4, INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P ... · Issue 98-233 December 4, 1998...

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Issue 98-233 December 4, 1998 INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P., ET AL. An order has been issued on an application filed by Nike Securities L.P. and First Trust Special Situations Trust (Trust) for an exemption from Section 17(a) of the Investment Company Act. The order permits a terminating series of the Trust to sell portfolio securities to a new series of the Trust. (Rel. IC-23583 -December 2 WESTERN-SOUTHERN LIFE ASSURANCE COMPANY, ET AL. A notice has been issued giving interested persons until December 28 to request a hearing on an application filed by Western-Southern Life Assurance Company, The Western and Southern Life Insurance Company, Western-Southern Life Assurance Company Separate Account 1, Western-Southern Life Assurance Company Separate Account 2, and The Western and Southern Life Insurance Company Separate Account A seeking an order pursuant to Section 26 (b) of the Investment Company Act approving certain proposed substitutions of securities, and pursuant to Section 17(b) of the Act exempting related transactions from Section 17 (a) of the Act. (Rel. IC-23584 - December 2) KBK FINANCIAL, INC ., ET AL . An order has been issued on an application filed by KBK Financial Inc. (Financial) and its wholly-owned subsidiary, KBK Receivables Corporation (Subsidiary) , for an exemption from Sections 2 (a)(48) and 55 (a) of the Investment Company Act. The order permits Financial, which will elect to be regulated as a business development company (BDC) under the Act, to look to the Subsidiary's assets, rather than Financial's interest in the Subsidiary itself, in determining whether Financial meets certain requirements for BDCs under the Act. (Rel. IC-23585 - December 2) CREDIT SUISSE FIRST BOSTON CORPORATION A notice has been issued giving interested persons until December 28 to request a hearing on an application filed by Credit Suisse First Boston Corporation (CSFB) for an order under Section 12 (dl (1) (J) of the Investment Company Act exempting SAILS trusts for which CSFB will serve as a principal underwriter (Trusts) from Section 12 (dl (1) of the Act; under Section 6(c) of the Act exempting the Trusts from

Transcript of 4, INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P ... · Issue 98-233 December 4, 1998...

Page 1: 4, INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P ... · Issue 98-233 December 4, 1998 INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P., ET AL. An order has been issued on

Issue 98-233 December 4, 1998

INVESTMENT COMPANY ACT RELEASES

NIKE SECURITIES L.P., ET AL.

An order has been issued on an application filed by Nike Securities L.P. and First Trust Special Situations Trust (Trust) for an exemption from Section 17 (a) of the Investment Company Act. The order permits a terminating series of the Trust to sell portfolio securities to a new series of the Trust. (Rel. IC-23583 -December 2

WESTERN-SOUTHERN LIFE ASSURANCE COMPANY, ET AL.

A notice has been issued giving interested persons until December 28 to request a hearing on an application filed by Western-Southern Life Assurance Company, The Western and Southern Life Insurance Company, Western-Southern Life Assurance Company Separate Account 1, Western-Southern Life Assurance Company Separate Account 2, and The Western and Southern Life Insurance Company Separate Account A seeking an order pursuant to Section 26 (b) of the Investment Company Act approving certain proposed substitutions of securities, and pursuant to Section 17 (b) of the Act exempting related transactions from Section 17 (a) of the Act. (Rel. IC-23584 - December 2)

KBK FINANCIAL, INC ., ET AL . An order has been issued on an application filed by KBK Financial Inc. (Financial) and its wholly-owned subsidiary, KBK Receivables Corporation (Subsidiary) , for an exemption from Sections 2 (a) (48) and 55 (a) of the Investment Company Act. The order permits Financial, which will elect to be regulated as a business development company (BDC) under the Act, to look to the Subsidiary's assets, rather than Financial's interest in the Subsidiary itself, in determining whether Financial meets certain requirements for BDCs under the Act. (Rel. IC-23585 - December 2)

CREDIT SUISSE FIRST BOSTON CORPORATION

A notice has been issued giving interested persons until December 28 to request a hearing on an application filed by Credit Suisse First Boston Corporation (CSFB) for an order under Section 12 (dl (1) (J) of the Investment Company Act exempting SAILS trusts for which CSFB will serve as a principal underwriter (Trusts) from Section 12 (dl (1) of the Act; under Section 6(c) of the Act exempting the Trusts from

