mar 1994 securities february 25, 1994 exc?iange …

MAR n ) 1994 Issue 94-36 U.S. SECURITIES February 25, 1994

EXC?IANGE COMMISS~ON

ENFORCEMENT PROCEEDINGS

ADMINISTRATIVE PROCEEDINGS AGAINST JOHN MOHALLEY

The Securities and Exchange Commission announced the institution of administrative proceedings pursuant to Section 9(b) of the Investment Company Act against John J. Mohalley (Mohalley) , the former chief financial officer of Vintage Group, Inc .

Simultaneously with the institution of these proceedings, the Commission accepted Mohalley's offer of settlement in which he consented, without admitting or denying the findings, to the entry of an order permanently barring him from association with any broker, dealer, municipal securities dealer, investment adviser or investment

The Commission found that Mohalley willfully aided and abetted Vintage's violations of Sections 5(a) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(a) of the Securities Act of 1934 and Rules lob-5, 12b-20, 13a-1 and 13a-13 promulgated thereunder. He did so by assisting Vintage in implementing a fraudulent scheme to materially overstate the value of its assets, revenues and income in its press releases and quarterly and annual filings with the Commission. (Rel. 34-20083)

NASD ACTION AGAINST PHYLLIS ELLIOTT SUSTAINED

The Commission has sustained NASD disciplinary action against Phyllis J. Elliott of Independence, Missouri, formerly a salesperson with Whitehouse & Moore Investments, Inc., a former member of the NASD. Elliott was censured, fined $25,000, required (with a co-respondent) to make restitution of $30,000, and suspended from association with any member firm in any capacity for 30 business days.

The Commission found that Elliott recommended to a customer an investment without adequate basis for doing so. The Commission further found that the investment, which Elliott guaranteed, apparently was a sham, and that "the most cursory investigation would have revealed its flaws." In addition, the Commission found that Elliott failed to respond properly to two NASD requests for information related to its investigation of this matter. Sustaining the sanctions imposed by the NASD, the Commission expressed the hope that "these proceedings will impress upon [Elliott] the necessity forthoroughlyinvestigating all investments . . . before recommending them." (Rel.

COMMISSION FILES CIVIL ACTION AGAINST BANNER FUND INTERNATIONAL, SWISS TIL~E AND COMMERCE TRUST LTD., LLOYD WINBURN, EDDIE BLACKWELL AND BERT THOMPSON

On February 24, the Commission announced that it filed a civil action in the United States District Court for the District of Columbia seeking a temporary restrainingorder and preliminary and permanent injunctive relief against Banner Fund International, Swiss Trade and Commerce Trust, Ltd., Lloyd R. Winburn, Eddie R. Blackwell and Bert C. Thompson (collectively "the defendants"). The action seeks to prohibit them from violating Sections 5(a), 5(c) and l7(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder,and Section 7(d) of the Investment Company Act. The Commission is also seeking an order freezing the defendants' assets, disgorgement, civil penalties and other relief. The complaint alleges that the defendants are engaged in an ongoingfraudulent scheree to offer and sell unregistered securities issued by an unregisteredforeign investment company by mailing to investors throughout the United States and elsewhere promotional documents that contain materially false and misleadingstatements and omit to state material facts. The securities are in the form of trusts, purportedly established under the laws of Belize, the proceeds of which are purportedly npooled" for investment by Banner Fund and an unidentified "trader." The defendants are continuing to sell the securities although eleven states have issued orders directing Banner and Swiss Trade to cease and desist from selling securities I

which are not registered under state law. (LR-13976)

fINVESTMENT COMPANY ACT RELEJ.SES I THE GRIFFIN FUNDS, INC., ET AL.

An order has been issued on an application filed by The Griffin Funds, Inc., et al. t under Section 6 (c) of the Investment Company Act for an exemption from Sections )2(a)(32), 2(a)(35), l8(f), l8(g), l8(i), 22(c), and 22(d) of the Act, and Rule 22c-1 thereunder. The order permits applicants to issue multiple classes of shares representing interests in the same portfolio of securities, assess a corit.Lngent deferred sales charge (C~SC) on certain redemptions, and waive the CDSC in certain instances. (ReI. IC.-20095 - February 24)

SELF-REGULATORY ORGANIZATIONS

t i )

APPROVAL OF PROPOSED RULE CHANGE

The Commission has approved a proposed rule change (SR-PSE-93-29) filed by the Pacific i

Stock Exchange relating to the time within which members and member firms must notifythe Exchange of changes to their address where notices may be served, from 60 calendar days to 15 business days. Publication of the approval order is expected to appear ~ in the Federal Register during the week of February 21. (ReI. 34-33658)

l 2 NEWS DIGEST, February 25, 1994 ~

I

The Commission approved a proposed rule change submitted under Rule 19b-4 by the New York Stock Exchar.~e (SR-NYSE-93-47) to permit non-U.S. issuers to distribute summaryan~ual reports to U.s. holders of NYSE-listed foreign securities and ADRs. (Rel. 34-33661)

The Commission approved a proposed rule change submitted under Rule 19b-4 by the New York Stock Exchan~e (SR-NYSE-9l-46) to add audit trail account identification codes. (Rel. 34- 33662)

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 managingunderwriter or depositor (if applicable); File number and date filed; Assigned Branch;and a designation if the statement is a New Issue.

