SEC News Digest, November 30, 2001 · Equity Portfolio of the Credit Suisse Warburg Pincus Trust Pursuant to Section 17b of the Act the order grants exemptions from Section 17a permitting

SEC NEWS DIGEST

Issue 2001-230 November 30 2001

ENFORCEMENT PROCEEDHGS

COMMISSION FILES ACTION AGAINST INTERNET COMPANY AND OThERS

On November 28 the Commission filed complaint in federal court in Los Angeles

alleging securities fraud against Hitsgalore.com Inc Hitsgalore and its former

president Stephen Bradford Bradford Hitsgalore was an Internet company located

in Rancho Cucamonga California that maintained website providing an Internet search

engine and leasing advertising space to consumers The company has changed its name

to Diamond Hitts Productions Inc and relocated to Irvine California The complaint

charges Hitsgalore and Bradford with fraud in connection with several press releases

issued by the company in 1999 that contained false and misleading statements about

purported investment in Hitsgalore by Scottsdale Arizona for-profit trust Life

Foundation 1rust Life Foundation The complaint also charges Life Foundation and its

trustee and administrator Jeanette Wilcher Wilcher 55 year-old resident of

Scottsdale Arizona with aiding and abetting Hitsgalores and Bradfords fraud and seeks

disgorgement of over $1 million from Life Foundati.i as result of its illegal sale of

Hitsgalore stock in violation of federal securities registration requirements

The Commissions complaint alleges that 4isgalore and Bradford violated the antifraud

provisions of Section 10b of the Securities Exchange Act of 1934 and Rule lOb-5

thereunder that Life Foundation and Wilcher aided and abetted those violations and that

Life Foundation violated the securities registration provisions of Sections 5a and 5c of

the Securities Act of 1933

The Commissions complaint seeks permanent injunctions against all the defendants

civil penalties against Bradford Life Foundation and Wilcher and disgorgement of the

approximately $1 million in ill-gotten gains obtained by Life Foundation in connection

with the illegal sale of its Hitsgalore stock Simultaneous with the filing of the

Commission complaint Hitsgalore and Bradford settled the action by consenting to

permanent injunction without admitting or denying the allegations in the complaint for

the violations outlined above Hitsgalore.com Inc Stephen Bradford Life

Foundation Trust and Jeanette Wilcher Civil Actid No SACV 1-1133 GLT ANxC.D Cal LR-17249

COURT GRANTS SUMMARY JUDGMENT AGAINST FORMER CFO OF SIRENAAPPAREL GROUP INC IN FINANCIAL FRAUD ACTION

The Commission announced that on November federal judge in Orange County

California granted summary judgment against Richard Gerhart in financial fraud

case Gerhart the former CFO of Sirena Apparel Group Inc was charged with fraud

and other provisions of the federal securities laws In addition to the entry of judgment

of permanent injunction Gerhart was ordered to pay $100000 penalty and prohibited

from serving as an officer and director of public company

The Commission alleged in its complaint that to meet revenue and earnings projections

for Sirena publicly traded company Sirenas former CEO Maurice Newman and

Gerhart caused Sirena to report false financial information in an earnings press release

and quarterly report for the third quarter ended March 31 1999 The complaint further

alleged that Gerhart ordered Sirena personnel to manipulate the companys accounting

software to show artificial earnings and made misrepresentations to Sirenas auditors

regarding those earnings On September 20 2000 Gerhart and Newman were criminally

indicted for the same fraud and subsequently pled guilty to securities fraud and

conspiracy

In the Commissions civil case the Court concluded that Gerhart violated the antifraud

books and records knowing circumvention of internal controls and lying-to-an-

accountant provisions of the Securities Exchange Act of 1934 as well as aiding and

abetting violations of the reporting and recordkeeping provisions of the Exchange Act

Maurice Newman and Richard Gerhart Civil Action No SA CV 00-948-

GLT C.D.Cal LR-17250 AAE Rel 1475

INVESTMENT COMPANY ACT RELEASES

GOLDEN AMERICAN LIFE INSURANCE COMPANY AL

An order has been issued on an application filed by Golden American Life Insurance

