SEC NEWS DIGEST Issue 2002-194 October 7, 2002 COMMISSION ANNOUNCEMENTS FEE RATE ADVISORY #4 FOR FISCAL YEAR 2003 The continuing resolution funding the Securities and Exchange Commission for fiscal 2003 since Oct. 1, 2002 has been extended through Oct. 11, 2002. Therefore, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and statements in corporate control transactions will remain at the current rate of $92.00 per million. Five days after enactment of the Commission's regular appropriation, the fee rates for Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 will be reduced from $92.00 per million to $80.90 per million as previously announced. In addition, the Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq also will remain at the current rate of $30.10 per million. Thirty days after enactment of the Commission's regular appropriation, the fee rate for Exchange Act Section 31 transactions will be reduced to $25.20 per million as previously announced. The delayed effective dates for the fee rate reductions are statutory requirements over which the Commission has no discretion. These delays will not provide any additional funding for the Commission. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission's regular appropriation and the effective dates for the above fee rate changes. These notices will be posted at the SEC's Internet web site at http://www.sec.gov. (Press Rel. 2002-145) SEC SETS HEARINGS ON ENRON CORP. APPLICATIONS FOR EXEMPTIONS UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT The Commission today announced that it will hold hearings on two applications by Enron Corp. for exemptions from the provisions of the Public Utility Holding Company Act of 1935. Enron currently operates under an exemption from the Act by operation of law as a result of the filing of the applications. The Commission has concluded that a hearing is required on the applications to determine whether Enron currently satisfies the statutory criteria for an exemption. If the Commission denies Enron's applications for exemption, the denial may affect certain beneficial treatment Enron receives under the regulations of the Federal Energy Regulatory Commission. The Commission designated Commissioner Roel C. Campos, a former Assistant U.S. Attorney, to serve as hearing officer. Commissioner Campos will conduct the hearing in two phases. The first phase will address whether Enron satisfies the specific statutory criteria for the exemptions it seeks under Sections 3(a)(1), 3(a)(3) and 3(a)(5) of the Act. The second phase, if Commissioner Campos determines it to be necessary, will be to decide whether granting the exemption would be detrimental to the public interest or the interest of investors or consumers. Chairman Harvey L. Pitt commented, "I am confident that the process we have put in place today to determine whether to grant an exemption will assure a speedy, but fair, resolution. The process will minimize the time during which the current exemption, triggered by the filing of the applications, continues in effect." A copy of the order scheduling hearing is available on the SEC's Internet web site at http://www.sec.gov/rules/other/35-27574.htm. (Press Rel. 2002-146) ADDITIONAL PUBLIC APPEARANCES OF SENIOR COMMISSION OFFICIALS - OCTOBER 2002 The following are additions to the schedule of public