-----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, LXhm3+gKjQ8sCja9XP6NpU6sbSAv60gDRalzj5ijP4gtPlu8XElagi29uJFzjiQR +d+qjY4gj20jfstS7mUluw== 0000950172-03-000158.txt : 20030116 0000950172-03-000158.hdr.sgml : 20030116 20030116110440 ACCESSION NUMBER: 0000950172-03-000158 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030115 FILED AS OF DATE: 20030116 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BLOOMBERG JEFFREY C CENTRAL INDEX KEY: 0001073370 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 252 WOODLAND RD CITY: CHESTNUT HILL STATE: MA ZIP: 02167 MAIL ADDRESS: STREET 1: 252 WOODLAND RD CITY: CHESTNUT HILL STATE: MA ZIP: 02167 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTEK HOLDINGS INC CENTRAL INDEX KEY: 0000072423 STANDARD INDUSTRIAL CLASSIFICATION: MILLWOOD, VENEER, PLYWOOD & STRUCTURAL WOOD MEMBERS [2430] IRS NUMBER: 161638891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06112 FILM NUMBER: 03515840 BUSINESS ADDRESS: STREET 1: 50 KENNEDY PLZ CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4017511600 MAIL ADDRESS: STREET 1: 50 KENNEDY PLAZA CITY: PROVIDENCE STATE: RI ZIP: 02903 FORMER COMPANY: FORMER CONFORMED NAME: NORTEK INC DATE OF NAME CHANGE: 19920703 3 1 s399359.txt FORM 3 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION _____________________ WASHINGTON, D.C. 20549 | OMB APPROVAL | |_____________________| INITIAL STATEMENT OF |OMB NUMBER: 3235-0104| BENEFICIAL OWNERSHIP OF SECURITIES |EXPIRES: | | JANUARY 31, 2005 | Filed pursuant to Section 16(a) of the |ESTIMATED AVERAGE | Securities Exchange Act of 1934, |BURDEN HOURS | Section 17(a) of the Public Utility |PER RESPONSE..... 0.5| Holding Company Act of 1935 |_____________________| or Section 30(h) of the Investment Company Act of 1940 - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Bloomberg Jeffrey C. --------------------------------------------------------------------------- (Last) (First) (Middle) c/o Gordon Brothers Group LLC, 40 Broad Street, 11th Floor --------------------------------------------------------------------------- (Street) Boston MA 02109 --------------------------------------------------------------------------- (City) (State) (Zip) - ------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) January 9, 2003 - ------------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) - ------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Nortek Holdings - NTK - ------------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify title 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 |3. Ownership |4. Nature of | | (Instr. 4) | Securities | Form: Direct| Indirect | | | Beneficially| (D) or | Beneficial | | | Owned | Indirect (I)| Ownership | | | (Instr. 4) | (Instr. 5) | (Instr. 5) | |____________________|_______________|_______________|____________________| - --------------------------------------------------------------------------- [TYPE ENTRIES HERE] | | | | | | | | - --------------------------------------------------------------------------- | | | | None | | | | - --------------------------------------------------------------------------- | | | | | | | | - --------------------------------------------------------------------------- =========================================================================== TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------- 1. Title of Derivative Security (Instr. 4) none - ------------------------------------------------------------------------------- 2. Date Exercisable and Expiration Date (Month/Day/Year) ------------------- ------------------ Date Exercisable Expiration Date - ------------------------------------------------------------------------------- 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) ---------------------------------- ------------------------ Title Amount or Number of Shares - ------------------------------------------------------------------------------- 4. Conversion or Exercise Price of Derivative Security - ------------------------------------------------------------------------------- 5. Ownership Form of Derivative Securities: Direct(D) or Indirect(I) (Instr. 5) - ------------------------------------------------------------------------------- 6. Nature of Indirect Beneficial Ownership (Instr. 5) =========================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. EXPLANATION OF RESPONSES: /s/ Jeffrey Bloomberg 1/15/03 ----------------------------------- ------------------ ** SIGNATURE OF REPORTING PERSON DATE * If the form is filed by more than one reporting person, see Instruction 5(b)(v). ** 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. =========================================================================== SECOND AMENDED AND RESTATED PLAN SCHEDULE 3.1 --------------------------------------------- LIST OF EXECUTORY CONTRACTS AND UNEXPIRED LEASES TO BE REJECTED (as amended and restated as of January 13, 2003)
