| Date Filed | Title |
| 02/13/2009 | 497 for LINCOLN VARIABLE INSURANCE PRODUCTS TRUST | |
| | COMPANY NAME(s) - [LINCOLN VARIABLE INSURANCE PRODUCTS TRUST (CIK - 914036 /SIC - Unspecified)] |
| | Supplement to the Service and Standard Class Prospectuses for the Lincoln Variable Insurance Products Trust Dated April 30, 2008 as Supplemented October 23, 2008 On December 3, 2008, the Board of Trustees of the Lincoln Variable Insurance Products Trust approved the participation of the LVIP Money Market Fund (the "Fund"), a series of Lincoln Variable Insurance Products Trust, in the extended term of the Temporary Guarantee Program for Money Market Funds (the "Program") created by the U.S. Department of the Treasury (the "Treasury"). Subject to certain conditions and limitations, the Program guarantees to each shareholder as of September 19, 2008 the lesser of the value of his/her investment in the Fund as of that date, or the value of the account at the time the net asset value of the Fund falls below $9.95. The Treasury is authorized to extend the Program but to no later than September 18, 2009; however, there can be no assurance that the Fund will participate if the Program is extended beyond April 30, 2009. Further information concerning the Program can be found on the Treasury's website at www.ustreas.gov. Dated February 13, 2009 Please keep this Supplement with your records. |
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| 02/13/2009 | 13F-HR for ALLSTATE PENSION PLAN | |
| | COMPANY NAME(s) - [ALLSTATE PENSION PLAN (CIK - 1015356 /SIC - Unspecified)] |
| | COMMON 747525103 1, 228 34, 278 SH DEFINED 1 X QUALITY SYSTEMS INC COMMON 747582104 409 9, 376 SH DEFINED 1 X QUESTAR CORP. COMMON 806857108 730 17, 254 SH DEFINED 1 X SEATTLE GENETICS INC COMMON 812578102 99 11, 100 SH DEFINED 1 X SPDR GOLD TRUST ETF COMMON 78463V107 468 5, 413 SH DEFINED 1 X SPDR S&P DEP RCPT TRADES AND QUOTES COMMON 78462F103 1, 418 15, 721 SH DEFINED 1 X STIFEL FINANCIAL CORP COMMON 860630102 385 8, 399 SH DEFINED 1 X STRAYER EDUCATION INC COMMON 863236105 643 2, 997 SH DEFINED 1 X SYBASE INC COMMON 871130100 940 37, 935 SH DEFINED 1 X T. ROWE PRICE GROUP COMMON 74144T108 525 14, 819 SH DEFINED 1 X TARGET CORP. COMMON 872540109 581 28, 226 SH DEFINED 1 X TRAVELERS COMPANIES INC COMMON 89417E109 607 13, 423 SH DEFINED 1 X TYCO ELECTRONICS LTD SHS COMMON G9144P105 280 17, 294 SH DEFINED 1 X TYSON FOODS, INC. COMMON 98385X106 757 21, 463 SH DEFINED 1 X "STOCK" 150 114, 387 3, 397, 055 REPORT TOTALS 150 114, 387 3, 397, 055 -/TABLE- |
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| 02/13/2009 | EX-10.03 of 8-K for COLONIAL COMMERCIAL CORP | |
| | COMPANY NAME(s) - [COLONIAL COMMERCIAL CORP (CIK - 21828 /SIC - 5070)] |
| | Licensed to: EDGAR Filings Document Created using EDGARizer 5.1.0.0 Copyright 1995 - 2009 Thomson Reuters. 2 to that certain Secured Note dated as of July 29, 2004 in the principal sum of $750, 000, as amended by Amendment 1, dated March 27, 2008 (“Note”). For good and valuable consideration, the parties to the Note amend the Note (i) to extend the Maturity Date from January 1, 2009 to January 1, 2010 and (ii) to increase the accrued interest rate by 2% so that the Note accrues interest from and after January 1, 2009 at the prime rate of Citibank in effect from time to time plus 2%. Except as set forth above, the Note is hereby ratified and confirmed in all respects. By: /s/ William Pagano Name: William Pagano, Chief Executive Officer Subsidiaries that are “Grantors of a Security Interest” under the Note: Universal Supply Group, Inc. By: /s/ William Pagano Name: William Pagano, Executive Vice President Confirmed: Goldman Associates of New York, Inc. |
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| 02/13/2009 | SC 13G/A for SUN HEALTHCARE GROUP INC | |
| | COMPANY NAME(s) - [SUN HEALTHCARE GROUP INC (CIK - 904978 /SIC - 8051), TRAFELET CAPITAL MANAGEMENT LP (CIK - 1387672 /SIC - Unspecified)] |
| | 80a-3); (j) o Group, in accordance with 240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned Trafelet Capital Management, L.P. - 0 shares Trafelet & Company, LLC - 0 shares Remy Trafelet - 0 shares (b) Percent of Class Trafelet Capital Management, L.P. - 0.0% Trafelet & Company, LLC - 0.0% Remy Trafelet - 0.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote Trafelet Capital Management, L.P. - 0 shares Trafelet & Company, LLC - 0 shares Remy Trafelet - 0 shares CUSIP NO. Item 8. Identification and Classification of Members of the Group Not applicable. CUSIP NO. 422680108 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. This Joint Filing Agreement may be terminated by any of the Filers upon written notice or such lesser period of notice as the Filers may mutually agree. |
