-----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, Iw5LOviTS90PbfN1nXMf5p8V1i2QjHwD3ErmA7deGhZkgjqldsQx4qNcbwcxbTzd wDW/orxQ/nJc7jQvHeuTPg== 0001012975-04-000194.txt : 20040706 0001012975-04-000194.hdr.sgml : 20040705 20040706162728 ACCESSION NUMBER: 0001012975-04-000194 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 5 FILED AS OF DATE: 20040706 GROUP MEMBERS: HYPERION FUNDING II CORP. GROUP MEMBERS: HYPERION TW FUND L.P. GROUP MEMBERS: HYPERION TW LLC GROUP MEMBERS: HYPERION VENTURES II L.P. GROUP MEMBERS: LEWIS S. RANIERI GROUP MEMBERS: SCOTT A. SHAY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIED HEALTHCARE INTERNATIONAL INC CENTRAL INDEX KEY: 0000890634 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-HOME HEALTH CARE SERVICES [8082] IRS NUMBER: 133098275 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45967 FILM NUMBER: 04902662 BUSINESS ADDRESS: STREET 1: 555 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127500064 MAIL ADDRESS: STREET 1: 555 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: TRANSWORLD HEALTHCARE INC DATE OF NAME CHANGE: 19970610 FORMER COMPANY: FORMER CONFORMED NAME: TRANSWORLD HOME HEALTHCARE INC DATE OF NAME CHANGE: 19940728 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HYPERION PARTNERS II LP CENTRAL INDEX KEY: 0000947804 IRS NUMBER: 113268360 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 50 CHARLES LINDBERGH BOULEVARD SUITE 500 CITY: UNIONDALE STATE: NY ZIP: 11553-3600 BUSINESS PHONE: 516-745-6644 MAIL ADDRESS: STREET 1: 50 CHARLES LINDBERGH BLVD STREET 2: SUITE 500 CITY: UNIONDALE STATE: NY ZIP: 11553-3600 SC 13D/A 1 e1059073v2.txt
UNITED STATES --------------------------- SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549 --------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response.......15 ---------------------------
SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)1 Allied Healthcare International Inc. - -------------------------------------------------------------------------------- (Name if Issuer) Common Stock $.01 par value per share - -------------------------------------------------------------------------------- (Title of class of Securities) 894081 10 8 ---------------------------------- (CUSIP Number) Scott A. Shay, Hyperion Partners II L.P., 50 Charles Lindbergh Blvd., Suite 500, Uniondale, NY 11553 (516) 745-6644 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 1, 2004 --------------------------------------- (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(e), 13d-1(f) or 13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 12 Pages) - ---------- 1 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 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).
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 2 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hyperion Partners II L.P. - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* WC, OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -11,002,910- (1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -11,002,910- (1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,485,610- (1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.8% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* PN - --------- ------------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Power is exercised through its sole general partner, Hyperion Ventures II L.P.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 3 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hyperion Ventures II L.P. - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -11,002,910- (1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -11,002,910- (1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,485,610- (1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.8% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* PN - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Solely in its capacity as the sole general partner of Hyperion Partners II L.P.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 4 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hyperion Funding II Corp. - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -11,002,910- (1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -11,002,910- (1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,485,610- (1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.8% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* CO - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Solely in its capacity as the sole general partner of Hyperion Ventures II L.P., which is the sole general partner of Hyperion Partners II L.P.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 5 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hyperion TW Fund L.P. - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* WC, OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -4,148,456-(1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -4,148,456-(1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -4,148,456-(1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.3% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* PN - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Power is exercised through its sole general partner, Hyperion TW LLC.