-----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, B9gd0puXvcQSP3xU2KTNIUfh1YJToHAwsxC0zxkzaI7/UhvqL+wxPY8yfTQ+T4zG 7f+OFtjshXJiViBB1Al5+Q== 0001015402-01-000629.txt : 20010224 0001015402-01-000629.hdr.sgml : 20010224 ACCESSION NUMBER: 0001015402-01-000629 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010222 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVOCAT INC CENTRAL INDEX KEY: 0000919956 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SKILLED NURSING CARE FACILITIES [8051] IRS NUMBER: 621559667 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43225 FILM NUMBER: 1551605 BUSINESS ADDRESS: STREET 1: 277 MALLORY STATION RD STREET 2: STE 130 CITY: FRANKLIN STATE: TN ZIP: 37067 BUSINESS PHONE: 6157717575 MAIL ADDRESS: STREET 1: 227 MALLORY STATION ROAD STREET 2: SUITE 130 CITY: FRANKLIN STATE: TN ZIP: 37064 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SULLIVAN RICHARD M CENTRAL INDEX KEY: 0001135322 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 325 W MAIN ST STREET 2: STE 2000 CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025877711 MAIL ADDRESS: STREET 1: 325 W MAIN ST STREET 2: STE 2000 CITY: LOUISVILLE STATE: KY ZIP: 40202 SC 13G 1 0001.txt OMB APPROVAL ------------ OMB Number 3235-0145 Expires: August 31,1999 Estimated average burden hours per response 14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____________)* Advocat Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common - -------------------------------------------------------------------------------- (Title of Class of Securities) 007586100 ------------------------ (CUSIP Number) February 12, 2001 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1745 (3-98) Page 1 of 6 pages CUSIP No 007586100 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Richard M. Sullivan - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) Not Applicable (b) Not Applicable - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 634,650 Shares Bene ------------------------------------------------------------ ficially 6. Shared Voting Power 0 Owned by Each ------------------------------------------------------------ Reporting 7. Sole Dispositive Power 0 ------------------------------------------------------------ Person With: 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 634,650 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) Not Applicable - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (11) 11.6 - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 2 of 6 pages ITEM 1. (a) Name of Issuer Advocat Inc. (b) Address of Issuer's Principal Executive Offices 227 Mallory Station Road, Suite 130, Franklin, TN 37067 ITEM 2. (a) Name of Person Filing Richard M. Sullivan (b) Address of Principal Business Off-ice or, if none, Residence 325 West Main Street, Suite 2000, Louisville, KY 40202 (c) Citizenship United States of America (d) Title of Class of Securities Common (e) CUSIP Number 007586100 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SEC.SEC.240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: Not Applicable (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3 (a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company a-, defined in section 3(a)(1 9) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with Sec.240.13d- I (b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Sec.240.13d- I (b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Sec. 240-13d- I (b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (j) [ ] Group, in accordance with Sec.240.13d- I (b)(1)(ii)(J). Page 4 of 6 pages ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 634,650. ------------- (b) Percent of class: 11.6. ---------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 634,650. ------------- (ii) Shared power to vote or to direct the vote 0. ------------- (iii)Sole power to dispose or to direct the disposition of 0. ----------- (iv) Shared power to dispose or to direct the disposition of 0. ---------- ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the Securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 5 of 6 pages 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 correct. 2/20/01 ----------------------------------- Date Richard M. Sullivan ----------------------------------- Signature Richard M. Sullivan ----------------------------------- Name/Title Page 6 of 6 pages -----END PRIVACY-ENHANCED MESSAGE-----