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| 02/13/2009 | EX-10.8 of 10-K for SIGNATURE EYEWEAR INC | |
| | COMPANY NAME(s) - [SIGNATURE EYEWEAR INC (CIK - 1036292 /SIC - 3851)] |
| | If this Agreement is terminated by the Company without cause, or by Consultant for cause, the Company shall continue to pay to Consultant the consulting fees provided for hereunder, as and when such fees otherwise would otherwise have been due. 4621 Teller Avenue Suite 200 Newport Beach, California 92660 Telephone: (949) 851-5900 -PAGE- To the Company: Signature Eyewear, Inc. Miscellaneous. This Agreement contains the entire agreement and understanding between the parties hereto and supersedes all prior oral or written negotiations and understandings of any kind with respect to the subject matter hereof. No supplement, amendment, or modification hereof shall be valid unless it shall be in writing and signed by all parties hereto. SIGNATURE EYEWEAR, INC. a DARTMOUTH COMMERCE OF California corporation MANHATTAN, INC., a California corporation By: _________________________ By: _______________________ Michael Prince Richard Torre Its: _________________________ Its: _______________________ |
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| 02/13/2009 | SC 13G/A for MACKINAC FINANCIAL CORP MI | |
| | COMPANY NAME(s) - [MACKINAC FINANCIAL CORP MI (CIK - 36506 /SIC - 6022), BANC FUNDS CO LLC (CIK - 1029311 /SIC - Unspecified)] |
| | (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 of 1940 (e)[ ] An Investment Adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f)[ ] An Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g)[ ] A Parent Holding Company or Control Person in accordance with Rule 13d-1 (b)(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 13d-1(b)(1)(ii)(J) Item 4 Ownership: The following information is provided as of February 10, 2009 for the calendar year ending December 31, 2008: (a) Amount Beneficially Owned: 300, 000 (b) Percent of Class: 8.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 300, 000 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 300, 000 (iv) shared power to dispose or to direct the disposition of: 0 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 8 Identification and Classification of Members of the Group: Not Applicable. -PAGE- 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 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. Date: February 12, 2009 BANC FUND VI L.P. By MIDBANC VI L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President BANC FUND VII L.P. By MIDBANC VII L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President BANC FUND VIII L.P. By MIDBANC VIII L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President |
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| 02/13/2009 | 10-K for FOUR RIVERS BIOENERGY INC | |
| | COMPANY NAME(s) - [FOUR RIVERS BIOENERGY INC (CIK - 1312069 /SIC - 3841)] |
| | Principal Accountant Fees and Services Principal Accountant Fees The following table shows the aggregate fees billed for the audit and other services provided for the fiscal years ended October 31, 2008 and period from March 9, 2007 (date of inception) through October 31, 2007: October 31, 2008 2007 Audit Fees $ 66, 878 $ - Audit Related Fees - - Tax Fees - - All Other Fees - - Total $ 66, 878 $ - Audit Fees consist of fees billed for professional services rendered for the audit of the Company s annual consolidated financial statements and review of the quarterly financial statements and services that are normally provided in connection with statutory and regulatory filings or engagements. 72 PART IV Item 15. Exhibits Exhibit Number Description 3.1 Articles of Incorporation of Med-Tech Solutions, Inc. 31.2* Certification by Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act. (3) Incorporated by reference to the Current Report filed on Form 8-K with the Securities and Exchange Commission on October 30, 2006. 73 SIGNATURES In accordance with Section 13 or 15(d) of the Exchange Act, the Registrant caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized on February 13, 2009. |
