SEC NEWS DIGEST Issue 2001-82 April 27, 2001 ENFORCEMENT PROCEEDINGS COMMISSION SUSTAINS NASD DISCIPLINARY ACTION AGAINST MARTIN LEE ENG The Commission has sustained NASD disciplinary action against Martin Lee Eng, a former registered representative with Lam Securities Investments, Inc., an NASD member firm. The NASD issued a letter of caution to Eng. The Commission found that Eng violated NASD Conduct Rule 2210(d)(2)(C) by making a statement promising that a stock loss can somehow be turned into a gain when there was no reasonable basis for this statement. The Commission concluded that the NASD's enforcement of Conduct Rule 2210(d)(2)(C) did not violate Eng's First Amendment rights. Based on its review of the record, the Commission also concluded that the sanctions imposed by the NASD were not excessive, oppressive, or an undue burden on competition. (Rel. 34-44224; File No. 3-10009) PUBLIC ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS INSTITUTED AGAINST WEBER INVESTMENT CORPORATION On April 26, the Commission instituted administrative and cease and desist proceedings against Weber Investment Corporation (WIC), a broker- dealer registered with the Commission. The Commission's Order alleges that WIC willfully committed violations of the books and records and net capital provisions of the federal securities laws. According to the Order, Terry Don Rader, WIC's former president, chief financial officer, compliance officer and financial and operations principal, inflated the value of securities held in firm inventory accounts to cover trading losses in an index options account and to provide funds for his personal use. Rader, who controlled WIC's books and records, also failed to prepare and maintain accurate books and records for WIC. Rader destroyed records pertaining to one of the inventory accounts he controlled, and the activity in that account was not reflected in WIC's records. Further, all positions held in Rader's inventory accounts were overpriced. In addition, WIC's 1997 general ledger inaccurately reflected numerous deposits and withdrawals from its clearing firm, Southwest Securities, Inc. (Southwest). Also, WIC's general ledger balances for the months ending June and July 1997 were incorrect. An NASDR examination of WIC conducted in November 1997 revealed that, as of September 29, 1997, WIC had a net capital deficit of $62,553. This deficiency was caused by a number of customer checks improperly made payable to WIC instead of Southwest. The result of the payments to WIC was to increase WIC's net capital requirements. Rader, who was responsible for all aspects of the firm's supervisory procedures, failed to follow the firm's written supervisory procedures requiring that customer checks be payable to the clearing firm and not WIC. The Commission accepted WIC's offer to settle these proceedings simultaneously with their institution. The Order, in charging violations of Sections 15(c)(3) and 17(a) of the Securities Exchange Act of 1934 and Rules 15c3-1, 17a-3, and 17a-4 thereunder, censures WIC and Orders it to cease and desist from committing or causing any future violations of the above provisions. (Rels. 33-7974; 34-44225; File No. 3-10462) COMMISSION OBTAINS