-----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, DVdl/J3k3FH31XL/4V5HlxmmMhJ9rJLcRl5zDhh+r2lHEmeRXsgv1ezn2FMYqGdh ETP+AAmFoTo8PvVyRLtsaQ== 0000950103-99-000838.txt : 19991018 0000950103-99-000838.hdr.sgml : 19991018 ACCESSION NUMBER: 0000950103-99-000838 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990901 FILED AS OF DATE: 19991001 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROOKE GROUP LTD CENTRAL INDEX KEY: 0000059440 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 510255124 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-05759 FILM NUMBER: 99721244 BUSINESS ADDRESS: STREET 1: 100 S E SECOND ST CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 3055798000 FORMER COMPANY: FORMER CONFORMED NAME: LIGGETT GROUP INC DATE OF NAME CHANGE: 19900815 FORMER COMPANY: FORMER CONFORMED NAME: LIGGETT & MYERS INC DATE OF NAME CHANGE: 19760602 FORMER COMPANY: FORMER CONFORMED NAME: LIGGETT & MYERS TOBACCO CO DATE OF NAME CHANGE: 19690528 COMPANY DATA: COMPANY CONFORMED NAME: AIF II LP CENTRAL INDEX KEY: 0000904239 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O APOLLO ADVISORS LP STREET 2: 1999 AVENUE OF THE STARS SUITE 1900 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 914-694-8000 MAIL ADDRESS: STREET 1: C/O APOLLO ADVISORS LP STREET 2: TWO MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 3 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 OMB APPROVAL OMB NUMBER: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response........0.5 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 (Print or Type Responses) 1. Name and Address of Reporting Person* AIF II, L.P ----------------------------------------------------------------------------- (Last) (First) (Middle) c/o Apollo Advisors, L.P. 2 Manhattanville Road - ----------------------------------------------------------------------------- (Street) Purchase NY 10577 - ----------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 09/01/99 - ----------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ----------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Brooke Group Ltd. - ----------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner --- --- Officer (give title below) Other (specify below) --- --- - ---------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person - ---- 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 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I)(Instr. 5) - -----------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). (Over) SEC 1473 (7-96) 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. Conver- 5. Owner- 6. Nature Security (Instr. 4) and Expiration Securities Underlying sion or ship of In- Date (Month/Day/Year) Derivative Security Exercise Form of direct ------------------------- (Instr. 4) Price of Deriv- Bene- Date Expira- ------------------------- Derivative ative ficial Exer- tion Title Amount Security Security: Owner- cisable Date or Direct ship Number (D) or (Instr. of Indirect 5) Shares (I) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant 3/3/98 3/2/03 Common Stock 1,120,000(1) $5.00 D Warrant 11/1/99 10/31/04 Common Stock 1,204,000(1) $0.10 D
Explanation of Responses: 1 Amount reported does not include Warrants beneficially owned by Lion Advisors, L.P. that are exercisable for 1,826,000 shares of Common Stock of Brooke Group Ltd. (the "Issuer"). Apollo Advisors, L.P. ("Advisors") is the general partner of the Reporting Person. Apollo Capital Management, Inc. ("Management") is the general partner of Advisors. Leon D. Black and John J. Hannan are the directors and principal executive officers of Management. The Reporting Person, Advisors, Management and Messrs. Black and Hannan and their respective affiliates disclaim beneficial ownership of all shares of the Issuer in excess of their respective pecuniary interests, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, any such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. The foregoing does not include any adjustments for the declaration or payment by the Issuer of a 5% stock dividend on September 30, 1999 to holders of record on September 24, 1999. AIF II, L.P. By: Apollo Advisors, L.P., its general partner By: Apollo Capital Management, Inc., its general partner /s/ Michael D. Weiner September 30, 1999 - ------------------------------- ------------------------ **Signature of Reporting Person Date **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. Page 2 SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----