Page 2: 4, INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P ... · Issue 98-233 December 4, 1998 INVESTMENT COMPANY ACT RELEASES NIKE SECURITIES L.P., ET AL. An order has been issued on

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Section 14 (a) of the Act; and under Section 17(b) of the Act exempting CSFB and the Trusts from Section 17 (a) of the Act. The requested order would permit other registered investment companies, and companies excepted from the definition of investment company under Section 3(c) (1) or (c) (7) of the Act, to own a greater percentage of the total outstanding voting stock (Securities) of each Trust than that permitted by Section 12(d) (1); exempt the Trusts from the initial net worth requirements of Section 14 (a) ; and permit the Trusts to purchase U.S. government securities from CIBC at the time of a Trust's initial issuance of Securities. (Rel. IC- 23586 - December 2)

SELF-REGULATORY ORGANIZATIONS

ACCELERATED APPROVAL OF PROPOSED RULE CHANGES

The Commission granted accelerated approval to a proposed rule change submitted by the Chicaso Stock Exchanqe (SR-CHX-98-26) under Section 19(b) (1) of the Securities Exchange Act of 1934 relating to listing standards for Equity Linked Debt Securities. Publication of the proposal is expected in the Federal Resister during the week of December 7. (Rel. 34-40730)

The Commission granted accelerated approval to a proposed rule change submitted by the National Securities Clearinq Corporation (SR-NSCC-98-10) under Section 19 (b) (2) of the Securities Exchange Act of 1934. The rule change adds an interactive messaging feature to NSCC1s Collateral Management Service. (Rel. 34-40740)

PROPOSED RULE CHANGE

The Pacific Exchanse filed a proposed rule change (SR-PCX-98-55) to clarify its rules on the automatic execution of option orders when the PCX market and the market of a competing exchange are crossed or locked. Publication of the proposal is expected in the Federal Resister during the week of December 7. (Rel. 34-40734)

IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE

A proposed rule change (SR-PCX-98-56) filed by the Pacific Exchanse relating to ASAP Members1 access to OptiMark 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 Resister during the week of December 7. (Rel. 34-40739)

SECURITIES ACT REGISTRATIONS \

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears

NEWS DIGEST, December 4, 1998 2

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as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable) ; File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: <public info @ set>. In most cases, this information is also available on the Commission's website: <www.sec.gov>.

5-4 XOMA ARIZONA INC, 2910 SEVENTH ST, BERKELEY, CA 94710 (5121 644-1170 -49,009,985 ($178,426.976.64) COMMON STOCK. (FILE 333-68045 - NOV. 27) (BR. 1 - NEW ISSUE)

S-3 SNYDER COMMUNICATIONS INC, 6903 ROCKLEDGE DR 15TH FL, TWO DEMOCRACY CENTER, BETHESDA, MD 20817 (301) 468-1010 - 3,425,610 ($119,468,149) COMMON STOCK. (FILE 333-68049 - NOV. 27) (BR. 8)

S-1 VERTICALNET INC, 2 WALNUT GROVE DR. SUITE 150, HORSHAM, PA 19044 (215) 328-6100 (FILE 333-68053 - NOV. 27) (BR. 2)

S-8 SDC INTERNATIONAL INC \DE\, 2065 MONTGOMERY ST, FORT WORTH, TX 76107 (561) 882-9300 - 500,000 ($1,250,000) COMMON STOCK. (FILE 333-68055 -NOV. 271 (BR. 9)

S-1 MODEM MEDIA POPPE TYSON INC, 228 SAUGArUCK AYE, WESTPORT, CT 06880 (203) 291-5200 (FILE 333-68057 - NOV. 27) (BR. 8)

S-8 NORSTAN INC, 605 N HIGHWAY 169, 12TH FL, PLYMOUTH, MN 55441 (612) 420-1100 - 1,200,000 ($19,200,000) COMMON STOCK. (FILE 333-68059 -NOV. 27) (BR. 7)

RECENT 8K PILINGS

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. Resignat'ions of Registrant's Directors. Item 7. Financial Statements and Exhibits.

