SEC News Digest, 09-14-1993 · 2008. 5. 15. · Jimmy Dale Swink, Jr. (Swink Jr). The Order Instituting Public Administrative Proceedings (Order) alleges that Swink Jr was convicted

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Issue 93-177 L.;,::'J ·SECL!F~iTIE~; September 14, 1993 EXCH/"NGE COMMlSSiOil

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C. GLADWYN GOINS APPOINTED ASSOCIATE DIRECTOR (LEGAL AND DISCLOSURE) OF DIVISION OF INVESTMENT MANAGEMENT

Chairman Levitt today announced that he has appointed C. Gladwyn Goins Associate Director (Legal and Disclosure), Division of Investment Management (Division). The Division is responsible for the oversight and regulation of thousands of investment companies with more than $2.1 trillion in assets under management, and over 18,000registered investment advisers.

Hr. Goins currently is an Associate Director in the Commission's Division of Enforcement in Washington, D.C., a position he has held since 1991. Prior to that time, Mr. Goins had held various positions of increasing responsibility, primarilywithin the Division of Enforcement. Also, between 1988 and 1991, he headed the Commission's San Francisco Branch Office. Hr. Goins is a graduate of Case Western Reserve University (B.A., 1973, and J.D., 1976) and Georgetown University School of Law (LL.M., 1979). (Press Rel. 93-35)

ADx:nU:STRA'l'l:VBPRoCEEDIHGS·· •.

ADMINISTRATIVE PROCEEDING FILED AGAINST JIMMY SWINK, SR.

The Commission instituted public administrative proceedings on September 7 againstJimmy Dale Swink, Sr. (Swink). The Order Instituting Public Administrative Proceedings (Order) alleges that Swink was convicted of aiding and abetting the failure of Swink & Co., Inc. (Swink & Co.), a broker dealer formerly registered with the Commission, to make and keep accurate books and records (U.S. v. Jimmy D. Swink Sr., Criminal No. LR-CR-92-l58(1),USDC ED/AR). The Order alleges that Swink caused Swink & Co. records to wrongly reflect that bonds purchased had increased in value and caused trade tickets and month end reports required to be created and maintained by Swink & Co. to be false and incorrect.

A hearing will be scheduled to determine what, if any, remedial action would be appropriate with respect to Swink. (Rel. 34-32844)

ADMINISTRATIVE PROCEEDING FILED AGAINST JIMMY SWINK, JR. The Commission instituted public administrative proceedings on September 7 against Jimmy Dale Swink, Jr. (Swink Jr). The Order Instituting Public Administrative Proceedings (Order) alleges that Swink Jr was convicted of Conspiracy to Violate Securities Law and Perjury (U.S. v. Jimmy D. Swink Jr., Criminal No. LR-CR-92-l58(2), USDC ED/AR). The Order alleges that Swink Jr, formerly employed as head municipaltrader of Swink & Co., Inc. (Swink & Co.), a broker dealer formerly registered with the Commission, caused a trade ticket to be issued for a bogus sale of bonds. The Order further alleges that Swink & Co.'s Focus Report falsely reflected a profit from the sale of these bonds despite the fact that no bonafide sale had occurred. The Order further alleges that the Perjury conviction was based upon testimony Swink Jr gave before the Commission's staff.

A hearing will be scheduled to determine what, if any, remedial action would be appropriate with respect to Swink Jr. (Rel. 34-32845)

ADMINISTRATIVE PROCEEDING FILED AGAINST LOUIS PAGILLO

The Commission instituted public administrative proceedings on September 7 against Louis Jules Pagillo (Pagil10). The Order Instituting Public Administrative Proceedings (Order) alleges that Pagillo willfully aided and abetted the failure of Swink & Co., Inc. (Swink & Co.). a broker dealer formerly registered with the Commission, to maintain required net capital, to make and keep accurate books and records and comply with notice provisions of the federal securities laws. The Order alleges that, as Financial and Operations Principal, Pagillo directed the accrual of an income tax refund that had not yet been received by the firm, knowing that without the inclusion of such funds within the firm's capital, the firm would have a net capital deficit. The Order also alleges that Pagillo, as Financial and Operations Principal, directed the inclusion of unearned income on the books of Swink & Co., and in net capital computations, from underwriting projects as to which the firm had only partially performed the services it was to provide, and which had not yet closed. In addition, the Order alleges that PagHlo and others engaged in prearranged putative sales transactions arranged with another firm which purportedlysold bonds from uncompleted underwriting projects for which underwriting receivables had been recorded on the books of Swink & Co. A hearing will be scheduled to determine what, if any, remedial action would be appropriate with respect to Pagillo. (Rel. 34-32846)

