SEC NEWS DIGEST Issue 2002-170 September 3, 2002 COMMISSION ANNOUNCEMENTS PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS - SEPTEMBER 2002 The following is a schedule for September 2002 of the public appearances of SEC officials, including the Chairman, Commissioners, and senior staff members. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: Wednesday, September 4 - Thursday, September 5 Who: Commissioner Harvey J. Goldschmid What: Corporate Governance from a Securities and Exchange Commission Perspective Where: Fluno Center for Executive Education, Madison Wisconsin Contact: Carol A. Kelley (202) 942-0800 Nancy Luther (608) 441-7301 When: Friday, September 20 Who: Chairman Harvey Pitt; Commissioner Cynthia A. Glassman What: Women in Housing and Finance Symposium Where: Washington, DC Contact: Brian Stern, (202) 942-0607 Mary Ellen Taylor, (202) 414-3808 Kathy James, (202) 898-6809 When: Monday, September 23 Who: Alan Beller, Director, Division of Corporation Finance What: CPE, Inc. Where: Ritz Carlton, Tysons Corner McLean, VA Contact: Julie Munro (610) 328-7086, ext. 1101 When: Monday, September 23 Who: Stephen M. Cutler, Director, Division of Enforcement What: Practising Law Institute's Securities Litigation 2002 Conference Where: New York Marriott Marquis Hotel, New York, New York Contact: Christine Gatto, (212) 824-5760 Debbie Hoddiman, (212) 824-5812 When: Friday, September 27 Who: Robert K. Herdman, Chief Accountant, Office of the Chief Accountant What: Illinois CPA Society's 2002 Midwest Financial Reporting Symposium Where: Hilton Chicago, Chicago, IL Contact: Jessica McTigue, (312) 993-0407 When: Monday, September 30 Who: Alan L. Beller, Director, Division of Corporation Finance What: The European Institute Roundtable Where: Consulate General of France New York City Contact: Fred Olsen, (202) 895-1670 ENFORCEMENT PROCEEDINGS CHRISTOPHER LOWRY BARRED On August 30, 2002, the Commission barred Christopher A. Lowry from association with an investment adviser. Lowry was associated with Lowry Investors Services, Inc., d/b/a/ No-Load Advisors, a registered investment adviser. The Commission determined that Lowry had willfully violated the antifraud provisions of the securities laws in connection with misrepresentations that he made to investors, who were also his advisory clients, regarding his use of offering proceeds, and his diversion of the proceeds to his personal use. Lowry also had been enjoined against future violations of the anti-fraud provisions based on the same misconduct. In imposing a bar, the Commission noted that Lowry's conduct was egregious and that he showed no remorse. (Rel. IA- 2052; File No. 3-10390) FORMER CASHEL MANAGEMENT CO. OFFICERS BARRED BASED ON $90 MILLION FRAUD On August 30, 2002, the Commission barred Thomas M. Durkin and John E. Orin, Jr. from association with any investment adviser for making fraudulent misrepresentations in connection with the purchase of over $90 million of securities for their clients. Durkin and Orin were the President and Vice President, respectively, of Cashel Management Co., a now-defunct investment adviser formerly based in Cleveland, Ohio. Without admitting or denying the findings in the Commission's Orders, Durkin and Orin consented to the Orders barring them from association with any investment adviser. The Commission based its Orders on criminal convictions and injunctions entered against Durkin and Orin in the Federal District Court for the Northern District of Ohio. On June 6, 2002, Durkin was convicted of conspiracy, wire fraud and aiding and abetting bank fraud. On June 19, 2002, Orin was convicted of aiding and abetting wire fraud. On August 19, 2002, the Court