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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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AMENDMENT NO. 3
TO
SCHEDULE 13E-3
RULE 13E-3 TRANSACTION STATEMENT
(PURSUANT TO SECTION 13(E) OF THE SECURITIES EXCHANGE ACT OF 1934)
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ROCKEFELLER CENTER PROPERTIES, INC.
(NAME OF THE ISSUER)
THE GOLDMAN SACHS GROUP, L.P., WHITEHALL STREET REAL ESTATE LIMITED PARTNERSHIP
V
AND ROCKEFELLER CENTER PROPERTIES, INC.
(NAME OF PERSON(S) FILING STATEMENT)
COMMON STOCK, PAR VALUE $.01 PER SHARE
(TITLE OF CLASS OF SECURITIES)
773102 10 8
(CUSIP NUMBER OF CLASS OF SECURITIES)
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RICHARD M. SCARLATA DANIEL M. NEIDICH
ROCKEFELLER CENTER PROPERTIES, INC. GOLDMAN, SACHS & CO.
1270 AVENUE OF THE AMERICAS - 24TH FLOOR 85 BROAD STREET
NEW YORK, NY 10020 NEW YORK, NEW YORK 10004
(212) 698-1440 (212) 902-1000
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(Names, Addresses and Telephone Numbers of Persons Authorized to Receive Notices
and
Communications on Behalf of Persons Filing Statement)
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COPIES TO:
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JOSEPH SHENKER ROBERT B. SCHUMER JONATHAN JEWETT
SULLIVAN & CROMWELL PAUL, WEISS, RIFKIND, WHARTON SHEARMAN & STERLING
250 PARK AVENUE & GARRISON 599 LEXINGTON AVENUE
NEW YORK, NY 10177 1285 AVENUE OF THE AMERICAS NEW YORK, NY 10022
(212) 558-4000 NEW YORK, NY 10019 (212) 848-4000
(212) 373-3000
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This Statement is filed in connection with (check the appropriate box):
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a. /X/ The filing of solicitation materials or an information statement subject to Regulation 14A
[17CFR 240.14a-1 to 240.14b-1], Regulation 14C [17 CFR 240.14c-1 to 240.14c-101] or Rule
13e-3(c) [Sec. 240.13e-3(c)] under the Securities Exchange Act of 1934.
b. / / The filing of registration statement under the Securities Act of 1933.
c. / / A tender offer.
d. / / None of the above.
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Check the following box if the soliciting materials or information statement
referred to in checking box (a) are preliminary copies: /X/
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Transaction valuation* Amount of Filing Fee
$306,085,632 $61,218
/X/ Check box if any part of the fee is offset as provided by Rule 0-11 (a)(2) and identify the
filing with which the offsetting fee was previously paid. Identify the previous filing by
registration statement number, or the form or schedule and the date of its filing.
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Amount Previously Paid: $61,218
Form or Registration No.: Schedule 14A
Filing Party: Rockefeller Center Properties, Inc.
Date Filed: December 15, 1995
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* For purposes of calculating fee only. This amount assumes the purchase of
38,260,704 shares of Common Stock at $8.00 per share. The amount of the filing
fee, calculated in accordance with Rule 0-11 promulgated under the Securities
Exchange Act of 1934, as amended, equals 1/50 of one percent of the value of
the Common Stock to be acquired.
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This joint Transaction Statement (this "Statement") is being filed with the
Securities and Exchange Commission by Rockefeller Center Properties, Inc., a
Delaware corporation ("RCPI"), The Goldman Sachs Group, L.P., a Delaware limited
partnership ("GS Group"), and Whitehall Street Real Estate Limited Partnership
V, a Delaware limited partnership, ("Whitehall"), in connection with the filing
under the Securities Exchange Act of 1934, as amended, of a Proxy Statement.
This Statement relates to the proposed approval and adoption of an Agreement
and Plan of Merger dated as of November 7, 1995 (as amended as of February 12,
1996 and as it may be further amended from time to time, the "Merger Agreement")
entered into by RCPI with Whitehall, Rockprop, L.L.C., David Rockefeller, Exor
Group S.A., Troutlet Investments Corporation (collectively, the "Investors"),
RCPI Holdings Inc. ("Holdings") and RCPI Merger Inc.
