-----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, Hi7kpQ9i3aIMyH3XFusUTKeGZ1uaOhKMMmwO/czQIGX08JVMtk3Ji5V1VzVUWlgn Hzgy74epy9Gr7hBdMuhmdw== 0000919607-00-000228.txt : 20000403 0000919607-00-000228.hdr.sgml : 20000403 ACCESSION NUMBER: 0000919607-00-000228 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000331 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INTERVEST BANCSHARES CORP CENTRAL INDEX KEY: 0000927807 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 133699013 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-53519 FILM NUMBER: 591394 BUSINESS ADDRESS: STREET 1: 10 ROCKEFELLER PLAZA STREET 2: STE 1015 CITY: NEW YORK STATE: NY ZIP: 10020-1903 BUSINESS PHONE: 2127577300 MAIL ADDRESS: STREET 1: 10 ROCKEFELLER PLAZA STREET 2: SUITE 1015 CITY: NEW YORK STATE: NY ZIP: 10020-1903 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGMAN LAWRENCE G CENTRAL INDEX KEY: 0001055845 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 360 WEST 55TH STREET CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2127577300 SC 13D/A 1 AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Information to be included in statements filed pursuant to 13d-1(a) and amendments thereto filed pursuant to 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 1) INTERVEST BANCSHARES CORPORATION (Name of Issuer) Class A Common Stock, $1.00 par value (Title of Class of Securities) 460927 106 (CUSIP Number) Thomas E. Willett, Esq. Harris Beach & Wilcox, LLP 130 East Main Street Rochester, New York 14604 (716) 232-4440 (Name, Address and Telephone Number of Person Authorized to Receive Notes and Communications) March 10, 2000 (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 . Page 1 of 4 CUSIP No. 981500101 Page 2 of 4 Pages 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Lawrence G. Bergman ----------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) o ----------------------------------------------------------------- 3 SEC USE ONLY ----------------------------------------------------------------- 4 SOURCE OF FUND PF ----------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o ----------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States ----------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 475,500 ------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 475,500 *Shares owned by spouse ------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 475,500 ------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 475,500 * Shares owned by spouse ------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 951,500 ----------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES o ----------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 26.21% ----------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN ----------------------------------------------------------------- Page 2 of 4 Item 1. Title and Class of Securities. This Schedule relates to the Class A Common Stock, par value $1.00 per share, of Intervest Bancshares Corporation (the "Issuer"). The address of the Issuer's principal execute offices is: 10 Rockefeller Plaza (Suite 1015) New York, New York 10020 Item 2. Identity and Background This Schedule is being filed by Lawrence G. Bergman, Vice President and Director of the Issuer. Item 3. Source and Amount of Funds or Other Consideration This Schedule is being filed in connection with Mr. Bergman's acquisition of 203,500 shares of Class A Common Stock of the Issuer. The shares were acquired in exchange for the shares of capital stock of Intervest Corporation of New York ("ICNY") in the merger of ICNY Acquisition Corporation, a wholly-owned subsidiary of Intervest Bancshares Corporation, into ICNY (the "Merger"). This amends a prior filing made on March 22, 2000. Item 4. Purpose of Transaction. Personal investment. Item 5. Interest in Securities of Issuer. (a) 951,500 shares of Class A Common Stock, which constitutes approximately 26.61% of the Issuer's total number of outstanding shares of Common Stock. Included in the 951,500 shares are exercisable warrants to purchase 47,500 shares held by Mr. Bergman and exercisable warrants to purchase 47,500 shares held by his spouse. (b) Mr. Bergman has sole power to vote and dispose of 475,500 shares of Class A Common Stock of the Issuer. He has shared power, with his spouse, to vote and dispose of 475,500 shares of Common Stock of the Issuer which his spouse owns. (c) On March 10, 2000, Mr. Bergman acquired 203,500 shares of Class A Common Stock of the Issuer in the Merger. (d) Not applicable. (e) Not applicable. Item 6. Contracts, Arrangements, Undertakings or Relationships with respect to Securities of the Issuer. No contracts, arrangements, understandings or relationships exist among the person named in Item 2 above, or any other person with respect to any securities of the Issuer, including by not limited to, transfer or voting of such securities, finders' fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies. Item 7. Material to be Filed as Exhibits. Not applicable. Page 3 of 4 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 29, 2000 /s/Lawrence G. Bergman ------------------------------------- (Signature) Lawrence G. Bergman --------------------------------------- (Name) Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----