-----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, CP1Idi41+FMS9n0sQnG53ZiYtlLa1+xiQkn6vVHOwPZV0eyElzYvVSlUlmUfF2rD cK3x2XWxGwj1UqH73Li9vQ== 0000889812-97-000633.txt : 19970306 0000889812-97-000633.hdr.sgml : 19970306 ACCESSION NUMBER: 0000889812-97-000633 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970305 SROS: NASD GROUP MEMBERS: A CAP, INC. GROUP MEMBERS: ASSOCIATED CAPITAL LP GROUP MEMBERS: ASSOCIATED CAPITAL OFFSHORE, L.P. GROUP MEMBERS: ASSOCIATED CAPITAL, L.P. GROUP MEMBERS: JAY H. ZISES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN UNITED GLOBAL INC CENTRAL INDEX KEY: 0000859792 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-CONSTRUCTION & MINING (NO PETRO) MACHINERY & EQUIP [5082] IRS NUMBER: 954359228 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41701 FILM NUMBER: 97551152 BUSINESS ADDRESS: STREET 1: 25 HIGHLAND BLVD CITY: DIX HILLS STATE: NY ZIP: 11746 BUSINESS PHONE: 5162542134 MAIL ADDRESS: STREET 1: 25 HIGHLAND BLVD CITY: DIX HILLS STATE: NY ZIP: 11746 FORMER COMPANY: FORMER CONFORMED NAME: ALROM CORP DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASSOCIATED CAPITAL LP CENTRAL INDEX KEY: 0000864939 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 521 5TH AVE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10175 BUSINESS PHONE: 2128729662 MAIL ADDRESS: STREET 1: 521 5TH AVE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10175 SC 13D/A 1 AMENDMENT NO. 1 TO SCHEDULE 13D ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response......14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* American United Global, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $.01 - ------------------------------------------------------------------------------- (Title of Class of Securities) 030344105 - ------------------------------------------------------------------------------- (CUSIP Number) Associated Capital, L.P. Associated Capital Offshore, L.P. A Cap, Inc. Margery K. Neale, Esq. Jay H. Zises Shereff, Friedman, Hoffman & Goodman, LLP 477 Madison Avenue, 14th Floor 919 Third Avenue New York, New York 10022 New York, New York 10022 (212) 872-9660 (212) 758-9500 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 3, 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 / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(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). SEC 1746 (12-91) SCHEDULE 13D - ------------------------------------------------------------------------------- CUSIP No. 030344105 Page 2 of 8 Pages --------- ------- --------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ASSOCIATED CAPITAL, L.P. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 487,800 NUMBER OF --------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 487,800 PERSON --------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 487,800 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. SEC 1746 (12-91) SCHEDULE 13D - ------------------------------------------------------------------------------- CUSIP No. 030344105 Page 3 of 8 Pages --------- ------- --------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ASSOCIATED CAPITAL OFFSHORE, L.P. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED URSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CAYMAN ISLANDS - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF --------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON --------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 3 SCHEDULE 13D - ------------------------------------------------------------------------------- CUSIP No. 030344105 Page 4 of 8 Pages --------- ------- --------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON A CAP, INC. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 487,800 NUMBER OF --------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 487,800 PERSON --------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 487,800 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 4 SCHEDULE 13D - ------------------------------------------------------------------------------- CUSIP No. 030344105 Page 5 of 8 Pages --------- ------- --------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JAY H. ZISES - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 487,800 NUMBER OF --------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 487,800 PERSON --------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 487,800 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 5 SCHEDULE 13D This Amendment No. 1 amends and supplements the Statement on Schedule 13D filed with the Securities and Exchange Commission on May 31, 1996 (the "Statement") with respect to the common stock, $.01 par value per share, of American United Global, Inc. (the "Common Stock"). Only those items of the Statement that are amended and supplemented hereby are included herein. Unless otherwise defined herein, all capitalized terms shall have the respective meanings ascribed to them in the Statement. Item 1. Security and Issuer The address of the Issuer has changed from that which was originally specified in the Statement. Issuer: American United Global, Inc. 11130 NE 33rd Place, Suite 250 Bellevue, Washington 