-----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, Th7l630N4nMkACkhDj5/7vRrmVC66reUKrJJ2xXGNfLNxBclHNRZAeFWpjxzF93I NDF/gMDOOnr+rxjntf1+oQ== 0000905718-97-000362.txt : 19970912 0000905718-97-000362.hdr.sgml : 19970912 ACCESSION NUMBER: 0000905718-97-000362 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970904 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER QUEST CAPITAL VALUE FUND INC CENTRAL INDEX KEY: 0000799029 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132527171 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-40231 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: OPPENHEIMER TWR STREET 2: ONE WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10281-1098 BUSINESS PHONE: 2126677333 MAIL ADDRESS: STREET 1: OPPENHEIMER TOWER STREET 2: ONE WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281-1098 FORMER COMPANY: FORMER CONFORMED NAME: QUEST FOR VALUE DUAL PURPOSE FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: QFV DUAL PURPOSE FUND INC DATE OF NAME CHANGE: 19870111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIERRA TRADING CENTRAL INDEX KEY: 0000852802 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 222968640 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 33 WITHERSPOON STREET 3RD FLOOR CITY: PRINCETON STATE: NJ ZIP: 085423201 BUSINESS PHONE: 6099219071 MAIL ADDRESS: STREET 1: 33 WITHERSPOON STREET 3RD FLOOR CITY: PRINCETON STATE: NJ ZIP: 085423201 SC 13G/A 1 SC13G/A QUEST FOR VALUE DUAL PURPOSE FUND, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1) Under the Securities Exchange Act of 1934 QUEST FOR VALUE DUAL PURPOSE FUND, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Capital - -------------------------------------------------------------------------------- (Title of Class of Securities) 748343209 - -------------------------------------------------------------------------------- (CUSIP Number) *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). CUSIP NO. 748343209 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons: Sierra Trading Tax ID#:22-2968640 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization: New Jersey - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each (5) Sole Voting Reporting Person With Power: -- (6) Shared Voting Power: -0- (7) Sole Dispositive Power: -- (8) Shared Dispositive Power: -0- - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: -0- - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 0% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): BD - -------------------------------------------------------------------------------- CUSIP NO. 748343209 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons: Sierra Enterprises Group, L.L.C. Tax ID#:22-2968645 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization: New Jersey - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each (5) Sole Voting Reporting Person With Power: -- (6) Shared Voting Power: -0- (7) Sole Dispositive Power: -- (8) Shared Dispositive Power: -0- - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: -0- - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 0% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): PN - -------------------------------------------------------------------------------- CUSIP NO. 748343209 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. Andrew J. Shechtel - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization: New Jersey - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each (5) Sole Voting Reporting Person With Power: -- (6) Shared Voting Power: -0- (7) Sole Dispositive Power: -- (8) Shared Dispositive Power: -0- - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: -0- - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 0% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): IN - -------------------------------------------------------------------------------- CUSIP NO. 748343209 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. C. Fred Taylor - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization: New Jersey - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each (5) Sole Voting Reporting Person With Power: -- (6) Shared Voting Power: -0- (7) Sole Dispositive Power: -- (8) Shared Dispositive Power: -0- - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: -0- - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 0% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): IN - -------------------------------------------------------------------------------- CUSIP NO. 748343209 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. David Gelbaum - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization: New Jersey - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each (5) Sole Voting Reporting Person With Power: -- (6) Shared Voting Power: -0- (7) Sole Dispositive Power: -- (8) Shared Dispositive Power: -0- - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: -0- - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 0% - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): IN - -------------------------------------------------------------------------------- Item 1(a). Name Of Issuer: Quest for Value Dual Purpose Fund, Inc. - -------------------------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: Oppenheimer Tower, World Financial Center, New York, New York 10281 - -------------------------------------------------------------------------------- Item 2(a). Name of Persons Filing: *Sierra Trading Sierra Enterprises Group, L.L.C. Andrew J. Shechtel C. Fred Taylor David Gelbaum - -------------------------------------------------------------------------------- Item 2(b). Address of Principal Business Office or, if None, Residence: 33 Witherspoon Street, 3rd Floor, Princeton, New Jersey 08542 - -------------------------------------------------------------------------------- Item 2(c). Citizenship: Sierra Trading, A New Jersey General Partnership Sierra Enterprises Group, L.L.C., A New Jersey Limited Liability Company Andrew J. Shechtel, U.S. Citizen C. Fred Taylor, U.S. Citizen David Gelbaum, U.S. Citizen - -------------------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Capital - -------------------------------------------------------------------------------- Item 2(e). CUSIP No.: 748343209 - -------------------------------------------------------------------------------- Item 3. If This Statement Is Filed Pursuant to Rules 13d-1(b), or 13d-2(b), check whether the Person Filing is a (a) [*X] Broker or Dealer registered under Section 15 of the Act. (b) [ ] Bank as defined in section 3(a)(6) of the Act. (c) [ ] Insurance company as defined in section 3(a)(19) of the Act. (d) [ ] Investment Company registered under section 8 of the Investment Company Act. (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940. (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment fund; see Rule 13d-1(b)(1)(ii)(H). (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note: See Item 7). (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Item 4. Ownership (a) Amount Beneficially Owned (as of March 24, 1997): 0 (b) Percent of Class (as of March 24, 1997): 0% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote -- ---------- (ii) shared power to vote or to direct the vote 0 ---------- (iii) sole power to dispose or to direct the disposition of -- (iv) shared power to dispose or to direct the disposition of 0 Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification By signing below I certify that, to the best of my 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 purposes or effect. 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. September 3, 1997 (Date) /s/ Andrew J. Shechtel _________________________________ (Signature) Andrew J. Shechtel/Member _________________________________ ANDREW J. SHECHTEL, As a Member Of SIERRA ENTERPRISES GROUP, L.L.C., The Managing General Partner of Sierra Trading EXHIBIT TO SCHEDULE 13G FILED BY SIERRA TRADING RE: QUEST FOR VALUE DUAL PURPOSE FUND, INC. Pursuant to the requirement of 240.13d-1(f)(1)(iii), this Exhibit shall constitute our written agreement that the Schedule 13G to which this Exhibit is attached is filed on behalf of Sierra Trading, Sierra Enterprises Group, L.L.C., the managing general partner of Sierra Trading, and on behalf of Andrew J Shechtel, C. Fred Taylor and David Gelbaum, each of whom are members of Sierra Enterprises Group, L.L.C., regarding our respective beneficial ownership in the above-captioned equity security. SIERRA TRADING BY: SIERRA ENTERPRISES GROUP, L.L.C., MANAGING GENERAL PARTNER BY: Andrew J. Shechtel/Member _____________________________________ ANDREW J. SHECHTEL, As a Member Of SIERRA ENTERPRISES GROUP , L.L.C., The Managing General Partner of Sierra Trading By: /s/ Andrew J. Shechtel ______________________ Name: Andrew J. Shechtel By: /s/ C. Fred Taylor ______________________ Name: C. Fred Taylor By: /s/ David Gelbaum ______________________ Name: David Gelbaum -----END PRIVACY-ENHANCED MESSAGE-----