-----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, Tdwk0AyQ8EbgbAs2zD+9WK3W7+ApkRQtdqHQWXvAq8PXF5aT/1BxgthiYq8lTuW0 SY+dX4oUhhNYZDeWQQvJwg== 0000950148-98-001577.txt : 19980624 0000950148-98-001577.hdr.sgml : 19980624 ACCESSION NUMBER: 0000950148-98-001577 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980623 SROS: NYSE SROS: PCX GROUP MEMBERS: ANCHOR NATIONAL LIFE INSURANCE CO GROUP MEMBERS: SUNAMERCIA LIFE INSURANCE CO GROUP MEMBERS: SUNAMERICA INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN SHARED HOSPITAL SERVICES CENTRAL INDEX KEY: 0000744825 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 942918118 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-36214 FILM NUMBER: 98652658 BUSINESS ADDRESS: STREET 1: 4 EMARCADERO CENTER STE 3620 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4157885300 MAIL ADDRESS: STREET 1: 4 EMBARCADERO CENTER CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUNAMERICA INC CENTRAL INDEX KEY: 0000054727 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 860176061 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1 SUNAMERICA CENTER CITY: LOS ANGELES STATE: CA ZIP: 90067-6022 BUSINESS PHONE: 3107726000 FORMER COMPANY: FORMER CONFORMED NAME: KAUFMAN & BROAD INC DATE OF NAME CHANGE: 19890515 FORMER COMPANY: FORMER CONFORMED NAME: KAUFMAN & BROAD BUILDING CO DATE OF NAME CHANGE: 19711006 SC 13D/A 1 SC 13D/A 1 United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* American Shared Hospital Service (Name of Issuer) Common Stock (Title of Class of Securities) 02959510 (CUSIP Number) Christine A. Nixon, Esq. 1 SunAmerica Center Los Angeles, CA 90067-6022 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 23, 1996 (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 his the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box - - -. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 Page 2 of 7 pages SCHEDULE 13D CUSIP NO. 029595105 1. NAME OF PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SunAmerica Life Insurance Company (formerly known as Sun Life Insurance Company of America) 52-0502540 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OR LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (a) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Arizona - -------------------------------------------------------------------------------- 7. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SOLE VOTING POWER 246,873 shares of Common Stock (includes 57,814 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 8. SHARED VOTING POWER - -------------------------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER 246,873 shares of Common Stock (includes 57,814 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 246,873 shares of Common Stock (includes 57,814 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.00% - -------------------------------------------------------------------------------- 14. TYPE OF PERSON IC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Page 3 of 7 pages SCHEDULE 13D CUSIP NO. 029595105 1. NAME OF PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anchor National Life Insurance Company 86-0198983 - ------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3. SEC USE ONLY - ------------------------------------------------------------------------------- 4. SOURCE OF FUNDS OO - ------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OR LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (a) [ ] - ------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Arizona - ------------------------------------------------------------------------------- 7. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SOLE VOTING POWER 94,419 shares of Common Stock (includes 84,766 shares issuable upon the conversion of warrants) - ------------------------------------------------------------------------------- 8. SHARED VOTING POWER - ------------------------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER 94,419 shares of Common Stock (includes 84,766 shares issuable upon the conversion of warrants) - ------------------------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 94,419 shares of Common Stock (includes 84,766 shares issuable upon the conversion of warrants) - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.91% - ------------------------------------------------------------------------------- 14. TYPE OF PERSON IC - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 Page 4 of 7 pages SCHEDULE 13D CUSIP NO. 029595105 1. NAME OF PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SunAmerica Inc. 86-0176061 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OR LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or (a) [ ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Maryland - -------------------------------------------------------------------------------- 7. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SOLE VOTING POWER 124,666 shares of Common Stock (includes 26,684 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 8. SHARED VOTING POWER - -------------------------------------------------------------------------------- 9. SOLE DISPOSITIVE POWER 124,666 shares of Common Stock (includes 26,684 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 10. SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 124,666 shares of Common Stock (includes 26,684 shares issuable upon the conversion of warrants) - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.52% - -------------------------------------------------------------------------------- 14. TYPE OF PERSON HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 Page 5 of 7 pages STATEMENT PURSUANT TO RULE 13d-1 OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SunAmerica Life Insurance Company (formerly known as Sun Life Insurance Company of America) ("SunAmerica Life"), Anchor National Life Insurance Company ("Anchor") and SunAmerica Inc. ("SunAmerica") (SunAmerica Life, Anchor and SunAmerica shall sometimes be collectively referred to herein as the "Reporting Persons") by this Amendment No.3 hereby supplement and amend the Statement to Schedule 13D dated May 17, 1995, as amended by Amendment No. 1 dated November 22, 1995, as amended by Amendment No. 2 dated March 11, 1996 (as so amended to date, the "Schedule 13D"). Item 4. Purpose of Transaction The securities to which this statement relates were acquired and are held for investment purposes. This Amendment relates to dispositions of shares of common stock of Issuer at various times, which sales of shares are described under Item 5(c) of this Amendment. Item 5. Interest in the Securities of the Issuer The information set forth below amends Items 5(a) and 5(c) as reported under Schedule 13D, Amendment No. 2, filed on March 11, 1996: (a) SunAmerica beneficially owns 124,666 shares of the Common Stock (including 26,684 Warrants) or 2.52% of the Common Stock outstanding. SunAmerica Life beneficially owns 246,873 shares of Common Stock (including 57,814 Warrants) or 5.00% of the Common Stock outstanding. Anchor beneficially owns 94,419 shares of Common Stock (including 84,766 Warrants) or 1.91% of the Common Stock outstanding. The Reporting Persons beneficially own, in the aggregate, 465,958 shares of the Common Stock (including 169,264 Warrants) or 9.43% of the Common Stock outstanding. The separate and aggregate percentages of beneficial ownership of the Reporting Persons were based on 4,769,384 outstanding shares of Common Stock as of April 30, 1998 (which excludes immediately exercisable Warrants giving the Reporting Persons the right to acquire, in aggregate, up to an additional 169,264 Common Stock). (b) The number of shares of the Common Stock as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or direct the disposition, or share power to dispose or direct the disposition for the Reporting Persons is set forth in the cover pages and such information is incorporated herein by this reference. 6 Page 6 of 7 pages Item 5(c) of Schedule 13D, Amendment No. 2 is hereby amended and restated in its entirety as follows: 5(c) The following sales of Common Stock were completed by SunAmerica, SunAmerica Life and Anchor on the dates listed below:
====================================================================================== 1) IDENTITY OF PERSON (2) DATE OF (3) AMOUNT OF (4) PRICE OR (5) MANNER COVERED BY ITEM 5(C) TRANSACTION SECURITIES UNIT PER SHARE OF SALE WHO EFFECTED THE TRANSACTION INVOLVED ====================================================================================== Anchor 8-26-96 2,000 1.440 Broker-Dealer Anchor 9-04-96 2,900 1.461 Broker-Dealer Anchor 9-18-96 200 1.480 Broker-Dealer Anchor 9-20-96 1,300 1.480 Broker-Dealer Anchor 9-23-96 1,000 1.480 Broker-Dealer Anchor 10-91-96 4,600 1.480 Broker-Dealer Anchor 10-07-96 1,000 1.480 Broker-Dealer Anchor 10-10-96 1,800 1.480 Broker-Dealer Anchor 10-11-96 3,100 1.480 Broker-Dealer Anchor 10-14-96 1,400 1.480 Broker-Dealer Anchor 11-04-96 300 1.480 Broker-Dealer Anchor 11-06-96 4,200 1.480 Broker-Dealer Anchor 11-14-96 3,200 1.480 Broker-Dealer Anchor 11-27-96 1,000 1.480 Broker-Dealer Anchor 12-06-96 22,000 1.480 Broker-Dealer Anchor 12-12-96 44,000 1.925 Broker-Dealer Anchor 12-27-96 300 1.917 Broker-Dealer Anchor 12-30-96 5,300 1.917 Broker-Dealer Anchor 9-04-97 15,000 1.782 Broker-Dealer Anchor 9-05-97 10,000 1.783 Broker-Dealer Anchor 10-05-97 10,000 1.782 Broker-Dealer Anchor 10-28-97 52,000 1.785 Broker-Dealer Anchor 10-29-97 5,800 1.845 Broker-Dealer Anchor 10-31-97 5,000 1.782 Broker-Dealer Anchor 11-03-97 20,000 1.780 Broker-Dealer Anchor 11-10-97 24,700 1.905 Broker-Dealer Anchor 11-12-97 4,500 1.845 Broker-Dealer Anchor 12-29-97 10,991 1.750 Broker-Dealer Anchor 12-29-97 9,009 1.750 Broker-Dealer Anchor 3-12-98 20,800 1.970 Broker-Dealer Anchor 3-23-98 2,200 1.625 Broker-Dealer Anchor 3-24-98 23,200 1.625 Broker-Dealer Anchor 3-25-98 3,200 1.625 Broker-Dealer Anchor 3-25-98 6,400 1.595 Broker-Dealer SunAmerica Life 4-13-98 2,100 1.782 Broker-Dealer SunAmerica Life 4-14-98 1,000 1.845 Broker-Dealer SunAmerica Life 4-15-98 2,500 1.812 Broker-Dealer SunAmerica 4-17-98 3,400 1.782 Broker-Dealer SunAmerica Life 5-07-98 2,200 1.750 Broker-Dealer SunAmerica Life 5-11-98 10,000 1.750 Broker-Dealer SunAmerica Life 5-14-98 3,000 1.750 Broker-Dealer SunAmerica Life 5-28-98 9,800 1.375 Broker-Dealer
(d) The Reporting Persons have the sole right to receive dividends from, or the proceeds from the sale of, the securities reported hereon. 7 (e) Not applicable. Page 7 of 7 pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct and the parties listed below have entered a Joint Filing Agreement pursuant to Rule 13d-1(f)(1). Dated: June 23, 1998 SUNAMERICA LIFE INSURANCE COMPANY /s/ JAY S. WINTROB ============================================== Jay S. Wintrob Executive Vice President SUNAMERICA INC. /s/ JAY S. WINTROB ============================================== Jay S. Wintrob Vice Chairman ANCHOR NATIONAL LIFE INSURANCE COMPANY /s/ JAY S. WINTROB ============================================== Jay S. Wintrob Executive Vice President -----END PRIVACY-ENHANCED MESSAGE-----