0000065103-95-000137.txt : 19950810
0000065103-95-000137.hdr.sgml : 19950810
ACCESSION NUMBER: 0000065103-95-000137
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 19950809
SROS: NYSE
GROUP MEMBERS: MERRILL LYNCH & CO INC
GROUP MEMBERS: MERRILL LYNCH ASSET MANAGEMENT, L.P
GROUP MEMBERS: MERRILL LYNCH GROUP, INC.
GROUP MEMBERS: MERRILL LYNCH GROWTH FUND FOR INVESTMENT AND RETIREMENT
GROUP MEMBERS: PRINCETON SERVICES, INC.
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: SANTA FE ENERGY RESOURCES INC
CENTRAL INDEX KEY: 0000086772
STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311]
IRS NUMBER: 362722169
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-41229
FILM NUMBER: 95560089
BUSINESS ADDRESS:
STREET 1: 1616 S VOSS RD STE 1000
CITY: HOUSTON
STATE: TX
ZIP: 77057
BUSINESS PHONE: 7137832401
MAIL ADDRESS:
STREET 1: 1616 S VOSS ROAD STE 1000
CITY: HOUSTON
STATE: TX
ZIP: 77057
FORMER COMPANY:
FORMER CONFORMED NAME: SANTA FE NATURAL RESOURCES INC
DATE OF NAME CHANGE: 19900111
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: MERRILL LYNCH & CO INC
CENTRAL INDEX KEY: 0000065100
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 132740599
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1228
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 250 VESEY ST
STREET 2: WORLD FINANCIAL CTR N TOWER
CITY: NEW YORK
STATE: NY
ZIP: 10281-1334
BUSINESS PHONE: 2124491000
MAIL ADDRESS:
STREET 1: 250 VESEY ST
STREET 2: WORLD FINANCIAL CTR N TOWER
CITY: NEW YORK
STATE: NY
ZIP: 10281-1334
SC 13G/A
1
SCHEDULE 13G AMENDMENT
OMB APPROVAL
EXPIRES: October 31, 1994
ESTIMATED AVERAGE BURDEN
HOURS PER RESPONSE 14.90
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
Santa Fe Energy Resources, Inc.
-------------------------------------------------------------------
(Name of Issuer)
Common Stock**
-------------------------------------------------------------------
(Title of Class of Securities)
80201210
--------------
(CUSIP NUMBER)
Check the following box if a fee is being paid with this statement.[ ] (A
fee is not required only if the filing person: (1) has a previous statement
on file reporting beneficial ownership of more than five percent of the
class of securities described in Item 1; and (2) has filed no amendment
subsequent thereto reporting beneficial ownership of five percent or less
of such class.) (See Rule 13d-7).
*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 the disclosures provided in a prior cover page.
The information required in 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 ("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).
-----------------------
**The amount reflected in Item 9 of the cover pages may include common stock
issuable upon conversion of convertible preferred stock (the "Preferred Stock")
(CUSIP 80201220 and 80201240). In the aggregate, Merrill Lynch & Co., Inc. may
be deemed to beneficially own 513,047 shares of Common Stock and 564,219
shares of Preferred Stock.
Page 2 of 12 Pages
CUSIP NO. 80201210 13G
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Merrill Lynch & Co., Inc.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Joint Filing
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
NONE
6. SHARED VOTING POWER
10,644,914
7. SOLE DISPOSITIVE POWER
NONE
8. SHARED DISPOSITIVE POWER
10,644,914
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,644,914
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.7%
12. TYPE OF REPORTING PERSON*
HC, CO
*SEE INSTRUCTION BEFORE FILING OUT!
Page 3 of 12 Pages
CUSIP NO. 80201210 13G
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Merrill Lynch Group, Inc.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Joint Filing
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
NONE
6. SHARED VOTING POWER
10,619,106
7. SOLE DISPOSITIVE POWER
NONE
8. SHARED DISPOSITIVE POWER
10,619,106
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,619,106
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.7%
12. TYPE OF REPORTING PERSON*
HC, CO
*SEE INSTRUCTION BEFORE FILING OUT!
Page 4 of 12 Pages
CUSIP NO. 80201210 13G
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Princeton Services, Inc.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Joint Filing
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
NONE
6. SHARED VOTING POWER
10,619,106
7. SOLE DISPOSITIVE POWER
NONE
8. SHARED DISPOSITIVE POWER
10,619,106
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,619,106
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.7%
12. TYPE OF REPORTING PERSON*
HC, CO
*SEE INSTRUCTION BEFORE FILING OUT!
Page 5 of 12 Pages
CUSIP NO. 80201210 13G
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Merrill Lynch Asset Management, L.P.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Joint Filing
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
NONE
6. SHARED VOTING POWER
10,619,106
7. SOLE DISPOSITIVE POWER
NONE
8. SHARED DISPOSITIVE POWER
10,619,106
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,619,106
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.7%
12. TYPE OF REPORTING PERSON*
IA, PN
*SEE INSTRUCTION BEFORE FILING OUT!
