-----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, GhlC//99sHWgzPxZh3aqqkpH8mgYEZvo7LXhGqyzy7CLHEI7PDMpYpTU2x4I0qAu kD/WpmbnYlotCFKN4MTelw== 0001005477-01-001951.txt : 20010316 0001005477-01-001951.hdr.sgml : 20010316 ACCESSION NUMBER: 0001005477-01-001951 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010315 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSCONTINENTAL REALTY INVESTORS INC CENTRAL INDEX KEY: 0000733590 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 946565852 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-40410 FILM NUMBER: 1569516 BUSINESS ADDRESS: STREET 1: 10670 N CENTRAL EXPRWY STE 300 CITY: DALLAS STATE: TX ZIP: 75231 BUSINESS PHONE: 2146924700 MAIL ADDRESS: STREET 1: 10670 N CENTRAL EXPRWY STREET 2: SUITE 300 CITY: DALLAS STATE: TX ZIP: 75231 FORMER COMPANY: FORMER CONFORMED NAME: JOHNSTOWN CONSOLIDATED REALTY TRUST /CA/ DATE OF NAME CHANGE: 19890815 FORMER COMPANY: FORMER CONFORMED NAME: JOHNSTOWN CONSOLIDATED REALTY TRUST DATE OF NAME CHANGE: 19861005 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HALPERIN MAURICE A CENTRAL INDEX KEY: 0001017933 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 441 SOUTH FEDERAL HIGHWAY CITY: DEERFIELD STATE: FL ZIP: 33441 BUSINESS PHONE: 4079890382 MAIL ADDRESS: STREET 1: 441 SOUTH FEDERAL HIGHWAY CITY: DEERFIELD BEACH STATE: FL ZIP: 33441 SC 13D/A 1 0001.txt AMENDMENT NO. 5 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.5)* TRANSCONTINENTAL REALTY INVESTORS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) $.01 Par Value Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 893617-20-9 - -------------------------------------------------------------------------------- (CUSIP Number) Karl L. Blaha, President Transcontinental Realty Investors, Inc., 1800 Valley View Lane, Suite 300, Dallas TX 75234; Tel. (469) 522-4200 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 9, 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 |_|. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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 ("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). CUSIP NO. 893617-20-9 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 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 432,000 -------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY -------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 432,000 WITH -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 432,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.0 - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 1. Security and Issuer. The class of equity securities to which this Schedule 13D relates is the common stock, $.01 par value ("Common Stock") of Transcontinental Realty Investors, Inc. (the "Company"). The principal executive offices of Transcontinental Realty Investors, Inc. are located at 1800 Valley View Lane, Suite 300, Dallas, TX 75234. Item 2. Identity and Background. This statement is being filed by Maurice A. Halperin. My business address is 17890 Deauville Lane, Boca Raton, Florida 33496. I am a private investor. During the last five years, I have not been convicted in a criminal proceeding (excluding traffic violations or other similar misdemeanors) and I have not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in my being 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. I am a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration. The source of the funds for the purchase of the Common Stock was my personal funds. The total amount of money used to purchase the Common Stock is approximately $4,763,140. Item 4. Purpose of Transaction. The purpose for the acquisitions of the Common Stock is investment. Item 5. Interest in Securities of the Issuer. This Amendment No. 5 to my Schedule 13D is being filed because as of March 9, 2001, my beneficial ownership of the Company's Common Stock is 5%. My beneficial ownership in the past exceeded 5% but dropped below 5% on November 30, 1999. As of March 9, 2001, I beneficially owned 432,000 shares, or approximately 5% of the outstanding Common Stock. I have the sole power to vote and dispose of the Common Stock. There is no shared power to vote or dispose of the Common Stock I own. During the period from January 1, 2001 through March 9, 2001, I purchased a total of 43,850 shares of the Common Stock through the New York Stock Exchange in 55 open market transactions. The shares were purchased on my behalf by PaineWebber Incorporated, a securities broker-dealer. The table below lists the trade date for each transaction, the number of shares purchased, price per share and total price. 3 Total Price Trade Number of Shares (Includes Commission Date Purchased Price Per Share &/or Other Charges) - -------- ---------------- --------------- --------------------- 01/24/01 1100 9.375 $10,312.50 01/26/01 1800 10.125 18,225.00 01/26/01 1400 10.0625 14,087.50 01/26/01 900 10.00 9,000.00 01/26/01 500 9.9375 4,968.75 01/26/01 100 9.8125 981.25 01/26/01 500 9.75 4,875.00 01/26/01 500 9.6875 4,843.75 01/26/01 200 9.625 1,925.00 01/26/01 500 9.5625 4,781.25 01/26/01 200 9.50 1,900.00 01/26/01 300 9.4375 2,831.25 01/26/01 500 9.875 4,937.50 01/30/01 200 10.20 2,040.00 01/31/01 500 10.50 5,250.00 01/31/01 300 10.50 3,150.00 01/31/01 400 10.45 4,180.00 01/31/01 200 10.37 2,074.00 01/31/01 200 10.30 2,060.00 01/31/01 500 10.45 5,225.00 01/31/01 1500 10.50 15,750.00 02/01/01 500 10.50 5,250.00 02/02/01 200 10.90 2,180.00 02/02/01 200 10.70 2,140.00 02/02/01 1300 11.00 14,300.00 02/05/01 1800 11.65 20,970.00 02/05/01 300 11.65 3,495.00 02/05/01 1000 11.00 11,000.00 02/05/01 300 11.65 3,495.00 02/05/01 900 11.25 10,125.00 02/07/01 1000 12.00 12,000.00 02/07/01 500 11.95 5,975.00 02/07/01 500 11.73 5,865.00 02/07/01 1800 11.65 20,970.00 02/07/01 200 11.45 2,290.00 02/08/01 1700 12.00 20,400.00 02/09/01 400 11.99 4,796.00 02/12/01 900 11.99 10,791.00 02/13/01 200 11.99 2,398.00 02/15/01 1200 12.55 15,060.00 02/15/01 300 12.45 3,735.00 4 Total Price Trade Number of Shares (Includes Commission Date Purchased Price Per Share &/or Other Charges) - -------- ---------------- --------------- --------------------- 02/15/01 400 12.35 4,940.00 02/16/01 900 12.45 11,205.00 02/16/01 700 12.45 8,715.00 02/26/01 1200 11.99 14,388.00 02/26/01 600 12.00 7,200.00 02/27/01 300 12.00 3,600.00 02/28/01 1100 12.00 13,200.00 03/01/01 600 12.00 7,200.00 03/02/01 500 12.00 6,000.00 03/06/01 4250 12.00 51,000.00 03/06/01 2500 12.00 30,000.00 03/07/01 2300 12.00 27,600.00 03/09/01 900 12.00 10,800.00 03/09/01 100 11.90 1,190.00 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Not applicable. Item 7. Material to be Filed as Exhibits. None. 5 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 accurate. DATE: March 13, 2001 /S/ Maurice A. Halperin - -------------------------------------- Signature Maurice A. Halperin - -------------------------------------- Name and Title The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of this filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001 -----END PRIVACY-ENHANCED MESSAGE-----