-----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, D/LedgPWZOOvznKTXmnJiACan7Xwe4bABXPvlW0yg5xtPrrY7t3utvpSFGz/dWKD RAwaySdXN37hNvBEVh6EmQ== 0000914317-01-000244.txt : 20010402 0000914317-01-000244.hdr.sgml : 20010402 ACCESSION NUMBER: 0000914317-01-000244 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010330 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVIVA PETROLEUM INC /TX/ CENTRAL INDEX KEY: 0000910659 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 751432205 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48603 FILM NUMBER: 1585669 BUSINESS ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: STE 400 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2146913464 MAIL ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: STE 400 CITY: DALLAS STATE: TX ZIP: 75225 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WEXFORD CAPITAL LLC CENTRAL INDEX KEY: 0001048462 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061442624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 411 W PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038627000 MAIL ADDRESS: STREET 1: 411 W PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: WEXFORD MANAGEMENT LLC DATE OF NAME CHANGE: 19971024 SC 13D/A 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) AVIVA PETROLEUM, INC. --------------------- (Name of issuer) Common Stock, No Par Value -------------------------- (Title of class of securities) 05379P205 --------- (CUSIP number) Arthur H. Amron Wexford Capital LLC 411 West Putnam Avenue Greenwich, CT 06830 (203) 862-7012 ------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) March 23, 2001 -------------- (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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Ruless.240.13d-7 Page 1 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Special Situations 1996, LP I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 3 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 ---------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 3 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 3 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 2 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Special Situations 1996 Institutional, L.P. I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 5 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 ---------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 5 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 5 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 3 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Special Situations 1996 Limited I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Cayman Islands - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power Beneficially 0 ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) Reporting 2 ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 ---------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 2 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 2 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- Page 4 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford-Euris Special Situations 1996, LP I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power Beneficially 0 ----------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) Reporting 4 ----------------------------------------------------- Person With 9. Sole Dispositive Power 0 ----------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 4 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially 4 Owned by Each Reporting Person - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- Page 5 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Capital LLC I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Connecticut - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 14 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 ---------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 14 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 14 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- Page 6 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Advisors, LLC I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ----------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 10 Reporting ----------------------------------------------------- Person With 9. Sole Dispositive Power 0 10. Shared Dispositive Power (see Item 5 below) 10 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 10 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- Page 7 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Wexford Euris Advisors, LLC I.R.S. Identification Nos. of Above Persons (entities only) (Intentionally Omitted) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 4 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 10. Shared Dispositive Power (see Item 5 below) 4 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 4 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- Page 8 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Charles E. Davidson I.R.S. Identification Nos. of Above Persons (entities only) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 14 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 ---------------------------------------------------- 10. Shared Dispositive Power (see Item 5 below) 14 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 14 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 9 of 13 Pages CUSIP No. 05379P205 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Joseph M. Jacobs I.R.S. Identification Nos. of Above Persons (entities only) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [x] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 0 Beneficially ---------------------------------------------------- Owned by Each 8. Shared Voting Power (see Item 5 below) 14 Reporting ---------------------------------------------------- Person With 9. Sole Dispositive Power 0 10. Shared Dispositive Power (see Item 5 below) 14 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 14 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) less than 0.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 10 of 13 Pages This Amendment No. 1 to Schedule 13D modifies and supplements the Schedule 13D dated October 28, 1998 with respect to the common stock, no par value (the "Common Stock"), of AVIVA PETROLEUM, INC., a Texas corporation (the "Company"). Except to the extent supplemented by the information contained in this Amendment No. 1, such Schedule 13D, as amended as provided above, remains in full force and effect. Capitalized terms used herein without definition have the respective meanings ascribed to them in such Schedule 13D. Item 5. Interest in Securities of the Issuer. ------------------------------------ 1. Since the filing of Schedule 13D, the Special Funds, Wexford Cayman and the Euris Fund sold an aggregate of 5,438,625 shares of Common Stock in open market transactions at an average sales price of $.045 per share, leaving them with beneficial ownership of an aggregate of 14 shares of Common Stock, representing less than 0.1% of the outstanding Common Stock. The Special General Partner may, by reason of its status as the sole general partner of the Special Funds, be deemed to own beneficially the Common Stock of which the Special Funds possess beneficial ownership. Wexford Capital (formerly known as Wexford Management LLC) may, by reason of its status as investment manager to the Special Funds and the Euris Fund and as sub-advisor to the Special General Partner on behalf of Wexford Cayman, be deemed to own beneficially the Common Stock of which the Special Funds, Euris Fund and Wexford Cayman possess beneficial ownership. The Special General Partner may, by reason of its status as the investment advisor to Wexford Cayman, be deemed to own beneficially the Common Stock of which Wexford Cayman possesses beneficial ownership. The Euris General Partner may, by reason of its status as the general partner of Euris Fund, be deemed to own beneficially the Common Stock of which the Euris Fund possesses beneficial ownership. Each of Charles E. Davidson and Joseph M. Jacobs may, by reason of his status as a controlling person of the Special General Partner, the Euris General Partner and Wexford Capital, be deemed to own beneficially the Common Stock of which the Special Funds, Euris Fund and Wexford Cayman possess beneficial ownership. Each of Charles E. Davidson, Joseph M. Jacobs, Wexford Capital and the Special General Partner shares the power to vote and to dispose of the shares of Common Stock the Special Funds beneficially own. Each of Charles E. Davidson, Joseph M. Jacobs, Wexford Capital and the Euris General Partner shares the power to vote and to dispose of the shares of Common Stock Euris Fund beneficially owns. The Special General Partner shares with Wexford Capital and Wexford Cayman the power to vote and to dispose of the shares of Common Stock Wexford Cayman beneficially owns. * * * * * Page 11 of 13 Pages SIGNATURE --------- After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: March 28, 2001 WEXFORD SPECIAL SITUATIONS 1996, LP By: WEXFORD CAPITAL LLC, its investment manager By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Senior Vice President WEXFORD SPECIAL SITUATIONS 1996 INSTITUTIONAL, LP By: WEXFORD CAPITAL LLC, its investment manager By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Senior Vice President WEXFORD-EURIS SPECIAL SITUATIONS 1996, LP By: WEXFORD CAPITAL LLC, its investment manager By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Senior Vice President WEXFORD SPECIAL SITUATIONS 1996 LIMITED By: WEXFORD CAPITAL LLC, its investment sub-advisor By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Senior Vice President WEXFORD CAPITAL LLC By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Senior Vice President Page 12 of 13 Pages WEXFORD ADVISORS, LLC By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Vice President WEXFORD EURIS ADVISORS, LLC By: /s/Arthur H. Amron Name: Arthur H. Amron Title: Vice President /s/ Charles E. Davidson Charles E. Davidson /s/Joseph M. Jacobs Joseph M. Jacobs Page 13 of 13 Pages -----END PRIVACY-ENHANCED MESSAGE-----