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 6 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Hyperion TW LLC - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -4,148,456-(1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -4,148,456-(1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -4,148,456-(1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.3% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Solely in its capacity as the general partner of Hyperion TW Fund L.P.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 7 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Lewis S. Ranieri - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -11,860,610-(1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -11,860,610-(1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,860,610- (1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 26.7% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Solely in his capacity as Chairman and President, director and shareholder of Hyperion Funding II Corp., which is the sole general partner of Hyperion Ventures II L.P., which is the sole general partner of Hyperion Partners II L.P., which is a member of Hyperion TWH Fund LLC and the sole managing member of Hyperion TW LLC, which is the sole general partner of Hyperion TW Fund L.P., and as co-Managing Member of Hyperion TWH Fund II LLC.
- --------------------------- -------------------- -------------------------- CUSIP No. 894081 10 8 13D Page 8 of 12 Pages ------------ ---- --- - --------------------------- -------------------- -------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Scott A. Shay - --------- ------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - --------- ------------------------------------------------------------------------------------ 3 SEC USE ONLY - --------- ------------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* OO - --------- ------------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [_] ITEM 2(d) OR 2(e) - --------- ------------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - --------- ------------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES -0- BENEFICIALLY -------- --------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH -11,860,610-(1) REPORTING -------- --------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH -0- -------- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -11,860,610-(1) - --------- ------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,860,610- (1) - --------- ------------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------- ------------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 26.7% - --------- ------------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - --------- ------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Solely in his capacity as Executive Vice President and Assistant Secretary, director and shareholder of Hyperion Funding II Corp., which is the sole general partner of Hyperion Ventures II L.P., which is the sole general partner of Hyperion Partners II L.P., which is a member of Hyperion TWH Fund LLC and the sole managing member of Hyperion TW LLC, which is the sole general partner of Hyperion TW Fund L.P., and as sole member of SAS Hyperion LLC, which is the co-Managing Member of Hyperion TWH Fund II LLC. CUSIP No. 894081 10 8 Page 9 of 12 Pages ----------- ------ The Statement on Schedule 13D, dated June 6, 1996, filed by the undersigned with the Securities and Exchange Commission on June 7, 1996, relating to the Common Stock, par value $0.01 per share, of Allied Healthcare International, Inc. (f/k/a Transworld Healthcare, Inc.) ("Issuer"), as amended by Amendment No. 1 thereto, dated August 1, 1996, Amendment No. 2 thereto, dated January 23, 1997, Amendment No. 3 thereto, dated April 14, 1997, Amendment No. 4 thereto, dated May 5, 1997, Amendment No. 5 thereto, dated September 10, 1998, Amendment No. 6 thereto, dated January 31, 2001, Amendment No. 7 thereto, dated June 4, 2001, and Amendment No. 8 thereto, dated April 30, 2002 (collectively, the "Schedule 13D"), is hereby further amended by adding thereto the information set forth below. Capitalized terms used and not otherwise defined herein shall have the meanings ascribed to them in the Schedule 13D, unless the context otherwise requires. Item 3. Source and Amount of Funds and Other Consideration. Item 3 is hereby supplemented by addition of the following: The funds for the purchases of shares of Common Stock by Hyperion TWH Fund LLC, of which the Fund, Lewis S. Ranieri and Scott A. Shay are members, from July 26, 2002 through August 12, 2002 were obtained from capital contributed to it by its members. Item 4. Purpose of Transactions. Item 4 is hereby supplemented by addition of the following: The shares of Common Stock acquired by Hyperion TWH