-----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, FxZS59Y59YepYgU1/HmHuOKQ+h16ee0n8fmMbiRsaIPNRqdDJAthtaO6kO2BTPXn 5SxKA/Rm4f5LTzarbZOMpQ== 0000895345-03-000284.txt : 20030430 0000895345-03-000284.hdr.sgml : 20030430 20030430164050 ACCESSION NUMBER: 0000895345-03-000284 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030430 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICA SERVICE GROUP INC /DE CENTRAL INDEX KEY: 0000877476 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 510332317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42037 FILM NUMBER: 03673469 BUSINESS ADDRESS: STREET 1: 105 WESTPARK DR STREET 2: STE 300 CITY: BRENTWOOD STATE: TN ZIP: 37027 BUSINESS PHONE: 6153733100 MAIL ADDRESS: STREET 1: 105 WESTPARK DR STREET 2: STE 300 CITY: BRENTWOOD STATE: TN ZIP: 37027 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FERRER FREEMAN & CO LLC CENTRAL INDEX KEY: 0001113202 IRS NUMBER: 061433502 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 10 GLENVILLE STREET CITY: GREENWICH STATE: CT ZIP: 06831 BUSINESS PHONE: 2035328011 MAIL ADDRESS: STREET 1: 10 GLENVILLE STREET CITY: GREENWICH STATE: CT ZIP: 06831 FORMER COMPANY: FORMER CONFORMED NAME: FERRER FREEMAN THOMPSON & CO LLC DATE OF NAME CHANGE: 20000501 SC 13G/A 1 dg13ga.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1 )* AMERICA SERVICE GROUP INC. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $.01 per share - ------------------------------------------------------------------------------ (Title of Class of Securities) 02364 L 109 - ------------------------------------------------------------------------------ (CUSIP Number) April 21, 2003 - ------------------------------------------------------------------------------ (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) |X| 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 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 (the "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). - ----------------------------- ----------------------- CUSIP NO. 02364 L 109 13G PAGE 2 OF 8 PAGES - ----------------------------- ----------------------- - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Ferrer Freeman & Company, LLC TIN: 06-1433502 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Connecticut - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 383,927 ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 383,927 ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 383,927 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 6.0% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) OO - ------------------------------------------------------------------------------- - ----------------------------- ----------------------- CUSIP NO. 02364 L 109 13G PAGE 3 OF 8 PAGES - ----------------------------- ----------------------- - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) FFC Partners I, L.P. TIN: 06-1458417 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 340,639 ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 340,639 ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 340,639 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 5.4% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ------------------------------------------------------------------------------- - ----------------------------- ----------------------- CUSIP NO. 02364 L 109 13G PAGE 4 OF 8 PAGES - ----------------------------- ----------------------- - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) FFC Executive Partners I, L.P. TIN: 06-1477466 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 14,038 ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 14,038 ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,038 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately .2% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ------------------------------------------------------------------------------- SCHEDULE 13G This Statement on Schedule 13G, relating to the common stock, par value $.01 per share (the "Common Stock"), issued by America Service Group Inc., a Delaware corporation (the "Issuer"), is being filed by and on behalf of on behalf of Ferrer Freeman & Company, LLC ("FFC"), FFC Partners I, L.P. ("FFC I") and FFC Executive Partners I, L.P. ("FFC EP I") (the "Reporting Persons"), and amends the Schedule 13G filed on February 26, 2003. The percentages reported herein are based on there being 6,262,555 shares of Common Stock outstanding as of March 25, 2003, as reported in the Form 10-K filed by the Issuer on March 31, 2003. The information reported herein is current through April 30, 2003. ITEM 1(A). NAME OF ISSUER: Unchanged. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: Unchanged. ITEM 2(A). NAME OF PERSON FILING: Unchanged. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Unchanged. ITEM 2(C). CITIZENSHIP: Unchanged. ITEM 2(D). TITLE OF CLASS OF SECURITIES: Unchanged. ITEM 2(E). CUSIP NUMBER: Unchanged. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: Unchanged. ITEM 4. OWNERSHIP Item 4 is replaced in its entirety with the following: FFC - --- (a) Amount beneficially owned: 383,927 (consisting of (i) the 340,639 shares of Common Stock beneficially owned by FFC I, (ii) the 14,038 shares of Common Stock beneficially owned by FFC EP I), and (iii) options to purchase 29,250 shares of Common Stock exercisable within 60 days held by David A. Freeman pursuant to a contractual arrangement with FFC). (b) Percent of class: Approximately 6.0% of the outstanding Common Stock (computed in accordance with Rule 13d-3(d) under the Act). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 383,927 (ii) Shared power to vote or to direct the vote: (iii)Sole power to dispose or to direct the disposition of: 383,927 (iv) Shared power to dispose or to direct the disposition of: FFC I - ----- (a) Amount beneficially owned: 340,639 (consisting of (i) its ownership of 275,819 shares of Common Stock and (ii) its right to acquire beneficial ownership of 64,820 shares of Common Stock within 60 days through the exercise of warrants). (b) Percent of class: Approximately 5.4% of the outstanding Common Stock (computed in accordance with Rule 13d-3(d) under the Act). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 340,639 (ii) Shared power to vote or to direct the vote: (iii)Sole power to dispose or to direct the disposition of: 340,639 (iv) Shared power to dispose or to direct the disposition of: FFC EP I - ------- (a) Amount beneficially owned: 14,038 (consisting of (i) its ownership of 11,358 shares of Common Stock and (ii) its right to acquire beneficial ownership of 2,680 shares of Common Stock within 60 days through the exercise of warrants). (b) Percent of class: Approximately .2% of the outstanding Common Stock (computed in accordance with Rule 13d-3(d) under the Act). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 14,038 (ii) Shared power to vote or to direct the vote: (iii)Sole power to dispose or to direct the disposition of: 14,038 (iv) Shared power to dispose or to direct the disposition of: David A. Freeman, a Member of FFC is deemed to be the beneficial owner of 3,605 shares of Common Stock. Mr. Freeman has (a) the sole power to vote or direct the vote and (b) the sole power to dispose or direct the disposition of all 3,605 shares of Common Stock. 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 [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Unchanged. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Unchanged. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Unchanged. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Unchanged. ITEM 10. CERTIFICATIONS. Unchanged. SIGNATURE PAGE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: April 30, 2003 Ferrer Freeman & CompAny, LLC By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member FFC PARTNERS I, L.P. By: Ferrer Freeman & CompAny, LLC, its General Partner By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member FFC EXECUTIVE PARTNERS I, L.P. By: Ferrer Freeman & CompAny, LLC, its General Partner By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member EXHIBIT A --------- JOINT FILING AGREEMENT ---------------------- The undersigned agree that the foregoing Statement on Schedule 13G (including any and all amendments thereto) is being filed with the Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k). Date: April 30, 2003 Ferrer Freeman & CompAny, LLC By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member FFC PARTNERS I, L.P. By: Ferrer Freeman & CompAny, LLC, its General Partner By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member FFC EXECUTIVE PARTNERS I, L.P. By: Ferrer Freeman & CompAny, LLC, its General Partner By: /s/ Tricia A. Summers ----------------------------------- Name: Tricia A. Summers Title: Member -----END PRIVACY-ENHANCED MESSAGE-----