alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
EXHIBIT 10.02


3rd Amendment to Advisory Agreement


This 3rd Amendment (the "2nd Amendment") is made as of March 1, 2016 (the “Effective Date”) among OASIS ROW LLC, a Delaware limited liability company (the “Trading Company”), R.J. O’Brien Fund Management, LLC, a Delaware limited liability company (the “Managing Member”), and ROW Asset Management, LLC, a Delaware limited liability company (the “Trading Advisor”), parties to that certain Advisory Agreement dated October 1, 2014 and last amended on April 1, 2015 (the "Agreement").


The Trading Company, the Managing Member, and the Trading Advisor now desire to amend the terms of the Agreement as set forth below:



	
1.

	
Exhibit C, entitled “Futures Interests traded” is hereby amended to add the following contracts:







	
Add Weekly Options:

	 	 
	
ESA Index

	
SP500 mini

	
CME


	
TYA Comdty

	
10year note (US)

	
CBT


	
GCA Comdty

	
Gold

	
CMX


	 	 	 



 


	
New Options:

	 	 
	
SIA Comdty

	
Silver

	
CMX


	
C A Comdty

	
Corn

	
CBT


	 	 	 



 


	
New Financials

	 	 
	
HIA Index

	
Hang Seng

	
HKG


	
IHA Index

	
Nifty (India)

	
SGX


	
CNA Comdty

	
Can 10yr Bond

	
MSE


	
BJA Comdty

	
JGB Mini

	
SGX


	
PLA Comdty

	
Platinum

	
NYM


	 	 	 



 


	
New Commodities

	 	 
	
QWA Comdty

	
White Sugar

	
ICE Europe


	
QCA Comdty

	
EU Cocoa

	
ICE Europe


	
KWA Comdty

	
KC HR Wheat

	
CBT


	 	 	 



 


	
Long Term Trend Module (low turnover, small initial allocation)


	
PAA Comdty

	
Palladium

	
NYM


	
MESA Index

	
MSCI EM Equity

	
NYF (ICE Financial)


	
RTAA Index

	
Russell 2000 Equity

	
NYF (ICE Financial)


	
XUA Index

	
FTSE China A50 Equity

	
SGX


	
IKA Comdty

	
10yr Italian Bond

	
EUX


	
OATA Comdty

	
10yr French Bond

	
EUX


	
YMA Comdty

	
A$ 3yr Bond

	
SFE


	
IRA Comdty

	
4th A$ Bank Bills

	
SFE


	
DFA Comdty

	
Coffee Robusta

	
ICE Europe


	
LHA Comdty

	
Lean Hogs

	
CME


	
LCA Comdty

	
Live Cattle

	
CME


	
IJA Comdty

	
Rapeseed

	
EOP







 


 



Page 1 of 2
















2. Except as provided in this Amendment, all terms used in this Amendment that are not otherwise defined shall have the respective meanings ascribed to such terms in the Agreement.


3. Except as set forth in this Amendment, the Agreement is unaffected and shall continue in full force and effect in accordance with its terms. If there is conflict between this amendment and the Agreement, the terms and provisions of this amendment will prevail.







IN WITNESS WHEREOF, the parties have executed and delivered this Amendment effective as of the Effective Date.


	
OASIS ROW, LLC

by R.J. O’Brien Fund Management, LLC

 Managing Member


 


	
By                                                                        

 Name: Julie DeMatteo

 Title: Managing Director


	 
	
R.J. O’Brien Fund Management, LLC


 


	
By                                                                        

 Name: Julie DeMatteo

 Title: Managing Director














ROW Asset Management, LLC


By                                                                        


Name: Ryan O’Grady

 Title: Chief Executive Officer









Page 2 of 2
<TABLE> <S> <C>

<PAGE>
 
<ARTICLE>                     5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM TOY BIZ,
INC. CONDENSED CONSOLIDATED BALANCE SHEETS AND STATEMENTS OF INCOME AND IS
QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS.
</LEGEND>
<CIK>                         0000933730
<NAME>                        TOY BIZ, INC.
<MULTIPLIER>                                   1000
<CURRENCY>                                     U.S. Dollars
       
