-----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, GVyKo6OcWOI7ln2NmoYNS3xVDTi8F5pysRAsD2FBJ7wVWTSl1HFcfeuCo4gqTCua DnuvIfcs5bW/yjYvCthy8A== 0000041133-98-000011.txt : 19980202 0000041133-98-000011.hdr.sgml : 19980202 ACCESSION NUMBER: 0000041133-98-000011 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980130 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GERBER SCIENTIFIC INC CENTRAL INDEX KEY: 0000041133 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 060640743 STATE OF INCORPORATION: CT FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-32060 FILM NUMBER: 98517949 BUSINESS ADDRESS: STREET 1: 83 GERBER RD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 BUSINESS PHONE: 2036441551 MAIL ADDRESS: STREET 1: 83 GERBER ROAD WESTS CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 FORMER COMPANY: FORMER CONFORMED NAME: GERBER SCIENTIFIC INSTRUMENT CO DATE OF NAME CHANGE: 19781210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GERBER JOSEPH H ESTATE OF CENTRAL INDEX KEY: 0001024053 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] STATE OF INCORPORATION: CT FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 83 GERBER RD WEST CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 BUSINESS PHONE: 2036441551 MAIL ADDRESS: STREET 1: 83 GERBER ROAD WESTS CITY: SOUTH WINDSOR STATE: CT ZIP: 06074 SC 13D/A 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of l934 (Amendment No. 3)* GERBER SCIENTIFIC, INC. ----------------------- (Name of Issuer) Common Stock, $1.00 Par Value ----------------------------- (Title of Securities) 373730100 --------- (CUSIP Number) Sonia K. Gerber, David J. Gerber, Melisa T. Gerber c/o Gerber Scientific, Inc. 83 Gerber Road West, South Windsor, CT 06074 (860)644-1551 ----------------------------------------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) January 20, 1998 ------------------------------------------------------ (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(b)(3) or (4), check the following box / /. *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). 2 1. Name of Reporting Persons S.S. or I.R.S. Identification No. Sonia K. Gerber David J. Gerber Melisa T. Gerber 2. Check the Appropriate Box if a Member of a Group* (a) / / (b) / / 3. SEC Use Only 4. Source of Funds* Not Applicable 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) / / 6. Citizenship or Place of Organization: Sonia K. Gerber - USA David J. Gerber - USA Melisa T. Gerber - USA Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power Sonia K. Gerber 526,587 David J. Gerber 103,266 Melisa T. Gerber 98,272 8. Shared Voting Power Sonia K. Gerber 1,050,794 David J. Gerber 1,908,628 Melisa T. Gerber 1,908,628 9. Sole Dispositive Power Sonia K. Gerber 526,587 David J. Gerber 103,266 Melisa T. Gerber 98,272 3 10. Shared Dispositive Power Sonia K. Gerber 1,050,794 David J. Gerber 1,908,628 Melisa T. Gerber 1,908,628 11. Aggregate Amount Beneficially Owned by Each Reporting Person Sonia K. Gerber 1,577,381 David J. Gerber 2,011,894 Melisa T. Gerber 2,006,900 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* Not Applicable 13. Percent of Class Represented by Amount in Row (11) Sonia K. Gerber 6.95% David J. Gerber 8.86% Melisa T. Gerber 8.84% 14. Type of Reporting Person: IN, IN, IN Item 1. Security and Issuer This statement relates to Common Stock, Par Value $1.00 of Gerber Scientific, Inc. 83 Gerber Road West South Windsor, Connecticut 06074 Item 2. Identity and Background The following information is furnished with respect to Sonia K. Gerber, David J. Gerber, and Melisa T. Gerber, the persons filing this statement. All of the Reporting Persons are citizens of the United States: (1) Sonia K. Gerber's address is c/o David J. Gerber at Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, CT 06074. Mrs. Gerber is not employed, and has not, during the last five (5) years, been convicted in any criminal proceeding nor has she, during the last five (5) years, been a party to any civil proceedings resulting in 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. 4 (2) David J. Gerber's business address is c/o Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, Connecticut 06074. Mr. Gerber is the Director of New Business Development and Technology Strategy and a Director of Gerber Scientific, Inc. Mr. Gerber has not, during the last five (5) years, been convicted in any criminal proceeding nor has he, during the last five (5) years, been a party to any civil proceedings resulting in 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. (3) Melisa T. Gerber's address is c/o David J. Gerber at Gerber Scientific, Inc., 83 Gerber Road West, South Windsor, CT 06074. Ms. Gerber is a sculptor and a student. Ms. Gerber has not, during the last five (5) years been convicted in any criminal proceeding nor has she, during the last five (5) years, been a party to any civil proceedings resulting in 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. Item 3. Source and Amount of Funds or Other Consideration: Not Applicable Item 4. Purpose of Transaction The purpose of the acquisition by the Reporting Persons was to administer the Estate of H. Joseph Gerber and to reflect the distribution of shares