PROCEEDING INSTITUTED AGAINST EDWIN PITTOCK AND INVESTMENT ADVISERS, ALPINE CAPITAL MANAGEMENT CORP. AND CONTINENTAL HERITAGE INVESTMENT MANAGEMENT INC.

The Commission announced that it instituted public administrative proceedings against Edwin J. Pittock (Pittock), president and principal owner of a Denver-based registered investment adviser, Continental Heritage Investment Management, Inc. (CHIMI). The Order Instituting Proceedings (Order) alleges that Pittock and CHIMI viOlated, inter

NEWS DIGEST, September 14, 1993 2

alia, antifraud provisions of the securities laws during their management of a registered investment company, Alpine Mutual Fund Trust (Alpine) and its series fund,the National Municipal Asset Trust (NMAT), by causing NMAT to make a material loan in violation of NMAT's investment policies, and to make false and misleadingdisclosures about this loan and another investment. The Order also alleges that Pittock violated, inter alia, these antifraud provisions by causing the California Municipal Asset Trust (CHAT), another Alpine fund, to make undisclosed distributions in excess of earnings. The Order further alleges that Pittock aided and abetted additional violations of the Investment Company Act by causing Alpine, NMAT, and CHAT to maintain an improperly constituted board of trustees; to fail to make or timelymake annual and semi-annual reports; and to borrow money in contravention of investment policies. The Order additionally alleges that Pittock caused NMAT to fail to timely meet redemption requests. A hearing will be scheduled in the matter. (Re1s. IA-1380; IC-19686)

CIVIL PROCEEDINGS

CIVIL ACTION AGAINST F.N. WOLF & CO., INC. AND FRANKLIN N. WOLF

On September 13, the Commission announced the filing of an civil action in the U.S. District Court for the Southern District of New York, charging F.N. Wolf & Co., Inc. (FNW), a broker-dealer headquartered in Manhattan, and Franklin N. Wolf (Wolf) of New Vernon, New Jersey, and the Chairman of the Board of Executive Officer, and President of FW since 1982, with violations of the antifraud provisions of the federal securities laws.

The Commission'S complaint alleges that FNW and Wolf, between April 2, 1988 and May20, 1988, charged excessive and undisclosed markups as high as 125% above the prevailing market price on over 940 sales of approximately 1.8 million shares of News Communications, Inc. (NCI) stock to approximately 900 of FW's retail customers.

Further, the complaint alleges FNW and Wolf manipulated the market for NCI during the same period by artificially inflating the price of NCI. The complaint seeks permanent injunctive relief against Wolf and FW, as well as disgorgement of excessive profitstotalling over $870,000 and prejudgment interest from FW. [SEC v. F.N. Wolf & Co., Inc. and Franklin N. Wolf, 93 Civ. 6373, WK, SDNY] (LR-13785)

INJUNCTIVE ACTION FILED AGAINST OSBORNE, STERN & COMPANY AND DOUGLAS OSBORNE

The Commission announced that on September 8 the Honorable A. Wallace Tashima, U.S. District Judge for the Central District of California, permanently enjoined Osborne,Stern & Co. (OS&C), a broker-dealer, from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(c) of the Securities Exchange Act of 1934 and Rules 10b-5, 15cl-2 and 15cl-8 thereunder, and ordered disgorgement of $171,465 in undisclosed excessive mark-ups, and prejudgment interest thereon. Payment of disgorgement and prejudgment interest was waived based uponOS&C's demonstrated inability to pay. OS&C consented to entry of the final judgmentwithout admitting or denying the allegations in the complaint.

