-----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, PMBDOjdBARXLlnpwKNTdFxFRldRd6MY/bkE5RTDQ+YYN828V1gjrnepL2RD5M9BG El9Jc6HUIiYXN2WPvW+K1A== 0000914427-98-000025.txt : 19980130 0000914427-98-000025.hdr.sgml : 19980130 ACCESSION NUMBER: 0000914427-98-000025 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980129 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTOTOTE CORP CENTRAL INDEX KEY: 0000750004 STANDARD INDUSTRIAL CLASSIFICATION: CALCULATING & ACCOUNTING MACHINES (NO ELECTRONIC COMPUTERS) [3578] IRS NUMBER: 810422894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-36154 FILM NUMBER: 98516282 BUSINESS ADDRESS: STREET 1: 100 BELLEVUE CITY: NEWARK STATE: DE ZIP: 19714 BUSINESS PHONE: 3027374300 MAIL ADDRESS: STREET 1: 100 BELLEVUE ROAD CITY: NEWARK STATE: NJ ZIP: 19714 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TOTE INC DATE OF NAME CHANGE: 19920317 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEE THOMAS H CENTRAL INDEX KEY: 0000901269 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 75 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172271050 MAIL ADDRESS: STREET 1: 75 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 SC 13D/A 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Amendment No. 5 Under the Securities Exchange Act of 1934 Autotote Corporation (Name of Issuer) Class A Common Stock, $.01 par value per share (Title of Class of Securities) 053323-10-1 (CUSIP Number) Wendy L. Masler Thomas H. Lee Company, 75 State Street, Boston, MA 02109 (617) 227-1050 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 22, 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 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 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). 1 SCHEDULE 13D CUSIP No. 053323-10-1 1. NAME OF REPORTING PERSON - Thomas H. Lee S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] Not Applicable (b) [ ] 3. SEC USE ONLY 4. SOURCE OF FUNDS PF/00 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] Not Applicable 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States 7. SOLE VOTING POWER NUMBER OF 1,286,091 SHARES BENEFICIALLY 8. SHARED VOTING POWER OWNED BY EACH 0 REPORTING PERSON WITH 9. SOLE DISPOSITIVE POWER 1,286,091 10. SHARED DISPOSITIVE POWER 0 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,286,091 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES Not Applicable [ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.6% 14. TYPE OF REPORTING PERSON IN 2 SCHEDULE 13D Amendment No. 5 1. Security and Issuer. This statement relates to the Class A Common Stock, $.01 par value per share (the "Common Stock"), of Autotote Corporation, a Delaware corporation ("Autotote"), which has its principal executive offices at 750 Lexington Avenue, 25th Floor, New York, NY 10022. Capitalized terms used herein and not defined herein have the respective meanings ascribed to such terms in the Schedule 13D ("Schedule 13D") filed with the Securities and Exchange Commission (the "Commission") on November 12, 1991 and amended by Amendment No. 1 to Schedule 13D filed with the Commission on December 1, 1992, Amendment No. 2 to Schedule 13D filed with the Commission on January 8, 1993 and Amendment No. 3 to Schedule 13D filed with the Commission on March 10, 1993 and Amendment No. 4 to Schedule 13D filed with the Commission on January 16, 1998. 3. Source and Amount of Funds or Other Consideration. Item 3 of Schedule 13D is hereby further amended to provide the following information: Since the filing date of Amendment No. 4 to Schedule 13D, the aggregate number of shares owned by Mr. Lee decreased to 1,286,091 shares of Common Stock. The transactions to which this Amendment No. 5 relates are the follwoing: (a) the sale of an aggregate of 18,303 shares of Common Stock by the 1989 Thomas H. Lee Nominee Trust at an average price of $2.3135 per share; (b) the sale of an aggregate of 17,037 shares of Common Stock by Thomas H. Lee Equity Partners, L.P. at an average price of $2.3135 per share; (c) the sale of 592,721 shares of Common Stock by Thomas H. Lee Equity Partners, L.P. at a price of $2.00 per share; and (d) the sale of 636,744 shares of Common Stock by the 1989 Thomas H. lee Nominee Trust at a price of $2.00 per share. 5. Interest in Securities of Autotote. Item 5 of Schedule 13D is hereby amended in its entirety as follows: Mr. Lee beneficially owns 1,286,091 shares of Common Stock or 3.6% of the Class A Common Stock outstanding, 666,074 of which are held by the 1989 Thomas H. Lee Nominee Trust and 620,017 of which are held by Thomas H. Lee Equity Partners, L.P., of which THL Equity Advisors Limited Partnership is general partner. Mr. Lee is a general partner of THL Equity Advisors Limited Partnership. Mr. Lee holds sole voting and dispositive power over the shares beneficially owned by him. Except as disclosed pursuant to Item 3 of this Amendment No. 5 to Schedule 13D, Mr. Lee has not effected any other transaction in the Class A Common Stock since the filing of Amendment No. 4 to Schedule 13D, which was filed with the Commission on January 16, 1998. To the best of Mr. Lee's knowledge, no other person has the right to receive or the power to direct the receipt of dividends from or proceeds from the sale of, the shares of the Class A Common Stock described in this item 5. 4 Signatures 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: January 28, 1998 /s/Thomas H. Lee Name: Thomas H. 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