-----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, VTqnTHQzojIXQUEiwRw+rTQrEagGarDy8VUzu7lLrEVbnZtSO0PM/xI414G1kP9t trGjGthqaEzmsK0iJnu4JQ== 0000950134-98-007727.txt : 19980924 0000950134-98-007727.hdr.sgml : 19980924 ACCESSION NUMBER: 0000950134-98-007727 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980923 SROS: NONE GROUP MEMBERS: G THOMAS GRAVES III GROUP MEMBERS: LEE GLOBAL ENERGY FUND LP GROUP MEMBERS: WILCO PROPERTIES INC GROUP MEMBERS: WILLIAM I LEE 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: SEC FILE NUMBER: 005-06308 FILM NUMBER: 98713284 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: LEE GLOBAL ENERGY FUND LP CENTRAL INDEX KEY: 0001000880 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 752569264 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 6688 N CENTRAL STREET 2: STE 1150 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 2143631171 SC 13D/A 1 AMENDMENT NO. 6 TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (AMENDMENT NO. 6) Toreador Royalty Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.15625 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 891041105 ----------------------------------------------------- (CUSIP Number) Janice V. Sharry, Esq. Haynes and Boone, LLP 901 Main Street, Suite 3100 Dallas, Texas 75202 (214) 651-5562 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 16, 1998 ----------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), (f) or (g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7(b) 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). 2 SCHEDULE 13D - -------------------------- CUSIP No. 891041105 - -------------------------- - ----------------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 Lee Global Energy Fund, L.P. 75-2569264 - ----------------------------------------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] 2 - ----------------------------------------------------------------------------------------------------------------- SEC USE ONLY 3 - ----------------------------------------------------------------------------------------------------------------- SOURCE OF FUNDS 4 WC - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] 5 N/A - ----------------------------------------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 Texas - ----------------------------------------------------------------------------------------------------------------- SOLE VOTING POWER 7 903,950 ------------------------------------------------------------------------------ NUMBER OF SHARED VOTING POWER SHARES 8 0 BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH SOLE DISPOSITIVE POWER REPORTING 9 903,950 PERSON WITH ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 0 - ----------------------------------------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,028,250 - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 12 N/A - ----------------------------------------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 19.93%(1) - ----------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -----------------------------------------------------------------------------------------------------------------
(1) Based on 5,160,671 shares of Common Stock issued and outstanding as of June 30, 1998, as disclosed in the Issuer's 10-Q filed with the Securities and Exchange Commission on August 14, 1998. 3 - -------------------------- CUSIP No. 891041105 - -------------------------- - ----------------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 G. Thomas Graves III - ----------------------------------------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] 2 - ----------------------------------------------------------------------------------------------------------------- SEC USE ONLY 3 - ----------------------------------------------------------------------------------------------------------------- SOURCE OF FUNDS 4 PF - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] 5 N/A - ----------------------------------------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S. - ----------------------------------------------------------------------------------------------------------------- SOLE VOTING POWER 7 10,000 ------------------------------------------------------------------------------ NUMBER OF SHARED VOTING POWER SHARES 8 0 BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH SOLE DISPOSITIVE POWER REPORTING 9 10,000 PERSON WITH ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 0 - ----------------------------------------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,028,250 - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 12 N/A - ----------------------------------------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 19.93%(1) - ----------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -----------------------------------------------------------------------------------------------------------------
(1) Based on 5,160,671 shares of Common Stock issued and outstanding as of June 30, 1998, as disclosed in the Issuer's 10-Q filed with the Securities and Exchange Commission on August 14, 1998. 4 - -------------------------- CUSIP No. 891041105 - -------------------------- - ----------------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 William I. Lee - ----------------------------------------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] 2 - ----------------------------------------------------------------------------------------------------------------- SEC USE ONLY 3 - ----------------------------------------------------------------------------------------------------------------- SOURCE OF FUNDS 4 PF - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] 5 N/A - ----------------------------------------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S. - ----------------------------------------------------------------------------------------------------------------- SOLE VOTING POWER 7 74,200 ------------------------------------------------------------------------------ NUMBER OF SHARED VOTING POWER SHARES 8 0 BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH SOLE DISPOSITIVE POWER REPORTING 9 74,200 PERSON WITH ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 0 - ----------------------------------------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,028,250 - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 12 N/A - ----------------------------------------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 19.93%(1) - ----------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -----------------------------------------------------------------------------------------------------------------
