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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. )*
------
SM&A Corporation
- -------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, no par value
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(Title of Class of Securities)
860162 10 6
-----------------------------------------
(CUSIP Number)
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(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)
/ / 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 the 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)."'
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION
CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A
CURRENTLY VALID OMB CONTROL NUMBER.
Page 1 of 12 pages
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CUSIP No. 860162 10 6
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
RLH SM&A
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2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) /X/
(b)
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3 SEC Use Only
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4 Citizenship or Place of Organization California
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NUMBER OF 5. Sole Voting Power -0-
SHARES -----------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,702,442
OWNED BY -----------------------------------------------------------------
EACH 7. Sole Dispositive Power -0-
REPORTING -----------------------------------------------------------------
PERSON WITH: 8. Shared Dispositive Power 1,702,442
- -------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,702,442
- -------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
- -------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 10.3%
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12 Type of Reporting Person (See Instructions) PN
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Page 2 of 12 pages
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CUSIP No. 860162 10 6
- -------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Riordan, Lewis & Haden
- -------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) /X/
(b)
- -------------------------------------------------------------------------------
3. SEC Use Only
- -------------------------------------------------------------------------------
4. Citizenship or Place of Organization California
- -------------------------------------------------------------------------------
NUMBER OF 5. Sole Voting Power -0-
SHARES -----------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,702,442
OWNED BY -----------------------------------------------------------------
EACH 7. Sole Dispositive Power -0-
REPORTING -----------------------------------------------------------------
PERSON WITH: 8. Shared Dispositive Power 1,702,442
- -------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,702,442
- -------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
- -------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 10.3%
- -------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions) PN
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Page 3 of 12 pages
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CUSIP No. 860162 10 6
- -------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J. Christopher Lewis, Trustee of the RB Trust dated June 23, 1993
- -------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) /X/
(b)
- -------------------------------------------------------------------------------
3. SEC Use Only
- -------------------------------------------------------------------------------
4. Citizenship or Place of Organization California
- -------------------------------------------------------------------------------
NUMBER OF 5. Sole Voting Power -0-
SHARES -----------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,702,442
OWNED BY -----------------------------------------------------------------
EACH 7. Sole Dispositive Power -0-
REPORTING -----------------------------------------------------------------
PERSON WITH: 8. Shared Dispositive Power 1,702,442
- -------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,702,442
- -------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
- -------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 10.3%
- -------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions) OO
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Page 4 of 12 pages
<PAGE>
CUSIP No. 860162 10 6
- -------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J. Christopher Lewis
- -------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) /X/
(b)
- -------------------------------------------------------------------------------
3. SEC Use Only
- -------------------------------------------------------------------------------
4. Citizenship or Place of Organization USA
- -------------------------------------------------------------------------------
NUMBER OF 5. Sole Voting Power -0-
SHARES -----------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,702,442
OWNED BY -----------------------------------------------------------------
EACH 7. Sole Dispositive Power -0-
REPORTING -----------------------------------------------------------------
PERSON WITH: 8. Shared Dispositive Power 1,702,442
- -------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,702,442
- -------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
- -------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 10.3%
- -------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions) IN
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Page 5 of 12 pages
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CUSIP No. 860162 10 6
- -------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Patrick C. Haden
- -------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) /X/
(b)
- -------------------------------------------------------------------------------
3. SEC Use Only
- -------------------------------------------------------------------------------
4. Citizenship or Place of Organization USA
- -------------------------------------------------------------------------------
NUMBER OF 5. Sole Voting Power -0-
SHARES -----------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,702,442
OWNED BY -----------------------------------------------------------------
EACH 7. Sole Dispositive Power -0-
REPORTING -----------------------------------------------------------------
PERSON WITH: 8. Shared Dispositive Power 1,702,442
- -------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,702,442
- -------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)
- -------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 10.3%
- -------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions) IN
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Page 6 of 12 pages
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ITEM 1.
(a) Name of Issuer SM&A Corporation
(b) Address of Issuer's Principal Executive Offices
4695 MacArthur Court
Eighth Floor
Newport Beach, CA 92660
ITEM 2.
(a) Name of Person Filing The persons filing this Schedule 13G are RLH
SM&A, Riordan, Lewis & Haden, J. Christopher
Lewis, Trustee of the RB Trust dated June 23,
1993, J. Christopher Lewis and Patrick C.
Haden (collectively, the "Filing Persons").
