alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
Corporate Capital Trust II 8-K 


Exhibit 10.1


FIRST AMENDMENT TO THE EXPENSE SUPPORT
AND CONDITIONAL

REIMBURSEMENT AGREEMENT


This first amendment
to the Amended and Restated Expense Support and Conditional Reimbursement Agreement (this “Amendment”) is made as of
May 10, 2016, by and among CORPORATE CAPITAL TRUST II, a Delaware statutory trust, (“Company”), CNL FUND ADVISORS II,
LLC, a Delaware limited liability company (“CNL”) and KKR CREDIT ADVISORS (US) LLC, a Delaware limited liability company
(“KKR”).


WHEREAS, the Company,
CNL and KKR are parties to that certain Amended and Restated Expense Support and Conditional Reimbursement Agreement dated September
24, 2015 (the “Agreement”); and


WHEREAS, in accordance
with Section 4.5 of the Agreement, the parties desire to amend the Agreement as hereinafter set forth;


NOW, THEREFORE, in
consideration of the premises and the covenants hereinafter contained and for other good and valuable consideration, the receipt
and adequacy of which are hereby acknowledged, the parties hereby agree as follows:


1.


The reference to “June 30, 2016”
in Section 1 of the Agreement is hereby deleted, and “September 30, 2016” is inserted in the place of such deleted
reference.


2.


Full Force
and Effect. Except as modified hereby, the Agreement shall remain in full force and effect. All capitalized terms shall mean
the same as in the Agreement.


3.


Counterparts.
This Amendment may be executed in more than one counterpart, each of which will be deemed to be an original but all of which together
will constitute one and the same instrument. This Amendment may also be executed electronically.


4.


Governing
Law. This Amendment shall be governed by, and construed in accordance with, the laws of the State of New York, without regard
to conflict of law provisions.


[remainder of page blank; signatures
follow]


 




    	 



    	 



    

IN WITNESS WHEREOF,
the parties hereto have caused this Amendment to be duly executed as of the date first above written.


	 	CNL FUND ADVISORS II, LLC 
	 	 	 
	 	 	 
	 	By:  	/s/ Steven D. Shackelford
	 	Name: 	Steven D. Shackelford
	 	Title: 	Chief Financial Officer
	 	 	 
	 	 	 
	 	 	 
	 	KKR CREDIT ADVISORS (US) LLC
	 	 	 
	 	 	 
	 	By:  	/s/ Jeffrey B. Van Horn
	 	Name:	Jeffrey B. Van Horn
	 	Title:	Authorized Signatory 
	 	 	 
	 	 	 
	 	CORPORATE CAPITAL TRUST II
	 	 	 
	 	 	 
	 	By:  	/s/ Steven D. Shackelford
	 	Name:	Steven D. Shackelford
	 	Title:	Chief Executive Officer
Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: FRANCIS R. REARDON AND F. J. REARDON, INC. 

DOCKET NUMBER: 218 

DOCUMENT TYPE: ISSUANCE OF COMPLAINT 

UNITED STATES DEPARTMENT OF AGRICULTURE 

Commodity Exchange Authority 

Washington, D. C. 20250 

ISSUANCE OF COMPLAINT - CEA DOCKET NO. 218 

(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: 

Francis R. Reardon and F. J. Reardon, Inc. 

(Cambridge, Massachusetts) 

The complaint charges that on September 13, 1972, Francis R. Reardon, acting 

as a floor broker on the New York Mercantile Exchange on behalf of his futures 

commission merchant firm, F. J. Reardon, Inc., took into his firm's own account 

20 contracts of Maine potato futures which should have been allocated to 

customers. 

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 there has been a determination that the evidence substantiates allegations 

in the complaint. A determination is considered as having been made when a 

decision of the Administrative Law Judge becomes final or, after appeal, a 

decision is made by the Judicial Officer of the Department. Complaints are 

filed in the Office of the Hearing Clerk of the Department of Agriculture and 

are a matter of public record. Pending disposition of a complaint, it is the 

policy of the CEA not to comment or elaborate on charges contained therein or to 

discuss evidence on which it is based. 