98004 Item 2. Identity and Background (a), (b), (c) and (f) Associated Capital Offshore, L.P., a Cayman Islands limited partnership ("Associated Offshore"), is being added to the Reporting Persons originally specified in the Statement. The business address of Associated Offshore is c/o Goldman Sachs (Cayman) Trust, Limited, P.O. Box 896, George Town, Grand Cayman, Cayman Islands, British West Indies. The principal business of Associated Offshore is investments. Item 3. Source and Amount of Funds Associated purchased no shares. Associated Offshore purchased an aggregate of 20,000 shares at an aggregate cost of $157,984.80, using its own funds All of the amounts reported herein are net of commissions. Item 5. Interest in Securities of the Issuer (a) and (b) Associated is the beneficial and record owner of 487,800 shares of Common Stock, or 6.7% of the outstanding shares of Common Stock. Associated Offshore is the beneficial and record owner of no shares of Common Stock, or 0% of the outstanding shares of Common Stock. As the general partner of Associated, A Cap has the sole power to vote and to 6 direct the voting of and the sole power to dispose and direct the disposition of the 487,800 shares of Common Stock owned by Associated. Accordingly, A Cap may be deemed to be the beneficial owner of such 487,800 shares of Common Stock or 6.7% of the outstanding shares of Common Stock. Jay Zises, as President of A Cap, has the sole power to vote and to direct the voting of, and to dispose and to direct the disposition of, the shares of Common Stock deemed to be beneficially owned by A Cap. Accordingly, Mr. Zises may be deemed to be the beneficial owner of such 487,800 shares of Common Stock or 6.7% of the outstanding shares of Common Stock. The number of shares beneficially owned by each of the Reporting Persons and the percentage of outstanding shares represented thereby, have been computed in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Securities Exchange Act"). The percentage of ownership of the Reporting Persons is based on 7,266,382 outstanding shares of Common Stock of the issuer as of November 6, 1996, based on information provided by the Issuer's transfer agent. Item 7. Material to be Filed as Exhibits Exhibit A. Agreement of Joint Filing. Exhibit B. Purchases of Common Stock of Issuer. 7 Signature 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. ASSOCIATED CAPITAL, L.P. By: A CAP, INC., as General Partner By: /s/ Jay H. Zises, President ----------------------------------- Jay H. Zises, President ASSOCIATED CAPITAL OFFSHORE, L.P. By: A CAP, LTD., as General Partner By: /s/ J.D. Hunter ----------------------------------- J.D. Hunter, Managing Director A CAP, INC. By: /s/ Jay H. Zises, President ----------------------------------- Jay H. Zises, President /s/ Jay H. Zises -------------------------------------- Jay H. Zises Dated: March 5, 1997 Exhibit A AGREEMENT OF JOINT FILING In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) of a statement on Schedule 13D or any amendments thereto, with respect to the Common Stock, par value $.01, of American United Global, Inc. and that this Agreement be included as an Exhibit to such filing. This Agreement may be executed in any number of counterparts each of which shall be deemed to be an original and all of which together shall be deemed to constitute one and the same Agreement. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement on the 5th day of March, 1997. ASSOCIATED CAPITAL, L.P. By: A CAP, INC., as General Partner By: /s/ Jay H. Zises, President -------------------------------------- Jay H. Zises, President ASSOCIATED CAPITAL OFFSHORE, L.P. By: A CAP, LTD., as General Partner By: /s/ J.D. Hunter -------------------------------------- J.D. Hunter, Managing Director A CAP, INC. By: /s/ Jay H. Zises, President -------------------------------------- Jay H. Zises, President /s/ Jay H. Zises ----------------------------------------- Jay H. Zises Exhibit B TRANSACTION SUMMARY American United Global, Inc. Common Stock par value $.01 From 7/8/96 to 3/3/97 Trade Date # of Shares Price Net $ ---------- ----------- ----- ----- Associated Capital, L.P. 07/08/96 -2,000 $8.940 ($17,880.00) 07/08/96 -2,000 $8.940 ($17,880.00) 07/08/96 -4,000 $8.940 ($35,760.00) 07/09/96 -1,000 $8.920 ($8,920.00) 07/09/96 -2,000 $8.815 ($17,630.00) 07/09/96 -2,000 $8.815 ($17,630.00) 10/11/96 -22,500 $8.267 ($186,007.50) 11/15/96 -7,500 $10.500 ($78,750.00) 11/15/96 -2,500 $11.000 ($27,500.00) 12/05/96 -6,000 $9.700 ($58,200.00) 12/10/96 -7,000 $9.089 ($63,623.00) 02/27/97 -5,000 $5.937 ($29,685.00) 02/27/97 -5,000 $5.910 ($29,550.00) 02/28/97 -700 $5.950 ($4,165.00) 03/03/97 -13,000 $6.250 ($81,250.00) SUBTOTAL 487,800 $5.808 $2,833,019.50 Associated Capital Offshore, L.P. 09/13/96 400 $7.250 $2,900.00 09/16/96 4,600 $7.438 $34,214.80 09/17/96 5,000 $7.219 $36,095.00 10/14/96 -2,500 $9.170 ($22,925.00) 10/18/96 5,000 $9.705 $48,525.00 10/18/96 -5,000 $10.733 ($53,665.00) 11/15/96 -7,500 $11.000 ($82,500.00) 02/11/97 5,000 $7.250 $36,250.00 03/03/97 -5,000 $6.125 ($30,625.00) SUBTOTAL 0 Current TOTAL 487,800 Percent Owned 6.71% -----END PRIVACY-ENHANCED MESSAGE-----