| Date Filed | Title |
| 02/13/2009 | 4 for ROSKENS LISA Y | |
| | COMPANY NAME(s) - [ROSKENS LISA Y (CIK - 1243167 /SIC - Unspecified), AMERICA FIRST TAX EXEMPT INVESTORS LP (CIK - 1059142 /SIC - 6199)] |
| | X0303 4 2009-02-11 0 0001059142 AMERICA FIRST TAX EXEMPT INVESTORS LP ATAXZ 0001243167 ROSKENS LISA Y 1004 FARNAM STREET SUITE 400 OMAHA NE 68102 0 1 0 1 Chairman, President, CEOofGPofGP Director of GP of GP Beneficial Unit Certificates 2009-02-11 4 P 0 3200 6.35 A 313200 I By The Burlington Capital Group, LLC Beneficial Unit Certificates 2009-02-13 4 P 0 1800 6.39 A 315000 I By The Burlington Capital Group, LLC This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by The Burlington Capital Group, LLC, the general partner of the general partner of America First Tax Exempt Investors L.P. The reporting person has a beneficial ownership interest in, and is a director of the Burlington Capital Group, LLC and is deemed to have a pecuniary interest in the Beneficial Unit Certificates due to her ownership interest in The Burlington Capital Group, LLC. /s/ Lisa Y. Roskens 2009-02-13 |
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| 02/13/2009 | SC 13G/A for WC CAPITAL MANAGEMENT LLC | |
| | COMPANY NAME(s) - [WC CAPITAL MANAGEMENT LLC (CIK - 1206633 /SIC - Unspecified), MONARCH CASINO RESORT INC (CIK - 907242 /SIC - 7990)] |
| | Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following . Item 6. Ownership of More than Five Percent on Behalf of Another Person. No individual client's holdings of such securities are more than five percent of the class, other than Willow Creek Capital Partners, L.P. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group The Filers are filing this Schedule 13G jointly, but not as a group, and each of them expressly disclaims membership in a group within the meaning of rule 13d-5(b)(1) under the Securities Exchange Act of 1934, as amended. In addition, the filing of this Schedule 13G on behalf of Willow Creek Capital Partners, L.P. should not be construed as an admission that it is, and it disclaims that it is, the beneficial owner, as defined in Rule 13d-3 under the Securities Exchange Act of 1934, of any of the securities covered by this Schedule 13G. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) |
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| 02/13/2009 | SC 13G/A for OKUMUS AHMET H | |
| | COMPANY NAME(s) - [OKUMUS AHMET H (CIK - 1127685 /SIC - Unspecified), CADENCE DESIGN SYSTEMS INC (CIK - 813672 /SIC - 7372)] |
| | 80a-8). (e) [_] An investment adviser in accordance with s.240.13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with s.240.13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [_] Group, in accordance with s.240.13d-1(b)(1)(ii)(J). Item 4. Ownership. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. Not applicable. _______________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). SK 21952 0001 963992 |
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| 02/13/2009 | 13F-HR for Castle Creek Arbitrage LLC | |
| | COMPANY NAME(s) - [Castle Creek Arbitrage LLC (CIK - 1326638 /SIC - Unspecified)] |
| | BOND 756577AB8 19, 735 19, 800, 000.00 PRN SOLE 19, 800, 000.00 RENAISSANCE ACQUISITION CORP COM 75966C305 688 125, 000.00 SH SOLE 125, 000.00 SP ACQUISITION HOLDINGS INC COM 78470A104 254 27, 692.00 SH SOLE 27, 692.00 SP ACQUISITION HOLDINGS INC WARRANT 78470A112 253 27, 692 SH SOLE 27, 692 SAPPHIRE INDUSTRIALS CORP COM 80306T109 1, 648 178, 990.00 SH SOLE 178, 990.00 SAPPHIRE INDUSTRIALS CORP WARRANT 80306T117 938 102, 564 SH SOLE 102, 564 SECURE AMER ACQUISITION CORP WARRANT 81372L111 266 36, 000 SH SOLE 36, 000 SEPRACOR INC BOND 817315AU8 3, 586 4, 781, 000.00 PRN SOLE 4, 781, 000.00 SEPRACOR INC BOND 817315AW4 11, 143 12, 000, 000.00 PRN SOLE 12, 000, 000.00 SPORTS PPTYS ACQUISITION COR COM 84920F107 327 35, 897.00 SH SOLE 35, 897.00 SPORTS PPTYS ACQUISITION COR WARRANT 84920F115 327 35, 897 SH SOLE 35, 897 STONELEIGH PARTNERS ACQUS CO WARRANT 861923126 1, 062 136, 150 SH SOLE 136, 150 SUPERVALU INC BOND 868536AP8 2, 377 8, 000, 000.00 PRN SOLE 8, 000, 000.00 SYBASE INC BOND 871130AB6 10, 512 9, 500, 000.00 PRN SOLE 9, 500, 000.00 TJX COS INC NEW BOND 872540AL3 4, 627 6, 054, 000.00 PRN SOLE 6, 054, 000.00 TTM TECHNOLOGIES INC