-----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, O+6AL+eKuEnzVs4KOZv2e3+lWmYCaou2SJPkU5S8KrjhADgVs9/Y4UBmO0mR5SCV APAfzK2zJgDAYsVjjKc60A== 0000950130-97-003068.txt : 19970703 0000950130-97-003068.hdr.sgml : 19970703 ACCESSION NUMBER: 0000950130-97-003068 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970702 SROS: NONE GROUP MEMBERS: BERGMAN JEFF D GROUP MEMBERS: DAN DICKMAN GROUP MEMBERS: DAVE SPINDLER GROUP MEMBERS: DAVE ZYNN 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: 97634963 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: BERGMAN JEFF D CENTRAL INDEX KEY: 0000903945 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 SCHEDULE 13D (AMENDMENT 2) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2 AS TO MESSRS. BERGMAN AND DICKMAN) ---------------- SMT HEALTH SERVICES INC. ----------------------------------------------- (NAME OF ISSUER) COMMON STOCK, PAR VALUE $0.01 ------------------------------ (TITLE OF CLASS OF SECURITIES) 784585 10 1 ------------ (CUSIP NUMBER OF CLASS OF SECURITIES) ---------------- MR. JEFF D. BERGMAN SMT HEALTH SERVICES INC. 10521 PERRY HIGHWAY WEXFORD, PENNSYLVANIA 15090 (412) 933-3300 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) COPIES TO: RONALD BASSO, ESQ. BUCHANAN INGERSOLL PROFESSIONAL CORPORATION ONE OXFORD CENTRE 301 GRANT STREET, 20TH FLOOR PITTSBURGH, PA 15219 (412) 562-8800 JUNE 24, 1997 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT ON SCHEDULE 13D) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jeff D. Bergman* - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 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 of America - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------------------ SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSONWITH 8. SHARED VOTING POWER 1,023,502 shares of Common Stock ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [_] CERTAIN SHARES* - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.47% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON IN 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Daniel Dickman - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 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 of America - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------------------ SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSONWITH 8. SHARED VOTING POWER 1,023,502 shares of Common Stock ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [_] CERTAIN SHARES* - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.47% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IN 3 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David W. Spindler* - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 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 of America - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------------------ SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSONWITH 8. SHARED VOTING POWER 1,023,502 shares of Common Stock ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [_] CERTAIN SHARES* - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.47% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IN 4 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David A. Zynn* - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 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 of America - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------------------ SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSONWITH 8. SHARED VOTING POWER 1,023,502 shares of Common Stock ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 0 ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,023,502 shares of Common Stock - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [_] CERTAIN SHARES* - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.47% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON * IN 5 INTRODUCTION * On June 24, 1997, Three Rivers Holding Corp. ("Parent") and Three Rivers Acquisition Corp., a wholly owned subsidiary of Parent (the "Purchaser"), entered into a Stockholder Agreement, dated as of June 24, 1997 (the "Stockholder Agreement"), with Jeff D. Bergman, the President, Chief Executive Officer and Chairman of the Board of SMT Health Services Inc., a Delaware corporation (the "Company"), Daniel Dickman, the Executive Vice President, Chief Operating Officer, Secretary and a director of the Company, David W. Spindler, the Senior Vice President of Clinical Operations and Marketing of the Company, and David A. Zynn, Chief Financial Officer, Treasurer and Assistant Secretary of the Company (collectively, the "Selling Stockholders"), pursuant to which such Selling Stockholders have agreed to sell to the Purchaser, and the Purchaser has agreed to purchase, all of the shares of Common Stock, $.01 par value (the "Shares"), beneficially owned by them, representing approximately 15.1% of the Shares on a fully diluted basis, including Shares subsequently acquired by a Selling Stockholder through the exercise of options or otherwise, at a price per Share equal to $11.75, provided that such obligation to sell and such obligation to purchase are subject to certain conditions, including the Minimum Condition (as defined in the Offer to Purchase (as hereinafter defined)), having been satisfied and the Purchaser having accepted Shares for payment under the Offer. The "Offer to Purchase" means the Offer to Purchase, dated