SEC News Digest, 10-02-1997
-
Upload
khangminh22 -
Category
Documents
-
view
2 -
download
0
Transcript of SEC News Digest, 10-02-1997
1p
f,~
SEC NEWS DIGESTIssue 97-191 October 2, 1997
COMMISSION ANNOUNCEMENTS
SEC ANNOUNCES APPOINTMENT OF WALTER SCHUETZE AS CHIEF ACCOUNTANT OF THE DIVISION OF ENFORCEMENT
Chairman Levi tt today announced that he has appointed Wal ter P. Schuetze as the Chief Accountant of the SEC's Division of Enforcement. Mr. Schuetze will fill the position previously held byGeorge Diacont before he resigned to join the NASDAQ.
Mr. Schuetze was the Commission's Chief Accountant from January 1992 through March 1995. Before he came to the Commission, he was a partner in KPMG Peat Marwick from 1965 to 1973 and again between 1976 and 1992. Between his years at KPMG Peat Marwick, Mr. Schuetze was a charter member of the Financial Accounting Standards Board. He also has served on various committees of the American AccountingAssociation and the American Institute of Certified Public Accountants, including as a member and chairman of the AccountingStandards Executive Committee of the American Institute of Certified Public Accountants. (Press ReI. 97-86)
RULES AND RELATED MATTERS
LOST SECURITYHOLDERS
The Commission has issued a release adopting two new rules under the Securities Exchange Act of 1934. The new rules are intended to address the problem of lost securityholders. Rule 17Ad-17 under the Exchange Act requires that transfer agents exercise reasonable care in an effort to locate securityholders with whom they have lost contact. In order to meet this requirement of reasonable care,transfer agents must conduct two data base searches in an information data base in order to obtain an updated address. Such updated information will permit transfer agents to deliver dividends and interest they are holding for such securityholders. Rule 17a-24 under the Exchange Act requires transfer agents to file information relating to lost securityholders on an annual basis with the Commission. Specifically, transfer agents are required to disclose
the aggregate number of lost securityholder accounts as of June 30 of each year and the percentage of total accounts represented bysuch lost securityholder accounts. In addition, these figures must be reported for specified periods of time: one year or less, three years or less, five years or less, or greater than five years. Rule 17a-24 also requires transfer agents to report information on an annual basis on lost securityholder accounts that escheat to state unclaimed property administrators. (Rel. 34-39176)
ENFORCEMENT PROCEEDINGS
ADMINISTRATIVE PROCEEDINGS SETTLED WITH FORMER INVESTMENT ADVISOR HEAD
The Commission has instituted and simultaneously settled publicadministrative proceedings against Mark A. Ritacco, formerlypresident of Integrated Wealth Management, Inc., an Oregoninvestment advisory firm. The Commission alleged that Ritacco made material misrepresentations in connection with the sale of approximately $2.2 million in promissory notes, mainly to clients of Integrated, from 1992 to 1995; and caused Integrated to fail to properly report Ritacco's financial interest in a company for whom Integrated sold promissory notes and also the existence of certain disciplinary proceedings against Ritacco.
As a result of these proceedings, Ritacco is barred from association with any broker, dealer, municipal securities dealer, investment adviser, or investment company.
The administrative proceedings are based upon the entry of a permanent injunction against Ritacco in the Commission's previouslyfiled civil action (SEC v. Ritacco, et al., Civil Action No. 97-1307-ST, D. Or. 1997; LR-15483). Ritacco consented to the administrative order and injunction without admitting or denying the allegations.
The permanent injunction prohibits Ritacco from violating Section 17(a) of the Securities Act of 1933; Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") and Rule 10b-5 thereunder;Section 15(a) of the Exchange Act; Section 204, of the Advisers Act and Rule 204-1(b) (1) thereunder; Sections 206(1) and 206(2) of the Adviser's Act; and Section 206 (4') of the Adviser's Act and Rule 206(4)-4.3 thereunder. Because of Ritacco's demonstrated inabilityto pay, the court declined to impose penalties and waived payment of disgorgement in excess of $315,213, which amount will be repaid by a third-party relief defendant that received certain loans from companies controlled by Ritacco. (Rel. 34-39164)
PUBLIC ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST FRANK KLAUS
The Commission today announced the institution of publicadministrative proceedings against Frank Klaus (Klaus). Klaus was
2 NEWS DIGEST, October 2, 1997
the Executive Vice President, Chief of Staff, Compliance Director,general principal and a director of Government Securities Corporation (GSC), a broker-dealer registered with the Commission. Without admitting or denying the findings, Klaus consented to the issuance of the Order which found that he failed reasonably to supervise the activities of certain registered representatives at GSC who violated the antifraud provisions of the federal securities laws by selling public fund clients high-risk Collateralized Mortgage Obligations (CMOs), including Inverse Floaters, Interest Only and Principal Only CMOs by referring to the high-risk CMOs as "Fannie Mae," IIFreddie Mac," or "FMMA" securities, while omitting to disclose that the instruments were volatile CMO tranches. Moreover,these registered representatives misrepresented these CMOs as suitable investments which were consistent with clients' objectivesof safety of principal, liquidity, market stability, short duration and low risk. In addition, these clients were not informed that these instruments were highly sensitive to changes in interest rates. These registered representatives also misrepresented the lOs and Inverse lOs as government guaranteed instruments whose principalwas fully protected, and failed to disclose that these instruments carried an inherent risk of loss of principal and illiquidity. The Commission's order suspends Klaus from association with any broker, dealer, investment company, investment adviser or municipalsecurities dealer for 6 months, followed by a bar from such association in a supervisory capacity, with a right to reapply after one year, and orders him to pay a $15,000 civil penalty within 21 days. (Rel. 34-39165)
COMMISSION DENIES MOTION OF ROBERT AINBINDER TO SET ASIDE DEFAULT
The Commission has denied the motion of Robert E. Ainbinder of West Hempstead, New York, to set aside a 1993 Commission order that barred Ainbinder from association with any broker, dealer,investment company, investment adviser or municipal securities dealer. The 1993 order was based on Ainbinder's default in failingto answer the charges against him.
Ainbinder sought to blame the default on his former attorney.However, the Commission stated that, having voluntarily chosen the attorney as his representative, Ainbinder could not avoid the consequences of the attorney's acts or omissions. The Commission also concluded that Ainbinder's motion had not been filed within a reasonable time after the default order was entered, as required by
investment company, or a member of a national securities exchange or
Commission rules. (Rel. 34 -39177)
COLLATERAL BAR IMPOSED ON MEYER BLINDER
The Commission broker, dealer,
has barred municipal
Meyer Blinder from securities dealer,
association with a investment adviser,
registered securities association (a collateral bar). This collateral bar was based on Blinder's criminal conviction for violations of the securities laws of the Racketeer Influenced and Corrupt Organizations Act, as well as his having been permanentlyenjoined from violations of the securities laws (See, u.s. v.
NEWS DIGEST, October 2, 1997 3
Blinder, CR-S-90-38-LDG-LRL, D. Nev. July 10, 1992; aff'd, 10 F.3d 1468, 9th Cir. 1993) and (SEC v. Blinder, Robinson & Co., C.A. No. 90-4534, RK, E.D. Pa. Aug. 21, 1992).
