alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934 

Release No. 80739 / May 22, 2017

ADMINISTRATIVE PROCEEDING 

File No. 3-17315

In the Matter of

Ross, Sinclaire & Associates, LLC and 

Murray Sinclaire, Jr.

Respondents.

:

:

:

:

:

:

:

EXTENSION ORDER

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

February 22, 2018 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 June 23, 2016, the Commission issued an Order Instituting Administrative and 

Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange 

Act of 1934, Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, and Section 

9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial 

Sanctions and a Cease-and-Desist Order (“Order”)1against Ross, Sinclaire & Associates, LLC 

(“RSA”) and Murray Sinclaire, Jr. (“Sinclaire”) (collectively, the “Respondents”). The Order 

found that RSA willfully violated and Sinclaire willfully aided and abetted and caused RSA’s 

violations of Section 15(b)(7) of the Securities Exchange Act of 1934 and Rule 15b7-1 

thereunder.. The Order required RSA to pay disgorgement of $703,335.16, prejudgment 

interest of $99,239.54, and a civil penalty of $100,000.00 and Sinclaire to pay a civil penalty 

 

1

 Exchange Act Rel. No. 78147 (June 23, 2016).
2

of $50,000.00 for a total of $952,574.70. The Order also created a Fair Fund, pursuant to 

Section 308(a) of the Sarbanes-Oxley Act of 2002, as amended. 

In its request for an extension of time, the Division states that it needs time to solicit 

and evaluate fund administrator proposals, and time to develop the distribution methodology 

and draft the distribution plan.

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

request for an extension of time until February 22, 2018 to submit a Proposed Plan of 

Distribution is granted.

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

Brent J. Fields

Secretary
Amendment No. 2 to Supplemental Deferred Investment Plan



 Exhibit 10.1 
 Amendment No. 2 to 
 Chipotle Mexican Grill, Inc. Supplemental Deferred Investment Plan 

 WHEREAS, Chipotle Mexican Grill, Inc. (the “Company”) adopted and implemented, effective as of October 13, 2006, a
Supplemental Deferred Investment Plan (the “Plan”) for the benefit of a select group of Management and highly-compensated Employees of the Company. 
 WHEREAS, the terms of the Plan are set forth in a Supplemental Deferred Investment Plan Document (the “Plan Document”), which provides in Section 9.1 that the Plan may be amended by the Company’s
Chief Administrative Officer to the extent necessary or advisable to comply with the requirements of Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”). 
 WHEREAS, the Company has determined that the amendment set forth herein is advisable to comply with the requirements of Section 409A of the Code,
including the final regulations issued under Section 409A. 
 NOW, THEREFORE, the Plan is hereby amended as set forth below. Capitalized
terms not otherwise defined herein shall have the meanings ascribed to them in the Plan. 
 1. The fourth sentence of
Section 4.1 of the Plan Document is hereby amended and restated to read in its entirety as follows: 
 “The Plan Year
designated by the Participant must be (a) in the case of elections made for the 2006 Plan Year and the 2007 Plan Year only, a Plan Year other than the Plan Year in which the Supplemental Amount, Deferred Bonus Amount or Long Term Bonus Amount
would otherwise be paid; and (b) in the case of all other elections, at least two (2) Plan Years but, in either event, not more than six (6) Plan Years after the Plan Year in which the Supplemental Amount, Deferred Bonus Amount or
Long Term Deferred Bonus Amount would otherwise be paid.” 
 The remainder of the Plan Document shall remain in full force and effect.

 IN WITNESS WHEREOF, the Company has executed this Amendment No. 1 to Chipotle Mexican Grill, Inc. Supplemental Deferred Investment
Plan as of July 24, 2007.
  

			
	 CHIPOTLE MEXICAN GRILL, INC.

	
	 /s/ Robert D. Wilner

	 By:
	 	Robert D. Wilner
		 	Chief Administrative Officer
### §1307. Effect of omission of notice

(a) Actions With Notice.—Except as provided in subsection (b), the omission of the notice prescribed in section 1306 shall not cause loss of the protection under this chapter or prevent recovery for infringement under this chapter against any person who, after receiving written notice of the design protection, begins an undertaking leading to infringement under this chapter.

