<PAGE> 1
SCHEDULE 13D
(RULE 13d-101)
Information to be Included in Statements Filed Pursuant to Rule 13d-1(a) and
Amendments Thereto Filed Pursuant to Rule 13d-2(a)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
Chart House Enterprises, Inc.
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(Name of Issuer)
Common Stock, par value $.01 per value
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(Title of Class of Securities)
160902102
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(CUSIP Number)
JOSEPH M. PAOLUCCI, EQUITY GROUP INVESTMENTS, L.L.C.
Two N. Riverside Plaza, Suite 600, Chicago, IL 60606 (312) 466-3885
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(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
June 14, 2000
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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(e), 13d-1(f) or 13d-1(g), check the
following box / /.
Note: Schedules filed in paper format shall include a signed original
and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for
other parties to whom copies are to be sent.
*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 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).
Page 1 of 12
<PAGE> 2
CUSIP NO. 160902102 13D PAGE 2 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
Samstock, L.L.C.
36-4156890
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
WC
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
NUMBER OF
3,959,429 (1)
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
763,800
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,195,629 (1)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,959,429 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
33.6%
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14 TYPE OF REPORTING PERSON (See Instructions)
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
<PAGE> 3
CUSIP NO. 160902102 13D PAGE 3 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
Samstock/ZFT, L.L.C.
36-3022976
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
NUMBER OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,195,629 (1)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,195,629 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
27.1%
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14 TYPE OF REPORTING PERSON (See Instructions)
00
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*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
<PAGE> 4
CUSIP NO. 160902102 13D PAGE 4 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
F. Philip Handy, Trustee of Blaine Trust
59-6963521
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
00
--------------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Florida
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7 SOLE VOTING POWER
NUMBER OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,195,629 (1)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,195,629 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
27.1%
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14 TYPE OF REPORTING PERSON (See Instructions)
00
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
<PAGE> 5
CUSIP NO. 160902102 13D PAGE 5 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
MelChart, L.L.C.
36-4183204
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Illinois
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7 SOLE VOTING POWER
NUMBER OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,195,629 (1)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,195,629 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
27.1%
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14 TYPE OF REPORTING PERSON (See Instructions)
OO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
<PAGE> 6
CUSIP NO. 160902102 13D PAGE 6 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
F. Philip Handy
###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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7 SOLE VOTING POWER
NUMBER OF
3,245
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
20,000 (2)
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
3,245
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,215,629 (1)(2)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,218,874 (1)(2)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
27.3%
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14 TYPE OF REPORTING PERSON (See Instructions)
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
(2) Includes 20,000 shares held by the Handy Family Partnership, a family
limited partnership, which Mr. Handy is deemed to beneficially own through its
corporate general partner. Pursuant to Rule 13d-4, Mr. Handy disclaims
beneficial ownership with respect to 19,800 of such shares that are attributable
to the limited partners of the Handy Family Partnership.
<PAGE> 7
CUSIP NO. 160902102 13D PAGE 7 OF 12 PAGES
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1 NAMES OF REPORTING PERSONS/I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
Samstock/Alpha, L.L.C.
36-3002855
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (See Instructions)
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
NUMBER OF
SHARES -----------------------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH -----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
PERSON -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
3,195,629 (1)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,195,629 (1)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
27.1%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
(1) Includes 3,195,629 shares owned by all members of the group, in the
aggregate. This filing shall not be construed as an admission that such
reporting person is the beneficial owner of all such shares.
<PAGE> 8
ONLY THOSE ITEMS AMENDED ARE REPORTED HEREIN.
CAPITALIZED TERMS NOT OTHERWISE DEFINED HEREIN SHALL
HAVE THE SAME MEANING AS THEY HAVE IN THE
SCHEDULE 13D AND AMENDMENTS THERETO.
Item 3. Source and Amount of Funds or Other Consideration
Item 3. is hereby amended to add the following:
On the dates listed, Samstock purchased the following shares in the
open market for the total consideration listed next to the number of
shares:
TOTAL CONSIDERATION
DATE NUMBER OF SHARES (INCLUSIVE OF COMMISSIONS)
---- ---------------- --------------------------
2/16/00 1,000 $ 6,070.00
3/21/00 100 507.00
3/22/00 200 1,014.00
3/23/00 2,600 13,182.00
3/31/00 25,000 132,792.50
4/05/00 49,500 275,715.00
4/14/00 20,000 105,150.00
4/17/00 5,000 25,350
6/13/00 22,600 119,944.98
6/14/00 103,000 599,460.00
All of the above purchases were paid from Samstock's working capital.
Item 5. Interest in Securities of the Issuer
Item 5. is hereby amended to add the following:
(a) and (b) To the best knowledge of the Stockholders, there are
11,787,720 shares of Common Stock issued and outstanding as of the
date hereof, as reported by the Issuer in its Form 10Q for the quarter
ended March 27, 2000. As of the date hereof, the 3,195,629 shares of
Common Stock owned in the aggregate by the Stockholders, and as to
which they share dispositive power, represent approximately 27.1% of
the Common Stock issued and outstanding. Such Common Stock is held as
follows:
HOLDERS SHARES
------- ------
Samstock 1,891,522
Samstock/ZFT 705,808
Samstock/Alpha 198,203
FPH Trustee 197,879
MelChart 202,217
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TOTAL: 3,195,629
=========
In addition to the 3,195,629 shares of Common Stock beneficially owned
in the aggregate by the Stockholders, Samstock owns an additional
763,800 shares of Common Stock. Accordingly, Samstock has sole voting
and dispositive power with respect to 3,959,429 and 763,800 shares,
respectively, and shared dispositive power with respect to 3,195,629
shares of Common Stock. The 3,959,429 shares of Common Stock
beneficially owned by Samstock represent approximately 33.6% of the
Common Stock issued and outstanding.