The Commission stated that it has the authority to issue a collateral bar under Section 15(b) (6) of the Securities Exchange Act of 1934. In reaching this determination, the Commission examined that section and other related statutory provisions governing the admission and exclusion of certain securities professionals from other aspects of the securities business, relevant legislativehistory, and the purposes of the securities laws. Commissioner Hunt dissented from the Commission's conclusion that it has the authority to impose a collateral bar. (ReI. 34-39180)
COMMISSION DISMISSES PROCEEDING AGAINST RUSSO SECURITIES, INC. AND FERDINAND RUSSO
The Commission dismissed an administrative proceeding against Russo Securities, Inc. and Ferdinand Russo. The respondents were chargedwith aiding and abetting a fraudulent scheme by the CooperCompanies, Inc. relating to Cooper's interest rate reset obligationon certain high-yield bonds issued by the Company, in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The respondents also were charged with being a cause of Cooper's fraud, which is actionable under Section 21C of the Exchange Act.
The Commission determined that the record did not support a findingof liability. (ReI. 34-39181)
COMPLAINT FOR PERMANENT INJUNCTIONS AND OTHER RELIEF FILED AGAINST JEFFREY SUDIKOFF, EDWARD CHERAMY AND RUDY WANN
The Commission announced the filing of a complaint on September 30,1997, in the United States District Court for the Central District of California against three former officers of IDB Communications Group, Inc. (IDB): Jeffrey Sudikoff (Sudikoff); Edward Cheramy(CheramY)i and Rudy Wann (Wann). The complaint alleges that the defendants fraudulently inflated IDB's 1994 first quarter earningsfrom $9 million to $15 million and disseminated the inflated earnings in a press release and a Form 10-Q. The complaint allegesthe defendants concealed the fraud by fabricating documents, makingfalse adjusting entries on IDB'~ books in circumvention of IDB's internal controls and lying to IDB's auditor.
The complaint also alleges that Sudikoff and Cheramy engaged in insider trading by selling IDB stock in March 1994 and May 1994 before IDB announced on May 31, 1994, that its auditor had resigneddue a dispute with IDB over first quarter earnings. The complaintfurther alleges that Sudikoff tipped his parents of IDB's inflated earnings and that the parents sold IDB stock while in possession of this information.
By this conduct, the complaint alleges that Sudikoff, Cheramy and
4 NEWS DIGEST, October 2, 1997
Wann violated Section 17 (a) of the Securities Act and Sections 10(b), 13(a), 13(b) (5) and 16(a) of the Exchange Act and ExchangeAct Rules 10b-5, 12b-20, 13a-11, 13a-13, 13b2-1, 13b2-2 and 16a-3. The complaint seeks permanent injunctions, civil penalties and officer and director bars against the defendants, and seeks disgorgement from Sudikoff and Cheramy of losses avoided from the insider trading plus prejudgment interest. [SEC v. Jeffrey P. Sudikoff, Edward Cheramy and Rudy Wann, Civil Action No. CV-97-7207,AAH, RCX, C.D. Cal.] (LR-15522j AAE Rel. 974)
FINAL JUDGMENTS ENTERED AGAINST SMITCO DEFENDANTS
The United States District Court for the Western District of Kentucky entered on September 30 a final judgment permanentlyenjoining John E. Burse, a former securities salesman with Smitco Oil, Inc. of Albany, Kentucky, from committing future violations of the antifraud and registration provisions of the federal securities laws. Similar final judgments were entered against Burse's co-defendants James O. Foust on July 16, and Russell S. Smith and James E. Fisher on June 25. The defendants neither admitted nor denied wrongdoing in consenting to the Judgments.
The Commissions's complaint in SEC v. Russell S. Smith, et al.,alleged that Smith, president of Smitco, Foust, a former principalof Smitco, and Burse and Fisher, two salesmen formerly employed bySmitco, over a period extending from fall of 1992 to the fall of 1993, raised approximately $1.4 million from investors sellingundivided working interests in oil leases in an unregistered publicoffering. The offering employed high-pressure telephone calls and written offering materials that portrayed the working interests in a misleading fashion and failed to adequately state the risks of the investments. [SEC v. Russell S. Smith, et al., Civ. Action No. 1:96CV-166-R, USDC, W.D.Ky, TBR] (LR-15523)
SELF-REGULATORY ORGANIZATIONS
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE
The Commission granted accelerated approval to a proposed rule change submitted by the Chicago Board Options Exchange (SR-CBOE-97-46) to trade stocks in increments of 1/16. (Rel. 34-39159)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE
A proposed rule change filed by the Chicago Stock Exchange related to the treatment of stopped orders under the Enhanced SuperMAXprogram (SR-CHX-97-23) 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 6. (Rel. 34-39162)
NEWS DIGEST, October 2, 1997 5
ACCELERATED APPROVAL OF PROPOSED RULE CHANGE ON A TEMPORARY BASIS
The Commission granted accelerated approval on a temporary basis through March 31, 1998, of a proposed rule change (SR-DCC-97-11)filed by Delta Clearing Corp. The proposed rule change extends she temporary approval of DCC's margin requirements for overnightrepurchase agreements. Publication of the proposal is expected in the Federal Register during the week of October 6. (ReI. 34-39174)
DELI STINGS GRANTED
An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration Great Western United Corporation, 6% Subordinated Sinking Fund Debentures, due May 1, 1987. (ReI. 34-39172)
An order has been issued granting the application of the New York Stock Exchange to strike from listing and registration Hunt International Resources Corporation, 9 7/8% Series A Subordinated Debentures, due December 31, 2004. (ReI. 34-39173)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appearsas 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; AssignedBranch; 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: <public info @ sec>. In most cases, this information is also available on the Commission's website: <www.sec.gov>.