- ----------------------------------------------------------------------------------------------------------------------------------- CONTRACT DATE/ CONTRACT CONTRACT REJECTION CONTRACT PARTY NOTICE ADDRESS DESCRIPTION EXTENSION DATE EFFECTIVE DATE - ----------------------------------------------------------------------------------------------------------------------------------- Impulse (India) B-12 Nizamuddin West Buying Agency 3/28/00 Earlier of Effective Private Limited New Delhi 110013, India Agreement - Date of Plan and Attention: Ashwani Gupta Non exclusive expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- ASNA P.O. Box 701250 Utility Tool 1/31/03 Reject as of 1/31/03 San Antonio, TX 78270-1250 (software) - ----------------------------------------------------------------------------------------------------------------------------------- Infinium 25 Communications Highway, Software 2000 / Earlier of Effective Drawer 6000 Financial Sys. Date of Plan and Hyannis, MA 02601 expiration date of Attention: Kristen Hambleton contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Cable & Wireless 909 Third Ave. 12th Floor Internet T1 11/3/99 Earlier of Effective New York, NY 10022 Date of Plan and Attention: Robert Law expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Pitney Bowes (PBCC) 2225 American Dr 1 DL4S Copier 11/1/99 Earlier of Effective Neenah, WI 54656-1005 Date of Plan and expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- G.E. Capital P.O. Box 642555 Konica 7265 7/1/00 Earlier of Effective Pittsburgh, PA 15264-2555 Digital Copier Date of Plan and expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Vista Business Equipment 99 Park Ave. Two Iris printers Earlier of Effective New York, NY 10016 Date of Plan and expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Canon Financial P.O. Box 42937 MP90 6/25/96 Earlier of Effective Services Inc. Philadelphia, PA 19101-2937 Date of Plan and expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Citicorp Vendor Finance P.O. Box 41647 2 Fax Machines NY May 99 Earlier of Effective Philadelphia, PA 19101 Date of Plan and expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- 1385 Broadway Company Helmsley-Spear, Inc. Real property lease 2/28/95 10/31/03 60 E. 42nd Street at1385 Broadway, New York, NY 10165 New York, NY 230 Park Ave. Ste 559 New York, NY 10169 Copy to: Helmsley-Noyes PO Box 5852 New York, NY 10087-5852 - ----------------------------------------------------------------------------------------------------------------------------------- 149 Madison, LLC Abramson Brothers Inc. Real property lease 4/1/96 10/31/03 501 Fifth Ave. at 149 Madison Ave New York, NY 10017 5th Floor Attention: Alan B. Abramson - ----------------------------------------------------------------------------------------------------------------------------------- Ninety Park Property LLC C/O MRC Management LLC Real property lease 10/24/63 as 10/31/03 330 Madison Ave. at 90 Park Ave. amended 5/27/99 New York, NY 10017 (12th, 13th and 2 Att: Mr. David L Sims 6th Floor) Copy to: Proskaur Rose 1585 Broadway New York, NY 10036 Attention: Lawrence J. Lipson, Esq. Vornado Realty Trust (MRC Management, LLC) PO Box 11191 Church Street Station New York, NY 10286 Copy to: Ninety Park Property, LLC c/o Vornado Office Management LLC 888 Seventh Ave. New York, NY 10019 Attention: Mr. David R. Greenbaum Copy to: Vornado Realty Trust 210 Route 4 East Paramus, New Jersey 07652 Attention: Mr. Joseph Macnow - ----------------------------------------------------------------------------------------------------------------------------------- MCI 200 Park Ave. 6th Floor Telecommunications 10/1/98 Earlier of Effective New York, NY 10016 Voice and Data/ Date of Plan and Attention: Deborah Drake Service Contract expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Iron Mountain 71 Hammer Mill Rd. Iron Mountain 6/21/05 Earlier of Effective Rocky Hill, CT 06067 Off Site Date of Plan and Attention: Matt Cronin Data Storage expiration date of contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- Veri-Sign 500 W. Madison St. AS/400 Software 9/29/01 Earlier of Effective Suite 2050 Date of Plan and Chicago IL 60661 expiration date of Attention: Eric Johnson contract or lease - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #77) 01/31/03 Pembroke, MA 02359 Camarillo, CA Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- Hagopian Realty Corp. 71 Route 17 M Storage (Store #95 1/1/97 01/31/03 Harriman, NY 10926 Central Valley, NY) - ----------------------------------------------------------------------------------------------------------------------------------- Shurgard