-----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, FXniUuCi+of+7ozjoemQvCKfX9n8XK6tcYvbU+5qkubXM2gQOsp2WKskZUDW9wv6 S8wF6n01p+0mNujYuStbug== 0000914062-97-000030.txt : 19970113 0000914062-97-000030.hdr.sgml : 19970113 ACCESSION NUMBER: 0000914062-97-000030 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970110 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROFIT RECOVERY GROUP INTERNATIONAL INC CENTRAL INDEX KEY: 0001007330 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING, ACCOUNTING, RESEARCH, MANAGEMENT [8700] IRS NUMBER: 582213805 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28000 FILM NUMBER: 97503531 BUSINESS ADDRESS: STREET 1: 2300 WINDY RIDGE PARKWAY STREET 2: STE 100 NORTH CITY: ATLANTA STATE: GA ZIP: 30339-8426 BUSINESS PHONE: 7709553815 MAIL ADDRESS: STREET 1: 2300 WINDY RIDGE PKWY STREET 2: STE 100 NORTH CITY: ATLANTA STATE: GA ZIP: 30339-8426 COMPANY DATA: COMPANY CONFORMED NAME: SHAPS JOEL M CENTRAL INDEX KEY: 0001030272 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1228 GRONWALL COURT CITY: LOS ALTOS STATE: CA ZIP: 94024 BUSINESS PHONE: 4159485096 MAIL ADDRESS: STREET 1: 1228 GRONWALL COURT CITY: LOS ALTOS STATE: CA ZIP: 94024 3 1 FORM 3 - JANUARY 2, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person JOEL M. SHAPS 1228 GRONWALL COURT LOS ALTOS, CA 94024 USA 2. Date of Event Requiring Statement (Month/Day/Year) JANUARY 2, 1997 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol THE PROFIT RECOVERY GROUP INTERNATIONAL, INC. PRGX 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) PRESIDENT - The Shaps Group, Inc. 6. If Amendment, Date of Original (Month/Day/Year) 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 Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| COMMON STOCK, NO PAR VALUE PER SHARE | 281,250 | D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| OPTION TO PURCHASE COMMON STOCK |* |1/2/2007 |COMMON STOCK |50,000 |$14.50 |D | ___________________________________________________________________________________________________________________________________ CALL OPTION (OBLIGA- TION TO SELL)** |8/1/96 |6/30/97 |COMMON STOCK |18,750 |$ 1.17 |** ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * The Option vests and becomes exercisable in 20% increments, with 20% becoming exercisable on January 2, 1998, an additional 20% becoming exercisable on January 2, 1999, an additional 20% becoming exercisable on January 2, 2000, an additional 20% becoming exercisable on January 2, 2001 and the final 20% becoming exercisable on January 2, 2002. ** This call option represents an option written by the reporting person on August 1, 1996 to purchase securities held by the reporting person. SIGNATURE OF REPORTING PERSON JOEL M. SHAPS DATE JANUARY 8, 1997 CONFIRMING STATEMENT This Statement confirms that the undersigned has authorized and designated the General Counsel or the Chief Financial Officer of The Profit Recovery Group International, Inc. to execute and file on the undersigned's behalf all Forms 3, 4 and 5 (including any amendments thereto) that the undersigned may be required to file with the U.S. Securities and Exchange Commission as a result of the undersigned's ownership of or transactions in securities of The Profit Recovery Group International, Inc. The authority of the General Counsel or the Chief Financial Officer of The Profit Recovery Group International, Inc. under this Statement shall continue until the undersigned is no longer required to file Forms 3, 4 and 5 with regard to the undersigned's ownership of or transactions in securities of The Profit Recovery Group International, Inc., unless earlier revoked in writing. The undersigned acknowledges that the General Counsel or the Chief Financial Officer of The Profit Recovery Group International, Inc. is not assuming any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. Dated as of January 9, 1997 /s/ Joel M. Shaps --------------------------------------- Joel M. Shaps 396212.1 -----END PRIVACY-ENHANCED MESSAGE-----