BOND 87305RAC3 1, 468 3, 000, 000.00 PRN SOLE 3, 000, 000.00 TEVA PHARMACEUTICAL FIN II L BOND 88164RAB3 21, 588 17, 500, 000.00 PRN SOLE 17, 500, 000.00 THERAVANCE INC BOND 88338TAA2 2, 179 3, 500, 000.00 PRN SOLE 3, 500, 000.00 THORATEC CORP BOND 885175AB5 3, 372 3, 500, 000.00 PRN SOLE 3, 500, 000.00 TRIAN ACQUISITION I CORP COM 89582E108 274 30, 769.00 SH SOLE 30, 769.00 TRIPLECROWN ACQUISITION CORP COM 89677G109 362 40, 049.00 SH SOLE 40, 049.00 TRIPLECROWN ACQUISITION CORP WARRANT 89677G117 362 40, 049 SH SOLE 40, 049 -/TABLE- -PAGE- -TABLE- -S- -C- -C- -C- -C- -C- -C- -C- -C- -C- -C- -C- UAL CORP BOND 902549AH7 2, 413 5, 000, 000.00 PRN SOLE 5, 000, 000.00 USEC INC BOND 90333EAC2 427 1, 000, 000.00 PRN SOLE 1, 000, 000.00 UNITED REFINING ENERGY CORP COM 911360105 947 102, 564.00 SH SOLE 102, 564.00 UNITED RENTALS NORTH AMERICA IN BOND 911365AH7 8, 249 11, 720, 000.00 PRN SOLE 11, 720, 000.00 VERISIGN INC COM 92343E952 191 10, 000 SH PUT SOLE 10, 000 VERISIGN INC BOND 92343EAD4 7, 997 12, 500, 000.00 PRN SOLE 12, 500, 000.00 VICTORY ACQUISITION CORP COM 92644D100 771 79, 492.00 SH SOLE 79, 492.00 VICTORY ACQUISITION CORP WARRANT 92644D118 75 7, 692 SH SOLE 7, 692 VORNADO RLTY TRUST BOND 929042AC3 2, 234 3, 000, 000.00 PRN SOLE 3, 000, 000.00 WMS INDS INC BOND 929297AE9 3, 079 1, 500, 000.00 PRN SOLE 1, 500, 000.00 WASHINGTON MUT INC PREFERRED TOCK 939322814 62 23, 430 SH SOLE 23, 430 WASHINGTON MUT INC COM 939322953 0 21, 900 SH CALL SOLE 21, 900 WESCO INTL INC COM 95082P105 481 25, 000.00 SH SOLE 25, 000.00 WESCO INTL INC COM 95082P955 481 25, 000 SH PUT SOLE 25, 000 WRIGHT MED GROUP INC BOND 98235TAA5 781 1, 000, 000.00 PRN SOLE 1, 000, 000.00 XILINX INC COM 983919951 392 22, 000 SH PUT SOLE 22, 000 XILINX INC BOND 983919AD3 6, 772 10, 000, 000.00 PRN SOLE 10, 000, 000.00 ASIA SPECIAL SIT ACQST CORP COM G0538M105 1, 518 167, 900.00 SH SOLE 167, 900.00 ASIA SPECIAL SIT ACQST CORP COM G0538M113 984 109, 300.00 SH SOLE 109, 300.00 GLOBAL CROSSING LTD COM G3921A955 40 5, 000 SH PUT SOLE 5, 000 NORTH ASIA INVESTMENT CORP COM G66202105 1, 262 150, 000.00 SH SOLE 150, 000.00 OVERTURE ACQUISITION CORP COM G6830P100 147 16, 100.00 SH SOLE 16, 100.00 CHARDAN 2008 CHINA ACQST COR COM G8977T101 648 100, 000.00 SH SOLE 100, 000.00 CHARDAN 2008 CHINA ACQST COR WARRANT G8977T119 648 100, 000 SH SOLE 100, 000 NAVIOS MARITIME ACQUIS CORP COM Y62159101 1, 700 200, 000.00 SH SOLE 200, 000.00 NAVIOS MARITIME ACQUIS CORP WARRANT Y62159119 1, 700 200, 000 SH SOLE 200, 000 -/TABLE- |
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| 02/13/2009 | 8-K for CLASSIC COSTUME CORP INC | |
| | COMPANY NAME(s) - [CLASSIC COSTUME CORP INC (CIK - 1391117 /SIC - 5990)] |
| | Licensed to: MDM Document Created using EDGARizer 4.0.6.3 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. (EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER) DELAWARE 000-142704 20-8317658 (STATE OR OTHER JURISDICTION OF INCORPORATION OR ORGANIZATION) (COMMISSION FILE NO.) (IRS EMPLOYEE IDENTIFICATION NO.) 1202 Lexington Avenue, Apt. On February 5, 2009, the Board of Directors of the Registrant resolved to spin-off the Registrant’s wholly owned subsidiary, World Wide Relics, Inc., a Nevada corporation, to shareholders of record on November 1, 2008 (the “Record Date”). Shareholders as of the Record Date shall receive one share of World Wide Relics, Inc. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized. February 13, 2009 By: /s/Gary Spaniak Gary Spaniak President 2 |
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| 02/13/2009 | EX-32.2 of 10-Q for New England Bancshares Inc | |
| | COMPANY NAME(s) - [New England Bancshares Inc (CIK - 1338248 /SIC - 6035)] |
| | Exhibit 32.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report of New England Bancshares, Inc. (the "Company") on Form 10-Q for the period ending December 31, 2008 as filed with the Securities and Exchange Commission (the "Report"), I, Scott D. Nogles, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that: 1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and 2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company as of and for the period covered by the Report. /s/ Scott D. Nogles -------------------------------- Scott D. Nogles Chief Financial Officer February 13, 2009 |
