-----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, ETO7FcFJhfQs1vetn59yRBl8Pis+wghj1/DsZTTUMYXG20ju8qcFo7L3FHmeSWYV 4q77ZnqP00K8aYuesC0AMg== 0000950131-98-001045.txt : 19980218 0000950131-98-001045.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950131-98-001045 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD GROUP MEMBERS: ADVISORY RESEARCH INC GROUP MEMBERS: DAVID B. HELLER SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EVERGREEN RESOURCES INC CENTRAL INDEX KEY: 0000353943 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 840834147 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-34061 FILM NUMBER: 98539167 BUSINESS ADDRESS: STREET 1: 1000 WRITER SQ STREET 2: 1512 LARIMER ST CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 3035340400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORY RESEARCH INC CENTRAL INDEX KEY: 0000902584 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132831881 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 180 N. STETSON STREET STE 5780 STREET 2: TWO PRUDENTIAL PLZ CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3125651414 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Evergreen Resources Inc. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 299900 30 8 (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 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). Page 1 of 9 Pages - ----------------------- --------------------- CUSIP NO. 299900 30 8 13G PAGE 2 OF 9 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Advisory Research, Inc. 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON #36-2831881 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 938,300 shares OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 938,300 shares - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 938,300 shares - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 9.9% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IA - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 299900 30 8 13G PAGE 3 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: David B. Heller 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SSN ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 938,300 shares OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 938,300 shares - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 938,300 shares - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 9.9% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: -------------- Evergreen Resources Inc. Item 1(b) Name of Issuer's Principal Executive Offices: -------------------------------------------- 1000 Writer Square 1512 Larimer Street Denver, Colorado 80202 Item 2(a) Name of Person Filing: --------------------- Advisory Research, Inc. David B. Heller Item 2(b) Address of Principal Business Office or, if none, Residence: ----------------------------------------------------------- Two Prudential Plaza 180 N. Stetson, Suite 5780 Chicago, Illinois 60601 Item 2(c) Citizenship: ----------- Advisory Research, Inc. is a Delaware corporation. David B. Heller is a United States citizen. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock, no par value per share. Item 2(e) CUSIP No.: --------- 299900 30 8 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: ------------------------------------------------------------------ (a) [_] Broker or Dealer registered under Section 15 of the Act (b) [_] Bank as defined in Section 3(a)(6) of the Act (c) [_] Insurance Company as defined in Section 3(a)(19) of the Act (d) [_] Investment Company registered under Section 8 of the Investment Company Act. (Advisory Research, Inc.) Page 4 of 9 Pages (e) [X] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) [_] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) [_] Parent Holding Company, in accordance with Rule 13d- 1(b)(1)(ii)(G) (h) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(H) Item 4 Ownership: --------- (a) Amount Beneficially Owned: Advisory Research, Inc. 938,300 David B. Heller 938,300 (b) Percent of Class: Advisory Research, Inc. 9.9% David B. Heller 9.9% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: None (ii) Shared power to vote or to direct the vote: Advisory Research, Inc. 938,300 David B. Heller 938,300 (iii) Sole power to dispose or to direct the disposition of: None (iv) Shared power to dispose or to direct the disposition of: Advisory Research, Inc. 938,300 David B. Heller 938,300 As of December 31, 1997, Advisory Research, Inc. was the direct beneficial owner of 938,300 shares of Page 5 of 9 Pages Evergreen Resources Inc. Common Stock, no par value per share. David B. Heller is President and the controlling shareholder of Advisory Research, Inc. Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [_]. Item 6 Ownership of More Than Five Percent on Behalf of Another Person: --------------------------------------------------------------- No other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares reported hereunder. 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 certifying 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. Page 6 of 9 Pages 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. Date: February 13, 1998 ADVISORY RESEARCH, INC. By: /s/ DAVID B. HELLER ----------------------- Name: David B. Heller Its: President Page 7 of 9 Pages 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. Date: February 13, 1998 By: /s/ DAVID B. HELLER --------------------- David B. Heller Page 8 of 9 Pages EXHIBIT ------- SCHEDULE 13G JOINT FILING AGREEMENT The undersigned and each other person executing this joint filing agreement agree as follows: (i) The undersigned and each other person executing this joint filing agreement are individually eligible to use the Schedule 13G to which this Exhibit is attached, and such Schedule 13G is filed on behalf of the undersigned and each other person executing this joint filing agreement; and (ii) The undersigned and each other person executing this joint filing agreement are responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the undersigned or any other person executing this joint filing agreement is responsible for the completeness or accuracy of the information concerning any other persons making the filing, unless such person knows or has reason to believe that such information is accurate. This Agreement may be executed in one or more counterparts by each person executing this joint filing agreement, and each such counterparts shall be an original but all of which, taken together, shall constitute but one and the same instrument. Dated: February 13, 1998 ADVISORY RESEARCH, INC. By: /s/ DAVID B. HELLER ------------------------ Name: David B. Heller Its: President /s/ DAVID B. HELLER --------------------------- David B. Heller Page 9 of 9 Pages -----END PRIVACY-ENHANCED MESSAGE-----