SEC News Digest, June 22, 2001 · 16840 Dec 21 2000 Donna Yun and Jerry Burch Case Number 699-cv-1...
Transcript of SEC News Digest, June 22, 2001 · 16840 Dec 21 2000 Donna Yun and Jerry Burch Case Number 699-cv-1...
SEC NEWS DIGEST
Issue 2001-121 June 222001
ENFORCEMENT PROCEEDINGS
SEC SETTLES FEDERAL CHARGES AGAINST MICHAEL BECKER
On June 21 the Commission settled an administrative proceeding against Michael
Becker of Marietta Georgia Becker served as vice president-finance and administration
of Vista 2000 Inc formerly located in Roswell Georgia and traded on the NASDAQ
National Market Becker consented to the entry of cease and desist order restraining
him from further violations of the antifraud reporting books and records internal
accounting control and beneficial ownership provisions of the federal securities laws
Becker neither admitted or denied the flndin made by the Commission
The Commission found that Becker participated in numerous transactions which resulted
in false entries in Vistas books and false documents in its records which were included
in Vistas September 1995 Form I0-QSB Becker participated in and/or directed the
recording of sales even though the products had not been shipped the arbitrarycreation
of costs of goods sold the misstatement of EPS and the improper reporting of two
acquisitions Becker was responsible for ensuring that Vistas records supported
recognition of revenue and assets and that its books recorded all expenses and costs in
conformity with GAAP The Commission also found that Becker failed to file reports on
Forms pr with the Commission to report transactions related to his ownership of
Vista stock
Based on the foregoing the Commission found thai Becker committed violations of
Sections 10b 13b5 and 16a of the Exchange Act and Rules lob-5 13b2-l 16a-2 and
6a-3 thereunder and that he caused Vista to violate Sections 10b 13a 3b2A and
13b2B of the Exchange Act and Rules lOb-5 12b-20 and 13a-13 thereunder and
ordered him to cease and desist from committing or causing any violation and any future
violation of those provisions
In separate action the Commission alleges that Becker obtained ill-gotten gains when
he engaged in illegal insider trading during 1996 SEC Smyth et at Civil Action No
101-CV-1344 USDC N.D Ga LR-17044 Ret 34-44460 AAE Ret 1412 File No
10520
SEC SETTLES FEDERAL CHARGES AGAINST ALLEN SEYMOUR
On June 21 the Commission settled an administrative proceeding against Allen
Seymour of Athens Georgia Seymour CPA conducted the 1994 audit of Vista 2000
Inc formerly located in Roswell Georgia and traded on the NASDAQ National Market
Seymour consented to the entry of cease-and-desist order restraining him from further
violations of the reporting provisions of the federal securities laws and requiring him to
disgorge $16141 of audit fees and prejudgment interest Seymour neither admitted or
denied the findings made by the Commissior
The Commission found that Vistas 1994 financial statements falsely reported revenues
of $1.2 million from the sale of marketing rights and $635000 from fictitious sales
Combined these transactions represented 91% of Vistas reported revenues Seymour
knew or should have known that these transactions had not been recorded by Vista in
conformity with GAAP Seymour also failed to properly conclude that his and his firms
independence was impaired during the audit because Seymours partner owned stock
of Vista during the audit in violation of GAAS As result Seymour caused Vista to file
financial statements that had not been certified by independent accountants despite his
representations to the contrary Seymour also failed to engage in predecessor-successor
auditor communications prior to accepting the Vista audit as required by GAAS
Based on the foregoing the Commission found that Seviolated GAAS and that he
caused Vista to violate Section 13a of the Exchange Act and Rule 13a-1 thereunder and
ordered him to cease and desist from committing or causing any violation and any future
violation of those provisions Rel 34-4446 AAE Rel 1413 File No 3-10521
CIVIL INJUNCTIVE ACTION FILED AGAINST TRADAMAX GROUP INC
PATIINSON HAYTON AND CONRAD DIAZ
The Commission today filed civil injunctive action against Tradamax Group Inc its
control person Pattinson Hayton and its chief financial officer Conrad Diaz The