Company Golden American Life Insurance Company Separate Account Equitable

Life Insurance Company of Iowa Equitable Life Insurance Company of Iowa Separate

Account United Life and Annuity Insurance Company United Life and Annuity

Insurance Company Separate Account One and the GCG Trust pursuant to Section 26cof the Investment Company Act allowing the substitution of securities issued by the

International Equity Series of the GCG Trust with securities issued by the International

Equity Portfolio of the Credit Suisse Warburg Pincus Trust Pursuant to Section 17b of

the Act the order grants exemptions from Section 17a permitting the above-referenced

substitution to be carried out by means of an in-kind redemption and purchase Rel IC-

25302 November 29

NEWS DIGEST November 30 2001

HOLDING COMPANY ACT RELEASES

ENTERGY CORPORATION ET AL

An order has been issued authorizing Entergy Corporation Entergy registered holding

company and its public utility subsidiary companies Entergy Arkansas Inc Entergy

Gulf States Inc Entergy Louisiana Inc Entergy Mississippi Inc and Entergy New

Orleans Inc System Energy Resources Inc generating public utility subsidiary

company of Entergy Entergy Operations Inc public utility subsidiary of Entergy

Entergy Services Inc Entergys service company subsidiary System Fuels Inc

Entergys indirect nonutility subsidiary Applicants to extend to November 30 2004 the

time Applicants may engage in various external and intrasystem financing transactions

5-27470

SELF-REGULATORY ORGANIZATIONS

APPROVAL OF PROPOSED RULE CHANGES

The Commission approved proposed rule change SR-NASD-2001-19 and

Amendment Nos and thereto submitted by the National Association of Securities

Dealers establishing reporting requirements for clearing members Publication of the

order is expected in the Federal Register during the week of December Rel 34-

45109

The Commission approved proposed change SR-Phlx-200 1-38 filed by the

Philadelphia Stock Exchange relating to the definition of controlled account

Publication of the order is expected in the Federal Register during the week of December

Rel 34-45114

PROPOSED RULE CHANGES

The Chicago Stock Exchange filed proposed rule change SR-CHX-2001-17 relating

to the eligibility of limit orders for trade through protection Publication of the notice in

the Federal Register is expected during the week of December Rel 34-45115

The National Association of Securities Dealers filed proposed rule change SR-NASD

2001-84 amending the description of the market capitalization listing standard to market

value of listing securities Publication of the notice in the Federal Register is expected

during the week of December Rel 34-45116


ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

The Commission granted approval to proposed rule change filed by the Chicago Stock

Exchange SR-CHX-2001-08 to allow CHX Article XX Rule 43d Trading in

Nasdaq/NM Securities /Manual Executions to be administered under the CHXs Minor

Rule Violation Plan Publication of the order is expected in the Federal Register during

the week of December Rel 34-45117

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 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 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

F-i CONVERIUM HOLDING AG THE BANK OF NEW YORK 620 AVENUE OF THE

AMERICASNEW YORK NY 10011 212 4626682 31635000 $1719994950FOREIGN COMMON STOCK FILE 333-14106 NOV 19 BR NEW ISSUE

F-6 CONVERIUM HOLDING AG/ADR 620 AVENUE OF THE AMERICAS FLOOR NEW

YORKNY loon 212 4626682 100000000 $5000000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-14108 NOV 19 BR

99

NEW ISSUE

F-9 ABITIBI CONSOLIDATED INC 800 RENE LEVESQUE BLVD WEST SUITE 1800MONTREAL QUEBEC E6 514 8752160 600000000 $600000000STRAIGHT BONDS FILE 33314110 NOV 20 BR

F-6 BWT AKTIENGESELLSCHAFT/ADR 620 AVENUE OF THE AMERICAS 6TH FLOORNEW YORK NY 10286 212 4626682 50000000 $2500000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-14112 NOV 19 BR