S-3 EXCEL INDUSTRIES IIIC, 1120 Il MAIII ST, POBOX 3118, ElOWIT, 1146515 (219) 264-2131 - 2,937,128 ($53,419,015) COMMONSTOCK. (FILE 33-52315 -FEB. 18) (SR. 4)

S-6 IIMEI TAX EXEMPT UNIT TRUST SERIES 720, C/O JOHII IIJVEEI & co IIC,333 \lOST WACKERDRIVE, CHiCAGO, IL 60606 (312) 917-7947 -I.,EFlIlITE SHARES. (FILE 33-52317 - FEB. 18) (SR. 22 - lEV ISSUE)

S-8 IIISTRlJ£IIT SYSTEMS calP /DE/, 100 JERICHO WADIWIGLE, JERICHO, lIT 11753 (516) 938-5544 - 300,000 (12,775,000) aJMl)l STOO::. (FILE 33-52319 -FEB. 18) (SR. 9)

S-6 IIJVEEI TAX EXEMPT UNIT TRUST SERIES 721, C/O JOHI IlNEEi & co IIIC,333 \lOST WACKERDRIVE, CHICAGO, IL 60606 (312) 917-7947 -I.,EFIIiITE SHARES. (FILE 33-52321 - FEB. 18) (SR. 22 - !lEY ISSUE)

S-6 IIJVEEI TAX EXEMPT UNIT TRUST SERIES 722, C/O JOtII IIJVEEI & co IIC,333 \lOST WACKERDRIVE, CHICAGO, iL 60606 (312) 917-7947 -I.:lEFllllTE SHARES. (FILE 33-52323 - FEB. 18) (SR. 22 - IIBI ISSlI:)

S-3 FlELDCREST CANIKIf INC, 326 E STADILIC DRIVE, 8EII, lie 27288 (919) 627-3000 - 1,500,000 ($84,750,000) catIOI STOCJ::. (FILE 33-5Z325 -FEB. 18) (SR. 7)

S-6 IIMEII TAX EXEMPT UNIT TRUST SERIES 723, C/O JOON IIlNEEIi & co IIIC,333 \lOST WACKERDRIVE, CHICAGO, iL 60606 (312) 917-7947 -I.,EFIIiITE SHARES. (FILE 33-52327 - FEB. 18) (SR. 22 - NEW ISSUE)

S-8 BAlllCERS TRUST NEW yeu: aJlP, 280 PARK AVE, IIBI YalK, lIT 10017 (212) 250-2500 - 1,000,000 (S8! ,562,500) (DMII STOCK. (FILE 33-52329 -FEB. 18) (SR. 2)

S-3 AMERICAN STORES co /NEW, 7fJ9 E SWTH TEMPLE, SAlT LME CITY, UT 84102 (801) 539-0112 - 800,000,000 rssoc.eoc.eco) STRAIGHT BO.:lS. (FILE33-52331 - FEB. 18) (SR. 2)

S-3 EAT(JI aJUI, EAT(JI CTR, 1111 SlPERHJl AVE, ClEVELAJI), 011 44114 (216) 523-5000 - 600,000,000 cssoo.coo.ooor STRAIGHT BOImS. (FILE33-52333 - FEB. 18) (SR. 4)

NEWS DIGEST, February 25, 1994 3

S-3 CIIICIIIJIATI GAS .. ELECTRIC CO, 139 E F(lJtTH ST, IHXM 362-AllllEX,CIIICIIIJIATI, 011 45202 (513) 287-3852 - 300,000,000 (S300,OOO,OOO)tulTGAGE IDI)S. (FILE 33-52335 - FEB. 18) (SR. 7>

S-3 tulRlS(JI QU)SEII aJRP, OIIE tulRlS(JI QU)SEII PUZA, 720 PARK BlW, BOISE,ID 83729 (208) 386-5000 - 848,252 (S21,047,252.72) aMDI STOCIC. (FILE33-52337 - FEB. 18) (SR. 9)

S-6 FIRST TRUST COMBI lIED SERIES 213, C/O IlIKE SECURITIES l P,1001 WARREllYILLE R<W), LISLE, Jl 60532 (708) 241-4141 - IIIDEFllllTE SHARES.(FILE 33-52339 - FEB. 18) (SR. 22 - IIBI ISSlE)

S-4 FIRST ~JTED BAIICSHARES IIiC /AR!, Mill .. WASHIIIGTCIISTREET, P.O. BOX 751, EL DaL\OO, AR 71730 (501) 863-3181 - 985,849 (126,125,000)aMDI STOCIC. (FILE 33-52341 - FEB. 18) (SR. 1)

S-3 KIMBERLY ClARK aJRP, POBOX 619100, DAI AIRPORT STATICII, DALlAS, TX75261 (214) 83(}-12OO - 40,000,000 ($40,000,000) STRAIGHT BOIIDS. (FILE33-52343 - FEB. 18) (SR. 8)

S-6 FIRST TRUST CCMB!IIED SERIES 214, C/O liKE SECURITIES l P,1001 WARREIIVILLE R<W), LISLE, IL 60532 (708) 241-4141 - IIIDEFlIIJTE SHARES.(FILE 33-52345 - FEB. 18) (SR. 22 - IIBI ISSlE)

S-6 FIRST TRUST COMBINED SERIES 215, C/O NIKE SECURITIES l P,1001 WARREIIVILLE R<W), LISLE, IL 60532 (708) 241-4141 - IIIDEFllllTE SHARES.(FILE 33-52347 - FEB. 18) (SR. 22 - NEW ISSlE)

S-6 FIRST TRUST COMBIIIED SERIES 216, C/O NIKE SECURITIES L P,1001 WARREIIVIllE R<W), liSLE, IL 60532 (708) 241-4141 - IIIDEFIIIITE SHARES.(fllf 33-52349 - FEB. 18) (SR. 22 - NEW ISSlE)

