-----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, OXjxHn0B+zjy0sMWWPx5WHzaaKHRHid5ijqJiFhH+6/NOjsNgCT4I+xVBSMrbthP +G8MRWs/ItXSBbQTkKOSGg== 0001068590-99-000004.txt : 19990113 0001068590-99-000004.hdr.sgml : 19990113 ACCESSION NUMBER: 0001068590-99-000004 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANS WORLD GAMING CORP CENTRAL INDEX KEY: 0000914577 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500] IRS NUMBER: 133738518 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46403 FILM NUMBER: 99505128 BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: STE 1503 CITY: NEW YORK STATE: NY ZIP: 10119-0002 BUSINESS PHONE: 2128263355 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: STE 1503 CITY: NEW YORK STATE: NY ZIP: 10119-0002 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAKER CHRISTOPHER P CENTRAL INDEX KEY: 0001059102 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 120 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174231080 MAIL ADDRESS: STREET 1: 120 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 SC 13D/A 1 EXHIBIT 1 "AGREEMENT" ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------- SCHEDULE 13D Under THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) --------------- TRANS WORLD GAMING CORP. (Name of Issuer) One Penn Plaza, Suite 1503 New York, New York 10119-0002 Common Stock (Title of Class of Securities) 893375105 (CUSIP number)* Copy to: Christopher P. Baker Christopher G. Karras 120 Boylston St. Dechert Price & Rhoads Boston, Massachusetts 02116 4000 Bell Atlantic Tower (617) 423-1080 1717 Arch Street Philadelphia, Pennsylvania 19103-2793 (Name, address and telephone number of Person Authorized to Receive Notices and Communications) December 30, 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 ----- 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. This 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. 853375105 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Christopher P. Baker SS. Or I.R.S. Identification No. of Above Person ###-##-#### - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) ---- if a Member of a Group (b) ---- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Source of Funds 00 - -------------------------------------------------------------------------------- 5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ----- - -------------------------------------------------------------------------------- 6) Citizenship or Place of Organization U.S.A. - -------------------------------------------------------------------------------- Number of Shares 7) Sole Voting Beneficially Owned By Each Power 3,101,037 Reporting Person With ------------------------------ 8) Shared Voting Power 0 ------------------------------ 9) Sole Dispositive Power 3,101,037 ------------------------------ 10) Shared Dispositive Power 0 ------------------------------ - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 3,101,037 - -------------------------------------------------------------------------------- 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares X* --- - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 53.8% - -------------------------------------------------------------------------------- 14) Type of Reporting Person IN - -------------------------------------------------------------------------------- - -------------------- * Excludes 5,000 shares of Common Stock and a Warrant for 54,728 shares of Common Stock owned by Mr. Baker's spouse. Mr. Baker disclaims beneficial ownership of such securities. 2 of 13 CUSIP NO. 853375105 - -------------------------------------------------------------------------------- 1) Name of Reporting Person CP Baker LLC SS. Or I.R.S. Identification 04-3323325 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) ----- if a Member of a Group (b) ----- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Source of Funds 00 - -------------------------------------------------------------------------------- 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 Shares 7) Sole Voting Beneficially Owned By Each Power 1,080,667 Reporting Person With ------------------------------ 8) Shared Voting Power 0 ------------------------------ 9) Sole Dispositive Power 1,080,667 ------------------------------ 10) Shared Dispositive Power 0 ------------------------------ - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,080,667 - -------------------------------------------------------------------------------- 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares ----- - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 27.6% - -------------------------------------------------------------------------------- 14) Type of Reporting Person CO - -------------------------------------------------------------------------------- 3 of 13 CUSIP NO. 853375105 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Anasazi Partners, Limited Partnership SS. Or I.R.S. Identification No. of Above Person 04-3326588 - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) ----- if a Member of a Group (b) ----- - -------------------------------------------------------------------------------- 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 Massachusetts - -------------------------------------------------------------------------------- Number of Shares 7) Sole Voting Beneficially Owned By Each Power 1,080,667 Reporting Person With ------------------------------ 8) Shared Voting Power 0 ------------------------------ 9) Sole Dispositive Power 1,080,667 ------------------------------ 10) Shared Dispositive Power 0 ------------------------------ - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,080,667 - -------------------------------------------------------------------------------- 