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| 02/13/2009 | EX-31.1 of 10-Q for BIG SKY INDUSTRIES V INC | |
| | COMPANY NAME(s) - [BIG SKY INDUSTRIES V INC (CIK - 1121816 /SIC - 9995)] |
| | Exhibit 31.1 CERTIFICATION Certification of President I, Ramon Chimelis, President, certify that: 1. I have reviewed this quarterly report on Form 10-Q of Big Sky Industries V, Inc.; 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 small business issuer as of, and for, the periods presented in this report; 4. The small business issuer's other certifying officer(s) 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 small business issuer 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 small business issuer, 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) Evaluated the effectiveness of the small business issuer'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 (c) Disclosed in this report any change in the small business issuer's internal control over financial reporting that occurred during the small business issuer's most recent fiscal quarter (the small business issuer's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the small business issuer's internal control over financial reporting; and 5. The small business issuer's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the small business issuer's auditors and the audit committee of the small business issuer'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 small business issuer'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 small business issuer's internal control over financial reporting. Dated: February 12, 2009 /s/ Ramon Chimelis Ramon Chimelis, President EDGAR Validation Code: 3F176FB4 |
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| 02/13/2009 | 5 for COHEN STEERS ADVANTAGE INCOME REALTY FUND INC | |
| | COMPANY NAME(s) - [COHEN STEERS ADVANTAGE INCOME REALTY FUND INC (CIK - 1116937 /SIC - Unspecified), STEERS ROBERT HAMILTON (CIK - 1181438 /SIC - Unspecified)] |
| | X0303 5 2008-12-31 0 0 0 0001116937 COHEN & STEERS ADVANTAGE INCOME REALTY FUND INC RLF 0001181438 STEERS ROBERT HAMILTON C/O COHEN & STEERS, INC. Shares were acquired through dividend reinvestments at various prices at fair market value throughout the 2008 reporting year. The reporting person disclaims beneficial ownership of the securities in Wife's account, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
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| 02/13/2009 | EX-99 of 40-17G for NEW CENTURY PORTFOLIOS | |
| | COMPANY NAME(s) - [NEW CENTURY PORTFOLIOS (CIK - 838802 /SIC - Unspecified)] |
| | POLICYHOLDER DISCLOSURE NOTICE OF TERRORISM INSURANCE COVERAGE (for policies with no terrorism exclusion or sublimit) You are hereby notified that, under the Terrorism Risk Insurance Act (the “Act”), effective December 26, 2007, this policy makes available to you insurance for losses arising out of certain acts of terrorism. Under this formula, the United States pays 85% of covered terrorism losses that exceed the statutorily established deductible to be paid by the insurance company providing the coverage. However, if aggregate insured losses attributable to terrorist acts certified under the Act exceed $100 billion in a Program Year (January 1 through December 31), the Treasury shall not make any payment for any portion of the amount of such losses that exceeds $100 billion. 10-02-1281 (Ed. 1/2003) |
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| 02/13/2009 | EX-12.1 of 10-K for BioMed Realty Trust Inc | |
| | COMPANY NAME(s) - [BioMed Realty Trust Inc (CIK - 1289236 /SIC - 6798)] |
| | PAGEBREAK EXHIBIT 12.1 BIOMED REALTY TRUST, INC. STATEMENT OF COMPUTATION OF RATIOS Begin Table Head BioMed Realty Trust, Inc. Period Period August 11, January 1, 2004 through 2004 through Year Ended December 31, December 31, August 17, 2008 2007 2006 2005 2004 2004 End Table Head Begin Table Body Calculation of Earnings: Add: Income from continuing operations before minority interests and income/loss from unconsolidated joint ventures $ 66, 974 $ 74, 231 $ 35, 018 $ 17, 877 $ 5, 062 $ 1, 001 Amortization of interest capitalized 1, 307 59 43 20 6 11 Distributions from unconsolidated joint ventures 687 357 130 106 27 Fixed charges (see below) 80, 854 84, 353 48, 286 23, 934 1, 180 1, 760 Blank Space Subtract: Interest capitalized (41, 242 ) (56, 699 ) (7, 614 ) (708 ) Total earnings before fixed charges 108, 580 102, 301 75, 863 41, 229 6, 275 2, 772 Fixed charges: Interest expensed 39, 612 27, 654 40, 672 23, 226 1, 180 1, 760 Interest capitalized 41, 242 56, 699 7, 614 708 Total fixed charges 80, 854 84, 353 48, 286 23, 934 1, 180 1, 760 Blank Space Ratio of earnings to fixed charges 1.3 1.2 1.6 1.7 5.3 1.6 Blank Space Ratio of earnings to combined fixed charges and preferred stock dividends 1.1 1.0 1.6 1.7 5.3 1.6 Blank Space Preferred stock dividends $ 16, 963 $ 16, 868 $ $ $ $ End Table Body Folio /Folio |