F-6 TYUMENTELECOM /ADR/, 48 WALL ST, c/o BANK OF NEW YORK, NEW YORKL, NY10286 (212) 495-1727 - 10,000,000 ($500,000)DEPOSITARY RECEIPTS FOR PREFERRED STOCK. (FILE 333-7646 - SEP 23)(BR 99) ,
F-6 TYUMENTELECOM /ADR/, 48 WALL ST, C/O BANK OF NEW YORK, NEW YORKL, NY10286 (212) 495-1727 - 25,000,000 ($1,250,000)DEPOSITARY RECEIPTS FOR COMMON STOCK (FILE 333-7648 - SEP 23) (BR 99- NEW ISSUE)
F-6 VEBA AKTIENGESELLSCHAFT /ADR/, 60 WALL ST,C/O MORGAN GUARANTY TRUST CO OF NY, NEW YORK, NY 10260 (212) 648-3250 -600,000,000 ($30,000,000) DEPOSITARY RECEIPTS FOR PREFERRED STOCK. (FILE333-7650 - SEP 23) (BR. 99 - NEW ISSUE)
F-3 ENDESA SA, PRINCIPE DE VERGARA 187, 28002 MADRID SPAIN, U3 (341) 566-8800 - 31,200,672 ($643,669,863) FOREIGN COMMON STOCK (FILE333-7654 - SEP 23) (BR 4 - NEW ISSUE)
6 NEWS DIGEST, October 2, 1997
F-3 ROYAL CARIBBEAN CRUISES LTD, 1050 CARIBBEAN WAY, MIAMI, FL 33132 (305) 539-6000 - 592,968,750 ($592,968,750) FOREIGN PREFERRED STOCK(FILE 333-7658 - SEP 24) (BR. 5)
S-3 FRENCH FRAGRANCES INC, 14100 NW 60TH AVE, MIAMI LAKES, FL 33014 (305) 620-9090 - 864,863 ($9,621,601) COMMON STOCK. (FILE 333-36353 -SEP 25) (BR 2)
S-l SOLUTIA INC, 10300 OLIVE BLVD, POBOX 66760, ST LOUIS, Me 63166 (314) 674-1000 - 600,000,000 ($600,000,000) STRAIGHT BONDS (FILE333-36355 - SEP 25) (BR. 4)
S-3 BORLAND INTERNATIONAL INC /DE/, 100 BORLAND WAY, SCOTTS VALLEY, CA 95066 (408) 431-1000 - 6,135,000 ($59,401,200) COMMON STOCK. (FILE 333-36357 -SEP 25) (BR 3)
S-8 FIRST SOUTH AFRICA CORP LTD, CLARENDON HOUSE CHURCH STREET, CHURCH ST,HAMILTON HM ex BURMUDA, DO 00000 (441) 295-1422 - 350,000 ($2,043,750)COMMON STOCK (FILE 333-36359 - SEP. 25) (BR 5)
S-8 CONCENTRA MANAGED CARE INC, 312 UNION WHARF, BOSTON, MA 02109 (617) 367-2163 - 1,382,666 ($44,494,192) COMMON STOCK (FILE 333-36361 -SEP 25) (BR 1)
S-8 ADMINISTAFF INC \DE\, 19001 CRESCENT SPRINGS DR, KINGWOOD, TX 77339 (713) 358-8986 - 200,000 ($4,775,000) COMMON STOCK (FILE 333-36363 -SEP 25) (BR 7)
S-3 AMERICREDIT FINANCIAL SERVICES INC, 200 BAILEY AVE, FORT WORTH, TX 76107 (817) 332-7000 - 2,200,000,000 ($2,200,000,000)EQUIPMENT TRUST CERTIFICATES (FILE 333-36365 - SEP 25) (BR 8)
S-2 PETROLEUM DEVELOPMENT CORP, 103 E MAIN ST, BRIDGEPORT, WV 26330 (304) 842-6256 - 4,427,500 ($38,607,800) COMMON STOCK (FILE 333-36369 -SEP 25) (BR 41
S-8 PFIZER INC, 235 E 42ND ST, NEW YORK, NY 10017 (2121 573-2323 - 50,000($3,020,5001 COMMON STOCK (FILE 333-36371 - SEP 25) (BR 11
S-8 BCB FINANCIAL SERVICES CORP /PA/, 400 WASHINGTON ST, PO BOX 1097,READING, PA 19603 (610) 376-5933 - 114,000 ($2,251,5001 COMMON STOCK(FILE 333-36373 - SEP 25) (BR 7)
S-4 COMPUTER PRODUCTS INC, 7900 GLADES RD STE 500, BOCA RATON, FL 33434(4071 451-1000 - 14,476,983 ($422,812,821) COMMON STOCK (FILE 333-36375 -SEP 251 (BR 6)
S-2 FIDELITY NATIONAL CORP /GA/, 160 CLAlREMONT AVE, STE 200, DECATUR, GA30030 (404) 371-5500 - 3,450,000 ($30,618,750) COMMON STOCK (FILE333-36377 - SEP. 25) (BR 7)
SB-2 PACIFICHEALTH LABORATORIES INC, 1460 ROUTE 9 NORTH, WOODBURY, NJ 07095 (908) 636-6141 - 1,380,000 ($8,280,000) COMMON STOCK 120,000 ($1201WARRANTS, OPTIONS OR RIGHTS 120,000 ($864,000) COMMON STOCK (FILE333-36379 - SEP. 25)
S-8 EVANS INC, 36 S STATE ST, CHICAGO, IL 60603 (312) 855-2000 - 500,000($1,343,750) COMMON STOCK (FILE 333-36381 - SEP 25) (BR 21
S-3 MERCK & CO INC, ONE MERCK DR, POBOX 100, WHITEHOUSE STATION, NJ 08889 (908) 423-4044 - 1,500,000,000 ($1,500,000,000) STRAIGHT BONDS (FILE333-36383 - SEP 25) (BR 1)
S-1 NETWORK IMAGING CORP, 500 HUNTMAR PARK DR, HERNDON, VA 22070 (703) 478-2260 - 2,150,000 ($3,332,5001 COMMON STOCK (FILE 333-36385 -SEP 25) (BR 3)
S-4 BUILDING MATERIALS HOLDING CORP, PO BOX 8008, 1475 TYRELL LANE, BOISE,ID 83707 (208) 387-4382 - 1,000,000 ($13,062,000) COMMON STOCK (FILE333-36387 - SEP 25) (BR. 6)
S-3 AMERICAN DISPOSAL SERVICES INC, 745 MCCLINTOK DR, SUITE 305, BURR RIDGE,lL 60521 (708) 655-1105 - 6,325,000 ($197,656,250) COMMON STOCK. (FILE
NEWS DIGEST, October 2, 1997 7
333-36389 - SEP 25) (BR. 4)
S-l BIRNER DENTAL MANAGEMENT SERVICES INC, 3801 E FLORIDA AVE STE 208,DENVER, CO 80218 - $23,000,000 COMMON STOCK. (FILE 333-36391 - SEP 25)
S-8 LANCER CORP /TX/, 235 W TURBO, SAN ANTONIO, TX 78216 (512) 344-3071 -900,000 ($13,275,000) COMMON STOCK (FILE 333-36393 - SEP 25) (BR. 6)
S-4 CALLON PETROLEUM CO, 200 N CANAL ST, NATCHEZ, MS 39120 (601) 442-1601 -36,000,000 ($36,000,000) STRAIGHT BONDS. (FILE 333-36395 - SEP. 25)(BR 4)
S-8 SI HANDLING SYSTEMS INC, 600 KUBLER ROAD, EASTON, PA 18044 (610) 252-7321 - 275,000 ($4,623,437.50) COMMON STOCK. (FILE 333-36397 -SEP 25) (BR 5)
