PAGE 1 OF 36 PAGES
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
LEUCADIA NATIONAL CORPORATION
--------------------------------------------------------------------------------
(NAME OF ISSUER)
COMMON SHARES, $1.00 PAR VALUE PER SHARE
--------------------------------------------------------------------------------
(TITLE OF CLASS OF SECURITIES
52-72885104
-----------
(CUSIP NUMBER)
THOMAS MORE GRIFFIN, ESQ.
GIBBONS, DEL DEO, DOLAN, GRIFFINGER & VECCHIONE
ONE PENNSYLVANIA PLAZA
37TH FLOOR
NEW YORK, NEW YORK 10119
(212) 649-4737
--------------------------------------------------------------------------------
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON
AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)
MAY 12, 2004
--------------------------------------------------------------------------------
(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 (Sections) 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g),
check the following box. [ ]
NOTE: Schedules filed in proper format shall include a singed original and
five copies of the schedule, including all exhibits. See (Section) 240.13d-7 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).
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 2 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Carl Marks & Co. Inc.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
WC, 00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 133,028
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
133,028
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Carl Marks & Co. Inc.: 133,028 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Carl Marks & Co. Inc.: .19% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IV
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 3 OF 36 PAGES
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1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Esther Davidoff
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 973,116
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
973,116
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Esther Davidoff: 973,116 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Esther Davidoff: 1.37% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 4 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert Davidoff
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 973,116
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
973,116
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Robert Davidoff: 973,116 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Robert Davidoff: 1.37% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 5 OF 36 PAGES
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1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Estate of Edwin S. Marks
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
PF, 00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Estate of Edwin S. Marks : -0- All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Estate of Edwin S. Marks: 0% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
00
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 6 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Nancy A. Marks
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
PF, 00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 1,072,404
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
1,072,404
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Nancy A. Marks: 1,072,404 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Nancy A. Marks: 1.51% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 7 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Nancy Marks 2003 GRAT
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 395,000
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
395,000
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Nancy Marks 2003 GRAT: 395,000 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Nancy Marks 2003 GRAT: .56% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
00
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 8 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Estate of Robert S. Boas
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Estate of Robert S. Boas: -0- All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Estate of Robert S. Boas: 0% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
00
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 9 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marjorie M. Boas
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 41,950
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
41,950
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Marjorie M. Boas: 41,950 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Marjorie M. Boas: .06% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 10 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marks Family Foundation
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 51,040
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
51,040
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Marks Family Foundation: 51,040 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Marks Family Foundation: .07% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
00
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 11 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Carl Marks Foundation
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 55,300
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
55,300
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Carl Marks Foundation: 55,300 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Carl Marks Foundation: .08% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
00
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 12 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Mark L. Claster
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 130,975
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
130,975
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Mark L. Claster: 130,975 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Mark L. Claster: .18% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 13 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Susan Claster
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 130,975
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
130,975
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Susan Claster: 130,975 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Susan Claster: .18% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 14 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Andrew M. Boas
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 206,695
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
206,695
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Andrew M. Boas: 206,695 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Andrew M. Boas: .29% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 15 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Carol Boas
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES -0-
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH 206,695
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
-0-
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
206,695
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Carol Boas: 206,695 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Carol Boas: .29% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
SCHEDULE 13
CUSIP NO. 52-72885104 PAGE 16 OF 36 PAGES
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON, S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard Boas, M.D.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(E) [ ]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
7. NUMBER OF SOLE VOTING POWER
SHARES 89,196
----- BENEFICIALLY ----------------------------------------------------------
8. OWNED BY SHARED VOTING POWER
EACH -0-
----- REPORTING ----------------------------------------------------------
9. PERSON WITH SOLE DISPOSITIVE POWER
89,196
----- ----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
Richard Boas, M.D.: 89,196 All Reporting Persons: 3,148,524
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Richard Boas, M.D.: .13% All Reporting Persons: 4.44%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 17 of 36 PAGES
This Amendment No. 2 ("Amendment No. 2") to the Schedule 13D dated
September 11, 1990 ("Schedule 13D") filed by the Reporting Persons amends and
supplements the Schedule 13D. All capitalized terms used herein and not
otherwise defined herein shall have the same meanings set forth in the Schedule
13D. The percentage of Common Shares owned by each Reporting Person contained in
this Amendment No. 2 is based upon 70,872,502 Common Shares outstanding on April
8, 2004, which number is reported in the Proxy Statement of the Company dated
April 15, 2004 for its annual stockholders' meeting to be held on May 11, 2004
("Proxy Statement").
ITEM 2. IDENTITY AND BACKGROUND.
