sec news digest, 02-28-1992 · 2008-06-04 · instructions for orders on the specialist's...
TRANSCRIPT
sec ne~ydigestIssue 92-40 ~:tAR 3 1992 February 28, 1992
u.s. SECURITIES EXCHANGE COMMiSSION
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NO'l'ICE·OFCOMKtSSIONKEETINGS
CHANGE IN THE MEETING: CANCELLATION
The closed meeting scheduled for Thursday, February 27, at 10:00 a.m. was cancelled.
AT TIMES CHANGES IN COMMISSION PRIORITIES REQUIRE ALTERATIONS IN THE SCHEDULING OF MEETING ITEMS. FOR FURTHER INFORMATION AND TO ASCERTAIN WHAT, IF ANY, MATTERS HAVE BEEN ADDED, DELETED OR POSTPONED, PLEASE CONTACT: Kaye Williams at (202) 272-2400.
ADMINISTRATIVE PROCEEDINGS
KASD ACTION AGAINST KIRK KNAPP AND RAJEEV SESHADRI AFFIRMED
The Commission has affirmed NASD disciplinary action against Kirk A. Knapp of Grand Rapids, Michigan, majority shareholder of K.A. Knapp & Co. Inc., a former NASD member firm, and Rajeev Seshadri of Fremont, California, former president of that firm. The NASD censured Knapp, fined him $150,000 jointly and severally with the firm and barred him from association with any NASD member.
It censured Seshadri, fined him $1,500 and required him to requalify by examination before acting in any principal capacity.
The Commission found that in 1986 Knapp aided and abetted the firm's fraudulent sales of securities of Kinetic Design Systems, Ltd. It also found that, despite an NASD order barring him from acting as a general securities principal, Knapp continued to exercise a managerial role in the firm. The Commission also affirmed NASD findingsthat Seshadri failed to establish and enforce supervisory procedures with respect to the firm's sales activities and failed to take reasonable steps to ensure Knapp'scompliance with the bar order.
In affirming the NASD' s sanctions, the Commission stated that Knapp "was the motivating force behind the firm's fraudulent sales campaign, and flouted the NASD's bar by exercising a managerial role in the firm." It noted that, while Seshadri was "more or less a figurehead president," once he accepted the title "he was requiredto fulfill the obligations attached to his office for as long as he occupied the position, a duty he failed to discharge." (ReI. 34-30391)
CIVIL PROCEEDINGS
FR&~K ROLLINS MAXWELL ENJOINED
The Commission announced that on February 24 Judge Pierre N. Leval of the U. S. District Court for the Southern District of New York entered a Final Judgment of Permanent Injunction against Frank Rollins Maxwell (Maxwell) enjoining him from aiding and abetting violations of the antifraud and recordkeeping provisions of the Investment Advisers Act (Act). Yithout admitting or denying the allegations in the complaint, Maxwell consented to the entry of the Final Judgment.
The complaint, which was filed on August 8, 1991, alleged that Maxwell aided and abetted in the misappropriation of over $90,000 of client funds by American Foresight,Inc. (Adviser), a registered investment adviser, and its principal, Thomas F. Heffernan. Instead of investing such funds in securities, the complaint alleged that the funds were used to pay the operating expenses of the Adviser and the personalexpenses of Heffernan. The complaint further alleged that Maxwell prepared reportswhich were sent to clients that described the misappropriations as "loans" or "other investments." The complaint also alleged that Maxwell aided and abetted violations of provisions of the Act regarding rp.cordkeeping and custody of client funds. [SECv. American Foresight, Inc., Thomas F. Heffernan and Frank Rollins Maxwell, 91 Civ. 5382, PNL, SDNY] (LR-13l75)
BURNETT GREY & CO" INC., FCN FINANCIAL COMMUNICATIONS, INC. AND THOMAS AND ELIZABETH COLDICUTT PERMANENTLY ENJOINED BY DEFAULT
The Commission today announced that on February 7 the U.S. District Court for the Southern District of California, by default, permanently enjoined Burnett Grey & Co. Inc., FCN Financial Services, Inc., Thomas Coldicutt and Elizabeth Coldicutt from violations of the securities registration provisions of the Securities Act of 1933. The September 30, 1991 complaint alleges that from about February 1990 through June 1990 eight defendants, including the above, variously participated in an unregisteredseconda~y stock distribution of EDP of California, Inc. (EDP) , a previously dormant public shell company. The complaint further charges that, in addition to Burnett Grey's, FCN's and the Coldicutts' securities registration violations, other of the defendants violated the antifraud provisions of the securities laws by disseminating fraudulent information into the market. [SEC v. EDP of California, Inc., et al., No. 91-l3~9 G, M, SO Cal.) (LR-13176)
INVESTMENT COMPANY ACT RELEASES
CENTERLAND FUND, ET AL.