Page 6 of 12 Pages
CUSIP NO. 80201210 13G
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Merrill Lynch Growth Fund for Investment & Retirement
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Joint Filing
(a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5. SOLE VOTING POWER
NONE
6. SHARED VOTING POWER
9,000,000
7. SOLE DISPOSITIVE POWER
NONE
8. SHARED DISPOSITIVE POWER
9,000,000
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,000,000
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.9%
12. TYPE OF REPORTING PERSON*
IV
*SEE INSTRUCTION BEFORE FILING OUT!
Page 7 of 12 Pages
SCHEDULE 13G
ITEM 1 (a) Name of Issuer:
--------------
Santa Fe Energy Resources, Inc.
ITEM 1 (b) Address of Issuer's Principal Executive Offices:
-----------------------------------------------
1616 South Voss Road
Suite 1000
Houston, Texas 77057
ITEM 2 (a) Name of Persons Filing:
---------------------
Merrill Lynch & Co., Inc.
Merrill Lynch Group, Inc..
Princeton Services, Inc.
Merrill Lynch Asset Management, L.P.
Merrill Lynch Growth Fund for Investment & Retirement
ITEM 2 (b) Address of Principal Business Office or, if none, Residence:
-----------------------------------------------------------
Merrill Lynch & Co., Inc.
World Financial Center, North Tower
250 Vesey Street
New York, New York 10281
Merrill Lynch Group, Inc.
World Financial Center, North Tower
250 Vesey Street
New York, New York 10281
Princeton Services, Inc.
800 Scudders Mill Road
Plainsboro, New Jersey 08536
Merrill Lynch Asset Management, L.P.
800 Scudders Mill Road
Plainsboro, New Jersey 08536
Merrill Lynch Growth Fund for Investment & Retirement
800 Scudders Mill Road
Plainsboro, New Jersey 08536
Page 8 of 12 Pages
ITEM 2 (c) Citizenship:
-----------
See Item 4 of Cover Pages
ITEM 2 (d) Title of Class of Securities:
----------------------------
Common Stock
ITEM 2 (e) CUSIP NUMBER:
80201210
ITEM 3
Merrill Lynch & Co., Inc. ("ML&Co."), Merrill Lynch Group, Inc. ("ML
Group") and Princeton Services, Inc. ("PSI") are parent holding companies, in
accordance with (S) 240.13d-1(b) (ii) (G). Merrill Lynch Asset Management,
L.P. (d/b/a) Merrill Lynch Asset Management ("MLAM") is an investment adviser
registered under (S) 203 of the Investment Advisers Act of 1940. Merrill
Lynch Growth Fund for Investment & Retirement (the "Fund") is an investment
company registered under Section 8 of the Investment Company Act of 1940.
ITEM 4 Ownership
---------
(a) Amount Beneficially Owned:
See Item 9 of Cover Pages. Pursuant to (S) 240.13d-4, ML&Co., ML Group,
PSI, MLAM and the Fund (the "Reporting Persons") disclaim beneficial ownership
of the securities of Santa Fe Energy Resources, Inc. (the "Company") referred
to herein, and the filing of this Schedule 13G shall not be construed as an
admission that the Reporting Persons are, for the purposes of Section 13(d)
or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any
securities of the Company covered by this statement.
(b) Percent of Class:
See Item 11 of Cover Pages
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
See Item 5 of Cover Pages
(ii) shared power to vote or to direct the vote:
See Item 6 of the Cover Pages
(iii) sole power to dispose of or to direct the disposition of:
See Item 7 of Cover Pages
Page 9 of 12 Pages
(iv) share power to dispose of or direct the disposition of:
See Item 8 of Cover Pages
ITEM 5 Ownership of Five Percent or Less of a Class.
--------------------------------------------
Not Applicable
ITEM 6 Ownership of More than Five Percent on Behalf of Another Person.
---------------------------------------------------------------
MLAM is an investment adviser registered under Section 203 of the
Investment Advisers Act of 1940 and acts as an investment adviser to investment
companies registered under Section 8 of the Investment Company Act of 1940.
With respect to securities held by those investment companies, several persons
have the right to receive, or the power to direct the receipt of dividends from
or the proceeds from the sale of, such securities. Merrill Lynch Growth
Fund for Investment & Retirement a reporting person on this Schedule 13G for
which MLAM serves as investment adviser, has an interest that relates to more
than 5% of the class of securities reported herein. No other person has an
interest that relates to more than 5% of the class of securities reported
herein.
ITEM 7 Identification and Classification of the Subsidiary Which
---------------------------------------------------------
Acquired the Security Being Reported on by the Parent Holding Company.
---------------------------------------------------------------------
See Exhibit A
ITEM 8 Identification and Classification of Members of the Group.
----------------------------------------------------------
Not Applicable
Page 10 of 12 Pages
ITEM 9 Notice of Dissolution of Group.
