seguf-lines •••••••• lilxlf$.':tvb •••••••• i~si-~l:i ... ·...

12
••• Issue 93-170 September 2, 1993 u.s SEGUf-lInES •••••••• ~b¢.lbBijl I~SI-~l:I iilmiifui.8·;.;· lIlxlf$.':tVB •••••••• ••••••••••••••••••••• THOMAS RUSSO, EDWARD LAMARCA, DAN MAUSS AND JOHN TAGLIANETTI PERMANENTLY BARRED; TRANSFER AGENT'S REGISTRATION REVOKED The Commission instituted public administrative proceedings, made findings and imposed remedial sanctions pursuant to Sections l5(b) and 19(h) of the Securities Exchange Act (Exchange Act) against Thomas Russo (Russo), Edward LaMarca (LaMarca) and John Taglianetti (Taglianetti), formerly employed by Wall Street West, Inc., a registered broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc., also a registered broker-dealer. The Commission instituted similar action pursuant to Section l7A of the Exchange Act against Philadelphia Registrar & Transfer Company (PRT) , a registered transfer agent. The Commission accepted offers of settlement from Russo, LaMarca, Mauss, Taglianetti and PRT wherein they consent, without admitting or denying the findings contained therein, to the entry of orders providing that they violated the antifraud provisions of the Exchange Act by engaging in a fraudulent scheme to distribute the securities of Amglo Industries, Inc., (Amglo) and Amglobal Corporation (Amglobal). The orders further provide that Russo, LaMarca and Mauss violated registration provisions of the Securities Act. The Commission ordered that Russo, LaMarca, Mauss and Taglianetti be permanently barred from association with any broker, dealer, municipal securities dealer, investment adviser or investment company and that PRT's transfer agent registration be revoked. (ReI. 34-32808) NYSE ACTION AGAINST FRANK DEROSE AFFIRMED The Commission has affirmed NYSE disciplinary action against Frank DeRose of Lansing, Michigan, a former salesman for Merrill Lynch, Pierce, Fenner & Smith, Inc., and Dean Witter Reynolds, Inc. The Exchange censured DeRose and barred him for five years from membership, allied membership, approved person status, and employment or association in any capacity with a member or member organization. One year of that period was deemed served as of March 5, 1992, the date of the NYSE decision. The Commission found that during the period from about November 1980 to September 1984, DeRose recommended unsuitable options trading to customers, deceived customers into signing options agreements, filled in false information in those agreements, failed to give customers an adequate explanation of options trading, effected discretionary trades in customer accounts without proper authorization and engaged in excessive trading. In affirming the sanctions assessed by the NYSE, the Commission stated that DeRose had "engaged in an egregious pattern of misconduct over an extended period of time,

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Page 1: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

•••

Issue 93-170 September 2, 1993

u.s SEGUf-lInES

•••••••• ~b¢.lbBijl I~SI-~l:Iiilmiifui.8·;.;·lIlxlf$.':tVB •••••••• •••••••••••••••••••••THOMAS RUSSO, EDWARD LAMARCA, DAN MAUSS AND JOHN TAGLIANETTI PERMANENTLY BARRED; TRANSFER AGENT'S REGISTRATION REVOKED

The Commission instituted public administrative proceedings, made findings and imposed remedial sanctions pursuant to Sections l5(b) and 19(h) of the Securities ExchangeAct (Exchange Act) against Thomas Russo (Russo), Edward LaMarca (LaMarca) and John Taglianetti (Taglianetti), formerly employed by Wall Street West, Inc., a registeredbroker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading,Inc., also a registered broker-dealer. The Commission instituted similar action pursuant to Section l7A of the Exchange Act against Philadelphia Registrar & Transfer Company (PRT) , a registered transfer agent.

The Commission accepted offers of settlement from Russo, LaMarca, Mauss, Taglianettiand PRT wherein they consent, without admitting or denying the findings contained therein, to the entry of orders providing that they violated the antifraud provisionsof the Exchange Act by engaging in a fraudulent scheme to distribute the securities of Amglo Industries, Inc., (Amglo) and Amglobal Corporation (Amglobal). The orders further provide that Russo, LaMarca and Mauss violated registration provisions of the Securities Act.

The Commission ordered that Russo, LaMarca, Mauss and Taglianetti be permanentlybarred from association with any broker, dealer, municipal securities dealer,investment adviser or investment company and that PRT's transfer agent registration be revoked. (ReI. 34-32808)

NYSE ACTION AGAINST FRANK DEROSE AFFIRMED

The Commission has affirmed NYSE disciplinary action against Frank DeRose of Lansing, Michigan, a former salesman for Merrill Lynch, Pierce, Fenner & Smith, Inc., and Dean Witter Reynolds, Inc. The Exchange censured DeRose and barred him for five years from membership, allied membership, approved person status, and employment or association in any capacity with a member or member organization. One year of that period was deemed served as of March 5, 1992, the date of the NYSE decision.

The Commission found that during the period from about November 1980 to September1984, DeRose recommended unsuitable options trading to customers, deceived customers into signing options agreements, filled in false information in those agreements,failed to give customers an adequate explanation of options trading, effected discretionary trades in customer accounts without proper authorization and engagedin excessive trading.