99


NEW ISSUE

F-9 SHAW COMMUNICATIONS INC STE 900 630 3RD AVE SW CALGARY ALBERTA

CANAA0 403 7504500 800000000 $504160000 FOREIGN PREFERRED STOCK

FILE 33314114 NOV 20 BR

S-8 DUCATI MOTOR HOLDING SPA VIA CAVALIERI DUCATI 40132 BOLOGNA

ITALYL6 00000 12000000 $16068000 FOREIGN COMMON STOCK FILE 333

14 116

NOV 20 BR

F-6 ROADSHOW HOLDINGS LTD/ADR 620 AVENUE OF THE AMERICAS NEW YORK NY

10286 212 4626642 10000000 $500000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-14118 NOV 20 BR

99

NEW ISSUE

F-6 DEUTSCHE LUFTHANSA AG /ADR/ 16 WALL ST C/O BANK OF NEW YORK NEW

YORKNY 10015 212 2502500 80000000 $4000000DEPOSITARY RECEIPTS FOR COMMON STOCK FILE 333-14120 NOV 20 BR

99

F-10 KINGSWAY FINANCIAL SERVICES INC 5310 EXPLORER DRIVE

MISSISSAUGA ONTARIO CANADA L4W 5H8 MISSISSAUGA 847 619-7610

8625000 $93840000 FOREIGN COMMON STOCK FILE 33314122 NOV21

SB-2 WORLD ROLLER ALLIANCE INC 812 N.E 8TH AVENUE DEERFIELD BEACH FL33441 954 4214477 2276000 $4552000 COMMON STOCK FILE

33373956 NOV 23 NEW ISSUE

S-3 GENTNER COMMUNICATIONS CORP 1825 RESEARCH WAY SALT LAKE CITY UT

84119

801 9757200 1500000 $25500000 COMMON STOCK FILE 33373960

NOV 23 BR

S3 HIBBETT SPORTING GOODS INC 451 INDUSTRIAL LANE BIRMINGHAM AL

35211

205 9424292 i000 $27355000 COMMON STOCK FILE 33373962

NOV 23 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


Acqiisition or Disposition of Assets

Bankruptcy or Receivership

Changes Registrants Certifymg Accountant

Other Matenally Important Events

Resignations of Registrants Directors

Financial Statements and Exhibits

Change in Fiscal Year

Regu FD Disclosure

The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports

previously fifed responding to the items of the form specified 8-K reports may be obtained in personor by writing to the Commissions Public Reference Branch at 450 Fifth Street N.W Washington D.C20549 or at the following e-mail box address publicin1osec.gov In most cases this information is