Item 8. Change in Flscal Year. Item 9. Regulation S Offerings.

The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously

flied,-responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box

address: cpublic info @ set>. In most cases, this information is also available on the Commission's website: cmnr.sec.qov>.

NEWS DIGEST, December 4, 1998

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STATE BK I m No.

NAME OF Is.StnIK CODE 1 2 3 4 5 6 7 8 9 DATE CCXWWT .......................................................................... ABN AMRO MORTGAGE CORP DE X 10/27/98 AMEND

ACCESS ANYTIMEBANCORP INC DE x 12/01/98

ADVANTA MORTGAGE CONDUIT SERVICES I DE X X 11/30/98

NC

ADVANTA MORTGAGE CONDUIT SERVICES I DE X X 11/30/98

NC ADVANTA MORTGAGE LOAN TRUST 1997-4 NY X X 11/30/98

ADVANTA MORTGAGE LOAN TRUST 1998-1 NY X X 11/30/98

ADVANTA MORTGAGE LOAN TRUST 1998-3 NY X X 11/30/98

ADVANTA REVOLVING HOME EQUITY LOAN DE X X 11/30/98

TRUST 1998-A ALLIANCE BANCORP OF NEW ENGLAND INC X X 12/02/98

ALLIN COMMUNICATIONS CORP DE X 08/13/98 AMEND ALLIN COMMUNICATIONS CORP DE X 09/30/98 AMEND ALLMERICA FINANCIAL CORP DE X X 12/03/98

ALLTEL CORP DE X 12/02/98

AMB PROPERTY CORP MD X X 12/02/98

AMB PROPERTY LP DE X X 12/02/98

AMERICA FIRST APARTMENT INVESTORS L DE X 09/18/98 AMEND P

AMERICAN VANTAGE COMPANIES NV X X 11/12/98

AMETEK INC/ DE X 12/03/98

APPLE RESIDENTIAL INCOME TRUST INC VA X X 12/02/98

APPLIED MAGNETICS CORP DE X X 11/24/98

AQUAGENIX INC/DE DE X 11/20/98 AQUAPENN SPRING WATER COMPANY INC PA X 12/02/98

ARCADIA RECEIVABLES FINANCE CORP DE X 11/19/98 ARCHIBALD CANDY CORP IL X X 11/30/98

ARGO BANCORP INC /DE/ DE X X 12/03/98 ARGOSY GAMING co DE x 12/01/98

ARIZONA PUBLIC SERVICE CO AZ X 12/01/90 ARONEX PHARMACEUTICALS INC DE x x 11/12/98

ASSET BACKED SECURITIES CORP DE x x ll/30/98

ATLANTIC TELE NETWORK INC /DE DE X 09/30/98

BA MORTGAGE SECURITIES INC/ DE X 11/20/98

BANKERS TRUST CORP NY x x 12/02/98

BARTON BEERS LTD MD X 11/03/98

BARTON BRANDS LTD /DE/ DE X 11/03/98

BARTON BRANDS OF CALIFORNIA INC CT X 11/03/98 BARTON BRANDS OF GEORGIA INC GA x 11/03/98

BARTON DISTILLERS IMPORT CORP NY X 11/03/98 BARTON FINANCIAL CORP DE X 11/03/98 BARTON INC DE X 11/03/98 BATAVIA WINE CELLARS INC NY X 11/03/98

BAXTER INTERNATIONAL INC DE X X 11/17/98 BCSB BANKCORP INC X X 11/25/98

BIG FLOWER PRESS HOLDINGS INC /PRED DE x x 12/01/98

/ BIOFIELD CORP \DE\ DE X X 11/24/98

BRADLEES INC MA X X 12/02/90

BROTHERS GOURMET COFFEES INC DE x x ll/20/98 BRUNNER COMPANIES INCOME PROPERTIES DE X X 12/03/98

LP I

BRUNNER COMPANIES INCOME PROPERTIES DE X X 12/03/98

LP I11 BUSINESS RESOURCE GROUP CA x 12/01/98

CAMBRIDGE TECHNOLOGY PARTNERS MASSA DE X 12/01/98 CHUSETTS INC

CANANDAIGUA BRANDS INC DE X 11/03/98

NEWS DIGEST, December 4, 1998

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STATE 8K I m NO.

