alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Amendment dated April 15, 2005



 Exhibit 10.40 
  
 VICAL INCORPORATED 
 10390 Pacific Center Court 
 San Diego, CA 92121-4340 
  
 April 15, 2005 
  
 Dr. David Kaslow 
 Vical Incorporated 
 10390 Pacific Center Court 
 San Diego, CA 92121-4340 
  

	Re:	Amendment to Agreement Regarding Employment Terms 

  
 Dear David: 
  
 This Amendment (the “Amendment”) to your Letter Agreement with Vical Incorporated (the “Company”) dated September 13, 2001, as amended by the Letter Agreement dated
October 4, 2001 (together, the “Agreement”) will amend the terms and conditions of the Agreement to the extent provided herein. Except as specifically amended by this Amendment, the terms and conditions of the Agreement shall
remain in full force and effect. 
  
 Paragraph 8(c) of the Agreement is hereby
deleted in its entirety and replaced with the following: 
  
 “(c) Salary Continuation. Subject to subsection (d) below, the Company will continue to pay your Base Compensation (at the annual rate then in effect) for up to twelve months following the termination of your employment if,
prior to October 8, 2006, or such later date as may be determined from time to time by the Board of Directors of the Company (the “Board”) or the Compensation Committee of the Board: 
  
 (i) the Company terminates your employment without your
consent for any reason other than Cause or Disability; or 
  
 (ii) you voluntarily resign your employment for Good Reason. 
  
 The payments under this subsection (c) will cease in the event of your death. In order to receive your salary continuation, you will be required to sign a release in a form acceptable to the Company, of any and all
claims that you may have against the Company. 
  
 This Amendment shall be governed
by and construed in accordance with the laws of the State of California, without regard to conflicts of law principles. 
  

 1. 








 Please sign and date this Amendment and return it to me at your earliest convenience. 
  
 Sincerely, 
  
 VICAL INCORPORATED 
  

			
	By:	 	 /s/ Jill M. Church


	 	 	Jill M. Church
	 	 	Vice President, Chief Financial Officer
	 	 	and Secretary
	
	ACCEPTED AND AGREED:
	
	 /s/ David Kaslow


	David Kaslow

  

 2.
| 1.   | the Quarterly 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 Quarterly Report fairly presents, in all material respects, the financial condition and result of operations of the Company. |
|----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------|

| /s/ STEVEN L. WATSON |   |
|----------------------|--------|

| /s/ JAMES W. BROWN |   |
|--------------------|--------|

| Note: | The certification the registrant furnishes in this exhibit is not deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section.  Registration Statements or other documents filed with the Securities and Exchange Commission shall not incorporate this exhibit by reference, except as otherwise expressly statedin such filing. |
|-------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|

----
**Exhibit 23.1**





**CONSENT
      OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**





We
      hereby
      consent to the incorporation by reference in the Registration Statements on
      Form
      S-3 (No. 333-120317, No. 333-128706, No. 333-132976 and No. 333-147802) and
      Form
      S-8 (No. 333-08972, No. 333-95301, No. 333-57068, No. 333-124708 and No.
      333-147012) of Advanced Photonix, Inc. of our report dated June 30, 2008
      relating to the consolidated financial statements and schedule for the fiscal
      year ended March 31, 2008 which appear in this Form 10-K.







/s/
      BDO Seidman, LLP


Troy,
      Michigan


June
      30,
      2008
SERVED: June 10, 2014 

U.S. DEPARTMENT OF TRANSPORTATION l:JHI jJ~~ I I P j: 33 

OFFICE OF HEARINGS 

WASHINGTON, DC 

IN THE MATTER OF 

MEYER LABORATORY, INC. 