<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                              DEC-31-1996
<PERIOD-START>                                 JAN-01-1996
<PERIOD-END>                                   DEC-31-1996
<EXCHANGE-RATE>                                1
<CASH>                                         602
<SECURITIES>                                   0
<RECEIVABLES>                                  110932
<ALLOWANCES>                                   485
<INVENTORY>                                    20935
<CURRENT-ASSETS>                               134788
<PP&E>                                         27147
<DEPRECIATION>                                 9467
<TOTAL-ASSETS>                                 171732
<CURRENT-LIABILITIES>                          32596
<BONDS>                                        0
<PREFERRED-MANDATORY>                          1681
<PREFERRED>                                    0
<COMMON>                                       277
<OTHER-SE>                                     137178
<TOTAL-LIABILITY-AND-EQUITY>                   171732
<SALES>                                        221624
<TOTAL-REVENUES>                               221624
<CGS>                                          116455
<TOTAL-COSTS>                                  116455
<OTHER-EXPENSES>                               77954
<LOSS-PROVISION>                               0
<INTEREST-EXPENSE>                             112
<INCOME-PRETAX>                                27811
<INCOME-TAX>                                   11124
<INCOME-CONTINUING>                            16687
<DISCONTINUED>                                 0
<EXTRAORDINARY>                                0
<CHANGES>                                      0
<NET-INCOME>                                   16687
<EPS-PRIMARY>                                  0.61
<EPS-DILUTED>                                  0
        

</TABLE>
UNPUBLISHED

UNITED STATES COURT OF APPEALS

FOR THE FOURTH CIRCUIT

No. 15-6539

CHARLES EDWARD GARY,

Plaintiff - Appellant,

v.

DR. LAWRENCE WANG,

Defendant – Appellee,

and

SHERIFF MIKE MONDUL; DANVILLE CITY JAIL; MAYOR SHERMAN 

SAUNDERS; DANVILLE CITY,

Defendants.

Appeal from the United States District Court for the Western 

District of Virginia, at Roanoke. Robert Stewart Ballou, 

Magistrate Judge. (7:14-cv-00103-RSB)

Submitted: June 18, 2015 Decided: June 23, 2015

Before SHEDD, DUNCAN, and AGEE, Circuit Judges.

Affirmed by unpublished per curiam opinion.

Charles Edward Gary, Appellant Pro Se. Kenneth Francis Hardt, 

Gary Christopher Jones, Jr., SINNOTT, NUCKOLS & LOGAN, PC, 

Midlothian, Virginia, for Appellee.

Unpublished opinions are not binding precedent in this circuit.
2

PER CURIAM:

Charles Edward Gary appeals the magistrate judge’s order 

denying relief on his 42 U.S.C. § 1983 (2012) complaint. We have 

reviewed the record and find no reversible error. Accordingly, we 

affirm for the reasons stated by the magistrate judge. Gary v. 

Wang, No. 7:14-cv-00103-RSB (W.D. Va. Mar. 20, 2015). We dispense 

with oral argument because the facts and legal contentions are 

adequately presented in the materials before this court and 

argument would not aid the decisional process.

AFFIRMED
Franklin JOHONOSON, petitioner, v. Brian THOMPSON, Superintendent, State Correctional Institution at Mercer.

No. 16-5883.

Supreme Court of the United States

Oct. 31, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Third Circuit denied.
<TABLE> <S> <C>

<ARTICLE> 5
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRCTED FROM THE COMPANY'S
CONSOLIDATED FINANCIAL STATEMENTS FOR THE TWELVE MONTHS ENDED SEPTEMBER 30, 1997
AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. (IN
THOUSANDS EXCEPT PER SHARE DATA.)
</LEGEND>
<MULTIPLIER> 1,000
       