of Vineland 4508 S. Vineland Storage (Store #503 01/31/03 Orlando, FL 32811 Orlando, FL) - ----------------------------------------------------------------------------------------------------------------------------------- Mills-Kan Am Sawgrass 1300 Wilson Blvd. Storage (Store #620 12/1/01 01/31/03 Phase 3 LP Suite 400 Sunrise, FL) Arlington VA 22209 Unit 9 and Unit 14 Attention: Bill Berry/ Bob Marona - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #620 01/31/03 Pembroke, MA 02359 Sunrise, FL) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- DMX AEI Music 900 E. Pine Street Music (Store #620 01/31/03 Seattle, WA 98122 Sunrise, FL) Attention: Debra Comer-Craft - ----------------------------------------------------------------------------------------------------------------------------------- The Store Room 24635 SE Stark Storage (Store #701) 01/31/03 Troudale, OR 97060 - ----------------------------------------------------------------------------------------------------------------------------------- Storage USA Plainville 90 Tauntan Storage (Store #821 01/31/03 Planeville, MA 02762 Wrentham, MA) - ----------------------------------------------------------------------------------------------------------------------------------- CKI 111 Morse St. Nonem Monitoring 10/31/03 Norwood, MA 02062-4646 205 W. 39th - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security Lease 01/31/03 Pembroke, MA 02359 (Store #21) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #79 01/31/03 Pembroke, MA 02359 Carlsbad, CA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #91 01/31/03 Pembroke, MA 02359 Castle Rock, CO) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #95 01/31/03 Pembroke, MA 02359 Central Valley, NY) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #101 01/31/03 Pembroke, MA 02359 Clinton, CT) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #169 01/31/03 Pembroke, MA 02359 Dawsonville, GA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #172 01/31/03 Pembroke, MA 02359 Destin, FL) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #207 01/31/03 Pembroke, MA 02359 Foley, AL) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #281 01/31/03 Pembroke, MA 02359 Gilroy, CA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #315 01/31/03 Pembroke, MA 02359 Jackson, NJ) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #323 01/31/03 Pembroke, MA 02359 Kittery, ME) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #367 01/31/03 Pembroke, MA 02359 Las Vegas, NV) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #435 01/31/03 Pembroke, MA 02359 Milpitas, CA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security 01/31/03 Pembroke, MA 02359 (#485 Napa, CA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #489 01/31/03 Pembroke, MA 02359 Niagara Falls, NY) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #503 01/31/03 Pembroke, MA 02359 Orlando, FL) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #541 01/31/03 Pembroke, MA 02359 Primm, NV) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #561 01/31/03 Pembroke, MA 02359 Riverhead, NY) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #597 01/31/03 Pembroke, MA 02359 San Marcos, TX) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #613 01/31/03 Pembroke, MA 02359 San Ysidro, CA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #633 01/31/03 Pembroke, MA 02359 Secaucus, NJ) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #701 01/31/03 Pembroke, MA 02359 Troutdale, OR) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #775 01/31/03 Pembroke, MA 02359 Finger Lakes, NY) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- American Sentinel Group Inc. 75 Barker Street Security (Store #821 01/31/03 Pembroke, MA 02359 Wrentham, MA) Attention: John O'Keffe - ----------------------------------------------------------------------------------------------------------------------------------- ADT Security Systems P.O. Box 371956 Nonem/Access 10/31/03 Pittsburgh PA 15250-7956 Control Main Attention: Shawnail King - ----------------------------------------------------------------------------------------------------------------------------------- Miss Universe L.P. LLP Miss Universe Organization 1999 Miss Universe, 7/30/98 Earlier of Effective 1370 Ave. of the Americas Miss USA 1998 Date of Plan and 16th Floor Miss Teen USA expiration date of New York, NY 10019 Sponsorship contract or lease Attention: Craig A. Isaacs - ----------------------------------------------------------------------------------------------------------------------------------- Miss Universe L.P. LLP Miss Universe Organization 2000 Miss Universe 7/26/99 Earlier of Effective 1370 Ave. of