appearances for October 2002 by senior SEC officials. For additional information on events hosted by groups other than the Commission, please call the contact numbers listed. As events are subject to change, please confirm them with the SEC's Office of Public Affairs or the sponsoring organizations. When: October 12, 2002 Who: Chairman Harvey L. Pitt What: Security Traders Association's 69th Annual Conference and Business Meeting Where: Boca Raton, Florida Contact: David Sranasiac, (202) 659-8201 When: October 23, 2002 Who: Robert K. Herdman, Chief Accountant What: Chief Financial Officer Summitt Where: The Belfry, Warwickshire Contact: Jessica McTigue, Conference Coordinator, (312) 993-0407 When: October 24, 2002 Who: Annette Nazareth, Director, Division of Market Regulation What: Pace University's 9th Annual Securities Industry Conference Where: New York City Contact: Prof. William Freund, (908) 647-0734 When: October 30, 2002 Who: Lori A. Richards, Director, Office of Compliance Inspections and Examinations What: Glasser Legal Works "Inspections of Investment Advisers and Mutual Funds Where: New York Contact: Enilda Indyk, (973) 890-0008 ext. 115 ENFORCEMENT PROCEEDINGS JESSE HOGAN FINED AND BANNED FROM TRADING The Commission announced today that on September 20, 2002, a panel of the British Columbia Securities Commission (BCSC) ordered Jesse Hogan, a resident of British Columbia, Canada, to pay an administrative penalty of $25,000 and banned him from trading in or purchasing any security and engaging in investor relations for 10 years. The Order was based on the previous findings of the panel that Hogan violated Canadian securities laws through five Internet "pump and dump" stock price manipulations in July and August of 2000. See Re Jesse J. Hogan 2002 BCSECCOM 811; Re Jesse J. Hogan 2002 BCSECCCOM 537. The panel also authorized the staff of the BCSC to apply to the British Columbia Supreme Court for an order disgorging $41,752 (U.S.) in total profits Hogan derived from the scheme. Previously, on January 15, 2002, the U.S. District Court for the Northern District of Illinois had permanently enjoined Hogan from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder as a result of his conduct in the stock price manipulations. According to the Commission's complaint, Hogan used the same technique for each stock manipulation. First, Hogan accumulated a substantial position in the stock of a company quoted on the NASDAQ OTC Bulletin Board. Hogan then, after the close of the market and through the opening of the market the following trading day, used alias screen names to post hundreds of messages about the targeted Bulletin Board company on Internet message boards and sent numerous e-mails with the identical message. The spam postings and e-mails falsely claimed that a well- known "blue chip" company would soon acquire the outstanding stock of the targeted company at a substantial premium over its current market price. The spam postings and e-mails prompted a surge in the price and volume of the targeted company's stock. Hogan then liquidated his position, selling into the buying surge he created. Based on this conduct, the BCSC panel found that: "(1) Hogan, with the intention of effecting trades in the companies' shares, made statements that he knew were misrepresentations, contrary to section 