FAA DOCKET NO. [TO BE ASSIGNED] 

(Civil Penalty Action) 

FDMS NO. FAA-2013- 0618 

HEARING NOTICE 

NOTICE IS HEREBY GIVEN that testimony and evidence will be heard and considered 

on September 23, 24 and 25, 2014, inclusive, in Courtroom TBA, Charles Evans 

Whittaker United States Courthouse, 400 East Ninth Street, Kansas City MO 641061

• 

Hearings will commence at 9:00a.m. and conclude at 4:30p.m. each day. The parties 

should vacate the courthouse on or before 5:00p.m. each day. 

Settled cases will not be removed from the docket until the Judge receives the 

proper pleading(s). Pleadings may be forwarded by fax, express mail, courier or· 

postal service. 

Richard C. Goodwin 

U.S. Administrative Law Judge 

Attachment - Service List 

1 The parties should check with the Clerk of Court on the day of hearing for the exact courtroom. 
SERVICE LIST 

ORIGINAL & ONE COPY 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building-Suite 2W1 0001 

Kate Barber, Complainant's Counsel 

Attorney, Office of the Regional Counsel 

Great Lakes Region, AGL-7 

Federal Aviation Administration 

2300 East Devon Avenue 

Des Plaines, IL 60018 

TEL: 847-294-7862 

FAX: 847-294-7498 

Terry Oles, Vice President of Operations 

Meyer Laboratory, Inc., Respondent 

2401 NW Jefferson Street 

Blue Springs, MO 64015 

ONE COPY 

The Honorable Richard C. Goodwin, Administrative Law Judge 

Office of Hearings, M-20 · 

U.S .. Department ofTransportation 

1200 New Jersey Avenue, S.E. (Ell-310) 

Washington, DC 20590 

TEL: 202-366-5121 StaffAssistant 

FAX: 202-366-7536 

FDMS Nos. FAA-2013-0618 

(Civil Penalty Action) 

1 Service was by. U.S. Mail. For service in person or by expedited courier, use the following. address: Federal 

Aviation Administration, 600 Independence Avenue, S.W., Wilbur Wright Building-Suite 2W1000, Washington, 

DC 20591; Attention: Hearing Docket Clerk, AGC-430. · 

2
<TABLE> <S> <C>

<ARTICLE> 5

<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                          DEC-31-1999
<PERIOD-END>                               DEC-31-1999
<CASH>                                       1,628,789
<SECURITIES>                                         0
<RECEIVABLES>                                  174,994
<ALLOWANCES>                                         0
<INVENTORY>                                          0
<CURRENT-ASSETS>                             1,803,783
<PP&E>                                       1,734,888
<DEPRECIATION>                               1,438,669
<TOTAL-ASSETS>                               5,203,246
<CURRENT-LIABILITIES>                           71,612
<BONDS>                                              0
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                             0
<OTHER-SE>                                   5,131,634
<TOTAL-LIABILITY-AND-EQUITY>                 5,203,246
<SALES>                                        589,216
<TOTAL-REVENUES>                             1,051,009
<CGS>                                                0
<TOTAL-COSTS>                                        0
<OTHER-EXPENSES>                               686,370
<LOSS-PROVISION>                                     0
<INTEREST-EXPENSE>                                   0
<INCOME-PRETAX>                                364,639
<INCOME-TAX>                                         0
<INCOME-CONTINUING>                            364,639
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                   364,639
<EPS-BASIC>                                      27.55
<EPS-DILUTED>                                    27.55


</TABLE>
Summary of 2004 Award Schedule Under the Deferred Bonus Plan



 EXHIBIT 10.55 
  
 SUMMARY OF 2004 AWARD SCHEDULE UNDER THE DEFERRED BONUS PLAN 
  
 The following summarizes the amounts awarded to the executive officers of Pinnacle Entertainment, Inc. (the
“Company”) under the Company’s deferred bonus plan (the “Deferred Bonus Plan”): 
  

							
	 Name and Title

	  	2004
Bonus

	  	Deferred
Bonus


	 Daniel R. Lee
Chairman of the Board of Directors and
Chief Executive Officer
	  	$	400,000	  	$	400,000
			
