-----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, C0GSZXSJ3/VmjAGZD67mhPl/LDJihMs6Xid/WfFdD0AmzgA42QCe9hjrdd5Fuo0f BCF9yNO25TOSRYLtnxHlmA== 0000874963-97-000025.txt : 19970225 0000874963-97-000025.hdr.sgml : 19970225 ACCESSION NUMBER: 0000874963-97-000025 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970205 SROS: NASD GROUP MEMBERS: D.H. BLAIR INVESTMENT BANKING CORP. GROUP MEMBERS: DAVIS J MORTON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PERMA FIX ENVIRONMENTAL SERVICES INC CENTRAL INDEX KEY: 0000891532 STANDARD INDUSTRIAL CLASSIFICATION: HAZARDOUS WASTE MANAGEMENT [4955] IRS NUMBER: 581954497 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45449 FILM NUMBER: 97518076 BUSINESS ADDRESS: STREET 1: 1940 NORTHWEST 67TH PLACE STREET 2: SUITE A CITY: GAINESVILLE STATE: FL ZIP: 32653 BUSINESS PHONE: 3523951351 MAIL ADDRESS: STREET 1: 1940 NW 67TH PL STREET 2: SUITE A CITY: GAINESVILLE STATE: FL ZIP: 32653 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVIS J MORTON CENTRAL INDEX KEY: 0000900184 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 44 WAY STREET STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 MAIL ADDRESS: STREET 1: 44 WALL STREET STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SC 13G/A 1 AMENDED SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.____3_______)* Perma-Fix Environmental Services, Inc. ----------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value ------------------------------------------------------------- (Title of Class of Securities) 714157104 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). CUSIP No. 714157104 13G Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON J. Morton Davis - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 667,952 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 667,952 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 667,952 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 714157104 13G Page 3 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D.H. Blair Investment Banking Corp. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 630,177 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 630,177 - ---------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 630,177 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 4 of 5 Pages Item 1. J. Morton Davis and D.H. Blair Investment Banking Corp. ("Blair Investment") (together, the "Reporting Parties"), hereby amend their statement on Schedule 13G relating to the Common Stock, $.001 par value ("shares") of Perma-Fix Environmental Services, Inc. (the "Issuer") as follows: Item 2. (a) is hereby amended in its entirety as follows: J. Morton Davis and Blair Investment (1). See Exhibit A which is a copy of their agreement in writing to file this statement on behalf of each of them (previously filed in a Schedule 13G, dated February 14, 1996, of which this is Amendment No. 3 thereto, and incorporated by reference herein). Item 2. (b) is hereby amended in its entirety as follows: Mr. Davis' and Blair Investment's business address is 44 Wall Street, New York, New York 10005. Item 2. (c) is hereby amended in its entirety as follows: Mr. Davis is a United States citizen. Blair Investment is incorporated in the State of Delaware. Item 4. is hereby amended in its entirety as follows: (a) (b) As of December 31, 1996, Mr. Davis may be deemed to beneficially own 667,952 shares (2) or 6.8% of the Issuer's shares as follows: (i) 206,701 shares owned by Blair Investment, (ii) 206,701 shares underlying a warrant to purchase 206,701 shares at $2.15 per share through February 10, 1997 owned by Blair Investment, (iii) 9,775 shares underlying a warrant to purchase 9,775 shares at $2.75 per share through August 31, 1999 owned by Blair Investment, (iv) 7,000 shares underlying a warrant to purchase 7,000 shares at $1.98 per share through August 31, 1999 owned directly by Blair Investment, (v) 200,000 shares underlying a warrant to purchase 200,000 shares at $1.75 per share through September 15, 1999 owned directly by Blair Investment, (vi) 9,775 shares underlying a warrant to purchase 9,775 shares at $2.75 per share through August 31, 1999 owned directly by Mr. Davis, and (vii) 28,000 shares underlying a warrant to purchase 28,000 shares at $1.98 per share through August 31, 1999 owned directly by Mr. Davis. As of December 31, 1996, Blair Investment may be deemed to beneficially own 630,177 shares or 6.4% of the Issuer's shares as indicated in (i) - (v) above. (c) Mr. Davis has sole power to vote or to direct the vote, to dispose or to direct the disposition of those shares owned by Blair Investment and himself. - ------------------------------------------------------------------------------ (1) Mr. Davis is an investment banker and sole shareholder of Blair Investment, a broker-dealer registered under the Securities Exchange Act of 1934. Prior to May 1, 1996, Blair Investment was a wholely-owned subsidiary of D.H. Blair Holdings, Inc. ("Blair Holdings"), which was solely owned by Mr. Davis. As of May 1, 1996, Blair Holdings merged into Blair Investment, with Blair Investment being the surviving corporation. (2) The number of shares owned does not include 570,494 shares which are beneficially owned by Steve Gorlin and which are pledged to Mr. Davis and Blair Investment pursuant to a Pledge Agreement dated June, 1992. The number of shares owned also does not include 160,361 shares owned by Kinder Investments, L.P. ("Kinder"). Kenton E. Wood, the general partner of Kinder, is a stockholder of, and the Chairman and Chief Executive Officer of D.H. Blair & Co., Inc. ("Blair"). Certain limited partners of Kinder are also stockholders of Blair. The limited partners of Kinder are the children and grandchildren of Mr. Davis. Blair Investment and Mr. Davis disclaim for purposes of Section 13 or otherwise beneficial ownership of any shares owned by Kinder or Blair. Kinder disclaims for purposes of Section 13 or otherwise beneficial ownership of any shares owned by Blair, Blair Investment, or Mr. Davis. Page 5 of 5 pages Signature. 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: February 4, 1997 By: /s/ J. Morton Davis ------------------------------- J. Morton Davis Date: February 4, 1997 D.H. Blair Investment Banking Corp. By: /s/ David Nachamie ------------------------------- David Nachamie Treasurer -----END PRIVACY-ENHANCED MESSAGE-----