DOCSLIB.ORG

SEC News Digest, 02-20-2001

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text

Load more

\ SEC NEWS DIGEST Issue 2001-34 February 20, 2001 ENFORCEMENT PROCEEDINGS ASSET FREEZE ORDERED AGAINST NEW YORK COMPANY OPERATING A PRIME BANK PONZI SCHEME The Commission yesterday filed an action in federal court and obtained an emergency asset freeze against Advance Local Development (Advance) and three of its officers for operating a prime bank fraud. The complaint alleges that from February 1999 through April 2000 Advance raised $16.5 million from investors by promising annualized rates of return as high as 2,600 percent per year, with no risk to capital According to the complaint, Advance represented that investor funds would be placed into a federally approved "bank to bank" trading program with Advance's share of the profits used to promote humanitarian efforts. The complaint alleged that investor funds were never placed into a trading program, as no such program exists Instead, investor funds were used to make undisclosed payments to the proposed defendants, placed in a brokerage account where they financed unsuccessful day trading activities, and for Ponzi payments to investors Judge John Gleeson in the United States District Court for the Eastern District of New York ordered that Advance's assets be frozen to protect funds for the benefit of investors pending determination of the matter on the merits. The complaint named as defendants Advance and its officers, Edmund Burton of Brooklyn, New York, and Thomas Wescott, and Ralph Odom both of Las Vegas, Nevada. The Commission alleged that Advance, Burton, Wescott and Odom violated the antifraud and securities registration provisions of the federal securities laws. In addition to the emergency relief granted by the Court, the action seeks preliminary and permanent injunctions, disgorgement plus prejudgment interest, and civil penalties. The complaint also seeks an accounting of investor funds and the appointment of a special officer to preserve assets and repay investors. [SEC v. Advance Local Development Corp., et al., No. CV01-0897, EDNY] (LR-16902) INVESTMENT COMPANY ACT RELEASES LINCOLN BENEFIT LIFE COMPANY, ET AL. A notice has been issued giving interested persons until March 13, 2001, to request a hearing on an application filed by Lincoln Benefit Life Company, Lincoln Benefit Life Variable Annuity Account (VA Account), Lincoln Benefit Life Variable Life Account (VL Account) and IAI Retirement Funds, Inc. for an order under Section 26(b) of Investment Company Act approving the proposed substitution of shares of certain management investment companies for shares of certain other management investment companies held by sub-accounts of the VA Account and the VL Account. (ReI. IC- 24858 - February 16) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the National Association of Securities Dealers relating