SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K405/A
AMENDMENT NO. 1
Filed pursuant to Section 12, 13, or 15(d) of the
Securities Exchange Act of 1934
JMB INCOME PROPERTIES, LTD. - IV
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(Exact name of registrant as specified in its charter)
IRS Employer Identification
Commission File No. 0-8469 No. 36-2857658
The undersigned registrant hereby amends the following sections of its
Report for the year ended December 31, 1997 on Form 10-K405 as set forth in
the pages attached hereto:
PART III
Item 12. Security Ownership of Certain Beneficial Owners
and Management. Pages 37 and 38.
Pursuant to the requirements of the Securities Exchange Act of 1934,
the Registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
JMB INCOME PROPERTIES, LTD. - IV
By: JMB Realty Corporation
Managing General Partner
GAILEN J. HULL
By: Gailen J. Hull
Senior Vice President
Dated: April 24, 1998
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<CAPTION>
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
(a) The following own, or may be deemed to own, beneficially more than 5% of the outstanding Interests of
the Partnership.
NAME OF AMOUNT AND NATURE
BENEFICIAL OF BENEFICIAL PERCENT
TITLE OF CLASS OWNER OWNERSHIP OF CLASS
- -------------- ---------- ----------------- --------
<S> <C> <C> <C>
(i)
Limited Partnership Liquidity Fund X (1) 45 Interests Less than
Interests directly (2) 1%
Limited Partnership Liquidity Fund XIV (1) 50 Interests Less than
Interests directly (2) 1%
Limited Partnership Liquidity Fund XV (1) 45 Interests Less than
Interests directly (2) 1%
Limited Partnership Liquidity Fund 32, L.P. (1)264 Interests 1.3%
Interests directly (2)
Limited Partnership Liquidity Fund High Yield 37 Interests Less than
Interests Institutional Investors (1)directly (2) 1%
Limited Partnership Liquidity Fund Tax Exempt 365 Interests 1.8%
Interests Partners (1) directly (2)
Limited Partnership Liquidity Fund Tax Exempt 456 Interests 2.3%
Interests Partners II (1) directly (2)
Limited Partnership Liquidity Fund 73, L.P. (1)264 Interests 1.3%
Interests directly (2)
Limited Partnership LF 74, L.P. (1) 238.5 Interests 1.2%
Interests directly (2)
Limited Partnership Liquidity Financial Group, 1,764.5 Interests 8.8%
Interests L.P. (1) indirectly (3)
Limited Partnership Liquidity Financial 1,764.5 Interests 8.8%
Interests Corporation (1) indirectly (3)
37
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<FN>
(1) The address of each beneficial owner listed in this subsection (a)(i) is 1900 Powell Street, Suite 730,
Emeryville, California 94608.
(2) Each entity referenced by this note (2) has reported that it has sole voting and dispositive power with
respect to the Interests that it owns directly as shown in the above table in this subsection (a)(i). However,
voting and dispositive power is exercised on behalf of each such entity by its general partner, Liquidity
Financial Group, L.P. The general partner of Liquidity Financial Group, L.P. is Liquidity Financial Corporation.
Because of their affiliations, all beneficial owners identified in this subsection (a)(i) may be deemed to be
members of a group with shared voting and dispositive power with respect to the aggregate 1,764.5 Interests (8.8%)
beneficially owned by them. See note (3) of this subsection (a)(i). The exercise of voting power with respect to
any Interests is subject to the terms and conditions of the Partnership Agreement of the Partnership.
(3) Includes the aggregate 1,764.5 Interests owned directly by the entities referenced by note (2) in this
subsection (a)(i). Liquidity Financial Group, L.P, is the general partner of each such entity and exercises
voting and dispositive power on behalf of each such entity. Liquidity Financial Corporation is the general
partner of Liquidity Financial Group, L.P. As such, Liquidity Financial Group, L.P. and Liquidity Financial
Corporation may be deemed to have shared voting and dispositive power with respect to the aggregate 1,764.5
Interests owned by such entities. Reference is made to note (2) in this subsection (a)(i).
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37-A
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NAME OF AMOUNT AND NATURE
BENEFICIAL OF BENEFICIAL PERCENT
TITLE OF CLASS OWNER OWNERSHIP OF CLASS
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<S> <C> <C> <C>
(ii)
Limited Partnership Equity Resource 20 Interests Less than
Interests Bridge Fund (1) (4) directly 1%
Limited Partnership Equity Resource 269 Interests 1.3%
Interests Fund XV Limited directly
Partnership (1) (4)
Limited Partnership Equity Resource 1,108.22 Interests 5.5%
Interests Fund XVII Limited directly
Partnership (1) (4)
Limited Partnership Equity Resources 1,377.22 Interests 6.9%
Interests Group, Incorporated indirectly (2) (3)
(1) (4)
Limited Partnership Eggert Dagbjartsson 1,108.22 Interests 5.5%
Interests (1) (4) indirectly (3)
Limited Partnership Mark S. Thompson (1) (4) 269 Interests 1.3%
Interests indirectly (2)
<FN>
(1) The address of each beneficial owner listed in this subsection (a)(ii) is 14 Story Street, Cambridge,
Massachusetts 02138.
(2) Includes 269 Interests owned directly by Equity Resource Fund XV Limited Partnership for which Equity
Resources Group, Incorporated and Mark S. Thompson act as the general partners and have reported that they have
shared voting and dispositive power with respect to such Interests.
(3) Includes 1,108.22 Interests owned directly by Equity Resource Fund XVII Limited Partnership for which
Equity Resources Group, Incorporated and Eggert Dagbjartsson act as the general partners. Equity Resources Group,
Incorporated and Mr. Dagbjartsson have reported that they have shared voting and dispositive power with respect to
Interests owned by such partnership.
(4) Because of their affiliations, all beneficial owners identified in this subsection (a)(ii) may be
deemed to be members of a group with shared voting and dispositive power with respect to the aggregate 1,397.22
Interests (7.0%) beneficially owned by them. The exercise of voting power with respect to any Interests is
subject to the terms and conditions of the Partnership Agreement of the Partnership.
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37-B
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(b) The Managing General Partner, its officers and directors and the individual General Partners own the
following Interests of the Partnership:
<CAPTION>
NAME OF AMOUNT AND NATURE
BENEFICIAL OF BENEFICIAL PERCENT
TITLE OF CLASS OWNER OWNERSHIP OF CLASS
- -------------- ---------- ----------------- --------
<S> <C> <C> <C>
Limited Partnership JMB Realty Corporation 5 Interests Less than 1%
Interests directly
Limited Partnership Managing General Partner, 5 Interests Less than 1%
Interests its officers and directly
directors and the
individual General
Partners as a group
<FN>
No officer or director of the Managing General Partner of the Partnership possesses a right to acquire
beneficial ownership of Interests of the Partnership.
Reference is made to Item 10 for information concerning ownership of the Managing General Partner.
(c) There exists no arrangement, known to the Partnership, the operation of which may at a subsequent date
result in a change in control of the Partnership.
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38
