-----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, LqMOfRA8uLFMaIKYusX0mq3yiVOkrVIT5wrmM3nwyEelb8k0iPgWD/IUKDZmqCBO EVCK9HRQ5L1VrKJCnxV8+g== 0000902664-03-000529.txt : 20030327 0000902664-03-000529.hdr.sgml : 20030327 20030327172411 ACCESSION NUMBER: 0000902664-03-000529 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990714 FILED AS OF DATE: 20030327 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WHISTLER FUND LLC CENTRAL INDEX KEY: 0001089876 IRS NUMBER: 134068791 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-09425 FILM NUMBER: 03621953 BUSINESS ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 2126675030 MAIL ADDRESS: STREET 1: 200 LIBERTY STREET 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: 3 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 3 1 srz9386868v1.txt WHISTLER FUND, L.L.C. 07/14/99 FORM 3 - -------- ----------------------------- FORM 3 OMB APPROVAL - -------- ----------------------------- OMB Number: 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response 0.5 ----------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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. Date of Event Requiring Statement (Month/Day/Year) 07/14/99 - ----------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) - ----------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Whistler Fund, L.L.C. (no ticker symbol) - ----------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title Below) [ x ] Other (Specify below) Managing Member of Investment Adviser - ----------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [ x ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person - ----------------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Whistler Fund, L.L.C., Limited Liability Company Interests (the "Interests")(1) None(1) N/A N/A - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) CIBC World Markets Corp. ("CIBC WM") is the managing member of CIBC Oppenheimer Advisers, L.L.C. ("CIBCOA"), which serves as the investment adviser of Whistler Fund, L.L.C. (the "Issuer") pursuant to an investment advisory agreement between the Issuer and CIBCOA dated July 14, 1999. The Interest in the Issuer is held directly by CIBCOA and indirectly by CIBC WM by virtue of its interest in CIBCOA. 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). *If the Form is filed by more than one Reporting Person, see instruction 5(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). CIBC WORLD MARKETS CORP. By: /s/ Howard Singer 03/26/03 --------------------------------- -------- Name: Howard Singer Date Title: Managing Director Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----