Amendment to General Statement of Beneficial Ownership — Schedule 13D
Filing Table of Contents
Document/Exhibit Description Pages Size
1: SC 13D/A Amendment to General Statement of Beneficial 8 30K
Ownership
2: EX-99.1 Form of Joint Filing Agreement 1 6K
3: EX-99.2 Ltr Agree. Btwn Co. & Each of Kirschbaum & Robbins 3 12K
4: EX-99.3 Purch. Agree.: Co. & Each of Kirschbaum & Robbins 22 77K
SC 13D/A — Amendment to General Statement of Beneficial Ownership
Document Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
ALLIANCE GAMING CORPORATION
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(Name of Issuer)
Common Stock, $.10 par value
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(Title of Class of Securities)
364654 10
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(CUSIP Number)
Craig Fields
Joel Kirschbaum
David Robbins
c/o Kirkland Investment Corporation
9 West 57th Street
New York, New York 10019
Attention: Joel Kirschbaum, President
(212) 888-2399
with a copy to:
O'Sullivan Graev & Karabell, LLP
30 Rockefeller Plaza
New York, New York 10112
Attention: David Robbins, Esq.
(212) 408-2400
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(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
September 20, 1995
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(Date of Event which Requires Filing of this Statement)
SCHEDULE 13D
CUSIP NO. 364654 10 PAGE 2 OF 9 PAGES
----------------------- --- ---
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Craig Fields
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x
See Item 5 (b)
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3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
Not applicable
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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
125,000 See Items 4 and 5
NUMBER OF ------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY EACH ------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON 125,000 See Items 4 and 5
WITH ------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
125,000 See Items 4 and 5
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES.
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1% (See Item 13 of Page 3)
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14 TYPE OF REPORTING PERSON
IN
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SCHEDULE 13D
CUSIP NO. 364654 10 PAGE 3 OF 9 PAGES
----------------------- --- ---
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Joel Kirschbaum
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x
See Item 5 (b)
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
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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
1,422,222 See Items 4 and 5
NUMBER OF ------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY EACH ------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON 1,422,222 See Items 4 and 5
WITH ------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,422,222 See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES.
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.9% (based on 11,654,150 outstanding shares of common stock, 1,333,333
outstanding shares of special stock and an aggregate of 100,000 shares to
be issued in the transactions described herein)
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14 TYPE OF REPORTING PERSON
IN
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SCHEDULE 13D
CUSIP NO. 364654 10 PAGE 4 OF 9 PAGES
----------------------- --- ---
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David Robbins
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x]
See Item 5 (b)
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
PF
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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
31,111 See Items 4 and 5
NUMBER OF ------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY EACH ------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON 31,111 See Items 4 and 5
WITH ------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
31,111 See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES. [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1%
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14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
INTRODUCTION
This Statement filed by Dr. Craig Fields, Mr. Joel Kirschbaum and Mr.
David Robbins amends and restates the Schedule 13D, dated June 23, 1994, filed
by Mr. Kirschbaum, Kirkland Investment Corporation, a Delaware corporation,
Kirkland-Ft. Worth Investment Partners, L.P., a Delaware limited partnership,
and Gaming Systems Advisors, L.P., a Delaware limited partnership, as amended by
Amendment No. 1 filed by such persons and Dr. Craig Fields, Mr. Jay R. Gottlieb
and Mr. Robbins, with respect to the common stock, par value $.10 per share (the
"Common Stock"), of Alliance Gaming Corporation, a Nevada corporation (formerly
United Gaming, Inc.) (the "Company").
ITEM 1. SECURITY AND ISSUER.
This Amendment No. 2 to Schedule 13D relates to the Common Stock of the
Company. The address of the Company's principal executive office is 4380
Boulder Highway, Las Vegas, Nevada 89121.
ITEM 2. IDENTITY AND BACKGROUND.
(a)-(c) This Amendment is being filed by Messrs. Fields, Kirschbaum and
Robbins in respect of the transactions describd herein.
The business address of Messrs. Fields and Kirschbaum is as previously
reported. The business address of Mr. Robbins is c/o O'Sullivan Graev &
Karabell, LLP, 30 Rockefeller Plaza, New York, New York 10112.
