-----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, RjfLrHmUHTDql8adyLL9OA6QFTIxpln6m9xYyplKFeA7AHwrhtcxn6Mv2hkfHjWe D8TB09jbTbHWl6wLKmc8sA== 0000944209-98-000464.txt : 19980304 0000944209-98-000464.hdr.sgml : 19980304 ACCESSION NUMBER: 0000944209-98-000464 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980302 SROS: NASD GROUP MEMBERS: INTERGROUP CORP GROUP MEMBERS: JOHN V. WINFIELD GROUP MEMBERS: SANTA FE FINANCIAL CORP. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TIS MORTGAGE INVESTMENT CO CENTRAL INDEX KEY: 0000833088 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 943067889 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-50751 FILM NUMBER: 98554705 BUSINESS ADDRESS: STREET 1: 655 MONTGOMERY ST STE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153938000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERGROUP CORP CENTRAL INDEX KEY: 0000069422 STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF APARTMENT BUILDINGS [6513] IRS NUMBER: 133293645 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2121 AVE OF THE STARS STREET 2: STE 2020 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105561999 MAIL ADDRESS: STREET 1: 2121 AVE OF THE STARS SUITE 2020 CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: MUTUAL REAL ESTATE INVESTMENT TRUST DATE OF NAME CHANGE: 19860408 SC 13D/A 1 AMENDMENT NO. 2 TO SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Amendment No. 2 Under the Securities Exchange Act of 1934 TIS MORTGAGE INVESTMENT COMPANY ------------------------------- Name of Issuer Common Stock, $.001 Par Value ----------------------------- Title of Class of Securities 872527106 --------- CUSIP Number Mr. John V. Winfield The InterGroup Corporation 2121 Avenue of the Stars, Suite 2020 Los Angeles, California 90067 (310) 556-1999 _________________________________________ Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications February 18, 1998 ----------------- 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(b) (3) or (4), check the following box. [_] Check the following box if a fee is being paid with this statement. [_] - ----------------------- CUSIP No. 872527106 - ----------------------- - ------------------------------------------------------------------------------ Name of Reporting Person 1 The Intergroup Corporation - ------------------------------------------------------------------------------ Check the Appropriate Box if a Member of a Group 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC Use Only 3 - ------------------------------------------------------------------------------ Source of Funds 4 WC - ------------------------------------------------------------------------------ Check if Disclosure of Legal Proceedings is Required pursuant to Items 2(d) or 2 _____ 5 - ------------------------------------------------------------------------------ Citizenship of Place of Organization 6 Delaware - ------------------------------------------------------------------------------ Sole Voting Power 7 NUMBER OF 471,100 Shares SHARES ----------------------------------------------------------- Shared Voting Power BENEFICIALLY 8 OWNED BY ----------------------------------------------------------- EACH Sole Dispositive Power 9 REPORTING 471,100 Shares PERSON ----------------------------------------------------------- Shared Dispositive Power WITH 10 - ------------------------------------------------------------------------------ Aggregate Amount Beneficially Owned By Each Reporting Person 11 471,100 Shares - ------------------------------------------------------------------------------ Check if the Aggregate Amount in Row 11 Excludes Certain Shares ______ 12 - ------------------------------------------------------------------------------ Percent of Class Represented by Amount in Row 11 13 5.8% - ------------------------------------------------------------------------------ Type of Reporting Person 14 CO - ------------------------------------------------------------------------------ - ----------------------- CUSIP No. 872527106 - ----------------------- - ------------------------------------------------------------------------------ Name of Reporting Person 1 Santa Fe Financial Corporation - ------------------------------------------------------------------------------ Check the Appropriate Box if a Member of a Group 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC Use Only 3 - ------------------------------------------------------------------------------ Source of Funds 4 WC - ------------------------------------------------------------------------------ Check if Disclosure of Legal Proceedings is Required pursuant to Items 2(d) or 2 _____ 5 - ------------------------------------------------------------------------------ Citizenship of Place of Organization 6 Nevada - ------------------------------------------------------------------------------ Sole Voting Power 7 NUMBER OF 110,100 Shares SHARES ----------------------------------------------------------- Shared Voting Power BENEFICIALLY 8 OWNED BY ----------------------------------------------------------- EACH Sole Dispositive Power 9 REPORTING 110,100 Shares PERSON ----------------------------------------------------------- Shared Dispositive Power WITH 10 - ------------------------------------------------------------------------------ Aggregate Amount Beneficially Owned By Each Reporting Person 11 110,100 Shares - ------------------------------------------------------------------------------ Check if the Aggregate Amount in Row 11 Excludes Certain Shares ______ 12 - ------------------------------------------------------------------------------ Percent of Class Represented by Amount in Row 11 13 1.4% - ------------------------------------------------------------------------------ Type of Reporting Person 14 CO - ------------------------------------------------------------------------------ - ----------------------- CUSIP No. 872527106 - ----------------------- - ------------------------------------------------------------------------------ Name of Reporting Person 1 John V. Winfield - ------------------------------------------------------------------------------ Check the Appropriate Box if a Member of a Group 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC Use Only 3 - ------------------------------------------------------------------------------ Source of Funds 4 PF - ------------------------------------------------------------------------------ Check if Disclosure of Legal Proceedings is Required pursuant to Items 2(d) or 2 _____ 5 - ------------------------------------------------------------------------------ Citizenship of Place of Organization 6 U.S. Citizen - ------------------------------------------------------------------------------ Sole Voting Power 7 NUMBER OF 193,000 Shares SHARES ----------------------------------------------------------- Shared Voting Power BENEFICIALLY 8 581,200 OWNED BY ----------------------------------------------------------- EACH Sole Dispositive Power 9 REPORTING 193,000 Shares PERSON ----------------------------------------------------------- Shared Dispositive Power WITH 10 581,200 - ------------------------------------------------------------------------------ Aggregate Amount Beneficially Owned By Each Reporting Person 11 774,200 Shares - ------------------------------------------------------------------------------ Check if the Aggregate Amount in Row 11 Excludes Certain Shares ______ 12 - ------------------------------------------------------------------------------ Percent of Class Represented by Amount in Row 11 13 9.6% - ------------------------------------------------------------------------------ Type of Reporting Person 14 IN - ------------------------------------------------------------------------------ SCHEDULE 13D AMENDMENT NO. 2 OF MR. JOHN V. WINFIELD, THE INTERGROUP CORPORATION AND SANTA FE FINANCIAL CORPORATION REGARDING OWNERSHIP OF COMMON STOCK OF TIS MORTGAGE INVESTMENT COMPANY This Amendment No. 2 to Schedule 13D is being filed to update information previously filed by Mr. John V. Winfield, The Intergroup Corporation, a Delaware corporation ("Intergroup") and Santa Fe Financial Corporation, a Nevada corporation ("Santa Fe"), in connection with additional purchases of Common Stock, Par Value $.001 per share, (the "Shares") of TIS Mortgage Investment Company, a Maryland corporation (the "Company") by Intergroup and Santa Fe. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. ------------------------------------------------- Intergroup and Santa Fe used working capital, as their source of funds to purchase the Shares. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. ------------------------------------ (a) Intergroup, as of February 24, 1998, may be deemed to beneficially own, for purpose of Section 13(d) of the Exchange Act, 471,100 Shares. Those shares represent approximately 5.8% of the outstanding shares of Common Stock based on the Company's representations that it had 8,105,880 shares of Common Stock outstanding as of November 14, 1997. Santa Fe, as of February 24, 1998, may be deemed to beneficially own, for purposes of Section 13(d) of the Exchange Act, 110,100 Shares. Those shares represent approximately 1.4% of the Company's outstanding Common Stock. John V. Winfield owns 193,000 Shares. Those shares represent approximately 2.4% of the Common Stock of the Company. To the extent that Mr. Winfield is deemed to beneficially own, for purposes of Section 13(d), the shares of Common Stock owned by Intergroup and Santa Fe, he would beneficially own 774,200 shares of the Common Stock of the Company, representing approximately 9.6% of the outstanding Common Stock. (b) As the Chairman, President, Chief Executive Officer and controlling shareholder of Intergroup, John V. Winfield shares the voting power and disposition power with respect to the Common Stock owned by Intergroup. As the Chairman, President and Chief Executive Officer of Santa Fe, John V. Winfield shares the voting power and disposition power with respect to the Common Stock owned by Santa Fe. John V. Winfield has sole voting power and disposition power with respect to the Common Stock owned by him. (c) Information with respect to transactions effected in the Common Stock during the past sixty (60) days is set forth in Appendix I. (d) No person other than John V. Winfield, Intergroup and Santa Fe, and John V. Winfield as Chairman, President and Chief Executive Officer of Intergroup and Santa Fe, has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of the securities disclosed in Item 5(a) above. SIGNATURES 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: February 27, 1998 JOHN V. WINFIELD By: /s/ John V. Winfield --------------------- THE INTERGROUP CORPORATION By: /s/ John V. Winfield --------------------- Its President, Chairman and CEO SANTA FE FINANCIAL CORPORATION By: /s/ John V. Winfield --------------------- Its President, Chairman and CEO APPENDIX I The following table sets forth the trade date for each purchase and sale of Common or Preferred Stock by Mr. Winfield, Intergroup and Santa Fe, the number of Shares purchased and sold in each such transaction and the price per share in each such transaction effected during the past sixty (60) days. All of the Shares were purchased in brokerage transactions on the New York Stock Exchange.
No. of Shares of Common Stock Price per Trade Date Person Purchased Share - ------------------ --------------- -------------- --------------- 12/19/97 Santa Fe 10,100 $ 1.375 12/23/97 Santa Fe 14,000 $ 1.375 12/24/97 Santa Fe 7,500 $ 1.375 12/29/97 Santa Fe 8,600 $ 1.375 12/30/97 Santa Fe 6,400 $ 1.375 12/31/97 Santa Fe 13,500 $1.3935 2/12/98 Intergroup 5,500 $1.1857 2/17/98 Intergroup 5,000 $ 1.25 2/18/98 Intergroup 12,600 $ 1.25 2/19/98 Intergroup 14,400 $ 1.25 2/24/98 Intergroup 3,500 $ 1.25
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