| Date Filed | Title |
| 11/26/2007 | N-Q for NORTHWESTERN MUTUAL SERIES FUND INC | |
| | COMPANY NAME(s) - [NORTHWESTERN MUTUAL SERIES FUND INC (CIK - 742212 /SIC - Unspecified)] |
| | Donnelley Corp., 8.875%, 10/15/17 144A 35, 000 36 (c) Univision Communications, 9.75%, 3/15/15 144A 150, 000 146 Videotron Ltee, 6.375%, 12/15/15 25, 000 24 Videotron Ltee, 6.875%, 1/15/14 10, 000 10 Total 2, 384 Real Estate (0.1%) American Real Estate Partners LP, 7.125%, 2/15/13 20, 000 19 Icahn Enterprises LP, 7.125%, 2/15/13 144A 90, 000 86 The Rouse Co., 7.20%, 9/15/12 85, 000 85 Total 190 Services (0.2%) Allied Waste North America, Inc., 6.875%, 6/1/17 70, 000 70 Allied Waste North America, Inc., 7.25%, 3/15/15 70, 000 71 ARAMARK Corp., 8.50%, 2/1/15 105, 000 108 ARAMARK Corp., 8.856%, 2/1/15 30, 000 30 Realogy Corp., 10.50%, 4/15/14 144A 110, 000 94 Realogy Corp., 12.375%, 4/15/15 144A 75, 000 57 WCA Waste Corp., 9.25%, 6/15/14 65, 000 67 Total 497 Structured Product (0.4%) CDX North America High Yield, 7.50%, 6/29/12 160, 000 155 Dow Jones Credit Derivative High Yield, 7.125%, 12/29/11 144A 1, 000, 000 1, 002 Total 1, 157 Technology (0.2%) Flextronics International, Ltd., 6.50%, 5/15/13 75, 000 72 Freescale Semiconductor, Inc., 8.875%, 12/15/14 80, 000 77 Freescale Semiconductor, Inc., 9.125%, 12/15/14 99, 000 92 Freescale Semiconductor, Inc., 10.125%, 12/15/16 25, 000 23 NXP BV, 7.875%, 10/15/14 105, 000 100 NXP BV, 9.50%, 10/15/15 50, 000 47 Sabre Holdings Corp., 6.35%, 3/15/16 75, 000 68 Stats Chippac, Inc., 6.75%, 11/15/11 43, 000 43 Sungard Data Systems, Inc., 9.125%, 8/15/13 95, 000 99 Travelport LLC, 11.875%, 9/1/16 65, 000 68 Total 689 Telecommunications (0.3%) American Tower Corp., 7.00%, 10/15/17, 144A 65, 000 65 Citizens Communications, 9.00%, 8/15/31 165, 000 168 Citizens Communications, 9.25%, 5/15/11 145, 000 158 Qwest Capital Funding, Inc., 7.90%, 8/15/10 65, 000 66 Qwest Communications International, Inc., 7.50%, 11/1/08 25, 000 25 Qwest Corp., 6.50%, 6/1/17 144A 85, 000 83 Qwest Corp., 7.50%, 10/1/14 16, 000 17 Qwest Corp., 7.875%, 9/1/11 67, 000 70 Rogers Wireless, Inc., 8.00%, 12/15/12 74, 000 77 Windstream Corp., 7.00%, 3/15/19 55, 000 54 Windstream Corp., 8.125%, 8/1/13 85, 000 89 Windstream Corp., 8.625%, 8/1/16 95, 000 102 Total 974 Transportation (0.1%) American Railcar Industries, Inc., 7.50%, 3/1/14 55, 000 55 Grupo Transportacion Ferroviaria Mexicana, SA de CV (TFM), 9.375%, 5/1/12 67, 000 70 Kansas City Southern de Mexico SA de CV, 7.375%, 6/1/14 144A |
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| 10/10/2007 | EX-99.1 of 8-K for ADVENTRX PHARMACEUTICALS INC | |
| | COMPANY NAME(s) - [ADVENTRX PHARMACEUTICALS INC (CIK - 1160308 /SIC - 2834)] |
| | National Center for Health Statistics, UNAIDS/WHO, Datamonitor Pipeline Insight HIV 8/06 HIV/AIDS Market RTI SALES (US) Drugs targeting HIV reverse transcriptase generated $3.2B in U.S. sales (2006) MARKET GROWTH HIV/AIDS is a chronic disease: Goal of treatment is lifelong viral suppression. Matrixx Initiatives, Inc. 2006 annual report. ANX-211 ANX-211 ANX-211 has demonstrated efficacy against viruses responsible for the common cold, influenza and other respiratory tract infections in preclinical studies Zicam(r) Leading competitive US product positioned for cold Zicam-branded cold remedy and multi-symptom cold/flu product line sold nearly $75M in 2006 Estimated 20-50M cases of flu and 500M cases of common cold each year in U.S. Zinc and chitosan based intranasal/topical broad spectrum antiviral designed to reduce duration and severity of cold and flu for OTC market PAGEBREAK Slide Number 0036 ANX-211 Preclinical Efficacy No antiviral added (positive control) Zinc only preparation ANX-211 HEK cells infected by adenovirus carrying -gal gene. ANX-211 was more effective than the zinc only preparation in protecting the cells against the adenovirus infection. Alex J. Denner, Ph.D. Icahn Partners LP, Icahn Partners Master Fund LP; Director, ImClone Systems Michael M. Goldberg, M.D. Partner, Montaur Capital Partners Mark J. Pykett, V.M.D., Ph.D. President and COO, Alseres Pharmaceuticals Inc.; Cofounder, Cytomatrix PAGEBREAK Slide Number 0039 Q4 2007 Milestones ANX-530 Marketing-Enabling Bioequivalence Study Data anticipated Nov. |
