sec news digest, november 9, 2001 · s-3 nastech pharmaceutical co inc 45 davids dr hauppauge ny...

SEC NEWS DIGEST

Issue 2001-217 November 2001

COMMISSION ANNOUNCEMENTS

PROPOSED AMENDMENTS TO RULE 17a-8 ON MERGERS OF AFFILIATED

IN VESTMENT COMPANIES

On November the Commission issued proposed amendments to Rule 7a-8 under the

Investment Company Act of 1940 Rule 17a-8 allows affiliated investment companies

funds to merge without obtaining specific exemptive order from the Commission

The proposed amendments are designed to permit fund mergers that are consistent with

the protection of fund investors but without the expense and delay of obtaining

individual exemptive orders

Expansion of the Rules Scope Rule 7a-8 currently permits affiliated funds to merge

only if they are affiliated by reason of having common advisers officers or directors If

adopted the amendments would permit all affiliated funds to merge without first

obtaining an exemptive order This change would accommodate growing numbers of

mergers that currently do not fit within Rule 7a-8 and that therefore need to proceed

under what have become routine Commission orders

Board Findings Consistent with the current rule the amended rule would if adopted

rely heavily on the scrutiny of fund directors including independent directors to

determine whether the merger is in the best interests of the fund and its shareholders

The proposed amendments would specify several factors that the directors must consider

if relevant in approving the merger The factors include consideration of fund expenses

allocation of merger costs compatibility of assets and effects on investors taxes

Mergers with Bank Trust Funds If adopted the rule amendments would for the first

time permit funds to merge with affiliated bank common or collective trust funds without

seeking an exemptive order

Shareholder Voting If adopted the proposed amendments would as condition to the

exemption require shareholders of any fund that would not survive the merger to

vote on the merger and subject to certain exceptions large shareholders of fund

holding vote on the merger who are advisers underwriters or large shareholders of

other funds participating in the merger to vote their shares in proportion to the securities

voted by other shareholders This condition is designed to prevent affiliated persons from

influencing the terms of the merger to the detriment of smaller shareholders

The Commission requests comments on the proposed amendments including relevant

data on costs and benefits of the amendments or any alternatives to the amendments

Comments on the proposed amendments to Rule 17a-8 must be submitted to the

Commission by January 18 2002 Press Rel 2001-134 Rel IC-25259 FileNo S7-21-

01

ENFORCEMENT PROCEEDINGS

PERMANENT INJUNCTIONS ORDERED IN ELDER FRAUD LITIGATION

The Commission obtained final judgments of permanent injunction against defendants

Gary Landon Davenport Russell Dane Reeves Richard Earl Russell and Gregory

Monroe Roberts ending civil litigation in which the Commission charged the four with

fleecing elderly investors of some $2.5 million The injunctions bar the defendants from

committing future violations of the antifraud and broker-dealer registration provisions of

the federal securities laws Because the defendants were sentenced to prison and ordered

to pay restitution of $2.6 million in related criminal proceedings the Commission

accepted consents by the defendants to the orders of permanent injunction and dismissed

claims for disgorgement prejudgment interest and penalties

The Commissions complaint filed August 30 1999 charged that the four defendants

defrauded approximately 100 elderly investors Under the guise of providing estate and

financial planning services the defendants persuaded investors to liquidate legitimate

safe investments to purchase promissory notes promising higher rates of return

According to the Commissions complaint however the issuers of the notes had no real

business or did not exist and the defendants misappropriated most of the elderly

investors funds Davenport et al Case No 799-CV-185 USDC NDTXWichita Falls Division LR- 17226

CORRECTION

An inaccurate release number appeared in the November 8th issue of the Digest for an

administrative proceeding in the matter of Richard Eisenmenger The correct release

number is 34-45044

HOLDING COMPANY ACT RELEASES

NEWS DIGEST November 2001

FIRSTENERGY CORP GPU INC ET AL

supplemental order has been issued clarifying the transactions over which the

Commission is reserving jurisdiction in connection with the merger of GPU Inc with

and into FirstEnergy Corp an Ohio holding company claiming exemption from

registration under Section 3al of the Act by Rule Rel 35-27463

CONECTIV ET AL

supplemental order has been issued authorizing Conectiv registered holding

company and six of its nonutility subsidiaries that derive substantially all of their

revenues from energy-related services ATS Operating Services Inc Atlantic Generation

Inc Atlantic Jersey Thermal Systems Inc Conectiv Energy Supply Inc Conectiv

Operating Services Company and Conectiv Thermal Systems Inc to engage in certain

energy-related activities outside the United States specifically the brokering and

marketing of electricity natural gas and other energy commodities Energy Marketing

energy management services and engineering consulting and other technical support

services with respect to energy-related businesses Consulting Services The order

authorizes current and future subsidiaries that derive substantially all of their revenues

from energy-related services to engage in Energy Marketing in Canada and to engage in

energy management services and Consulting Services anywhere outside the United

States The Commission reserves jurisdiction over the provision of other energy-related

services outside the United States and Canada pending completion of the record Rd35-27464