Commissions complaint alleges that since November 2000 the defendants made numerous
fraudulent public statements regarding the control of Tradamax by Hayton who been
found liable for securities law violations and other illegal conduct the identity of its
chief executive officer the companys product purportedly an Internet portal
website designed to facilitate trading in and track the shipment of various
commodities claimed business relationships and projected revenues and
income According to the complaint these fraudulent statements were made press
releases Internet websites spam e-mail messages Internet message boards reports
filed with the Commission and promot.onal materials distributed to prospective
investors
Also according to the complaint Canadian corporation controlled by Hayton sold
Tradamax stock into the resulting inflated market for profits of at least $114408
Further the complaint alleges that Tradamax has failed to maintain adequate books and
NEWS DIGEST June 22 2001
records and file reports with the Commission and that Hayton has sold securities in
nonexempt and unregistered transactions and failed to file mandatory reports with the
Commission disclosing his beneficial ownership of Tradamax
The complaint seeks permanent injunctions against Hayton Diaz and Tradamax
disgorgement against Tradamax and Hayton civil money penalties against Hayton and
Diaz and an officer and director bar against Hayton
On June 21 2001 United States District Court Judge Gary Taylor issued temporary
restraining order prohibiting Tradamax and Hayton from violating the antifraud provisions
of the federal securities laws and freezing their assets Tradamax Group Inc
Pattinson Hayton and Conrad Diaz No 01-99-GLT USDC CD Cal LR-17046
TAMPA REAL ESTATE AGENTS ORDERED TO DISGORGE $269000 AND PAY
$200000 IN CIVIL PENALTIES FOR ILLEGAL INSIDER TRADING
The Commission announced today that on May 23 2001 United States District Judge
Ann Aldrich sitting by designation in the Middle District of Florida ordered Donna Yun
of Longwood Florida and Jerry Burch of Heathrow Florida to disgorge ill-gotten gains
in the amount $269000 plus pre-judgment interest The Court also ordered Yun and
Burch to pay $100000 each in .ivil penalties The Court denied the Commissions
request for permanent injunctions
On December 14 2000 after an eight-day trial federal jury found Yun and Burch liable
for illegal insider trading in options on the stock c4 Scholastic Corporation In its
complaint filed on February 1999 the Commission alleged the following on or before
February 18 1997 Yuns husband an officer of Scholastic told Yun in confidence that
Scholastic would announce that it expected loss for the quarter ending at the end of that
month Yuns husband also told her that he expected Scholastic common stock then
trading at approximately $65 per share to decline to $55 as result of the announcement
At cocktail party that evening Yun disclosed this information to Burch Yun and Burch
worked as real estate agents in the same office in Tampa Florida During the following
two days Burch purchased 130 Scholastic put option contracts which would rise in value
if Scholastic stock went down After the close of trading on the second day Scholastic
announced the expected loss The next day the price of Scholastic common stock dropped
approximately 40 percent and Butch exercised his put options making net profit of
approximately $269000
On December 19 2000 the Court entered judgments against Yun and Burch for
violations of Section 10b of the Securities Exchange Act of 1934 and Exchange Act
Rule lOb-S For more information see Litigation Release Nos 16052 Feb 1999 and
16840 Dec 21 2000 Donna Yun and Jerry Burch Case Number 699-cv-1 17-
ORL-22 USDC MDFL Tampa Division LR-17047
NEWS DIGEST June 22 2001
FEDERAL COURT IN LOUISIANA ENJOINS NOLAN WADE FROM SECURITIES
VIOLATIONS AND RULES THAT CHARLES CAMPBELL DID NOT VIOLATE THE
FEDERAL SECURITIES LAWS
On February 2000 Nolan \Vade Wade resident of Moselle Mississippi was
permanently enjoined by the United States District Court in Shreveport Louisiana from
violating the registrationand anti-fraud provisions of the federal securities laws Wade
consented to the entry of the order Wade was enjoined from violating Section 17a of
the Securities Act and Sections 10b and 15a of the Securities Exchange Act and Rule
lOb-5 Wade was subsequently ordered to disgorge $600000 but payment was waived