owned by the Estate to the Reporting Persons. The purpose of this Amendment No. 3 is to reflect the gifts of 1,280,946 shares of the issuer by Sonia K. Gerber to certain trusts. Item 5. Interest in Securities of the Issuer Following the gifts referred to in Item 4 above, Sonia K. Gerber beneficially owns an aggregate of 1,577,381 shares, including immediately exercisable options to purchase 105,220 shares which options are beneficially owned as co-executor of the Estate of H. Joseph Gerber; 83,160 shares as co-trustee under two trusts for the benefit of Melisa T. Gerber; 83,160 shares as co- trustee under two trusts for the benefit of David J. Gerber; 423,112 shares as sole Trustee under two trusts for her benefit (Melisa T. Gerber and David J. Gerber have certain contingency benefits under these trusts); and 779,254 shares as co-trustee and beneficial owner of a trust for the benefit of Sonia K. Gerber. These shares aggregate approximately 6.95% of the Issuer's outstanding shares. 5 David J. Gerber beneficially owns an aggregate of 2,011,894 shares, including immediately exercisable options to purchase 105,220 shares which options are owned as co-executor of the Estate of H. Joseph Gerber; options to purchase 3,000 shares which are exercisable within 60 days; 30,746 shares which are held in a trust established under the terms of the will of Bertha Gerber (under the terms of such trust, Sonia K. Gerber is the sole trustee but as the trustee she is obligated to follow the direction of the beneficiary, David J. Gerber, with respect to all matters relating to such shares including voting and the retention or sale of such securities); 512,077 shares as co-trustee under four trusts for the benefit of Melisa T. Gerber; 779,254 shares as co-trustee under a trust for the benefit of Sonia K. Gerber; and 512,077 shares as co-trustee and beneficial owner of four trusts for the benefit of David J. Gerber. These shares aggregate approximately 8.86% of the Issuer's outstanding shares. Melisa T. Gerber beneficially owns 2,006,900 shares, including immediately exercisable options to purchase 105,220 shares which options are beneficially owned as co-executor of the Estate of H. Joseph Gerber; 30,747 shares which are held in a trust established under the terms of the will of Bertha Gerber (under the terms of such trust, Sonia K. Gerber is the sole trustee but as the trustee she is obligated to follow the direction of the beneficiary, Melisa T. Gerber, with respect to all matters relating to such shares including voting and the retention or sale of such securities); 512,077 shares as co- trustee under four trusts for the benefit of David J. Gerber; 779,254 shares as co-trustee under a trust for the benefit of Sonia K. Gerber; and 512,077 shares as co-trustee and beneficial owner of four trusts for the benefit of Melisa T. Gerber. These shares aggregate approximately 8.84% of the Issuer's outstanding shares. Sonia K. Gerber has sole power to vote or to direct the vote and sole power to dispose or direct the disposition of an aggregate of 526,587 shares and shared power to vote or direct the vote and shared power to dispose or direct the disposition of an aggregate of 1,050,794 shares. David J. Gerber has sole power to vote or direct the vote and sole power to dispose or direct the disposition of an aggregate of 103,266 shares, which includes 30,746 shares held in a trust established under the will of Bertha Gerber and shared power to vote or direct the vote and shared power to dispose or direct the disposition of an aggregate of 1,908,628 shares. Melisa T. Gerber has sole power to vote or direct the vote and sole power to dispose or direct the disposition of an aggregate of 98,272 shares, which includes 30,747 shares held in a trust established under the will of Bertha Gerber and shared power to vote or direct the vote and shared power to dispose or direct the disposition of an aggregate of 1,908,628. The following transactions in the Issuer's common stock were effected by the Reporting Persons during the past sixty days or since the most recent filing of Schedule 13D, whichever is less: 6 On January 20, 1998, Sonia K. Gerber gifted an aggregate of 1,280,946 shares (including 285,946 from a marital trust for her benefit) to two trusts for her benefit (Melisa T. Gerber and David J. Gerber have certain contingency benefits under these trusts) and four trusts for the benefit of David J. Gerber and Melisa T. Gerber. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. See Items 4 and 5 above. Item 7. Material to be Filed as Exhibits. The agreement of the parties pursuant to Rule 13d- 1(f)(1)(iii) under the Securities Exchange Act of 1934 is included under the heading "Signatures" below. Signatures After reasonable inquiry and to the best knowledge of and on behalf of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct, and the undersigned each agree that this Schedule 13D is filed on behalf of each of them. Date: January 28, 1998 /s/ Sonia K. Gerber --------------------------------- Sonia K. Gerber /s/ David J. Gerber --------------------------------- David J. Gerber /s/ Melisa T. Gerber --------------------------------- Melisa T. Gerber -----END PRIVACY-ENHANCED MESSAGE-----