50(1)(d) of the Securities Act, RSBC 1996, c. 418; (2) Hogan manipulated the market by engaging in a series of transactions relating to trades in and acquisition of the companies' shares that he knew would result in artificial prices for the shares, contrary to section 57.1(a) of the Securities Act, RSBC 1996, c. 418; and (3) Hogan's misrepresentations and market manipulations seriously impaired the integrity of the capital markets and were contrary to the public interest." [SEC v. Jesse Hogan, Civ. Action No. 00C 5637, N.D. Ill.] (LR-17769) FORMER TOP OFFICERS OF SYSTEM SOFTWARE ASSOCIATES, INC. SETTLE SEC CHARGES; COVEY AND SKADRA CONSENT TO FRAUD-BASED INJUNCTIONS, COVEY TO PAY $316,205 IN DISGORGEMENT AND CIVIL PENALTIES On October 3, 2002, the U.S. District Court for the Northern District of Illinois entered final judgments against the former Chairman and CEO of System Software Associates, Inc., Roger Covey, and SSA's former CFO, Joseph Skadra, in litigation brought by the SEC in July 2000. Covey and Skadra agreed to the entry of judgments: (1) permanently enjoining each of them from violating or aiding and abetting violations of antifraud, reporting, books and records, and internal controls provisions of the federal securities laws, and (2) requiring Covey to pay $216,205.38 in disgorgement and prejudgment interest and $100,000 in civil penalties. The Commission has agreed to waive disgorgement and to not seek a civil penalty from Skadra based on Skadra's financial condition. The Commission alleged that Covey and Skadra caused SSA to misstate its financial results during its fiscal years 1994 through 1996 by improperly reporting revenue on sales of a UNIX-language software product before the product was developed sufficiently to support revenue recognition under applicable accounting standards. The Commission also alleged that SSA improperly recognized an additional $52 million in revenue from conditional sales of UNIX software to middlemen. [SEC v. System Software Associates, Inc., Roger Covey and Joseph Skadra, Civ. No. 00C 4240, N.D. Ill.] (LR-17770; AAE Rel. 1641) SEC CHARGES FORMER WORLDCOM DIRECTOR OF ACCOUNTING YATES WITH PARTICIPATING IN MULTI-BILLION DOLLAR FINANCIAL FRAUD Commission Action Seeks Injunction, Money Penalties, Disgorgement and Officer and Director Bar The Commission today filed a civil enforcement action against Buford "Buddy" Yates, Jr., formerly the Director of General Accounting of WorldCom, Inc., and a CPA. The Commission charges that Yates participated in a massive fraud that inflated the company's earnings at the direction and with the knowledge of WorldCom's senior management. Also today, in connection the same conduct, Yates pleaded guilty to criminal charges filed by the U.S. Attorney's Office for the Southern District of New York. The Commission's action against Yates is its third civil enforcement action related to the WorldCom fraud. The first was filed against WorldCom, Inc. on June 27 of this year. (Litigation Release No. 17588.) The Commission sought, among other things, the appointment of a corporate monitor, and on July 3, U.S. District Court Judge Jed S. Rakoff appointed former Commission Chairman Richard Breeden to that position. The Commission's second enforcement action was filed against former WorldCom Controller David F. Myers on September 26. (Litigation