In affirming the sanctions assessed by the NYSE, the Commission stated that DeRose had "engaged in an egregious pattern of misconduct over an extended period of time,

Page 2: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

exhibiting a disturbing lack of understanding of a registered representative'sfiduciary duty to his customers." (ReI. 34-32812)

ADMINISTRATIVE PROCEEDINGS ORDERED AGAINST DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

On September 2, the Commission instituted public administrative proceedings againstDonaldson, Lufkin & Jenrette Securities Corporation (Donaldson, Lufkin) pursuant to Sections lS(b) and 2lC of the Securities Exchange Act and simultaneously accepted an offer of settlement submitted by Donaldson, Lufkin. Pursuant to the offer of settlement, the Commission issued an order to which Donaldson, Lufkin consented without admitting or denying the matters set forth therein. The order finds that Donaldson, Lufkin violated certain recordkeeping requirements of the federal securities laws in connection with the submission of inaccurate noncompetitive bids in auctions of U.S. Treasury securities from March 1989 through August 1991. The Commission's order imposes a civil money penalty of $50,000, requires that Donaldson, Lufkin pay disgorgement and prejudgment interest of $100, 000 and orders that Donaldson, Lufkin cease and desist from future violations of the recordkeepingrequirements of the federal securities laws. (ReI. 34-32827)

ADMINISTRATIVE PROCEEDINGS ORDERED AGAINST CARROLL MCENTEE & MCGINLEY SECURITIES, INC.

On September 2, the Commission instituted public administrative proceedings againstCarroll McEntee & MCGinley Securities, Inc. (CMM Securities) pursuant to Sections lS(b) and 2lC of the Securities Exchange Act and simultaneously accepted an offer of settlement submitted by CMM Securities. Pursuant to the offer of settlement, the Commission issued an order to which CMM Securities consented without admitting or denying the matters set forth therein, finding that CMM Securities violated certain recordkeeping requirements of the federal securities laws in connection with the submission of inaccurate noncompetitive bids in auctions of U.S. treasury securities from March 1989 through August 1991. The Commission's order imposes a civil moneypenalty of $30,000 and requires that CMM Securities cease violations of the recordkeeping requirements of the federal 34-32828)

and desist securities

from laws.

future (ReI.

..,.,.,' , -, ' .. - .

INVESTMENT COMPANY ACT RELEASES .

THE FRANKLIN CORPORATION SBIC

A notice has been issued g1v1ng interested persons until September 27 to request a hearing on an application filed by The Franklin Corporation SBIC for an order under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (ReI. IC-19668 - September 1)

TYLER CABOT MORTGAGE SECURITIES FUND, INC.

A notice has been issued giving interested persons until September 27 to request a hearing on an application filed by Tyler Cabot Mortgage Securities Fund, Inc. for an order under Section 8(f) of the Investment Company Act declaring that it has ceased to be an investment company. (ReI. IC-19669 - September 1)

2 NEWS DIGEST, September 2, 1993

Page 3: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

.... '_ ... , ....

. BOLDING COMPANY ACT RELEASES

THE SOUTHERN COMPANY, ET AL.

An order has been issued authorizing Southern Company Services, Inc. (Services), a wholly-owned service subsidiary company of The Southern Company (Southern) to engagein financing. Services proposes to incur indebtedness and issue notes, throughDecember 31, 1996, up to an aggregate principal amount of $200 million throughborrowings from lenders, short- term or long- term borrowings under one or more revolving credit commitment agreements, short-term borrowings from banks (collectively, Borrowings), and/or borrowings from Southern. Southern proposes to guarantee the Borrowings of Services. (ReI. 35-25874)

LISTING, DELI STING AND UNLISTED TRADING ACTIONS

UNLISTED TRADING PRIVILEGES

A notice has been issued g~v~ng interested persons until September 22 to comment on the application of the Chicago Stock Exchange for unlisted trading privileges in two over-the-counter issues, Nextel Communications and VLSI Technology, Inc., and an application to withdraw unlisted trading privileges in two over-the-counter issues,MTC Electronic Technologies Co. LTD and McCaw Cellular Communications, Inc. (ReI.34-32824)

SELF ....REGULATORY •.ORGANIZATIONS

APPROVAL OF PROPOSED RULE CHANGE

The Commission approved a proposed rule change submitted by the New York Stock Exchange (SR-NYSE-92-3l) to amend its rules relating to organizations controlled or guaranteed by members or member organizations. (ReI. 34-32823)

ACCELERATED APPROVAL OF PROPOSED RULE CHANGE

On August 17, the Municipal Securities Rulemaking Board filed with the Commission a proposed rule change (SR-MSRB-93-9) to extend for 18 months, through April 6, 1995, the Continuing Disclosure Information Pilot System. The pilot system accepts and disseminates voluntary submissions of official disclosure notices relating to outstanding issues of municipal securities. (ReI. 34-32825)

. 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 managingunderwriter or depositor (if applicable); File number and date filed; Assigned Branch;

NEWS DIGEST, September 2, 1993 3

Page 4: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

and a designation if the statement is a New Issue.