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| 10/12/2007 | SC 13D/A for BEA SYSTEMS INC | |
| | COMPANY NAME(s) - [BEA SYSTEMS INC (CIK - 1031798 /SIC - 7372), ICAHN CARL C ET AL (CIK - 921669 /SIC - 0000)] |
| | Icahn Press Release, dated October 12, 2007 -PAGE- SIGNATURE After reasonable inquiry and to the best of each of the undersigned knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. By: /s/ Andrew Skobe ---------------- Name: Andrew Skobe Title: Interim Chief Financial Officer -PAGE- BECKTON CORP. concerning BEA's letter to Oracle. October 12, 2007 BEA Systems, Inc. As per our last conversation, I agree that BEA has great technology as well as great promise in SOA, virtualization, and growth in the Chinese market, and would be of great strategic value to a synergistic acquirer. |
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| 11/06/2007 | 10-K/A for HALLWOOD GROUP INC | |
| | COMPANY NAME(s) - [HALLWOOD GROUP INC (CIK - 355766 /SIC - 2221)] |
| | In addition, HIL and Mr. Gumbiner perform services for certain affiliated entities that are not subsidiaries of the Company, for which they receive consulting fees, bonuses, stock options, net profit interests or other forms of compensation and expenses. The Company pays certain common general and administrative expenses and charges HIL an overhead reimbursement fee for its allocable share of the expenses. Hallwood Energy. Beginning August 1, 2005, Hallwood Energy and its predecessor entities shares common offices, facilities and certain staff in its Dallas office with the Company. Hallwood Realty Partners, L.P. The Company s former Hallwood Realty and HCRE real estate subsidiaries earned asset management, property management, leasing and construction supervision fees from HRP prior to the sale of its investments in July 2004. High River and I.G. Holdings. In April 2003, an action was filed against HRP s general partner, Hallwood Realty (the General Partner ), its directors and HRP as nominal defendant by High River Limited Partnership, which is indirectly wholly owned by Carl C. Icahn, in the Court of Chancery of the State of Delaware, styled High River Limited Partnership v. Hallwood Realty, LLC, et al, (C.A. No. 20276). The action related to a tender offer by High River for units of HRP. |
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| 10/23/2007 | S-1/A for SANDRIDGE ENERGY INC | |
| | COMPANY NAME(s) - [SANDRIDGE ENERGY INC (CIK - 1349436 /SIC - 1311)] |
| | Aggregate payments to the East Breaks escrow accounts are as follows (in thousands): Table Width Row colindex=01 type=maindata colindex=02 type=gutter colindex=02 type=lead colindex=02 type=body colindex=02 type=hang1 Year Ended December 31, Remainder of 2006 800 2007 6, 100 2008 3, 200 2009 3, 200 2010 5, 000 Thereafter 4, 000 $ 22, 300 8. Debt The Company s debt consists of credit facilities, notes payable, note payable to affiliates and senior notes payable to affiliates. The Credit Agreement provided for a loan commitment amount of up to $145.0 million and a letter of credit commitment of up to $15 million (provided, the outstanding aggregate amount of the unpaid borrowings, plus the aggregate undrawn face amount of all outstanding letters of credit shall not exceed the borrowing base under the Credit Agreement). The Credit Agreement provided further that the