alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
§ 300.142 Use of personnel. ( a ) *Use of public school personnel.* An LEA may use funds available under sections 611 and 619 of the Act to make public school personnel available in other than public facilities— ( 1 ) To the extent necessary to provide services under §§ 300.130 through 300.144 for parentally-placed private school children with disabilities; and
( 2 ) If those services are not normally provided by the private school.
( b ) *Use of private school personnel.* An LEA may use funds available under sections 611 and 619 of the Act to pay for the services of an employee of a private school to provide services under §§ 300.130 through 300.144 if— ( 1 ) The employee performs the services outside of his or her regular hours of duty; and
( 2 ) The employee performs the services under public supervision and control.
(Approved by the Office of Management and Budget under control number 1820-0030) (Authority: 20 U.S.C. 1412(a)(10)(A))
### §1838. Construction with other laws

Except as provided in section 1833(b), this chapter shall not be construed to preempt or displace any other remedies, whether civil or criminal, provided by United States Federal, State, commonwealth, possession, or territory law for the misappropriation of a trade secret, or to affect the otherwise lawful disclosure of information by any Government employee under section 552 of title 5 (commonly known as the Freedom of Information Act).

(Added Pub. L. 104–294, title I, §101(a), Oct. 11, 1996, 110 Stat. 3490; amended Pub. L. 114–153, §7(b), May 11, 2016, 130 Stat. 385.)

#### **Editorial Notes**

#### Amendments

2016—Pub. L. 114–153 substituted "Except as provided in section 1833(b), this chapter" for "This chapter".
EXHIBIT 31.2

CERTIFICATION OF TREASURER

I, Steven L. Suss, certify that:

1. I have reviewed this quarterly report on Form 10-Q of Excelsior Venture Partners III, LLC;

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)) 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 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 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: June 16, 2008



|                                                     
|-----------------------------------------------------
|/s/ STEVEN L. SUSS                                   
|Steven L. Suss, Treasurer and Chief Financial Officer



29
### §81f. Authorization of appropriation

There is authorized to be appropriated, out of any money in the Treasury not otherwise appropriated, such sums as may be necessary to carry out the provisions of this subchapter, which shall not exceed the sum of $8,572,000 to be available for all expenses incident to the examination and establishment of the said Colonial National Historical Park and for the acquisition of lands and/or lands and improvements needed for the completion of the park, including the securing of options and other incidental expenses. The area of the Yorktown battlefield, authorized for inclusion in said park, is extended to not to exceed four thousand five hundred acres, and all Government-owned lands within the boundaries of said park as established by presidential proclamation, except those determined by the Secretary of the Interior as not necessary in carrying out the objects of said park are transferred to the administrative jurisdiction and control of the National Park Service.

(July 3, 1930, ch. 837, §4, 46 Stat. 856; Mar. 3, 1931, ch. 405, 46 Stat. 1490; June 5, 1936, ch. 525, §2, 49 Stat. 1483; Pub. L. 90–74, Aug. 29, 1967, 81 Stat. 176; Pub. L. 93–477, title I, §101(2), Oct. 26, 1974, 88 Stat. 1445; Pub. L. 109–418, §3, Dec. 19, 2006, 120 Stat. 2883.)

#### **Editorial Notes**

#### Codification

Section was formerly classified to section 443c of this title.

#### Amendments

2006—Pub. L. 109–418 substituted "$8,572,000" for "$10,472,000".

1974—Pub. L. 93–477 substituted "$10,472,000" for "$2,777,000".

1967—Pub. L. 90–74 substituted "$2,777,000" for "$2,000,000".

1931—Act Mar. 3, 1931, changed amount of appropriation and inserted last sentence extending the area of Yorktown battlefield.

#### **Statutory Notes and Related Subsidiaries**

#### Change of Name

Act June 5, 1936, changed "Colonial National Monument" to "Colonial National Historical Park".

#### George Waller Blow Estate; Use of 1967 Increase in Authorization of Appropriations To Purchase

Pub. L. 90–74 provided in part that the limit on the authorized appropriation was increased from $2,000,000 to $2,777,000 in order to permit acquisition of the Thomas Nelson House, the Edmund Smith House, the John Ballard House, and the Thomas Pate House, all of which are located within the boundaries of the Colonial National Historical Park on lots numbered 42A, 44 through 55, 84, 85, and 120 through 129, and known as the George Waller Blow Estate.
#### § 300.302 Screening for instructional purposes is not evaluation.

The screening of a student by a teacher or specialist to determine appropriate instructional strategies for curriculum implementation shall not be considered to be an evaluation for eligibility for special education and related services.