and penalties not imposed based upon his demonstrated financial inability to pay
On August 2000 after non-jury trial the same Court ruled that Chares Campbell
Campbell resident of Flossmoor Illinois did not violate the antifraud provisions of
the federal securities laws in connection with his efforts to take EarthNet Companies Inc
and Mississippi Motorplex Inc public through proposed reverse acquisition
involving International Equity Resources Inc
In September 1998 the Commission filed civil injunctiveaction seeking permanent
injunctions and other relief against Wade individually and doing business as Capital
Financial Consultants and Campbell Among other things defendants were alleged to
have defrauded investors by misrepresenting the process known as reverse
acquisition in which company can become publicly traded and misusing the proceeds
of several offerings For further information see SEC Litigation Release No 15923
Nolan Wade individually and dfb/a Capital Financial Consultants and
Charles Campbell Civil Action No 98-1857-S W.D La LR-17048
DANIEL DANKER SENTENCED TO ALMOS SIX YEARS IN PRISON FOR HIS
PARTICIPATION IN $29 MILLION PONZI SCHEME
On June 15 the Honorable John Tinder United States District Judge for the Southern
District of Indiana sentenced Daniel Danker Danker resident of Indianapolis
Indiana to five years and eleven months in prison ordered him to pay restitution of more
than $27 million and fine of $50000 for his involvement in $29 million Ponzi
scheme In March Danker former vice-president and secretary of Heartland Financial
Services Inc Heartland entered guilty plea to two counts of mail fraud and one count
of money laundering based on his fraudulent conduct Previously on August 10 2000
Judge Tinder who also presides over lawsuit filed by the U.S Securities and Exchange
Commission SEC captioned SEC Payne et al IPOO-1265 entered temporary
restraining order in that case against Danker Heartland JMS Investment Group LLC
JMS Kenneth Payne Payne Johann Smith Smith and Constance Brooks
Kiefer Brooks-Kiefer for their involvement in the Ponzi scheme
The SECs complaint in the civil lawsuit filed on August 10 2000 alleged that from at
least March 1999 to the present the defendants defrauded investors many of whom were
NEWS DIGEST June 22 2001
elderly through the offer and sale of three bogus investment opportunities initial
public offerings of financial institutions and technology companies represented by units
of IMS interests in an offshore bank located in Belize and units of Heartland as
well as stocks money markets and mutual funds through Heartland Rather than use
investor funds for legitimate securities transactions the SEC alleged that the defendants
commingled investors funds from all three schemes in common bank account
controlled by Smith and Brooks-Kiefer and used most of the $29 million raised from
investors to repay investors in the Ponzi scheme and for other non-investment related
purposes
Previously on November 16 2000 Judge Tinder entered orders of permanent injunction
against JMS and Smith both of whom previously consented to the entry of orders of
preliminary injunction JMS and Smith without admitting or denying the allegations of
the SECs complaint except as to jurisdiction consented to the entry of the orders which
enjoin them from future violations of certain antifraud registration and broker-dealer
provisions of the federal securities laws Among other things the orders of permanent
injunction require JMS and Smith to disgorge all ill-gotten gains received by them as
result of the conduct alleged in the SECs complaint plus prejudgment interest on those
amounts The Court also previously entered orders of preliminary injunction against
Brooks-Kiefer Payne and Heartland on August 21 2000 by their consent preliminarily
enjoining them from violations of certain antifraud provisions of the federal securities
laws and further preliminarily enjoining Payne and Heartland from violations of certain
registrationand broker-dealer provisions of the federal securities laws
The staff acknowledges the assistance of the U.S Attorneys Office for the Southern
District of ndiana the Internal Revenue Service-Criminal Investigation Division of
Indianapolis Indiana and the Federal Bureau of Investigation-Indianapolis Indiana
Payne et al S.D IN Civil Action No IPOO-1265C filed August 10 2000