KEYSPAN CORPORATION ET AL

supplemental order has been issued authorizing proposal by KeySpan Corporation

KeySpan registered holding company and KeySpans nonutility subsidiaries

Northeast Gas Markets LLC NEGM Alberta Northeast Gas Limited ANE and

Boundary Gas Inc BGI NEGM proposes to extend its interim exemption to provide

contract administrative services to ANE and BGI through May 2002 Rel 35-27465

SELF-REGULATORY ORGANIZATIONS

APPROVAL OF PROPOSED RULE CHANGE

The Commission approved proposed rule change filed by the New York Stock

Exchange SR-NYSE-0l-14 amending NYSE Rule 13 on XPress Quote Parameters

Rel 34-45023


PROPOSED RULE CHANGES

The American Stock Exchange filed proposed rule change SR-Amex-2001-94 to

increase the maximum order size eligible for automatic execution on Auto-Ex to 250

contracts Publication of the proposal is expected in the Federal Register during the week of

November 12 Rel 34-45045

The Philadelphia Stock Exchange filed proposed rule change SR-Phlx-2001-89 and

Amendment No thereto relating to an increase in the maximum guaranteed size for

Auto-X eligible orders in options on the Nasdaq-100 Index Tracking Stock QQQ from

100 contracts to 250 contracts Publication of the proposal is expected in the Federal

Register during the week of November 12 Re 34-45046

ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

The proposed rule change SR-NASD-2001-77 filed by the National Association of

Securities Dealers to amend its rules to permit SuperSOES to trade through the

quotations of UTP exchanges that do not participate in SuperSOES is approved as

amended under Section 9b2 of the Securities Exchange Act of 1934 Publication of

the notice is expected in the Federal Register during the week of November 12 Re 34-

45047

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 designation ifthe statement

is New Issue

Registration statements 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

mail box address publicinfosec.gov In most cases this information is also available

on the Commissions website www.sec.gov

S-8 AMCOR LIMITED SOUTH GATE SOUTH MELBOURNE VICTORIA 3205 AUSTRALIA

C3

10000000 $33700000 FOREIGN COMMON STOCK FILE 33314060

OCT 31 BR

F-6 DSM /ADR 48 WALL ST C/O BANK OF NEW YORK NEW YORK NY 10286

212 4951727 100000000 $5 000 000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 33314062 NOV 01 BR

99


S-4 MGE ENERGY INC 133 SOUTH BLAIR STREET P.O BOX 1231 MADISON WI

53701

608 2527000 17500000 $427350000 COMMON STOCK FILE 333

72694

NOV 02 NEW ISSUE

S-8 NORTHERN BORDER PARTNERS LP 1400 SMITH ST dO ENRON BLDGI HOUSTON

TX

77002 713 8536161 160000 $6214400 COMMON STOCK FILE 33372696

NOV 02 BR

S-B WHIRLPOOL CORP /DE/ WHIRLPOOL CNTR 2000 63 C/O CORPORATE

SECRETARYBENTON HARBOR MI 49022 616 9235000 200000 $11820000COMMON STOCK FILE 333-72698 NOV 02 BR

5-8 ADVANCED MAGNETICS INC 61 MOONEY ST CAMBRIDGE MA 02138 617 354-

3929

200000 $685000 COMMON STOCK FILE 33372700 NOV 02 BR

S8 DP CHARTERS INC/CA 24843 DEL PRADO SUITE 318 949-2488933 DANA

POINTCA 92629 949 2489561 10000000 $1000000 COMMON STOCK FILE

33372702 NOV 02 BR

S8 UNITED FINANCIAL MORTGAGE CORP 600 ENTERPRISE DR STE 206 OAK

BROOKIL 60523 630 5717222 500000 $1000000 COMMON STOCK FILE

33372706 NOV 02 BR

S3 BOND SECURITIZATION LLC BANK ONE PLAZA CHICAGO IL 60670

312 7820600 1000000 $1000000 EQUIPMENT TRUST CERTIFICATES

FILE 33372708 NOV 02 BR

S3 BANCORPSOUTH INC ONE MISSISSIPPI PL TUPELO MS 38804 662 680

2000

500000000 $500000000 PREFERRED STOCK FILE 33372712 NOV 02

BR

S-8 UNICO INC 24 LAKESIDE AVENUE 333 LUDLOW STREET POMPTON LAKES FL


NOV 02 BR

S-8 WHIRLWIND MARKETING INC 455 PENNSYLVANIA AVE STE 200 FORT

WASHINGTONPA 79034 215 5910850 2044171 $1281067 COMMON STOCK FILE

33372718 NOV 02 BR

S-8 COVISTA COMMUNICATIONS INC 150 CLOVE RD BOX 449 LITTLE FALLS NJ


27

NOV 02 BR


S-3 PHILADELPHIA CONSOLIDATED HOLDING CORP ONE BALA PLAZA SUITE 100WYNNEW000 PA 19004 610 6428400 4600000 $176410000 COMMON

