-----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, JDwUiOjHoRgpLAX+ND8fQ6qoMqiHbkmBueVQ/UozGlm0p0QoEBbGfpoF8qpIMa0k xjEQ4f7jodsHxciYG1w9PQ== 0000910680-02-000187.txt : 20020414 0000910680-02-000187.hdr.sgml : 20020414 ACCESSION NUMBER: 0000910680-02-000187 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SWANTON NORMAN F CENTRAL INDEX KEY: 0001164034 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 444 RIVERSVILLE ROAD CITY: GREENWICH STATE: CT ZIP: 06830 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WARREN RESOURCES INC CENTRAL INDEX KEY: 0000892986 STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382] IRS NUMBER: 113024080 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78066 FILM NUMBER: 02546689 BUSINESS ADDRESS: STREET 1: 489 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126979660 SC 13G 1 d779629_2.txt DECEMBER 31, 2001 ----------------------------- OMB APPROVAL ----------------------------- OMB Number 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response ..... 14.9 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 WARREN RESOURCES INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.001 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 93564A100 ------------------------------------------------------------------------------ (CUSIP Number) DECEMBER 31, 2001 ----------------------------------------------------------- (Date of Event which requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Statement is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] 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 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. 93564A100 13G Page 2 of 4 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Norman F. Swanton - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 2,954,733 shares of Common Stock of the Issuer OWNED BY ------------------------------------------------------------- EACH REPORTING 6 SHARED VOTING POWER PERSON None WITH ------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 2,954,733 shares of Common Stock of the Issuer ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER None - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,954,733 shares of Common Stock of the Issuer - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (See Instructions) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- CUSIP No. 93564A100 13G Page 3 of 4 Pages - -------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer: Warren Resources Inc. (b) Address of Issuer's Principal Executive Offices: 489 Fifth Avenue New York, NY 10017 ITEM 2. (a) Name of Person Filing: Norman F. Swanton (b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of Norman F. Swanton is c/o Warren Resources Inc., 489 Fifth Avenue, New York, NY 10017. (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $.001 par value per share (e) CUSIP Number: 93564A100 ITEM 3. If this statement is filed pursuant toss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Not applicable. This statement is filed pursuant to Rule 13d-1(d) ITEM 4. OWNERSHIP. (a) Amount beneficially owned by reporting person is 2,954,733 shares of Common Stock of the Issuer, consisting of 2,504,733 that are issued and outstanding, 450,000 shares issuable upon exercise of outstanding stock options exercisable at $10 per share for a period ending September 2006 and 25,000 shares of Common Stock held in a charitable foundation for which the reporting person is a trustee with voting power. The reporting person also holds 150,000 outstanding stock options that are not exercisable until January 1, 2003. (b) Percent of class: The reporting person holds 16.4% of the Issuer's issued and outstanding Common Stock (based on 17,537,579 shares of Common Stock of the Issuer issued and outstanding as of September 30, 2001 as stated in the Registration Statement on Form 10 of the Issuer filed on October 26, 2001). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 2,954,733 shares of Common Stock of the Issuer (ii) Shared power to vote or to direct the vote: None (iii) Sole power to dispose or to direct the disposition of: 2,954,733 shares of Common Stock of the Issuer (iv) Shared power to dispose or to direct the disposition of: None Item 5. Ownership of Five Percent or Less of a Class Not applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable CUSIP No. 93564A100 13G Page 4 of 4 Pages - -------------------------------------------------------------------------------- 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 Item 10. Certification Not applicable SIGNATURE 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. February 14, 2002 ---------------------------------- Date /s/ Norman F. Swanton ---------------------------------- Signature Norman F. Swanton ---------------------------------- Name -----END PRIVACY-ENHANCED MESSAGE-----