<S>                             <C>
<PERIOD-TYPE>                   12-MOS
<FISCAL-YEAR-END>                          SEP-30-1997
<PERIOD-START>                             OCT-01-1996
<PERIOD-END>                               SEP-30-1997
<CASH>                                          32,330
<SECURITIES>                                     5,552
<RECEIVABLES>                                   44,694
<ALLOWANCES>                                     2,017
<INVENTORY>                                      2,436
<CURRENT-ASSETS>                                89,925
<PP&E>                                         240,246
<DEPRECIATION>                                  97,313
<TOTAL-ASSETS>                                 351,169
<CURRENT-LIABILITIES>                           74,093
<BONDS>                                        176,072
<PREFERRED-MANDATORY>                                0
<PREFERRED>                                          0
<COMMON>                                           241
<OTHER-SE>                                      23,268
<TOTAL-LIABILITY-AND-EQUITY>                   351,169
<SALES>                                              0
<TOTAL-REVENUES>                               319,801
<CGS>                                                0
<TOTAL-COSTS>                                  291,520
<OTHER-EXPENSES>                               (5,201)
<LOSS-PROVISION>                                 1,307
<INTEREST-EXPENSE>                              25,649
<INCOME-PRETAX>                                  6,526
<INCOME-TAX>                                         0
<INCOME-CONTINUING>                              6,526
<DISCONTINUED>                                       0
<EXTRAORDINARY>                                      0
<CHANGES>                                            0
<NET-INCOME>                                     6,526
<EPS-PRIMARY>                                        0
<EPS-DILUTED>                                        0
        

</TABLE>
(JT~I?. 

Received CFTC® 

Records Section 

1/lf /13/o 7 

MANAGED FuNDs AsSOCIATION 

Via Electronic Mail: secretary@cftc.gov 

Attention: Office of the Secretariat 

Commodity Futures Trading Commission 

Three Lafayette Centre 

1155 21 81 Street, N.W. 

Washington, D.C. 20581 

September 12, 2007 

COMMENT ~ 

c 

lj 

n 

~ 

-

r ., 

(J 

rG 

:;::) 

., __, 

' 

:::J 

Re: Proposal Regarding the Termination of Associated Persons and-' 

Principals of Futures Commission Merchants, Introducing Brokers, 

Commodity Trading Advisors, Commodity Pool Operators and 

Leverage Transaction Merchants. 

Ladies and Gentlemen: 

l 

--=-

Managed Funds Association ("MFA") appreciates the opportunity to make this 

submission of comments to the Commodity Futures Trading Commission ("CFTC" or the 

"Commission") on proposed amendments to Regulations 3.12 and 3.31 (the "Proposal"). 

MFA is the voice of the global alternative investment industry. Our members 

include professionals in hedge funds, funds of funds and managed futures funds. 

Established in 1991, MFA is the primary source of information for policymakers and the 

media and the leading advocate for sound business practices and industry growth. MFA 

members represent the vast majority of the largest hedge fund groups in the world who 

manage a substantial portion of the over $1.5 trillion invested in absolute return 

strategies. MFA is headquartered in Washington, D.C., with an office in New York. 

Comments 

We commend the Commission for its Proposal to extend the period during which 

a registered futures commission merchant, introducing broker, commodity trading 

advisor, commodity pool operator or leverage transaction merchant must file a notice 

with the National Futures Association ("NF A") to report the termination of any 

associated person or principal of the registered intermediary. We believe extending the 

period of time within which a Form 8-T must be filed from 20 days to 30 days will 

provide CFTC registrants with appropriate relief by aligning the timelines of the NF A 

and the Financial Industry Regulatory Authority. We believe greater regulatory 

consistency and uniformity, where possible, in the U.S. financial markets will benefit 

market participants and investors by reducing regulatory complexity and compliance 

costs. We strongly support the Commission's effort in this regard. 

2025 M Street, N.W. Suite 800 Washington, DC 20036-3309 Tel: 202.367.1140 Fax: 202.367.2140 
Office of the Secretariat 

September 12, 2007 

Page 2 of2 

)~ 

We appreciate this opportunity to comment on the Proposal, and would be pleased 

to meet with you to discuss our comments further. Please feel free to call me or Jennifer 

Han at (202) 367-1140. 

Sincerely, 

John G. Gaine 

President
UNPUBLISHED

UNITED STATES COURT OF APPEALS

FOR THE FOURTH CIRCUIT

No. 03-6498

UNITED STATES OF AMERICA,

Plaintiff - Appellee,

versus

MICHAEL FREDRICK WALKER,

Defendant - Appellant.

Appeal from the United States District Court for the District of

South Carolina, at Rock Hill. Joseph F. Anderson, Jr., Chief

District Judge. (CR-97-443)

Submitted: July 24, 2003 Decided: July 30, 2003

Before MICHAEL and MOTZ, Circuit Judges, and HAMILTON, Senior

Circuit Judge.

