0000950159-01-500305.txt : 20011019 0000950159-01-500305.hdr.sgml : 20011019 ACCESSION NUMBER: 0000950159-01-500305 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011016 GROUP MEMBERS: SONIA K GERBER FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GERBER DAVID J CENTRAL INDEX KEY: 0001160210 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O GERBER SCIENTIFIC INC STREET 2: 83 GERBER ROAD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06040 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: 1934 Act SEC FILE NUMBER: 005-32060 FILM NUMBER: 1759813 BUSINESS ADDRESS: STREET 1: 83 GERBER RD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 BUSINESS PHONE: 8606441551 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 SC 13D/A 1 gerber13da4.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of l934 (Amendment No. 4)* GERBER SCIENTIFIC, INC. ----------------------- (Name of Issuer) Common Stock, $1.00 Par Value ----------------------------- (Title of Securities) 373730100 --------- (CUSIP Number) Sonia K. Gerber; David J. 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) August 21, 2001 ------------------------------------------------------ (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). Page 1 of 5 pages CUSIP NO. 373730100 Page 2 of 5 1. Name of Reporting Persons S.S. or I.R.S. Identification No. Sonia K. Gerber David J. 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: Sonia K. Gerber - USA David J. Gerber - USA Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power Sonia K. Gerber 544,621 David J. Gerber 571,416 8. Shared Voting Power Sonia K. Gerber 905,444 David J. Gerber 862,004 9. Sole Dispositive Power Sonia K. Gerber 544,621 David J. Gerber 571,416 10. Shared Dispositive Power Sonia K. Gerber 905,444 David J. Gerber 862,004 11. Aggregate Amount Beneficially Owned by Each Reporting Person Sonia K. Gerber 1,450,065 David J. Gerber 1,433,420 CUSIP NO. 373730100 Page 3 of 5 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) Sonia K. Gerber 6.57% David J. Gerber 6.50% 14. Type of Reporting Person: IN, IN This amendment amends the Schedule 13D/A filed as of January 30, 1998 by the Estate of H. Joseph Gerber (the "Estate") and signed by Sonia K. Gerber, David J. Gerber and Melisa T. Gerber. The Estate has been closed, and Melisa T. Gerber has separately announced termination of her filing obligations. This report is filed jointly by Sonia K. Gerber and David J. Gerber, who are the beneficial owners of remaining shares previously reported held by the Estate. Item 1. Security and Issuer This statement relates to the 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 Sonia K. Gerber and David J. Gerber, the persons filing this statement. Both of the Reporting Persons are citizens of the United States: (1) 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. (2) David J. Gerber's business address is c/o Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, Connecticut 06074. Mr. Gerber is the Vice President of 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. CUSIP NO. 373730100 Page 4 of 5 Item 3. Source and Amount of Funds or Other Consideration: Not Applicable Item 4. Purpose of Transaction The purpose of this Amendment No. 4 is to reflect certain changes in the beneficial ownership of the Issuer's shares held by each of the Reporting Persons due to changes in trustees of certain trusts. Item 5. Interest in Securities of the Issuer Sonia K. Gerber beneficially owns an aggregate of 1,450,065 shares including 544,621 shares in her own name, 43,440 shares as co-trustee under trusts for the benefit of Melisa T. Gerber; 43,440 shares as co-trustee under trusts for the benefit of David J. Gerber; and 818,564 shares as a Trustee under a trust for her benefit. These shares aggregate approximately 6.57% of the Issuer's outstanding shares. David J. Gerber beneficially owns an aggregate of 1,433,420 shares, including 83,255 shares in his own name, options to purchase 46,101 shares which are exercisable within 60 days; 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, David J. Gerber, with respect to all matters relating to such shares including voting and the retention or sale of such securities); 853,560 shares as co-trustee under trusts for the benefit of Sonia K. Gerber; 43,440 shares as co-trustee of two trusts for the benefit of David J. Gerber and 376,317 shares as sole trustee of two trusts for the benefit of David J. Gerber. These shares aggregate approximately 6.50% 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 544,621 shares and shared power to vote or direct the vote and shared power to dispose or direct the disposition of an aggregate of 905,444 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 571,416 shares including 46,101 exercisable options and 83,255 shares in his own name, 30,747 shares held in a trust established under the will of Bertha Gerber, 376,317 shares as sole trustee of two trusts for his benefit and 34,996 shares as sole trustee of a trust for the benefit of Sonia K. Gerber and shared power to vote or direct the vote and shared power to dispose or direct the disposition of an aggregate of 862,004 shares. No transactions in the Issuer's common stock were effected by either of the Reporting Persons during the past sixty days; on August 22, 2001, David J. Gerber resigned as a trustee of certain trusts for the benefit of his sister, Melisa T. Gerber, which trusts owned 419,757 shares. On August 21, 2001, Melisa T. Gerber resigned as a trustee of certain trusts for the benefit of David J. Gerber, which trusts owned 419,757 shares. CUSIP NO. 373730100 Page 5 of 5 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(k)(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: September 30, 2001 /s/ Sonia K. Gerber -------------------------------- Sonia K. Gerber /s/ David J. Gerber -------------------------------- David J. Gerber