HANCOCK JOHN ADVISERS INC (Form: 13F-HR, Filing Date: 07/12
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List of Marginable OTC Stocks
List of Marginable OTC Stocks @ENTERTAINMENT, INC. ABACAN RESOURCE CORPORATION ACE CASH EXPRESS, INC. $.01 par common No par common $.01 par common 1ST BANCORP (Indiana) ABACUS DIRECT CORPORATION ACE*COMM CORPORATION $1.00 par common $.001 par common $.01 par common 1ST BERGEN BANCORP ABAXIS, INC. ACETO CORPORATION No par common No par common $.01 par common 1ST SOURCE CORPORATION ABC BANCORP (Georgia) ACMAT CORPORATION $1.00 par common $1.00 par common Class A, no par common Fixed rate cumulative trust preferred securities of 1st Source Capital ABC DISPENSING TECHNOLOGIES, INC. ACORN PRODUCTS, INC. Floating rate cumulative trust preferred $.01 par common $.001 par common securities of 1st Source ABC RAIL PRODUCTS CORPORATION ACRES GAMING INCORPORATED 3-D GEOPHYSICAL, INC. $.01 par common $.01 par common $.01 par common ABER RESOURCES LTD. ACRODYNE COMMUNICATIONS, INC. 3-D SYSTEMS CORPORATION No par common $.01 par common $.001 par common ABIGAIL ADAMS NATIONAL BANCORP, INC. †ACSYS, INC. 3COM CORPORATION $.01 par common No par common No par common ABINGTON BANCORP, INC. (Massachusetts) ACT MANUFACTURING, INC. 3D LABS INC. LIMITED $.10 par common $.01 par common $.01 par common ABIOMED, INC. ACT NETWORKS, INC. 3DFX INTERACTIVE, INC. $.01 par common $.01 par common No par common ABLE TELCOM HOLDING CORPORATION ACT TELECONFERENCING, INC. 3DO COMPANY, THE $.001 par common No par common $.01 par common ABR INFORMATION SERVICES INC. ACTEL CORPORATION 3DX TECHNOLOGIES, INC. $.01 par common $.001 par common $.01 par common ABRAMS INDUSTRIES, INC. ACTION PERFORMANCE COMPANIES, INC. 4 KIDS ENTERTAINMENT, INC. $1.00 par common $.01 par common $.01 par common 4FRONT TECHNOLOGIES, INC. -
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Plumleigh Law P L Intellectual Property Transactions • Technology • Life Sciences • Media + Entertainment SERVICES Technology and Software Licensing, including Enterprise and Open Source Hardware/Semiconductor Digital Media/Internet/Entertainment Life Sciences/BioTech Commercial Transactions – Strategic Alliances, Corporate Partnering and M&A Virtual General Counsel – Policies, Compliance, Employment and Consulting Agreements >> Technology and Software Licensing, including Enterprise and Open Source We have advised clients on numerous transactions and matters relating to the development, commercialization, sales and procurement of software and technology, including: - Software License and Support Agreements - Enterprise and Site License Agreements - Clickwrap/Shrinkwrap Licenses - Evaluation Licenses - Source Code Licenses - Open Source Software Licenses - Open Source Compliance Programs - Software License Checklists and Training for In-House Sales Departments - Distribution Agreements - OEM/VAR/ISV Agreements - Software Development Agreements - Independent Consulting Agreements - SDK (Software Development Kit Licenses) - ASP (Application Service Provider)/Hosting Agreements - SaaS (Software as a Service) Agreements - Outsourced Support and Service Agreements - SLAs (Service Level Agreements) - Patent, Copyright, Trade Secret and Technology Licenses - Trademark Licenses Representative Transactions: For Critical Path, Inc.: - Negotiated software licenses and service agreements with wireless carriers and telecommunications providers worldwide, -
Fresno County Employees' Retirement Association Performance Review Summary Period Ending: June 30, 2005
