-----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, TPSN8cTvNjW1c7QseBndTLdj95jBTpp5GJO4aFw7yXA5FfhWPx4ZdM8A+fJ6ZFkg ugWAu0jKteHS5vGvFzOJBg== 0000902664-03-000521.txt : 20030327 0000902664-03-000521.hdr.sgml : 20030327 20030327171533 ACCESSION NUMBER: 0000902664-03-000521 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980331 FILED AS OF DATE: 20030327 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TROON PARTNERS LP CENTRAL INDEX KEY: 0001029635 IRS NUMBER: 522007300 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-08003 FILM NUMBER: 03621814 BUSINESS ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER STREET 2: 200 LIBERTY STREET 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 2126675369 MAIL ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER STREET 2: 200 LIBERTY STREET 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CIBC WORLD MARKETS CORP CENTRAL INDEX KEY: 0001056527 RELATIONSHIP: OTHER IRS NUMBER: 132798343 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 417 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2126677000 MAIL ADDRESS: STREET 1: 417 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: CIBC OPPENHEIMER CORP DATE OF NAME CHANGE: 19990326 4 1 srz9398557v1.txt TROON PARTNERS, L.P. 03/31/98 FORM 4 - -------- ----------------------------- FORM 4 OMB APPROVAL - -------- ----------------------------- - ----- Check this box if no longer OMB Number: 3235-0287 subject to Section 16. Form 4 Expires: January 31, 2005 - ----- or Form 5 obligations may Estimated average burden continue. SEE Instruction 1(b). hours per response .... 0.5 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ----------------------------------------------------------------------------- 1. Name and Address of Reporting Person* CIBC World Markets Corp. - ---------------------------------------------------- (Last) (First) (Middle) 622 Third Avenue - ---------------------------------------------------- (Street) New York NY 10017 - ----------------------------------------------------- (City) (State) (Zip) - ----------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Troon Partners, L.P. (no ticker symbol) - ----------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ----------------------------------------------------------------------------- 4. Statement for Month/Day/Year 03/31/98 - ----------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------------------------- Page 1 of 5 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [X] Other (specify below) Managing Member of Investment Adviser - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person - ----------------------------------------------------------------------------- Page 2 of 5 ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2A. 3. Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ------------------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Troon Partners, L.P., Limited Partnership Interests (the "Interests") 03/31/98 S $2,848,564 D $680,634(1) I (2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). Page 3 of 5 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number 10. of Owner- deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature or Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity yy) yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Following the withdrawal, as of April 1, 1998, CIBC World Markets Corp. ("CIBC WM") indirectly owned 0.42% of the Limited Partnership Interests of Troon Partners, L.P. (the "Interests"). (2) CIBC WM is the managing member of Troon Management, L.L.C. ("Troon"), which serves as the investment adviser of Troon Partners, L.P. (the "Issuer") pursuant to the investment advisory arrangements between Troon and the Issuer found within the First Amended and Restated Limited Partnership Agreement of the Issuer dated as of February 10, 1999. The Interest in the Issuer is held directly by Troon and indirectly by CIBC WM by virtue of its interest in Troon. The filing of this statement with the inclusion of the foregoing information shall not be construed as an admission that CIBC WM is the beneficial owner of any equity securities of the Issuer except as to those securities in which CIBC WM may be deemed to have an indirect pecuniary interest pursuant to rule 16a-1(a)(2). Page 4 of 5 * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. CIBC WORLD MARKETS CORP. BY: /s/ Howard M. Singer 03/26/03 --------------------------------- -------- Name: Howard M. Singer Date Title: Managing Director Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----