(Authority: 20 U.S.C. 1414(a)(1)(E))
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934 

Release No. 85232 / March 1, 2019

ADMINISTRATIVE PROCEEDING 

File No. 3-18909

In the Matter of

Fifth Street Management, LLC

Respondent.

:

:

:

:

:

:

:

:

EXTENSION ORDER

The Division of Enforcement (“Division”) has requested an extension of time until 

November 29, 2019 to submit a Proposed Plan of Distribution under Rule 1101(a) of the 

Commission’s Rules on Fair Fund and Disgorgement Plans, 17 CFR § 201.1101(a).

On December 3, 2018, the Commission issued an Order Instituting Administrative and 

Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 

21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment 

Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940 Making 

Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (the “Order”)1

against Fifth Street Management, LLC (the “Respondent”). In the Order, the Commission 

found that in 2013 and 2014, the Respondent made improper allocations to its former business 

development company (“BDC”) clients and failed in the valuation of two portfolio company 

investment held by one of the BDCs. Further, the Respondent did not implement written 

policies and procedures reasonably designed to prevent violations of the Advisers Act 

concerning expense allocation until July 2016, did not implement them for the quality control 

 

1

 Securities Act Rel. No. 10581 (Dec. 3, 2018).
2

review of its BDC clients’ quarterly valuation models, and did not have adequate policies and 

procedures concerning the prevention of the use of material, nonpublic information. The 

Commission ordered the Respondent to pay disgorgement of $1,999,115.86, prejudgment 

interest of $334,545.65, and a civil money penalty of $1,650,000.00 to the Commission. The 

Commission also created a Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act 

of 2002, so the penalty, along with the disgorgement and prejudgment interest, collected can 

be distributed to those harmed by the Respondent’s conduct described in the Order (the “Fair 

Fund”).

The Division now requests additional time to solicit and obtain the appointment of a 

fund administrator and to draft and obtain approval of a distribution plan. 

Accordingly, for good cause shown, IT IS HEREBY ORDERED that the Division’s 

request for an extension of time until November 29, 2019 to submit a Proposed Plan of 

Distribution is granted.

For the Commission, by its Secretary, pursuant to delegated authority. 

Brent J. Fields

Secretary
<PAGE>
HERCULES INCORPORATED

                                                                    EXHIBIT 99.3

                            CERTIFICATION PURSUANT TO
                             18 U.S.C. SECTION 1350,
                             AS ADOPTED PURSUANT TO
                  SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

      In connection with the Annual Report of Hercules Incorporated (the
"Company") on Form 10-K/A for the period ended December 31, 2002 as filed with
the Securities and Exchange Commission on the date hereof (the "Report"), I,
William H. Joyce, Chief Executive Officer of the Company, certify, pursuant to
18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley
Act of 2002, that:

(1)   The Report fully complies with the requirements of Section 13(a) or 15(d)
      of the Securities Exchange Act of 1934; and

(2)   The information contained in the Report fairly presents, in all material
      respects, the financial condition and results of operations of the
      Company.


/s/ William H. Joyce
----------------------------------
William H. Joyce
Chief Executive Officer
April 30, 2003


                                       14
EXHIBIT 31.2
 
 SECTION 302 CERTIFICATION
 
 I, Nick J. Caruso, certify that:
 
 1.
I have reviewed this annual report on Form 10-K of Illinois Power Company ("IP");2.
Based on my knowledge, this annual 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 annual report;3.
Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of IP as of, and for, the periods presented in this annual report;4.
IP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 IP 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 IP, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this annual report is being prepared;(b)
Evaluated the effectiveness of IPs disclosure controls and procedures and presented in this annual report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this annual report based on such evaluation; and(c)
Disclosed in this annual report any change in IPs internal control over financial reporting that occurred during IPs fourth quarter that has materially affected, or is reasonably likely to materially affect, IPs internal control over financial reporting; and5.
IPs other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to IPs auditors and the audit committee of IP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 IP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 IPs internal control over financial reporting.
 
 
 Date: March 12, 2004

By:  /s/
Nick J. CarusoNick J. CarusoExecutive Vice President and Chief Financial Officer
§ 300.710 Use of funds under Part B of the Act. ( a ) The Secretary of the Interior may reserve five percent of its payment under § 300.707(b) in any fiscal year, or $500,000, whichever is greater, for administrative costs in carrying out the provisions of §§ 300.707 through 300.709, 300.711, and 300.713 through 300.716.
( b ) Payments to the Secretary of the Interior under § 300.712 must be used in accordance with that section.
(Authority: 20 U.S.C. 1411(h)(1)(A))
EXHIBIT 3.1





AMENDMENT





TO THE





AMENDED AND RESTATED CERTIFICATE OF INCORPORATION





OF





U.S.I. HOLDINGS CORPORATION





U.S.I. HOLDINGS CORPORATION, a corporation organized and existing under and by virtue of the General Corporation Law of the State of
Delaware (the GCL), hereby certifies as follows:





FIRST: The name of the Corporation is U.S.I.
HOLDINGS CORPORATION (the Corporation).