PERMANENT INJUNCTIONS AND OTHER RELIEF FROM TEN SALESPEOPLE The Commission announced that ten salespeople were enjoined in a pending offering fraud action. Final Judgments were entered against Richard C. Reining, Michael R. Tompkins and Joseph L. Hill on March 1, Stephen R. Rawlings on March 8, and David J. Naughton, Ronald L. Gaiser, Mark R. Avila and Stephen R. Keenum on March 13, enjoining them from future violations of the registration and antifraud provisions of the federal securities laws pursuant to their consents. Final Judgments by default were entered against Adam E. Peck and Raffi T. King on March 20. Each Defendant was also ordered to pay disgorgement, and $110,000 third tier civil penalties were assessed against Peck and King. Disgorgement was waived against Hill, Rawlings, Naughton, Gaiser and Avila and all but $45,000 and $25,000 in disgorgement was waived against Reining and Tompkins, respectively, and civil penalties were not assessed against these defendants based upon their demonstrated inability to pay. The Commission alleged that the Defendants made fraudulent representations in connection with their sales of the unregistered securities of Papa Holdings and/or four of its restaurant subsidiaries. Over $21 million was raised from approximately 1,300 investors nationwide from November 1995 to January 1999. Instead of opening new restaurants, the restaurant subsidiaries used the money to pay undisclosed commissions and to cover losses incurred by existing Papashon restaurants. None of the restaurant subsidiaries ever opened a restaurant and existing Papashon Restaurants in Pasadena, Beverly Hills, Encino and Long Beach, California closed in 1999. [SEC v. David J. Naughton, et al., Civil Action No. 00-07531 R, Ex, C.D. Cal.] (LR-16976) COURT OF APPEALS AFFIRMS TRIAL COURT'S ORDER INCARCERATING DEENDANT FOR CONTEMPT On March 15, 2001, the U.S. District Court for the Middle District of North Carolina adjudged defendants Elfindepan, S.A., Southern Financial Group and Tracy Calvin Dunlap, Jr. to be in civil contempt of court based on their refusal to obey court orders requiring them to produce documents, and account for and repatriate investor funds, related to their allegedly fraudulent investment schemes. (The defendants are alleged perpetrators of a fraudulent securities scheme by means of which they misappropriated in excess of $20 million from investors.) The U.S. District Court ordered defendants to comply with its orders by March 20, 2001, or face the imposition of a contempt sanction designed to compel their compliance. Defendants refused to comply as ordered based on their assertion of Dunlap's personal Fifth Amendment privilege against self-incrimination. Accordingly, on March 23, 2001, the U.S. District Court ordered that Dunlap, in his representative capacity as the agent and control person of Elfindepan and Southern Financial, be taken into custody and incarcerated until such time as he causes Elfindepan and Southern Financial to comply with the relevant orders. Dunlap appealed the order of incarceration. On April 23, 2001, the U.S. Court of Appeals for the Fourth Circuit affirmed the order incarcerating Dunlap in his representative capacity as the agent and