Page 8 of 12
<PAGE> 9
In addition to the 3,195,629 shares of Common Stock beneficially owned
in the aggregate by the Stockholders, F. Philip Handy is deemed to
beneficially own 3,245 shares and 20,000 shares personally and as the
sole owner of the corporate general partner of the Handy Family
Partnership, respectively. Accordingly, Mr. Handy has sole voting and
dispositive power with respect to 3,245 shares and has shared voting
and dispositive power with respect to 20,000 and 3,215,629 shares,
respectively. The 3,218,874 shares of Common Stock beneficially owned
by Mr. Handy, represent approximately 27.3% of the Common Stock issued
and outstanding. Pursuant to 13d-4, Mr. Handy disclaims beneficial
ownership of 19,800 shares that are attributable to the limited
partners of the Handy Family Partnership.
Subject to the limitations of the Second Amended Standstill, pursuant
to an Amended Stockholders' Agreement, Samstock has the sole power to
vote or to direct the vote of the 3,195,629 shares of Common Stock
owned in the aggregate by the Stockholders. Each Stockholder has the
power to dispose of or to direct the disposition of such Stockholder's
shares of Common Stock subject to certain limitations under the
Amended Stockholders' Agreement attached as Exhibit 2.4 to Amendment
Number 6 to Schedule 13D.
As of the date hereof, neither the Stockholders, nor to the best
knowledge of the Stockholders any of the reporting group members or
any of the persons listed in Appendix A to the Schedule 13D, owns any
shares of Common Stock other than shares of Common Stock owned by the
Stockholders, as described herein, of which one or more of such other
persons may be deemed to have beneficial ownership pursuant to Rule
13d-3 of the Exchange Act, and except as follows: (i) Samuel Zell
beneficially owns 719 shares of Common Stock and options to purchase
2,500 shares; and (ii) Richard Melman as trustee of the Melman Trust
beneficially owns 43,478 shares of Common Stock.
(c) During the last 60 days, the only transactions in the Common Stock
effected by the Stockholders, or to the best knowledge of the
Stockholders, by any of the reporting group members or the persons
listed in Appendix A to the Schedule 13D were the following:
On the dates listed, Samstock purchased the following shares in the
open market at the per share price listed next to the number of
shares:
DATE NUMBER OF SHARES PRICE PER SHARE
---- ---------------- ---------------
2/16/00 1,000 $6.000
3/21/00 100 5.0000
3/22/00 200 5.0000
3/23/00 2,600 5.0000
3/31/00 25,000 5.2417
4/05/00 49,500 5.5000
4/14/00 20,000 5.1875
4/17/00 5,000 5.000
6/13/00 22,600 5.2373
6/14/00 103,000 5.75
Page 9 of 12
<PAGE> 10
SIGNATURES
After reasonable inquiry, and the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
DATED: June 29, 2000.
SAMSTOCK, L.L.C.
By: /s/ Donald J. Liebentritt
----------------------------
Its: Vice President
SAMSTOCK/ZFT, L.L.C.
By: /s/ Donald J. Liebentritt
----------------------------
Its: Vice President
SAMSTOCK/ALPHA, L.L.C.
By: /s/ Donald J. Liebentritt
----------------------------
Its: Vice President
/s/ F. Philip Handy
-------------------
F. Philip Handy
/s/ F. Philip Handy
-------------------
F. Philip Handy, as Trustee of the Blaine Trust
Page 10 of 12
<PAGE> 11
ALPHABET PARTNERS
By: /s/ Donald J. Liebentritt
----------------------------
Donald J. Liebentritt, as vice president of
Chai Trust Company, as trustee of SZ Kellie
Trust, as general partner of Alphabet
Partners
ZFT PARTNERSHIP
By: /s/ Donald J. Liebentritt
----------------------------
Donald J. Liebentritt, as vice president of
Chai Trust Company, as trustee of ZFT Kellie
Trust, as general partner of ZFT Partnership
SAMSTOCK/ALPHA, L.L.C.
By: /s/ Donald J. Liebentritt
----------------------------
Its: Vice President
MELCHART, L.L.C.
By: /s/ Richard Melman
----------------------------
Richard Melman, its manager, by Michael E.
Fox under Power of Attorney
Page 11 of 12
<PAGE> 12
EXHIBIT INDEX
EXHIBIT NUMBER
DESCRIPTION
-----------
1 Stock Purchase and Sale Agreement, dated as of March 10, 1997*
1.1 Distribution and Contribution Agreement, dated as of October 1,
1997*
1.2 Stock Purchase and Sale Agreement, dated as of October 1, 1997
(MelChart)*
1.3 Stock Purchase and Sale Agreement, dated as of October 1, 1997
(Rivera)*
2 Standstill Agreement, dated as of March 10, 1997*
2.1 Amended and Restated Standstill Agreement, dated as of October
1, 1997*
2.2 Stockholders' Agreement, dated as of October 1, 1997*
2.3 Second Amended and Restated Standstill Agreement, dated as of
March 31, 1999*
2.4 Amended and Restated Stockholders' Agreement, dated as of March
31, 1999*
2.5 EGI - Chart House Joinder dated as of December 10, 1999*
3 Option Agreement, dated as May 12, 1997*
3.1 Amended and Restated Option Agreement, dated as of October 1,
1997*
3.2 Second Amended and Restated Option Agreement, dated as of
December 10, 1999*
4 Share letter, dated July 29, 1997*
* Previously filed.
Page 12 of 12