entered orders enjoining Durkin and Orin from violations of the anti-fraud provisions of the federal securities laws. The Commission's complaint alleged that Durkin and Orin systematically invested most of their clients' money in RxRemedy, Inc., a failing internet company, while making material misrepresentations to their clients about the safety and liquidity of their investments and while failing to follow their clients' instructions to cease investing in RxRemedy or to liquidate their RxRemedy investments. Further, the complaint alleged that Durkin lost $7.5 million he took from is brother's Cashel account and his sister-in- law's Cashel account by making unauthorized options trades. Durkin and Orin, without admitting or denying the allegations in the Commission's complaint, consented to the Court's Orders. (Rel. IA-2050; File No. 3- 10876) COMMISSION SANCTIONS DAVID LYNCH FOR ENGAGING IN ILLEGAL SECURITIES SCHEME On August 30, 2002, the Commission found that David E. Lynch, an associated person of First Montauk Securities, engaged in a scheme to "park" securities with other dealers and effected transactions at non- bona fide prices and charged undisclosed, excessive markups to the firm's customers. The Commission ordered Lynch to cease and desist from committing or causing any violations or future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b), 15(c), and 17(a) of the Securities Exchange Act of 1934 and Exchange Act Rules l0b-5, 15c3- 1, 17a-3, 17a-5, and 17a-11; barred him from associating with any broker or dealer; and ordered that he pay a third-tier civil money penalty in the amount of $100,000. (Rel. 34-46439; File No. 3-9440) SEC ENTERS CEASE-AND-DESIST ORDER AGAINST SCB COMPUTER TECHNOLOGY, INC. On August 30, 2002, the Commission instituted proceedings pursuant to Section 21C of the Securities Exchange Act of 1934 making findings and imposing a cease-and-desist order against SCB Computer Technology, Inc. (SCB) for violating certain books and records and internal control provisions of the Exchange Act. As set forth in the Commission's order, SCB is a publicly traded company providing information technology consulting, outsourcing and staffing services. In 1997, SCB acquired The Partners Group, which SCB treated as a stand-alone division (SCB/Partners). SCB/Partners provided mainframe data processing and support services, and leased and remarketed computer equipment to other companies. After the acquisition, the accounting and finance functions of SCB/Partners remained separate from SCB's. At period end, SCB/Partners provided financial statements that ostensibly reflected the financial performance of SCB/Partners. However, in preparing its financial statements, SCB/Partners repeatedly disregarded Generally Accepted Accounting Principles in the areas of revenue recognition, lease accounting and expense accruals. SCB, in turn, accepted SCB/Partners's contribution to SCB's bottom-line and, without adequate review, incorporated the financial results into its consolidated financial statements. SCB failed to devise and maintain an adequate system of internal accounting controls and, as a consequence, its books and records did not accurately reflect the results of its operations. As a result, SCB's financial statements for fiscal years 1998, 1999, and the first quarter of fiscal year 2000 overstated SCB's pre-tax net income by between 10% and 53%. The Commission's order found that SCB violated Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Without admitting or denying the SEC's allegations, SCB agreed to the entry of an order that requires it to cease and desist from committing or causing any of the above-referenced violations. The