alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
<TABLE> <S> <C>

<ARTICLE> 5
       
<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                          FEB-28-1999
<PERIOD-END>                               FEB-28-1999
<CASH>                                         418,630
<SECURITIES>                                         0
<RECEIVABLES>                                   11,255
<ALLOWANCES>                                         0
<INVENTORY>                                          0
<CURRENT-ASSETS>                               426,985
<PP&E>                                             270
<DEPRECIATION>                                       0
<TOTAL-ASSETS>                                 430,155
<CURRENT-LIABILITIES>                            6,091
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                       205,995
<OTHER-SE>                                     630,178
<TOTAL-LIABILITY-AND-EQUITY>                   430,155
<SALES>                                              0
<TOTAL-REVENUES>                                49,940
<CGS>                                                0
<TOTAL-COSTS>                                        0
<OTHER-EXPENSES>                              (78,244)
<LOSS-PROVISION>                              (28,304)
<INTEREST-EXPENSE>                                   0
<INCOME-PRETAX>                                      0
<INCOME-TAX>                                         0
<INCOME-CONTINUING>                                  0
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                  (28,304)
<EPS-PRIMARY>                                   (.007)
<EPS-DILUTED>                                   (.007)
        


</TABLE>
Exhibit 10.5

 

Anterios



 

142 West 57th Street, Suite 4A, New York, NY 10019

 

	
 
    	
July 23,   2009
    


 

Office of Commercial Ventures and

Intellectual Property

225 Franklin Street, 12th Floor

Boston, Massachusetts 02110

Attention: William Rosenberg, Executive Director

 

Re: Amendment to 2007 Botulinum Cell Line License Agreement — Confidential

 

Dear Bill:

 

Reference is made to the Botulinum Cell Line License Agreement between Anterios, Inc. (“Company”) and the University of Massachusetts, a public institution of higher education of the Commonwealth of Massachusetts as represented by its Dartmouth campus (“University”) dated August 13, 2007 (“License Agreement”). The purpose of this letter amendment is to extend the “Option Period” by one additional year as permitted in the License Agreement and to amend the License Agreement as set forth below. Capitalized terms used but not defined in this letter amendment will have the meanings given to such terms in the License Agreement.

 

Accordingly, University and Company agree as follows:

 

1.             As of the date of full execution of this letter amendment, the Option Period is extended by one additional year. For clarity, with this extension, the Option Period extends until [*] years from the Effective Date.

 

2.             Sections 2.2 and 4.3 of the License Agreement are amended with respect to the timing of when payment is due for an extension of the Option Period as follows: Company will pay [*] to University by the earlier of (a) [*] or (b) within [*] days of receipt of funds under Company’s pending Series B round of financing.

 

3.             The address for Company set forth in the introductory paragraph and Section 8.12 of the License Agreement is changed to:

 











 

Page 2

 

Anterios, Inc.

142 West 57th Street, Suite 4A New York,
 NY 10019

Attention: Jon Edelson, MD

 

4.           Nothing is this letter amendment will affect other terms and conditions of the License Agreement. Company and University each acknowledge that the other is in full compliance with its obligations under the License Agreement as of the date of their respective execution of this letter amendment.

 

5.           To indicate University’s agreement with the terms set out above, please have an authorized representative sign where indicated in the space below on both originals and return one original to Company.

 

	
 
    	
Sincerely,
    
	
 
    	
 
    
	
 
    	
/s/   Jon Edelson
    
	
 
    	
 
    
	
 
    	
Jon   Edelson, M.D.
    
	
 
    	
President   and Chief Executive Officer
    


 

AGREED: University of Massachusetts

 

	
 
    	
By:
    	
/s/ William Rosenberg
    	
 
    
	
 
    	
Executive   Director, Office of Commercial Ventures and Intellectual Property
    
	
 
    	
 
    	
 
    
	
 
    	
Date
    	
 
    


 

CC:

Mr. Louis Petrovic

Asst Vice Chancellor for Research Development

Advanced Technology & Manufacturing Center

University of Massachusetts Dartmouth

151 Martine Street

Fall River, MA 02723-1501

 

1
CONSULTINGAGREEMENT

 

       This Consulting Agreement for the exchange of consulting services for fees is byand between Twin Faces East Entertainment Corporation (TFAC), a NevadaCorporation located at 94 Arthur Hills Court, Henderson, NV. 89074, and VijayArunachalam Kumar of Miami, FL, collectively referred to as "TheParties".