NAME OF ISSOKR CODE 1 2 3 4 5 6 7 8 9 DATE .......................................................................... CANANDAIGUA EUROPE LTD NY X 11/03/98

CANANDAIGUA LTD NY X 1 1 / 0 3 / 9 8

CANANDAIGUA WINE co INC /NY/ NY x i i / o 3 / 9 e

CAPITAL AUTOMOTIVE REIT MD X 1 2 / 0 3 / 9 8

CARPENTER W R NORTH AMERICA INC DE X 1 2 / 0 1 / 9 8

CELTRIX PHARMACEUTICALS INC DE X X 1 2 / 0 2 / 9 0

CENTOCOR INC PA X X 1 1 / 1 7 / 9 8

CENTURY COMMUNICATIONS CORP NJ X 1 1 / 1 8 / 9 8

CENTURY TELEPHONE ENTERPRISES INC LA X 1 2 / 0 1 / 9 8

CHASE MANHATTAN BANK /NY/ NY X X 1 1 / 1 6 / 9 8

CHASE MANHATTAN BANK USA DE X X 1 1 / 1 3 / 9 8

CHASE MANHATTAN HOME EQUITY LOAN TR NY X X 1 1 / 1 6 / 9 8

UST 1 9 9 5 - 1

CILCORP INC IL X 1 2 / 0 3 / 9 0

CNA FINANCIAL CORP DE X 1 2 / 0 3 / 9 8

COLONIAL BANCGROUP INC DE X 1 2 / 0 2 / 9 8

COLUMBIA BANCORP \OR\ OR X X 1 1 / 3 0 / 9 8

COMPLETE WELLNESS CENTERS INC DE X 1 2 / 0 1 / 9 0

CONCORD ENERGY INC DE X X 1 2 / 0 3 / 9 8

CONCORDE GAMING CORP CO X X 1 1 / 2 3 / 9 8

CORNERSTONE PROPANE PARTNERS LP DE X X 1 0 / 2 7 / 9 8

CORSAIR COMMUNICATIONS INC DE X X 1 1 / 1 8 / 9 8

CREDIT SUISSE FIRST BOSTON MORT PAS DE X 1 1 / 2 5 / 9 8

S THROUGH CERT SER 1 9 9 8 1

CREDIT SUISSE FIRST BOSTON MORTGAGE DE X 1 1 / 1 7 / 9 8

SECURITIES CORP

CREDIT SUISSE FIRST BOSTON MORTGAGE DE x x l l / 3 0 / 9 8

SECURITIES CORP

CROWN PACIFIC PARTNERS L P DE X X 1 2 / 0 2 / 9 8

CTG RESOURCES INC CT X 1 2 / 0 1 / 9 8

CURTICE BURNS FOODS INC NY x x 1 2 / 0 3 / 9 8

CWABS INC DE X X 1 1 / 2 0 / 9 8

CWABS INC DE X X 1 2 / 0 3 / 9 8

CYGNUS INC /DE/ DE X l l / 3 0 / 9 8

DATA RESEARCH ASSOCIATES INC MO X X 0 9 / 3 0 / 9 7

DATA SYSTEMS NETWORK CORP MI X X 1 2 / 0 1 / 9 8

DENBURY RESOURCES INC X 1 2 / 0 2 / 9 8

DESIGNS INC DE x 1 2 / 0 3 / 9 8

DIAMOND HOME SERVICES INC DE X X 1 1 / 3 0 / 9 8

DIAPULSE CORP OF AMERICA DE X 1 1 / 2 7 / 9 8

DIAPULSE CORP OF AMERICA DE X 1 1 / 2 7 / 9 8

DIGITAL GENERATION SYSTEMS INC CA X 1 2 / 0 3 / 9 8

DILLARDS INC DE x x 1 2 / 0 1 / 9 8

DISCOVER CARD MASTER TRUST I DE x x x l l / 3 0 / 9 8

DISCOVER CARD TRUST 1 9 9 1 D DE X X X 1 1 / 3 0 / 9 8

DISCOVER CARD TRUST 1 9 9 1 F DE x x x l l / 3 0 / 9 8

DISCOVER CARD TRUST 1 9 9 3 - 8 DE X X X 1 1 / 3 0 / 9 8

DUPONT E I DE NEMOURS & CO DE X X 1 2 / 0 3 / 9 8

DVI RECEIVABLES CORP DE X X 1 2 / 0 1 / 9 8 EDUCATION MANAGEMENT CORPORATION X X 1 2 / 0 2 / 9 8

EINSTEIN NOAH BAGEL CORP DE X 1 1 / 2 5 / 9 8

EMMIS COMMUNICATIONS CORP IN X 1 2 / 0 2 / 9 8

ESKIMO PIE CORP VA X 1 2 / 0 2 / 9 8

FANSTEEL INC DE X X 1 2 / 0 3 / 9 8

FARM FAMILY HOLDINGS INC DE X 1 2 / 0 3 / 9 8

FEDERATED DEPARTMENT STORES INC /DE DE X 1 2 / 0 3 / 9 8

/ FINANCIAL ASSET SECURITIES CORP DE X X 1 1 / 3 0 / 9 8 AMEND

FIRST CHARTER CORP /NC/ NC x x 1 0 / 3 1 / 9 8

FIRST COMMONWEALTH CORP VA X 1 1 / 2 0 / 9 8

NEWS DIGEST, December 4, 1998

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STATE 8K I= KO.

HAEIB OF ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE .......................................................................... FIRST MIDWEST BANCORP INC DE X X 11 /13 /98

