-----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, JCqQACmsiOWkwhg0QDT6r5Ti4FaqRH9iMCnX19UCGO4Wj/NvR+euaFm27I/4rpy6 4Js76q4o9kKsAg7spiGfIA== 0001104659-03-002125.txt : 20030213 0001104659-03-002125.hdr.sgml : 20030213 20030213170529 ACCESSION NUMBER: 0001104659-03-002125 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEALTHTRONICS SURGICAL SERVICES INC CENTRAL INDEX KEY: 0001018871 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 582210668 STATE OF INCORPORATION: GA FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58413 FILM NUMBER: 03560754 BUSINESS ADDRESS: STREET 1: 1841 WEST OAK PARKWAY STREET 2: SUITE A CITY: MARIETTA STATE: GA ZIP: 30062 BUSINESS PHONE: 7704190691 MAIL ADDRESS: STREET 1: 425 FRANKLIN RD STREET 2: SUITE 545 CITY: MARIETTA STATE: GA ZIP: 30067 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHTRONICS INC /GA DATE OF NAME CHANGE: 19980623 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BROWN ROY S CENTRAL INDEX KEY: 0001106689 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O HEALTHTRONICS INC STREET 2: 425 FRANKLIN ROAD SUITE 545 CITY: MARIETTA STATE: GA ZIP: 30067 BUSINESS PHONE: 8004643795 MAIL ADDRESS: STREET 1: C/O HEALTHTRONICS INC STREET 2: 425 FRANKLIN ROAD SUITE 545 CITY: MARIETTA STATE: GA ZIP: 30067 SC 13G/A 1 j7461_sc13ga.htm SC 13G/A

SEC 1745
(02-02)


Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G/A

Estimated average burden hours per response. . 11

 

Information Statement pursuant to
Rule 13d-1 and 13d-2

Under the Securities Exchange Act of 1934
(Amendment No. 4)*

 

HealthTronics Surgical Services, Inc.

(Name of Issuer)

 

COMMON STOCK, NO PAR VALUE

(Title of Class of Securities)

 

42222L-10-7

(CUSIP Number)

 

 

(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).

 



 

 

CUSIP No.  42222L-10-7

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Roy S. Brown

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United Kingdom

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,028,980 shares, including (i) 160,000 which are issuable upon the exercise of immediately exercisable stock options (ii) 591,700 shares in spouse’s name (iii) 400 shares in spouse’s IRA

 

6.

Shared Voting Power

 

7.

Sole Dispositive Power
1,028,980 shares, including (i) 160,000 which are issuable upon the exercise of immediately exercisable stock option (ii) 591,700 shares in spouse’s name (iii) 400 shares in spouse’s IRA

 

8.

Shared Dispositive Power

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,028,980 shares, including (i) 160,000 which are issuable upon the exercise of immediately exercisable stock option (ii) 591,700 shares in spouse’s name (iii) 400 shares in spouse’s IRA

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

2



 

Item 1.

 

(a)

Name of Issuer
HealthTronics Surgical Services, Inc.

 

(b)

Address of Issuer's Principal Executive Offices
1841 West Oak Parkway, Suite A
Marietta, GA 30062

 

Item 2.

 

(a)

Name of Person Filing
The reporting person is Roy S. Brown.

 

(b)

Address of Principal Business Office or, if none, Residence
The principal business address of Roy S. Brown is:
1841 West Oak Parkway, Suite A, Marietta, GA 30062

 

(c)

Citizenship
Roy S. Brown is a citizen of the United Kingdom.

 

(d)

Title of Class of Securities
Common stock, no par value per share.

 

(e)

CUSIP Number
42222L-10-7

 

Item 3.

If this statement is filed pursuant to rules 13d-1 (b) or 13d-2 (b) or (c), check whether the person filing is a:

 

Not applicable.

 

(a)

[  ]

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

[  ]

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

[  ]

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

[  ]

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

(e)

[  ]

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

[  ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

[  ]

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

[  ]

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

[  ]

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

[  ]

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

3



 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned by reporting persons as of December 31, 2002:    1,028,980 shares

 

(b)

Percent of class:    9.0%

 

(c)

Number of shares as to which the person has (see notes):

 

 

(i)

Sole power to vote or to direct the vote   1,028,980 shares (1), (2), (3)  

 

 

(ii)

Shared power to vote or to direct the vote    0 shares

 

 

(iii)

Sole power to dispose or to direct the disposition of    1,028,980 shares  (1), (2), (3)  

 

 

(iv)

Shared power to dispose or to direct the disposition of    0 shares

Notes:

 

 

 

 

(1)

includes 160,000 shares which are issuable upon the exercise of immediately exercisable stock options

 

(2)

includes 591,700 shares in spouse’s name

 

(3)

includes 400 shares in spouse’s IRA

 

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

 

Not applicable.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

 

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

 

Not applicable.

 

 

4



 

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.

 

 

2/13/2003

 

Date

 


/s/ Roy S. Brown

 

Signature

 


Roy S. Brown

 

Name/Title

 

 

5


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