 

       WHEREAS, TFAC is a developer of intellectual and entertainment properties, and

 

       WHEREAS, VJ has various connections and networking contacts in the corporatefinance business and development business,

 

       NOW, THEREFORE, in consideration of the mutual covenants provided herein, TheParties agree as follows:

 

       Frank shall provide services to TFAC on an as requested basis and in anycapacity as requested by TFAC for securing financing for the maintenance of thebusiness,

 

       TFAC shall compensate VJ for these services as follows:

-  Twenty    Five Thousand Dollars ($25,000) in fees payable the earlier of August 1,    2003 or the Company's receipt of funding in the amount of $1 million or    greater, andFifty    thousand shares of restricted (rule 144) company stock to be issued in the    name of Vijay Arunachalam Kumar.
       The term of this Agreement is for the year 2003 at which time all obligationsunder this agreement shall cease.

 

       IN WITNESS THEREOF, TFAC has executed this Agreement effective as of the datesigned below.

 

       **/S/Michael Smolanoff  **                                                                                                **June 30, 2003**
       Michael Smolanoff,President                                                                                           Date

       Twin Faces East Entertainment Corporation
****
 

       **/S/Vijay Arunachalam Kumar  **                                                                                   **June 30, 2003**
       Vijay ArunachalamKumar                                                                                               Date
****
EXHIBIT 99.3

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


In connection with the Quarterly Report of Infowave  Software Inc. (the Company)
on Form 10-Q for the period ended June 30, 2002 as filed with the Securities and
Exchange Commission on the date hereof (the Report), I Bill Tam, a member of the
Office of the President of the Company,  certify, pursuant to 18 U.S.C. 1350, as
adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that:

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

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




                                         /s/ Bill Tam
                                         ---------------------------------------
                                         Bill Tam
                                         Office of the President
                                         August 14, 2002
<TABLE> <S> <C>

<PAGE>

<ARTICLE> 5
<CIK> 0001074544
<NAME> MERRILL LYNCH PREFERRED CAPITAL TRUST VI

<S>                             <C>
<PERIOD-TYPE>                   OTHER
<FISCAL-YEAR-END>                          DEC-31-1999
<PERIOD-START>                             DEC-26-1998
<PERIOD-END>                               JUN-25-1999
<CASH>                                               0
<SECURITIES>                                         0
<RECEIVABLES>                                        0
<ALLOWANCES>                                         0
<INVENTORY>                                          0
<CURRENT-ASSETS>                                     0
<PP&E>                                               0
<DEPRECIATION>                                       0
<TOTAL-ASSETS>                                       0
<CURRENT-LIABILITIES>                                0
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                             0
<OTHER-SE>                                           0
<TOTAL-LIABILITY-AND-EQUITY>                         0
<SALES>                                              0
<TOTAL-REVENUES>                                     0
<CGS>                                                0
<TOTAL-COSTS>                                        0
<OTHER-EXPENSES>                                     0
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                                   0
<INCOME-PRETAX>                                      0
<INCOME-TAX>                                         0
<INCOME-CONTINUING>                                  0
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                         0
<EPS-BASIC>                                        0
<EPS-DILUTED>                                        0


</TABLE>
EXHIBIT 31.2

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER
PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002

I, David B. Swank certify that:

1. I have reviewed this quarterly report on Form 10-QSB of Diomed Holdings,
Inc.;

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 the 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 controls 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:  May 12, 2006                        /s/ DAVID B. SWANK
                                           -----------------------------
<PAGE>
                                                                   EXHIBIT 10.33
                                                                     Page 1

                      MODIFICATION TO PROMISSORY NOTE


    WHEREAS, on October 15, 1996, Lee Pharmaceuticals ("Maker") and Mark 
DiSalvo ("Holder") entered into an agreement ("Note") whereby Lee 
Pharmaceuticals was to pay to Mark DiSalvo the sum of Fifty Thousand Dollars; 
and

    WHEREAS, the parties thereto now desire to further modify said Note;
    
    NOW, THEREFORE, the parties modify said Note as follows:
    
    1.   The maturity date of the Note is extended from November 1, 1997, until
December 1, 1998.
    
    2.   The per annum interest rate has been increased from 15% to 20%
effective November 1, 1997.
    
    3.   All other terms and conditions of the Note remain the same.
    
     Date this 27 day of October, 1997.
    
