-----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, UGEat5kNPPkzptoAS8lhKySNvHnaiioSVhZNvec0yMhs9Gajifdjb/eU7JS5oCMt LGrTLAxTODn/jRPJghxI/Q== 0000922409-96-000053.txt : 19960819 0000922409-96-000053.hdr.sgml : 19960819 ACCESSION NUMBER: 0000922409-96-000053 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960816 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TOREADOR ROYALTY CORP CENTRAL INDEX KEY: 0000098720 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 750991164 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-06308 FILM NUMBER: 96616803 BUSINESS ADDRESS: STREET 1: 530 PRESTON COMMONS WEST STREET 2: 8117 PRESTON ROAD CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2143690080 MAIL ADDRESS: STREET 1: 530 PRESTON COMMONS WEST STREET 2: 8117 PRESTON ROAD CITY: DALLAS STATE: TX ZIP: 75225 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DANE EDWARD NATHAN ET AL CENTRAL INDEX KEY: 0000944803 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 030282431 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 33 BROAD STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617-742-2304 MAIL ADDRESS: STREET 1: 33 BROAD STREET CITY: BOSTON STATE: MA ZIP: 02109 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A-3 Under the Securities Exchange Act of 1934 TOREADOR ROYALTY CORPORATION COMMON STOCK $0.15625 PAR VALUE 891041 10 5 (Cusip Number) PETER L. FALB, 33 BROAD STREET, BOSTON, MA 02109 Telephone: (617) 742-0666; Facsimile (617) 742-2304 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 1, 1996 (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 [ ]. CUSIP No. 891041 10 5 1. Name of Reporting Person/S.S. or I.R.S. Identification No. of Above Person PETER LAWRENCE FALB ###-##-#### 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC Use Only 4. Source of Funds 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 7. Sole Voting Power 111,000 8. Shared Voting Power 585,800 9. Sole Dispositive Power 111,000 10. Shared Dispositive Power 585,800 11. Aggregate amount beneficially owned by each reporting person 696,800 12. Check box if the aggregate amount in Row (11) excludes certain shares [ ] 13. Percent of class represented by amount in Row (11) 13.2% 14. Type of Reporting Person IN Page 2 of 8 Pages CUSIP No. 891041 10 5 1. Name of Reporting Person/S.S. or I.R.S. Identification No. of Above Person EDWARD NATHAN DANE ###-##-#### 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC Use Only 4. Source of Funds 00 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 7. Sole Voting Power 0 8. Shared Voting Power 585,800 9. Sole Dispositive Power 0 10. Shared Dispositive Power 585,800 11. Aggregate amount beneficially owned by each reporting person 585,800 12. Check box if the aggregate amount in Row (11) excludes certain shares [ ] 13. Percent of class represented by amount in Row (11) 11.1% 14. Type of Reporting Person IN Page 3 of 8 Pages CUSIP No. 891041 10 5 1. Name of Reporting Person/S.S. or I.R.S. Identification No. of Above Person FIRETHORN I LIMITED PARTNERSHIP 04-3064184 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC Use Only 4. Source of Funds 00 5. Check box if disclosure of legal proceedings is required pursuant to items 2(d) or 2(e) [ ] 6. Citizenship or Place of Organization MASSACHUSETTS 7. Sole Voting Power 188,000 8. Shared Voting Power 0 9. Sole Dispositive Power 188,000 10. Shared Dispositive Power 0 11. Aggregate amount beneficially owned by each reporting person 188,000 12. Check box if the aggregate amount in Row (11) excludes certain shares [ ] 13. Percent of class represented by amount in Row (11) 3.6% 14. Type of Reporting Person PN Page 4 of 8 Pages CUSIP No. 891041 10 5 1. Name of Reporting Person/S.S. or I.R.S. Identification No. of Above Person DANE, FALB, STONE & CO., INC. 04-2622331 2. Check the appropriate box if a member of a group (a) [ ] (b) [X] 3. SEC Use Only 4. Source of Funds 00 5. Check box