to fees assessed for the Automated Confirmation and Transaction Service (ACT) (SR- NASD-OI-05) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of February 19. (ReI. 34-43968) A proposed rule change filed by the Chicago Board Options Exchange (SR-CBOE-O 1- 02) amending its rules to allow for $0.50 strike price intervals for options based on certain Index Portfolio Shares has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 Publication of the proposal is expected in the Federal Register during the week of February 19. (ReI. 34-43969) APPROVAL OF PROPOSED RULE CHANGE The Commission approved the proposed rule change (SR-PCX-00-05), and granted accelerated approval to Amendments No.2 and 3 thereto, except for portions relating to the execution of broker-dealer orders on Auto-Ex, submitted by the Pacific Exchange relating to its automatic execution system. Publication of the proposal is expected in the Federal Register during the week of February 19. (ReI. 34-43971) WITBDRA WAL SOUGHT A notice has been issued giving interested persons until March 9, 2001, to comment on the application of The S&P 500 (R) Protected Equity Fund, Inc. to withdraw its Common Stock, $10 par value, from listing and registration on the New York Stock Exchange. (ReI. 34-43970) 2 NEWS DIGEST, February 20,2001 SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, DC. 20549 or at the following e- mail box address: <publicinfo@sec>. In most cases, this information is also available on the Commission's website. <www.sec.gov>. S-l PACKARD BIOSCIENCE CO, 800 RESEARCH PKWY, MERIDEN, CT 06450 (203) 238-2055 - 11,500,000 ($162,796,300) COMMON STOCK. (FILE 333- 55258 - FEB. 09) (BR. 5) S-8 UNIVERSAL COMPRESSION HOLDINGS INC, 4440 BRITTMOORE RD, HOUSTON, TX 77041 (713) 466-4103 - 1,100,000 ($37,180,000) COMMON STOCK. (FILE 333-55260 - FEB. 09) (BR. 6) S-8 IKOS SYSTEMS INC, 19050 PRUNERIDGE AVE, CUPERTINO, CA 94086 (408) 245-1900 - 1,230,114 ($16,521,210) COMMON STOCK. (FILE 333-55264 FEB. 09) (BR. 3) S-8 FEDEX CORP, 942 SOUTH SHADY GROVE ROAD, MEMPHIS, TN 38120 (901) 369- 3600 - 1,551,900 ($32,900,280) COMMON STOCK. (FILE 333-55266 - FEB. 09) (BR. 5) S-l PHOENIX COMPANIES INC/DE, ONE AMERICAN ROW, PO BOX 5056, HARTFORD, CT 06102 (860) 403-5000 - $866,640,000 COMMON STOCK. (FILE 333-55268 - FEB. 09) (NEW ISSUE) S-4 WELLS FARGO & CO/MN, 420 MONTGOMERY ST, SIXTH & MARQUETTE, SAN FRANCISCO, CA 94163 (612) 667-1234 - 575,000 ($5,623,188) COMMON STOCK. (FILE 333-55272 - FEB. 09) (BR. 7) SB-2 VENTUREDRIVE INC, 2275 LAKESHORE BOULEVARD WEST, STE 304, TORONTO, ONTARIO, CANADA M8V 3Y3, A6 00000 - 2,000,000 ($2,000,000) COMMON STOCK. (FILE 333-55274 - FEB. 09) (NEW ISSUE) 3 NEWS DIGEST, February 20,2001 S-3 POLLUTION RESEARCH & CONTROL CORP ICAI, 506 PAULA AVE, GLENDALE, CA 91201 (818) 247-7601 - 2,407,370 ($3,153,655) COMMON STOCK. (FILE 333-55276 - FEB. 09) (BR. 5) S-8 JO-ANN STORES INC, 5555 DARROW RD, HUDSON, OH 