-----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, C5ue6Wa1dJu0WK/f5rUy84P1BfqPSYomQxZNEV5H0j9UIO7PGWvmDwXmT1X7iZlO L0WJc6WhsgIWQpqcVYJlnA== 0001181431-05-005756.txt : 20050131 0001181431-05-005756.hdr.sgml : 20050131 20050131174514 ACCESSION NUMBER: 0001181431-05-005756 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20040930 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563191 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. CITY: MINNEAPOLIS STATE: MN ZIP: 55416 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 Hedged High Yield Fund, Ltd. CENTRAL INDEX KEY: 0001311166 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563182 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: Whitebox Intermarket Advisors, LLC CENTRAL INDEX KEY: 0001306165 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563181 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: Whitebox Hedged High Yield Advisors, LLC CENTRAL INDEX KEY: 0001311159 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563185 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: Whitebox Convertible Arbitrage Advisors, LLC CENTRAL INDEX KEY: 0001311160 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563189 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: Whitebox Convertible Arbitrage Fund, L.P. CENTRAL INDEX KEY: 0001311161 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563187 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: Whitebox Convertible Arbitrage Partners, L.P. CENTRAL INDEX KEY: 0001311162 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563188 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: Whitebox Convertible Arbitrage Fund, Ltd. CENTRAL INDEX KEY: 0001311163 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563186 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Hedged High Yield Fund, L.P. CENTRAL INDEX KEY: 0001311164 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563183 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: Whitebox Hedged High Yield Partners, L.P. CENTRAL INDEX KEY: 0001311165 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25001 FILM NUMBER: 05563184 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 3 1 rrd66517.xml FORM 3 X0202 3 2004-09-30 0 0001069996 21ST CENTURY HOLDING CO TCHC 0001257391 WHITEBOX ADVISORS LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311160 Whitebox Convertible Arbitrage Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311162 Whitebox Convertible Arbitrage Partners, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311161 Whitebox Convertible Arbitrage Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311163 Whitebox Convertible Arbitrage Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311159 Whitebox Hedged High Yield Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311165 Whitebox Hedged High Yield Partners, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311164 Whitebox Hedged High Yield Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311166 Whitebox Hedged High Yield Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001306165 Whitebox Intermarket Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 Redeemable Warrants 12.74 2003-07-31 2006-07-31 Common Stock 142008 I Refer Footnote Redeemable Warrants 12.74 2003-07-31 2006-07-31 Common Stock 143892 I Refer Footnote Redeemable Warrants 12.74 2003-07-31 2006-07-31 Common Stock 72696 I Refer Footnote Redeemable Warrants 12.75 2004-09-30 2007-09-30 Common Stock 392156 I Refer Footnote Redeemable Warrants 12.75 2004-09-30 2007-09-30 Common Stock 78431 I Refer Footnote Redeemable Warrants 12.75 2004-09-30 2007-09-30 Common Stock 58823 I Refer Footnote Reporting Person is Whitebox Convertible Arbitrage Partners, LP ("WCAP"). Reporting Person is Whitebox Hedged High Yield Partners, LP ("WHHYP"). Reporting Person is Pandora Select Partners, LP ("PSP"). Reporting Person is Whitebox Intermarket Partners, LP ("WIP"). 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 6) 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 7) 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 2005-01-28 EX-99. 2 rrd56094_63265.htm JOINT FILER INFORMATION rrd56094_63265.html 
Exhibit 99 to Form 3


1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage 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 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

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

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

Pandora Select Advisors, LLC
- ----------------------------------------------------------------
    (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

- ----------------------------------------------------------------
EX-99.1 3 rrd56094_63272.htm SIGNATURES rrd56094_63272.html 
Jonathan D. Wood as Chief Financial of
 Whitebox Advisors, LLC, Whitebox Convertible
Arbitrage Advisors, LLC, Whitebox Convertible
Arbitrage Partners, LP, Whitebox Convertible
Arbitrage Fund, L.P., Whitebox Convertible Arbitrage
Fund, Ltd., Whitebox Hedged High Yield Advisors, LLC,
Whitebox Hedged High Yield Partners, LP, Whitebox
Hedged High Yield Fund, L.P., Whitebox Hedged High
Yield Fund, Ltd., Whitebox Intermarket Advisors, LLC,
Whitebox Intermarket Partners, LP, Whitebox Intermarket
Fund, L.P., Whitebox Intermarket Fund, Ltd.,
AJR Financial,LLC, Pandora Select Advisors, LLC,
Pandora Select Fund, L.P., Pandora Select Fund, Ltd. and
Pandora Select Partners, L.P.
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