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| 02/13/2009 | SC 13G/A for LIFE TIME FITNESS INC | |
| | COMPANY NAME(s) - [LIFE TIME FITNESS INC (CIK - 1076195 /SIC - 7997), Capital Research Global Investors (CIK - 1422848 /SIC - Unspecified)] |
| | (e) [X] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). Item 4 Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: (b) Percent of class: (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition of: (iv) Shared power to dispose or to direct the disposition of: See page 2 Capital Research Global Investors is deemed to be the beneficial owner of 2, 050, 000 shares or 5.2% of the 39, 712, 000 shares of Common Stock believed to be outstanding as a result of CRMC acting as investment adviser to various investment companies registered under Section 8 of the Investment Company Act of 1940. 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: One or more clients of Capital Research Global Investors have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock of Life Time Fitness Inc. : N/A Item 8 Identification and Classification of Members of the Group: N/A Item 9 Notice of Dissolution of Group: 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 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 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. Date: February 6, 2009 Signature: Timothy D. Armour*** Name/Title: Timothy D. Armour - Senior Vice President Capital Research Global Investors ***By /s/ Herbert Y. Poon Herbert Y. Poon Attorney-in-fact Signed pursuant to a Power of Attorney dated December 21, 2007 included as an Exhibit to Schedule 13G filed with the Securities and Exchange Commission by Capital Research Global Investors on January 10, 2008 with respect to Lowes Companies, Incorporated. |
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| 02/13/2009 | EX-32 of 10-Q for DAILY JOURNAL CORP | |
| | COMPANY NAME(s) - [DAILY JOURNAL CORP (CIK - 783412 /SIC - 2711)] |
| | Licensed to: EDGARfilings Document Created using EDGARizer 4.0.7.0 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved Ex i bit 32 CERTIFICATION BY CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report on Form 10-Q of Daily Journal Corporation (the "Company") for the period ended December 31, 2008 as filed with the Securities and Exchange Commission on the date hereof (the "Report"), I, Gerald L. Salzman, President, Chief Executive Officer and Chief Financial Officer of the Company, certify, pursuant 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that, to the best of my knowledge: (1) the Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) he information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ Gerald L. Salzman Gerald L. Salzman Chief Executive Officer, President and Chief Financial Officer February 13, 2009 The foregoing certification is being furnished solely pursuant to 18 U.S.C. Section 1350, and is not being filed as part of the Report or as a separate disclosure document. |
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| 02/13/2009 | SC 13G/A for PLACHETKA JOHN R | |
| | COMPANY NAME(s) - [PLACHETKA JOHN R (CIK - 1135011 /SIC - Unspecified), POZEN INC NC (CIK - 1059790 /SIC - 2834)] |
| | Plachetka did not have the sole power to vote or direct the vote of any shares of Common Stock. (iv) Each filing person had the shared power to dispose or to direct the disposition of the following shares: John R. Plachetka and Clare A. Plachetka had the shared power to dispose or to direct the disposition of 1, 429, 715 shares of Common Stock. Not applicable. Item 8. Identification and Classification of Members of the Group. /s/ John R. Plachetka Dated: February 13, 2009 JOHN R. PLACHETKA /s/ Clare A. Plachetka Dated: February 13, 2009 CLARE A. PLACHETKA The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. See Section 240.13d-7 for other parties for whom copies are to be sent. |