STOCKFILE 33372722 NOV 02 BR

58 PRIVATE BUSINESS INC 214 OVERLOOK COURT SUITE 120 BRENTWOOD TN

37027

993196 $1688434.17 COMMON STOCK FILE 33372724 NOV 02BR

S-8 MUELLER INDUSTRIES INC SUITE 150 8285 TOURNAMENT DRIVE MEMPHISTN

38125 90 17533 3980000 $115818000 COMMON STOCK FILE33372726 NOV 02 BR

S-i SELECT MEDICAL CORP 4716 OLD GETTYSBURG RD MECHANICSBURG PA 17055


NOV 02 BR

S-3 SONICWALL INC 1160 BORDEAUX DRIVE SUNNYVALE CA 94089 408 745-

9600

236500 $3294445 COMMON STOCK FILE 33372730 NOV 02 BR

S-8 PLUG POWER INC 968 ALBANY-SHAKER ROAD LATHAM NY 12110 518 782-

7700

3637439 $28626644.93 COMMON STOCK FILE 33372734 NOV 02BR

S-4 CENDANT CORP WEST 57TH STREET NEW YORK NY 10019 212 413-1800

850000000 $850000000 EQUIPMENT TRUST CERTIFICATES FILE 33372736

NOV 02 BR

S-8 JCC HOLDING CO ONE CANAL PLACE 365 CANAL ST SUITE 900 NEW

ORLEANS LA

70130 504 5336000 1248550 $2157860 COMMON STOCK FILE33372738 NOV 02 BR

S-3 DORAL FINANCIAL CORP 1159 FRANKLIN ROOSEVELT AVENUE SAN JUAN PR

00920 787 7497100 3000000 $300000000CONVERTIBLE DEBENTURES AND NOTES FILE 33372740 NOV 02 BR

S-3 NASTECH PHARMACEUTICAL CO INC 45 DAVIDS DR HAUPPAUGE NY 11788


NOV 02 BR

S-3 HOMESTORE COM INC 30700 RUISSELL RANCH RD ESTLAKE VILLAGE CA

91362



NOV 02 BR

S-3 ADVANCED ENERGY INDUSTRIES INC 1625 SHARP POINT DR FT COLLINS CO

80525 970 2214670 125 000 000 $125 000 000CONVERTIBLE DEBENTURES AND NOTES FILE 333-72748 NOV 02 BR

S-i OMEGA HEALTHCARE INVESTORS INC 900 VICTORS WAY STE 350 ANN ARBOR

MI


NOV 02 BR

S-8 RESOURCE BANCSHARES MORTGAGE GROUP INC 7909 PARKLANE ROAD SUITE

150

COLUMBIA SC 29223 803 7413000 30768 $124995 COMMON STOCK

FILE33372752 NOV 02 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 BaiiTkruptcy 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 items of the form specified 8-K reports may be obtained in person

or by writing to the Commissions Public Reference Branch at 450 Fiflh Street N.W Washington D.C20549 or at the following e-mail box address publicinfosec.gov In most cases this information is