also available on the Commissions website www.sec.gov

NAME OF ISSUER

STATE

CODE

8K ITEM NO12345678 DATE COMNT

ACCLAIM ENTERTAINMENT INC

ACT MANUFACTURING INC

ALCOA INC

ALLIED WASTE INDUSTRIES INC

AMERIGAS EAGLE FINANCE CORP

AMERIGAS FINANCE CORP

AMERIGAS PARTNERS LP

AMSOUTH AUTO TRUST 2000-1

AMX CORP /TX/

ANGELCITI MULTIMEDIA INC

AP EAGLE FINANCE CORP

APPLEBEES INTERNATIONAL INC

APPLERA CORP

ARCHSTONE COMMUNITIES TRUST/

ARCHSTONE SMITH TRUST

ARCHSTONE SMITH TRUST

ASIA GLOBAL CROSSING LTD

ASIA SUPERNET CORP

ASTRALIS PHARMACEUTICALS LTD

AUTHENTIDATE HOLDING CORP

BALTIC INTERNATIONAL USA INC

BANK OF AMERICA CORP IDEBAXTER INTERNATIONAL INC

BAXTER INTERNATIONAL INC

BE INC

BEAR STEARNS ASSET BACKED SECURITIE

INC

BMW AUTO LEASING LLC

BMW MANUFACTURING LP

BMW VEHICLE LEASE TRUST 2000-A

BOISE CASCADE CORP

BOMBARDIER CAPITAL

IZATIONCORP SER

BOMBARDI ER CAPI TAL

IZATION CORP SER

BOMBARDIER CAPITAL

IZATION CORP SER

08/03/01 AMEND

11/29/01

11/28/01

11/29/01

11/20/01

11/20/01

11/20/01

11/15/01

11/28/01

11/13/01 AMEND

11/20/01

11/29/01

11/16/01

11/27/01

11/27/01

11/27/01

11/20/01

10/13/00

11/02/01

11/27/01

05/25/01 AMEND

11/28/01

11/28/01

11/28/01

11/13 /0

11/08/01

11/26/01

11/26/01

11/26/01

11/26/01

10/31/01

DE 10/31/01

DE 10/31/01

Item

ItemItem

Item

ItemItem

ItemItem

DE

MAPA

DE

DE

DE

NY

TX

NV

DE

DE

MD

MD

ND

CO

CO

DE

TX

DE

DE

DE

CA

DE

DE

DE

XX

MORTGAGE SECURIT

1998AMORTGAGE SECURIT

1998BMORTGAGE SECURIT

1998B


NAME OF ISSUER

STATE

CODE

8K ITEM NO12345678 DATE COMMENT

BOMBARDIER CAPITAL MORTGAGE SECURIT DE 10/31/01

IZATION CORP SER 1998-C


IZATION CORP SER 1999-A





BOMBARDIER CREDIT RECEIVABLES CORP DE 10/31/01

SERIES 19971BOMBARDIER CREDIT RECEIVABLES CORP DE 10/31/01

SERIES 20001BOND SECURITIZATION LLC DE 11/20/01

BRITTON KOONTZ CAPITAL CORP MS 11/28/01

BURLINGTON INDUSTRIES INC /DE/ DE 11/15/01

BURNHAM PACIFIC PROPERTIES INC MD 11/19/01

CALYPTE BIOMEDICAL CORP DE 11/28/01

CALYPTE BIOMEDICAL CORP DE 12/28/01

CAPSTEAD MORTGAGE CORP MD 11/28/01

CD WAREHOUSE INC DE 11/26/01

CERTIFIED SERVICES INC NV 11/21/01

CHASE CORP MA 11/01/01

CHASE CREDIT CARD MASTER TRUST NY 11/15/01

CHASE CREDIT CARD MASTER TRUST NY 11/15/01

CHASE MANHATTAN BANK /NY/ NY 11/15/01

CHASE MANHATTAN BANK /NY/ NY 11/15/01

CHASE MANHATTAN BANK USA DE 11/15/01

CHASE MANHATTAN BANK USA DE 11/15/01

CHASE MANHATTAN HOME EQUITY LOAN TR NY 11/15/01

UST 19951CHASE MANHATTAN MARINE OWNER TRUST NY 11/15/01

1997ACHASE MANHATTAN RV OWNER TRUST 1997 DE 11/15/01