(d)-(e) During the last five years, none of the Reporting Persons has
been convicted in a criminal proceeding (excluding traffic violations and
similar misdemeanors) or has 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.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Item 3 is amended by adding the following text to the end thereof:
The source of funds for the investment described herein is personal funds
of Mr. Kirschbaum and Mr. Robbins, respectively.
ITEM 4. PURPOSE OF TRANSACTION.
Item 4 is amended by adding the following text to the end thereof:
Pursuant to Dr. Fields' existing agreement with the Company, options for
an additional 62,500 shares (in addition to the 62,500 shares for which Dr.
Fields has exercisable options) will become exercisable within the next 60 days.
As of September 15, 1995, Mr. Kirschbaum and Mr. Robbins each signed a
letter agreement with the Company and on September 20, 1995, Mr. Kirschbaum and
Mr. Robbins and certain other unaffiliated investors each signed a purchase
agreement with the Company (collectively, the "Agreements"), providing that Mr.
Kirschbaum will invest $400,000 and Mr. Robbins will invest $50,000 to purchase
shares of Common Stock at a price of $4.50 per share, effective only upon
consummation of the Company's existing tender offer for shares of Bally Gaming
International, Inc., a Delaware corporation. In connection therewith, each of
Mr. Kirschbaum and Mr. Robbins shall receive a commitment fee from the Company
initially equal to 1.5% of such person's aggregate commitment and thereafter, if
such commitment is extended beyond six weeks, an additional commitment fee of
.25% per week for a maximum of six additional weeks. Such investment and
commitment fees are on the same terms and conditions as commitments
simultaneously received from the Company from certain unaffiliated investors.
Other than as described above in Item 4, none of the Reporting Persons
have any plans or proposals relating to any of the items described in items (a)
through (j) of Item 4.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5, as it relates to Messrs. Fields, Kirschbaum and Robbins is
amended as follows:
(a) Mr. Kirschbaum may be deemed to own beneficially 1,422,222 shares of
Common Stock issuable upon conversion of shares of special stock held by KFW,
constituting approximately 10.9% of the shares of Common Stock deemed
outstanding. Dr. Fields may be deemed to own beneficially 125,000 shares of
Common Stock issuable upon exercise of presently exercisable options,
constituting less than 1% of the Common Stock outstanding. Mr. Robbins may be
deemed to own beneficially 31,111 shares of Common Stock, representing less than
1% of the Common Stock outstanding, that he may acquire upon exercise of an
option to acquire Special Stock, which option is exercisable within 60 days, and
in connection with the transactions described herein.
(b) Other than as described in Item 4 or Item 6, no person other than the
Reporting Persons at present has the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, the shares of
Common Stock deemed to be beneficially owned by them.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
The Agreements provide for, among other things, the purchase of Common
Stock as described in Item 4 above.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit 1 -- Form of Joint Filing Agreement
Exhibit 2 -- Form of Letter Agreement between the Company and each of Mr.
Kirschbaum and Mr. Robbins.
Exhibit 3 -- Form of Purchase Agreement between the Company and each of
Mr. Kirschbaum and Mr. Robbins and other purchasers.
SIGNATURE
After reasonable inquiry and to the best knowledge and belief of the
undersigned, each of the undersigned certifies that the information set forth in
this Statement is true, complete and correct.
Dated: September 26, 1995
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Joel Kirschbaum
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Craig Fields
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David Robbins
[Download Table]
SEQUENTIALLY
NUMBERED
EXHIBIT NO. DESCRIPTION PAGE
Exhibit 1 Form of Joint Filing
Agreement
Exhibit 2 Form of Letter
Agreement between the
Company and each of Mr.
Kirschbaum and Mr.
Robbins
Exhibit 3 Form of Purchase
Agreement between the
Company and each of Mr.
Kirschbaum and Mr.
Robbins and other
purchasers
Dates Referenced Herein and Documents Incorporated by Reference
| Referenced-On Page |
|---|
| This ‘SC 13D/A’ Filing | | Date | | First | | Last | | | Other Filings |
|---|
| |  |
| Filed on: | | 9/28/95 | | | | | | | 10-K |
| | 9/26/95 | | 7 |
| | 9/20/95 | | 1 | | 5 |
| | 9/15/95 | | 5 |
| | 6/23/94 | | 5 |
| List all Filings |
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