amount available to the Operating LLC at any time was subject to certain restrictions, covenants, conditions and changes in the borrowing base calculation. Fluctuations in the applicable interest rate margins are based upon Operating LLC s total usage of the amount of credit available under the Credit Agreement, with the applicable margins increasing as Operating LLC s total usage of the amount of the credit available under the Credit Agreement increases. The Credit Agreement required, among other things, semiannual engineering reports covering oil and natural gas properties, and maintenance of certain financial ratios, including the maintenance of a minimum interest coverage, a current ratio, and a minimum tangible net worth. |
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| 09/21/2007 | CORRESP for IMCLONE SYSTEMS INC | |
| | COMPANY NAME(s) - [IMCLONE SYSTEMS INC (CIK - 765258 /SIC - 2836)] |
| | September 21, 2007 VIA EDGAR Mr. For ease of reference, we have retyped the Staff s comment before each of our responses, and our responses are numbered to correspond with the Staff s comments. Among the events which affected the strategic direction of the Company and the formulation of its corporate goals were the following: During the first quarter of 2006, the Company s Board of Directors engaged an investment bank to conduct a full review of the Company s strategic alternatives, including a merger, sale or strategic alliance. In October 2006, David M. Kies, then Chairman of the Company s Board of Directors, and William W. Crouse resigned from the Board of Directors. The Executive Committee was designated as the principal executive body for the Company until the selection of a Chief Executive Officer, which did not occur until on or about August 9, 2007. |
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| 10/01/2007 | N-PX/A for POWERSHARES EXCHANGE TRADED FUND TRUST | |
| | COMPANY NAME(s) - [POWERSHARES EXCHANGE TRADED FUND TRUST (CIK - 1209466 /SIC - Unspecified)] |
| | SEQ.=1, FOLIO='', FILE='C:\Fc\27235644451_P66491CHE_2435379\24933-2-dg-183.htm', USER='jmsproofassembler', CD='Sep 29 03:57 2007' -------------------------------------------------------------------------------------------------------------------------- AMERICAN MEDICAL SYSTEMS HOLDINGS, I Agenda Number: 932689079 -------------------------------------------------------------------------------------------------------------------------- Security: 02744M108 Meeting Type: Annual Ticker: AMMD Meeting Date: 30-May-2007 ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR MARTIN J. EMERSON Mgmt For For ALBERT JAY GRAF Mgmt For For ROBERT MCLELLAN, M.D. Mgmt For For 02 PROPOSAL TO RATIFY THE SELECTION OF ERNST & Mgmt For For YOUNG AS INDEPENDENT AUDITORS FOR 2007. -------------------------------------------------------------------------------------------------------------------------- AMERICAN RAILCAR INDUSTRIES INC. Agenda Number: 932689954 -------------------------------------------------------------------------------------------------------------------------- Security: 02916P103 Meeting Type: Annual Ticker: ARII Meeting Date: 10-May-2007 ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR CARL C. ICAHN Mgmt For For JAMES J. UNGER Mgmt For For VINCENT J. INTRIERI Mgmt For For KEITH MEISTER Mgmt For For PETER K SHEA Mgmt For For JAMES M. LAISURE Mgmt For For JAMES C. PONTIOUS Mgmt For For HAROLD FIRST Mgmt Withheld Against BRETT ICHAN Mgmt For For -------------------------------------------------------------------------------------------------------------------------- AMERICAN REPROGRAPHICS CO Agenda Number: 932696199 -------------------------------------------------------------------------------------------------------------------------- Security: 029263100 Meeting Type: