SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
----------
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
(Amendment No. 1)
Reynolds, Smith and Hills, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.01 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
Not Applicable
- --------------------------------------------------------------------------------
(CUSIP Number)
Kenneth R. Jacobson William B. Marianes
- --------------------------------------------------------------------------------
Chief Financial Officer Troutman Sanders LLP
- --------------------------------------------------------------------------------
4651 Salisbury Road 600 Peachtree Street, N.E.
Jacksonville, Florida 32256 Suite 5200
- --------------------------------------------------------------------------------
(904) 296-2000 Atlanta, Georgia 30308
- --------------------------------------------------------------------------------
(404) 885-3000
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications
February 2, 2000
- --------------------------------------------------------------------------------
(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(e), 13d-1(f) or 13d-1(g), check the
following box.
(Continued on following pages)
(Page 1 of 16 Pages)
+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 disclosure provided in a prior cover page.
The information required in 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, as amended (the "Exchange Act"), or otherwise subject to the
liabilities of that section of the Exchange Act but shall be subject to all
other provisions of the Exchange Act (however, see the Notes).
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Dale A. Barnes
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
10,965 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
10,965 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,965 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.36%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
John J. Bottaro
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
3,803 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
3,803 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,803 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.82%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
David E. Clavier
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
2,019 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
2,019 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,019 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.43%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Darold F. Cole
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
29,028 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
29,028 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
29,028 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.25%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Joseph N. Debs
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
10,929 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
10,929 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,929 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.35%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Lawrence D. Ellis
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
1,818 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
1,818 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,818 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.39%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Kenneth R. Jacobson
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
1,648 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
1,648 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,648 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.35%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Leerie T. Jenkins, Jr.
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
75,755 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
75,755 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
75,755 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.30%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
J. Ronald Ratliff
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
40,282 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
40,282 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
40,282 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.67%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
Brian P. Reed
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
4,990 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
4,990 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,990 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.07%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
CUSIP NO. Not Applicable 13D
- ----------------------------------------------------------------
1. NAME OF REPORTING PERSON
David K. Robertson
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( )
- -----------------------------------------------------------------
3. SEC USE ONLY
- -----------------------------------------------------------------
4. SOURCE OF FUNDS
PF and SC
- -----------------------------------------------------------------
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
- -----------------------------------------------------------------
Number of 7. SOLE VOTING POWER
32,534 Shares
Shares _________________________
Beneficially owned 8. SHARED VOTING POWER
0 Shares
by Each Reporting _________________________
Person 9. SOLE DISPOSITIVE POWER
32,534 Shares
With _________________________
l0. SHARED DISPOSITIVE POWER
0 Shares
- -----------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,534 Shares
- -----------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES
( )
- -----------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.00%
- -----------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------
<PAGE>
Pursuant to Rule 13d-2 promulgated under the Exchange Act, this
Amendment No. 1 amends the Schedule 13D filed on November 8, 1999. This
Amendment No. 1 is being filed to report (i) an addition in the persons on whose
behalf this filing is being made as described more fully in Item 2 below, and
(ii) the acquisition of shares of common stock by members of the group as
described more fully in Item5 below.
Item 2. Identity and Background.
This statement is filed by and on behalf of a group consisting of the
following 11 individuals, who are all officers of Reynolds, Smith and Hills,
Inc. (the "Company"). The members of the group are referred to collectively as
the "Reporting Persons." Mr. Kenneth R. Jacobson was hired by the Company as
Executive Vice President, Chief Financial Officer and General Counsel and added
as a member of the group on February 2, 2000. Mr. Jacobson has entered into a
Promissory Note and Pledge Agreement with the Company, copies of which are filed
as Exhibits 1 and 2 to the Schedule 13D filed November 8, 1999 and are
incorporated herein by this reference.
