-----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, Krj00wsguBAWcjJgKUBMjvNmeUSYspIcGGbB9gCVpPBimewj146p3U6ejPg/Q08d 4RXbL+A4MzGNgSPoa4TSSQ== 0001012870-02-004768.txt : 20021230 0001012870-02-004768.hdr.sgml : 20021230 20021230154213 ACCESSION NUMBER: 0001012870-02-004768 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20021230 GROUP MEMBERS: BLUM STRATEGIC GP II, L.L.C. GROUP MEMBERS: RICHARD C. BLUM GROUP MEMBERS: RICHARD C. BLUM & ASSOCIATES, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIANON SYSTEMS INC CENTRAL INDEX KEY: 0000779282 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 061128081 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41715 FILM NUMBER: 02871912 BUSINESS ADDRESS: STREET 1: 200 WATSON BLVD CITY: STRATFORD STATE: CT ZIP: 06615 BUSINESS PHONE: 2033814000 MAIL ADDRESS: STREET 1: 200 WATSON BLVD CITY: STRATFORD STATE: CT ZIP: 06497 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BLUM CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0000938775 IRS NUMBER: 943205364 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET # 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4154341111 MAIL ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: BLUM RICHARD C & ASSOCIATES L P DATE OF NAME CHANGE: 19970219 SC 13D/A 1 dsc13da.htm SCHEDULE 13D/A Schedule 13D/A
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13D
 
Under the Securities Exchange Act of 1934
(Amendment No. 3)
 
DIANON SYSTEMS, INC.

(Name of Issuer)
 
COMMON STOCK, $0.01 par value

(Title of Class of Securities)
 
252826102

(CUSIP Number)
 
Murray A. Indick
Blum Capital Partners, L.P.
909 Montgomery Street, Suite 400
San Francisco, CA 94133
(415) 434-1111

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
 
December 20, 2002

(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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box ¨.
 
*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).

Page 1 of 9


CUSIP NO. 252826102
SCHEDULE 13D
Page 2 of  9



1.



 
NAME OF REPORTING PERSON
 
BLUM CAPITAL PARTNERS, L.P.
 
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON                                94-3205364
 



2.

 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a)  x
(b)  x



3.
 
SEC USE ONLY
 
 



4.


 
SOURCE OF FUNDS*
 
See Item 3
 



5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ¨



6.


 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
California
 



   
7.


 
SOLE VOTING POWER
 
-0-
 
 



NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
 
8.

 
SHARED VOTING POWER
 
868,200**
 



EACH
PERSON
WITH
 
9.

 
SOLE DISPOSITIVE POWER
 
-0-
 



   
10.


 
SHARED DISPOSITIVE POWER
 
868,200**
 





11.


 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
868,200**
 



12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                             ¨
 



13.


 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
7.2%**
 



14.


 
TYPE OF REPORTING PERSON
 
PN, IA
 



** See Item 5
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!


CUSIP NO. 252826102
SCHEDULE 13D
Page 3 of  9



1.



 
NAME OF REPORTING PERSON
 
RICHARD C. BLUM & ASSOCIATES, INC.
 
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON                                94-2967812
 



2.

 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a)  x
(b)  x



3.
 
SEC USE ONLY
 
 



4.


 
SOURCE OF FUNDS*
 
See Item 3
 



5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ¨



6.


 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
California
 



   
7.


 
SOLE VOTING POWER
 
-0-
 
 



NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
 
8.

 
SHARED VOTING POWER
 
868,200**
 



EACH
PERSON
WITH
 
9.

 
SOLE DISPOSITIVE POWER
 
-0-
 



   
10.


 
SHARED DISPOSITIVE POWER
 
868,200**
 





11.


 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
868,200**
 



12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                         ¨
 



13.


 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
7.2%**
 



14.


 
TYPE OF REPORTING PERSON
 
CO
 



** See Item 5
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!


CUSIP NO. 252826102
SCHEDULE 13D
Page 4 of  9



1.



 
NAME OF REPORTING PERSON
 
BLUM STRATEGIC GP II, L.L.C.
 
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON                                94-3395150
 



2.

 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a)  x
(b)  x



3.
 
SEC USE ONLY
 
 



4.


 
SOURCE OF FUNDS*
 
See Item 3
 



5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ¨



6.


 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 



   
7.


 
SOLE VOTING POWER
 
-0-
 
 



NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
 
8.

 
SHARED VOTING POWER
 
868,200**
 



EACH
PERSON
WITH
 
9.

 
SOLE DISPOSITIVE POWER
 
-0-
 



   
10.


 
SHARED DISPOSITIVE POWER
 
868,200**
 





11.


