<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. _______)*
STEVEN MYERS & ASSOCIATES, INC.
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(Name of Issuer)
Common Stock, no par value
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(Title of Class of Securities)
860162 10 6
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(CUSIP Number)
J. Christopher Lewis with a copy to:
Riordan, Lewis & Haden James W. Loss, Esq.
300 South Grand Avenue Riordan & McKinzie
29th Floor 695 Town Center Drive, Suite 1500
Los Angeles, CA 90071 Costa Mesa, California 92626
(213) 229-8453 (714) 433-2626
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
February 11, 1998
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(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 [ ].
NOTE: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copes are to be
sent.
*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 11
Exhibit Index appears on Page 10
SEC 1746 (91)
<PAGE> 2
SCHEDULE 13D
CUSIP No. 860162 10 6 PAGE 2 OF 11 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
RLH SM&A
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 (See Item 3)
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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7 SOLE VOTING POWER
-0-
NUMBER OF ----------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 1,702,442(See Item 5)
OWNED BY ----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING -0-
PERSON ----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,702,442(See Item 5)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,702,442(See Item 5)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
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14 TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 3
SCHEDULE 13D
CUSIP No. 860162 10 6 PAGE 3 OF 11 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Riordan,Lewis & Haden
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 (See Item 3)
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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7 SOLE VOTING POWER
-0-
NUMBER OF ----------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 1,702,442(See Item 5)
OWNED BY ----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING -0-
PERSON ----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,702,442(See Item 5)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,702,442(See Item 5)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
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14 TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 4
SCHEDULE 13D
CUSIP No. 860162 10 6 PAGE 4 OF 11 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
J. Christopher Lewis, Trustee of the RB Trust dated June 23, 1993
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 (See Item 3)
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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7 SOLE VOTING POWER
-0-
NUMBER OF ----------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 1,702,442(See Item 5)
OWNED BY ----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING -0-
PERSON ----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,702,442(See Item 5)
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,702,442(See Item 5)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
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14 TYPE OF REPORTING PERSON*
00(See Item 2)
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 5
SCHEDULE 13D
CUSIP No. 860162 10 6 PAGE 5 OF 11 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
J. Christopher Lewis
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 (See Item 3)
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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7 SOLE VOTING POWER
NUMBER OF ----------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 1,702,442(See Item 5)
OWNED BY ----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON ----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,702,442(See Item 5)
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,702,442(See Item 5)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
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14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 6
SCHEDULE 13D
CUSIP No. 860162 10 6 PAGE 6 OF 11 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Patrick C. Haden
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
00 (See Item 3)
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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
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7 SOLE VOTING POWER
NUMBER OF ----------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY 1,702,442(See Item 5)
OWNED BY ----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON ----------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
1,702,442(See Item 5)
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,702,442(See Item 5)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
<PAGE> 7
Item 1. Security and Issuer.
This Schedule 13D relates to the common stock, no par value, CUSIP No.
860162 10 6 (the "Common Stock"), of Steven Myers & Associates, Inc., a
California corporation (the "Issuer"), having its principal executive offices at
4695 MacArthur Court, Eight Floor, Newport Beach, California 92660.
Item 2. Identity and Background.
This Schedule 13D is filed as a joint filing pursuant to Rule 13d-1(f)
by and on behalf of RLH SM&A, a California partnership (the "Partnership"),
Riordan, Lewis & Haden, a California partnership ("RLH"), J. Christopher Lewis,
Trustee (the "Trustee") of the RB Trust dated June 23, 1993 (the "Trust"), J.
Christopher Lewis ("Lewis") and Patrick C. Haden ("Haden" and together with the
Partnership, RLH, the Trustee and Lewis, the "Filing Persons"). The Filing
Persons have entered into a Joint Reporting Agreement, attached hereto as
Exhibit 1.
RLH and the Trustee are the sole general partners of the Partnership.
Lewis and Haden are the sole general partners of RLH. Each of the Partnership,
RLH, the Trustee, Lewis and Haden have their principal address and principal
office at 300 South Grand Avenue, 29th Floor, Los Angeles, California 90071. The
Partnership was formed specifically to hold the Partnership Shares (defined in
Item 3, below) on behalf of RLH and the Trustee. RLH is in the business of
investing in securities primarily in connection with venture capital
transactions. Lewis and Haden are responsible for managing and investing the
assets of RLH and certain investment partnerships managed by RLH. The Trustee is
responsible for managing and investing the assets of the RB Trust dated June 23,
1993, a blind investment trust created for the benefit of certain beneficiaries.
None of the beneficiaries has or shares any voting or investment power with
respect to the Partnership Shares and, therefore, may not be deemed a beneficial
owner of the Partnership Shares as determined under Rule 13d-3.
During the last five years, none of the Partnership, RLH, the Trustee,
Lewis or Haden has been convicted in a criminal proceeding (excluding traffic
violations and similar misdemeanors) or 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 or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
Each of the Trustee, Lewis and Haden is a citizen of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
The Partnership Shares were originally acquired on September 25, 1996
by the Trustee, Lewis and Haden from the Issuer's shareholders for $5,000,000 in
cash, pursuant to a Securities Purchase Agreement among the Trustee, Lewis,
Haden, the Issuer and the Issuer's shareholders. The cash used to purchase the
Shares was obtained from the personal funds of Lewis and Haden and the general
funds of the Trust.
