-----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, WHh9Jz3+90Tz/oYZBrnz7V00DgEVfqNEccAknSrHjCVMn2vwET5X8NtgOrGp0+Ca nFhkyVtwWfsmbVNOChaZhw== 0000902664-04-000493.txt : 20040217 0000902664-04-000493.hdr.sgml : 20040216 20040217133350 ACCESSION NUMBER: 0000902664-04-000493 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEVIN JOHN A & CO INC /NY/ CENTRAL INDEX KEY: 0000811349 IRS NUMBER: 133134273 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE ROCKFELLER PLZ 25TH FL CITY: NEW YORK STATE: NY ZIP: 10020 MAIL ADDRESS: STREET 1: ONE ROCKEFELLER PLZ CITY: NEW YORK STATE: NY ZIP: 10020 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RELIANT RESOURCES INC CENTRAL INDEX KEY: 0001126294 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 760655566 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78063 FILM NUMBER: 04606657 BUSINESS ADDRESS: STREET 1: RELIANT ENERGY INC STREET 2: 1000 MAIN STREET CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132073000 MAIL ADDRESS: STREET 1: 1000 MAIN STREET CITY: HOUSTON STATE: TX ZIP: 77002 SC 13G/A 1 srz04-0209.txt RELIANT RESOURCES, INC./SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------- SCHEDULE 13G/A (Rule 13d-102) ---------------- INFORMATION TO BE INCLUDED IN STATEMENTS PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 1)* Reliant Resources, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 75952B105 (CUSIP Number) December 31, 2003 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) - ----------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 75952B105 13G/A PAGE 2 OF 7 - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John A. Levin & Co., Inc. 13-3134273 - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [x] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 91,950 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 25,050 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 91,950 REPORTING -------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 375,250 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 467,200 - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .16% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IA - --------------------------------------------------------------------------- CUSIP No. 75952B105 13G/A PAGE 3 OF 7 - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BKF Capital Group, Inc. 36-0767530 - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [x] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 91,950 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 25,050 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 91,950 REPORTING -------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 375,250 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 467,200 - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .16% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON HC - ----------------------------------------------------------------------------- CUSIP No. 75952B105 13G/A PAGE 4 OF 7 This is Amendment No. 1 to the Schedule 13G of John A. Levin & Co., Inc. and BKF Capital Group, Inc., with respect to the Common Stock, $.001 par value (the "Common Stock"), of Reliant Resources, Inc. (the "Company"). The Schedule 13G is hereby amended and restated in its entirety as follows: ITEM 1(a). NAME OF ISSUER: Reliant Resources, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1111 Louisiana, Houston, TX 77002 ITEM 2(a). NAME OF PERSON FILING: John A. Levin & Co., Inc. ("Levin & Co.") BKF Capital Group, Inc. ("BKF") ITEM 2(b). ADDRESS OF PRINCIPAL OFFICE OR, IF NONE, RESIDENCE: John A. Levin & Co., Inc. BKF Capital Group, Inc. One Rockefeller Plaza One Rockefeller Plaza New York, New York 10020 New York, New York 10020 ITEM 2(c). CITIZENSHIP: Levin & Co. and BKF are each corporations organized under the laws of the State of Delaware. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.001 par value. ITEM 2(e). CUSIP NUMBER: 75952B105 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under Section 15 of the Act (b) [ ] Bank as defined in Section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940 (e) [x] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940: see Rule 13d- 1(b)(1)(ii)(E) (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) CUSIP No. 75952B105 13G/A PAGE 5 OF 7 (g) [x] Parent Holding Company, in accordance with Rule 13d- 1(b)(ii)(G); (h) [ ] Savings Associations as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940; (j) ( ) Group, in accordance with Rule 13d-1(b)(1)(ii)(J). IF THIS STATEMENT IS FILED PURSUANT TO Rule 13d-1(c), CHECK THIS BOX. [ ] ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 467,200 (b) Percentage of Class: .16% (based on the 299,804,000 shares of Common Stock, reported to be outstanding as of November 10, 2003, as reflected in the Company's Form 10-K for the fiscal year ended September 30, 2003.) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 91,950 (ii) shared power to vote or to direct the vote: 25,050 (iii) sole power to dispose or to direct the disposition of: 91,950 (iv) shared power to dispose or to direct the disposition of: 375,250 Levin & Co., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, as amended, holds for the accounts of its investment advisory clients, and thereby beneficially owns, within the meaning of Rule 13d-3 under the Securities Exchange Act of 1934, the foregoing shares of Common Stock. BKF is the sole shareholder of Levin Management Co., Inc., a Delaware corporation which is the sole shareholder of Levin & Co. BKF, therefore, may be deemed the beneficial owner of the shares of Common Stock held by Levin & Co. CUSIP No. 75952B105 13G/A PAGE 6 OF 7 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. [x] The reporting persons have ceased to be beneficial owners of more than five percent of the class of securities. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. CUSIP No. 75952B105 13G/A PAGE 7 OF 7 ITEM 10. CERTIFICATION. (if filing pursuant to Rule 13d-1(b)) By signing below, Levin & Co. and BKF certify that, to the best of their knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. DATED: February 13, 2004 JOHN A. LEVIN & CO., INC. /s/ Norris Nissim --------------------------- Norris Nissim Vice President and General Counsel BKF Capital Group, Inc. /s/ Norris Nissim --------------------------- Norris Nissim Vice President and General Counsel -----END PRIVACY-ENHANCED MESSAGE-----