NEWS DIGEST, September 14, 1993 3

The Commission filed its action against OS&C and Douglas W. Osborne (Osborne), OS&C's principal shareholder, and former officer and director, on August 27, 1993. The complaint alleges that OS&C and Osborne engaged in an unregistered distribution of the common stock of Consolidated Energy Systems, Inc. (CES) , failed to disclose that OS&C controlled and dominated the market for CES common stock, and charged OS&C's clients undisclosed excessive mark-ups On CES common stock totalling approximately$171,465. The Commission's action remains pending against Osborne. [SEC v. Osborne,Stern & Company and Douglas W. Osborne, Civil Action No. 93-5199 AWl, Sx, C.D. Cal.)(LR-13786)

JOHN HANCOCK ASSET ALLOCATION FUND, ET AL.

A notice has been issued giving interested persons until October 5, 1993 to requesta hearing on an application filed by John Hancock Asset Allocation Fund, et a1. for a conditional order under Section 6(c) of the Investment Company Act that would exemptapplicants from Sections 18(f), 18(g), and 18(i) of the Act. The conditional order would amend a prior order that permits applicants to issue and sell three classes of shares representing interests in the same portfolio of securities, and to assess, and in certain cases waive, a contingent deferred sales charge on certain redemptions of the shares of one of the classes. The requested amendment would permit the issuance of an unlimited number of classes of shares with different sales load and service and distribution fee structures, and the imposition of certain additional class-related expenses on such classes. (Rel. IC-19701 - September 10)

INVESTORS LIFE INSURANCE COMPANY OF NEBRASKA ET AL.

A notice has been issued giving interested persons until October 5, 1993 to request a hearing on an application for an order filed by Investors Life Insurance Companyof Nebraska, Investors Life Separate Account D (Separate Account D), and North American Management that would allow Applicants to deduct a mortality and expense risk charge from the assets of Separate Account D. (Rel. IC-19702 - September 10)

PACIFIC MUTUAL LIFE INSURANCE COMPANY, ET AL.

A notice has been issued giving interested persons until October 5, 1993 to request a hearing on an application by Pacific Mutual Life Insurance Company, PFAMCo Variable Annuity Separate Account (Separate Account) and Pacific Equities Network for an order pur-suant; to Section 6(c) of the Investment Company Act. The order would grantexemptions from the provisions of Sections 26(a) (2) (C) and 27(c) (2) of the Act to the extent necessary to permit the deduction from the assets of the Separate Account of mortality and expense risk charges imposed under certain individual flexible premium deferred variable annuity contracts. (Rel. IC-19703 - September 10)

4 NEWS DIGEST, September 14, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, ET AL.

A notice has been issued giving interested persons until October 5, 1993 to requesta hearing on an application filed by The Equitable Life Assurance Society of the United States and Separate Account A of The Equitable Life Assurance Society of the United States (Separate Account) for an order pursuant to Section 6(c) of the Investment Company Act. The order would grant exemptions from the provisions of Sections 26(a) (2) (C) and 27(c) (2) of the Act to the extent necessary to permit the deduction of a mortality and expense risk charge from the assets of the SeparateAccount under a group variable annuity contract. (ReI. IC-l9705 - September 10)

"",,'" .-'.,-- "-", .... , .... _,-. -- "... , .. ---_.". -

..BOLDING ..COMPANY ACT RELEAsES·

HOPE GAS, INC.

An order has been issued authorizing Hope Gas, Inc. (Hope Gas), a gas utilitysubsidiary company of Consolidated Natural Gas Company, a registered holding company,to acquire a nonvoting Class B Unit of Shenandoah Venture Capital Limited Partnership(Partnership), a partnership formed to provide private venture capital investments in West Virginia businesses, and to receive in return certain tax credits, for $1,650,000. Hope Gas will own 49.5% of the equity of the Partnership, and will be entitled to 99% of the tax credits earned by the Partnership. (ReI. 35-25880)

_.. --::::::::::::-:::::,:.::.:,.,:::::::>:_"' .. .SBCURl:TXBS ACT UGISTRATIONS

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; and a designation if the statement is a New Issue.