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| 02/13/2009 | 10-Q for SONOMAWEST HOLDINGS INC | |
| | COMPANY NAME(s) - [SONOMAWEST HOLDINGS INC (CIK - 102588 /SIC - 6519)] |
| | There has been no change in the Company's internal control over financial reporting that occurred during the Company's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Company's internal control over financial reporting. In addition, the design of a control system must reflect the fact that there are resource constraints, and the benefits of controls must be considered relative to their costs. OTHER INFORMATION Item 1. Legal Proceedings None Item 1A. 17 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. |
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| 02/13/2009 | SC 13G/A for CITRIX SYSTEMS INC | |
| | COMPANY NAME(s) - [CITRIX SYSTEMS INC (CIK - 877890 /SIC - 7372), VANGUARD CHESTER FUNDS (CIK - 752177 /SIC - Unspecified)] |
| | SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:10 )* Name of issuer: CITRIX SYSTEMS INC Title of Class of Securities: Common Stock CUSIP Number: 177376100 Date of Event Which Requires Filing of this Statement: December 31, 2008 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: (X) Rule 13d-1(b) ( ) Rule 13d-1(c) ( ) Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. OF ABOVE PERSON VANGUARD CHESTER FUNDS - VANGUARD PRIMECAP FUND - 23-2311358 2. CHECK THE APPROPRIATE [LINE] IF A MEMBER OF A GROUP A. B. X 3. SEC USE ONLY 4. CITIZENSHIP OF PLACE OF ORGANIZATION Delaware (For questions 5-8, report the number of shares beneficially owned by each reporting person with:) 5. SOLE VOTING POWER 9, 950, 000 6. SHARED VOTING POWER 7. SOLE DISPOSITIVE POWER 8. SHARED DISPOSITIVE POWER 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9, 950, 000 10. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.48% 12. Malvern, PA 19355 Item 2(c) Citizenship: Delaware Item 2(d) - Title of Class of Securities: Common Stock Item 2(e) - CUSIP Number 177376100 Item 3 - Type of Filing: This statement is being filed pursuant to Rule 13d-1. Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) Item 4 - Ownership: (a) Amount Beneficially Owned: 9, 950, 000 (b) Percent of Class: 5.48% EEDocs PBStart EEDocs PBEnd (c) Number of shares as to which such person has: (i) sole power to vote or direct to vote: 9, 950, 000 (ii) shared power to vote or direct to vote: (iii) sole power to dispose of or to direct the disposition of: (iv) shared power to dispose or to direct the disposition of: Comments: Item 5 - Ownership of Five Percent or Less of a Class: Not Applicable Item 6 - Ownership of More Than Five Percent on Behalf of Another Person: Not applicable Item 7 - Identification and Classification of the Subsidiary Which Acquired The Security Being Reported on by the Parent Holding Company : Not Applicable Item 8 - Identification and Classification of Members of Group: Not applicable Item 9 - Notice of Dissolution of Group: Not applicable Item 10 - Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Date: 2-13-2009 By /s/ F. William McNabb III* F. William McNabb III President and Chief Executive Officer *By: /s/ Glenn Booraem Glenn Booream, pursuant to a Power of Attorney filed on February 9, 2009, see File Number 811-3916, Incorporated by Reference EEDocs PBStart EEDocs PBEnd |
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| 02/13/2009 | 5 for EDGEWATER TECHNOLOGY INCDE | |
| | COMPANY NAME(s) - [EDGEWATER TECHNOLOGY INCDE (CIK - 1017968 /SIC - 7370), GUZZI PAUL (CIK - 1286117 /SIC - Unspecified)] |
| | X0303 5 2008-12-31 0 0 0 0001017968 EDGEWATER TECHNOLOGY INC/DE/ EDGW 0001286117 GUZZI PAUL 20 HARVARD MILL SQUARE WAKEFIELD MA 01880 1 0 0 0 Common Stock 5000 D Stock Option 7.14 2009-04-01 Common Stock 20000 20000 D Stock Option 6.08 2009-06-02 Common Stock 10000 10000 D Common Stock 4.39 2010-06-16 Common Stock 7500 7500 D Stock Option 6.82 2006-06-06 2011-06-06 Common Stock 12500 12500 D Stock Option 8.32 2007-06-06 2012-06-06 Common Stock 12500 12500 D Stock Option 4.99 2008-06-11 5 A 0 16638 4.99 A 2013-06-11 Common Stock 16638 16638 D These options are fully vested. Quarterly vesting for a one year period. /s/ Kevin R. Rhodes, Attorney-In-Fact 2009-02-13 |