On February 11, 1998, immediately following the underwritten public
offering of the Issuer's Common Stock (the "Offering"), the Trustee and RLH
contributed to the Partnership an aggregate of 1,702,442 shares of the Issuer's
Common Stock (34,056 shares of which were contributed to RLH by Lewis and Haden)
(collectively, the "Partnership Shares") in exchange for general partnership
interests and a share in the profits (or losses) and the capital account of the
Partnership.
Item 4. Purpose of Transaction.
The Shares have been acquired solely for investment. None of the Filing
Persons presently has any plans or proposals which relate to or would result in
any of the actions described in subparagraphs (a) through (j) of Item 4 of
Schedule 13D.
Page 7 of 11 pages.
<PAGE> 8
Item 5. Interest in Securities of The Issuer.
(a) The percentages of outstanding Common Stock of the Issuer reported
in this Item 5 are based upon the assumption that there are 15,000,000 shares of
Common Stock outstanding, which is the number of outstanding shares reported by
the Issuer on its final prospectus with respect to the Offering, dated January
28, 1998, filed with the Securities and Exchange Commission pursuant to Rule
424(b) on January 29, 1998 (the "Prospectus"). Based upon the Prospectus, each
of the Partnership, RLH, the Trustee, Lewis and Haden is deemed to be the
beneficial owner of 1,702,442 shares, or 11.3% of the outstanding Common Stock
of the Issuer.
(b) RLH and the Trustee, as general partners of the Partnership, and
Lewis and Haden, as general partners of RLH, may each be deemed to have shared
voting and dispositive power with respect to 1,702,442 shares of Common stock of
the Issuer, held directly by the Partnership.
(c) Other than the contribution of the Partnership Shares to the
Partnership as described in Item 3, above, no other transactions by the Filing
Persons with respect to the Common Stock of the Issuer were effected during the
past 60 days.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
Pursuant to the Partnership Agreement between RLH and the Trustee with
respect to the Partnership, each of RLH and the Trustee own certain economic
interests in the profits (or losses) of the Partnership as well as its capital
account, including the Partnership Shares. Lewis and Haden, pursuant to an
arrangement with RLH, each own a share of the profits (or losses) and the
capital account with respect to Partnership Shares as well as certain economic
interests in the profits (or losses) of RLH with respect to certain investments
made or managed by RLH, including its general partnership interest in the
Partnership. The Trustee, by virtue of the Trust, is responsible for managing
and investing the Trust assets, including the Trustee's general partnership
interest in the Partnership, however the Trustee does not have an economic
interest in the Trust assets, or in the financial performance of these assets.
Item 7. Material to Be Filed as Exhibits.
The Filing Persons file as exhibits the following:
Exhibit 1: Joint Reporting Agreement among the Partnership, RLH, the
Trustee, Lewis and Haden dated February 11, 1998.
Page 8 of 11 pages.
<PAGE> 9
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 11, 1998
RLH SM&A
By: Riordan, Lewis & Haden
Its: General Partner
By: /s/ J. CHRISTOPHER LEWIS
--------------------------------
J. Christopher Lewis
General Partner
RIORDAN, LEWIS & HADEN
By: /s/ J. CHRISTOPHER LEWIS
-----------------------------------------
J. Christopher Lewis
General Partner
THE RB TRUST DATED JUNE 23, 1993
By: /s/ J. CHRISTOPHER LEWIS
-----------------------------------------
J. Christopher Lewis
Trustee
/s/ J. CHRISTOPHER LEWIS
--------------------------------------------
J. CHRISTOPHER LEWIS
/s/ PATRICK C. HADEN
--------------------------------------------
PATRICK C. HADEN
Page 9 of 11 pages.
<PAGE> 10
EXHIBIT INDEX
<TABLE>
<CAPTION>
Sequential
Page No.
--------
<S> <C> <C>
Exhibit 1: Joint Reporting Agreement among the Partnership, RLH,
the Trustee, Lewis and Haden dated February 11, 1998 11
</TABLE>
Page 10 of 11 pages.
<PAGE> 1
EXHIBIT 1
JOINT REPORTING 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 13D
pertaining to the common stock, no par value, of Steven Myers & Associates, Inc.
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 11, 1998
RLH SM&H
By: Riordan, Lewis & Haden
Its: General Partner
By: /s/ J. CHRISTOPHER LEWIS
------------------------------
J. Christopher Lewis
General Partner
RIORDAN, LEWIS & HADEN
By: /s/ J. CHRISTOPHER LEWIS
---------------------------------------
J. Christopher Lewis
General Partner
THE RB TRUST DATED JUNE 23, 1993
By: /s/ J. CHRISTOPHER LEWIS
---------------------------------------
J. Christopher Lewis
Trustee
/s/ J. CHRISTOPHER LEWIS
------------------------------------------
J. CHRISTOPHER LEWIS
/s/ PATRICK C. HADEN
------------------------------------------
PATRICK C. HADEN
Page 11 of 11 pages.
