-----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, UfUym9OHiH3GH6pXeimuZguEnj8RZKn6eV+d54yJrwShloD4a3SkI4zZAjgwoanY hZ002AKHor5hGS22Cw2e8Q== 0000950136-03-002313.txt : 20030919 0000950136-03-002313.hdr.sgml : 20030919 20030919170955 ACCESSION NUMBER: 0000950136-03-002313 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030919 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALPINE GROUP INC /DE/ CENTRAL INDEX KEY: 0000004164 STANDARD INDUSTRIAL CLASSIFICATION: DRAWING AND INSULATING NONFERROUS WIRE [3357] IRS NUMBER: 221620387 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-31325 FILM NUMBER: 03903108 BUSINESS ADDRESS: STREET 1: 1790 BROADWAY STREET 2: 15TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127573333 MAIL ADDRESS: STREET 1: 150 INTERSTATE NORTH PKWY STREET 2: STE 110 CITY: ATLANTA STATE: GA ZIP: 30339 FORMER COMPANY: FORMER CONFORMED NAME: ALPINE GEOPHYSICAL CORP DATE OF NAME CHANGE: 19841202 FORMER COMPANY: FORMER CONFORMED NAME: ALPINE GEOPHYSICAL ASSOCIATES INC DATE OF NAME CHANGE: 19810120 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALEXANDRA INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001026736 IRS NUMBER: 134092583 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 237 PARK AVENUE STREET 2: 9TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123873780 MAIL ADDRESS: STREET 1: 767 THIRD AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 SC 13D 1 file001.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 4 )* THE ALPINE GROUP, INC. (NAME OF ISSUER) COMMON STOCK, PAR VALUE $0.10 PER SHARE (TITLE OF CLASS OF SECURITIES) 020825105 (CUSIP NUMBER) ALEXANDRA INVESTMENT MANAGEMENT, LLC MIKHAIL A. FILIMONOV DIMITRI SOGOLOFF 767 THIRD AVENUE 39TH FLOOR NEW YORK, NEW YORK 10017 (212) 301-1800 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) COPIES TO: THOMAS MORE GRIFFIN, ESQ. GIBBONS, DEL DEO, DOLAN, GRIFFINGER & VECCHIONE, P.C. ONE PENN PLAZA, 37TH FLOOR NEW YORK, NEW YORK 10119 (212) 649-4700 SEPTEMBER 25, 2003 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) IF THE FILING PERSON HAS FILED A STATEMENT ON SCHEDULE 13G TO REPORT THE ACQUISITION WHICH IS THE SUBJECT OF THIS SCHEDULE 13D/A, IS FILING THIS SCHEDULE BECAUSE OF RULE 13D-1(b)(3) OR (4) CHECK THE FOLLOWING BOX [ ] Page 1 of__ pages SCHEDULE 13D/A
CUSIP NO. 004325205 PAGE 2 OF ___ PAGES - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO OF ABOVE PERSON Alexandra Investment Management, LLC - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF, OO - ---------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS [ ] REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) - ---------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------------------------------ SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON WITH 0 shares ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER - ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 shares - ---------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IA, CO
* SEE INSTRUCTIONS BEFORE FILLING OUT ----------------------- 2 SCHEDULE 13D/A
CUSIP NO. 004325205 PAGE 3 OF ___ PAGES - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO OF ABOVE PERSON Mikhail A. Filimonov - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF, OO - ---------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS [ ] REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) - ---------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - ---------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------ NUMBER OF 8 SHARED VOTING POWER SHARES 0 shares BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 shares - ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 shares - ---------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN
* SEE INSTRUCTIONS BEFORE FILLING OUT - ----------------------- 3 SCHEDULE 13D/A
CUSIP NO. 004325205 PAGE 4 OF ___ PAGES - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO OF ABOVE PERSON Dimitri Sogoloff - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF, OO - ---------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS [ ] REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) - ---------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - ---------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------ NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 shares OWNED BY REPORTING ------------------------------------------------------------------------------ PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 shares - ---------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 shares - ---------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ---------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ---------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN
* SEE INSTRUCTIONS BEFORE FILLING OUT - ----------------------- ** Shares reported herein are also beneficially owned by order reporting persons. See Item 5. 4 ITEM 1. SECURITY AND ISSUER. ------------------- This Amendment No. 4 to Schedule 13D relates to the shares of Common Stock, $0.10 par value per share (the "Common Stock") of The Alpine Group, Inc., Delaware corporation (the "Company"). The principal executive office of the Company is located at One Meadowlands Plaza, East Rutherford, New Jersey 07073. This Amendment No. 4 to Schedule 13D is being filed pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder (the "Exchange Act). The Schedule 13D was originally filed on May 28, 1997. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. ------------------------------------------------- On September 15, 2003, the Adviser exchanged 2,090,791 shares of Common Stock of the Company for 6% Junior Subordinated Notes of the Company representing all shares of Common Stock owned by the Adviser. The exchange was made pursuant to the Company's exchange offer dated June 23, 2003 made to all stockholders of the Company. The exchange offer, as extended, expired on August 4, 2003. ITEM 4. PURPOSE OF TRANSACTION. ---------------------- On September 15, 2003, the Adviser exchanged 2,090,791 shares of Common Stock of the Company for 6% Junior Subordinated Notes of the Company representing all shares of Common Stock owned by the Adviser. The exchange was made pursuant to the Company's exchange offer dated June 23, 2003 made to all stockholders of the Company. The exchange offer, as extended, expired on August 4, 2003. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. ------------------------------------ (a) As of the date hereof, the Adviser owns no shares of Common Stock. (b) Not applicable. 5 (c) The Adviser exchanged all 2,090,791 shares of Common Stock for 6% Junior Subordinated Notes of the Company pursuant to the exchange offer. (d) No person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock, other than the Reporting Persons. (e) Not applicable. 6 SIGNATURES ---------- After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: September ____, 2003 ALEXANDRA INVESTMENT MANAGEMENT, LLC By: /s/ Mikhail A. Filimonov ---------------------------------- Mikhail A. Filimonov, Chairman, Chief Executive Officer and Chief Investment Officer /s/ Mikhail A. Filimonov ---------------------------------- MIKHAIL A. FILIMONOV /s/ Dimitri Sogoloff ---------------------------------- DIMITRI SOGOLOFF 7 -----END PRIVACY-ENHANCED MESSAGE-----