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OMB APPROVAL
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OMB Number 3235-0287
Expires: April 30, 1997
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject of Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person
Sullivan Fred R.
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(Last) (First) (Middle)
767 Fifth Avenue
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(Street)
New York NY 10153
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Richton International Corporation
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3. IRS or Social Security Number of Reporting Person (Voluntary)
###-##-####
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4. Statement for Month/Year
October 2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[ x ] Director [ x ] 10% Owner
[ x ] Officer (give title below) [ ] Other (specify below)
Chairman and CEO
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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Common Stock 1,643,197* I and D LLC and
Trustee
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*On October 24, 2000 FRS Capital Company, LLC exercised warrants covering
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236,250 shares. Since these warrants were previously reported this
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transaction did not result in a change in the number of shares beneficially
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owned.
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly
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FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially
Owned (e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
of Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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</TABLE>
Explanation of Responses: The aggregate of 1,643,197 shares beneficially owned
by Mr. Fred Sullivan at the end of October 2000, as shown in column 5 includes
(i) 40,000 shares acquired pursuant to and subject to restricted stock grants
dated December 1, 1998 and August 9, 1999 (of which 13,334 shares are now free
of restriction). (ii) 95,000 shares directly owned, (iii) 1,139,274 shares owned
by a Delware Limited Liability Company (including the 236,250 shares reported
herein) (iv) the shares underlying 100,000 warrants-also owned by such limited
liability company,(v) 208,923 shares of Common Stock owned by the Franc M.
Ricciardi Residuary Trust, of which Mr. Sullivan is sole trustee, and (vi)
options to acquire 60,000 shares of Common Stock. The foregoing aggregate number
of shares does not include (a) 407,000 shares owned by Fred A. Sullivan-Mr.
Sullivan's son, and (b) 27,000 shares owned by Mr. Sullivan's wife, as to each
of which Mr. Sullivan disclaims any beneficial ownership.
BY: /S/ Fred R. Sullivan November 8, 2000
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Fred R. Sullivan Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedures.
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