44236 (216) 656-2600 - 319,000 ($1,419,550) COMMON STOCK. (FILE 333-55278 - FEB. 09) (BR. 2) S-8 JO-ANN STORES INC, 5555 DARROW RD, HUDSON, OH 44236 (216) 656-2600 - 600,000 ($3,324,000) COMMON STOCK. (FILE 333-55280 - FEB. 09) (BR. 2) S-8 AIRBORNE INC IDEI, POBOX 662, SEATTLE, WA 98111 (206) 285-4600 - 200,000 ($2,310,000) COMMON STOCK. (FILE 333-55282 - FEB. 09) (BR. 5) S-3 CRYOCON INC, 2250 NORTH 1500 WEST, OGDEN, UT 84404 (801) 395-2796 - 13,826,163 ($32,837,137) COMMON STOCK. (FILE 333-55284 - FEB. 09) (BR. 6) SB-1 GAMEHAPPY COM INC, 204 SOUTH PARKER, BRYAN, TX 77803 (979) 823-2877 500,000 ($500,000) COMMON STOCK. (FILE 333-55286 - FEB. 09) (NEW ISSUE) S-8 PEETS COFFEE & TEA INC, 1400 PARK AVE, EMERYVILLE, CA 94608 (510) 594-2147 - 5,102,178 ($50,422,550) COMMON STOCK. (FILE 333-55290 FEB. 09 ) (BR. 4) S-8 GLOBAL SEAFOOD TECHNOLOGIES INC, 555 BAYVIEW AVE, BILOXI, MS 39530 (228) 435-3632 - 1,000,000 ($1,000,000) COMMON STOCK. (FILE 333-55292 FEB. 09) (BR. 9) N-2 AIM MILLENNIUM ALTERNATIVE STRATEGIES FUND, 11 GREENWAY PLAZA, STE 100, HOUSTON, TX 77046 (713) 626-1919 - 40,000 (~1,000,000) COMMON SHARES OF BENEFICIAL INTEREST. (FILE 333-55294 - FEB. 09) (BR. 20) S-4 TIME WARNER TELECOM INC, 10475 PARK MEADOWS DRIVE, LITTLETON, CO 80124 (303) 566-1000 - 400,000,000 ($400,000,000) STRAIGHT BONDS. (FILE 333-55296 - FEB. 09) (BR. 7) S-8 PEREGRINE SYSTEMS INC, 3611 VALLEY CENTRE DR, 5TH FL, SAN DIEGO, CA 92130 (619) 481-5000 - 7,949,792 ($231,020,956) COMMON STOCK. (FILE 333-55298 - FEB. 09) (BR. 3) S-3 KVH INDUSTRIES INC \DE\, 110 ENTERPRISE CENTER, MIDDLETOWN, RI 02842 (401) 847-3327 - 890,000 ($8,010,000) COMMON STOCK. (FILE 333-55300 - FEB. 09 ) (BR. 5) S-8 UNIQUE BAGEL CO INC, 127 BUNGA EXT AYALA ALABANG VILLAGE, MUNTINLUPA CITY, METRO MANILA PHILIPP, R6 - 5,000 ($9,950) COMMON STOCK. (FILE 333-55302 - FEB. 09) (BR. 9) 4 NEWS DIGEST, February20,2001 S-3 REINSURANCE GROUP OF AMERICA INC, 1370 TIMBERLAKE MANOR PARKWAY, CHESTERFIELD, MO 63017 (636) 736-7000 - 400,000,000 ($400,000,000) STRAIGHT BONDS. (FILE 333-55304 - FEB. 09) (BR. 1) S-3 OMI CORPIM I, ONE STATION PLACE, 90 PARK AVE, STAMFORD, CT 60902 (203) 602-6700 - 6,699,143 ($40,194,858) COMMON STOCK. (FILE 333-55308 FEB. 09 ) (BR. 5) S-4 ELIZABETH ARDEN INC, 14100 NW 60TH AVE, MIAMI LAKES, FL 33014 (305) -81-8-80 - 160,000,000 ($160,000,000) STRAIGHT BONDS. (FILE 333-55310 - FEB. 09) (BR. 2) S-1 STRATUS SERVICES GROUP INC, 500 CRAIG ROAD, 3RD FL, MANALAPAN, NJ 07726 (732) 866-0300 - 1,891,712 ($6,620,992) COMMON STOCK. (FILE 333-55312 FEB. 09) (BR. 9) S-8 WELLPOINT HEALTH NETWORKS INC IDEI, 21555 OXNARD STREET, WOODLAND HILLS, CA 91367 (818) 703-4000 - 2,273,054 ($226,691,676) COMMON STOCK. 50,000,000 ($50,000,000) OTHER SECURITIES INCLUDING VOTING TRUST.
Recommended publications
  • SCHEDULE 14A INFORMATION (Rule 14A-101) INFORMATION REQUIRED in PROXY STATEMENT Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934