Set forth below is the name, position and present principal occupation
of each of the Reporting Persons. Except as otherwise indicated, (i) the
business address of each of such persons is 4651 Salisbury Road, Jacksonville,
Florida 32256, (ii) each of such persons has not been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) during the
last five years, (iii) during the last five years, each of such persons has not
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction, as a result of which civil proceeding such person 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, and (iv) each of such
persons is a citizen of the United States.
Name Present Principal Occupation with RS&H
Dale A. Barnes Operating Program Director
John J. Bottaro.....................Senior Vice President
David E. Clavier....................Senior Vice President
Darold F. Cole Senior Vice President and Director
Joseph N. Debs......................Senior Vice President
Lawrence D. Ellis...................Senior Vice President
Kenneth R. Jacobson Executive Vice President,
Chief Financial Officer and
General Counsel
Leerie T. Jenkins, Jr...............Chief Executive Officer and Chairman
J. Ronald Ratliff...................Executive Vice President and Director
Brian P. Reed.......................Senior Vice President
David K. Robertson..................Secretary, Treasurer,
Executive Vice President,
Chief Operating Officer and Director
Item 5. Interest in Securities of the Issuer.
(a)(b) The beneficial ownership of the Company's Common Stock of each
of the Reporting Persons as of February 2, 2000 and based upon information
provided by the Company is set forth in the table below. Each of the Reporting
Persons has sole voting and dispositive power with respect to the shares of
Common Stock indicated in the table below.
<TABLE>
<CAPTION>
Number of Shares
Name of Reporting Person Beneficially Owned Percentage
- ------------------------ ------------------ ----------
<S> <C> <C>
Dale A. Barnes 10,965 2.36%
John J. Bottaro 3,803 0.82
David E. Clavier 2,019 0.43
Darold F. Cole 29,028 6.25
Joseph N. Debs 10,929 2.35
Lawrence D. Ellis 1,818 0.39
Kenneth R. Jacobson 1,648 0.35
Leerie T. Jenkins, Jr 75,755 16.30
J. Ronald Ratliff 40,282 8.67
Brian P. Reed 4,990 1.07
David K. Robertson 32,534 7.00
</TABLE>
(c) On February 2, 2000, the Reporting Persons purchased on the open
market 18,136 shares of the Company's Common Stock for an aggregate purchase
price of $108,272. These shares were purchased from six individual shareholders
and were distributed pro rata to each Reporting Person. The following lists the
number and per share acquisition price: 13,008 shares at $6.15/share, 2,083
shares at $5.28/share, 1,899 shares at $5.25/share, and 147 shares at
$5.50/share. Also included in this trasaction, were 999 shares sold by Brian P.
Reed, a Reporting Person, for $6,494 or $6.50 per share. Mr. Reed acquired these
shares on the open market on September 5, 1999 from an individual at $6.00 per
share.
In addition, the following Reporting Persons have effected a
transaction in the Common Stock of the Company through the purchase of such
stock on December 31, 1999 pursuant to the Company's 401(k) Plan:
Reporting Persons Number of Shares Price Per Share
- ----------------- ---------------- ---------------
David E. Clavier 114 $ 15.00
Lawrence D. Ellis 40 $ 15.00
Leerie T. Jenkins 192 $ 15.00
David K. Robertson 63 $ 15.00
(d) Inapplicable.
(e) Inapplicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
As described in Item 5 of this Amendment No. 1 to Schedule 13D, on
February 2, 2000, the Reporting Persons purchased on the open market 18,136
shares of the Company's Common Stock for an aggregate purchase price of
$108,272. These shares were purchased from six individual shareholders and were
distributed pro rata to each Reporting Person. The $108,272 purchase price was
loaned by the Company to the Reporting Persons pursuant to a Promissory Note and
Pledge Agreement between the Company and each of the Reporting Persons as
described in Item 4 of the Schedule 13D filed on November 8, 1999. Copies of the
Form of Promissory Note and Form of Pledge Agreement are filed as Exhibits 1 and
2 to the Schedule 13D filed November 8, 1999 and are incorporated herein by this
reference.