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| 02/13/2009 | SC 13G/A for TIB FINANCIAL CORP | |
| | COMPANY NAME(s) - [TIB FINANCIAL CORP (CIK - 1013796 /SIC - 6022), BANC FUNDS CO LLC (CIK - 1029311 /SIC - Unspecified)] |
| | (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 of 1940 (e)[ ] An Investment Adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f)[ ] An Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g)[ ] A Parent Holding Company or Control Person in accordance with Rule 13d-1 (b)(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 13d-1(b)(1)(ii)(J) Item 4 Ownership: The following information is provided as of February 10, 2009 for the calendar year ending December 31, 2008: (a) Amount Beneficially Owned: 794, 085 (b) Percent of Class: 5.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 794, 085 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 794, 085 (iv) shared power to dispose or to direct the disposition of: 0 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 8 Identification and Classification of Members of the Group: Not Applicable. -PAGE- 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 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. Date: February 13, 2009 BANC FUND VI L.P. By MIDBANC VI L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President BANC FUND VII L.P. By MIDBANC VII L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President BANC FUND VIII L.P. By MIDBANC VIII L.P., general partner By The Banc Funds Company, L.L.C., general partner By The Banc Funds Company, L.L.C., Owner By /s/ Charles J. Moore Charles J. Moore, President |
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| 02/13/2009 | SC 13G for NORTH POINTE CAPITAL LLC | |
| | COMPANY NAME(s) - [NORTH POINTE CAPITAL LLC (CIK - 1141297 /SIC - Unspecified), PC MALL INC (CIK - 937941 /SIC - 5961)] |
| | Blank Space 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 o. Blank Space Item 6. Ownership of More than Five Percent on Behalf of Another Person. Blank Space Not applicable. Blank Space Item 8. Identification and Classification of Members of the Group. Certification. Blank Space 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 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. NorthPointe Capital, LLC By: /s/ Libby E. Liebig Libby E. Liebig Chief Compliance Officer Folio /Folio |
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| 02/13/2009 | 424B3 for LendingClub Corp | |
| | COMPANY NAME(s) - [LendingClub Corp (CIK - 1409970 /SIC - 6199)] |
| | I do have an additional credit card with a balance of $460, but I will not be consolidating it, as it has a rate of 7.2%. Please help me accelerate my dreams of living a debt-free life! Member loan 378806 was requested on February 11, 2009 by a borrower member with the following characteristics, which have not been verified unless noted with an "*": Home ownership: MORTGAGE Gross income: $8, 333 / month Current employer: Zephyr Real Estate Debt-to-income ratio: 10.78% Length of employment: 4 years 4 months Location: San Francisco, CA Home town: Current & past employers: Zephyr Real Estate, Hospital Education: German school This borrower member posted the following loan description, which has not been verified: I would like to take out the old carpet in most of the home and finish the wood floors underneat to possibly get a higher appraisal for a loan refi. Member loan 378816 was requested on February 12, 2009 by a borrower member with the following characteristics, which have not been verified unless noted with an "*": Home ownership: RENT Gross income: $5, 333 / month Current employer: Mattleman Weinroth and Miller Debt-to-income ratio: 24.70% Length of employment: 6 years Location: Westmont, NJ Home town: Boulder/Colorado Current & past employers: Mattleman Weinroth and Miller Education: University of Colorado at Boulder, Rutgers University at Camden - Law School This borrower member posted the following loan description, which has not been verified: Loan shall be used to pay off existing revolving debt with at least three accounts, some of which are still charging default rates from years ago even though I have maintained a good payment history over the last three years. 123 dated February 12, 2009 |
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| 02/13/2009 | EX-31.1 of 10-Q for FIRST ROBINSON FINANCIAL CORP | |
