-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, c4UtW1iXu01kICrm8hWfkFp+ZaN14QSw5FFLCs3XwxEMNkUblBQeA3RRCWU7DlF2 H3vCTp1IQ9CMbyIWBvkS2Q== 0000950109-94-002364.txt : 19941222 0000950109-94-002364.hdr.sgml : 19941222 ACCESSION NUMBER: 0000950109-94-002364 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19941221 SROS: NASD GROUP MEMBERS: FORUM HOLDINGS L P GROUP MEMBERS: HAMPSTEAD ASSOCIATES, INC. GROUP MEMBERS: HH GENPAR PARINERS GROUP MEMBERS: HRP MANAGEMENT II, LTD. GROUP MEMBERS: INCAP, INC. GROUP MEMBERS: RAW GENPAR, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FORUM GROUP INC CENTRAL INDEX KEY: 0000033939 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SOCIAL SERVICES [8300] IRS NUMBER: 610703072 STATE OF INCORPORATION: IN FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30915 FILM NUMBER: 94565673 BUSINESS ADDRESS: STREET 1: 8900 KEYSTONE CROSSING STE 200 STREET 2: P O BOX 40498 CITY: INDIANAPOLIS STATE: IN ZIP: 46240-0498 BUSINESS PHONE: 3178460700 MAIL ADDRESS: STREET 1: 8900 KEYSTONE CROSSING STE 200 STREET 2: PO BOX 40498 CITY: INDIANAPOLIS STATE: IN ZIP: 46240-0498 FORMER COMPANY: FORMER CONFORMED NAME: EXCEPTICON INC DATE OF NAME CHANGE: 19810909 FORMER COMPANY: FORMER CONFORMED NAME: GUARDIAN CARE CORP DATE OF NAME CHANGE: 19720615 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FORUM HOLDINGS L P CENTRAL INDEX KEY: 0000913324 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 4200 TEXAS COMMERCE TOWER WEST STREET 2: 2200 ROSS AVENUE CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2142204900 SC 13D/A 1 SCHEDULE 13D/AMND 12 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 12) Under the Securities Exchange Act of 1934 Forum Group, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Without Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 349841304 ---------------- (CUSIP Number) Forum Holdings, L.P. 4200 Texas Commerce Tower West 2200 Ross Ave. Dallas, Texas 75201 Attention: Robert A. Whitman (214) 220-4900 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) With a copy to: Robert A. Profusek, Esq. Jones, Day, Reavis & Pogue 599 Lexington Avenue New York, New York (212) 326-3939 December 20, 1994 ------------------------------------------ (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 this statement [ ]. Page 1 of 23 Index to Exibits on Page 15 SCHEDULE 13D
======================================================================================================= CUSIP NO. 349841304 PAGE 2 OF 23 PAGES -------------- ----- ---- ======================================================================================================= ======================================================================================================= 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Forum Holdings, L.P. - ------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a[_] b[X] - ------------------------------------------------------------------------------------------------------- 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 (e) [_] - ------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - ------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF ----------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED ----------------------------------------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,847 PERSON ----------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - ------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - ------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - ------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN =======================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D
==================================================================================================================== CUSIP NO. 349841304 PAGE 3 OF 23 PAGES ------------- --- ---- ==================================================================================================================== ==================================================================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HRP Management II, Ltd. - -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a[_] b[X] - -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (e) [_] - -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF ------------------------------------------------------------------------------------------------------ SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED ------------------------------------------------------------------------------------------------------ BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,681 PERSON ------------------------------------------------------------------------------------------------------ WITH 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - -------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN ====================================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D
