-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VZ14ttu+X17uh8ynT/5fItBAjKhlFyY7MHRiKrOcILZVh0FmjJD2FY5gsYOR6N4m RQimIAYWN+AZW60nsIV9Bw== 0000928598-97-000037.txt : 19970327 0000928598-97-000037.hdr.sgml : 19970327 ACCESSION NUMBER: 0000928598-97-000037 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970213 DATE AS OF CHANGE: 19970326 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARVER BANCORP INC CENTRAL INDEX KEY: 0001016178 STANDARD INDUSTRIAL CLASSIFICATION: 6035 IRS NUMBER: 133904174 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48913 FILM NUMBER: 97550138 BUSINESS ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 BUSINESS PHONE: 2128764747 MAIL ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EQSF ADVISERS INC ET AL CENTRAL INDEX KEY: 0000928598 STANDARD INDUSTRIAL CLASSIFICATION: IRS NUMBER: 133354359 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 767 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10017-2023 BUSINESS PHONE: 212-888-6685 MAIL ADDRESS: STREET 1: 767 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10017-2023 SC 13G 1 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.) Carver Bancorp, Inc. (Name of issuer) Common Stock, $.01 par value per share (Title of class of securities) 146875109 (CUSIP number) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the notes). - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS EQSF Advisers, Inc. (EIN 13-3354359) - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York Corporation - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 218,500 ------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY ------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 218,500 ------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 218,500 - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.44% - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Martin J. Whitman (###-##-####) - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None (See Item 4) ------------------------------------------------- 6 SHARED VOTING POWER SHARES BENEFICIALLY None OWNED BY ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING None (See Item 4) ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER None - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- (See Item 4) - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Carver Bancorp, Inc. (the "Issuer"). (b) Address of Issuer's Principal Executive Offices or, if None, Residence: 75 West 125th Street, New York, NY 10027 Item 2. (a) Name of Person Filing: This schedule is being jointly filed by EQSF Advisers, Inc. ("EQSF") and Martin J. Whitman, the Chief Executive Officer of EQSF and controlling person of EQSF. (EQSF and Martin J. Whitman are sometimes collectively referred to hereinafter as "Filer"). Attached hereto as an exhibit is a copy of the joint schedule 13G filing agreement among the reporting persons. (b) Address of Principal Business Office: The address of the principal executive office of EQSF and Mr. Whitman is: 767 Third Avenue, New York, NY 10017-2023. (c) Citizenship: The citizenship or place of organization of each of the reporting persons is as follows: EQSF: New York State Corporation. Martin J. Whitman: United States Citizen. (d) Title of Class of Securities: Common Stock, $.01 par value per share. (e) CUSIP Number: 146875109 Item 3. If this statement is being filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (e) Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (EQSF). Item 4. Ownership. (a)&(b) EQSF beneficially owns 218,500 shares, or 9.44% of the class of securities of the issuer. (c) (i) EQSF: 218,500 (ii) Not applicable. (iii) EQSF: 218,500 (iv) Not applicable. Mr. Whitman disclaims beneficial ownership of all such shares. Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Third Avenue Value Fund, Inc., an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, such shares. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 13, 1997 (Date) EQSF ADVISERS, INC. By:/s/ MARTIN J. WHITMAN Martin J. Whitman Chairman, President and Chief Executive Officer /s/ MARTIN J. WHITMAN Martin J. Whitman EX-99 2 JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1 (f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Entities (as such term is defined in the Schedule 13G) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, $.01 par value per share, of Carver Bancorp, Inc., and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 13th day of February, 1997. EQSF ADVISERS, INC. By:/s/ MARTIN J. WHITMAN Martin J. Whitman Chairman, President and Chief Executive Officer /s/ MARTIN J. WHITMAN Martin J. Whitman -----END PRIVACY-ENHANCED MESSAGE-----