<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
INFORMATION TO BE INCLUDED IN STATEMENTS TO BE FILED PURSUANT TO RULE 13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
(Amendment No. )
Shaman Pharmaceuticals, Inc.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 par value per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
81931910
-------------------------------
(CUSIP Number)
Robert W. Scannell
Tradewinds Financial Corporation
591 Redwood Highway, Suite 2355
Mill Valley California 94941
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
November 20, 2000
-----------------------------------
(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. [X]
Note: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 13d-7 for other
parties to whom copies are to be sent.
(Continued on following pages)
Page 1 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
TRADEWINDS FINANCIAL CORPORATION
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 4,977,030
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 4,977,030
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,977,030
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO, IA
--------------------------------------------------------------------------------
Page 2 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
TRADEWINDS DEBT STRATEGIES FUND, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 4,977,030
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 4,977,030
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,977,030
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.3%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
Page 3 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
TRADEWINDS OFFSHORE FUND, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 4,759,161
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 4,759,161
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,759,161
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
Page 4 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
FEEHAN PARTNERS, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 2,464,500
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 2,464,500
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,464,500
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.6%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
Page 5 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ATLAS DEFINED CONTRIBUTION PLAN
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 666,988
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 666,988
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
666,988
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
EP
--------------------------------------------------------------------------------
Page 6 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ROBERT SCANNELL ROTH IRA
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 1,929,260
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 0
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 1,929,260
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,929,260
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
EP
--------------------------------------------------------------------------------
Page 7 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ROBERT W. SCANNELL
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 512,750
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 14,129,951
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 512,750
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 14,129,951
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,642,701
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN, HC
--------------------------------------------------------------------------------
Page 8 of 16
<PAGE>
CUSIP No. 81931910
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
SCOTT P. PETERS
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[X]
(b)[_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 3,987,560
-------------------------------------------------------------
SHARES SHARED VOTING POWER
8 10,403,179
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH SOLE DISPOSITIVE POWER
9 3,987,560
REPORTING -------------------------------------------------------------
PERSON WITH SHARED DISPOSITIVE POWER
10 10,403,179
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,390,739
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN, HC
--------------------------------------------------------------------------------
Page 9 of 16
<PAGE>
CUSIP No. 81931910
Item 1. Security and Issuer
-------------------
This statement on Schedule 13D (the "Statement") relates to the Common
Stock, $.001 par value per share (the "Shaman Common Stock") of Shaman
Pharmaceuticals, Inc., a Delaware corporation ("Shaman"). The principal
executive offices of Shaman are located at 213 East Grand Avenue, South San
Francisco, CA 94080.
Item 2. Identity and Background
-----------------------
(a) The names of the persons filing this Statement are Tradewinds
Financial Corporation, a California corporation ("Tradewinds"), Tradewinds Debt
Strategies Fund, L.P., a California limited partnership ("DSF"), Tradewinds
Offshore Fund, L.P., a Cayman Islands investment company ("TOF"), Feehan
Partners, L.P., a California limited partnership ("Feehan"), Atlas Defined
Contribution Plan ("Atlas"), Scott P. Peters ("Peters"), Robert W. Scannell Roth
IRA ("IRA") and Robert W. Scannell ("Scannell") (each is referred to as a
"Member" and collectively, the "Group").
(b) The principal business address of each Member of the Group is
located at 591 Redwood Highway, Suite 2355, Mill Valley, CA 94941.
(c) Tradewinds is in the business of investment management and is
registered as an investment adviser in the State of California. Peters and
Scannell each own 50% of the outstanding voting stock of Tradewinds. Peters is
also a director and the Executive Vice President and Secretary of Tradewinds.
Scannell is a director and the President of Tradewinds. DSF, TOF, and Feehan
are limited partnerships organized for the purpose of making investments.
Tradewinds, Peters and Scannell are the general partners of DSF. Peters and
Scannell are the general partners of TOF. Scannell is the sole general partner
of Feehan. Atlas is a contribution plan in California. Peters is the trustee
of Atlas. IRA is a retirement account in California. Scannell is the trustee
of IRA.
(d) During the last five years, none of the Members of the Group have
been convicted in a criminal proceeding (excluding traffic violations and
similar misdemeanors).
(e) During the last five years, none of the Members of the Group have
been 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
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, Federal or state securities laws or finding
any violation with respect to such laws.