(b) Actions Without Notice.—The omission of the notice prescribed in section 1306 shall prevent any recovery under section 1323 against a person who began an undertaking leading to infringement under this chapter before receiving written notice of the design protection. No injunction shall be issued under this chapter with respect to such undertaking unless the owner of the design reimburses that person for any reasonable expenditure or contractual obligation in connection with such undertaking that was incurred before receiving written notice of the design protection, as the court in its discretion directs. The burden of providing written notice of design protection shall be on the owner of the design.

(Added Pub. L. 105–304, title V, §502, Oct. 28, 1998, 112 Stat. 2907.)
<TABLE> <S> <C>

<ARTICLE> 9
<LEGEND>
This schedule contains summary financial information extracted from the
financial statements for the twelve months ended December 31, 1999 and
is qualified in its entirety by reference to such financial statements.
</LEGEND>
<MULTIPLIER> 1,000

<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                          DEC-31-1999
<PERIOD-END>                               DEC-31-1999
<CASH>                                           30941
<INT-BEARING-DEPOSITS>                               0
<FED-FUNDS-SOLD>                                 30500
<TRADING-ASSETS>                                     0
<INVESTMENTS-HELD-FOR-SALE>                     160903
<INVESTMENTS-CARRYING>                               0
<INVESTMENTS-MARKET>                                 0
<LOANS>                                        1702181
<ALLOWANCE>                                      28759
<TOTAL-ASSETS>                                 1979774
<DEPOSITS>                                     1312115
<SHORT-TERM>                                    303754
<LIABILITIES-OTHER>                              69937
<LONG-TERM>                                     161854
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                           136
<OTHER-SE>                                      176967
<TOTAL-LIABILITIES-AND-EQUITY>                 1979774
<INTEREST-LOAN>                                 135037
<INTEREST-INVEST>                                 9502
<INTEREST-OTHER>                                  1887
<INTEREST-TOTAL>                                146426
<INTEREST-DEPOSIT>                               54473
<INTEREST-EXPENSE>                               75575
<INTEREST-INCOME-NET>                            70851
<LOAN-LOSSES>                                     9410
<SECURITIES-GAINS>                              (3015)
<EXPENSE-OTHER>                                  52346
<INCOME-PRETAX>                                  36053
<INCOME-PRE-EXTRAORDINARY>                       36053
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                     22733
<EPS-BASIC>                                       1.81
<EPS-DILUTED>                                     1.77
<YIELD-ACTUAL>                                    3.92
<LOANS-NON>                                      17672
<LOANS-PAST>                                         0
<LOANS-TROUBLED>                                     0
<LOANS-PROBLEM>                                  21005
<ALLOWANCE-OPEN>                                 25700
<CHARGE-OFFS>                                     7571
<RECOVERIES>                                      1220
<ALLOWANCE-CLOSE>                                28759
<ALLOWANCE-DOMESTIC>                                 0
<ALLOWANCE-FOREIGN>                                  0
<ALLOWANCE-UNALLOCATED>                           7285


</TABLE>
#### The People of the State of New York, Respondent, v. Daniel H. Tolman, Appellant.

Judgment affirmed. No opinion. Present—Ingraham, P. J., McLaughlin, Laughlin, Dowling and Hotchkiss, JJ.
HOUGHTON MIFFLIN COMPANY
          EXHIBIT 12--COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES

                             (Dollars in Millions)

<TABLE>
<CAPTION>
                                                                 Years Ended December 31,
                                                 ------------------------------------------------------------
                                                 1996       1995(C)      1994(B)      1993(A)      1992
                                                 --------   ----------   ----------   ----------   -------
<S>                                               <C>         <C>          <C>          <C>         <C>
Earnings (loss) before fixed charges:
 Net income (loss) before extraordinary
 item and cumulative effect of
 accounting changes   ........................    $43.6       $ (7.2)      $52.4        $31.4       $19.0
 Provision (benefit) for income taxes   ......     30.3         (4.2)       32.7         17.7         9.4
                                                  ------      ------       ------       ------      ------
Income (loss) from continuing operations
 before taxes, extraordinary item, and
 cumulative effect of accounting changes           74.0        (11.4)       85.1         49.1        28.4
 Interest expense  ...........................     41.6         15.2         7.7          3.6         4.4
 Interest portion of rental expense*    ......      3.0          3.8         3.4          3.3         3.7
                                                  ------      ------       ------       ------      ------
Earnings (loss) before fixed charges    ......    118.6       $  7.6       $96.2        $56.0       $36.5
Fixed charges:
 Interest expense  ...........................     41.6         15.2         7.7          3.6         4.4
 Interest portion of rental expense*    ......      3.0          3.8         3.4          3.3         3.7