also available on the Commissions website www.sec.gov

STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT

ABN AMRO MORTGAGE CORP SERIES 2001- DE 10/25/01

1A

ACTIVE LINK COMMUNICATIONS INC CO 11/09/01

ADAPTIVE BROADBAND CORP DE 11/02/01

AEI INCOME GROWTH FUND 23 LLC DE 11/02/01

AEI REAL ESTATE FUND 85-A LTD PARTN MN 10/25/01

ERSHIP

AGL RESOURCES INC GA 11/07/01

ALLIED WASTE INDUSTRIES INC DE 11/07/01

ALMOST COUNTRY PRODUCTIONS INC NV 10/12/01

AMANDA CO INC UT 11/05/01


8K ITEM NOCODE

AMERICAN CRYSTAL SUGAR CO /MN/

AMERICAN ECOLOGY CORP

AMERICAN SPECTRUM REALTY INC

AMERICAN WATER WORKS CO INC

AMERICAN WATER WORKS CO INC

AMORTIZING RESI COLLATERAL TR NORT

PAS THRU CER SER 2001-BC1

AMORTIZING RESIDENTIAL COL TR MOR

AS THR CER SER 2001-BC2

ANDERSEN GROUP INC

AON CORP

AQUASEARCH INC

ASHTON TECHNOLOGY GROUP INC

ASSET BACKED CERTIFICATES SERIES 20

012AUXER GROUP INC

BANC ONE FINANCIAL SERVICES HOME EQ

UITY LOAN TRUST 1999-1

BARR LABORATORIES INC

BBT CORP

STHRO CERT SERIES 20013BEAR STEARNS ARM TRUST MORTGAGE PAS

5THRO CERT SERIES 2001-4

BEAR STEARNS ARM TRUST MORTGAGE PAS

S-THROUGH CERT HER 20011BEAR STEARNS AS BCK SEC TR 2001-AC1

AS-BCK CER HER 2001-AC1

BEAR STEARNS ASSET BACKED SEC INC

RWIN HOME EQ LO TR 2001-2

BEAR STEARNS ASSET BACKED SECURITIE

TRUST 2001-2

BECTON DICKINSON CO

BERKLEY CORP

BERT LOGIC INC

BEST BUY CO INC

BLUE DOLPHIN ENERGY CO

BROWN TOM INC /DE

BRYAN COLLEGE STATION FINANCIAL HOL

DING CO

BTI TELECOM CORP

11/08/01

11/07/01

10/19/01

11/06/01

11/07/01

10 /25/01

DE 10/25/01

11/08/01

11/07/01

05/16/01 AMEND

10/25/01

10/24/01

11/08/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01

11/07/01

02/06/01

11/0 6/0

10/31/01

11/08/01

11/08/01

11/06/01

10/26/01

NAME OF ISSUER

STATE

DATE COMMENT

MN

DE

MD

DE

DE

DE

11/02/01

11/08/01

10/25/01

BEAR STEARNS ARM

THROUGH CERT

BEAR STEARNS ARM

THROUGH CERT

BEAR STEARNS ARMTHROUGH CERT

BEAR STEARNS ARM

THROUGH CERT

BEAR STEARNS ARM

THROUGH CERT

BEAR STEARNS ARM

TRUST MORTGAGE PAS

SER 2000

TRUST MORTGAGE PAS

SER 20001TRUST MORTGAGE PAS



HER 20016TRUST MORTGAGE PAS

DE

DE

CO

DE

DE

DE

NY

NY

NC

DE

NY

NY

NY

DE

NY

NY

NY

DE

DE

NY

NJ

DE

WA

MN

DE

DE

DE

NC


8K ITEM NONM4E OF ISSUER

STATE

CODE 123456789 DATE COdMENT

BUILDERS TRANSPORT INC

BYL BANCORP

CAMBEX CORP

CAP ROCK ENERGY CORP

CARAUSTAR INDUSTRIES INC

CARNIVAL CORP

CARRIER1 INTERNATIONAL-S

CAVALRY BANCORP INC

CEI SYSTEMS INC

CENTER TRUST INC

CENTRAL UTILITIES PRODUCTION CORP

CHASE FUNDING INC

CHASE MORTGAGE FINANCE CORP

CHASE MORTGAGE FINANCE CORP

CHESAPEAKE ENERGY CORP

CITICORP MORTGAGE SECURITIES INC

CITICORP MORTGAGE SECURITIES INC

CLAIMSNET COM INC

CLASSIC BANCSHARES INC

CLAYTON HOMES INC

COACHMEN INDUSTRIES INC

COLLEGE BOUND STUDENT ALLIANCE INC

COMMERCIAL MORTGAGE PASS THR CERT

ER 2001-CKN5

COMMERCIAL MORTGAGE PASS THROUGH CE

RT SERIES 2001IQCONCEPTUS INC

CONDOR SYSTEMS INC

COOL CAN TECHNOLOGIES INC/CA

CROSSWORLDS SOFTWARE INC

CWABS INC MORTGAGE PASS THROUGH TRU

ST 2001JiCYBER GROUP NETWORK CORP

CYBERIAN OUTPOST INC

