-----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, JbR6nvqZn8HNxdVFhQxuTI6DgbYUjGgPkxe489Gcb6PGW5tcViFFJhiftGFzJ6/g aCglAUo9kiYJtnlGa+amkw== 0000898430-97-003876.txt : 19970912 0000898430-97-003876.hdr.sgml : 19970912 ACCESSION NUMBER: 0000898430-97-003876 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970828 FILED AS OF DATE: 19970908 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CB COMMERCIAL REAL ESTATE SERVICES GROUP INC CENTRAL INDEX KEY: 0000852203 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 521616016 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-18525 FILM NUMBER: 97676897 BUSINESS ADDRESS: STREET 1: 533 S FREMONT AVE CITY: LOS ANGELES STATE: CA ZIP: 90071-1798 BUSINESS PHONE: 2136133123 MAIL ADDRESS: STREET 1: 533 S FREMONT AVE CITY: LOS ANGELES STATE: CA ZIP: 90071-1798 FORMER COMPANY: FORMER CONFORMED NAME: CB COMMERCIAL HOLDINGS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CB ACQUISITION CORP DATE OF NAME CHANGE: 19890731 COMPANY DATA: COMPANY CONFORMED NAME: ROTH JOHN M CENTRAL INDEX KEY: 0000916864 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127582555 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 3 1 FORM 3 - INITIAL STATEMENT OF BENEFICIAL OWNERSHIP - -------- --------------------------- FORM 3 OMB APPROVAL - -------- --------------------------- OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response.....0.5 --------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Roth John M. - ----------------------------------------------------------- (Last) (First) (Middle) 11100 Santa Monica Boulevard, Suite 1900 - ----------------------------------------------------------- (Street) Los Angeles California 90025 - ----------------------------------------------------------- (City) (State) (Zip) - ----------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 8/28/97 - ----------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ----------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol CB Commercial Real Estate Services Group, Inc. (CBCG) - ----------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner ----- ----- Officer (give Other (specify ----- title below) ----- 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 1 - Non-Derivative Securities Beneficially Owned - ----------------------------------------------------------- 1. Title of Security (Instr. 4) - ----------------------------------------------------------- Common Stock - ----------------------------------------------------------- - ----------------------------------------------------------- - ----------------------------------------------------------- 2. Amount of Securities Beneficially Owned (Instr. 4) - ----------------------------------------------------------- 3,402,463 - ----------------------------------------------------------- - ----------------------------------------------------------- - ----------------------------------------------------------- 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) - ----------------------------------------------------------- I - ----------------------------------------------------------- - ----------------------------------------------------------- - ----------------------------------------------------------- 4. Nature of Indirect Beneficial Ownership (Instr. 5) - ----------------------------------------------------------- By limited partnership (1)(2) - ----------------------------------------------------------- - ----------------------------------------------------------- - ----------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v).
FORM 3 (continued) Table II - Derivative Securities Beneficially Owned (e.g. puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Expiration (Instr. 4) Exercise Form of Ownership Date Price of Deriv- (Instr. 5) (Month/Day/ Deri- ative Year) vative Security: -------------------------------------------------- Security Direct Date Expira- Amount (D) or Exer- tion Title or Indirect cisable Date Number (I) of (Instr. 5) Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Warrants to Purchase Common Stock 8/28/00 8/27/04 Common Stock 364,884(1)(2) $30.00 I By limited partnership (1)(2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) The reporting person is one of six sole stockholders of FS Holdings, Inc., a Delaware corporation, the sole general partner of FS Capital Partners, L.P., a California limited partnership, the sole general partner of FS Equity Partners III, L.P., a Delaware limited partnership, the record owner of 3,278,448 shares and warrants to purchase 351,585 shares, and may have the power to vote and dispose of the shares and the warrants. The reporting person disclaims beneficial ownership of the shares and the warrants reported except to the extent of his pecuniary interest therein. (2) The reporting person is one of six sole stockholders of FS International Holdings Limited, the sole general partner of FS&Co. International, L.P., the sole general partner of FS Equity Partners International, L.P., a Delaware limited partnership, the record owner of 124,015 shares and warrants to purchase 13,299 shares, and may have the power to vote and dispose of the shares and the warrants. The reporting person disclaims beneficial ownership of the shares and the warrants reported except to the extent of his pecuniary interest therein. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ John M. Roth 9/5/97 -------------------------------- ----------------- Note: File three copies of this Form, one of which must be manually signed. **Signature of Reporting Person Date If space is insufficient, see Instruction 6 for procedure. John M. Roth Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2
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