Commission's investigation in this matter is continuing. (Rel. 34-46445; AAER-1622; File No. 3-10879) ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST AND SIMULTANEOUSLY SETTLED WITH JOHN COOK On September 3, the Commission entered an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions against John Cook of Miami Beach, Florida. The Commission simultaneously accepted Cook's Offer of Settlement, in which he agreed to be barred from association with any registered broker or dealer. The Order alleged that on March 27, 2002, a judgment of permanent injunction and other relief was entered against Cook in the United States District Court for the Southern District of Florida, SEC v. Paul R. Johnson, et al., Case No. 01- 874-HURLEY/LYNCH, S.D. Fla.. The final judgment permanently enjoined Cook from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act, and Rule l0b-5 thereunder. The Commission's complaint alleged that from November 1997 to March 1999 Cook sold the unregistered securities of Link Express Delivery Solutions, Inc., earning commissions of over $155,000. (Rel. 34-46447; File No. 3-10880) SEC SUSPENDS JAMES MURPHY, FORMER CFO OF CENTENNIAL TECHNOLOGIES, FROM APPEARING OR PRACTICING BEFORE THE AGENCY AND OBTAINS INJUNCTION, CIVIL PENALTY OF $150,000 AND OFFICER AND DIRECTOR BAR On August 30, 2002, the Commission suspended James Murphy, pursuant to Rule 102(e)(2) of its Rules of Practice, forthwith from appearing or practicing before the agency based on his criminal conviction for securities fraud. Murphy is the former chief financial officer of Centennial Technologies, Inc. and was criminally convicted on June 1, 2000, in the United States District Court for the District of Massachusetts of multiple felonies involving a financial fraud at the company. Murphy's conviction resulted from his participation in a fraudulent scheme at Centennial to overstate the company's revenue, income, inventory, and fixed assets from the time of its initial public offering in April 1994 through the quarter ended December 31, 1996. The Commission also announced that on April 29, 2002, the Honorable Patti B. Saris of the United States District Court for the District of Massachusetts entered a summary judgment in its civil action against Murphy and enjoined him from violating and from aiding and abetting violations of the antifraud, reporting, books and records, and internal control provisions of the federal securities laws. Judge Saris also prohibited Murphy from acting as an officer or director of a public company for ten years and ordered him to pay a civil penalty of $150,000 for his violations. For further information, please see LR-16725, LR- 16170, LR-15818, LR-15605, LR-15548, LR-15405, LR-15399, LR-15295 and LR- 15258. (Rel. 34-46442; AAER-1620; File No. 3-10878) SEC CHARGES FIFTH PERSON IN TWO MILLION DOLLAR UNREGISTERED STOCK SWINDLE On August 30, 2002, the Commission filed an amended complaint in SEC v. Nnebe, et al., 01 Civ. 5247, KMW, S.D.N.Y., June 12, 2001, charging a fifth defendant, Hildreth J. Fleming, Jr., in what the Commission alleges was the fraudulent, unregistered offering of shares of Fargo Holdings, Inc. Fleming, age 29, resides in Staten Island, New York. The amended complaint also names each of the defendants -- Michael I. Nnebe, Nelson C. Walker, Steven S. Bocchino, and Daniel M. Coyle, Jr. - and the relief defendant -- Luis Colon, Jr. -- who were charged in the Commission's initial complaint filed on June 12, 2001. The defendants were charged with violations of the anti-fraud and registration provisions of the federal securities laws and the relief defendant was charged with receiving proceeds of the fraud. According to the