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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2 AS TO MESSRS. BERGMAN AND DICKMAN)
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SMT HEALTH SERVICES INC.
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(NAME OF ISSUER)
COMMON STOCK, PAR VALUE $0.01
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(TITLE OF CLASS OF SECURITIES)
784585 10 1
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(CUSIP NUMBER OF CLASS OF SECURITIES)
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MR. JEFF D. BERGMAN
SMT HEALTH SERVICES INC.
10521 PERRY HIGHWAY
WEXFORD, PENNSYLVANIA 15090
(412) 933-3300
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND
COMMUNICATIONS)
COPIES TO:
RONALD BASSO, ESQ.
BUCHANAN INGERSOLL PROFESSIONAL CORPORATION
ONE OXFORD CENTRE
301 GRANT STREET, 20TH FLOOR
PITTSBURGH, PA 15219
(412) 562-8800
JUNE 24, 1997
(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT ON SCHEDULE 13D)
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1.
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
Jeff D. Bergman*
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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
N/A
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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
0
NUMBER OF ------------------------------------------------------------------
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSONWITH
8. SHARED VOTING POWER
1,023,502 shares of Common Stock
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9. SOLE DISPOSITIVE POWER
0
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10. SHARED DISPOSITIVE POWER
1,023,502 shares of Common Stock
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11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,023,502 shares of Common Stock
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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)
16.47%
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14.
TYPE OF REPORTING PERSON
IN
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1.
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
Daniel Dickman
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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*
N/A
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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
0
NUMBER OF ------------------------------------------------------------------
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSONWITH
8. SHARED VOTING POWER
1,023,502 shares of Common Stock
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
0
------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
1,023,502 shares of Common Stock
- --------------------------------------------------------------------------------
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,023,502 shares of Common Stock
- --------------------------------------------------------------------------------
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)
16.47%
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14.
TYPE OF REPORTING PERSON *
IN
3
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1.
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
David W. Spindler*
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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*
N/A
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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
0
NUMBER OF ------------------------------------------------------------------
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSONWITH
8. SHARED VOTING POWER
1,023,502 shares of Common Stock
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
0
------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
1,023,502 shares of Common Stock
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11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,023,502 shares of Common Stock
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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)
16.47%
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14.
TYPE OF REPORTING PERSON *
IN
4
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1.
NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
David A. Zynn*
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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*
N/A
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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
0
NUMBER OF ------------------------------------------------------------------
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSONWITH
8. SHARED VOTING POWER
1,023,502 shares of Common Stock
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
0
------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
1,023,502 shares of Common Stock
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11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,023,502 shares of Common Stock
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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)
16.47%
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14.
TYPE OF REPORTING PERSON *
IN
5
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INTRODUCTION
* On June 24, 1997, Three Rivers Holding Corp. ("Parent") and Three Rivers
Acquisition Corp., a wholly owned subsidiary of Parent (the "Purchaser"),
entered into a Stockholder Agreement, dated as of June 24, 1997 (the
"Stockholder Agreement"), with Jeff D. Bergman, the President, Chief
Executive Officer and Chairman of the Board of SMT Health Services Inc., a
Delaware corporation (the "Company"), Daniel Dickman, the Executive Vice
President, Chief Operating Officer, Secretary and a director of the
Company, David W. Spindler, the Senior Vice President of Clinical
Operations and Marketing of the Company, and David A. Zynn, Chief Financial
Officer, Treasurer and Assistant Secretary of the Company (collectively,
the "Selling Stockholders"), pursuant to which such Selling Stockholders
have agreed to sell to the Purchaser, and the Purchaser has agreed to
purchase, all of the shares of Common Stock, $.01 par value (the "Shares"),
beneficially owned by them, representing approximately 15.1% of the Shares
on a fully diluted basis, including Shares subsequently acquired by a
Selling Stockholder through the exercise of options or otherwise, at a
price per Share equal to $11.75, provided that such obligation to sell and
such obligation to purchase are subject to certain conditions, including
the Minimum Condition (as defined in the Offer to Purchase (as hereinafter
defined)), having been satisfied and the Purchaser having accepted Shares
for payment under the Offer. The "Offer to Purchase" means the Offer to
Purchase, dated June 30, 1997, with respect to the offer to purchase all
outstanding shares of the Common Stock, par value $.01 (the "Shares"), of
the Company, including the associated Rights (as defined in the Offer to
Purchase), at a purchase price of $11.75 per Share, net to the seller in
cash, upon the terms and subject to the conditions set forth in the Offer
to Purchase and related Letter of Transmittal (which together constitute
the "Offer"). Pursuant to the Stockholder Agreement, the Purchaser has the
right (which, the Selling Stockholders have been advised, it intends to
exercise) to require the Selling Stockholders to tender the Shares subject
to the Stockholder Agreement into the Offer. Pursuant to the Stockholder
Agreement, each Selling Stockholder has also executed and delivered a proxy
for the benefit of the Purchaser with respect to the Shares subject to the
Stockholder Agreement owned by such Selling Stockholder to vote such Shares
against certain competing transactions, as more fully described in "Item
3--Identity and Background--Stockholder Agreement" in the Schedule 14D-9
(as defined herein). The Purchaser's rights to vote and purchase the Shares
subject to the Stockholder Agreement are reflected in Rows 8 and 10 of each
of the tables above. The Stockholder Agreement is described more fully in
"Identity and Background--Stockholder Agreement" of Item 3 of the Schedule
14D-9 and Section 12 "Purpose of the Offer; The Merger Agreement and The
Stockholder Agreement" of the Offer to Purchase.
