-----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, RHZRSw7E6o5BbZiwz43065b0ew9VAPoenp4zQajejRDuqrjQO20yi6KBlAjTMpYK 3jFhu54YHPA6URGiZTqXvw== 0001137185-01-500003.txt : 20010518 0001137185-01-500003.hdr.sgml : 20010518 ACCESSION NUMBER: 0001137185-01-500003 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010517 GROUP MEMBERS: AMSTER TRADING COMPANY GROUP MEMBERS: AMSTER TRADING COMPANY CRUT GROUP MEMBERS: DAVID ZLATIN GROUP MEMBERS: HOWARD AMSTER GROUP MEMBERS: RAMAT SECURITIES LTD 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: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48603 FILM NUMBER: 1642428 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RAMAT SECURITIES LTD CENTRAL INDEX KEY: 0001137185 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 23811 CHAGRIN BLVD STREET 2: SUITE 200 CITY: BEACHWOOD STATE: OH ZIP: 44122 BUSINESS PHONE: 2165950987 MAIL ADDRESS: STREET 1: 23811 CHAGRIN BLVD STREET 2: SUITE 200 CITY: BEACHWOOD STATE: OH ZIP: 44122 SC 13D/A 1 avvp.txt United States Securities and Exchange Commission Washington DC 20549 Schedule 13D Under the Securities and Exchange Act of 1934 (Amendment No.__1__)* AVIVA PETROLEUM , INC. (Name of Issuer) Common Stock (Title of Class of Securities) 05379P304 (CUSIP Number) David Zlatin, 23811 Chagrin Blvd, Suite 200 Beachwood, OH 44122-5525 (216) 595-0987 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 5/16/01 (Date of Event which Requires Filing of this Statement) If this filing person has previously filed a statement on Schedule 13G to report this 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-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 to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. This 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). 1 Name of Reporting Person Ramat Securities Ltd 2 If a member of a group a) / / b) /X/ 3 SEC Use only 4 Source of Funds WC 5 Check if Disclosure of Legal Proceedings is Required 6 Citizenship or Place of Organization USA Number of Shares 7 Sole Voting Beneficially Owned By Each Reporting Person With 8 Shared Voting 6,577,370 9 Sole Dispositive 10 Shared Dispositive 6,577,370 11 Aggregate Amount Beneficially owned 6,577,370 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 14.02 % 14 Type of Reporting Person BD 1 Name of Reporting Person David Zlatin 2 If a member of a group a) / / b) /X/ 3 SEC Use Only 4 Source of Funds PF 5 Check if Disclosure of Legal Proceedings is Required 6 Citizenship or Place of Organization USA Number of Shares 7 Sole Voting Beneficially Owned By Each Reporting Person With 8 Shared Voting 6,577,370 9 Sole Dispositive 10 Shared Dispositive 6,577,070 11 Aggregate Amount Beneficially owned 6,577,070 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 14.02 % 14 Type of Reporting Person IN 1 Name of Reporting Person Howard Amster 2 If a member of a group a) / / b) /X/ 3 SEC Use only 4 Source of Funds PF 5 Check if Disclosure of Legal Proceedings is Required 6 Citizenship of Place Organization USA Number of Shares 7 Sole Voting Beneficially Owned By Each Reporting Person With 8 Shared Voting 4,055,100 9 Sole Dispositive 10 Shared Dispositive 4,055,100 11 Aggregate Amount Beneficially owned 6,577,370 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 14.02% 14 Type of Reporting Person IN 1 Name of Reporting Person Amster Trading Company Charitable Remainder Unitrusts 2 If a member of a group a) / / b) /X/ 3 SEC Use only 4 Source of Funds AF 5 Check if Disclosure of Legal Proceedings is Required 6 Citizenship of Place Organization USA Number of Shares 7 Sole Voting Beneficially Owned By Each Reporting Person With 8 Shared Voting 4,055,100 9 Sole Dispositive 10 Shared Dispositive 4,055,100 11 Aggregate Amount Beneficially owned 4,055,100 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 8.65 % 14 Type of Reporting Person OO 1 Name of Reporting Person Amster Trading Company 2 If a member of a group a) / / b) /X/ 3 SEC Use only 4 Source of Funds WC 5 Check if Disclosure of Legal Proceedings is Required 6 Citizenship of Place Organization USA Number of Shares 7 Sole Voting Beneficially Owned By Each Reporting Person With 8 Shared Voting 4,055,100 9 Sole Dispositive 10 Shared Dispositive 4,055,100 11 Aggregate Amount Beneficially owned 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 14 Type of Reporting Person CO There are no changes to the Schedule 13D, as amended except as follows: Item 2 Identity and Background Howard Amster is the 100% owner of Amster Trading Company and as such can be deemed the beneficial owner of such entity and may be deemed to have shared voting and dispositive power over shares owned