complaint, Fargo, which purported to be a company providing financial services and blue jeans manufacturing, actually engaged in no legitimate operations at all. The complaint alleges that the defendants induced the investing public to buy shares of Fargo by making a series of false statements, including that Fargo would be conducting an initial public offering. The complaint alleges that the defendants defrauded at least 118 investors of at least $2 million. As to Fleming, the complaint alleges that from November 1998 through November 1999, Fleming cold called investors using the alias "Steve Wilson" and induced investors to purchase Fargo stock by making numerous false or misleading statements about Fargo, including that Fargo: (a) would be imminently conducting an IPO which would allow investors to resell their Fargo stock for a substantial profit; (b) would be listed on the New York Stock Exchange or the National Association of Securities Dealers Automated Quotation system; and (c) manufactured blue jeans at a plant in Honduras. The complaint alleges that Fleming simply made up these statements to induce investors to purchase Fargo stock. As a result of the foregoing, the Commission's complaint charges that Fleming violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule l0b-5 thereunder, and seeks a final judgment permanently enjoining Fleming from future violations, ordering Fleming to disgorge ill-gotten gains plus prejudgment interest, and imposing civil penalties against Fleming. The complaint also seeks an order prohibiting all of the defendants from participating in an offering of penny stock. The litigation, pending in the United States District Court for the Southern District of New York, had been stayed pending the completion of parallel criminal proceedings brought by the United States Attorney's Office for the Southern District of New York against Walker and Nnebe. Following a guilty plea by Walker and a jury trial conviction against Nnebe, the District Court lifted the stay of the Commission's injunctive action on May 24, 2002. See also LR-17034, June 12, 2001. [SEC v. Michael I. Nnebe, Nelson C. Walker, Hildreth J. Fleming, Jr., Steven S. Bocchino, Daniel M. Coyle, Jr., and Luis Colon, Jr., S.D.N.Y., 01 Civ. 5247] (LR-17706) INVESTMENT COMPANY ACT RELEASES SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment Nos. 1 and 2 thereto filed by the Pacific Exchange (SR-PCX-2002-52) relating to changes in its marketing fee program have become immediately 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 September 2. (Rel. 34-46430) A proposed rule change filed with the Commission by the American Stock Exchange to amend the account type codes under Amex Rule 719 (SR-Amex- 2002-65) has become immediately 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 September 2. (Rel. 34-46434) A proposed rule change filed by the Chicago Board Options Exchange (SR- CBOE-2002-47) to facilitate trading of fixed-income index portfolio shares and options overlying those shares has become immediately 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 September 2. (Rel. 34-46435) PROPOSED RULE CHANGE The Chicago Stock Exchange filed with the Securities and Exchange Commission a notice of filing of a proposed rule change under Rule 19b-4 (SR-CHX-2002-20) amending the manner which the Best Bid or Offer is calculated for purposes of automatically executed orders and establishing an Aggregate Share Threshold for automatic executions. Publication of the notice in the Federal Register is expected during the week of September 2. (Rel. 34-46436) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective August 29, 2002. (Rel. 34- 46438) 