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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
The CHALONE Wine Group, Ltd.
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(Name of Issuer)
Common Stock, no par value
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(Title of Class of Securities)
157639105
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(CUSIP Number)
Phyllis S. Hojel
c/o HM International Inc.
5810 East Skelly Drive, Suite 1000
Tulsa, Oklahoma 74135-6403
(918) 664-1914
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
December 26, 1996
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the 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 should 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
disclosures provided in a prior cover page.
The 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).
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
RCH 1 Holdings, Inc.
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
WC
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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(6) Citizenship or Place of Organization
Delaware
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Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
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(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
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(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
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(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) CO
Page 2 of 13 pages
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
LHZ 1 Holdings, Inc.
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
WC
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
(6) Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
- --------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
- --------------------------------------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
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(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) CO
Page 3 of 13 pages
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
MAH 1 Holdings, Inc.
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
WC
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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(6) Citizenship or Place of Organization
Delaware
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Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
- --------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
- --------------------------------------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
- --------------------------------------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) CO
Page 4 of 13 pages
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
GHA 1 Holdings, Inc.
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
WC
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
(6) Citizenship or Place of Organization
Delaware
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Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
- --------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
- --------------------------------------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
- --------------------------------------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) CO
Page 5 of 13 pages
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
SFI Intermediate Ltd.
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
OO
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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(6) Citizenship or Place of Organization
Texas
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Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
- --------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
- --------------------------------------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
- --------------------------------------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) PN
Page 6 of 13 pages
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CUSIP No. 157639105
---------
- --------------------------------------------------------------------------------
(1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of
Above Persons
Phyllis S. Hojel
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(2) Check the Appropriate Box if a Member of a Group
(a) [ ]
(b) [X]
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(3) SEC Use Only
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(4) Source of Funds
PF
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [ ]
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(6) Citizenship or Place of Organization
U.S.A.
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Number of (7) Sole Voting Power -0- Shares
Shares Bene- -----------------------------------------------------------
ficially (8) Shared Voting Power 1,756,919 Shares
Owned by -----------------------------------------------------------
Each Report- (9) Sole Dispositive Power -0- Shares
ing Person -----------------------------------------------------------
With (10) Shared Dispositive Power 1,756,919 Shares
- --------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially Owned by Each Reporting Person
1,756,919 Shares
- --------------------------------------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
- --------------------------------------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11)
21.1%
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(14) Type of Reporting Person (See Instructions) IN
Page 7 of 13 pages
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ITEM 1. SECURITY AND ISSUER.
The class of securities to which the statement relates is common
stock, no par value (the "Common Stock"), of The CHALONE Wine Group, Ltd., a
California corporation (the "Company"). The address of the principal executive
offices of the Company is 621 Airpark Road, Napa, California 94558.
ITEM 2. IDENTITY AND BACKGROUND.
This statement is being filed by GHA 1 Holdings, Inc., a Delaware
corporation ("GHA"), and its address and principal business office is 5810 East
Skelly Drive, Suite 1000, Tulsa, Oklahoma 74135-6403. GHA is a private
investment company and is presently wholly owned by Phyllis S. Hojel ("Ms.
Hojel"). Ms. Hojel, who is a citizen of the United States, is the president
and secretary and sole director of GHA. GHA has no executive officers, other
than Ms. Hojel. GHA is the successor to RCH 1 Holdings, Inc., a Delaware
corporation ("RCH"), LHZ 1 Holdings, Inc., a Delaware corporation ("LHZ") and
MAH 1 Holdings, Inc., a Delaware corporation ("MAH"), which merged with and
into GHA on December 31, 1996 (the "Merger").
This statement is also being filed by each of RCH, LHZ and MAH. Prior
to the Merger, the address and principal business office of each of RCH, LHZ
and MAH (collectively, the "Merged Companies") was 5810 East Skelly Drive,
Suite 1000, Tulsa, Oklahoma 74135-6403. Each of the Merged Companies was a
private investment company and wholly owned by Ms. Hojel. Ms. Hojel, who is a
citizen of the United States and whose business address is 5810 East Skelly
Drive, Suite 1000, Tulsa, Oklahoma 74135-6403, was the president and secretary
and sole director of each of the Merged Companies. Each of the Merged
Companies had no executive officers, other than Ms. Hojel.
During the last five years, none of the Merged Companies or GHA nor
any of their respective executive officers or directors has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding of a judicial or administrative body and
as a result of such proceeding was or is subject to any judgment, decree or
final order enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities laws or finding any
violations with respect to such laws.
