-----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, G9rP34oFOrEZwv42DawnDFO79WQOZ/5WjcnuH0bsxRFhr22AM+7s1zcRt9Qb6Fig 37RjOdiSsBZX2farRMt3lw== 0000950130-96-003576.txt : 19960917 0000950130-96-003576.hdr.sgml : 19960917 ACCESSION NUMBER: 0000950130-96-003576 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960916 ITEM INFORMATION: Other events FILED AS OF DATE: 19960916 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: TUDOR FUND FOR EMPLOYEES LP CENTRAL INDEX KEY: 0000861895 STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799] IRS NUMBER: 133543779 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 033-33982 FILM NUMBER: 96630543 BUSINESS ADDRESS: STREET 1: ONE LIBERTY PLZ 51ST FLR CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2126026700 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10066 8-K 1 FORM 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: September 16, 1996 Date of earliest event reported: September 12, 1996 TUDOR FUND FOR EMPLOYEES L.P. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Delaware 33-33982 13-3543779 - -------------------------------------------------------------------------------- (State or other jurisdiction (Commission (I.R.S. Employer of incorporation) File Number) Identification No.) 600 Steamboat Road, Greenwich, Connecticut 06830 - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code (203) 863-6700 -------------- Item 5. Other Events. ------------ On September 12, 1996, Tudor Investment Corporation ("Tudor"), the trading advisor of Tudor Fund For Employees L.P. (the "Partnership") and an affiliate of Second Management LLC, the Partnership's general partner (the "General Partner"), settled a proceeding with the SEC relating to alleged violations of the "uptick rule" in connection with certain sales of stock over a two day period in March 1994. Without admitting or denying the SEC's findings, Tudor paid a civil penalty of $800,000, and agreed not to violate the uptick rule in the future. This settlement will not have a material adverse effect on the business, financial condition or results of operations of the Partnership, Tudor or the General Partner. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. TUDOR FUND FOR EMPLOYEES L.P. By: /s/ Andrew S. Paul -------------------------- Andrew S. Paul Vice President and General Counsel Second Management LLC General Partner Date: September 16, 1996 2 -----END PRIVACY-ENHANCED MESSAGE-----