Fund LLC between July 26, 2002 and August 12, 2002 were acquired by Hyperion TWH Fund LLC for the purpose of investment. The shares of Common Stock referred to in the preceding sentence and any other shares of Common Stock now owned or hereafter acquired by the Fund, the TW Fund, Hyperion TWH Fund LLC and Hyperion TWH Fund II LLC, respectively, or by other Reporting Persons, may be disposed of in compliance with applicable law, rules and regulations at any time or from time to time, in whole or in part. In addition, the Reporting Persons and their affiliates may in the future acquire additional shares of Common Stock. CUSIP No. 894081 10 8 Page 10 of 12 Pages ----------- ------ Item 5. Interest in Securities of the Issuer. Items 5(a)-(c) are hereby supplemented by addition of the following: Hyperion TWH Fund LLC purchased (i) 15,000 shares of Common Stock on the open market on July 26, 2002 in a number of separate purchases at prices ranging between $4.08 to $4.65 per share, (ii) 24,400 shares of Common Stock on the open market on July 29, 2002 in a number of separate purchases at prices ranging between $4.64 to $4.80 per share and (iii) 21,000 shares of Common Stock on the open market on August 12, 2002 at $4.82 per share. Accordingly, the Fund beneficially owns 11,485,610 shares of Common Stock (of which 6,854,454 shares are owned directly by the Fund, 4,148,456 shares are owned directly by the TW Fund and 482,700 are owned by Hyperion TWH Fund LLC), constituting approximately 25.8% of the outstanding Common Stock (on the basis of 44,464,954 shares outstanding as of July 1, 2004. Item 6. Contracts, Arrangements, Understandings or Relationship with Respect to securities of the Issuer. Each of the Fund, TW Fund, Hyperion TWH Fund LLC and Scott A. Shay has agreed not to offer, sell, contract to sell or otherwise dispose of (either directly or through an affiliate) any shares of capital stock of the Issuer held by such person for a period of 90 days from July 1, 2004 and otherwise in accordance with the terms of the Letter Agreement, dated as of July 1, 2004, entered into by such person with Friedman, Billings, Ramsey & Co., Inc. Each such Letter Agreement is attached pursuant to Item 7 hereof. Item 7. Material to be Filed as Exhibits. Please see the following separately filed Exhibits: Exhibit A - Letter Agreement, dated July 1, 2004, between the Fund and Friedman, Billings, Ramsey & Co., Inc., as Representative of the several Underwriters, delivered in connection with the Issuer's Underwriting Agreement. Exhibit B - Letter Agreement, dated July 1, 2004, between the TW Fund and Friedman, Billings, Ramsey & Co., Inc., as Representative of the several Underwriters, delivered in connection with the Issuer's Underwriting Agreement. Exhibit C - Letter Agreement, dated July 1, 2004, between Hyperion TWH Fund LLC Fund and Friedman, Billings, Ramsey & Co., Inc., as Representative of the several Underwriters, delivered in connection with the Issuer's Underwriting Agreement. Exhibit D - Letter Agreement, dated July 1, 2004, between Scott A. Shay and Friedman, Billings, Ramsey & Co., Inc., as Representative of the several Underwriters, delivered in connection with the Issuer's Underwriting Agreement. CUSIP No. 894081 10 8 Page 11 of 12 Pages ----------- ------ Signature After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: July 2, 2004 HYPERION TW FUND L.P. By: HYPERION TW LLC, its General Partner By: HYPERION PARTNERS II L.P., its Managing Member By: HYPERION VENTURES II L.P., its General Partner By: HYPERION FUNDING II CORP., its General Partner By: /s/ Scott A. Shay -------------------------------- Name: Scott A. Shay ------------------------- Title: Executive Vice President ------------------------- HYPERION TW LLC, By: HYPERION PARTNERS II L.P., its Managing Member By: HYPERION VENTURES II L.P., its General Partner By: HYPERION FUNDING II CORP., its General Partner By: /s/ Scott A. Shay -------------------------------- Name: Scott A. Shay ------------------------- Title: Executive Vice President ------------------------- CUSIP No. 894081 10 8 Page 12 of 12 Pages ----------- ------ HYPERION PARTNERS II L.P. By: HYPERION VENTURES II L.P., its General Partner By: HYPERION FUNDING II CORP., its General Partner By: /s/ Scott A. Shay -------------------------------- Name: Scott A. Shay ------------------------- Title: Executive Vice President ------------------------- HYPERION VENTURES II L.P. By: HYPERION FUNDING II CORP., its General Partner By: /s/ Scott A. Shay -------------------------------- Name: Scott A. Shay ------------------------- Title: Executive Vice President ------------------------- HYPERION FUNDING II CORP. By: /s/ Scott A. Shay -------------------------------- Name: Scott A. Shay ------------------------- Title: Executive Vice President ------------------------- /s/ Scott A. Shay ------------------------------------ Scott A. Shay /s/ Lewis S. Ranieri ------------------------------------ Lewis S. Ranieri EX-99.1 2 e288777.txt EXHIBIT A Exhibit A --------- ALLIED