-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WOmgzqUMng5d0Fr6GCU7iXJDgyTmV24k1hTSyJh/OgIX7u1/OmdvlqCK/qRv4v19 KbpfXUjxiPBskJQUmuyIQw== 0000950116-03-001567.txt : 20030211 0000950116-03-001567.hdr.sgml : 20030211 20030211172051 ACCESSION NUMBER: 0000950116-03-001567 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMARTSERV ONLINE INC CENTRAL INDEX KEY: 0001005698 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 133750708 STATE OF INCORPORATION: DE FISCAL YEAR END: 0902 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49961 FILM NUMBER: 03550914 BUSINESS ADDRESS: STREET 1: METRO CENTER STREET 2: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033535950 MAIL ADDRESS: STREET 1: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSNER STEVEN B CENTRAL INDEX KEY: 0001054617 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1220 MIRABEAU LANE CITY: GLADWYNE STATE: PA ZIP: 19035 BUSINESS PHONE: 6105269243 MAIL ADDRESS: STREET 1: 1220 MIRABEAU LANE CITY: GLADWYNE STATE: PA ZIP: 19035 SC 13G/A 1 sc13ga.txt SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SMARTSERV ONLINE, INC. ______________________________________________ (Name of Issuer) COMMON STOCK _____________________________________________ (Title of Class of Securities) 83169 M 203 __________________________ (CUSIP Number) December 31, 2002 _______________________________________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required 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 ("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). (Continued on following page(s)) Page 1 of 6 pages CUSIP No. 83169 M 203 13G Page 2 of 6 pages ______________________________________________________________________________ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Steven B. Rosner ______________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] ______________________________________________________________________________ 3. SEC USE ONLY ______________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States ______________________________________________________________________________ 5. SOLE VOTING POWER 1,100,656 ___________________________________________________________ NUMBER OF 6. SHARED VOTING POWER SHARES BENEFICIALLY 50,000 OWNED BY ___________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING PERSON 1,100,656 WITH ___________________________________________________________ 8. SHARED DISPOSITIVE POWER 50,000 ______________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,150,656 ______________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ______________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.69% ______________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ______________________________________________________________________________ CUSIP No. 83169 M 203 13G Page 3 of 6 pages ______________________________________________________________________________ Item 1(a) Name of Issuer ____________ Smartserv, Inc. Item 1(b) Address of Issuer's Principal Executive Offices _____________________________________________ Metro Center One Station Place Stamford, Connecticut 06902 Item 2(a) Name of Person Filing __________________ Steven B. Rosner Item 2(b) Address of Principal Business Office, or, if none, Residence ________________________________________________ 1220 Mirabeau Lane Gladwyne, PA 19035 Item 2(c) Citizenship _________ United States Item 2(d) Title of Class of Securities _____________________ Common Stock, par value $.01 per share Item 2(e) CUSIP Number ___________ 83169 M 203 CUSIP No. 83169 M 203 13G Page 4 of 6 pages ______________________________________________________________________________ Item 3 If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) | | Broker or dealer registered under Section 15 of the Exchange Act; (b) | | Bank as defined in Section 3(a)(6) of the Exchange Act; (c) | | Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) | | Investment company registered under Section 8 of the Investment Company Act; (e) | | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) | | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) | | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) | | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) | | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) | | Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4 Ownership _________ (a) and (b) Steven B. Rosner beneficially owned an aggregate of 1,150,656 shares of the issuer's common stock, or approximately 9.69% of the shares outstanding, as of December 31, 2002, of which 436,151 shares were issuable upon exercise of stock options. (c) Steven B. Rosner had sole power to vote or to direct the vote, and sole power to dispose or to direct the disposition of, 1,100,656 shares of the issuer's common stock, of which 386,151 shares were issuable upon exercise of warrants. Mr. Rosner had shared power to vote or direct the vote, and/or shared power to dispose or to direct the disposition of, 50,000 shares of the common stock, of which 50,000 shares were issuable upon exercise of warrants held by Mr. Rosner's children. CUSIP No. 83169 M 203 13G Page 5 of 6 pages ______________________________________________________________________________ Item 5 Ownership of Five Percent or Less of a Class ____________________________________ Not applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person ______________________________________________________ No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the issuer's shares which are the subject of this Schedule 13G, except that, with respect to 50,000 shares issuable upon exercise of warrants, Mr. Rosner's children share with Mr. Rosner the right to receive the dividends from and the proceeds of sale as to such shares issuable upon exercise of the warrants. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company _____________________________________________________ Not Applicable Item 8 Identification and Classification of Members of the Group ______________________________________________ Not Applicable Item 9 Notice of Dissolution of Group _________________________ Not Applicable Item 10 Certification __________ By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 83169 M 203 13G Page 6 of 6 pages ______________________________________________________________________________ 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. February 11, 2003 __________________________________ Date /S/ Steven B. Rosner __________________________________ Signature Steven B. Rosner __________________________________ Name/Title -----END PRIVACY-ENHANCED MESSAGE-----