S-3 HANOVERDIRECT INC /DEli, 1500 KARIIal BlW, '-EEIW«EII, IJ 07'087 (201) 865-3800 - 11,509,000 ($80,500,000) aMDI STOCIC. (FILE 33-52353 -FEB. 18) (SR. 1)

N-1A WINNESS FLIGHT IIIVESnENT IUlDS IIIC, 201 SWTH LAICEAVE STE 510,PASADENA, CA 91101 - IIIDEFINITE SHARES. (FilE 33-75340 - FEB. 15) (SR. 17- NEW I SSlE)

REGENT 8K FILINGS

Forti 8-( is used by c<lq)anies to file current reports on the following events:

Itell 1. Changes in Control of Registrant. ,Itell 2. Acq.Iisition or Disposition of Assets.Itea 3. Bankrt4>tcyor Receivership. iItell 4. Changes in Registrant's Certifying Acccx.ntant.Itell 5. Other Materially IlIIpOrtant Events.Itell 6. Resignations of Registrant's Directors.Itea 7. Financial Stateaents and Exhibits.Itell 8. Change in Fiscal Year.

The c~ies listed below have filed 8-( reports for the date indicated lJIdJor _dller.ts to a-Ie reports previouslyfiled, responding to the itell(s) of the forti specified. Copies of the reports EY be purchased frc. the ec-ission'sP\.blic Reference Roa. (when ordering, please give the date of the report). An invoice will be included with therec:p.Jl!Sted_terial when mi led.

4 NEWS DIGEST, February 25, 1994

STATE lie ITEII 10. lIME OF ISSlBl aJ)E 12345618 DATE CXIIEIIT

---------------------------------------- --------------- ---------------ADVAIICEDEJlVIRa.EllTAL SYSTEMS IIC AES CDRPatATI(JI

IT

DE

X 02111/94 X 02111/94

ALLlAJICE BAJlaItPORATICII IAU NC. X 01118/94 ALLIED BAlI&: CAPITAL INC Ie X X 01J28J94 ALLIED SIL VEl lEAD CO ID X X 02114/94 ALTRES IIC HI X 12/31/93 AMERlANA BAIIaItP II X X 01/21 /94IIIBI) AMERI CAN EXPRESS CO IT X 12/31/93 AMERI CAN FIIIAIICIAL aItP AMERICAN tEDCAItE aItP AMERICANMEDICAL ELECTRCIIICS IIC

011

DE.. X X 02JZl/94 10 ITEIIS 01/31/94

X X 02115/94 AMERICANMEDICAL RESPCIISE lie DE X X 01120/94 AMERICANMEDICAL TECII*IlOGIES IIC AMERI CAN HETlDt( GR(IJ» IIC AMERICANWIRELESS SYSTEMS IIC

DE

DE.. X X 02101/94 X X 01/13/94

X 02J04/94 AMERICOlD aItP Ir.! ARTISOFT INC

CJt DE

X 02118/94 X X 02114/94

ATLANTIC RESTAURAIITVEITlItES IIC VA X X 02111/94 IIAIIICOF HEW ElGlAII) CORP ItA 10 ITBIS 12/31/92 BELL ATLAITIC aItP DE X 02J24/94 BETHEL BAJlCORP BEVERLY HILLS BAICDRP

ME CA

X 021f19/94 X 02116/94

SlY MSTER CREDIT CARD TRUST DE X X 02115/94 BRADLEYPHAltMCEUTICALS lie IJ 10 ITBIS 12J10J93,MEll) IlRAJl)YWIIE REALTY TRUST leD X 01/31/94 BRIGHT STAR WJtLD ElTERTAllIEIIT lie DE XX X X 12/31/93 BRIGHTCII IIFCltMTICII SYSTEMS aItP DE X 01/05/94 BSD lIAIIIaItP I Ie DE X 01/18/94 BSD IlAlllCORP I IC DE X 02111/94 BT EIIERGY CDRPatATICII DE X 02114/94 CAESARS WJtLD IIC FL X 02fl2J94 CALIFCJtIIA FEDERAL BAIIIC CA X X 01125/94 CALI FCJtI IA PRO>ERTIES RJI) CA X X 02I14/94111B1) CAPITAL SWTIAlEST aItP TX X X 12/01/93 CARDI HAL CAPI TAL aItP UT X 12J01/93 CATERPILLAR FIIlAllCIAL SERVICES aItP DE X 02fl2J94 CBT CORP /KY I n X 02fl2J94 CElTURY PRO>ERTIES RJI) XIX CA X X 02J08I94 CElTURY TELEPHCIIE ElfTEltPRlSES lie LA X X 02110/94 CERAMICS PROCESS SYSTEMS altPJDE/ DE X X 01125/94 CIWI»HJI (XJI)UJER RElTALS IIC CO X X 02110/94 CIWI»HJI EITERPRISES lie III X X 02111/94 CHARTER FllAICIAL IIET\llRIC lie IJ X 02I02J94 CHECDCATEELECTROIICS lie GA X 02110/94 CHEMFIX TECII*IlOGIES IIC DE X 02110/94 CIICIHlATI IIICIOIAVE IIC 011 X X 02J04/94 CLIFFS DRILLIIG CO DE 10 ITEIIS 021f19/94 CLlllCORP IIC DE X X 11Jf19/93 ex: SEaJRITIES aItP II DE X X 01/14/94 aM:EITRAL CORP/lIT UT X X 02110/94 IDIHSCO RECEIVABLES TRUST 1991-A DE X X 02/14/94 aJl)lSCO RECEIVABLES TRUST 1992 A DE X X 02114/94 aJl)lSCO RECEIVABLES TRUST 1993-A X X 02/14/94 COHSECO IIC II X X 02/15/94 IlXPER DEVEUJlMEIT CO DE X X 01J28J94 CORESTATES II(J£ EClJITY TRUST 1993-1 IT X 02118/94 aJRAFlEX HEALTH SERVICES lilt DAIII PEISICII IIIVESTCJtS 85