HEALTHCARE INTERNATIONAL INC. Offering of Common Stock ------------------------ July 1, 2004 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. as Representative of the several Underwriters c/o Friedman, Billings, Ramsey & Co., Inc. 1001 19th Street North Arlington, Virginia 22209 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed Underwriting Agreement (the "Underwriting Agreement"), between Allied Healthcare International Inc., a New York corporation (the "Company"), and you as representative of a group of Underwriters named therein, relating to an underwritten public offering of Common Stock, $0.01 par value (the "Common Stock"), of the Company. In order to induce you and the other Underwriters to enter into the Underwriting Agreement, the undersigned will not, without the prior written consent of Friedman, Billings, Ramsey & Co., Inc., offer, sell, contract to sell, assign, transfer, pledge or otherwise dispose of, (or enter into any transaction which is designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) by the undersigned or any affiliate of the undersigned or any person in privity with the undersigned or any affiliate of the undersigned), directly or indirectly, including the filing (or participation in the filing) of a registration statement with the Securities and Exchange Commission in respect of, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission promulgated thereunder with respect to, any shares of capital stock of the Company or any securities convertible into, or exercisable or exchangeable for such capital stock, or publicly announce an intention to effect any such transaction, for a period of 90 days following the date of the Company's final Prospectus, other than shares of Common Stock purchased by the Underwriters pursuant to the Underwriting Agreement and shares of Common Stock disposed of as bona fide gifts approved by Friedman, Billings, Ramsey & Co., Inc. If (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last 17 days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the 18-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event. Anything contained herein to the contrary notwithstanding, any person to whom shares of Common Stock are transferred from the undersigned shall be bound by the terms of this Agreement. In addition, the undersigned hereby waives, from the date hereof until the expiration of the 90 day period following the date of the Company's final Prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock that are registered in the name of the undersigned or any shares of Common Stock that are deemed to be beneficially owned by the undersigned in accordance with the rules and regulations promulgated under the Securities Act (the "Beneficially Owned Shares"). In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of stop-transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock or Beneficially Owned Shares. The agreement set forth above shall terminate on the date that the Company or Friedman, Billings, Ramsey & Co., Inc. notifies the undersigned in writing that it does not intend to proceed with the public offering of Common Stock contemplated hereby. If for any reason the Underwriting Agreement shall be terminated prior to the Closing Date (as defined in the Underwriting Agreement), the agreement set forth above shall likewise be terminated. [Signature Page to Follow] Yours very truly, Hyperion Partners II L.P. By: Hyperion Ventures II L.P., its general partner By: Hyperion Funding II Corp., its general partner ___________________________________ By: Scott A. Shay Title: Executive Vice President Address: 50 Charles Lindbergh Blvd, Suite 500 Uniondale, NY 11553 EX-99.2 3 e288774.txt EXHIBIT B Exhibit B --------- ALLIED HEALTHCARE INTERNATIONAL INC. Offering of Common Stock ------------------------ July 1, 2004 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. as Representative of the several Underwriters c/o Friedman, Billings, Ramsey & Co., Inc. 1001 19th Street North Arlington, Virginia 22209 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed Underwriting Agreement (the "Underwriting Agreement"), between Allied Healthcare International Inc., a New York corporation (the "Company"), and you as representative of a group of Underwriters named therein, relating to an underwritten public offering of Common Stock, $0.01 par value (the "Common Stock"), of the Company. In order to induce you and the other Underwriters to enter into the Underwriting Agreement, the undersigned will not, without the prior written consent of Friedman, Billings, Ramsey & Co., Inc., offer, sell, contract to sell, assign, transfer, pledge or otherwise dispose of, (or enter into any transaction which is designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) by the undersigned or any affiliate of the undersigned or any person in privity with the undersigned or any affiliate of the undersigned), directly or indirectly, including the filing (or participation in the filing) of a registration statement with the Securities