A public hearing on the complaint will be held before the Administrative Law 

Judge in Boston, Massachusetts, at a date and time to be specified at a later 

date. 

LOAD-DATE: June 12, 2008 
Page 2
Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: LOUIS ROMOFF 

DOCKET NUMBER: 166 

DATE: JUNE 22, 1970 

DOCUMENT TYPE: CEASE AND DESIST ORDER 

Docket No. 166 

Name: Louis Romoff 

Effective On or about June 22, 1970 

(a) The respondent, Louis Romoff, shall cease and desist from failing to 

file, in accordance with the Commodity Exchange Act and the regulations 

thereunder, such reports as he is required to file under such act and 

regulations. 

(b) The respondent, Louis Romoff, is prohibited from trading on or subject to 

the rules of any contract market for a period of thirty (30) days, and all 

contract markets shall refuse all trading privileges to the respondent during 

this period, such prohibition and refusal to apply to all trading done and all 

positions held by the respondent, directly or indirectly. 

The cease and desist provisions of this order, set forth in subparagraph (a) 

above, shall become effective upon the date of service of this order upon the 

respondent. The period of the denial of trading privileges to the respondent, 

specified in subparagraph (b) above, shall become effective on the thirtieth day 

after the date of entry of this order. 

Done at Washington, D. C. 

JUN 12 1970 

[SEE SIGNATURE IN ORIGINAL] 

Thomas J. Flavin 

Judicial Officer 

LOAD-DATE: June 16, 2008 
Page 2
Exhibit 32.1


                            CERTIFICATION PURSUANT TO
                    RULE 13A-14(B) AND 18 U.S.C. SECTION 1350

     In connection with the Quarterly Report of Rexhall Industries, Inc. (the
"Company") on Form 10-Q for the quarter ended June 30, 2003 as filed with the
Securities and Exchange Commission on the date hereof (the "Report"), the
undersigned, in the capacities and on the dates indicated below, hereby
certifies 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 his 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 operations
         of the Company.







                         REXHALL INDUSTRIES, INC.

                         By: /S/ William J. Rex
                         --------------------------
August 14, 2003           William J. Rex
                          President and Chief Executive Officer
                          and Interim Chief Financial Officer




                                      -15-
#### In the Matter of Queen E., a Child Alleged to be Neglected. New York City Administration for Children’s Services, Appellant; Andre C., Respondent. (Froceeding No. 1.) In the Matter of Precious E., a Child Alleged to be Neglected. New York City Administration for Children’s Services, Ap*946pellant; Andre C., Respondent. (Proceeding No. 2.)

[876 NYS2d 438]—

In two related child protective proceedings pursuant to Family Court Act article 10, the New York City Administration for Children’s Services appeals from an order of the Family Court, Queens County (McGowan, J.), dated May 15, 2008, which denied its motion to extend, pending a dispositional hearing, a stay of enforcement of so much of an order of the same court dated May 13, 2008, as directed that the father have unsupervised visitation with the subject children, which was contained in that order, and for a dispositional hearing to ascertain whether such visitation was in the best interests of the subject children and, in effect, directed such visitation. By decision and order on motion of this Court dated May 30, 2008, enforcement of so much of the order dated May 13, 2008, as directed that the father have unsupervised visitation with the subjéct children was stayed pending hearing and determination of the appeal.

Ordered that the order is reversed, on the law, without costs or disbursements, the motion to extend the stay pending a dispositional hearing is granted, and the matter is remitted to the Family Court, Queens County, to conduct a dispositional hearing to ascertain whether the father should have unsupervised visitation with the subject children.