DE.. X X 02/01/94 X 10119J93,ME11)

DNC.TR<IIICS IIC ISDI SD X 02/10J94


STATE • ITEII 10. NAMEOF I SSlER amE 12345678 DATE aJIEIIT

---------------------------------------- --------------- -----------_ ... --DECADE aJl>AIIIES INCaE PROPERTIES "I X 12107 J9WEII) DEERE & CO DE X 02f22J94 DELPHI INFORMATIONSYSTEMS lie /DEI DE X 12J30/93MEII) DIGITAl SOlUTIONS lie IJ X X 02/03J9WE11) DlMEIISIOIIAl VISIONS CiR(1p LTD DE X 01/18J9WEJ1) DISCOVER CARD TRUST 1990 C DE X X 02/15/94 DISCOVER CARD TRUST 1990 D DE X X 02/15/94 DISCOVER CARD TRUST 1990 E DE X X 02/15/94 EAGlE IIiSURED L P DE X X 01/31J9l EAGlE IIiSURED L P DE X X 01/31/94 EDISTO RESWRCES aJU> DE X X 02/14/94 ELLISON RAY fDlTGAGE ACCEPTAliCEaJU> IX X 01127/94 EMBRACESYSTEMS aJU> DE X 02/15/94 DU.EX aJU> /DEI DE

EIlERGYIKlRTHIIiC ... X ;t

02/04/94 02J02J94

EQCC ASSET BACKEDaJU> DE X 02/16/94 EQCC RECEIVABLES aJU> DE X 02/16/94 EWITABLE BAG CO IIiC If X 02/15/94 F&f RESWRCE SYSTEMS TECIIIOlOGY lie JI) X 02/fJ9/94 Flit BANCORPORATIONIIiC "I X X 02/11/94 FAMILY BARGAIII aJU> DE X X 02/15/94 FCC IIATI 0IIAl BAlIK FF HOlDI NGS aJU> DE

X X

X 02/08J94 12J13J9lNEJ1)

FIRST aMERCE BAllCSHARES lie IE X X 02/16/94 FIRST III>EPEII>EIICE aJU> IDEI DE X X 02/14/94 FIRST INTER BANaJU> IIiC DE X X 01/27/94 FIRST MANISTIQUE aJU> .. I X X 02J08J94 FIRST PAlMETTO FllIAIICIAl CORP DE X 02/16/94 FIRSTFED BANDORPIIiC DE X X 02/14/94 FIRSTIER FINANCiAl IIiC fIlE/ IE X 02/14/94 FalTUNE PETROlElJIJ aJU> DE X X 02/15J9l FRAllnl1l OPHTHAlMIC IHSTRtJ£ITS CO lie DE

FRAllnIIl QUEST CO ur GAlAXY F()(I)S CO DE

GAPMAIIiTERllATIOIIAl LTD DE

XXXXXXXX

X X X

X X

10 ITEMS

01127/94 01/31/94 02/14/94 02/11/94 I

GEIlERAl MOTalS aJU> DE X 12J06J9l GENERATION5 TECHIIOlOGYIIiC ICOI CO X X 01J"lBJ94 GEIII CCICCalP DE X X 11123J9l GlOOAl CASllIOS IIiC UT GREAT ""'STERN BANKtDlTGAGE PASS TIIIHlJGII DE

X X

10 ITEMS 11J19J9lNEJ1) 01/31/94 •

GREAT ""'STERN BAlIK tDlTGAGE PASS THRClJGII DE 10 ITEMS 01/31/94 GREAT ""'STERN BAlIK tDlTGAGE PASS TIIRWGII DE 10 ITEMS 01/31/94 GREAT ""'STERN BAlIK tDlTGAGE PASS TIIRWGII 10 ITEMS 01/31/94 GREAT ""'STERN BAlIK tDlTGAGE PASS TIIRWGII DE 10 ITEJIS 01/31/94 GREAT ""'STERN BAlIK tDlTGAGE PASS THRClJGII DE

GREAT ""'STERN BAlIK tDlTGAGE PASS THRaJGII DE

10 ITEMS 10 ITBIS

01/31/94 01/31/94

J !

GREAT ""'STERN BAlIK tDlTGAGE PASS TIIRWGII DE 10 ITEMS 01/31/94 J GROSSMANSIIiC DE X X 02/01/94 GTE SOOTH IIIC VA X X 11J01J9l aJlF SOOTHWESTBANCalP IIiC IX X X 02/14/9W1EJ1) aJlFSIDE INDUSTRIES LTD H80 & CO DE

X

X X 02J03/94 02/08J94 ~

HCA HOSPI TAl CORPORATIONOF NlERICA DE X X 02/10/94 HEALTH INFUSION IIiC FL HECLA MINING CO/DEI DE HERLEY INDUSTRIES IIiC /IIEV DE

HOlIWI IIiC DE

X X

X X

X

X

02/06/94 02/08J94 06/1B193MEJ1) 02J23/94

~

I\.


STATE • ITEM 10. lIME OF I SSlER aJ)£ 12345678 DATE aJItEIIT

---------------------------------------- --------------- ---------------IICPE TECIIIOlOGIES HWSIIG SEa.lITiES HWSIIG SEIlJRITIES HWSIIG SEIlJRITIES

IIIC /rN IIIC ... IIIC ... lit ...

