-----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, UmZ3YUX56YGWP0NbXhtwxx1hnYQDA/BhwxXFxBzuzZU89FQ/rqRJ8nn9q7qmyxiG UnNck7OqchKo0HKGR/xKkQ== 0000041133-98-000004.txt : 19980106 0000041133-98-000004.hdr.sgml : 19980106 ACCESSION NUMBER: 0000041133-98-000004 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980105 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GERBER SCIENTIFIC INC CENTRAL INDEX KEY: 0000041133 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 060640743 STATE OF INCORPORATION: CT FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-32060 FILM NUMBER: 98501034 BUSINESS ADDRESS: STREET 1: 83 GERBER RD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 BUSINESS PHONE: 2036441551 MAIL ADDRESS: STREET 1: 83 GERBER ROAD WESTS CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 FORMER COMPANY: FORMER CONFORMED NAME: GERBER SCIENTIFIC INSTRUMENT CO DATE OF NAME CHANGE: 19781210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GERBER JOSEPH H ESTATE OF CENTRAL INDEX KEY: 0001024053 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] STATE OF INCORPORATION: CT FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 83 GERBER RD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 BUSINESS PHONE: 2036441551 MAIL ADDRESS: STREET 1: 83 GERBER ROAD WESTS CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 SC 13D/A 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of l934 (Amendment No. 2)* GERBER SCIENTIFIC, INC. ----------------------- (Name of Issuer) Common Stock, $1.00 Par Value ----------------------------- (Title of Securities) 373730100 --------- (CUSIP Number) Sonia K. Gerber, David J. Gerber, Melisa T. Gerber c/o Gerber Scientific, Inc. 83 Gerber Road West, South Windsor, CT 06074 (860)644-1551 ----------------------------------------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) December 31, 1997 ------------------------------------------------------ (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 Rule 13d-1(b)(3) or (4), check the following box / /. *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 ("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). 2 1. Name of Reporting Persons S.S. or I.R.S. Identification No. Estate of H. Joseph Gerber Sonia K. Gerber David J. Gerber Melisa T. Gerber 2. Check the Appropriate Box if a Member of a Group* (a) / / (b) / / 3. SEC Use Only 4. Source of Funds* Not Applicable 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) / / 6. Citizenship or Place of Organization: Estate of H. Joseph Gerber - Connecticut Sonia K. Gerber - USA David J. Gerber - USA Melisa T. Gerber - USA Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power Estate of H. Joseph Gerber 105,220 Sonia K. Gerber 1,098,475 David J. Gerber 103,271 Melisa T. Gerber 98,272 8. Shared Voting Power Estate of H. Joseph Gerber 0 Sonia K. Gerber 1,336,740 David J. Gerber 1,336,740 Melisa T. Gerber 1,336,740 3 9. Sole Dispositive Power Estate of H. Joseph Gerber 105,220 Sonia K. Gerber 1,098,475 David J. Gerber 103,266 Melisa T. Gerber 98,272 10. Shared Dispositive Power Estate of H. Joseph Gerber 0 Sonia K. Gerber 1,336,740 David J. Gerber 1,336,740 Melisa T. Gerber 1,336,740 11. Aggregate Amount Beneficially Owned by Each Reporting Person Estate of H. Joseph Gerber 105,220 Sonia K. Gerber 2,435,215 David J. Gerber 1,440,006 Melisa T. Gerber 1,435,012 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* Not Applicable 13. Percent of Class Represented by Amount in Row (11) Estate of H. Joseph Gerber .46 % Sonia K. Gerber 10.73 % David J. Gerber 6.34 % Melisa T. Gerber 6.32 % 14. Type of Reporting Person: OO, IN, IN, IN Item 1. Security and Issuer This statement relates to Common Stock, Par Value $1.00 of Gerber Scientific, Inc. 83 Gerber Road West South Windsor, Connecticut 06074 Item 2. Identity and Background The following information is furnished with respect to the Estate of H. Joseph Gerber, Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber, the persons filing this statement. All of the individual reporting persons are citizens of the United States: 4 (1) Estate of H. Joseph Gerber, which has no residence address but whose business address is c/o Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, Connecticut 06074, is not employed, has had no material occupation, positions, offices or employment during the last five (5) years, and has not, during the last five (5) years been convicted in any criminal proceeding. The Estate has not, during the last five (5) years, been a party to any civil proceedings resulting in 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. The co-executors of the Estate are Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber. (2) Sonia K. Gerber's address is c/o David J. Gerber at Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, CT 06074. Mrs. Gerber is not employed, and has not, during the last five (5) years, been convicted in any criminal proceeding nor has she, during the last five (5) years, been a party to any civil proceedings resulting in 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. (3) David J. Gerber's business address is c/o Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, Connecticut 06074. Mr. Gerber is the Director of New Business Development and Technology Strategy and a Director of Gerber Scientific, Inc. Mr. Gerber has not, during the last five (5) years, been convicted in any criminal proceeding nor has he, during the last five (5) years, been a party to any civil proceedings resulting in 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. (4) Melisa T. Gerber's address is c/o David J. Gerber at Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, CT 06074. Ms. Gerber is a sculptor and a student. Ms. Gerber has not, during the last five (5) years been convicted in any criminal proceeding nor has she, during the last five (5) years, been a party to any civil proceedings resulting in 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: Not Applicable 5 Item 4. Purpose of Transaction The purpose of the acquisition by the Reporting Persons, aside from the Estate, was to administer the Estate of H. Joseph Gerber. The purpose of this Amendment No. 2 is to reflect the distribution of 2,226,520 shares of the issuer pursuant to the terms of the will of H. Joseph Gerber. The