S-8 EAGLE BANCSHARES INC, 4305 LYNBURN DR, TUCKER, GA 30084 (404) 908-6690 - 185,931 ($2,321,042) COMMON STOCK. (FILE 333-36399 - SEP. 25) (BR. 7)
S-4 BELL & HOWELL OPERATING CO, 5215 OLD ORCHARD RD, SKOKIE, IL 60077 (847) 470-7100 - 25,518,316 ($748,018,396.90) COMMON STOCK. (FILE333-36401 - SEP 25) (BR 6)
S-4 UNION PLANTERS CORP, 7130 GOODLETT FARMS PKWY, MEMPHIS, TN 38018 (901) 580-6000 - 7,576,369 ($407,701,998) COMMON STOCK. (FILE 333-36403 -SEP 25) (BR 7)
S-l HOUSEHOLD CONSUMER LOAN DEPOSIT TRUST I, 2700 SANDERS RD, PROSPECT HEIGHTS, IL 60070 (847) 564-7968 - 3,000,000 ($3,000,000)EQUIPMENT TRUST CERTIFICATES (FILE 333-36405 - SEP 25) (BR. 8)
S-l KNOLL INC, 1235 WATER ST, EAST GREENVILLE, PA 18041 (215) 679-7991 -6,612,500 ($207,880,468 80) COMMON STOCK. (FILE 333-36407 - SEP 25)(BR 6)
S-8 STATE STREET CORP, 225 FRANKLIN ST, BOSTON, MA 02110 (617) 786-3000 -8,000,000 ($441,911,271) COMMON STOCK (FILE 333-36409 - SEP 25)
S-l YURIE SYSTEMS INC, 8301 PRIFESSIONAL PLACE, LANDOVER, MD 20785 (301) 352-4600 - 2,020,000 ($62,236,200) COMMON STOCK (FILE 333-36413 -SEP 25) (BR 3)
S-3 PHELPS DODGE CORP, 2600 NORTH CENTRAL AVE, PHOENIX, AZ 85004 (602) 234-8100 - 400,000,000 ($400,000,000) STRAIGHT BONDS. (FILE333-36415 - SEP 25) (BR 6)
S-l NETWORK IMAGING CORP, 500 HUNTMAR PARK DR, HERNDON, VA 22070 (703) 478-2260 - 10,000,000 ($15,500,000) COMMON STOCK (FILE 333-36417 -SEP 25) (BR 3)
S-4 HEALTHSOUTH CORP, TWO PERIMETER PARK S, STE 224W, BIRMINGHAM, AL 35243 (205) 967-7116 - 48,025,579 ($1,162,230,632) COMMON STOCK. (FILE333-36419 - SEP 25) (BR 1)
S-8 GAYLORD COMPANIES INC, 4006 VENTURE COURT, COLUMBUS, OH 43228 (614) 771-2777 - 300,000 ($178,125) COMMON STOCK (FILE 333-36421 -SEP 25) (BR 2)
S-8 APACHE MEDICAL SYSTEMS INC, 1650 TYSONS BLVD, MCLEAN, VA 22102 (703) 847-1400 - 500,000 ($1,796,875) COMMON STOCK. (FILE 333-36423 -SEP 26) (BR. 3)
S-8 APACHE MEDICAL SYSTEMS INC, 1650 TYSONS BLVD, MCLEAN, VA 22102 (703) 847-1400 - 10,490 ($66,874) COMMON STOCK (FILE 333-36425 - SEP 26)(BR 3)
S-8 CONCENTRA MANAGED CARE INC, 312 UNION WHARF, BOSTON, MA 02109 (617) 367-2163 - 4,300,000 ($138,374,000) COMMON STOCK. (FILE 333-36427 -SEP 26) (BR 1)
S-l BIOANALYTICAL SYSTEMS INC, 2701 KENT AVENUE, WEST LAFAYETT, IN 47906 (317) 463-4527 - 1,725,000 ($18,975,000) COMMON STOCK. (FILE 333-36429 -
8 NEWS DIGEST, October 2, 1997
...
SEP 26) (BR 1)
RECENT 8K FILINGS
Form 8-K ~s used by compan~es to f~le current reports on the follow~ng events
Item 1 Changes ~n Control of Reg~strant.
Item 2 Acqu~s~t~on or D~spos~t~on of Assets
Item 3 Bankruptcy or Rece~versh~p
Item 4 Changes 1n Reg1strant's Cert1fY1ng Accountant
Item 5 Other Mater1ally Important Events
Item 6 Res1gnat1ons of Reg1strant's D1rectors
Item 7 Flnanc1al Statements and Exh1b1tS
Item 8 Change In F1scal Year.
Item 9 Regulat~on S Offerlngs
The follow~ng compan~es have f~led 8-K reports for the date lnd~cated and/or amendments to 8-K reports prev~ously
flled, respondlng to the ltem(s) of the form spec1fled. 8-K reports may be obtalned In person or by wrltlng to the
CommlSSlon's PubllC Reference Branch at 450 F~fth Street, N W , Wash~ngton, D C 20549 or at the follow~ng e-rna~lbox
address cpub lac .i.nfo @ sec> In most cases, t h i s antormat.aon as also ava aLable on the Comnussi on 's webs i te
<www sec gov>
STATE 8K ITEM NO.
NAME OF ISSUER CODE 1 2 3 4 567 8 9 DATE
ADVANCED COMMUNICATION SYSTEMS INC DE X x 09/26/97
ADVANCED MATERIALS GROUP INC NV X x 09/12/97
ADVANTA CORP DE x 09/26/97
ADVANTA MORTGAGE LOAN TRUST 1997-3 X x 09/18/97
AFG RECEIVABLES CORP CA X 09/15/97
AFG RECEIVABLES CORP CA X 09/15/97
AFG RECEIVABLES CORP CA X 09/15/97
AFG RECEIVABLES CORP CA X 09/15/97
AFG RECEIVABLES CORP CA X 09/15/97
AFG RECEIVABLES CORP CA X 09/15/97
ALANCO ENVIRONMENTAL RESOURCES CORP AZ X 09/26/97
AMERICAN HOMEPATIENT INC DE X X 09/26/97
AMERICAN
AMERICAN
RADIO SYSTEMS CORP /MA/
RESTAURANT GROUP HOLDINGS
DE
DE
X
X
X 09/19/97
09/12/97
INC
AMERICAN RESTAURANT GROUP INC DE X 09/12/97
AMERON INTERNATIONAL CORP DE X 09/25/97
ARGYLE TELEVISION ARIS CORP/
AVANT CORP
INC DE WA
DE
X
X
X
X
X
08/29/97
09/13/97
07/31/97
AMEND
BENEFICIAL MORTGAGE SERVICES INC DE X 09/16/97
BOISE CASCADE OFFICE PRODUCTS CORP DE X X 09/26/97
BOSTON PROPERTIES INC DE X X X 09/11/97
BUTLER NATIONAL CORP
CAMELOT CORP
CARLYLE REAL ESTATE LTD XIII
PARTNERSHIP
DE
CO
IL X x
x
X
X
09/16/97
09/16/97
07/07/97
CASTLE GROUP INC UT x 09/22/97
CATERPILLAR FINANCIAL FUNDING CORP NV x 09/25/97
CHEVY CHASE AUTO RECEIVABLES TRUST MD x 08/30/97
1995-1
CHEVY CHASE AUTO 1995-2
RECEIVABLES TRUST MD x 08/30/97
NEWS DIGEST, October 2, 1997 9
STATE 8K ITEM NO.