PAS THRO CElT PASS THRO CEI PASS THRWGII

IV

DE DE

X X

X

X

X

X

X

02J1I8I94 01/25/94 01/25/94 01/25/94

HWSIIG HWSIIG

SEIlJRITIES SEIlJRITIES

IIIC lit

...

... T PASS TtIRO CE T PASS THRO CE

DE DE

X

X

X

X

01/25/94 01/25/94

HWSIIG HWSIIG


lit lit

...

... T PASS TtIRO CE T PASS TIIRU CE

Of DE

X

10 ITERS X 01/25/94

05107/00 HWSIIG HWSIIG


lie lie

... TGAGE PASS Till REMle PASS THRO e

X

X

X

X 01/25/94 01/25/94

HWSIIG SEIlJRITIES lie REMle PASS TtIRO e DE X X 01/25/94 HWSIIG IU)SCItS

SEIlJRITIES lit REMle GRILL OF AlERICA lit

PASS TtIRO e CA

X X

X

01/25/94 12J09~

I lET lit UT X X 12/31/93 ICC TECIIIOlOGIES lit 11.L1IOIS POWER co UIIJIIE RESPCItSE CORP IITERCEL Iit/DE

DE II. DE DE X

X

X

X

X X

02J07/94 02JrR/94 02J14/94 01131/94

IITERIIATUIiAl. RETAIl. SYSTEMS lit JAIl BEl.l. MARKETlIG lit '"DE

X

X 02J14/94 02J16J94

JAS(JI IIIC DE X X 01131/94 JCP RECEIVABLES lit JOlES IITERCABLE lit

DE co X

X 02J15/94 01127/94

JClJl.E lit DE X X 02J10/94 JPS TEXTILE GIKlP IIIC /DEI DE X X 02J22J94 KEARIIY STREET REAl. ESTATE co l.P DE X X 01131/94 KIMBERl.Y CI..AK CORP DE X 02J1~ KIIERET ACQUISITIOI CORP DE X X 01J10J9WEll) LEGEIIT CORP LEIIWI BROTHERS HOlDIIGS LEIIWI BROTHERS IIICII

lit DE

DE DE

X

X

X

X

X

02J07/94 01/24/94 01/24/94

LIFE RE CORP DE X X 02J02J94 I.CIMK PETROl.E\It lit l.58 IIIlUSTRIES lie MAGELLAIIRESTAlJRAIIT SYSTERS lie

DE

DE

DE

X

X

x

X

X

X

02J11/94 02JrJ9/94 01119/94

MllJFACTUREO IDlE caIIJlIlIES lit X X 02J08/94 MAR101 CAPIT AI. HOlDIIGS lit MRQUEST tED I CAl. PRtDUCTS lie

II co

X x

X

X 02J01/94 02J14/94

MARSHALl. r. ILSLEY CORP/VI/ NBMAAIEl I CA SA IAT 10IAl. ASSOC OOVER CRE NBMAAIEl I CA SA IAT 10IAl. ASSOC OOVER CRE NBMAAlER I CA IIAIIICIAT ASSO NBMAMAST CRE

"I

X

X

x X x

02JZ3/9402J14/94 02J15/94 02J14/94

NBMAAIEl I CA BK IAT ASSO NBMAClEO I T CAR MBIIA AIEl I CA BK IA T ASSOC NBIIA MAST ClEO NBMAAIEl I CA BK IA TI 0IAl. ASSO NBMAClEO I NBMAAIEl I CA BK IA T 10IAl. ASSO NBMAMAS e

x x x x

02J14/94 02J14/94 02J14/94 02J14/94

NBMAAlER I CA BK IA T 10IAl. ASSOC MIlIA ClEO NBMAAIEIICA BK IAlL ASSOC NBMAMAST CRD NBMAAlERI CA BK IAlL ASSOC NBMAMASTER e NBMAAIEl I CA BK IATI. ASSOC NBMAMASTER e NBMAAlER I CA BK IA lL ASSOC MIlIA MASTER e tED UIIJIE lie /DE tED I ZOIE CAllADA l.TO

DE

UT

x x x x x X

X

02J14/94 02J14/94 02J14/9402J14/94 02J14/94 02JrR/94 01~

tEDlZOIE IITERlAlIOIAl. lit IV X 01~ IETROCALl. lit X X 02J14/94 MID Nt lit (II 10 ITERS 02J08J94 JIOBILE GAS SERVICE CORP AI. X X 01~ JIOBILE SERVICES IITERlATIOIAl. CORP Of X 02JD4/94


---------------------------------------- --------------- ---------------STATE • ITEII IIJ.

lINE Of ISSUER CDJE 1234567. DATE CXRIEIT

IOtGAII STAILEY ~ lie /DIE.I DE X X W22J94 tIJl TI HEALTI aJIP IlATIIJIAL I*XJE REALTY TRUST

FL CA

X X X

X X

01/31~ 02J10~

IlATlIJIAL TELEPIICIE aJIUIICATlc:.s lie IV X X 01/12J9U1EJ1) IlATiCIISBAIK Of DELMMRE IA X X 02J15~ NIAGARA tIJIIMK PCIEII aJtP /fIT 1 N(llTH LILY MINIIlli CD

IT UT

X X

02/2It~ 02J07~

.. T_ST ILLlIIJIS BAICDIP lie DE X 02J07~ (JIECIC lie OSTEOTECIIIIIC

DE DE

X X

02/2It~ 02J14~

DZO DIVERS I flED MmIIATiCII lie Ir.tJ/ CD X 12/31/93 PACIFIC WESTERII IlAlCSllARES lie /DIE.I PAIllE WEB8EJt Cl.llU.IFlED PI.M PID'EITY All