Affirmed by unpublished per curiam opinion.

Michael Fredrick Walker, Appellant Pro Se. Marshall Prince, OFFICE

OF THE UNITED STATES ATTORNEY, Columbia, South Carolina, for

Appellee.

Unpublished opinions are not binding precedent in this circuit.

See Local Rule 36(c).
2

PER CURIAM:

Michael Fredrick Walker appeals the district court’s order

denying his motion seeking to compel the government to file a

motion to reduce his sentence under Rule 35(b) of the Federal Rules

of Criminal Procedure. We have reviewed the record and find no

reversible error. Accordingly, we affirm for the reasons stated by

the district court. See United States v. Walker, No. CR-97-443

(D.S.C. Mar. 11, 2003). Walker’s motion to remand is denied. We

dispense with oral argument because the facts and legal contentions

are adequately presented in the materials before the court and

argument would not aid the decisional process.

AFFIRMED
Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: SECRETARY OF AGRICULTURE V. SIMON WEXLER 

DOCKET NUMBER: GFA-9 

DATE: 1936 

DOCUMENT TYPE: SUMMARY OF CASE 

NOTE: PROCEEDING BEFORE THE GRAIN FUTURES COMMISSION UNDER THE GRAIN FUTURES ACT 

GFA Docket No. 9 

Simon, Wexler, respondent 

On September 17, 1935, the Secretary of Agriculture issued a complaint 

charging the respondent with false reporting, fictitious trading, and cross 

trading. 

On November 8, 1935, respondent admitted failure to file complete and 

accurate reports. However, in view of the decision by the United States Supreme 

Court in the Cutten case (GFA Docket No. 7), the Grain Futures Commission 

dismissed the complaint on June 27, 1936. 

LOAD-DATE: December 15, 2008 
Page 2
OTC Derivatives Clearing Flow Schematic

Example: Trade between Alpha Fund and Swap Dealer

Clearing Member X

(for Alpha Fund)

Alpha Fund

(Buy-Side Firm)

Clearing Member Y 

(for Swap Dealer Y)

CCP

Swap Dealer Y

(Executing Counterparty) 1

2

Submit for / 

register for 

clearing

3 CCP Acceptance

Accepted 

cleared trade 5

Accepted 

cleared trade 5

1

4

CCP confirms 

acceptance

4

CCP confirms 

acceptance

Trade Execution

• Voice (input in trade 

capture system)

• SEF - RFQ

• SEF - CLOB
Document Headings

                    Document headings vary by document type but may contain                    the following:                  
                -                       the agency or agencies that issued and signed a document                    
                -                       the number of the CFR title and the number of each part                      the document amends, proposes to amend, or is directly                      related to                    
                -                       the agency docket number / agency internal file number                    
                -                       the RIN which identifies each regulatory action listed in                      the Unified Agenda of Federal Regulatory and Deregulatory                      Actions                    

                    See the                                          Document Drafting Handbook                                        for more details.                  

###### Department of Defense

###### Office of the Secretary of Defense

# AGENCY:

Department of Defense, Advisory Group on Electron Devices.

# ACTION:

Notice. 

# SUMMARY:

The DoD Advisory Group on Electron Devices (AGED) announces a closed session meeting.

# DATES:

The meeting will be held at 0900, Tuesday, June 26, 2001.

# ADDRESSES:

The meeting will be held at Palisades Institute for Research Services, 1745 Jefferson Davis Highway, Suite 500, Arlington, VA 22202.

# FOR FURTHER INFORMATION CONTACT:

Mr. Eliot Cohen, AGED Secretariat, 1745 Jefferson Davis Highway, Crystal Square Four, Suite 500, Arlington, Virginia 22202.

# SUPPLEMENTARY INFORMATION:

The mission of the Advisory Group is to provide advice to the Under Secretary of Defense for Acquisition and Technology, to the Director of Defense Research and Engineering (DDR&E), and through the DDR&E to the Director, Defense Advanced Research Projects Agency and the Military Departments in planning and managing an effective and economical research and development program in the area of electron devices.