     
     
                                                     Ronald G. Lee
                                              -----------------------------
                                              Lee Pharmaceuticals
                                              By:  Ronald G. Lee, President
     
     
     
                                                      Mark Disalvo
                                              -----------------------------
                                              Mark DiSalvo
Exhibit 99.2

**The following certification accompanies the issuer’s quarterly Report on Form 10-QSB and is not filed as provided in SEC Release Nos. 33-8212, 34-47551 and IC-25967, dated March 21, 2003**

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 First Coastal Bancshares (the “Company”) on Form 10-QSB for the period ending March 31, 2003 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Deborah A. Marsten, CFO 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/ Deborah A. Marsten**                |
|   |   |   |                                           |
|   |   |   | Deborah A. MarstenChief Financial Officer |

 

 

19
SERVE D APRI L 15 , 201 1 

### :';ARTivfENTO F •ASPORTATIO N .:P TOPERATION S 8 AiO : 0 5

U.S . DEPARTMEN T O FTRANSPORTATIO N

OFFIC E O FHEARING S WASHINGTON , D C I N TH E MATTE RO F 

### TROMBETT A CORPORATIO N FA A DOCKE T No . CP10WP001 4 (Civi l Penalt y Action ) DM S No . FAA-2010-121 9 

### ORDE R O F DISMISSA L Th e Complain t

o f Complainan t

Federa l Aviatio n Administratio n ("Complainant" ) wa s file do n Decembe r

10 , 2010 . Responden t

Trombett aCorporatio n ("Respondent" ) ha dfile daReques t

for Hearin g o n Novembe r

30 , 2010 . O n Apri l 14 , 2011»Responden t file danotic e withdrawin g it s Reques t fo r Hearing . 1 4 C.F.R . § 13.21 5 states : "A t an y tim e befor e or

dxiring ahearing , an agenc y attorne y ma y withdra w acomplain t o r part y may withdra w areques t fo r ahearin g withou t th e consen t

o f th e administrativ e law judge . I f an agenc y attorne y withdraw s th e complain t

o r apart y withdraw s th e reques t for ahearin g an dth e answer , th e administrativ e law judg e shal l dismis s th e proceeding s unde r thi s subpart wit hprejudice. " WHEREFORE , th e withi n file dWithdrawa l of Reques t for Hearin g havin g bee n rea dan dconsidered , i t

i s ORDERE D a s follows :

> ,



### v ^1 . Respondent' s Withdrawa l o f Reques t for Hearin g b e an di s hereb y granted ; an d 2 . Thi s proceedin g b e an di s hereb y dismisse dwit hprejudice .

Attachmen t

- Servic e Lis t Richar dC . Goodwi n U.S . Administrativ e Law Judg e

v \

\ \•FA A Docke t No . CP10WP001 4 (Civi l Penalt y Action ) SERVIC E LIS T ORIGINA L& ON E COP Y Federal Aviatio n Administratio n 80 0 Independenc e Avenue , S.W . Washington , D C 2059 1 Attention . Hearin g Docke t Clerk , AGC-43 0 Wilbu r Wrigh t Building—Suit e 2W1000 '

ON E COP Y Pau l Lindsay , Genera l Manage r Trombetta , Responden t N88W1390 1 Mai n Stree t Menomone e Falls , W I 5305 1 TEL : 262-251-545 4 FAX : 262-251-576 7 Lis aJ . Toscano , Complainan t \ s Counse l Attorney , Offic e o f

th e Regiona l Counse l Western-Pacifi c Region , AWP- 7 Federal Aviatio n Administratio n P.O.Bo x 9200 7 Lo s Angeles , C A 90009-200 7 TEL : 310-725-711 0 FAX : 310-725-681 6 Th e Honorabl e Richar dC . Goodwin , Administrativ e Law Judg e Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 120 0 Ne w Jerse y Avenue , S.E . Eas t Buildin g Groun dFloor , Roo mE12-32 0 Washington , D C 2059 0 TEL : 202-366-213 9 Attorney-Adviso r 202-366-512 1 Lega l Assistan t FAX : 202-366-753 6

' Seivic e wa s b y U.S . Mail . Fo

r servic e i n perso n o r b y expedite dcourier , use th e foltowiji g address : Federa

l Aviatio n Administration, 80

0 Independenc

e Avenue , S.W. , Wilbu

r Wrigh t Building-rSuit

e 2W1000, Washington

, D C 20591 ; Attention ; Hearin

g Docke t Clerk , AGC-430. V ^
<PAGE>

                             ITEM 11 - CONTINUED

                                 ITEM 401(l)

                              PERFORMANCE GRAPH

<TABLE>
<CAPTION>
                                      1992  1993   1994  1995 1996  1997
                                      ----  ----   ----  ---- ----  ----
<S>                                   <C>   <C>    <C>   <C>  <C>   <C>
Class A Common Stock                   100   128    130  180   196  129
Class B Common Stock                   100   125    122  170   185  152
Dow Jones Equity Index                 100   110    111  152   188  251
Dow Jones Home Construction Index      100   127     87  129   124  191
</TABLE>

Assuming that the value of the investment in Liberty Homes, Inc. Class A and
Class B Common Stock and each index was $100 on December 31, 1992 and all
dividends were reinvested.