==================================================================================================================== CUSIP NO. 349841304 PAGE 4 OF 23 PAGES ------------- ---- ---- ==================================================================================================================== ==================================================================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HH Genpar Partners - -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a[_] b[X] - -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (e) [_] - -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF ----------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED ----------------------------------------------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,681 PERSON ----------------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - -------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN ====================================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D
==================================================================================================================== CUSIP NO. 349841304 PAGE 5 OF 23 PAGES ------------- ------ ------- ==================================================================================================================== ==================================================================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hampstead Associates, Inc. - -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a[_] b[X] - -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (e) [_] - -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF --------------------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED --------------------------------------------------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,681 PERSON --------------------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - -------------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO ====================================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D
==================================================================================================== CUSIP NO. 349841304 PAGE 6 OF 23 PAGES ------------- --- ---- ==================================================================================================== ==================================================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON RAW Genpar, Inc. - ---------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a [_] b [x] - ---------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - ---------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (e) [_] - ---------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - ---------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF ----------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED ----------------------------------------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,681 PERSON ----------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [x] - ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO ====================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D
==================================================================================================== CUSIP NO. 349841304 PAGE 7 OF 23 PAGES --------- --- ---- ==================================================================================================== ==================================================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON InCap, Inc. - ---------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP a [_] b [x] - ---------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - ---------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (e) [_] - ---------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - ---------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBERS OF ----------------------------------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIAL 17,539,694 LY OWNED ----------------------------------------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 8,769,681 PERSON ----------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,539,694 - ---------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - ---------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 75.2% - ---------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO =====================================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT! This Amendment No. 12 amends and supplements the Statement on Schedule 13D filed on February 11, 1993 (as heretofore amended and supplemented, the "Schedule 13D"), by Forum Holdings, L.P., a Texas limited partnership, and Investors Genpar,Inc., a Delaware corporation. Capitalized terms used herein which are not otherwise defined herein are so used with the respective meanings ascribed to them in the Schedule 13D. Item 3. Source and Amount of Funds or Other Consideration. ------------------------------------------------- Item 3 is hereby amended by adding the following immediately prior to the last paragraph thereof: On December 20, 1994, Forum Holdings and AFG entered into an agreement (the "Warrant Purchase Agreement") to purchase from Citicorp USA, Inc. ("Citicorp") (i) 550,205 warrants (the "Warrants") issued by the Company pursuant to a Warrant Agreement, dated as of June 10, 1993 (the "Warrant Agreement"), by and between the Company and Citicorp, entitling the registered holder thereof to purchase from the Company 1.00060393564 shares of Common Stock (subject to adjustment) per Warrant on the terms and subject to the conditions provided in the Warrant Agreement and (ii) 149,607 special warrants (the "Special Warrants") issued by the Company pursuant to the Warrant Agreement, entitling the registered holder thereof to purchase from the Company one share of