S-1 YlPI PACKAGINGTECIIIOLOGIESlie, 455 SQIIERSET AVE, IORTHDIGIITOII,M

02764 (508) 824-8636 - 220,000 ($1,238,600) COIIOII STOCl. (FILE 33-61916 -

AUG. 26) CIR. 8)

S-3 ARROIELECTROIIICSIIIC, 25 l1li DR, MELVILLE,IT 11747 (516) 391-1300 -

1,009,086 ($40,867,983) COIIOII STOCl. (FILE 33-61976 - AUG. 26) (IR. 3)

58-2 EDUCATlOIIAlDlsaJVERlES IIIC, 5495 ARAPAHOERD STE 205, 1DJl..DER, co 80303 (303) 786-8100 - 412,000 ($4,000,000) COIIOII STOCl. lJI)EIMtiTER:

IKE & co IIIC. (FILE 33-68050-D - AUG. 27) (aa. 5 - lIEU ISSUE)

$8-2 ALPEIIJITY lie, SlC:I_ILE RD, PO .. 294, .. TH CDlMY, II 03860 (603) 356-8520 - 21,000 ($7,725,000) COIIOII STOCl. (FILE 33-68102-8 -

AUG. 3D) (IR. 11 - lIEU ISSUE)

S-1 OXRIrD RESClJRCESCORP, 270 SWTH SERVICERD, MELVILLE,IT 11747 (516) 777-8000 - 3,737,500 ($48,587,500) COIIOII STOCl. (FILE 33-68106 -

AUG. 31) (IR. 4 - lEW ISSUE)

NEWS DIGEST, September 14, 1993 5

REGISTRATIONS CONTINUED

S-1 MSl.AII) IIllDIIGS lit. 50 SPRIIIG RD. CARliSlE. PA 17'013 (71n ~9-'1166 -12.750.386 (1216.756.562) aJIIII STOCK. lM)EJMlITEl:

DIIAlDSQIII WFICII .. JENRETTESEa.lITiES CD. FIRST IOSTCII IDIP.

GOlDIWI SACHS .. CO. (FILE 33-68108 - AUG. 31) (a. 4 - lEU ISSUE)

S-1 VESTAIIISURAICEGRClJP lit. 3760 RIVEIl _ RD. IIIIIIIIGIWI. AL 35a3 (205) 97'0-7'000 - 11.990.000 (1215.770.000) aJIIII STOCK. IlmElUtITEl: IERRILL LYIICII.. CO. III:.GM STAIILEY.. CD lie. STEPtIEIIS lie. (FILE 35-61114 - AUG. 31) (a.10 - lEU ISSUE)

S-4 IERClWlTS .. FAllERS IAllCSllARESlie. 251 PRAIRIE AVE. BIT.,. AL 35W (205) 372-3311 - 85.125 (16.469.500) aJIIII STOCK. (FILE 33-68206 -SEP. 01) (a. 2 - lEU ISSlE)

51-2 STARBASEaJtP. 2222MARTII ST STE 215. IRVIIE. rA 92715 (714) 253-'_ - 1.500.000 ($4.665.000) COKII STOCK. ~ITEI: C#IIACCORD CAPITALaJtP. GEORGIAPACIFIC SEa.lITiES IDIP. (FILE 33-61Z28 -AUG. 31) (a. 9 - lEW ISSlE)

S-4 REICD METALSlie. 238 IORTH 220 WEST. C/O IWM:SIlIl IDIP OF MElICA.

SAlT LAICE CITY. UT 84116 (801) 532-2043 - 75.000.000 ($75.000.000)

STRAIGHTl1(li)$. (FILE 33-68Z30 - SEP. 01) (a. 6 - lEU ISSUE)

S-1 DlItACRAFT aJtP. 355 Mil ST. WIIlTllSYllLE. M 01588 (5011) Z34-46GO -1.840.000 (123.920.000) aJIIII STOCK. lM)EJMlITEl:

ADAMS IlARlCllESS .. HILL lit. FIRST ALIIAIIY IDIP. (FILE 33-611234 - IEP. Ot)

(a. 10 - lEU ISSlE)

S-4 SMITH IIAIIIIEY SllEARSQIII HOLDINGSlit 1DIf./. 1345 AVEOF TIE AlERICAS.