 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
868,200**
 



12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                     ¨
 



13.


 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
7.2%**
 



14.


 
TYPE OF REPORTING PERSON
 
OO (Limited Liability Company)
 



** See Item 5
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!


CUSIP NO. 252826102
SCHEDULE 13D
Page 5 of  9



1.



 
NAME OF REPORTING PERSON
 
RICHARD C. BLUM
 
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON                                
 



2.

 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
(a)  x
(b)  x



3.
 
SEC USE ONLY
 
 



4.


 
SOURCE OF FUNDS*
 
See Item 3
 



5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) ¨



6.


 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
California
 



   
7.


 
SOLE VOTING POWER
 
-0-
 
 



NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
 
8.

 
SHARED VOTING POWER
 
868,200**
 



EACH
PERSON
WITH
 
9.

 
SOLE DISPOSITIVE POWER
 
-0-
 



   
10.


 
SHARED DISPOSITIVE POWER
 
868,200**
 





11.


 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
868,200**
 



12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES                     ¨
 



13.


 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
7.2%**
 



14.


 
TYPE OF REPORTING PERSON
 
IN
 



** See Item 5
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!


CUSIP NO. 252826102
SCHEDULE 13D
Page 6 of  9

This Amendment No. 3 amends the Statement on Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange Commission on November 4, 2002 by Blum Capital Partners, L.P., a California limited partnership, (“Blum L.P.”); Richard C. Blum & Associates, Inc., a California corporation (“RCBA Inc.”); Blum Strategic GP II, L.L.C., a Delaware limited liability company (“Blum GP II”); and Richard C. Blum, the Chairman and a substantial shareholder of RCBA Inc. and a managing member of Blum GP II (collectively, the “Reporting Persons”). This amendment relates to shares of Common Stock, $0.01 par value (the “Common Stock”) of Dianon Systems, Inc., a Delaware corporation (the “Issuer”). The principal executive office and mailing address of the Issuer is 200 Watson Boulevard, Stratford, Connecticut 06615. The following amendments are hereby made. Unless otherwise defined herein, all capitalized terms shall have the meanings ascribed to them in the Schedule 13D.
 
Item 5.    Interest in Securities of the Issuer
 
(a),(b)    According to the Issuer’s most recent Proxy Statement, there were 12,086,534 shares of Common Stock issued and outstanding as of December 17, 2002. Based on such information, after taking into account the transactions described in Item 5(c) below, the Reporting Persons report beneficial ownership of the following shares of Common Stock: (i)374,900 shares of the Common Stock held by Blum GP II on behalf of the limited partnership for which it serves as the general partner and on behalf of the limited partnership for which it serves as the managing limited partner, which represents 3.1% of the outstanding shares of the Common Stock; (ii) 396,300 shares of the Common Stock held by Blum L.P. and RCBA, Inc. on behalf of the limited partnerships for which Blum L.P. serves as the general partner, which represents 3.3% of the outstanding shares of the Common Stock; and (iii)80,000 shares of the Common Stock that are legally owned by Carpenters Pension Trust for Southern California, 10,100 shares of the Common Stock that are legally owned by United Brotherhood of Carpenters Pension Plan and 6,900 shares of the Common Stock that are legally owned by The Common Fund for the account of its Multi-Strategy Equity Fund (“The Common Fund”)(collectively, the “Investment Advisory Clients”), with respect to which Blum L.P. has voting and investment power. The Investment Advisory Clients represent 0.9% of the outstanding shares of the Common Stock. The Common Fund is principally engaged in the business of managing investments for educational institutions. The principal administrative office of The Common Fund is located at 15 Old Danbury Road, Wilton, Connecticut 06897-08 of the Common Stock 12. Each of the Investment Advisory Clients, has entered into an advisory agreement with Blum L.P., but none of the Investment Advisory Clients has any contract, arrangement or understanding with any other Investment Advisory Client, or any other Reporting Person, with respect to the acquisition, ownership, disposition or voting of any shares of the Common Stock. Each of the Investment Advisory Clients disclaims membership in a group with any Reporting Person or with any other Investment Advisory Client, and each disclaims beneficial ownership of any shares beneficially owned by the Reporting Persons other than for their own account. Voting and investment power concerning the above shares are held solely by Blum L.P. and Blum GP II. The Reporting Persons therefore may be deemed to be members in a group, in which case the group would be deemed to have beneficial ownership of an aggregate of 868,200 shares of the Common Stock, which is 7.2% of the outstanding Common Stock. As the sole general partner of Blum L.P., RCBA Inc. is deemed the beneficial owner of the securities over which Blum L.P. has voting and investment power. As Chairman, director and a substantial shareholder of RCBA Inc., Richard C. Blum might be deemed to be the beneficial owner of the securities beneficially owned by RCBA


CUSIP NO. 252826102
SCHEDULE 13D
Page 7 of  9

Inc. Additionally, Mr. Blum may be deemed to be the beneficial owner of the securities over which Blum GP II has voting and investment power. Although Mr. Blum is joining in this Schedule as a Reporting Person, the filing of this Schedule shall not be construed as an admission that he, or any of the other shareholders, directors or executive officers of RCBA Inc., managing members and members of Blum GP II, is, for any purpose, the beneficial owner of any of the securities that are beneficially owned by RCBA Inc. or Blum GP II.
 