| | COMPANY NAME(s) - [FIRST ROBINSON FINANCIAL CORP (CIK - 1035991 /SIC - 6035)] |
| | Licensed to: Vintage Filings Document Created using EDGARizer 4.0.6.4 Copyright 1995 - 2008 EDGARfilings, Ltd., an IEC company. All rights reserved Exhibit 31.1 CERTIFICATION PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Rick L. Catt, certify that: 1. I have reviewed this quarterly report on Form 10-Q of First Robinson Financial Corporation (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 quarterly 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 quarterly 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)) 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 quarterly report is being prepared; (b) 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 (c) disclosed in this report any changes 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 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 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 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 13, 2009 /s/ Rick L. Catt Rick L. Catt President and Chief Executive Officer |
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| 02/13/2009 | EX-99.C2 of 487 for Equity Opportunity Trust Dividend Income Value Strategy Series 2009A | |
| | COMPANY NAME(s) - [Equity Opportunity Trust Dividend Income Value Strategy Series 2009A (CIK - 1453159 /SIC - Unspecified)] |
| | PAGEBREAK Exhibit 99.C2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the reference to our firm under the caption Independent Registered Public Accounting Firm and to the use of our report dated February 13, 2009, in the Registration Statement and related Prospectus (Form S-6 No. 333-157008) dated February 13, 2009 of Equity Opportunity Trust Dividend Income Value Strategy Series 2009A. /s/ ERNST & YOUNG LLP ERNST & YOUNG LLP New York, New York February 13, 2009 Folio /Folio |
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| 02/13/2009 | 3 for DRAGOO ROBERT E | |
| | COMPANY NAME(s) - [DRAGOO ROBERT E (CIK - 1456165 /SIC - Unspecified), HEMOBIOTECH INC (CIK - 1301348 /SIC - 2836)] |
| | X0203 3 2009-01-28 0 0001301348 HEMOBIOTECH, INC. HMBT.OB 0001456165 DRAGOO ROBERT E. C/O HEMOBIOTECH, IINC 5001 SPRING VALLEY RD, SUITE 1040-WEST DALLAS TX 75244 1 0 0 0 Options to Purchase Common Stock 0.73 2019-01-28 Common Stock, par value $0.001 per share 15000 D Options granted to reporting person as of 1/28/2009. The options were fully vested and immediately exercisable upon issurance. /s/ Robert Dragoo 2009-02-13 |
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| 02/13/2009 | SC 13G for ORIENT EXPRESS HOTELS LTD | |
| | COMPANY NAME(s) - [ORIENT EXPRESS HOTELS LTD (CIK - 1115836 /SIC - 7011), FEDERATED INVESTORS INC PA (CIK - 1056288 /SIC - 6282)] |
| | Christopher Donahue, individually and as Trustee It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning the other parties unless such party knows or has reason to believe that such information is incomplete or inaccurate. By: /s/ John F. Donahue Name/Title: John F. Donahue, individually and as Trustee of Voting Shares Irrevocable Trust, by J. Christopher Donahue, as attorney-in-fact. that have been delegated the power to direct investments and power to vote the securities by the registered investment companies’ board of trustees or directors and by the separate accounts’ principals. All of the voting securities of Federated Investors, Inc. SIGNATURES TITLE OR CAPACITY /s/John F. Donahue Individually and as Trustee of John F. Donahue the Voting Shares Irrevocable Trust /s/Rhodora J. Donahue Individually and as Trustee of Rhodora J. Donahue the Voting Shares Irrevocable Trust Sworn to and subscribed before me this 23rd day of September, 2004. |
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| 02/13/2009 | 485BPOS for DWS INSTITUTIONAL FUNDS | |
| | COMPANY NAME(s) - [DWS INSTITUTIONAL FUNDS (CIK - 862157 /SIC - Unspecified), DWS INSTITUTIONAL FUNDS (CIK - 862157 /SIC - Unspecified)] |