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-3 HEALTHAXIS INC, 2500 DEKALB PIKE, NORRISTOWN, PA, 19401, 6102792500 - 0 ($6,090,000.00) Equity, (File 333-98951 - Aug. 30) (BR. 03) S-8 LAZARE KAPLAN INTERNATIONAL INC, 529 FIFTH AVE, NEW YORK, NY, 10017, 2129729700 - 750,000 ($4,687,500.00) Equity, (File 333-98955 - Aug. 30) (BR. 02) S-8 CENTREX INC, 8908 SOUTH YALE AVE, SUITE 409, TULSA, OK, 74137, 9184810167 - 5,350,000 ($2,247,000.00) Equity, (File 333-98957 - Aug. 30) (BR. 36) S-8 MILLER EXPLORATION CO, 3104 LOGAN VALLEY RD, TRAVERSE CITY, MI, 49685-0348, 2319410004 - 0 ($102,500.00) Equity, (File 333-98959 - Aug. 30) (BR. 04) S-8 LENDINGTREE INC, 11115 RUSHMORE DRIVE, ., CHARLOTTE, NC, 28277, 600,000 ($8,520,000.00) Equity, (File 333-98961 - Aug. 30) (BR. 08) S-8 KEWAUNEE SCIENTIFIC CORP /DE/, 2700 W FRONT ST, STATESVILLE, NC, 28677, 7048737202 - 0 ($928,722.00) Equity, (File 333-98963 - Aug. 30) (BR. 36) S-8 VERINT SYSTEMS INC, 234 CROSSWAYS PARK DRIVE, WOODBURY, NY, 11797, 5166777300 - 1,000,000 ($8,905,000.00) Equity, (File 333-98965 - Aug. 30) (BR. 03) S-8 VERINT SYSTEMS INC, 234 CROSSWAYS PARK DRIVE, WOODBURY, NY, 11797, 5166777300 - 4,687,206 ($3,730.00) Equity, (File 333-98967 - Aug. 30) (BR. 03) S-8 ILIVE INC/NV, 3960 WILSHIRE BLVD, SUITE 406, LOS ANGELES, CA, 90010, 2132521090 - 640,000 ($89,600.00) Equity, (File 333-98969 - Aug. 30) (BR. 05) S-8 ARCH CAPITAL GROUP LTD, 20 HORSENECK LANE, GREENWICH, CT, 06830, 2038624300 - 0 ($89,054,797.90) Equity, (File 333-98971 - Aug. 30) (BR. 01) SB-2 WIRELESS WIZARD INC, 195 WEST CENTRAL AVENUE, SUITE 236, BREA, CA, 92621, 6262555282 - 3,000,000 ($60,000.00) Equity, (File 333-98973 - Aug. 30) (BR. 09) S-3 HARLEY DAVIDSON CUSTOMER FUNDING CORP, 4150 TECHNOLOGY WAY, CARSON CITY, NV, 89706, 7028851200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-98975 - Aug. 30) (BR. 05) S-8 AUGRID OF NEVADA INC, 24200 CHAGRIN BLVD, STE 10, BEACHWOOD, OH, 44122, 7025921816 - 1,203,000 ($180,450.00) Other, (File 333-98977 - Aug. 30) (BR. 09) S-8 SCIENCE APPLICATIONS INTERNATIONAL CORP, 10260 CAMPUS POINT DR, LEGAL DEPT, SAN DIEGO, CA, 92121, 8588266000 - 11,738,609 ($339,245,800.10) Equity, (File 333-98979 - Aug. 30) (BR. 06) S-3 CALIFORNIA AMPLIFIER INC, 460 CALLE SAN PABLO, CAMARILLO, CA, 93012, 8059879000 - 0 ($3,316,837.00) Equity, (File 333-98981 - Aug. 30) (BR. 37) S-8 INTERUNION FINANCIAL CORP, 1232 NORTH OCEAN WAY, PALM BEACH, PALM BEACH, FL, 33480, 5618440517 - 3,000,000 ($300,000.00) Equity, (File 333-98983 - Aug. 30) (BR. 07) S-8 BEVSYSTEMS INTERNATIONAL INC, 501 BRICKELL KEY DRIVE, SUITE 407, MIAMI, FL, 33151, 786-425-2201 - 8,000,000 ($1,400,000.00) Equity, (File 333-98985 - Aug. 30) (BR. 02) S-4 SCIENCE APPLICATIONS INTERNATIONAL CORP, 10260 CAMPUS POINT DR, LEGAL DEPT, SAN DIEGO, CA, 92121, 8588266000 - 0 ($800,000,000.00) Non-Convertible Debt, (File 333-98987 - Aug. 30) (BR. 06) S-8 SAFEGUARD HEALTH ENTERPRISES INC, 95 ENTERPRISE T, ALISO VIEJO, CA, 92656-2601, 9494254110 - 0 ($637,500.00) Equity, (File 333-98989 - Aug. 30) (BR. 01) S-4 CENTERSTATE BANKS OF FLORIDA INC, 7722 SR 544 EAST, WINTER HAVEN, FL, 33881, 8634228990 - 0 ($8,846,932.00) Equity, (File 333-98991 - Aug. 30) (BR. 07) S-3 FEDERAL SIGNAL CORP /DE/, 1415 W 22ND ST STE 1100, OAK BROOK, IL, 60523, 7089542000 - 800,000 ($17,488,000.00) Equity, (File 333-98993- Aug. 30) (BR. 05) S-3 SOUTHWEST GAS CORP, 5241 SPRING MOUNTAIN RD, PO BOX 98510, LAS VEGAS, NV, 89193-8510, 7028767237 - 800,000 ($17,512,000.00) Equity, (File 333-98995 - Aug. 30) (BR. 02) S-8 MONTEREY PASTA CO, 1528 MOFFETT ST, STE 500, SALINAS, CA, 93905, 4087536262 - 0 ($11,925,000.00) Equity, (File 333-98997 - Aug. 30) (BR. 04) S-8 SCIENCE APPLICATIONS INTERNATIONAL CORP, 10260 