An order has been issued under Section 6(c) of "the Investment Company Act exemptingCenterland Fund and Goldman, Sachs & Co. from Sections l8(f)(1), l8(g) and l8(i) of the Act so that the Fund may issue and sell separate classes of units representing
2 NEYS DIGEST, February 28, 1992
interests in its bond and equity portfolios. The classes will be identical in all respects except for class designation, voting rights, exchange privileges, the allocation of certain expenses, the imposition of a front-end sales load, minimum account size and related matters. (ReI. IC-18566 - February 25)
PRUDENTIAL-BACHE SHORT-TERM GLOBAL INCOME FUND, INC. (DOING BUSINESS AS PRUDENTIAL SHORT TERM GLOBAL INCOME FUND), ET AL.
A conditional order has been issued under Section 6(c) of the Investment Company Act exempting Prudential-Bache Short-Term Global Income Fund, Inc. (doing business as Prudential Short-Term Global Income Fund), et al. from the provisions of Sections 18(f), 18(g) and 18(i). The order permits applicants to sell two classes of securities and to convert shares of one class to shares of the other class after a holding period of approximately one year. (ReI. IC-18567 - February 25)
lSI GROWTH FUND, INC.
A notice has been issued g1v1ng interested persons until March 23 to request a hearing on an application filed by lSI Growth Fund, Inc. for an order under Section 8(f) of the Investment Company Act declaring that applicant has ceased to be an investment company. (ReI. IC-l8568 - February 25)
THE MONTGOMERY FUNDS
A conditional order has been issued under Section 6(c) of the Investment Company Act exempting The Montgomery Funds from the provisions of Section 12(d)(3) of the Act and Rule 12d3-1 thereunder. The exemptions apply to the extent necessary to permit one of applicant's series, Montgomery Emerging Markets Fund, to acquire securities of certain foreign issuers engaged in securities related activities in accordance with
applicants from the provisions of Sections 2(a)(32), 2(a)(35), 22(c) and 22(d) of the
the conditions of International Series
the Rel.
proposed amendments 368 -February 26)
to Rule 12d3-1. (Rel. IC-l8569;
EATON VANCE CASH MANAGEMENT FUND, ET AL.
A conditional order has Management, et al. under
been issued on an applicationSection 6(c) of the Investment
filed by Eaton Vance Cash Company Act exempting the
Act and Rule 22c-l thereunder. The conditional order permits the applicants to impose and, under certain circumstances, waive a contingent deferred sales charge on certain redemptions of its shares. (Rel. IC-18S71 - February 26)
LAZARD SPECIAL EQUITY FUND, INC.
A notice has been issued giving interested persons until March 23 to request a hearing on an application filed by Lazard Special Equity Fund, Inc. for an order under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (Rel. IC-18572 - February 26)
NEWS DIGEST, February 28, 1992 3
NEUBERGER & RFRMAN ADVISERS MANAGEMENT TRUST, ET AL.
