-----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, KDPoRNGyDlZq72s+o0gsdYV7Xs4Nh2ws9tKc8s81TGPEIqJa+xntBmNyckgFd58U 2Y8TtmaJ3CRrXqYayRCgcw== 0000950152-99-009193.txt : 19991117 0000950152-99-009193.hdr.sgml : 19991117 ACCESSION NUMBER: 0000950152-99-009193 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991116 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANTHONY & SYLVAN POOLS CORP CENTRAL INDEX KEY: 0001067606 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700] IRS NUMBER: 311522456 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-57159 FILM NUMBER: 99758216 BUSINESS ADDRESS: STREET 1: 3739 EASTON RD RTE 611 CITY: DOYLESTOWN STATE: PA ZIP: 18901 BUSINESS PHONE: 2162857946 MAIL ADDRESS: STREET 1: 220 PARK DRIVE CITY: CHARDON STATE: OH ZIP: 44024 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KING RALPH T CENTRAL INDEX KEY: 0001098851 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1506 CAMINO DEL RIO WEST CITY: VERO BEACH STATE: FL ZIP: 32963 MAIL ADDRESS: STREET 1: 1506 CAMINO DEL RIO WEST CITY: VERO BEACH STATE: FL ZIP: 32963 SC 13D 1 ANTHONY & SYLVAN/RALPH T. KING SCHEDULE 13D 1 ---------------------------- OMB APPROVAL ---------------------------- ---------------------------- OMB Number: 3235-0145 Expires: November 30, 1999 Estimated average burden hours per response...14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __________)* Anthony & Sylvan Pools Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Without Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 036762102 - -------------------------------------------------------------------------------- (CUSIP Number) Stuart D. Neidus, Chairman and Chief Executive Officer Anthony & Sylvan Pools Corporation 6690 Beta Drive Mayfield Village, Ohio 44143 (440) 720-3301 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 10, 1999 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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.) 2 CUSIP No. 036762102 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons: I.R.S. Identification Nos. of Above Persons (entities only). Ralph T. King - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) --------------------------------------------------------- (b) --------------------------------------------------------- - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds PF,OO - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Ohio - -------------------------------------------------------------------------------- Number of 7. Sole Voting Power 119,009 * Shares Bene- ----------------------------------- ficially Owned 8. Shared Voting Power 316,897* by Each --------------------------------- Reporting 9. Sole Dispositive Power 119,009* Person With ------------------------------ 10. Shared Dispositive Power 316,897* ----------------------------- - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 435,906* - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 13.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person IN * Mr. King owns 119,009 shares directly. As co-trustee of the Jane B. King Irrevocable Trust, Mr. King shares voting and dispositive power over 309,457 shares. In addition, Mr. King shares voting and dispositive power over 7,440 shares held by a foundation of which he is a trustee. 2 3 ITEM 1. SECURITY AND ISSUER This statement relates to the common shares ("Common Shares") of Anthony & Sylvan Pools Corporation, an Ohio corporation (the "Issuer"), the principal executive offices of which are located at 6690 Beta Drive, Mayfield Village, OH 44143. ITEM 2. IDENTITY AND BACKGROUND This statement is being filed by Ralph T. King. The principal business address is 1506 Camino Del Rio West, Vero Beach, Florida 32963. Mr. King is a citizen of the United States of America. Mr. King is currently retired and formerly served as the Chairman of the Board of Essef Corporation, the prior parent of the Issuer. During the last five years, Mr. King has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) nor been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction the result of which was or is 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. ITEMS 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION On August 10, 1999, a third party acquired Essef Corporation ("Essef") in a merger transaction that occurred simultaneously with the Issuer being split-off to Essef's common shareholders through a taxable distribution of 100% of the Issuer's shares. Mr. King and affiliated trusts received 358,135 Common Shares in connection with the split-off. In addition, Mr. King has used his own personal funds to acquire 77,771 Common Shares. ITEM 4. PURPOSE OF TRANSACTION Mr. King acquired the Common Shares for personal investment purposes. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Mr. King may be deemed to be the beneficial owner of 435,906 Common Shares. These shares represent 13.1% of the currently issued and outstanding Common Shares. Mr. King directly owns, and has sole voting and dispositive power over 119,009 shares. As co-trustee of the Jane B. King Irrevocable Trust, Mr. King shares voting and dispositive power over 309,457 shares. In addition, Mr. King shares voting and dispositive power over 7,440 shares held by a foundation of which he is a trustee. Over the past 60 days, Mr. King has effected the following purchases of Common Shares. All purchases were effected through broker transactions. DATE NUMBER OF SHARES PRICE/SHARE ---- ---------------- ----------- 9/2/99 1,000 7.375 9/2/99 1,000 7.25 9/2/99 1,000 7.00 9/3/99 1,000 7.25 9/3/99 1,000 7.25 9/3/99 1,000 7.375 9/7/99 1,000 7.25 9/7/99 1,000 7.25 9/7/99 1,000 7.375 9/8/99 1,000 7.125 9/9/99 1,000 7.375 9/9/99 100 7.125 9/10/99 900 7.375 9/10/99 1,000 7.25 9/10/99 1,000 7.25 9/10/99 1,000 7.25 9/10/99 1,000 7.375 9/10/99 1,000 7.375 9/13/99 1,000 7.125 3 4 9/13/99 1,000 7.25 9/13/99 1,000 7.125 9/13/99 2,000 7.166 9/13/99 1,000 7.00 9/13/99 1,000 7.166 9/13/99 1,000 7.166 9/13/99 1,000 7.166 9/14/99 1,000 7.00 9/16/99 1,000 7.00 9/16/99 1,000 7.125 9/16/99 1,000 7.125 9/17/99 1,000 7.00 9/17/99 1,000 7.1875 9/17/99 1,000 7.00 9/17/99 1,000 7.00 9/17/99 500 7.125 9/17/99 500 7.125 9/17/99 1,000 7.00 9/17/99 1,000 6.875 9/17/99 500 6.75 9/17/99 500 6.75 9/17/99 1,000 6.875 9/20/99 1,000 6.75 9/30/99 1,000 6.25 9/30/99 900 6.125 9/30/99 100 6.125 9/30/99 1,000 6.00 9/30/99 1,000 6.125 9/30/99 1,000 6.00 9/30/99 1,000 6.00 9/30/99 1,000 6.0625 9/30/99 1,000 6.125 10/1/99 1,000 6.125 10/1/99 800 5.875 10/1/99 200 5.875 10/6/99 1,000 7.125 10/6/99 1,000 7.125 10/6/99 1,000 7.125 10/6/99 100 7.125 10/7/99 1,000 7.125 10/13/99 22,671 6.9834 10/22/99 1,000 6.50 ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Not applicable. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Not applicable. 4 5 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: November 12, 1999 By: /s/ Ralph T. King ----------------------------------- Ralph T. King 5 -----END PRIVACY-ENHANCED MESSAGE-----