LR-17049
SELF-REGULATORY ORGANIZATIONS
WITHDRAWAL SOUGHT
notice has been issued giving interested persons until July 13 2001 to comment on the
application of SFBC International Inc to withdraw its Common Stock par value $00
and warrants from listing and registration on the American Stock Exchange Rel 34-
44463
SECURITIES ACT REGISTRATIONS
NEWS DIGEST June 22 2001
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 designation if the statement
is New Issue
Registration statements may be obtained in person or by writing to the Commissions
Public Reference Branch at 450 Fifth Street NW Washington D.C 20549 or at the
following e-mail box address pubIicinfosec.gov In most cases this information is
also available on the Commissions website www.sec.gov
F-6 SOPHEON PLC /ADR/ TIMOTHY KEANEY BANK OF NEW YORK
101 BARCLAY STREET 22W NEW YORK NY 10286 212 8152129 20000000
$1000000 DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13616
JUN 13 BR 99 NEW ISSUE
F-6 ALTRAN TECHNOLOGIES /ADR/ TIMOTHY KEANEY BANK OF NEW YORK
101 BARCLAY STREET 22W NEW YORK NY 10286 212 8152129 50000000
$2500000 DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-13620
JUN 13 BR 99 NEW ISSUE
F10 TEMBEC INDUSTRIES INC HIGHWAY 101 BOX 1100
TIMMINS ONTARIO CANADA A6 P4N 705 2681462 200000000
$250000000 STRAIGHT BONDS FILE 33313622 JUN 14 BR
SB SANDISK CORP 140 CASPIAN COURT SUNNYVALE CA 94089 408 562-0500
2000000 $51820000 COMMON STOCK FILE 33363076 JUN 15 BR
S-8 CRITICAL PATH INC 320 FIRST STREET SAN FRANCISCO CA 94105
415 808800 16741348 $21428926 COMMON STOCK FILE 333
63080
JUN 15 BR
S-3 GOLDMAN SACHS GROUP INC 85 BROAD ST NEW YORK NY 10004 212 902-
1000
11450000000 $1450000000 COMMON STOCK FILE 33363082 JUN
15BR
S-3 CANNONDALE CORP 16 TROWBRIDGE DR BETHEL CT 06829 203 749-7000
977777 $3852441.30 COMMON STOCK FILE 33363088 JUN 15 BR
S-3 COMERICA INC /NEW/ 411 LAFAYETTE 500 WOODWARD AVE 31ST FL
DETROITMI 48226 313 2229743 350000000 $350000000 STRAIGHT BONDS
FILE 33363090 JUN 15 BR
NEWS DIGEST June 22 2001
S-4 FELCOR LODGING 545 JOHN CARPENTER FREEWAY SUITE 1300
IRVINGTX 75062 972 4444900 100000000 $100000000 STRAIGHT BONDS
FILE 33363092 JUN 15 BR
S-8 HIBBETT SPORTING GOODS INC 451 INDUSTRIAL LANE BIRMINGHAM AL
35211
205 9424292 650000 $22067500 COMMON STOCK FILE 33363094
JUN 15 BR
S-3 WILLBROS GROUP INC DRESDNER BANK BUILDING50TH STREET 8TH FLOOR P0 BOX 850048 PANAMPL REPUBLIC OF PANAMA Ri
00000
507 2639282 200000000 $200000000 COMMON STOCK FILE 33363096
JUN 15 BR
S-8 NEW ROCKWELL COLLINS INC 400 COLLINS ROAD NE CEDAR RAPIDS IA
52498
319 2951000 3000000 $22721310 COMMON STOCK FILE 33363100
JUN 15 BR
S-2 DONEGAL GROUP INC 1195 RIVER RD P0 BOX 302 MARIETTA PA 17547
717 4261931 300000 $4066500 COMMON STOCK FILE 33363102
JUN 15 JR
S3 KEYCORP /NEW/ 127 PUBLIC SQ CLEVELAND OH 44114 216 6896300
$1
STRAIGHT BONDS FILE 333-63104 JUN 15 BR
S-8 STARTEK INC lii HAVANA STREET NVER CO 80010 303 361-6000
600000 $11076000 COMMON STOCK FILE 33363106 JUN 15 BR
5-8 COINSTAR INC 1800 114TH AVENUE SE SUITE 200 BELLEVtJE WA 98004
206 6446789 970000 $17964400 COMMON STOCK FILE 33363108
JUN 15 BR
S-8 CELESTICA INC 12 CONCORD FL 7TH FL ONTARIO M3C 1V7 A6 416 442-
211
18992341 $672633802 COMMON STOCK FILE 33363112 JUN 15BR
S-8 ST PAUL COMPANIES INC /MNI 385 WASHINGTON ST SAINT PAUL MN 55102
612 3107911 300000 $14929500 COMMON STOCK FILE 33363114
JUN 15 BR
S-8 ARADIGM CORP 3929 POINT EDEN WAY HAYWARD CA 94545 510 265-9000
1403312 $11156330.40 COMMON STOCK FILE 33363116 JUN 15BR
S-8 ST PAUL COMPANIES INC /MN/ 385 WASHINGTON ST SAINT PAUL MN 55102
612 3107911 25400000 $1264031000 COMMON STOCK FILE
33363118 JUN 15 BR
NEWS DIGEST June 22 2001
S-B NEW ROCKWELL COLLINS INC 400 COLLINS ROAD NE CEDAR RAPIDS IA
52498
319 2951000 14325000 $108494255.25 COMMON STOCK FILE
33363120 JUN 15 BR
S-B PMI GROUP INC 601 MONTGOMERY ST SAN FRANCISCO CA 94111 415 788-
7878
3500000 $247187500 COMMON STOCK FILE 33363122 JUN 15
BR
S-8 HELMERICH PAYNE INC UTICA AT 21ST ST TULSA OK 74114 918 742-
5531
3000000 $114960000 COMMON STOCK FILE 33363124 JUN 15
BR
S-8 SANDY SPRING BANCORP INC 17801 GEORGIA AyE OLNEY MD 20832
301 7746400 300000 $9472500 COMMON STOCK FILE 33363126
JUN 15 BR
S-8 GRACO INC 4050 OLSON MEMORIAL HIGHWAY GOLDEN VALLEY MN 55422
612 6236000 1500000 $46972500 COMMON STOCK FILE 33363128
JUN 15 BR
S-8 CERUS CORP 2411 STANWELL DR CONCORD CA 94520 925 288-6000