An order has been issued pursuant to Section 6(c) of the Investment Company Act concerning Neuberger & Berman Advisers Management Trust (AMT) , Neuberger & Berman Management Incorporated, Sentry Life Insurance Company, Sentry Variable Life Account I (Account). and Sentry Equity Services, Inc. The order exempts applicants from Sections 9(a), 13(a), 15(a) and lS(b) of the Act and Rules 6e-2(b) (15) and 6e-3(T)(b)(15) thereunder. The exemptions apply to the extent necessary to permit the Account and other affiliated and unaffiliated insurance company separate accounts to invest in shares of AMT, which also will be sold directly to qualified pension and retirement plans. (ReI. IC-18S73 - February 26)
lSI TRUST FUND
A notice has been issued giving interested persons until March 23 to request a hearing on an application filed by lSI Trust Fund for an order under Section 8Cf) of the Investment Company Act declaring that applicant has ceased to be an investment company. (ReI. IC-18574 - February 26)
PFL VARIARLE ANNUITY FUND I PFL VARIABLE ANNUITY FUND III PFL VARIABLE ANNUITY FUND IV PFL VARIABLE ANNUITY FUND V PFL VARIABLE ANNUITY FUND VI
Orders have been issued pursuant to Section 8(f) of the Investment Company Act declaring that PFL VARIABLE ANNUITY FUND I, PFL VARIABLE ANNUITY FUND III, PFL VARIABLE ANNUITY FUND IV, PFL VARIABLE ANNUITY FUND V and PFL VARIABLE ANNUITY FUND VI have ceased to be investment companies. (Rels. IC-18S7S; IC-18S76; IC-18S77; IC-18578 and IC-18579, respectively. February 27)
SELF-REGULATORY ORGANIZATIONS
PROPOSED RULE CHANGES
The Depository Trust Company filed a proposed rule change (SR-DTC-92-0l) to make permanent DTC's commercial paper program in its Same-Day Funds Settlement service. Publication of the proposal is expected in the Federal Register during the week of March 2. (Rel. 34-30410)
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-92-02) which, among other things, amends the Phlx's Options Floor Procedure Advice (OFPA) A-7 to make explicit the obligation of specialists to respond promptly to cancellation instructions for orders on the Specialist's book. The proposal also provides for a fine schedule for infractions of this provision of the OFPA. Publication of the proposal is expected in the Federal Register during the week of March 2. (ReI. 34-30412)
4 NEWS DIGEST, February 28, 1992
The Philadelphia Stock Exchange filed a proposed rule change (SR-Phlx-9l-4l) to clarify the prohibition in Phlx Rule l014(e) regarding agent/principal restrictions during the foreign currency options trading sessions. Publication of the proposalis expected in the Federal Register during the week of March 2. (ReI. 34-30417)
ACCELERATED APPROVAL OF PROPOSED RULE CHANGES
The Commission granted accelerated approval to a proposed rule change filed by the Midwest Stock Exchange (SR-MSE-92-02) to add Rule 10 to Article XXVIII of its rules in order to provide listing guidelines for hybrid securities products. (Rel. 34-30411)
The Commission granted accelerated approval to a proposed rule change filed by the Pacific Stock Exchange (SR-PSE-92-ll) to extend the PSE's ten-up pilot program until May 14, 1992. Publication of the approval order is expected in the Federal Registerduring the week of March 2. (ReI. 34-30418)
APPROVAL OF PROPOSED RULE CHANGE
The Commission approved a proposed rule change (SR-OCC-9l-09) submitted by the Options Clearing Corporation to establish procedures for cross -margining certain optionsissued and cleared by OCC with certain futures cleared by the Kansas City Board of Trade Clearing Corporation. (Rel. 34-30413)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
The National Association of Securities Dealers filed a proposed rule change (SR-NASD-92-5) to amend Rules of Practice and Procedures for the Automated Confirmation Transaction Service (ACT), adding non-Nasdaq securities, internalized trades and qualified special representative trades for ACT processing for trade reporting and/or comparison function. The proposed rule change became effective upon filing with the Commission. Publication of the proposal is expected in the Federal Register duringthe week of March 2. (Rel. 34-30415)
SIGNIFICANT> N()-ACTION<AND. IN'l'ER.PRETATIVE LETTERS
The following is a list of significant no-action and interpretative letters recentlyissued by the Division of Corporation Finance. These letters express the view of the Division respecting novel or important questions arising under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Copies of these letters may be obtained by writing to the Public Reference Room, Securities and Exchange Commission, Washington, D.C. 20549, or by making a request in person at the Public Reference Room, 450 Fifth Street, N.W., Room 1024, Washington, D.C.,stating the name of the subject company, the Act and the Section of the Act to which it relates, and the public availability date.