Item 2 is hereby amended and supplemented as follows:
(a)-(b)(i) The names of the persons filing this Amendment No. 2 are: (1)
Carl Marks & Co. Inc., a New York corporation with its principal business and
offices at 900 Third Avenue, 33rd Floor, New York, New York 10022, (2) Esther
Davidoff, an individual who resides at 40 Stoner Avenue, Great Neck, New York
11021, (3) Robert Davidoff, an individual with offices at 900 Third Avenue, 33rd
Floor, New York, New York 10022, (4) Estate of Edwin S. Marks, an estate with an
address at c/o 900 Third Avenue, 33rd Floor, New York, New York 10022, (5) Nancy
A. Marks, an individual who resides at 15 Eagle Point Drive, Kings Point, New
York 11024, (6) Nancy Marks 2003 GRAT, a trust with an office at c/o 900 Third
Avenue, 33rd Floor, New York, New York 10022, (7) Estate of Robert S. Boas, an
estate with its address at c/o 900 Third Avenue, 33rd Floor, New York, New York
10022, (8) Marjorie M. Boas, an individual who resides at 269-17V Grand Central
Parkway, Floral Park, New York 11005, (9) Marks Family Foundation, a charitable
foundation with its principal business and offices at 900 Third Avenue, 33rd
Floor, New York, New York 10022, (10) Carl Marks Foundation, a charitable
foundation with its principal business and offices at 900 Third Avenue, 33rd
Floor, New York, NY 10022, (11) Mark L. Claster, an individual with offices at
900 Third Avenue, 33rd Floor, New York, New York 10022, (12) Susan Claster, an
individual who resides at One Hummingbird Drive, Roslyn, New York 11576, (13)
Andrew M. Boas, an individual with offices at 900 Third Avenue, 33rd Floor, New
York, New York 10022, (14) Carol Boas, an individual who resides at 74 South
Morningside Drive, Westport, Connecticut 06880, and (15) Richard Boas, M.D., an
individual who resides at 122 St. Johns Road, Wilton, Connecticut 06897 (the
entities and individuals listed in (1) through (15) above are sometimes
collectively referred to herein as the "Reporting Persons").
(ii) The names of the officers and directors of Carl Marks & Co., Inc. are
listed below and except as noted below the business address for each officer and
director of Carl Marks & Co. Inc. is 900 Third Avenue, 33rd Floor, New York,
New York 10022:
A. Mark L. Claster (Co-President, Assistant Secretary and Director)
B. Andrew M. Boas (Co-President and Director)
C. Robert Davidoff (Vice President)
D. Robert A. Speer (Chief Financial Officer, Secretary and Director)
PAGE 18 of 36 PAGES
E. David F. Shnitkin (Corporate Controller & Assistant Secretary)
F. Nancy A. Marks (Director)
G. Ernest Rubenstein (Director)
H. Martin D. Payson (Director). Address is 750 Lexington Avenue, 27th
Floor, New York, New York 10022.
I. Joseph S. Steinberg (Director). Address is 315 Park Avenue South, New
York, New York 10010.
(c) (i) The following information is provided as to the principal
occupations of Esther Davidoff, Robert Davidoff, Nancy A. Marks, Marjorie M.
Boas, Mark L. Claster, Susan Claster, Andrew M. Boas, Carol Boas, and Richard
Boas, M.D.:
A. Esther Davidoff is a homemaker.
B. Robert Davidoff is Vice President of Carl Marks & Co. Inc.
C. Nancy A. Marks is a homemaker and a Director of Carl Marks & Co. Inc.
D. Marjorie M. Boas is a homemaker.
E. Mark L. Claster is a Co-President and a Director of Carl Marks & Co.
Inc.
F. Susan Claster is a homemaker.
G. Andrew M. Boas is a Co-President and a Director of Carl Marks & Co.
Inc.
H. Carol Boas is a homemaker.
I. Richard Boas, M.D. is a retired doctor.
(ii) The principal business of Carl Marks & Co. Inc. is to invest in
various business entities.
(iii) The principal occupation of each officer of Carl Marks & Co. Inc.
involves his duties as an officer of Carl Marks & Co. Inc.
(iv) The principal business of the Marks Family Foundation and Carl
Marks Foundation is to make charitable grants. The trustee of the Marks Family
Foundation is Nancy A. Marks. The trustees of the Carl Marks Foundation are Mark
L. Claster and Andrew M. Boas.
(d) Neither Carl Marks & Co. Inc., any of the officers of Carl Marks & Co.
Inc., each Foundation, any of the trustees of each Foundation, Esther Davidoff,
Robert Davidoff, Nancy A. Marks, Marjorie M. Boas, Mark L. Claster, Susan
Claster, Andrew M. Boas, Carol Boas, nor Richard Boas, M.D., has, during the
last five years, been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors).
PAGE 19 of 36 PAGES
(e) Neither Carl Marks & Co. Inc., any of the officers of Carl Marks & Co.