1000000 $71660000 COMMON STOCK FILE 33363132 JUN 15 BR
S-8 TOPCLICK INTERNATIONAL INC/DE 7676 HAZARD CENTER DR
OFFICE 10 5TH FLOOR SAN DIEGO CA 92108 604 7371127 9200000
$432000 COMMON STOCK FILE 33363134 JUN 15 BR
SB GRUBB ELLIS CO 2215 SANDERS RD STE 400 NORTHEROOK IL 60062
415 9561990 1825000 $9033750 COMMON STOCK FILE 33363136
JUN 15 BR
S-B TECHNISOURCE INC 1901 CYPRESS CREEK RD STE 202 FT LAUDERDALE FL
33309 954 4938601 500000 $760000 COMMON STOCK FILE 333
63138
JUN 15 BR
S-B LIFEPOINT HOSPITALS INC 103 POWELL COURT SUITE 200 BRENTWOOD TN
37027 615 3728500 1700000 $59976000 COMMON STOCK FILE
33363140 JUN 15 BR
5-3 NEW ROCKWELL COLLINS INC 400 COLLINS ROAD NE CEDAR RAPIDS IA
52498
319 2951000 15000000 $113606550 COMMON STOCK FILE 333
63142
JUN 15 BR
NEWS DIGEST June 22 2001
S-8 NORTHEAST UTILITIES SYSTEM 174 BRUSH HILL AVE WEST SPRINGFIELD MA
01090 413 7855871 582844 $11374200 COMMON STOCK FILE
33363144 JUN 15 BR
S8 0N2 TECHNOLOGIES INC 375 GREENWICH STREET NEW YORK NY 10013
212 9412400 4000000 $1496000 COMMON STOCK FILE 33363146
JUN 15 BR
SB-2 TIMELINE INC 3055 112TH AVE NE 106 BELLEVUE WA 98004 206 822
3140
225000 $174375 COMMON STOCK FILE 33363148 JUN 15 BR
S8 REX INC 11645 BISCAYNE BLVD STE 210 MIAMI FL 33181 206 521
2090
818110 $351787 COMMON STOCK FILE 33363150 JUN 15 BR
S-4 CIB MARINE BANCSHARES INC N27 W24025 PAUL COURT PEWAUKEE WI 53072
414 6956010 742416 $15553615 COMMON STOCK FILE 33363152
JUN 15 BR
S-8 PEGASUS COMMUNICATIONS CORP INC 225 CITY LINE AyE STE 200
BALA CYNWYr PA 19004 888 4387488 3000000 $57975000COMMON STOCK FILE 333-63154 JUN 15 BR
S-8 MATTSON TECHNOLOGY INC 2800 BAYVIEW DR FREMONT CA 94538
510 6575900 1800000 $30912000 COMMON STOCK FILE 33363156
JUN 15 BR
S-8 DAVITA INC 21250 HAWTHORNE BLVD SIE 800 TORRANCE CA 90503
310 7922600 2750000 $49830000 COMMON STOCK FILE 33363158
JUN 15 BR
S-2 MEDIX RESOURCES INC 305 MADISON AyE SUITE 2033 NEW YORK NY 10165
303 7414828 10486000 $9961700 COMMON STOCK FILE 33363162
JUN 15 BR
S8 MISONIX INC 1938 NEW HIGHWAY FARNINGDALE NY 11747 516 694-9555
1000000 $6650000 COMMON STOCK FILE 33363166 JUN 15 BR
5-8 BERGEN BRUNSWIG CORP 4000 METROPOLITAN DR ORANGE CA 92668
714 3854000 2000000 $40600000 COMMON STOCK FILE 33363168
JUN 15 BR
S-8 MOTOR CARGO INDUSTRIES INC 845 CENTER ST 845 CENTER ST
NORTH SALT LAKE UT 84054 801 2921111 100000 $833325 COMMON
STOCK
FILE 33363170 JUN 15 BR
NEWS DIGEST June 22 2001
S-B TEC TECHNOLOGIES INC 37 IRONICA ROAD FLANDERS NJ 07836
973 2525233 150000 $75000 COMMON STOCK FILE 33363172
JUN 15 BR
S-B PTN MEDIA INC 455 EISENHOWER PKWY STE 15 ANN ARBOR MI 48108
734 3270579 1250000 $3750000 COMMON STOCK FILE 33363174
JUN 15 BR
S-3 EQUITY RESIDENTIAL PROPERTIES TRUST TWO RIVERSIDE PLZ STE 400
CHICAGO IL 60606 312 4741300 869760 $47749824 COMMON STOCK
FILE 33363176 JUN 15 BR
S-3 VIACOM INC 1515 BROADWAY 51ST FL NEW YORK NY 10036 212 258-
6000
3299000 $179696530 COMMON STOCK FILE 33363180 JUN 15 BR
.7
S-8 EOG RESOURCES INC 1200 SMITH ST SUITE 300 HOUSTON TX 77002
713 6517000 1500000 $61755000 COMMON STOCK FILE 33363184
JUN 15 BR
5-8 WILLIS GROUP HOLDINGS LTD TEN TRINITY SQUARE LONGON ENGLAND
011 4402074 45342500 $350059305.58 COMMON STOCK FILE
33363186 JUN 15 BR
S2 MORGAN GROUP INC 2746 OLD 20 P0 BOX 1168 ELKHART IN 46514
219 2952200 1248157 $11233413 COMMON STOCK FILE 33363188
JUN 15 RR
S3 SEDONA CORP 649 NORTH LEWIS ROAD LIMERICK PA 19468 610 495-3003
5162363 $4646127 COMMON STOCK FILE 3363190 JUN 15 BR
S-4 TYCO INTERNATIONAL LTD /BER/ 90 2ITTS BAY ROAD
THE ZURICH CENTRE SECOND FLOOR PEMROKE HM 08 BERMUDA DO 441 292-
86.74
56378221 $3157744158 COMMON STOCK FILE 33363192 JUN 15
BR
S-B IVILLAGE INC 500-512 SEVENTH AyE NEW YORK NY 10018 212 604-0963
4182000 $29914960 COMMON STOCK FILE 33363194 JUN 15 BR
S-3 SOUTHWEST WATER CO 225 BARRANCA AyE STE 200 WEST COVINA CA
91791
818 9151551 16000000 $16000000 COMMON STOCK FILE 333
63196JUN 15 BR
10 NEWS DIGEST June 22 2001
S-8 DENBURY RESOURCES INC 5100 TENNYSON PARKWAY 3000 STE 200 PLANO
TX
75024 972 6732000 600000 $6309000 COMMON STOCK FILE 333
63198
JUN 15 BR
N2 AMERICAN CAPITAL STRATEGIES LTD BETHESDA METRO CENTER 14TH FL
BETHESDA MD 20814 301 9516122 19076 $348491366 COMMON STOCK
FILE 33363200 JUN 15 BR 22
S-4 WILLIAMS COMPANIES INC ONE WILLIAMS CTR TULSA OK 74172 918 573-
2000
17890600 $1128360142 COMMON STOCK FILE 33363202 JUN 15
BR
