-----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, AEv5m4CaBEEW0JzHcX4zoaZe+1Uot01Coq7gRbI+hnsPak7/484gdeU5e5px49YS SMhYNvtNfOdRWYqg3RACBw== 0001047469-98-029321.txt : 19980805 0001047469-98-029321.hdr.sgml : 19980805 ACCESSION NUMBER: 0001047469-98-029321 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980804 SROS: NASD GROUP MEMBERS: ALBERT G. PETSCHEK GROUP MEMBERS: ALEXANDRA PETSCHEK GROUP MEMBERS: ALFRED E. PETSCHEK GROUP MEMBERS: ANTHONY E. GELLERT GROUP MEMBERS: BARBARA C. ROSS GROUP MEMBERS: BRIDGET G. LYONS GROUP MEMBERS: CATHERINE A. GELLERT GROUP MEMBERS: DAVID B. SPOHN GELLERT GROUP MEMBERS: DELL I. SALZA GROUP MEMBERS: DONALD N. GELLERT GROUP MEMBERS: ELINOR G. BARBER GROUP MEMBERS: ERIC PETSCHEK GROUP MEMBERS: EXECUTIVE OFFICERS/DIRECTORS OF LEXFOR CORP GROUP MEMBERS: GELLERT ROBERT J ET AL GROUP MEMBERS: GLENN P. GELLERT GROUP MEMBERS: HARRY E. PETSCHEK GROUP MEMBERS: HUBERT J. GELLERT GROUP MEMBERS: INA SCHLESINGER GROUP MEMBERS: JENNIFER R. MONTGOMERY GROUP MEMBERS: JENNIFER S. PETSCHEK GROUP MEMBERS: JOHN M. GELLERT GROUP MEMBERS: KIM PETSCHEK GROUP MEMBERS: LEXFOR CORPORATION GROUP MEMBERS: LISA M. SMITH GROUP MEMBERS: MARION C. S. LETVIN GROUP MEMBERS: MARTIN F. GELLERT GROUP MEMBERS: MAX E. GELLERT GROUP MEMBERS: MICHAEL E. GELLERT GROUP MEMBERS: MIDORI G. SHAW GROUP MEMBERS: PETER J. GELLERT GROUP MEMBERS: PHILIP E. PETSCHEK GROUP MEMBERS: REBECCA SMITH WADDELL GROUP MEMBERS: RUTH STEIN GROUP MEMBERS: TRACY G. DUNN GROUP MEMBERS: TRISTRAM H. SMITH GROUP MEMBERS: VICTORIA E. M. GELLERT GROUP MEMBERS: WILLIAM R. PETERS GROUP MEMBERS: WINDCREST PARTNERS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PREMIER PARKS INC CENTRAL INDEX KEY: 0000701374 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS AMUSEMENT & RECREATION [7990] IRS NUMBER: 736137714 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-33593 FILM NUMBER: 98677038 BUSINESS ADDRESS: STREET 1: 11501 NE EXPWY CITY: OKLAHOMA CITY STATE: OK ZIP: 73131 BUSINESS PHONE: 4054752500 MAIL ADDRESS: STREET 1: 11501 NORTHEAST EXPWY CITY: OKLAHOMA CITY STATE: OK ZIP: 73131 FORMER COMPANY: FORMER CONFORMED NAME: TIERCO GROUP INC/DE/ DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GELLERT ROBERT J ET AL CENTRAL INDEX KEY: 0000931794 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: UNITED CONTINENTAL CORP STREET 2: 122 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10168 MAIL ADDRESS: STREET 1: UNITED CONTINENTAL CORP STREET 2: 122 E. 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10168 SC 13D 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13D-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13D-2(a) (AMENDMENT NO. 18)* Premier Parks Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.05 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 740540-20-8 ---------------------------------------------- (CUSIP Number) Mr. Robert J. Gellert Jason K. Horowitz, Esq. Windcrest Partners Baer Marks & Upham LLP 122 East 42nd Street 805 Third Avenue New York, New York 10168 New York, New York 10022 (212) 599-3030 (212) 702-5966 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 1, 1998 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box / /. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE Rule 13d-7(b) for other parties to whom copies are to be sent. *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 on 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 (however, see the Notes). (Page 1 of 6 Pages) SCHEDULE 13D - --------------------- ----------------- CUSIP No. 740540-20-8 Page 2 of 6 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) The reporting persons are listed on Appendix A (the "Stockholders") - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION See Appendix A - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER See Appendix B NUMBER OF ------------------------------------------------------------ SHARES 8. SHARED VOTING POWER See Appendix B BENEFICIALLY OWNED BY ------------------------------------------------------------ EACH 9. SOLE DISPOSITIVE POWER See Appendix B REPORTING PERSON WITH ------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER See Appendix B ------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Appendix B - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.2% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON See Appendix A - -------------------------------------------------------------------------------- - --------------------- ----------------- CUSIP No. 740540-20-8 Page 3 of 6 Pages - --------------------- ----------------- The statement on Schedule 13D, dated May 30, 1980, as amended, with respect to the shares of common stock, par value $0.05 per share (the "Common Stock") of Premier Parks Inc., a Delaware corporation, filed on behalf of the undersigned is hereby amended as follows: ITEM 1 SECURITY AND ISSUER This Statement on Schedule 13D (the "Statement") relates to common stock, par value $.05 per share (the "Common Stock"), of Premier Parks Inc., a Delaware corporation (the "Company"). The address of the principal executive offices of the Company is 11501 Northeast Expressway, Oklahoma City, Oklahoma 63131. ITEM 2 IDENTITY AND BACKGROUND This statement is filed by the thirty-four individuals, one partnership (the "Partnership"), one corporation ("Lexfor") and twelve trusts listed on Appendix A (collectively, the "Stockholders"), which sets forth the following information with respect to each Stockholder, the partners of the Partnership and the executive officers and directors of Lexfor: (i) name; (ii) residence or business address; (iii) present principal occupation, employment or business and the name, principal business and address of any corporation or other organization in which such employment is conducted; and (iv) citizenship or jurisdiction of organization. The circumstances of the transactions through which the Stockholders acquired their Shares are such that some or all of the Stockholders may be deemed to constitute a "group" with respect to the Shares under Section 13(d)(3) of the Act. Neither the filing of this statement nor any of its contents shall be deemed to constitute an admission that any Stockholder is a member of any such group, either for purposes of Section 13(d) of the Exchange Act or for any other purpose, and each Stockholder expressly disclaims membership in any such group. No Stockholder shall be responsible for the completeness or accuracy of any information contained in this statement with respect to any other Stockholder. None of the Stockholders, the partners of the Partnership or the executive officers or directors of Lexfor (a) has been convicted during the last five years in any criminal proceeding (excluding traffic violations or similar misdemeanors) or (b) has been a party during the last five years to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION N/A ITEM 4 Purpose of Transaction N/A ITEM 5 Interest in Securities of the Issuer The following information is based on a total of 37,497,566 shares of Common Stock outstanding as of May 9, 1998 as reported in the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 1998. Share numbers have been adjusted to reflect the one-for-five reverse split of the Common Stock on May 30, 1996. (a) The Stockholders "beneficially own," as defined in Rule 13d-3 under the Securities Exchange Act of 1934, an aggregate of 1,591,332 shares of Common Stock, which constitutes 4.2% of the 37,492,566 shares outstanding. Appendix B to the statement sets forth information with respect to the number of shares and percentage of Common Stock beneficially owned by each Stockholder, which Appendix is incorporated herein by reference. (b) See Appendix B. (c) None of the Stockholders, the partners of the Partnership or the executive officers or directors of Lexfor have engaged in any transactions involving shares of Common Stock of the Company during the past 60 days. (d) See Appendix B. - --------------------- ----------------- CUSIP No. 740540-20-8 Page 4 of 6 Pages - --------------------- ----------------- (e) On April 1, 1998, the Company sold 18,400,000 shares of Common Stock in a public offering. As a result of this transaction, each Stockholder who previously beneficially owned greater than five percent of the Common Stock of the Company ceased to be a beneficial owner of more than five percent of the Common Stock of the Company. Accordingly, this Amendment No. 18 is the final amendment to the Statement. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER No material change ITEM 7. MATERIAL TO BE FILED AS EXHIBITS The following exhibits have been previously filed: 9. Agreement dated May 30, 1980 among all the Stockholders with respect to filing this statement on behalf of all of them. 10. Powers of Attorney given to Robert J. Gellert by each of the other Stockholders. 11. Agreement dated June 11, 1981 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 12. Powers of attorney given to Robert J. Gellert by certain of the new Stockholders. 13. Agreement dated November 9, 1981, among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 14. Agreement dated December 2, 1982, among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 15. Agreement dated June 8, 1984 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 16. Powers of attorney given to Robert J. Gellert by certain of the Stockholders. 17. Agreement dated December 10, 1984 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 19. Agreement dated February ___, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 20. Powers of attorney given to Robert J. Gellert by certain of the Stockholders. 22. Agreement dated April 4, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 26. Agreement dated April 26, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 30. Power of Attorney given by Catherine A. Gellert to Robert J. Gellert. 31. Agreement dated October 31, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 32. Agreement dated December 11, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 34. Agreement dated December 28, 1989 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 36. Agreement dated May 24, 1990 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. - --------------------- ----------------- CUSIP No. 740540-20-8 Page 5 of 6 Pages - --------------------- ----------------- 38. Power of Attorney given by Anthony E. Gellert to Robert J. Gellert. 39. Agreement dated February 6, 1991 among the Stockholders with respect to filing a statement on Schedule 13D and amendments thereto. 51. Power of Attorney given by Victoria E.M. Gellert to Robert J. Gellert. 54. Power of Attorney given by Alexandra Petschek to Robert J. Gellert. - --------------------- ----------------- CUSIP No. 740540-20-8 Page 6 of 6 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. Dated: July 30, 1998 /s/ Robert J. Gellert /s/ Robert J. Gellert - -------------------------------- ----------------------------- Robert J. Gellert Robert J. Gellert as Trustee for Catherine Ross /s/ Robert J. Gellert /s/ Robert J. Gellert - -------------------------------- ----------------------------- Robert J. Gellert, as Trustee under Robert J. Gellert, as Trustee for the Article VIII of the Will of children of Michael E. Gellert Natalie Gellert /s/ Peter J. Gellert - -------------------------------- WINDCREST PARTNERS Peter J. Gellert, as Trustee for Michael E. Gellert Charitable Annuity Lead Trust By: /s/ Robert J. Gellert, for Harvard University -------------------------- Robert J. Gellert, as General Partner /s/ Peter J. Gellert - -------------------------------- LEXFOR CORPORATION Peter J. Gellert, as Trustee for The Second Michael E. Gellert By: /s/ Robert J. Gellert Charitable Annuity Lead Trust -------------------------- for Harvard University Robert J. Gellert, President /s/ Peter J. Gellert /s/ Robert J. Gellert - -------------------------------- ----------------------------- Peter J. Gellert, Robert J. Gellert, as attorney-in-fact as Trustee for Rodolfo Petschek for each of the other Stockholders listed in Appendix A to the Schedule 13D, as amended(1) (other than Marion P. Smith, deceased) /s/ Robert J. Gellert /s/ Peter J. Gellert - -------------------------------- ----------------------------- Robert J. Gellert, Peter J. Gellert, as Trustee for Rita Kafka as Executor of the Estate of Marion P. Smith - ----------------------- 1 Powers of attorney for such persons have been filed with the Securities