NEWS DIGEST, February 28, 1992 5
COMPANY ACT/SECTION/RULE DATE PUBLIC OR RELEASE MAILED AVAILABILITY
DATE
Apfel & Company 1933 Act - Section 3(a)(2) ; 1940 Act -Sections 3(a)(1) & 3(a)(3)
7/18/91 ll/15/91
50% Cash Back, Inc. 1933 2(1)
Act - Section ll/14/91 ll/14/91
Intervoice, Inc. 1934 Act - Former Rule 16b-3(b) (1) (iii) and New Rule l6b-3(c) (2) (ii)
ll/27/91 ll/27/91
PsychemedicsCorporation
1933 Act 144(d)
- Rule 11/12/91 ll/12/91
Schering-PloughCorporation
1933 Act - Rule 144A(d) (4)
11/21/91 11/21/91
Transco Company
Energy 1934 Act - Rules under Section 16
11/7/91 ll/7/91
ACQUISITION OFSECUR.ITIES
Companies and individuals must report to the Commission within ten days on Schedule 13D if after the acquisition of equity securities of a public company their beneficial interest therein exceeds five percent. Persons eligible to use the short form (Schedule 13G) may in lieu of filing a Schedule 130 file a Schedule l3G within 45 days after the end of the calendar year in which the person became subject to Section l3(d)(1). Companies and individuals making a tender offer must have on file at the time the tender offer commences a Schedule 140-1.
The following is a list of recent filings of Schedules 130 and 140, which includes the following information: Column 1 - the company purchased (top), and the name of the purchaser; Column 2 - the type of security purchased; Column - 3 - the type of form filed; Column 4 - the date the transaction occurred; Column 5 - the current number of shares (in OOO's) owned (top) and the current percent owned; Column 6 - the CUSIP number (top) and the percent owned; and Column 7 - the status of the filing,i.e., new, update or revision.
6 NEWS DIGEST, February 28, 1992
ACQUISITIONS
NAME AND CLASS OF STOCK/OWNER FORM EVENT DATE
SHRS(OOO)/XOIINED
CUSIP/PRIOR%
FILING STATUS
ADVANCED DAVIS
TISSUE SCIENCES J MORTON ET AL
INC CL A 130 1/31/92
1,166 5.9
01299610 5.9 UPDATE
AMTECH CORP COM 971 03232910 AMERICAN PRESIDENT CO 130 2/14/92 14.5 9.7 UPDATE
ANANGEL AMERICAN ANGELICOUSSIS
SHPHLDG SHIPHLDGS
ORO SH CL A ET AL 130 2/17/92
1,412 20.8
03272199 19.9 UPDATE
ARTECH RECOVERY SYS INC COM 85 04290220 PEGASUS GOLD CORP 130 2/20/92 26.2 61.6 UPDATE
AVATAR HLDGS INC ODYSSEY PARTNERS
COM 130 2/21/92
2,10826.7
05349410 41.6 UPDATE
AVATAR HLDGS INC SHARP PETER
CC»4 130 2/21/92
2,122 26.9
05349410 26.9 UPDATE
BHC COMMUNICATIONS GAMCO INVESTORS
INC CL A INC ET AL 130 2/21/92
1,8656.7
05544810 6.5 UPDATE
