| Date Filed | Title |
| 03/12/2009 | SC TO-T/A for INDEVUS PHARMACEUTICALS INC | |
| | COMPANY NAME(s) - [INDEVUS PHARMACEUTICALS INC (CIK - 854222 /SIC - 2834), ENDO PHARMACEUTICALS HOLDINGS INC (CIK - 1100962 /SIC - 2834)] |
| | Holveck to the employees of Endo dated January 5, 2009 (incorporated by reference to Exhibit 99.7 to the Schedule TO-C filed by Endo and Purchaser with the Securities and Exchange Commission on January 5, 2009) (a)(5)(F)* Script for conference call with Blaine T. Davis, David P. Holveck and Dr. Glenn L. Cooper, dated January 5, 2009 (incorporated by reference to Exhibit 99.8 to the Schedule TO-C filed by Endo and Purchaser with the Securities and Exchange Commission on January 5, 2009) (a)(5)(G)* Website Announcement, dated January 5, 2009 (incorporated by reference to Exhibit 99.9 to the Schedule TO-C filed by Endo and Purchaser with the Securities and Exchange Commission on January 5, 2009) (a)(5)(H)* Transcript of Endo Pharmaceuticals Analyst Day Presentation, dated as of January 6, 2009 (a)(5)(I)* Revised Website Announcement, dated January 7, 2009 (a)(5)(J)* Complaint filed by Arthur Gober, CGM IRA Beneficiary Custodian, Beneficiary of Jerome Gober in the Court of Chancery of the State of Delaware on January 9, 2009 (a)(5)(K)* Complaint filed by Malena C. Scroeder in the Superior Court of the Commonwealth of Massachusetts on January 12, 2009 (a)(5)(L)* Excerpted Slides from Presentation of David P. Holveck at the J.P. Morgan Healthcare Conference, dated January 14, 2009 (a)(5)(M)* Complaint filed by Martin Wexler in the Superior Court of the Commonwealth of Massachusetts on January 13, 2009 (a)(5)(N)* Complaint filed by H. Steven Mishket in the Court of Chancery of the State of Delaware on January 20, 2009 (a)(5)(O)* Complaint filed by Stefen Hell in the Court of Chancery of the State of Delaware on January 30, 2009 (a)(5)(P)* eBulletin sent to employees of Endo on February 4, 2009 (a)(5)(Q)* Press Release issued by Endo, dated as of February 23, 2009 (a)(5)(R)* Announcement to Endo employees by David P. Holveck, dated February 23, 2009 (a)(5)(S)* Questions and Answers regarding Endo earnings report, dated as of February 27, 2009 (a)(5)(T)* Press Release issued by Endo, dated as of February 27, 2009 (a)(5)(U)* Press Release issued by Endo, dated as of March 2, 2009 (a)(5)(V)* Transcript of conference call regarding Endo earnings report, dated as of February 27, 2009 (a)(5)(W) Press Release issued by Endo, dated as of March 12, 2009 (b) Not applicable (d)(1)* Agreement and Plan of Merger, dated as of January 5, 2009, by and among Indevus, Endo and Purchaser (d)(2)* Form of Stockholder Tender Agreement (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed by Endo with the Securities and Exchange Commission on January 5, 2009) (d)(3)* Confidentiality Agreement, dated as of September 30, 2008, by and between Endo and Indevus (d)(4)* Amendment No. 1 to the Agreement and Plan of Merger, dated as of January 7, 2009, by and among Indevus, Endo and Purchaser (d)(5)* Amendment No. 2 to the Agreement and Plan of Merger, dated as of February 4, 2009, by and among Indevus, Endo and Purchaser (g) Not applicable (h) Not applicable * - Filed previously |
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| 03/12/2009 | EX-31.2 of 10-Q for CURRENCYSHARES JAPANESE YEN TRUST | |
| | COMPANY NAME(s) - [CURRENCYSHARES JAPANESE YEN TRUST (CIK - 1353613 /SIC - 6159)] |
| | EXHIBIT 31.2 CERTIFICATION PURSUANT TO SECTION 302(A) OF THE SARBANES-OXLEY ACT OF 2002 I, Nick Bonos, certify that: 1. I have reviewed the Quarterly Report on Form 10-Q for the quarterly period ended January 31, 2009 of CurrencyShares SM Japanese Yen Trust; 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 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 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 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 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 PADCO Advisors II, Inc. s auditors and the board of directors of PADCO Advisors II, Inc. and the board of directors of Rydex Fund Services, Inc. and the audit committee of Rydex Specialized Products LLC s board of managers (or persons performing 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 persons who have a significant role in the registrant s internal control over financial reporting. Date: March 12, 2009 /s/ Nick Bonos Nick Bonos Chief Financial Officer (principal financial officer) |
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| 03/12/2009 | 10-Q for FINISAR CORP | |
| | COMPANY NAME(s) - [FINISAR CORP (CIK - 1094739 /SIC - 3674)] |
