SEC NEWS DIGEST Issue 2002-115 June 14, 2002 COMMISSION ANNOUNCEMENTS COMMISSION MEETINGS Following is a schedule of Commission meetings which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration. Open meetings will be held in the Commission Meeting Room, Room 1C30, at the Commission's headquarters building, 450 Fifth Street, N.W., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting. Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact Rochelle Franks, Office of Administrative and Personnel Management, to make arrangements. Ms. Franks can be reached at TTY number (202) 942-9558. If you are calling from a non-TTY number, please call the Relay Service at 1-800-877-8339. Closed meetings will be held on Tuesday, June 18, 2002, at 10:00 a.m., and Wednesday, June 19, 2002, at 10:00 a.m., and an open meeting will be held on Thursday, June 20, 2002, at 10:00 a.m., in Room 1C30, the William O. Douglas Room. CLOSED MEETING - TUESDAY, JUNE 18, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Tuesday, June 18, 2002, will be: Formal orders of investigation; Institution and settlement of injunctive actions; and Institution and settlement of administrative proceedings of an enforcement nature. CLOSED MEETING - WEDNESDAY, JUNE 19, 2002 - 10:00 A.M. The subject matter of the closed meeting scheduled for Wednesday, June 19, 2002, will be: Formal orders of investigation; Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings of an enforcement nature; and an Order compelling testimony. OPEN MEETING - THURSDAY, JUNE 20, 2002 - 10:00 A.M. The subject matter of the open meeting scheduled for Thursday, June 20, 2002, will be: 1. The Commission will consider whether to adopt technical amendments to Rules 3a-1, 3a-2, 3a-3, 3a-5, 3a-6, 6c-6, 6e-2, 6e-3(T), 20b, and 30f-1 under the Investment Company Act of 1940 and Rules 16a-2 and 16a-3 under the Securities Exchange Act of 1934; as well as whether to adopt technical amendments to Forms 3, 4, and 5, and the references to these forms contained in the Code of Federal Regulations. The amendments will correct statutory references currently contained in the rules and the forms. 2. The Commission will consider whether to issue an interpretive release regarding the application of certain provisions of the federal securities laws to trading in security futures products. In light of the framework established by the Commodity Futures Modernization Act for the joint regulation of security futures products by the Securities and Exchange Commission and the Commodity Futures Trading Commission, the interpretive release is designed to provide guidance to securities industry and futures industry participants in applying certain provisions of the federal securities laws to trading in security futures products. This release responds to many of the interpretive issues identified by industry participants. Some questions pertain to the status and treatment of the instruments themselves under the Securities Act of 1933 and the Securities Exchange Act of 1934. Other questions pertain to the application of trading rules and other rules that apply to market intermediaries. 3. The Commission will consider whether to propose rule amendments and new rules designed to enhance the quality of financial information through improving oversight of the auditing process. The proposed rules would create the framework for a new private sector regulatory scheme for the accountants that audit or review financial statements filed with the Commission. The proposed rules also would reform oversight and improve the accountability of auditors of public companies, thereby enhancing the reliability and integrity of the financial reporting process. Under the proposed framework, a new organization, among other things, would (1) conduct reviews of accounting firms' quality controls, (2) discipline accountants for unethical or incompetent conduct, or other violations of professional standards, and (3) either set or rely on designated private sector bodies to set auditing, quality control and ethics standards. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 942-7070. ENFORCEMENT PROCEEDINGS SEC SETTLES CASES AGAINST SARA GOMEZ DE FERRO The Commission announced today that it settled the civil injunctive action against Defendant Sara Gomez de Ferro (Gomez) in the matter of SEC v. Hawa Corporation, et al. On June 13, Gomez consented to the entry of a cease and desist order prohibiting her from violating Section 10(b) of the Securities and Exchange Act of 1934. (Exchange Act) and Rule 10b-5 thereunder. As a result, the Commission dismissed, with prejudice, its complaint against Gomez in the civil action for violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5, thereunder. According to the Commission's complaint, from at least October 1998 to March 2001, Hawa Corporation (Hawa), Hawa Communications, Inc. (HawaCom), and Hawa Med, Inc. (Hawa Med) raised approximately $6 million from the sale of shares to investors throughout the U.S., most of whom were doctors. The complaint also alleged that Gomez, among others, represented to the Hawa entities' sales force that HawaCom held majority interests in three purportedly well-established telecommunications and technology firms based in South America with combined assets of over $160,000,000. The Commission's complaint further alleged that, in reality, neither Hawa, HawaCom, nor Hawa Med actually owned any interest in the South American companies (SEC v. Hawa Corporation, et al., Case No. 01-8220-CIV- Hurley, S.D. Fla., filed March 15, 2001). (Rel. 34- 46074; File No. 3-10800) PERMANENT INJUNCTION ORDERED AGAINST INTERSTATE TRANSFER COMPANY AND JANIS PATTERSON The Commission announced that on June 7 the Honorable Tena Campbell, U.S. District Judge for the District of Utah, issued a permanent injunction by consent against Interstate Transfer Company (ITC) and Janis A. Patterson (Patterson), ITC's president and owner. The defendants were enjoined from violating an Order to Cease and Desist from violations of the transfer agent record-keeping provisions of the federal securities laws. That order was issued by the Commission in March 1999. In addition, the order required Interstate and Patterson to pay a civil penalty of $10,000. The Commission's complaint alleged that in March 1999, the Commission had ordered ITC and Patterson to cease and desist from violations of Sections 17(a)(3), 17(f)(2) and 17A(d) of the Securities Exchange Act of 1934 and Rules 17f-2, 17Ad-2, 17Ad-6, 17Ad-10, 17Ad-15 and 17Ad-16 thereunder, which are regulations governing the conduct of registered transfer agents. The complaint alleged that ITC and Patterson continued to violate virtually all of the regulations they were ordered by the Commission in 1999 to cease violating. The complaint requested that, pursuant to Section 21(e) of the Securities Exchange Act of 1934, the federal district court enforce the Commission's Cease and Desist Order, enjoin ITC and Patterson from further violations and fine the defendants for their violations of the Commission's Order. [SEC v. Interstate Transfer Company and Janis A. Patterson, 2:00CV928C (USDC Utah)] (LR- 17562) LARRY STOCKETT IS PRELIMINARILY ENJOINED On June 11, the United States District Court for the District of Nevada entered a preliminary injunction prohibiting defendant Larry A. Stockett from engaging in fraud in connection with the purchase or sale of securities and from violating the reporting and registration provisions of the federal securities laws. The Court found that the Commission has