and Exchange Commission in respect of, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission promulgated thereunder with respect to, any shares of capital stock of the Company or any securities convertible into, or exercisable or exchangeable for such capital stock, or publicly announce an intention to effect any such transaction, for a period of 90 days following the date of the Company's final Prospectus, other than shares of Common Stock purchased by the Underwriters pursuant to the Underwriting Agreement and shares of Common Stock disposed of as bona fide gifts approved by Friedman, Billings, Ramsey & Co., Inc. If (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last 17 days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the 18-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event. Anything contained herein to the contrary notwithstanding, any person to whom shares of Common Stock are transferred from the undersigned shall be bound by the terms of this Agreement. In addition, the undersigned hereby waives, from the date hereof until the expiration of the 90 day period following the date of the Company's final Prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock that are registered in the name of the undersigned or any shares of Common Stock that are deemed to be beneficially owned by the undersigned in accordance with the rules and regulations promulgated under the Securities Act (the "Beneficially Owned Shares"). In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of stop-transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock or Beneficially Owned Shares. The agreement set forth above shall terminate on the date that the Company or Friedman, Billings, Ramsey & Co., Inc. notifies the undersigned in writing that it does not intend to proceed with the public offering of Common Stock contemplated hereby. If for any reason the Underwriting Agreement shall be terminated prior to the Closing Date (as defined in the Underwriting Agreement), the agreement set forth above shall likewise be terminated. [Signature Page to Follow] Yours very truly, Hyperion TW Fund L.P. By: Hyperion TW LLC, its general partner ___________________________________ By: Scott A. Shay Title: Executive Vice President Address: 50 Charles Lindbergh Blvd, Suite 500 Uniondale, NY 11553 EX-99.3 4 e288772.txt EXHIBIT C Exhibit C --------- ALLIED HEALTHCARE INTERNATIONAL INC. Offering of Common Stock ------------------------ July 1, 2004 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. as Representative of the several Underwriters c/o Friedman, Billings, Ramsey & Co., Inc. 1001 19th Street North Arlington, Virginia 22209 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed Underwriting Agreement (the "Underwriting Agreement"), between Allied Healthcare International Inc., a New York corporation (the "Company"), and you as representative of a group of Underwriters named therein, relating to an underwritten public offering of Common Stock, $0.01 par value (the "Common Stock"), of the Company. In order to induce you and the other Underwriters to enter into the Underwriting Agreement, the undersigned will not, without the prior written consent of Friedman, Billings, Ramsey & Co., Inc., offer, sell, contract to sell, assign, transfer, pledge or otherwise dispose of, (or enter into any transaction which is designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) by the undersigned or any affiliate of the undersigned or any person in privity with the undersigned or any affiliate of the undersigned), directly or indirectly, including the filing (or participation in the filing) of a registration statement with the Securities and Exchange Commission in respect of, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission promulgated thereunder with respect to, any shares of capital stock of the Company or any securities convertible into, or exercisable or exchangeable for such capital stock, or publicly announce an intention to effect any such transaction, for a period of 90 days following the date of the Company's final Prospectus, other than shares of Common Stock purchased by the Underwriters pursuant to the Underwriting Agreement and shares of Common Stock disposed of as bona fide gifts approved by Friedman, Billings, Ramsey & Co., Inc. If (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last 17 days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the 18-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event. Anything contained herein to the contrary notwithstanding, any person to whom shares of Common Stock are transferred from the undersigned shall be bound by the terms of this Agreement. In addition, the undersigned hereby waives, from the date hereof until the expiration of the 90 day period following the date of the Company's final Prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock that are registered in the name of the undersigned or any shares of Common Stock that are deemed to be beneficially owned by the undersigned in accordance with