To effect the transactions contemplated by the Merger Agreement, the
Investors have organized Holdings and own all of the outstanding capital stock
of Holdings. Upon the terms and subject to the conditions of the Merger
Agreement, Holdings will be merged into RCPI (the "Merger") and will cease to
exist. RCPI will be the surviving corporation in the Merger, thus becoming
wholly owned by the Investors and their designees. If the Merger is consummated,
each share, par value $0.01 per share, of common stock of RCPI (a "Share")
outstanding immediately prior to the Merger, except for the Excluded Shares
referred to below, will be canceled and automatically converted into the right
to receive $8.00 per Share net to the holder in cash, without interest.
"Excluded Shares" means (i) Shares held by RCPI or any of its subsidiaries as
treasury shares, if any, (ii) Shares held by Holdings or any of its
subsidiaries, if any, and (iii) Shares held by stockholders who have not voted
in favor of the Merger or consented thereto in writing and who have properly
demanded in writing appraisal of such Shares in accordance with Section 262 of
the Delaware General Corporation Law.
Pursuant to General Instruction F to Schedule 13E-3, the information
indicated below as contained in the Proxy Statement is hereby incorporated by
reference in answer to the items of this Statement. Where substantially
identical information required by Schedule 13E-3 is included under more than one
caption, reference is made to only one caption of the Proxy Statement.
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CROSS REFERENCE SHEET
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ITEM OF SCHEDULE 13E-3 LOCATION IN PROXY STATEMENT (INCORPORATED HEREIN BY REFERENCE)
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ITEM 1. ISSUER AND CLASS OF SECURITY SUBJECT TO THE TRANSACTION.
(a)................................. "Introduction -- General"; "The Parties -- RCPI".
(b)................................. "Introduction -- General"; "Market Prices and Dividends on RCPI Common
Stock".
(c)................................. "Market Prices and Dividends on RCPI Common Stock".
(d)................................. "Market Prices and Dividends on RCPI Common Stock".
(e)................................. Not applicable.
(f)................................. "Transactions by Certain Persons in Shares"; "Special Factors--Background
of the Merger".
ITEM 2. IDENTITY AND BACKGROUND.
This Schedule 13E-3 is being filed by RCPI, the issuer of the class of equity securities which is the subject
of this Rule 13e-3 transaction, GS Group and Whitehall.
(a) - (d)........................... "The Parties"; "Schedule I"; "Schedule II"; "Schedule III"; "Schedule
IV".
(e) - (f)........................... None of RCPI, GS Group nor any other person listed in Schedule I, II, III
or IV of the Proxy Statement during the past five years (i) has been
convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors) or (ii) was a party to a civil proceeding of a
judicial or administrative body of competent jurisdiction and as a
result of such proceeding was or is subject to a judgment, decree or
final order enjoining further violation of, or prohibiting activities
subject to, federal or state securities laws or finding any violation of
such laws.
(g)................................. "Schedule I"; "Schedule II"; "Schedule III"; "Schedule IV".
ITEM 3. PAST CONTACTS, TRANSACTIONS OR NEGOTIATIONS.
(a)(1).............................. "Special Factors -- Background of the Merger".
(a)(2).............................. "Special Factors -- Background of the Merger"; "Special Factors --
Interest of Certain Persons in the Merger"; "The Merger -- The Merger
Agreement"; "The Merger -- The Rights Offering Agreement".
(b)................................. "Special Factors -- Background of the Merger"; "Special Factors --
Interest of Certain Persons in the Merger"; "The Merger -- The Merger
Agreement"; "The Merger -- The Rights Offering Agreement".
ITEM 4. TERMS OF THE TRANSACTION.
(a)................................. "The Merger -- The Merger Agreement"; "The Merger -- Source and Amount of
Funds"; "The Merger -- The Rights Offering Agreement"; "Special Factors
-- Borrower's Chapter 11 Case".
(b)................................. Not applicable.
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ITEM OF SCHEDULE 13E-3 LOCATION IN PROXY STATEMENT (INCORPORATED HEREIN BY REFERENCE)
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ITEM 5. PLANS OR PROPOSALS OF THE ISSUER OR AFFILIATE.
(a) - (e)........................... "Special Factors -- Plans for RCPI After the Merger"; "Special Factors --
Certain Effects of the Merger"; "Special Factors -- Interest of Certain
Persons in the Merger"; "The Merger -- The Merger Agreement"; "Special
Factors -- Purpose and Structure of the Transaction"; "Special Factors
-- Reasons for the Transaction"; "The Merger -- The Rights Offering
Agreement".
(f) - (g)........................... "Special Factors -- Certain Effects of the Merger".