Pursuant to Rule 13d-1(k) promulgated under the Exchange Act, the
Reporting Persons have entered into an agreement with respect to the joint
filing of this statement, and any amendment or amendments hereto, which is filed
as Exhibit 3 to this Amendment No. 1 to Schedule 13D and is incorporated herein
by this reference.
Item 7. Material to be Filed as Exhibits.
The following documents are filed as exhibits:
1. Form of Promissory Note dated November 8, 1999 between the Company
and each of the Reporting Persons (Incorporated by reference to the original
Schedule 13D, filed November 8, 1999).
2. Form of Pledge Agreement dated November 8, 1999 between the Company
and each of the Reporting Persons (Incorporated by reference to the original
Schedule 13D, filed November 8, 1999).
3. Joint Filing Agreement dated March 6, 2000 among the Reporting
Persons.
<PAGE>
SIGNATURES
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: March 6, 2000
By: /s/Dale A. Barnes
--------------------------
Dale A. Barnes
By: /s/John J. Bottaro
--------------------------
John J. Bottaro
By: /s/David E. Clavier
--------------------------
David E. Clavier
By: /s/Darold F. Cole
--------------------------
Darold F. Cole
By: /s/Joseph N. Debs
--------------------------
Joseph N. Debs
By: /s/Lawrence D. Ellis
--------------------------
Lawrence D. Ellis
By: /s/Kenneth R. Jacobson
--------------------------
Kenneth R. Jacobson
By: /s/Leerie T. Jenkins, Jr.
--------------------------
Leerie T. Jenkins, Jr.
By: /s/J. Ronald Ratliff
--------------------------
J. Ronald Ratliff
By: /s/Brian P. Reed
--------------------------
Brian P. Reed
By: /s/David K. Robertson
--------------------------
David K. Robertson
<PAGE>
EXHIBIT INDEX
1. Form of Promissory Note dated November 8, 1999 between the Company
and each of the Reporting Persons (Incorporated by reference to the original
Schedule 13D, filed November 8, 1999).
2. Form of Pledge Agreement dated November 8, 1999 between the Company
and each of the Reporting Persons (Incorporated by reference to the original
Schedule 13D, filed November 8, 1999).
3. Joint Filing Agreement dated March 6, 2000 among the Reporting
Persons.
<PAGE>
EXHIBIT 3
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on
Amendment No. 1 to Schedule 13D is filed on behalf of each of the undersigned
and that all subsequent amendments to this statement on Schedule 13D shall be
filed on behalf of each of the undersigned without the necessity of filing
additional joint filing agreements. The undersigned acknowledge that each shall
be responsible for the timely filing of such amendments, and for the
completeness and accuracy of the information concerning him or her contained
therein, but shall not be responsible for the completeness and accuracy of the
information concerning the others, except to the extent he or she knows or has
reason to believe that such information is inaccurate. This Joint Filing
Agreement may be executed in any number of counterparts and all of such
counterparts taken together shall constitute one and the same instrument.
Dated: March 6, 2000 By: /s/Dale A. Barnes
--------------------------
Dale A. Barnes
By: /s/John J. Bottaro
--------------------------
John J. Bottaro
By: /s/David E. Clavier
--------------------------
David E. Clavier
By: /s/Darold F. Cole
--------------------------
Darold F. Cole
By: /s/Joseph N. Debs
--------------------------
Joseph N. Debs
By: /s/Lawrence D. Ellis
--------------------------
Lawrence D. Ellis
By: /s/Kenneth R. Jacobson
--------------------------
Kenneth R. Jacobson
By: /s/Leerie T. Jenkins, Jr.
--------------------------
Leerie T. Jenkins, Jr.
By: /s/J. Ronald Ratliff
--------------------------
J. Ronald Ratliff
By: /s/Brian P. Reed
--------------------------
Brian P. Reed
By: /s/David K. Robertson
--------------------------
David K. Robertson