S-3 BOISE CASCADE CORP, ONE JEFFERSON SQ, P.O.BOX 50, BOISE, ID 83728 (208) 384-6161 - 8,625,000 ($180,046,875) PREFERRED STOCK. (FILE 33-50089 - AUG. 26) (BR. 8)

S-6 CENTRAL EQUITY TRUST UTILITY SERIES 26, 201 PROGRESS PKWY,CIO UNISON INVESTMENT TRUST LTD, MARYLAND HEIGHTS, MD 63043 -INDEFINITE SHARES. (FILE 33-50091 - AUG. 26) (NEW ISSUE)

S-3 INTERNATIONAL BUSINESS MACHINES CORP, OLD ORCHARD RD, ARMONK, NY 10504 (914) 765-1900 - 6,500,000 ($279,500,000) COMMON STOCK. (FILE 33-50095 -AUG. 26) (BR. 13)

S8-2 COUNTRY STAR RESTAURANTS INC, 54 MUSIC SQUARE E, STE 305, NASHVILLE, TN 37203 (615) 726-3444 - 1,610,000 ($8,050,00D) COMMON STOCK. 2,615,000(S653,750) WARRANTS, OPTIONS OR RIGHTS. 3,D35,OOO ($20,167,000) COMMON STOCK. UNDERWRITER: GOLDMEN A S & CO INC. (FILE 33-67526-A -AUG. 17) (8R. 11 - NEW ISSUE)

SB-2 LEADING EDGE EARTH PRODUCTS INC, 410 WEST ENTERPRISE RD, SHELTON, WA98584 (206) 456-3456 - 10,328,530 ($32,657,060) COMMON STOCK. (FILE33-67656-S - AUG. 19) (BR. 9 - NEW ISSUE)

S-1 SPRECKELS INDUSTRIES INC, 4234 HACIENDA DR, PLEASANTON, CA 94588 (415) 460-0840 - 70,000,000 ($70,000,000) STRAIGHT BONDS. (FILE 33-67740 -AUG. 23) (8R. 3)

S-3 BEST BUY CO INC, 4400 W 78TH ST, BLOOMINGTON, MN 55435 (612) 896-2300 -125,000,000 ($125,000,000) STRAIGHT BONDS. UNDERWRITER: GOLDMAN SACHS & CO, MERRILL LYNCH & CO. (FILE 33-67776 - AUG. 24) (SR. 2)

5-8 NORDSON CORP, 28601 CLEMENS RD, WESTLAKE, OH 44145 (216) 892-1580 -1,000,000 ($43,250,000) COMMON STOCK. (FILE 33-67780 - AUG. 24) (SR. 9)

S-8 GIBSON GREETINGS INC, 2100 SECTION RD, P.O BOX 371804, CINCINNATI, ON 45222 (513) 841-6600 - 500,000 ($10,875,000) COMMON STOCK. (FILE 33-67782 - AUG. 24) (BR. 11)

S-8 GIBSON GREETINGS INC, 2100 SECTION RD, P.O BOX 371804, CINCINNATI, ON 45222 (513) 841-6600 - 50,000 ($1,087,500) COMMON STOCK. (FILE 33-67784 -AUG. 24) (BR. 11)

S-1 METROVISION OF NORTH AMERICA INC, 6390 FLY RD, EAST SYRACUSE, NY 13057 (315) 433-2374 - 1,380,000 ($5,175,000) COMMON STOCK. 60,000WARRANTS, OPTIONS OR RIGHTS. 120,000 ($450,000) COMMON STOCK.UNDERWRITER: WHALE SECURITIES CO L P. (FILE 33-67786 - AUG. 24) (BR. 7)

S-8 NORTHWESTERN STEEL & WIRE CO, 121 WALLACE ST, STERLING, IL 61081 (815) 625-2500 - 1,000,000 ($8,062,500) COMMON STOCK. (FILE 33-67788 -AUG. 24) (BR. 6)

S-8 POA ENGINEERING, 2975 REDHILL AVE, COSTA MESA, CA 92626 (714) 540-89DO- 59,000 ($446,187.50) COMMON STOCK. (FILE 33-67790 - AUG. 24) (SR. 9)

S-2 PRESIDIO OIL CO, 5613 DTC PKWY STE 750, CIO GRANT E THAYER, ENGLEWOOD,CO 80111 (303) 773-0100 - 18,750,000 ($18,750,000) STRAIGHT BONDS. (FILE33-67792 - AUG. 24) (8R. 3)

F-6 SMEDVIG A SIADRI, 111 WALL ST, NEW YORK, NY 10043 (212) 657-7531 -10,000,000 ($500,000) DEPOSITARY RECEIPTS FOR COMMON STOCK. (FILE33-67806 - AUG. 23) (NEW ISSUE)

S-8 BARRYS JEWELERS INC ICAI, 111 WEST LEMON AVE, MONROVIA, CA 91016 (818) 303-4741 - 1,400,000 ($2,450,000) COMMON STOCK. (FILE 33-67814 -AUG. 24) (BR. 10)

4 NEWS DIGEST, September 2, 1993

Page 5: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

REGISTRATIONS CONTINUED

S-8 REVCO D S INC, 1925 ENTERPRISE PKWY, TWINSBURG, OH 44087 (216) 425-9811 - 1,700,000 ($18,275,000) COMMON STOCK. (FILE 33-67816 - AUG. 24) (BR. 4)

