-----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, PUE0A3juXIxNbFjIodgpLgjmbK6ANeWQZId35hY5wG4v0sSH8w1Nkp5i6E7ostEf +RmXVzyogSBY5Pgi5ZR3Fw== 0001029869-99-000260.txt : 19990222 0001029869-99-000260.hdr.sgml : 19990222 ACCESSION NUMBER: 0001029869-99-000260 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990219 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 SEC ACT: SEC FILE NUMBER: 005-49225 FILM NUMBER: 99545791 BUSINESS ADDRESS: STREET 1: 999 BROADWAY STREET 2: SUITE 400 CITY: SAUGUS STATE: MA ZIP: 01906-3209 BUSINESS PHONE: 7812317575 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 CENTRAL INDEX KEY: 0001071193 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O LIPTON FINANCIAL SERVICES STREET 2: 399 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 8005196080 MAIL ADDRESS: STREET 1: C/O LIPTON FINANCIAL SERVICES STREET 2: 399 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D 1 BOSTON RESTAURANT ASSOCIATES, INC. FORM SC 13D 1934 ACT FORMS II. SELECTED SCHEDULES UNDER THE SECURITIES EXCHANGE ACT OF 1934 A. SCHEDULE 13D INFORMATION REQUIREMENTS FOR FILINGS UPON ACQUISITION OF FIVE PERCENT OF A CLASS OF EQUITY SECURITIES SUBJECT TO THE REPORTING REQUIREMENTS OF THE 1934 ACT SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. _____) * Boston Restaurant Associates, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 101122109 Common Stock 101122125 Warrants - -------------------------------------------------------------------------------- (CUSIP Number) George R. Chapdelaine, 999 Broadway, Suite 400, Saugus, MA 01906, (781) 231-7575 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 31, 1998 Annual Reporting - -------------------------------------------------------------------------------- (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 filed 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). CUSIP No. 101122109 Common Stock 10112125 Warrants - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Roger Lipton - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) of a Group (See instructions) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- SCHEDULE 13D (4) Source of Funds (See Instructions) Personal Funds - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization U.S.A. - --------------------------------------------------------------------------------
Common Stock Warrants ------------ -------- Number of Shares (7) Sole Voting Mary Lipton (IN)- 49,000 0 Beneficially Owned Power Roger Lipton (BD)- 568,232 281,860 by Each Reporting RHL Associates (PN)- 475,678 102,000 Person With Lipton Foundation (00)- 5,607 0 Leslie Lipton (IN)- 7,000 0 (8) Shared Voting N/A Power (9) Sole Dispositive Same as Number (7). Power (10) Shared Dispositive N/A Power - ----------------------------------------------------------------------------------------------------------- Common Stock Warrants ------------ -------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person Mary Lipton (IN) 49,000 0 Roger Lipton (BD) 568,232 281,860 RHL Associates (PN) 475,678 102,000 Lipton Foundation (00) 5,607 0 Leslie Lipton (IN) 7,000 0 Total 1,105,517 383,860 - ----------------------------------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) N/A - ----------------------------------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 15.73% Common Stock 21.3% Warrants - ----------------------------------------------------------------------------------------------------------- (14) Type of Reporting Person Mary Lipton (IN) (See Instructions) Roger Lipton(BD) RHL Associates(PN) Lipton Foundation(00) Leslie Lipton (IN) - -----------------------------------------------------------------------------------------------------------
SCHEDULE 13D - 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. February 5, 1999 - --------------------------------------- (Date) /s/ Roger Lipton -------------------------- Roger Lipton -----END PRIVACY-ENHANCED MESSAGE-----