-----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, SAlXjUa/dvrTohp3gpJSBL6cxNpffWsLzE6TOCD1nuhTkpAz8PO5c3Elx6DULtP3 HTrmqZ/mSP4lliU0gzdG5Q== 0000902664-97-000009.txt : 19970110 0000902664-97-000009.hdr.sgml : 19970110 ACCESSION NUMBER: 0000902664-97-000009 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970109 SROS: NASD GROUP MEMBERS: CLIFFORD GREENBERG GROUP MEMBERS: HOWARD P. BERKOWITZ GROUP MEMBERS: HPB ASSOCIATES LP GROUP MEMBERS: HPB ASSOCIATES, L.P. GROUP MEMBERS: HPB GROUP L.L.C. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARK RESTAURANTS CORP CENTRAL INDEX KEY: 0000779544 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 133156768 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37165 FILM NUMBER: 97503021 BUSINESS ADDRESS: STREET 1: 85 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003-3019 BUSINESS PHONE: 2122068800 MAIL ADDRESS: STREET 2: 85 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003-3019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HPB ASSOCIATES LP CENTRAL INDEX KEY: 0000760559 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 2126640990 MAIL ADDRESS: STREET 2: 888 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10106 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ______________________ AMENDMENT NO. 1 to SCHEDULE 13D Under the Securities Exchange Act of 1934 ARK RESTAURANTS CORP. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 040712-10-1 (CUSIP Number) Howard P. Berkowitz (212) 664-0990 HPB Associates, L.P. 888 Seventh Avenue New York, New York 10106-8025 (Name, address and telephone number of person authorized to receive notices and communications) December 31, 1996 (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 [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) CUSIP No. 040712-10-1 _____________________________________________________________________________ (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. HPB Associates, L.P. OF ABOVE PERSON _____________________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [ ] (b) [X] _____________________________________________________________________________ (3) SEC USE ONLY _____________________________________________________________________________ (4) SOURCE OF FUNDS WC _____________________________________________________________________________ (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 _____________________________________________________________________________ NUMBER OF (7) SOLE VOTING POWER - 0 - SHARES ______________________________________________________________ BENEFICIALLY (8) SHARED VOTING POWER 150,000 OWNED BY ______________________________________________________________ EACH (9) SOLE DISPOSITIVE POWER - 0 - REPORTING ______________________________________________________________ PERSON WITH (10) SHARED DISPOSITIVE POWER 150,000 _____________________________________________________________________________ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 _____________________________________________________________________________ (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ** [ ] _____________________________________________________________________________ (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.9% _____________________________________________________________________________ (14) TYPE OF REPORTING PERSON PN _____________________________________________________________________________ ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 040712-10-1 _____________________________________________________________________________ (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. HPB Group, L.L.C. OF ABOVE PERSON _____________________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [ ] (b) [X] _____________________________________________________________________________ (3) SEC USE ONLY _____________________________________________________________________________ (4) SOURCE OF FUNDS WC _____________________________________________________________________________ (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 _____________________________________________________________________________ NUMBER OF (7) SOLE VOTING POWER - 0 - SHARES ______________________________________________________________ BENEFICIALLY (8) SHARED VOTING POWER 150,000 (all shares are owned for the account of HPB Associates, L.P. OWNED BY ______________________________________________________________ EACH (9) SOLE DISPOSITIVE POWER - 0 - REPORTING ______________________________________________________________ PERSON WITH (10) SHARED DISPOSITIVE POWER 150,000 (all shares are owned for the account of HPB Associates, L.P.) _____________________________________________________________________________ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 (all shares are owned for the account of HPB Associates, L.P.) _____________________________________________________________________________ (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ** [ ] _____________________________________________________________________________ (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.9% _____________________________________________________________________________ (14) TYPE OF REPORTING PERSON OO _____________________________________________________________________________ ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 040712-10-1 _____________________________________________________________________________ (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. Howard P. Berkowitz OF ABOVE PERSON _____________________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [ ] (b) [X] _____________________________________________________________________________ (3) SEC USE ONLY _____________________________________________________________________________ (4) SOURCE OF FUNDS WC _____________________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] _____________________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION United States _____________________________________________________________________________ NUMBER OF (7) SOLE VOTING POWER - 0 - SHARES ______________________________________________________________ BENEFICIALLY (8) SHARED VOTING POWER 150,000 (all shares are owned for the account of HPB Associates, L.P. OWNED BY ______________________________________________________________ EACH (9) SOLE DISPOSITIVE POWER - 0 - REPORTING ______________________________________________________________ PERSON WITH (10) SHARED DISPOSITIVE POWER 150,000 (all shares are owned for the account of HPB Associates, L.P.) _____________________________________________________________________________ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 (all shares are owned for the account of HPB Associates, L.P.) _____________________________________________________________________________ (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ** [ ] _____________________________________________________________________________ (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.9% _____________________________________________________________________________ (14) TYPE OF REPORTING PERSON IN _____________________________________________________________________________ ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 040712-10-1 _____________________________________________________________________________ (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. Clifford Greenberg OF ABOVE PERSON _____________________________________________________________________________ (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 ITEMS 2(d) OR 2(e) [ ] _____________________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION United States _____________________________________________________________________________ NUMBER OF (7) SOLE VOTING POWER 67,300 SHARES ______________________________________________________________ BENEFICIALLY (8) SHARED VOTING POWER -0- OWNED BY ______________________________________________________________ EACH (9) SOLE DISPOSITIVE POWER 67,300 REPORTING ______________________________________________________________ PERSON WITH (10) SHARED DISPOSITIVE POWER -0- _____________________________________________________________________________ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 67,300 _____________________________________________________________________________ (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ** [ ] _____________________________________________________________________________ (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.8% _____________________________________________________________________________ (14) TYPE OF REPORTING PERSON IN _____________________________________________________________________________ ** SEE INSTRUCTIONS BEFORE FILLING OUT! This Schedule 13D, initially filed on August 1, 1996, on behalf of HPB Associates, L.P., a Delaware partnership (the "Partnership"), HPB Group, L.L.C., a Delaware limited liability company ("HPB Group"), Mr. Howard P. Berkowitz and Mr. Clifford Greenberg, relating to the Common Stock, par value $.01 per share (the "Common Stock"), of Ark Restaurants Corp., a New York corporation, whose principal executive office is located at 65 Fifth Avenue, New York, New York 10003 (the "Company") is hereby amended by this Amendment No. 1 to the Schedule 13D as follows: ITEM 2. IDENTITY AND BACKGROUND Item 2 is hereby supplemented by the addition of the following: As of December 31, 1996, Mr. Greenberg ceased to be a managing member of HPB Group. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby supplemented by the addition of the following: (a) The approximate aggregate percentage of shares of Common Stock beneficially owned by each person herein is based on the number of outstanding shares of Common Stock as of December 19, 1996, as reflected in the Form 10-K of the Company filed with the Securities and Exchange Commission for the period ending September 28, 1996, equal to 3,814,999. As of the date of this filing: (i) The Partnership is the beneficial owner of 150,000 shares of Common Stock (constituting approximately 3.93% of the shares of Common Stock outstanding). (ii) HPB Group owns directly no shares of Common Stock. By reason of provisions of Rule 13d-3 of the Act, HPB Group, as sole managing partner of the Partnership, may be deemed the beneficial owner of 150,000 shares of Common Stock held by the Partnership (constituting approximately 3.93% of the shares of Common Stock outstanding). (iii) Mr. Berkowitz owns directly no shares of Common Stock. By reason of provisions of Rule 13d-3 of the Act, Mr. Berkowitz, as Senior Managing Member of HPB Group, may be deemed the beneficial owner of 150,000 shares of Common Stock held by the Partnership (constituting approximately 3.93% of the shares of Common Stock outstanding). (iv) Mr. Greenberg owns beneficially 67,300 shares of Common Stock (constituting approximately 1.76% of the shares of Common Stock outstanding). (B) Mr. Greenberg has the sole power to vote and dispose of 67,300 shares of the Common Stock owned by him. (c) No transactions in the shares of Common Stock of the Company were effected by the Partnership, HPB Group or Mr. Berkowitz during the past sixty days. By December 31, 1996, Mr. Greenberg had purchased an additional 30,000 shares of the Common Stock of the Company, representing less than one percent of the shares of Common Stock outstanding. (d) Not applicable. (e) As a result of Mr. Greenberg ceasing to serve as a Managing Member of HPB Group as of December 31, 1996, the Partnership, HPB Group, Mr. Berkowitz and Mr. Greenberg ceased to be the beneficial owners of more than five percent of the Common Stock. SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: January 9, 1997 HPB ASSOCIATES, L.P. By: HPB GROUP, L.L.C. its general partner By: /s/ Howard P. Berkowitz Howard P. Berkowitz Senior Managing Partner HPB GROUP, L.L.C. By: /s/ Howard P. Berkowitz Howard P. Berkowitz Senior Managing Partner /s/ Howard P. Berkowitz Howard P. Berkowitz /s/ Clifford Greenberg Clifford Greenberg -----END PRIVACY-ENHANCED MESSAGE-----