the rules and regulations promulgated under the Securities Act (the "Beneficially Owned Shares"). In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of stop-transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock or Beneficially Owned Shares. The agreement set forth above shall terminate on the date that the Company or Friedman, Billings, Ramsey & Co., Inc. notifies the undersigned in writing that it does not intend to proceed with the public offering of Common Stock contemplated hereby. If for any reason the Underwriting Agreement shall be terminated prior to the Closing Date (as defined in the Underwriting Agreement), the agreement set forth above shall likewise be terminated. [Signature Page to Follow] Yours very truly, Hyperion TWH Fund LLC -------------------------------------- By: Scott A. Shay Title: Executive Vice President Address: 50 Charles Lindbergh Blvd, Suite 500 Uniondale, NY 11553 EX-99.4 5 e288771.txt EXHIBIT D Exhibit D --------- ALLIED HEALTHCARE INTERNATIONAL INC. Offering of Common Stock ------------------------ July 1, 2004 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. as Representative of the several Underwriters c/o Friedman, Billings, Ramsey & Co., Inc. 1001 19th Street North Arlington, Virginia 22209 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed Underwriting Agreement (the "Underwriting Agreement"), between Allied Healthcare International Inc., a New York corporation (the "Company"), and you as representative of a group of Underwriters named therein, relating to an underwritten public offering of Common Stock, $0.01 par value (the "Common Stock"), of the Company. In order to induce you and the other Underwriters to enter into the Underwriting Agreement, the undersigned will not, without the prior written consent of Friedman, Billings, Ramsey & Co., Inc., offer, sell, contract to sell, assign, transfer, pledge or otherwise dispose of, (or enter into any transaction which is designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) by the undersigned or any affiliate of the undersigned or any person in privity with the undersigned or any affiliate of the undersigned), directly or indirectly, including the filing (or participation in the filing) of a registration statement with the Securities and Exchange Commission in respect of, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission promulgated thereunder with respect to, any shares of capital stock of the Company or any securities convertible into, or exercisable or exchangeable for such capital stock, or publicly announce an intention to effect any such transaction, for a period of 90 days following the date of the Company's final Prospectus, other than shares of Common Stock purchased by the Underwriters pursuant to the Underwriting Agreement and shares of Common Stock disposed of as bona fide gifts approved by Friedman, Billings, Ramsey & Co., Inc. If (i) the Company issues an earnings release or material news or a material event relating to the Company occurs during the last 17 days of the lock-up period, or (ii) prior to the expiration of the lock-up period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the lock-up period, the restrictions imposed by this Agreement shall continue to apply until the expiration of the 18-day period beginning on the issuance of the earnings release or the occurrence of the material news or material event. Anything contained herein to the contrary notwithstanding, any person to whom shares of Common Stock are transferred from the undersigned shall be bound by the terms of this Agreement. In addition, the undersigned hereby waives, from the date hereof until the expiration of the 90 day period following the date of the Company's final Prospectus, any and all rights, if any, to request or demand registration pursuant to the Securities Act of 1933, as amended, of any shares of Common Stock that are registered in the name of the undersigned or any shares of Common Stock that are deemed to be beneficially owned by the undersigned in accordance with the rules and regulations promulgated under the Securities Act (the "Beneficially Owned Shares"). In order to enable the aforesaid covenants to be enforced, the undersigned hereby consents to the placing of stop-transfer orders with the transfer agent of the Common Stock with respect to any shares of Common Stock or Beneficially Owned Shares. The agreement set forth above shall terminate on the date that the Company or Friedman, Billings, Ramsey & Co., Inc. notifies the undersigned in writing that it does not intend to proceed with the public offering of Common Stock contemplated hereby. If for any reason the Underwriting Agreement shall be terminated prior to the Closing Date (as defined in the Underwriting Agreement), the agreement set forth above shall likewise be terminated. [Signature Page to Follow] Yours very truly, -------------------------------------- By: Scott A. Shay Address: 50 Charles Lindbergh Blvd, Suite 500 Uniondale, NY 11553 -----END PRIVACY-ENHANCED MESSAGE-----