DE

DE

X IIJ ITEIIS

X 02J04~ 10/08,/9UlEll)

PAPA .KItIIS IIITERIATICIIAI. lie DE X X 02Jf1l~ PARAGaI "'T~ aJtP IL X 02J14~ PE(J)l£S BAlK CT X X 02J15~ PIIOEIIIX MEDICAL TEa.oLOGY lie DE X X 02Jf11~ PIIOEIIIX REAL ESTATE SEC alii tIJlTlF PA T X X 01J25~ PHYSICIAIS CLINICAL l..AIDtATCltY lie DE X X 01~ PRIME MEDICAL SERVICES lie /TXI X 10/18193 PRIIIC£TCII DEll AL MIIAGBEJIT aJtP DE X 02J11~ PRIIITROI IIIC DE XXXXXXXX 02J04~ PROGRNItIIG & SYSTEMS lie IT X X 02J07~ PROTECTIVE LIFE aJtP DE X 02J14~ PRlI)£JIT IAL IIAIIIC& TRUST CD X X 02J15~ PRlI)£JITIAL IDE ... TGAGE SEaJllTlES alit DE X X 01J25~ CUJIl.It HEALTH ~ lie DE X 11J30~ REALTY IIJSIIlESS PARTIIERS CA X 01J19J91WE11) REALTY SWT_ST RJI) III LTD REaJlVERSlCII TEa.DlOGIES lie

TX

DE X X

X X

12J30/93 01~

ItEDWDOO ElF I RE IWICXIIP CA X 02J11V94 RENTIAK aJtP CIt X 02J14~ RENTIAK aJtP CIt X 02J17~ RETiREJEIIT CARE ASSOCIATES IIIC ICOI CD X X 02J03~ RGB aJlPUTER & "11)£0 lie FL X ~ IKIMII aJFAIIIES lie DE X X 02J11~ SlIM IIIDUSTRIES lie DE X 12/0619W1E11D SEEQ TEa.ot.OGY lie DE X X 02Jf11/94 SERYIIIG SOFTlMRE lie • X 01J27~ SEVEJI tit RC IOTTLlIG aJFAIY Of SWTIIEII DE X X 02J02J94 SIGIIET BAlllCIIG aJtP VA X W22J94 SOfTWARE Of EXCELLEICE IIITERIATlCIIAI. lie SWRCE CAPI TAL aJtP

FL.. X XXXXXXX

X 01/31~ 02J07~

SWT_ST OIL & GAS IJIaIE RJI) X-A LP DE X X 02J14~ SWTIAotEST ROYALTIES IIISTITUTICIIAI. IICOIE SPECTRlII INFCltMTlCII TEa.oLOGIES lie STERLlIG (PTICAL aJtP

DE

DE IT

X X

X

X X X

0211'/94 ~ 01/31/94 r

SULLIVAI aJIUIICATlc:.s lie /DIE.I DE X X 02J17~ • ~ CO lie ~ HEALTIICARE~ lie

PA DE

X X X

02/2It~ 12J14J9.WE11» ~

SYlKPSYS lie TAIDY RECEIVABlES aJtP

DE DE

X X

X X

02J1~ 02115/94

\ !

TELEFLEX lie TEI8WIT CO TFG IDE LOM TRUST 1990-1

DE

• CA X

X

X X X

02J1S/9WEIID 02J01/94 01J14~

.~

TFG IDE LOM TRUST 1990-1 CA X 02J15~ TREJDlT aJrP(JtATlCII DE X X 02J14~ TRI aurrt IIAIIaJtP lie '" X 02J07~


---------------------------------------- --------------- ---------------STATE 8IC ITEM 10.

KAMEOF I SSl£R cmE 123 4 5 678 DATE aREJ(l

U S TECHNOlOGIES IIC DE X X 01/10/94NE1I) UlILAB CORP /DEI DE X X 02/D4/94 UlIOli PlAIITERS CORP TI X X 02/08J94NE11) US WEST IIC CO X X 02J24/94 VIDEO JUKEBOX IETWORK IIC FL X 02/11/94 VIRAGEI INC DE X X 11/17/93 YASHINGTOII E~RGY CO WA X 02JZ3/94 WASHINGTOIINATURAl. GAS CO (PIED) WA X 02JZ3/94 \ESTER .. GAS RESCUlCES INC DE X 02J24/94 WHEATLEYTXT CORP DE X 01/06/94 \1'1 CRaP INC IH X X 01/31/94 YWTH SERVICES INTERNATlOllAL IIC II) X X 02/16/94 XI a»cPLETE caFLlAliCE CORP DE X X 02/07/94

ACQUISITIONS OF SECURITIES

Companies and individuals must report to the Commission within ten days on Schedule 13D if after the acquisition of equity securities of a public company their beneficial interest therein exceeds five percent. Persons eligible to use the short form (Schedulel3G) may in lieu of filing a Schedule l3D file a Schedule l3G within 45 days after the end of the calendar year in which the person became subject to Section l3(d) (1) . Companies and individuals making a tender offer must have on file at the time the tender offer commences a Schedule 14D-l.

Below is a list of recent filings of Schedules l3D and l4D, which includes the followinginformation: Column 1 - the company purchased (top), and the name of the purchaser;Column 2 - the type of security purchased; Column - 3 - the type of form filed; Column 4 - the date the transaction occurred; Column 5 - the current number of shares (inOOO's) owned (top) and the current percent owned; Column 6 - the CUSIP number (top) and the percent owned; and Column 7 - the status of the filing, i.e., new, update or revision.