the Americas Miss USA, 1999 Date of Plan and 16th Floor Miss Teen USA expiration date of New York, NY 10019 Sponsorship contract or lease Attention: Craig A. Isaacs - ----------------------------------------------------------------------------------------------------------------------------------- Calvin Klein Inc. 205 W. 39th Street 11th Floor 5th Floor/ 11/1/93 10/31/03 New York, NY 10018 205 W. 39th Street Attention: Stephanie Goldstein - ----------------------------------------------------------------------------------------------------------------------------------- 205 W. 39th St. Company 205 W. 39th St. 13th and 14th Floor 3/1/97 10/31/03 New York NY 10018 Attention: Daniel Mintz, Esq. Copy to : Newman Tannenbaum Helpern Syracuse & Hirschtritt LLP 900 Third Ave. New York, NY 10022 Attention: Neil E. Botwinoff, Esq. - ----------------------------------------------------------------------------------------------------------------------------------- Deerfoot Mall 901 64th Ave. NE Lease at 11/1/99 8/29/02 Calgary, Alb. Deerfoot Outlet Canada T2E 7P4 - ----------------------------------------------------------------------------------------------------------------------------------- DMX AEI Music 900 East Pine Street Music (Store #64 12/31/99 01/31/03 Seattle WA 98122 Houston Galleria) Attention: Debra Comer-Craft - ----------------------------------------------------------------------------------------------------------------------------------- DMX AEI Music 900 East Pine Street Music (Store #20 12/31/99 01/31/03 Seattle WA 98122 Towson Town Center) Attention: Debra Comer-Craft - ----------------------------------------------------------------------------------------------------------------------------------- DMX AEI Music 900 East Pine Street Music (Store #199 12/31/99 01/31/03 Seattle WA 98122 611 Duval Street) Attention: Debra Comer-Craft - ----------------------------------------------------------------------------------------------------------------------------------- ADT 5400 W. Rosencrans Security (Store #199 01/31/03 Hawthorne, CA 90250 611 Duval Street) Attention: Nadine Gunderson - ----------------------------------------------------------------------------------------------------------------------------------- Allen B. Schwartz 2399 Mandeville Canyon Road Employment Agreement 9/1/99 Effective Date Los Angeles, CA 90049 (Allen B. Schwartz) of Plan - ----------------------------------------------------------------------------------------------------------------------------------- Except as set forth in the following sentence, any agreements by and between any of the Debtors and any of their employees regarding the terms and conditions of such employees' employment shall be deemed to be rejected as of the Effective Date. However, any Employee Patent and Confidentiality Agreements and Arbitration Agreements, including, without limitation, those that are substantially in the same form as Plan Schedules 3.1(a) and (b), by and between any of the Debtors and any of their employees shall be deemed to be assumed with a zero cure amount.
(a) Based on discussions with Hamid Nehoray and Jim Fogarty, we will not pay Lawson maintenance for the period 9/1/02 - 9/1/03 ($205,000). We are currently paying Digiterra for "hotline" system support because our version of Lawson software is no longer being supported by Lawson Corporation. As such, we lose our right to a free upgrade to Lawson's current version. It was decided that if we upgrade at a later date we will back-pay our maintenance and hopefully re-establish our right to a free upgrade. Also regarding Lawson, the final installment payment ($134,420) of our Lawson Software license was due on 6/1/01 and was therefore not paid. (b) Leases are held by Warnaco, monthly rent amounts are cross-charged to AFC: (c) Please note that ocean contracts are based on minimum container volume. Annual cost of contract was calculated using the average cost of one container multiplied by the minimum container commitment for that particular contract. Since we always fulfill our contracts and then some, the actual value of the contract will actually be higher by the expiration date. - --------------------------------------------------------------- General Note: Non-contract expense items ommitted (d) Leases have cure amount of $473,005.39 (e) Intimate stores closed, Speedo/AFC included in contract, will be renegotiated (f) Intimate stores closed, not needed for Speedo/AFC (uses RADOS) (g) These contracts might appear on Vinnie Verlezza's contract list - --------------------------------------------------------------------------- (h) Notes*: Contract extends when sales thresholds are met. 6 months notice prior to new period required to cancel. -----END PRIVACY-ENHANCED MESSAGE-----