(1) Based on 5,160,671 shares of Common Stock issued and outstanding as of June 30, 1998, as disclosed in the Issuer's 10-Q filed with the Securities and Exchange Commission on August 14, 1998. 5 - -------------------------- CUSIP No. 891041105 - -------------------------- - ----------------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 1 Wilco Properties, Inc. - ----------------------------------------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] 2 - ----------------------------------------------------------------------------------------------------------------- SEC USE ONLY 3 - ----------------------------------------------------------------------------------------------------------------- SOURCE OF FUNDS 4 WC - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] 5 N/A - ----------------------------------------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 Texas - ----------------------------------------------------------------------------------------------------------------- SOLE VOTING POWER 7 40,100 ------------------------------------------------------------------------------ NUMBER OF SHARED VOTING POWER SHARES 8 0 BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH SOLE DISPOSITIVE POWER REPORTING 9 40,100 PERSON WITH ------------------------------------------------------------------------------ SHARED DISPOSITIVE POWER 10 0 - ----------------------------------------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,028,250 - ----------------------------------------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 12 N/A - ----------------------------------------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 19.93%(1) - ----------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -----------------------------------------------------------------------------------------------------------------
(1) Based on 5,160,671 shares of Common Stock issued and outstanding as of June 30, 1998, as disclosed in the Issuer's 10-Q filed with the Securities and Exchange Commission on August 14, 1998. 6 This Amendment No. 6 to Schedule 13D (this "Amendment") amends and supplements the Amendment No. 5 to Schedule 13D filed by Lee Global Energy Fund, L.P. (the "Fund"), by furnishing the information set forth below. Unless set forth below, all previous Items are unchanged. Item 2. Identity and Background. Item 2 is hereby amended in its entirety as follows: This Statement is being filed on behalf of (i) the Fund, (ii) G. Thomas Graves III, an individual residing in Texas ("Graves"), (iii) William I. Lee, an individual residing in Texas ("Lee"), and (iv) Wilco Properties, Inc., a Texas corporation ("Wilco"). The principal business of the Fund is investing. The principal business of Wilco is oil and gas exploration. The general partner of the Fund is Gralee Partners, L.P., a Texas limited partnership (the "Gralee Partners"). The principal business of the Gralee Partners is serving as the general partner of the Fund. The general partner of Gralee Partners is Gralee Capital Corp. (the "General Partner"), whose principal business is serving as the general partner of Gralee Partners. The executive officers and directors of the General Partner are as follows: Graves, President; John H. Rauscher, Director; and Lee, Chairman and Director (collectively, the "General Partner Officers"). The address of the principal business and offices of the Fund, Graves, Lee, Wilco, the Gralee Partners and the General Partner is 4809 Cole Avenue, Suite 107, Dallas, Texas 75205. Lee is the controlling stockholder of the General Partner. Each of the General Partner Officers is a U.S. citizen. Graves is principally employed as President, Chief Executive Officer and Director by the Company, and as President and Director by Wilco. Lee is principally employed as Chairman and Chief Executive by Wilco and as Director by the Company. John H. Rauscher is an investor and his address is Preston Royal Village, Suite 202, Dallas, Texas 75230. During the past five years, none of the foregoing persons or entities has been convicted in a criminal proceeding or been a party to a civil proceeding, in either case of the type specified in Items 2(d) or (e) of Schedule 13D. Item 3. Source and Amount of Funds or Other Consideration. Item 3 is hereby amended in its entirety as follows: The total amount of funds required by the Fund for the purchase of 45,650 Shares was approximately $135,379 and was obtained from working capital. The total amount of funds required by Graves for the purchase of 10,000 Shares was approximately $23,732 and was obtained from personal funds. The total amount of funds required by Lee for the purchase of 74,200 Shares was approximately $207,763 and was obtained from personal funds. The total amount of funds required by Wilco for the purchase of 40,100 Shares was approximately $96,908 and was obtained from working capital. Item 4. Purpose of Transaction. Item 4 is hereby amended in its entirety as follows: The Fund, Graves, Lee and Wilco acquired the Shares in the ordinary course of business for investment purposes. The Fund, Graves, Lee and Wilco have no plans or proposals with respect to any of the matters set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D. 7 Item 5. Interest in Securities of the Issuer. Item 5 is hereby amended in its entirety as follows: (a) Pursuant to that certain Joint Filing Agreement, entered into by and among the Fund, Graves, Lee and Wilco, dated as of September 18, 1998 (attached hereto as Exhibit 7.9 and incorporated herein by reference), each of the Fund, Graves, Lee and Wilco may be deemed to beneficially own 1,028,250 shares of the Company's Shares (which is approximately 19.93% of the Shares outstanding on June 30, 1998, as disclosed in the Issuer's 10-Q filed with the Securities and Exchange Commission on August 14, 1998). (b)