control person of Elfindepan and Southern Financial (case nos. 01-1382 and 01-1391). Recognizing that artificial entities like Elfindepan and Southern Financial Group have no privilege against self-incrimination, the U.S. Court of Appeals ruled that Dunlap could not assert his personal privilege to avoid his representative obligation to cause Elfindepan and Southern Financial Group to comply with the U.S. District Court's orders. Dunlap remains incarcerated. [SEC v. Elfindepan, S.A., et al., Civil Action No. 1:00CV00742, MDNC] (LR-16977) INVESTMENT COMPANY ACT RELEASES BARR ROSENBERG SERIES TRUST, ET AL. An order has been issued pursuant to Section 17(b) of the Investment Company Act to Barr Rosenberg Variable Insurance Trust, on behalf of its Barr Rosenberg VIT Market Neutral Fund; Barr Rosenberg Series Trust, on behalf of its AXA Rosenberg Value Market Neutral Fund; AXA Rosenberg Investment Management LLC; and AXA Rosenberg Group LLC, permitting the sale of substantially all the assets of the Barr Rosenberg VIT Market Neutral Fund to the AXA Rosenberg Value Market Neutral Fund. (Rel. IC- 24943 - April 25) PACIFIC INNOVATIONS TRUST An order has been issued pursuant to Section 8(f) of the Investment Company Act declaring that Pacific Innovations Trust has ceased to be an investment company. (Rel. IC-24944 - April 25) ORDERS OF DEREGISTRATION UNDER THE INVESTMENT COMPANY Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company: JWB Aggressive Growth Fund [File No. 811-9132] (Rel. IC-24945 - April 25, 2001) Firstar Stellar Funds (formerly Star Funds) [File No. 811-5762] (Rel. IC- 24946 - April 25, 2001) Managed Securities Plus Fund, Inc. [File No. 811-8045] (Rel. IC- 24947 - April 25, 2001) Debt Strategies Fund, Inc. [File No. 811-8171] (Rel. IC- 24948 - April 25, 2001) Debt Strategies Fund III, Inc. [File No. 811-8823] (Rel. IC- 24949 - April 25, 2001) The Achievement Funds Trust [File No. 811-5712] (Rel. IC- 24950 - April 25, 2001) Prudential Employees Limited Partnership 1986 [File No. 811-4561] (Rel. IC- 24951 - April 25, 2001) Prudential Employees Limited Partnership 1987 [File No. 811-5156] (Rel. IC- 24952 - April 25, 2001) Prudential Employees Limited Partnership 1988 [File No. 811-5393] (Rel. IC- 24953 - April 25, 2001) Summit Funds Management Corporation [File No. 811-10009] (Rel. IC- 24954 - April 25, 2001) Nuveen Tax Exempt Unit Trust Series 2 [File No. 811-1030] (Rel. IC- 24955 - April 25, 2001) Managed High Yield Fund Inc. [File No. 811-7804] (Rel. IC- 24956 - April 25, 2001) Merrill Lynch Convertible Fund, Inc. [File No. 811-4311] (Rel. IC- 24957 - April 25, 2001) Fortis Fiduciary Fund, Inc. [File No. 811-3269] (Rel. IC-24958 - April 25, 2001) Van Kampen American Capital Municipal Bond Fund [File No. 811-2683] (Rel. IC- 24959 - April 25, 2001) Van Kampen Merritt Money Market Trust [File No. 811-3514] (Rel. IC- 24960 - April 25, 2001) Van Kampen American Capital Texas Tax Free Income Fund [File No. 811-6464] (Rel. IC- 24961 - April 25, 2001) Van Kampen American Capital Utilities Income Fund [File No. 811-7998] (Rel. IC- 24962 - April 25, 2001) HOLDING COMPANY ACT RELEASES ALLEGHENY ENERGY, INC., ET AL. An order has been issued authorizing Allegheny Energy, Inc., a