Annual Ticker: ARP Meeting Date: 22-May-2007 ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR S. CHANDRAMOHAN Mgmt For For K. SURIYAKUMAR Mgmt For For THOMAS J. FORMOLO Mgmt Withheld Against DEWITT KERRY MCCLUGGAGE Mgmt For For MARK W. MEALY Mgmt Withheld Against MANUEL PEREZ DE LA MESA Mgmt For For ERIBERTO R. SCOCIMARA Mgmt For For 02 RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Mgmt For For LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR 2007. -------------------------------------------------------------------------------------------------------------------------- AMERICAN STATES WATER COMPANY Agenda Number: 932671060 -------------------------------------------------------------------------------------------------------------------------- Security: 029899101 Meeting Type: Annual Ticker: AWR Meeting Date: 22-May-2007 ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR JAMES L. ANDERSON |
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| 10/12/2007 | 4 for BEA SYSTEMS INC | |
| | COMPANY NAME(s) - [BEA SYSTEMS INC (CIK - 1031798 /SIC - 7372), ICAHN CARL C ET AL (CIK - 921669 /SIC - Unspecified),
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| | Icahn disclaims beneficial ownership of such Shares. As a result of exercising the $7.50 Call Options, High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III beneficially own in the aggregate 51, 820, 017 Shares. Icahn, by virtue of their relationships to Icahn Master, Icahn Master II and Icahn Master III, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master, Icahn Master II and Icahn Master III directly beneficially owns. Icahn disclaims beneficial ownership of such Shares. High River, Icahn Partners, Icahn Master, Icahn Master II and Icahn Master III previously wrote European-style put options with an exercise price of $9.00 referencing an aggregate of 8, 500, 000 underlying Shares and expiring on November 3, 2008 (the ("$9.00 Put Options"). The $9.00 Put Options provided that they settle in cash. See also Form 4 filed by Carl C. Icahn et al. |
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| 11/05/2007 | 13F-HR for Indiana Trust Investment Management CO | |
| | COMPANY NAME(s) - [Indiana Trust Investment Management CO (CIK - 1356407 /SIC - Unspecified)] |
| | Equity 365558105 11, 310 290 S Define 0 290 0 0 Genentech Inc Com Equity 368710406 672, 532 8, 620 S Sole 0 8, 645 0 100 Genentech Inc Com Equity 368710406 9, 753 125 S Define 0 0 0 0 General Dynamics Corp Equity 369550108 185, 834 2, 200 S Sole 0 2, 000 0 200 General Electric Co Com Equity 369604103 2, 225, 209 53, 749 S Sole 0 53, 387 0 3, 612 General Electric Co Com Equity 369604103 134, 550 3, 250 S Define 0 0 0 0 General Mills Inc Com Equity 370334104 38, 287 660 S Sole 0 660 0 0 Genesis Energy L.P. Equity 371927104 6, 255, 110 224, 600 S Sole 0 229, 100 0 0 Genesis Energy L.P. Equity 371927104 125, 325 4, 500 S Define 0 0 0 0 Georgia Gulf Corp Com Equity 373200203 5, 560 400 S Sole 0 400 0 400 Gilead Sciences, Inc. Equity 375558103 40, 870 1, 000 S Define 0 1, 000 0 0 Glaxosmithkline PLC Equity 37733W10 26, 600 500 S Sole 0 500 0 0 Goldman Sachs Group Equity 38141G104 86, 696 400 S Sole 0 600 0 0 Goldman Sachs Group Equity 38141G104 43, 348 200 S Define 0 0 0 0 Google Inc Equity 38259P508 19, 854 35 S Sole 0 35 0 0 Grainger W W Inc Com Equity 384802104 248, 493 2, 725 S Sole 0 2, 725 0 0 Grant Prideco Inc Com Equity 38821G101 545 10 S Sole 0 10 0 0 Great Plains Energy Inc Equity 391164100 28, 810 1, 000 S Sole 0 1, 000 0 0 Greater AZ Dev Auth 391577CL5 2, 594, 575 25, 000 S Sole 0 25, 000 0 0 Grupo Televisa SA Spons Equity 40049J206 45, 923 1, 900 S Sole 0 1, 900 0 0 Halliburton Co Com Equity 406216101 76, 800 2, 000 S Sole 0 2, 000 0 0 The Hanover Insurance Equity 410867105 50, 819 1, 150 