                                      35
#### Michael DePaul et al., Appellants, v Bleakley, Platt & Schmidt, et al., Respondents.

[698 NYS2d 907]

—In an action, *inter alia,*to recover damages for professional malpractice, the plaintiffs appeal from a judgment of the Supreme Court, Westchester County (Donovan, J.), dated November 6, 1998, which, upon an order of the same court dated September 30, 1998, granting the defendants’ motion for summary judgment, dismissed the complaint.

Ordered that the judgment is affirmed, with costs.

The doctrine of collateral estoppel, or issue preclusion, bars the relitigation of issues that have been actually litigated and necessarily decided in a prior action *(see, Kaufman v Lilly & Co.,*65 NY2d 449; *Schwartz v Public Adm’r of County of Bronx,*24 NY2d 65). To invoke the doctrine, the identical issue necessarily must have been decided in the prior action and be decisive of the present action, and the party to be precluded from relitigating the issue must have had a full and fair opportunity to contest the prior determination *(see, Kaufman v Lilly & Co., supra,*at 455; *Mahl v Citibank,*234 AD2d 348; *McCue v Abel,*171 AD2d 845; *Langdon v WEN Mgt. Co.,*147 AD2d 450).

Here, the Supreme Court properly invoked the doctrine and dismissed the complaint, as the issues decisive of the instant action actually had been litigated and necessarily decided in a *496prior action. S. Miller, J. P., Thompson, Krausman, Florio and Schmidt, JJ., concur.
**Exhibit 31.2**

CERTIFICATION PURSUANTTOSECTION 302 OF THE SARBANES-OXLEY ACT OF 2002

I,Joseph E. Macharsky, certify that:

1.             I have reviewed this quarterlyreport on Form 10-Q of The Boyds Collection, Ltd.;

2.             Based on my knowledge, this reportdoes not contain any untrue statement of a material fact or omit to state amaterial fact necessary to make the statements made, in light of thecircumstances under which such statements were made, not misleading withrespect to the period covered by this report;

3.             Based on my knowledge, thefinancial statements, and other financial information included in this report,fairly present in all material respects the financial condition, results ofoperations and cash flows of the registrant as of, and for, the periods presentedin this report;

4.             The registrant’s other certifyingofficer and I are responsible for establishing and maintaining disclosurecontrols and procedures (as defined in Exchange Act Rules 13a-15(e) and15d-15(e)) for the registrant and we have:

a)             Designed such disclosure controlsand procedures, or caused such disclosure control and procedures to be designedunder our supervision, to ensure that material information relating to theregistrant, including its consolidated subsidiaries, is made known to us byothers within those entities, particularly during the period in which thisreport is being prepared;

b)            Evaluated the effectiveness of theregistrant’s disclosure controls and procedures and presented in this reportour conclusions about the effectiveness of the disclosure controls andprocedures, as of the end of the period covered by this report based on suchevaluation, and

c)             Disclosed in this report any changein the registrant’s internal control over financial reporting that occurredduring the registrant’s most recent fiscal quarter that has materiallyaffected, or is reasonably likely to materially affect, the registrant’sinternal control over financial reporting; and

----

 

5.             The registrant’s other certifyingofficer and I have disclosed, based on our most recent evaluation of internalcontrol over financial reporting, to the registrant’s auditors and the auditcommittee of the registrant’s board of directors (or persons performing theequivalent functions):

a)             All significant deficiencies and materialweaknesses in the design or operation of internal control over financialreporting which are reasonably likely to adversely affect the registrant’sability 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 theregistrant’s internal controls over financial reporting.
| /s/ Joseph E. Macharsky  |   |   |
|--------------------------|--------|--------|
| Joseph E.  Macharsky     |   |   |
| Chief Financial  Officer |   |   |
| Date:  June 8, 2006 |   |   |

 

----