CYGNUS INC /DE/

DELTA FUNDING CORP HOME EQUITY LOAN

ASSET BK CERT SER 20012DIAL THRU INTERNATIONAL CORP

DONNELLEY SONS CO

DRUGMAX COM INC

DTOMI INC

DVI RECEIVABLES CORP VIII

TRADE BANK ARM TRUST MORTGAGE PAS

THR CERT SER 2001-1

EL PASO ENERGY PARTNERS LP

EMERGISOFT HOLDING INC

ENEFTECH CORP

ENRON CORP/OR/

ENZON INC

EQUITY

EQUITY

10/25/01

10/31/01

11/07/01

10/23/01

11/07/01

11/06/01

11/06/01

11/07/01

11/08/01

11/07/01

06/27/01 AMEND

10/25/01

10/25/01

10/29/01

11/06/01

11/08/01

11/08/01

11/07/01

10/31/01

11/08/01

11/07/01

10/02/01 AMEND

11/08/01

10/24/01

11/05/01

11/08/01

10/24/01

10/29/01

10/25/01

10/05/01

11/08/01

11/01/01

10/25/01

11/02/01

11/07/01

11/07/01

10/24/01

11/08/01

10/25/01

08/30/00 AMEND

10/25/01

12/31/01

11/08/01

11/08/01

09/30/01

11/06/01

XX

DE

CA

MA

NC

DE

N4

TN

DE

MD

NV

NY

DE

DE

OK

DE

DE

DE

DE

DE

IN

NV

DE

XX

DE

DE

MN

NY

DE

DE

NY

DE

DE

NV

NV

DE

DE

DE

NV

TX

OR

DE

TN

DE

XX

INNS INC

ONE ABS INC


8K ITEM NOCODE

EQUITY ONE ABS INC

ESSENTIAL THERAPEUTICS INC

EUNIVERSE INC

EUPA INTERNATIONAL CORP /NV/

EXPRESSO EXPRESS INC

FAIRPOINT COMMUNICATIONS INC

FINANCIAL ASSET SEC CORP ASSET BACK

ED CERTS SERIES 2001 FF1

FIRST BANKS AMERICA INC

FIRST DATA CORP

FIRST ECOM COM INC

FIRSTENERGY CORP

FLAG TELECOM HOLDINGS LTD

FLEETWOOD ENTERPRISES INC/DE

FOREST OIL CORP

FOREST OIL CORP

FOREST OIL CORP

FRANKLIN LAKE RESOURCES INC /NV

FUNDTECH LTD

GAP INC

GENEREX BIOTECHNOLOGY CORP

GENESCO INC

GENOME THERAPEUTICS CORP

GMACM MORTGAGE LOAN TRUST MORT PASS

THR CERT SER 2001-GH1

GMACM MORTGAGE LOAN TRUST MORT PASS

THR CERT SERIES 2001-J1

GREATER COMMUNITY BANCORP

GREENPOINT MORTGAGE SECURITIES INC/

HAGGAR CORP

HALLIBURTON CO

HANOVER COMPRESSOR CO

HANOVER DIRECT INC

HEALTH RISK MANAGEMENT INC /MN/

HEALTHCOMP EVALUATION SERVICES CORP

HELPMATE ROBOTICS INC

HFC REVOLVING CORP

HI TECH PHARMACAL CO INC

HIGH PLAINS CORP

HIGH PLAINS CORP

HIGHLANDS INSURANCE GROUP INC

HORTON INC /pE/

HOT PRODUCTS INC COM

HOUSEHOLD AUTO RECEIVABLES CORP

HURRY INC

HYATON ORGANICS INC

HYBRID NETWORKS INC

HYBRID NETWORKS INC

CRYSTAL INC

TECHNOLOGY INC

lBS INTERACTIVE INC

11/07/01

10/24/01

10/23/01

10/23/01

12/31/01 AMEND

11/07/01

10/25 /0

10/31/01

11/07/01

07/19/01

11/07/01

11/06/01

10/30Ol11/06/01

11/07Ol1107/01

10/29/01

11/07/01

11/07/01

11/07/01

11/08/01

11/08/01

10 /25/01

10/25/01

10/16/01

11/06/01

11/07/01

10/30/01

1107/0111/08/01

10/24/01

11/07/01

10/23/01

11/07/01

11/07/01

11/01/01

11/05/01

11/07/01

11/08/01

11/02/01

10/18/01

10/31/01

07/11/01

11/07/01

11/08/01

10/19/01 AMEND

11/08/01

11/02/01

NM1E OF ISSUER

STATEDATE COMMENT

DE

CA

NV

NV

TX

DE

NY

DE

DE

NV

OH

DE

NY

NY

NY

Al

DE

DE

TN

MA

NY

NY

NJ

DE

NV

DE

DE

DE

MN

NV

CT

DE

NY

KS

KS

DE

DE

AZ

NV

GA

DE

DE

DE

DE

DE

10 NEWS DIGEST November 2001

NMIE OF ISSUER

STATE

CODE

8K ITEM NO12345678 DATE COMMENT

ICOS CORP DE

EM

IKON OFFICE SOLUTIONS INC

ILLINOIS SUPERCONDUCTOR CORPORATION

IMAGEMAX INC