June 30, 1997, with respect to the offer to purchase all outstanding shares of the Common Stock, par value $.01 (the "Shares"), of the Company, including the associated Rights (as defined in the Offer to Purchase), at a purchase price of $11.75 per Share, net to the seller in cash, upon the terms and subject to the conditions set forth in the Offer to Purchase and related Letter of Transmittal (which together constitute the "Offer"). Pursuant to the Stockholder Agreement, the Purchaser has the right (which, the Selling Stockholders have been advised, it intends to exercise) to require the Selling Stockholders to tender the Shares subject to the Stockholder Agreement into the Offer. Pursuant to the Stockholder Agreement, each Selling Stockholder has also executed and delivered a proxy for the benefit of the Purchaser with respect to the Shares subject to the Stockholder Agreement owned by such Selling Stockholder to vote such Shares against certain competing transactions, as more fully described in "Item 3--Identity and Background--Stockholder Agreement" in the Schedule 14D-9 (as defined herein). The Purchaser's rights to vote and purchase the Shares subject to the Stockholder Agreement are reflected in Rows 8 and 10 of each of the tables above. The Stockholder Agreement is described more fully in "Identity and Background--Stockholder Agreement" of Item 3 of the Schedule 14D-9 and Section 12 "Purpose of the Offer; The Merger Agreement and The Stockholder Agreement" of the Offer to Purchase. 6 ITEM 1. SECURITY AND ISSUER. This Schedule 13D relates to the Shares of SMT Health Services Inc., a Delaware corporation (the "Company"), which has its principal executive offices at 10521 Perry Highway, Wexford, Pennsylvania 15090. ITEM 2. IDENTITY AND BACKGROUND. (a)-(c) and (f) This Schedule 13D is being filed by each of the Selling Stockholders. The names, present principal occupations or employment, material occupations, positions, offices or employments during the last five years of each of the Selling Stockholders are set forth in the Company's Information Statement pursuant to Schedule 14f of the Securities Exchange Act of 1934, as amended (the "Information Statement"), filed as Annex A to the Company's Solicitation/Recommendation Statement on Schedule 14D-9 filed with the Securities and Exchange Commission ("SEC") on June 30, 1997 (the "Schedule 14D-9"). The business address of each of the Selling Stockholders is c/o SMT Health Services Inc., 10521 Perry Highway, Wexford, Pennsylvania 15090. Each of the Selling Stockholders is a citizen of the United States of America. (d) and (e) None of the Selling Stockholders has been convicted in a criminal proceeding and none was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting activities subject to, federal or state securities laws or finding any violation of such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Not applicable. ITEM 4. PURPOSE OF THE TRANSACTION. (a)-(c) The information set forth in the Introduction to this Schedule 13D and in "Identity and Background--The Merger Agreement" and "--Stockholder Agreement" in Item 3 of the Schedule 14D-9 is incorporated herein by reference. (d) The information set forth in "Board of Directors and Executive Officers of the Company--General" in the Information Statement is incorporated herein by reference. (e)-(j) Not applicable. 7 ITEM 5. INTEREST IN SECURITIES OF THE SUBJECT COMPANY. (a) and (b) The information set forth in "Security Ownership of Certain Beneficial Owners and Management" in the Information Statement, "Introduction" in the Offer to Purchase and "Identity and Background--Stockholder Agreement" of Item 3 in the Schedule 14D-9 is incorporated herein by reference. (c) The information set forth in "Recent Transactions and Intent with Respect to Securities" of Item 6 of the Schedule 14D-9 is incorporated herein by reference. (d)-(e) Not Applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO THE COMPANY'S SECURITIES. The information concerning the Selling Stockholders set forth in "Identity and Background--Stockholder Agreement" of Item 3 in the Schedule 14D-9 is incorporated herein by reference. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. (1) Offer to Purchase (incorporated by reference to Exhibit (a)(1) of the Schedule 14D-1 filed on June 30, 1997 by Three Rivers Holding Corp. and Three Rivers Acquisition Corp.). (2) Information Statement (incorporated herein by reference to Annex A to the Schedule 14D-9). (3) Schedule 14D-9 (incorporated herein by reference). (4) Agreement and Plan of Merger dated as of June 24, 1997, among the Purchaser, Parent and the Company (including the Parent Option Plan Term Sheet) (incorporated herein by reference to Exhibit (c)(1) to the Schedule 14D-9). (5) Stockholder Agreement dated as of June 24, 1997, among Parent, the Purchaser, Jeff D. Bergman, Daniel Dickman, David W. Spindler and David A. Zynn (incorporated herein by reference to Exhibit (c)(2) to the Schedule 14D-9). 8 SIGNATURE After due 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: July 1, 1997 /s/ Jeff D. Bergman ------------------------------------- Jeff D. Bergman /s/ Daniel Dickman ------------------------------------- Daniel Dickman /s/ David W. Spindler ------------------------------------- David W. Spindler /s/ David A. Zynn ------------------------------------- David A. Zynn 9 -----END PRIVACY-ENHANCED MESSAGE-----