FIRST UNION COMMERCIAL MORTGAGE SEC DE x 11 /18 /90

URITIES INC FLEET FINANCIAL GROUP INC RI X X 11 /20 /98

FLORIDA POWER & LIGHT CO FL X 12 /01 /98

FOUR MEDIA CO DE X X 09 /18 /98 AMEND

FPA MEDICAL MANAGEMENT INC DE X X 09 /30 /98

FPA MEDICAL MANAGEMENT INC DE X X 09 /30 /98

FPL GROUP INC FL x 12/01/98

FRANKLIN SELECT RERLTY TRUST CA X X 07 /01 /98

FREQUENCY ELECTRONICS INC DE X 10 /05 /98

GABLES REALTY LIMITED PARTNERSHIP DE x x 11 /12 /98

GABLES RESIDENTIAL TRUST MD X X 11 /12 /98

GATEWAY ENERGY CORP/NE DE X 11 /24 /98

GLB BANCORP INC OH X X 11 /24 /98

GORGES QUIK TO FIX FOODS INC DE X X 12 /01 /98

GREEN MOUNTAIN POWER CORP VT x x 11 /18 /98

GROUP LONG DISTANCE INC FL X X 12 /03 /98

GROVE HOLDINGS LLC DE x x 12 /02 /98

GROVE WORLDWIDE LLC DE X X 12 /02 /98

GRYPHON HOLDINGS INC DE X X 11 /23 /98

HALL KINION & ASSOCIATES INC DE X X X 11 /18 /98

HARVARD INDUSTRIES INC FL X X 11 /24 /98 HEADLANDS MORTGAGE PASS THROUGH CER DE X X 11 /25 /98

TIFICATES SERIES 1 9 9 8 - 2

HEILIG MEYERS CO VA X X 12/03/98

HELLER FINANCIAL INC DE X X 12 /03 /98

HOUSEHOLD CONSUMER LOAN TRUST 1996 - DE X 11 /13 /98

1

HOUSEHOLD CONSUMER LOAN TRUST 1 9 9 6 - DE X 11 /13 /98

2

HOUSEHOLD FINANCE CORP HOUSEHOLD AE DE X 11 /16 /98

F CRE CAR MAS TR I HOUSEHOLD FINANCE CORP HOUSEHOLD CO DE X 11 /13 /98

NSUMER LN TRUST 1 9 9 5 - 1 / HOUSEHOLD PRIVATE LABEL CREDIT CARD DE X l l / 2 0 / 9 8

MASTER TRUST I1 HOUSEHOLD REVOLVING HOME EQUITY LOA DE X 11 /20 /98

N TRUST 1 9 9 5 - 2

HOUSEHOLD REVOLVING HOME EQUITY LOA DE X 11 /20 /98

N TRUST 1 9 9 6 - 1

HOUSEHOLD REVOLVING HOME EQUITY LOA DE X 11 /20 /98

N TRUST 1 9 9 6 - 2

HSB GROUP INC CT X 09/21/98

HYBRID NETWORKS INC DE X X X 11 /24 /98

IMC MORTGAGE CO FL X X 11 /27 /98

INDEPENDENCE BREWING CO PA X X 12 /01 /98

INFOSEEK CORP /DE/ DE X X X X 11 /18 /98