S-8 1ST NATIONAL FILM CORP, 500 N CAPITAL OF TEXAS HGWY, BLDG 6 STE 200, AUSTIN, TX 78746 (512) 327-3456 - 180,000 ($275,400) COMMON STOCK. (FILE33-67818 - AUG. 24) (BR. 11)

S-8 BORG WARNER AUTOMOTIVE INC, 200 S MICHIGAN AVE, CHICAGO, IL 60604 (312) 322-8500 - 1,346,612 ($33,160,320.50) COMMON STOCK. (FILE 33-67822 -AUG. 24) (BR. 4)

S-8 BORG WARNER AUTOMOTIVE INC, 200 S MICHIGAN AVE, CHICAGO, IL 60604 (312) 322-8500 - 500,000 ($12,312,500) COMMON STOCK. (FILE 33-67824 -AUG. 24) (BR. 4)

S-8 BIRD CORP, ONE DEDHAM PL, DEDHAM, MA 02026 (617) 461-1414 - 100,000($1,237,500) COMMON STOCK. (FILE 33-67826 - AUG. 24) (BR. 10)

S-8 BIRD CORP, ONE DEDHAM PL, DEDHAM, MA 02026 (617) 461-1414 - 450,000($5,568,750) COMMON STOCK. (FILE 33-67828 - AUG. 24) (SR. 10)

S-8 KINNARD INVESTMENTS INC, 1700 NORTHSTAR CTR, MINNEAPOLIS, MN 55402(612) 370-2700 - 300,000 ($1,443,750) COMMON STOCK. (FILE 33-67830 . AUG. 24) (BR. 11)

S-8 ORANGE NATIONAL BANCORP, 1201 EAST KATELLA AVE, ORANGE, CA 92667 (714) 771-4000 - 183,911 ($919,555) COMMON STOCK. (FILE 33-67832 -AUG. 24) (BR. 2)

S-8 WESTERN GAS RESOURCES INC, 12200 N PECOS ST STE 230, DENVER, CO 80234 (303) 452-5603 - 1,000,000 ($38,812,500) COMMON STOCK. (FILE 33-67834 -AUG. 24) (BR. 8)

S-1 ESSEX HOSPITALITY ASSOCIATES III LP, 100 CORPORATE WOODS, ROCHESTER, NY 14623 (716) zra-zseo - 4,000,000 ($4,000,000)LIMITED PARTNERSHIP CERTIFICATE. 10,000,000 ($10,000,000) MORTGAGE BONDS. UNDERWRITER: ESSEX CAPITAL MARKETS INC. (FILE 33-67848 - AUG. 24) (BR. 12 - NEW ISSUE)

S-8 MANOR CARE INC/NEW, 10750 COLUMBIA PIKE, SILVER SPRING, NO 20901 (301) 681-9400 - 400,000 ($8,000,000) COMMON STOCK. (FILE 33-67850 -AUG. 24) (BR. 6)

S-1 CMI INDUSTRIES INC, 1301 GERVAIS ST, STE 920, COLUMBIA, SC 29201 (803) 771-4434 - 100,000,000 ($100,000,000) STRAIGHT BONDS. UNDERWRITER: MERRILL LYNCH & CO. (FILE 33-67854 - AUG. 24) (BR. 8 - NEW ISSUE)

S-4 HORIZON HEALTHCARE CORP, 6001 INDIAN SCHOOL RD NE STE 530, ALBUQUERQUE, NM 87110 (505) 881-4961 - 2,050,297 ($25,628,712.50) COMMON STOCK. (FILE33-67856 - AUG. 24) -(BR. 5)

S-8 PHOENIX TECHNOLOGIES LTD, 846 UNIVERSITY AVE, NOR\OX), MA 02062(617) 551-4000 - 604,432 ($2,644,390) COMMON STOCK. (FILE 33-67858 -AUG. 24) (BR. 9)

S-1 INTERFILM INC, 110 GREENE ST, STE 711, NEW YORK, NY 10012 (212) 334-5900 - 2,300,000 ($25,300,000) COMMON STOCK. UNDERWRITER: SMITH BARNEY SHEARSON INC, UNTERBERG HARRIS. (FILE 33-67862 - AUG. 24) (BR. 11 - NEW ISSUE)

S-1 A I M MANAGEMENT GROUP INC !DE/, 11 GREENWAY PLAZA, STE 1919, HOUSTON, TX 77046 (713) 626-1919 - 100,000,000 ($100,000,000) STRAIGHT BONDS. (FILE 33-67866 - AUG. 24) (BR. 12 - NEW ISSUE)

NEWS DIGEST, September 2, 1993 5

Page 6: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

REGISTRATIONS CONTINUED

S-11 CHELSEA GCA REALTY INC, 103 EISENHOWER P~, ROSELAND, NJ 07068 (201) 228-6111 - 10,626,000 ($278,932,500) COMMON STOCK. UNDERWRITER:BEAR STEARNS & CO INC, MERRILL LYNCH & CO. (FILE 33-67870 - AUG. 25)(BR. 5 - NEW ISSUE)

S-3 PENNSYLVANIA ENTERPRISES INC, 39 PUBLIC SQ, WILKES BARRE CENTER,WILKES BARRE, PA 18711 (717) 829-8843 - 1,150,000 ($32,775,000)COMMON STOCK. (FILE 33-67876 - AUG. 25) (BR. 7)

s-3 SIERRA PACIFIC RESOURCES, 6100 NEIL RD, POBOX 30150, RENO, NV 89520 (702) 689-3600 - 2,875,000 ($61,812,500) COMMON STOCK. (FILE 33-67886 -AUG. 26) (BR. 13)

