-----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, K9xcG3peixvdZ/LIdtPmg2R+ygi+l8lhzRwy36F23nn5a02qhe7AFHdIDXCoYtjj MwV7L9SgjU0OBbGVm8ZTGA== 0000910680-03-000176.txt : 20030214 0000910680-03-000176.hdr.sgml : 20030214 20030214151010 ACCESSION NUMBER: 0000910680-03-000176 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030214 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BARTELS WILLIAMS H CENTRAL INDEX KEY: 0001090391 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: SPAR GROUP INC STREET 2: 303 SOUTH BROADWAY SUITE 140 CITY: TARRYTOWN STATE: NY ZIP: 10591 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPAR GROUP INC CENTRAL INDEX KEY: 0001004989 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 330684451 STATE OF INCORPORATION: DE FISCAL YEAR END: 0101 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27408 FILM NUMBER: 03566923 BUSINESS ADDRESS: STREET 1: 580 WHITE PLAINS ROAD CITY: TARRYTOWN STATE: NY ZIP: 10591 BUSINESS PHONE: 914-332-4100 MAIL ADDRESS: STREET 1: 580 WHITE PLAINS ROAD CITY: TARRYTOWN STATE: NY ZIP: 10591 FORMER COMPANY: FORMER CONFORMED NAME: PIA MERCHANDISING SERVICES INC DATE OF NAME CHANGE: 19951220 5 1 f5-wbartels122002.txt WILLIAM H. BARTELS - 12/2002 ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0362 Expires: January 31, 2005 Estimated average burden hours per response ....... 1.0 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Bartels William H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o SPAR Group, Inc. 580 White Plains Road - -------------------------------------------------------------------------------- (Street) Tarrytown New York 10591 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol SPAR Group, Inc. ("SGRP") - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year December, 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [X] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Vice Chairman ------------- - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [ ] Form filed by more than one Reporting Person - -------------------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. Amount of 6. Owner- 2A. 4. Securities Acquired (A) or Securities ship 7. Nature 2. Trans- Deemed 3. Trans- Disposed of (D) Beneficially Form: of action Execution action (Instr. 3, 4 and 5) Owned at End Direct Indirect Date Date, if Code -------------------------- of Issuer's (D) or Benefi- 1. Title (Month/ any Month/ (Instr.8) (A) Fiscal Indirect cial of Security Day/ Day/ or Year (Instr. (I) Ownership (Instr. 3) Year) Year) Amount (D) Price 3 and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value 5,227,406(1) D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value 4,000 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
*If the form is filed by more than one reporting person see instruction 4(b)(v). (Over) SEC 2270 (3-99) FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. 3A. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- Deemed 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Execution Trans- of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date Date, if action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ any Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Month/Day (Instr. ----------- Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Option to Stock, buy Common $.01 par Stock $1.30 (3) 08/02/11 value 58,999(4) D - ------------------------------------------------------------------------------------------------------------------------------------ Common Option to Stock, buy Common $.01 par Stock $1.30 (5) 08/02/11 value 153,846 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Option to Stock, buy Common $.01 par Stock $1.43 (6) 08/02/11 value 82,150 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Option to Stock, buy Common $.01 par Stock value 294,995 D ====================================================================================================================================
Explanation of Responses: (1) Includes 250,000 shares owned by Stella Bartels. (2) Owned as beneficiary under WHB Services, Inc. Defined Benefit Trust. (3) Vests as to 58,999 shares on August 2, 2003. (4) 235,996 option shares were granted on August 2, 2001; 176,997 shares have vested and been exercised; (5) Shares become immediately vested and exercisable when the market value of shares is $10.00. (6) Shares are eligible to vest in five equal vesting periods through each of December 31, 2001, 2002, 2003, 2004 and 2005. For each period, Twenty percent of the options may become vested and exercisable if the fair market value of the shares equals at least $10.00 at some time such during period. On January 1, 2006 through August 2, 2006, all options which did not vest during the earlier vesting periods will become immediately exercisable if the fair market value of the shares, at any time during this seven month period, equals no less than $10.00. /s/ William H. Bartels 2/13/03 - ------------------------------------------- ----------------- **Signature of Reporting Person Date * If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----