Fresno County Employees' Retirement Association Performance Review Summary Period Ending: June 30, 2005 Performance & Risk Measures Quarter One Year Three Years Five Years Standard Deviation Sharpe Ratio Beta Return Rank Return Rank Return Rank Return Rank 3-Years 5-Years 3-Years 5-Years 3-Years 5-Years BRANDYWINE 4.6 36 16.5 39 15.4 54 21.6 13 23.2 22.3 0.6 0.8 1.0 1.0 RUSSELL 2000 VALUE 5.1 23 14.4 62 14.2 77 16.1 78 22.7 20.8 0.6 0.7 Equity Style - Small Value 4.2 15.8 15.6 18.1 22.2 21.9 0.6 0.7 Ten Largest Holdings Sector Weights Portfolio Characteristics Security Market Value Weight Sector Portfolio Benchmark Portfolio Benchmark WPS RESOURCES CORP. 1,620,000 1.31 Materials 3.5 6.1 Average Market Cap $ 1,224 $ 980 AMERUS GROUP COMPANY 1,478,114 1.20 Industrials 5.2 14.4 Median Market Cap $ 445 $ 570 BORDERS GROUP, INC. 1,470,511 1.19 Telecommunications Services 0.7 1.7 P/E 14.4 14.7 WESTERN DIGITAL CORPORATION 1,403,732 1.14 Consumer Discretionary 30.5 15.1 INDYMAC BANCORP, INCORPORATED 1,372,601 1.11 Consumer Staples 7.5 3.8 P/B 2.0 1.9 COMMERCE GROUP, INCORPORATED 1,341,576 1.09 Energy 7.2 4.1 Dividend Yield 1.6 1.8 BJ'S WHOLESALE CLUB INC 1,306,098 1.06 Financials 25.8 33.6 Health Care 1.9 4.6 Earnings Growth 6.7 5.9 UICI 1,271,179 1.03 Information Technology 7.8 11.2 DOWNEY FINANCIAL CORPORATION 1,266,360 1.03 Miscellaneous 0.1 Benchmark: RUSSELL 2000 VALUE AGL RESOURCES, INCORPORATED. -
1 UNITED STATES SECURITIES and EXCHANGE COMMISSION Washington, D.C
1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: AMERICAN INTERNATIONAL GROUP, INC. Address: 70 Pine Street New York, New York 10270 Form 13F File Number: 28-219 The Institutional Investment Manager filing this report and the person by whom it is signed represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Edward E. Matthews Title: Vice Chairman -- Investments and Financial Services Phone: (212) 770-7000 Signature, Place, and Date of Signing: /s/ Edward E. Matthews New York, New York November 14, 2000 - ------------------------------- ------------------------ ----------------- (Signature) (City, State) (Date) Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check if no holdings reported are in this report, and all holdings are reported in this report and a portion are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check -
OTC) Margin Stocks
F e d e r a l R e s e r v e B a n k OF DALLAS ROBERT D. MCTEER, JR. P R E S ID E N T DALLAS, TEXAS AND CHIEF EXECUTIVE OFFICER 75 265-590 6 March 7, 1996 Notice 96-27 TO: The Chief Executive Officer of each member bank and others concerned in the Eleventh Federal Reserve District SUBJECT Over-the-Counter (OTC) Margin Stocks DETAILS The Board of Governors of the Federal Reserve System has revised the list of over-the-counter (OTC) stocks that are subject to its margin regulations, effective February 12, 1996. Included with the list is a listing of foreign margin stocks that are subject to Regulation T. The foreign margin stocks listed are foreign equity securities eligible for margin treatment at broker-dealers. The Board publishes complete lists four times a year, and the Federal Register announces additions to and deletions from the lists. ATTACHMENTS Attached are the complete lists of OTC stocks and foreign margin stocks as of February 12, 1996. Please retain these lists, which supersede the complete lists published as of February 13, 1995. Announcements containing additions to and deletions from the lists will be provided quarterly. MORE INFORMATION For more information regarding marginable OTC stock requirements, please contact Eugene Coy at (214) 922-6201. For additional copies of this Bank’s notice and the complete lists, please contact the Public Affairs Department at (214) 922-5254. Sincerely yours, For additional copies, bankers and others are encouraged to use one of the following toll-free numbers in contacting the Federal Reserve Bank of Dallas: Dallas Office (800) 333 -4460; El Paso Branch In trasta te (800) 592-1631, Intersta te (800) 351-1012; Houston B ra n ch In tra sta te (800) 392-4162, Intersta te (800) 221-0363; San Antonio Branch In tra sta te (800) 292-5810. -
3Rd Quarter, 2000
