-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, YnSysCPCJais9ZYQ9ZWnFdRQqVQcJ18LWEF9OzuU/5/Go8CSReS/SPIzGSY/g4Fs bhj7xOWsuy5y0f49ofkG7A== 0000950123-95-000030.txt : 19950606 0000950123-95-000030.hdr.sgml : 19950606 ACCESSION NUMBER: 0000950123-95-000030 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 5 FILED AS OF DATE: 19950110 DATE AS OF CHANGE: 19950117 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KETEMA INC CENTRAL INDEX KEY: 0000838224 STANDARD INDUSTRIAL CLASSIFICATION: 3443 IRS NUMBER: 232511128 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39903 FILM NUMBER: 95501078 BUSINESS ADDRESS: STREET 1: 501 SOUTH CHERRY STREET CITY: DENVER STATE: CO ZIP: 80222 BUSINESS PHONE: 3033310940 MAIL ADDRESS: STREET 1: 501 SOUTH CHERRY STREET CITY: DENVER STATE: CO ZIP: 80222 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: 6211 IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: AMERICAN EXPRESS TWR STREET 2: 3 WORLD FINANCIAL CNTR CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS TOWER 15TH FL STREET 2: 2 WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 SC 13G/A 1 AMENDMENT NO. 1 OF SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Schedule 13G Amendment No.1 Under the Securities Exchange Act of 1934 Ketema, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 492653100 (CUSIP Number) Check the following box if a fee is being paid with this statement. (__) The information required in the remainder of this cover page (except any items to which the form provides a cross- reference) shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. 2 - - - ------------------------------------------------------------------------------- CUSIP No. 49265310 - - - -------------------------------------------------------------------------------- 1) Names of Reporting Person Lehman Brothers Holdings Inc. S.S. or I.R.S. Identification No. of Above Person 13-3216325 - - - ------------------------------------------------------------------------------- 2) Check the Appropriate box if a Member of a Group (a) (_X_) Sole (b) (___) Joint Filing - - - ------------------------------------------------------------------------------- 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 0 - - - - 6) Shared Voting Power 0 7) Sole Dispositive Power 0 8) Shared Dispositive Power 0 - - - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 0 - - - ------------------------------------------------------------------------------- 3 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (___) - - - ------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 0% - - - ------------------------------------------------------------------------------- 12) Type of Reporting Person HC/CO - - - ------------------------------------------------------------------------------- 4 Item 1(a). Name of Issuer: Ketema, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: One Cherry Center 501 South Cherry Street Suite 600 Denver, CO 80222 Item 2(a). Name of Person Filing: Lehman Brothers Holdings Inc. Item 2(b). Address of Principal Business Office: 3 World Financial Center New York, NY 10285 Item 2(c). Citizenship or Place of Organization: See Item 4 of cover pages Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 492653100 Item 3. Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b): The person filing this statement Lehman Brothers Holdings Inc., a parent holding company in accordance with Section 240.13d-1(b)(ii)(G). Item 4. Ownership (a) Amount Beneficially Owned as of: December 31, 1994: (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 (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition (iv) shared power to dispose or to direct the disposition See Items 5-8 of cover pages 5 Item 5. Ownership of Five Percent or Less of a Class This statement is being filed to report that as of December 31, 1994 the Reporting Persons have ceased to be the beneficial owners of more than 5% of the class of securities covered by this report. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security being reported on by the Parent Holding Company Lehman Brothers Inc. is the relevant subsidiary. Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. 6 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 the undersigned's knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: December 31, 1994 LEHMAN BROTHERS HOLDINGS INC. By: /s/ Karen C. Manson ---------------------------- Name: Karen C. Manson Title: Vice President Assistant Secretary 7 Attachment 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Ketema, Inc. (Name of Issuer) Common (Title of Class of Securities) 492653100000 (CUSIP Number) Check the following box if a fee is being paid with this statement. ( x ) The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) 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. 