-----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, HjFUjSTuGUuusyMIZPwsRDkl/5usP5dUO4bqmXpt7FJHhGM9uThh3f5+/3wtFiHO JQLjonoh89z2Shgwh+CMEw== 0001157523-06-001501.txt : 20060214 0001157523-06-001501.hdr.sgml : 20060214 20060214090022 ACCESSION NUMBER: 0001157523-06-001501 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060214 DATE AS OF CHANGE: 20060214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Lee Michael H CENTRAL INDEX KEY: 0001306353 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 212-655-2000 MAIL ADDRESS: STREET 1: TOWER GROUP, INC. STREET 2: 120 BROADWAY, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Tower Group, Inc. CENTRAL INDEX KEY: 0001289592 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 133894120 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80340 FILM NUMBER: 06607285 BUSINESS ADDRESS: STREET 1: 120 BROADWAY STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: (212) 655-2000 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 SC 13G 1 a5076755.txt TOWER GROUP SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Tower Group, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 891777 10 4 (CUSIP Number) December 31, 2005 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |_| Rule 13d-1(c) |X| Rule 13d-1(d) *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). - -------------------------------------------------------------------------------- CUSIP NO. 891777 10 4 13G Page 2 of 4 Pages - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON Michael H. Lee I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 2,797,247 BENEFICIALLY ------------------------------------------------------------ OWNED BY 6. SHARED VOTING POWER EACH 90,000 REPORTING ------------------------------------------------------------ PERSON 7. SOLE DISPOSITIVE POWER WITH 2,797,247 ------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 90,000 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,887,247(1) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.2% - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- (1) Includes 90,000 shares issuable upon the exercise of stock options held by Helen Lee, Mr. Lee's wife. Item 1(a). Name of Issuer: -------------- Tower Group, Inc., a Delaware corporation Item 1(b). Address of Issuer's Principal Executive Offices: ----------------------------------------------- 120 Broadway, 14th Floor New York, New York 10171 Item 2(a). Name of Person Filing: --------------------- Michael H. Lee Item 2(b). Address of Principal Business Office or, if None, Residence: ----------------------------------------------------------- 120 Broadway, 14th Floor New York, New York 10171 Item 2(c). Citizenship: ----------- United States of America Item 2(d). Title of Class of Securities: ---------------------------- Common Stock Item 2(e). CUSIP Number: ------------ 891777 10 4 Item 3. If This Statement is Being Filed Pursuant to ss.ss.240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a: ------------------------------------------------------------------- (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Not applicable Item 4. Ownership: --------- (a) Amount beneficially owned: 2,887,247 (b) Percent of class: 14.2%. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 2,797,247 (ii) Shared power to vote or to direct the vote: 90,000 shares issuable upon the exercise of stock options held by Helen Lee, Mr. Lee's wife. (iii) Sole power to dispose or to direct the disposition of: 2,797,247 (iv) Shared power to dispose or to direct the disposition of: 90,000 shares issuable upon the exercise of stock options held by Helen Lee, Mr. Lee's wife. 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: ---------------------------------------------------------------- Not applicable 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: ------------- Not applicable 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. Dated: February 14, 2006 By: /S/ Michael H. Lee ----------------------------------------- Name: Michael H. Lee Title: President, CEO and Chairman of the Board -----END PRIVACY-ENHANCED MESSAGE-----