-A

CHASE MORTGAGE FINANCE CORP DE 11/28/01

CHEVY CHASE AUTO RECEIVABLES TRUST MD 10/31/01

19973CHEVY CHASE AUTO RECEIVABLES TRUST MD 10/31/01

19 974CHEVY CHASE AUTO RECEIVABLES TRUST MD 10/31/01




200 02CHEVY CHASE AUTO RECEIVABLES TRUST 10/31/01


200 12


NAME OF ISSUER

STATE

CODE


CHEVY CHASE HOME LOAN TRUST 1996-1

CHEVY CHASE HOME LOAN TRUST 1997-1

CHIQUITA BRANDS INTERNATIONAL INC

CIT EC EF 2001ACITICORP MORTGAGE SECURITIES INC

CLEVELAND CLIFFS INC

COLUMBIA BANKING SYSTEM INC

COMMERCIAL MORTGAGE PASS THP CERT

ER 2001CKN5

COMMERCIAL MORTGAGE PASS THRU CERTI

FICATES SERIES 2000 WF2

COMMERCIAL NET LEASE REALTY INC

COMMONWEALTH BANCORP INC

COUNTY BANK CORP

CRAY INC

CREDIT SUISSE FIRST BOSTON MORTGAGE

SECURITIES CORP

CWMBS INC

CWMBS INC

CWMBS INC

CWMBS INC

CWMBS INC

CWMBS INC

DATA I/O CORP

DATA RETURN CORP

DEUTSCHE FLOORPLAN RECEIVABLES

DEVON ENERGY CORP/DE

DIAMOND OFFSHORE DRILLING INC

DIGI LINK TECHNOLOGIES INC/NJDIGITAL LAVA INC

DRKOOP COM INC

DYNATEC INTERNATIONAL INC

DYNEGY HOLDINGS INC

DYNEGY INC IlLSYNERGIES INC

ECOGEN INC

ECOLOGICAL SERVICES INC

EDISON BROTHERS STORES INC

EDUCATION MANAGEMENT CORPORATION

ELCOM INTERNATIONAL INC

ELECTROSOURCE INC

EMERSON ELECTRIC CO

EQUITY ONE ABS INC

EQUITY ONE ABS INC

EQUITY ONE ABS INC

ESCO TECHNOLOGIES INC

ESENJAY EXPLORATION INC

EXELON CORP

FAIRCHILD SEMICONDUCTOR INTERNATION

AL INC

FEDERAL REALTY INVESTMENT TRUST

10/31/01

10/31/01

11/28/01

11/16/01

11/29/01

11/21/01

11/13/01

11/13/01

11/15/01

11/27/01

11/27/01

11/2 9/0

11/06/01

10/31/01

11/27/01

11/28/01

11/28/01

11/28/01

11/28/01

11/28/01

11/27/01 AMEND

11/14/01

10/31/01

11/28/01

11/29/01

11/30/01

11/29/01

11/29/01

11/14/01

11/28/01

11/28/01

11/15/01

11/14/01

08/08/01 AMEND

08/21/01

11/28/01

11/28/01

11/28/01

11/28/01

11/16/01

11/26/01

11/26/01

11/28/01 AMEND

11/28/01

11/28/01

DE 11/28/01

MD 11/19/01 AMEND

MD

MD

NJ

DE

DE

OH

WA

DE

DE

MD

PA

MI

WA

DE

DE

DE

DE

DE

DE

DE

WA

TX

DEDE

DE

DE

DE

DE

UT

DE

IL

CA

DE

DE

DE

DE

DE

MO

DE

DE

DE

MO

OK

PA


NME OF ISSUER

STATE

CODE

8K ITEM NO12345678 DATE COMNT

FINANCIAL SERVICES VEHICLE TRUST

FIRST LITCHFIELD FINANCIAL CORP

FIRST UNION COMM MORT TRUST COMM MO

PAS THR CER SER 1999Cl

FIRST UNION COMMERCIAL MORTGAGE SEC

URITIES INC

FIRST UNION COMMERCIAL MORTGAGE SEC

URITIES INC

FLEETBOSTON FINANCIAL CORP

FOX ENTERTAINMENT GROUP INC

FRANKLIN RECEIVABLES LLC

FREFAX INC

GEHL CO

GERBER SCIENTIFIC INC

GLOBAL CROSSING LTD