made a sufficient and proper showing in support of its motion for a preliminary injunction by establishing a prima facie case and "a strong likelihood that the Commission will prevail at trial on the merits." The Court also found that "Stockett has failed to show good cause why a preliminary injunction should not enter." The Commission filed its injunctive action against Stockett on April 26, 2002. The Commission's complaint alleges that between August 1999 and the present, Stockett has orchestrated fraudulent schemes regarding Hightec, Inc. (Hightec) and The S.I.N.C.L.A.R.E. Group, Inc. (Sinclare), two publicly held but legally defunct corporate entities of which he is the sole officer and director. The complaint further alleges that Stockett has issued numerous false statements concerning, among other things, Stockett's disciplinary history and the legal status and current operations of Hightec and Sinclare. Moreover, the complaint alleges that Stockett sold restricted Hightec stock in unregistered transactions for total profits of approximately $583,687 during dissemination of the false statements. According to the complaint, Stockett has failed to file mandatory periodic and current reports with the Commission on behalf of Hightec and Sinclare since late 1996. The preliminary injunction enjoins Stockett, during the pendency of this action, from violating Sections 10(b), 13(a), 13(d) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-25, 13a-1, 13a-11, 13a-13, 13d-1, 13d-2, 16a-2 and 16a-3 thereunder, and Sections 5(a) and 5(c) of the Securities Act of 1933. For additional information, see L.R. 17494 (April 29, 2002). [SEC v. Larry A. Stockett, Civ. Action No. CV-S02-0607-PMP-LRL (USDC D. Nevada) (LR-17563) SEC SETTLES CHARGES AGAINST JOHN DAWS FOR HIS INVOLVEMENT IN FINANCIAL REPORTING FRAUD AT CYLINK CORPORATION The Commission announced that on May 15, 2002, the Honorable Vaughn Walker, United States District Judge for the Northern District of California, issued a Final Judgment of Permanent Injunction and Other Relief against John H. Daws, the former Chief Financial Officer of Cylink Corporation. Without admitting or denying the Commission's allegations, Daws consented to the entry of a final judgment that: permanently enjoins him from violating the antifraud provisions (Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder); from circumvention of Cylink's internal controls and falsification of records (Section 13(b)(5) of the Exchange Act and Rule 13b2-1 thereunder); from making misrepresentations or material omissions to accountants (Rule 13b2-2); and from aiding and abetting Cylink's violations of the periodic reporting and books and records provisions (Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder). In addition, the final judgment orders him to disgorge ill-gotten gains which he had received in the form of a performance bonus of $30,000, to pay prejudgment interest and to pay a civil penalty of $100,000. The Commission's complaint, filed on September 27, 2000, alleged that in order to meet Cylink's ambitious revenue goals, Daws, in conjunction with other former Cylink officers, led the Company to recognize revenue on numerous transactions that violated Cylink's own revenue recognition policy, generally accepted accounting principles, or both, for the fourth quarter of 1997 and the first two quarters of fiscal 1998. The complaint alleges that in the fourth quarter, Daws directed that Cylink improperly recognized revenue for Cylink's wireless division on a $3.7 million shipment to a warehouse in which the transaction was not final because Cylink's customer had failed to provide a letter of credit to support its order1. The complaint further alleges that Daws failed to disclose this material information