S-8 ORCHARD SUPPLY HARDWARE STORES CORP, 6450 VIA DEL ORO, SAN JOSE, CA95119 (408) 281-3500 - 10,000 ($130,000) COMMON STOCK. (FILE 33-67902 -AUG. 25) (BR. 10)

S-2 NATIONAL TECHTEAM INC IDEI, 22000 GARRISON AVE, DEARBORN, MI 48124 (313) 277-2277 - 1,928,692 ($5,568,935.13) COMMON STOCK. (FILE 33-67904 -AUG. 25) (BR. 9)

S-1 SOUTHWEST SECURITIES GROUP INC, 4300 RENAISSANCE TOWER, 1201 ELM STREET,DALLAS, TX 75270 (214) 651-1800 - 1,357,000 ($13,570,000) COMMON STOCK.(FILE 33-67952 - AUG. 26) (BR. 12)

S-4 APACHE CORP, 2000 POST OAK BLVD, ONE POST OAK CENTER STE 100, HOUSTON,TX 77056 (713) 296-6000 - 1,145,765 ($35,449,969) COMMON STOCK. (FILE33-67954 - AUG. 26) (BR. 3)

S-8 ARROW ELECTRONICS INC, 25 HUB DR, MELVILLE, NY 11747 (516) 391-1300 -1,009,086 (140,867,983) COMMON STOCK. (FILE 33-67976 - AUG. 26) (BR. 3)

:.-.::' , :,:-:<,--->:::,:: ,.... ',::_,/ .'-' -:-.':: ,-' -.:,:::.»: ..":,\<:':::::->.>:<-:::,:-:.

ACQUISITION OFSECURX'l'IES ...

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 beneficialinterest therein exceeds five percent. Persons eligible to use the short form (Schedule l3G) may in lieu of filing a Schedule l3D 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 14D-l.

Below is a list of recent filings of Schedules l3D and l4D, 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 transact~on 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.

EVENT SHRS(OOO)I CUSIPI FILING NAME AND CLASS OF STOCK/OWNER FORM DATE ~ED PRIORX STATUS

FMS FINANCIAL CORP COM 153 30250910 YATES CHARLES B 13D 8/18/93 11.9 11.0 UPDATE

NEYS DIGEST, September 2, 1993 6

Page 7: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

ACQUISITIONS CONT.

NAME AND CLASS OF STOCK/OWNER FQR!! EVENT PATE

_5(000)/!Mf!!

CUSIP/PRIQRX

FILING STATUS

FMS FINANCIAL CORP CC* 153 30250910 YATES CHARLES B 13D 8/18/93 11.9 11.0 RVSION

FIRST MICH CAP CORP CC* 555 32086210 DST SYS INC 13D 8/26/93 21.5 21.5 UPDATE

FIRST MICH CAP CORP COM 555 32086210 DST SYS INC 13D 8/26/93 21.5 21.5 RVSION

FISHER-PRICE INC MATTEL INC

CC*

13D 8/19/93 5,671

18.5 33788610

0.0 lEW

FISHER-PRICE INC MATTEL INC

CC*

13D 8/19/93 5,671

18.5 33788610

0.0 RVSION

FRUEHAUF TRAILOR CORP NET~K CO II LTD ET AL

CC*

130 8/20/93 1,377

6.9 35939710

0.0 NEW

FRUEHAUF TRAILOR CORP NET~K CO II LTD ET AL

CC* 130 8/20/93

1,3776.9

35939710 0.0 R¥SION

INTL METAL ACQUISITIONSCHARF GILBERT D

CORP CC*

13D 8/20/93 217 6.2

45995010 0.0 lEW

INTL METAL ACQUISITIONSCHARF GILBERT D

CORP CC*

13D 8/20/93 217 6.2

45995010 0.0 .¥SION

INTL METAL ACQUISITIONSCHARF MICHAEL J

CORP CC*

13D 8/20/93 567

16.2 45995010

0.0 lEW

INTL METAL ACQUISITIONSCHARF MICHAEL J

CORP CC*

13D 8/20/93 567

16.2 45995010

0.0 .¥SION

JB S RESTAURANTS INC COM 939 46610910 ABS MB (JB) L P 13D 8/18/93 19.9 0.0 NEW

INTL FAMILY ENTMT INC CL 8 GAMCO INVESTORS INC ET AL 13D 8/27/93

2,4248.2

48099510 9.1 UPDATE

LAKE ARIEL BANCORP INC CC* 56 50746710 HeM: BRUCE D 130 8/24/93 13.9 0.0 NEW

LAKE ARIEL BANCORP INC CC* 56 50746710 HOWE BRUCE D 130 8/24/93 13.9 0.0 .¥SION

MEMRY CORP COM 0 58626310 TRINITY CAPITAL CORP ET AL 13D 5/10/93 0.0 N/A &RATE

MEMRY CORP COM 0 58626310 TRINITY CAPITAL CORP ET AL 13D 5/10/93 0.0 M/A .¥SION

NED ICAL CARE AMER INC CC*

TWEEDY BROWNE CO L P ET AL 13D 8/20/93 1,821

5.0 58799210

0.0 lEW

NED ICAL CARE AMER INC CC*

TWEEDY BROWNE COL P ET AL 13D 8/20/93 1,821

5.0 58799210

0.0 .¥SION

NEWS DIGEST, September 2, 1993 7

Page 8: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

ACQUISITIONS CONT.