NAME OF ISSUER CODE 123456789 DATE ~
CHEVY CHASE AUTO RECEIVABLES TRUST MD x 08/30/97
1996·1
CHEVY CHASE AUTO RECEIVABLES TRUST MD x 08/30/97
1996·2
CHEVY CHASE AUTO RECEIVABLES
1997-1
TRUST MD x 08/30/97
CHEVY CHASE HOME LOAN TRUST 1996-1
CHEVY CHASE MASTER CREDIT CARD TRUS
MD
MD
x X
08/30/97
07/31/97
T
CHEVY CHASE MASTER CREDIT CARD TRUS MD X 08/30/97
T II CINEMA PLUS LP
CINEMASTAR LUXURY THEATERS INC
COMMERCIAL BANCSHARES INC /WV/ COMMNET CELLULAR INC
COMMONWEALTH BANCORP INC
CONTEMPRI HOMES INC
CORE MATERIALS CORP
COULTER PHARMACEUTICALS INC
CREDIT DEPOT CORP
CWMBS INC
CYPRESS SEMICONDUCTOR CORP /DE/
DARDEN RESTAURANTS INC
DEAN FOODS CO
DELCHAMPS INC
DFC SECURITIZATION TRUST 1997 1
DIGITAL VIDEO SYSTEMS INC
EARTHLINK NETWORK INC
EDUCATIONAL MEDICAL INC
ELECTRONICS COMMUNICATIONS CORP
ENVIRONMENTAL TESTING TECHNOLOGIES
INC
DE
CA
WV
CO
PA
DE
DE
DE
DE
DE
FL
DE
AL
NC
DE
CA
DE
DE
OR
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
09/24/97
09/23/97
09/12/97
09/25/97
09/16/97
09/15/97
09/12/97
09/26/9709/24/97
09/25/97
09/26/97
09/25/9709/24/97
09/12/9709/15/97
09/11/97
09/19/97
09/09/97
09/16/97
08/20/97 AMEND
EPL TECHNOLOGIES INC
EQUITY OFFICE PROPERTIES TRUST
ERP OPERATING LTD PARTNERSHIP
EURAMAX INTERNATIONAL PLC
EXCITE INC
FINA INC
FIRST OF AMERICA BANK-MICHIGAN NA FLORIDA GAMING CORP
GLOBAL DIRECTMAIL CORP
HEALTH CARE PROPERTY INVESTORS INC
HOME PROPERTIES OF NEW YORK INC
HORIZON PHARMACIES INC
JITNEY JUNGLE STORES OF AMERICA INC
/MI/
KANSAS CITY SOUTHERN INDUSTRIES INC
KLS ENVIRO RESOURCES INC
MAN SANG HOLDINGS INC
MARRIOTT INTERNATIONAL INC
MAXIM GROUP INC /
MEHL BIOPHILE INTERNATIONAL CORP
METRIC INCOME TRUST SERIES INC
MILLER INDUSTRIES INC /TN/
MONEY STORE INVESTMENT CORP
MONEY STORE OF NEW YORK INC
MONROC INC
MORGAN STANLEY CAPITAL I INC
NET/GUARD TECHNOLOGIES INC
NEW CENTURY ENERGIES INC
CO
IL
DE
DE
DE
MD
MD
MI
DE
NV
NV
DE
DE
DE
CA
TN
NJ
NY
DE
DE
DE
DE
X
X
X
X
X
X
X
X
x X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
09/22/97
09/15/97
09/17/97
09/26/97 AMEND
09/10/97
09/24/97
08/31/9709/24/97
09/12/97
09/23/97
09/04/97
09/18/97
09/12/97
09/19/97
09/22/97
09/12/97 AMEND
09/18/97
09/25/97
06/04/96 AMEND
09/25/9709/25/97
09/23/97
09/23/97
09/25/97
09/26/97
12/31/96 AMEND07/02/97
10 NEWS DIGEST, October 2, 1997
1"!;
i"~J"t"jl.{e,
""O~
;?
1
.~
e-;;~
fe
_e},
1~;;'ir
e~
~'..
--------------------------------------------------------------------------
STATE 8K ITEM NO. W\MR OF ISSUER CODE 1 2 345678 9 Di\TB ca4MBRT
NMC CORP
NORTH CENTRAL BANCSHARES INC
NTL INC /DE/
NUTRAMAX PRODUCTS INC /DE/
OAKWOOD MORTGAGE INVESTORS INC OMI
DE
IA
DE
DE
PA
X
X
X
X
X
X
X
X
X
09/26/97
09/18/97
09/25/97
09/11/97
09/15/97
TRUST 1995-B
OAKWOOD MORTGAGE INVESTORS INC OMI NC X X 09/15/97
TRUST 1996-A
OAKWOOD MORTGAGE INVESTORS INC OMI NC X X 09/15/97
TRUST 1996-B
OIL CITY PETROLEUM INC
OMI TRUST 1996-C
OMI TRUST 1997 A
TX
PA
PA
X
X
X
X
X
08/31/97
09/15/97
09/15/97
AMEND
OMI TRUST 1997-B NC X X 09/15/97
OMI TRUST 1997-C
ONGARD SYSTEMS INC
PAGING NETWORK INC
PAlNEWEBBER INCOME PROPERTIES SEVEN
NC
DE
DE
DE
X
X
X
X
X
X
X
09/15/97
09/17/97
09/25/97
09/09/97
LIMITED PARTNERSHIP
PARKWAY PROPERTIES INC
PEOPLES SAVINGS FINANCIAL CORP /PA/
MD
PA
X
X
X
X
09/24/97
09/22/97
PICO HOLDINGS INC /NEW CA X 07/08/97 AMEND
PREMIERE TECHNOLOGIES INC
PRINCETON DENTAL MANAGEMENT CORP
GA
DE
X
X
X 09/26/97
09/29/97
PROVIDENT BANK OH X X 09/26/97
PUBLIC SERVICE CO OF COLORADO CO X 07/02/97
PUMA TECHNOLOGY INC DE X 07/16/97 AMEND
READING & BATES CORP DE X 09/26/97
SAGEBRUSH INC NC X 09/25/97
SALOMON INC DE X X 09/29/97
SCRIPPS E W CO /DE DE X X 09/24/97
SECURITY FEDERAL BANCORP INC DE X 09/15/97
SENTO TECHNICAL I~OVATIONS CORP UT X 07/07/97 AMEND
SERVICE EXPERTS INC DE X 09/26/97
SERVICE SYSTEMS INTERNATIONAL LTD NV X 07/10/97
SLM FUNDING CORP DE X X 07/11/97
SMITHTOWN BANCORP INC NY X X 09/23/97
SOUTHERN PACIFIC SECURED ASSETS COR CA X 09/24/97
P
ST FRANCIS CAPITAL CORP WI X 09/25/97
STAFFMARK INC DE X X 09/15/97
STAR BANC CORP /OH/ OH X 09/15/97 AMEND
STRUCTURED ASSET SECURITIES CORP SE DE X X 09/26/97
RIES 1997 LL I
SUPERIOR BANK FSB IL X X 09/25/97
SUPERIOR BANK FSB IL X X 09/25/97
TEJAS GAS CORP DE X X 09/23/97
TRACKER CORP OF AMERICA DE X 09/08/97
U S TECHNOLOGIES INC DE X X 04/07/97
VANTIVE CORP DE X X 08/26/97
WASHINGTON NATIONAL CORP DE X X 09/20/97
WATERLINK INC X X 09/12/97
ADVANCE DISPLAY TECHNOLOGIES INC CO X OS/21/97 AMEND
ADVANCED MACHINE VISION CORP CA X 09/25/97
AGRIBIOTECH INC CO X 08/22/97 AMEND
AGTSPORTS INC
AIRWAYS CORP
CO
DE
X
X X
09/30/97
09/23/97
AMERICAN ENTERTAINMENT GROUP INC CO X X 09/30/97