about the transaction to the firm's outside auditors, PriceWaterhouseCoopers, in connection with the 1997 audit. Because Cylink sold its wireless division to another company in early 1998, the effect of this transaction appears in Cylink's restated financial statements in the line item for income from discontinued operations. In addition, the complaint alleges that, in the second quarter of fiscal 1998, Cylink recognized over $900,000 in revenue on a transaction that was not final because the customer still had up to 90 days to cancel the order. In another instance alleged in the complaint, Cylink recognized revenue on orders from a distributor even though the defendants had reason to believe the distributor could not pay for the product. The complaint also alleges that Cylink recognized revenue on software product orders that were contingent on the customers' rights to exchange the software for Cylink hardware products. Cylink overstated its quarterly revenue by as much as 97.5% during the period of the fraud, according to the complaint. After the fraud was uncovered, Cylink issued restated financials that sharply reduced its results for the periods in question. For the year- ended 1997, Cylink reported revenue of $49.3 million, income from discontinued operations of $4.5 million and a net loss of $58.8 million. Cylink's restatement reduced revenue to $47.7 million, reduced income from discontinued operations to $3.2 million and widened the net loss to $61.7 million. Originally reported revenue and earnings from discontinued operations were overstated 3.4% and 41.7%, respectively. The originally reported net loss was understated by 4.8%. For the first quarter of fiscal 1998, the Company restated revenue from $15.8 million to $8 million (a 97.5% overstatement) and net income from continuing operations of $1.1 million to a net loss from continuing operations of $3.4 million. For the second quarter of fiscal 1998, the Company restated revenue from $18 million to $12.4 million (a 45% overstatement) and net income of $1.7 million to a net loss of $1.7 million. The other two defendants, Thomas Butler and Mark Folit, had previously settled with the Commission. [SEC v. John Daws, Thomas Butler and Mark Folit, USDC, NDCA, Civil Action No. C 01-3362 VRW] (LR-17564; AAE Rel. 1577) SEC SUES AND OBTAINS EMERGENCY RELIEF, INCLUDING AN ASSET FREEZE AGAINST ROGER HOUSEHOLDER, APEX CAPITAL MANAGEMENT AND APEX LIMITED PARTNERSHIP The Commission announced today that on June 11 the Honorable Blanche M. Manning of the U.S. District Court in Chicago, Illinois entered an order freezing the assets of Roger A. Householder, a resident of Park Ridge Illinois, Apex Capital Management Corporation, an investment advisory firm, and Apex Limited Partnership, an unregistered investment fund and requiring these defendants to provide an accounting of investor funds. In addition, the Court entered a temporary restraining order against Householder, enjoining him from further violations of the antifraud provisions of the federal securities laws. The Commission's complaint, filed on June 10, alleged that from 1991 to March 2000, Householder defrauded investment advisory clients by recommending that they purchase various securities through him and his accounting firm, Householder Accounting, and then misappropriating more than $2.3 million from them. The complaint also alleges that in 1999, Householder conducted fraudulent trading on behalf of a mutual fund by violating restrictions on trading set forth in the fund's offering materials. Householder's trading, conducted through his first investment advisory firm, Aapex Equity Advisors, Inc., resulted in the loss of the fund's assets. The complaint further alleges that Householder, Apex Capital Management Corporation