-----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, Utx9unqH5GbtNUBskxo79iUNPyvSuu7lQWfJ4123f4GPg/DXggrVLPZC3SBA3OsH /YnAKIw82k2CyuPy9NJG6A== 0000950144-00-015208.txt : 20001225 0000950144-00-015208.hdr.sgml : 20001225 ACCESSION NUMBER: 0000950144-00-015208 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001222 GROUP MEMBERS: JANE LEWIS GROUP MEMBERS: JOSEPH LEWIS GROUP MEMBERS: MANDARIN INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BKF CAPITAL GROUP INC CENTRAL INDEX KEY: 0000009235 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 360767530 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-10454 FILM NUMBER: 794905 BUSINESS ADDRESS: STREET 1: 200 W. MADISON ST. STREET 2: SUITE 3510 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 2123328400 FORMER COMPANY: FORMER CONFORMED NAME: BAKER FENTRESS & CO DATE OF NAME CHANGE: 19970829 FORMER COMPANY: FORMER CONFORMED NAME: BAKER FENTRESS & CO ET AL DATE OF NAME CHANGE: 19940714 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MANDARIN INC CENTRAL INDEX KEY: 0001015748 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O CAY HOUSE STREET 2: P O BOX N7776 CITY: LYFORD CAY BAHAMAS BUSINESS PHONE: 2125195182 MAIL ADDRESS: STREET 1: PO BOX N7776 CITY: LYFORD BAHAMAS SC 13D/A 1 g66120sc13da.txt BKF CAPITAL GROUP, INC. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3)* -- BKF CAPITAL GROUP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $1.00 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 057213100 - -------------------------------------------------------------------------------- (CUSIP Number) Kurt Butenhoff c/o Bear Stearns & Co. Inc. 245 Park Avenue New York, New York 10167 Telephone Number: (212) 272-6849 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 14, 2000 - -------------------------------------------------------------------------------- (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(e), 13d-1(f) or 13d-1(g), 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). Page 1 of 7 2 CUSIP NO. 057213100 13D PAGE 2 OF 7 PAGES --------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MANDARIN, INC. ---------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ---------------------------------------------------------------------- (3) SEC USE ONLY ---------------------------------------------------------------------- (4) SOURCE OF FUNDS NOT APPLICABLE ---------------------------------------------------------------------- (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] ---------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION BAHAMAS ---------------------------------------------------------------------- (7) SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------ SHARES (8) SHARED VOTING POWER BENEFICIALLY 305,000 OWNED BY ------------------------------------------------------ EACH (9) SOLE DISPOSITIVE POWER REPORTING 0 PERSON ------------------------------------------------------ WITH (10) SHARED DISPOSITIVE POWER 305,000 ------------------------------------------------------ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 305,000 ---------------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] ---------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.69% (SEE ITEM 5.) ---------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) CO ---------------------------------------------------------------------- Page 2 of 7 3 CUSIP NO. 057213100 13D PAGE 3 OF 7 PAGES --------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) JOSEPH LEWIS ---------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ---------------------------------------------------------------------- (3) SEC USE ONLY ---------------------------------------------------------------------- (4) SOURCE OF FUNDS NOT APPLICABLE ---------------------------------------------------------------------- (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 KINGDOM ---------------------------------------------------------------------- (7) SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------ SHARES (8) SHARED VOTING POWER BENEFICIALLY 305,000 OWNED BY ------------------------------------------------------ EACH (9) SOLE DISPOSITIVE POWER REPORTING 0 PERSON ------------------------------------------------------ WITH (10) SHARED DISPOSITIVE POWER 305,000 ------------------------------------------------------ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 305,000 ---------------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] ---------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.69% (SEE ITEM 5.) ---------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) IN ---------------------------------------------------------------------- Page 3 of 7 4 CUSIP NO. 057213100 13D PAGE 4 OF 7 PAGES --------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) JANE LEWIS ---------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ---------------------------------------------------------------------- (3) SEC USE ONLY ---------------------------------------------------------------------- (4) SOURCE OF FUNDS NOT APPLICABLE ---------------------------------------------------------------------- (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 KINGDOM ---------------------------------------------------------------------- (7) SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------ SHARES (8) SHARED VOTING POWER BENEFICIALLY 305,000 OWNED BY ------------------------------------------------------ EACH (9) SOLE DISPOSITIVE POWER REPORTING 0 PERSON ------------------------------------------------------ WITH (10) SHARED DISPOSITIVE POWER 305,000 ------------------------------------------------------ (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 305,000 ---------------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] ---------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.69% (SEE ITEM 5.) ---------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON (See Instructions) IN ---------------------------------------------------------------------- Page 4 of 7 5 ITEM 1. SECURITY AND ISSUER (i) Name of Issuer: BKF Capital Group, Inc. ("BKF") (ii) Address of the Principal Executive Offices of BKF: One Rockefeller Plaza, New York, New York 10020 (iii) Title of Class of Equity Securities to which this Statement relates: Common Stock, $1.00 par value per share (the "Common Stock") ITEM 2. IDENTITY AND BACKGROUND Mandarin, Inc. ("Mandarin") is a corporation organized under the laws of the Bahamas as an investment vehicle. The shareholders and directors of Mandarin are Joseph Lewis and Jane Lewis, who are permanent residents of the Bahamans and citizens of the United Kingdom. The business address of each of Mandarin, Joseph Lewis and Jane Lewis is c/o Cay House, P.O. Box N7776, Lyford Cay, New Providence, Bahamas. The principle business of each of Joseph Lewis and Jane Lewis is private investments and serving as directors of Mandarin. During the last five years, neither Mandarin, Joseph Lewis or Jane Lewis has been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of a competent jurisdiction and as a result of which 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 violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Not Applicable. ITEM 4. PURPOSE OF TRANSACTION Not Applicable. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) - (c) Mandarin owns 305,000 shares of Common Stock, which constitutes approximately 4.69% of BKF's outstanding shares of Common Stock. Joseph Lewis and Jane Lewis, as the only shareholders of Mandarin, are the beneficial owners of the 305,000 shares of Common Stock. Mandarin, Joseph Lewis and Jane Lewis have shared power to vote and to dispose of the 305,000 shares of Common Stock. Set forth below are the number of shares, trading dates and average price per share for all dispositions of Common Stock made by Mandarin within the past 60 days. All dispositions were open market transactions and were effected on the New York Stock Exchange.
Number Trading Price of Shares Date Per Share --------- ---- --------- 165,000 12/14/00 $18.0000 31,400 12/20/00 $18.0135
(d) None. (e) On December 20, 2000, Mandarin, Joe Lewis and Jane Lewis ceased to be beneficial owners of more than 5% of the Common Stock. Page 5 of 7 6 ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS None. Page 6 of 7 7 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. December 22, 2000 ----------------------------------- (Date) MANDARIN, INC. By: /s/ Joseph Lewis ------------------------------ Name: Joseph Lewis Title: Director /s/ Joseph Lewis ----------------------------------- Joseph Lewis /s/ Jane Lewis ----------------------------------- Jane Lewis Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----