SECOND: Article IV of the Corporations Amended
and Restated Certificate of Incorporation is amended to effect a reverse stock split, for all issued and outstanding shares of common stock, par value $.01 per share, of the Corporation (the Common Stock), pursuant to which every
five (5) shares of the Corporations Common Stock issued and outstanding or held in treasury will be automatically converted into two (2) new shares of Common Stock (the Reverse Stock Split). The Reverse Stock Split shall be
effective upon filing of this amendment with the Secretary of State of Delaware (the Split Effective Date). The Corporation shall not issue fractional shares to the stockholders entitled to a fractional interest in a share of such
Common Stock issued pursuant to the Reverse Stock Split. In lieu of such fractional shares, stockholders entitled to a fractional share shall receive the cash value of such fractional share equal to the initial public offering price of the Common
Stock, which shall be deemed to be the fair value of the Common Stock.





On the Split Effective Date, each
certificate representing existing shares of Common Stock will automatically be deemed for all purposes to evidence ownership of the appropriate reduced number of new shares of Common Stock without any action by the stockholder thereof.





THIRD: Section (A) of Article IV of the Amended and Restated Certificate of Incorporation is amended and restated as follows:





(A) Authorization of Shares





The aggregate number of shares of capital stock which the Corporation has authority to issue, from time to time, is 397,000,000 shares, consisting of:





87,000,000 shares of preferred stock, par value $.01 per share (the Preferred Stock);





300,000,000 shares of voting common stock, par value $.01 per share (the Common Stock); and





10,000,000 shares of non-voting common stock, par value $.01 per share (the Non-Voting Common Stock).





FOURTH: This Amendment to the Amended and Restated Certificate of Incorporation has been duly adopted by the Board of Directors
and Shareholders of the Corporation in accordance with the provisions of Section 242 of the GCL.




---




IN WITNESS WHEREOF, U.S.I. HOLDINGS CORPORATION, has caused this certificate to
be executed by DAVID L. ESLICK and ERNEST J. NEWBORN, II, being the Chief Executive Officer and Secretary, respectively, of the Corporation this 16th day of October, 2002.





/s/ David L. EslickChief Executive Officer





ATTEST:





/s/ Ernest J. Newborn, IISecretary
# Official Journal C 134A/3 Ma

| | ISSN 1977-091X |
| --- | --- |
| Official Journal
  of the European Union | C 134A |
| | |
| English edition | Information and Notices | Volume 573 May 2014 |

ISSN 1977-091X

Official Journal

of the European Union

C 134A

English edition

Information and Notices

Volume 573 May 2014

---

| Notice No | Contents | page |
| --- | --- | --- |
| | Corrigenda |
| 2014/C 134A/01 | Corrigendum to Notice of open competition — EPSO/AD/278/14 — Administrators (AD 7) in the following fields: 1. Digital forensics 2. Operational analysis — (Official Journal of the European Union C 88 A of 27 March 2014) | 1 |

Notice No

Contents

page

Corrigenda

2014/C 134A/01

Corrigendum to Notice of open competition — EPSO/AD/278/14 — Administrators (AD 7) in the following fields: 1. Digital forensics 2. Operational analysis — (Official Journal of the European Union C 88 A of 27 March 2014)

(Official Journal of the European Union C 88 A of 27 March 2014)

1

| | |
| --- | --- |
| 2014/C 134A/02 | Review of Competition C A Official Journals | 2 |

2014/C 134A/02

Review of Competition C A Official Journals

2

| EN | |
| --- | --- |

EN

---

Corrigenda

| 3.5.2014 | EN | Official Journal of the European Union | CA 134/1 |
| --- | --- | --- | --- |

3.5.2014

EN

Official Journal of the European Union

CA 134/1

---

Corrigendum to Notice of open competition

EPSO/AD/278/14 — ADMINISTRATORS (AD 7)

in the following fields:

| 1. | DIGITAL FORENSICS |
| --- | --- |

1.

DIGITAL FORENSICS

| 2. | OPERATIONAL ANALYSIS |
| --- | --- |

2.