and Apex Limited Partnership recently sold more than $790,000 in Apex L.P. securities without disclosing Householder's disciplinary history. The complaint seeks, among other things, an injunction against further violations of the antifraud provisions of the federal securities laws, disgorgement and appropriate civil penalties. [SEC v. Roger A. Householder, Apex Capital Management Corporation, Apex Limited Partnership, Householder Accounting and Aapex Equity Advisors, Inc., USDC, N.D. Ill., Eastern Division, Civil Action No. 02C-4128] (LR-17565) INVESTMENT COMPANY ACT RELEASES J.P. MORGAN FLEMING ASSET MANAGEMENT (USA), INC., ET AL. An order has been issued on an application filed by J.P. Morgan Fleming Asset Management (USA), Inc., et al. for an exemption from Section 17(a) of the Investment Company Act. The order permits certain registered investment companies (Funds) to engage in certain principal transactions involving taxable money market instruments and repurchase agreements with a broker-dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-25608 - June 11) LINCOLN NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until July 3, 2002, to request a hearing on an application filed by Lincoln National 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 certain portfolios of variable insurance product funds for shares of portfolios of certain other variable insurance products funds. (Rel. IC- 25610 - June 12) SA FUNDS - INVESTMENT TRUST, ET AL. An order has been issued on an application filed by SA Funds - Investment Trust and Assante Asset Management Inc. exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC- 25611 - June 12) HOLDING COMPANY ACT RELEASES NATIONAL GRID GROUP PLC An order has been issued authorizing National Grid Group plc (National Grid), a registered holding company, to solicit proxies from its shareholders in order to, among other things, obtain shareholder approval for the merger of National Grid and Lattice Group plc. (Rel. 35-27538) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change and Amendment No. 1 thereto filed by the National Association of Securities Dealers amending the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc. (SR-NASD-2002-64) 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 June 17. (Rel. 34-46060) A proposed rule change filed by the American Stock Exchange to amend Amex Rules 26 and 27 to allow upstairs member firm representatives to participate in meetings of the Performance Committee by telephone, and to reduce the number of specialists on the list from which listed companies may select their specialist (SR-Amex-2002-54) 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 June 17. (Rel. 34-46061) A proposed rule change filed by the American Stock Exchange to allow the Amex's Chief Executive Officer to halt, extend or suspend trading in the event of an emergency or an extraordinary market condition (SR-Amex-2002- 49) 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 June 17. (Rel. 34-46064) A proposed rule change filed by the National Association of Securities Dealers relating to Nasdaq Testing Facility fees, and to add the ability to test Computer-to-Computer Interface, Application Programming Interface, and market data vendor feeds over dedicated circuits (SR-NASD- 2002-72) 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 June 17. (Rel. 34- 46065) PROPOSED RULE CHANGES The Chicago Board Options Exchange filed a proposed rule change (SR-CBOE- 2001-66) relating to registration filing requirements of associated persons of member organizations under the Web CRD system. Publication of the proposal is expected in the Federal Register during the week of June 17. (Rel. 34-46062) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-73) relating to Nasdaq