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| 02/13/2009 | EX-21.1 of 10-K for AWARE INC MA | |
| | COMPANY NAME(s) - [AWARE INC MA (CIK - 1015739 /SIC - 3674)] |
| | Licensed to: ga4252 Document Created using EDGARizer 4.0.6.3 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name of Organization Jurisdiction Aware Security Corporation Massachusetts |
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| 02/13/2009 | SC 13G/A for ING CLARION REAL ESTATE SECURITIESN LP | |
| | COMPANY NAME(s) - [ING CLARION REAL ESTATE SECURITIESN LP (CIK - 1033984 /SIC - Unspecified), ING CLARION REAL ESTATE SECURITIESN LP (CIK - 1033984 /SIC - 0000)] |
| | APP. E4 REGULATION OF INVESTMENT ADVISORS CUSIP No. OF ABOVE PERSON ING Clarion Real Estate Securities, L.P. 232802869 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)____ (b)____ 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION 201 King of Prussia Rd, Suite 600, Radnor, PA 19087 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 1, 900, 247 shares, sole voting power 6. SHARED VOTING POWER 2, 900 shares, shared voting power 7. SOLE DISPOSITIVE POWER 4, 370, 847 shares, sole dispositive power 8. SHARED DISPOSITIVE POWER No shares under shared dispositive power 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4, 370, 847 shares 10. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.22% 12. E4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No _______)* Health Care REIT Inc. (b) One Seagate, Suite 1500, Toledo, OH 43604 Item 2 (a) ING Clarion Real Estate Securities, L.P. (b) 201 King of Prussia Rd, Suite 600, Radnor, PA 19087 (c) N/A (d) Ordinary Shares (e) 42217K106 Item 3 (a) Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 Item 4 (a) 4, 370, 847 shares (b) 4.22% (c) (i.) 1, 900, 247 shares, sole voting power (ii.) 2, 900 shares, shared voting power (iii.) 4, 370, 847 shares, sole dispositive power (iv.) No shares, shared dispositive power Item 5 Yes Item 6 N/A Item 7 N/A Item 8 N/A Item 9 N/A Item 10 William E. Zitelli, Chief Compliance Officer |
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| 02/13/2009 | 5 for JONES ROBERT R III | |
| | COMPANY NAME(s) - [JONES ROBERT R III (CIK - 1251731 /SIC - Unspecified), UNITED BANCORPORATION OF ALABAMA INC (CIK - 704561 /SIC - 6022)] |
| | X0303 5 2008-12-31 0 0 0 0000704561 UNITED BANCORPORATION OF ALABAMA INC UBAB 0001251731 JONES ROBERT R III P.O. BOX 8 ATMORE AL 36502 1 1 0 0 President & CEO Cl A Common Stock 2008-12-31 5 L 0 123.2281 A 56903.403 D Cl A Common Stock 2008-12-31 5 L 0 5.3468 A 56903.403 I By spouse and child. Cl A Common Stock 2008-12-31 5 L 0 63.1218 A 56903.403 D Cl A Common Stock 2008-02-27 5 J 0 130 15.30 A 56903.403 D Non Statutory Stock Option 15.75 2006-12-26 2009-05-05 Cl A Common Stock 40800 40800 D These shares were acquired during the fiscal year 2008 through the dividend reinvestment plan. Stock held JTTEN with spouse. Stock held with United Bank as custodian. |
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| 02/13/2009 | 5 for PERRY BARRY W | |
| | COMPANY NAME(s) - [PERRY BARRY W (CIK - 1194502 /SIC - Unspecified), ARROW ELECTRONICS INC (CIK - 7536 /SIC - 5065)] |
| | X0303 5 2008-12-31 0 0 0000007536 ARROW ELECTRONICS INC ARW 0001194502 PERRY BARRY W ARROW ELECTRONICS, INC. 50 MARCUS DRIVE MELVILLE NY 11747 1 0 0 0 Non-Employee Directors Plan Stock Option (right to buy) 17.4375 2000-01-25 2009-01-25 Common Stock 15000 15000 D Non-Employee Directors Plan Stock Option (right to buy) 18.125 2000-05-14 2009-05-14 Common Stock 4000 4000 D Non-Employee Directors Plan Stock Option (right to buy) 33.6875 2001-05-23 2010-05-23 Common Stock 4000 4000 D Non-Employee Directors Plan Stock Option (right to buy) 26.52 2002-05-11 2011-05-11 Common Stock 4000 4000 D Non-Employee Directors Plan Stock Option (right to buy) 26.23 2003-05-23 2012-05-23 Common Stock 4000 4000 D Non-Employee Directors Plan Stock Option (right to buy) 16.51 2004-05-23 2013-05-23 Common Stock 4000 4000 D Phantom Stock Common Stock 8946.61 8946.61 D Restricted Stock Units Common Stock 9482.28 9482.28 D Phanton Stock settled by issuance of shares of Common Stock on a one-for-one basis following (i) termination of services as a Director, (ii) the occurence of an unforeseeable emergency or (iii) a change in control. Restricted Stock Units settled by (i) the issuance of shares of Common Stock on a one-for-one basis following termination of services as a Director, or (ii) payment of the fair market value of an equivalent number of shares of common stock following a change of control. Peter S. Brown, Senior VP & General Counsel 2009-02-13 |