by Amster Trading Company. Amster Trading Company, 25812 Fairmount Blvd, Beachwood, OH 44122 Investments d) Neither the officers, directors, or shareholder of Amster Trading Company have been convicted in any criminal proceedings (excluding traffic violations or similar misdemeanors, if any) within the last five years. e) Neither the officers, directors or shareholder of Amster Trading Company have been a party to any civil proceedings of a judicial or administrative body of competent jurisdictions of the type described in Item 2 of Schedule 13D within the last five years. Amster Trading Company Charitable Remainder Unitrusts have been 100% funded by Amster Trading Company. Because Amster Trading Company has the right to change the trustee of the trust, it can be deemed to have the right to shared voting and dispositive power over any security owned by the trusts. While Amster Trading Company receives certain income distributions from the trusts, the assets owned by the trusts benefits charitable purposes. Amster Trading Company disclaims beneficial ownership of the securities owned by these trusts. Amster Trading Company Charitable Remainder Unitrusts 25812 Fairmount Blvd, Beachwood, OH 44122-2214 Charitable Remainder Unitrust d) Neither the trust or trustee of the Amster Trading Company Charitable Remainder Unitrusts have been convicted in any criminal proceedings (excluding traffic violations or similar misdemeanors if any) within the last five years. e) Neither the trust or the trustee of the Amster Trading Company Charitable Remainder Unitrust have been a party to any civil proceedings of a judicial or administrative body or competent jurisdiction of the type described in Item 2 of Schedule 13D within the last five years. a) Howard Amster, as trustee of the Amster Trading Company Charitable Remainder Unitrusts b) 25812 Fairmount Blvd, Beachwood, OH 44122-2214 c) Present principal occupation-Securities Principal, Ramat Securities Ltd, securities firm-23811 Chagrin Blvd #200, Beachwood, OH 44122-5525 d) Howard Amster has not been convicted in any criminal proceedings (excluding traffic violations or similar misdemeanors, if any) within the last five years. e) Howard Amster has not been party to any civil proceedings of a judicial or administrative body of competent jurisdiction of the type described in Item 2 of Schedule 13D within the last five years. f) USA Item 3. Source and Amount of Funds or Other Consideration Amster Trading Company Charitable Remainder Unitrusts purchased shares with trust assets without borrowing. The total consideration for the purchases of the shares is $ 202,755.00. Ramat Securities Ltd purchased shares with working capital without borrowing. The total consideration for the purchases reported on this amendment is $ 25,000.00 bringing Ramat Securities Ltd's total investment to $ 259,015.34. Item 4 Purpose of Transaction Amster Trading Company Charitable Remainder Unitrusts, Ramat Securities Ltd., David Zlatin, acquired shares for purposes of investment. They may be deemed to be a group. The member group primary purpose of transactions is for investment. David Zlatin and Howard Amster are seeking two board of director seats under a proposal to increase the size of the board of directors to at least five members, including the two current directors. They are not seeking control of the company. They seek to work with management regarding the goals and direction of the company. Item 5. Interest in Securities of the Issuer (a)(b) The aggregate amount owned by Reporting Persons is 10,632,470 shares or 22.67 % of the outstanding shares. Ramat Securities Ltd owns 6,577,370 or 14.02 % of the outstanding shares. Amster Trading Company Charitable Remainder Unitrusts own 4,055,100 shares or 8.65 % of the outstanding shares c) Description of Transactions The reporting group purchased 911,020 Depositary Shares. Each Depositary Share represents five shares of Common Stock held by a Depositary bring the total for the reporting group to 2,126,494 Depositary Shares. Trades were executed in a private transaction at $ .25 Depositary Share on 5/16/01, the effective date.
Identity Shares Amster Trading Co 811,020 Charitable Remainder Unitrusts Ramat Securities Ltd 100,000 911,020 Depositary Shares* Depositary Shares equals 4,555,100 Common Shares.* (Each Depositary Share represents five shares of Common Stock held by a Depositary)
Signature After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: 5/17/01 Ramat Securities Ltd David Zlatin Howard Amster Amster Trading Company Amster Trading Company Charitable Remainder Unitrusts
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