BAKER MICHAEL CORP COM 114 05714910 FMR CORP 130 1/ 8/92 3.9 4.4 RVSION
BOLAR PHARMACEUTICAL FMR CORP
INC CC»4 130 1/29/92
2,028 9.2
09751610 8.1 RVSION
BC»4BAY CO INC CC»4 501 09792410 DESAI CAPITAL MGMT INC ET AL 130 2/ 5/92 7.9 9.5 UPDATE
CLINICAL DATA INC CC»4 186 18725910 ALPHI FUND 130 2121/92 7.1 5.8 UPDATE
COAST SVGS FINL KRUTTSCHNITT
INC THEODORE H
COM 130 2/19/92
1,2667.9
19099010 9.5 UPDATE
COGNEX CORP CC»4 446 19242210 FMR CORP 130 1/16/92 10.6 9.5 RVSION
CONCORD CAMERA CORP BENUN JACK C
COM 130 2/12/92
1,626 27.2
20615610 28.1 UPDATE
CONTROL DATA CORP DEL STATE OF WISCONSIN INVEST
CC»4 BD 130 1/23/92
2,5766.1
21236310 5.1 UPDATE
DIASONICS INC STATE OF WISCONSIN INVEST
COM NEW BO 130 1/29/92
1,135 9.4
25283630 5.0 UPDATE
DYCOM INDS INC STOVER WILLIAM T ET At
COM 130 2/21/92
1,96823.4
26747510 17.7 UPDATE
DIGEST, February 28, 1992 7
ACQUISITIONS CONT.
NAME ANO CLASS OF STOCK/OWNER FORM EVENT DATE
SHRS(OOO)/XOWNED
CUSIP/PRIOR%
FILING STATUS
EM ISPHERE TECHNOLOGIES INC COM 755 29134510 TREDEGAR INVESTMENTS 130 2/14/92 12.2 10.4 UPDATE
FLEER toRP COM no 33889210 STATE OF ~ISCON6IN INVEST BD 130 1/31/92 7.6 6.6 UPDATE
GV MED INC THAYEI NATHANIEL S
COM 130 2/ 3/92
1,0207.8
3623n10 0.0 NE~
HOH WATER TECHNOLOGY CORP COM 757 40426110 DAVIS J MORTON ET AL 130 1/31/92 5.8 5.8 UPDATE
IiAMNAM A co STATE Of ~ISCONSIN
COM
INVEST BD 130 1/ 9/92 1,606
7.0 41052210
5.9 UPDATE
HARMClIIIIIDSIIiCMal COM 587 41313610 STATE Of ~ISCONSIN INVEST BD 130 2/ 7192 6.7 0.0 NE~
HELIX TECII»OLOGY CORP COM 133 42331910 STATE Of WISCONSIN INVEST SO 130 1/27/92 5.6 7.0 UPDATE
I-FLtIJCORP WALNUT CAPITAL CORP
~ 130 2/10/92
1,3296.3
44952010 4.1 RVSION
INACOM CORP COM 885 45399910 IIIATC»4ERICK ET AL 130 2/21/92 11.0 12.7 UPDATE
INTERNATIONAL RECTIFIER CORP COM 979 46025410 FMR CORP 130 12/20/91 4.9 5.3 RVSION
KEMPER CORP FMR CORP
COM 13D 2/11/92
2,3094.8
48839610 5.2 RVSION
MARCOR RESORTS INC lOYD ~ILLIAM S ET AL
COM 130 2/ 7/92
1,0167.6
56632020 7.5 UPDATE
MATERIAL SCIENCES CORP COM 405 57667410 STATE OF ~ISCONSIN INVEST BO 130 1/27/92 7.9 8.8 UPDATE
MAXTOR COR' STATE OF ~ISCONSIN
CC»4 INVEST BD 130 1/17/92
N/AN/A
57772910 5.1 UPDATE
NED ICAL CARE INTL INC COM 958 58450510 FNR CORP 130 12/12/91 4.6 5.5 UPDATE
MICIiAEL FOODS INC STATE OF ~ISCONSIN
CC»4 INVEST BD 130 1/23/92
1,1836.1
59407410 5.1 UPDATE
MICROOYNi CORP CC»4 ~040 59506710 CUNNINGHAM PHILIP T 130 2/24/92 66.1 66.9 UPDATE
8 NEWS DIGEST, February 28, 1991
CQUISITIONS CONT.