NAME AND CLASS OF STOCKIOWNER FORM EVENt;sHittCOOO)/DATE ~

CUSIP/ FILING PRIQIlX STATUS

MUELLER INDS INC SOROS GEORGE ET AL

COM 130 8/10/93

1,02510.6

62475610 15.0 UPDATE

MUELLER INDS INC SOROS GEORGE ET AL

COM 130 8{10/93

1,02510.6

62475610 15.0 RVSION

NEORX CORP EASTMAN KODAK CO

COM 130 8/26/93

3,0458.2

64052010 10.0 UPDATE

NEORX CORP EASTMAN KODAK CO

COM 130 8/26/93

3,0458.2

64052010 10.0 RVSION

NATIONAL GOLF PPTYS COM 673 64399410 PRICE DAVID G 13D 8/18/93 6.4 0.0 NEW

OSAGE FOOTWEAR INC MUNRO & CO INC

COM 13D 7/30/93

42,40087.1

68n131 0 23.8 RVSION

OSAGE FOOTWEAR INC MUNRO & CO INC

COM 130 7/30/93

42,40087.1

68n131 0 23.8 RVSION

PACO PHARMACEUTICAL SVCS INC COM 404 70199910 MORGAN STANLEY GRP ET AL 13D 7/13/93 10.1 0.0 NEW

PACO PHARMACEUTICAL SVCS INC COM 404 70199910 MORGAN STANLEY GRP ET AL 130 7/13/93 10.1 0.0 RVSION

ORTHOLOGIC CORP COM 710 70599510 HOLLIMAN JOHN M III ET AL 130 7/28/93 10.2 8.4 UPDATE

ORTHOLOGIC CORP COM 710 70599510 HOLLIMAN JOHN Mill ETAL 13D 7/28/93 10.2 8.4 RVSION

PHOTRONICS INC COM 279 71940510 REICH JOSEPH H ET AL 130 5/12/93 5.3 0.0 NEW

PROVIDENCE HEALTH CARE INC COM 223 74375710 ROBINSON JOHN ET AL 13D 8/23/93 5.9 0.0 NEW

PROVIDENCE HEALTH CARE ROBINSON JOHN ET AL

INC C(J4 130 8/23/93

223 74375710 5.9 0.0 RVSION

QUALITY DINO SOVEREIGN

ENTMT PRODS

LTD COM LTD ET AL 130 7/23/93

396 74756310 7.4 10.6 UPDATE

QUALITY DINO ENTMT SOVEREIGN PRODS

LTD COM LTD ET AL 130 7/23/93

396 74756310 7.4 10.6 RVSION

ROBERN APPAREL INC COM ROUHANA WILLIAM J JR ET AL 130 8/26/93

3,87135.4

77029310 29.5 UPDATE

ROBERN APPAREL INC COM ROUHANA WILLIAM J JR ET AL 130 8/26/93

3,87135.4

77029310 29.5 RVSION

SAPIENS INTL CORP N V ORO 694 80305799 MARKEL JOHN D 130 7/27/93 6.3 0.0 NEW

8 NEWS DIGEST, September 2, 1993

Page 9: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

ACQUISITIONS CONT.

EVENT $"R$(ooo)/ CUSIP/ FILIlIGNAME AND CLASS OF STOCK/OWNER FOR!! DATE !I!t!fP PRIOU STATUS

SAPIENS INTL CORP N V ORD 694 80305799MARKEL JOHN D 130 7127/fTl 6.3 0.0 RVSIOM

TUBOSCOPE VETCO INTL CORP COM 2,686 89860010

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.

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 SIC ITEM 110.NAME OF ISSUER CODE 12345678 DATE COMMENT-----------------------------.-------_.- ---_.- .......... ---- --_ .. --_ ....' ............ACCUGRAPH CORP X X 08/13/fTlADESA CORP IN X X X 08/17/fTlADV6MTA 11M EQUITY LOAN TRUST 1993-1 NY X X 07l06/fTlADV6MTA 11M EQUITY LOAN TRUST 1993-2 NY X X 07/06/fTlAGRISTAR INC DE X X 08/26/fTlAIRSHIP INTERNATIONAL LTD NY X X O8/23/fTlALP INE MEADOWS OF TAHOE INC DE X 08/23/93AMERICAN SHIP BUILDING CO NJ X 08/26/93AMERICAN TELEPHOME & DATA INC DE X X 07l27/fTlAMERICAN WIRELESS SYSTEMS INC MN X X 08/13/fTlASSIX INTERNATIONAL INC DE X 08/26/fTlBIOCONTROL TECHNOLOGY INC PA X X 08/ZS/fTlBRAUVIN CORPORATE LEASE PROGRAM IV L P DE X X 07/15/fTlBRAUVIN HIGH YIELD FUND L P DE X X 08/04/93BRUSH CREEK MINING & DEVELOPMENT CO INC NY X 08/24/fTlBURLINGAME BAMCORP CA X 08/27/fTlBURLINGTON INDUSTRIES EQUITY INC DE X 08/18/fTlCAMELOT CORP CO X 08/19!93AMENDCAMANOAIGUA WINE CO INC DE X 06/29!93AMENDCAPITAL HOLDING CORP DE X 09!30/fTlCARMIKE CINEMAS INC· DE X 07123/"CAROLINA ~R & LIGHT CO NC X 08/31/93CCR INC UT X O8/26/fTlCELESTIAL VENTURES CORP NV X X X 08/121fTl

NEYS DIGEST, September 2, 1993 9

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8K REPORTS CONT.

