-----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, NSXLAbtIbQqE5JoPUnVp7kyOp4zLI2TUbGgkwv3B3ajy8OLAu/OZhMKdPiGYl8g0 eUDFVKO8Z9sJXVMpiLnKzQ== 0000950110-96-001523.txt : 19961205 0000950110-96-001523.hdr.sgml : 19961205 ACCESSION NUMBER: 0000950110-96-001523 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961204 SROS: BSE SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL PROPERTIES INC /RI/ CENTRAL INDEX KEY: 0000202947 STANDARD INDUSTRIAL CLASSIFICATION: LESSORS OF REAL PROPERTY, NEC [6519] IRS NUMBER: 050386287 STATE OF INCORPORATION: RI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-06037 FILM NUMBER: 96675756 BUSINESS ADDRESS: STREET 1: ONE HOSPITAL TRUST PLZ STE 920 CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4013310100 MAIL ADDRESS: STREET 1: ONE HOSPITAL TRUST PLAZA STREET 2: SUITE 920 CITY: PROVIDENCE STATE: RI ZIP: 02903 FORMER COMPANY: FORMER CONFORMED NAME: PROVIDENCE & WORCESTER CO/RI/ DATE OF NAME CHANGE: 19840801 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAD LANCE S CENTRAL INDEX KEY: 0000941452 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1250 FENCE ROW DRIVE CITY: RAIRFIELD STATE: CT ZIP: 06430 BUSINESS PHONE: 2032595291 MAIL ADDRESS: STREET 1: 1250 FENCE ROW DRIVE CITY: FAIRFIELD STATE: CT ZIP: 06430 SC 13D 1 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP Page 1 of 4 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __)* CAPITAL PROPERTIES, INC. ---------------------------- (Name of Issuer) COMMON STOCK, (PAR VALUE $1.00 PER SHARE) ----------------------------------------- (Title of Class of Securities) 140430109 -------------- (CUSIP Number) LANCE S. GAD, 1250 FENCE ROW DR., FAIRFIELD, CT 06430 (203) 259-5291 -------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 27, 1996 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) 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 13d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to the "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). SCHEDULE 13D - ---------------------------- -------------------------------- CUSIP No. 140430109 Page 2 of 4 Pages - ---------------------------- -------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Lance S. Gad S.S. # ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| Not Applicable - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| Not Applicable - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER 54,760 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER 0 OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 54,760 REPORTING --------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER 0 WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,760 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| Not Applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. -2- Page 3 of 4 Pages 1. Security and Issuer Common stock, par value $1.00 per share. 2. Identity and Background (a) Lance S. Gad; (b) Business address: 1250 Fence Row Drive, Fairfield, CT 06430; (c) Private money management; (d) No; (e) No; and (f) United States of America 3. Source and Amount of Funds or Other Consideration Personal funds on hand. 4. Purpose of Transaction Stock was acquired solely for investment purposes. Lance S. Gad has no present plans or intentions which relate to or would result in any of the actions indicated in items (a) - (j). 5. Interest in Securities of the Issuer (a) 54,760 shares; 5.5% of the class (b) Sole voting and disposition power (c) Lance S. Gad purchased 5,000 shares on the Boston Stock Exchange on November 27, 1996 at $8.2558 per share including commission to the broker effecting the transaction. Total cost of the 5,000 shares was $41,279.00. This was the only transaction within the 60 day reporting period. (d) Not Applicable (e) Not Applicable 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None Page 4 of 4 Pages 7. Material to be filed as Exhibits Not Applicable 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. December 4, 1996 /s/ LANCE S. GAD - ------------------------------------- --------------------------------- Date Lance S. Gad -----END PRIVACY-ENHANCED MESSAGE-----