-----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, CAzxylftgJeBGKcbhgMuKmK+xGBpTD7q5383qZ+D/LcvatwZDzEv3nhIzs1/tNym vxD5pFJLL3Q3YmFjt/aJnA== 0001005477-01-501744.txt : 20020410 0001005477-01-501744.hdr.sgml : 20020410 ACCESSION NUMBER: 0001005477-01-501744 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MONMOUTH CAPITAL CORP CENTRAL INDEX KEY: 0000067618 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 210740878 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-18868 FILM NUMBER: 1777894 BUSINESS ADDRESS: STREET 1: 3499 ROUTE 9 N, SUITE 3-C STREET 2: JUNIPER BUSINESS PLAZA CITY: FREEHOLD STATE: NJ ZIP: 07728 BUSINESS PHONE: 7325779993 MAIL ADDRESS: STREET 1: 3499 ROUTE 9 N, SUITE 3-C STREET 2: JUNIPER BUSINESS PLAZA CITY: FREEHOLD STATE: NJ ZIP: 07728 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: O LEARY PAUL H CENTRAL INDEX KEY: 0001041468 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 4720 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127602321 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: SUITE 4720 CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 d01-35024.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Monmouth Capital Corporation ---------------------------- (Name of Issuer) Common Stock, $1.00 par value ----------------------------- (Title of Class of Securities) 126504109 --------- (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Noah Klarish, Esq. Noah Klarish & Associates, P.C. 40 W. 57th Street, 30th Fl. New York, NY 10019 (212) 603-2326 November 6, 2001 ---------------- (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 |_|. 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, as amended (the "Act"), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP NO. 126504109 SCHEDULE 13D Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Paul H. O'Leary - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER Less than 5% of the number of outstanding shares of any class of capital stock of the Issuer -------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY -0- OWNED BY -------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON Less than 5% of the number of outstanding shares of any WITH class of capital stock of the Issuer -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Less than 5% of the number of outstanding shares of any class of capital stock of the Issuer - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 5% of the number of outstanding shares of any class of capital stock of the Issuer - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 1. Security and Issuer. This statement relates to the Common Stock, $1.00 par value per share (the "Common Stock"), of Monmouth Capital Corporation, a New Jersey corporation (the "Issuer"). The Issuer maintains its principal executive office at Juniper Business Plaza, 3499 Route 9 North, Suite 3-C, Freehold, New Jersey 07728. Item 2. Identity and Background. (a) This statement is filed by (i) Paul H. O'Leary, an individual, with respect to shares of the Issuer's Common Stock held by him, (ii) Raffles Associates, L.P., a Delaware limited partnership (the "Raffles Partnership") with respect to shares of the Issuer's Common Stock held by it, and (iii) Channel Partnership II, L.P., a New York limited partnership (the "Channel Partnership") with respect to shares of the Issuer's Common Stock held by it. Paul H. O'Leary, the Raffles Partnership and the Channel Partnership shall sometimes be collectively referred to herein as the "Reporting Person." (b) The business addresses of Paul H. O'Leary, the Raffles Partnership and the Channel Partnership are all located at 450 Fashion Avenue, Suite 509, New York, NY 10123. The Reporting Person filed an initial Schedule 13D for an event of June 18, 1997 (the "Initial Schedule"). Except to the extent set forth in this Amendment, the information in the Initial Schedule remains unchanged. Items 3. Source and Amount of Funds or Other Consideration. The Reporting Person currently has beneficial ownership of less than 5% of the outstanding shares of any class of capital stock of the Issuer and is therefore discontinuing any reporting obligation under Section 13(d) of the Securities and Exchange Act of 1934 (the "Securities Exchange Act"). Item 4. Purpose of Transaction. The Reporting Person currently has beneficial ownership of less than 5% of the outstanding shares of any class of capital stock of the Issuer and is therefore discontinuing any reporting obligation under Section 13(d) of the Securities Exchange Act. Item 5. Interest in Securities of the Issuer. The Reporting Person currently has beneficial ownership of less than 5% of the outstanding shares of any class of capital stock of the Issuer and is therefore discontinuing any reporting obligation under Section 13(d) of the Securities Exchange Act. (c) See Appendix 1 annexed hereto. Item 7. Material to be Filed as Exhibits. None 3 Signatures After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: November 7, 2001 /s/ Paul H. O'Leary ------------------------------------ Paul H. O'Leary RAFFLES ASSOCIATES, L.P. By: /s/ Paul H. O' Leary -------------------------------- Paul H. O'Leary, General Partner CHANNEL PARTNERSHIP II, L.P. By: /s/ Paul H. O' Leary -------------------------------- Paul H. O'Leary, General Partner 4 APPENDIX 1 TRANSACTIONS IN MONMOUTH CAPITAL CORP. COMMON STOCK WITHIN THE PAST 60 DAYS All transactions were open market sales and the commissions are included in the price of the shares. 1. Raffles Associates, L.P. No. of Trade Shares Price Per Proceeds from Date Sold Share Sale ---- ---- ----- ---- 11/02/01 19,000 $3.07 $ 58,330.00 10/29/01 1,000 3.18 3,180.00 10/26/01 2,000 3.19 6,380.00 10/23/01 1,000 3.12 3,120.00 10/05/01 1,000 3.18 3,180.00 2. Channel Partnership II, L.P. No. of Trade Shares Price Per Proceeds from Date Sold Share Sale ---- ---- ----- ---- 11/06/01 4,800 $3.05 $14,640.00 5 -----END PRIVACY-ENHANCED MESSAGE-----