| | (Registrant) 345 Park Avenue New York, NY 10154 Deutsche Investment Management Americas Inc.: 345 Park Avenue (Investment Advisor) New York, NY 10154 Deutsche Investment Management Americas Inc.: 345 Park Avenue (Administrator) New York, NY 10154 DWS Investments Service Company: 222 South Riverside Plaza (Transfer Agent) Chicago, IL 60606 9 -PAGE- DWS Investments Distributors, Inc.: 222 South Riverside Plaza (Distributor) Chicago, IL 60606 State Street Bank and Trust Company: 225 Franklin Street (Custodian) Boston, MA 02110 DST Systems, Inc.: 333 West 11th Street (Sub-Transfer Agent and Kansas City, MO 64105 Sub-Dividend Distribution Agent) Item 29 Management Services: ------- -------------------- Not applicable Item 30 Undertakings: ------- ------------- Not applicable 10 -PAGE- SIGNATURES ---------- Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement pursuant to Rule 485(b) under the Securities Act of 1933 and has duly caused this amendment to its Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized, in the City of New York and the State of New York on the 3rd day of February 2009. ------------------------------------- Henry P. Becton, Jr.* Trustee February 3, 2009 /s/Dawn-Marie Driscoll ------------------------------------- Dawn-Marie Driscoll* Trustee February 3, 2009 /s/Keith R. Fox ------------------------------------- Keith R. Fox* Trustee February 3, 2009 /s/Paul K. Freeman ------------------------------------- Paul K. Freeman* Chairperson and Trustee February 3, 2009 /s/Kenneth C. Froewiss ------------------------------------- Kenneth C. Froewiss* Trustee February 3, 2009 /s/Richard J. Herring ------------------------------------- Richard J. Herring* Trustee February 3, 2009 /s/William McClayton ------------------------------------- William McClayton* Trustee February 3, 2009 /s/Rebecca W. Rimel ------------------------------------- Rebecca W. Rimel* Trustee February 3, 2009 /s/William N. Searcy, Jr. 72 to the Registration Statement, as filed on April 29, 2008; and as filed on September 30, 2008 in Post-Effective Amendment No. 33-34079 1940 Act File No. 811-06071 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 EXHIBITS TO FORM N-1A POST-EFFECTIVE AMENDMENT NO. 92 TO REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 DWS INSTITUTIONAL FUNDS 11 -PAGE- DWS INSTITUTIONAL FUNDS EXHIBIT INDEX (a)(i) (g)(i) (h)(iii) (h)(iv) (j) (m)(vi) 12 |
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| 02/13/2009 | EX-99.(E)(2) of 485APOS for JOHN HANCOCK TRUST | |
| | COMPANY NAME(s) - [JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified), JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified)] |
| | PAGEBREAK AMENDMENT TO DISTRIBUTION AGREEMENT Date September 28, 2004 The AGREEMENT, dated as of January 1, 2002, as amended June 26, 2003, by and between Manufacturers Investment Trust (the Trust ) and Manulife Financial Securities LLC (the Distributor ) is hereby amended as of September 28, 2004 as follows: WHEREAS, the Distributor acts as principal underwriter with respect to each class of shares of the Trust s series; WHEREAS, the newly adopted Rule 38a-1 under the Investment Company Act of 1940 ( Rule 38a-1 ) requires the Trust to approve and to oversee the implementation of the policies and procedures of the Distributor for compliance with the federal securities laws; WHEREAS, the Trust and the Distributor desire to comply with Rule 38a-1; NOW, THEREFORE, the Trust and the Distributor agree as follows: 1. The Distributor will provide the Trust with its written compliance policies and procedures as required by Rule 38a-1 ( Rule 38a-1 policies and procedures ) for the approval by the Board of Trustees of the Trust. 3. The Distributor agrees to cooperate with the Trust in the annual review of the Distributor s Rule 38a-1 policies and procedures conducted by the Chief Compliance Officer of the Trust to determine the adequacy of the Distributor s Rule 38a-1 policies and procedures and the effectiveness of their implementation (the Annual Review ). The Distributor also agrees to cooperate with the Trust in any interim reviews of the Distributor s Rule 38a-1 policies and procedures to determine their adequacy and the effectiveness of their implementation in response to significant compliance events, changes in business arrangements, and/or regulatory developments ( Interim Review ). Such cooperation includes, without limitation, furnishing such certifications, subcertifications, and documentation as the Trust s Chief Compliance Officer shall reasonably request from time to time and implementing changes to the Distributor s Rule 38a-1 policies and procedures satisfactory to the Trust s Chief Compliance Officer. 5. The Distributor will promptly notify Trust in the event that a Material Compliance Matter, as defined under Rule 38a-1, occurs with respect to the Distributor s Rule 38a-1 policies and procedures and will cooperate with the Trust in providing the Trust with periodic and special reports in the event any Material Compliance Matter occurs. 6. The Distributor (and anyone acting under the direction of the Distributor) will refrain from, directly or indirectly, taking any action to coerce, manipulate, mislead, or fraudulently influence the Trust s Chief Compliance Officer in the performance of her or his responsibilities under Rule 38a-1. IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed as of the day and year first above written. |