S Sole 0 1, 150 0 0 Harley Davidson Inc Com Equity 412822108 87, 799 1, 900 S Sole 0 1, 800 0 100 Hewlett Packard Co Com Equity 428236103 344, 846 6, 926 S Sole 0 5, 900 0 1, 026 Hillenbrand Industries Inc Equity 431573104 38, 514 700 S Sole 0 500 0 700 Hillenbrand Industries Inc Equity 431573104 27, 510 500 S Define 0 0 0 0 Home Depot Inc Com Equity 437076102 801, 755 24, 715 S Sole 0 25, 160 0 350 Home Depot Inc Com Equity 437076102 25, 790 795 S Define 0 0 0 0 Honeywell Intl Inc Com Equity 438516106 16, 652 280 S Sole 0 280 0 0 Icahn Enterprises L.P Equity 451100101 71, 475 612 S Sole 0 612 0 0 Idearc Inc Equity 451663108 315 10 S Sole 0 10 0 0 Illinois Tool Works Inc Com Equity 452308109 2, 517, 703 42, 215 S Sole 0 42, 465 0 0 Illinois Tool Works |
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| 10/03/2007 | 4 for WCI COMMUNITIES INC | |
| | COMPANY NAME(s) - [WCI COMMUNITIES INC (CIK - 1137778 /SIC - 1531), ICAHN PARTNERS LP (CIK - 1313666 /SIC - Unspecified),
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| | X0202 4 2007-10-01 0 0001137778 WCI COMMUNITIES INC WCI 0000921669 ICAHN CARL C ET AL C/O ICAHN CAPITAL MANAGEMENT LP 767 FIFTH AVE., SUITE 4700 NEW YORK NY 10153 1 0 1 0 0001313666 ICAHN PARTNERS LP C/O ICAHN CAPITAL MANAGEMENT LP 767 FIFTH AVENUE, SUITE 4700 NEW YORK NY 10153 0 0 0 1 see footnotes 0001412093 ICAHN PARTNERS HOLDING LP 445 HAMILTON AVENUE SUITE 1210 WHITE PLAINS NY 10601 0 0 0 1 see footnotes 0001322827 Icahn Partners Master Fund LP C/O WALKERS SPV LIMITED, P.O. BOX 908GT 87 MARY STREET GEORGE TOWN, GRAND CANYON E9 E9 CAYMAN ISLANDS 0 0 0 1 see footnotes Common Stock 2007-10-01 4 A 0 3073 6.51 A 6100023 I see footnotes Of these shares of Common Stock, par value $0.01 per share ("Shares"), of WCI Communities, Inc. ("WCI"), Carl C. Icahn directly beneficially owns 3, 848 shares, High River Limited Partnership ("High River") directly beneficially owns 1, 279, 725 Shares and Icahn Partners LP ("Icahn Partners") directly beneficially owns 2, 901, 892 Shares. Of these Shares, Icahn Partners Master Fund LP ("Icahn Master") directly beneficially owns 1, 914, 558 Shares. Barberry Corp. ("Barberry) is the sole member of Hopper Investments LLC ("Hopper"), which is the general partner of High River. Beckton Corp. ("Beckton") is the sole stockholder of Icahn Enterprises G.P. Inc. ("Icahn Enterprises GP"), which is the general partner of Icahn Enterprises Holdings L.P. ("Icahn Enterprises"). Icahn Enterprises is the sole member of IPH GP LLC ("IPH"), which is the general partner of Icahn Partners Holding L.P. ("Icahn Partners Holdings"). Icahn Partners Holding is the general partner of each of Icahn Onshore L.P. ("Icahn Onshore") and Icahn Offshore LP ("Icahn Offshore"). Icahn Onshore is the general partner of Icahn Partners. Icahn Offshore is the general partner of Icahn Master. Each of Barberry and Beckton is 100 percent owned by Carl C. Icahn. The foregoing entities, together with Mr. Icahn, are sometimes referred to collectively in this Form 4 as the "Reporting Persons." Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners, are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Hopper, Barberry and Mr. Icahn, by virtue of its relationship to High River, is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master is deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Reporting Person received shares pursuant to the 2005 Compensation Program for Non-Employee Directors as Amended 12/13/2006 ("Compensation Program") adopted by Issuer's Board of Directors effective 10/3/2005 in lieu of payment to the Reporting Person of $20, 000. CARL C. ICAHN 2007-10-03 ICAHN PARTNERS LP 2007-10-03 ICAHN PARTNERS HOLDING LP 2007-10-03 ICAHN PARTNERS MASTER FUND LP 2007-10-03 |
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