-----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, OaVdBdqpLtCqDw1UI66G+sVHsD/GPZT4BRgNK8PXIpA53fR4eF5HAtV8iZYTleei v8lMbb/y3sGTh1nbP9v0+A== 0000898431-01-000059.txt : 20010223 0000898431-01-000059.hdr.sgml : 20010223 ACCESSION NUMBER: 0000898431-01-000059 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMARTSERV ONLINE INC CENTRAL INDEX KEY: 0001005698 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 133750708 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49961 FILM NUMBER: 1547935 BUSINESS ADDRESS: STREET 1: METRO CENTER STREET 2: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033535950 MAIL ADDRESS: STREET 1: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SC 13G/A 1 0001.txt AMENDMENT NO. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* SMARTSERV ONLINE, INC. ----------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value ----------------------------------------------------------------- (Title of Class of Securities) 83169 M 203 ----------------------------------- (CUSIP Number) December 31, 2000 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) * 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. - - --------------------------------------------------------------- CUSIP No. 83169 M 203 - - --------------------------------------------------------------- 1. NAME OF REPORTING PERSON Kevin B. Kimberlin - - --------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X] - - --------------------------------------------------------------- 3. SEC USE ONLY - - --------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States Citizen - - --------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER 84,875 SHARES ---------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY ---------------------------------------- EACH 7. SOLE DISPOSITIVE POWER 84,875 REPORTING ---------------------------------------- PERSON WITH 8. SHARED DISPOSITIVE POWER 0 - - --------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 84,875 - - --------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - - --------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.5% - - --------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - - ------------------------------------------------- ------------- 2 Item 1. (a) Name of Issuer: SmartServ Online, Inc. (b) Address of Issuer's Principal Executive Offices: 1 Station Place Stamford, CT 06902 Item 2. (a) Name of Person Filing: Kevin B. Kimberlin (b) Address of Principal Business Office: c/o 535 Madison Avenue, 18th Floor New York, NY 10022 (c) Citizenship: Kevin B. Kimberlin is a citizen of the United States. (d) Title of Class of Securities: Common Stock, $.01 par value (e) CUSIP Number: 83169 M 203 Item 3. If this statement is filed pursuant to Rule 13d-1(b)or 13d-2(b) or (c), check the status of the person filing Not applicable. Item 4. Ownership (a) Amount beneficially owned: 84,875 (b) Percent of class: 1.5% 3 (c) Number of shares as to which the person has (i) Sole power to vote or to direct the vote: 84,875 (ii) Shared power to vote or direct the vote: -0- (iii) Sole power to dispose or direct the disposition of: 84,875 (iv) Shared power to dispose or to direct the disposition of: -0- In April, 2000, Spencer Trask & Co. (formerly known as Spencer Trask Holdings, Inc.), a Delaware corporation ("STC") of which the reporting person is the controlling shareholder, exercised all of its warrants to purchase 62,000 shares of the Issuer's common stock. Since April, STC has sold 46,500 shares of common stock and as of December 31, 2000, holds 15,500 shares of common stock of the Issuer. In April, 2000, Kevin Kimberlin Partners, LP, a Delaware limited partnership ("KKP"), of which the reporting person is the sole general partner, exercised all of its 277,500 warrants to purchase the Issuer's common stock. Since April, KKP has sold 138,750 shares of common stock and, as of December 31, 2000, holds 69,375 shares of the Issuer's common stock. According to the Form 10-QSB filed November 14, 2000, the Issuer had, as of November 10, 2000, 5,842,145 shares of common stock outstanding. As a result of the increase in outstanding common stock of the Issuer and the sale of the warrants of STC and KKP, the reporting person may be deemed to be a beneficial owner of 1.5% of the Issuer's common stock. Item 5. Ownership of Five Percent or Less of a Class As of the date hereof, the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities represented in Row (9). 4 Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person Not Applicable. Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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: February 15, 2001 /s/ Kevin B. Kimberlin ------------------------------- Kevin B. Kimberlin Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (18 U.S.C. 1001) 6 -----END PRIVACY-ENHANCED MESSAGE-----