SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
----------
SCHEDULE 13D/A
(Amendment No. 3)
Under the Securities Exchange Act of 1934
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)
November 30, 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 17 Pages)
<PAGE>
EXHIBIT 3
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dale A. Barnes
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------ ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 11,199 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 11,199 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------ ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,199 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.36%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
John J. Bottaro
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
-------- -----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 4,763 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 4,763 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,763 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.01%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
3
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
David E. Clavier
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 2,736 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 2,736 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,736 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.58%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
4
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Darold F. Cole
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 28,728 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 28,728 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
28,728 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.07%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
5
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Joseph N. Debs
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 12,403 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 12,403 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,403 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.62%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
6
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Lawrence D. Ellis
--------- ----------------------------------------------------------------------
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
-------- -----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 2,141 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 2,141 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,141 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.45%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
7
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Kenneth R. Jacobson
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 2,048 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 2,048 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,048 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.43%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
8
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Leerie T. Jenkins, Jr.
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 77,808 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 77,808 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,808 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.43%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
9
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
J. Ronald Ratliff
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 39,982 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 39,982 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
39,982 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.44%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
10
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Brian P. Reed
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 8,628 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 8,628 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,628 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.82%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
11
<PAGE>
--------- ----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
David K. Robertson
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
5 TO ITEM 2(d) or 2(e) ____
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
------------------------- ------ -----------------------------------------------
NUMBER OF
SHARES 7 SOLE VOTING POWER 32,530 Shares
------ -----------------------------------------------
BENEFICIALLY
OWNED BY 8 SHARED VOTING POWER 0 Shares
------ -----------------------------------------------
EACH
REPORTING 9 SOLE DISPOSITIVE POWER 32,530 Shares
------ -----------------------------------------------
PERSON WITH
10 SHARED DISPOSITIVE POWER 0 Shares
------------------------- ------ -----------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,530 Shares
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ____
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.87%
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------- ----------------------------------------------------------------------
12
<PAGE>
This Amendment No. 3 ("Amendment No. 3") amends the Statement on Schedule
13D (the "Schedule 13D") filed on November 8, 1999, as amended by Amendment No.
1 filed on March 8, 2000, and Amendment No. 2 filed on July 21, 2000.
Item 1. Security and Issuer.
This Amendment No. 3 is filed with respect to shares of Common Stock, $0.01
par value per share ("Common Stock"), of Reynolds, Smith and Hills, Inc., a
Florida corporation (the "Company"). The address of the principal executive
offices of the Company is 4651 Salisbury Road, Suite 400, Jacksonville, Florida
32256.
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 the Company. The members of
the group are referred to collectively as the "Reporting Persons."
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......................President of Subsidiary Corporation
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.................Chief Financial Officer, Executive Vice
President 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..................Chief Operating Officer, Secretary,
Treasurer, Executive Vice President and
Director
13
<PAGE>
Item 3. Source and Amount of Funds or Other Consideration.
The Schedule 13D to which this Amendment No. 3 relates was necessitated
by the decision of the Reporting Persons to discontinue the acquisition of
shares of Common Stock as a group and then distributing the shares pro rata
among all Reporting Persons (as described in Item 4 below). Accordingly, this
item is not applicable.
Item 4. Purpose of Transaction.
On October 29, 1999, each of the Reporting Persons agreed to act as a
group in the acquisition of shares of Common Stock and to distribute the shares
pro rata among all Reporting Persons. The financing of these acquisitions was
provided by the Company through loans of up to $10,000 in principal amount to
each of the Reporting Persons pursuant to a promissory note executed by such
Reporting Person (the "Promissory Note"). The only recourse the Company has
against the Reporting Persons for repayment of each of the Promissory Notes is
the shares of Common Stock purchased with the proceeds of the Promissory Note
pursuant to a pledge agreement entered into between the Company and each of the
Reporting Persons (the "Pledge Agreement"). Copies of the Form of Promissory
Note and Form of Pledge Agreement were filed as Exhibits 1 and 2 to the Schedule
13D and are incorporated herein by this reference.
