-----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, QxGk/VCjCOBmB0sPrJgqipePPai4GUbgFkrTbYHEnx8CTZQW4ImivD5O3djmEOmm E7VzODk102u+NsmWPzOrcw== 0000895755-97-000077.txt : 19970619 0000895755-97-000077.hdr.sgml : 19970619 ACCESSION NUMBER: 0000895755-97-000077 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970618 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KESTREL ENERGY INC CENTRAL INDEX KEY: 0000312842 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 840772451 STATE OF INCORPORATION: CO FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-35387 FILM NUMBER: 97625766 BUSINESS ADDRESS: STREET 1: 999 18TH ST STE 1100 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 3032951939 MAIL ADDRESS: STREET 1: PO BOX 1079 STREET 2: PO BOX 1079 CITY: DENVER STATE: CO ZIP: 80202-1079 FORMER COMPANY: FORMER CONFORMED NAME: TPEX EXPLORATION INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: TANNER PRUIT EXPLORATION INC DATE OF NAME CHANGE: 19810126 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EQUITABLE LIFE ASSURANCE SOCIETY CENTRAL INDEX KEY: 0001038581 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: CITY PLACE HALL STREET 2: 55 BASINGHALL STREET CITY: LONDON EC2V 5DR MAIL ADDRESS: STREET 1: CITY PLACE HALL STREET 2: 55 BASINGHALL STREET CITY: LONDON EC2V 5DR SC 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Kestrel Energy, Inc. (Name of Issuer) Common Stock, No par value) (Title of Class of Securities) 492545 10 8 (CUSIP Number) S. Lee Terry, Jr. Gorsuch Kirgis L.L.C. 1401 17th Street, Suite 1100 Denver, Colorado 80202 (303) 299-8913 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 7, 1997 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with this statement [X]. CUSIP No. 492545 10 8 1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person The Equitable Life Assurance Society 2) Check the Appropriate Box if a Member of a Group* (a) (b) 3) SEC USE ONLY 4) Source of Funds WC 5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6) Citizenship or Place of Organization United Kingdom Number of Shares 7) Sole Voting Power 840,000 Beneficially Owned 8) Shared Voting Power 0 By Each Reporting 9) Sole Dispositive Power 840,000 Person With 10) Shares Dispositive Power 0 11) Aggregate Amount Beneficially Owned by Each Reporting Person 840,000 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] 13) Percent of Class Represented by Amount in Row (11) 19.1% 14) Type of Reporting Person IC SCHEDULE 13D THE EQUITABLE LIFE ASSURANCE SOCIETY Item 1 Security and Issuer No par value Common Stock ("the Shares") of Kestrel Energy, Inc. (the "Company"), 999 18th Street, Suite 1100, Denver, Colorado 80202 Item 2 Identity and Background (a) Name: The Equitable Life Assurance Society ("Equitable") (b) Business City Place House, 55 Basinghall St. Address: London, England EC2V 5DR (c) Principal Business and Place of Organization: A life assurance company registered in the United Kingdom (d) Criminal Proceedings: None (e) Civil Proceedings: None DIRECTORS AND EXECUTIVE OFFICERS OF REPORTING PERSON: (a) Name: ROGER QUINTIN BOWLEY (b) Business Address: The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (c) Principal Occupation, Name of Business, Principal Business and Address: General Manager (Central Services), Secretary and a Director of Equitable The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: PETER ANTHONY DAVIS (b) Business Address: Office of the National Lottery 2 Monck Street London SW1P 2BQ (c) Principal Occupation, Name of Business, Principal Business and Address: Director General of the National Lottery Director of Equitable Office of the National Lottery 2 Monck Street London SW1P 2BQ (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: SHAUN MUNRO KINNIS (b) Business Address: The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (c) Principal Occupation, Name of Business, Principal Business and Address: General Manager - Sales and Marketing and a Director of Equitable The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: PETER MARTIN (b) Residence Address: 121 Coleherne Court Old Brompton Road London SW5 OEB (c) Principal Occupation, Name of Business, Principal Business and Address: Solicitor, Retired Director of Equitable (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: ALAN NASH (b) Business Address: The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (c) Principal