UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
THE JOCKEY CLUB, INC.
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(Name of Issuer)
Common Stock, no par value
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(Title of Class of Securities)
477731103
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(CUSIP Number)
James W. Giddens, solely in his with a copy James B. Kobak, Jr.
capacity as trustee for the to: Hughes Hubbard & Reed LLP
liquidation of the business of One Battery Park Plaza
A.R. Baron & Co., Inc. New York, New York 10004-1482
P.O. Box 359 212-837-6000
Bowling Green Station
New York, New York 10274
212-425-3005
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
April 9, 1997
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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 |_|.
Check the following box if a fee is being paid with this statement |_|. (A fee
is not required only if the filing person: (1) has a previous statement on file
reporting beneficial ownership of more than five percent of the class of
securities described in Item 1, and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7).
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Note: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for the 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 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>
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CUSIP NO. 477731103 13D PAGE 3 OF 5 PAGES
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James W. Giddens, solely in his capacity as trustee under SIPA
pursuant to the court order described herein.
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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*
00
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5 CHECK BOX 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
United States of America
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7 SOLE VOTING POWER
233,500 shares
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0 shares
OWNED BY ----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 233,500 shares
WITH ----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0 shares
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
233,500 shares
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.0%
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14 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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This Amendment No. 1 amends and supplements the Schedule 13D filed on August 27,
1996 (the "Schedule 13D") by James W. Giddens, solely in his capacity as trustee
under SIPA, with respect to the Common Stock of the Issuer. All capitalized
terms used in this Amendment and not otherwise defined herein have the meaning
set forth in the Schedule 13D.
Item 5. INTEREST IN SECURITIES OF THE ISSUER
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(a) The Trustee believes that, for the purposes of Rule 13d-3(a) under the Act,
as of June 4, 1999, he was the beneficial owner of a total of 233,500 Shares of
Common Stock representing approximately 9.0% of the total outstanding Shares of
Common Stock (based on the Issuer's most recent filing with the Securities and
Exchange Commission).
(b) The Trustee believes he has the sole power to vote and direct the vote, and
the sole power to dispose or direct the disposition, of the Shares.
(c) Since the filing of the Schedule 13D on August 27, 1996, with respect to the
Common Stock, the Trustee has effected the following acquisitions which he
believes may constitute a material change in beneficial ownership under Rule
13d-2(a):
i. On April 9, 1997, the Trustee received 66,000 shares of Common Stock
from Patrick and Eric DeCavignac in settlement of a SIPA claim.
ii. On April 14, 1997, the Trustee received 92,500 shares of Common Stock
from Patrick DeCavignac in settlement of a SIPA claim.
iii. On July 21, 1997 received 75,000 Pledged Shares of Common Stock of
Eric Broadley in satisfaction of the Secured Demand Note.
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SIGNATURES
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: June 4, 1999
By: /S/ JAMES W. GIDDENS
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James W. Giddens, solely as trustee
pursuant to a court order dated
July 11, 1996
