-----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, LEbr9hrxWdLX975L9vJ7WeagqbzTH1ogTp6xSoVwIGashvhEBkDnVR5uDFeXAbw1 t8ksn/ckWWs3OXryAWyfdQ== 0001181431-05-005750.txt : 20050131 0001181431-05-005750.hdr.sgml : 20050131 20050131174139 ACCESSION NUMBER: 0001181431-05-005750 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20041210 FILED AS OF DATE: 20050131 DATE AS OF CHANGE: 20050131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563144 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PANDORA SELECT FUND LTD CENTRAL INDEX KEY: 0001263713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563145 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 6122536025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 21ST CENTURY HOLDING CO CENTRAL INDEX KEY: 0001069996 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 650248866 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4161 N W 5TH STREET CITY: PLANTATION STATE: FL ZIP: 33317 BUSINESS PHONE: 9545819993 MAIL ADDRESS: STREET 1: 4161 N W 5TH STREET CITY: PLANTATION STATE: FL ZIP: 33317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITEBOX INTERMARKET PARTNERS LP CENTRAL INDEX KEY: 0001296973 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563143 BUSINESS ADDRESS: STREET 1: TRIDENT CHAMBERS STREET 2: PO BOX 146 WATERFRONT CITY: WICKHAMS CAY STATE: D8 ZIP: 00000 BUSINESS PHONE: 2844942434 MAIL ADDRESS: STREET 1: TRIDENT CHAMBERS STREET 2: PO BOX 146 WATERFRONT CITY: WICKHAMS CAY STATE: D8 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITEBOX INTERMARKET FUND LP CENTRAL INDEX KEY: 0001296987 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563142 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 6122536000 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Intermarket Fund, Ltd. CENTRAL INDEX KEY: 0001306166 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563141 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Fund, L.P. CENTRAL INDEX KEY: 0001307360 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563146 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Advisors, LLC CENTRAL INDEX KEY: 0001307361 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563139 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AJR Financial, LLC CENTRAL INDEX KEY: 0001307362 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563140 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Partners, L.P. CENTRAL INDEX KEY: 0001311923 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563138 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 4 1 rrd66538.xml FORM 4 X0202 4 2004-12-10 0 0001069996 21ST CENTURY HOLDING CO TCHC 0001257391 WHITEBOX ADVISORS LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001296973 WHITEBOX INTERMARKET PARTNERS LP 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001296987 WHITEBOX INTERMARKET FUND LP 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001306166 Whitebox Intermarket Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307362 AJR Financial, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307361 Pandora Select Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311923 Pandora Select Partners, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307360 Pandora Select Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001263713 PANDORA SELECT FUND LTD 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 Common Stock 2004-10-01 4 S 0 1000 11.23 D 887006 I Refer footnote Common Stock 2004-10-04 4 S 0 1700 11.10 D 885306 I Refer footnote Common Stock 2004-10-05 4 S 0 191 10.90 D 885115 I Refer footnote Common Stock 2004-10-06 4 S 0 3200 10.87 D 881915 I Refer footnote Common Stock 2004-10-06 4 S 0 1000 10.86 D 880915 I Refer footnote Common Stock 2004-10-06 4 S 0 1000 10.86 D 879915 I Refer footnote Common Stock 2004-10-08 4 S 0 1000 10.98 D 878915 I Refer footnote Common Stock 2004-10-08 4 S 0 1000 10.95 D 877915 I Refer footnote Common Stock 2004-10-12 4 S 0 1900 10.93 D 876015 I Refer footnote Common Stock 2004-10-14 4 S 0 2410 10.89 D 873605 I Refer footnote Common Stock 2004-10-14 4 S 0 1000 10.91 D 872605 I Refer footnote Common Stock 2004-10-15 4 S 0 3000 10.61 D 869605 I Refer footnote Common Stock 2004-10-19 4 S 0 2585 10.27 D 867020 I Refer footnote Common Stock 2004-10-26 4 S 0 1100 10.62 D 863460.75 I Refer footnote Common Stock 2004-11-01 4 J 0 18453 10.1156 A 880278 I Refer footnote Common Stock 2004-11-01 4 J 0 18453 10.1156 A 898731 I Refer footnote Common Stock 2004-11-01 4 J 0 9227 10.1156 A 907958 I Refer footnote Common Stock 2004-12-10 4 S 0 3400 13.0318 D 904558 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-10-21 4 S 0 900 2.75 D 2003-07-31 2006-07-31 Common Stock 675 477228 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-10-26 4 S 0 1379 2.90 D 2003-07-31 2006-07-31 Common Stock 1034.25 475849 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-10-26 4 S 0 1000 2.90 D 2003-07-31 2006-07-31 Common Stock 750 474849 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-10-27 4 S 0 281 3.10 D 2003-07-31 2006-07-31 Common Stock 210.75 474568 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-10-28 4 S 0 1500 2.90 D 2003-07-31 2006-07-31 Common Stock 1125 473068 I Refer footnote Redeemable Warrants (Right to Buy) 12.74 2004-11-01 4 S 0 400 2.82 D 2003-07-31 2006-07-31 Common Stock 300 472668 I Refer footnote Reporting Person is Whitebox Convertible Arbitrage Partners, L.P. ("WCAP"). Reporting Person is Whitebox Hedged High Yield Partners, L.P. ("WHHYP"). Reporting Person is Pandora Select Partners, L.P. ("PSP"). Reporting Person is Whitebox Intermarket Partners, L.P. ("WIP"). Restricted stock received as interest payment pursuant to the 6% Senior Subordinated Notes entered into between Company and the reporting person. The general partner of WCAP, is Whitebox Convertible Arbitrage Advisors, LLC ("WCAA"), which manages accounts for the benefit of its clients WCAP, Whitebox Convertible Arbitrage Fund, L.P. ("WCAFLP") and Whitebox Convertible Arbitrage Fund, Ltd. ("WCAFLTD"); the general partner of WHHYP is Whitebox Hedged High Yield Advisors, LLC ("WHHYA"), which manages accounts for the benefit of its clients WHHYP, Whitebox Hedged High Yield Fund, L.P. ("WHYYFLP") and Whitebox Hedged High Yield Fund, Ltd. ("WHHYFLTD"); the general partner of WIP is Whitebox Intermarket Advisors, LLC ("WIA"), which manages accounts for the benefit of its clients WIP, Whitebox Intermarket Fund, L.P. ("WIFLP") and Whitebox Intermarket Fund, Ltd. ("WIFLTD"). The managing member and controlling owner of each of WCAA, WHHYA and WIA is Whitebox Advisors, LLC. (Cont. in footnote 7) The general partner of PSP is Pandora Select Advisors, LLC ("PSA"), which manages accounts for the benefit of its clients PSP, Pandora Select Fund, L.P. ("PSFLP")and Pandora Select Fund, Ltd. ("PSFLTD"). The managing member and controlling owner of PSA is AJR Financial, LLC. Whitebox Advisors, LLC and AJR Financial, LLC each have the same sole owner and managing member. (Cont. in footnote 8) Based on the relationships described herein, these entities may be deemed to constitute a "group" within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as an admission that Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, WHHYA, WIA, PSA, WCAP, WHHYP, WIP, PSP, WCAFLP, WHHYFLP, WIFLP, PSFLP, WCAFLTD, WHHYFLTD, WIFLTD and PSFLTD are a group, or have agreed to act as a group. Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, WHHYA, WIA, PSA, WCAP, WHHYP, WIP, PSP, WCAFLP, WHHYFLP, WIFLP, PSFLP, WCAFLTD, WHHYFLTD, WIFLTD and PSFLTD each disclaim beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares. /s/ Jonathan D. Wood, Chief Financial Officer for Whitebox Advisors, LLC 2005-01-28 EX-99.1 2 rrd56115_63278.htm JOINT FILER INFORMATION rrd56115_63278.html 
Exhibit 99 to Form 4

