-----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, CFpS6BB9if7F4vOOTUdFliSnZclRw+KX46Mxguc3MmiGmbicrLtdPmfc1b92gVy5 U9/NafPzNalZsiHCjhaY3Q== 0000881917-96-000002.txt : 19960617 0000881917-96-000002.hdr.sgml : 19960617 ACCESSION NUMBER: 0000881917-96-000002 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960614 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMT HEALTH SERVICES INC CENTRAL INDEX KEY: 0000881917 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 251672183 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43404 FILM NUMBER: 96581324 BUSINESS ADDRESS: STREET 1: 10521 PERRY HIGHWAY CITY: WEXFORD STATE: PA ZIP: 15090 BUSINESS PHONE: 4129333300 MAIL ADDRESS: STREET 1: 10521 PERRY HIGHWAY CITY: WEXFORD STATE: PA ZIP: 15090 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DICKMAN DANIEL CENTRAL INDEX KEY: 0000903942 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10521 PERRY HIGHWAY CITY: WEXFORD STATE: PA ZIP: 15090 BUSINESS PHONE: 4129333300 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 SMT HEALTH SERVICES INC. (Name of Issuer) Common Stock $0.01 Par Value (Title of Class of Securities) 784585-10-1 (CUSIP Number) Daniel Dickman 10521 Perry Highway Wexford, PA 15090 (412) 933-3300 May 24, 1996 (Date of Event Which Required 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 13-d-1(b)(3) or (4), check the following box. ______ Check the following box if a fee is being paid with this statement. _____ CUSIP NO. 784585-10-1 ______________________________________________________________________________ 1. Names of Reporting Persons; SS or I.R.S. Identification Nos. of Above Persons. Daniel Dickman SS# ###-##-#### ______________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group (See Instructions): (a) (b) X Membership in any group is disclaimed. ______________________________________________________________________________ 3. SEC Use Only. ______________________________________________________________________________ 4. Source of Funds 00 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization: U.S.A. ______________________________________________________________________________ Number of 7. Sole Voting Power 460,775 Shares Shares _____________________________________________________ Beneficially 8. Shared Voting Power Owned by _____________________________________________________ Each Reporting 9. Sole Dispositive Power 460,775 Shares Person With _____________________________________________________ 10. Shared Dispositive Power ______________________________________________________________________________ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 460,775 Shares ______________________________________________________________________________ 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares Not Applicable ______________________________________________________________________________ 13. Percent of Class Represented by Amount in Row (11) 14.1% ______________________________________________________________________________ 14. Type of Reporting Person IN CUSIP NO. 784585-10-1 Item 1. Security and Issuer Common Stock, $0.01 Par Value SMT Health Services Inc. 10521 Perry Highway Wexford, PA 15090 Item 2(a).Name of Person Filing. Daniel Dickman Item 2(b).Address of Principal Business Office. SMT Health Services Inc. 10521 Perry Highway Wexford, PA 15090 Item 2(c).Principal Employment or Occupation Executive Vice President, Chief Operating Officer and Director SMT Health Services Inc. 10521 Perry Highway Wexford, PA 15090 Item 2(d).Criminal Proceedings. None. Item 2(e).Civil Proceedings. None. Item 2(f).Citizenship. United States of America Item 3. Source and Amount of Funds or Other Consideration. 52,500 non-qualified stock options to purchase 52,500 shares of Common Stock were exercised and sold in a cashless transaction by the Reporting Person pursuant to the Issuers 1991 Employee Stock Option Plan. The exercise price of the stock options were $1.37 and the Common Stock was sold for $8.75 per share. 84,000 non-qualified stock options to purchase 84,000 shares of Common Stock were exercised and sold in a cashless transaction by the Reporting Person pursuant to the Issuers 1991 Employee Stock Option Plan. The exercise price of the stock options were $2.46 and the Common Stock was sold for $10.00 per share. CUSIP NO. 784585-10-1 The Reporting Person sold 8,000 Warrants which had been purchased in the open market. The Warrants were sold at a price of $2.6875. Item 4. Purpose of Transaction. 52,500 non-qualified stock options to purchase 52,500 shares of Common Stock were exercised and sold in a cashless transaction by the Reporting Person pursuant to the Issuers 1991 Employee Stock Option Plan. The exercise price of the stock options were $1.37 and the Common Stock was sold for $8.75 per share. 84,000 non-qualified stock options to purchase 84,000 shares of Common Stock were exercised and sold in a cashless transaction by the Reporting Person pursuant to the Issuers 1991 Employee Stock Option Plan. The exercise price of the stock options were $2.46 and the Common Stock was sold for $10.00 per share. The Reporting Person sold 8,000 Warrants which had been purchased in the open market. The Warrants were sold at a price of $2.6875. The Reporting Person is an executive officer and director of the Issuer and, as such, is involved generally with the affairs of the Issuer. The purpose of this transaction is for diversification of personal investment portfolio and liquidity. Item 5(a).Interest in Securities of Issuer. Aggregate Number - 460,775* Percentage of Class of Securities - 14.1* Item 5(b).Number of Shares as to which Such Person Has: (i) Sole Power to Vote or Direct the Vote: 460,775* (ii) Shared Power to Vote or to Direct the Vote: None. (iii) Sole Power to Dispose or to Direct the Disposition: 460,775* (iv) Shared Power to Dispose or to Direct the Disposition: None. CUSIP NO. 784585-10-1 Item 5(c).Describe any Transactions in the Class of Securities Reported or That Were Effected During the Past Sixty Days or Since the Most Recent Filing on Schedule 13D, Whichever is Less, By the Reporting Person: On January 6, 1996, 10,500 options became vested pursuant to the Issuers 1991 Employee Stock Option Plan. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. None Applicable. *Includes 171,900 shares pursuant to rights to acquire. Item 7. Material to be Filed as Exhibits. Non Applicable. 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. Date: June 14, 1996 Daniel D. Dickman Signature Daniel D. Dickman / Executive Vice President, COO and Secretary Name/Title -----END PRIVACY-ENHANCED MESSAGE-----