EVENT SHRS(ODO)/ CUSIP/ FILINGNAME AND CLASS OF STOCK/~NER FORM DATE %OWNED PRIOR% STATUS
N S GROUP INC COM 1,265 62891610STATE OF WISCONSIN INVEST SO 130 2/ 6/92 9.4 7.3 UPDATE
NATIONSSANK CORP COM o 63858510
NICHOLS INST CL A 533
C S SOVRAN CORP 130 12/31/91 0.0 9.9 UPDATE
65380640STATE OF WISCONSIN INVEST SO 130 2/ 5/92 7.3 6.2 UPDATE
ONEITA INDS INC COM 1,032 68265510SOUTH CAROLINA TEES 130 2/26/92 20.3 19.7 UPDATE
PINELANDS INC COM 1,804 72308910WASSERMAN LEW R 130 2/ 7/92 10.6 12.0 RVSION
P~ER OIL CO COM 541 73930710
SPRAGUE TECHNOLOGIES INC COM 891
OBSIDIAN OIL 130 2/13/92 10.8 0.0 NEW
84934510
STERLING ELECTRS CORP COM 203
KORSANT PHILIP B ET AL 130 2/14/92 5.0 7.4 UPDATE
85928110ADAGE INC ET AL 130 2/24/92 5.0 5.8 UPDATE
SUNGARD DATA SYS INC COM 1,290 86736310STATE OF WISCONSIN INVEST SO 130 2/12/92 8.5 9.5 UPDATE
SYSTEM SOFTWARE ASSOC INC COM 950 87183910STATE OF WISCONSIN INVEST SO 130 1/16/92 5.5 6.8 UPDATE
TELENETICS CORP COM 8n 87999410DAVIS J MORTON ET AL 130 1/31/92 9.7 9.7 UPDATE
THESlT CORP COM N/A 87999910STATE OF WISCONSIN INVEST SO 130 1/17/92 N/A 6.1 UPDATE
U S ROBOTICS INC COM 610 91246610STATE OF WISCONSIN INVEST BD 130 2/12/92 6.4 6.3 UPDATE
UNIVERSAL FOODS CORP COM 1,363 91353810STATE OF WISCONSIN INVEST BD 130 2/10/92 5.1 4.8 UPDATE
lRECENT :8£ FrLINGS
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.
DIGEST, February 28, 1992 9
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.
The companies listed below have filed 8-K reports for the date indicated and/oramendments to 8-K reports previously filed, responding to the item(s) of the form specified. Copies of the reports may be purchased from the Commission's Public Reference Room (when ordering, please give the date of the report). An invoice will be included with the requested material when mailed.
STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 DATE COMMENT
ADVANCED MICRO DEVICES INC DE X 02/24/92AMCORE FINANCIAL INC NV X 02/21/92AMERICAN RETIREMENT VILLAS PROPERTIES II CA X 02/21/92ARISTAR INC DE X 02/12/92AUGAT INC MA X 09/12/91 AMEND BANKATLANTIC FINANCIAL CORP FL X 02/07/92BARRYS JEWELERS INC /CA/ CA X X 02/26/92BOMED MEDICAL MANUFACTURING LTD CA X 05/31/88 AMEND BRAUVIN INCOME PLUS L Pili DE X 02/07/92BW HOME EQUITY TRUST 1990 I CA X X 02/15/92BW TRUST 1989 1 CA X X 02/15/92BW TRUST 1990-1 CA X X 02/15/92C COR ELECTRONICS INC PA X X 01/31/92 AMEND CANCER TREATMENT HOLD·INGS INC NV X X 02/18/92CAPITOL BANCORPORATION NA X 01/23/92CASH AMERICA INVESTMENTS INC /TX/ TX X X 02/11/92CENTRAL LOUISIANA ELECTRIC CO INC LA X X 02/25/92COMDISCO RECEIVABLES TRUST 1991-A DE X X 11/14/91DAIRY MART CONVENIENCE STORES INC DE X 02/10/92DIANA CORP DE X X 12/24/91 AMEND DIRECT PHARMACEUTICAL CORP DE X X 02/05/91DISCOVER CARD TRUST 1990 A DE X X 02/18/92DISCOVER CARD TRUST 1990 B DE X X 02/18/92DISCOVER CARD TRUST 1990 C DE X X 02/18/92DISCOVER CARD TRUST 1990 0 DE X X 02/18/92DISCOVER CARD TRUST 1990 E DE X X 02/18/92DISCOVER CARD TRUST 1991 A DE X X 02/18/92DISCOVER CARD TRUST 1991 B DE X X 02/18/92DISCOVER CARD TRUST 1991 C DE X X 02/18/92DISCOVER CARD TRUST 1991 D DE X X 02/18/92DISCOVER CARD TRUST 1991 E DE X X 02/18/92DISCOVER CARD TRUST 1991 F DE X X 02/18/92DUN & BRADSTREET CORP DE X 02/19/92EKCO GROUP INC /DE/ DE X 01/08/92 AMEND FIRST AMERICAN HEALTH CONCEPTS INC AZ X X 02/24/92FIRST FINANCIAL BANCORP /CA/ CA X 11/19/91FIRST NATIONAL BANK OF CHICAGO /USA/ X X 02/11/92FLEET NORSTAR FINANCIAL GROUP INC RI X X 02/18/92GALACTIC RESOURCES LTD X X X 02/06/92GENERAL MILLS INC DE X 02/19/92GENERAL MOTORS CORP DE X 02/19/92GERRITY OIL & GAS CORPORATION DE X 02/13/92
10 NEWS DIGEST, February 28, 1992
K REPORTS CONT.
STATE 81:: ITEM NO. NAME OF ISSUER CODE 12345678 DATE COMMENT ---------------------------------------- -------------~- .... _-----GREYHOUND FINANCIAL CORP GRUBB & ELLIS CO HBO & CO HEALTH CONCEPTS IV INC HELIX BIOCORE INC HOMECALL INC /MD/ HOMESTEAD FINANCIAL CORP HOTELECOPY INC IDEXX LABORATORIES INC /DEINGLEBY COMMUNICATIONS CORPORATION INSTITUTE FOR LABORATORY MEDICINE JAKO INC /DE/LEES INNS OF AMERICA INC
INC
DE DE DE DE MN
MD DE FL
DE NV FL DE IN
X X X X X
l( X X X X X
X X
X X X
X X X X
02/19/9202/21/9202/13/9201/27/9202/10/9202/24/9202/21/9202/20/9201/30/9202/25/9202/21/9202124/92 12117/91
AMEND
AMEND
LICON INTERNATIONAL MAGELLAN TECHNOLOGY MANITOWOC CO INC MARl FARMS INC /DE/MARK IV INDUSTRIES
INC INC
INC
DE UT WI DE DE
X X X
X
X X
X X
X X
02/16/9202/10/9202/24/9202/19/9202/13192
MEMOREX TELEX CORP DE X X 02/07192 MEMOREX TELEX N V MILLBURN CURRENCY FUND NERCO INC NUVISION INC OAKRIDGE ENERGY INC OGDEN CORP
II LP DE DE OR MI UT DE
