-----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, QUD2rO+j0dNC8F384WRufnMsqGC2WLrKPuDuTcmynbiKWi0a3tzZCzhnKM2pwZ8c 3V6hP2wecu0PsQxgOM+vQA== 0000950129-01-501418.txt : 20010619 0000950129-01-501418.hdr.sgml : 20010619 ACCESSION NUMBER: 0000950129-01-501418 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010608 FILED AS OF DATE: 20010618 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLAINS RESOURCES INC CENTRAL INDEX KEY: 0000350426 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-PETROLEUM & PETROLEUM PRODUCTS (NO BULK STATIONS) [5172] IRS NUMBER: 132898764 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-10454 FILM NUMBER: 1662441 BUSINESS ADDRESS: STREET 1: 500 DALLAS STREET 2: STE 700 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7136541414 MAIL ADDRESS: STREET 1: 1600 SMITH STREET STREET 2: SUITE 1500 CITY: HOUSTON STATE: TX ZIP: 77002 COMPANY DATA: COMPANY CONFORMED NAME: ENCAP INVESTMENTS LLC CENTRAL INDEX KEY: 0001083297 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1001 LOUISIANA AVENUE STREET 2: PO BOX 2511 CITY: HOUSTON STATE: TX ZIP: 77252 BUSINESS PHONE: 7136596100 MAIL ADDRESS: STREET 1: 1001 LOUINIANA ST STREET 2: PO BOX 2511 CITY: HOUSTON STATE: TX ZIP: 77252 3 1 h88476e3.txt ENCAP INVESTMENTS L.L.C. FOR PLAINS RESOURCES INC. 1 -------------------------- OMB APPROVAL -------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: December 31, 2001 - -------- Estimated average burden hours per response.... 0.5 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Statement Trading Symbol of Original EnCap Investments L.L.C. (Month/Day/Year) Plains Resources Inc./PLX (Month/Day/Year) - ---------------------------------------- ------------------------------------ (Last) (First) (Middle) June 8, 2001 5. Relationship of Reporting ----------------------- 1100 Louisiana Street, Suite 3150 ---------------------------- Person(s) to Issuer 7. Individual or Joint/ - ---------------------------------------- 3. I.R.S. Identification (Check all applicable) Group Filing (Check (Street) Number of Reporting Director X 10% Owner Applicable Line) Person, if an entity ----- ----- X Form filed by Houston TX 77002 (voluntary) Officer Other (specify --- One Reporting - -------------------------------------- ----- ----- below) Person (City) (State) (Zip) ---------------------------- (give title below) Form filed by --- More than One ------------------------------ Reporting Person - ----------------------------------------------------------------------------------------------------------------------------------- TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 13,931.06(1) I by EnCap Energy Capital Fund III, L.P. - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 10,536.08(1) I by EnCap Energy Capital Fund III-B, L.P. - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 17,043.75(1) I by BOCP Energy Partners, L.P. - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) Securities beneficially owned by the reporting person were acquired by converting Series F Preferred Stock and Series H Preferred Stock of the Issuer previously owned by the above-named entities in accordance with the terms of such preferred stock. No additional consideration was paid by the holder of the securities or the reporting person for the securities reported herein. SEC 1473 (3-99) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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- ------------------------------------------------------------------------------------------------------------------------------------ FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conversion 5. Ownership 6. Nature of Indirect Security (Instr. 4) and Expiration Securities Underlying or Exercise Form of Beneficial Ownership Date Derivative Security Price of Derivative (Instr. 5) (Month/Day/Year) (Instr. 4) Derivative Security: ------------------------------------------------- Security Direct (D) or Amount or Indirect (I) Date Expiration Number (Instr. 5) Exercisable Date Title of Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: EnCap Investments L.L.C. June 18, 2001 ------------- Date By: /s/ D. Martin Phillips ---------------------------------- D. Martin Phillips, Managing Director
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. -----END PRIVACY-ENHANCED MESSAGE-----