The AGED meeting will be limited to review of research and development programs which the Military Departments propose to initiate with industry, universities or in their laboratories. The agenda for this meeting will include programs on Radiation Hardened Devices, Microwave Tubes, Displays and Lasers. The review will include details of classified defense programs throughout.

In accordance with section 10(d) of Pub. L. No. 92-463, as amended, (5 U.S.C. App 10(d)(1994)), it has been determined that this Advisory Group meeting concerns matters listed in 5 U.S.C. 552b(c)(1)(1994), and that accordingly, this meeting will be closed to the public.

Dated: June 5, 2001.

Patricia L. Toppings,

Alternate, OSD Federal Register Liaison Officer, Department of Defense.

[FR Doc. 01-14980  Filed 6-13-01; 8:45 am]

BILLING CODE 5001-08-M
David Garland ATWOOD, II, petitioner, v. UNITED STATES.

No. 16-6140.

Supreme Court of the United States

Oct. 31, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Fifth Circuit denied.
Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: UNITED COMMODITY TRADERS OF IOWA, INC., D/B/A JADA CORPORATION AND JAMES 

B. PEPPER 

DOCKET NUMBER: 157 

DOCUMENT TYPE: ISSUANCE OF COMPLAINT 

UNITED STATES DEPARTMENT OF AGRICULTURE 

Commodity Exchange Authority 

Washington, D. C. 20250 

ISSUANCE OF COMPLAINT - CEA DOCKET NO. 157 

(Administrative Hearing under the Commodity Exchange Act) 

A complaint and notice of hearing has been signed by the Assistant Secretary 

of Agriculture, charging violation of the Commodity Exchange Act by: 

United Commodity Traders of Iowa, Inc., also d/b/a Jada Corporation and James 

B. Pepper 

Sioux City, Iowa 

The complaint charges that during the period July 1, 1968 through August 8, 

1968, the respondents were undersegregated in amounts ranging up to 

approximately $ 2,700. The complaint also charges that the segregation records 

maintained by the respondents did not reflect the undersegregation. 

The issuance of a complaint under the Commodity Exchange Act does not 

constitute proof of violation of the law. Such violation is established only 

when the Judicial Officer of the Department has made a determination that the 

evidence substantiates allegations in the complaint. Complaints are filed in 

the Office of the Hearing Clerk of the Department of Agriculture and are a 

matter of public record. Pending disposition by the Judicial Officer, it is the 

policy of the Commodity Exchange Authority not to comment or elaborate on 

charges contained in complaints or to discuss evidence on which they are based. 

A public hearing on the complaint is scheduled to be held before a referee at 

10:00 a.m., local time, December 18, 1968, in Sioux City, Iowa. 

LOAD-DATE: June 16, 2008 
Page 2
Exhibit 10.2

 

AMENDMENT TO ADVISORY SERVICES AGREEMENT

 

THIS AMENDMENT TO ADVISORY SERVICES AGREEMENT (this “Amendment”), is made and entered into as of the 4th day of March, 2016, but effective the 28th day of February, 2016 (the “Effective Date”), by and between HELMERICH & PAYNE, INC. (the “Company”) and Steven R. Mackey (“Mackey”).

 

W I T N E S S E T H:

 

WHEREAS, the parties hereto entered into that certain Advisory Services Agreement dated February 19, 2015 (the “Agreement”); and

 

WHEREAS, the parties hereto desire to amend the Agreement as hereinafter set forth;

 

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

 

1.             Term.  The term of the Agreement is hereby extended through, and will expire on, June 30, 2016.

 

2.             Early Termination.  Either party may terminate the Agreement at any time for any reason upon ten (10) days prior written notice to the other party.  Monthly fees payable under Section 3(a) of the Agreement will be pro-rated for any termination effective on a day other than the last day of the month.

 

Except as amended hereby, all other terms and conditions of the Lease shall remain in full force and effect.

 

IN WITNESS WHEREOF, Owner and Lessee have executed this Amendment as of the day and year first written above.

 

 

	
 
    	
HELMERICH &   PAYNE, INC.
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By
    	
/s/ JOHN R. BELL
    
	
 
    	
 
    	
JOHN R. BELL
    
	
 
    	
 
    	
VICE PRESIDENT,   CORPORATE SERVICES
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
/s/ STEVEN R. MACKEY
    
	
 
    	
STEVEN R. MACKEY