-----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, AJqY0+/GqXnruC8oyeW95onwuuDZOKyS239jdbOa6Hxt3B6z3jbrx2DO2E1mT6FU f2w+WokYFg/eMIG7iSdipA== 0000950152-97-000344.txt : 19970123 0000950152-97-000344.hdr.sgml : 19970123 ACCESSION NUMBER: 0000950152-97-000344 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970122 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REALTY REFUND TRUST CENTRAL INDEX KEY: 0000082473 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 346647590 STATE OF INCORPORATION: OH FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-31005 FILM NUMBER: 97508658 BUSINESS ADDRESS: STREET 1: 1385 EATON CENTER STREET 2: 1111 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2167717663 MAIL ADDRESS: STREET 1: 1385 EATON CENTER STREET 2: 1111 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KRAUSE ALAN M CENTRAL INDEX KEY: 0001028995 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1100 EASTON CENTER STREET 2: 1111 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2167714440 MAIL ADDRESS: STREET 1: 1350 EASTON CENTER STREET 2: 1111 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 SC 13D/A 1 REALTY REFUND TRUST / ALAN KRAUSE SC 13D/A 1 ------------------------- OMR APPROVAL ------------------------- OMB No. 3235-0145 Expires September 30, 1988 -------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 2 )* REALTY REFUND TRUST - -------------------------------------------------------------------------------- (Name of Issuer) Shares of Beneficial Interest - -------------------------------------------------------------------------------- (Title of Class of Securities) 756125 10 0 ------------------------------------- (CUSIP Number) James H. Berick, Esq. 1350 Eaton Center 1111 Superior Avenue Cleveland, Ohio 44114 (216) 861-4900 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 20, 1997 ------------------------------------- (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 [ ]. NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-l(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). (Continued on following page(s)) Page l of 4 Pages 2 - ---------------------------- ---------------------- CUSIP No. 756125 10 0 13D Page 2 of 4 Pages - ---------------------------- ---------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alan M. Krause S.S. No. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 13 REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 183,001 ------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY N/A ------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 183,001 ------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 183,001 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 17.93 - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP No. 756125 10 0 SCHEDULE 13D Page 3 of 4 Pages (Amendment No. 2) Item 1. Security and Issuer ------------------- This Amended Schedule 13D relates to Shares of Beneficial Interest (the "Shares") of Realty ReFund Trust, an unincorporated association in the form of a business trust organized in Ohio under a Declaration of Trust dated April 28, 1971, as amended (the "Issuer"). The address of the principal executive office of the Issuer is 1385 Eaton Center, 1111 Superior Avenue, Cleveland, Ohio 44114. Item 3. Source and Amount of Funds or Other Consideration ------------------------------------------------- Shareholder acquired 158,001 Shares of Beneficial Interest of the Issuer for an aggregate price equal to $613,500 ($3.883 per Share). The source of the funds used to pay for these Shares was personal funds of Shareholder. Item 4. Purpose of Transaction ---------------------- On January 20, 1997, the Shareholder purchased 158,001 shares, constituting 15.48% of the Issuer's outstanding Shares, in a private sale at a price equal to $3.883 per Share. The purpose of said purchase was to increase the Shareholder's investment in the Issuer and for investment purposes. Shareholder reserves the right to change his plans and intentions at any time, as he deems appropriate. Prior to the purchase reported herein, Shareholder beneficially owned 25,000, or approximately 2.45%, of the outstanding Shares of the Issuer. After giving effect to the purchase reported herein, Shareholder beneficially owns 183,001, or approximately 17.93%, of the outstanding Shares of the Issuer. Item 5. Interest in Securities of the Issuer ------------------------------------ (a) The Shareholder beneficially owns 183,001 Shares, constituting 17.93% of the outstanding Shares. (b) The Shareholder has the sole power to vote and dispose of all of the Shares reported in Item 5(a) as beneficially owned by him. (c) The only transactions in Shares effected by the Shareholder since the most recent filing on Schedule 13D is the purchase of the 158,001 Shares reported herein. (d) Not applicable. (e) Not applicable. 4 CUSIP No. 756125 10 0 SCHEDULE 13D Page 4 of 4 Pages Item 6. Contracts, Arrangements, Understandings or Relationships with ------------------------------------------------------------- Respect to Securities of the Issuer ----------------------------------- There are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Shareholder and any other person with respect to any securities of the Issuer. Item 7. Materials to be Filed as Exhibits --------------------------------- None. Item 8. 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: January 20, 1997 /s/ Alan M. Krause - ---------------------------- Signature Alan M. Krause -----END PRIVACY-ENHANCED MESSAGE-----