| Date Filed | Title |
| 02/13/2009 | SC 13G/A for Orange 21 Inc | |
| | COMPANY NAME(s) - [Orange 21 Inc (CIK - 932372 /SIC - 3851), Stephens Investment Management LLC (CIK - 1349475 /SIC - Unspecified)] |
| | 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 not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the |
| |
| 02/13/2009 | 8-K for SONIC AUTOMOTIVE INC | |
| | COMPANY NAME(s) - [SONIC AUTOMOTIVE INC (CIK - 1043509 /SIC - 5500)] |
| | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2009 SONIC AUTOMOTIVE, INC. (Exact name of registrant as specified in |
| |
| 02/13/2009 | 5 for CALLAHAN R BRUCE | |
| | COMPANY NAME(s) - [CALLAHAN R BRUCE (CIK - 1263601 /SIC - Unspecified), NATIONAL FINANCIAL PARTNERS CORP (CIK - 1183186 /SIC - 6411)] |
| | X0303 5 2008-12-31 0 0 1 0001183186 NATIONAL FINANCIAL PARTNERS CORP NFP 0001263601 CALLAHAN R BRUCE 1250 CAPITAL OF TEXAS HWY. SUITE 500 AUSTIN TX 78746 1 0 0 0 Phantom Stock Units 2008-12-31 4 A 0 3108.553 3.04 A Common Stock 3108.553 3108.553 D Each phantom stock unit is the economic equivalent |
| |
| 02/13/2009 | EX-16.1 of 8-K for VICTORIA INDUSTRIES INC | |
| | COMPANY NAME(s) - [VICTORIA INDUSTRIES INC (CIK - 1111118 /SIC - 0800)] |
| | Licensed to: Vintage Filings Document Created using EDGARizer 4.0.6.4 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved GLO CPAs, LLLP 1900 W. Loop South, Suite 1150 Houston, Texas 77027 P: 713.621.4700 F: 713.623.0074 February 3, 2009 Office of the Chief Accountant |
| |
| 02/13/2009 | 424B2 for J P MORGAN CHASE CO | |
| | COMPANY NAME(s) - [J P MORGAN CHASE CO (CIK - 19617 /SIC - 6021)] |
| | the volatility of the Index and the underlying futures contracts; the time to maturity of the notes; the market price of the physical commodities upon which the futures contracts underlying the Index are based; interest and yield rates in the market generally; economic, financial, political, |
| |
| 02/13/2009 | EX-16 of N-14 for Forward Funds | |
| | COMPANY NAME(s) - [Forward Funds (CIK - 889188 /SIC - Unspecified)] |
| | POWER OF ATTORNEY I, the undersigned Trustee, on behalf of Forward Funds, constitute and appoint Mary Curran, Barbara H. Tolle and Douglas P. Dick, each of them individually, the true and lawful attorneys-in-fact and agents, with full power to each of them to sign for me, and in my name and in the |
| |
| 02/13/2009 | EX-99.17(G) of N-14 for PIONEER SHORT TERM INCOME FUND | |
| | COMPANY NAME(s) - [PIONEER SHORT TERM INCOME FUND (CIK - 1286364 /SIC - Unspecified)] |
| | o All other proposals regarding stock compensation plans, including extending the life of a plan, changing vesting restrictions, repricing options, lengthening exercise periods or accelerating distribution of awards and pyramiding and cashless exercise programs. We will vote against: o Pensions for |
| |
| 02/13/2009 | EX-24.4_274044 of 4 for Wuellner Ralf K | |
| | COMPANY NAME(s) - [Wuellner Ralf K (CIK - 1427446 /SIC - Unspecified), BROOKS AUTOMATION INC (CIK - 933974 /SIC - 3559)] |
| | POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Thomas S. Grilk and Jean M. Hutchison, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as |
| |
| 02/13/2009 | SC 13G for Patridge Brian | |
| | COMPANY NAME(s) - [Patridge Brian (CIK - 1437448 /SIC - Unspecified), ecoSolutions Intl (CIK - 1429136 /SIC - 5099)] |
| | If This Statement is Filed Pursuant to Rule 13d-1(b) or 13d-2(b), Check Whether the Person Filing is a: (a) o Broker or dealer registered under Section 15 of the Act (b) o Bank as defined in Section 3(a)(6) of the Act (c) o Insurance Company as defined in Section 3(a)(19) of the Act (d) o Inve |