INTEGRATED MEDICAL RESOURCES INC KS X 09 /30 /98

INTERCHANGE FINANCIAL SERVICES CORP NJ X 12 /03 /98

/NJ/ JB OXFORD HOLDINGS INC X 12 /03 /98

JMB INCOME PROPERTIES LTD XI1 IL X X 11 /17 /98

KELLWOOD CO DE X X 11 /30 /98

KELLWOOD CO DE X X 12 /01 /98

KIMCO REALTY CORP MD X X X 11 /16 /98

LANDAMERICA FINANCIAL GROUP INC VA X 12 /03 /98

LBO CAPITAL CORP CO X 12 /01 /98

LBO CAPITAL CORP CO X 12 /01 /98

NEWS DIGEST, December 4, 1998

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STl4TB 8KITEnNO.

NAUE OP ISSUER CODE 1 2 3 4 5 6 7 8 9 DATE CCXWENT .......................................................................... LCS INDUSTRIES INC DE x x 12/02/98 LEVEL 3 COMMUNICATIONS INC DE X 11/23/98

LOEWEN GROUP INC X X 12/03/98

LYDALL INC /DE/ DE X 12/02/98

MCGRAW-HILL COMPANIES INC NY X X 12/02/98

MEDIMMUNE INC /DE DE X 12/03/98

MEDTRONIC INC MN X X 11/30/98 MENDIK REAL ESTATE LIMITED PARTNERS NY X 11/17/98

HIP MERITAGE HOSPITALITY GROUP INC /MI/ MI X X 11/12/98 MERRILL LYNCH MOR INV FRST FRAN MOR DE X 11/20/98

LN AS BK CER SR 1998-FF2

MERRILL LYNCH MOR INV GOLDEN NATL M DE X 11/25/98

OR LN AS BK CER 1998-GN1 MERRILL LYNCH MOR INV GOWEN NATL M DE X 11/25/98 OR LN AS BK CER 1998-GN2

MERRILL LYNCH MORTGAGE INVT INC MOR NY X 11/17/98

PA THR CR SR 1998-C2

METALLURG INC DE X X X 11/16/98 AMEND METROPOLITAN HEALTH NETWORKS INC FL X X 11/18/98

MICROMUSE INC DE X 12/03/98

MOBIL CORP DE x x 12/01/98 MOBILEMEDIA COMMUNICATIONS INC DE X 12/02/98 MOBILEMEDIA CORP DE X 12/02/98

MONARCH IMPORT CO IL X 11/03/98 MONRO MUFFLER BRAKE INC NY X X 12/02/98

MOOG INC NY X X 11/30/98 MORTGAGE CAPITAL FUNDING INC DE X 11/18/98

MOTIVEPOWER INDUSTRIES INC DE X X 11/18/98

MUSTANG SOFTWARE INC CA X 12/03/98

NATIONSBANC MONTGOMERY FUNDING CORP DE X X 11/24/98 NATIONSLINK FUNDING CORP COMM MORT DE X 11/20/98 PASS THR CERT SER 1998-1