	 Wade W. Hundley
Executive Vice President and
Chief Operating Officer (promoted to President in February 2005)
	  	$	290,000	  	$	75,000
			
	 Stephen H. Capp
Executive Vice President and Chief Financial Officer
	  	$	250,000	  	$	75,000
			
	 John Godfrey
Senior Vice President, Secretary and General Counsel
(promoted to Executive Vice President in February
2005)
	  	$	200,000	  	$	60,000

  
 The 2004 bonus amounts
represent the current portions of the bonuses. The deferred bonus amounts represent the amounts that will be paid in three equal annual installments beginning in January 2006.
Exhibit 99.3

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

     I, G. Steven  Taylor,  Principal  Financial  Officer of Regan Holding Corp.
(the "Company"), hereby certify, to the best of my knowledge, that the Company's
amended  annual report on Form 10-K/A fully  complies with the  requirements  of
Section 13(a) or 15(d) of the Securities  Exchange Act of 1934 (15 U.S.C. 78m or
78o(d)) and that the information contained in this amended annual report on Form
10-K/A fairly presents,  in all material respects,  the financial  condition and
results of operations of the Company.


                                                     /s/ G. Steven Taylor
                                                     ---------------------------
                                                     G. Steven Taylor
                                                     October 23, 2002
```

[Congressional Bills 103th Congress]
[From the U.S. Government Publishing Office]
[H.R. 1303 Reported in Senate (RS)]

                                                       Calendar No. 354

103d CONGRESS

  2d Session

                               H. R. 1303

_______________________________________________________________________

                                 AN ACT

To designate the Federal Building and United States Courthouse located 
 at 402 East State Street in Trenton, New Jersey, as the ``Clarkson S. 
        Fisher Federal Building and United States Courthouse''.

_______________________________________________________________________

             January 28 (legislative day, January 25), 1994

                       Reported without amendment

                                                       Calendar No. 354
103d CONGRESS
  2d Session
                                H. R. 1303

_______________________________________________________________________

                   IN THE SENATE OF THE UNITED STATES

                May 5 (legislative day, April 19), 1993

 Received; read twice and referred to the Committee on Environment and 
                              Public Works

             January 28 (legislative day, January 25), 1994

               Reported by Mr. Baucus, without amendment

_______________________________________________________________________

                                 AN ACT

 
To designate the Federal Building and United States Courthouse located 
 at 402 East State Street in Trenton, New Jersey, as the ``Clarkson S. 
        Fisher Federal Building and United States Courthouse''.

    Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled,

SECTION 1. DESIGNATION.

    The Federal Building and United States Courthouse located at 402 
East State Street in Trenton, New Jersey, shall be known and designated 
as the ``Clarkson S. Fisher Federal Building and United States 
Courthouse''.

SEC. 2. REFERENCES.

    Any reference in a law, map, regulation, document, paper, or other 
record of the United States to the Federal Building and United States 
Courthouse referred to in section 1 shall be deemed to be a reference 
to the ``Clarkson S. Fisher Federal Building and United States 
Courthouse''.

            Passed the House of Representatives May 4, 1993.

            Attest:

                                           DONNALD K. ANDERSON,

                                                                 Clerk.
```
<PAGE>   1
EXHIBIT 11
Computation of Per Share Earnings

<TABLE>
<CAPTION>
                                                         Three Months Ended
                                                              March 31,
                                                     ---------------------------
                                                        1997             1996
                                                     ----------        ---------
<S>                                                   <C>              <C>
Primary
Weighted average shares
        outstanding                                   5,584,121        4,786,184
Net common shares issuable
        on exercise of certain
        stock options (1) (2)                           513,753          276,171
Net common shares issuable
        on exercise of certain
        stock  warrants (1) (2)                       2,234,103           66,667
Contingently issuable shares in
        business combinations                         3,085,222        3,085,222
Number of common shares
        outstanding                                  11,417,199        8,214,244