Release No. 17753.) Yates is charged with violating numerous provisions of the federal securities laws, including the antifraud, books and records, and internal controls provisions (Section 17(a) of the Securities Act of 1933 ("Securities Act") and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 ("Exchange Act") and Rules 10b-5 and 13b2-1 thereunder). It further charges him with aiding and abetting WorldCom's violations of the periodic reporting, books and records, and internal controls provisions (Exchange Act Sections 13(a) and 13(b)(2)(A) & (B) and Rules 12b-20, 13a-1 and 13a-13 thereunder). The Commission seeks a permanent injunction, disgorgement of all ill-gotten gains, civil money penalties, and an order barring Yates from serving as an officer or director of a public company. The Commission acknowledges the assistance and cooperation of the U.S. Attorneys' Offices for the Southern District of New York and Southern District of Mississippi, and the Federal Bureau of Investigation. The Commission's investigation into matters related to WorldCom's financial fraud is continuing. [SEC v. Buford Yates, Jr., Civil Action No. 02 CV 7958 (JSR)] (LR-17771; AAE Rel. 1642) INVESTMENT COMPANY ACT RELEASES THE CHARLES SCHWAB FAMILY OF FUNDS, ET AL. A notice has been issued giving interested persons until October 28, 2002, to request a hearing on an application filed by The Charles Schwab Family of Funds, et al. for an order granting an exemption from Section 15(a) of the Investment Company Act of 1940 and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grant relief from certain disclosure requirements. (Rel. IC-25762 - October 3) ACACIA NATIONAL LIFE INSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until October 29, 2002, to request a hearing on an application filed by Acacia National Life Insurance Company (Acacia National), Acacia National Variable Annuity Separate Account II and Acacia National Variable Life Insurance Separate Account I (together, the Acacia Accounts), Ameritas Variable Life Insurance Company (AVLIC), Ameritas Variable Separate Account VA and Ameritas Variable Separate Account VL (together, the AVLIC Accounts) and The Advisors Group, Inc. Applicants seek an order under Sections 17(b) and 11(a) of the Investment Company Act of 1940 (Act) and Rule 17d- 1 thereunder granting exemptions: (a) permit permitting the transfer of assets from the Acacia Accounts to the AVLIC Accounts in connection with the assumption reinsurance by AVLIC from Acacia National of the individual variable annuity contracts and individual variable life insurance policies to which those assets relate; (b) permitting any joint arrangement that could be deemed to be associated with those reinsurance transactions; and (c) approving the terms of any offers of exchange that may be deemed to be involved in those reinsurance transactions. (Rel. IC-25763 - October 4) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE A proposed rule change (SR-NASD-2002-125) filed by the National Association of Securities Dealers to extend a pilot amendment to NASD Rule 4120 regarding Nasdaq's authority to initiate and continue trading halts has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46559) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval of a proposed rule change (SR-OCC-2002- 06) filed by The