OPERATIONAL ANALYSIS

(
  Official Journal of the European Union C 88 A of 27 March 2014
  )

2014/C 134 A/01

On page 7, Section VIII, point 1:

for:

‘Deadline (including validation): 29 April 2014 at 12.00 (midday), Brussels time.’,

read:

‘Deadline (including validation): 6 May 2014 at 12.00 (midday), Brussels time.’.

---

3.5.2014

| 3.5.2014 | EN | Official Journal of the European Union | CA 134/2 |
| --- | --- | --- | --- |

EN

Official Journal of the European Union

CA 134/2

---

REVIEW OF COMPETITION C A OFFICIAL JOURNALS

2014/C 134 A/02

Please find below the list of C A Official Journals published during the present year.

Unless otherwise indicated, the Official Journals are published in all language versions.

| 5 | |
| --- | --- |
| 6 | |
| 11 | |
| 19 | |
| 21 | |
| 26 | |
| 27 | |
| 30 | (PL) |
| 35 | |
| 41 | (DE/EN/FR) |
| 42 | |
| 43 | |
| 46 | |
| 47 | |
| 48 | |
| 55 | |
| 56 | |
| 60 | |
| 62 | |
| 65 | |
| 73 | (DE/EN/FR) |
| 74 | |
| 81 | |
| 88 | |
| 92 | (DE/EN/FR) |
| 97 | |
| 98 | |
| 99 | |
| 108 | |
| 109 | |
| 116 | |
| 119 | |
| 133 | |
| 134 | |

5

6

11

19

21

26

27

30

(PL)

35

41

(DE/EN/FR)

42

43

46

47

48

55

56

60

62

65

73

(DE/EN/FR)

74

81

88

92

(DE/EN/FR)

97

98

99

108

109

116

119

133

134

---
### §5964. Repealed. Pub. L. 113–287, §7, Dec. 19, 2014, 128 Stat. 3272

Section, Pub. L. 105–391, title IV, §416, Nov. 13, 1998, 112 Stat. 3516, related to promotion of sale of Indian, Alaska Native, Native Samoan, and Native Hawaiian handicrafts. See section 101924 of Title 54, National Park Service and Related Programs.
§ 300.816 Allocations to LEAs. ( a ) *Base payments.* The State must first award each LEA described in § 300.815 the amount that agency would have received under section 619 of the Act for fiscal year 1997 if the State had distributed 75 percent of its grant for that year under section 619(c)(3), as such section was then in effect.
( b ) *Base payment adjustments.* For fiscal year 1998 and beyond— ( 1 ) If a new LEA is created, the State must divide the base allocation determined under paragraph (a) of this section for the LEAs that would have been responsible for serving children with disabilities now being served by the new LEA, among the new LEA and affected LEAs based on the relative numbers of children with disabilities ages three through five currently provided special education by each of the LEAs;
( 2 ) If one or more LEAs are combined into a single new LEA, the State must combine the base allocations of the merged LEAs;
( 3 ) If for two or more LEAs, geographic boundaries or administrative responsibility for providing services to children with disabilities ages three through five changes, the base allocations of affected LEAs must be redistributed among affected LEAs based on the relative numbers of children with disabilities ages three through five currently provided special education by each affected LEA; and
( 4 ) If an LEA received a base payment of zero in its first year of operation, the SEA must adjust the base payment for the first fiscal year after the first annual child count in which the LEA reports that it is serving any children with disabilities aged three through five years. The State must divide the base allocation determined under paragraph (a) of this section for the LEAs that would have been responsible for serving children with disabilities aged three through five years now being served by the LEA, among the LEA and affected LEAs based on the relative numbers of children with disabilities aged three through five years currently provided special education by each of the LEAs. This requirement takes effect with funds that become available on July 1, 2009.
( c ) *Allocation of remaining funds.* After making allocations under paragraph (a) of this section, the State must— ( 1 ) Allocate 85 percent of any remaining funds to those LEAs on the basis of the relative numbers of children enrolled in public and private elementary schools and secondary schools within the LEA's jurisdiction; and
( 2 ) Allocate 15 percent of those remaining funds to those LEAs in accordance with their relative numbers of children living in poverty, as determined by the SEA.
( d ) *Use of best data.* For the purpose of making grants under this section, States must apply on a uniform basis across all LEAs the best data that are available to them on the numbers of children enrolled in public and private elementary and secondary schools and the numbers of children living in poverty.
(Authority: 20 U.S.C. 1419(g)(1))
[71 FR 46753, Aug. 14, 2006, as amended at 73 FR 73028, Dec. 1, 2008]