We agree with the appellant that the May 13, 2008, proceedings in the Family Court did not constitute a dispositional hearing. Under the circumstances presented, prior to directing that the father have unsupervised visitation with the subject children, the Family Court should have conducted such a hearing to ascertain whether unsupervised visitation with the father was in the best interests of the children (see Family Ct Act §§ 1045, 1047, 1052 [a]; *Matter of Suffolk County Dept. of Social Servs. v James M.,*83 NY2d 178, 183 [1994]; *Matter of Joseph B.,*6 AD3d 609, 610-611 [2004]; *Matter of Orange County Dept. of Social Servs. [Randolph L.],*250 AD2d 853 [1998]), and should have granted that branch of the appellant’s motion which was to extend the Family Court’s previously imposed stay of unsupervised visitation pending the dispositional determination. The matter must be remitted to the Family Court, Queens County, for a dispositional hearing. Rivera, J.P., Ritter, Miller and Belen, JJ., concur.
* Pursuant to 5 TH C IR

. R. 47.5, the court has deter mined that

this opinion should not be published and is not precedent except under the limited circumstances set forth in 5 TH C IR . R. 47.5.4.

IN THE UNITED STATES COURT OF APPEALS

FOR THE FIFTH CIRCUIT

_____________________

No. 96-20596 Summary Calendar

_____________________

UNITED STATES OF AMERICA,

Plaintiff-Appellee,

versus

MARINO RAMIREZ, also known as Servio Marino Victoria, and JOSE R. ARGUELLAS, also known as Jose R. Arguelles, also known as Brazil, also known as Raul Lnu,

Defendants-Appellants.

_________________________________________________________________
Appeal from the United States District Court for the

Southern District of Texas
USDC No. CR-H-95-112-3

_________________________________________________________________ July 30, 1997 Before KING, JOLLY, and DENNIS, Circuit Judges.

PER CURIAM: *

Marino Ramirez and Jose R. Arguellas appeal their convictions

for conspiracy to distribute in excess of five kilograms of

cocaine. The defendants challenge the district court’s admission

of the results of ion scan evidence under Daubert v. Merrell Dow

Pharmaceuticals, Inc.
, 509 U.S. 579 (1993). The district court did

n ot commit plain error in admitting the evidence under the-2-

reliability prong of the Daubert analysis, nor did it abuse its

discretion in admitting the evidence under the relevanc e prong.

Id. at 591-95. The district court did not err in finding that the

probative value of the evidence was not ou tweighed by any

prejudicial effect. Id. at 595. Finally, Ramirez challenges the

suffici ency of the evidence against him. The evidence was

sufficient to sustain Ramirez’ conviction when viewed in the light

most favorable to the jury’s verdict. S ee United States v.

Resio-Trejo

, 45 F.3d 907, 910 (5th Cir. 1 995). The judgment of

conviction of each of the defendants is therefore

A F F I R M E D.
Exhibit








Exhibit 10.5
FIRST AMENDMENT TO 
HIGHLANDS REIT, INC. 
2016 INCENTIVE AWARD PLAN


THIS FIRST AMENDMENT TO HIGHLANDS REIT, INC. 2016 INCENTIVE AWARD PLAN (this “First Amendment”), dated as of May 9, 2016, is made and adopted by the Board of Directors (the “Board”) of Highlands REIT, Inc., a Maryland corporation (the “Company”).  Capitalized terms used but not otherwise defined herein shall have the respective meanings ascribed to them in the Plan (as defined below).


RECITALS


WHEREAS, the Company maintains the Highlands REIT, Inc. 2016 Incentive Award Plan (the “Plan”);


WHEREAS, pursuant to Section 11.1(a) of the Plan, the Plan may be wholly or partially amended at any time or from time to time by the Board; and 


WHEREAS, the Company desires to amend the Plan as set forth herein. 


NOW, THEREFORE, BE IT RESOLVED, that the Plan is hereby amended as set forth herein.


