-----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, GoFb24QlWh9vUB5fkHci2rqv5DtGmTrf5Desn1KFgFlPZXT41c7mlMo746oWZJkW h1yj68CRb/8bw6YlX67kkA== 0001089355-00-000055.txt : 20000203 0001089355-00-000055.hdr.sgml : 20000203 ACCESSION NUMBER: 0001089355-00-000055 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000131 GROUP MEMBERS: BBC CAPITAL MARKET INC GROUP MEMBERS: BOSTON BANK OF COMMERCE GROUP MEMBERS: KEVIN COHEE GROUP MEMBERS: TERI WILLIAMS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARVER BANCORP INC CENTRAL INDEX KEY: 0001016178 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 133904174 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48913 FILM NUMBER: 517260 BUSINESS ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 BUSINESS PHONE: 2128764747 MAIL ADDRESS: STREET 1: 75 W 125TH ST CITY: NEW YORK STATE: NY ZIP: 10027-4512 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BOSTON BANK OF COMMERCE CENTRAL INDEX KEY: 0001082070 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 042764211 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 133 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174574400 MAIL ADDRESS: STREET 1: 133 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 SC 13D/A 1 SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5) Under the Securities Exchange Act of 1934 CARVER BANCORP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 146875109 - -------------------------------------------------------------------------------- (CUSIP Number) Robert W. Forman Shapiro Forman & Allen LLP 380 Madison Avenue New York, New York 10017 212-972-4900 ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) - -------------------------------------------------------------------------------- (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 |__|. Page 1 of 9 pages CUSIP No. 146875109 Page 2 of 9 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSON BBC CAPITAL MARKET, INC. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 04-3072694 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS WC ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION MASSACHUSETTS ________________________________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 170,700 SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 170,700 PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH -0- ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,700 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.38% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON CO ________________________________________________________________________________ CUSIP No. 146875109 Page 3 of 9 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSON THE BOSTON BANK OF COMMERCE I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 04-2764211 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS WC ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION MASSACHUSETTS ________________________________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 170,700 SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 170,700 PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH -0- ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,700 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.38% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON BK ________________________________________________________________________________ CUSIP No. 146875109 Page 4 of 9 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSON KEVIN COHEE I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA ________________________________________________________________________________ 7 SOLE VOTING POWER NUMBER OF -0- SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 170,700 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING -0- PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 170,700 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,700 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.38% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON IN ________________________________________________________________________________ CUSIP No. 146875109 Page 5 of 9 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSON TERI WILLIAMS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 04-2764211 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA ________________________________________________________________________________ 7 SOLE VOTING POWER NUMBER OF -0- SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 170,700 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING -0- PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 170,700 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,700 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.38% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON IN ________________________________________________________________________________ CUSIP No. 146875109 Page 6 of 9 Pages STATEMENT FOR SCHEDULE 13D -------------------------- This Amendment No. 5 to Schedule 13D relates to the common stock, par value $.01 per share, of Carver Bancorp, Inc. ("Carver"). This Amendment No. 5 amends the initial statement on Schedule 13D filed by BBC Capital Market, Inc. ("BBC Capital") and The Boston Bank of Commerce ("BBOC") with the Securities and Exchange Commission on March 18, 1999 (the "Initial Statement"), as amended by Amendment Nos. 1, 2, 3 and 4 filed with the Securities and Exchange Commission on March 29, 1999, April 2, 1999, November 19, 1999 and January 19, 2000, respectively. Capitalized terms used but not defined below shall have the meanings ascribed to them in the Initial Statement. The Initial Statement, as previously amended, is further amended as follows: Item 2. Identity and Background. This Statement is being filed to add Kevin Cohee and Teri Williams as reporting persons. (a) - (c) Mr. Cohee is the Chairman, President and Chief Executive Officer of BBOC, a Massachusetts trust company, organized under Chapter 172 of the Massachusetts General Laws. He is also the President of BBC Capital and a director of BBOC. Mr. Cohee's business office is at the principal offices of BBOC, 133 Federal Street, Boston, MA 02110. Ms. Williams is Senior Vice President of Marketing and Human Resources of BBOC. She also serves as a director of BBOC and BBC Capital. Ms. Williams' business office is at the principal offices of BBOC, 133 Federal Street, Boston, MA 02110. (d) Neither Reporting Person has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) Neither Reporting Person has, during the last five years, been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and a result of such proceeding was or is 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. CUSIP No. 146875109 Page 7 of 9 Pages Item 5. Interest in Securities of the Issuer. By virtue of their ownership of 66% of BBOC's common stock and their positions with BBOC, Mr. Cohee and Ms. Williams may be deemed to beneficially own the 170,700 shares of Carver's common stock owned by BBC Capital. Mr. Cohee and Ms. Williams disclaim beneficial ownership of such shares. Neither Mr. Cohee nor Ms. Williams owns beneficially any other shares of Carver and neither has engaged in any transactions in Carver's securities in the past 60 days. Item 7. Material to be Filed as Exhibits. 99.3 Joint Filing Agreement CUSIP No. 146875109 Page 8 of 9 Pages SIGNATURES After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: January 28, 2000 BBC CAPITAL MARKET, INC. By: /s/Kevin Cohee --------------------------------- Kevin Cohee, President THE BOSTON BANK OF COMMERCE By: /s/Teri Williams --------------------------------- Teri Williams, Senior Vice President /s/Kevin Cohee --------------------------------- KEVIN COHEE /s/Teri Williams --------------------------------- TERI WILLIAMS EX-99.3 2 JOINT FILING AGREEMENT CUSIP NO. 146875109 Page 9 of 9 pages EXHIBIT 99.3 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f)(l)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated January 28, 2000 (including amendments thereto) with respect to the common stock of Carver Bancorp, Inc. Dated: January 28, 2000 BBC CAPITAL MARKET, INC. By: /s/Kevin Cohee --------------------------------- Kevin Cohee, President THE BOSTON BANK OF COMMERCE By: /s/Teri Williams --------------------------------- Teri Williams, Senior Vice President /s/Kevin Cohee --------------------------------- KEVIN COHEE /s/Teri Williams --------------------------------- TERI WILLIAMS -----END PRIVACY-ENHANCED MESSAGE-----