    SCHEDULE 14A INFORMATION (Rule 14A-101) INFORMATION REQUIRED in PROXY STATEMENT Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934

    Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement Definitive Additional Materials Soliciting Material under §240. 14a-12 WEX INC. (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): No fee required. Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11 (1) Title of each class of securities to which transaction applies: (2) Aggregate number of securities to which transaction applies: (3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): (4) Proposed maximum aggregate value of transaction: (5) Total fee paid: Fee paid previously with preliminary materials. Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. (1) Amount Previously Paid: (2) Form, Schedule or Registration Statement No.: (3) Filing Party: (4) Date Filed: Table of Contents WEX INC.
  • OSB Representative Participant List by Industry

    OSB Representative Participant List by Industry

    OSB Representative Participant List by Industry Aerospace • KAWASAKI • VOLVO • CATERPILLAR • ADVANCED COATING • KEDDEG COMPANY • XI'AN AIRCRAFT INDUSTRY • CHINA FAW GROUP TECHNOLOGIES GROUP • KOREAN AIRLINES • CHINA INTERNATIONAL Agriculture • AIRBUS MARINE CONTAINERS • L3 COMMUNICATIONS • AIRCELLE • AGRICOLA FORNACE • CHRYSLER • LOCKHEED MARTIN • ALLIANT TECHSYSTEMS • CARGILL • COMMERCIAL VEHICLE • M7 AEROSPACE GROUP • AVICHINA • E. RITTER & COMPANY • • MESSIER-BUGATTI- CONTINENTAL AIRLINES • BAE SYSTEMS • EXOPLAST DOWTY • CONTINENTAL • BE AEROSPACE • MITSUBISHI HEAVY • JOHN DEERE AUTOMOTIVE INDUSTRIES • • BELL HELICOPTER • MAUI PINEAPPLE CONTINENTAL • NASA COMPANY AUTOMOTIVE SYSTEMS • BOMBARDIER • • NGC INTEGRATED • USDA COOPER-STANDARD • CAE SYSTEMS AUTOMOTIVE Automotive • • CORNING • CESSNA AIRCRAFT NORTHROP GRUMMAN • AGCO • COMPANY • PRECISION CASTPARTS COSMA INDUSTRIAL DO • COBHAM CORP. • ALLIED SPECIALTY BRASIL • VEHICLES • CRP INDUSTRIES • COMAC RAYTHEON • AMSTED INDUSTRIES • • CUMMINS • DANAHER RAYTHEON E-SYSTEMS • ANHUI JIANGHUAI • • DAF TRUCKS • DASSAULT AVIATION RAYTHEON MISSLE AUTOMOBILE SYSTEMS COMPANY • • ARVINMERITOR DAIHATSU MOTOR • EATON • RAYTHEON NCS • • ASHOK LEYLAND DAIMLER • EMBRAER • RAYTHEON RMS • • ATC LOGISTICS & DALPHI METAL ESPANA • EUROPEAN AERONAUTIC • ROLLS-ROYCE DEFENCE AND SPACE ELECTRONICS • DANA HOLDING COMPANY • ROTORCRAFT • AUDI CORPORATION • FINMECCANICA ENTERPRISES • • AUTOZONE DANA INDÚSTRIAS • SAAB • FLIR SYSTEMS • • BAE SYSTEMS DELPHI • SMITH'S DETECTION • FUJI • • BECK/ARNLEY DENSO CORPORATION
  • 2021 Honored Companies Please Join Us As We Give Special Recognition and Honor S&P 500 and F1000 Companies with at Least 35% of Board Seats Held by Women

    2021 Honored Companies Please Join Us As We Give Special Recognition and Honor S&P 500 and F1000 Companies with at Least 35% of Board Seats Held by Women

    Cipriani 42nd St | November 10, 2021 | 7:30 AM-11:00 AM 2021 Honored Companies Please join us as we give special recognition and honor S&P 500 and F1000 companies with at least 35% of board seats held by women. 50% + AMN Healthcare General Motors Co. Sally Beauty Holdings, Inc. Autodesk, Inc. Hasbro, Inc. Schnitzer Steel Industries, Inc. Bed, Bath & Beyond, Inc. Hawaiian Electric Industries, Inc. Science Applications International Corporation (SAIC) Best Buy Companies Inc. Healthpeak Properties, Inc. Steelcase Inc. Big Lots Inc. Herman Miller, Inc. Summit Materials, Inc. Bright Horizons Family Solutions, Inc. HNI Corporation Tapestry, Inc. Caleres, Inc. J.Crew Group, Inc. Thrivent Financial Casey’s General Stores, Inc. L Brands, Inc. TIAA Celanese Corporation Micron Technology Inc Tiffany & Co. Chico’s Fas, Inc. Navient Corporation ULTA Beauty Inc. Citi Omnicom Group Inc. ViacomCBS Inc. Coty Inc. PC Connection, Inc. Welltower Inc. DaVita Pitney Bowes, Inc. Western Digital Corporation EQT Corporation The Procter & Gamble Co. Williams-Sonoma, Inc. Etsy, Inc. The Progressive Corporation 40% + Abercrombie & Fitch Co. Genworth Financial The ODP Corporation ABM Industries, Inc. Globe Life Inc. Penn Mutual Accenture The Goldman Sachs Group, Inc. Phillips 66 Company AES Corporation Groupon Inc. Principal Financial Group Inc. Afliated Managers Group (AMG) H & R Block, Inc. PROG Holdings, Inc. AGNC Investment Corp. The Hershey Companies Quest Diagnostics Inc. Alliant Energy Hewlett Packard Enterprise RR Donnelley & Sons Co. Amazon.com, Inc. Hill-Rom Holdings Inc. Reinsurance Group Of America, Inc. American Water Works, Inc. Hilton Worldwide Holdings, Inc. Reliance Steel and Aluminum Co. Amica Mutual Insurance Company HP Inc.
  • Chicago Board Options Exchange Annual Report 2001