EVEIT SKRS(OOO)I CUSIPI FILING

KAMEAlII) CLASS OF STOCK/<UlER FORM DATE %aoWED PRlmr% STATUS

SHURGARD INC PRa> SIX UTS LTD PRTS/IP INT 0 82567040 U H AQUISITIOII CO 140-1 2/ 8/94 0.0 0.0 lJIDATE

SHURGARDlie PRa> SEVEI UTS LTD PRTS/IP liT 0 82561050 SHURGARDSTaw;e CTRS IIC 140-1 2/14/94 0.0 0.0 lPDATE

SIIJRGARD IIC PRa> SEVEI UTS LTD PRTS/IP lIT 0 82567050 U H AQUISITIOII CO 140-1 2/ 8J94 0.0 0.0 lPDATE

SIIJRGARD IIC PRa> EIGHT UTS LTD PRTSHP liT 0 82567060 SIIJRGARD STaw;e CTRS lie 140-1 2/14/94 0.0 0.0 lPDATE

SIIJRGARD I Ie PRa> EIGHT UTS LTD PRTSHP liT 0 82567060 U H AQUISITIOII CO 140-1 2/ 8/94 0.0 0.0 lJl'DATE


EVEIT SHRS(OOO)/ CUSIP/ FILIIG

lINE All) CLASS Of STOCK/OWER DATE ICUIED PRICRS STATUS

SIlJRGARD IIiC PR(p lillie

SIlJRGARD STORAGE CTRS IIiC

UTS LTD PRTSHP

140-1 lIlT

Zl14/94 0

0.0 82567070

0.0 lJIDATE

SIlJRGARD lilt PR(p

U H AQUISITIOII lillie

CO

UTS LTD PRTSIIP

140-1 lIlT

ZI 8/94 0

0.0 82567070

0.0 lJIDATE

SIlJRGARD IIiC PR(p 11 SIlJRGARD STORAGE CTRS IIiC

UTS LTD PRTSIIP

140-1 lilT

2/14/94 0

0.0 82567080

0.0 lJIDATE

SJlJRGARD lilt PR(p

U H AQUISITIOII 11 CO

UTS LTD PRTSHP

140-1 lIlT

2/ 8J94 0

0.0 82567080

0.0 lJIDATE

SIlJRGARD IIiC PR(p

U H AQUISITIOII lUI)

CO

18 UTS LTD PRTSHP

140-1 lilT

2/ 8J94 0

0.0 82567083

0.0 lJIDATE

SJlJRGARD IIiC PR(p TEll SJlJRGARD STORAGE CTRS IIiC

UTS LTD PRTSIIP

140-1 lilT

Zl14/94 0

0.0 82567084

0.0 lJIDATE

SIlJRGARD IIiC PR(p

U H AQUISITIOII TEll CO

UTS LTD PRTSIIP

140-1 lilT

2/ 8J94 0

0.0 82567084

0.0 lJIDATE

SJlJRGARD IIiC PR(p IV


UTS LTD PRTSIIP

140-1 lilT

Zl14/94 0

0.0 82567085

0.0 lJIDATE

SJlJRGARD lilt PR(p

U H AQUISITIOII IV

CO UTS LTD PRTSHP

140-1 lIlT

2/ 8J94 0

0.0 82567085

0.0 lJIDATE

SIlJRGARD IIiC PR(p lUI) 16


UTS LTD PRTSIIP

140-1 lilT

2/14/94 0

0.0 82567'086

0.0 lJIDATE

SIlJRGARD IIiC PR(p

U H AQUISITIOII lUI)