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1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Advisors, LLC

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    (Last)                 (First)               (Middle)

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                           (Street)
3033 Excelsior Boulevard, Suite 300
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    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Partners, LP
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Fund, L.P.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Fund, Ltd.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Hedged High Yield Advisors, LLC

- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Hedged High Yield Partners, LP
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Hedged High Yield Fund, L.P.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Hedged High Yield Fund, Ltd.

- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------

- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Intermarket Advisors, LLC
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416

- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Intermarket Partners, LP

- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------

1.  Name and Address of Reporting Person*

Whitebox Intermarket Fund, L.P.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Intermarket Fund, Ltd.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

AJR Financial, LLC
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    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
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    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Advisors, LLC
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    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Partners, LP
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Fund, L.P.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
- ----------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Fund, Ltd.
- ----------------------------------------------------------------
    (Last)                 (First)               (Middle)

- ----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- ----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
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EX-99. 3 rrd56115_63279.htm SIGNATURE rrd56115_63279.html 
for Whitebox Advisors, LLC,
AJR Financial, LLC; Whitebox Convertible Arbitrage
Advisors, LLC, Whitebox Convertible Arbitrage
Partners, L.P., Whitebox Convertible Arbitrage
Fund, L.P., Whitebox Convertible Arbitrage Fund, Ltd.,
Whitebox Hedged High Yield Advisors, LLC,
Whitebox Hedged High Yield Partners, L.P.,
Whitebox Hedged High Yield Fund, L.P., Whitebox
Hedged High Yield Fund, Ltd., Whitebox Intermarket
Advisors, LLC, Whitebox Intermarket Partners, L.P.,
Whitebox Intermarket Fund, L.P., Whitebox Intermarket
Fund, Ltd., Pandora Select Advisors, LLC, Pandora Select
Partners, L.P., Pandora Select Fund, L.P. and Pandora Select
Fund, Ltd.
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