-----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, TJ0wipseVdPtC1xZjVQ7jzcMZqja7WOq92QZdh8wuaiFLs+V/WfNIYsmk2bwJi3e rmW2miDkxvA8uqnK3dRq7A== 0000950136-02-001040.txt : 20020416 0000950136-02-001040.hdr.sgml : 20020416 ACCESSION NUMBER: 0000950136-02-001040 CONFORMED SUBMISSION TYPE: 4 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12522 FILM NUMBER: 02607013 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: BERMAN ROBERT ALAN CENTRAL INDEX KEY: 0001169337 OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ALPHA HOSPITALITY CORP STREET 2: 29-76 NORTHERN BLVD CITY: LONG ISLAND CITY STATE: NY ZIP: 11101 BUSINESS PHONE: 7186853014 4 1 file001.txt 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 ================================================================================ 1. Name and Address of Reporting Person* Berman Robert A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Alpha Hospitality Corporation, 29-76 Northern Blvd - 2nd Floor - -------------------------------------------------------------------------------- (Street) Long Island City, NY 11101 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Alpha Hospitality Corporation ("ALHY") ================================================================================ 3. IRS Or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year March 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [x] Director [x](1) 10% Owner [x] Officer (give title below) [x](1) Other (specify below) Chairman of the Board. ---------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================ Form 4 (continued)
=============================================================================================================== TABLE I--NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED =============================================================================================================== 1.Title of 2. Trans- 5. Amount of 6. Owner- Security action 3. Trans- 4. Securities Acquired (A) Securities ship (Instr. 3) Date action or Disposed of (D) Beneficially Form: 7. Nature of (Month/ Code (Instr. 3, 4 and 5) Owned at Direct Indirect Day/ (Instr. 8) ---------------------- End of Month (D) or Beneficial Year) ---------- (A) or (Instr. 3 and 4) Indirect I) Ownership Code V Amount (D) Price (Instr. 4) (Instr. 4) - --------------------------------------------------------------------------------------------------------------- Common Stock, $0.01 par value per share 03/12/02 J(2) 389,527 A (2) 389,527 I (3) - --------------------------------------------------------------------------------------------------------------- 600 D - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------
Form 4 (continued)
=============================================================================================================== =============================================================================================== Table II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) =============================================================================================== 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Derivative Security (Instr. 3) sion or action tion Securities Acquired Exercise Date Code (A) or Disposed Price of (Month/ (Instr. 8) of (D)(Instr. 3,4, and 5) Derivative Day/ ----------- ------------------------- Security Year) Code V (A) (D) - ----------------------------------------------------------------------------------------------- NONE - ----------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------- =========================================================================================================== 6. Date Exercisable and Expiration 7. Title and Amount of 9. Number 10. Ownership Date (Month/ Underlying Securities of Derivative Form of Day/Year) (Instr. 3 and 4) Securities Derivative 11. Nature of ---------------- -------------------- 8. Price of Beneficially Security: Indirect Date Expira- Amount or Derivative Owned at Direct (D) Beneficial Exer- tion Number of Security End of Month or Indirect Ownership cisable Date Title Shares (Instr.5) (Instr. 4) (I)(Instr.4) (Instr.4) - ----------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------- ===========================================================================================================
Explanation of Responses: (1) Member of a group (the "Group") that is beneficial owner of more than 10% of the class for purposes of Section 13(d) of the Securities Exchange Act of 1934. The other members of the Group are: Scott A. Kaniewski; Philip Berman; New York Gaming, LLC ("NYG"); Watertone Holdings, LP ("Watertone"); and BKB, LLC. Watertone is the sole manager of NYG. BKB, LLC is the General Partner of Watertone and holds a 1% interest in Watertone. (2) On March 12, 2002, the Issuer consummated the acquisition of 47.5% of the economic interests previously held by Watertone in the casino and racetrack business components of the business of Catskill Development, L.L.C. In partial consideration for such economic interests, the Issuer issued 575,874 shares of its Common Stock to Watertone. All of such shares are currently held by NYG. BKB, LLC, which holds a 1% General Partnership interest in Watertone Holdings, LP. (3) These securities are owned directly by NYG and indirectly by the Reporting Person. The Reporting Person holds a 50% membership interest in BKB, LLC, a 46.305% Limited Partnership interest in Watertone and an 88% interest in a family limited partnership that holds a 26.6775% Limited Partnership interest in Watertone. The Reporting Person disclaims beneficial ownership of the other 13,362 shares of the Issuer held indirectly by such family limited partnership. /s/ Robert A. Berman April 9, 2002 - ------------------------------------- ----------------------- **Signature of Reporting Person Date Name: Robert A. Berman - ---------- ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----