-----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, K7MwZAvCTHSnwSxY/tu6uajSsCnailEYHSpnEbDHi2KRPsjX9B6VBJs1CeVjZYTQ EPM16xMLc9hJ8BiXDNGh5Q== 0001021408-01-511205.txt : 20020412 0001021408-01-511205.hdr.sgml : 20020412 ACCESSION NUMBER: 0001021408-01-511205 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICKSE JAY S CENTRAL INDEX KEY: 0001162815 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 77 PUTTING GREEN RD CITY: TRUMBULL STATE: CT ZIP: 06611 BUSINESS PHONE: 2129351970 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHELLS SEAFOOD RESTAURANTS INC CENTRAL INDEX KEY: 0000935066 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 650427966 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46593 FILM NUMBER: 1810365 BUSINESS ADDRESS: STREET 1: 16313 N DALE MABRY HWY STREET 2: STE 100 CITY: TAMPA STATE: FL ZIP: 33618 BUSINESS PHONE: 8139610944 MAIL ADDRESS: STREET 1: 16313 NORTH DALE MABRY STREET 2: SUITE 100 CITY: TAMPA STATE: FL ZIP: 33618 SC 13G 1 dsc13g.txt SCHEDULE 13G FOR JAY S. NICKSE SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 SHELLS SEAFOOD RESTAURANTS, INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 822809 10 9 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] 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. 822809 10 9 Page 2 of 4 Pages - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (Entities Only) Mr. Jay S. Nickse - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2. (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 381,656 shares* SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 0 shares ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 381,656 shares* PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 0 shares* - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 381,656 shares* * Includes presently exercisable options to purchase an aggregate of 13,000 shares of Common Stock, $.01 par value per share of Shells Seafood Restaurants, Inc. - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11. 8.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12. IN - ------------------------------------------------------------------------------ Page 3 of 4 Item 1(a) NAME OF ISSUER: Shells Seafood Restaurants, Inc. (the "Company") Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 16313 North Dale Mabry Highway Suite 100 Tampa, Florida 33618 Item 2(a) NAME OF PERSON FILING: Jay S. Nickse Item 2(b) Address of Principal Business Office, or if none, Residence: c/o Adler & Co. 645 Madison Ave, 14/th/ Flr New York, New York 10022 Item 2(c) CITIZENSHIP: United States Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 (the "Common Stock") Item 2(e) CUSIP NUMBER: 822809 10 9 Item 3 SEC USE Item 4 OWNERSHIP: (a) Amount Beneficially Owned: See Item 9 of the cover page attached hereto which includes: (i) 368,656 shares of Common Stock owned directly by the Reporting Person; and (ii) options to purchase 13,000 shares of Common Stock which are presently exercisable at any time up to May 16, 2002. (b) Percent of Class: 8.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 381,656 consisting of (i) 368,656 shares of Common Stock owned directly by the Reporting Person; and (ii) options to purchase 13,000 shares of Common Stock which are presently exercisable at any time up to May 26, 2002. (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 381,656 consisting of (i) 368,656 shares of Common Stock owned directly by the Reporting Person; and (ii) options to purchase 13,000 shares of Common Stock which are presently exercisable at any time up to May 16, 2002. (iv) shared power to dispose or direct the disposition of: -0- Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being file to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than 5% of the class of securities check the following: [_] Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable Page 4 of 4 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: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired 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 such securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. December 10, 2001 By: /s/ Jay S. Nickse ------------------------- Jay S. Nickse -----END PRIVACY-ENHANCED MESSAGE-----