lEW YORIC. IT 10105 (212) 399-6000 - 150.000.000 ($150.000.000)

STRAIGHTIOI)S. (FILE 33-68231 - SEP. 01) (lEV ISSUE)

S-4 SPECIALTYRETAILERSlie 1DIf./. 10201 5 MAil ST. IKIJSTCII. TX 77025 (713) 667-5601 - 250.000.000 (1250.000.000) STRAIGHTl1(li)$. (FILE 33-68256 - SEP. 01) (a. 1)

5-11 FUl.MR ... TGAGESEaJtlTlES II) 1 LTD. SlCAll)IIIAVISD EllSlCllAA_. lEU YORICIRAIICII. lEU 'fOlIC. IT 10167 (212) 907-47'00 - 1.000.000 ($1.000.000) FL~TlIIG RATE IDTES. lJI)EIMtiTEl: IIlRGAII STAlilEY .. CD lit. (FILE 33-6B2.60 - SEP. 01) (a. 11 - lEU ISSUE)

S-1 TRAlSlATICIIALIE 1lIIP. 80 MAiDEl LAIIE. lEU YORIC. IT 10038 (212) 1IS7-95Z0 - 5.750.000 ($103.500.000) aJIIII STOCK. lJI)EJIItiTEl: BROIl ALEX .. SQIIIS INC. (FILE 33-68262 - SEP. 01) (a. 9 - lEU ISSUE)

S-1 POLlO TROPICALlit. 1901 SOJTIlWEST67rH AVE. IIIAIn. fL 33143 (305) 662-3938 - 2.012.500 (120.125.000) aJIIII STOCK. lJI)EJMtiTEl: IDITG«M:RYSEaJtITIES. (FILE 33-68266 - SEP. 01) (a. 12 - lIEU ISSUE)

S-2 DELTA1lA11ItAL GAS CD lit. 3617 LEXIIIGTCIIRD. WIICIESTER. ICY4CD91 (606) 744-6171 - 17'0.000 ($3.613.750) aJIIII STOCK. 15.000.000 ($15.000.000) STRAIGHTl1(li)$. lJI)EIMtITER:.IOIIES EIIUUDS D .. CD. (FILE 33-68274 - SEP. 02) (a. 7)

S-4 GDE lie. 2 IORTHADCiERSWHARF.CllARLESTCII.SC 29(001 (303) 720-1441 -6.429.051 ($5.493.712) aJIIII STOCK. 6'36.250 (S6l6.25O) PREFEIIED STCICIt. 3.647.800 ($160.185) aJIIII STOCK. (FILE 33-611304 - SEP. 02) (a. 4 - lEU ISSlE)

6 NEWSDIGIST. September 14. 1993

REGISTRATIONS CONTINUED

S-1 lA..TlMTE ELECTllCIIICS IIC, 9901 ":ST 50TH AVE, WHEATRIDGE, 00 80033 (303) 420-1366 - 2,300,000 ($23,000,000) aJIOI STOCK. UllDERWRITER:

PIPER JAFFRAY IIC. (fILE 33-68314 - SEP. 02) (HR. 2 - IIBI ISSlE)

S-3 SCORE IIOIUID INC, 1951 OlD QJTHBERT RD, CHERRY HILL, NJ 08034 (609) 354-9000 - 500,000 ($11,062,500) aJIMOII STOCK. (FILE 33-68348 -

SEP. 02) (HR. 7)

s-t CASIllO AlERICA 1-=, 711 WASHINGTONLOOP, 211> FLR, BILOXI, MS 39530 (407) 843-4153 - 100,000 ($100,000,000) STRAIGHT BONDS. UllDERWRITER:

SAUlIIOII BROTIERS lie. (FILE 33-68434 - SEP. 03) (HR. 11)

Companies and individuals must report to the Commission within ten days on Schedule l3D if after the acquisition of equity securities of a public company their beneficial interest therein exceeds five percent. Persons eligible to use the short forn: (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 Sec t Lon l3(d)(l). Companies and individuals making a tender offer must have on file at the time the tender offer commences a Schedule l4D-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 forn: filed; Column 4 - the date the transaction occurred; Column 5 - the current numbeI of shares (in OOO's) owned (top) and the current percent owned; Column 6 - the CUSII number (top) and the percent owned; and Column 7 - the status of the filing, i.e., new, update or revision.

