-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, BQeG8VrOey5SWDlRdkK/RzLQfepdXkCDNbJRiI6VhC23fExwuYr4YllEX1bLqoKt 8FsHR0PNmKD9oCRbn7aXEw== 0000009749-94-000010.txt : 19940215 0000009749-94-000010.hdr.sgml : 19940215 ACCESSION NUMBER: 0000009749-94-000010 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19940214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARELINE INC CENTRAL INDEX KEY: 0000912275 STANDARD INDUSTRIAL CLASSIFICATION: 8093 IRS NUMBER: 330514636 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 34 SEC FILE NUMBER: 005-42817 FILM NUMBER: 94507335 BUSINESS ADDRESS: STREET 1: 17780 FITCH ST STE 135 CITY: IRVINE STATE: CA ZIP: 92714 BUSINESS PHONE: 7145534070 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: 6022 IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G 1 CARELINE INC NEW SC 13G - 1993 BANKERS TRUST COMPANY One Bankers Trust Plaza New York, New York 10006 Don R. De Souza Mailing Address: Vice President P.O. Box 318 Telephone: 212-250-2216 Church Street Station New York, NY 10008 February 11, 1994 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N.W. Washington, DC 20549 Attn: Filing Desk Dear Sirs: Re: Filing of Schedule 13G on Careline, Inc. Pursuant to Rule 13d-1 of the General Rules and Regulations under the Securities Exchange Act of 1934, the following is one copy of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, /s/Don R. De Souza Enclosures SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ____ Careline, Inc. _______________________________________ NAME OF ISSUER: Common Stock _______________________________________ TITLE OF CLASS OF SECURITIES 141702100 _______________________________________ CUSIP NUMBER Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in 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). (Continued on following page(s)) Page 1 of 5 Pages CUSIP No. 141702100 Page 2 of 5 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and its wholly-owned subsidiary, Bankers Trust Company and its indirectly wholly- owned subsidiary BT Capital Corporation. Noel E. Urban, an individual. 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Both Bankers Trust New York Corporation and Bankers Trust Company are New York corporations; BT Capital Corporation is a Delaware corporation. NUMBER OF 5. SOLE VOTING POWER SHARES 3,078,124 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- EACH 7. SOLE DISPOSITIVE POWER REPORTING 3,078,124 PERSON 8. SHARED DISPOSITIVE POWER WITH -0- 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,078,124 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 22.8% 12.TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC; Bankers Trust Company - HC; BT Capital Corporation - CO 3 Item 1(a) NAME OF ISSUER: Careline, Inc. Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 17780 Fitch Street, Suite 135 Irvine, California 92714 Item 2(a) NAME OF PERSON FILING: Bankers Trust New York Corporation ("BTNY"), and its wholly-owned subsidiary, Bankers Trust Company ("BT") and its indirect wholly-owned subsidiary, BT Capital Corporation ("BTCC") and Noel E. Urben ("Urben") Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: BTNY, BTCo and BTCC are located at 280 Park Avenue, New York, New York 10017 Item 2(c) CITIZENSHIP: BTNY and BT are incorporated in the State of New York with their principal business office located in New York; BTCC is incorporated in the State of Delaware with its principal business office located in New York; Urben is a United States citizen. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock of Careline, Inc. Item 2(e) CUSIP NUMBER: 141702100 Item 3 THE PERSON FILING IS A: For BTNY, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) For BT, (b) [X] Bank as defined in Section 3(a)(6) of the Act. For BTCC and Urben, the Schedule is being filed pursuant to 13d-1(c). 4 Item 4 OWNERSHIP: (a) Amount Beneficially Owned: BT as Investment Advisor own beneficially 250,000 shares of common stock. BT Capital Corporation owns 2,828,124 shares of common stock; Urben owns 2,828,124 shares are owned beneficially by BTCC of which Urben is President. Urben disclaims beneficial ownership of such shares. (b) Percent of Class: BT owns 1.8% of the outstanding common stock; BTCC owns 21% of the outstanding common stock and Urben owns 21% of the outstanding common stock. (c) Number of shares as to which BTCC has: (i) sole power to vote or to direct the vote - BT-250,000 shares, BTCC-0 shares; Urben-0 shares (ii) shared power to vote or to direct the vote - BTCC-2,828,124 shares; Urben- 2,828,124 shares (iii) sole power to dispose or to direct the disposition of - BT-250,000 shares, BTCC-0 shares; Urben-0 shares (iv) shared power to dispose or to direct the disposition of - BTCC-2,828,124 shares; Urben-2,828,124 shares Item 5 OWNERSHIP OF FIVE PERCENT OF LESS OF A CLASS: Not applicable. Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: The accounts for which BT serves as Investment Advisor have the right to receive and/or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities. Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Exhibit to Item 7. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. 5 Item 9 NOTICE OF DISSOLUTION OF GROUP: Not applicable. Item 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Not applicable to BTCC and Urben. SIGNATURE 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. Date: as of December 31, 1993 Signature: BANKERS TRUST NEW YORK CORPORATION /s/James T. Byrne, Jr. By: James T. Byrne, Jr. Title: Secretary Signature: BANKERS TRUST COMPANY, as Investment Advisor /s/Don R. De Souza By: Don R. De Souza Title: Vice President Signature: BT CAPITAL CORPORATION /s/Noel E. Urben By: Noel E. Urben Title: President EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to BT Capital Corporation, the subsidiary which acquired the security being reported on, is shown below: Bankers Trust New York Corporation | | | | Bankers Trust Company BT Holdings (New York), Inc. | | BT Capital Corporation -----END PRIVACY-ENHANCED MESSAGE-----