S-3 FLORIDA POWER CORP 3201 34TH ST SOUTH ONE PROGRESS PLAZA
ST PETERSBURG FL 33701 727 8205151 380000000 $380000000STRAIGHT BONDS FILE 333-63204 JUN 15 BR
S-8 WIT SOUNDVIEW GROUP INC 826 BROADWAY 6TH FL NEW YORK NY 10003
212 2534400 29850000 $79102500 COMMON STOCK FILE 333-
63206
JUN 15 BR
S-3 ASPEN TECHNOLOGY INC IDE TEN CANAL PARK CAMBRIDGE MA 02141
617 9491000 562455 $13743588 COMMON STOCK FILE 33363208
JUN 15 BR
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events
Item Changes in Control of Registrant
Item Acquisition or Disposition of Assets
Item Bankruptcy or Receivership
Item Changes in Registrants Certifying Accountant
item Other Materially Important Events
Item Resignations of Registrants Directors
Item Financial Statements and Exhibits
Item Change in Fiscal YearItem 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 iternslofthe form specified 8-K reports may be obtained in person
or by writing to the Commissions Public Reference Branch at 450 Fifth Street N.W Washington D.C
20549 or at the following e-mail box address pubhcinfosec.gov In most cases this information is
also available on the Commissions website www.sec.gov
11 NEWS DIGEST June 22 2001
NAME OF ISSUER
STATE
CODE
DE
CA
DE
DE
UT
DE
MD
DE
DE
DE
DE
DE
GA
NY
IN
DE
NY
OH
OH
8K ITEM NO12345678
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
NV
DE
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DE
AU
DE
DATE CONT
ACORN PRODUCTS INC
ADAMS RITE AEROSPACE INC
ADVANTA BUSINESS RECIEVABLES CORP
ALLIED PRODUCTS CORP IDE
ALLOY ONLINE INC
AMERICAN EXPRESS CENTURION BANK
AMERICAN GROUP INC/FL
AMERICAN RESOURCES OFFSHORE INC
APARTMENT INVESTMENT MANAGEMENT
APERIAN INC
ARGOSY GAMING CO
ASD GROUP INC
ASSET BACKED SEC CORP HOME EQUITY
OAN TR 2001-HE1
AT HOME CORP
ATHEROGENICS INC
AUGUST TECHNOLOGY CORP
AVNET INC
BALL CORP
BANC OF AMERICA COMMERCIAL MORTGAGE
INC
BANC ONE AUTO GRANTOR TRUST 1997-B
BANC ONE HELOC TRUST 1998-1
BANC ONE HELOC 199-1BANK ONE AUTO GRANTOR TRUST 1997-A
BEAR STEARNS COMMERCIAL MORTGAGE SE
CURITIES INC
BEAR STEARNS COMMERCIAL MORTGAGE SE
CURITIES INC
BEAR STEARNS HOME LN OWN TR 2001-A
HOME LN BCKD NT SR 2001-A
BENTON OIL GAS CO
BETHLEHEM STEEL CORP IDEBLUE RHINO CORP
BRIGHTPOINT INC
CALENERGY MINERALS LLC
CALENERGY OPERATING CORP
CALLAWAY GOLF CO /CA
CAMPBELL RESOURCES INC /NEW/
CAPITAL AUTO RECEIVABLES INC
CASTLE CO
CATHAYONE INC
CCC GLOBALCOM CORP
CE GENERATION LLC
CE SALTON SEA INC
CE TURBO LLC
CHASE MORTGAGE FINANCE CORP
CHASE MORTGAGE FINANCE CORP
CHIEFTAIN INTERNATIONAL INC
CHRISKEN PARTNERS CASH INCOME FUND
LP
06/15/01
05/31/01
06/20/01
06/15/01
06/20/01
05/15/01
06/18/01
06/20/01
06/21/01
04/06/01 AMEND
04/12/01
06/05/01
06/15/01
06/18/01
06/19/01
05/30/01
06/20/01
06/20/01
06/20/01
06/20/01
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05/21/01
06/20/01
06/01/01
06/01/01
06/15/01
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06/18/01
06/20/01
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06/18/01 AMEND
06/21/01
06/20/01
06/20/01
05/03/01
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06/19/01
06/21/01
12 NEWS DIGEST June 22 2001
NAME OF ISSUER
STATE 8K ITEM NOCODE DATE CO.D4ENT
CITIZENS COMMUNICATIONS Co
CLICKACTION INC
COAST FEDERAL LITIGATION CONTINGENT
PAYMENT RIGHTS TRUST
COMMERCIAL MORTGAGE PASS THROUGH CE
RTIFICATES SERIES 1999 C2
CONEJO ENERGY CO
CONSECO FINANCE CORP
CONSECO FINANCE CORP
CONSECO FINANCE SECURITIZATIONS COR
CONSECO FINANCE SECURITIZATIONS COR
CON VERGYS CORP
COOPER COMPANIES INC
COOPER INDUSTRIES INC
CORNAX BUSINESS SOLUTIONS INC
COUNTRYWIDE HOME LOAN TRUST HOME LO
AN BAC NO SER 2001-HLV1
CRAFTCLICK COM INC
CRITICAL PATH INC
CROWN PAPER CO
CROWN VANTAGE INC
CYBERTEL COMMUNICATIONS CORP
HEALTHCARE RESOURCES INC
DATA CRITICAL CORP
DATAMARINE INTERNATIONAL INC
DEL RANCH LP
DELIAS CORP
DEUTSCHE FLOORPLAN RECEIVABLES
DEUTSCHE RECREATIONAL ASSET FUNDING
CORP
DISTRIBUTION FINNCIAL SERVICES MAR
INE TRUST 1999-2
DISTRIBUTION FINANCIAL SERVICES RV
TRUST 19991DISTRIBUTION FINANCIAL SERVICES RV
TRUST 19993DRUMMOND FINANCIAL CORP
DSTAGE COM INC
DVI RECEIVABLES CORP
DVI RECEIVABLES CORP VIII
EAGLE WIRELESS INTERNATIONAL INC
EARTHWATCH INC
ECLIPSE SURGICAL TECHNOLOGIES INC
ELMORE LP
ELOT INC
EMPLCHINES INC IDEEMCEE BROADCAST PRODUCTS INC
ENVIRONMENTAL POWER CORP
ENZON INC
ESB FINANCIAL COP
06/19/01
06/15/01
06/19/01
06/15/01
06/20/01
06/15/01
06/15/01
06/15/01
