-----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, IVUUIrd7TfAuRBNungbaFvixoictKjLn4KeZhvgrCipnsPE00NDGSML1pifrCyfh lhvVCzlt1VGeXsVHGEgS9w== 0001029869-98-000011.txt : 19980109 0001029869-98-000011.hdr.sgml : 19980109 ACCESSION NUMBER: 0001029869-98-000011 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980108 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BOSTON RESTAURANT ASSOCIATES INC CENTRAL INDEX KEY: 0000926295 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 611162263 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-49225 FILM NUMBER: 98503150 BUSINESS ADDRESS: STREET 1: 999 BROADWAY STREET 2: SUITE 400 CITY: SAUGUS STATE: MA ZIP: 01906-3209 BUSINESS PHONE: 6177205684 MAIL ADDRESS: STREET 1: 999 BROADWAY STREET 2: SUITE 400 CITY: SAUGUS STATE: MA ZIP: 01906-3206 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LIPTON ROGER & AFFILIATES CENTRAL INDEX KEY: 0000936457 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 139323350 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: LIPTON FINANCIAL SERVICES STREET 2: 399 PARK AVE 27TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122073700 MAIL ADDRESS: STREET 1: 983 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10023 SC 13D/A 1 BOSTON RESTAURANT ASSOCIATES, INC. FORM SC 13D/A -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: Estimated average burden hours per response...14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Boston Restaurant Associates, Inc. - -------------------------------------------------------------------------------- (Name of issuer) Common Stock and Warrants - -------------------------------------------------------------------------------- (Title of Class of Securities) Common Stock 101122109 Warrants 101122125 ---------------------------------------------- (CUSIP Number) (212) 744-7516 (H) Roger Lipton, 983 Park Ave, New York, NY 10023 (212) 207-3700 (W) - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 31, 1997 -------------------------------------------------------------- (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). SCHEDULE 13D |-----------------------------| |------------------------| |CUSIP Nos. Common 101122109| | Page 2 of 4 Pages | | Warrants 101122125| | | |-----------------------------| |------------------------| |----------------------------------------------------------------------------| | | | | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Roger Lipton & Affiliates ###-##-#### | | | | |---------|------------------------------------------------------------------| | | | | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]| | | (b) [X]| |---------|------------------------------------------------------------------| | | | | 3 | SEC USE ONLY | | | | |---------|------------------------------------------------------------------| | | | | 4 | SOURCE OF FUNDS* | | | Personal Funds - for investment purposes only | | | 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 | | | | | | USA - New York City | | | | |----------------|-----|-----------------------------------------------------| | | | | | NUMBER OF | 7 | SOLE VOTING POWER Common Warrants | | | | Mary Lipton (Spouse) 35,000 0 | | SHARES | | Roger Lipton 305,880 76,000 | | | | RHL Associates 339,770 102,000 | | BENEFICIALLY | | Leslie Lipton (Daughter) 5,000 0 | | | | Lipton Family Found. 4,005 0 | | OWNED BY EACH |-----|-----------------------------------------------------| | | | | | REPORTING | 8 | SHARED VOTING POWER | | | | Purchased between 4/30/95 and 8/21/96 | | PERSON |-----|-----------------------------------------------------| | | | | | WITH | 9 | SOLE DISPOSITIVE POWER | | | | Same as No. 7 | | |-----|-----------------------------------------------------| | | | | | | 10 | SHARED DISPOSITIVE POWER | | | | Same as No. 8 | |----------------------------------------------------------------------------| | | | | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | Mary Lipton, 35,000 Common/0 Warrants | | | Roger Lipton, 305,880 Common/76,000 Warrants | | | RHL Associates, 339,770 Common/102,000 Warrants | | | Leslie Lipton, 5,000 Common/0 Warrants | | | Lipton Found., 4,005 Common/0 Warrants | |---------|------------------------------------------------------------------| | | | | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) | | | EXCLUDES CERTAIN SHARES* [ ] | | | Common Stock: 547,155 Warrants: 166,000 Total: 713,155 | |---------|------------------------------------------------------------------| | | | | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | Common Stock 10.9% Warrants 3.2% | |---------|------------------------------------------------------------------| | | | | 14 | TYPE OF REPORTING PERSON * Mary Lipton (IN); | | | Roger Lipton (BD); RHL Associates L.P. (PN); | | | Lipton Foundation (OO); Leslie Lipton (IN) | |----------------------------------------------------------------------------| * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. Page 3 of 4 Pages Item 1: Security and Issuer - ---------------------------- a) Security: Common stock Warrants b) Issuer: Roger Lipton & Affiliates 399 Park Avenue, 27th Floor New York, NY 10022-4614 U.S.A. citizen Item 2: Identity - ----------------- Roger Lipton & Affiliates (BD) 399 Park Avenue, 27th Floor New York, NY 10022-4614 U.S.A. citizen Item 3: Source - --------------- Personal funds Item 4: - ------- Roger Lipton is a member of the Board of Directors of Boston Restaurant Associates, Inc. Item 5: - ------- Common Warrants Sole Voting Power: Mary Lipton (spouse) 35,000 0 Roger Lipton 305,880 76,000 RHL Associates 339,770 102,000 Leslie Lipton (daughter) 5,000 0 Lipton Family Found. 4,005 0 Item 6: - ------- Common Warrants Sole Voting Power: Mary Lipton (spouse) 35,000 0 Roger Lipton 305,000 76,000 RHL Associates 339,770 102,000 Leslie Lipton (daughter) 5,000 0 Lipton Family Found. 4,005 0 Item 7: - ------- Not applicable Page 4 of 4 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. /s/ Roger Lipton - ----------------------------------- ------------------------------------- Date Signature General Partner Roger Lipton Associates --------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----