, alleging illegal insider trading by John Harbottle, age 47, of Scottsdale, Arizona, former Chief Financial Officer of Interact Commerce Corp. The complaint alleges that Harbottle learned that Sage Group plc intended to acquire Interact in early 2001, and that he used this material, nonpublic information to trade in Interact common stock. Interact is located in Scottsdale, Arizona, and is now a subsidiary of Sage. The Commission's complaint alleges that, in his role as an officer of Interact, Harbottle directly participated in discussions between Interact and Sage in February 2001 concerning a potential corporate transaction. Harbottle also attended a meeting of Interact's Board of Directors on February 13, 2001, during which the Board and senior management discussed Sage's potential interest in acquiring Interact. The Board specifically instructed Harbottle to hire investment bankers to evaluate the potential Sage proposal and to investigate other acquisition possibilities on behalf of Interact. On March 28, 2001, Interact announced that Sage had offered to acquire the company for $12 per share. Interact stock rose 48%, or $3.87 per share, on the news. The Commission's complaint alleges that Harbottle purchased 5,000 shares of Interact stock in his personal brokerage account on February 14, 2001, the day after the Board meeting, and made an illegal profit of $16,969 when he later sold the stock. The Commission's complaint charges Harbottle with insider trading in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder based on his unlawful trades in Interact stock. Without admitting or denying the allegations in the complaint, Harbottle has consented to the entry of a permanent injunction prohibiting him from committing future violations of the antifraud provisions of the federal securities laws. Harbottle has also agreed to disgorge his illegal trading profits with prejudgment interest, and will pay a civil money penalty of $25,000. [SEC v. John Harbottle, Case No. CIV 02-0491 PHX PGR (D. Ariz.)] (LR-17424) SEC SEEKS ENFORCEMENT OF PENALTY ORDER AGAINST PATRICK ROONEY AND ADRIAN ALEXANDER On March 20, the Commission filed an application in federal district court seeking an order commanding Patrick J. Rooney and Adrian Antoniu Alexander to comply with the civil penalty provisions of a Commission order. On June 13, 2001, Rooney and Alexander were ordered, among other things, to pay penalties of $700,000 and $100,000, respectively in a cease-and-desist proceeding in which it was alleged that they had violated Section 15(a) of the Securities Exchange Act and prior Commission orders barring them from associating with any broker or dealer, investment company, investment adviser or municipal securities dealer (In the Matter of Patrick J. Rooney and Adrian Antoniu Alexander, Admin. Proc. File No. 3-10506, June 13, 2001). Even though Rooney and Alexander consented to the entry of the Commission order, neither has paid the civil penalty. [SEC v. Patrick J. Rooney and Adrian Antoniu Alexander, U.S. District Court for the District of Columbia (Misc. No. 02-00134) (ESH)] (LR-17425) SEC FILES CIVIL ACTION AGAINST FORMER CFO OF USA DETERGENTS, INC. AND SETTLES ADMINISTRATIVE PROCEEDINGS WITH SEVEN OTHER FORMER MEMBERS OF THE COMPANY'S MANAGEMENT The Commission today initiated civil litigation in the U.S. District Court for the District of New Jersey against Harold