This statement is also being filed by SFI Intermediate Ltd., a Texas
limited partnership ("SFI"), and its address and principal business office is
5810 East Skelly Drive, Suite 1000, Tulsa, Oklahoma 74135-6403. SFI is a
private investment company. Prior to the Merger, SFI had four managing general
partners, RCH, LHZ, MAH and GHA. Presently, GHA is the sole managing general
partner of SFI.
This statement is also being filed by Ms. Hojel. Ms. Hojel, who is a
citizen of the United States and whose business address is 5810 East Skelly
Drive, Suite 1000, Tulsa, Oklahoma 74135-6403, is a private investor and is the
president and secretary and sole director of GHA.
Page 8 of 13 pages
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Prior to the Merger, Ms. Hojel was also the president and secretary and sole
director of each the Merged Companies and GHA.
During the last five years, neither SFI nor Ms. Hojel nor any of SFI's
managing general partners has been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors) or has been a party to a
civil proceeding of a judicial or administrative body and as a result of such
proceeding was or is subject to any judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to,
federal or state securities laws or finding any violations with respect to such
laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
On December 26, 1996, Hook Financial Inc., an exempted company
organized under the laws of the Cayman Islands ("Hook Financial"), which
continued to Delaware on December 31, 1996, to become HKFI LLC, a Delaware
limited liability company (and subsequently changed its name to Hook
Investments LLC on January 24, 1997), transferred all of its assets, including
all of the shares of Common Stock beneficially owned by Hook Financial, to SFI.
Each of RCH, LHZ, MAH and GHA expended $1,000 of their own working
capital to acquire their respective managing general partner interest in SFI.
Ms. Hojel expended $1,000 of her personal funds ($4,000 in the
aggregate) to purchase all of the outstanding shares of capital stock of each
of RCH, LHZ, MAH and GHA.
ITEM 4. PURPOSE OF TRANSACTION.
The transaction facilitated the ownership and management of certain
assets of the Hojel family.
Except as set forth in this Schedule 13D, none of RCH, LHZ or MAH had
prior to the Merger, and none of GHA, SFI or Ms. Hojel has currently any
present plans or intentions which would result in or relate to any of the
transactions described in subparagraphs (a) through (j) of Item 4 to Schedule
13D.
ITEM 5. INTEREST IN SECURITIES OF THE INVESTOR.
On December 26, 1996, each of RCH, LHZ, MAH, GHA, SFI and Ms. Hojel
beneficially owned an aggregate of 1,756,919 shares of Common Stock,
approximately 21.1% of the 7,611,604 shares outstanding (as reported in the
Company's Form 10-Q for the quarterly period ended September 30, 1996). On
December 26, 1996, RCH, LHZ, MAH, GHA, SFI and Ms. Hojel shared voting power
and the power to dispose or direct the disposition of such 1,756,919 shares of
Common Stock. Except as described herein, there have been no acquisitions
Page 9 of 13 pages
<PAGE> 10
of shares of Common Stock during the past sixty (60) days by RCH, LHZ, MAH,
GHA, SFI, Ms. Hojel, the executive officers and directors of RCH, LHZ, MAH or
GHA, or the managing general partners of SFI.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Pursuant to the terms and provisions of a Common Stock Purchase
Agreement dated March 29, 1993 (the "1993 Purchase Agreement"), SFI has the
right, in the event the Company fails to maintain a Board of Directors with at
least nine authorized members, to sell 285,714 shares of Common Stock and an
additional 285,714 shares of Common Stock acquired upon the exercise of certain
warrants back to the Company, if the Company is then legally able to effect a
repurchase, at the then market price of Common Stock.
Pursuant to the terms and provisions of an Omnibus Agreement dated as
of August 22, 1995 (i) in the event that the Company shall sell any of its
Common Stock, or securities convertible into Common Stock, or grant certain
options for the purchase of Common Stock, SFI shall have the right to purchase
that amount of the particular securities being issued, on the same terms and
conditions as the remainder of the issuance, as will cause SFI's voting power
in the Company immediately after such issuance to be not less than such voting
power immediately prior to such issuance, and (ii) as long as SFI has at least
one designee on the Company's Board of Directors, the Company shall use its
best efforts to cause a designee of SFI to be appointed to the Company's five-
person Executive Committee.
The foregoing is a summary of certain provisions of the 1993 Purchase
Agreement and the Omnibus Agreement and is qualified by and subject to the more
complete information contained in the 1993 Purchase Agreement filed as Exhibit
2 hereto and the Omnibus Agreement filed as Exhibit 3 hereto, respectively.