00

16 UTS LTD PRTSIIP

140-1 lilT

2/ 8/94 0

0.0 82567'086

0.0 lJIDATE

SIlJRGARD IlIaJE PR(p FD 14 SIlJRGARD STORAGE CTRS IIiC

UTS LTD PRTSIIP

140-1 lilT

2/14/94 0

0.0 82567'081

0.0 lJIDATE

SIlJRGARD IlicaE PR(p FD

U H AQUISITIOII CO

14 UTS LTD PRTSIIP

140-1 .IIT

2/ 8/94 0

0.0 82567'081

0.0 lJIDATE

SIlJRGARD lilt SIlJRGARD

PR(p 12

STORAGE CTRS IIiC

UTS LTD PRTSIIP

140-1 lilT

2/14/94 0

0.0 82561088

0.0 lJIDATE

SJlJRGARD IIiC PR(p 12 U H AQUISITIOII 00

SIlJRGARD Mill STORAGE LTD


UTS

UTS

LTD PRTSHP

140-1

LTD PRTSHP

140-1

lIlT

ZI 8/94

lilT

2/14/94

0 0.0

0 0.0

82561088 0.0 lJIDATE

82567110 0.0 lJIDATE

I

j

I ~

SIlJRGARD MIIiI STORAGE LTD

SIlJRGARD STORAGE CTRS lilt

SIlJRGARD MIIiI STORAGE LTD

U H AQUISITIOII 00

MER I CA OIILlIIE lilt APPLE a:.MIUTER IIiC

UTS

UTS

LTD PRTSIIP

140-1

LTD PRTSIIP

140-1

13D

lilT

2/14/94

lIlT

ZI 8/94

11 1/94

0 0.0

0 0.0

500

7.1

82567110 0.0 lJIDATE

82567110 0.0 lJIDATE

02199310 0.0 lEV

II I :. I.. [

I r


EVEIIT SHRS(OOO)/ WSIP/ FlLIIIG!lAME AJI) ClASS OF STOCK/(MIEIt FaIM DATE %ailED PRIOR); STATIJS

MltEP CORP IDt 1,785 03215910KARABOTS IIICIC G 130 1131/94 24.5 8.1 lJ>OATE

NJTCMATIX IIiC IDt 122 05327110MCNEIL ROBERT L JR 130 1J26J94 5.2 0.0 NEW

NJTCMATIX IIIC IDt 213 05327110MORGAJI IIOllAJl)PARTIIERS ET AL 130 1/26/94 9.0 0.0 NEW

80S MED ICAL CORP aJI! 4,7S8 05566210IIBH LIQUIDATIIiG TR 130 12/16/93 0.5 0.0 IIE\I

IWlICERS liT IIiC IDt 775 06621'910TOTH JR STEVE 130 2/ 7/94 Z3.1 0.0 IIE\I

CALIFORNIA ENGELS MIIIIIIGCO IDt 156 13019910LMB ~ ARTHUR ET At 130 1/ 1/94 20.4 19.3 lJ>OATE

CLEVETRUST RLTY IIVS SHS BEll lilT 1,017 18618010AMSTER HOWARD ET At 130 2J 4/94 27.4 15.5 lJ>OATE

~TE SOF1\lARE IIiC aJt 4,661 22003710CS ACW ISITI(JI CORP 130 2J 8/94 77.2 76.9 lJIDATE

DAKTRaiI CS IIIC IDt 284 Z3426410DAKTR<»tICS IIiC 130 2J 9/94 7."l. 0.0 NEW

DAKTR<»tICS IIIC IDt 422 Z3426410IClRTEIiBACHAELRED J 130 2J 9/94 10.4 0.0 NEW

DATAMARIIIE IIITL IIiC IDt 94 Z3804510IIBIIY STEVEII T 130 2J 2J94 7.9 5.0 lJIDATE

EIIEX 01 L GAS INC PROG 111-1 L11) PART lilT 0 29274378ENEX RES CORP ET AL 130 1131/94 0.0 11/.\ lJIDATE

EIIEX OIL GAS IIICPROG 111-2 L11)PTIISHP lilT 0 29274380E!IEX RES CORP ET AL 130 1131/94 0.0 II/A lJ>OATE

E!IEX OIL GAS 11IaM:: PROG I L11) lilT 0 29274388EIIEX RES CORP ET At 130 1131/94 0.0 II/A lJ>OATE

EQUITRAC CORP IDt 186 29459910KAMIII PETER H ET At 130 1128/94 5.0 0.0 IIEW

EXAR CORP IDt 286 30064510ROIIt CO LTD 130 1/27/94 4.2 20.9 lJ>OATE

EXPLORATI(JI OF LWISIAJIA aJC 13,699 30213410FIDELITY IIITL L11) 130 1/ZS/94 10.5 6.2 lJ>OATE

FIRST IIiTER-BAlCORP IIiC aJC 461 32299410FIRST FIDELITY BAlCORP 130 1/27/94 19.4 0.0 IIEW

FIRST IIiTER-BAlCORP IIiC aJC 115 32299410FIRST SAVE ASSOCIATES ET AL 130 1/"l13/94 4.8 6.7 lJ>OATE


IEVElY SIa(OOO)1 a.lSlPI FlU. E

NAME All) CLASS OF STOCIC/(UIER f(JIIf DATE mIIED PRICIII SIATUS r GfC fUll catP

BlEICHROEDER ARlHOLD & COt

SETAL 13D 11 6/94 1,028

5.1 36160910

''0:0· lEV

GAJl)ALf TECIOIOlOGIES

CAISSE DE DEPTOT

lit COt ET PLACEJIEJIT 13D 1/24/94

1,4025.0

36471710 0.0 lEV

GREENYICH fIll catP

fIRST MANHATTAN CO

HEALTH SYS Illl lilt HASAII MAL II::: It

COt

COt

13D

13D

1/31/94

1m/94

0 0.0

5,02521.2

39682910 6.7 lJIDATE

42194910 0.0 lEV

ii

HEAlTH MQ(l SYS

""lSH CARsai IIIC

AJI)fRsaI ET

COt AL 13D 11/16/93

1IB1 42499210 15.5 27.6 lJIDATE

IITERNATIONAL PClJlTRT

MIEDOI RaIIIEE

CO IIIC COt 13D 1m/94

B71 46011B10 6.8 7.8 lJIDATE

IOIIICS IIC

TERRA DANI EL J

IICOtED catP

MRASCHIELLO TOO ET

MERIDIAN PT RLlY TR IB

CAIIZAIIO DOIIII

MILLER BLDG SYS lit CHEZ RONALD L, I R A

AL

COt 13D

COt lEV

13D

51 lEI lIT 13D

COt 13D

5naJ93

2/ 1/94

12/17/93

2/ 1/94

353 46221810 5.1 0.0

2,949 49299l2O 100.0 100.0

161 58994910 5.5 0.0

225 60040410 6.6 0.0

lEV

lJIDATE

lEV

lEV

I r f, r t f f t i \ ~

IDlG IIC

IDlG JANE B

ctl 13D 5/6/93

120 61539430 7.1 0.0 lEV

MO(JlE LTD

CAI SSE DE DEPTOT ET

IOlST AN IIC BASZUCXI PAUl

Of ClUISEL ENTERPRISES

PAGAIIO -iOSEPH K

COt PI..ACEJEIT

COt

IIIC COt

13D

13D

13D

1/24/94

11 3/94

"/23/93

6,684 6157'1l510 6.7 7.9 lJIDATE

262 65653510 6.6 6.7 lJIDATE

232 67617410 6.9 0.0 lEV

tl tI I!

OSAGE FOOTWEAR

IUlRO & CO

IIC

IIC COt

13D 7/30/93 44,015

90.5 68771310

23.9 IVSIOI

~ \I 1


mar 1994 securities february 25, 1994 exc?iange …

Documents