Options Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to adjustment procedures for stock futures. Publication of the proposal is expected in the Federal Register during the week of October 7. (Rel. 34-46595) DELISTINGS GRANTED An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration the American Depositary Shares (each representing ten shares) of Jefferson Smurfit Group plc, effective at the opening of business on October 4, 2002. (Rel. 34- 46596) An order has been issued granting the application of the American Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on October 4, 2002. (Rel. 34-46597) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on October 7, 2002. (Rel. 34-46601) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration the Common Stock, $.001 par value, of Gold Standard, Inc., effective at the opening of business on October 7, 2002. (Rel. 34-46602) An order has been issued granting the application of the Pacific Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on October 7, 2002. (Rel. 34-46603) An order has been issued granting the application of the Philadelphia Stock Exchange to strike from listing and registration certain call and put options contracts issued by The Options Clearing Corporation respecting certain underlying securities, effective at the opening of business on October 7, 2002. (Rel. 34-46604) 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-1 FIDELITY BANCORP INC, 1009 PERRY HIGHWAY, PITTSBURGH, PA, 15237, 4123673300 - 124,000 ($1,984,000.00) Equity, (File 333-100303 - Oct. 4) (BR. 07) S-8 DIATECT INTERNATIONAL CORP, 435-654-4370 - 500,000 ($120,000.00) Equity, (File 333-100305 - Oct. 4) (BR. 02) SB-2 TRIMEDYNE INC, 15091 BAKE PARKWAY, IRVINE, CA, 92619, 7145595300 - 1,976,232 ($1,488,283.00) Equity, (File 333-100306 - Oct. 4) (BR. 36) S-8 PANGEA PETROLEUM CORP, 16360 PARK TEN PLACE DRIVE, SUITE 327, HOUSTON, TX, 77084, 2813988000 - 5,000,000 ($50,000.00) Equity, (File 333-100307 - Oct. 4) (BR. 04) S-3 DEVON ENERGY CORP/DE, 20 N BROADWAY, STE 1500, OKLAHOMA CITY, OK, 73102, 4052353611 - 0 ($1,000,000,000.00) Other, (File 333-100308 - Oct. 4) (BR. 04) S-8 WILD OATS MARKETS INC, 3375 MITCHELL LANE, BOULDER, CO, 80301, 3034405220 - 180,000 ($1,539,000.00) Equity, (File 333-100309 - Oct. 4) (BR. 02) S-8 VERMONT PURE HOLDINGS LTD/DE, RT 66 P O BOX C, CAAMOUNT INDUSTRIAL PARK, RANDOLPH, VT, 05060, 8027283600 - 264,000 ($660,000.00) Equity, (File 333-100310 - Oct. 4) (BR. 04) S-8 CARMAX INC, 4900 COX ROAD, GLEN ALLEN, VA, 22060, 8047470422 - 0 ($180,763,500.00) Equity, (File 333-100311 - Oct. 4) (BR. 02) S-8 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($8,742,000.00) Equity, (File 333-100312 - Oct. 4) (BR. 36) S-8 SKYWORKS SOLUTIONS INC, 20 SYLVAN ROAD, WOBURN, MA, 01801, 6179355150 - 0 ($65,153,475.00) Equity, (File 333-100313 - Oct. 4) (BR. 36) S-8 E LOAN INC, 5875 ARNOLD RD., SUITE 100, DUBLIN, CA, 94568, 9252412402 - 2,160,406 ($2,959,756.00) Equity, (File 333-100314 - Oct. 4) (BR. 07) S-3 CYTOGEN CORP, 600 COLLEGE RD EAST CN 5308, PRINCETON, NJ, 08540, 6099878200 - 1,276,994 ($676,806.82) Equity, (File 333-100315 - Oct. 4) (BR. 01) S-2 SUMMIT SECURITIES INC /ID/, 601 W. 1ST AVENUE, DEPARTMENT 115000, SPOKANE, WA, 99201-5015, 5098383111 - 0 ($31,000,000.00) Non-Convertible Debt, (File 333-100316 - Oct. 4) (BR. 07) S-2 SUMMIT SECURITIES