-----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, NByKQ1AdLU63f0DiiafcXehssfuGlue6ISQlCAtwYa4sGpQU2qBBm/XMBQNq9FKg M0m2Os4o/XEX743yVkbsng== 0000902561-02-000592.txt : 20021118 0000902561-02-000592.hdr.sgml : 20021118 20021118155426 ACCESSION NUMBER: 0000902561-02-000592 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021118 GROUP MEMBERS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMC FINANCIAL INC CENTRAL INDEX KEY: 0000866253 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 112994671 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49602 FILM NUMBER: 02831419 BUSINESS ADDRESS: STREET 1: 11111 WILCREST GREEN STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77042 BUSINESS PHONE: 7137870100 MAIL ADDRESS: STREET 1: 11111 WILCREST GREEN STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77042 FORMER COMPANY: FORMER CONFORMED NAME: MANDI OF ESSEX LTD DATE OF NAME CHANGE: 19930328 FORMER COMPANY: FORMER CONFORMED NAME: CITYSCAPE FINANCIAL CORP DATE OF NAME CHANGE: 19940527 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MACKAY SHIELDS LLC CENTRAL INDEX KEY: 0000061227 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132631681 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-230-3828 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP DATE OF NAME CHANGE: 19920929 SC 13D/A 1 formsch13d-a_hoh111502.txt SCHEDULE 13 D/A -- AMEENDMENTS ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3) Under the Securities Exchange Act of 1934 AMC FINANCIAL, INC. (FORMERLY KNOWN AS CITYSCAPE FINANCIAL CORP.) - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE - -------------------------------------------------------------------------------- (Title of class of securities) 001642107 - -------------------------------------------------------------------------------- (CUSIP number) RUSSELL A. THOMPSON MACKAY SHIELDS LLC 9 WEST 57 STREET NEW YORK, NEW YORK 10019 - -------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) OCTOBER 14, 2002 - -------------------------------------------------------------------------------- (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(e), 13d-1(f) or 13d-1(g), check the following box [_]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise subject to the liabilities of that section of the Exchange Act but shall be subject to all other provisions of the Exchange Act. (Continued on following pages) (Page 1 of 4 pages) ================================================================================ - -----------------------------------| |-----------------------------| CUSIP No. 001642107 | 13D/A | | - -----------------------------------| |-----------------------------| - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: MacKay Shields LLC (f/n/a MacKay-Shields Financial Corporation) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) [_] (b) [_] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------- ------------------------------------ 4 SOURCE OF FUNDS: N/A - ----------- -------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_] - ----------- -------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware - -------------------------------------------------------------------------------- NUMBER OF SHARES 7 SOLE VOTING POWER: 0 -------------------------------------------------------------------- BENEFICIALLY OWNED BY 8 SHARED VOTING POWER: 0 -------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER: 0 -------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER: 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 0 - ----------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 0% - ----------- -------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON: IA - ----------- -------------------------------------------------------------------- Page 2 of 4 AMENDMENT NO. 3 TO SCHEDULE 13D This Amendment No. 3 is filed by MacKay Shields LLC (f/k/a MacKay-Shields Financial Corporation) to amend and supplement the Schedule 13D filed on October 13, 1999 (the "Schedule 13D"), as previously amended on April 13, 2000 ("Amendment No. 1"), and on November 13, 2002 ("Amendment No. 2"), and is being filed pursuant to Rule 13d-2(a) under the Securities Exchange Act of 1934, as amended, with respect to the common stock, $0.01 par value, of AMC Financial, Inc. ("AMC"). This filing is for the purpose of reporting a correction in the amount of common stock sold by MacKay Shields LLC as previously described in Amendment No. 2. Unless specifically amended hereby, the disclosures set forth in the Schedule 13D shall remain unchanged. ITEM 4. PURPOSE OF TRANSACTION Item 4 of Schedule 13D is hereby deleted and replaced in its entirety with the following: On Monday, October 14, 2002, MacKay Shields, LLC, as an investment adviser to several client accounts, sold all of the shares of common stock of AMC, an aggregate of 1,953,949 shares of AMC Financial, Inc., at a price of $3.17 per share. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 of Schedule 13D is hereby deleted and replaced in its entirety with the following: (a). MacKay Shields does not beneficially own any shares of common stock of AMC Financial, Inc. (b). Sole Power to Vote, Direct the Vote of or Dispose of Shares: 0 shares. (c). Recent Transactions: On Monday, October 14, 2002, MacKay Shields, LLC, as an investment adviser to several client accounts, sold all of the shares of common stock of AMC, an aggregate of 1,953,949 shares of AMC Financial, Inc., at a price of $3.17 per share. (d). Rights with Respect to Dividends or Sale Proceeds: N/A. (e). Date of Cessation of Five Percent Beneficial Ownership: October 14, 2002. Page 3 of 4 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. Dated: November 18, 2002 MACKAY SHIELDS LLC /s/ Russell A. Thompson ---------------------------------------- By: Russell A. Thompson Title: Chief Compliance Officer Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----