Fully Diluted
Weighted average shares
        outstanding                                   5,584,121        4,786,184
Net common shares issuable
        on exercise of certain
        stock options (1) (2)                           513,753          276,171
Net common shares issuable
        on exercise of certain
        stock optionswarrants                         2,234,103           66,667
Contingently issuable shares in
        business combinations                         3,085,222        3,085,222
Other dilutive securities                               200,030          200,030
Number of common shares
        outstanding                                  11,617,229        8,414,274
</TABLE>


    (1)  net common shares issuable on exercise of certain stock options and
         warrants is calculated based on the treasury stock method using an
         estimated of the initial publice offering price.
    (2)  Common shares issuable on exercise of certain stock options and 
         warrants were not included during loss periods since the effect of the
         inclusion would be anti-dilutive.  (Pursuant to applicable rules of the
         SEC stock, options, and warrants issued or contingently issuable within
         one year prior to the initial filing of this registration statement
         are treated as outstanding for all periods presented regardless of the
         anit-dilutive effect.)
_____________________________________

Page 63 is not included in this copy.

Pages through are not included in this copy.

_______________________________________________________________

The material not included contains the following type of
information:

_____ Identity of product inert ingredients.

_____ Identity of product impurities.

_____ Description of the product manufacturing process.

_____ Description of quality control procedures.

_____ Identity of the source of product ingredients.

_____ Sales or other commercial/financial information.

_____ A draft product label.

__X___ The product confidential statement of formula.

_____ Information about a pending registration action.

_____ FIFRA registration data.

____ The document is a duplicate of page(s) ____.

_____ The document is not responsive to the request.

_____ Proprietary information pertaining to the chemical composition of an inert ingredient provided by the source of the ingredient.

_____ Attorney-Client Privilege.

____ Claimed Confidential by submitter upon submission to the

Agency.

_____ Internal Deliberative Information.

* The information not included is generally considered confidential by product registrants. If you have any questions, please contact the individual who prepared the response to your request.

_________________________________________________________________
#### In the Matter of Gary M. Fiammetta, Petitioner, v St. Francis Hospital, Respondent.

Proceeding pursuant to CPLR article 78, *inter alia,*to review a determination of the respondent hospital’s Grievance Review Committee, dated November 27, 1987, which sustained the respondent’s termination of the petitioner’s employment.

Adjudged that the proceeding is dismissed, with costs.

The respondent St. Francis Hospital (hereinafter the hospital), a not-for-profit private corporation, terminated the employment of the petitioner after he allegedly erred in measuring and logging the hospital’s liquid oxygen reserves, causing an emergency situation. After the petitioner unsuccessfully challenged his discharge through the hospital’s internal grievance procedure, he commenced the instant proceeding.

The hospital moved to dismiss the original petition on the grounds that it was untimely and failed to state a cause of action. The motion was denied. However, the Supreme Court, Nassau County (Morrison, J.), left open the question of whether the petition raised issues cognizable under CPLR 7803. Thereafter, a supplemental petition was served. The hospital’s answer denied the substantive allegations and renewed the hospital’s assertion that the petition should be dismissed. By order dated January 11, 1989, Justice Morrison found that the petition raised issues under CPLR 7803 (4) and transferred the proceeding to this court.

A proceeding in the nature of certiorari to review the termination of an individual’s employment by a private employer is not within the purview of CPLR article 78 *(see, Matter of Scott v Rockaway Community Corp.,*92 Misc 2d 178). Moreover, we will not convert the proceeding into an action under CPLR 103 (c) because the petitioner has failed to state a cause of action cognizable in this State. Thus, the petition is dismissed.