Testing Facility fees, and to add the ability to test computer-to-computer interface, application programming interface, and market data vendor feeds over dedicated circuits. Publication of the notice in the Federal Register is expected during the week of June 17. (Rel. 34-46066) The National Association of Securities Dealers filed a proposed rule change (SR-NASD-2002-04) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to amendments to NASD Rule 3010(b)(2) and IM-8310-2. Publication of the proposal is expected in the Federal Register during the week of June 17. (Rel. 34-46067) WITHDRAWAL SOUGHT A notice has been issued giving interested persons until July 8, 2002, to comment on the application for withdrawal from listing and registration (I.D. Systems, Inc., Common Stock, $.01 par value) on the Boston Stock Exchange. (Rel. 34-46072) 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 ENTREPORT CORP, 2790 BUSINESS PARK DR, SUITE B, VISTA, CA, 92083, 6196435100 - 8,000,000 ($640,000.00) Equity, (File 333-90376 - Jun. 13) (BR. 08) S-8 PAVING STONE CORP, 1760 NW 22ND CT, POMPANO BEACH, FL, 33069, 9549713235X211 - 0 ($99,000.00) Equity, (File 333-90378 - Jun. 13) (BR. 08) S-3 ANTIGENICS INC /DE/, 630 FIFTH AVENUE SUITE 2170, NEW YORK, NY, 10111, 2123324774 - 0 ($60,000,000.00) Equity, (File 333-90380 - Jun. 13) (BR. 01) S-8 KOS PHARMACEUTICALS INC, 1001 BRICKELL BAY DR STE 25, MIAMI, FL, 33131, 3055773464 - 0 ($88,397,500.00) Equity, (File 333-90382 - Jun. 13) (BR. 01) S-8 COMMUNITY CENTRAL BANK CORP, P O BOX 7, MOUNT CLEMENS, MI, 48046-0007, 8107834500 - 352,702 ($2,662,900.10) Equity, (File 333-90384 - Jun. 13) (BR. 07) S-8 CLOROX CO /DE/, THE CLOROX COMPANY, 1221 BROADWAY, OAKLAND, CA, 94612-1888, 5102717000 - 11,500,000 ($537,050,000.00) Equity, (File 333-90386 - Jun. 13) (BR. 02) N-2 AIM SELECT REAL ESTATE INCOME FUND, 11 GREENWAY PLAZA, SUITE 100, HOUSTON, TX, 77046-1173, 7132141108 - 0 ($10,000,000.00) Equity, (File 333-90388 - Jun. 13) (BR. 18) S-8 UNITED TEXTILES & TOYS INC, 448 WEST 16TH ST, NEW YORK, NY, 10011, 2123912272 - 50,000,000 ($9,000,000.00) Equity, (File 333-90390 - Jun. 13) (BR. 02) S-3 ASTEA INTERNATIONAL INC, 455 BUSINESS CENTER DRIVE, HORSHAM, PA, 19044, 2156822500 - 2,182,500 ($1,898,775.00) Equity, (File 333-90394 - Jun. 13) (BR. 03) S-8 WEIGHT LOSS FOREVER INTERNATIONAL INC, 4420 S. ARVILLE, STE 13, LAS VEGAS, NV, 89103, 7028768200 - 540,000 ($90,050.00) Equity, (File 333-90396 - Jun. 13) (BR. 08) S-8 DENBURY RESOURCES INC, 5100 TENNYSON PARKWAY, SUITE 3000, PLANO, TX, 75024, 9726732000 - 2,100,000 ($18,291,000.00) Equity, (File 333-90398 - Jun. 13) (BR. 04) S-8 CARDIOGENESIS CORP /CA, 1049 KIEL COURT, SUNNYVALE, CA, 94089, 4085482100 - 0 ($1,557,500.00) Equity, (File 333-90400 - Jun. 13) (BR. 36) S-8 MEDIMMUNE INC /DE, 35 W WATKINS MILL RD, GAITHERSBURG, MD, 20878, 3014170770 - 6,000,000 ($164,340,000.00) Equity, (File 333-90402 - Jun. 13) (BR. 01) S-1 AMSCAN HOLDINGS INC, 80 GRASSLANDS ROAD, ELMSFORD, NY, 10523, 9143452020 - 0 ($180,000,000.00) Equity, (File 333-90404 - Jun. 13) (BR. 04) SB-2 QUANTECH LTD /MN/, 1419 ENERGY PARK DRIVE, ST PAUL, MN, 55108, 0 ($4,190,397.00) Equity, (File 333-90406 - Jun. 13) (BR. 36) S-8 INTRUSION INC, 1101 ARAPAHO ROAD, RICHARDSON, TX, 75081, 9722346400 - 0 ($117,000.00) Equity, (File 333-90408 - Jun. 13) (BR. 03) S-8 CRIIMI MAE INC, 11200 ROCKVILLE PIKE, ROCKVILLE, MD, 20852, 3018162300 - 625,000 ($4,081,250.00) Equity, (File 333-90410 - Jun. 13) (BR. 08) S-8 GAP INC, ONE HARRISON, SAN FRANCISCO, CA, 94105, 4159524400 - 0 ($51,000,000.00) Equity, (File 333-90414 - Jun. 13) (BR. 02) S-3 ODETICS INC, 1515 S MANCHESTER AVE, ANAHEIM, CA, 92802, 7147745000 - 0 ($93,713.00) Equity, (File 333-90416 - Jun. 13) (BR. 37) S-8 PETER KIEWIT SONS INC /DE/, 1000 KIEWIT