    Chicago Board Options Exchange Annual Report 2001

    01 Chicago Board Options Exchange Annual Report 2001 cv2 CBOE ‘01 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010 CBOE is the largest and 01010101010101010most successful options 01010101010101010marketplace in the world. 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010ifc1 CBOE ‘01 ONE HAS OPPORTUNITIES The NUMBER ONE Options Exchange provides customers with a wide selection of products to achieve their unique investment goals. ONE HAS RESPONSIBILITIES The NUMBER ONE Options Exchange is responsible for representing the interests of its members and customers. Whether testifying before Congress, commenting on proposed legislation or working with the Securities and Exchange Commission on finalizing regulations, the CBOE weighs in on behalf of options users everywhere. As an advocate for informed investing, CBOE offers a wide array of educational vehicles, all targeted at educating investors about the use of options as an effective risk management tool. ONE HAS RESOURCES The NUMBER ONE Options Exchange offers a wide variety of resources beginning with a large community of traders who are the most experienced, highly-skilled, well-capitalized liquidity providers in the options arena. In addition, CBOE has a unique, sophisticated hybrid trading floor that facilitates efficient trading. 01 CBOE ‘01 2 CBOE ‘01 “ TO BE THE LEADING MARKETPLACE FOR FINANCIAL DERIVATIVE PRODUCTS, WITH FAIR AND EFFICIENT MARKETS CHARACTERIZED BY DEPTH, LIQUIDITY AND BEST EXECUTION OF PARTICIPANT ORDERS.” CBOE MISSION LETTER FROM THE OFFICE OF THE CHAIRMAN Unprecedented challenges and a need for strategic agility characterized a positive but demanding year in the overall options marketplace. The Chicago Board Options Exchange ® (CBOE®) enjoyed a record-breaking fiscal year, with a 2.2% growth in contracts traded when compared to Fiscal Year 2000, also a record-breaker.
  • 1St Quarter Report

    1St Quarter Report

    Quarterly Holdings Report for Fidelity® Variable Insurance Products: Mid Cap Portfolio March 31, 2021 VIPMID-QTLY-0521 1.799869.117 Schedule of Investments March 31, 2021 (Unaudited) Showing Percentage of Net Assets Common Stocks – 99.3% Shares Value Shares Value COMMUNICATION SERVICES – 3.5% Tapestry, Inc. 673,600 $ 27,759,056 Entertainment – 2.3% thredUP, Inc. (b) 26,600 620,578 Activision Blizzard, Inc. 1,187,600 $ 110,446,800 236,705,162 Cinemark Holdings, Inc. (a) 612,400 12,499,084 TOTAL CONSUMER DISCRETIONARY 1,215,512,530 Electronic Arts, Inc. 287,790 38,958,132 Live Nation Entertainment, Inc. (b) 245,500 20,781,575 182,685,591 CONSUMER STAPLES – 5.3% Interactive Media & Services – 0.5% Beverages – 0.6% Bumble, Inc. 39,400 2,457,772 C&C Group PLC (United Kingdom) (b) 7,982,445 30,922,922 IAC (b) 179,700 38,870,907 Monster Beverage Corp. (b) 183,000 16,669,470 41,328,679 47,592,392 Media – 0.7% Food & Staples Retailing – 2.6% Interpublic Group of Companies, Inc. 1,986,185 57,996,602 BJ’s Wholesale Club Holdings, Inc. (b) 1,891,100 84,834,746 Performance Food Group Co. (b) 1,118,796 64,453,838 TOTAL COMMUNICATION SERVICES 282,010,872 U.S. Foods Holding Corp. (b) 1,638,300 62,451,996 211,740,580 CONSUMER DISCRETIONARY – 15.0% Food Products – 1.1% Automobiles – 0.2% Nomad Foods Ltd. (b) 3,382,400 92,880,704 Harley‑Davidson, Inc. 474,400 19,023,440 Household Products – 1.0% Diversified Consumer Services – 0.6% Spectrum Brands Holdings, Inc.
  • Comércio Eletrônico

