-----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, RrKXwqlWmsiGZc6bO1rEeZtdL1sKl1Hs7KoOhGNPX3Oy3AaUxZeeKeJMYz67SK/z wk+YNhbcB3rslCeYE5evCA== 0000914317-01-000253.txt : 20010402 0000914317-01-000253.hdr.sgml : 20010402 ACCESSION NUMBER: 0000914317-01-000253 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010330 FILED AS OF DATE: 20010330 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVIVA PETROLEUM INC /TX/ CENTRAL INDEX KEY: 0000910659 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 751432205 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13440 FILM NUMBER: 1586621 BUSINESS ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: STE 400 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2146913464 MAIL ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: STE 400 CITY: DALLAS STATE: TX ZIP: 75225 COMPANY DATA: COMPANY CONFORMED NAME: WEXFORD CAPITAL LLC CENTRAL INDEX KEY: 0001048462 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 061442624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 411 W PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038627000 MAIL ADDRESS: STREET 1: 411 W PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: WEXFORD MANAGEMENT LLC DATE OF NAME CHANGE: 19971024 4 1 0001.txt FORM 4 FOR AVIVA PETROLEUM U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [X] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* WEXFORD CAPITAL LLC (f/k/a Wexford Management LLC) - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Wexford Capital LLC 411 West Putnam Avenue - -------------------------------------------------------------------------------- (Street) Greenwich CT 06830 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol AVIVA PETROLEUM, INC. (AVV) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 3/2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by one Reporting Person [X] Form filed by more than one Reporting Person ________________________________________________________________________________
================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================ 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/2-3/23/01 S 3,651,503 D 3 I (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/2-3/23/01 S 670,040 D 5 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/2-3/23/01 S 933,814 D 4 I (3) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/2-3/23/01 S 183,282 D 2 I (4) ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) (Form 4-07/99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: *Represents average sales prices. See footnotes on EXHIBIT "A" attached hereto. By: /s/ Arthur H. Amron March 30, 2001 --------------------------------------- ----------------------- **Signature of Reporting Person Date Arthur H. Amron, Senior Vice President See joint filers information attached as EXHIBIT "B" hereto. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 EXHIBIT "A" TO FORM 4 (1) Owned by Wexford Special Situations 1996, LP, which is a member of a "group" with Wexford Capital LLC for purposes of Section 13(d) of the Securities & Exchange Act of 1934, as amended. Wexford Capital LLC is an Investment Advisor to Wexford Special Situations 1996, LP. Charles E. Davidson and Joseph M. Jacobs are control persons of Wexford Capital LLC. (2) Owned by Wexford Special Situations 1996 Institutional, LP, which is a member of a "group" with Wexford Capital LLC for purposes of Section 13(d) of the Securities & Exchange Act of 1934, as amended. Wexford Capital LLC is an Investment Advisor to Wexford Special Situations 1996 Institutional, LP. Charles E. Davidson and Joseph M. Jacobs are control persons of Wexford Capital LLC. (3) Owned by Wexford-Euris Special Situations 1996, LP, which is a member of a "group" with Wexford Capital LLC for purposes of Section 13(d) of the Securities & Exchange Act of 1934, as amended. Wexford Capital LLC is an Investment Advisor to Wexford-Euris Special Situations 1996, LP. Charles E. Davidson and Joseph M. Jacobs are control persons of Wexford Capital LLC. (4) Owned by Wexford Special Situations 1996 Limited, which is a member of a "group" with Wexford Capital LLC for purposes of Section 13(d) of the Securities & Exchange Act of 1934, as amended. Wexford Capital LLC is an Investment Advisor to Wexford Special Situations 1996 Limited. Charles E. Davidson and Joseph M. Jacobs are control persons of Wexford Capital LLC. C:\TEMP\FC8156.WPD EXHIBIT "B" TO FORM 4 JOINT FILER INFORMATION Designated Filer: Wexford Capital LLC Issuer & Ticket Symbol: Aviva Petroleum, Inc. (AVV) Date of Event Requiring Statement: March 30, 2001 Joint Filers: Name: Charles E. Davidson Address: c/o Wexford Capital LLC 411 West Putnam Avenue Greenwich, CT 06830 Signature: /s/ Charles E. Davidson ----------------------- Charles E. Davidson Name: Joseph M. Jacobs Address: c/o Wexford Capital LLC 411 West Putnam Avenue Greenwich, CT 06830 Signature: /s/ Joseph M. Jacobs -------------------- Joseph M. Jacobs -----END PRIVACY-ENHANCED MESSAGE-----