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| 02/13/2009 | EX-99.(D)(31)(C) of 485APOS for JOHN HANCOCK TRUST | |
| | COMPANY NAME(s) - [JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified), JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified)] |
| | PAGEBREAK AMENDMENT TO SUBADVISORY AGREEMENT AMENDMENT made as of this 29th day of April, 2005 to the Subadvisory Agreement dated February 1, 1999, as amended (the Agreement ), between John Hancock Investment Management Services, LLC (formerly, Manufacturer s Securities Services, LLC), a Delaware limited partnership (the Adviser ), and Templeton Investment Counsel, LLC (formerly Templeton Investment Counsel, Inc.) (the Subadviser ). In consideration of the mutual covenants contained herein, the parties agree as follows: 1. CHANGE IN APPENDIX A Appendix A to the Agreement is hereby amended to change the subadvisory fee for the International Value Trust as set forth in the revised Appendix A attached to this Amendment. 23. EFECTIVE DATE This Amendment shall become effective with respect to the International Value Trust on the later to occur of: (i) approval of the Amendment by the Board of Trustees of John Hancock Trust and (ii) execution of the Amendment. John Hancock Investment Management Services, LLC By: John Hancock Life Insurance Company (U.S.A.), its managing member Begin Table Head End Table Head Begin Table Body By: /s/James D. Gallagher James D. Gallagher, Executive Vice President, Secretary and General Counsel End Table Body Templeton Investment Counsel, LLC Begin Table Head End Table Head Begin Table Body By: /s/Garyl Motyl Gary Motyl, CFA President, Chief Financial Oficer Templeton Institutional Global Equities End Table Body Folio /Folio PAGEBREAK link1 "APPENDIX A" APPENDIX A The Subadviser shall serve as investment subadviser for the following portfolios of the Trust. The daily fee accruals will be computed by multiplying the fraction of one over the number of calendar days in the year by the applicable annual rate described in the preceding paragraph, and multiplying this product by the net assets of the Portfolio as determined in accordance with the Trust s prospectus and statement of additional information as of the close of business on the previous business day on which the Trust was open for business. Folio /Folio |
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| 02/13/2009 | EX-99.(D)(29) of 485APOS for JOHN HANCOCK TRUST | |
| | COMPANY NAME(s) - [JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified), JOHN HANCOCK TRUST (CIK - 756913 /SIC - Unspecified)] |
| | SEVERABILITY Should any portion of this Agreement for any reason be held to be void in law or in equity, the Agreement shall be construed, insofar as is possible, as if such portion had never been contained herein. Folio /Folio PAGEBREAK 18. IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed under seal by their duly authorized officers as of the date first mentioned above. The Adviser will pay the Subadviser, as full compensation for all services provided under this Agreement, the fee computed separately for each such Portfolio at an annual rate as follows (the Subadviser Percentage Fee ): Begin Table Head Between Between $50, 000, 000 $200, 000, 000 First and and Excess Over PORTFOLIO $50, 000, 000 $200, 000, 000 $500, 000, 000 $500, 000, 000 End Table Head Begin Table Body Blue Chip Growth Trust Blank Space Equity-Income Trust (formerly, the Value Equity Trust) Blank Space Science & Technology Trust End Table Body The Subadviser Percentage Fee for each Portfolio shall be accrued for each calendar day and the sum of the daily fee accruals shall be paid monthly to the Subadviser. Folio /Folio |
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