PLAZA, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023422052 - 1,500,000 ($31,650,000.00) Equity, (File 333-90418 - Jun. 13) (BR. 06) S-8 NUVEEN JOHN COMPANY, 333 W WACKER DR, CHICAGO, IL, 60606, 3129177700 - 0 ($494,505,000.00) Equity, (File 333-90420 - Jun. 13) (BR. 07) S-8 WACHOVIA CORP NEW, ONE FIRST UNION CTR, CHARLOTTE, NC, 28288-0013, 7043746565 - 20,092,675 ($767,640,648.00) Equity, (File 333-90422 - Jun. 13) (BR. 07) S-3 DENDREON CORP, 3005 FIRST AVENUE, SEATTLE, WA, 98121, 206254545 - 0 ($12,336,000.00) Equity, (File 333-90424 - Jun. 13) (BR. 01) S-3 PINNACLE ENTERTAINMENT INC, 330 NORTH BRAND BOULEVARD, SUITE 1110, GLENDALE, CA, 91203-2308, 8186625900 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-90426 - Jun. 13) (BR. 05) S-8 AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 6503662626 - 750,000 ($1,582,500.00) Equity, (File 333-90428 - Jun. 13) (BR. 06) S-8 BENCHMARK TECHNOLOGY CORP, 612 LITTLE JOHN, HOUSTON, TX, 77024, 7135243425 - 100,000 ($130,000.00) Debt Convertible into Equity, (File 333-90434 - Jun. 13) (BR. 05) S-4 AMERICAN SEAFOODS GROUP LLC, 0 ($175,000,000.00) Non-Convertible Debt, (File 333-90436 - Jun. 13) (BR. ) S-3 PATTERSON UTI ENERGY INC, 4510 LAMESA HWY, P O DRAWER 1416, SNYDER, TX, 79549, 9155731104 - 0 ($19,100,250.00) Equity, (File 333-90440 - Jun. 13) (BR. 04) S-3 INTRAWARE INC, 25 ORINDA WAY, ORINDA, CA, 94563, 9254468729 - 0 ($6,069,286.00) Equity, (File 333-90442 - Jun. 13) (BR. 08) S-8 CONMED CORP, 310 BROAD ST, UTICA, NY, 13501, 3157978375 - 2,100,000 ($49,192,500.00) Equity, (File 333-90444 - Jun. 13) (BR. 36) S-3 USA INTERACTIVE, 152 WEST 57TH ST, NEW YORK, NY, 10019, 2123147300 - 0 ($289,000,000.00) Equity, (File 333-90448 - Jun. 13) (BR. 37) S-8 4-D NEUROIMAGING, 9727 PACIFIC HEIGHTS BLVD, SAN DIEGO, CA, 92121, 8584536300 - 0 ($500,000.00) Equity, (File 333-90450 - Jun. 13) (BR. 36) 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 ------------------------------------------------------------------------------------ ACCRUE SOFTWARE INC DE X X 05/30/02 ADVANCED GAMING TECHNOLOGY INC WY X 06/13/02 AEROCENTURY IV INC CA X 06/10/02 AIRGATE PCS INC /DE/ DE X X 06/05/02 AIRPLANES LTD DE X 06/13/02 ALLIANCE CAPITAL MANAGEMENT HOLDING L DE X X 06/13/02 ALLIANCE CAPITAL MANAGEMENT L P DE X X 06/13/02 AMERICAN AIRLINES INC DE X 06/13/02 AMERICAN COMMERCE SOLUTIONS DE X X 06/12/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMERICREDIT AUTOMOBILE RECEIVABLES TR DE X X 06/07/02 AMR CORP DE X 06/13/02 APPLIED FILMS CORP CO X X 06/11/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 ARCADIA RECEIVABLES FINANCE CORP DE X X 06/17/02 AVALONBAY COMMUNITIES INC MD X X 06/12/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 06/13/02 BEAR STEARNS ASSET BACKED SECURITIES DE X X 06/13/02 BIRMINGHAM STEEL CORP DE X 06/03/02 BOWATER INC DE X X 06/13/02 BRIGHTPOINT INC DE X X 06/12/02 CAPITAL ONE MASTER TRUST VA X X 06/07/02 CEDAR INCOME FUND LTD /MD/ MD X X X 05/29/02 CELLULAR TECHNICAL SERVICES CO INC DE X X 06/12/02 CENTURY LABORATORIES INC DE X 06/12/02 CERBCO INC DE X 06/13/02 CH ENERGY GROUP INC NY X X 06/13/02 CITICORP MORTGAGE SECURITIES INC DE X 06/13/02 COMMAND SECURITY CORP NY X 06/12/02 COMPRESSCO INC DE X 06/11/02 COMSHARE INC MI X X 06/12/02 CORECOMM LTD /DE/ DE X X 06/12/02 COTELLIGENT INC DE X X 06/13/02 COUSINS PROPERTIES INC GA X 06/30/02 CWABS INC DE X X 06/11/02 CYBER CARE INC FL X X 06/12/02 DAG MEDIA INC NY X X 06/11/02 DAYTON SUPERIOR CORP OH X X 06/10/02 DCH TECHNOLOGY INC CO X 06/14/02 DENDREON CORP DE X X 06/11/02 DMC STRATEX NETWORKS INC DE X X 06/06/02 DQE INC PA X X 06/12/02 DURO ENZYME PRODUCTS INC X X 06/13/02 ENDOLOGIX INC /DE/ DE X X X 05/29/02 ENRON CORP/OR/ OR X X 06/06/02 FACTORY CARD OUTLET CORP DE X X 06/12/02 FEDERAL AGRICULTURAL MORTGAGE CORP X