NAME OF ISSUER -~--------------------------------------

STATE CODE

8K ITEM NO. 12345678 -- ...... ... ----_ --- .. -

DATE COMMENT .......... - ...... ...... __ ----

CELLULAR INC CENTRAL MAINE POWER CO CENTRAL PACIFIC CORP CENTURY PROPERTIES FUND XVII CHASE MANHATTAN CORP CHEMFIX TECHNOLOGIES INC CHEMICAL MORTGAGE SECURIT!ES INC CHEMICAL MORTGAGE SECURITIES INC CNA FINANCIAL CORP COGENCO INTERNATIONAL INC COLUMBIA'BANKING SYSTEM INC COLUMBIA GAS SYSTEM INC COMMERCIAL FEDERAL CORP COMPUTER AUTOMATION INC COMPUTER OUTSOURCING SERVICES INC CONTINENTAL MATERIALS CORP CONTINUUM CO INC CORNING INC /NY CRITICAL INDUSTRIES INC CULP INC DEVELOPERS DIVERSIFIED REALTY CORP DISCOVERY TECHNOLOGIES INC /KS/ DLJ MORTGAGE ACC CORP MUL FAM MOR PASS T DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DLJ MORTGAGE ACCEPTANCE CORP DONNKENNY INC ECI ENVIRONMENTAL INC ELECTROMAGNETIC OIL RECOVERY INC EMBRACE SYSTEMS CORP EMPI INC EXPERTELLIGENCE INC FAILURE GROUP INC FF BANCORP INC FIRST USA BANK FIRST USA BANK FIRST USA CREDIT CARD TRU FIRST USA BANK FIRST USA CREDIT CARD TRU FISHER PRICE INC FNB FINANCIAL SERVICES CORP FREIGHT CONNECTION INC GENERAL HOST CORP GENERAL RE CORP GOVERNMENT TRUST A GOVERNMENT TRUST B

GOVERNMENT TRUST C GOVERNMENT TRUST 1 D GOVERNMENT TRUST 2 C GOVERNMENT TRUST 2 D GOVERNMENT TRUST 2 E GOVERNMENT TRUST 2 F GOVERNMENT TRUST 3 A GOVERNMENT TRUST 3 B GOVERNMENT TRUST 3 C

CO

ME CA CA

DE DE NY NY DE CO WA DE NE DE NY DE DE NY DE NC

KS DE DE DE DE DE DE DE DE DE NV OK

DE MN CA DE FL DE DE DE DE Ne DE NY DE IL Il Il Il Il Il Il IL Il Il IL

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 X

X X

X X X X X X X X

08/25/93AMEND08/26/9308/25/9306/24/9308/19/9307/30/9308/25/93 08/25/9308/30/9308/16/9308/16/9308/27/9308/25/9308/26/9306/22/93 06/30/93AMEND08/13/9308/24/9308/19/9308/25/9308/12/9308/11/93OS/24/9305/18/9305/19/9306/18/93 07115/93 08/16/9308/18/9308/27/9308/17/9308/21/9308/23/93AMEND06/21/93AMEND08/13/9308/16/9308/11/9308/26/9308/16/9308/16/9308/16/9308/19/9308/24/9307/14/93AMEND04/28/9306/30/9305/15/9305/15/9305/15/9305/15/9305/13/9305/15/9305/15/9305/15/9305/15/9308/30/9305/15/93

10 NEW'S DIGEST, September 2, 1993

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8K REPORTS CONT.