AMERICAN HEALTHCHOICE INC /NY/
AMERIKING INC
NY
DE X
X 09/30/97
09/30/97
AMT ENVIRONMENTAL PRODUCTS INC NO ITEMS 08/28/97
i NEWS DIGEST, October 2, 1997 II
STATE BK I'l'BMIl10_
Nl\ME OF ISSUER CODB 123456789 DATE ~
APEX MINERALS CORP
ASR INVESTMENTS CORP
ATLAS AIR INC
BALCOR PENSION INVESTORS IV
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE ABS CORP
BANC ONE AUTO GRANTOR TRUST 1996-A
BANC ONE AUTO GRANTOR TRUST 1996-A
BANC ONE CREDIT CARD MASTER TRUST
BANKAMERICA MORTGAGE SECURITIES INC
BEACON PROPERTIES CORP
BEACON PROPERTIES L P
BEST PRODUCTS CO INC
BIGMAR INC
BIGMAR INC
BIKERS DREAM INC
BOATMENS AUTO TRUST 1995-A
BOATMENS AUTO TRUST 1996-A
BRASSIE GOLF CORP
CALENERGY CO INC
CALIFORNIA PRO SPORTS INC
CAPITAL CORP OF THE WEST
CAPITAL MEDIA GROUP LTD
CARLYLE GOLF INC
CARPENTER TECHNOLOGY CORP
CENTRAL & SOUTH WEST CORP
CHANCELLOR MEDIA CORP OF LOS ANGELE
S
CHANCELLOR MEDIA CORP/
CHASE CREDIT CARD MASTER TRUST
CHASE CREDIT CARD MASTER TRUST
CHASE MANHATTAN AUTO GRANTOR TRUST
1996-B
CHASE MANHATTAN AUTO OWNER TRUST 19 96-C
CHASE MANHATTAN AUTO OWNER TRUST 19
97-A
CHASE MANHATTAN AUTO OWNER TRUST 19
97-B
CHASE MANHATTAN BANK USA
CHASE MANHATTAN GRANTOR TRUST 1995-A
CHASE MANHATTAN GRANTOR TRUST 1995-B
CHASE MANHATTAN GRANTOR TRUST 1996-A
CHASE MANHATTAN ROME EQUITY LOAN TR
UST 1995-1
DE
MIl
DE
IL
OR
OR
OR
OR
OR
OR
OR
OR
OR
OR
OR
OR
OR
OR
NY
NY
NY
DE
MIl
VA
DE
DE
CA
DE
DE
DE
DE
DE
CA
NV
CO
DE
DE
DE
x X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
06/30/9709/18/97
09/17/97
09/29/9709/16/96 AMEND
10/15/96 AMEND
11/15/96 AMEND
12/16/96 AMEND
01/15/97 AMEND
02/17/97 AMEND
03/17/97 AMEND
04/15/97 AMEND
05/15/97 AMEND
06/16/97 AMEND
07/15/97 AMEND
07/15/97 AMEND
08/15/97 AMEND
09/15/97
09/15/9709/22/97
09/15/97
09/30/97
09/15/97
09/15/97
09/25/9708/22/97 AMEND
08/22/97 AMEND
09/15/97
09/15/97
09/15/97
07/31/97 AMEND
09/24/97
09/12/97
09/26/97
07/31/97
07/24/97
09/25/97
09/27/97
09/23/97
DE
NY
NY
NY
X
X
X
X
X
X
X
X
09/23/97
09/30/97
09/30/97
09/30/97
DE X X 09/30/97
NY X X 09/30/97
NY X X 09/30/97
DE
NY
X
X
X
X
09/30/97
09/30/97
X X 09/30/97
NY X X 09/30/97
NY X X 09/30/97
12 NEWS DIGEST, October 2, 1997
STATE Bit ITBM 110.
NJ\ME OF ISSUBR CODE 1 2 3 " 5 6 1 B 9 DATE CXM4BIIIT
CHILDRENS BROADCASTING CORP MN X X
CIT GROUP HOLDINGS INC /DE/
CITIBANK SOUTH DAKOTA N A
DE
DE X
X
CITIBANK SOUTH DAKOTA N A DE X
CLASSNOTES TRUST 1997-1 NJ X X CREDIT SUISSE FIRST BOSTON MORT SEC DE X
U CORP SERIES 1997-C1
CREDIT SUISSE FIRST BOSTON MORTGAGE DE x x SECURITIES CORP
CRESCENT REAL ESTATE EQUITIES CO MD x X
CRESCENT REAL ESTATE EQUITIES CO MD X X
CRESCENT REAL ESTATE EQUITIES CO MD X X
CRESCENT REAL ESTATE EQUITIES CO MD X
CWMBS INC DE X X
CYPRESS EQUIPMENT FUND LTD FL X
DAKOTA MINING CORP X X
DAOU SYSTEMS INC DE X X
DCX INC CO
DDL ELECTRONICS INC DE X X
DIGITAL GENERATION SYSTEMS INC CA X X X
DISCREET LOGIC INC A8 X X
DLB OIL & GAS INC OK X X
DNB FINANCIAL CORP /PA/
DUNN COMPUTER CORP
PA
DE X
x x X
DUPONT E I DE NEMOURS & CO DE X X
EA INDUSTRIES INC /NJ/
EASTGROUP PROPERTIES INC
NJ
MD X
X
X X
EASTWIND GROUP INC DE X X
EMPIRE FUNDING HOME LOAN OWNER TRUS DE X X
T 1997-3
ENSERCH EXPLORATION INC /TX/
EQCC ASSET BACKED CORP
TX
DE
X
x x EQCC RECEIVABLES CORP DE x x EVEREST FUTURES FUND L P IA X
FIRST CENTRAL FINANCIAL CORP NY x x FIRST INDUSTRIAL REALTY TRUST INC MD x FIRST USA CREDIT CARD MASTER TRUST DE x x FLEETWOOD CREDIT RECEIVABLES CORP CA x x FLEETWOOD CREDIT RECEIVABLES CORP CA x x FLEXTRONICS INTERNATIONAL LTD x x FRONTEER FINANCIAL HOLDINGS LTD CO X x FUND AMERICA INVESTORS CORP II DE x GC COMPANIES INC DE x x GE CAPITAL MOR SER INC REMIC MOLT C x x
L PAS THR CER SE 1997-10
GLENBOROUGH REALTY TRUST INC MD X
GMAC COMMERCIAL MORTGAGE SECURITIES DE X X
INC
GOLDEN STATE BANCORP INC DE x x GRANT GEOPHYSICAL INC DE x X
GREEN TREE FINANCIAL CORP MN x X
GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN x x GREEN TREE FINANCIAL CORP MN X X
GREEN TREE FINANCIAL CORP MN X X GREEN TREE FINANCIAL CORP MN X X GREEN TREE FINANCIAL CORP MN X X
09/30/97
09/26/97
08/26/97
08/26/97
09/02/9709/20/97
09/25/97
06/20/97
09/22/97
09/30/97
09/30/97 AMEND09/30/97
09/30/97
09/22/97
09/26/97
X 09/09/97 AMEND
09/22/9707/18/97 AMEND
07/15/97 AMEND
07/11/97 AMEND
09/19/97
09/12/97
09/29/97
09/23/9709/24/97
09/26/97
09/30/97
09/25/97
09/24/97
09/24/9709/23/97
09/23/97
09/04/97
09/23/97
09/15/97
09/15/9708/04/97 AMEND
09/15/9709/17/97
09/30/97
09/24/97
09/29/97
09/30/97
09/26/97
09/30/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
09/15/97
NEWS DIGEST, October 2, 1997
STATE 8K ITEM 1110.