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| 02/13/2009 | EX-12 of 10-K for MDU RESOURCES GROUP INC | |
| | COMPANY NAME(s) - [MDU RESOURCES GROUP INC (CIK - 67716 /SIC - 1400)] |
| | Licensed to: mduedgar08 Document Created using EDGARizer 4.0.7.0 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES AND COMBINED FIXED CHARGES AND PREFERRED STOCK DIVIDENDS Years Ended December 31, 2008 2007 2006 2005 2004 (In thousands of dollars) Earnings Available for Fixed Charges: Net Income (a) $ 293, 826 $ 308, 288 $ 303, 396 $ 250, 905 $ 179, 004 Income Taxes 147, 475 190, 024 166, 110 146, 249 92, 283 441, 301 498, 312 469, 506 397, 154 271, 287 Rents (b) 11, 781 11, 947 7, 688 11, 109 10, 000 Interest (c) 86, 320 76, 248 74, 531 56, 440 58, 814 Total Earnings Available for Fixed Charges $ 539, 402 $ 586, 507 $ 551, 725 $ 464, 703 $ 340, 101 Preferred Dividend Requirements $ 685 $ 685 $ 685 $ 685 $ 685 Ratio of Income Before Income Taxes to Net Income 150 % 159 % 154 % 155 % 146 % Preferred Dividend Factor on Pretax Basis 1, 028 1, 089 1, 055 1, 062 1, 000 Fixed Charges (d) 101, 452 90, 545 84, 898 68, 934 70, 215 Combined Fixed Charges and Preferred Stock Dividends $ 102, 480 $ 91, 634 $ 85, 953 $ 69, 996 $ 71, 215 Ratio of Earnings to Fixed Charges 5.3x 6.5x 6.5x 6.7x 4.8x Ratio of Earnings to Combined Fixed Charges and Preferred Stock Dividends 5.3x 6.4x 6.4x 6.6x 4.8x (a) Net income excludes undistributed income for equity investees. (d) Represents rents (as defined above), interest, amortization of debt discount and expense on all indebtedness, and excludes amortization of gains or losses on reacquired debt (which, under the Federal Energy Regulatory Commission Uniform System of Accounts, is classified as a reduction of, or increase in, interest expense in the Consolidated Statements of Income). |
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| 02/13/2009 | EX-99.3 of 10-Q for Imperial Resources Inc | |
| | COMPANY NAME(s) - [Imperial Resources Inc (CIK - 1435394 /SIC - 1090)] |
| | Licensed to: Corporate House Document Created using EDGARizer 4.0.6.1 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved Exhibit 99.3 CERTIFICATION PURSUANT TO SECTION 302 (a) OF THE SARBANES-OXLEY ACT OF 2002 I, Josey Sajan, certify that: 1. I have reviewed this quarterly report on Form 10-Q of Imperial Resources, Inc. (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; 4. The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a – 15(f) and 15d -15(f)) for the registrant and have; (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal controls over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and (d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control of financial reporting; and 5. The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions): (a) All significant deficiencies and material weaknesses in the design or operation of internal controls over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and (b) ny fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal controls over financial reporting. Date: JOSEY SAJAN Josey Sajan Chief Accounting Officer Chief Financial Officer and Director -1- |
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| 02/13/2009 | SC 13G/A for ADVANTA CORP | |
| | COMPANY NAME(s) - [ADVANTA CORP (CIK - 96638 /SIC - 6141), VANGUARD EXPLORER FUND (CIK - 34066 /SIC - 0000)] |
| | SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.:2 )* Name of issuer: ADVANTA CORP Title of Class of Securities: Common Stock CUSIP Number: 007942105 Date of Event Which Requires Filing of this Statement: December 31, 2008 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: (X) Rule 13d-1(b) ( ) Rule 13d-1(c) ( ) Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. OF ABOVE PERSON VANGUARD EXPLORER FUND - VANGUARD EXPLORER FUND 51-0106626 2. CHECK THE APPROPRIATE [LINE] IF A MEMBER OF A GROUP A. B. X 3. SEC USE ONLY 4. CITIZENSHIP OF PLACE OF ORGANIZATION Delaware (For questions 5-8, report the number of shares beneficially owned by each reporting person with:) 5. SOLE VOTING POWER 409, 323 6. SHARED VOTING POWER 7. SOLE DISPOSITIVE POWER 8. SHARED DISPOSITIVE POWER 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 409, 323 10. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.84% 12. Malvern, PA 19355 Item 2(c) Citizenship: Delaware Item 2(d) - Title of Class of Securities: Common Stock Item 2(e) - CUSIP Number 007942105 Item 3 - Type of Filing: This statement is being filed pursuant to Rule 13d-1. Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) Item 4 - Ownership: (a) Amount Beneficially Owned: 409, 323 (b) Percent of Class: 2.84% EEDocs PBStart EEDocs PBEnd (c) Number of shares as to which such person has: (i) sole power to vote or direct to vote: 409, 323 (ii) shared power to vote or direct to vote: (iii) sole power to dispose of or to direct the disposition of: (iv) shared power to dispose or to direct the disposition of: Comments: Item 5 - Ownership of Five Percent or Less of a Class: Not Applicable Item 6 - Ownership of More Than Five Percent on Behalf of Another Person: Not applicable Item 7 - Identification and Classification of the Subsidiary Which Acquired The Security Being Reported on by the Parent Holding Company : Not Applicable Item 8 - Identification and Classification of Members of Group: Not applicable Item 9 - Notice of Dissolution of Group: Not applicable Item 10 - Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Date: 2-13-2009 By /s/ F. William McNabb III* F. William McNabb III President and Chief Executive Officer *By: /s/ Glenn Booraem Glenn Booream, pursuant to a Power of Attorney filed on February 9, 2009, see File Number 811-3916, Incorporated by Reference EEDocs PBStart EEDocs PBEnd |
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| 02/13/2009 | SC 13G/A for ENZON PHARMACEUTICALS INC | |
| | COMPANY NAME(s) - [ENZON PHARMACEUTICALS INC (CIK - 727510 /SIC - 2836), CITADEL ADVISORS LLC (CIK - 1423053 /SIC - Unspecified)] |
| | 293904108 13G Page 14 of 17 Pages (c) o Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) o Investment company registered under Section 8 of the Investment Company Act; (e) o An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) o An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) o A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) o A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) o Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. 293904108 13G Page 15 of 17 Pages (ii) shared power to vote or to direct the vote: See Item 4(a) above. Item 9 Notice of Dissolution of Group: Not Applicable. Dated this 13th day of February, 2009. |
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| 02/13/2009 | SC 13G for CRYPTOLOGIC LTD | |
| | COMPANY NAME(s) - [CRYPTOLOGIC LTD (CIK - 1094036 /SIC - 7389), MARXE AUSTIN W GREENHOUSE DAVID M (CIK - 1044321 /SIC - Unspecified)] |
| | If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more that five percent of the class of securities, check the following __. Item 6.Ownership of More than Five Percent on Behalf of Another Person: Not Applicable. Page 5 of 6 Pages Item 8. Identification and Classification of Members of the Group: Not applicable Item 9. Notices of Dissolution of Group: Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. /s/_Austin W. Marxe Austin W. Marxe /s/_David M. Greenhouse David M. Greenhouse -6- S5313/1 1319328.02 |
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| 02/13/2009 | 5 for CATTANACH KATHERINE A | |
| | COMPANY NAME(s) - [CATTANACH KATHERINE A (CIK - 1359435 /SIC - Unspecified), UDR Inc (CIK - 74208 /SIC - 6798)] |
| | X0303 5 2008-12-31 0 0 0000074208 UDR, Inc. UDR 0001359435 CATTANACH KATHERINE A 1745 SHEA CENTER DRIVE SUITE 200 HIGHLANDS RANCH CO 80129 1 Common Stock 2008-12-31 5 J 0 958 0 A 13292 D Shares acquired through Dividend Reinvestment. Katherine A. Cattanach 2009-02-11 |
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| 02/13/2009 | 497 for RIVERSOURCE OF NEW YORK VARIABLE ANNUITY ACCOUNT | |
| | COMPANY NAME(s) - [RIVERSOURCE OF NEW YORK VARIABLE ANNUITY ACCOUNT (CIK - 1007571 /SIC - Unspecified)] |
