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Shufro Rose & Co LLC – ‘SC 13G’ on 2/15/01 re: Great Train Store Co

On:  Thursday, 2/15/01, at 12:49pm ET   ·   Accession #:  908195-1-500009   ·   File #:  5-55885

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer

 2/15/01  Shufro Rose & Co LLC              SC 13G                 1:9K   Great Train Store Co

Statement of Beneficial Ownership   —   Schedule 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G      Statement of Beneficial Ownership                      5±    19K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
"Item 1(a). Name of Issuer:
"Item 1(b). Address of issuer's principal executive offices:
"Item 2(a). Name of person filing: SHUFRO, ROSE & CO., LLC
"Item 2(c). Citizenship: Limited Liability Corporation formed under the laws of the State of New York
"Item 2(d). Title of class of securities:
"Item 3. If this statement if filed pursuant to Rules 13d-1(b), of 13d2(b), check whether the person filing is a:
"Item 5. Ownership of 5 Percent or Less of a Class
"Item 6. Ownership of More Than 5 Percent on Behalf of Another Person
"Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company
"Item 8. Identification and Classification of Members of the Group
"Item 9. Notice of Dissolution of Group


------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0145 Expires: August 31, 1991 Estimated average burden hours per response ......14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* GREAT TRAIN STORE, INC. -------------------------------------------------------------------------------- (Name of Issuer) COMMON -------------------------------------------------------------------------------- (Title of Class of Securities) 058264 10 2 -------------------------------------------------------------------------------- (CUSIP Number) 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). * 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 the disclosures provided in a prior cover page. The information required in 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 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). SEC 1745 (20-88) CUSIP No. 058264 10 2 13G Page 2 of 5 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SHUFRO, ROSE & CO., LLC 13-5390713 ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION A LLC ORGANIZED UNDER THE LAWS OF THE STATE OF NEW YORK ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 0 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY NONE _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 0 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH NONE ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.00 ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* BD & IA ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Check the following box if a fee is being paid with this statement: [_] Item 1(a). Name of Issuer: Great Train Stores, Inc. Item 1(b). Address of issuer's principal executive offices: 14180 Dallas Parkway Suite 618 Dallas, TX 75240 Item 2(a). Name of person filing: SHUFRO, ROSE & CO., LLC Item 2(b). Address of principal business office: 745 Fifth Avenue, New York, NY 10151 Item 2(c). Citizenship: Limited Liability Corporation formed under the laws of the State of New York. Item 2(d). Title of class of securities: Common Item 2(e). CUSIP NO.: 058264 10 2 Item 3. If this statement if filed pursuant to Rules 13d-1(b), of 13d2(b), check whether the person filing is a: (a) [X] Broker or dealer registered under section 15 of the Act. (e) [X] Investment adviser registered under section 203 of the Investment Advisers Act of 1940. (b, (c),(d),(f),(g): Not applicable Item 4. Ownership. If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds 5 percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 0 (b) Percent of class: 0 (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct to vote None (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of None Item 5. Ownership of 5 Percent or Less of a Class. Not applicable. Item 6. Ownership of More Than 5 Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable Item 8. Identification and Classification of Members of the Group. Not applicable Item 9. Notice of Dissolution of Group. Not applicable Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of signing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Disclaimer The undersigned expressly declares that the filing of this Amendment to Schedule 13G shall not be construed as an admission that such person is, for the purpose of Section 13(d) or 13(g) of the Securities Act of 1934, the beneficial owner of any securities covered by this statement. 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. SHUFRO, ROSE & CO., LLC Date: February 15, 2001 -------------------------- Signature By: Steven Glass (Managing Director)

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G’ Filing    Date    Other Filings
Filed on:2/15/0113F-HR,  SC 13G
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Filing Submission 0000908195-01-500009   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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