INC /ID/, 601 W. 1ST AVENUE, DEPARTMENT 115000, SPOKANE, WA, 99201-5015, 5098383111 - 0 ($1.00) Equity, (File 333-100317 - Oct. 4) (BR. 07) SB-2 WATERLOO VENTURES INC, 355 BURKARD ST, SUITE 1530, VANCOUVER, A1, V3J 5V7, 6044843558 - 1,660,000 ($415,000.00) Equity, (File 333-100318 - Oct. 4) (BR. ) S-3 VANDERBILT MORTGAGE & FINANCE INC, 500 ALOCA TRAIL, MARYVILLE, TN, 37804, 4233803000 - 3,500,000,000 ($3,500,000,000.00) Asset-Backed Securities, (File 333-100319 - Oct. 4) (BR. 05) N-2 NUVEEN INSURED TAX FREE ADVANTAGE MUNICIPAL FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,000.00) Equity, (File 333-100320 - Oct. 4) (BR. ) S-3 ARGONAUT GROUP INC, 250 MIDDLEFIELD ROAD, MENLO PARK, CA, 94025, 6508586403 - 0 ($150,000,000.00) Equity, (File 333-100321 - Oct. 4) (BR. 01) S-3 HEADWATERS INC, 11778 S ELECTION DRIVE, STE 210, DRAPER, UT, 84043, 8019849400 - 2,100,000 ($30,303,000.00) Equity, (File 333-100322 - Oct. 4) (BR. 04) N-2 NUVEEN INSURED CALIFORNIA TAX FREE ADVANTAGE MUNICIPAL FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,000.00) Equity, (File 333-100323 - Oct. 4) (BR. ) N-2 NUVEEN INSURED NEW YORK TAX FREE ADVANTAGE MUNICIPAL FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,000.00) Equity, (File 333-100324 - Oct. 4) (BR. ) S-8 QRS CORP, 1400 MARINA WAY SOUTH, RICHMOND, CA, 94804, 5102155000 - 0 ($4,908,750.00) Equity, (File 333-100325 - Oct. 4) (BR. 03) S-3 NORTHWEST NATURAL GAS CO, 220 NW SECOND AVE, PORTLAND, OR, 97209, 5032264211 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-100326 - Oct. 4) (BR. 02) S-3 REGIS CORP, 7201 METRO BLVD, MINNEAPOLIS, MN, 55439, 6129477000 - 0 ($7,064,621.00) Equity, (File 333-100327 - Oct. 4) (BR. 08) S-8 PRO GLASS TECHNOLOGIES INC, 3927 EDMONTRIE NE BAY 8, CALGARY T2E 6T1, 1,600,000 ($368,000.00) Equity, (File 333-100328 - Oct. 4) (BR. 01) S-4 LBI MEDIA INC, 1845 WEST EMPIRE AVENUE, BURBANK, CA, 91504, 0 ($150,000,000.00) Non-Convertible Debt, (File 333-100330 - Oct. 4) (BR. ) S-8 WCI COMMUNITIES INC, 24301 WALDEN CENTER DRIVE, SUITE 300, BONITA SPRINGS, FL, 34134, 9419472600 - 0 ($52,712,000.00) Equity, (File 333-100332 - Oct. 4) (BR. 06) S-8 WCI COMMUNITIES INC, 24301 WALDEN CENTER DRIVE, SUITE 300, BONITA SPRINGS, FL, 34134, 9419472600 - 0 ($2,577,041.76) Equity, (File 333-100333 - Oct. 4) (BR. 06) S-3 ZIX CORP, 2711 NORTH HASKELL AVENUE, SUITE 2300, LB 36, DALLAS, TX, 75204-2960, 214-370-2000 - 0 ($10,346,130.00) Equity, (File 333-100337 - Oct. 4) (BR. 03) S-4 KINDER MORGAN INC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 77002, 3039144752 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-100338 - Oct. 4) (BR. 02) S-3 REGIONS ACCEPTANCE LLC, 417 NORTH 20TH STREET, BIRMINGHAM, AL, 35203, 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-100339 - Oct. 4) (BR. ) S-3 INTERNATIONAL LEASE FINANCE CORP, 1999 AVE OF THE STARS, 39TH FL, LOS ANGELES, CA, 90067, 3107881999 - 0 ($4,000,000,000.00) Non-Convertible Debt, (File 333-100340 - Oct. 4) (BR. 06) S-3 ORTHOVITA INC, 45 GREAT VALLEY PKWY, VALVERN, PA, 19355, 2156401775 - 0 ($59,536,596.00) Equity, (File 333-100341 - Oct. 4) (BR. 36) S-8 DELL COMPUTER CORP, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 - 0 ($9,056,436,665.00) Equity, (File 333-100342 - Oct. 4) (BR. 03) SB-2 KANAKARIS WIRELESS, 65 ENTERPRISE, SUITE 365, ALISO VIEJO, CA, 92626, 123,600,000 ($1,977,600.00) Equity, (File 333-100343 - Oct. 4) (BR. 03) S-4 AMERENENERGY GENERATING CO, 1901 CHOUTEAU AVENUE, ST LOUIS, MO, 63103, 3145543922 - 0 ($275,000,000.00) Other, (File 333-100344 - Oct. 4) (BR. 02) S-3 AMERICAN GENERAL FINANCE CORP, 601 NW SECOND ST, EVANSVILLE, IN, 47708, 8124248031 - 0 ($5,750,000,000.00) Non-Convertible Debt, (File 333-100345 - Oct. 4) (BR. 07) S-4 KINDER MORGAN ENERGY PARTNERS L P, 370 VAN GORDON STREET, LAKEWOOD, CO, 80228, 3039144752 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-100346 - Oct. 4) (BR. 04) S-11 CNL RETIREMENT PROPERTIES INC, 450 S ORANGE AVENUE, ORLANDO, FL, 32801, 4076501000 - 175,000,000 ($1,750,000,000.00) Equity, (File 333-100347 - Oct. 4) (BR. 08) N-2 NUVEEN INSURED FLORIDA TAX FREE ADVANTAGE MUNICIPAL FUND, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,000.00) Equity, (File 333-100348 - Oct. 4) (BR. ) S-8 COMMUNITY HEALTH SYSTEMS INC/, 155 FRANKLIN RD, STE 400, BRENTWOOD, TN, 37027, 6153739600 - 0 ($3,816,230.35) Equity, (File 333-100349 - Oct. 4) (BR. 01) SB-2 DIGIBLUE MEDIA INC, 32946 DANA SPRUCE, STE A, DANA POINT, CA, 92629, 9494127725 - 2,200,000 ($220,000.00) Equity, (File 333-100350 - Oct. 4) (BR. ) S-4 TRIMAS CORP, 315 E EISENHOWER PKWY, ANN ARBOR, MI, 48108, 3137477025 - 0 ($350,000,000.00) Debt Convertible into Equity, (File 333-100351 - Oct. 4) (BR. 06) N-2 NUVEEN INSURED MASSACHUSET TAX FREE ADVANTAGE MUNICIPAL FUND, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178146 - 1,000 ($15,000.00) Equity, (File 333-100352 - Oct. 4) (BR. ) 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 ------------------------------------------------------------------------------------ 24/7 MEDIA INC DE X X X 09/19/02 ACT MANUFACTURING INC MA X X 10/01/02 AGCO CORP /DE DE X 10/04/02 AGROCAN CORP DE X X 10/02/02 ALASKA AIR GROUP INC DE X 10/03/02 ALLFIRST FINANCIAL INC DE X X 09/26/02 ALPHA TECHNOLOGIES GROUP INC DE X X 10/01/02 ALTRIMEGA HEALTH CORP NV X X 09/02/02 AMEND AMERICAN WATER WORKS CO INC DE X 10/03/02 AON CORP DE X X 09/20/02 APARTMENT INVESTMENT & MANAGEMENT CO MD X X 10/04/02 AT HOME CORP DE X X 09/30/02 BALLY TOTAL FITNESS HOLDING CORP DE X X 10/04/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X X 06/25/02 BANK OF AMERICA MORTGAGE SEC INC MOR DE X X 10/04/02 AMEND BANYAN STRATEGIC REALTY TRUST MA X X 10/03/02 BAY VIEW CAPITAL CORP DE X X 10/03/02 BEACON POWER CORP DE X 09/25/02 BEARINGPOINT INC DE X 10/02/02 BEYOND COM CORP DE X X 09/19/02 BOEING CAPITAL CORP DE X X 10/03/02 BOEING CO DE X 10/04/02 BOYKIN LODGING CO OH X 10/04/02 BRL HOLDINGS INC DE X X 10/02/02 CANADIAN DERIVATIVES CLEARING CORP A6 X 09/30/02 CAPITAL AUTO RECEIVABLES INC DE X X 10/04/02 CAPITAL BUILDERS DEVELOPMENT PROPERTI CA X X 09/30/02 CASCADE FINANCIAL CORP DE X X 09/25/02 CBRL GROUP INC TN X X 10/04/02 CEPHALON INC DE X X 10/03/02 CEPHEID CA X X 09/24/02 CHECKERS DRIVE IN RESTAURANTS INC /DE DE X 10/04/02 CHOICE ONE COMMUNICATIONS INC DE X 09/30/02 CHOICE ONE COMMUNICATIONS INC DE X 09/27/02 AMEND CIMAREX ENERGY CO DE X X 10/04/02 COMCAST CORP PA X X 10/01/02 COMMERCIAL BANCSHARES INC \OH\ OH X 09/01/02 CONAGRA FOODS INC /DE/ DE X X 09/19/02 CONDOR GOLD CORP X X X X 09/20/02 CONSECO INC IN X X 10/03/02 CONTOUR ENERGY CO DE X X 10/04/02 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 10/02/02 CROSSROADS SYSTEMS INC DE X 08/30/02 CTB