and Exchange Commission as Exhibit 10 to the original statement on Schedule 13D, Exhibit 12 to Amendment No. 1 to Schedule 13D, Exhibit 16 to Amendment No. 4 to Schedule 13D, Exhibit 20 to Amendment No. 6 to Schedule 13D, Exhibit 30 to Amendment No. 9 to Schedule 13D, Exhibit 38 to Amendment No. 12 to Schedule 13D and Exhibit 54 to Amendment No. 15 to Schedule 13D and such powers are incorporated herein by reference. APPENDIX A - -------------------------------------------------------------------------------- NAME, PRINCIPAL BUSINESS AND PRINCIPAL ADDRESS OF ANY CORPORATION OR OCCUPATION, OTHER ORGANIZATION (IF ANY) NAME OF RESIDENCE OR EMPLOYMENT OR IN WHICH SUCH EMPLOYMENT IS BUSINESS ADDRESS BUSINESS CONDUCTED - -------------------------------------------------------------------------------- 1. Robert J. Gellert Executive United Continental Corporation 21 Kerry Lane (bookkeeping, taxes and other Chappaqua, NY 10415 personal financial services) 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 2. Harry E. Petschek Consultant 1314 Massachusetts Ave. Lexington, MA 02173-3809 - -------------------------------------------------------------------------------- 3. Estate of Marion P. Smith Executive See No. 11 (deceased) Peter J. Gellert, Executor 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 4. Alfred E. Petschek Vice President United Continental Corporation Southlawn (bookkeeping, taxes and other Birchall Drive personal financial services) Scarsdale, NY 10583 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 5. Elinor G. Barber Education Office of the Provost 115 Central Park West Columbia University New York, NY 10023 New York, NY 10027 - -------------------------------------------------------------------------------- 6. Bridget G. Lyons Teacher Rutgers-State University 30 West 60th Street New Brunswick, NJ New York, NY 10023 - -------------------------------------------------------------------------------- 7. Donald N. Gellert Lawyer Otterbourg, Steindler, Houston 110 Riverside Drive & Rosen New York, NY 10024 230 Park Avenue New York, NY 10169 - -------------------------------------------------------------------------------- 8. Ina Schlesinger Retired/Teacher --- 1385 York Avenue New York, NY 10021 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 9. Eric Petscheck Investor --- 87 Talmadge Hill Rd. New Canaan, CT 06840 - -------------------------------------------------------------------------------- 10. Ruth Stein Housewife --- 49 Sheldrake Road Scarsdale, NY 10583 - -------------------------------------------------------------------------------- 11. Peter J. Gellert Executive United Continental Corporation 1049 Park Avenue (bookkeeping, taxes and other New York, NY 10028 personal financial services) 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 12. Martin F. Gellert Bio-Chemist National Institute of Health 4108 Dresden Street Dept. of Health and Human Kensington, MD 20895 Services Bethesda, MD 20014 - -------------------------------------------------------------------------------- 13. Hubert J. Gellert Real Estate Continental Land Investments 12831 Tracy Way Ltd. Anchorage, AK 99516 715 L Street Anchorage, AK 99501 - -------------------------------------------------------------------------------- 14. Michael E. Gellert General Partner Windcrest Partners 75 Round Hill Road 122 East 42nd Street Greenwich, CT 06831 New York, NY 10168 - -------------------------------------------------------------------------------- 15. Albert G. Petschek Retired/Consultant --- 122 Piedra Loop White Rock, NM 87544-3828 - -------------------------------------------------------------------------------- 16. Max E. Gellert Retired --- 2301 Fairview Ave., East Seattle, WA 98102 - -------------------------------------------------------------------------------- 17. Glenn P. Gellert Real Estate Continental Land Investments 2221 Belmont Drive Ltd. Anchorage, AK 99517 715 L Street Anchorage, AK 99501 - -------------------------------------------------------------------------------- 18. Tracy G. Dunn Lawyer/Housewife --- (Nee Gellert) 1703 Laurence Court Anchorage, AK 99501 - -------------------------------------------------------------------------------- 19. Midori G. Shaw Lawyer Stone Jenicek & Budzinski (Nee Gellert) 733 N Street 2110 Belmont Drive Anchorage, AK 99501 Anchorage, AK 99517 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 20. Dell I. Salza Housewife --- 513 Iana Street Kailua, HI 96734 - -------------------------------------------------------------------------------- 21. Kim Petschek Housewife --- 16848 Northeast 143rd St. Woodinville, WA 98072 - -------------------------------------------------------------------------------- 22. Tristram H. Smith Psychologist Department of Psychology 210 North Van Buren Street Washington State University Moscow, ID 83843 Pullman, WA 99164-4820 - -------------------------------------------------------------------------------- 23. Lisa M. Smith Public --- 50 West 67th Street Relations/ New York, NY 10023-6227 Self Employed - -------------------------------------------------------------------------------- 24. Rebecca Smith Waddell Computer --- 1074 Feylers Corner Road Processor/ Waldoboro, ME 04572-5710 Self Employed - -------------------------------------------------------------------------------- 25. Windcrest Partners Investing --- 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 26. Peter J. Gellert See no. 11 --- Trustee for Rodolfo Petschek 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 27. Robert J. Gellert See no. 1 --- Trustee for Rita Kafka 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 28. Robert J. Gellert See no. 1 --- Trustee for Catherine Ross 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 29. Peter J. Gellert See no. 11 --- Trustee for Heriberto Petschek 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 30. Peter J. Gellert See no. 11 --- Trustee for Egon Petschek 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 31. Robert J. Gellert See no. 1 --- Trustee for the children of Michael E. Gellert 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 32. Peter J. Gellert See no. 11 --- Trustee for Michael E. Gellert Charitable Annuity Lead Trust for Harvard University 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 33. Peter J. Gellert See no. 11 --- Trustee for The Second Michael E. Gellert Charitable Annuity Lead Trust for Harvard University 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 34. Robert J. Gellert See no. 1 --- Trustee under Article VIII of the Will of Natalie S. Gellert FBO Max E. Gellert 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 35. Philip E. Petschek Teacher Greater Lowell Regional Voc. 5 Moore Street Tech. School District Chelmsford, MA 01824 Pawtucket Blvd. Tyngsboro, MA 01879 - -------------------------------------------------------------------------------- 36. Marion C. S. Letvin Doctor Massachusetts General Hospital 36 Brackett Road Boston, MA Newton, MA 02158 - -------------------------------------------------------------------------------- 37. Peter J. Gellert See no. 11 --- Trustee U/I 5/2/75 FBO Vivien S. Reuter 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 38. Peter J. Gellert See no. 11 --- Trustee U/I 1/2/81 FBO Diana L. Stein 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 39. Peter J. Gellert See no. 11 --- Trustee U/I 11/30/82 FBO Sylvia S. Phillips 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 40. Jennifer R. Montgomery Lawyer --- (Nee Ross) 1840 Robin Whipple Way Belmont CA 94002 - -------------------------------------------------------------------------------- 41. Barbara C. Ross Doctor --- 121 West Montgomery Street Baltimore, MD 21230 - -------------------------------------------------------------------------------- 42. John M. Gellert Shipping SCF Corp. 18, rue Barbett 1370 Avenue of the Americas 75003 Paris New York, NY 10019 France - -------------------------------------------------------------------------------- 43. Catherine A. Gellert Student 45 West 67th Street New York, NY 10023 - -------------------------------------------------------------------------------- 44. Anthony E. Gellert Investments Kingdom Capital Management 668 Greenwich Street Corp. New York, NY 10014 152 West 57th Street New York, NY 10019 - -------------------------------------------------------------------------------- 45. Jennifer S. Petschek Wine Merchant Honig Vineyard and Cellars 2081 Starkey Lane 850 Rutherford Road Yountville, CA 94599 P.O. Box 406 Rutherford CA 94573 - -------------------------------------------------------------------------------- 46. Victoria E.M. Gellert --- --- 12175 Glacier Highway C-1 Juneau, AK 99801 - -------------------------------------------------------------------------------- 47. Alexandra Petschek Publishing Harry N. Abrams 149 Church Street, Apt. 2E 100 Fifth Avenue New York, NY 10007 New York, NY 10011 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 48. Lexfor Corporation Investing --- 122 East 42nd Street New York, NY 10168 - -------------------------------------------------------------------------------- 49. Executive Officers and Investing --- Directors of Lexfor Corporation: - -------------------------------------------------------------------------------- (a) Robert J. Gellert See no. 1 --- (President, Treasurer and a Director) - -------------------------------------------------------------------------------- (b) David B. Spohn Treasurer United Continental Corporation Gellert (bookkeeping, taxes and other 5 Riverside Drive personal financial services) New York, NY 10023 122 East 42nd Street (Vice President, New York, NY 10168-0127 Secretary and a Director) - -------------------------------------------------------------------------------- (c) William R. Peters Vice President United Continental Corporation 49 Carnegie Drive (bookkeeping, taxes and other Smithtown, NY 11787 personal financial services) (Vice President, 122 East 42nd Street Assistant Secretary, New York, NY 10168-0127 Assistant Treasurer and a Director) - -------------------------------------------------------------------------------- APPENDIX B (1) The following table sets forth information with respect to the Common Stock beneficially owned by each Stockholder:
Number of Shares Voting Power Dispositive Power Percent Beneficially -------------------------- ------------------------- of Shares Stockholder Owned Sole Shared Sole Shared Outstanding(1) - ----------- ----- ---- ------ ---- ------ ------------- Robert J. Gellert 2,514 2,514 2,514 ** Robert J. Gellert, as agent(2) for: - -Harry E. Petschek 4,277 4,277 4,277 ** - -Estate of Marion P. Smith (deceased) Peter J. Gellert, Executor 1,382 1,382 1,382 ** - -Alfred E. Petschek 4,077 4,077 4,077 ** - -Elinor G. Barber 2,187 2,187 2,187 ** - -Bridget G. Lyons 2,185 2,185 2,185 ** - -Donald N. Gellert 2,185 2,185 2,185 ** - -Peter J. Gellert, Trustee for Rodolfo Petschek 9,686 9,686 9,686 ** - -Ina Schlesinger 1,854 1,854 1,854 ** - -Eric Petschek 3,466 3,466 3,466 ** - -Ruth Stein 1,082 1,082 1,082 ** - -Albert G. Petschek 116 116 116 ** - -Dell I. Salza 1,480 1,480 1,480 ** - -Kim Petschek 1,480 1,480 1,480 ** - -Tristram H. Smith 200 200 200 ** - -Lisa M. Smith 800 800 800 ** - -Philip E. Petschek 600 600 600 ** - -Marion C.S. Letvin 600 600 600 ** - -Peter J. Gellert, Trustee for Vivien S. Reuter 600 600 600 ** - -Rebecca Smith 800 800 800 ** - -Jennifer S. Petschek 8 8 8 ** - -Alexandra Petschek 8 8 8 ** - -Max Gellert 18 18 18 ** - -Peter J. Gellert, Trustee for Heriberto Petschek 30 30 30 ** - -Peter J. Gellert, Trustee for Egon Petschek 30 30 30 ** - -Peter J. Gellert, Trustee for Diana L. Stein 600 600 600 ** B-1 Number of Shares Voting Power Dispositive Power Percent Beneficially -------------------------- ------------------------- of Shares Stockholder Owned Sole Shared Sole Shared Outstanding(1) - ----------- ----- ---- ------ ---- ------ ------------- - -Peter J. Gellert, Trustee for Sylvia S. Philips 600 600 600 ** Robert J. Gellert, Trustee for the children of Michael E. Gellert 4,169 4,169 4,169 ** Peter J. Gellert 274 274 274 ** Peter J. Gellert, as Agent(3) for: - -Martin F. Gellert 2,167 2,167 2,167 ** - -Robert J. Gellert, Trustee for Catherine Ross 2,168 2,168 2,168 ** - -Hubert J. Gellert 27,629 27,629 27,629 0.1 - -Glenn P. Gellert 1,320 1,320 1,320 ** - -Tracy G. Dunn 1,320 1,320 1,320 ** - -Midori G. Shaw 1,320 1,320 1,320 ** - -Victoria E. M. Gellert 