| | -TABLE- -CAPTION- ---------------------------------------------------------------------------------------------------------------- OLD PORTFOLIOS NEW PORTFOLIOS ---------------------------------------------------------------------------------------------------------------- -S- -C- Class I of the American Century VP Value Fund of the RiverSource VP -- Diversified Equity Income Fund of American Century Variable Portfolios the RiverSource Variable Series Trust Class II Shares of the Pioneer Equity Income VCT Portfolio of the Pioneer Variable Contracts Trust ---------------------------------------------------------------------------------------------------------------- Class IB Shares of the Putnam VT International New Series II Shares of the AIM V.I. International Growth Opportunities Fund of the Putnam Variable Trust Fund of the AIM Variable Insurance Funds ---------------------------------------------------------------------------------------------------------------- Service Shares of the Dreyfus VIF International Value Class B of the AllianceBernstein VPS International Portfolio of the Dreyfus Variable Investment Fund Value Portfolio of the AllianceBernstein Variable Products Series Fund Service Shares of the Lazard Retirement International Equity Portfolio of the Lazard Retirement Series ---------------------------------------------------------------------------------------------------------------- Service Class of the MFS(R) Total Return Series of RiverSource VP -- Balanced Fund of the RiverSource the MFS(R) Variable Insurance Trust Variable Series Trust ---------------------------------------------------------------------------------------------------------------- Class 1 of the FTVIPT Templeton Developing Markets Threadneedle VP -- Emerging Markets Fund of the Securities Fund of the Franklin Templeton Variable RiverSource Variable Series Trust Insurance Products Trust ---------------------------------------------------------------------------------------------------------------- Class 2 of the FTVIPT Templeton Foreign Securities Class 2 of the Evergreen VA International Equity Fund Fund of the Franklin Templeton Variable Insurance of the Evergreen Variable Annuity Trust Products Trust ---------------------------------------------------------------------------------------------------------------- -/TABLE- For 30 days following the substitution, you may make one transfer of Contract Value from the Subaccount investing in the Old Portfolio (before the substitution) or the New Portfolio (after the substitution) to any other available Subaccount without being assessed a transfer fee and without that transfer counting against limitations on transfers permitted under your Contract. In addition, until at least 30 days after the substitution, neither RiverSource Life nor RiverSource Life of NY will exercise any rights it may have under your Contract to impose restrictions or charges on transfers into or out of the Old Portfolio (except as are necessary to prevent short-term trading activities). You should already have received a current prospectus for the Replacement Portfolios. However, if you have not already received a current prospectus, please contact your financial adviser. S-6503-15 A (2/09) (RIVERSOURCE INVESTMENT LOGO) 70100 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS, MN 55474 (800) 862-7919 |
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| 02/13/2009 | EX-31.2 of 10-Q for ESPEY MFG ELECTRONICS CORP | |
| | COMPANY NAME(s) - [ESPEY MFG ELECTRONICS CORP (CIK - 33533 /SIC - 3679)] |
| | EXHIBIT 31.2 Certification of the Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, David O'Neil, certify that: 1. I have reviewed this quarterly report on Form 10-Q of Espey Mfg. & Electronics Corp; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15(d)-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15(d)-15(f)) for the registrant and have: (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and (d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent functions): (a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and (b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: February 12, 2009 /s/David O'Neil --------------------------------- David O'Neil Treasurer and Principal Financial Officer 16 |
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| 02/13/2009 | EX-99.1 of 8-K for MICRONETICS INC | |