EVENT SHRS(ooo)/ WSIP/ FILING

lIME All) ClASS OF STOCXlCII!ER FORM DATE X!IaIED PRIORS STAnJS

N:TAVA GROIJ> lie aM 0 00493510

":STlIIGIIIlJSE ELEC CXIlP 13D 8/31/93 0.0 6.6 UPDATE

ADVO INC aM 2,632 00158510

TIGER IIGMT CXIlP 130 9/1/93 13.1 11.3 UPDATE

AlFA LEISUtE INC aM 2,243 01539410

CREAN ~IE IKIIERT 140-1 9110/93 70.1 70.1 UPDATE

AlTER SALES INC aM IIBI 316 02199320

PAYIE fIll IiRCIJP lie 13D 9/ 9/93 7.1 9.3 UPDATE

NIIASE CXIlP aM 5,452 02316410

.IAICO RICHARD A 13D 9! 2!93 12.3 12.1 UPDATE

NIH: lie aM 648 03215310

IMGIIER Jar • 13D 3/29/93 5.0 0.0 IIBI

NEWS DIGEST, September 14, 1993 7

ACQUISITIONS CONT.

EVEIIT SllRS(OOO)1 aJSIPI FILlIG !WE All) ClA$$ OF $lOCKJtMEI FORtI DATE IIMIED PRIORI $lAros

BET "LDGS IJIC CLA 0 08658510 TIfE WARIER EllTERTAIIIIElT 13D 9/13/93 0.0 7.3 lFDATE

BET HLDGS IJIC all CL • 1.518 08658599

TV PIlOGIMMIIG ET AL 13D 9/13/93 45.3 0.0 lEU

BET "LOGS IJIC all CL • 1.518 08658599 TV PIOGRAIIIIIG ET AL 13D 9/13/93 45.3 0.0 RVSICII

aJFUTCIE aIIP all lEU 13.842 ~10 BRISCO IIMJT LTD 13D 9/10/93 43.0 42.6 lFDATE

CTBERTEICCXlRPPRCI)$ IJIC all 0 23251810 MORGAI YIIUGIIII U 13D 8J24/93 0.0 lilA lFDATE

CTBERTEICCXlRPPIl(I)S I JIC all 0 23251810 UIL Tel IIAICY I 13D 8J24/93 0.0 lilA lFDATE

EASTm III)L SAFETY aIIP all 146 27616220 DEII$EII ALMI E 13D 1/ 4/93 17.7 19.5 lFDATE

FIRST ALIIAIIYms lie all 28 31846510 FERBER IIARICS 13D 7J2/J/93 0.8 7.8 lFDATE

FLCll:RS III)S IIIC all 1.297 34349610

YXI) DAPIIE FLCII:RS 13D 5R5/93 3.4 0.0 lEU

FUHJI m all 405 36110610 FISHER UIVEST1EIITS lie 13D 1131/93 4.6 4.8 lFDATE

GEIERAL BERGY IEs&TEC all 502 36975810

IlAlSEI--' 13D 7/Z3m 6.3 0.0 lEU

GREEIIWI BROS lie all 275 39531010

ClM>ILL PETER & ASSOC LTD 13D 91 2J9l 5.0 0.0 lEU

GUARAIITYIAllCSllAllES aJIP all 169 40076210 MORAl .... D 13D 91 1193 9.7 9.6 lFDATE

HEXCEL CXlRP all 441 42829010 FISHER IIIVESTJEIITS IJIC 13D 1131/93 6.0 6.8 lFDATE

INTERFACE IIIC CLA 855 45866510 FISHER IIIVESTJEIITS lie 13D 1131/93 4.9 5.3 lFDATE

nEER W III)S lie all lEU 1.198 49849420 HARDEE CAPITAL PMTIIERS L P 13D 9/ 1/93 82.2 0.0 lEU

MCEG STERLlIG lie all 8.353 5526n10 HYDE .... U ET AL 13D 9/ 1/93 76.0 0.0 lEU

8 NEWS DIGEST, September 14, 1993

ACQUISITIONS CONT.