(f) Tradewinds is a corporation organized under the laws of
California. DSF is a limited partnership organized under the laws of
California. TOF is an investment company organized under the laws of the Cayman
Islands. Feehan is a limited partnership organized under the laws of
California. Atlas is a trust organized in California. IRA is a Roth IRA
organized in California. Scannell is a citizen of the United States of America.
Peters is a citizen of the United States of America.
Page 10 of 16
<PAGE>
CUSIP No. 81931910
Item 3. Source and Amount of Funds or Other Consideration
-------------------------------------------------
Item 5(c) below includes a list of transactions and the amounts paid
by each Member of the Group in their acquisition of Shaman Common Stock.
DSF, TOF and Feehan are each private investment entities that pool
their respective participants' contributions. All funds used by DSF, TOF and
Feehan to acquire Shaman Common Stock came from working capital. All funds used
by Peters, Scannell, Atlas and IRA to acquire Shaman Common Stock came from
personal funds.
Item 4. Purpose of Transaction
----------------------
The purpose of the acquisition of the securities is for investment
purposes. Other than as discussed above in this Statement, neither the Group or
any of its Members currently have any plans or proposals which relate to or
would result in:
(a) the acquisition by any person of additional securities of Shaman,
or the disposition of securities of Shaman;
(b) any extraordinary corporate transaction, such as a merger,
reorganization or liquidation, involving Shaman or any of its
subsidiaries;
(c) a sale or transfer of a material amount of the assets of Shaman
or any of its subsidiaries;
(d) any change in the present Board of Directors or management of
Shaman, including any plans or proposals to change the number or
term of directors or to fill any existing vacancies on the Board
of Directors;
(e) any material change in the present capitalization or dividend
policy of Shaman;
(f) any other material change in Shaman=s business or corporate
structure;
(g) changes in Shaman=s charter, bylaws or instruments corresponding
thereto or other actions which may impede the acquisition of
control of Shaman by any person;
(h) causing a class of securities of Shaman to be delisted from a
national securities exchange or to cease to be authorized to be
quoted in an inter-dealer quotation system of a registered
national securities association;
(i) a class of equity securities of Shaman becoming eligible for
termination of registration pursuant to Section 12(g)(4) of the
Securities Exchange Act of 1934, as amended; or
(j) any action similar to any of those enumerated above.
Page 11 of 16
<PAGE>
CUSIP No. 81931910
The Group intends to evaluate continuously their investment in Shaman
and, based on such evaluation, may determine at a future date to change their
respective current positions as to any action enumerated above.
Item 5. Interest in Securities of the Issuer
------------------------------------
(a) The following percentages assume 94,776,205 shares of Shaman
Common Stock outstanding on November 13, 2000 (as provided by Robert Scannell,
Director of Shaman).
Any reference to "warrant" shall refer to warrants exercisable at any
time after April 30, 2000 and expiring on April 30, 2005 at a price of $0.15 per
share.
Tradewinds is the beneficial owner of 4,977,030 shares of Shaman
Common Stock. Of this amount, Tradewinds (i) is not a record owner of Shaman
Common Stock, and (ii) is the beneficial owner of 3,864,530 shares of Shaman
Common Stock and warrants to acquire an additional 1,112,500 shares of Shaman
Common Stock since Tradewinds is the general partner of DSF. This amount
represents approximately 5.3% of the outstanding shares of Shaman Common Stock.
DSF is the record and beneficial owner of 3,864,530 shares of Shaman
Common Stock and warrants to purchase an additional 1,112,500 shares of Shaman
Common Stock, which amount combined represents approximately 5.3% of the
outstanding shares of Shaman Common Stock.
TOF is the record and beneficial owner of 3,759,161 shares of Shaman
Common Stock and warrants to purchase an additional 1,000,000 shares of Shaman
Common Stock, which amount combined represents approximately 5% of the
outstanding shares of Shaman Common Stock.
Feehan is the record and beneficial owner of 1,957,833 shares of
Shaman Common Stock and warrants to purchase an additional 506,667 shares of
Shaman Common Stock, which amount combined represents approximately 2.6% of the
outstanding shares of Shaman Common Stock.
Atlas is the record and beneficial owner of 480,321 shares of Shaman
Common Stock and warrants to purchase an additional 186,667 shares of Shaman
Common Stock, which amount combined represents approximately 0.7% of the
outstanding shares of Shaman Common Stock.