estate continues to own immediately exercisable options to acquire an aggregate of 105,220 shares of Gerber Scientific, Inc. Common Stock. Unless otherwise sooner disposed of by the Estate, these options (or the shares issued upon the exercise thereof) ultimately will be distributed pursuant to the terms of the will of H. Joseph Gerber. Item 5. Interest in Securities of the Issuer Following the distribution pursuant to the terms of the will of H. Joseph Gerber, referred to in Item 4 above, the Estate of H. Joseph Gerber beneficially owns an aggregate of 105,220 shares, which represent immediately exercisable options (approximately .46% of the Issuer's outstanding Common Stock). Sonia K. Gerber beneficially owns an aggregate of 2,435,215 shares, including 105,220 shares beneficially owned as co-executor of the Estate of H. Joseph Gerber; 83,160 shares as co-trustee under two trusts for the benefit of Melisa T. Gerber; 83,160 shares as co- trustee under two trusts for the benefit of David J. Gerber; and 1,065,200 shares as co-trustee and beneficial owner of the trust for the benefit of Sonia K. Gerber. These shares aggregate approximately 10.73% of the Issuer's outstanding shares. David J. Gerber beneficially owns an aggregate of 1,440,006 shares, including 105,220 shares owned as co-executor of the Estate of H. Joseph Gerber; options to purchase 3,000 shares which are exercisable within 60 days; 30,746 shares which are held in a trust established under the terms of the will of Bertha Gerber (under the terms of such trust, Sonia K. Gerber is the sole trustee but as the trustee she is obligated to follow the direction of the beneficiary, David J. Gerber, with respect to all matters relating to such shares including voting and the retention or sale of such securities); 83,160 shares as co-trustee under two trusts for the benefit of Melisa T. Gerber; 1,065,200 shares as co-trustee under a trust for the benefit of Sonia K. Gerber; and 83,160 shares as co-trustee and beneficial owner of two trusts for the benefit of David J. Gerber. These shares aggregate approximately 6.34% of the Issuer's outstanding shares. 6 Melisa T. Gerber beneficially owns 1,435,012 shares, including 105,220 shares owned by the Estate of H. Joseph Gerber; 30,747 shares which are held in a trust established under the terms of the will of Bertha Gerber (under the terms of such trust, Sonia K. Gerber is the sole trustee but as the trustee she is obligated to follow the direction of the beneficiary, Melisa T. Gerber, with respect to all matters relating to such shares including voting and the retention or sale of such securities); 83,160 shares as co-trustee under two trusts for the benefit of David J. Gerber; 1,065,200 shares as co-trustee under a trust for the benefit of Sonia K. Gerber; and 83,160 shares as co-trustee and beneficial owner of two trusts for the benefit of Melisa T. Gerber. These shares aggregate approximately 6.32% of the Issuer's outstanding shares. Sonia K. Gerber has sole power to vote or to direct the vote and sole power to dispose or direct the disposition of an aggregate of 1,098,475 shares. David J. Gerber has sole power to vote or direct the vote and sole power to dispose or direct the disposition of an aggregate of 103,266 shares, which includes 30,746 shares held in a trust established under the will of Bertha Gerber. Melisa T. Gerber has sole power to vote or direct the vote and sole power to dispose or direct the disposition of an aggregate of 98,272 shares, which includes 30,747 shares held in a trust established under the will of Bertha Gerber. As co-executors of the Estate of H. Joseph Gerber, Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber have shared power to vote or direct the vote and shared power to dispose or direct the disposition (subject to the terms of the will of H. Joseph Gerber) of the 105,220 shares beneficially owned by the Estate of H. Joseph Gerber. As co-trustees of five separate trusts for the benefit of the three of them, Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber have shared power to vote or direct the vote and shared power to dispose or direct the disposition, subject to the terms of each of the trusts, of an aggregate of 1,231,520 shares beneficially owned by these five trusts. The following transactions in the Issuer's common stock were effected by the reporting persons during the past sixty days: 7 On December 31, 1997, the Estate of H. Joseph Gerber distributed 2,226,520 shares of the Issuer's Common Stock pursuant to the terms of the will of H. Joseph Gerber, as follows: 83,160 of such shares were distributed to and acquired by two trusts for the benefit of Melisa T. Gerber; 83,160 of such shares were distributed to and acquired by two trusts for the benefit of David J. Gerber; 1,065,200 of such shares were distributed to and acquired by the H. Joseph Gerber Marital Trust fbo Sonia K. Gerber; and 995,000 of such shares were distributed to and acquired by Sonia K. Gerber. Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber are the co-trustees of each of the foregoing five trusts. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. See Items 4 and 5 above. Item 7. Material to be Filed as Exhibits. The agreement of the parties pursuant to Rule 13d-1(f)(1)(iii) under the Securities Exchange Act of 1934 is included under the heading "Signatures" below. Signatures After reasonable inquiry and to the best knowledge of and on behalf of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct, and the undersigned each agree that this Schedule 13D is filed on behalf of each of them. Date: December 31, 1997 /s/ Sonia K. Gerber -------------------------------- Estate of H. Joseph Gerber By Sonia K. Gerber, Co-Executor /s/ David J. Gerber --------------------------------- Estate of H. Joseph Gerber By David J. Gerber, Co-Executor 8 /s/ Melisa T. Gerber --------------------------------- Estate of H. Joseph Gerber By Melisa T. Gerber Co-Executor /s/ Sonia K. Gerber --------------------------------- Sonia K. Gerber Individually, and as Co-Executor /s/ David J. Gerber --------------------------------- David J. Gerber Individually, and as Co-Executor /s/ Melisa T. Gerber --------------------------------- Melisa T. Gerber Individually, and as Co-Executor -----END PRIVACY-ENHANCED MESSAGE-----