-----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, V+NSJtCL8oLEPdy1NvPiccLsgr7D7jdaW5dyLRytURRQw3/sJozhlb98wp4RHG82 nlKEJaq8K8L1+zAugBAQGw== 0000908645-98-000079.txt : 19980218 0000908645-98-000079.hdr.sgml : 19980218 ACCESSION NUMBER: 0000908645-98-000079 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHELLS SEAFOOD RESTAURANTS INC CENTRAL INDEX KEY: 0000935066 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 650427966 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-46593 FILM NUMBER: 98538135 BUSINESS ADDRESS: STREET 1: 16313 N DALE MABRY HWY STREET 2: STE 100 CITY: TAMPA STATE: FL ZIP: 33618 BUSINESS PHONE: 8139610944 MAIL ADDRESS: STREET 1: 16313 NORTH DALE MABRY STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33618 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HATTAWAY WILLIAM E CENTRAL INDEX KEY: 0001033252 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O VOXWARE INC STREET 2: 305 COLLEGE ROAD EAST CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 6095144100 MAIL ADDRESS: STREET 1: SHELLS SEAFOOD RESTAURANTS INC STREET 2: C/16313 NORTH DALE MABRY HIGHWAY STE 100 CITY: TAMPA STATE: FL ZIP: 33618 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _____1_____)* SHELLS SEAFOOD RESTAURANTS, INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 822809 10 9 (CUSIP Number) *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). CUSIP No. 822809 10 9 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (Entities Only) Mr. William E. Hattaway 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER NUMBER OF SHARES 438,251 shares BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 shares PERSON WITH 7 SOLE DISPOSITIVE POWER 438,251 shares 8 SHARED DISPOSITIVE POWER 0 shares 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 438,251 shares 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.2% 12 TYPE OF REPORTING PERSON IN Item 1(a) NAME OF ISSUER: Shells Seafood Restaurants, Inc. (the "Company") Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 16313 North Dale Mabry Highway Suite 100 Tampa, Florida 33618 Item 2(a) NAME OF PERSON FILING: See Item 1 of the cover page attached hereto Item 2(b) Address of Principal Business Office, or if none, Residence: 16313 North Dale Mabry Highway Suite 100 Tampa, Florida 33618 Item 2(c) CITIZENSHIP: See Item 4 of the cover page attached hereto Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 (the "Common Stock") Item 2(e) CUSIP NUMBER: 822809 10 9 Item 3 Not Applicable Item 4 OWNERSHIP: The following information with respect to ownership of Common Stock of the Company by the person filing this Statement is provided as of December 31, 1997, the last day of the year covered by this Statement. (a) Amount Beneficially Owned: See Item 9 of the cover page attached hereto which includes: (i) 377,425 shares of Common Stock owned directly by the Reporting Person; (ii) warrants to purchase 39,498 shares of Common Stock at an exercise price of $5.50 per share which are presently exercisable at any time up to and including April 23, 1998; and (iii) options to purchase 21,328 shares of Common Stock at an exercise price of $5.00 per share which are presently exercisable at any time up to and including April 29, 2001. Does not include an aggregate of 42,656 shares of Common Stock issuable upon the exercise of options which are not exercisable within 60 days of December 31, 1997. (b) Percent of Class: See Item 11 of the cover page attached hereto (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of the cover page attached hereto which includes: (i) 377,425 shares of Common Stock owned directly by the Reporting Person; (ii) warrants to purchase 39,498 shares of Common Stock at an exercise price of $5.50 per share which are presently exercisable at any time up to and including April 23, 1998; and (iii) options to purchase 21,328 shares of Common Stock at an exercise price of $5.00 per share which are presently exercisable at any time up to and including April 29, 2001. Does not include an aggregate of 42,656 shares of Common Stock issuable upon the exercise of options which are not exercisable within 60 days of December 31, 1997. (ii) shared power to vote or to direct the vote: See Row 6 of the cover page (iii)sole power to dispose or to direct the disposition of: See Row 7 of the cover page attached hereto which includes: (i) 377,425 shares of Common Stock owned directly by the Reporting Person; (ii) warrants to purchase 39,498 shares of Common Stock at an exercise price of $5.50 per share which are presently exercisable at any time up to and including April 23, 1998; and (iii) options to purchase 21,328 shares of Common Stock at an exercise price of $5.00 per share which are presently exercisable at any time up to and including April 29, 2001. Does not include an aggregate of 42,656 shares of Common Stock issuable upon the exercise of options which are not exercisable within 60 days of December 31, 1997. (iv) shared power to dispose or direct the disposition of: See Row 8 of the cover page 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 acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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 13, 1998 By: /s/ WILLIAM E. HATTAWAY William E. Hattaway President -----END PRIVACY-ENHANCED MESSAGE-----