STATE SIC ITEM NO. NAME OF ISSUER c(x)E 12345678 DATE CClMMENT

---------------------------------------- _.----------- ..... ---------------GRAND TOYS INTERNATIONAL INC NV X 07l24/93NifE.tII) GREASE MONKEY HOLDING CORP UT X 08/26/93GREAT AMERICAN RESORTS INC/GA GA X X 08124/93GZA GEOENVIRONMENTAL TECHNOLOGIES INC DE X X 05/06/93HAMILTON DIGITAL CONTROLS INC NY X 08/31/93HEMAGEN DIAGNOSTICS INC DE X X 08/27/93HER LEY INDUSTRIES INC /NEW DE X 06/18193N1fE.1IDHOUSING SECURITIES INC MOR PASS THRO CER DE X 08/27193 HUNT J B TRANSPORT SERVICES INC AR X 08/18/93INFORMATION MANAGEMENT TECHNOLOGIES CORP DE X 08127193 INTEK DIVERSIFIED CORP DE X X 08/27/93INTERNATIONAL BROADCASTING CORP /MII/ MN X X 06/24/93INTERNATIONAL COLIN ENERGY CORP X 08/27/93INTERNATIONAL RICHEY PACIFIC CABLEVISION X 08121193AMEtII)JAMESWAY CORP NY X X 08/10/93LOEWS CORP DE X X 08/30/93MANAGEMENT TECHNOLOGIES INC NY X X 08125/93MARINE MIDLAND AUTO FIN CORP MARINE MIDL NY X X 08/16/93MARINE MIDLAND AUTOMOTIVE FINANCIAL CORP NY X X 08/16/93MARINE MIDLAND BANK N A X X 08/16/93MARQUEST MEDICAL PRODUCTS INC CO 110 ITEMS 06/14/93NifE.1IDMEDCO CONTAINMENT SERVICES INC DE X X 08/17/93MEGAFOOOS STORES INC NV X X X 08/11193MERIT DIVERSIFIED INTERNATIONAL INC UT X X 06/21193MET PRO CORP DE X X 08/13/93MORGAN STANLEY GROUP INC /DEI DE X X 08/23/93NifE.1IDMORTGAGE BANKERS FINANCIAL CORP DE X X 08/25/93NANTUCKET INDUSTRIES INC DE X 08/26/93NORTH LILY MINING CO UT X X 08/26/93NORWEST CORP DE X 08/31193NRP INC DE X X 08/13/93ONEOK INC DE X 08/23/93PATHE TECHNOLOGIES INC DE X 08124/93PENNFIRST BANCORP INC PA X X 08/27/93PEOPLES BANK CT X X 08/16/93PERMIAN BASIN ROYALTY TRUST TX X 08/25/93PHOTEES INC/FL FL X X X X 07/28/93 POLYPHASE CORP PA X X 08/23/93PREMIER ANESTHESIA INC DE X 08/23/93PRIME RECEIVABLES CORP DE X 08/16/93PRINTRON INC DE X X 08/12/93 PSB FINANCIAL CORP DE X X 08/20/93PUROFLOW INC DE X 08/13/93QUADREX CORP DE X 06/17193 RALLYS INC DE X X 08/27193RCM TECHNOLOGIES INC NV X 08/19/93RESOLUTION TRUST CORP 110 ITEMS 08/25/93RESOLUTION TRUST CORP COM MORT PASS THR 110 ITEMS 08/25/93RESOLUTION TRUST CORP COMM MOR PAS THR C 110 ITEMS 08/25/93RESOLUTION TRUST CORP COMM MOR PASS THRO NO ITEMS 08/25/93RESOLUTION TRUST CORP COMM MORT PASS THR 110 ITEMS 08/25/93RESOURCE FINANCE GROUP LTD CO X X X 06130/93RICHFOOO HOLDINGS INC VA X X 08/26/93RIVERSIDE GROUP INC/FL FL X X 08/12/93RPM INC/ONI 011 X X 07/31/93SALOMON BROTHERS MORTGAGE SECURITIES VII DE X X 08/20/93SEABOARD BANCORP INC VA X 08/01193

NEWS DIGEST, September 2, 1993 11

Page 12: SEGUf-lInES •••••••• lIlxlf$.':tVB •••••••• I~SI-~l:I ... · broker-dealer, and Dan Mauss (Mauss), formerly a principal of Wasatch Stock Trading, Inc.,

8K REPORTS CONT.

STATE SIC ITEM NO. NAME OF ISSlJER COOE 12345678 DATE COIMENT

---------------------------------------- ---------- .. --- .. -_ .. --_ .. --------SOURCE ONE MORTGAGE SERVICES CORP DE X X 08/23/93

SOURCE ONE MORTGAGE SERVICES CORP DE X 08/25/93SOUTHERN CALIFORNIA EDISON CO CA X 08131193

SOUTHWEST SECURITIES GROUP INC DE X X 08/20/93

SOVEREIGN BANCORP INC PA X X 01/15/93

SPHINX PHARMACEUTICALS CORP DE X 08/26/93

SPORTS ARENAS INC DE X X 08/11193

SPX CORP DE X X 08/25/93AMENO

STATESMAN GROUP INC DE X 08/18/93

SYMBOLI CS INC DE X X 08/19/93

TC X CALIBUR INC NV X X X 08/10/93

TELEVISION TECHNOLOGY CORP DE X 08/17/93

TELMED INC DE X 06/21/93

TRANS FINANCIAL BANCORP INC ICY X 07/06/93AMENO

TRANZONIC COMPANIES OH X X 08/13/93

TRISTAR CORP DE X 08/24/93

TUCSON ELECTRIC POWER CO AI X 08/30193

UMC ELECTRONICS CO DE X 07/31/93UNILAB CORP DE X X O8/Z7/93

UNITED HEALTHCARE CORP MN X x 08/05/93

US ENERGY CORP WY X X 08/11193VALUE ADDED COMMUNICATIONS INC /DEI DE X X 08/28/93

VERNON LILLIAN CORPORATION DE X 08/16193

WELDOTRON CORP NJ X 08/23/93WESTERN FINANCIAL 1993-1 GRANTOR TRUST CA X X 07101193 WILLIAMS CONTROLS INC DE X X 08/13/93

ZIONS BANCORPORATION IUT/ UT x X 08/11193

12 NEWS DIGEST, September 2, 1993