-----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, Exh5oiLVjpczUOfWo2fMAydWTwAyiMezjTPUf55nwkJcOBecr8h5kZj9EDmS7Otx 0dIlBZhEGGm3nNROpSIpsA== 0000950157-98-000323.txt : 19980921 0000950157-98-000323.hdr.sgml : 19980921 ACCESSION NUMBER: 0000950157-98-000323 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980918 FILED AS OF DATE: 19980918 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARV ASSISTED LIVING INC CENTRAL INDEX KEY: 0000949322 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] IRS NUMBER: 330160968 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-26980 FILM NUMBER: 98711438 BUSINESS ADDRESS: STREET 1: 245 FISCHER AVE STREET 2: SUITE D-1 CITY: COSTA MESA STATE: CA ZIP: 92626 BUSINESS PHONE: 7147517400 MAIL ADDRESS: STREET 1: 245 FISCHER AVENUE STREET 2: SUITE D-1 CITY: COSTA MESA STATE: CA ZIP: 92626 COMPANY DATA: COMPANY CONFORMED NAME: PROMETHEUS ASSISTED LIVING LLC CENTRAL INDEX KEY: 0001042485 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O LAZARD FERES REAL ESTATE INVESTORS L STREET 2: 30 ROCKEFELLER PLZ CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2126326000 MAIL ADDRESS: STREET 1: C/O LAZARD FERES REAL ESTATE INVESTORS L STREET 2: 30 ROCKEFELLER PLZ CITY: NEW YORK STATE: NY ZIP: 10020 3 1 INITIAL STATE/BENEFICIAL OWNERSHIP OF SECURITIES ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response: ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 ================================================================================ 1. Name and Address of Reporting Person* Prometheus Assisted Living LLC - -------------------------------------------------------------------------------- (Last) (First) (Middle) 30 Rockefeller Plaza, 63rd Floor - -------------------------------------------------------------------------------- (Street) New York, NY 10020 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) August 1, 1998 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol ARV Assisted Living, Inc. ARVI ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) 7/14/97 ================================================================================ 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 Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 9,653,325 D and I See attached - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: See attached. See attached signature page - --------------------------------------------- ----------------------- **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. FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Item 1. Name and Address of Reporting Person. Prometheus Assisted Living LLC 30 Rockefeller Plaza, 63rd Floor New York, NY 10020 Second Reporting Person: Lazard Freres Real Estate Investors L.L.C. 30 Rockefeller Plaza, 63rd Floor New York, NY 10020 Third Reporting Person: LF Strategic Realty Investors II L.P. c/o Lazard Freres Real Estate Investors L.L.C. 30 Rockefeller Plaza, 63rd Floor New York, NY 10020 Fourth Reporting Person: LFSRI II Alternative Partnership L.P. c/o Lazard Freres Real Estate Investors L.L.C. 30 Rockefeller Plaza, 63rd Floor New York, NY 10020 Fifth Reporting Person: LFSRI II-CADIM Alternative Partnership L.P. c/o Lazard Freres Real Estate Investors L.L.C. 30 Rockefeller Plaza, 63rd Floor New York, NY 10020 Item 2. Date of Event Requiring Statement. August 1, 1998 Item 4. Issuer Name and Trading Symbol. ARV Assisted Living, Inc. ARVI Explanation of Responses Reference is hereby made to the Schedule 13D, dated July 23, 1997, as amended, filed by Prometheus, LFREI, LFSRI, LFSRI II, and LFSRI CADIM (collectively the "Reporting Parties") with respect to the Common Stock of ARV Assisted Living, Inc. (the "Company" or the "Issuer")(as amended, the "Schedule 13D"). Capitalized terms not otherwise defined herein shall have the meaning ascribed to them in the Schedule 13D. The Reporting Parties may be deemed to beneficially own 9,653,325* shares of the Company's Common Stock (comprising approximately 49.9% of the shares outstanding on March 31, 1997) as a result of an agreement to purchase such shares in the Stock Purchase Agreement. Prometheus is the direct owner of the interest in the Issuer. On August 1, 1998, pursuant to the LFSRI II AP Purchase Agreement and the LFSRI CADIM Purchase Agreement, LFSRI, which originally was the sole member of Prometheus, transferred 10.3806% and 3.4602% of the membership interest in Prometheus to LFSRI II AP and LFSRI CADIM, respectively. As a result, Prometheus has three managing members: LFSRI is a 86.1592% managing member, LFSRI II AP is a 10.3806% managing member and LFSRI CADIM is a 3.4602% managing member and LFSRI, LFSRI II AP and LFSRI CADIM each has an indirect interest in the Issuer. * Assuming consummation of the purchase of all shares of Common Stock to be purchased pursuant to the Stock Purchase Agreement disclosed in the Schedule 13D. 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. PROMETHEUS ASSISTED LIVING LLC by LF Strategic Realty Investors II L.P., as a member, by Lazard Freres Real Estate Investors L.L.C., its general partner, by /s/ JOHN A. MOORE -------------------------------- Name: John A. Moore Title: Principal LF STRATEGIC REALTY INVESTORS II L.P. by Lazard Freres Real Estate Investors L.L.C., its general partner, by /s/ JOHN A. MOORE ----------------------------------- Name: John A. Moore Title: Principal LFSRI II ALTERNATIVE PARTNERSHIP L.P. by Lazard Freres Real Estate Investors L.L.C., its general partner, by /s/ JOHN A. MOORE ---------------------------------- Name: John A. Moore Title: Principal LFSRI II-CADIM ALTERNATIVE PARTNERSHIP L.P. by Lazard Freres Real Estate Investors L.L.C., its general partner, by /s/ JOHN A. MOORE --------------------------------- Name: John A. Moore Title: Principal LAZARD FRERES REAL ESTATE INVESTORS L.L.C. by /s/ JOHN A. MOORE ---------------------------------- Name: John A. Moore Title: Principal Dated September 17, 1998 -----END PRIVACY-ENHANCED MESSAGE-----