NAME OF ISSUER CODB 1 2 3 4 5 6 7 8 9 DATE c:xMoIBIIIT
GREEN TREE FINANCIAL CORP
GREEN TREE FINANCIAL CORP
GREEN TREE FINANCIAL CORP
GREEN TREE FINANCIAL CORP
GREY WOLF INC
GS MORTGAGE SECURITIES II SERIES 19
97 -GL I
HALTER MARINE GROUP INC
HARMONIC LIGHTWAVES INC
HARRIS CORP /DE/
HARRIS FINANCIAL INC
HARRODSBURG FIRST FINANCIAL BANCORP
INC
HCC INSURANCE HOLDINGS INC/DE/
HEADWAY CORPORATE RESOURCES INC
HEALTH OUTCOMES MANAGEMENT INC
HEICO CORP
HOME BANCORP/IN
HOSPITAL STAFFING SERVICES INC
HOUSEHOLD CONSUMER LOAN TRUST 1996-1
HOUSEHOLD CONSUMER LOAN TRUST 1996-2
HOUSEHOLD CONSUMER LOAN TRUST 1997-1
HOUSEHOLD CREDIT CARD MASTER TRUST
I
HOUSEHOLD FINANCE CORP HOUSEHOLD AF
F CRE CAR MAS TR I
HOUSEHOLD FINANCE CORP HOUSEHOLD CO
NSUMER LN TRUST 1995-1 /
HOUSEHOLD PRIVATE LABEL CREDIT CARD
MASTER TRUST II
HOUSEHOLD REVOLVING HOME EQUITY LOA
N TRUST 1995-1
HOUSEHOLD REVOLVING HOME EQUITY LOA
N TRUST 1995-2
HOUSEHOLD REVOLVING HOME EQUITY LOA
N TRUST 1996-1
HOUSEHOLD REVOLVING HOME EQUITY LOA
N TRUST 1996-2
HUNTSMAN POLYMERS CORP
HYDRON TECHNOLOGIES INC
ICG COMMUNICATIONS INC
ICG HOLDINGS CANADA INC
ICG HOLDINGS INC
INTELLIGENT ELECTRONICS INC
INTERNATIONAL IMAGING INC
INTERNATIONAL SPEEDWAY CORP
INTERNATIONAL SPEEDWAY CORP
INTERSTATE BAKERIES CORP/DEI
J&L SPECIALTY STEEL INC
JACOR COMMUNICATIONS INC JDN REALTY CORP
KEYSPAN ENERGY CORP /NY/
KLAMATH FIRST BANCORP INC
LAMAR ADVERTISING CO
LEHMAN BROTHERS HOLDINGS INC
LESLIES POOLMART INC
LIFE RESOURCES INC
MN
MN
X
X
X
X 09/15/97
09/15/97
MN
MN
X X
X
09/25/97
09/30/97
TX x 09/30/97
DE X 09/15/97
DE x x 09/29/97
DE x x 09/26/97
DE
PA
DE
x x x
x x x
09/26/97
09/25/97
09/23/97
DE x 09/24/97
NY
MN X
x x
06/28/97
09/18/97
AMEND
FL
IN
FL
DE
X
X
x x
x x
09/16/97
09/17/97
09/26/97
09/12/97
DE X 09/12/97
DE X 09/12/97
DE x 09/15/97
DE x 09/15/97
NY x 09/12/97
NY x 09/22/97
IL x 09/22/97
IL x 09/22/97
IL x 09/22/97
IL x 09/22/97
DE
NY
DE
CO
CO
PA
OK
FL
FL
DE
PA
DE MD
NY
OR
DE
DE
DE
OR
X
x x x
x
x
x x x x x
x x x x x
x x
x x x x x
x x x
x x
x
09/04/97
09/19/97
09/24/97
09/24/97
09/24/97
07/18/97
09/02/97
07/14/97
07/14/97
09/23/97
09/25/97
09/16/97
09/26/97
09/29/97
07/18/97
09/25/97
08/31/97
09/29/97
09/20/97
AMEND
AMEND
AMEND
AMEND
AMEND
14 NEWS DIGEST, October 2, 1997
STATE 81t ITEM HO.NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE COMMBRT
LITHIUM TECHNOLOGY CORP
LOEWS CORP
MACE SECURITY INTERNATIONAL INC
MANUFACTURED HOUSING CONT SEN SUB
ASS THR CERT SERIES 1997A
P
DE
DE
DE
TN
X
X
X
X
X
X
X
09/22/9709/19/97 AMEND
09/26/9704/07/97
MANUFACTURED HOUSING CONT SEN SUB
ASS THR CERT SERIES 1997A
P TN X X 05/07/97
MANUFACTURED HOUSING CONT SEN
ASS THR CERT SERIES 1997A
SUB P TN X X 06/07/97
~f
MASON OIL CO INC
MCDONALDS CORP MCNEIL REAL ESTATE FUND XIV LTD
MEDIZONE CANADA LTD
MERRILL LYNCH & CO INC
MID AMERICA APARTMENT COMMUNITIES
NC
I
UT
DE CA
UT
DE
TN
X
X
x
X
X
X
X
x 09/22/97
09/19/9709/30/97
09/10/97
09/29/97
09/17/97
MID ATLANTIC REALTY TRUST
MONEY STORE ASSET BACKED CERTIFlCAT
ES SERIES 1997-B
MD
NJ
X
x x x
09/15/97
09/02/97
MONEY STORE AUTO TRUST 1997-1
MONEY STORE AUTO TRUST 1997-2
MONEY STORE D C INC
MONEY STORE HOME EQUITY CORP
MONEY STORE HOME EQUITY LOAN TRUST
1997-A
DE
DE
DC
KY
NJ
x X
X
x x x x X
09/02/97
09/22/9709/26/97
09/26/97
09/02/97
MONEY STORE HOME
1997-II
IMPROVEMENT TRUST NJ x x 09/15/97
MONEY STORE HOME
1997-1
IMPROVEMENT TRUST NJ x x 09/02/97
MONEY STORE KENTUCKY INC
MONEY STORE MINNESOTA INC
MORGAN J P COMMERCIAL MORTGAGE
NCE CORP
FINA
KY
MN
DE x
x x x
09/26/97
09/26/97
09/22/97
MORNINGSTAR GROUP INC
MVSI INC
NAI TECHNOLOGIES INC
NATIONAL BANCSHARES CORP OF TEXAS
NATIONSBANK AUTO OWNER TRUST 1996-A
NATIONSBANK NA NATIONSBANK OF DELAWARE NA
NATIONSCREDIT GRANTOR TRUST 1996-1
NATIONSCREDIT GRANTOR TRUST 1997-1
NAVISTAR FINANCIAL RETAIL RECEIVABL
ES CORPORATION
DE
DE
NY
TX
DE
NC DE
NY
DE
DE
X
x x x
x x x x x x
x x x x x x X
x x x
09/29/97
09/30/97
09/24/97
07/18/97 AMEND
09/15/97
09/15/9709/15/97
09/15/97
09/15/97
09/15/97
NAVISTAR FINANCIAL SECURITIES
NE~mC
NOONEY INCOME FUND LTD II L P
NORWEST ASSET SECURITIES CORP
NORWOOD FINANCIAL CORP
NOXSO CORP
NUl CORP
OBIE MEDIA CORP
OMNlCARE INC
ONXY ACCEPTANCE GRANTOR TRUST
1
CORP
1997-
DE
KE
MO
DE
PA
VA
NJ
OR
DE
DE
X
x
x
x
x x
x x
x
x x
x
x
09/25/9709/26/97
07/22/97
09/26/97
09/09/97 AMEND
09/30/97
09/23/97
09/30/97
09/12/97 AMEND09/15/97
ONYX ACCEPTANCE
2
GRANTOR TRUST 1997- DE x 09/15/97
PACER TECHNOLOGY
PACIFIC COAST APPAREL CO INC
PACIFIC PHARMACEUTICALS INC
PALFED INC
CA
CA
DE
SC
X
x x
x x x x
09/29/97 AMEND
09/17/97
08/26/97
09/23/97
NEWS DIGEST, October 2, 1997
fr
r:
~
['J:-t,~J"
~,t.~:r:J•~:~
--------------------------------------------------------------------------
STATE 8K I'l'BM BO.