Common Stock per Special Warrant on the terms and subject to the conditions provided in the Warrant Agreement. The Warrants are exercisable at a purchase price equal to $3.37 per share (subject to adjustment), and the Special Warrants are exercisable at a nominal purchase price. Pursuant to the Warrant Purchase Agreement, Forum Holdings individually agreed to purchase 275,103 Warrants entitling the registered holder thereof to purchase 275,269 shares of Common Stock and 74,803 Special Warrants entitling the registered holder thereof to purchase from the Company an equal number of shares of Common Stock for $1,434,235.09. The funds required by Forum Holdings for the transaction were obtained from working capital of Forum Holdings. Pursuant to the Warrant Purchase Agreement, AFG agreed to purchase the remaining Warrants and Special Warrants from Citicorp. Item 4. Purpose of Transaction. ---------------------- Item 4 is hereby amended by adding the following at the end of the second paragraph thereof: Forum Holdings' principal purpose for the purchase of Warrants and Special Warrants pursuant to the Warrant Purchase Agreement was to take advantage of what it perceived as an attractive investment opportunity pursuant -8- to which it would be able to increase its equity interest in the Company. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 is hereby amended and restated in its entirety as follows: The responses to Items 3, 4 and 6 are incorporated herein by this reference. Forum Holdings has previously been informed that 4,984 shares of Common Stock have been issued pursuant to the Plan of Reorganization since the closing of Forum Holdings' initial investment in shares of Common Stock. As a result of the issuance of such shares, Forum Holdings and AFG are each presently entitled to purchase 2,880 shares of Common Stock for nominal consideration upon exercise of the Investor Warrants. Forum Holdings has also been informed that immediately following transactions contemplated by the Warrant Purchase Agreement, AFG beneficially owned 8,769,847 shares of Common Stock (including (i) 2,880 shares presently purchasable upon exercise of Investor Warrants, (ii) 275,268 shares presently purchasable upon exercise of Warrants, and (iii) 74,804 shares presently purchasable upon exercise of Special Warrants), or 37.6% of the total number of shares of Common Stock then outstanding. Immediately following such transactions, Forum Holdings was the direct beneficial owner of 8,769,847 shares of Common Stock (including (i) 2,880 shares presently purchasable upon exercise of the Investor Warrant, (ii) 275,269 shares presently purchasable upon exercise of Warrants, and (iii) 74,803 shares presently purchasable upon exercise of Special Warrants), or 37.6% of the total number of shares of Common Stock then outstanding. By reason of the relationships described in Item 2 above, each of the Reporting Persons may be deemed to be the beneficial owners of all such shares beneficially owned by Forum Holdings. As a result of the Shareholders' Agreement, Forum Holdings and each of the other Reporting Persons may be deemed to be the beneficial owner of all of the 17,539,694 shares of Common Stock beneficially owned by Forum Holdings and AFG in the aggregate following the transactions contemplated by the Warrant Purchase Agreement, or 75.2% of the total number of shares of Common Stock then outstanding. The foregoing percentages are based upon 23,331,509 shares of Common Stock outstanding (which number includes (i) the 5,760 shares presently issuable upon exercise of the Investor Warrants, (ii) the 550,537 shares presently issuable upon exercise of Warrants, and (iii) the 275,103 shares presently issuable upon exercise of Special Warrants). (Reference is made to such statements on Schedule 13D as have been or may be filed with the Securities and Exchange Commission by AFG for information regarding AFG and its ownership of shares of Common Stock.) -9- As a result of provisions of the Shareholders' Agreement described in Item 6, the Reporting Persons may be deemed to have shared power to vote or direct the vote of all of the 17,539,694 shares of Common Stock owned by Forum Holdings and AFG. The Reporting Persons have sole power to dispose or direct the disposition of 8,769,847 shares of Common Stock. Except as otherwise disclosed in this Statement, as amended and supplemented, the Reporting Persons disclaim beneficial ownership of any shares of Common Stock issuable upon exercise of any Investor Warrants, Warrants or Special Warrants. Except as otherwise disclosed in this Statement, as amended and supplemented, none of the Reporting Persons has effected any transactions in shares of Common Stock during the preceding 60 days. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer -------------------------------------------------------- Item 6 is hereby amended by deleting the last paragraph thereof in its entirety and substituting the following two paragraphs therefor: Pursuant to the Warrant Purchase Agreement, Citicorp assigned its rights under the Warrant Agreement to Forum Holdings and AFG, and each of Forum Holdings and AFG has consented to and agreed to be bound by the provisions of the Warrant Agreement. The Warrant Agreement provides for adjustments to the number and kind of securities issuable and the purchase price payable upon exercise of the Warrants upon the occurrence of certain events. The Warrant Agreement also provides that holders of shares of Common Stock issued upon exercise of the Warrants and the Special Warrants will have certain piggyback registration rights with respect to such shares. The foregoing response to this Item 6 is qualified in its entirety by reference to the Registration Rights Agreement, the Shareholders' Agreement and the Warrant Agreement, the full texts of which are filed as Exhibits 10, 11 and 16, respectively, hereto and incorporated herein by this reference. -10- Item 7. Material to be Filed as Exhibits. -------------------------------- Exhibit 1 - Stock Purchase Agreement* Exhibit 2 - Agreement in Principle* Exhibit 3 - April 13th Letter Agreement* Exhibit 4 - April 18th Letter Agreement* Exhibit 5 - Acquisition Agreement* Exhibit 6 - June 4th Ruling* Exhibit 7 - June 6th Agreement* Exhibit 8 - June 14th Agreement* Exhibit 9 - Forum Holdings Warrant* Exhibit 10 - Registration Rights Agreement* Exhibit 11 - Shareholders' Agreement* Exhibit 12 - Powers of Attorney* Exhibit 13 - October Stock Purchase Agreement* Exhibit 14 - Purchase Agreement and Waiver with Healthcare* Exhibit 15 - Warrant Purchase Agreement Exhibit 16 - Warrant Agreement (incorporated by reference to Exhibit 4(3) to the Company's Form 10-K Annual Report for the fiscal year ended March 31, 1993) - -------------------- * Previously filed. -11- SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with HRP Management II, Ltd., HH Genpar Partners, Hampstead Associates, Inc., RAW Genpar, Inc. and InCap, Inc. Dated: December 21, 1994. FORUM HOLDINGS, L.P. By: /s/ Troy B. Lewis ----------------------- Troy B. Lewis, Attorney-in-Fact* After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with Forum Holdings, L.P., HH Genpar Partners, Hampstead Associates, Inc., RAW Genpar, Inc. and InCap, Inc. Dated: December 21, 1994. HRP MANAGEMENT II, LTD. By: /s/ Troy B. Lewis ----------------------- Troy B. Lewis, Attorney-in-Fact** - ---------------------- * Pursuant to a Power of Attorney executed on behalf of Forum Holdings, L.P. and filed previously as Exhibit 12 hereto. ** Pursuant to a Power of Attorney executed on behalf of HRP Management II, Ltd. and filed previously as Exhibit 12 hereto. -12- After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with Forum Holdings, L.P., HRP Management II, Ltd., Hampstead Associates, Inc., RAW Genpar, Inc. and InCap, Inc. Dated: December 21, 1994. HH GENPAR PARTNERS By: /s/ Troy B. Lewis ----------------- Troy B. Lewis, Attorney-in-Fact/*/ After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with Forum Holdings, L.P., HRP Management II, Ltd., HH Genpar Partners, RAW Genpar, Inc. and InCap, Inc. Dated: December 21, 1994. HAMPSTEAD ASSOCIATES, INC. By: /s/ Troy B. Lewis ----------------- Troy B. Lewis, Attorney-in-Fact/**/ ______________________ /*/ Pursuant to a Power of Attorney executed on behalf of HH Genpar Partners and filed previously as Exhibit 12 hereto. /**/ Pursuant to a Power of Attorney executed on behalf of Hampstead Associates,Inc. and filed previously as Exhibit 12 hereto. -13- After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with Forum Holdings, L.P., HRP Management II, Ltd., HH Genpar Partners, Hampstead Associates, Inc. and InCap, Inc. Dated: December 21, 1994. RAW GENPAR, INC. By: /s/ Troy B. Lewis ----------------- Troy B. Lewis, Attorney-in-Fact/*/ After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct and agrees that this statement may be filed collectively with Forum Holdings, L.P., HRP Management II, Ltd., HH Genpar Partners, Hampstead Associates, Inc. and RAW Genpar, Inc. Dated: December 21, 1994. INCAP, INC. By: /s/ Troy B. Lewis ------------------- Troy B. Lewis, Attorney-in-Fact/**/ - --------------------- /*/ Pursuant to a Power of Attorney executed on behalf of RAW Genpar, Inc. and filed previously as Exhibit 12 hereto. /**/ Pursuant to a Power of Attorney executed on behalf of InCap, Inc. and filed previously as Exhibit 12 hereto. -14- INDEX TO EXHIBITS -----------------
Pagination by Sequential Numbering Exhibit Description System - ------- ----------- ------------- 1 Stock Purchase Agreement * 2 Agreement in Principle * 3 April 13th Letter Agreement * 4 April 18th Letter Agreement * 5 Acquisition Agreement * 6 June 4th Ruling * 7 June 6th Agreement * 8 June 14th Agreement * 9 Forum Holdings Warrant * 10 Registration Rights Agreement * 11 Shareholders' Agreement * 12 Powers of Attorney * 13 October Stock Purchase * Agreement 14 Purchase Agreement and Waiver * with Healthcare 15 Warrant Purchase Agreement 16 16 Warrant Agreement N/A (incorporated by reference to Exhibit 4(3) to the Company's Form 10-K Annual Report for the fiscal year ended March 31, 1993)
