-----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, O7jUJfSBAPA1GXCtMn23rl5S8Br7xKBxPQOjJKHGbUqw6PuLcOYZRSRLT4vRUdfN 6PhuYX1xSl+PnPoGSE36zQ== 0001015402-03-002290.txt : 20030606 0001015402-03-002290.hdr.sgml : 20030606 20030606114426 ACCESSION NUMBER: 0001015402-03-002290 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGMAN LAWRENCE G CENTRAL INDEX KEY: 0001055845 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 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: 1934 Act SEC FILE NUMBER: 005-53519 FILM NUMBER: 03735311 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 SC 13D/A 1 doc1.txt 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. 2) 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 LLP 99 Garnsey Road Pittsford, New York 14534 (585) 419-8646 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 2, 2003 ------------ (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. 460927106 --------- - -------------------------------------------------------------------------------- 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) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 529,900 NUMBER OF ----------------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY EACH ----------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 529,900 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 529,900 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 12.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- PAGE 2 of 4 ITEM 1. SECURITIES AND ISSUER 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 executive offices is 10 Rockefeller Plaza (Suite 1015), New York, New York 10020. ITEM 2. IDENTITY AND BACKGROUND This Schedule is being filed by Mr. Lawrence G. Bergman, Vice President and a Director of the Issuer. His business address is 10 Rockefeller Plaza (Suite 1015), New York, New York 10020. During the five years prior to the date of this Schedule, Mr. Bergman has not been convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors), nor has he been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding become subject to 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. Mr. Bergman is a citizen of the United States of America. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION This Amendment is being filed to report changes in beneficial ownership and to include shares of Class A Common Stock now issuable upon conversion of shares of Class B Common Stock. ITEM 4. PURPOSE OF TRANSACTION. Personal investment. Mr. Bergman does not have any plan or proposal that would result in or relate to any of the transactions required to be described in Item 4 of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF ISSUER. (a) Mr. Bergman owns 529,900 shares of Class A Common Stock, which constitutes approximately 12.0% of the Issuer's total number of outstanding shares of Common Stock. Includable in the 529,900 shares are exercisable warrants to purchase 6,250 shares of Class A Common Stock and 75,000 shares issuable upon conversion of shares of Class B Common Stock. (b) Mr. Bergman has sole power to vote and dispose of 529,900 shares of Class A Common Stock of the Issuer. (c) During the past 60 days, Mr. Bergman has sold 3,400 shares of Class A Common Stock in open market transactions. A total of 2,500 shares were sold on May 15, 2003 at a price of $11.35 per share and 900 shares were sold on May 23, 2003 at a price of $11.43 per share. (d) Included in the 529,900 shares are 10,350 shares held by his children. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERTAKINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None 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: June 3, 2003 /s/ Lawrence G. Bergman ------------------------------------ (Signature) ------------------------------------ Lawrence G. Bergman (Name) PAGE 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----