AMENDMENT


		
	1.
	The second and third sentences of Section 9.2 of the Plan are hereby amended and restated in their entirety as follows:




“The Administrator may in its sole discretion and in satisfaction of the foregoing requirement or in satisfaction of such additional withholding obligations as a Participant may have elected allow a Participant to satisfy such obligations by any payment means described in Section 9.1 hereof, including without limitation, by allowing such Participant to elect to have the Company or an Affiliate withhold Shares otherwise issuable under an Award (or allow the surrender of Shares).  The number of Shares which may be so withheld or surrendered shall be limited to the number of Shares which have a fair market value on the date of withholding or repurchase no greater than the aggregate amount of such liabilities based on the maximum statutory withholding rates in such Participant’s applicable jurisdictions for federal, state, local and foreign income tax and payroll tax purposes that are applicable to such supplemental taxable income.”
		
	2.
	This First Amendment shall be and is hereby incorporated in and forms a part of the Plan.


		
	3.
	Except as expressly provided herein, all terms and provisions of the Plan shall remain in full force and effect.


[Signature Page Follows]
    






CH\2306672.1







I hereby certify that the foregoing First Amendment was duly adopted by the Board of Directors of Highlands REIT, Inc. on May 9, 2016.




Executed on this 9th day of May, 2016.




/s/ Richard Vance                
Richard Vance
President and Chief Executive Officer


2




CH\2306672.1
Exhibit
31.1
  
 CERTIFICATION
OF CHIEF EXECUTIVE OFFICER
 PURSUANT
TO
 SECTION
13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 AS
ADOPTED PURSUANT TO
 SECTION
302 OF THE SARBANES-OXLEY ACT OF 2002
 I, Gary S.
Kledzik , certify
that:
  1.  I have
reviewed this annual report on Form 10-K of Miravant Medical
Technologies;
   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 the
      registrant as of, and for, the periods presented in this annual 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-14 and 15d-14) for the registrant and we
      have:
   a)
    designed
      such disclosure controls and procedures 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 annual 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 changes in registrant’s internal control over financial
      reporting that occurred during the registrant’s most recent fiscal quarter
      that has materially affected, or is reasonably likely to materially
      affect, the registrant’s internal control over financial
      reporting.
   5.
    The
      registrant’s other certifying officers and I have disclosed, based on our
      most recent evaluation, to the registrant’s auditors and the audit
      committee of 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 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: March 28,
2005
 By:  /s/
Gary S. Kledzik
 Name:
Gary S. Kledzik
 Title:
Chief Executive Officer
 (Principal
Executive Officer)
**EXHIBIT 23**

 

**CONSENT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS**

 

Storage Computer Corporation 

Nashua, New Hampshire 

 

We hereby consent to the incorporation by reference in the Registration Statements on Forms S-8 (No. 333-48987, No. 333-69536, and No. 333-31207) ofour audit report dated February 21, 2003, relating to the consolidated financial statements of Storage Computer Corporation appearing in the Company’s Annual report on Form 10-K for the year ended December 31, 2002. 

 

BDO SEIDMAN, LLP

 

Boston, Massachusetts

March 31, 2003
Exhibit 32.2

CERTIFICATION

Pursuant
to the requirement set forth in Rule 13a-14(b) of the Securities Exchange
Act of 1934, as amended (the Exchange Act), and Section 1350 of
Chapter 63 of Title 18 of the United States Code (18 U.S.C. §1350), Fritz
L. LaPorte, in his capacity as Senior Vice President of Finance and
Administration, Chief Financial Officer and Treasurer of MAKO Surgical Corp.,
hereby certifies that, to the best of his knowledge:

| |      |                                                                                                                                                                                                                                                                       
| | ---- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
| | (i)  | the
 Companys Quarterly Report on Form 10-Q for the three months ended September
 30, 2009 to which this Certification is attached as Exhibit 32.1 (the
 Quarterly Report) fully complies with the requirements of Section 13(a) or
 15(d) of the Exchange Act, and
| |      |                                                                                                                                                                                                                                                                       
| | (ii) | the
 information contained in the Quarterly Report fairly presents, in all
 material respects, the financial condition and results of operations of MAKO
 Surgical Corp.                                                                                              

|                  |                                                             | 
|----------------- | ----------------------------------------------------------- | 
|November 4,
 2009 | /s/ Fritz L.
 LaPorte                                       | 
|                  | Fritz L.
 LaPorte                                          
|                  | Senior Vice
 President of Finance and Administration, Chief
|                  | Financial
 Officer and Treasurer                           
|                  | (Principal
 Financial and Accounting Officer)              