| |
| 02/13/2009 | SC 13G for WALLACE DAVID W | |
| | COMPANY NAME(s) - [WALLACE DAVID W (CIK - 1027496 /SIC - 0000), WASHINGTON TRUST BANCORP INC (CIK - 737468 /SIC - 6022)] |
| | 1Includes 134, 000 shares owned by Mr. Wallace’s spouse and 913, 000 shares held by the Jean and David W. Wallace Foundation of which Mr. Wallace serves as trustee. 2Includes 134, 000 shares owned by Mr. Wallace’s spouse and 913, 000 shares held by the Jean and David W. Wallace |
| |
| 02/13/2009 | EX-31.2 of 10-Q for ELEMENT 21 GOLF CO | |
| | COMPANY NAME(s) - [ELEMENT 21 GOLF CO (CIK - 797662 /SIC - 3949)] |
| | Licensed to: Vintage Filings Document Created using EDGARizer 4.0.6.4 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved Exhibit 31.2 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, David Khazak, Chief Financial Officer of Element 21 Golf Company |
| |
| 02/13/2009 | SC 13G/A for SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC DE | |
| | COMPANY NAME(s) - [SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC DE (CIK - 1105005 /SIC - Unspecified), VOLTERRA SEMICONDUCTOR CORP (CIK - 1050550 /SIC - 3674)] |
| | 78c); (c) o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) x An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); (f) o An employee benefit |
| |
| 02/13/2009 | 425 for TICKETMASTER ENTERTAINMENT INC | |
| | COMPANY NAME(s) - [TICKETMASTER ENTERTAINMENT INC (CIK - 1006637 /SIC - 7990), TICKETMASTER ENTERTAINMENT INC (CIK - 1006637 /SIC - 7990)] |
| | and, from and after its accession to the Agreement, Merger Sub (the schedules and exhibits have been omitted pursuant to Item 601(b)(2) of Regulation S-K). 10.1 Stockholder Agreement, dated as of February 10, 2009, by and among Live Nation, Inc., Liberty Media Corporation, Liberty USA Holdings, LLC |
| |
| 02/13/2009 | 8-K for NABORS INDUSTRIES LTD | |
| | COMPANY NAME(s) - [NABORS INDUSTRIES LTD (CIK - 1163739 /SIC - 1381)] |
| | Item 9.01 Financial Statements and Exhibits. (d) Exhibits Begin Table Head Exhibit No. Document Description End Table Head Begin Table Body Blank Space 99.1 Press Release issued by Nabors Industries Ltd. on February 13, 2009. End Table Body Folio /Folio PAGEBREAK link1 "SIGNATURE" SIGNATURE Pursuant |
| |
| 02/13/2009 | EX-5.B of S-3ASR for HillRom Holdings Inc | |
| | COMPANY NAME(s) - [HillRom Holdings Inc (CIK - 47518 /SIC - 3841)] |
| | (e) In the case of an Indenture, Deposit Agreement, Warrant Agreement or other agreement pursuant to which any Securities are to be issued, there shall be no terms or provisions contained therein which would affect the validity of the opinions rendered herein. (f) A definitive purchase, underwriting |
| |
| 02/13/2009 | EX-99.17(F) of N-14 for Pioneer Series Trust III | |
| | COMPANY NAME(s) - [Pioneer Series Trust III (CIK - 1306349 /SIC - Unspecified)] |
| | -------------------------------------------------------------------------------- MUNICIPAL NOTE RATINGS An S&P municipal note rating reflects the liquidity concerns and market access risks unique to notes due in three years or less. The following summarizes the ratings used by S&P for municipal |
| |
| 02/13/2009 | SC 13G/A for PDL BIOPHARMA INC | |
| | COMPANY NAME(s) - [PDL BIOPHARMA INC (CIK - 882104 /SIC - 2836), Highbridge International LLC (CIK - 1308315 /SIC - Unspecified)] |
| | 69329Y104 13G Page 19 of 20 Pages EXHIBIT I JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the |