IMAGIS TECHNOLOGIES INC

IMPAC SECURED ASSETS CORP MORT PASS

THR CERT SER 2001-2

INNOVO GROUP INC

INTERMAGNETICS GENERAL CORP

INTERNET COMMERCE COMMUNICATIONS

INC

INTUIT INC

INVESTORS CAPITAL HOLDINGS LTD

IRWIN HOME EQUITY LN TR HM EQ LN-BK

TERM NT SER 20011IXL ENTERPRISES INC

KINDER MORGAN ENERGY PARTNERS

KINDER MORGAN INC

KINDER MORGAN MANAGEMENT LLC

LAIDLAW GLOBAL CORP

LCC INTERNATIONAL INC

LEHMAN ABS CORP

LEXMARK INTERNATIONAL INC /KY/

LIBERTY FINANCIAL COMPANIES INC /MA

LINCOLN NATIONAL CORP

LUCENT TECHNOLOGIES INC

LUCENT TECHNOLOGIES INC

MACK CALl REALTY CORP

MADISON RIVER CAPITAL LLC

MACNA ENTERTAINMENT CORP

MARIMBA INC

MASTER ASSET SECURITIZATION TRUST

001

MASTR ADJUSTABLE RATE MORTGAGES TRU

ST 20011MBNA CORP

MCK COMMUNICATIONS INC

MEDIUM4 COM INC

MEDTOX SCIENTIFIC INC

MELLON RESIDENTIAL

PAS THR CER SER

MERRILL LYNCH MORT

THR CERT SER 2001-51

MERRILL LYNCH MORT INV INC MORT PAS

THR CER CDMC SER 2001-Al

MICHAEL FOODS INC /MN

MID AMERICA BANCORP/KY/

MITY ENTERPRISES INC

MKS INSTRUMENTS INC

11/07/01

10/29/01 AMEND

11/07/01

11/06/01

11/07/01

10/31/01

10/25/01

11/08/01

11/08/01 AMEND

10/25/01

10/26/01 AMEND

11/09/01

11/09/01

11/09/01

08/10/01

11/05/01

11/08/01

11/08/01

10/31/01

09/30/01

11/07/01

11/07/01

11/08/01

11/01/01

10/26/01

11/08/01

10/25/01

10/25/01

11/08/01

11/06/01

10/30/01

11/08/01

10/25/01

NY 10/25/01

10/25/01

11/08/01

11/08/01

11/07/01

10/30/01

09/10/01 AMEND

10/24/01

10/30/01

DE

NV

OH

DE

PA

Al

CA

TN

NY

DE

DE

MA

NY

DE

DE

KS

DE

DE

DE

DE

DE

MA

IN

DE

DE

MD

DE

DE

DE

DE

DE

MD

DE

DE

DE

NYFUNDING CORP MOR

01 HEIL1

INV INC MOR PAS

NY

MN

KY

UT

MA


NAME OF ISSUER

STATE 8K ITEM NOCODE DATE COMMENT

MONTEREY BAY BANCORP INC

MONY GROUP INC

MOOG INC

MORGAN STANLEY CAPITAL INC HOME

LN AS BK CER SER 1999-2

MORGAN STANLEY DEAN WITTER CAPITAL

IINCMORTGAGE PASS THROUGH CERTIFICATES

SERIES 20011MORTGAGE PASS- THROUGH CERTIFICATES

SERIES 20019MORTGAGE PASS-THROUGH CERTIFICATES

SERIES 20018MULTI COLOR CORP

MULTINET INTERNATIONAL CORP INC

NATIONAL FUEL GAS CO

NATIONAL SERVICE INDUSTRIES INC

NAUTICA ENTERPRISES INC

NCT GROUP INC

NETVOICE TECHNOLOGIES CORP

NEW PLAN EXCEL REALTY TRUST INC

NEWPORT NEWS SHIPBUILDING INC

NORTH AMERICAN GAMING ENTERTAINME

NT CORP

NOVASTAR MORTGAGE FUNDING TRUST SER

IES 20011NTL INC/DE/

OCWEN FINANCIAL CORP

OPEN TEXT CORP

OPTION ONE MORT ACCEP CORP ASSET BA

CKED CERT SER 2001-1

OPTION ONE MORT LN TRUST ASSET BACK

CERTS SER 20013OXFORD HEALTH PLANS INC

PACIFIC GULF PROPERTIES INC

PASS THROUGH CERTIFICATES SERIES

001MS 10

PENWEST PHARMACEUTICALS CO

PET QUARTERS INC

PETREX CORP

PETROQUEST ENERGY INC

PHARMACOPEIA INC

PHOENIX RESTAURANT GROUP INC

PLAINS RESOURCES INC

PMA CAPITAL CORP

PMA CAPITAL CORP

PMI GROUP INC

PNC MORTGAGE SEC CORP MORT PASS THR

CERT SER 2001-2

POLLUTION RESEARCH CONTROL CORP

CA

11/07/01

11/08/01

11/07/01

10/25/01

DR 11/07/01

DR 11/01/01

DE 11/01/01

10/25/01

10/25/01

10/01/01 AMEND

11/07/01

11/08/01

11/02/01

10/25/01

10/17/01

11/08/01

11/07/01