(b) Address of Principal Business Office
or, if none, Residence 300 S. Grand Avenue,
29th Floor,
Los Angeles, California 90071
(c) Citizenship The responses of the Filing Persons to Item 4 of the
cover pages to this Schedule 13G that relate to the
citizenships or places of organization of such persons
are herein incorporated by reference.
(d) Title of Class of Securities This filing is made in regard to Common
Stock, no par value of SM&A Corporation
(the "Common Stock").
(e) CUSIP Number 860162 10 6
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR
240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) / / Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).
(b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) / / Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) / / Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) / / An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) / / An employee benefit plan or endowment fund in accordance with
Section 240.13d-1(b)(1)(ii)(F);
(g) / / A parent holding company or control person in accordance with
Section 240.13d-1(b)(1)(ii)(G);
(h) / / A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) / / A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
Page 7 of 12 pages
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ITEM 4. OWNERSHIP.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned: The responses of the Filing Persons to
Item 9 of the cover pages that relate to the aggregate amount
beneficially owned by each Filing Person are herein incorporated by
reference.
(b) Percent of class: The percentage of Common Stock beneficially owned
by the Filing Persons is 10.3%
(c) Number of shares as to which the person has:
The responses of the Filing Persons to Items 5 through 8 of the cover
pages that relate to the number of shares beneficially owned by each
Filing Person are herein incorporated by reference.
(i) Sole power to vote or to direct the vote.
(ii) Shared power to vote or to direct the vote.
(iii) Sole power to dispose or to direct the disposition
of .
(iv) Shared power to dispose or to direct the disposition
of .
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that 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, check the following / /.
Not Applicable
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
Not Applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
The Filing Persons have filed this Schedule 13G as a group pursuant
to Rule 13d-1(k). The identity of each member of the group is stated in
Exhibit 1 attached hereto. The Filing Persons entered into a Joint Reporting
Agreement dated February 12, 1999, pursuant to which they agreed to file on
joint statement on behalf of all of them with respect to the subject matter
of this Schedule 13G.
Page 8 of 12 pages
<PAGE>
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not Applicable
ITEM 10. CERTIFICATION
(a) Not Applicable
(b) Not Applicable
Page 9 of 12 pages
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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 12, 1998
RLH SM&A
By: Riordan, Lewis & Haden
General Partner
By:
------------------------------
J. Christopher Lewis
General Partner
RIORDAN, LEWIS & HADEN
By:
-----------------------------------
J. Christopher Lewis
General Partner
THE RB TRUST DATED JUNE 23, 1993
By:
-----------------------------------
J. Christopher Lewis
Trustee
---------------------------------------
J. Christopher Lewis
---------------------------------------
Patrick C. Haden
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than an
executive officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed
with the statement, provided, however, that a power of attorney for this
purpose which is already on file with the Commission may be incorporated by
reference. The name and any title of each person who signs the statement
shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. SEE Section 240.13d-7
for other parties for whom copies are to be sent.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Page 10 of 12 pages
<PAGE>
EXHIBIT INDEX
Exhibit 1: Joint Reporting Agreement among the Partnership, RLH, the
Trustee, Lewis and Haden dated February 12, 1999
Page 11 of 12 pages
<PAGE>
JOINT REPORT AGREEMENT
In consideration of the mutual covenants herein contained, each of
the parties hereto represents to and agrees with the other party as follows:
1. Such party is eligible to file a statement on Schedule 13G
pertaining to the common stock, no par value, of SM&A Corporation to which
this agreement is an exhibit.
2. Such party is responsible for timely filing of such statement
and any amendments thereto and for the completeness and accuracy of the
information concerning such party contained therein, provided that no such
party is responsible for the completeness or accuracy of the information
concerning any other party making the filing, unless such party knows or has
reason to believe that such information is inaccurate.
3. Such party agrees that such statement is filed by and on
behalf of each such party and that any amendment thereto will be filed on
behalf of each such party.
This Joint Reporting Agreement may be executed in one or more
counterparts, each of which shall be deemed to be an original instrument, but
all of such counterparts together shall constitute but one agreement.
Dated: February 12, 1999
RLH SM&A
By: Riordan, Lewis & Haden
General Partner
By:
-----------------------------------
J. Christopher Lewis
General Partner
RIORDAN, LEWIS & HADEN
By:
---------------------------------------
J. Christopher Lewis
General Partner
THE RB TRUST DATED JUNE 23, 1993
By:
---------------------------------------
J. Christopher Lewis
Trustee
- --------------------------------------------
J. Christopher Lewis
- --------------------------------------------
Patrick C. Haden
EXHIBIT 1