CAMPUS POINT DR, LEGAL DEPT, SAN DIEGO, CA, 92121, 8588266000 - 1,242,804 ($35,917,035.60) Equity, (File 333-99001 - Aug. 30) (BR. 06) S-8 GENERAL COMMUNICATION INC, 2550 DENALI ST STE 1000, ANCHORAGE, AK, 99503, 9072655600 - 2,000,000 ($6,700,000.00) Equity, (File 333-99003- Aug. 30) (BR. 37) S-3 ANWORTH MORTGAGE ASSET CORP, 1299 OCEAN AVENUE, SUITE 210, SANTA MONICA, CA, 90401, 3103931428 - 0 ($284,550,000.00) Equity, (File 333-99005 - Aug. 30) (BR. 08) S-3 BORGWARNER INC, 200 S MICHIGAN AVE, CHICAGO, IL, 60604, 3123228500 - 100,000 ($6,138,000.00) Equity, (File 333-99007 - Aug. 30) (BR. 05) S-4 PETER KIEWIT SONS LP, KIEWIT PLAZA, 3555 FARNAM STREET, OMAHA, NE, 68131, 4029431321 - 0 ($696,300,000.00) Equity, (File 333-99009 - Aug. 30) (BR. ) S-8 ICONET INC, 8 GAUCHO DRIVE, ROLLING HILLS ESTATE, CA, 90274, 4166829255 - 2,000,000 ($320,000.00) Equity, (File 333-99011 - Aug. 30) (BR. 02) S-8 ELITE TECHNOLOGIES INC /TX/, 5050 OAKBROOK PARKWAY, STE 100, NORCROSS, GA, 30093, 7705594975 - 25,000,000 ($250,000.00) Equity, (File 333-99013 - Aug. 30) (BR. 03) S-3 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150- 0 ($4,926,636.00) Equity, (File 333-99015 - Aug. 30) (BR. 36) S-8 NEXTEL PARTNERS INC, 4500 CARILLON POINT, KIRKLAND, WA, 98033, 4255763600 - 0 ($67,761,900.00) Equity, (File 333-99017 - Aug. 30) (BR. 37) S-1 PLATINUM UNDERWRITERS HOLDINGS LTD, 2 CHURCH STREET, BERMUDA, D0, HM 11, 4412951422 - 0 ($143,750,000.00) Other, (File 333-99019 - Aug. 30) (BR. 01) S-8 CYPOST CORP, 900 1281 WEST GEORGIA STREET, VANCOUVER B C V6E 3J, 6049044422 - 0 ($380,000.00) Equity, (File 333-99021 - Aug. 30) (BR. 02) S-8 ALTRIMEGA HEALTH CORP, 5600 BELL STREET, SUITE 111, AMARILLO, TX, 79106, 8063529599 - 11,000,000 ($550,000.00) Equity, (File 333-99023- Aug. 30) (BR. 37) S-1 HARRINGTON WEST FINANCIAL GROUP INC/CA, 610 ALAMO PINTADO RD, SOLVANG, CA, 93463, 8056886644 - 0 ($21,000,000.00) Equity, (File 333-99031 - Aug. 30) (BR. ) S-3 SUPERCONDUCTOR TECHNOLOGIES INC, 460 WARD DR, STE F, SANTA BARBARA, CA, 93111, 8056837646 - 0 ($3,634,265.00) Equity, (File 333-99033 - Aug. 30) (BR. 37) S-8 SONIC INNOVATIONS INC, 2795 EAST COTTONWOOD PARKWAY, SUITE 660, SUITE 660, SALT LAKE CITY, UT, 84117-7261, 8013652800 - 500,000 ($2,820,000.00) Equity, (File 333-99035 - Aug. 30) (BR. 36) S-4 UNIVISION COMMUNICATIONS INC, 1999 AVENUE OF THE STARS STE 3050, LOS ANGLES, CA, 90067, 3105567676 - 0 ($2,058,946,793.00) Equity, (File 333-99037 - Aug. 30) (BR. 37) S-8 TERAYON COMMUNICATION SYSTEMS, 2952 BUNKER HILL LN, SANTA CLARA, CA, 95054, 4087274400 - 0 ($10,302,000.00) Equity, (File 333-99039 - Aug. 30) (BR. 37) S-3 XYBERNAUT CORP, 12701 FAIR LAKES CIRCLE, STE 550, FAIRFAX, VA, 22033, 7036316925 - 5,882,563 ($8,571,429.00) Equity, (File 333-99041 - Aug. 30) (BR. 03) S-8 CEDAR FAIR L P, P O BOX 5006, SANDUSKY, OH, 44871, 4196260830 - 4,830,000 ($110,558,700.00) Limited Partnership Interests, (File 333-99043 - Aug. 30) (BR. 05) S-8 LABOR READY INC, 1016 S. 28TH STREET, TACOMA, WA, 98409, (253)-383- - 0 ($7,257,500.00) Equity, (File 333-99049 - Aug. 30) (BR. 08) S-1 WELLCHOICE INC, 11 WEST 42ND ST, NEW YORK, NY, 10036, 2124761000 - 0 ($400,000,000.00) Equity, (File 333-99051 - Aug. 30) (BR. ) S-3 CEF EQUIPMENT HOLDING LLC, 0 ($1,000,000.00) Asset-Backed Securities, (File 333-99053 - Aug. 30) (BR. ) S-4 PACIFIC NORTHWEST BANCORP, 1111 THIRD AVE., STE. 250, SEATTLE, WA, 98101, 3606794181 - 0 ($53,268,826.00) Equity, (File 333-99055 - Aug. 30) (BR. 07) S-3 INTRADO INC, 6285 LOOKOUT RD, BOULDER, CO, 80302, 0 ($6,766,875.00) Equity, (File 333-99057 - Aug. 30) (BR. 08) S-3 INTERNET COMMERCE CORP, 805 THIRD AVE, STE 622, NEW YORK, NY, 10022, 2122717640 - 498,715 ($723,136.75) Equity, (File 