INTERNATIONAL CORP DE X 10/31/02 CYBERMARK INTERNATIONAL CORP X X 10/04/02 DECKERS OUTDOOR CORP DE X X 10/04/02 DELTAGEN INC DE X X 10/02/02 DEVRY INC DE X X 10/03/02 DIAMOND OFFSHORE DRILLING INC DE X X 10/04/02 DJ ORTHOPEDICS INC DE X X 10/04/02 DSP GROUP INC /DE/ DE X X 10/02/02 DST MEDIA INC DE X X X X X 09/30/02 DUPONT E I DE NEMOURS & CO DE X 10/04/02 EBAY INC DE X X 10/03/02 EMAGIN CORP NV X X 09/30/02 EMAGIN CORP NV X X 09/30/02 AMEND EMCOR GROUP INC DE X 12/31/02 ENCOMPASS SERVICES CORP TX X X 10/03/02 EPLUS INC DE X X 10/04/02 FARMERS GROUP INC NV X 10/04/02 FARMSTEAD TELEPHONE GROUP INC DE X 08/30/02 FIBERNET TELECOM GROUP INC\ DE X X 10/04/02 FINDWHAT COM INC NV X 10/04/02 FIRST CITIZENS BANCORPORATION OF SOUT SC X X 09/30/02 FIRST FARMERS & MERCHANTS CORP TN X 10/03/02 AMEND FNB BANCORP/CA/ X X 09/27/02 FOAMEX INTERNATIONAL INC DE X X 10/04/02 FRISBY TECHNOLOGIES INC DE X X 10/04/02 G&K SERVICES INC MN X X 10/01/02 GAP INC DE X X 10/03/02 GATEWAY ENERGY CORP/NE DE X X 09/09/02 GENESIS HEALTH VENTURES INC /PA PA X X 10/02/02 GS MORTGAGE SECURITIES CORP MORT PAS DE X 08/26/02 GST NETWORK FUNDING INC DE X 10/04/02 GST TELECOMMUNICATIONS INC DE X 10/04/02 GST USA INC DE X 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SERVICES INC CO X 10/01/02 MONEY STORE ASSET BACKED CERTIFICATES X X 10/03/02 MONEY STORE HOME EQUITY LOAN TRUST 19 NJ X X 09/16/02 MONEY STORE HOME IMPROVEMENT LOAN BAC X X 09/16/02 MONEY STORE RESIDENTIAL TRUST 1998-I NJ X X 09/16/02 MONEY STORE TRUST 1998 C X X 09/16/02 MORTGAGE PASS THROUGH CERTIFICATES SE DE X 08/26/02 NATIONAL BEVERAGE CORP DE X X 09/27/02 NATIONAL FUEL GAS CO NJ X X 12/31/02 NCO PORTFOLIO MANAGEMENT INC DE X X 10/03/02 NEON COMMUNICATIONS INC DE X 10/04/02 NEOPHARM INC DE X X 09/30/02 NETMANAGE INC DE X X 10/02/02 NEVADA POWER CO NV X X 10/04/02 NOBEL LEARNING COMMUNITIES INC DE X X 10/02/02 NOVASTAR MORTGAGE FUNDING CORP SERIES DE X X 09/25/02 NOVASTAR MORTGAGE FUNDING CORP TRUST DE X 09/27/02 NOVASTAR MORTGAGE FUNDING CORP TRUST DE X 09/27/02 NOVASTAR MORTGAGE FUNDING CORP TRUST DE X X 09/04/02 NOVASTAR MORTGAGE FUNDING TRUST SERIE DE X X 09/25/02 NRG ENERGY INC DE X X 10/01/02 NRG SOUTH CENTRAL GENERATING LLC DE X X 10/01/02 OILGEAR CO WI X 09/24/02 OPEN TEXT 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SECURITIES CORP DE X 01/01/02 AMEND SUTTON TRADING SOLUTIONS INC NV X X 09/24/02 SWS GROUP INC DE X X 10/04/02 TANNING TECHNOLOGY CORP DE X 10/04/02 TEREX CORP DE X X 10/04/02 TEXEN OIL & GAS INC NV X X 10/02/02 TFC ENTERPRISES INC DE X X 09/17/02 TIDEL TECHNOLOGIES INC DE X X 10/03/02 TIPPINGPOINT TECHNOLOGIES INC DE X X 10/02/02 TMS MORTGAGE INC NJ X X 09/16/02 TMS MORTGAGE INC NJ X X 09/16/02 TOWER BANCORP INC PA X 09/25/02 TRAVIS BOATS & MOTORS INC TX X X 09/30/02 TREZAC CORP TX X 10/04/02 TRIMERIS INC DE X 10/03/02 TRINITY CO INC OK X X 10/04/02 US AIRWAYS GROUP INC DE X X 10/02/02 US AIRWAYS GROUP INC DE X X 10/04/02 US INDUSTRIES INC /DE DE X X 10/04/02 USEC INC DE X X 09/27/02 VAXGEN INC DE X X 10/03/02 VERITAS SOFTWARE CORP /DE/ DE X X 10/03/02 WARNACO GROUP INC /DE/ DE X X 10/03/02 WESTAR ENERGY INC /KS KS X 10/04/02 WET SEAL INC DE X X 10/02/02 WITNESS SYSTEMS INC DE X X X 10/01/02 XCEL ENERGY INC MN X X 10/03/02 XCEL ENERGY INC MN X X 10/01/02 XML GLOBAL TECHNOLOGIES INC CO X X 08/23/02 AMEND ZIONS BANCORPORATION /UT/ UT X 10/03/02