-----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, JtrrZyTxFzlmctt/gSCBTbhrFlJAk4Y9YiA2OlV1GDzME/SX6Ma1xMOugwG+BRii DKTqVvWmmkR6jQ2J+ahBqA== 0000902561-00-000217.txt : 20000407 0000902561-00-000217.hdr.sgml : 20000407 ACCESSION NUMBER: 0000902561-00-000217 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000131 FILED AS OF DATE: 20000406 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGENT COMMUNICATIONS INC CENTRAL INDEX KEY: 0000913015 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 311492857 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 333-46435 FILM NUMBER: 594969 BUSINESS ADDRESS: STREET 1: 50 EAST RIVERCENTER BOULEVARD STREET 2: SUITE 180 CITY: COVINGTON STATE: KY ZIP: 41011 BUSINESS PHONE: 6062920030 MAIL ADDRESS: STREET 1: 50 EAST RIVERCENTER BLVD STREET 2: SUITE 180 CITY: COVINGTON STATE: KY ZIP: 41011 COMPANY DATA: COMPANY CONFORMED NAME: SUTTER WILLIAM P JR CENTRAL INDEX KEY: 0001073260 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: C/O MESIROW FINANCIAL HOLDINGS INC STREET 2: 330 NORTH CLARK ST CITY: CHICAGO STATE: IL ZIP: 60610 MAIL ADDRESS: STREET 1: C/O MESIROW FINANCIAL HOLDINGS INC STREET 2: 330 NORTH CLARK ST CITY: CHICAGO STATE: IL ZIP: 60610 4/A 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4/A 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 [ ] 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* Sutter, Jr. William P. - ------------------------------------------------------------------------------- (Last) (First) (Middle) Mesirow Financial Holdings, Inc. 350 North Clark Street - ------------------------------------------------------------------------------- (Street) Chicago Illinois 60610 - ------------------------------------------------------------------------------- (City) (State) (Zip) _______________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Regent Communications, Inc. (RGCI) _______________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) _______________________________________________________________________________ 4. Statement for Month/Year January 2000 _______________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) 2/4/2000 =============================================================================== 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ---------------------------------------------------- _______________________________________________________________________________ 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 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 1/28/00 C 1,818,181 A * 1,818,181 I ** - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/24/00 P 15,000 A $8.50 15,000 D - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
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 4-07/98) 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) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Series K Convertible Common Preferred Stock 1-for-1 1/28/00 C 1,818,181 Immed Stock 1,818,181 0 I * - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== Explanation of Responses: * These securities were received upon the conversion on a one-to-one basis of 1,818,181 shares of Series K Convertible Preferred Stock upon the completion of an initial offering of common stock. The Series K Convertible Preferred Stock was purchasted at a price of $5.50 per share, $8.50 was the price per share of common stock in the initial public offering. ** These securities are directly owned by Mesirow Capital Partners VII, an Illinois limited partnership. By reason of his position as an officer of the corporate general partner of these partnerships, Mr. Sutter may be deemed to beneficially own all of the securities with shared voting and investment power over the securities. Mr. Sutter disclaims beneficial ownership of all such securities.
/s/ William P. Sutter, Jr. April 4, 2000 - -------------------------------------------- ----------------------- Signature of Reporting Person Date 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 -----END PRIVACY-ENHANCED MESSAGE-----