ITEM 6. SOURCES AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
(a)................................. "Special Factors -- Background of the Merger"; "The Merger -- Source and
Amount of Funds"; "Introduction -- Solicitation of Proxies".
(b)................................. "Special Factors -- Fees and Expenses".
(c)................................. Not applicable.
(d)................................. Not applicable.
ITEM 7. PURPOSES, ALTERNATIVES, REASONS AND EFFECTS.
(a) - (c)........................... "Special Factors -- Background of the Merger"; "Special Factors --
Purpose and Structure of the Transaction"; "Special Factors -- Reasons
for the Transaction"; "Special Factors -- Recommendation of the Board".
(d)................................. "Special Factors -- Background of the Merger"; "Special Factors -- Plans
for RCPI After the Merger"; Special Factors -- Certain Effects of the
Merger"; "The Merger -- The Merger Agreement"; "The Merger -- The Rights
Offering Agreement"; "Certain United States Federal Income Tax
Consequences of The Merger"; "Special Factors -- Purpose and Structure
of the Transaction"; "Special Factors -- Reasons for the Transaction".
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ITEM OF SCHEDULE 13E-3 LOCATION IN PROXY STATEMENT (INCORPORATED HEREIN BY REFERENCE)
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ITEM 8. FAIRNESS OF THE TRANSACTION.
(a) - (e)........................... "Introduction -- Voting Rights and Proxy Information"; "Special Factors
-- Background of the Merger"; "Special Factors -- Purpose and Structure
of the Transaction"; "Special Factors -- Reasons for the Transaction";
"Special Factors -- Recommendation of the Board"; "Special Factors --
Fairness of the Merger"; "Special Factors -- Opinion of PaineWebber".
(f)................................. "Special Factors -- Background of the Merger".
ITEM 9. REPORTS, OPINIONS, APPRAISALS AND CERTAIN NEGOTIATIONS.
(a) - (c)........................... "Special Factors -- Background of the Merger"; "Special Factors --
Opinion of PaineWebber"; "Special Factors -- The Douglas Elliman 1994
Appraisal; The Weitzman Concurrence Report"; "Annex C"; "Available
Information" .
ITEM 10. INTEREST IN SECURITIES OF THE ISSUER.
(a)................................. "Ownership of Common Stock"; Stephanie Leggett Young, Vice President and
Secretary of RCPI, owns two Shares, and Janet P. King, Vice President
and Treasurer of RCPI, owns no Shares.
(b)................................. "Special Factors -- Interest of Certain Persons in the Merger"; "The
Merger -- The Merger Agreement"; "Ownership of Common Stock";
"Transactions by Certain Persons in Shares".
ITEM 11. CONTRACTS, ARRANGEMENTS OF UNDERSTANDINGS WITH RESPECT TO THE ISSUER'S SECURITIES.
"Special Factors -- Background of the Merger"; "The Merger -- The Merger
Agreement"; "The Merger -- The Rights Offering Agreement"; "Special
Factors -- Plans for RCPI After the Merger".
ITEM 12. PRESENT INTENTION AND RECOMMENDATION OF CERTAIN PERSONS WITH REGARD TO THE TRANSACTION.
(a) - (b)........................... "Introduction -- Voting Rights and Proxy Information"; "Special Factors
-- Recommendation of the Board"; "Special Factors -- Vote of Directors
and Officers of RCPI".
ITEM 13. OTHER PROVISIONS OF THE TRANSACTION.
(a) - (b)........................... "Rights of Dissenting Stockholders"; "Annex D"; "Special Factors --
Fairness of the Merger".
(c)................................. Not applicable.
ITEM 14. FINANCIAL INFORMATION.
(a)................................. "Selected Financial Data of RCPI"; "Selected Financial Data of the
Property."
(b)................................. Not applicable.
ITEM 15. PERSONS AND ASSETS EMPLOYED, RETAINED OR UTILIZED.
(a) - (b)........................... "Introduction -- Solicitation of Proxies".
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ITEM OF SCHEDULE 13E-3 LOCATION IN PROXY STATEMENT (INCORPORATED HEREIN BY REFERENCE)
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ITEMS 16. ADDITIONAL INFORMATION.
The Proxy Statement and Annexes and Schedules attached thereto.
ITEM 17. MATERIAL TO BE FILED AS EXHIBITS.
(a)................................. Not applicable.
(b)................................. (1) Opinion of PaineWebber Incorporated, incorporated herein by reference
from "Annex C" of the Proxy Statement.