GREATAMERICA LEASING RECEIVABLES 20

00-1 LLC

HEALTHEXTRAS INC

HEI INC

HERITAGE OAKS BANCORP

HOENIG GROUP INC

HORIZON PCS INC

HORMEL FOODS CORP /DE/

HOUSEHOLD AUTO RECEIVABLES CORP

HOUSEHOLD AUTOMOBILE REVOLVING TRUS

TIHOUSEHOLD AUTOMOTIVE TRUST III SERI

ES 19991HOUSEHOLD AUTOMOTIVE TRUST IV SERIE

20001HOUSEHOLD CONSUMER LOAN TRUST 1997-

HOUSEHOLD CONSUMER LOAN TRUST 1997- DE

HOUSE2HOME INC

HRSI FUNDING INC II

IBX GROUP INC

ILM II SENIOR LIVING INC /VA

IMAGISTICS INTERNATIONAL INC

IMMECOR CORP

IMMUNOGEN INC

IMPSAT FIBER NETWORKS INC

INFINEX VENTURES INC

INFINITE GROUP INC

INSWEB CORP

INTERNATIONAL FIBERCOM INC

INTERNATINAL MULTIFOODS CORP

INTERNET ADVISORY CORP

INTERWORLD CORP

INTRABIOTICS PHARMACEUTICALS INC ID

11/26/01

11/29/01

11/16/01

11/27/01

11/28/01

11/27/01

07/31/01 AMEND

10/31/01

11/13/01

11/20/01

10/31/01

11/20/01

11/20/01

11/30/01

11/29/01

11/09/01

11/29/01

11/28/01

02/24/01 AMEND

07/17/01

11/19/01

11/19/01

11/19/01

11/14/01

11/14/01

11/29/01

11/15/01

11/05/01 AMEND

11/16/01

11/14/01

09/30/01

11/28/01

11/26/01

11/14/01

11/29/01

11/27/01

11/20/01

11/13/01

11/14/01

11/16/01

11/29/01

XX

DE

NY

NC

NC

RI

DE

DE

FL

WI

CT

DE

DE

MN

CA

DE

DE

DE

NV

NV

NV

DE

DE

DE

DE

FL

VA

DE

CA

MA

DE

NV

DE

DE

AZ

DE

UT

DE

DE


NE OF ISSUER

STATE

CODE


INTRACO SYSTEMS INC

IVAX CORP IDE

JUSTWEBIT CON INC

J2 COMMUNICATIONS /CA/

KAISER VENTURES INC

KAISER VENTURES LLC

KANA SOFTWARE INC

KEY3MEDIA GROUP INC

KRUPP REALTY LTD PARTNERSHIP IV

LABORATORY CORP OF AMERICA HOLDINGS

LEHMAN ABS CORP ASSET BACKED CERTIF

ICATES SERIES 2001-B

LENDINGTREE INC

LEVCOR INTERNATIONAL INC

LTV CORP

MACDERMID INC

MARITRANS INC IDEMAXUS REALTY TRUST INC

MENC ELECTRONIC MATERIALS INC

METLIFE INC

METRICOM INC DE

METTLER TOLEDO INTERNATIONAL INC/

MGI PHARMA INC

MICROTUNE INC

MIDWAY GAMES INC

MIMBRES VALLEY FARMERS ASSOCIATIONINC

MINDARROW SYSTEMS INC

MINNESOTA CORN PROCESSORS LLC

MONEY STORE COMMERCIAL MORTGAGE INC

MONEY STORE INVESTMENT CORP

MONEY STORE SBA ADJUSTABLE RATE CER

TIFICATES 19981MORGAN STANLEY ABS CAPITAL INC

MORGAN STANLEY DEAN WIT CAP INC

0MM MORT CERT 2001-TOP3

MORTGAGE ASSET SECURITIZATION TRANS

ACTIONS INC

MORTGAGE ASSET SECURITIZATION TRANS

ACTIONS INC

MOTIENT CORP

MUTUAL RISK MANAGEMENT LTD

NATHANS FAMOUS INC

NATION ENERGY INC

NAVISTAR FINANCIAL RETAIL RECEIVABL

ES CORPORATION

NAVISTAR FINANCIAL SECURITIES CORP

NAVTECH INC

NEW FRONTIER MEDIA INC /CO/

NEW WORLD RESTAURANT GROUP INC