EVENT 5HRS(000)/ aJSIP/ FILI .. G

NAME AND CLASS OF STOCIC/OWNER FORM DATE %aYlED PRIOR% STATUS

J W MAYS I .. C C04 1,095 57847310

SHULMAN MAX L ET AL 130 9/ 2m 51.2 51.0 lPDATE

MEDCROSS INC C04 0 58406640

COlPORATE SEa.tITIES GaP ET Al 130 8130m 0.0 .. /A lPDATE

ME.. TAl HEALTH ~ INC C04 244 58715410

KORMAN BERNARD J 130 8131193 8.2 0.0 IIE\I

MENTAL HEALTH MGMT INC C04 893 58715410

RonD BESSIE G TR ET AL 130 8131193 30.0 0.0 .. EW

NAUTICA ENTERPRISES INC C04 1,267 63908910

CHU DAVID 130 8130/93 16.0 0.0 !lEW

PE .... TRAFFIC co .. EW C04 1,365 70783210

TIGER MGMT COlP 130 9! 1m 12.9 12.6 lPDATE

REDOX TECH RESTRICTED IXJt 15.000 75772210

SZYMANSKI RICHARD A 130 71 9/93 84.0 0.0 !lEW

RIGHT START INC C04 3,937 76657410

AMERICAN RECREATION CTRS 130 8/25m 62.5 63.5 lPDATE

ROBER .. APPAREL I .. C C04 4.371 77029310

RWHANA WILLIAM J JR ET Al 130 8/26/93 38.0 28.0 RVSUII

ROTONICS MFG I .. C IXJt 674 77890310

POLITE L JOHN JR 130 5/ 6m 6.4 0.0 !lEW

SPECTRAL D I AGNOST I CS INC IXJt 1,061 84757410

BAXTER INTL ET At 130 9/1m 22.2 0.0 lEW

SUBMICRON SYS COlP IXJt 6.415 86431310

ED I SON VE .. TURE FUND II ETAl 130 8131m 70.4 0.0 IIE\I

TOOD SHIPYARDS COlP IXJt 1.445 88903910

BAIRD BRENT D ET AL 130 9! 2/93 12.1 10.7 lPDATE

TRICONEX COlP IXJt 436 89611610

DAHL JAMES H 130 6130/93 9.1 7.3 RVSION

UNITED RLTY GROUP L P UT LTD PRT .. INT 1,755 91199910

GERANT IJI)S I .. C 130 7/23/93 54.7 0.0 lIEU

VIDEO JUKEBOX .. ETWORK INC IXJt 10.453 92699410

CEA INVESTORS I .. C ET Al 130 8130/93 60.8 17.5 lPDATE

WORLDCOlP I"C IXJt 98190410'.500 GANZ CAP IT Al MGMT I .. C 130 8130/93 10.4 9.0 lPDATE

WRIGLEY '" JR co IXJt 22,599 98252610

WRIGLEY WILLIAM 130 8/18/93 19.4 30.5 lPDATE

WRI GLEY '" JR co cat CL B 13,055 98252620

WRIGLEY WILLIAM 130 8/18/93 50.2 47.2 lPDATE

NEWS DIGEST, September 14, 1993 9

a

RECEHT8KFILIBGS

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/or

amendments 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 11K ITEM 10. INE OF ISSl£R aJ)E 12345678 DATE IDIEIT ---------------------------------------- --------------- ---------------AETNA LI FE & CASUALTY m CT X X f19Jf19/93 MCOR CAP I TAL aJtP DE X X 11130/92 MCOR CAPITAL aJtP DE X X 11130/93 NER I CAlI JDJSIIG TRUST IT 10 ITEJIS 08125/93 ATLAS CORP CAL REP IAICORP IIC

DE CA

X X

X O9/fJl/93 O9!O819l

CMELOT CORP m X O9/08i93 CASllO NEliCA IIC DE X 09/02!93 alIITRY YlRLD CASllOS IIC IV XX X 08!06/93 CROWl BAIICORP DELUXE CORP

CA.. 10 lTEJIS X 09/08i93 08J2h/93 DLJ DOl

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