Page 10 of 13 pages
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ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit 1 - Joint Filing Agreement between SFI Intermediate Ltd.,
Phyllis S. Hojel, GHA 1 Holdings, Inc., GHA 1 Holdings,
Inc., as successor to RCH 1 Holdings, Inc., GHA 1
Holdings, Inc., as successor to LHZ 1 Holdings, Inc. and
GHA 1 Holdings, Inc., as successor to MAH 1 Holdings,
Inc.
Exhibit 2 - Common Stock Purchase Agreement, dated March 29, 1993,
which includes a form of warrant (incorporated by
reference to the Company's Current Report on Form 8-K
dated March 31, 1993 (File No. 0-13406)).
Exhibit 3 - Omnibus Agreement, dated as of August 22, 1995, by and
among the Company, Domaines Barons de Rothschild
(Lafite) and Summus, which includes a form of Warrant
(incorporated by reference to Appendix I to the
Company's Proxy Statement dated October 4, 1995 (File
No. 0-13406)).
Page 11 of 13 pages
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SIGNATURE
After reasonable inquiry and to the best of their knowledge and
belief, the undersigned certify that the information set forth in this
statement is true, complete and correct.
Date: January 29, 1997
GHA 1 HOLDINGS, INC., successor to
RCH 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
GHA 1 HOLDINGS, INC., successor to
LHZ 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
GHA 1 HOLDINGS, INC., successor to
MAH 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
GHA 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
Page 12 of 13 pages
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SFI INTERMEDIATE LTD.
By: GHA 1 HOLDINGS, INC.
General Partner
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
/s/ Phyllis S. Hojel
-----------------------------------------
Phyllis S. Hojel
Page 13 of 13 pages
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INDEX TO EXHIBITS
Exhibit 1 - Joint Filing Agreement between SFI Intermediate Ltd.,
Phyllis S. Hojel, GHA 1 Holdings, Inc., GHA 1 Holdings,
Inc., as successor to RCH 1 Holdings, Inc., GHA 1
Holdings, Inc., as successor to LHZ 1 Holdings, Inc. and
GHA 1 Holdings, Inc., as successor to MAH 1 Holdings,
Inc.
Exhibit 2 - Common Stock Purchase Agreement, dated March 29, 1993,
which includes a form of warrant (incorporated by
reference to the Company's Current Report on Form 8-K
dated March 31, 1993 (File No. 0-13406)).
Exhibit 3 - Omnibus Agreement, dated as of August 22, 1995, by and
among the Company, Domaines Barons de Rothschild
(Lafite) and Summus, which includes a form of Warrant
(incorporated by reference to Appendix I to the
Company's Proxy Statement dated October 4, 1995 (File
No. 0-13406)).
<PAGE> 1
EXHIBIT 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(f) of the Securities Exchange Act of
1934, as amended, the undersigned agree to the joint filing on behalf of each
of them a Statement on Schedule 13D (including any and all amendments thereto)
with respect to the Common Stock of The CHALONE Wine Group, Ltd. and further
agree that this Agreement shall be included as an Exhibit to such joint
filings.
The undersigned further agree that each party hereto is responsible
for the timely filing of such Statement on Schedule 13D and any amendments
thereto, and for the completeness and accuracy of the information concerning
such party contained therein; provided that no party is responsible for the
completeness or accuracy of the information concerning the other party, unless
such party knows or has reason to believe that such information is inaccurate.
This Agreement may be executed in one or more counterparts, each of
which shall be deemed to be an original instrument, but all of such
counterparts together shall constitute but one agreement.
In evidence thereof the undersigned, being duly authorized, hereby
execute this Agreement this 29 day of January, 1997.
GHA 1 HOLDINGS, INC., successor to
RCH 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
GHA 1 HOLDINGS, INC., successor to
LHZ 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
Page 1 of 2 pages
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GHA 1 HOLDINGS, INC., successor to
MAH 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
GHA 1 HOLDINGS, INC.
By: /s/ Phyllis S. Hojel
------------------------------
Phyllis S. Hojel
President and Secretary
SFI INTERMEDIATE LTD.
By: GHA 1 HOLDINGS, INC.
General Partner
By: /s/ Phyllis S. Hojel
-----------------------
Phyllis S. Hojel
President and Secretary
/s/ Phyllis S. Hojel
----------------------------------
Phyllis S. Hojel
Page 2 of 2 pages