333-99059 - Aug. 30) (BR. 03) S-8 INTRADO INC, 6285 LOOKOUT RD, BOULDER, CO, 80302, 0 ($37,831,992.00) Equity, (File 333-99061 - Aug. 30) (BR. 08) S-3 HEALTH CARE PROPERTY INVESTORS INC, 4675 MACARTHUR COURT 9TH FL, SUITE 900, NEWPORT BEACH, CA, 92660, 9492210600 - 0 ($6,717,892.00) Equity, (File 333-99063 - Aug. 30) (BR. 08) SB-2 GRANITE FALLS COMMUNITY ETHANOL PLANT LLC, 2448 540TH STREET SUITE 1, PO BOX 216, GRANITE FALLS, MN, 562410216, 3205643100 - 0 ($30,000,000.00) Other, (File 333-99065 - Aug. 30) (BR. ) S-3 HEALTH CARE PROPERTY INVESTORS INC, 4675 MACARTHUR COURT 9TH FL, SUITE 900, NEWPORT BEACH, CA, 92660, 9492210600 - 0 ($31,019,988.00) Equity, (File 333-99067 - Aug. 30) (BR. 08) N-2 SG COWEN PRINCIPAL PROTECTION TRUST I, 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020, 2122786261 - 0 ($1,000,000.00) Equity, (File 333-99069 - Aug. 30) (BR. ) SB-2 WHITEWING ENVIRONMENTAL CORP, 430 VICTORIA TERRACE, #, RIDGEFIELD, NJ, 07657, 2019430800 - 8,774,500 ($1,842,645.00) Equity, (File 333-99071- Aug. 30) (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 ------------------------------------- ---- ------------------- ----- ------- AMAZON COM INC DE X 08/30/02 AMEREN CORP MO X X 08/30/02 AMERITRADE HOLDING CORP DE X 08/22/02 APPLIED GRAPHICS TECHNOLOGIES INC DE X 08/30/02 ATX COMMUNICATIONS NC DE X X 08/28/02 AVON PRODUCTS INC NY X 08/28/02 BA MASTER CREDIT CARD TRUST / X 08/15/02 BALL CORP IN X 08/30/02 BBJ ENVIRONMENTAL TECHNOLOGIES INC NV X 08/30/02 BELLSOUTH CORP GA X X 08/29/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CAPITAL MORTGAGE SECURITIZ DE X 07/31/02 BOMBARDIER CREDIT RECEIVABLES CORP SE DE X 07/31/02 BORDEN CHEMICAL INC NJ X X 08/29/02 CALPINE CORP DE X X 08/29/02 CAPITAL ONE AUTO RECEIVABLES LLC DE X X 08/30/02 CENTENE CORP X X 08/30/02 CENTRAL EUROPEAN MEDIA ENTERPRISES LT X X 08/30/02 AMEND CHASE MANHATTAN BANK /NY/ NY X X 08/15/02 CHASE MANHATTAN BANK USA DE X X 08/15/02 CHASE MANHATTAN BANK USA DE X X 08/15/02 CHASE MANHATTAN BANK USA DE X X 08/15/02 CHASE MANHATTAN HOME EQUITY LOAN TRUS NY X X 08/15/02 CHASE MANHATTAN MARINE OWNER TRUST 19 NY X X 08/15/02 CHASE MANHATTAN RV OWNER TRUST 1997-A DE X X 08/15/02 CHECKPOINT SYSTEMS INC PA X 08/29/02 CHEVY CHASE AUTO RECEIVABLES TRUST 19 MD X 07/31/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 X 07/31/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/02 CHEVY CHASE AUTO RECEIVABLES TRUST 20 MD X 07/31/02 CHEVY CHASE HOME LOAN TRUST 1996-1 MD X 07/31/02 CHEVY CHASE HOME LOAN TRUST 1997-1 MD X 07/31/02 CLUBCHARLIE COM INC NV X 08/29/02 CMC SECURITIES CORP II DE X X 07/25/02 COHO ENERGY INC TX X X 08/29/02 CONOCO INC /DE DE X X 08/30/02 COYOTE VENTURES CORP X 08/16/02 CWMBS INC DE X 08/30/02 CWMBS INC DE X X 08/30/02 CWMBS INC DE X X 08/30/02 DAISYTEK INTERNATIONAL CORPORATION /D DE X 08/29/02 DIAL CORP /NEW/ DE X X 08/30/02 DIAL THRU INTERNATIONAL CORP DE X 08/23/02 DIGITAL RECORDERS INC NC X X 08/26/02 DIGITAL RECORDERS INC NC X X 08/26/02 AMEND DIMON INC VA X X 08/27/02 DOUBLECLICK INC DE X X 08/26/02 DSP GROUP INC /DE/ DE X X 08/30/02 DYNEGY HOLDINGS INC DE X X X 08/16/02 DYNEGY INC /IL/ IL X X X 08/16/02 DYNTEK INC DE X X 08/30/02 AMEND ENSTAR GROUP INC GA X X 08/19/02 EOG RESOURCES INC DE X 08/30/02 EQUITY FINANCE HOLDING CORP X 08/01/02 EUROTECH LTD DC X X 08/26/02 EXELON CORP PA X 08/27/02 FACT CORP CO X 08/30/02 FACTUAL DATA CORP CO X X 08/29/02 FIRSTMARK CORP /ME/ ME X X X 08/23/02 FIRSTMARK CORP /ME/ ME X X X 08/23/02 GENELABS TECHNOLOGIES INC /CA CA X X 08/29/02 GENERAL MAGIC INC DE X X 08/22/02 GENESEE & WYOMING INC DE X X 08/28/02 GROUP 1 AUTOMOTIVE INC DE X X 08/29/02 GS MORTGAGE SECURITIES CORP DE X X 08/27/02 GS MORTGAGE SECURITIES CORP DE X