| | Item 6. Exhibits The following exhibits are filed herewith: 10.61 Form of Restricted Stock Unit Issuance Agreement 10.62 Form of Restricted Stock Unit Issuance Agreement - Officers 10.63 Form of Restricted Stock Unit Issuance Agreement - International 10.64 Form of Restricted Stock Unit Issuance Agreement - Israel 31.1 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.3 Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1 Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2 Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.3 Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Folio 57 /Folio PAGEBREAK SIGNATURES Pursuant to the requirements of Section 13 or 15(d) 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. FINISAR CORPORATION By: /s/ JERRY S. RAWLS Jerry S. Rawls Chairman of the Board Blank Space By: /s/ EITAN GERTEL Eitan Gertel Chief Executive Officer Blank Space By: /s/ STEPHEN K. WORKMAN Stephen K. Workman Senior Vice President, Finance and Chief Financial Officer Dated: March 12, 2009 Folio 58 /Folio PAGEBREAK EXHIBIT INDEX Begin Table Head Exhibit Number Description End Table Head Begin Table Body Blank Space 10.61 Form of Restricted Stock Unit Issuance Agreement Blank Space 10.62 Form of Restricted Stock Unit Issuance Agreement - Officers Blank Space 10.63 Form of Restricted Stock Unit Issuance Agreement - International Blank Space 10.64 Form of Restricted Stock Unit Issuance Agreement - Israel Blank Space 31.1 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Blank Space 31.2 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Blank Space 31.3 Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 Blank Space 32.1 Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Blank Space 32.2 Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Blank Space 32.3 Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 End Table Body Folio 59 /Folio |
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| 03/13/2009 | DEF 14A for PFIZER INC | |
| | COMPANY NAME(s) - [PFIZER INC (CIK - 78003 /SIC - 2834)] |
| | To the extent the consideration paid in any such transaction described above consists in full or in part of securities or other noncash consideration, the value of such securities or other noncash consideration shall be determined in the sole discretion of the Board. (j) Company shall mean Pfizer Inc., a Delaware corporation. (n) Employee shall mean any employee of the Company or any Affiliate. (p) Fair Market Value shall mean, with respect to Shares, as of any date, the closing price for the Shares as reported on the New York Stock Exchange for that date or, if no such price is reported for that date, the closing price on the next preceding date for which such price was reported, unless otherwise determined by the Committee, in a manner consistent with Section 409A. |
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| 03/12/2009 | 10-K for FINANCIAL INSTITUTIONS INC | |
| | COMPANY NAME(s) - [FINANCIAL INSTITUTIONS INC (CIK - 862831 /SIC - 6021)] |
| | 123 Accounting for Stock-Based Compensation. The Company records share-based compensation expense for awards under the Management Stock Incentive Plan in salaries and employee benefits in the Consolidated Statements of Operations. Deferred tax assets and liabilities are measured using enacted tax rates in effect for the year in which those temporary differences are expected to be recovered or settled. (r.) (Loss) Earnings Per Share Basic (loss) earnings per share ( EPS ) is computed by dividing net income (or loss) available to common shareholders by the weighted average number of our common shares outstanding for the period. AND SUBSIDIARIES NOTES TO CONSOLIDATED FINANCIAL STATEMENTS December 31, 2008, 2007 and 2006 (1.) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) (s.) Financial Instruments with Off-Balance Sheet Risk The Company s financial instruments with off-balance sheet risk are commercial stand-by letters of credit and loan commitments. 99-20, Recognition of Interest Income and Impairment on Purchased Beneficial Interests and Beneficial Interests That Continue to Be Held by a Transferor in Securitized Financial Assets, by eliminating the requirement that a holder s best estimate of cash flows be based upon those that a market participant would use. |
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| 03/12/2009 | EX-31.2 of 10-Q for KORN FERRY INTERNATIONAL | |
| | COMPANY NAME(s) - [KORN FERRY INTERNATIONAL (CIK - 56679 /SIC - 7361)] |
| | PAGEBREAK EXHIBIT 31.2 CERTIFICATIONS I, Stephen J. Giusto, certify that: 1. I have reviewed this quarterly report on Form 10-Q of Korn/Ferry International; 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(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 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(s) 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 controls over financial reporting. By: /s/ STEPHEN J. GIUSTO Name: Stephen J. Giusto Title: Executive Vice President and Chief Financial Officer Date: March 12, 2009 Folio /Folio |
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| 03/12/2009 | N-CSR for MORGAN STANLEY FOCUS GROWTH FUND | |
| | COMPANY NAME(s) - [MORGAN STANLEY FOCUS GROWTH FUND (CIK - 314366 /SIC - Unspecified)] |