Total fixed charges   ........................     44.6       $ 19.0       $11.1        $ 6.9       $ 8.1
Ratio of earnings to fixed charges   .........      2.7          0.4         8.6          8.1         4.5
</TABLE>


(A) On June 4, 1993, the Company completed an early redemption of $25 million in
    senior notes due December 15, 1994. The Company recognized an extraordinary
    loss of $1.0 million, net of a tax benefit of $0.6 million. The
    extraordinary loss is excluded from earnings before fixed charges and
    interest expense in calculating the ratio of earning to fixed charges.


(B)  On March 30, 1994, the Company completed an early redemption of $25 million
   in senior notes due March 30, 1997. The Company recognized an extraordinary
   loss of $1.2 million, net of a tax benefit of $0.8 million. This
   extraordinary loss is excluded from earnings before fixed charges and
   interest expense in calculating the ratio of earning to fixed charges.


(C) The Company would need $11.4 million in additional income to cover its fixed
    charges in 1995.

*  Includes the portion of rent expense for each period presented that is deemed
   by management to be the interest component of such rentals.
### §1021. Title records

Whoever, being an officer or other person authorized by any law of the United States to record a conveyance of real property or any other instrument which by such law may be recorded, knowingly certifies falsely that such conveyance or instrument has or has not been recorded, shall be fined under this title or imprisoned not more than five years, or both.

(June 25, 1948, ch. 645, 62 Stat. 754; Pub. L. 103–322, title XXXIII, §330016(1)(H), Sept. 13, 1994, 108 Stat. 2147.)

#### Historical and Revision Notes

Based on title 18, U.S.C., 1940 ed., §194 (Mar. 4, 1909, ch. 321, §105, 35 Stat. 1107).

Words "five years" were substituted for "seven years" as more in conformity with comparable sections of this chapter.

Minor change was made in phraseology.

#### **Editorial Notes**

#### Amendments

1994—Pub. L. 103–322 substituted "fined under this title" for "fined not more than $1,000".
<PAGE>

                                                                      EXHIBIT 12

                 RELIANT ENERGY, INCORPORATED AND SUBSIDIARIES

               COMPUTATION OF RATIOS OF EARNINGS TO FIXED CHARGES

<Table>
<Caption>
                                                      YEAR ENDED DECEMBER 31,
                                   -------------------------------------------------------------
                                      2001         2000         1999        1998         1997
                                   ----------   ----------   ----------   ---------   ----------
                                                      (THOUSANDS OF DOLLARS)
<S>                                <C>          <C>          <C>          <C>         <C>
Income from continuing
  operations.....................  $  918,940   $  440,055   $1,665,731   $(141,092)  $  421,110
Income taxes for continuing
  operations.....................     499,845      318,497      899,117     (31,708)     206,374
Capitalized interest.............     (67,846)     (44,565)     (18,942)     (6,023)      (2,872)
                                   ----------   ----------   ----------   ---------   ----------
                                    1,350,939      713,987    2,545,906    (178,823)     624,612
                                   ----------   ----------   ----------   ---------   ----------
Fixed charges, as defined:
  Interest.......................     602,090      713,674      500,151     502,432      384,928
  Capitalized interest...........      67,846       44,565       18,942       6,023        2,872
  Distribution on trust preferred
     securities..................      55,598       54,358       51,220      29,201       26,230
  Preference security dividend
     requirements of
     subsidiary..................       1,321          669          599         476        2,496
  Interest component of rentals
     charged to operating
     expense.....................      37,446       20,580       11,777       8,707        5,069
                                   ----------   ----------   ----------   ---------   ----------
  Total fixed charges............     764,301      833,846      582,689     546,839      421,595
                                   ----------   ----------   ----------   ---------   ----------
Earnings, as defined.............  $2,115,240   $1,547,833   $3,128,595   $ 368,016   $1,046,207
                                   ==========   ==========   ==========   =========   ==========
Ratio of earnings to fixed
  charges........................        2.77         1.86         5.37          --         2.48
                                   ==========   ==========   ==========   =========   ==========
</Table>