X 08/29/02 GS MORTGAGE SECURITIES CORP DE X 08/29/02 GUARDIAN TECHNOLOGIES INTERNATIONAL I DE X 08/26/02 HAWAIIAN HOLDINGS INC X X 08/29/02 HEALTH CARE REIT INC /DE/ DE X X 08/23/02 HEALTHAXIS INC PA X X 08/29/02 IKON OFFICE SOLUTIONS INC OH X X 08/29/02 IMPAC MORTGAGE HOLDINGS INC MD X 08/30/02 IMPERIAL SUGAR CO /NEW/ TX X X 08/29/02 INTEGRA LIFESCIENCES HOLDINGS CORP DE X 08/26/02 KENDLE INTERNATIONAL INC OH X 08/29/02 KEY3MEDIA GROUP INC DE X 08/22/02 L O M MEDICAL INTERNATIONAL INC X 04/16/02 LASALLE RE HOLDINGS LTD X X 08/27/02 LASERSIGHT INC /DE DE X X 08/30/02 LEHMAN ABS CORP LEHMAN MFG HOUSING CO DE X X 08/30/02 LEVEL 8 SYSTEMS INC DE X X 08/30/02 LEXINGTON PRECISION CORP DE X X 08/30/02 LUMENON INNOVATIVE LIGHTWAVE TECHNOLO DE X X 08/30/02 MARSHALL & ILSLEY CORP/WI/ WI X X 08/30/02 MAS ACQUISITION L CORP IN X 06/30/02 MAS ACQUISITION LI CORP IN X 06/30/02 MAS ACQUISITION XLIX CORP IN X 06/30/02 MAS ACQUISITION XLVI CORP IN X 06/30/02 MAS ACQUISITION XLVII CORP IN X 06/30/02 MAS ACQUISITION XLVIII CORP IN X 06/30/02 MED DIVERSIFIED INC NV X 08/23/02 MED GEN INC NV X 08/30/02 MEGADATA CORP NY X X 08/30/02 MERRILL LYNCH & CO INC DE X X 08/30/02 MERRILL LYNCH & CO INC DE X X 08/30/02 MICROS SYSTEMS INC MD X 08/29/02 MID STATE RACEWAY INC NY X 07/02/02 MONTEREY PASTA CO DE X X 08/23/02 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 08/29/02 NATIONAL STEEL CORP DE X X 08/28/02 NATIONSBANK OF DELAWARE NA DE X X 08/15/02 NATIONSCREDIT GRANTOR TRUST 1996-1 DE X X 08/15/02 NATIONSCREDIT GRANTOR TRUST 1997-1 DE X X 08/15/02 NATIONSCREDIT GRANTOR TRUST 1997-2 DE X X 08/15/02 NEXELL THERAPEUTICS INC DE X X 08/28/02 NORTHWEST AIRLINES INC /MN DE X 08/05/02 NVIDIA CORP DE X X 08/30/02 ONEOK INC /NEW/ OK X X 08/28/02 ONYX ACCEPTANCE OWNER TRUST 2002-A DE X 07/31/02 ONYX ACCEPTANCE OWNER TRUST 2002-B DE X 07/31/02 ONYX ACCEPTANCE OWNER TRUST 2002-C DE X 07/31/02 OPLINK COMMUNICATIONS INC DE X 08/30/02 PACIFICARE HEALTH SYSTEMS INC /DE/ DE X 08/21/02 PENN TRAFFIC CO DE X X 08/29/02 PHILLIPS PETROLEUM CO DE X X 08/30/02 PRESTIGE GROUP NET INC NV X X 08/13/02 AMEND PROVIDENT FINANCIAL HOLDINGS INC DE X X 08/28/02 PROVIDIAN MASTER TRUST X X 08/15/02 PUMATECH INC DE X X 08/29/02 QAD INC DE X X 08/22/02 RACHELS GOURMET SNACKS INC MN X X 08/08/02 RAYTHEON CO/ DE X X 08/30/02 RECOTON CORP NY X X 08/28/02 RIVERWOOD HOLDING INC DE X X 08/30/02 ROHN INDUSTRIES INC DE X X 08/30/02 RONSON CORP NJ X X 08/30/02 ROYAL BODYCARE INC/NV DE X 08/16/02 ROYAL PRECISION INC DE X X 08/30/02 RPM INC/OH/ OH X X 08/29/02 RPM INC/OH/ OH X X 08/30/02 SAMUELS JEWELERS INC DE X X 08/30/02 SCIENTIFIC INDUSTRIES INC DE X 08/29/02 SCP POOL CORP DE X X 08/26/02 SECURITISATION ADVISORY SERVICES PTY X X 07/31/02 SIMMONS FIRST NATIONAL CORP AR X 08/30/02 STANDARD MANAGEMENT CORP IN X X 08/14/02 STAR RECEIVABLES FUNDING INC DE X 08/15/02 STARTEC GLOBAL COMMUNICATIONS CORP DE X X 07/22/02 STARTEC GLOBAL COMMUNICATIONS CORP DE X X 08/22/02 STERICYCLE INC DE X X 08/16/02 STRATOS LIGHTWAVE INC DE X 08/27/02 STRUTHERS INC/SC NV X 01/29/02 TANOX INC DE X X 08/29/02 TELEMAX GLOBAL COMMUNICATIONS INC WA X X 07/20/02 TEREX CORP DE X 08/30/02 TOYOTA AUTO FINANCE RECEIVABLES LLC DE X X 07/15/02 TRANSAMERICAN HOLDINGS INC NV X X 08/15/02 TRANSOCEAN INC E9 X 08/30/02 TRENWICK AMERICA CORP DE X X 08/27/02 TRENWICK GROUP LTD X X 08/27/02 TRINITY INDUSTRIES INC DE X X 08/30/02 TRUDY CORP DE X X 08/30/02 UGLY DUCKLING CORP DE X 08/30/02 UNITY WIRELESS CORP DE X X 08/30/02 UTSTARCOM INC DE X X 08/29/02 VECTREN CORP IN X 07/27/02 VENTURES NATIONAL INC UT X X 08/30/02 VISTA GOLD CORP X 08/29/02 VOXWARE INC DE X 08/26/02 AMEND WADDELL & REED FINANCIAL INC DE X X 08/29/02 WFS RECEIVABLES CORP 3 CA X X 08/15/02