- -------------------- * Previously filed. -15- EX-15 2 WARRANT PURCHASE AGREEMENT EXHIBIT 15 ---------- WARRANT PURCHASE AGREEMENT -16- PURCHASE AGREEMENT ------------------ This Purchase Agreement (this "Agreement") is made and entered into as of December 20, 1994, by and among Citicorp USA, Inc. ("Seller"), Forum Holdings, L.P. ("Holdings") and Apollo FG Partners, L.P. ("Apollo" and, collectively with Holdings, "Purchasers"). RECITALS: -------- A. Seller owns (1) 550,205 warrants ("Forum Warrants") issued by Forum Group, Inc. ("Forum") pursuant to a Warrant Agreement, dated as of June 10, 1993 (the "Warrant Agreement"), by and between Seller and Forum, presently entitling the registered holder thereof to purchase from Forum 1.00060393564 shares (subject to adjustment) of Common Stock of Forum ("Forum Common Shares") per Forum Warrant on the terms and subject to the conditions provided in the Warrant Agreement and (2) 149,607 special warrants ("Forum Special Warrants") issued by Forum pursuant to the Warrant Agreement, entitling the registered holder thereof to purchase from Forum one Forum Common Share per Forum Special Warrant on the terms and subject to the conditions provided in the Warrant Agreement. B. Seller desires to sell to Holdings, and Holdings desires to purchase from Seller, 275,103 Forum Warrants presently entitling the registered holder thereof to purchase 275,269 Forum Common Shares and 74,803 Forum Special Warrants entitling the registered holder thereof to purchase an equal number of Forum Common Shares (such Forum Warrants and Forum Special Warrants being hereinafter collectively referred to as the "Holdings Warrants") for an aggregate purchase price of $1,434,235.09 (the "Holdings Purchase Price"). C. Seller desires to sell to Apollo, and Apollo desires to purchase from Seller, 275,102 Forum Warrants presently entitling the registered holder thereof to purchase 275,268 Forum Common Shares and 74,804 Forum Special Warrants entitling the registered holder thereof to purchase an equal number of Forum Common Shares (such Forum Warrants and Forum Special Warrants being hereinafter collectively referred to as the "Apollo Warrants") for an aggregate purchase price of $1,434,238.45 (the "Apollo Purchase Price"). NOW, THEREFORE, Seller and Purchasers hereby agree as follows: 1. Purchase and Sale. (a) Simultaneously with the execution and delivery ----------------- hereof, (i) Seller will sell, assign and transfer to Holdings, and Holdings will purchase and accept from Seller, the Holdings Warrants and (ii) Seller will sell, assign -17- and transfer to Apollo, and Apollo will purchase and accept from Seller to Apollo Warrants. (The Holdings Warrants and the Apollo Warrants are sometimes hereinafter collectively referred to as the "Purchased Warrants.") (b) Simultaneously with the execution and delivery hereof, Seller will deliver to Daniel A. Decker, as agent for Purchasers, the warrant certificates representing the Purchased Warrants, accompanied by an assignment in the form attached hereto as Exhibit A duly signed on behalf of Seller (with --------- such signature either (i) guaranteed by a bank or trust company or a broker or dealer that is a member of the National Association of Securities Dealers, Inc. or (ii) accompanied by an incumbency certificate in form and substance reasonably satisfactory to Purchasers). (c) Simultaneously with the execution and delivery hereof, Holdings will pay to Seller an amount equal to the Holdings Purchase Price by means of a wire transfer made in accordance with the instructions attached hereto as Exhibit B. - --------- (d) Simultaneously with the execution and delivery hereof, Apollo will pay to Seller an amount equal to the Apollo Purchase Price by means of a wire transfer made in accordance with the instructions attached hereto as Exhibit B. - --------- 2. Certain Representations. (a) Seller represents to Purchasers that (i) ----------------------- it has all right, title and interest in and to the Purchased Warrants, free and clear of all liens, claims and encumbrances (other than restrictions set forth in the Warrant Agreement and applicable federal and state securities laws), (ii) this Agreement has been duly authorized by all necessary corporate action on the part of Seller and constitutes the legal, valid and binding obligation of Seller, and (iii) the execution, delivery and performance of this Agreement by Seller does not (with or without the giving of notice, the passage of time or both) conflict with or constitute a breach of any obligation of Seller. (b) Each Purchaser represents to Seller that (i) this Agreement has been duly authorized by all necessary partnership action on the part of such Purchaser and constitutes a legal, valid and binding obligation of such Purchaser and (ii) the execution, delivery and performance of this Agreement by such Purchaser does not (with or without the giving of notice, the passage of time or both) conflict with or constitute a breach of any obligation of such Purchaser. 3. Assignment of Rights. Seller hereby assigns to each Purchaser all its -------------------- rights, title and interest in and to the Warrant Agreement to the extent that the Warrant Agreement relates to the respective portion of the Purchased Warrants being purchased hereunder by such Purchaser and, in connection -18- therewith, each Purchaser hereby consents to and agrees to be bound by the provisions of the Warrant Agreement. 4. Parties' Knowledge and Sophistication. Each of the parties hereto ------------------------------------- represents that it has such general knowledge and experience in financial and business matters that it is capable of evaluating the risks and merits of an investment in Forum Warrants and Forum Special Warrants. Each of the parties hereto acknowledges that it has either been supplied with or has had access to information, and has had the opportunity to ask questions and receive answers from Forum's management, concerning Forum and its business and Forum Warrants and Forum Special Warrants as it has deemed appropriate in connection with the transactions contemplated hereby. 