This
certification accompanies the Quarterly Report on Form 10-Q to which it
relates, is not deemed filed with the Securities and Exchange Commission and is
not to be incorporated by reference into any filing of MAKO Surgical Corp.
under the Securities Act of 1933, as amended, or the Exchange Act (whether made
before or after the date of the Form 10-Q), irrespective of any general
incorporation language contained in such filing.

33

---
----

            COMMISSION REGULATION (EC) No 1166/2004

of 24 June 2004         

fixing the rates of the refunds applicable to eggs and egg yolks exported in the form of goods not covered by Annex I to the Treaty

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Regulation (EEC) No 2771/75 of 29 October 1975 on the common organisation of the market in eggs (1), and in particular Article 8(3) thereof,

Whereas:

HAS ADOPTED THIS REGULATION:

Article 1

The rates of the refunds applicable to the basic products listed in Annex A to Regulation (EC) No 1520/2000 and in Article 1(1) of Regulation (EEC) No 2771/75, exported in the form of goods listed in Annex I to Regulation (EEC) No 2771/75, are fixed as set out in the Annex to this Regulation.

Article 2

This Regulation shall enter into force on 28 June 2004.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 24 June 2004.

For the Commission

Erkki LIIKANEN            

Member of the Commission

----

(1)OJ L 282, 1.11.1975, p. 49. Regulation as last amended by Regulation (EC) No 806/2003 (OJ L 122, 16.5.2003, p. 1).

(2)OJ L 177, 15.7.2000, p. 1. Regulation as last amended by Regulation (EC) No 886/2004 (OJ L 168, 1.5.2004, p. 14).

----

ANNEX

Rates of the refunds applicable from 28 June 2004 to eggs and egg yolks exported in the form of goods not covered by Annex I to the Treaty

----

(1)  The destinations are as follows:

----
#### Matthews *et al.,*commissioners, *vs.*Dawson.

The finding in the justice’s court being warranted by the evidence, there was.no error in sustaining it on *certiorari.*

Judgment affirmed.

December 15, 1885.

Blandeord, Justice.
CERTIFICATION
OF THE CHIEF EXECUTIVE OFFICER OF
 CORPORATE
EQUITY INVESTMENTS, INC.
 PURSUANT
TO 18 U.S.C. SECTION 1350,
 AS
ADOPTED PURSUANT TO
 §
906 OF THE SARBANES-OXLEY ACT OF 2002
  In
connection with the Quarterly Report of Corporate Equity Investments, Inc. (the
“Company”) on Form 10-Q for the period ended March 31, 2009, as filed with the
Securities and Exchange Commission on the date hereof (the “Report”), I, Chase
Chandler, Chief Executive Officer of the Company, do hereby certify, pursuant to
18 U.S.C. § 1350, as adopted pursuant to § 906 of the Sarbanes-Oxley Act of
2002, based on my knowledge, 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/Chase
Chandler
  Chase
Chandler
 Chief
Executive Officer
 May
15, 2009
  This
certification accompanies the Report pursuant to § 906 of the Sarbanes-Oxley Act
of 2002 and shall not, except to the extent required by the Sarbanes-Oxley Act
of 2002, be deemed filed by the Company for purposes of § 18 of the Securities
Exchange Act of 1934, as amended.
Obar Levell ELLIS, petitioner, v. Paul KLEE, Warden.

No. 16-5766.

Supreme Court of the United States

Oct. 31, 2016.

Petition for writ of certiorari to the United States Court of Appeals for the Sixth Circuit denied.