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CAI WIRELESS SYSTEMS INC·3

Jul 14, 8:00 PM ET

CAI WIRELESS SYSTEMS INC 3

3 · CAI WIRELESS SYSTEMS INC · Filed Jul 15, 1999

Insider Transaction Report

Form 3
Period: 1999-06-24
CAI WIRELESS SYSTEMS INC

No transactions or holdings reported in this filing.

Footnotes (17)
  • [1]Mr. James B. Rubin serves as Chief Investment Officer of and is responsible for the day to day investment activities of Resurgence Asset Management, L.L.C. ("RAM"). Voting and dispositive power is exercised solely in its capacity as sole general partner and sole investment advisor of M.D. Sass Corporate Resurgence Partners, L.P. ("Resurgence L.P.") Accordingly, RAM may be deemed to share voting and dispositive power. RAM, Resurgence L.P. and the parties listed below may be deemed to be members of a "group" for purposes of Section 13(d) of the Exchange Act.
  • [10]These securities are owned of record by Re/Enterprise International.
  • [11]These securities may be deemed to be beneficially owned by M.D. Sass Associates. These securities are owned of record by two employee benefit plans, Re/Enterprise and Re/Enterprise II. Voting and dispositive power is exercised by M.D. Sass Associates pursuant to a Subadvisory Services Agreement with REAM with respect to the two employee benefit plans, Re/Enterprise and Re/Enterprise II. Accordingly, M.D. Sass Associates may be deemed to share voting and dispositive power.
  • [12]These securities may be deemed to be beneficially owned by M.D. Sass Management, Inc. ("M.D. Sass Management"). These securities are owned of record by Re/Enterprise International. Voting and dispositive power is exercised through Re/Enterprise International. Pursuant to a Subadvisory Services Agreement it has entered into with RAMI, RAMI exercises sole voting and dispositive power of these shares. Accordingly, M.D. Sass Management many be deemed to share voting and dispositive power.
  • [13]These securities may be deemed to be beneficially owned by M.D. Sass Investors Services, Inc. These securities are owned of record by the two employee benefit plans. M.D. Sass Investors Services, Inc. acts as an investment advisor to both of these plans. Accordingly, M.D. Sass Investors Services, Inc. may be deemed to share voting and dispositive power.
  • [14]These securities are owned of record by Resurgence Parallel Fund LLC.
  • [15]These securities may be deemed to be beneficially owned by The M.D. Sass Re/Enterprise International Irrevocable Trust II (the "Trust"). These securities are owned of record by Kingstreet Ltd. The Trust owns 100% of Kingstreet and may be deemed to share voting and dispositive power.
  • [16]These securities are owned of record by M.D. Sass Associates, Inc. Employees Profit Sharing Plan.
  • [17]Kingstreet Ltd., Resurgence L.P., the two employee benefit plans, Resurgence Ltd., Re/Enterprise, Re/Enterprise II, Re/Enterprise International, Resurgence Parallel Fund LLC, and M.D. Sass Associates, Inc. Employees Profit Sharing Plan (collectively the "Record Owners") are all of the owners of record. These securities are directly owned by the Record Owners in the aggregate. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations /s/ James B. Rubin 7/8/99 --------------------------- ------ See 18 U.S.C. 1001 and 15 U.S. C. 78ff(a). Name: James B. Rubin RESURGENCE ASSET MANAGEMENT, L.L.C. By: /s/ James B. Rubin 7/8/99 ------------------- ------ Name: James B. Rubin Title: Manager **
  • [2]These securities may be deemed to be beneficially owned by RAM. These securities are owned of record by Resurgence L.P. However, RAM may be deemed to share voting and dispositive power as explained in footnote (1).
  • [3]These securities may be deemed to be beneficially owned by Resurgence Asset Management International, L.L.C. ("RAMI"). These securities are owned of record by M.D. Sass Corporate Resurgence International, Ltd ("Resurgence Ltd") and M.D. Sass Re/Enterprise International, Ltd. ("Re/Enterprise International"). Voting and dispositive power is exercised solely by RAMI (i) in its capacity as sole special shareholder of and sole investment advisor of Resurgence Ltd. and (ii) pursuant to a Subadvisory Agreement with M.D. Sass Management, Inc.("M.D. Sass Management") with respect to Re/Enterprise International. Accordingly, in each case, RAMI may be deemed to share voting and dispositive power.
  • [4]These securities may be deemed to be beneficially owned by Re/Enterprise Asset Management, L.L.C. ("REAM"). These securities are owned of record by two employee benefit plans, M.D. Sass Re/Enterprise Partners, L.P. ("Re/Enterprise") and M.D. Sass Re/Enterprise - II, L.P. ("Re/Enterprise II"). Voting and dispositive power is exercised by REAM pursuant to a Subadvisory Services Agreement with M.D. Sass Management and M.D. Sass Associates, Inc. ("M.D. Sass Associates") with respect to the two employee benefit plans, Re/Enterprise and Re/Enterprise II. Accordingly, REAM may be deemed to share voting and dispositive power.
  • [5]These securities are owned of record by Kingstreet Ltd.
  • [6]These securities are owned of record by Resurgence L.P.
  • [7]These securities are owned of record by Resurgence Ltd.
  • [8]These securities are owned of record by Re/Enterprise. Page 3 of 18
  • [9]These securities are owned of record by Re/Enterprise II.

Documents

1 file
  • 3
    Primary

    FORM 3