registered public utility holding company, and its subsidiaries, Allegheny Energy Service Company, Monongahela Power Company and Allegheny Energy Supply Company, LLC (Genco) (collectively, Applicants) to form MP Transferring Agent, L.L.C. and MP Genco as wholly owned subsidiaries of Monongahela Power Company. Applicants request authority for Monongahela Power Company to transfer certain generation and related assets (collectively, Generation Assets) and liabilities to MP Transferring Agent, L.L.C. and then to MP Genco which would then be merged into Genco. In addition, Monongahela Power Company proposes to provide operating services at cost to certain associates with respect to the Generation Assets. The Commission has reserved jurisdiction over Applicants' proposal to transfer the West Virginia jurisdictional assets. (Rel. 35-27384) DTE ENERGY CORPORATION ET AL. A supplemental notice has been issued giving interested persons until May 17, 2001, to request a hearing on a proposal by DTE Energy Company (DTE), a Michigan public utility holding company that claims exemption under Section 3(a)(1) of the Act by Rule 2 under the Act, and its inactive, wholly owned subsidiary, DTE Enterprises, Inc. (Merger Sub and collectively, Applicants). Applicants request authority for DTE indirectly and Merger Sub directly to acquire all issued and outstanding stock of MCN Energy Group Inc., a Michigan public utility holding company that claims exemption under Section 3(a)(1) of the Act by Rule 2 under the Act. Applicants also request that the Commission exempt, under Section 3(a)(1) of the Act, DTE and Merger Sub from all requirements of the Act, except for Section 9(a)(2). (Rel. 35-27385) SELF-REGULATORY ORGANIZATIONS APPROVAL OF PROPOSED RULE CHANGE The Commission approved a proposed rule change (SR-Phlx-01-21) by the Philadelphia Stock Exchange relating to primary trading session hours for equities whose primary market is not the Exchange. (Rel. 34-44213) PROPOSED RULE CHANGE The Commission noticed a proposed rule change filed by the Philadelphia Stock Exchange (SR-Phlx-2001-45). The proposed rule change relates to adopting Phlx's Rule 930(k) that allows lessees to pay past-due fees owed to the Exchange by the lessor under a lease agreement on behalf of the lessor. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-44220) IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE The Depository Trust Company filed a proposed rule change (SR-DTC-00-16) to revise DTC's fee schedule and amends the elective dividend system (EDS) procedures. Publication of the proposal is expected in the Federal Register during the week of April 30. (Rel. 34-44222) DELISTING GRANTED An order has been issued granting the application of the Boston Stock Exchange to strike from listing and registration the Common Stock, no par value, of Audiohighway.com, Inc., effective at the opening of business on April 26, 2001. (Rel. 34-44221) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-4 SONICBLUE INC, 2841 MISSION COLLEGE BLVD, SANTA CLARA, CA 95054 (408) 588-8000 - 1,567,451 ($5,236,283) COMMON STOCK. (FILE 333-59258- APR. 20) (BR. 3) S-3 GOLDMAN SACHS GROUP INC/, 85 BROAD ST, NEW YORK, NY 10004 (212) 902-1000 - 4,032,513 ($369,176,565) COMMON STOCK. (FILE 333-59260 - APR. 20) (BR. 7) S-8 UNION PLANTERS CORP, UNION PLANTERS ADMINSTRATIVE CENTER, 7130 GOODLETT FARMS PARKWAY, MEMPHIS, TN 38018 (901) 580-6000 - 69,082 ($1,368,515) COMMON STOCK. (FILE 333-59264 - APR. 20) (BR. 7) S-8 ADVO INC, ONE UNIVAC LN, P O BOX 755, WINDSOR, CT 06095 (860) 285-6120 - 550,000 ($20,674,500) COMMON STOCK. (FILE 333-59266 - APR. 20) (BR. 2) S-8 ROANOKE TECHNOLOGY CORP, 1039 EAST 10TH ST, ROANOKE RAPIDS, NC 27870- 2,000,000 ($540,000) COMMON STOCK. (FILE 333-59268 - APR. 20) (BR. 8) S-8 MEDIMMUNE INC /DE, 35 W WATKINS MILL RD, GAITHERSBURG, MD 20878 (301) 417-0770 - 3,000,000 ($112,020,000) COMMON STOCK. (FILE 333-59272 - APR. 20) (BR. 1) S-8 FILENET CORP, 3565 HARBOR BLVD, COSTA MESA, CA 92626 (714) 966-3400- 140,000 ($2,804,200) COMMON STOCK. (FILE 333-59274 - APR. 20) (BR. 3) S-8 CHROMAVISION MEDICAL SYSTEMS INC, 33171 PASEO CORVEZA, SAN JUAN CAPISTRANO, CA 92675 (949) 443-3355 - 1,280,000 ($11,637,980) COMMON STOCK. (FILE 333-59276 - APR. 20) (BR. 5) S-3 PATRIOT BANK CORP, HIGH & HANOVER STREETS, P O BOX 1090, POTTSTOWN, PA 19464 (610) 323-1500 - 500,000 ($3,862,500) COMMON STOCK. (FILE 333-59278 - APR. 20) (BR. 7) S-8 SCHWAB CHARLES CORP, 120 KEARNEY STREET, SAN FRANCISCO, CA 94104 (415) 627-7000 - 10,000,000 ($177,500,000) COMMON STOCK. (FILE 333-59280 - APR. 20) (BR. 7) S-8 LIBERATE TECHNOLOGIES, 2 CIRCLE STAR WAY, C/O NETWORK COMPUTER INC, SAN CARLOS, CA 94070 (650) 701-4000 - 6,213,052 ($56,538,774) COMMON STOCK. (FILE 333-59282 - APR. 20) (BR. 3) S-1 ADVANSTAR COMMUNICATIONS INC, 7500 OLD OAK BLVD, CLEVELAND, OH 44130 (440) 243-8100 - 160,000,000 ($160,000,000) STRAIGHT BONDS. (FILE 333-59284 - APR. 20) (BR. 8) S-8 WEB4BOATS COM INC, PO BOX 1028, LA JOLLA, CA 92038 (858) 551-8160 - 250,000 ($28,750) COMMON STOCK. (FILE 333-59286 - APR. 20) (BR. 8) S-3 ORTHOVITA INC, 45 GREAT VALLEY PKWY, VALVERN, PA 19355 (215) 640-1775 - 3,737,156 ($17,994,406) COMMON STOCK. (FILE 333-59288 - APR. 20) (BR. 5) S-8 FRONTIER OIL CORP /NEW/, 10000 MEMORIAL DRIVE, SUITE 600, HOUSTON, TX 77024 (713) 688-9600 - 1,000,000 ($10,980,000) COMMON STOCK. (FILE 333-59290 - APR. 20) (BR. 4) S-8 GAP INC, ONE HARRISON, SAN FRANCISCO, CA 94105 (415) 952-4400 - 30,000,000 ($691,050,000) COMMON STOCK. (FILE 333-59292 - APR. 20) (BR. 2) S-8 SONICBLUE INC, 2841 MISSION COLLEGE BLVD, SANTA CLARA, CA 95054 (408) 588-8000 - 3,024,265 ($13,291,945) COMMON STOCK. (FILE 333-59294- APR. 20) (BR. 3) S-8 ISIS PHARMACEUTICALS INC, 2292 FARADAY AVE, CARLSBAD, CA 92008 (760) 931-9200 - 2,000,000 ($13,620,000) COMMON STOCK. (FILE 333-59296- APR. 20) (BR. 1) S-4 ENERGY EAST CORP, PO BOX 12904, STE 2006A 20TH FL, ALBANY, NY 12212 (518) 434-3014 - $515,549,421.36 COMMON STOCK. (FILE 333-59300 - APR. 20) (BR. 2) S-8 ARETE INDUSTRIES INC, 2955 VALMONT RD, STE 310, BOULDER, CO 80301 (303) 247-1313 - 70,000 ($315,000) COMMON STOCK. (FILE 333-59302 - APR. 20) (BR. 2) S-3 J P MORGAN CHASE & CO, 270 PARK AVE, 39TH FL, NEW YORK, NY 10017 (212) 270-6000 - 1,307,814 ($59,342,060) COMMON STOCK. (FILE 333-59304- APR. 20) (BR. 7) S-8 RED HAT INC, 2600 MERIDIAN PARKWAY, DURHAM, NC 27713 (919) 547-0012- 2,563,500 ($38,342,175) COMMON STOCK. (FILE 333-59306 - APR. 20) (BR. 3) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000 - 2,069,958 ($1,965,586) COMMON STOCK. (FILE 333-59308 - APR. 20) (BR. 7) S-8 INTERWAVE COMMUNICATIONS INTERNATIONAL LTD, C/O CODAN SERVICES LTD CLARENDON HOUSE, 2 CHURCH STREET PO BOX HM 1022, HAMILTON, BERMUDA, 00000 - 2,000,000 ($1,850,000) COMMON STOCK. (FILE 333-59310 - APR. 20) (BR. 7) S-8 SKY FINANCIAL GROUP INC, 221 SOUTH CHURCH STREET, BOWLING GREEN, OH 43402 (419) 327-6300 - 2,146,366 ($40,458,999) COMMON STOCK. (FILE 333-59312 - APR. 20) (BR. 7) S-2 TCPI INC, 3341 SW 15TH STREET, POMPANO BEACH, FL 33069 (954) 979-0400 - 5,768,478 ($201,896.73) COMMON STOCK. (FILE 333-59314 - APR. 20) (BR. 1) S-8 INTERMUNE PHARMACEUTICALS INC, 1710 GILBRETH RD, SUITE 301, BURLINGAME, CA 94010 (650) 493-8333 - 1,135,919 ($26,955,357.87) COMMON STOCK. (FILE 333-59316 - APR. 20) (BR. 1) S-3 CV THERAPEUTICS INC, 3172 PORTER DR, PALO ALTO, CA 94304 (650) 812-0585 - $5,000,000 COMMON STOCK. (FILE 333-59318 - APR. 20) (BR. 1) S-8 DATASTREAM SYSTEMS INC, 50 DATASTREAM PLAZA, STE C 40, GREENVILLE, SC 29605 (864) 422-5001 - 75,000 ($656,250) COMMON STOCK. (FILE 333-59320- APR. 20) (BR. 3) S-4 AMERICAN CELLULAR CORP /DE/, 1336 BASSWOOD ST, SUITE 700, SCHAUMBURG, IL 60173 (847) -99-5-87 - 450,000,000 ($450,000,000) STRAIGHT BONDS. (FILE 333-59322 - APR. 20) (BR. 7) S-3 AMERIPATH INC, 7289 GARDEN RD, SUITE 200, RIVER BEACH, FL 33404 (561) 845-1850 - 864,849 ($19,947,742.19) COMMON STOCK. (FILE 333-59324 - APR. 20) (BR. 1) S-4 NOVELL INC, 1800 SOUTH NOVELL PLACE, PROVO, UT 84606 (801) 861-7000- 43,775,557 ($167,762,614) COMMON STOCK. (FILE 333-59326 - APR. 20) (BR. 3) S-4 SEAGATE TECHNOLOGY INTERNATIONAL, C/O SEAGATE TECHNOLOGY LLC, 920 DISC DRIVE, SCOTTS VALLEY, CA 95066 (831) 439-5370 - 210,000,000 ($210,000,000) STRAIGHT BONDS. (FILE 333-59328 - APR. 20) (NEW ISSUE) S-8 INTERDENT INC, 222 N SEPULVEDA BLVD, SUITE 740, EL SEGUNDO, CA 90245 (310) 765-2400 - 3,000,000 ($1,290,000) COMMON STOCK. (FILE 333-59330- APR. 20) (BR. 1) S-8 GREENLAND CORP, 1935 AVENIDA DEL ORO, SUITE D, OCEANSIDE, CA 92056 (619) 458-4226 - 3,859,914 ($192,995.70) COMMON STOCK. (FILE 333-59332- APR. 20) (BR. 7) S-3 ACTV INC /DE/, 1270 AVE OF THE AMERICAS, NEW YORK, NY 10020 (212) 262-2571 - 1,535,995 ($4,606,983) COMMON STOCK. (FILE 333-59334- APR. 20) (BR. 7) S-3 PAN PACIFIC RETAIL PROPERTIES INC, 1631-B S MELROSE DR, VISTA, CA 92083 (760) 727-1002 - 7,808,012 ($173,181,706) COMMON STOCK. (FILE 333-59336 - APR. 20) (BR. 8) S-1 FIRST SECURITY GROUP INC/TN, 817 BROAD STREET, CHATTANOOGA, TN 37402 (423) 308-2000 - 3,000,000 ($30,000,000) COMMON STOCK. (FILE 333-59338- APR. 20) (NEW ISSUE) S-8 EXCEL TECHNOLOGY INC, 45 RESEARCH WAY, E SETUAKET, NY 11733 (516) 273-6900 - 1,000,000 ($19,863,366) COMMON STOCK. (FILE 333-59340- APR. 20) (BR. 5) S-8 NEOFORMA COM INC, 3061 ZANKER ROAD, SAN JOSE, CA 95134 (408) 654-5700 - 8,566,654 ($7,624,322.06) COMMON STOCK. (FILE 333-59342 - APR. 20) (BR. 8) S-3 ILLINOIS SUPERCONDUCTOR CORPORATION, 451 KINGSTON CT, MOUNT PROSPECT, IL 60056 (847) 391-9400 - 1,818,182 ($2,218,182) COMMON STOCK. (FILE 333-59344 - APR. 20) (BR. 5) S-3 ELECTRIC FUEL CORP, 120 WOOD AVE S, STE 300, ISELIN, NJ 08830 (212) 826-5536 (FILE 333-59346 - APR. 20) (BR. 4) S-4 MIDWEST