X 06/13/02 FIRST ESSEX BANCORP INC DE X X 06/13/02 FORCE 10 TRADING INC NV X X 05/16/02 AMEND FORTUNE BRANDS INC DE X X 06/13/02 GMAC COMMERCIAL MORTGAGE SECURITIES I DE X X 06/07/02 GRANT GEOPHYSICAL INC DE X X 06/13/02 GS MORTGAGE SECURITIES CORP DE X 06/12/02 GS MORTGAGE SECURITIES CORP DE X X 05/29/02 HEALTHY PLANET PRODUCTS INC DE X 06/07/02 HEILIG MEYERS CO VA X 04/30/02 HFC REVOLVING CORP DE X X 06/11/02 HISPANIC BROADCASTING CORP DE X X 06/12/02 HOUSEHOLD AUTO RECEIVABLES CORP NV X X X 05/22/02 HUSKER AG PROCESSING LLC NE X 06/04/02 HYDRO ENVIRONMENTAL RESOURCES INC X 05/27/02 IDINE REWARDS NETWORK INC DE X X 05/28/02 IEC ELECTRONICS CORP DE X X 06/05/02 INERGY L P X X 06/07/02 INSURANCE MANAGEMENT SOLUTIONS GROUP FL X 04/30/02 INTERNATIONAL FLAVORS & FRAGRANCES IN NY X 06/13/02 IPCS INC DE X X 06/05/02 JCP&L TRANSITION FUNDING LLC X X 06/04/02 KIMBALL INTERNATIONAL INC IN X 06/13/02 KUPPER PARKER COMMUNICATIONS INC NY X X 06/12/02 LAHAINA ACQUISITIONS INC CO X 06/13/02 LEGENDS OF THE FAITH INC NV X X 06/01/02 LIQUID AUDIO INC DE X X 06/13/02 LMI AEROSPACE INC MO X 06/12/02 LOUDEYE TECHNOLOGIES INC X 06/06/02 LUCENT TECHNOLOGIES INC DE X X X 06/11/02 MAXICARE HEALTH PLANS INC DE X 06/06/02 MB FINANCIAL INC /MD MD X 06/13/02 MEDTOX SCIENTIFIC INC DE X 06/13/02 MIIX GROUP INC DE X 06/05/02 MOMENTUM HOLDINGS CORP DE X X 05/20/02 MYERS INDUSTRIES INC OH X X 06/13/02 NATIONAL MERCANTILE BANCORP CA X X 06/05/02 NEOSE TECHNOLOGIES INC DE X X 06/13/02 NETBANK INC GA X 03/31/02 AMEND NEXMED INC NV X X 06/11/02 NORTH VALLEY BANCORP CA X X 06/06/02 NS GROUP INC KY X X 06/13/02 NYFIX INC NY X X 03/31/02 AMEND OMNICOM GROUP INC NY X X 06/13/02 ORTHOVITA INC X X 04/22/02 PACIFIC MAGTRON INTERNATIONAL CORP NV X X 05/31/02 PASS THROUGH CERTIFICATES SERIES 2002 DE X 05/29/02 PATTERSON UTI ENERGY INC DE X 01/01/02 PG&E GAS TRANSMISSION NORTHWEST CORP CA X X 06/06/02 PHELPS DODGE CORP NY X 06/12/02 PRAXAIR INC DE X 06/13/02 PRIDE INTERNATIONAL INC DE X X 06/13/02 PUERTO RICAN CEMENT CO INC PR X X 06/11/02 PULTE HOMES INC/MI/ MI X X 06/12/02 REPUBLIC TECHNOLOGIES INTERNATIONAL H DE X X 06/07/02 RESEARCH INC /MN/ MN X X 06/13/02 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/13/02 RESIDENTIAL ASSET SECURITIES CORP DE X X 06/13/02 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/13/02 REX STORES CORP DE X X 06/13/02 SAFETY KLEEN CORP/ DE X X 06/10/02 SAFEWAY INC DE X X 06/12/02 SEITEL INC DE X X 06/12/02 SEQUOIA MORTGAGE FUNDING CORP MD X X 06/13/02 SIMON WORLDWIDE INC DE X 06/06/02 SKILLSOFT CORP DE X X 06/10/02 SONIC AUTOMOTIVE INC DE X X 03/29/02 AMEND SPECTRASITE HOLDINGS INC DE X X 06/12/02 STATEN ISLAND BANCORP INC DE X X 06/10/02 STEWART & STEVENSON SERVICES INC TX X X 06/13/02 STRUCTURED ASSET SEC CORP MOR PASS TH DE X X 05/29/02 SUNTERRA CORP MD X X 06/11/02 SUNTERRA CORP MD X X 06/06/02 SUPERIOR ENERGY SERVICES INC DE X X 06/06/02 TECHNISOURCE INC FL X X 06/10/02 TELEPHONE & DATA SYSTEMS INC /DE/ DE X X 06/12/02 TRUMP HOTELS & CASINO RESORTS HOLDING DE X X 06/12/02 TRUMP HOTELS & CASINO RESORTS INC DE X X 06/12/02 TRUMPS CASTLE HOTEL & CASINO INC NJ X X 06/12/02 TTR TECHNOLOGIES INC DE X 06/13/02 UNITED STATES CELLULAR CORP DE X X 06/12/02 UNITED TRUST GROUP INC IL X 06/12/02 UNITY BANCORP INC /DE/ DE X X 06/12/02 UNIVERSAL CORP /VA/ VA X 06/12/02 UNIVERSAL CORP /VA/ VA X 06/12/02 AMEND UNIVISION COMMUNICATIONS INC DE X X 06/12/02 USCORP NV X X X X 04/02/02 VALERO ENERGY CORP/TX DE X X 06/12/02 VALERO L P DE X X 06/12/02 VCA ANTECH INC DE X X 06/12/02 VESTCOM INTERNATIONAL INC NJ X X 06/12/02 VITAL LIVING INC AZ X 05/30/02 VSOURCE INC DE X X 06/12/02 WARRANTECH CORP DE X 06/11/02 WASHINGTON MUTUAL MOR SEC CORP MOR PS DE X 05/29/02 WEST BANCORPORATION INC IA X 06/13/02 WNC HOUSING TAX CREDIT FUND VI LP SER CA X X 06/05/02