J. Macsata, who was the former Vice President of Finance, Chief Financial Officer, and Treasurer of USA Detergents, Inc. The Commission's complaint against Macsata alleges that he violated, or aided and abetted violations of, the antifraud, periodic reporting, corporate record-keeping, and lying to auditors provisions of the federal securities laws, by resorting to fraudulent methods to increase USA Detergents' reported income during the third and fourth quarters of its fiscal year ended December 31, 1996. Macsata, without admitting or denying the Commission's allegations, consented to entry of a Final Judgment that would enjoin him from future violations of the federal securities laws and order him to pay a civil money penalty of $50,000. USA Detergents was a Delaware corporation that had its principal executive offices in North Brunswick, New Jersey, and was a manufacturer and marketer of laundry and household cleaning products. In May 2001, Church & Dwight Co., Inc. acquired the outstanding common stock of USA Detergents pursuant to a cash tender offer. As a result of the fraudulent acts, USA Detergents filed with the Commission and released to the public a quarterly report for its third quarter of 1996 and an annual report for its 1996 fiscal year that included financial statements that materially misrepresented the company's results of operations, significantly overstating its income. The Commission also instituted and simultaneously settled administrative proceedings against seven other former members of USA Detergents' management. In the first of five separate administrative Orders, the Commission found that Keith Spero, the company's Vice President for Distribution, violated the corporate record-keeping provisions of the federal securities laws and was a cause of violations of the antifraud, periodic reporting, corporate record-keeping, and lying to auditors provisions of the federal securities laws, in connection with the company's improper revenue recognition at year-end 1996. In three separate administrative Orders, the Commission found that Frank Valdez, the company's President; Harlan Schier, the Controller; and Daniel Parker, the Vice President for Materials Management, each caused violations by USA Detergents of the periodic reporting provisions of the federal securities laws. The Commission found that each of the three former members of USA Detergents' management participated in improper practices, or directed acts, that he knew or should have known would have a material impact on the company's financial statements. In a fifth administrative Order, the Commission found that Uri Evan, the Chief Executive Officer and Chairman of the Board of Directors; Joseph S. Cohen, the Vice Chairman of the Board of Directors; and Frederick J. Horowitz, an Executive Vice President, the Chief Administrative Officer, and a director, each caused violations by USA Detergents of the periodic reporting provisions of the federal securities laws. In a joint Order, the Commission found that each of those former officers of USA Detergents knew or should have known of facts that should have put him on notice that the company's financial statements might well be false, and yet, while on such notice, each of them, without further inquiry, signed the company's annual report on Form 10-K for 1996. Simultaneous with the institution of the administrative proceedings, and