12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares ----- - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11) 27.6% - -------------------------------------------------------------------------------- 14) Type of Reporting Person PN - -------------------------------------------------------------------------------- 4 of 13 This Amendment No. 4 to Schedule 13D amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on April 3, 1998, as amended by Amendment No. 1 thereto filed with the Securities and Exchange Commission on April 3, 1998, Amendment No. 2 thereto filed with the Securities and Exchange Commission on April 10, 1998, and Amendment No. 3 thereto filed with the Securities and Exchange Commission on December 14, 1998 on behalf of Christopher P. Baker, C.P. Baker & Company, Ltd., CP Baker LLC, Anasazi Partners, Limited Partnership, and C.P. Baker Venture Fund I, Limited Partnership. Capitalized terms used herein without definition shall have the respective meanings ascribed thereto in such Schedule 13D. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION On December 30, 1998, Anasazi Partners used its working capital to make an open market purchase of 50,000 shares of Common Stock at $0.25 per share. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a-b) Mr. Baker may be deemed to be the beneficial owner with sole power to vote and dispose of a total of 3,101,037 shares of Common Stock (or 53.8% of the outstanding Common Stock as calculated in accordance with Rule 13d-3(d)), which includes the following: 153,500 shares of Common Stock of which Mr. Baker is the record holder; 1,227,642 shares of Common Stock that may be acquired upon the exercise of the Amended Warrants and the New Warrants owned by Mr. Baker; 10,000 shares of Common Stock of which Baker Ltd. is the record holder; 410,366 shares of Common Stock that may be acquired upon exercise of the Amended Warrants owned by Baker Ltd.; 218,862 shares of Common Stock that may be acquired upon exercise of the Amended Warrants owned by Venture Fund; 200,000 shares of Common Stock that may be acquired upon exercise of the New Warrants owned by Anasazi Partners; 666,667 shares of Common Stock that may be acquired upon exercise of the Consent Warrants owned by Anasazi Partners; and the 214,000 shares of Common Stock held of record by Anasazi Partners. Anasazi Partners may be deemed to be the beneficial owner with sole power to vote and dispose of 1,080,667 shares of Common Stock (or 27.6% of the outstanding Common Stock as calculated in accordance with Rule 13d-3(d)). CP Baker LLC, the general partner of Anasazi Partners, may be deemed to be the beneficial owner with sole power to vote and dispose of the same securities. The 1,080,667 shares of Common Stock include 214,000 shares of Common Stock held of record by Anasazi Partners; 200,000 shares of Common Stock that may be acquired upon exercise of the New Warrants owned by Anasazi Partners; and 666,667 shares of Common Stock that may be acquired upon exercise of the Consent Warrants owned by Anasazi Partners. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1 Agreement among Christopher P. Baker, C.P. Baker & Company, Ltd., CP Baker LLC, C.P. Baker Venture Fund I, Limited Partnership and Anasazi Partners, Limited Partnership regarding the filing of Schedule 13D. 5 of 13 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated January 11, 1999 /s/ Christopher P. Baker ----------------------------- CHRISTOPHER P. BAKER 6 of 13 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. C.P. BAKER & COMPANY, LTD. Dated January 11, 1999 By: /s/ Christopher P. Baker --------------------------------- Name: Christopher P. Baker Title: President 7 of 13 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. CP BAKER LLC Dated January 11, 1999 By: /s/Christopher P. Baker ---------------------------------- Name: Christopher P. Baker Title: President 8 of 13 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. ANASAZI PARTNERS, LIMITED PARTNERSHIP By: CP BAKER LLC, its general partner Dated January 11, 1999 By: /s/Christopher P. Baker --------------------------------- Name: Christopher P. Baker Title: President 9 of 13 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. CP BAKER VENTURE FUND I LIMITED PARTNERSHIP By: C.P. BAKER & COMPANY, LTD., its general partner Dated January 11, 1999 By: /s/Christopher P. Baker --------------------------------- Name: Christopher P. Baker Title: President 10 of 13 EXHIBIT INDEX Exhibit 1 Agreement among Christopher P. Baker, C.P. Baker & Company, Ltd., CP Baker LLC, C.P. Baker Venture Fund I, Limited Partnership and Anasazi Partners, Limited Partnership regarding the filing of Schedule 13D. 11 of 13 Exhibit 1 AGREEMENT The undersigned each agree to the filing of a single Schedule 13D with respect to their respective ownership interests in Trans World Gaming Corp. Dated January 11, 1999 /s/Christopher P. Baker ---------------------------------------- CHRISTOPHER P. BAKER C.P. BAKER & COMPANY, LTD. Dated January 11, 1999 By: /s/Christopher P. Baker ------------------------------------ Name: Christopher P. Baker Title: President CP BAKER LLC Dated January 11, 1999 By: /s/Christopher P. Baker ------------------------------------ Name: Christopher P. Baker Title: President ANASAZI PARTNERS, LIMITED PARTNERSHIP By: C.P. BAKER LLC, its general partner Dated January 11, 1999 By: /s/Christopher P. Baker -------------------------------- Name: Christopher P. Baker Title: President 12 of 13 C.P. BAKER VENTURE FUND I, LIMITED PARTNERSHIP By: C.P. BAKER & COMPANY, LTD., its general partner Dated January 11, 1999 By: /s/Christopher P. Baker -------------------------------- Name: Christopher P. Baker Title: President 13 of 13 -----END PRIVACY-ENHANCED MESSAGE-----