| | COMPANY NAME(s) - [MICRONETICS INC (CIK - 820097 /SIC - 3679)] |
| | Robbins continued In response to shifting marketplace demands, we have taken steps to reposition our commercial amplifier business by diversifying into additional military applications, and at the same time, we have also reduced fixed costs through workforce reduction. Micronetics also manufactures and designs test equipment and components that test the strength, durability and integrity of communication signals in communications equipment. Some of the statements contained in this news release are forward-looking statements. 27, 2008 Dec. 31, 2007 Net sales $ 8, 398 $ 8, 828 Gross profit 2, 746 3, 625 Research and development 484 289 Selling, general and administrative expenses 1, 956 1, 987 Goodwill impairment charge 7, 965 Intangible asset impairment charge 1, 295 Amortization of intangibles 161 183 Other expense (197 ) (169 ) (Loss) income before income taxes (9, 312 ) 997 Provision for income taxes 72 441 Net (loss) income (9, 384 ) 556 Net (loss) income per common share: Basic (1.96 ) .11 Diluted (1.96 ) .11 Weighted average shares Outstanding: Basic 4, 788 4, 987 Diluted 4, 788 4, 993 INCOME STATEMENT DATA ($000s omitted except per share data) Thirty Nine Weeks Ended Dec. |
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| 02/13/2009 | 10-D for CITIBANK CREDIT CARD MASTER TRUST I | |
| | COMPANY NAME(s) - [CITIBANK CREDIT CARD MASTER TRUST I (CIK - 921864 /SIC - 6189), CITIBANK CREDIT CARD ISSUANCE TRUST (CIK - 1108348 /SIC - 6189),
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| | PART II OTHER INFORMATION MARKER FORMAT-SHEET="Head Major Left Bold" FSL="Default" Item 3. Sales of Securities and Use of Proceeds. The sale of the Class 2008-C11 Notes was exempt from registration under the Securities Act of 1933, as amended, pursuant to Section 4(2) thereof. Description 99 Monthly Report for the Due Period ending January 27, 2009 and the related Payment Dates for the Notes MARKER PAGE="sheet: 5; page: 5" MARKER FORMAT-SHEET="Head Major Center Bold" FSL="Default" SIGNATURES MARKER FORMAT-SHEET="Para Large Indent" Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. |
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| 02/13/2009 | SC 13G for SCHNEIDER CAPITAL MANAGEMENT CORP | |
| | COMPANY NAME(s) - [SCHNEIDER CAPITAL MANAGEMENT CORP (CIK - 1036250 /SIC - Unspecified), ModusLink Global Solutions Inc (CIK - 914712 /SIC - 7389)] |
| | ss.240.13d-1(b)(1)(ii)(F) (g) |_| A parent holding company, in accordance with ss.ss.240.13d-1(b) (1)(ii)(G) (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (j) |_| Group, in accordance with ss.ss.240.13d-1(b)(1)(ii)(H) Item 4. Ownership. N/A Item 10.Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. Please contact me at (215) 988-2719 if you have any questions. |
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| 02/13/2009 | SC 13G for EVANS BOB FARMS INC | |
| | COMPANY NAME(s) - [EVANS BOB FARMS INC (CIK - 33769 /SIC - 5812), ADVISORY RESEARCH INC (CIK - 902584 /SIC - 0000)] |
| | (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act (e) [X] Investment Advisor in accordance with section 240.13d-1(b)(1)(ii)(E) (f) [ ] Employee Benefit Plan or Endowment Fund in accordance with section 240.13d-1(b) (1)(ii)(F) (g) [ ] Parent Holding Company or Control Person in accordance with section 13d-1(b) (1)(ii)(G) (h) [ ] A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 Item 4 Ownership (a) Amount Beneficially Owned: Advisory Research, Inc. 2183430 Shares (b) Percent of Class 7.11% (c) Number of shares as to which reporting person has: (i) Sole Voting Power 2183430 Shares (ii) Shared Voting Power 0 Shares (iii) Sole Dispositive Power 2183430 Shares (iv) Shared Dispositive Power 0 Shares Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable Item 7 Identification and Classification of the Subsidiary Which Acquired the Security being Reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification if Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 02/13/2009 ---------------------------------- Date /s/ Brien M. O'Brien ---------------------------------- Signature Brien M. O'Brien, Chairman & CEO ---------------------------------- Name/Title |
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