Nl\MR OF ISSUER CODE 1 2 345678 9 DATE C(M4ERT
PEOPLES BANK CREDIT CARD MASTER TRU CT X 07/31/97 AMEND
ST
PHILIP SERVICES
PILLOWTEX CORP
CORP
TX X X
X 09/11/97
09/10/97 AMEND
PNC MORTGAGE SECURITIES
PROACTIVE TECHNOLOGIES
PROCTER & GAMBLE CO
PROVIDENT BANK
CORP
INC
DE
DE
OH
OH
X
X
X
X
X
X
09/29/97
06/30/97
09/29/97
09/26/97
AMEND
PROVIDENT
PROVIDENT
PROVIDENT
BANK
BANK
BANK HOME EQUITY LOAN TRU
OH
OH
DE X
X
X
X
X
09/30/97
09/30/97
04/25/97
ST 1997-1
PRUTECH RESEARCH & DEVELOPMENT PART CA X 02/12/97
NERSHIP III
RELIANCE ACCEPTANCE GROUP INC
REPUBLIC INDUSTRIES INC
RIVIERA HOLDINGS CORP
ROHR INC
RYAN BECK & CO INC
SALOMON BROTHERS MORT SEC VII
OR PA THR CER SER 1996-C1
INC M
DE
DE
NV
DE
NJ
NY
X
X
X
X
X
X
X
X
09/19/97
09/29/97
09/15/97
09/22/97
08/22/97
09/22/97
SAXON ASSET SECURITIES TRUST 1997-1
SAXON ASSET SECURITIES TRUST 1997-2
SCIENCE APPLICATIONS INTERNATIONAL
VA
VA
DE
X
X
X
09/25/97
09/25/97
09/30/97
CORP
SHOLODGE INC
SHOPKO STORES INC
SIGNET HELOC TRUST 1995-A
SIGNET STUDENT LOAN TRUSTS
SIMULATION SCIENCES INC
TN
MN
VA
VA
DE X
X
X
X
X
X
X
X
X
10/09/96
09/24/97
09/22/97
09/25/97
09/15/97
SMARTSERV ONLINE INC
SMITH BARNEY HOLDINGS INC
SONAT INC
SOURCE ONE MORTGAGE SERVICES CORP
SOUTHERN NATURAL GAS CO
SPECIALTY CARE NETWORK INC
STERLING FINANCIAL CORP /PA/
STOKELY USA INC
surZA FOODS CORP
SUN BANCORP INC
TMS MORTGAGE INC
TOPRO INC
TSUNAMI CAPITAL CORP
UNITED STATES FILTER CORP
UNIVERSAL DISPLAY CORP \PA\
US BANCORP \DE\
VALASSIS COMMUNICATIONS INC
VANDERBILT MANUFACTURED HOUSING SER
IES 1997-B
DE
DE
DE
DE
DE
DE
PA
WI
DE
PA
NJ
CO
CO
DE
PA
DE
DE
TN
X
X X
X
X
X
X
X
X
X
X
X X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
09/30/97
09/30/97
09/25/97
09/25/97
09/25/97
07/16/97
09/29/97
09/29/97
09/29/97
06/30/97
09/26/97
09/29/97
09/12/97
09/17/97
08/31/97
09/30/97
09/30/97
06/07/97
AMEND
AMEND
VANDERBILT MORT & FIN INC MAN
SR SB PS TH CT SR 1996C
HS CT TN X X 04/07/97
VANDERBILT MORT & FIN INC MAN
SR SB PS TH CT SR 1996C
HS CT TN X X 05/07/97
VANDERBILT MORT & FIN INC MAN
SR SB PS TH cr SR 1996C
HS CT TN X X 06/07/97
VANDERBILT MORT & FINANCE
PS TH CT SR 1996-B
INC SR SB TN X X 04/07/97
VANDERBILT MORT & FINANCE
PS TH CT SR 1996-B
INC SR SB TN X X 05/07/97
16 NEWS DIGEST, October 2, 1997
-'
) ,
--------------------------------------------------------------------------STATB 81t 1'l'BM RD.
Nl\ME OF ISSOBR CODE 1 2 345678 9 DATE COMMBIIIT
J VANDERBILT MORT & FINANCE INC SR SB TN X X 06/07/97PS TH CT SR 1996-B
VECTRA BANKING CORP CO X X 09/23/97VICTORMAXX TECHNOLOGIES INC DE X 04/20/97
VICTORMAXX TECHNOLOGIES INC DE X X 08/15/97
VISION TWENTY ONE INC FL X X 09/17/97
VISTANA INC FL X X 09/16/97
WEITEK CORP CA X X 09/15/97
WESTERN PACIFIC AIRLINES INC /DE/ DE X X 09/29/97
WISCONSIN ELECTRIC POWER CO WI X X 09/22/97
WISCONSIN ENERGY CORP WI X X 09/22/97
WORLD OMNI DEALER FUNDING INC FL X 08/31/97
XLCONNECT SOLUTIONS INC X 07/18/97 AMEND
NEWS DIGEST, October 2, 1997