IRA is the record and beneficial owner of 1,529,260 shares of Shaman
Common Stock and warrants to purchase an additional 400,000 shares of Shaman
Common Stock, which amount combined represents approximately 2% of the
outstanding shares of Shaman Common Stock.
Scannell is the beneficial owner of 14,642,701 shares of Shaman Common
Stock. Of this amount, Scannell (i) is the record owner of 512,750 shares of
Shaman Common Stock, and (ii) is the beneficial owner of an additional
11,110,784 shares of Shaman Common Stock and warrants to acquire an additional
3,019,167 shares of Shaman Common Stock since Scannell is a general partner of
Feehan, DSF and TOF and a trustee of IRA. The total amount of Shaman Common
Stock beneficially owned by Scannell represents approximately 15.4% of the
outstanding shares of Shaman Common Stock.
Peters is the beneficial owner of 14,390,739 shares of Shaman Common
Stock. Of this amount, Peters (i) is the record owner of 3,104,227 shares of
Shaman Common Stock and warrants to purchase an additional 883,333 shares of
Shaman Common Stock, and (ii) is the beneficial owner of an additional
Page 12 of 16
<PAGE>
CUSIP No. 81931910
8,104,012 shares of Shaman Common Stock and warrants to acquire an additional
2,299,167 shares of Shaman Common Stock since Peters is a general partner of
DSF and TOF and a trustee of Atlas. The total amount of Shaman Common Stock
beneficially owned by Scannell represents approximately 15.2% of the outstanding
shares of Shaman Common Stock.
The Group combined is the beneficial owner of 19,273,849 shares of
Shaman Common Stock, which amount represents approximately 20.3% of the
outstanding shares of Shaman Common Stock.
(b) See item 7, 8, 9 and 10 on the cover page for each Member for
information regarding sole voting power, shared voting power, sole dispositive
power and shared dispositive power.
(c) Set forth below is a schedule listing each Member of the Group,
date of transaction, nature of transaction, amount of Shaman Common Stock
involved and price per share of Shaman Common Stock since the last statement was
filed for the Members of the Group in March 2000 on Schedule 13G.
Feehan Partners, L.P.
---------------------
NONE
Tradewinds Offshore
-------------------
Fund, L.P.
----------
NONE
Tradewinds Debt
---------------
Strategies Fund, L.P.
---------------------
NONE
Robert Scannell
---------------
Roth IRA
--------
NONE
Atlas Defined
-------------
Contribution Plan
-----------------
NONE
Robert Scannell
---------------
November 12, 2000, Robert Scannell received warrants to purchase 486,750
Shares of Shaman Common Stock in consideration for a loan to Shaman.
Scott P. Peters
---------------
NONE
(d) No other person is known to have the right to receive or the power
to direct the receipt of dividends from, or the proceeds from the sale of,
Shaman Common Stock.
(e) Not applicable.
Page 13 of 16
<PAGE>
CUSIP No. 81931910
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
---------------------------------------------------------------------
to Securities of the Issuer
---------------------------
None. See Item 2 above.
Item 7. Materials to be Filed as Exhibits
---------------------------------
Exhibit 1 is attached hereto.
Page 14 of 16
<PAGE>
CUSIP No. 81931910
SIGNATURE
After reasonable 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: December 6, 2000
TRADEWINDS FINANCIAL CORPORATION
By: /s/ Robert Scannell
----------------------------------------------
Name: Robert Scannell
Title: President
TRADEWINDS DEBT STRATEGIES FUND, L.P.
By: /s/ Robert Scannell
----------------------------------------------
Name: Robert Scannell
Title: General Partner
TRADEWINDS OFFSHORE FUND, L.P.
By: /s/ Robert Scannell
----------------------------------------------
Name: Robert Scannel
Title: General Partner
Page 15 of 16
<PAGE>
CUSIP No. 81931910
FEEHAN PARTNERS, L.P.
By: /s/ Robert Scannell
----------------------------------------------
Name: Robert Scannell
Title: General Partner
ATLAS DEFINED CONTRIBUTION PLAN
By: /s/ Scott Peters
----------------------------------------------
Name: Scott Peters
Title: Trustee
ROBERT SCANNELL ROTH IRA
By: /s/ Robert Scannell
----------------------------------------------
Name: Robert Scannell
Title: Trustee
/s/ Robert Scannell
-------------------------------------------------
Robert W. Scannell
/s/ Scott Peters
-------------------------------------------------
Scott P. Peters
Page 16 of 16