(c)    Since the most recent filing of Schedule 13D, the Reporting Persons purchased the following shares of Common Stock in the open market:
 
Entity

  
Trade Date

  
Shares

  
Price/Share

Investment partnerships for which Blum L.P. serves as the general partner
  
11/08/02
  
10,400
  
39.8812
Entity

  
Trade Date

  
Shares

  
Price/Share

The limited partnerships for which Blum GP II serves as the general partner and the managing limited partner
  
11/08/02
  
19,500
  
39.8812
Entity

  
Trade Date

  
Shares

  
Price/Share

The Investment Advisory Clients for which Blum L.P. serves as investment advisor
  
11/08/02
  
9,000
  
39.8812
 
Since the most recent filing of Schedule 13D, the Reporting Persons sold the following shares of Common Stock in the open market:
 
Entity

  
Trade Date

  
Shares

  
Price/Share

Investment partnerships for which Blum L.P. serves as the general partner
  
12/20/02
12/23/02
12/26/02
12/27/02
  
68,400
21,900
11,400
45,600
  
47.5000
47.8556
47.9126
47.7286
Entity

  
Trade Date

  
Shares

  
Price/Share

The limited partnerships for which Blum GP II serves as the general partner and the managing limited partner
  
12/20/02
12/23/02
12/26/02
12/27/02
  
64,800
22,800
10,600
43,100
  
47.5000
47.8556
47.9126
47.7286
Entity

  
Trade Date

  
Shares

  
Price/Share

The Investment Advisory Clients for which Blum L.P. serves as investment advisor
  
12/20/02
12/20/02
12/23/02
12/26/02
12/27/02
  
350,000
16,800
5,400
3,000
45,600
  
47.5063
47.5000
47.8556
47.9126
47.7286


CUSIP NO. 252826102
SCHEDULE 13D
Page 8 of  9

(d) and (e)    Not applicable.
 
Item 7.    Material to be Filed as Exhibits
 
Exhibit A Joint Filing Undertaking.


CUSIP NO. 252826102
SCHEDULE 13D
Page 9 of  9

 
SIGNATURES
 
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
 
Dated: December 30, 2002
 
RICHARD C. BLUM & ASSOCIATES, INC.
     
BLUM CAPITAL PARTNERS, L.P.
By    Richard C. Blum & Associates, Inc.
         its general partner
By
 
/s/    MARC T. SCHOLVINCK

     
By
 
/s/    MARC T. SCHOLVINCK

   
Marc T. Scholvinck
Partner and Chief Financial Officer
         
Marc T. Scholvinck
Partner and Chief Financial Officer
BLUM STRATEGIC GP II, L.L.C.
     
/s/    MARC T. SCHOLVINCK

RICHARD C. BLUM
By
 
/s/    MARC T. SCHOLVINCK

     
By
 
Marc T. Scholvinck, Attorney-in-Fact
   
Marc T. Scholvinck, Member
           
EX-99.(A) 3 dex99a.htm JOINT FILING UNDERTAKING Joint Filing Undertaking
CUSIP NO. 252826102
SCHEDULE 13D
Exhibit A

JOINT FILING UNDERTAKING
 
The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule jointly on behalf of each such party.
 
Dated: December 30, 2002
 
RICHARD C. BLUM & ASSOCIATES, INC.
     
BLUM CAPITAL PARTNERS, L.P.
By    Richard C. Blum & Associates, Inc.
         its general partner
By
 
/s/    MARC T. SCHOLVINCK

     
By
 
/s/    MARC T. SCHOLVINCK

   
Marc T. Scholvinck
Partner and Chief Financial Officer
         
Marc T. Scholvinck
Partner and Chief Financial Officer
BLUM STRATEGIC GP II, L.L.C.
     
/s/    MARC T. SCHOLVINCK

RICHARD C. BLUM
By
 
/s/    MARC T. SCHOLVINCK

     
By
 
Marc T. Scholvinck, Attorney-in-Fact
   
Marc T. Scholvinck, Member
           
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