11/07/01

DE 10/25/01

11/07/01

11/08/01

10/31/01

10/25/01

10/25/01

11/06/01

11/08/01

11/01/01

11/01/01

10/31/01

11/02/01

11/08/01

11/08/01 AMEND

10/31/01

11/08/01

11/07/01

11/07/01

11/06/01

11/01/01

11/08/01 AMEND

DE

DR

NY

NY

DR

OH

NV

NJ

DR

DE

DR

NV

MD

DE

DE

DE

FL

DR

DR

DR

MD

DR

WA

AR

NV XXDR

DE

GA

DR

PA

PA

DR

DE

CA XX


NAIIE OF ISSUER

STATE

CODE

DE

TX

MD

DE

DE

PA

DE

DE

DE

DE

MD

DE

MA

DE

DE

CA

CA

DE

DE

OH

DE

DE

DE

DE

FL

NY

MD

MD

NV

WADE

NJ

CO

CA

DE

PA

DE

TN

MD

NY

8K ITEM NO12345678

NY

DE

DE

DATE CO11MENT

POOLED AUTO SECURITIES SHELF LLC

POWERBRIEF INC/TX/

PRICE LEGACY CORP

PRINEDIA INC

PRINCETON REVIEW INC

PSB BANCORP INC

QUALITY STORES INC

RADIAN GROUP INC

RADIO ONE INC

RCN CORP /DE/

RECKSON ASSOCIATES REALTY CORP

RECKSON OPERATING PARTNERSHIP LP

RENAISSANCE WORLDWIDE INC

RESOLUTION PERFORMANCE PRODUCTS LLC

RESOLUTION PERFORMANCE PRODUCTS LLC

RESTORATION HARDWARE INC

RESTORATION HARDWARE INC

REUNION INDUSTRIES INC

RHYTHMS NET CONNECTIONS INC

ROBERDS INC

RPP CAPITAL CORP

RPP CAPITAL CORP

RUSSELL-STANLEY HOLDINGS INC

SALTON INC

SBA COMMUNICATIONS CORP

SCIENT INC

SECURITY CAPITAL GROUP INC/

SENIOR HOUSING PROPERTIES TRUST

SHIMODA RESOURCES HOLDINGS INC

SHURGARD STORAGE CENTERS INC

SIMMONS CO /GA/

SL INDUSTRIES INC

SONIC JET PERFORMANCE

SONOMAWEST HOLDINGS INC

SPECIALIZED HEALTH PRODUCTS INTERNA

TIONAL INC

STERLING FINANCIAL CORP /PA/

STILWELL FINANCIAL INC

STORAGE USA INC

STRAYER EDUCATION INC

STRUCTURED ASSET MORT INV MORT PASS

THR CERT SER 2001-4

STRUCTURED ASSET MORT INV MORT PASS

THR CERT SER 2001-4

STRUCTURED ASSET MORTGAGE INVESTMEN

TS INC

STRUCTURED ASSET SEC CORP NOR PASS

THR CERT SER 2001-9

STRUCTURED ASSET SEC CORP MORT PASS

THR CERT SER 2001-2

10/22/0111/01/01

09/18/01 AMEND

08/24/01 AMEND

10/01/01 AMEND

10/23/01 AMEND

11/01/01

11/07/01

11/06/01

11/07/01

11/07/01

11/07/01

11/06/01

09/30/01

09/30/01

11/06/01

11/08/01

11/01/01

10/24/01

10/20/01

09/30/01

09/30/01

11/07/01

11/08/01

11/06/01

11/07/01

11/07/01

11/05/01

10/31/01 AMEND

11/08/01

11/08/01

11/05/01

11/06/01

10/31/01

11/07/01

11/07/01

11/06/01

11/05/01

11/08/01

10/25/01

10/25/01

10/25/01

10/25/01

10/25/01NY


NAME OF ISSUER

STATE

CODE


STRUCTURED ASSET SEC CORP MORT PASS

THR CERT SER 2001-5

STRUCTURED ASSET SECURITIES CORP MO

PAS THR CER SR 2001BC4


PAS THR CERT SER 2001-6


RT PAS THR CE SE 2001BC3STRUCTURED ASSET SECURITIES CORP MO

RT PASS THR CERT SER 01

STRUCTURES ASSET MORTGAGE INV INC

OR PAS-THR CER SER 2001-3

SUN HYDRAULICS CORP

SUPERIOR ENERGY SERVICES INC

SUSA PARTNERSHIP LP

SYNAVANT INC

SYSTEMAX INC

TEAM FINANCIAL INC /KS

TELEMUNDO HOLDING INC

TELEX COMMUNICATIONS INC

TEPPCO PARTNERS LP

TIME WARNER TELECOM INC

TMP WORLDWIDE INC

UBUYHOLDINGS INC

UNION PLANTERS MORTGAGE LOAN TRUST

SERIES 2001DPiUNION PLANTERS MORTGAGE LOAN TRUST

SERIES 2001UP2

UNITED AIR LINES INC

UNITED AUTO GROUP INC

UNIVERSAL EXPRESS INC/

UNIVERSAL SERVICES ACQUISITIONS

NC

US MEDICAL GROUP INC