RUN DATE:10/06/00 ** LIST OF SECTION 13F SECURITIES ** PAGE 1 RUN TIME:14:34 IVMOOl CUSIP NO. ISSUER NAME ISSUER DESCRIPTION STATUS B49233 10 7 ICOS VISION SYS CORP N V ORD B5628B 10 4 * LERNOUT & HAUSPIE SPEECH PRODS COM B5628B 90 4 LERNOUT & HAUSPIE SPEECH PRODS CALL B5628B 95 4 LERNOUT & HAUSPIE SPEECH PRODS PUT D1497A 10 1 CELANESE AG ORD D1668R 12 3 * DAIMLERCHRYSLER AG ORD D1668R 90 3 DAIMLERCHRYSLER AG CALL D1668R 95 3 DAIMLERCHRYSLER AG PUT F9212D 14 2 TOTAL FINA ELF S A WT EXP 080503 G0070K 10 3 * ACE LTD ORD G0070K 90 3 ACE LTD CALL G0070K 95 3 ACE LTD PUT GO2602 10 3 * AMDOCS LTD ORD GO2602 90 3 AMDOCS LTD CALL GO2602 95 3 AMDOCS LTD PUT GO2995 10 1 AMERICAN SAFETY INS GROUP LTD ORD GO3910 10 9 * ANNUITY AND LIFE RE HLDGS ORD GO3910 90 9 ANNUITY AND LIFE RE HLDGS CALL GO3910 95 9 ANNUITY AND LIFE RE HLDGS PUT GO4074 10 3 APEX SILVER MINES LTD ORD GO4074 11 1 APEX SILVER MINES LTD WT EXP 110402 GO4397 10 8 * APW LTD COM ADDED GO4397 90 8 APW LTD CALL ADDED GO4397 95 8 APW LTD PUT ADDED GO4450 10 5 ARAMEX INTL LTD ORD GO5345 10 6 ASIA PACIFIC RES INTL HLDG LTD CL A G0535E 10 6 ASIA PACIFIC WIRE & CABLE CORP ORD GO5354 10 8 ASIACONTENT COM LTD CL A 620045 20 2 CENTRAL EUROPEAN MEDIA ENTRPRS CL A NEW G2107X 10 8 CHINA TIRE HLDGS LTD COM G2108N 10 9 * CHINADOTCOM CORP CL A G2108N 90 9 CHINADOTCOM CORP CALL G2108N 95 9 CHINADOTCOM CORP PUT 621082 10 5 CHINA YUCHAI INTL LTD COM 623257 10 1 COMMODORE HLDGS LTD ORD 623257 11 9 COMMODORE HLDGS LTD WT EXP 071501 623773 10 7 CONSOLIDATED WATER CO INC ORD G2422R 10 9 * CORECOMM LTD ORD G2422R 90 9 CORECOMM LTD CALL G2422R 95 9 CORECOMM LTD PUT G2519Y 10 8 CREDICORP LTD COM G2706W 10 5 DELPHI INTERNATIONAL LTD ORD 627545 10 5 DF CHINA TECHNOLOGY INC ORD G2759W 10 1 DIGITAL UNITED HOLDINGS LTD ORD ADDED 628471 10 3 DSG INTL LTD ORD 629526 10 3 EK CHOR CHINA MOTORCYCLE CO COM 629539 14 8 ELAN PLC R T 630177 10 2 * EL SIT10 INC ORD 630177 90 2 EL SIT10 INC CALL RUN DATE:10/06/00 ** LIST OF SECTION 13F SECURITIES ** PAGE 2 RUN TIME:14:34 IVMOOl CUSIP NO. -
Wells Fargo Bank Na
SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR Initial quarterly Form 13F holdings report filed by institutional managers Filing Date: 2001-02-20 | Period of Report: 2000-09-29 SEC Accession No. 0001045969-01-000230 (HTML Version on secdatabase.com) FILER WELLS FARGO BANK N A Business Address 420 MONTGOMERY ST CIK:740906| IRS No.: 941347393 | Fiscal Year End: 1231 SAN FRANCISCO CA 94163 Type: 13F-HR | Act: 34 | File No.: 028-01341 | Film No.: 1549792 4152225300 Copyright © 2012 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE REPORT FOR THE CALENDAR YEAR OR QUARTER ENDED: 9/29/00 CHECK HERE IF AMENDMENT ( ); AMENDMENT NUMBER: THIS AMENDMENT (CHECK ONLY ONE.): ( ) IS A RESTATEMENT. ( ) ADDS NEW HOLDINGS ENTRIES INSTITUTIONAL INVESTMENT MANAGER FILING THIS REPORT: NAME: WELLS FARGO BANK, N.A. ADDRESS: 420 MONTGOMERY STREET SAN FRANCISCO, CA 94104 13F FILE NUMBER: 28-1341 THE INSTITUTIONAL INVESTMENT MANAGER FILING THIS REPORT AND THE PERSON BY WHOM IT IS SIGNED HEREBY REPRESENT THAT THE PERSON SIGNING THE REPORT IS AUTHORIZED TO SUBMIT IT, THAT ALL INFORMATION CONTAINED HEREIN IS TRUE, CORRECT AND COMPLETE, AND THAT IT IS UNDERSTOOD THAT ALL REQUIRED ITEMS, STATEMENTS SCHEDULES, LISTS, AND TABLES, ARE CONSIDERED INTEGRAL PARTS OF THIS FORM. PERSON SIGNING THIS REPORT ON BEHALF OF REPORTING MANAGER: NAME: THEODORE MONOHON TITLE: VICE PRESIDENT PHONE: (415)222-5300 SIGNATURE,PLACE,AND DATE OF SIGNING: THEODORE MONOHON SAN FRANCISCO, CA 2/14/01 REPORT TYPE (CHECK ONLY ONE.): (X) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT LIST OF OTHER MANAGERS REPORTING FOR THIS MANAGER: NONE I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. -
The Flash Crash: Effects on S&P 500 Index Versus Non-Index Stocks