without admitting or denying the findings contained therein, each of the seven respondents consented to the issuance of a Commission Order ordering him to cease and desist from future violations of the periodic reporting provisions. [SEC v. Harold J. Macsata, Civil Action No. 02- 1233 (JCL) (D.N.J.)] (LR-17426; AAE Rel. 1531) (Administrative Proceedings in the Matter of Keith Spero - Rel. 34-45611, AAE Rel. 1526, File No. 3-10731; In the Matter of Frank Valdez - Rel. 34-45612, AAE Rel. 1527, File No. 3-10732; In the Matter of Harlan Schier - Rel. 34- 45613, AAE Rel. 1528, File No. 3-10733; In the Matter of Daniel Parker - Rel. 34-45614, AAE Rel. 1529, File No. 3-10734; In the Matter of Uri Evan, Joseph S. Cohen, and Frederick J. Horowitz - Rel. 34-45615, AAE Rel. 1530, File No. 3-10735) Bottom of Form INVESTMENT COMPANY ACT RELEASES BEAR STEARNS FUNDS, ET AL. A notice has been issued giving interested persons until April 15, 2002, to request a hearing on an application filed by The Bear Stearns Funds, et al., for an order granting exemptions from Sections 12(d)(1)(A) and (B) of the Investment Company Act (Act) and Section 17(a) of the Act, and permitting certain joint transactions under Section 17(d) of the Act and Rule 17d-1 under the Act. The order would permit (1) certain registered investment companies to pay an affiliated lending agent a fee based on a share of the revenue derived from securities lending activities; (2) the registered investment companies to use cash collateral from securities lending transactions and/or uninvested cash to purchase shares of certain money market funds or affiliated private investment companies; and (3) the registered investment companies to lend portfolio securities to affiliated broker-dealers. (Rel. IC-25467 - March 20) UTEK CORPORATION A notice has been issued giving interested persons until April 15, 2002, to request a hearing on an application filed by UTEK Corporation for an order under Section 61 (a)(3)(B) of the Investment Company Act approving applicant's stock option plan for directors who are not employees or officers of applicants. (Rel. IC-25468 - March 20) ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: The Kent Funds [File No. 811-4824] (Rel. IC- 25469 - March 20, 2002) Credit Suisse Warburg Pincus Central and Eastern Europe Fund, Inc. [File No. 811-8905] (Rel. IC- 25470 - March 20, 2002) Credit Suisse Warburg Pincus Technology Index Fund, Inc. [File No. 811-9959] (Rel. IC- 25472 - March 20, 2002) Threshold Advisor Funds, Inc. [File No. 811-10117] (Rel. IC- 25473 - March 20, 2002) Searay Financial Funds [File No. 811-9743] (Rel. IC- 25474 - March 20, 2002) Strong International Income Funds, Inc. [File No. 811-8318] (Rel. IC- 25475 - March 20, 2002) SCM Strategic Growth Fund [File No. 811-8745] (Rel. IC- 25476 - March 20, 2002) Merrill Lynch Growth Fund [File No. 811-4934] (Rel. IC- 25477 - March 20, 2002) Schroder Series Trust II [File No. 811-8567] (Rel. IC- 25478 - March 20, 2002) Jurika & Voyles Fund Group [File No. 811-8646] (Rel. IC- 25479 - March 20, 2002) The Pakistan Investment Fund, Inc. [File No. 811-6636] (Rel. IC- 25480 - March 20, 2002) Texas Municipals Portfolio [File No. 811-7212] (Rel. IC- 25481 - March 20, 2002) Dreyfus Global Growth Fund [File No. 811-4695] (Rel. IC- 25482 - March 20, 2002) COUNTRY Asset Allocation Fund, Inc. [File No. 811-2839] (Rel. IC- 25483 - March 20, 