Absent an agreement establishing a fixed duration or a limitation by express agreement, employment by a private employer is presumed to be a hiring at will, which is terminable by either party at any time *(see, Sabetay v Sterling Drug,*69 NY2d 329, 333; *Weiner v McGraw-Hill, Inc., 57*NY2d 458; *557
      *Murphy v American Home Prods. Corp.,*58 NY2d 293, 304-305). Courts will not infer a contractual limitation on the employer’s right to terminate at-will employment absent an "express agreement” to that effect which was relied upon by the employee *(Diskin v Consolidated Edison Co.,*135 AD2d 775, 777; *see, Weiner v McGraw-Hill, Inc.,*57 NY2d 458, *supra).*A limitation on the employer’s right to terminate at-will employment will not be inferred solely from the existence of policy manuals or the existence of an internal grievance procedure *(see, Sabetay v Sterling Drug, supra; Marvin v Kent Nursing Home,*153 AD2d 553; *Murphy v American Home Prods. Corp., supra; Dickstein v Del Labs.,*145 AD2d 408). Thus, the grievance procedure afforded the petitioner did not limit the hospital’s right to discharge him. Kooper, J. P., Eiber, Sullivan and Balletta, JJ., concur.
Exhibit 10.2


 


Executive Compensation Summary


 


	
  Name/Title

  	
   

  	
  2004 Base

  Salary

  	
   

  	
  2004 Actual

  Annual Incentive

  Bonus Payment

  	
   

  	
  2005 Base Salary

  	
   

  	
  2005 Maximum

  Annual Incentive

  Bonus Payment

  (maximum

  percentage of base

  salary)

  	
   

  
	
  Douglas K.
  Freeman

  Chairman and Chief Executive

  Officer

  	
   

  	
  $

  	
  500,000

  	
   

  	
  $

  	
  0

  	
   

  	
  $

  	
  500,000

  	
   

  	
  150

  	
  %

  
	
  R. Theodore
  Brauch

  Chief Risk Executive

  	
   

  	
  $

  	
  150,000

  	
   

  	
  $

  	
  0

  	
   

  	
  $

  	
  150,000

  	
   

  	
  75

  	
  %

  
	
  Steven F.
  Herbert

  Chief Finance Executive

  	
   

  	
  $

  	
  220,500

  	
   

  	
  $

  	
  0

  	
   

  	
  $

  	
  220,500

  	
   

  	
  150

  	
  %

  
	
  Charles E.
  Mapson

  Chief Legal Executive

  	
   

  	
  $

  	
  180,000

  	
   

  	
  $

  	
  0

  	
   

  	
  $

  	
  180,000

  	
   

  	
  75

  	
  %

  
	
  Jerald W.
  McCoy

  Chief Capital Markets Executive

  	
   

  	
  $

  	
  225,000

  	
   

  	
  $

  	
  50,400

  	
   

  	
  $

  	
  225,000

  	
   

  	
  150

  	
  %

  
	
  William M.
  Ross

  Chief Strategic Initiatives Executive

  	
   

  	
  $

  	
  225,000

  	
   

  	
  $

  	
  12,600

  	
   

  	
  $

  	
  225,000

  	
   

  	
  150

  	
  %
CERTIFICATION
OF THE CEO AND CFO 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 Auxilio, Inc. (the “Company”) on Form
10-Q for the quarter ended September 30, 2008 as filed with the Securities
and Exchange Commission on the date hereof (the “Report”), we, Etienne
Weidemann, Chief Executive Officer and Paul T. Anthony Principal Financial
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 to the best of
my knowledge:











(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 the Company.











Date:  November
14, 2008




By:                                /s/ Etienne
Weidemann


Etienne Weidemann, Chief Executive
Officer
















By:                       /s/ Paul T.
Anthony


Paul T. Anthony, Principal Financial
Officer
<PAGE>

                                                                    EXHIBIT 99.2



                       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 National Energy Group, Inc.
(the "Company") on Form 10-K for the period ending December 31, 2002 as filed
with the Securities and Exchange Commission on the date hereof (the "Report"),
I, Randall D. Cooley, Chief Financial Officer, 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 result of operations
         of the Company.




                              /s/ RANDALL D. COOLEY
                      -------------------------------------
                                Randall D. Cooley
                             Chief Financial Officer