The Flash Crash: Effects on S&P 500 Index versus non-Index stocks Aaron Carlton The Leonard N. Stern School of Business Glucksman Institute for Research in Securities Markets Faculty Advisor: Jeffrey Wurgler April 1, 2011 I. INTRODUCTION On the afternoon of May 6, 2010, the US stock markets experienced a sudden crash and an almost equally sudden recovery. This “Flash Crash” occurred without any obvious external news, and while some firms experienced a complete drop in market capitalization, other firms experienced equally impressive gains during the same time period. In many ways, this 2010 crash is reminiscent of the crash that began on October 19, 1987 when the market declined 20% also without any obvious villains to blame. This paper focuses on two findings from the October 1987 and investigates whether the same anomalies were present, and to what degree, in the Flash Crash. The two findings in question are whether the S&P 500 was more adversely affected by the crash than the broader market, and if ‘beta’ was the best predictor of stock vulnerability during a sudden crash. Preliminary findings indicate that the S&P 500 was more adversely impacted during the Flash Crash, although to a much smaller degree than the 7% difference seen in 1987. Additionally, the significance of beta appears to be consistent with the findings from 1987. II. BACKGROUND AND HYPOTHESIS II.1 1987 October Crash On October 19, 1987, commonly referred to as Black Monday, the stock market dropped more than 20%, resulting in a loss of close to $1 trillion in market capitalization in the US markets. -
NCR Savings Plan
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark one) x Annual Report pursuant to Section 15(d) of the Securities Exchange Act of 1934 for fiscal year ended December 31, 2008. OR ¨ Transition Report pursuant to Section 15(d) of the Securities Exchange Act of 1934. Commission File Number 001-00395 A. Full title of the plan and the address of the plan, if different from that of the issuer named below: NCR Savings Plan B. Name and issuer of the securities held pursuant to the plan and the address of its principal executive office: NCR Corporation 1700 South Patterson Boulevard, Dayton, OH 45479 Table of Contents NCR Savings Plan Financial Statements and Supplemental Schedule December 31, 2008 and 2007 Table of Contents NCR Savings Plan Index December 31, 2008 and 2007 Page(s) Report of Independent Registered Public Accounting Firm 1 Financial Statements: Statements of Net Assets Available for Benefits 2 Statement of Changes in Net Assets Available for Benefits 3 Notes to Financial Statements 4-10 Supplemental Schedule: Schedule H, Line 4i—Schedule of Assets Held (At End of Year)* 12 * Other schedules required by Section 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974 have been omitted because they are not applicable. Table of Contents Report of Independent Registered Public Accounting Firm To the Participants and Administrator of the NCR Savings Plan In our opinion, the accompanying statements of net assets available for benefits and the related statement of changes in net assets available for benefits present fairly, in all material respects, the net assets available for benefits of the NCR Savings Plan (the “Plan”) at December 31, 2008 and December 31, 2007, and the changes in net assets available for benefits for the year ended December 31, 2008 in conformity with accounting principles generally accepted in the United States of America. -
Form: 13F-HR/A, Filing Date: 08/15/2000
SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR/A Initial quarterly Form 13F holdings report filed by institutional managers [amend] Filing Date: 2000-08-15 | Period of Report: 2000-06-30 SEC Accession No. 0000314965-00-000004 (HTML Version on secdatabase.com) FILER CAPITAL GUARDIAN TRUST CO Mailing Address Business Address 333 SOUTH HOPE ST 333 SOUTH HOPE ST CIK:314965| IRS No.: 953939997 | State of Incorp.:CA | Fiscal Year End: 0630 55TH FL 55TH FL Type: 13F-HR/A | Act: 34 | File No.: 028-00096 | Film No.: 702989 LOS ANGELES CA 90071 LOS ANGELES CA 90071 2134869200 Copyright © 2012 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2000 Check here if Amendment [X]; Amendment Number: __1__ This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Capital Guardian Trust Company Address: 11100 Santa Monica Boulevard Los Angeles, CA 90025-3384 Form 13F File Number: 28-96 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: David I. Fisher Title: Chairman Phone: 310/996-6331 Signature, Place, and Date of Signing: David I. -
Current Topics of Business Policy Readings
Current Topics of Business Policy (E/A/M 21871, IBE 21149) Benito Arruñada Universitat Pompeu Fabra Readings Table of contents 1. Behavior — Due: week 1 2. Contracting — Due: week 2 3. Public sector reform — Due: week 3 4. Other topics — Due: week 4 5. Professional career — Due: TBA 6. E-business — Due: 1st class on e-business 7. Tools — Due: project preparation 1. Behavior — Due: week 1 References: Pinker, Steven (1997), “Standard Equipment,” chapter 1 of How the Mind Works, Norton, New York, 3-58. Stark, Rodney (1996), “Conversion and Christian Growth,” in The Rise of Christianity: A Sociologist Reconsiders History, Princeton University Press, Princeton, 2-27. Pinker, Steven (2002), The Blank Slate: The Modern Denial of Human Nature, Viking, New York, pp. on stereotypes (201-207). Mullainathan, Sendhil, and Andrei Shleifer (2005), “The Market for News,” American Economic Review, 95(4), 1031-53. Luscombe, Belinda (2013), “Confidence Woman,” Time, March 7. PENGUIN BOOKS Published by the Penguin Group Penguin Books Ltd, 27 Wrights Lane, London W8 5TZ, England Penguin Putnam Inc., 375 Hudson Street, New York, New York 10014, USA Penguin Books Australia Ltd, Ringwood, Victoria, Australia Penguin Books Canada Ltd, 10 Alcorn Avenue, Toronto, Ontario, Canada M4V 3B2 HOW Penguin Books (NZ) Ltd, 182-190 Wairau Road, Auckland 10, New Zealand Penguin Books Ltd, Registered Offices: Harmondsworth, Middlesex, England First published in the USA by W. W. Norton 1997 First published in Great Britain by Allen Lane The Penguin Press 1998 THE MIND Published -
Robert M. Karr Collection of IPO S-1 Registration Documents Inventory, 1980-2001
Robert M. Karr collection of IPO S-1 registration documents X8760.2019 Robert M. Karr collection of IPO S-1 registration documents inventory, 1980-2001 The following inventory was provided by the donor. Box 1: 3D Labs – CardioGenesis Box 2: Cardiometrics – Farallon Communications Box 3: Faroudja – Larscom Box 4: Laserscope – Pacific Gateway Exchange Box 5: Packeteer – Somnus Medical Technologies Box 6: SonicWALL – WJ Communications Box 7: Women.com Networks – Zycon Name Issue date Year 3D Labs 11/18/96 1996 3DFX 6/25/97 1997 8x8 7/2/97 1997 Abaxis 1/22/92 1992 Abgenix 7/2/98 1998 Abovenet Communications 12/10/98 1998 AccelGraphics 4/11/97 1997 Accom 9/26/95 1995 Accrue Software 7/30/99 1999 Aclara 3/20/00 2000 Actel 8/2/93 1993 ActivCard 3/15/00 2000 Active Software 8/12/99 1999 Actuate 7/17/98 1998 Adept 12/15/95 1995 Adeza 1996 Adforce 5/7/99 1999 Adobe Systems 8/13/86 1986 Advanced Fibre Communications 9/30/96 1996 Computer History Museum 1 Robert M. Karr collection of IPO S-1 registration documents X8760.2019 Advanced Polymer Systems 8/26/87 1987 Advent Software 11/15/95 1995 Aehr Test Systems 8/14/97 1997 AeroGen 11/10/00 2000 Affymax N.V 12/17/91 1991 Affymetrix 6/6/96 1996 AG Associates 5/15/95 1995 Agile Software 12/15/95 1995 Agilent Technologies 11/17/99 1999 Alantec 2/4/94 1994 Alliance Fibre Optic Products 11/20/00 2000 Alliance Semiconductor 11/30/93 1993 Alteon Web Systems 9/23/99 1999 Altera 3/30/88 1988 AltiGen Communications 10/4/99 1999 AMB Property 11/21/97 1997 American Champion Entertainment 7/30/97 1997 American Xtal