NATIONSLINK FUNDING CORP COMM MORT DE X X 12/03/98

PASS THR CERT SER 1998-2 NEFF CORP DE X X 12/30/98

NESTOR INC DE X 12/31/98 NETOPIA INC DE X 12/03/98

N I A G m MOHAWK POWER CORP /NY/ NY X X 12/04/98 NORWEST ASSET SECURITIES CORP DE X X 11/23/98 AMEND

NORWEST ASSET SECURITIES CORP DE X X 12/03/98

NUGGET EXPLORATION INC NV X 11/30/98

OHSL FINANCIAL CORP DE X 11/30/98

OMEGA ENVIRONMENTAL INC DE X X X 12/01/98

ORCA TECHNOLOGIES INC IIT X 11/13/98

PATAPSCO BANCORP INC MD X X 11/24/98

PEAK INTERNATIONAL LTD DO X X 12/02/98

PHILLIPS R H INC CA X 11/30/98 PINNACLE WEST CAPITAL CORP AZ X 12/01/98

PNC MORTGAGE SECURITIES CORP MORT P DE X X 11/25/98

ASS THR CERT SER 1998-1 POLK AUDIO INC MD X X 11/23/98

POLYPHENOLICS INC NY X 11/03/90 PORTACOM WIRELESS INC/ DE X X 11/24/98

PRINCETON VIDEO IMAGE INC NJ X X 11/23/98

PRISM SOFTWARE CORP DE X X 11/19/98

PRO FAC COOPERATIVE INC NY X X 12/03/98

PROLOGIS TRUST MD X X 09/30/98

PVF CAPITAL CORP OH X 12/02/98

NEWS DIGEST, December 4, 1998

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r n T B 811 ITEn m. NnME OP ISSOgR CODE 1 2 3 4 5 6 7 8 9 DATE .......................................................................... RESIDENTIAL FUNDING MORTGAGE SECURI DE X X 11/20/98

TIES I INC

RESTRAC INC DE X X 11/18/98

RIDDELL SPORTS INC DE X 11/24/98

RMED INTERNATIONAL INC co x x 12/01/98

ROBERTS TRADING CORP DE X 11/03/98

ROCKWELL MEDICAL TECHNOLOGIES INC MI X X 11/25/98

SANTA BARBARA BANCORP CA X 12/31/98

SAXON ASSET SECURITIES CO VA X 11/19/98

SAXON ASSET SECURITIES TRUST 1998 3 VA X 10/26/98

SAXON ASSET SECURITIES TRUST 1998-1 VA X 11/25/98

SAXON ASSET SECURITIES TRUST 1998-2 VA X 10/26/98

SBARRO INC NY X X 11/25/98

SHOLOKZE INC TN X X 11/24/98

SIMTEK CORP co x 12/01/98

SISTERSVILLE BANCORP INC DE X X 12/03/98

SKYLINE MULTIMEDIA ENTERTAINMENT IN NY x 12/02/98

C

SMART & FINAL INC/DE DE X 12/01/98

SMITHFIELD FOODS INC DE X 12/01/98

SONUS PHARMACEUTICALS INC DE X 11/30/98

SOUTHEASTERN INCOME PROP LP VA X X 08/23/98

STAGE STORES INC DE X X 11/12/98

STEVENS POINT BEVERAGE CO WI X 11/03/98

SUBURBAN PROPANE PARTNERS LP DE X X 11/27/98

TBC CORP DE X X 11/19/98

TECHNOLOGY SOLUTIONS COMPANY DE X X 11/22/98

TRANSAMERICA CONSWR MORTGAGE RECE DE X 11/24/98

IVABLES CORP

TTR INC DE X 11/25/98

UCFC ACCEPTANCE CORP LA X X 11/16/98

UNITED BANKSHARES INC/WV WV X 10/01/98

UNITED INCOME INC OH X 11/20/98

UNITED LEISURE CORP DE X 12/01/98

UNITED STATES FILTER CORP DE X X 11/27/98

UNITED TECHNOLOGIES CORP /DE/ DE x x 12/02/98

UNITED TRUST INC /IL/ IL X ll/20/98

USA SERVICE SYSTEMS INC CO X X X X 12/02/98

VDI MEDIA CA X X 11/17/98

VERTEL CORP CA X 11/23/98

VIDEO DISPLAY CORP GA X X 11/17/98

VIKING DISTILLERY INC GA X 11/03/98

W R GRACE & CO DE X 11/23/98

WATSON PHARMACEUTICALS INC NV X x 11/18/98

WESTFIELD AMERICA INC MO X X 11/17/98

WMC SECURED ASSETS CORP DE x x ll/30/98 P~MEND

WORLD ACCESS INC /NEW/ DE X X 11/12/98

WORLD OMNI DEALER FUNDING INC FL X 10/31/98

XYVISION INC DE X 09/18/98 AMEND

NEWS DIGEST, December 4, 1998