NEXTHEALTH INC

11/29/01

11/27/01

02/16/01 AMEND

11/26/01

11/28/01

11/28/01

11/26/01

11/27/01

11/14/01

11/28/01

11/30/01

11/29/01

11/20/01

11/29/01

11/28/01

11/20/01

11/15/0111/13/01

11/09/01

10/26/01

11/28/01

11/26/01

11/15/01 AMEND

11/27/01

11/27/01

11/28/01

11/29/01

11/15/01

11/15/01

11/15/01

11/26/01

11/15/01

11/09/01 AMEND

11/20/01

11/27/01

11/15/01

11/19/01

11/29/01

10/31/01

10/31/01

11/29/01

11/26/01

11/29/01

11/28/01

NV

FL

NV

CA

DE

DE

DE

DE

MA

DE

DE

DE

DE

CT

DE

MO

DE

DE

DE

DE

MN

TX

DE

NM

NV

CO

NJ

NJ

NJ

DE

DE

DE

DE

DO

DE

DE

DE

DE

CO

DE

DE

10 NEWS DIGEST November 30 2001

NAME OF ISSUER

STATE

CODE

BK ITEM NO12345678 DATE COMt.NT

NIAGARA MOHAWK HOLDINGS INC/NY

NIAGARA MOHAWK POWER CORP /NY/

NORTH FORK BANCORPORATION INC

NORTHEAST PENNSYLVANIA FINANCIAL CO

RP

NORTHERN BORDER PARTNERS LP

NORTHERN BORDER PIPELINE CO

NORTHPORT INVESTMENTS INC

NSTOR TECHNOLOGIES INC

NTL INC/DE/

NXGEN NETWORKS INC

OFFICE DEPOT INC

OMNISKY CORP

OUTSOURCE INTERNATIONAL INC

PARTNERRE LTD

PLUG POWER INC

POLARIS INDUSTRIES INC/MN

POLYVISION CORP

PPI CAPITAL GROUP INC

PRIME GROUP REALTY TRUST

PRIME HOLDINGS INVESTMENTS INC

PROGRESS ENERGY INC

PROVIDIAN FINANCIAL CORP

PROXIM INC /DE/

PUGET ENERGY INC /WA

PUGET SOUND ENERGY INC

PURCHASEPRO COM INC

PYR ENERGY CORP

COMM INTERNATIONAL INC

QUALCOMM INC/DE

QUEST DIAGNOSTICS INC

RATEXCHANGE CORP

RAZORFISH INC

RELIANT RESOURCES INC

RESIDENTIAL ACCREDIT LOANS INC

RESIDENTIAL ASSET MORTGAGE PRODUCTS

INC

RESIDENTIAL ASSET MORTGAGE PRODUCTS DE

INC

RESOURCE BANCSHARES MORTGAGE GROUP DE

INC

RHYTHMS NET CONNECTIONS INC

RIVERSTONE NETWORKS INC

RMED INTERNATIONAL INC

ROBERTS REALTY INVESTORS INC

SALISBURY BANCORP INC

SCANSOFT

SECURITY

SIMMONS

SINCLAIR

ITESTAR

11/29/01

11/29/01

11/28/01

11/26/01

11/29/01

11/29/01

10/04/01

11/20/01

11/29/01

10/28/01

11/28/01

11/27/01

11/15/01

11/27/01

11/20/01

11/15/01

11/14/01

11/21/01

11/26/01

11/29/01

11/28/01

11/28/01

11/28/01

11/28/01

11/28/01

11/29/01

11/29/01

11/28/01

11/28/01

11/26/01

09/28/01

11/26/01

09/26/01

11/27/01

11/28/01

11/29/01 AMEND

11/18/01

11/19/01

11/21/01

11/19/00

11/29/01

11/27/01

11/28/01

11/20/01 AMEND

11/28/01

11/28/01

11/19/01

NY

NY

DE

DE

DE

TX

NV

DE

DE

NV

DE

FL

DE

MN

NY

UT

MD

NV

NC

DE

DE

WA

WANV

DE

UT

DE

DE

DE

DE

DE

DE

DE

AMEND

DE

DE

CO

GA

CT

DE

MD

AR

MD

NV

INC

CAPITAL GROUP INC/

FIRST NATIONAL CORP

BROADCAST GROUP INC

CORP


