-----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, GCLdxSHBIFU9sBw4LDGBRkvPMosWDSDTUlR+jQVeQP2+MFIdBuRSHPspl2IgS772 Pe9K+0YCCts1NkmeuIs0hQ== 0001058217-98-000051.txt : 19980803 0001058217-98-000051.hdr.sgml : 19980803 ACCESSION NUMBER: 0001058217-98-000051 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980730 SROS: NONE GROUP MEMBERS: DANE EDWARD NATHAN ET AL GROUP MEMBERS: DANE, FALB, STONE & CO., INC. GROUP MEMBERS: EDWARD NATHAN DANE GROUP MEMBERS: FIRETHORN I LIMITED PARTNERSHIP 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: 98674039 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 AMENDMENT NO.7 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A-7 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.7) TOREADOR ROYALTY CORPORATION - -------------------------------------------------------------------------------- (Name of issuer) 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 23, 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 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 SCHEDULE 13D/A-7 Page 2 of 7 Pages - -------------------------------------------------------------------------------- 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 112,000 NUMBER OF -------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 746,300 EACH -------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH: 112,000 -------------------------------------------------- 10. SHARED DISPOSITIVE POWER 746,300 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 858,300 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.67% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON IN ================================================================================ - -------------------------- -------------------------- CUSIP No. 891041 10 5 SCHEDULE 13D/A-7 Page 3 of 7 Pages - -------------------------------------------------------------------------------- 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 NUMBER OF -------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 746,300 EACH -------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 10. SHARED DISPOSITIVE POWER 746,300 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 746,300 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.50% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON IN ================================================================================ - -------------------------- -------------------------- CUSIP No. 891041 10 5 SCHEDULE 13D/A-7 Page 4 of 7 Pages - -------------------------------------------------------------------------------- 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 170,000 NUMBER OF -------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH: 170,000 -------------------------------------------------- 10. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,000 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.30% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON PN ================================================================================ - -------------------------- -------------------------- CUSIP No. 891041 10 5 SCHEDULE 13D/A-7 Page 5 of 7 Pages - -------------------------------------------------------------------------------- 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 575,500 NUMBER OF -------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 800 EACH -------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON WITH: 575,500 -------------------------------------------------- 10. SHARED DISPOSITIVE POWER 800 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 576,300 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.19% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON IA ================================================================================ CUSIP No. 891041 10 5 The Schedule 13D previously filed by the undersigned (the "Reporting Persons") with respect to the Common Stock, $.15625 par value, of Toreador Royalty Corporation (the "Company") is hereby amended as follows: Item 4 is hereby supplemented as follows: ITEM 4 PURPOSE OF TRANSACTION: Edward Nathan Dane and Peter L. Falb were elected to the Company's Board of Directors by vote of a majority of the stockholders at the Company's 1998 Annual Meeting of Stockholders held on July 23, 1998. 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 858,300 16.67% Edward Nathan Dane 746,300 14.50% Dane, Falb, Stone & Co. Inc. 576,300 11.19% Firethorn I Limited Partnership 170,000 3.30%
ITEM 5(B)
SOLE SHARED SOLE SHARED VOTING VOTING DISPOSITIVE DISPOSITIVE POWER POWER POWER POWER ------ ------ ----------- ----------- Peter L. Falb 112,000 746,300 112,000 746,300 Edward Nathan Dane -- 746,300 -- 746,300 Dane, Falb, Stone & Co., Inc. 575,500 800 575,500 800 Firethorn I Limited Partnership 170,000 -- 170,000 --
As a result of being a party to a Stockholder Voting Agreement dated as of June 25, 1998, by and among the members of the current Board of Directors of the Company and certain stockholders of the Company, the Reporting Persons may be deemed to have indirect beneficial ownership of, and shared voting power with respect to, an additional 26.67% of the Company's Common Stock, consisting of 567,400 shares of Common Stock beneficially owned by the Gralee Persons (11.02%), and 785,960 shares of Common Stock beneficially owned by the Current Board (15.27%). ITEM 5(C) TRANSACTIONS IN THE PAST SIXTY DAYS:
NAME OF PERSON DATE NUMBER OF SHARES PRICE -------------- ---- ---------------- ----- Dane Falb 7/17/98 2,000 $6,000 Dane Falb 7/17/98 1,000 $2,875 Peter Falb 7/21/98 1,000 $1,000
Page 6 of 7 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.
July 30, 1998 /s/ Peter L. Falb ---------------------------------------- July 30, 1998 /s/ Edward Nathan Dane ---------------------------------------- DANE, FALB, STONE & CO., INC. July 30, 1998 By: /s/ Peter L. Falb, Treasurer ------------------------------------ July 30, 1998 By: /s/ Edward Nathan Dane, President ------------------------------------ FIRETHORN I LIMITED PARTNERSHIP By: FIRETHORN II LIMITED PARTNERSHIP, its general partner By: EAGLEROCK CORPORATION, its general partner July 30, 1998 By: /s/ Peter L. Falb, Treasurer ------------------------------------ July 30, 1998 By: /s/ Edward Nathan Dane, President ------------------------------------
Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----