| | 4 .2 Table Width Row BEGIN colindex=01 type=maindata colindex=02 type=gutter colindex=02 type=lead colindex=02 type=body colindex=02 type=align1 Table Width Row END TOP FIVE INDUSTRIES as of 12/31/08 Internet Software/Services 14 .2% Internet Retail 11 .2 Financial Conglomerates 9 .7 Chemicals: Agricultural 8 .5 Oil & Gas Production 8 .2 Subject to change daily. Investment Strategy The Fund normally invests at least 65 percent of its assets in a portfolio of common stocks (including depositary receipts). The Fund s Investment Adviser, Morgan Stanley Investment Advisors Inc., seeks to invest in high quality companies it believes have sustainable competitive advantages and the ability to redeploy capital at high rates of return. The Investment Adviser generally considers selling an investment when it determines the company no longer satisfies its investment criteria. Each Morgan Stanley fund also files a complete schedule of portfolio holdings with the SEC for the fund s first and third fiscal 3 END PAGE WIDTH PAGEBREAK BEGIN PAGE WIDTH quarters on Form N-Q. Morgan Stanley does not deliver the reports for the first and third fiscal quarters to shareholders, nor are the reports posted to the Morgan Stanley public web site. |
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| 03/12/2009 | S-1 for KOKO LTD | |
| | COMPANY NAME(s) - [KOKO LTD (CIK - 1408351 /SIC - Unspecified)] |
| | All shares of common stock now outstanding are fully paid for and non-assessable and all shares of common stock that are the subject of this offering, when issued, will be fully paid for and non-assessable. Cash dividends As of the date of this prospectus, we have not paid any cash dividends to stockholders. The terms of the preferred shares are at the discretion of the board of directors. Further, we will not voluntarily send you an annual report. The SEC also maintains an Internet site that will contain copies of the reports we file electronically. |
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| 03/12/2009 | 10-Q for CURRENCYSHARES CANADIAN DOLLAR TRUST | |
| | COMPANY NAME(s) - [CURRENCYSHARES CANADIAN DOLLAR TRUST (CIK - 1353612 /SIC - 6159)] |
| | PART II - OTHER INFORMATION Item 1. Legal Proceedings None. Item 2. Unregistered Sales of Equity Securities and Use of Proceeds (a) None. Item 4. Submission of Matters to a Vote of Security Holders None. 16 Item 6. Exhibits Number Description of Exhibit 31.1 Certification of Principal Executive Officer Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 31.2 Certification of Principal Financial Officer Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 32.1 Certification of Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2 Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 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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| 03/13/2009 | PRE 14A for GREEN BANKSHARES INC | |
| | COMPANY NAME(s) - [GREEN BANKSHARES INC (CIK - 764402 /SIC - 6022)] |
| | During the years ended December 31, 2008 and December 31, 2007, the Company incurred (including those billed or expected to be billed) the following principal independent auditor fees from Dixon Hughes: Begin Table Head 2008 2007 End Table Head Begin Table Body Blank Space Audit Fees(a): $ 347, 000 $ 379, 000 Audit-Related Fees(b): 26, 600 24, 675 Tax Fees(c) 29, 500 17, 895 All Other Fees(d): End Table Body (a) Includes fees related to the annual independent audit of the Company s consolidated financial statements and reviews of the Company s annual report on Form 10-K, review of the Company s interim financial statements, issuance of consents, Federal Deposit Insurance Corporation Improvement Act ( FDICIA ) attest services, Sarbanes-Oxley Section 404 attest services, review of registration statements and quarterly reports on Form 10-Q, report on management s assertion regarding internal control over financial reporting. (c) Fees incurred were for income tax return preparation and compliance services. The Audit Committee has adopted a formal policy concerning approval of audit and non-audit services to be provided by the Company s independent auditor. THE COMPANY S BOARD OF DIRECTORS BELIEVES THAT THE PROPOSED APPOINTMENT OF DIXON HUGHES AS THE COMPANY S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM IS IN THE BEST INTERESTS OF THE COMPANY AND ITS SHAREHOLDERS, HAS UNANIMOUSLY APPROVED ADOPTION OF THIS PROPOSAL AND UNANIMOUSLY RECOMMENDS THAT YOU VOTE FOR THIS PROPOSAL. 53 Senior Vice President and Chief Information Officer Steve D. Ottinger 59 Senior Vice President and Chief Human Resources Officer G. Frank Snyder 49 Senior Vice President and Retail Banking Manager End Table Body R. Stan Puckett currently serves as Chief Executive Officer of the Company and the Bank and has held that position since 1990. |
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