GENERATION LLC, ONE FINANCIAL PLZ., 4400 S. LASALLE ST. #3500, CHICAGO, IL 60605 (312) 583-6000 - 1,147,000,000 ($1,147,000,000) EQUIPMENT TRUST CERTIFICATES. (FILE 333-59348 - APR. 20) (NEW ISSUE) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMENT ----------------------------------------------------------------------------- ---------------------------------- ACRODYNE COMMUNICATIONS INC DE X X 04/17/01 ADMIRALTY BANCORP INC DE X X 04/12/01 ADVANTA CORP DE X X 04/24/01 AFG INVESTMENT TRUST A DE X 02/07/01 AMEND AFG INVESTMENT TRUST B DE X 02/07/01 AMEND AFG INVESTMENT TRUST C DE X 02/07/01 AMEND AFG INVESTMENT TRUST D DE X 02/07/01 AMEND AGILE SOFTWARE CORP DE X X 04/26/01 AGRIBRANDS INTERNATIONAL INC MO X 04/26/01 AKORN INC LA X X 04/17/01 ALBERTSONS INC /DE/ DE X 04/26/01 ALLIED PRODUCTS CORP /DE/ DE X X 04/15/01 ALLOY ONLINE INC DE X X 04/12/01 AMEDISYS INC DE X X 04/25/01 AMERICAN EXPRESS CO NY X 04/25/01 AMERICAN GENERAL FINANCE CORP IN X X 04/25/01 AMERICAN HOME PRODUCTS CORP DE X X 04/25/01 AMERICAN RIVER HOLDINGS CA X X 04/20/01 AMERICAN VANTAGE COMPANIES NV X X 04/10/01 ANAREN MICROWAVE INC NY X X 04/26/01 ASCENT ASSURANCE INC DE X X 04/25/01 ASHLAND INC KY X X 04/23/01 ASPEN TECHNOLOGY INC /DE/ DE X X 04/24/01 AVANEX CORP DE X X 04/11/01 AVANT CORP DE X 04/13/01 AMEND AVATEX CORP DE X X 04/24/01 AVNET INC NY X X 04/26/01 BEAR STEARNS COMMERCIAL MORTGAGE SE DE X X 04/25/01 CURITIES INC BENTLEY PHARMACEUTICALS INC DE X 05/15/01 AMEND BILOGIC INC DE X X X 04/10/01 BIO VASCULAR INC MN X X 04/19/01 BLUE WAVE SYSTEMS INC DE X X X 04/24/01 BMW AUTO LEASING LLC X 04/25/01 BMW MANUFACTURING LP X 04/25/01 BMW VEHICLE LEASE TRUST 2000-A X 04/25/01 BOMBARDIER CAPITAL MORTGAGE SECURIT VT X 03/31/01 IZATION CORP BOMBARDIER CAPITAL MORTGAGE SECURIT VT X 03/31/01 IZATION CORP BOMBARDIER CAPITAL MORTGAGE SECURIT VT X 03/31/01 IZATION CORP BOMBARDIER CAPITAL MORTGAGE SECURIT VT X 03/31/01 IZATION CORP BOMBARDIER CAPITAL MORTGAGE SECURIT VT X 03/31/01 IZATION CORP BOMBARDIER CREDIT RECEIVABLES CORP DE X 03/31/01 BOMBARDIER CREDIT RECEIVABLES CORP DE X 03/31/01 BOSTON PROPERTIES INC DE X X 04/24/01 BRISTOL RETAIL SOLUTIONS INC DE X 04/16/01 BROOKTROUT INC MA X X 04/16/01 BURLINGTON NORTHERN SANTA FE CORP DE X X 04/24/01 CARDIAC PATHWAYS CORP DE X X 04/25/01 CARDIAC PATHWAYS CORP DE X X 04/25/01 CATERPILLAR INC DE X 04/17/01 CATERPILLAR INC DE X 04/17/01 CBL & ASSOCIATES PROPERTIES INC DE X 03/31/01 CENTEX CORP NV X X 04/25/01 CENTRAL VERMONT PUBLIC SERVICE CORP VT X 04/17/01 CHICAGO BRIDGE & IRON CO N V X 04/20/01 CHICAGO MERCANTILE EXCHANGE INC IL X X 03/07/01 CHINA GATEWAY HOLDINGS INC DE X X 04/25/01 CHINAB2BSOURCING COM INC DE X 04/26/01 CHOICE ONE COMMUNICATIONS INC DE X X 08/01/00 CITICORP MORTGAGE SECURITIES INC DE X 04/26/01 CITIGROUP INC DE X 04/23/01 CLEARLOGIC INC DE X X 03/22/01 CLEARLOGIC INC DE X X 03/22/01 AMEND CLECO POWER LLC LA X X 04/26/01 COMMSCOPE INC DE X X 04/25/01 COMMUNITY HEALTH SYSTEMS INC/ DE X X 04/25/01 CONSECO FINANCE CORP DE X 04/23/01 CONSECO FINANCE SECURITIZATIONS COR DE X 04/23/01 P CONSECO INC IN X X 04/24/01 CONSOLIDATED GRAPHICS INC /TX/ TX X X 04/25/01 COOPER COMPANIES INC DE X X 04/24/01 COOPER 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