Effective November 30, the Reporting Persons agreed to discontinue the
acquisition of shares of Common Stock as a group. Therefore, the obligation of
the Reporting Persons to file as a "group" on Schedule 13D is terminated. Due to
the termination of the "group" only those individual Reporting Persons obligated
to file a Schedule 13D with respect to their holdings of Common Stock will
continue to file on Schedule 13D. No other Reporting Persons will file a
Schedule 13D.
The Reporting Persons may from time to time (i) acquire additional
Common Stock (subject to availability at prices deemed favorable) in the open
market, in privately negotiated transactions or otherwise, or (ii) dispose of
Common Stock at prices deemed favorable in the open market, in privately
negotiated transactions or otherwise.
Except as described above, and except for the expectations that each of
the Reporting Persons may from time to time sell the Company's Common Stock,
purchase shares of the Company's Common Stock through the Company's 401(k) Plan
and the exercise of stock options granted to the Reporting Persons, and receive
the Company's Common Stock pursuant to the Company's stock bonus plans
(depending upon market conditions, need for funds, and other factors personal to
each Reporting Person), none of the Reporting Persons has any present plans or
proposals with respect to the Company that relate to or could result in the
occurrence of any of the matters set forth in subparagraphs (a) through (j) of
Item 4 of Schedule 13D.
14
<PAGE>
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 November 30, 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.
-------------------------------------------------------------------------
Name of Reporting Person Number of Shares Percentage
Beneficially Owned
-------------------------------------------------------------------------
Dale A. Barnes 11,199 2.36%
-------------------------------------------------------------------------
John J. Bottaro 4,763 1.01
-------------------------------------------------------------------------
David E. Clavier 2,736 0.58
-------------------------------------------------------------------------
Darold F. Cole 28,728 6.07
-------------------------------------------------------------------------
Joseph N. Debs 12,403 2.62
-------------------------------------------------------------------------
Lawrence D. Ellis 2,141 0.45
-------------------------------------------------------------------------
Kenneth R. Jacobson 2,048 0.43
-------------------------------------------------------------------------
Leerie T. Jenkins, Jr. 77,808 16.43
-------------------------------------------------------------------------
J. Ronald Ratliff 39,982 8.44
-------------------------------------------------------------------------
Brian P. Reed 8,628 1.82
-------------------------------------------------------------------------
David K. Robertson 32,530 6.87
-------------------------------------------------------------------------
(c) On October 11, 2000, two Reporting Persons purchased on the open
market 385 shares of the Company's Common Stock for an aggregate purchase price
of $3,273. Kenneth R. Jacobson and Brian P. Reed purchased 200 and 185 shares,
respectively, from an individual shareholder at the price of $8.50 per share.
15
<PAGE>
In addition, the following Reporting Persons have effected a
transaction in the Common Stock of the Company through the purchase of such
stock on September 30, 2000 pursuant to the Company's 401(k) Plan:
---------------------------------------------------------------------------
Reporting Persons Number of Shares Price Per Share
---------------------------------------------------------------------------
David E. Clavier 83 $15.00
---------------------------------------------------------------------------
Lawrence D. Ellis 30 $15.00
---------------------------------------------------------------------------
Leerie T. Jenkins, Jr. 127 $15.00
---------------------------------------------------------------------------
David K. Robertson 81 $15.00
---------------------------------------------------------------------------
(d) Not applicable.
(e) Effective November 30, 2000 (as described in Item 4 above),
each of the Reporting Persons except Darold F. Cole, Leerie T. Jenkins, Jr., J.
Ronald Ratliff and David K. Robertson ceased to be the beneficial owner of more
than five percent of the Company's Common Stock.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer.
The termination of the acquisition of shares of Common Stock as a group
terminates any and all contracts, arrangements, understandings or relationships
between or among the Reporting Persons regarding the acquisition, holding,
voting or disposition of any Common Stock of the Company.
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 (Incorporated by reference to Schedule 13D Amendment No. 1, filed March
8, 2000).
16
<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: November 30, 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/Donald F. Cole
-----------------
Donald 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
17