5. Manner of Sale. Each of Purchasers understands that the Purchased -------------- Warrants (a) are not being registered or qualified under federal or state securities laws and (b) cannot be sold, transferred or otherwise disposed of unless subsequently registered or exempt from registration under such laws. Each Purchaser represents that it is purchasing the respective portion of the Purchased Warrants being purchased hereunder by it for its own account and for investment purposes and not with a view to resale or other distribution thereof in violation of the federal or state securities laws. 6. Miscellaneous. This Agreement (a) contains the parties' entire ------------- agreement regarding the transactions contemplated hereby and supersedes all prior agreements with respect to such matters and is not intended to confer upon any other person or entity (other than Forum which is expressly intended to be a third-party beneficiary of the provisions of Section 3 hereof) any rights or remedies hereunder, (b) will be governed by and construed in accordance with the laws of the State of New York without regard to the principles of conflict of laws, and (c) may be executed in any number of counterparts, each of which will be deemed to be an original but all of which together will constitute but one agreement. -19- IN WITNESS WHEREOF, the parties hereto have duly executed this Agreement as of the date first above written. CITICORP USA, INC. By: /s/ Barbara A. Cohen -------------------------- Barbara A. Cohen Vice President FORUM HOLDINGS, L.P. By: HRP Management II, Ltd., its General Partner By: HH Genpar Partners, its General Partner By: Hampstead Associates, Inc., its Managing General Partner By: /s/ Daniel A. Decker -------------------------- Daniel A. Decker Executive Vice President APOLLO FG PARTNERS, L.P. By: Apollo Investment Fund, L.P., its General Partner By: Apollo Capital Management, Inc., its General Partner By: /s/ Peter Copses -------------------------- Peter Copses Vice President -20- The undersigned, Forum Group, Inc., hereby (i) consents to the assignment provided for in Section 3 of this Agreement and acknowledges that the consent and agreement of Purchasers to be bound by the provisions of the Warrant Agreement is satisfactory to Forum for purposes of Section 2.2. of the Warrant Agreement and (ii) waives any requirement under the Warrant Agreement that an opinion of counsel be furnished to Forum in connection with the transactions contemplated hereby. FORUM GROUP, INC. By: /s/ John H. Sharpe -------------------------- John H. Sharpe Vice President -21- EXHIBIT A --------- ASSIGNMENT OF WARRANTS ---------------------- For value received, Citicorp USA, Inc. ("Citicorp") hereby sells, assigns and transfers to Forum Holdings, L.P. and Apollo FG partners, L.P., or their respective nominees, (a) 550,205 warrants ("Warrants") issued by Forum Group, Inc., an Indiana corporation (the "Corporation"), in the name of Citicorp, pursuant to a Warrant Agreement, dated as of June 10, 1993 (the "Warrant Agreement"), by and between Citicorp and the Corporation, presently entitling the registered holder thereof to purchase from Forum 1.00060393564 shares (subject to adjustment) of Common Stock, without par value, of the Corporation ("Forum Common Shares") per Warrant on the terms and subject to the conditions provided in the Warrant Agreement as follows: (i) to Holdings or its nominee, 275,103 Warrants entitling the registered holder thereof to purchase from Forum 275,268 Forum Common Shares and (ii) to Apollo or its nominee, 275,102 Warrants entitling the registered holder thereof to purchase from Forum 275,267 Forum Common Shares; and (b) 149,607 special warrants ("Special Warrants") issued by Forum in the name of Citicorp pursuant to the Warrant Agreement entitling the registered holder thereof to purchase from Forum one Forum Common Share per Special Warrant on the terms and subject to the conditions provided in the Warrant Agreement as follows: (i) to Holdings or its nominee, 74,803 Special Warrants entitling the registered holder thereof to acquire an equal number of Forum Common Shares and (ii) to Apollo or its nominee, 74,804 Special Warrants entitling the registered holder thereof to acquire an equal number of Forum Common Shares; such Warrants standing in Citicorp's name on the books of the Corporation represented by Warrant Certificates No. 1 herewith and such Special Warrants standing in Citicorp's name on the books of the Corporation represented by Special Warrant Certificate No. 1 herewith, and do hereby irrevocably constitute and appoint _______________________________________________________________________, attorney to transfer such Warrants and Special Warrants on the books of the Corporation with full power of substitution. Dated: December __, 1994 CITICORP USA, INC. By: _________________________________ Name: ___________________________ Title: __________________________ EXHIBIT B --------- WIRE TRANSFER INSTRUCTIONS -------------------------- Citibank, N.A. 399 Park Avenue New York, New York ABA Number: 021000089 For credit to Dallas Receipts Account Account Number 3846-0803 Attention: Barbara Solimeno Reference: Forum Warrant Sale -----END PRIVACY-ENHANCED MESSAGE-----