    Comércio Eletrônico

    Comércio Eletrônico Aula 1 - Overview of Electronic Commerce Learning Objectives 1. Define electronic commerce (EC) and describe its various categories. 2. Describe and discuss the content and framework of EC. 3. Describe the major types of EC transactions. 4. Describe the drivers of EC. 5. Discuss the benefits of EC to individuals, organizations, and society. 6. Discuss social computing. 7. Describe social commerce and social software. 8. Understand the elements of the digital world. 9. Describe some EC business models. 10. List and describe the major limitations of EC. Case: Starbucks Electronic Commerce (EC) EC refers to using the Internet and other networks (e.g., intranets) to purchase, sell, transport, or trade data, goods, or services. e-Business • Narrow definition of EC: buying and selling transactions between business partners. • e-Business refers to a broader definition of EC: – buying and selling of goods and services – Servicing customers – collaborating with business partners, – delivering e-learning, – conducting electronic transactions within organizations. – Among others e-Business Note: some view e-business only as comprising those activities that do not involve buying or selling over the Internet, i.e., a complement of the narrowly defined EC. Major EC Concepts: Non-EC vs. Pure EC vs. Partial EC • EC three major activities: – ordering and payments, – order fulfilment, and – delivery to customers. • pure EC: all activities are digital, • non-EC: none are digital, • otherwise, we have partial EC. Major EC Concepts: Pure
  • Leading You to a Brighter Future

    Leading You to a Brighter Future

    ANNUAL REPORT 2001 西 日 本ANNUAL REPORT 旅 客 鉄 道 株 式 会 社 一 九 九 九2001 年 三 月 期 年 次 報 告 書 Leading you to a brighter future http://www.softbank.co.jp SOFTBANK 2001 1 C1 QX/Softbank (E) 後半 01.9.12 3:25 PM ページ 60 Directors and Corporate Auditors As of June 21, 2001 President & Chief Executive Officer MASAYOSHI SON Directors YOSHITAKA KITAO KEN MIYAUCHI KAZUHIKO KASAI MASAHIRO INOUE President & CEO, President & CEO, President & CEO, SOFTBANK FINANCE SOFTBANK EC HOLDINGS Yahoo Japan Corporation CORPORATION CORP. RONALD D. FISHER JUN MURAI, PH.D. TOSHIFUMI SUZUKI TADASHI YANAI MARK SCHWARTZ Vice Chairman, Professor, Faculty of President & CEO, President & CEO, Chairman, SOFTBANK Holdings Inc. Environmental Information, Ito-Yokado Co., Ltd., FAST RETAILING CO., LTD. Goldman Sachs (Asia) KEIO University and Chairman & CEO, Seven-Eleven Japan Co., Ltd. Corporate Auditors MITSUO YASUHARU SABURO HIDEKAZU SANO NAGASHIMA KOBAYASHI KUBOKAWA Full-time Corporate Auditor, Attorney Full-time Corporate Auditor, Certified Public Accountant, SOFTBANK CORP. HEIWA Corporation Certified Tax Accountant Note: Corporate auditors Yasuharu Nagashima, Saburo Kobayashi, and Hidekazu Kubokawa are outside corporate auditors appointed under Article 18, Section 1, of the Commercial Code of Japan. 60 60 QX/Softbank (E) 後半pdf修正 01.10.11 10:39 AM ページ 61 SOFTBANK Corporate Directory Domestic Overseas SOFTBANK CORP. SOFTBANK Broadmedia Corporation SOFTBANK Inc. http://www.softbank.co.jp/ http://www.broadmedia.co.jp/ http://www.softbank.com/ 24-1, Nihonbashi-Hakozakicho, Chuo-ku, 24-1, Nihonbashi-Hakozakicho, Chuo-ku, 1188 Centre Street, Tokyo 103-8501, Japan Tokyo 103-0015, Japan Newton Center, MA 02459, U.S.A.
  • Robert A. Scandlon, Jr., Et Al. V. Blue Coat Systems, Inc., Et Al. 11-CV