| |
| 02/13/2009 | EX-31.1 of 10-Q for AMC ENTERTAINMENT INC | |
| | COMPANY NAME(s) - [AMC ENTERTAINMENT INC (CIK - 722077 /SIC - 7830)] |
| | User-specified TAGGED TABLE TABLE COLUMN WIDTHS SET TABLE COLUMN WIDTHS END Date: February 13, 2009 /s/ PETER C. BROWN Peter C. Brown Chairman of the Board, Chief Executive Officer, Director and President end of user-specified TAGGED TABLE 57 ZEQ.=1, SEQ=1, EFW="2190641", CP="AMC ENTERTAINMENT |
| |
| 02/13/2009 | SC 13G/A for SOURCE INTERLINK COMPANIES INC | |
| | COMPANY NAME(s) - [SOURCE INTERLINK COMPANIES INC (CIK - 943605 /SIC - 7331), Prentice Capital Management LP (CIK - 1326150 /SIC - Unspecified)] |
| | Prentice Capital Management serves as investment manager to a number of investment funds (including Prentice Capital Partners, LP, Prentice Capital Partners QP, LP, Prentice Capital Offshore, Ltd., Prentice Special Opportunities, LP, Prentice Special Opportunities Offshore, Ltd. and Prentice Special |
| |
| 02/13/2009 | 8-K for GEO GROUP INC | |
| | COMPANY NAME(s) - [GEO GROUP INC (CIK - 923796 /SIC - 8744)] |
| | The information in this Form 8-K is being furnished and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section. The information in this Form 8-K shall not be incorporated by reference into |
| |
| 02/13/2009 | 4 for AMERICA SERVICE GROUP INC DE | |
| | COMPANY NAME(s) - [AMERICA SERVICE GROUP INC DE (CIK - 877476 /SIC - 8090), Columbia Pacific Opportunity Fund LP (CIK - 1399010 /SIC - Unspecified)] |
| | X0303 4 2009-02-11 0 0000877476 AMERICA SERVICE GROUP INC /DE ASGR 0001399010 Columbia Pacific Opportunity Fund LP 1910 FAIRVIEW AVENUE EAST STE 500 Seattle WA 98102 0 0 1 0 Common Stock 2009-02-11 4 P 0 11309 11.41 A 928530 D Common Stock 2009-02-12 4 P 0 30349 11.35 A 958879 D Alexander B. |
| |
| 02/13/2009 | EX-99.1 of 8-K for JEFFERSONVILLE BANCORP | |
| | COMPANY NAME(s) - [JEFFERSONVILLE BANCORP (CIK - 874495 /SIC - 6021)] |
| | PAGEBREAK Exhibit 99.1 JEFFERSONVILLE BANCORP PO Box 398 Jeffersonville, NY 12748 845-482-4000 PRESS RELEASE For More Information, call: 845-482-4000 Begin Table Head End Table Head Begin Table Body Blank Space Contact: Wayne V. Zanetti, President CEO For Release February 12, 2009 End Table Body |
| |
| 02/13/2009 | 8-K for HeartWare International Inc | |
| | COMPANY NAME(s) - [HeartWare International Inc (CIK - 1389072 /SIC - 3841)] |
| | Item 9.01 Financial Statements and Exhibits (d) Exhibits Begin Table Head End Table Head Begin Table Body 2.1 Agreement and Plan of Merger, dated as of February 12, 2009, among Thoratec Corporation, HeartWare International, Inc., Thomas Merger Sub I, Inc. and Thomas Merger Sub II, Inc. Blank Space |
| |
| 02/13/2009 | S-3ASR for ALLSTATE LIFE INSURANCE CO | |
| | COMPANY NAME(s) - [ALLSTATE LIFE INSURANCE CO (CIK - 352736 /SIC - 6311)] |
| | In the event that a claim for indemnification against such liabilities (other than the payment by registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer |
| |
| 02/13/2009 | SC 13G for SOLTA MEDICAL INC | |
| | COMPANY NAME(s) - [SOLTA MEDICAL INC (CIK - 1171298 /SIC - 3845), DELPHI VENTURES V LP (CIK - 1270795 /SIC - Unspecified)] |
| | DELPHI VENTURES V, L.P. DELPHI BIOINVESTMENTS V, L.P. By: /s/ James J. Bochnowski James J. Bochnowski, Attorney-in-fact for above-listed entities Individuals: James J. Bochnowski David L. Douglass John F. Maroney Douglas A. Roeder Deepika R. Pakianathan, Ph.D. Donald J. Lothrop Kevin L. Roberg By: |
| |