USA EDUCATION INC

USX CORP

UTILICORP UNITED INC

VANDERBILT ABS CORP

VANDERBILT MORTGAGE FINANCE INC

VAXGEN INC

VERTEL CORP

VESTA INSURANCE GROUP INC

VIALINK CO

VPN COMMUNICATIONS CORP

VSOURCE INC

WAMU NOR PASS THRU CERT SER 2001-AR

WAMU MORTGAGE PASS THROUGH CERT SER

IES 2001SB

WAND MORTGAGE PASS THROUGH CERT SER

IES 20015

08/22/01

11/07/01

10/30/01 AMEND

10/23/01

10/31/01

11/07/01

11/07/01

11/08/01

11/08/01

10/03/01

11/07/01

11/06/01

11/07/01

11/06/01

06/22/01 AMEND

11/01/01

DE 09/25/01

DE 10/25/01

DE 10/25/01

DE 10/25/01

DE 10/25/01

NY 10/25/01

FL 11/07/01

DE 11/06/01

TN 11/05/01

DE 11/08/01

DE 11/07/01

KS 09/18/01 AMEND

DE 11/08/01

DE 11/07/01

DE 09/30/01 AMEND

DE 11/07/01

DE 11/05/01

NV 05/01/01 AMEND

DE 10/25/01

DE 10/25/01

11/01/01

DE

DE

NV

CO

NV

DE

DE

DE

DE

TN

DE

CA

DE

DE

NV

DE

DE

DE 11/01/01

DE 11/01/01


STATE 8K ITEM NONAME OF ISSUER CODE DATE COMMENT

WASHINGTON MUTUAL MOR SEC CORP MOR DE 11/01/01

PAS THR SER 20016WASHINGTON MUTUAL NOR SEC CORP MOR DE 11/01/01

PASS THRU CERT SER 2001-3

WASHINGTON MUTUAL MOR SEC CORP NOR DE 11/01/01

PASS THRU CERT SER 2001-4

WASHINGTON MUTUAL MOR SEC CORP MOR DE 11/01/01

PASS THRU CERT SER 20018WASHINGTON MUTUAL MORTGAGE SEC CORP DE 11/01/01

MOR PAS THRU CERT 2001-7

WASHINGTON MUTUAL MORTGAGE SECURITI DE 11/08/01

ES CORP

WAVERIDER COMMUNICATIONS INC NV 11/05/01

WELLS FARGO ASSET MORTGAGE BACK SEC DE 10/25/01

URITIES 200119 TRUST

WELLS FARGO ASSET MORTGAGE BACKED DE 10/25/01

ECURITIES 200120 TRUST

WELLS FARGO ASSET SEC CORP MOR PASS DE 10/25/01




WELLS FARGO ASSET SEC CORP NOR PASS NY 10/25/01


WELLS FARGO ASSET SEC CORP MOR PASS NY 10/25/01

THR CERT SER 20014WELLS FARGO ASSET SEC CORP MOR PASS NY 10/25/01

THR CERT SER 2001-5


THR CERT SER 2001-6


THR CERT SER 20017WELLS FARGO ASSET SEC CORP NOR PS NY 10/25/01

HR CER SER 2001-10

WELLS FARGO ASSET SEC CORP MORT PAS DE 10/25/01


WELLS FARGO ASSET SEC CORP MORT PAS DE 10/25/01


WELLS FARGO ASSET SEC CORP MORT PAS NY 10/25/01

THR CERT SER 200121WELLS FARGO ASSET SEC CORP MORT PAS NY 10/25/01

THR CERT SER 20019WELLS FARGO ASSET SECURITES CORP MO DE 10/25/01

BK SEC 2001-16 TRUST

WELLS FARGO ASSET SECURITIES CORP NY 10/25/01

OR PAS THR CER SE 200101


OR PAS THR CER SE 2001-02



WELLS FARGO ASSET SECURITIES CORP DE 10/25/01



NAME OF ISSUER

STATE

CODE


WELLS FARGO ASSET SECURITIES CORPORT PA TH CER SE 200114

WELLS FARGO MORTGAGE BACKED SECURIT

IES 2001 22 TRUST


IES 2001 23 TRUST


IES 200115WESTERN WIRELESS CORP

WESTPORT RESOURCES CORP /NV/

WHITE MOUNTAINS INSURANCE GROUP LTD

WIZBANG TECHNOLOGIES INC

WMAU MORTGAGE PASS THROUGH CERTIFICATES SERIES 2001S9

WORLD INTERNETWORKS INC

YONKERS FINANCIAL CORP

YOUNG INNOVATIONS INC

YOUTICKET COM INC

10/25/0

10/25/01

10/25/01

10/25/01

11/07/01

11/07/01

06/01/01

11/06/01

11/01/01

07/05/01 AMEND

11/02/01

11/02/01

09/30/01

DE

NY

NY

DE

WA

NV

DE

DE

NV

DE

MO

NV


sec news digest, november 9, 2001 · s-3 nastech pharmaceutical co inc 45 davids dr hauppauge ny...

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