Inc., each Foundation, any of the trustees of each Foundation, Esther Davidoff,
Robert Davidoff, Nancy A. Marks, Marjorie M. Boas, Mark L. Claster, Susan
Claster, Andrew M. Boas, Carol Boas, nor Richard Boas, M.D., has, during the
last five years, 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 a 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) Each of Esther Davidoff, Robert Davidoff, Nancy A. Marks, Marjorie M.
Boas, Mark L. Claster, Susan Claster, Andrew M. Boas, Carol Boas, and Richard
Boas, M.D., is a United States citizen. Each of Robert A. Speer, an officer and
director of Carl Marks & Co. Inc., and David Shnitkin, an officer of Carl Marks
& Co. Inc., is a United States citizen.
Each of the Reporting Persons states that it, he or she, as the case may
be, is included in this Amendment No. 2 solely for the purpose of presenting
information with respect to the ownership of the Common Shares and disclaims any
knowledge, except as hereinafter expressly set forth, as to any statements made
herein on behalf of any other Reporting Person. Each Reporting Person is signing
this Amendment No. 2 only as to information respecting or furnished by such
person, and makes no representation as to information furnished by any other
Reporting Person.
The Reporting Persons are making this filing in the event that they are
collectively deemed to be a "group" within the meaning of Section 13(d)(3) of
the Securities Exchange Act of 1934, as amended.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Item 3 is amended and supplemented as follows:
On April 24, 2003, Edwin S. Marks died. The Estate of Edwin S. Marks
transferred 813,162 Common Shares to Mr. Marks' wife, Nancy A. Marks. On
September 23, 2003, Nancy A. Marks created the Nancy Marks 2003 GRAT, a grantor
retained annuity trust ("GRAT"). On September 26, 2003, she transferred 395,000
shares to her GRAT.
On February 26, 1996, Marjorie M. Boas transferred 269,336 Common Shares to
the Boas GRAT No. 1 Trust ("Trust"). On December 30, 1996, the Trust distributed
the annuity amount of 17,500 Common Shares to Marjorie M. Boas, the Trust's
grantor. On January 22, 1998, the Trust distributed the annuity amount of 9,700
Common Shares to Marjorie M. Boas, grantor. On January 28, 1999, the Trust
distributed the annuity amount of 14,750 shares to Marjorie M. Boas, grantor. On
January 9, 2004, the Trust distributed to the beneficiaries, Andrew M. Boas,
Susan Claster and Richard Boas, M.D., 75,795 shares, 75,795 shares, and 75,796
shares, respectively.
ITEM 4. PURPOSE OF THE TRANSACTION.
Item 4 is amended and supplemented as follows:
PAGE 20 of 36 PAGES
The Reporting Persons hold their Common Shares for investment purposes. The
Reporting Persons reserve the right to acquire additional Common Shares, but
have no present plans or intentions to acquire additional Common Shares which
would result in or relate to any of the transactions described in subparagraphs
(a) through (j) of Item 4 of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is amended and supplemented as follows:
(a) The table below sets forth the aggregate number of percentage of the
outstanding Common Shares owned beneficially by the Reporting Persons:
Percentage
Number of Outstanding
Name Common Shares Common Shares1
---- ------------- --------------
Carl Marks & Co. Inc. 133,028 .19%
Esther Davidoff 973,116(2),(3) 1.37%
Robert Davidoff 973,116(2),(3) 1.37%
Nancy A. Marks 1,072,404(2),(4) 1.51%
Nancy Marks 2003 GRAT 395,000(2) .56%
Marjorie M. Boas 41,950(2),(7) .06%
Marks Family Foundation 51,040(2) .07%
Carl Marks Foundation 55,300(2) .08%
Mark L. Claster 130,975(2),(3),(5),(8) .18%
Susan Claster 130,975(2),(3),(5),(8) .18%
-------------------------
(1) Based upon 70,872,502 Common Shares outstanding on April 15, 2004.
(2) Does not include 133,028 Common Shares owned of record by Carl Marks & Co.
Inc., as to which Common Shares all Reporting Persons other than Carl Marks &
Co. Inc., disclaim beneficial ownership.
(3) Common Shares pursuant to which Reporting Person shares voting power and
dispositive power.
(4) Includes 6,850 Common Shares owned by Nancy A. Marks in her individual
retirement account ("IRA"). Includes 813,162 Common Shares inherited from the
Estate of Edwin S. Marks. Does not include 51,040 shares owned by the Marks
Family Foundation, as to which Common Shares Mrs. Marks disclaims beneficial
ownership. On September 26, 2003, Mrs. Marks transferred 395,000 Common Shares
to a GRAT, as to which Common Shares Mrs. Marks disclaims beneficial ownership.
(5) Includes 5,400 shares held in trust for Mr. and Mrs. Claster's three
children.