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ITEM 1. SECURITY AND ISSUER.
This Schedule 13D relates to the Shares of SMT Health Services Inc., a
Delaware corporation (the "Company"), which has its principal executive
offices at 10521 Perry Highway, Wexford, Pennsylvania 15090.
ITEM 2. IDENTITY AND BACKGROUND.
(a)-(c) and (f) This Schedule 13D is being filed by each of the Selling
Stockholders. The names, present principal occupations or employment, material
occupations, positions, offices or employments during the last five years of
each of the Selling Stockholders are set forth in the Company's Information
Statement pursuant to Schedule 14f of the Securities Exchange Act of 1934, as
amended (the "Information Statement"), filed as Annex A to the Company's
Solicitation/Recommendation Statement on Schedule 14D-9 filed with the
Securities and Exchange Commission ("SEC") on June 30, 1997 (the "Schedule
14D-9"). The business address of each of the Selling Stockholders is c/o SMT
Health Services Inc., 10521 Perry Highway, Wexford, Pennsylvania 15090. Each
of the Selling Stockholders is a citizen of the United States of America.
(d) and (e) None of the Selling Stockholders has been convicted in a
criminal proceeding and none 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 activities subject to, federal or state
securities laws or finding any violation of such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Not applicable.
ITEM 4. PURPOSE OF THE TRANSACTION.
(a)-(c) The information set forth in the Introduction to this Schedule 13D
and in "Identity and Background--The Merger Agreement" and "--Stockholder
Agreement" in Item 3 of the Schedule 14D-9 is incorporated herein by
reference.
(d) The information set forth in "Board of Directors and Executive Officers
of the Company--General" in the Information Statement is incorporated herein
by reference.
(e)-(j) Not applicable.
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ITEM 5. INTEREST IN SECURITIES OF THE SUBJECT COMPANY.
(a) and (b) The information set forth in "Security Ownership of Certain
Beneficial Owners and Management" in the Information Statement, "Introduction"
in the Offer to Purchase and "Identity and Background--Stockholder Agreement"
of Item 3 in the Schedule 14D-9 is incorporated herein by reference.
(c) The information set forth in "Recent Transactions and Intent with Respect
to Securities" of Item 6 of the Schedule 14D-9 is incorporated herein by
reference.
(d)-(e) Not Applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO THE COMPANY'S SECURITIES.
The information concerning the Selling Stockholders set forth in "Identity
and Background--Stockholder Agreement" of Item 3 in the Schedule 14D-9 is
incorporated herein by reference.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
(1) Offer to Purchase (incorporated by reference to Exhibit (a)(1) of the
Schedule 14D-1 filed on June 30, 1997 by Three Rivers Holding Corp. and Three
Rivers Acquisition Corp.).
(2) Information Statement (incorporated herein by reference to Annex A to the
Schedule 14D-9).
(3) Schedule 14D-9 (incorporated herein by reference).
(4) Agreement and Plan of Merger dated as of June 24, 1997, among the
Purchaser, Parent and the Company (including the Parent Option Plan Term Sheet)
(incorporated herein by reference to Exhibit (c)(1) to the Schedule 14D-9).
(5) Stockholder Agreement dated as of June 24, 1997, among Parent, the
Purchaser, Jeff D. Bergman, Daniel Dickman, David W. Spindler and David A. Zynn
(incorporated herein by reference to Exhibit (c)(2) to the Schedule 14D-9).
8
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SIGNATURE
After due 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: July 1, 1997
/s/ Jeff D. Bergman
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Jeff D. Bergman
/s/ Daniel Dickman
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Daniel Dickman
/s/ David W. Spindler
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David W. Spindler
/s/ David A. Zynn
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David A. Zynn
9