    Robert A. Scandlon, Jr., Et Al. V. Blue Coat Systems, Inc., Et Al. 11-CV

    Case3:11-cv-04293-RS Document14 Filed10/31/11 Page1 of 2 1 Nicole Lavallee (SBN 165755) Anthony D. Phillips (SBN 259688) 2 BERMAN DEVALERIO One California Street, Suite 900 3 San Francisco, CA 94111 Telephone: (415) 433-3200 4 Facsimile: (415) 433-6282 Email: [email protected] 5 [email protected] 6 Liaison Counsel for Proposed Lead Plaintiff Inter-Local Pension Fund and 7 Proposed Liaison Counsel for the Class 8 Mark S. Willis SPECTOR ROSEMAN KODROFF & 9 WILLIS, P.C. 1101 Pennsylvania Avenue, NW 10 Suite 600 Washington, DC 20004 11 Telephone: (202) 756-3600 Facsimile: (202) 756 3602 12 Email: [email protected] 13 Attorneys for Proposed Lead Plaintiff Inter-Local Pension Fund and 14 Proposed Lead Counsel for the Class 15 UNITED STATES DISTRICT COURT 16 NORTHERN DISTRICT OF CALIFORNIA 17 18 ROBERT A. SCANDLON, JR., On behalf of ) Himself and All Others Similarly Situated, ) No. CV 11-04293 (RS) 19 ) ) DECLARATION OF ROBERT M. 20 Plaintiff, ) ROSEMAN IN SUPPORT OF THE ) MOTION OF THE INTER-LOCAL 21 v. ) ) PENSION FUND’S MOTION FOR APPOINTMENT AS LEAD 22 BLUE COAT SYSTEMS, INC., BRIAN M. ) NESMITH and GORDON C. BROOKS, ) PLAINTIFF AND FOR APPROVAL 23 Defendants. ) OF ITS SELECTION OF LEAD ) COUNSEL 24 ) ) CLASS ACTION 25 ) ) Date: December 8, 2011 26 ) Time: 1:30 p.m. ) Dept.: Courtroom 3 27 ) Judge: Hon. Richard Seeborg 28 [CV 11-04293 (RS)] D ECL . OF ROBERT M. ROSEMAN ISO I NTER-LOCAL PENSION FUND ' S M OT. FOR A PPOINTMENT OF L EAD PL . & A PPOINTMENT OF LEAD COUNSEL Case3:11-cv-04293-RS Document14 Filed10/31/11
  • Top 100 for 1H 2015

    Top 100 for 1H 2015

    ` Top 100 for 1H 2015 Securities Class Action Services, LLC Published: September 28, 2015 Executive Summary ISS Securities Class Action Services tracked 61 settlements for the first half of 2015, up from from 53 settlements seen duringthe first half of 2014. Out of the 61 settlement agreements, five settlements ranked in the ISS Securities Class Action Services Top 100 for 1H 2015, which amounted for a 450 percent increase in settlement funds when compared to the same period in the previous year. The cases identified include: › American International Group, Inc. (2008) (S.D.N.Y.), which brought the highest settlement fund($900 million for approximately 200 eligible securities). › Bear Stearns Mortgage Pass-Through Certificates › IndyMac Mortgage Pass-Through Certificates (Individual & Underwriter Defendants) › Activision Blizzard, Inc. › Federal National Mortgage Association (Fannie Mae) (2008) Out of the five settlements, four were filed in the federal courts during the midst of the financial credit crisis, while one was filed in the state court relating to the company’s private sale transaction. Two of the five were alleged violating Rule 10b-5 of the Securities and Exchange Act of 1934 (Employment of Manipulative and Deceptive Practices) while three were alleged violations of the Securities Act of 1933 (Civil Liabilities on Account of False Registration Statement). Two of the five settlements relate to Generally Accepted Accounting Principles and have restated their financial during the relevant periods. Of the five settlements, two were identified in the S&P Index. One SEC initiated settlement placed in the Top 30 SEC Disgorgement amounting to $200 Million. The Securities Class Action Services Tentative Settlement Pipeline stands $17.3 Billion as of 31 July 2015.
  • COVERAGE LIST GEO Group, Inc