2002) SG Cowen Standby Reserve Fund, Inc. [File No. 811-3220] (Rel. IC- 25484 - March 20, 2002) SG Cowen Funds, Inc. [File No. 811-5388] (Rel. IC- 25485 - March 20, 2002) SG Cowen Series Funds, Inc. [File No. 811-8487] (Rel. IC- 25486 - March 20, 2002) AARP Growth Trust [File No. 811-4048] (Rel. IC- 25487 - March 20, 2002) SG Cowen Income & Growth Fund, Inc. [File No. 811-4672] (Rel. IC- 25488 - March 20, 2002) The Innovative Funds [File No. 811-9767] (Rel. IC- 25489 - March 20, 2002) INTEGRITY LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until April 15, 2002, to request a hearing on an application filed by Integrity Life Insurance Company, et al. Applicants seek an order pursuant to Section 26(c) of the Investment Company Act to permit substitution of shares of Touchstone High Yield Fund of Touchstone Variable Series Trust for shares of the Morgan Stanley High Yield Portfolio of the Universal Funds. (Rel. IC-25490 - March 20) SELF-REGULATORY ORGANIZATIONS ACCELERATED APPROVAL OF A PROPOSED RULE CHANGE The Commission granted accelerated approval of a proposed rule change (SR-GSCC-2001-08) filed by the Government Securities Clearing Corporation under Section 19(b)(1) of the Exchange Act. The proposed rule change amends GSCC's margin factor and offset class schedules and disallowance percentage schedules. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34- 45593) APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change submitted by the Pacific Exchange, through its wholly owned subsidiary PCX Equities, Inc. (SR-PCX- 2002-05), to amend its rules relating to hearing fees for issuer requests for review of delisting decisions. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34-45594) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-PCX-2002-07) filed by the Pacific Exchange relating to 30-second ITS commitment expirations 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 March 25. (Rel. 34-45595) PROPOSED RULE CHANGES The New York Stock Exchange filed a proposed rule change (SR-NYSE-2001- 40) and Amendment No. 1 and Amendment No. 2 thereto regarding method of delivery of annual reports and proxy materials. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34-45602) The MBS Clearing Corporation filed a proposed rule change (SR-MBSCC-2001- 06) to enhance MBSCC's monitoring of its participants' financial condition and activities. Publication of the proposal is expected in the Federal Register during the week of March 25. (Rel. 34-45604) DELISTINGS GRANTED An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by the Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on March 21, 2002. (Rel. 34-45597) An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, $.01 par value, and Common Stock Purchase Warrants of Travelbyus, Inc., effective at the opening of business on March 21, 2002. (Rel. 34-45598) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . SB-2 EQUINE NUTRACEUTICALS INC, 0 ($26,526.00) Equity, (File 333- 84558 - Mar. 20) (BR. ) S-3 EPIX MEDICAL INC, 71 ROGERS ST, CAMBRIDGE, MA, 02142-1118, 6172506000 - 0 ($65,200,000.00) Equity, (File 333-84566 - Mar. 20) (BR. 01) S-1 ODYSSEY HEALTHCARE INC, 717 N HARWOOD, SUITE 1500, DALLAS, TX, 75201, 2149229711 - 0 ($103,116,853.00) Equity, (File 333- 84570 - Mar. 20) (BR. 08) S-2 PEOPLESWAY COM INC, 2969 INTERSTATE STREET, CHARLOTTE, NC, 28208, 2,000,000 ($400,000.00) Equity, (File 