DE 06/15/01
04/06/01
06/14/01
06/21/01
04/04/01 AMEND
06/11/01
06/06/01
06/18/01
06/20/01
06/20/01
12/30/99 AMEND
06/20/01
06/07/01
06/21/01
06/20/01
06/06/01
05/31/01
05/31/01
NY 05/31/01
NY 05/31/01
NY 05/31/01
06/19/0
06/15/0
05/31/01
05/31/01
06/18/01
06/14/01
06/15/01
06/20/01
06/18/01
06/20/01
06/18/01
06/21/01
06/21/01
06/20/01
DE
DE
DE
DE
CA
DE
DE
DE
OH
DE
OH
UT
NY
DE
CA
VAVANVDE
DE
MA
CA
DE
DE
NV
XX
DE
DE
DE
DE
TX
DE
CA
CA
VA
DE
DE
DE
DE
PA
13 NEWS DIGEST June 22 2001
NAME OF ISSUER
VOltA EUROPEAN CAFES INC
EVERGREEN BANCORP INC
EXECUTIVE HELP S1RVICES INC
FINANCIAL ASSET SE CP SOUNDVIEW HM
EQ LN AS BK CER SE 2001-1
FIRST BANK CORPORATE CARD MASTER TR
UST
FIRST DEARBORN INCOME PROPERTIES LP
FIRST INDIA DIVERSIFIED HOLDINGS IN
FISH LAKE POWER LLC
FRANKLIN RECEIVABLES LLC
GENERAL EMPLOYMENT ENTERPRISES INC
GENESEE CORP
GEXA CORP
GLOBAL ELECTION SYSTEMS INC
GOAMERICA INC
GOLDEN TRIANGLE INDUSTRIES INC/
GREAT tAKES REIT
GREEN TREE FLOORPLAN RECIEVABLES MA
STER TRUST
GREEN TREE FLOORPLAN RECIEVABLES MA
STER TRUST
GREEN TREE FLOORPLAN RECIEVABLES MA
STER TRUST
GS MORTGAGE SEC CORP II COMM MORT
THRO CERT SER 1997-GL1
HARVARD SCIENTIFIC CORP
HAYES LEMMERZ INTERNATIONAL INC
HONDA AUTO LEASE TRUST 1999A
HONDA AUTO RECEIVABLES 1999-1 OWNER
TRUST
HONDA AUTO RECEIVABLES 2000-1 OWNER
TRUST
HONDA AUTO RECEIVABLES 2001-1 OWNER
TRUST
HOUSEHOLD CONSUMER LOAN TRUST 1996-
HOUSEHOLD CONSUMER LOAN TRUST 1996-
HOUSEHOLD CONSUMER LOAN TRUST 1997-
STATE 8K ITEM NOCODE DATE COMMENT
06/15/01
06/15/01
06/15/01
06/20/01
05/31/01
06/06/01
06/20/01
06/21/01
06/21/01
08/31/00
06/16/01
06/20/01
06/15/01
06/15/01
06/15/01
06/01/01
06/08/01
06/21/01
05/31/01
05/31/01
CA 05/31/01
05/31/01
DE 06/20/01
06/20/01
06/20/01
ET
NV 02/13/01
DE 06/20/01
DE 06/30/01
DE 06/15/01
NY 06/20/01
DE 05/03/01
NY 05/28/01
FIRST SIERRA RECEIVABLES III INC
FIRST UNION COMM MORT TRUST COMM MO
PAS THR CER SER 1999-Cl
FIRST UNION COMM MORT TRUST COMM MO
PAS THR CER SER 1999-C4
FIRST UNION COMM MORT TRUST COMM MO
PAS THR CER SER 2000-Cl
FIRST UNION COMM MORT TRUST COMM MO
PAS THR CER SER 2000-C2
06/01/01
6/15/01DE
NY
NY
NY
NY
DE
DE
IL
NY
TX
DE
CO
MD
MN
DE
NVDE
DE
CA
AMEND
DE
DE
14 NEWS DIGEST June 22 2001
NE OF ISSUER
HOUSEHOLD CONSUMER LOAN TRUST 1997-
HOUSEHOLD CREDIT CARD MASTER NOTE
RUST
HOUSEHOLD FINANCE CORP HOUSEHOLD AF
CRE CAR MAS TR
HOUSEHOLD FINANCE CORP HOUSEHOLD CO
NSUMER LN TRUST 1995-1
HUNTCO INC
IGEN INTERNATIONAL INC IDE
INFONAUTICS INC
INHALE THERAPEUTIC SYSTEMS INC
INHALE THERAPEUTIC SYSTEMS INC
INSPIRE PHARMACEUTICALS INC
INTERNEDIA COMMUNICATIONS INC
INTERNATIONAL COSMETICS MARKETING
INTERNET CAPITAL VENTURES ASSOC
NC
ITC DELTACOM INC
JANEX INTERNATIONAL INC
JCC HOLDING CO
JONES APPAREL GROUP INC
KIDSTOYSPLUS COM INC
KINETIC CONCEPTS INC ITX/
KOPPERS INDUSTRIES INC
LEATHERS
LEHNAN ABS CORP
LEVI STRAUSS CO
LIFEPOINT HOSPITALS INC
LTV CORP
LUMENON INNOVATIVE LIGHTWAVE TECHNO
LOGY INC
LUMINEX CORP
WAVE INC
MARGATE INDUSTRIES INC
MAVERICK TUBE CORPORATION
MAYTAG CORP
MEDIFAST INC
MELLON AUTO GRANTOR TRUST 2000-2
MELLON RESIDENTIAL FUNDING CORP
MERCANTILE BANKSHARES CORP
MEREDITH CORP
MERIDIAN BIOSCIENCE INC
MERRILL LYNCH DEPOSITOR INC
MERRILL LYNCH DEPOSITOR INC
MERRILL LYNCH DEPOSITOR INC
MERRILL LYNCH DEPOSITOR INC PREFERR
EDPLUS TRUST SERIES BLS-1
MERRILL LYNCH DEPOSITOR INC PREFERR
EDPLUS TRUST SERIES CCR-1
META GROUP INC
STATE 8K ITEM NOCODE DATE CONT
DE 06/20/01
DE 05/21/01
06/20/01
06/15/01
06/04/01
06/20/01
02/15/01 AMEND
06/15/01
06/19/01
06/20/01
06/18/01
05/31/01
06/20/01
06/14/01
05/27/01
06/19/01
06/20/01
06/20/01
06/20/01
06/18/01
06/12/01
06/01/01
06/21/01
06/14/01
06/15/01
06/19/01
06/20/01
06/19/01
06/13/01
06/01/01
06/01/01
06/15/01
06/01/01
NY 06/15/01
DE 06/15/01
XX
06/08/01
06/20/01
06/21/01
06/20/01
06/20/01 AMEND
06/20/01
06/20/01
06/21/01
DE
DE
MO
DE
PA
DE
DE
DE
DE
FL
DE
DE
CO
DE
PA
NV
TX
PA
CA
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
DE
MD
IA
OH
DE
DE
DE
DE
15 NEWS DIGEST June 22 2001
NAME OF ISSUER
STATE 8K ITEM NOCODE DATE CONT
MICREL INC
MICROSTRATEGY INC
MMCA AUTO OWNER TRUST 1999-2
MMCA AUTO OWNER TRUST 2000-1
MMCA AUTO OWNER TRUST 2000-2
NMCA AUTO OWNER TRUST 2001-1
MONARCH SERVICES INC
MORGAN STANLEY DEAN WITTER CO
MSC SOFTWARE CORP
MYLAN LABORATORIES INC
NATIONSLINK FUNDING CORP COMM MORT
PASS THR CER SER 1999 SL
NETSOL INTERNATIONAL INC
NET2 PHONE INC
NEW WORLD COFFEE MANHATTAN BAGEL IN