1,320 1,320 1,320 ** Michael E. Gellert 232,936 232,936 232,936 0.6 Robert J. Gellert, Trustee U/I 12/30/47 FBO Rita Kafka 1,854 1,854 1,854 ** Martin F. Gellert 400 400 400 ** Windcrest Partners(4) 1,136,025 1,136,025 1,136,025 3.0 Anthony E. Gellert 400 400 400 ** Michael E. Gellert Charitable Annuity Lead Trust for Harvard University Peter J. Gellert, Trustee 175 175 175 ** The Second Michael E. Gellert Charitable Annuity Lead Trust for Harvard University Peter J. Gellert, Trustee 280 280 280 ** Robert J. Gellert, Trustee Under Article VIII of the will of Natalie S. Gellert FBO Max E. Gellert 1,083 1,083 1,083 ** Jennifer A. Ross 560 560 560 ** Barbara C. Ross 560 560 560 ** John M. Gellert 36,507 36,507 36,507 0.1 Dell I. Salza 400 400 400 ** Bruce I. Petschek 400 400 400 ** Kim Petschek 400 400 400 ** B-2 Number of Shares Voting Power Dispositive Power Percent Beneficially -------------------------- ------------------------- of Shares Stockholder Owned Sole Shared Sole Shared Outstanding(1) - ----------- ----- ---- ------ ---- ------ ------------- Max E. Gellert 28,717 28,717 28,717 0.1 Lexfor Corporation 65,000 65,000 65,000 0.2
(1) Based upon 37,497,566 shares outstanding as of May 9, 1998, as reported in the Corporation's Quarterly Report on Form 10-Q for the quarter ended March 31, 1998 (2) Each principal shares voting and dispositive power with Robert J. Gellert, agent and shareholder of record, with respect to the indicated number of shares. (3) Each principal shares voting and dispositive power with Peter J. Gellert, agent and shareholder of record, with respect to the indicated number of shares. (4) The principal, a New York limited partnership, shares voting and investment power with its general partners, Michael E. Gellert and Robert J. Gellert. The limited partners of Windcrest Partners disclaim beneficial ownership of these shares. ** Less than 0.1%. B-3 (2) The following table sets forth information with respect to the total number of shares of Common Stock beneficially owned by each Stockholder with multiple entries under (1) above:
Number of Shares Voting Power Dispositive Power Percent Beneficially -------------------------- ------------------------- of Shares Stockholder Owned Sole Shared Sole Shared Outstanding(1) - ----------- ----- ---- ------ ---- ------ ------------- Michael E. Gellert(2) 1,368.961 232,936 1,136,025 232,936 1,136,025 3.7 Robert J. Gellert(3) 1,253,164 9,620 1,243,544 9,620 1,243,544 3.3 Peter J. Gellert 50,901 729 50,172 729 50,172 ** Dell I. Salza 1,880 400 1,480 400 1,480 ** Kim Petschek 1,880 400 1,480 400 1,480 ** Max E. Gellert 1,101 1,083 18 1,083 18 ** Martin F. Gellert 2,567 400 2,167 400 2,167 **
_____________________ (1) Based upon 37,497,566 shares outstanding as of May 9, 1998, as reported in the Corporation's Quarterly Report on Form 10-Q for the quarter ended March 31, 1998. (2) Includes 1,136,025 shares of Common Stock beneficially held by Windcrest Partners, of which Mr. Gellert is a general partner. (3) Includes 1,136,025 shares of Common Stock beneficially held by Windcrest Partners, of which Mr. Gellert is a general partner, and shares of Common Stock as to which Mr. Gellert acts as agent or trustee as specified in this Appendix C. Also includes 65,000 shares beneficially owned by Lexfor Corporation, of which Mr. Gellert is President and a director, and as to which Mr. Gellert disclaims beneficial ownership. ** Less than 0.1%. B-4 (3) The following table sets forth information with respect to the total number of shares of Common Stock beneficially owned by each Stockholder whose beneficial ownership was reduced from in excess of five percent to below five percent of the shares outstanding: Total Number of Shares Percent of Shares Stockholder Beneficially Owned Outstanding* - ----------- ------------------ ------------ Michael E. Gellert 1,368,961 3.7 Robert J. Gellert 1,253,164 3.3 Windcrest Partners 1,136,025 3.0 _____________________ * Based upon 37,497,566 shares outstanding as of May 9, 1998, as reported in the Corporation's Quarterly Report on Form 10-Q for the quarter ended March 31, 1998. B-5 -----END PRIVACY-ENHANCED MESSAGE-----