X X
X X
X X
X X X X X lC
02/07/9202/20/9202/12/9202/10/9202/06/9202/19/92
AMEND
PACIFIC GAS & ELECTRIC CO PINNACLE WEST CAPITAL CORP
CA AZ X
X 02/24/9212/13/92
PLANTS FOR TOMORROW INC CO X 02/07/92 AMEND PREFERRED HOME CARE OF AMERICA INC FL X X 02/20/92 PRICE RALLY
T ROWE RENAISSANCE VENTURES LTD
FUND LTD MD NY X
X X
12/27/9102/20/92
AMEND
REPUBLIC FEDERAL SAVINGS & LOAN ASSOCIAT CA X X 02/24/92 REPUBLIC WASTE INDUSTRIES INC DE X X 07/01/91 ROBERTS PHARMACEUTICAL CORP RYAN MORTGAGE ACCEPTANCE CORP RYAN MORTGAGE ACCEPTANCE CORP
II III
NJ DE DE
X X
X 02/05/9202/05/9202/05/92
SAN DIEGO GAS & ELECTRIC CO CA X X 02124/92 SCFC AUTOMOBILE LOAN TRUST 1991-1 IL X X 02/18/92 SCFC SCFC
HOME EQUITY RECREATIONAL
LOAN TRUST 1989 1 VEHICLE LOAN TRUST 199
IL IL
X
X X
X
02/18/92 02/18/92
SEEQ TECHNOLOGY INC SIERRA HEALTH SERVICES INC SOUTHWEST OIL & GAS 1990-91 INCOME PROGR
DE NV DE X
X X
X X X
01/29/92 01/13/9211/14/91 AMEND
SOUTHWEST ROYALTIES INSTITUTIONAL 1990-9 DE X X 11/14/91 AMEND SOUTH~ESTERN SYSTEMIX INC
ENERGY IDE
CO AR DE X
X X X
02/14/9202/18/92
TJ SYSTEMS CORP DE X 02105192 AMEND TRANS FINANCIAL U S PAWN INC
BAN CORP INC ICY
CO X X X
11/11/9102/14/92
AMEND
UNI MARTS INC DE X 12/06/91 AMEND VIRGINIA ELECTRIC & POWER CO VA X 02/25/92 WARNACO GROUP WASTEC INC
INC /DEI DE DE X
X X
X 02120/92 02/21/92
WATTS INDUSTRIES INC DE X X 02110/92 WILMINGTON TRUST CORP DE X 02/21/92
DIGEST, February 28, 1992 11
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SEC ~~~::.IN::::IO:ub:ER:'eking info_tiot> and/O~m.tor14:~;'fr~-~•• C_i~~!oncontinue to complain of being incorrectly referred to .thewr9rig;£i;~~phcirienumber byCommission staff. The following information is furnishedtoj:!:$$fs#yo\j.ln:directlycalling the appropriate office:
Consumer Affairs (202-272-1440):
:::::::t::n ~nformatiortaranch (202-272'7420): ~tq#s.. lItr.1J1:1~!l!!~:~~iCY..
:::~o::::hi:c::: CO:::::::~~:s::::~~:::::t.;::ta~'i of'11~iI~I;:!~~~~~i. :':::'::::::':':::<:::<:::::':::":::'::",:<:'.:::-::: •. '::-: .• ,:::-. Commission personnel.
Public Affairs (202-272-2650): Information about matters !~:~:;;sic--Now. Digest,the Commission's operations, and calls from the press not .directed to particularindividuals, and other related matters.
. .".. ,. ",.>':::::::':-:?:::'><::::><»:-}':':::"""
Public Reference (202 -272- 7450): Requests for infOrnlati(itiori~het;her·· or not adocument has been filed, etc. ::/::>/:).::::"::>:,,\,/:;,::<\"Ci:.·\».)/\\;'::"
Publications Unit (202-272-7460/7461): Requests for forms.studi~s, directories,etc.
Office of the Secretat:y (202-272-2600): Requests foririform~tionorithe Commissioncalendar.
SEC Information Line (202-272-3100/5624): GeneraFlnforma:ti6naboutSEC operationsand activities through a series of recorded messages.
NEWS DIGEST, February 28, 1992 12