------------------------------
Not Applicable
ITEM 10 Certification
-------------
By signing below each of the undersigned certifies that, to the best of
their knowledge and belief, the securities referred to above were acquired in
the ordinary course of business and were not acquired for the purpose of and do
not have the effect of changing or influencing the control of the issuer of
such securities and were not acquired in connection with or as a participant in
any transaction having such purpose or effect.
Signature.
---------
After reasonable inquiry and to the best of my knowledge and belief, each
of the undersigned certifies that the information set forth in this statement
is true, complete and correct.
Date: August 10, 1995
Merrill Lynch & Co, Inc.
/s/ David L. Dick
----------------------------
Name: David L. Dick
Title: Assistant Secretary
Merrill Lynch Group, Inc.
/s/ David L. Dick
-----------------------------
Name: David L. Dick
Title: Secretary
Princeton Services, Inc.
/s/ David L. Dick
-----------------------------
Name: David L. Dick
Title: Attorney-In-Fact*
Merrill Lynch Asset Management, L.P.
By: Princeton Services, Inc. (General Partner)
/s/ David L. Dick
-------------------------
Name: David L. Dick
Title Attorney-In-Fact*
------------------------------------
* Signed pursuant to a power of attorney, dated February 10, 1994, included as
an Exhibit to Schedule 13G filed with the Securities and Exchange Commission
by Merrill Lynch Group, Inc. et. al. on February 14, 1994 with respect to Dial
REIT Inc.
Page 11 of 12 Pages
Merrill Lynch Growth for Investment & Retirement
/s/ David L. Dick
--------------------------
Name: David L. Dick
Title: Attorney-In-Fact**
** Signed pursuant to a power of attorney, dated February 10, 1994, included
as an Exhibit to Schedule 13G as filed with the Securities and Exchange
Commission by Merrill Lynch & Co., Inc. et. al. on February 14, 1994 with
respect to Cirrus Logic, Inc.
Page 12 of 12 Pages
EXHIBIT A TO SCHEDULE 13G
-------------------------
ITEM 7 DISCLOSURE RESPECTING SUBSIDIARIES
-----------------------------------------
Three of the persons filing this report, Merrill Lynch & Co., Inc., a
Delaware corporation with its principal place of business at World Financial
Center, North Tower, 250 Vesey Street, New York, New York ("ML&Co."), Merrill
Lynch Group, Inc., a Delaware corporation with its principal place of business
at World Financial Center, North Tower, 250 Vesey Street, New York, New York
("ML Group"), and Princeton Services, Inc. a Delaware corporation with its
principal place of business at 800 Scudders Mill Road, Plainsboro, New Jersey,
("PSI") are parent holding companies pursuant to (S)240 13d-1(b) (1) (ii) (G).
The relevant subsidiaries of ML & Co. are Merrill Lynch Pierce, Fenner &
Smith Incorporated, a Delaware corporation with its principal place of
business at 250 Vesey Street, New York, New York ("MLPF&S"), ML Group and PSI,
which is the general partner of Merrill Lynch Asset Management, L.P. (d/b/a)
Merrill Lynch Asset Management ("MLAM"). The relevant subsidiary of
Merrill Lynch Group is PSI.
ML Group, a wholly-owned direct subsidiary of ML&Co., may be deemed to be
the beneficial owner of 11.7% of the common stock of Santa Fe Energy
Resources, Inc. (the "Company") by virtue of its control of its wholly-owned
subsidiary, PSI.
PSI, a wholly-owned direct subsidiary of ML Group, may be deemed to be
the beneficial owner of 11.7% of the common stock of the Company by virtue
of its being the general partner of MLAM.
MLAM, a Delaware limited partnership with its principal place of business
at 800 Scudders Mill Road, Plainsboro, New Jersey, is an investment adviser
registered under Section 203 of the Investment Advisers Act of 1940. MLAM may
be deemed to be the beneficial owner of 11.7% of the common stock of the
Company as a result of acting as investment adviser to investment companies
registered under Section 8 of the Investment Company Act of 1940.
One registered investment company advised by MLAM, Merrill Lynch Growth
Fund for Investment & Retirement (the "Fund"), is the beneficial owner of 9.9%
of the securities of common stock of the Company.
MLPF&S, a wholly-owned direct subsidiary of ML & Co. and a broker-dealer
registered pursuant to the Securities Exchange Act of 1934 is the beneficial
owner of less than 5% of the common stock of the Company.
Pursuant to (S)240.13d-4, ML & Co., ML Group, MLPF&S, PSI, MLAM, and the
Fund disclaim beneficial ownership of the securities of the Company, and the
filing of this Schedule 13G shall not be construed as an admission that any
such entity is, for the purposes of Section 13(d) or 13(g) of the Securities
Exchange Act of 1934, the beneficial owner of any securities of the Company,
other than, in the case of ML & Co. and MLPF&S, securities of the Company held
by MLPF&S in proprietary accounts.