8 CUSIP No. 492653100000 1) Names of Reporting Person Lehman Brothers Inc. S.S. or I.R.S. Identification No. of Above Person 13- 2518466 2) Check the Appropriate box if a Member of a Group (a) (___) Sole (b) ( X ) Joint Filing 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 178,600 6) Shared Voting Power -0- 7) Sole Dispositive Power 178,600 8) Shared Dispositive Power -0- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 178,600 9 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (___) 11) Percent of Class Represented by Amount in Row 9 5.11% 12) Type of Reporting Person BD 10 CUSIP No. 492653100000 1) Names of Reporting Person Lehman Brothers Holdings Inc. S.S. or I.R.S. Identification No. of Above Person 13- 3216325 2) Check the Appropriate box if a Member of a Group (a) (___) Sole (b) ( X ) Joint Filing 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 178,600 6) Shared Voting Power -0- 7) Sole Dispositive Power 178,600 8) Shared Dispositive Power -0- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 178,600 11 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (___) 11) Percent of Class Represented by Amount in Row 9 5.11% 12) Type of Reporting Person HC/CO 12 CUSIP No. 492653100000 1) Names of Reporting Person American Express Company S.S. or I.R.S. Identification No. of Above Person 13- 4922250 2) Check the Appropriate box if a Member of a Group (a) (___) Sole (b) ( X ) Joint Filing 3) SEC Use Only 4) Citizenship or Place of Organization New York Number of Shares Beneficially Owned by Each Reporting Person With: 5) Sole Voting Power 178,600 6) Shared Voting Power -0- 7) Sole Dispositive Power 178,600 8) Shared Dispositive Power -0- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 178,600 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares 13 (___) 11) Percent of Class Represented by Amount in Row 9 5.11% 12) Type of Reporting Person HC/CO 14 Item 1(a). Name of Issuer: Ketema, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: One Cherry Center 501 South Cherry Street Suite 600 Denver, CO 80222 Item 2(a). Name of Person Filing: Lehman Brothers Inc. Lehman Brothers Holdings Inc. American Express Company Item 2(b). Address of Principal Business Office: 3 World Financial Center New York, NY 10285 Item 2(c). Citizenship or Place of Organization: See Item 4 of cover pages Item 2(d). Title of Class of Securities: Common Item 2(e). CUSIP Number: 492653100000 Item 3. Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b): The persons filing this statement are Lehman Brothers Inc., a Broker/Dealer registered under Section 15 of the Act, and Lehman Brothers Holdings Inc. and American Express Company, parent holding companies in accordance with Section 240.13d-1(b)(ii)(G). Item 4. Ownership (a) Amount Beneficially Owned as of: December 31, 1993 See Item 9 of cover pages (b) Percent of Class: 15 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 (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition (iv) shared power to dispose or to direct the disposition See Items 5-8 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 Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security being reported on by the Parent Holding Company See Exhibit 1 Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. 16 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 the undersigned's knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: LEHMAN BROTHERS INC. By: /s/ Karen C. Manson ------------------------ Name: Karen C. Manson Title: Senior Vice President Secretary LEHMAN BROTHERS HOLDINGS INC. By: /s/ Karen C. Manson ------------------------ Name: Karen C. Manson Title: Vice President Assistant Secretary AMERICAN EXPRESS COMPANY By: /s/ Karen C. Manson ------------------------ Name: Karen C. Manson Title: Authorized Representative 17 Exhibit Index Exhibit I Identification and Classification of Relevant Subsidiaries Exhibit II Statement of Lehman Brothers Inc. Exhibit III Statement of Lehman Brothers Holdings Inc. Exhibit IV Statement of American Express Company EX-99.I 2 IDENTIFICATION AND CLASS. OF RELEV. SUBSIDIARIES 1 EXHIBIT I TO SCHEDULE 13G The persons filing this statement are Lehman Brothers Inc., a registered Broker/Dealer and Lehman Brothers Holdings Inc. and American Express Company, parent holding companies. The relevant subsidiary is Lehman Brothers Inc. EX-99.II 3 STATEMENT OF LEHMAN BROTHERS INC. 1 EXHIBIT II to SCHEDULE 13G under the Securities Exchange Act of 1934 Pursuant to Rule 13d-1(f) (1) Lehman Brothers Inc., affirms it is individually eligible to use Schedule 13G and agrees that this Schedule is filed on its behalf. Lehman Brothers Inc. By: /s/ Karen C. Manson - - - ---------------------------- Name: Karen C. Manson Title: Senior Vice President Secretary EX-99.III 4 STATEMENT OF LEHMAN BROTHERS HOLDINGS INC. 1 EXHIBIT III to SCHEDULE 13G under the Securities Exchange Act of 1934 Pursuant to Rule 13d-1(f) (1) Lehman Brothers Inc., affirms it is individually eligible to use Schedule 13G and agrees that this Schedule is filed on its behalf. Lehman Brothers Holdings Inc. By: /s/ Karen C. Manson ------------------------- Name: Karen C. Manson Title: Vice President Secretary EX-99.IV 5 STATEMENT OF AMERICAN EXPRESS COMPANY 1 EXHIBIT IV to SCHEDULE 13G under the Securities Exchange Act of 1934 American Express Company, 3 World Financial Center, New York, New York disclaims beneficial ownership of the securities referred to in the Schedule 13G to which this exhibit is attached, and the filing of this Schedule 13G shall not be construed as an admission that American Express Company is, for the purpose of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Schedule 13G. Pursuant to Rule 13d-1(f)(1) and subject to the preceding disclaimer, American Express Company affirms it is individually eligible to use Schedule 13G and agrees that this Schedule is filed on its behalf, and authorizes the President, any Vice President, the Comptroller, the Secretary, and the General Counsel or any Associate General Counsel, each with power to act singly, of each subsidiary of American Express Company making this filing to sign this statement on behalf of American Express Company. AMERICAN EXPRESS COMPANY By: /s/ Stephen P. Norman ------------------------ Name: Stephen P. Norman Title: Secretary -----END PRIVACY-ENHANCED MESSAGE-----