-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WmwXNuLS8/HcGd2CQm4ejlfAS1Id+zAeY0LnAqHzgvkZeh0pJc8Jpz43FLuMCqv5 n/d0sV7wkR9sEtNvDq5Gmg== 0001047469-99-006025.txt : 19990217 0001047469-99-006025.hdr.sgml : 19990217 ACCESSION NUMBER: 0001047469-99-006025 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19990216 GROUP MEMBERS: J. CHRISTOPHER LEWIS, TRUSTEE OF THE RB TRUST GROUP MEMBERS: LEWIS J CHRISTOPHER GROUP MEMBERS: PATRICK C. HADEN GROUP MEMBERS: RIORDAN, LEWIS & HADEN GROUP MEMBERS: RLH SM&A SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SM&A CORP CENTRAL INDEX KEY: 0001050031 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MANAGEMENT CONSULTING SERVICES [8742] IRS NUMBER: 330080929 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53209 FILM NUMBER: 99540771 BUSINESS ADDRESS: STREET 1: 4695 MACARTHUR COURT STREET 2: 8TH FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 7149751550 MAIL ADDRESS: STREET 1: 4695 MACARTHUR COURT STREET 2: 8TH FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: STEVEN MYERS & ASSOCIATES INC DATE OF NAME CHANGE: 19980123 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEWIS J CHRISTOPHER CENTRAL INDEX KEY: 0001007757 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: RIORDAN LEWIS & HADEN STREET 2: 300 S GRAND AVE 29TH FL CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2132298453 MAIL ADDRESS: STREET 1: RIORDAN LEWIS & HADEN STREET 2: 300 S GRAND AVE 29TH FL CITY: LOS ANGELES STATE: CA ZIP: 90071 SC 13G 1 SCHEDULE 13G --------------------------- OMB APPROVAL OMB Number: 3235-0145 EXPIRES: AUGUST 31, 1999 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. )* ------ SM&A Corporation - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 860162 10 6 ----------------------------------------- (CUSIP Number) - ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) / / Rule 13d-1(c) / / Rule 13d-1(d) *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 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)."' POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 1 of 12 pages CUSIP No. 860162 10 6 - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). RLH SM&A - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /X/ (b) - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization California - ------------------------------------------------------------------------------- NUMBER OF 5. Sole Voting Power -0- SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power 1,702,442 OWNED BY ----------------------------------------------------------------- EACH 7. Sole Dispositive Power -0- REPORTING ----------------------------------------------------------------- PERSON WITH: 8. Shared Dispositive Power 1,702,442 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,702,442 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.3% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- Page 2 of 12 pages CUSIP No. 860162 10 6 - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Riordan, Lewis & Haden - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /X/ (b) - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or Place of Organization California - ------------------------------------------------------------------------------- NUMBER OF 5. Sole Voting Power -0- SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power 1,702,442 OWNED BY ----------------------------------------------------------------- EACH 7. Sole Dispositive Power -0- REPORTING ----------------------------------------------------------------- PERSON WITH: 8. Shared Dispositive Power 1,702,442 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,702,442 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.3% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- Page 3 of 12 pages CUSIP No. 860162 10 6 - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). J. Christopher Lewis, Trustee of the RB Trust dated June 23, 1993 - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /X/ (b) - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or Place of Organization California - ------------------------------------------------------------------------------- NUMBER OF 5. Sole Voting Power -0- SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power 1,702,442 OWNED BY ----------------------------------------------------------------- EACH 7. Sole Dispositive Power -0- REPORTING ----------------------------------------------------------------- PERSON WITH: 8. Shared Dispositive Power 1,702,442 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,702,442 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.3% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- Page 4 of 12 pages CUSIP No. 860162 10 6 - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). J. Christopher Lewis - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /X/ (b) - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- NUMBER OF 5. Sole Voting Power -0- SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power 1,702,442 OWNED BY ----------------------------------------------------------------- EACH 7. Sole Dispositive Power -0- REPORTING ----------------------------------------------------------------- PERSON WITH: 8. Shared Dispositive Power 1,702,442 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,702,442 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.3% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- Page 5 of 12 pages CUSIP No. 860162 10 6 - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Patrick C. Haden - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /X/ (b) - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - ------------------------------------------------------------------------------- NUMBER OF 5. Sole Voting Power -0- SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power 1,702,442 OWNED BY ----------------------------------------------------------------- EACH 7. Sole Dispositive Power -0- REPORTING ----------------------------------------------------------------- PERSON WITH: 8. Shared Dispositive Power 1,702,442 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,702,442 - ------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.3% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- Page 6 of 12 pages ITEM 1. (a) Name of Issuer SM&A Corporation (b) Address of Issuer's Principal Executive Offices 4695 MacArthur Court Eighth Floor Newport Beach, CA 92660 ITEM 2. (a) Name of Person Filing The persons filing this Schedule 13G are RLH SM&A, Riordan, Lewis & Haden, J. Christopher Lewis, Trustee of the RB Trust dated June 23, 1993, J. Christopher Lewis and Patrick C. Haden (collectively, the "Filing Persons"). (b) Address of Principal Business Office or, if none, Residence 300 S. Grand Avenue, 29th Floor, Los Angeles, California 90071 (c) Citizenship The responses of the Filing Persons to Item 4 of the cover pages to this Schedule 13G that relate to the citizenships or places of organization of such persons are herein incorporated by reference. (d) Title of Class of Securities This filing is made in regard to Common Stock, no par value of SM&A Corporation (the "Common Stock"). (e) CUSIP Number 860162 10 6 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) / / Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) / / An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) / / An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) / / A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) / / A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Page 7 of 12 pages ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: The responses of the Filing Persons to Item 9 of the cover pages that relate to the aggregate amount beneficially owned by each Filing Person are herein incorporated by reference. (b) Percent of class: The percentage of Common Stock beneficially owned by the Filing Persons is 10.3% (c) Number of shares as to which the person has: The responses of the Filing Persons to Items 5 through 8 of the cover pages that relate to the number of shares beneficially owned by each Filing Person are herein incorporated by reference. (i) Sole power to vote or to direct the vote. (ii) Shared power to vote or to direct the vote. (iii) Sole power to dispose or to direct the disposition of . (iv) Shared power to dispose or to direct the disposition of . ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following / /. Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE 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 The Filing Persons have filed this Schedule 13G as a group pursuant to Rule 13d-1(k). The identity of each member of the group is stated in Exhibit 1 attached hereto. The Filing Persons entered into a Joint Reporting Agreement dated February 12, 1999, pursuant to which they agreed to file on joint statement on behalf of all of them with respect to the subject matter of this Schedule 13G. Page 8 of 12 pages ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION (a) Not Applicable (b) Not Applicable Page 9 of 12 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. Dated: February 12, 1998 RLH SM&A By: Riordan, Lewis & Haden General Partner By: ------------------------------ J. Christopher Lewis General Partner RIORDAN, LEWIS & HADEN By: ----------------------------------- J. Christopher Lewis General Partner THE RB TRUST DATED JUNE 23, 1993 By: ----------------------------------- J. Christopher Lewis Trustee --------------------------------------- J. Christopher Lewis --------------------------------------- Patrick C. Haden The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE Section 240.13d-7 for other parties for whom copies are to be sent. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 10 of 12 pages EXHIBIT INDEX Exhibit 1: Joint Reporting Agreement among the Partnership, RLH, the Trustee, Lewis and Haden dated February 12, 1999 Page 11 of 12 pages EX-1 2 EXHIBIT 1 JOINT REPORT AGREEMENT In consideration of the mutual covenants herein contained, each of the parties hereto represents to and agrees with the other party as follows: 1. Such party is eligible to file a statement on Schedule 13G pertaining to the common stock, no par value, of SM&A Corporation to which this agreement is an exhibit. 2. Such party is responsible for timely filing of such statement and any amendments thereto and for the completeness and accuracy of the information concerning such party contained therein, provided that no such party is responsible for the completeness or accuracy of the information concerning any other party making the filing, unless such party knows or has reason to believe that such information is inaccurate. 3. Such party agrees that such statement is filed by and on behalf of each such party and that any amendment thereto will be filed on behalf of each such party. This Joint Reporting Agreement may be executed in one or more counterparts, each of which shall be deemed to be an original instrument, but all of such counterparts together shall constitute but one agreement. Dated: February 12, 1999 RLH SM&A By: Riordan, Lewis & Haden General Partner By: ----------------------------------- J. Christopher Lewis General Partner RIORDAN, LEWIS & HADEN By: --------------------------------------- J. Christopher Lewis General Partner THE RB TRUST DATED JUNE 23, 1993 By: --------------------------------------- J. Christopher Lewis Trustee - -------------------------------------------- J. Christopher Lewis - -------------------------------------------- Patrick C. Haden EXHIBIT 1 -----END PRIVACY-ENHANCED MESSAGE-----