Occupation, Name of Business, Principal Business and Address: General Manager - Finance and a Director of Equitable The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: JENNIFER ANNE PAGE (b) Business Address: Millennium Central 2 Monck Street London SW1P 2BQ (c) Principal Occupation, Name of Business, Principal Business and Address: Chief Executive Director of Equitable Millennium Central 2 Monck Street London SW1P 2BQ (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: DAVID WILLIAM JAMES PRICE (b) Business Address: Mercury Asset Management plc 33 King William Street London EC4R 9AS (c) Principal Occupation, Name of Business, Principal Business and Address: Deputy Chairman Director of Equitable Mercury Asset Management plc 33 King William Street London EC4R 9AS (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: ROY HENRY RANSON (b) Business Address: The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (c) Principal Occupation, Name of Business, Principal Business and Address: Managing Director and Actuary and a Director of Equitable The Equitable Life Assurance Society Walton Street Aylesbury Bucks HP21 7QW (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: JOHN RICHARD SCLATER (b) Business Address: Yamaichi International (Europe) Ltd. Finsbury Court 711-117 Finsbury Pavement London EC2A 1EQ (c) Principal Occupation, Name of Business, Principal Business and Address: Banker Director of Equitable Yamaichi International (Europe) Ltd. Finsbury Court 711-117 Finsbury Pavement London EC2A 1EQ (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: IAN PETER SEDGWICK (b) Business Address: Schroders plc 120 Cheapside London EC2V 6DS (c) Principal Occupation, Name of Business, Principal Business and Address: Vice-Chairman Director of Equitable Schroders plc 120 Cheapside London EC2V 6DS (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: JONATHAN FRANCIS TAYLOR (b) Business Address: Booker plc 85 Buckingham Gate London SW1E 6PD (c) Principal Occupation, Name of Business, Principal Business and Address: Chairman Director of Equitable Booker plc 85 Buckingham Gate London SW1E 6PD (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: DAVID GEORGE THOMAS (b) Business Address: The Equitable Life Assurance Society City Place House 55 Basinghall Street London EC2V 5DR (c) Principal Occupation, Name of Business, Principal Business and Address: General Manager - Investments and a Director of Equitable The Equitable Life Assurance Society City Place House 55 Basinghall Street London EC2V 5DR (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: ALAN GEORGE TRITTON (b) Residence Address: Lyons Hall Great Leighs Chelmsford Essex CH3 1PL (c) Principal Occupation, Name of Business, Principal Business and Address: Retired Director of Equitable (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British (a) Name: DAVID WILLIAM WILSON (b) Business Address: Wilson Bowden plc Wilson Bowden House Leicester Road Ibstock Leicester LE67 6HP (c) Principal Occupation, Name of Business, Principal Business and Address: Chairman Director of Equitable Wilson Bowden plc Wilson Bowden House Leicester Road Ibstock Leicester LE67 6HP (d) Criminal Proceedings: None (e) Civil Proceedings: None (f) Citizenship: British Item 3. Source and Amount of Funds or Other Consideration On May 7, 1997, the Reporting Person was issued 840,000 Shares for $1,680,000 pursuant to an offering by the Issuer under Regulation S to qualified non-U.S. investors. The Shares were acquired with working capital. Item 4. Purpose of Transaction The Shares were acquired for investment purposes. (a) None. (b) None. (c) None. (d) None. (e) None. (f) None. (g) None. (h) None. (i) None. (j) None. Item 5. Interest in Securities of the Issuer (a) 840,000 Shares of Common Stock (19.1%) beneficially owned. (b) Number of Shares as to which there is sole power to vote - 840,000; shared power to direct the vote - 0; sole power to direct the disposition - 840,000; shared power to direct the disposition - 0. (c) See Item 3. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer None. Item 7. Material to be filed as Exhibits None. 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. THE EQUITABLE LIFE ASSURANCE SOCIETY Date: 18th June 1997 By:/s/C.E. Duddridge C.E. Duddridge Printed Name Assistant General Manager - Securities and Investments Title -----END PRIVACY-ENHANCED MESSAGE-----