-----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, T32v00SLTxSjXGcdCyJCn/YFv4RgYwzn7VuBEezsEYbrrhv4swPqRWDLNcvsXuxJ AiFxMG1sNRNb3iIevdUZfQ== 0000950136-02-001035.txt : 20020416 0000950136-02-001035.hdr.sgml : 20020416 ACCESSION NUMBER: 0000950136-02-001035 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020312 FILED AS OF DATE: 20020410 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA HOSPITALITY CORP CENTRAL INDEX KEY: 0000906780 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING & DRINKING PLACES [5810] IRS NUMBER: 133714474 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 02606871 BUSINESS ADDRESS: STREET 1: 29-76 NORTHERN BOULEVARD STREET 2: 2ND FLOOR CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 BUSINESS PHONE: 718-685-3014 MAIL ADDRESS: STREET 1: 29-76 NORTHERN BOULEVARD STREET 2: 2ND FLOOR CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 COMPANY DATA: COMPANY CONFORMED NAME: NEW YORK GAMING LLC CENTRAL INDEX KEY: 0001169308 OWNER IRS NUMBER: 300030943 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: ALPHA HOSPITALITY CORP STREET 2: 29-76 NORTHERN BLVD CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 BUSINESS PHONE: 7186853014 MAIL ADDRESS: STREET 1: ALPHA HOSPITALITY CORP STREET 2: 29-76 NORTHERN BLVD CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 3 1 file001.txt FORM 3 SEC 1473 (02-02) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. ------------------------------ 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, DC 20549 FORM 3 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* New York Gaming, LLC - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Alpha Hospitality Corporation, 29-76 Northern Blvd - 2nd Floor - -------------------------------------------------------------------------------- (Street) Long Island City, NY 11101 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 03/12/2002 - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Alpha Hospitality Corporation ("ALHY") - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [x](1) 10% Owner [_] Officer (give title below) [x](1) Other (specify below) - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form Filed by One Reporting Person [x] 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) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.01 par value per share ("Common Stock") 575,874 D (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 575,874 I (3) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 5,758 I (4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 29,803 I (5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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 5(b)(v). (Over) 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) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ NONE - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) This filing is made jointly by members of a 13D group (the "Group") that is beneficial owner of more than 10% of the class. (2) These securities are owned directly by New York Gaming, LLC, which is a member of the Group with Robert A. Berman, Scott A. Kaniewski, Philip Berman, Watertone Holdings, LP, and BKB, LLC for purposes of Section 13(d) of the Securities Exchange Act of 1934. (3) These securities are owned indirectly by Watertone Holdings, LP, as sole manager of New York Gaming, LLC. (4) These securities are owned indirectly by BKB, LLC, which holds a 1% General Partnership interest in Watertone Holdings, LP. (5) These securities are owned indirectly by Philip Berman, who holds a 25% membership interest in BKB, LLC and a 4.95% Limited Partnership interest in Watertone Holdings, LP. NEW YORK GAMING, LLC By: Watertone Holdings, LP, Its manager By: BKB, LLC, Its General Partner By: /s/ Robert A. Berman April 9, 2002 --------------------------------------------- --------------- **Signature of Reporting Person Date Name: Robert A. Berman, Its Managing Member ** 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. Name: BKB, LLC Address: c/o Alpha Hospitality Corporation, 29-76 Northern Blvd - 2nd Floor Long Island City, NY 11101 Designated Filer: New York Gaming, LLC Issuer & Ticker Symbol: Alpha Hospitality Corporation ("ALHY") Date of Event Requiring Statement: 03/12/02 Signature: BKB, LLC By: /s/ Robert A. Berman ----------------------------- Robert A. Berman Its Managing Member - ---------------------------------------------------------------------- Name: Watertone Holdings, LP Address: c/o Alpha Hospitality Corporation, 29-76 Northern Blvd - 2nd Floor Long Island City, NY 11101 Designated Filer: New York Gaming, LLC Issuer & Ticker Symbol: Alpha Hospitality Corporation ("ALHY") Date of Event Requiring Statement: 03/12/02 Signature: WATERTONE HOLDINGS, LP By: BKB, LLC, Its General Partner By: /s/ Robert A. Berman ----------------------------- Robert A. Berman Its Managing Member - ---------------------------------------------------------------------- Name: Philip Berman Address: 51 Ryan Court New Windsor, New York 12553 Designated Filer: New York Gaming, LLC Issuer & Ticker Symbol: Alpha Hospitality Corporation ("ALHY") Date of Event Requiring Statement: 03/12/02 Signature: /s/ Philip Berman ----------------------------- -----END PRIVACY-ENHANCED MESSAGE-----