PAGE 21 of 36 PAGES
Andrew M. Boas 206,695(2),(3),(6),(7),(8) .29%
Carol Boas 206,695(2),(3),(6) .29%
Richard Boas, M.D. 89,196(2),(7) .13%
Total 3,148,524 4.44%
========= =====
Except for Robert Davidoff, Mark L. Claster, Andrew M. Boas and Nancy A.
Marks, no officer or director of Carl Marks & Co. Inc. has any interest in the
outstanding Common Shares being reported pursuant to this Amendment No. 2.
(b) Except as noted in the footnotes in paragraph (a) above, each Reporting
Person has the sole power to vote or to direct the vote and the sole power to
dispose or to direct the disposition of its, his or her, as the case may be,
respective Common Shares identified in paragraph (a) above.
(c) No transactions in the Common Shares have been effected by the
Reporting Persons within the past sixty (60) days preceding the filing of this
Amendment No. 2.
(d) No 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, the Reporting
Persons' Common Shares.
(e) Not applicable.
----------------------------
(6) Includes 35,800 shares held in trust for Mr. and Mrs. Boas' three children.
(7) On February 26, 1996, Marjorie M. Boas transferred 269,336 Common Shares to
the Boas GRAT No. 1 Trust ("Trust"). On December 30, 1996, the Trust distributed
the annuity amount of 17,500 Common Shares to Marjorie M. Boas, the Trust's
grantor. On January 22, 1998, the Trust distributed the annuity amount of 9,700
Common Shares to Marjorie M. Boas, grantor. On January 28, 1999, the Trust
distributed the annuity amount of 14,750 shares to Marjorie M. Boas, grantor. On
January 9, 2004, the Trust distributed to the beneficiaries, Andrew M. Boas,
Susan Claster and Richard Boas, M.D., 75,795 shares, 75,795 shares, and 75,796
shares, respectively.
(8) Does not include 55,300 shares owned by the Carl Marks Foundation, as to
which Common Shares Mark L. Claster and Andrew M. Boas, trustees of the Carl
Marks Foundation, disclaim beneficial ownership.
PAGE 22 of 36 PAGES
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.
CARL MARKS & CO. INC.
By: /s/ David F. Shnitkin
------------------------------
Name: David F. Shnitkin
Title: Corporate Controller
Dated: May 12, 2004
PAGE 23 of 36 PAGES
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.
/s/ Esther Davidoff
-------------------------------
Esther Davidoff
Dated: May 12, 2004
PAGE 24 of 36 PAGES
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.
/s/ Robert Davidoff
----------------------------
Robert Davidoff
Dated: May 12, 2004
PAGE 25 of 36 PAGES
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.
ESTATE OF EDWIN S. MARKS
By: /s/ Nancy A. Marks
-------------------------------
Name: Nancy A. Marks
Title: Executor
Dated: May 12, 2004
PAGE 26 of 36 PAGES
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.
/s/ Nancy A. Marks
-----------------------------
Nancy A. Marks
Dated: May 12, 2004
PAGE 27 of 36 PAGES
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.
NANCY MARKS 2003 GRAT
By: /s/ Nancy A. Marks
-------------------------------
Name: Nancy A. Marks
Title: Grantor; Trustee
Dated: May 12, 2004
PAGE 28 of 36 PAGES
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.
ESTATE OF ROBERT S. BOAS
By: /s/ Marjorie M. Boas
--------------------------------
Name: Marjorie M. Boas
Title: Executrix
Dated: May 12, 2004
PAGE 29 of 36 PAGES
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.
/s/ Marjorie M. Boas
-------------------------------
Marjorie M. Boas
Dated: May 12, 2004
PAGE 30 of 36 PAGES
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.
MARKS FAMILY FOUNDATION
By: /s/ Nancy A. Marks
--------------------------------
Name: Nancy A. Marks
Title: Trustee
Dated: May 12, 2004
PAGE 31 of 36 PAGES
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.
CARL MARKS FOUNDATION
By: /s/ Mark L. Claster
----------------------------------
Name: Mark L. Claster
Title: Trustee
Dated: May 10, 2004
PAGE 32 of 36 PAGES
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.
/s/ Mark L. Claster
---------------------------
Mark L. Claster
Dated: May 10, 2004
PAGE 33 of 36 PAGES
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.
/s/ Susan Claster
---------------------------------
Susan Claster
Dated: May 10, 2004
PAGE 34 of 36 PAGES
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.
/s/ Andrew M. Boas
------------------------------
Andrew M. Boas
Dated: May 12, 2004
PAGE 35 of 36 PAGES
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.
/s/ Carol Boas
-----------------------
Carol Boas
Dated: May 12, 2004
PAGE 36 of 36 PAGES
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.
/s/ Richard Boas, M.D.
---------------------------------
Richard Boas, M.D.
Dated: May 12, 2004