Sole Shared Sole Shared Voting Voting Dispositive Dispositive Power Power Power Power ------- ------ ----------- ----------- Lee Global Energy Fund, L.P. 903,950 0 903,950 0 G. Thomas Graves III 10,000 0 10,000 0 William I. Lee 74,200 0 74,200 0 Wilco Properties, Inc. 40,100 0 40,100 0
As a result of being a party to that certain Stockholder Agreement (a copy of which was previously filed as Exhibit 7.5 to Amendment No. 4 to Schedule 13D and is incorporated herein by reference), entered into by and among the Fund, Graves, Lee, Gralee Partners and the General Partner; Mr. Peter Lawrence Falb, Mr. Edward Nathan Dane, Firethorn I Limited Partnership, the Hilary Bell Falb 1983 Trust, the Alison Forslund Falb 1985 Trust, the Forslund Irrevocable Trust, and Dane, Falb, Stone & Co., Inc. (collectively referred to as the "Dane Falb Persons"); and Mr. John V. Ballard, Mr. J. W. Bullion, Mr. Thomas P. Kellogg, Jr., Mr. John Mark McLaughlin, Mr. Peter R. Vig, and Mr. Jack L. Woods, the Fund, Graves and Lee may each be deemed to have indirect beneficial ownership of, and shared voting power with respect to, an additional 26.10% of the Company's Shares, consisting of 858,300 Shares beneficially owned by the Dane Falb Persons (16.63%) (as represented in their Schedule 13D/A filed with the Securities and Exchange Commission on July 30, 1998), 197,924 Shares beneficially owned by Mr. John V. Ballard, Mr. J. W. Bullion, Mr. Thomas P. Kellogg, Jr. and Mr. Jack L. Woods (3.84%) (as represented in the Issuer's definitive proxy material filed with the Securities and Exchange Commission on July 1, 1998), 290,536 Shares beneficially owned by Mr. John Mark McLaughlin (5.63%) (as represented in his Schedule 13D filed with the Securities and Exchange Commission on July 10, 1998), and no Shares beneficially owned by Mr. Peter R. Vig (0.00%) (as represented in his Schedule 13D filed with the Securities and Exchange Commission on August 7, 1998). (c) In the past sixty days, the only transactions in the Shares by the Fund were (i) the purchase of 4,500 Shares on September 16, 1998, for a purchase price per share of $2.765, and (ii) the purchase of 41,150 Shares on September 16, 1998, for a purchase price per share of $2.988. In the past sixty days, the only transactions in the Shares by Graves were (i) the purchase of 2,000 Shares on August 5, 1998, for a purchase price per share of $2.375, (ii) the purchase of 7,500 Shares on August 6, 1998, for a purchase price per share of $2.375, and (iii) the purchase of 500 Shares on August 12, 1998, for a purchase price per share of $2.3393. In the past sixty days, the only transaction in the Shares by Lee was the purchase of 74,200 Shares on July 22, 1998, for a purchase price per share of $2.80. In the past sixty days, the only transactions in the Shares by Wilco were (i) the purchase of 4,500 Shares on August 12, 1998, for a purchase price per share of $2.390, (ii) the purchase of 6,000 Shares on August 20, 1998, for a purchase price per share of $2.438, (iii) the purchase of 18,000 Shares on September 1, 1998, for a purchase price per share of $2.40, (iv) the purchase of 2,000 Shares on September 2, 1998, for a purchase price per share of $2.490, (v) the purchase of 8,100 8 Shares on September 3, 1998, for a purchase price per share of $2.408, and (vi) the purchase of 1,500 Shares on September 10, 1998, for a purchase price per share of $2.563. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. Item 6 is hereby amended in its entirety as follows: Except as set forth in Item 5 hereof, there are no contracts, arrangements, understandings or relationships between the Fund, Graves, Lee or Wilco and any other person with respect to the securities of the Company. Item 7. Material to be Filed as Exhibits. Item 7 is hereby amended in its entirety as follows: 7.9 Joint Filing Agreement, dated as of September 18, 1998, entered into by and among the Fund, Graves, Lee and Wilco. 9 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. Date: September 23, 1998 LEE GLOBAL ENERGY FUND, L.P. By: Gralee Partners, L.P., its general partner By: Gralee Capital Corp., its general partner By: /s/ G. THOMAS GRAVES III -------------------------- Name: G. Thomas Graves III Title: President /s/ G. THOMAS GRAVES III --------------------------------------- G. THOMAS GRAVES III /s/ WILLIAM I. LEE --------------------------------------- WILLIAM I. LEE WILCO PROPERTIES, INC. By: /s/ G. THOMAS GRAVES III ---------------------------------- Name: G. Thomas Graves III Title: President 10 INDEX TO EXHIBITS
EXHIBIT NUMBER EXHIBIT - ------- ------- 7.9 Joint Filing Agreement
EX-7.9 2 JOINT FILING AGREEMENT 1 EXHIBIT 7.9 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Toreador Royalty Corporation, par value $0.15625 per share, and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filings. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement as of the 18th day of September, 1998. LEE GLOBAL ENERGY FUND, L.P. By: Gralee Partners, L.P., its general partner By: Gralee Capital Corp., its general partner By: /s/ G. THOMAS GRAVES III -------------------------- Name: G. Thomas Graves III Title: President /s/ G. THOMAS GRAVES III --------------------------------------- G. THOMAS GRAVES III /s/ WILLIAM I. LEE --------------------------------------- WILLIAM I. LEE WILCO PROPERTIES, INC. By: /s/ G. THOMAS GRAVES III ---------------------------------- Name: G. Thomas Graves III Title: President -----END PRIVACY-ENHANCED MESSAGE-----