NAME OF ISSUZR

STATE 8K ITEM NOCODE DATE COMtNT

STAR SCIENTIFIC INC

STARMEDIA NETWORK INC

STEWART STEVENSON SERVICES INC

STRUCTURED ASSET SECURITIES CORP

SUCCESS BANCSHARES INC

SUN POWER CORP

SUPREME HOSPITALITY

SURGICAL SAFETY PRODUCTS INC

TAIWAN FUND INC

TELECORP PCS INC /VA/

TELEPHONE DATA SYSTEMS INC IDETENGTU INTERNATIONAL CORP

THERMADYNE CAPITAL CORP

THERMADYNE HOLDINGS CORP IDE

THERMADYNE MFG LLC

THIRD WAVE TECHNOLOGIES INC /WI

TOLL BROTHERSINCTRUMP ATLANTIC CITY ASSOCIATES

TRUMP ATLANTIC CITY FUNDING II INC

TRUMP ATLANTIC CITY FUNDING III INC

TRUMP ATLANTIC CITY FUNDING INC

TRUMP HOTELS CASINO RESORTS FUNDI

NG INC

TRUMP HOTELS CASINO RESORTS HOLDI

NGS LP

TRUMP HOTELS CASINO RESORTS INCTRUMPS CASTLE ASSOCIATES LP

TRUMPS CASTLE FUNDING INC

TRUMPS CASTLE HOTEL CASINO INC

AGGREGATES INC

VISION INC

UNICAPITAL CORP IDEUNIONBANCAL CORP

USX CAPITAL TRUST

USX CORP

VECTREN UTILITY HOLDINGS INC

VENTRO CORP

VERITAS DGC INC

VIDEO NETWORK COMMUNICATIONS INC

VIRTUALFUND COM INC

VISUAL DATA CORP

WAMU MORTGAGE PASS THROUGH CERTIFIC

ATES SERIES 2001-AR4

WASHINGTON BANKING CO

WASHINGTON MUTUAL MORTGAGE SECURITI

ES CORP

WASHINGTON MUTUAL MORTGAGE SECURITI

ES CORP

WEBB INTERACTIVE SERVICES INC

WEINGARTEN REALTY INVESTORS /TX/WESTPORT RESOURCES CORP /NV/

04/25/01 AMEND

11/28/01

11/28/01

11/29/01

11/28/01

11/29/01 AMEND

12/31/01

11/15/01 AMEND

10/01/01

11/27/01

11/27/01

11/27/01

11/19/01

11/19/01

11/19/01

11/28/01

11/27/01

11/28/01

11/28/01

11/28/01

11/28/01

11/28/01

DE 11/28/01

11/28/01

11/28/01

11/28/01

11/28/01

11/27/01

11/26/01

11/15/01

11/28/01

11/28/01

11/28/01

11/27/01

11/26/01

11/26/01

11/27/01

40/30/01

11/21/01

11/14/01

11/15/01 AMEND

11/27/01

10/16/01

11/28/01

11/29/01

DE

DE

TX

DE

DE

NV

NY

DE

DE

DE

DE

DE

DE

DE

DE

NJ

DE

DE

DE

DE

DE

NJ

NJ

DE

DE

DE

CA

DE

IN

DE

DE

DE

MN

FL

DE

WA

DE

DE

CO

TX

NV

11/27 /0


NAME OF ISSUER

STATE

CODE

8K ITEM NODATE COI4NT

WHITEWING LABS INC

WILLIAMS COMPANIES INC

WILLIAMS CONTROLS INC

WOMEN FIRST HEALTHCARE INC

XEROX CORP

XIN NET CORP

XO COMMUNICATIONS INC

YONKERS FINANCIAL CORP

ZENEX TELECOM INC

ZKID NETWORK CO

CA

DE

DE

DE

NY

FL

DE

DE

CO

NV XX

11/16/01

11/2 9/0

11/2 9/0

11/15/01

11/27/01

11/02/01

11/28/01

11/13/01

11/21/01

05/01/01 AMEND


Documents

SEC News Digest, November 30, 2001 · Equity Portfolio of the Credit Suisse Warburg Pincus Trust Pursuant to Section 17b of the Act the order grants exemptions from Section 17a permitting