NIGUEL ENERGY CO
NORTHWEST AIRLINES CORP
NOVA NATURAL RESOURCES CORP
NT MEDIA CORP OF CALIFORNIA INC
NUVEEN JOHN COMPANY
OAKWOOD MORTGAGE INVESTORS INC OMI
TRUST 2001-C
OFFICE DEPOT INC
OVERSEAS SHIPHOLDING GROUP INC
PAPER COMPUTER CORP
PARADISE MUSIC ENTERTAINMENT INC
PARAGON TRADE BRANDS INC
PARKWAY PROPERTIES INC
PENTON MEDIA INC
PEOPLES BANK CREDIT CARD MASTER TRU
ST
PEOPLESWAY COM INC
PER SE TECHNOLOGIES INC
PETROCORP INC
PHARMACEUTICAL FORMULATIONS INC
PHOENIX WASTE SERVICES CO INC
POLAROID CORP
PRANDIUM INC
PROVELL INC
PRUDENTIAL SECURITIES SEC FIN CORP
MOR PAS THR CER 2001-Cl
PS FINANCIAL INC
PULASKI BANCORP INC
QWEST COMMUNICATIONS INTERNATIONAL
INC
QWEST COMMUNICATIONS INTERNATIONAL
INC
RAINING DATA CORP
RAYOVAC CORP
RBC CENTURA BANKS INC
REAL ESTATE OPPORTUNITIES INC
06/21/01
06/14/01
06/15/01
06/15/01
06/15/01
06/15/01
06/14/01
06/21/01
06/15/01
06/20/01
06/01/01
06/20/01
06/11/01
06/19/01
06/20/01
06/20/01
03/31/01 AMEND
04/17/01 AMEND
06/15/01
06/15/01
06/20/01
06/19/01
06/1 5/01
06/22/01
06/20/01
06/30/01
06/21/01
05/31/01
06/15/01
06/14/01
06/06/00
06/12/01
06/21/01
06/20/01
06/15/01
06/19/01
06/01/01
06/13/01
05/25/01
06/19/01
06/20/01
12/01/00 AMEND
06/20/01
06/05/01
06/21/01
CA
DE
DE
DE
DE
DE
MD
DE
DE
PA
DE
NV
DE
DE
CA
DE
CO
DE
DE
NV
DE
DE
NV
DE
DE
MD
DE
CT
NV
DE
TX
DE
NJ
DE
DE
DE
DE
DE
DE
DE
WI
NC
CO
16 NEWS DIGEST June 22 2001
OF ISSUER
RELIANT ENERGY INC
RELIANT RESOURCES INC
RES CARE INC IKYRESEARCH INC /MN/
RESIDENTIAL ACCREDIT LOANS INC
RESIDENTIAL ASSET MORTGAGE PRODUCTS
INC
RESIDENTIAL FUNDING MORTGAGE SECURI
TIES INC
RESIDENTIAL FUNDING MORTGAGE SECURI
TIES II INC
RITE AID CORP
ROWE COMPANIES
RURAL ELECTRIC COOPERATIVE GRANTOR
TRUST KEPCO SERIES 1997
SALTON SEA BRINE PROCESSING
SALTON SEA FUNDING CORP
SALTON SEA MINERALS CORP
SALTON SEA POWER GENERATION
SALTON SEA POWER LLC
SALTON SEA ROYALTY CO
SAN FELIPE ENERGY CO
SANGSTAT MEDICAL CORP
SCOTIA PACIFIC CO LLC
SE GLOBAL EQUITIES CORP
SEARS CREDIT ACCOUNT MASTER TRUST
SEMCO ENERGY INC
SENIOR HOUSING PROPERTIES TRUST
SIERRA BANCORP
SILICON IMAGE INC
SOFTECH INC
SOLITRON DEVICES INC
SONIC SOLUTIONS/CA
SONUS NETWORKS INC
STATEFED FINANCIAL CORP
STEWART ENTERPRISES INC
STRUCTURED ASSET MORTGAGE
TS INC
STRUCTURED ASSET MORTGAGE
TS INC
STRUCTURED ASSET MORTGAGE
TS INC
STRUCTURED ASSET MORTGAGE
TS INC
STRUCTURED
TS INC
STRUCTURED
TS INC
STRUCTURED
TS INC
STATE 8K ITEM NOCODE DATE COMMENT
06/20/01
06/20/01
06/20/01
06/20/01
06/20/01
06/20/01
06/20/01
06/20/01
06/20/01
06/07/01 AMEND
06/15/01
06/18/01
06/18/01
06/14/01
06/07/01
06/21/01
06/20/01
06/19/01
05/11/01
06/19/01
06/21/01
04/25/01
DE 04/25/01
DE 04/25/01
DE 04/25/01
DE 04/25/01
DE 04/25/01
DE 04/25/01
TX
DE
KY
MN
DE
DE
06/20/01
06/20/01
06/19/0
06/13/01
06/21/01
06/21/01
DE 06/19/01
DE 06/20/01
06/12/01
06/21/01
12/31/00
DE
NV
NY
CA
DE
DE
CA
DE
DE
DE
DE
MN
IL
MI
MD
CA
DE
MADE
CA
DE
DE
LA
DEINVESTMEN
INVESTMEN
INVESTMEN
INVESTMEN
ASSET MORTGAGE INVESTMEN
ASSET MORTGAGE INVESTMEN
ASSET MORTGAGE INVESTMEN
17 NEWS DIGEST June 22 2001
NAME OF ISSUER
STATE 8K ITEM NOCODE DATE CONT
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
STRUCTURED ASSET MORTGAGE INVESTMEN
TS INC
SUN BANCORP INC
SUNSOURCE INC
SUSQUEHANNA BANCSHARES INC
TAB PRODUCTS CO
TALK VISUAL CORP
TELLABS INC
THAON COMMUNICATIONS INC
TRIAD INDUSTRIES INC
TRICORD SYSTEMS INC IDE
UAL CORP IDEUNB CORP/OH
UNIVERSAL BANK NA
UNIVERSAL BANK NA
UNIVERSAL EXPRESS INC/
VPC GEOTHERMAL LLC
VULCAN POWER CO /NV
VULCAN/BN GEOTHERMAL POWER CO
WASHINGTON GAS LIGHT CO
WASTEMASTERS INC
WEINERS STORES INC
WEINGARTEN REALTY INVESTORS /TX/
WELLS FARGO ASSET SEC CORP MOR PASS
THR CERT SER 2001-13
WELLS FARGO ASSET SEC CORP MOR PS
HR CER SER 2001-10
WGL HOLDINGS INC
WHITEWING LABS INC
WORLD COMMERCE ONLINE INC
WORLD FINANCIAL NETWORK NATIONAL BA
NK
XCARE NET INC
XTO ENERGY INC
YOUNETWORK CORP
ZMP INC
4-D NEUROIMAGING
04/25/01
04/25/01
DE 04/25/Ui
DE 04/25/01
DE 04/25/01
DE 04/25/01
DE 05/02/01
DE 05/30/01
06/01/01
06/18/01
06/15/01
06/20/01
06/06/01
06/21/01
04/06/01 AMEND
06/30/01
06/21/01
06/20/01
06/15/01
05/31/01
05/31/01
05/22/01
06/20/01
06/20/01
06/20/01
06/21/01
06/20/01
06/20/01
01/29/01 AMEND
05/30/01
NY 05/30/01
06/21/01
06/05/01
06/06/01
06/15/01
06/07/01
06/11/01
06/15/01
05/31/01
04/26/01 AMEND
DE
DE
PA
DE
PA
DE
NV
DE
NV
NV
DE
DE
OH
DE
DE
NV
DE
NVNVDC
MD
DE
TX
DE
VACA
DE
OH
DE
DE
DE
CA
CA
18 NEWS DIGEST June 22 2001