-----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, Tp3YhQPOosrDUKuGRvw2PAnk6fiSBrXHVlKSooUlxovCRiKVJWn9niQm7x7JoJCa +m47GKm0OcWN7CZIbVCecA== 0000892569-99-002751.txt : 19991025 0000892569-99-002751.hdr.sgml : 19991025 ACCESSION NUMBER: 0000892569-99-002751 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STAR BUFFET INC CENTRAL INDEX KEY: 0001043156 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 841430786 STATE OF INCORPORATION: DE FISCAL YEAR END: 0125 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-53257 FILM NUMBER: 99732455 BUSINESS ADDRESS: STREET 1: 1312 N SCOTTSDALE ROAD CITY: SCOTTSDALE STATE: AZ ZIP: 85257 BUSINESS PHONE: 6024250397 MAIL ADDRESS: STREET 1: 1312 N SCOTTSDALE ROAD CITY: SCOTTSDALE STATE: AZ ZIP: 85247 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHEATON ROBERT E CENTRAL INDEX KEY: 0001062115 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1200 NORTH HARBOR BOULEVARD CITY: ANQHEIM STATE: CA ZIP: 92801 BUSINESS PHONE: 7147745796 MAIL ADDRESS: STREET 1: 1200 NORTH HARBOR BOULEVARD CITY: ANQHEIM STATE: CA ZIP: 92801 SC 13D/A 1 AMENDMENT NO. 9 TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 9 to SCHEDULE 13D Under the Securities Exchange Act of 1934 STAR BUFFET, INC. --------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 855086-10-4 (CUSIP Number) Robert E. Wheaton Star Buffet, Inc. 440 Lawndale Drive Salt Lake City, Utah 84115 (801) 463-5500 October 14, 1999 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 3d-1(b) (3) or (4), check the following [ ]. Check the following box if a fee is being paid with the statement [ ]. Page 1 of 4 2 CUSIP NO.: 855086-10-4 (1) NAME OF REPORTING PERSON: S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Robert E. Wheaton ###-##-#### (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] (3) SEC USE ONLY (4) SOURCE OF FUNDS: PF (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 3(d) or 3(e) [ ] (6) CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: (7) SOLE VOTING POWER: 847,400 as of October 14, 1999 (8) SHARED VOTING POWER: 0 (9) SOLE DISPOSITIVE POWER: 847,400 as of October 14, 1999 (10) SHARED DISPOSITIVE POWER: 0 (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 847,400 shares + 239,237 shares in exercisable stock options (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [ ] (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 34.1% (inclusive of stock options) as of October 14, 1999 (14) TYPE OF REPORTING PERSON: PN Page 2 of 4 3 Item 1 (a) Title of Class of Securities: Common Stock $.001 Par Value (b) Name of Issuer: Star Buffet, Inc. (c) Address of Issuer's Principal Executive Offices: 440 Lawndale Drive Salt Lake City, Utah 84115 Item 2 (a) Identity and Background of Reporting Person: Robert E. Wheaton (b) Business Address: 440 Lawndale Drive Salt Lake City, Utah 84115 (c) Principal Occupation and Business Address: Chairman, President and Chief Executive Officer STAR BUFFET, INC. 440 Lawndale Drive Salt Lake City, Utah 84115 (d) Reporting Person has never been convicted in any criminal proceeding, excluding traffic violations. (e) Reporting Person has never been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction wherein such a proceeding resulted in or was subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3 - Source and Amount of Funds or Other Consideration: The transaction which subjected Reporting Person to this filing requirement occurred on October 14, 1999, wherein Reporting Person's ownership interest in Issuer was increased to 34.1% of the issued and outstanding common stock of Issuer, including exercisable options, as a result of the purchase of Reporting Person of shares of common stock of the Issuer on the open market as follows: August 2, 1999 11,500 October 8, 1999 3,800 August 9, 1999 6,000 October 12, 1999 1,200 September 13, 1999 5,000 October 14, 1999 6,700 for an aggregate purchase price of $164,419.50. Item 4 - Purpose of Transaction: Reporting Person purchased such shares of Issuer's stock referred to above for the purpose of investment. Page 3 of 4 4 Item 5 - Interest in Securities of Issuer: (a) Amount Beneficially Owned: 847,400 + 239,237 shares in exercisable stock options as of October 14, 1999 Percent of Class: Approx. 34.1% (includes exercisable stock options) as of October 14, 1999 (b) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: 847,400 shares (ii) Shared Power to vote or to direct the vote: NONE (iii) Sole power to dispose or to direct the disposition: 847,400 (iv) Shared power to dispose or to direct the disposition of: NONE (c) None. (d) NOT APPLICABLE (e) NOT APPLICABLE Item 6 - Contracts, Arrangements, Understandings or Relationships with Respect to Securities of Issuer: NONE Item 7 - Material filed as Exhibits in support of transaction prompting filing: NONE 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. October 22, 1999 /s/ ROBERT E. WHEATON ---------------------------------- Robert E. Wheaton Chairman, President and Chief Executive Officer Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----