333-84572 - Mar. 20) (BR. 06) S-8 NCO PORTFOLIO MANAGEMENT INC, 1705 WHITEHEAD ROAD, BALTIMORE, MD, 21207, 4105947000 - 3,000,000 ($19,200,000.00) Equity, (File 333-84574 - Mar. 20) (BR. 08) S-8 WINMAX TRADING GROUP INC, 429 SEABREEZE BLVD STE 227, FT LAUDERDALE, FL, 33316, 9545234500 - 909,696 ($1,000,665.60) Equity, (File 333-84576 - Mar. 20) (BR. 09) S-8 ASGA INC /NV, 660 SOUTH HUGHES BLVD, ELIZABETH CITY, NC, 27909, (252) 331-1799 - 3,000,000 ($69,000.00) Equity, (File 333- 84578 - Mar. 20) (BR. 09) S-8 MULLER MEDIA INC, 11 EAST 47TH STREET, 3RD FLOOR, NEW YORK, NY, 10017, 2123170175 - 400,000 ($420,000.00) Equity, (File 333- 84580 - Mar. 20) (BR. 09) S-8 ACTUATE CORP, 701 GATEWAY BLVD, SOUTH SAN FRANCISCO, CA, 94080, 6504252300 - 0 ($22,916,000.00) Equity, (File 333-84582 - Mar. 20) (BR. 03) S-2 CENTRA FINANCIAL HOLDINGS INC, 990 ELMER PRINCE DR, POST OFFICE BOX 656, MORGANTOWN, WV, 26507-0656, 3045998121 - 0 ($9,000,000.00) Equity, (File 333- 84584 - Mar. 20) (BR. 07) S-8 US MICROBICS INC, 5922 B FARNSWORTH COURT, CARLSBAD, CA, 92008, 7609181860 - 2,000,000 ($400,000.00) Equity, (File 333- 84586 - Mar. 20) (BR. 01) S-8 IBIZ TECHNOLOGY CORP, 1919 WEST LONE CACTUS, PHOENIX, AZ, 85201, 6239200 - 10,000,000 ($100,000.00) Equity, (File 333- 84590 - Mar. 20) (BR. 03) S-8 PLATO LEARNING INC, 10801 NESBITT AVENUE SOUTH, BLOOMINGTON, MN, 55437, 8477817800 - 0 ($28,985,000.00) Equity, (File 333-84592 - Mar. 20) (BR. 05) S-3 PEOPLES ENERGY CORP, 24TH FLOOR, 130 EAST RANDOLPH DRIVE, CHICAGO, IL, 60601-6207, 312-240-4000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333- 84594 - Mar. 20) (BR. 02) S-8 NEXPRISE INC, 1010 JOAQUIN ROAD, MOUNTAIN VIEW, CA, 94043, 6505678900 - 5,875,905 ($1,689,315.53) Equity, (File 333-84596 - Mar. 20) (BR. 02) N-2 PROSPECT STREET HIGH INCOME PORTFOLIO INC, 60 STATE STREET, BOSTON, MA, 02109, 6177423800 - 1,350,000 ($6,783,750.00) Equity, (File 333- 84598 - Mar. 20) (BR. 16) S-8 RF MONOLITHICS INC /DE/, 4347 SIGMA RD, DALLAS, TX, 75244, 9722332903 - 300,000 ($990,000.00) Equity, (File 333-84612 - Mar. 20) (BR. 37) S-4 CIENA CORP, 1201 WINTERSON ROAD, LINTHICUM, MD, 21090, 4108658500 - 0 ($966,585,628.58) Equity, (File 333-84614 - Mar. 20) (BR. 37) S-8 KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 75,500,000 ($2,821,435,000.00) Equity, (File 333- 84616 - Mar. 20) (BR. 04) S-3 TRINITY INDUSTRIES INC, 2525 STEMMONS FREEWAY, DALLAS, TX, 75207- 2401, 2146314420 - 0 ($34,410,000.00) Equity, (File 333- 84618 - Mar. 20) (BR. 05) S-8 SEEBEYOND TECHNOLOGY CORP, 404 E HUNTINGTON DR, MONROVIA, CA, 91016-3633, 6264716000 - 0 ($37,336,483.00) Equity, (File 333- 84620 - Mar. 20) (BR. 03) S-8 EIMO PLC, PO BOX 104, NOROKATU 5, LAHTI FINLAND, H9, 15101, 1,500,000 ($2,910,000.00) Other, (File 333-84622 - Mar. 20) (BR. 37) S-3 CENDANT CORP, 9 WEST 57TH STREET, NEW YORK, NY, 10019, 2124131800 - 2,986,857 ($57,317,786.00) Equity, (File 333-84626 - Mar. 20) (BR. 08) S-8 SYBRON DENTAL SPECIALTIES INC, 1717 WEST COLLINS AVENUE, ORANGE, CA, 92867, 7145167400 - 1,000,000 ($18,994,753.00) Equity, (File 333-84628 - Mar. 20) (BR. 01) S-8 SYBRON DENTAL SPECIALTIES INC, 1717 WEST COLLINS AVENUE, ORANGE, CA, 92867, 7145167400 - 30,000 ($573,750.00) Equity, (File 333-84630 - Mar. 20) (BR. 01) S-3 ORTHOVITA INC, 45 GREAT VALLEY PKWY, VALVERN, PA, 19355, 2156401775 - 0 ($2,390,625.00) Equity, (File 333-84632 - Mar. 20) (BR. 36) S-8 LAM RESEARCH CORP, 4650 