(2) Appraisal of Real Property of Douglas Elliman Appraisal and
Consulting Division.
(3) Concurrence Report of The Weitzman Group, Inc., on the Appraisal of
Real Property of Douglas Elliman Appraisal and Consulting Division.
(4) Presentation to the Board of Directors of RCPI prepared by
PaineWebber, Incorporated dated November 7, 1995.
(5) Presentation to the Board of Directors of RCPI prepared by
PaineWebber Incorporated dated December 18, 1994.
(6) Presentation to the Board of Directors of RCPI prepared by
PaineWebber Incorporated dated September 22, 1995.
(7) Presentation to the Board of Directors of RCPI prepared by
PaineWebber Incorporated dated October 28, 1995 for the Meeting of
the Board of Directors on October 20, 1995.
(c)................................. (1) Merger Agreement, incorporated herein by reference from "Annex A" of
the Proxy Statement.
(2) Rights Offering Agreement dated as of November 7, 1995 among RCPI,
Goldman, Sachs & Co. and Whitehall, incorporated herein by reference
from "Annex B" of the Proxy Statement.
(d)................................. Letter to Stockholders, Notice of Special Meeting of Stockholders of
RCPI, Proxy Statement of RCPI, Form of Proxy Card.
(e)................................. Section 262 of the Delaware General Corporation Law, incorporated herein
by reference from "Annex D" of the Proxy Statement.
(f)................................. Not applicable.
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SIGNATURES
After due 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.
Dated: February 14, 1996
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Rockefeller Center Properties, Inc. The Goldman Sachs Group, L.P.
By /s/ RICHARD M. SCARLATA By /s/ BARRY S. VOLPERT
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Name: Richard M. Scarlata Name: Barry S. Volpert
Title: President and Chief Title: General Partner
Executive Officer
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Whitehall Street Real Estate Limited Partnership V
By WH Advisors, L.P. V, General Partner
By WH Advisors, Inc. V, General Partner
By /s/ RALPH ROSENBERG
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Name: Ralph Rosenberg
Title: Vice President
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EXHIBIT INDEX
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EXHIBIT PAGE
NUMBER NO.
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(b)(1) Opinion of PaineWebber Incorporated, incorporated herein by reference from "Annex C" of the Proxy *
Statement.
(b)(2) Appraisal of Real Property of Douglas Elliman Appraisal and Consulting Division. +
(b)(3) Concurrence Report of The Weitzman Group, Inc., on the Appraisal of Real Property of Douglas +
Elliman Appraisal and Consulting Division.
(b)(4) Presentation to the Board of Directors of Rockefeller Center Properties, Inc., prepared by +
PaineWebber, Incorporated, dated November 7, 1995.
(b)(5) Presentation to the Board of Directors of Rockefeller Center Properties, Inc. prepared by +
PaineWebber, Incorporated, dated December 18, 1994.
(b)(6) Presentation to the Board of Directors of Rockefeller Center Properties, Inc. prepared by +
PaineWebber, Incorporated, dated September 22, 1995.
(b)(7) Presentation to the Board of Directors of Rockefeller Center Properties, Inc. prepared by +
PaineWebber, Incorporated, dated October 28, 1995 for the Meeting of the Board of Directors on
October 30, 1995.
(c)(1) Agreement and Plan of Merger dated as of November 7, 1995, as amended by Amendment No. 1 dated as *
of February 12, 1996, among Rockefeller Center Properties, Inc., Whitehall Street Real Estate
Partnership V, Rockprop, L.L.C., David Rockefeller, Exor Group S.A., Troutlet Investments
Corporation, RCPI Holdings Inc. and RCPI Merger Inc., incorporated herein by reference from
"Annex A" of the Proxy Statement.
(c)(2) Rights Offering Agreement dated as of November 7, 1995 among Rockefeller Center Properties, Inc., *
Goldman, Sachs & Co. and Whitehall Street Real Estate Limited Partnership V, incorporated herein
by reference from "Annex B" of the Proxy Statement.
(d) Letter to Stockholders, Notice of Special Meeting of Stockholders of Rockefeller Center *
Properties, Inc., Proxy Statement of Rockefeller Center Properties, Inc., Form of Proxy Card.
(e) Section 262 of the Delaware General Corporation Law, incorporated herein by reference from "Annex *
D" of the Proxy Statement.
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*Incorporated by Reference.
+Previously filed.
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