if disclosure of legal proceedings is required pursuant to items 2(d) or 2(e) [ ] 6. Citizenship or Place of Organization MASSACHUSETTS 7. Sole Voting Power 396,000 8. Shared Voting Power 800 9. Sole Dispositive Power 396,000 10. Shared Dispositive Power 800 11. Aggregate amount beneficially owned by each reporting person 396,800 12. Check box if the aggregate amount in Row (11) excludes certain shares [ ] 13. Percent of class represented by amount in Row (11) 7.5% 14. Type of Reporting Person IA Page 5 of 8 Pages CUSIP No. 891041 10 5 The Schedule 13D previously filed and amended by the undersigned (the "Reporting Persons") with respect to the Common Stock, $.15625 par value, of Toreador Royalty Corporation (the "issuer") is hereby further amended as follows: Item 3 is amended and restated to read in its entirety as follows: Item 3 Source and Amount of Funds or Other Consideration: As to 188,000 shares, portfolio funds of Firethorn I Limited Partnership. As to 111,000 shares, personal funds of Peter L. Falb. As to 396,800 shares, portfolio funds of investment advisees of Dane, Falb, Stone & Co., Inc. Item 4 is amended and supplemented by the following information: Item 4 Purpose of Transaction: All the shares were purchased and are being held for investment purposes. Decreases in the number of shares owned as reported herein from the numbers previously reported are due to a shift of management contracts with two clients. Ownership of the shares is as follows: (a) Investment advisory clients of Dane, Falb, Stone & Co., Inc. ("DFS"), an investment adviser registered under the Investment Advisers Act of 1940, hold 396,800 shares. Of those shares, DFS has sole voting and dispositive power with respect to 396,000 shares and shared voting and dispositive power with respect to 800 shares. Peter L. Falb and Edward Nathan Dane are the principals and sole stockholders of DFS and to the extent that DFS has the power to vote and dispose of the shares held by its investment advisory clients, they share such power. The acquisition of such 396,800 shares was made in the ordinary course of business and not with the purpose nor with the effect of changing or influencing the control of the issuer nor in connection with or as a participant in any transaction having such purpose or effect. The beneficial ownership by DFS of such shares has properly been reported on Schedule 13G. (b) Mr. Falb owns 111,000 shares directly or indirectly through family members. Page 6 of 8 Pages CUSIP No. 891041 10 5 (c) Mr. Dane does not own any shares directly or indirectly through family members or otherwise. (d) Firethorn I Limited Partnership ("Firethorn I") is a private investment partnership which directly owns 188,000 shares. Item 5 is amended and restated to read in its entirety as follows: Item 5(a) Shares Beneficially Percentage Owned of Class ------------ ----------- Peter L. Falb 696,800 13.2% Edward Nathan Dane 585,800 11.1 Dane, Falb, Stone & Co., Inc. 188,000 3.6 Firethorn I Limited Partnership 396,800 7.5 Item 5(a) Sole Shared Sole Shared Voting Voting Dispositive Dispositive Power Power Power Power --------- ------- ----------- --------- Peter L. Falb 111,000 585,800 111,000 585,800 Edward Nathan Dane -- 585,800 -- 585,800 Dane, Falb, Stone & Co., Inc. 396,000 800 396,000 800 Firethorn I Limited Partnership 188,000 -- 188,000 -- Page 7 of 8 Pages CUSIP No. 891041 10 5 SIGNATURES 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. August 16, 1996 Peter L. Falb August 16, 1996 Edward Nathan Dane DANE, FALB, STONE & CO., INC. August 16, 1996 By: Peter L. Falb, Treasurer August 16, 1996 By: Edward Nathan Dane, President FIRETHORN I LIMITED PARTNERSHIP By: FIRETHORN II LIMITED PARTNERSHIP, its general partner By: EAGLEROCK CORPORATION, its general partner August 16, 1996 By: Peter L. Falb, Treasurer August 16, 1996 By: Edward Nathan Dane, President Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----