CUSHING BLVD, FREMONT, CA, 94538, 5106590200 - 0 ($53,360,000.00) Equity, (File 333-84638 - Mar. 20) (BR. 36) S-4 PENNZOIL QUAKER STATE CO, PENNZOIL PLACE, P.O. BOX 2967, HOUSTON, TX, 77252-2967, 7135464000 - 0 ($250,000,000.00) Non- Convertible Debt, (File 333-84640 - Mar. 20) (BR. 04) S-3 DELTA PETROLEUM CORP/CO, 555 17TH ST STE 3310, DENVER, CO, 80202, 3032939133 - 1,503,669 ($6,435,703.32) Equity, (File 333- 84642 - Mar. 20) (BR. 04) S-4 TEXAS UNITED BANCSHARES INC, P.O. BOX B, LA GRANGE, TX, 78945, 9799687261 - 0 ($818,395.00) Equity, (File 333-84644 - Mar. 20) (BR. ) S-8 ASBURY AUTOMOTIVE GROUP INC, 3 LANDMARK SQ, STE 500, STAMFORD, CT, 06901, 2033564400 - 0 ($40,684,073.00) Equity, (File 333-84646 - Mar. 20) (BR. 02) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ------------------------------------------------------------------------------------ ACTIONPOINT INC DE X 03/19/02 ADVANTA BUSINESS RECIEVABLES CORP X 03/20/02 AMERICA WEST HOLDINGS CORP DE X X 03/20/02 AMERICAN HOMESTAR CORP TX X X 03/11/02 AMERICAN MEDICAL SECURITY GROUP INC WI X X 03/19/02 AMFAC JMB HAWAII INC IL X X 03/11/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 03/19/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 03/20/02 AREMISSOFT CORP /DE/ DE X X 03/15/02 ASPEN TECHNOLOGY INC /DE/ DE X X 03/19/02 ASSET BACKED SECURITIES CORP DE X X 02/15/02 BANC ONE AUTO GRANTOR TRUST 1997-B NY X X 03/20/02 BEACON POWER CORP DE X X 03/20/02 BECTON DICKINSON & CO NJ X 03/20/02 BRIGHAM EXPLORATION CO DE X X 02/27/02 AMEND CARRINGTON LABORATORIES INC /TX/ TX X X 01/01/02 CHASE FUNDING INC NY X X 03/19/02 CHROMCRAFT REVINGTON INC DE X X X 03/15/02 CITIBANK SOUTH DAKOTA N A DE X 02/28/02 CITIBANK SOUTH DAKOTA N A DE X 02/28/02 CITIBANK SOUTH DAKOTA N A DE X 02/25/02 CITIBANK SOUTH DAKOTA N A DE X 02/25/02 CLASSIC CABLE INC X X 03/13/02 CLASSIC COMMUNICATIONS INC DE X X 03/13/02 COMPUCREDIT CORP GA X 03/12/02 AMEND COMPUTER ASSOCIATES INTERNATIONAL INC DE X X 03/20/02 CONCURRENT COMPUTER CORP/DE DE X X 03/19/02 CORPORATE VISION INC OK X X X X 03/05/02 COUNTRYWIDE HOME LOAN TRUST HOME LOAN NY X X 03/11/02 DAIMLER BENZ VEHICLE OWNER TRUST 1998 DE X X 02/20/02 DIGITRAN SYSTEMS INC /DE DE X 03/19/02 DOCUMENTUM INC DE X X 03/14/02 DOLLAR GENERAL CORP TN X 03/20/02 DVI RECEIVABLES CORP DE X 02/28/02 DVI RECEIVABLES CORP VIII DE X 02/28/02 EDO CORP NY X 03/11/02 ELEPHANT TALK COMMUNICATIONS INC CA X X 01/04/02 AMEND EMAGIN CORP NV X X 02/27/02 EMERGENT GROUP INC/NY NV X X 03/05/02 ENSCO INTERNATIONAL INC DE X 03/19/02 EXELIXIS INC DE X 12/31/01 EXPEDITORS INTERNATIONAL OF WASHINGTO WA X 03/20/02 FBR ASSET INVESTMENT CORP/VA VA X X 03/14/02 FIRST ALLIANCE CORP /DE/ DE X X 03/14/02 FIRST HORIZON PHARMACEUTICAL CORP DE X X 03/06/02 FLEET HOME EQUITY LOAN CORP DE X 03/20/02 FNB BANCORP/CA/ X X 03/15/02 FRONTLINE CAPITAL GROUP DE X X 03/13/02 GENERAL MAGIC INC DE X X 03/15/02 GREENLAND CORP NV X X X 03/20/02 GREENPOINT HELOC 2001-1 X X 03/15/02 GREENPOINT HOME EQUITY LOAN TRUST 200 X X 03/15/02 GUILFORD PHARMACEUTICALS INC DE X 03/20/02 HANOVER COMPRESSOR CO / DE X 03/19/02 HANOVER COMPRESSOR CO / DE X 03/19/02 HARTFORD FINANCIAL SERVICES GROUP INC DE X 03/19/02 HARTFORD LIFE INC DE X 03/19/02 HOLLYWOOD CASINO CORP DE X X 03/20/02 HORIZON MEDICAL PRODUCTS INC GA X X 03/19/02 HOUSING PROGRAMS LTD CA X X 03/11/02 HUBBELL INC CT X X 03/20/02 IBIS TECHNOLOGY CORP MA X X 03/20/02 ICH CORP /DE/ DE