    COVERAGE LIST GEO Group, Inc

    UNITED STATES: REIT/REOC cont’d. UNITED STATES: REIT/REOC cont’d. UNITED STATES: NON-TRADED REITS cont’d. COVERAGE LIST GEO Group, Inc. GEO Sabra Health Care REIT, Inc. SBRA KBS Strategic Opportunity REIT, Inc. Getty Realty Corp. GTY Saul Centers, Inc. BFS Landmark Apartment Trust, Inc. Gladstone Commercial Corporation GOOD Select Income REIT SIR Lightstone Value Plus Real Estate Investment Trust II, Inc. Gladstone Land Corporation LAND Senior Housing Properties Trust SNH Lightstone Value Plus Real Estate Investment Trust III, Inc. WINTER 2015/2016 • DEVELOPED & EMERGING MARKETS Global Healthcare REIT, Inc. GBCS Seritage Growth Properties SRG Lightstone Value Plus Real Estate Investment Trust, Inc. Global Net Lease, Inc. GNL Silver Bay Realty Trust Corp. SBY Moody National REIT I, Inc. Government Properties Income Trust GOV Simon Property Group, Inc. SPG Moody National REIT II, Inc. EUROPE | AFRICA | ASIA-PACIFIC | MIDDLE EAST | SOUTH AMERICA | NORTH AMERICA Gramercy Property Trust Inc. GPT SL Green Realty Corp. SLG MVP REIT, Inc. Gyrodyne, LLC GYRO SoTHERLY Hotels Inc. SOHO NetREIT, Inc. HCP, Inc. HCP Sovran Self Storage, Inc. SSS NorthStar Healthcare Income, Inc. UNITED KINGDOM cont’d. Healthcare Realty Trust Incorporated HR Spirit Realty Capital, Inc. SRC O’Donnell Strategic Industrial REIT, Inc. EUROPE Healthcare Trust of America, Inc. HTA St. Joe Company JOE Phillips Edison Grocery Center REIT I, Inc. GREECE: Athens Stock Exchange (ATH) AFI Development Plc AFRB Hersha Hospitality Trust HT STAG Industrial, Inc. STAG Phillips Edison Grocery Center REIT II, Inc. AUSTRIA: Vienna Stock Exchange (WBO) Babis Vovos International Construction S.A. VOVOS Alpha Pyrenees Trust Limited ALPH Highwoods Properties, Inc.
  • Akamai Technologies, Inc. (Exact Name of Registrant As Speciñed in Its Charter) Delaware 04-3432319 (State Or Other Jurisdiction of (I.R.S

    Akamai Technologies, Inc. (Exact Name of Registrant As Speciñed in Its Charter) Delaware 04-3432319 (State Or Other Jurisdiction of (I.R.S

    SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K FOR ANNUAL AND TRANSITION REPORTS PURSUANT TO SECTIONS 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) ¥ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Ñscal year ended December 31, 2001 or n TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File number 0-27275 Akamai Technologies, Inc. (Exact Name of Registrant as SpeciÑed in Its Charter) Delaware 04-3432319 (State or other Jurisdiction of (I.R.S. Employer Incorporation or Organization) IdentiÑcation No.) 500 Technology Square, Cambridge, MA 02139 (Address of Principal Executive OÇces) (Zip Code) Registrant's Telephone Number, including area code: (617) 444-3000 Securities registered pursuant to Section 12(b) of the Act: None. Securities registered pursuant to Section 12(g) of the Act: Common Stock, $.01 par value Indicate by check mark whether the registrant: (1) has Ñled all reports required to be Ñled by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to Ñle such reports), and (2) has been subject to such Ñling requirements for the past 90 days. Yes ¥ No n Indicate by check mark if disclosure of delinquent Ñlers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of the registrant's knowledge, in deÑnitive proxy or information statement incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.
  • List of Section 13F Securities

    List of Section 13F Securities

    List of Section 13F Securities 1st Quarter FY 2004 Copyright (c) 2004 American Bankers Association. CUSIP Numbers and descriptions are used with permission by Standard & Poors CUSIP Service Bureau, a division of The McGraw-Hill Companies, Inc. All rights reserved. No redistribution without permission from Standard & Poors CUSIP Service Bureau. Standard & Poors CUSIP Service Bureau does not guarantee the accuracy or completeness of the CUSIP Numbers and standard descriptions included herein and neither the American Bankers Association nor Standard & Poor's CUSIP Service Bureau shall be responsible for any errors, omissions or damages arising out of the use of such information. U.S. Securities and Exchange Commission OFFICIAL LIST OF SECTION 13(f) SECURITIES USER INFORMATION SHEET General This list of “Section 13(f) securities” as defined by Rule 13f-1(c) [17 CFR 240.13f-1(c)] is made available to the public pursuant to Section13 (f) (3) of the Securities Exchange Act of 1934 [15 USC 78m(f) (3)]. It is made available for use in the preparation of reports filed with the Securities and Exhange Commission pursuant to Rule 13f-1 [17 CFR 240.13f-1] under Section 13(f) of the Securities Exchange Act of 1934. An updated list is published on a quarterly basis. This list is current as of March 15, 2004, and may be relied on by institutional investment managers filing Form 13F reports for the calendar quarter ending March 31, 2004. Institutional investment managers should report holdings--number of shares and fair market value--as of the last day of the calendar quarter as required by Section 13(f)(1) and Rule 13f-1 thereunder.