-----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, GY1fdlZWkyE+zNZrNNwqNlMB72vNE69V5z7GsEnjPYHvQ692CTNBOLXSEe8ba26w ariuhQ8a3gzRhrriNUsR4w== 0000950144-95-002779.txt : 19951006 0000950144-95-002779.hdr.sgml : 19951006 ACCESSION NUMBER: 0000950144-95-002779 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19951005 SROS: NASD GROUP MEMBERS: DAVID LEVIS GROUP MEMBERS: LEVIS FAMILY GROUP GROUP MEMBERS: MARIO S LEVIS GROUP MEMBERS: SALOMON LEVIS GROUP MEMBERS: ZOILA LEVIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL CARIBBEAN CORP CENTRAL INDEX KEY: 0000840889 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 660312162 STATE OF INCORPORATION: PR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-39891 FILM NUMBER: 95578924 BUSINESS ADDRESS: STREET 1: AVENUE F D ROOSEVELT 1159 CITY: PUERTO NUEVO STATE: PR ZIP: 00920 BUSINESS PHONE: 8097497100 MAIL ADDRESS: STREET 2: AVENUE F D ROOSEVELT 1159 CITY: PUERTO NUEVO STATE: PR ZIP: 00920 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEVIS FAMILY GROUP CENTRAL INDEX KEY: 0001001843 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1159 FD ROOSEVELT AVENUE CITY: SAN JUAN STATE: TX ZIP: 00920 MAIL ADDRESS: STREET 1: 1159 FD ROOSEVELT AVE CITY: SAN JUAN STATE: TX ZIP: 00920 SC 13D 1 SCHEDULE 13D FIRST FINANCIAL/LEVI 10-5-95 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 First Financial Caribbean Corporation - -------------------------------------------------------------------------------- (NAME OF ISSUER) Common Stock, $1.00 Par Value - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 320214109 - -------------------------------------------------------------------------------- (CUSIP NUMBER) Salomon Levis, F.D. Roosevelt Avenue 1159, Puerto Nuevo, Puerto Rico 00920 - -------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) September 25, 1995 - -------------------------------------------------------------------------------- (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.) 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). 2 CUSIP No. 320214109 Page 2 of 9 Pages --------- --- --- - ----------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Salomon Levis - ----------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] See Item 6 and Schedule A - ----------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* No shares are being purchased currently - ----------------------------------------------------------------------------------------------------------------------------- 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 of America - ----------------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 448,484 NUMBER OF -------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 12,702 EACH -------------------------------------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 448,484 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 12,702 - ----------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 461,186 - ----------------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.30% - ----------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -----------------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP No. 320214109 Page 3 of 9 Pages --------- --- --- - ----------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David Levis - ----------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] See Item 6 and Schedule A - ----------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* No shares are being purchased currently - ----------------------------------------------------------------------------------------------------------------------------- 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 of America - ----------------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 196,906 NUMBER OF -------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 196,906 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 196,906 - ----------------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.73% - ----------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -----------------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT! 4 CUSIP No. 320214109 Page 4 of 9 Pages --------- --- --- - ----------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mario S. Levis - ----------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] See Item 6 and Schedule A - ----------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* No shares are being purchased currently - ----------------------------------------------------------------------------------------------------------------------------- 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 of America - ----------------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 32,000 NUMBER OF -------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 32,000 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 32,000 - ----------------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.44% - ----------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -----------------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT! 5 CUSIP No. 320214109 Page 5 of 9 Pages --------- --- --- - ----------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Zoila Levis - ----------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] See Item 6 and Schedule A - ----------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* No shares are being purchased currently - ----------------------------------------------------------------------------------------------------------------------------- 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 of America - ----------------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 68,100 NUMBER OF -------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 68,100 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 68,100 - ----------------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.94% - ----------------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -----------------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT! 6 SCHEDULE 13D ITEMS ITEM 1. SECURITY AND ISSUER This Schedule 13D relates to the Common Stock, $1.00 par value (the "Common Stock"), and the 10 1/2% Cumulative Convertible Preferred Stock, Series A (the "Series A Preferred Stock"), of First Financial Caribbean Corporation (the "Company"), a Puerto Rico corporation, having its principal executive offices at 1159 Franklin D. Roosevelt Avenue, Puerto Nuevo, Puerto Rico 00920 and is being filed by the persons identified in Item 2 below. ITEM 2. IDENTIFY AND BACKGROUND See Schedule A attached hereto. None of the persons filing this Schedule 13D has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) during the past 5 years or was a party 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 violations with respect to such laws. All individuals are citizens of the United States. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION No shares of Common Stock or Series A Preferred Stock were purchased. 7 2 ITEM 4. PURPOSE OF TRANSACTION The purpose of this disclosure is to reflect an informal understanding reached by the persons filing this Schedule that they will consult with each other regarding the disposition and voting of the shares of the Company's Common Stock owned by each of them. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER See Schedule A hereto and cover pages for each individual filing this Schedule. The spouse of Mr. Salomon Levis owns 12,702 shares of the Company's Common Stock which have been included in the total amount of shares owned by Mr. Levis. The inclusion of the 12,702 shares of Common Stock owned by Mr. Levis' spouse in this Schedule 13D shall not be construed as an admission that Mr. Levis is the beneficial owner of such shares for purposes of Section 13(d) of the Securities Exchange Act of 1934. Furthermore, the filing of this Schedule 13D by each of the reporting persons shall not be construed as an admission that the shares of any such person are beneficially owned by any of the other individuals reporting hereunder for purposes of Section 13(d) of the Securities Exchange Act of 1934. Except for the 12,702 shares of Common Stock owned by Mr. Salomon Levis' spouse, each of the persons filing this Schedule have the sole power to vote or direct the vote and the sole power to dispose or direct the disposition of all shares of Common Stock and Series A Preferred Stock owned by him or her, subject to the community property laws of the Commonwealth of Puerto Rico. With the exception of Mr. Salomon Levis, the persons filing this Schedule disclaim that the provision of Section 13(d) of the Securities Exchange Act of 1934 and the Rules and Regulations promulgated by the Securities and Exchange Commission thereunder are applicable to their respective shares of the Company's Common Stock. 8 3 No transactions in the Company's Common Stock or Series A Preferred Stock were effected during the 60 days preceding the date hereof by the persons filing this Schedule. ITEM 6. CONTRACT, ARRANGEMENT OR UNDERSTANDING WITH RESPECT TO SECURITIES OF THE ISSUER None other than an informal understanding that the persons listed in Schedule A attached hereto will consult with each other regarding the disposition and voting of the shares of the Company's Common Stock owned by each of them. Furthermore, the persons listed in Schedule A may acquire additional shares of the Company's Common Stock. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Each of the undersigned hereby certifies after reasonable inquiry, that to the best of his/her knowledge and belief, the information set forth in this statement is true, complete and correct. Date: October 5, 1995 /s/ Salomon Levis --------------------------------------- Salomon Levis /s/ David Levis --------------------------------------- David Levis /s/ Zoila Levis --------------------------------------- Zoila Levis /s/ Mario S. Levis --------------------------------------- Mario S. Levis 9 Page 9 of 9 Pages --- --- Schedule A First Financial Caribbean Corporation Schedule 13D Item 2. Identity and Background and Item 5. Interest in Securities of the Issuer
(4) (Item 5) -------------------------------------- (3) Present Principal occupation or employment and the name, principal business and address of any corporation or other Total number of (1) (2) organization in which such shares of Common Percentage of Name Business Address employment is conducted. Stock owned on the Class of Common (Item 2(a) and (5) (Item 2(b)) (Item 2(c)) date hereof(1) Stock (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Salomon Levis 1159 F.D. Roosevelt Ave. Chairman of the Board and Chief Puerto Nuevo, Puerto Rico 00920 Executive Officer of the Company, 461,186 6.30 a corporation engaged principally in the origination, servicing, purchase and sale of mortgages on single-family houses, and the issuance and sale of various mortgage-backed securities. 2. David Levis 1159 F.D. Roosevelt Ave. Director Emeritus of the Company 196,906 2.73 Puerto Nuevo, Puerto Rico 00920 3. Zoila Levis 1159 F.D. Roosevelt Ave. President of the Company 68,100 .94 Puerto Nuevo, Puerto Rico 00920 4. Mario S. Levis 1159 F.D. Roosevelt Ave. Executive Vice President and Puerto Nuevo, Puerto Rico 00920 Treasurer of the Company 32,000 .44 ------- ----- Total 758,192 10.41
- ------------------ (1) Includes the respective number of shares of Common Stock which the person has the right to acquire upon the conversion of the shares of Series A Preferred Stock held by such person as follows: 100,000 shares for Salomon Levis, and 20,000 shares for each of Zoila Levis and Mario S. Levis. Each share of Series A Preferred Stock is currently convertible into two shares of Common Stock at a conversion price of $5.00 per share. (2) Based on the 7,215,578 shares of Common Stock of the Company outstanding as of June 30, 1995. Percentage of Class of Common Stock held by each person includes the number of shares of Common Stock which such person has the right to acquire upon conversion of shares of Series A Preferred Stock held by such person, but does not include shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock held by any other person.
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