     In 1998 earnings were inadequate to cover fixed charges by approximately
$179 million. This deficiency results from the pre-tax $1.2 billion non-cash,
unrealized accounting loss recorded for the ACES indexed debt securities
obligation. Excluding the effect of the non-cash, unrealized accounting loss,
the ratio of earnings from continuing operations to fixed charges would have
been 2.82.
### §483. Uttering counterfeit foreign bank notes

Whoever, within the United States, utters, passes, puts off, or tenders in payment, with intent to defraud, any such false, forged, altered, or counterfeited bank note or bill, mentioned in section 482 of this title, knowing the same to be so false, forged, altered, and counterfeited, whether or not the same was made, forged, altered, or counterfeited within the United States, shall be fined under this title or imprisoned not more than 20 years, or both.

(June 25, 1948, ch. 645, 62 Stat. 708; Pub. L. 103–322, title XXXIII, §330016(1)(H), Sept. 13, 1994, 108 Stat. 2147; Pub. L. 107–56, title III, §375(f), Oct. 26, 2001, 115 Stat. 342.)

#### Historical and Revision Notes

Based on title 18, U.S.C., 1940 ed., §273 (Mar. 4, 1909, ch. 321, §159, 35 Stat. 1118).

Mandatory punishment provision was rephrased in the alternative.

Changes were made in phraseology.

#### **Editorial Notes**

#### Amendments

2001—Pub. L. 107–56 substituted "20 years" for "one year".

1994—Pub. L. 103–322 substituted "fined under this title" for "fined not more than $1,000".
#### Elmhurst Fire Company, Respondent, v. The City of New York, Appellant.

Judgment modified by striking therefrom so much of the provisions thereof as provides for the cancellation of the tax for the year 1902, and as thus modified affirmed, without costs. No opinion. Jenks, P. J., Burr, Thomas, Carr and Rich, JJ., concurred.
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

DAY HIGH

 630

 657

 696

 683

 681

 695

 697

 693

 704

 695

 703

 677

 698

 649

 568

 643

 580

 716

 646

 657

 504

 502

 479

 509

 479

 481

 504

 539

 487

 473

 467

 453

 466

 460

 463

 453

 442

 444

 431

 423

 437

 400

 409

 390

 408

 518

 454

 453

 448

 448

 460

 436

 442

 440

 474

 486

 552

 543

 560

 542

 556

 568

 561

 563

 565

 559

 568

 541

 550

 510

 498

 513

 462

 626

 524

 512

 469

 479

 469

 464

 453

 452

 487

 506

LOW MEAN

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. BUREAU OF RECLAMATION-CENTRAL VALLEY PROJECT-CALIFORNIA

FEBRUARY 2018 WATER QUALITY REPORT RUN DATE: March 1, 2018

ELECTRICAL CONDUCTIVITY, UMHOS 

TDS

 357

 352

 362

 351

 360

 367

 363

 364

 365

 361

 367

 350

 356

 331

 324

 333

 302

 403

 340

 332

 306

 312

 306

 303

 296

 295

 317

 329

TOTAL 14,652

Comments:

0 reading indicates that the station was out of service.

DELTA MENDOTA CANAL AT CHECK 20
EXHIBIT 32.1



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 Quarterly Report
of Nuance Communications, Inc. (the Company) on Form 10-Q for the period ended
June 30, 2004, as filed with the Securities and Exchange Commission on the
date hereof (the Report), I, Charles W. Berger, Chief Executive Officer of the
Company, certify, pursuant to 18 U.S.C. 1350, as adopted pursuant to 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/ Charles W. Berger                                   
| |  | --------------------------------------------------------
| |  | Charles W. Berger ,President and Chief Executive Officer
| |  | August 6, 2004
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