X X 03/20/02 INDYMAC MBS INC X X 01/29/02 INDYMAC MBS INC X 01/29/02 INTEGRATED CIRCUIT SYSTEMS INC PA X 01/04/02 AMEND INTERLOCK SERVICES INC NV X 03/13/02 INTRABIOTICS PHARMACEUTICALS INC /DE DE X X 03/10/02 INTROGEN THERAPEUTICS INC X X 03/06/02 AMEND J2 GLOBAL COMMUNICATIONS INC DE X X 03/12/02 JP REALTY INC MD X X 03/13/02 KOS PHARMACEUTICALS INC FL X X 03/06/02 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE X 03/19/02 LEE SARA CORP MD X X 03/14/02 LEHMAN BROTHERS HOLDINGS INC DE X X 02/28/02 LENOX BANCORP INC OH X X 03/20/02 AMEND MADISON RIVER CAPITAL LLC DE X X 03/08/02 MATRITECH INC/DE/ DE X X 03/04/02 MEDICALOGIC/MEDSCAPE INC OR X 03/18/02 MERRILL LYNCH & CO INC DE X X 03/20/02 MILLENNIUM CHEMICALS INC DE X X 03/20/02 MIRANT CORP DE X 03/08/02 MOHAWK INDUSTRIES INC DE X X 03/20/02 MOHAWK INDUSTRIES INC DE X 03/20/02 MONOGRAM PICTURES INC NV X X X 03/07/02 AMEND MSDW STRUCTURED ASSET CORP DE X 03/19/02 NATIONAL TAX CREDIT INVESTORS II CA X X 03/11/02 NATIONAL TAX CREDIT PARTNERS L P CA X X 03/11/02 NATIONSRENT INC DE X X 03/15/02 NB&T FINANCIAL GROUP INC OH X 03/19/02 NDCHEALTH CORP DE X X 03/20/02 NET2PHONE INC DE X X 03/19/02 NETBANK INC GA X X 02/28/02 AMEND NEW CENTURY HOME EQUITY LOAN TRUST SE DE X X 03/18/02 NUI CORP /NJ/ NJ X X 03/14/02 ON SEMICONDUCTOR CORP DE X X 03/19/02 ON2 TECHNOLOGIES INC CO X X 03/15/02 OVERSEAS PARTNERS LTD X 03/14/02 PACIFICNET COM INC DE X X 03/12/02 PDG ENVIRONMENTAL INC DE X X 06/21/01 AMEND PIONEER COMMERCIAL FUNDING CORP /NY/ NY X 03/18/02 PLASTIC SURGERY CO GA X 03/19/02 PNC MORT ACCEPT CORP COMMERC MORT PAS MO X X 03/11/02 PUGET ENERGY INC /WA WA X 03/20/02 PUGET SOUND ENERGY INC WA X 03/20/02 QWEST COMMUNICATIONS INTERNATIONAL IN DE X 03/18/02 REAL ESTATE ASSOCIATES LTD II CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD III CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD IV CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD V CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD VI CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD VII CA X X 03/11/02 REAL ESTATE ASSOCIATES LTD/CA CA X X 03/11/02 REALITY WIRELESS NETWORKS INC NV X X X X X 03/05/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 03/20/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X 03/20/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 03/20/02 S&T BANCORP INC PA X 12/31/01 SEQUOIA MORTGAGE FUNDING CORP MD X X 03/19/02 SIGA TECHNOLOGIES INC DE X 03/11/02 STRUCTURED ASSET SECURITIES CORP DE X X 03/18/02 SUITE 101 COM INC DE X X 03/15/02 SUNTRUST BANKS INC GA X X 02/12/02 AMEND TEPPCO PARTNERS LP DE X X 03/18/02 TEXAS E SOLUTIONS INC NV X X 03/13/02 AMEND TIMKEN CO OH X 03/20/02 TRICORD SYSTEMS INC /DE/ DE X 03/15/02 TRIDON ENTERPRISES INC CO X 03/18/02 TRINITY INDUSTRIES INC DE X 03/20/02 U S PLASTIC LUMBER CORP NV X X 03/05/02 UNITED AUTO GROUP INC DE X X 03/20/02 UNIVERSAL EQUITY PARTNERS INC DE X X 03/13/02 US INDUSTRIES INC /DE DE X X 03/19/02 VIADOR INC X 03/13/02 VIROPHARMA INC DE X X 03/19/02 VISTA GOLD CORP X 03/20/02 VIZACOM INC DE X X X 12/28/01 AMEND WASHINGTON MUTUAL MORTGAGE SECURITIES DE X 03/18/02 WELLS FARGO ASSET SECURITIES CORP DE X X 03/20/02 WELLS FARGO ASSET SECURITIES CORP DE X X 03/20/02 WHITEHALL JEWELLERS INC DE X X 03/20/02 WILLIAMS COMPANIES INC DE X X 03/19/02 WILLIAMS COMPANIES INC DE X X 03/07/02 AMEND WSN GROUP INC NV X 02/20/02 ZEROS & ONES INC NV X 03/05/02