-----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, D99jxijjKdCBlMJILIf6aUMp18DxmOagrKjqSdppbstaB92vyRBzL3+CPYWq52ua BjIIxe52uLm/HxTJhaH0Pg== 0000950144-98-000221.txt : 19980112 0000950144-98-000221.hdr.sgml : 19980112 ACCESSION NUMBER: 0000950144-98-000221 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980109 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BERGER HOLDINGS LTD CENTRAL INDEX KEY: 0000706777 STANDARD INDUSTRIAL CLASSIFICATION: SHEET METAL WORK [3444] IRS NUMBER: 232160077 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-35465 FILM NUMBER: 98504240 BUSINESS ADDRESS: STREET 1: 805 PENNSYLVANIA BLVD CITY: FEASTERVILLE STATE: PA ZIP: 19053 BUSINESS PHONE: 2153551200 MAIL ADDRESS: STREET 1: 805 PENNSYLVANIA BLVD CITY: FEASTVILLE STATE: PA ZIP: 19053 FORMER COMPANY: FORMER CONFORMED NAME: INOVEX INDUSTRIES INC DATE OF NAME CHANGE: 19900815 FORMER COMPANY: FORMER CONFORMED NAME: LIFE CARE COMMUNITIES CORP DATE OF NAME CHANGE: 19891211 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIRROM CAPITAL CORP CENTRAL INDEX KEY: 0000933166 STANDARD INDUSTRIAL CLASSIFICATION: LOAN BROKERS [6163] IRS NUMBER: 621583116 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 500 CHURCH STREET STREET 2: STE 200 CITY: NASHVILLE STATE: TN ZIP: 37219 BUSINESS PHONE: 6152560701 SC 13G 1 BERGER HOLDINGS SC 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 BERGER HOLDINGS, LTD. ------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE ------------------------------- (Title of Class of Securities) 084037 40 7 ------------------------------- (CUSIP Number) 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 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP No. 084037 40 7 - -------------------------------------------------------------------------------- 1. Name of Reporting Person and I.R.S. Identification Number Sirrom Capital Corporation -- Taxpayer I.D. No. 62-1583116 - -------------------------------------------------------------------------------- 2. Check the Appropriate Row if a Member of a Group a. N/A b. N/A - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Tennessee - -------------------------------------------------------------------------------- 2 Number of Shares Beneficially Owned by Each Reporting Person With: 5. Sole Voting Power Total of 828,225 shares of Common Stock, as follows: 588,225 shares of Common Stock, receivable upon conversion of Series A Convertible Preferred Stock (the "Preferred Stock") at any time; plus 240,000 shares of Common Stock, receivable upon exercise of warrant at any time prior to January 2, 2003. 6. Shared Voting Power N/A 7. Sole Dispositive Power Total of 828,225 shares of Common Stock, as follows: 588,225 shares of Common Stock, receivable upon conversion of Preferred Stock at any time; plus 240,000 shares of Common Stock, receivable upon exercise of warrant at any time prior to January 2, 2003. 8. Shared Dispositive Power N/A - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person Total of 828,225 shares of Common Stock, as follows: 588,225 shares of Common Stock, receivable upon conversion of Preferred Stock at any time; plus 240,000 shares of Common Stock, receivable upon exercise of warrant at any time prior to January 2, 2003. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares N/A - ------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 15.9% of Common Stock - ------------------------------------------------------------------------------- 12. Type of Reporting Person IV - ------------------------------------------------------------------------------- 2 3 ITEM 1(A). NAME OF ISSUER: Berger Holdings, Ltd. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 805 Pennsylvania Boulevard Feasterville, Pennsylvania 19053 ITEM 2(A). NAME OF PERSON FILING: Sirrom Capital Corporation ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE: 500 Church Street, Suite 200 Nashville, Tennessee 37219 ITEM 2(C). CITIZENSHIP/STATE OF ORGANIZATION: Tennessee ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ITEM 2(E). CUSIP NUMBER: 084037 40 7 ITEM 3. FILING PURSUANT TO RULE 13D-1(B): This statement is filed pursuant to Rule 13d-1(b). The person filing is an Investment Company registered under section 8 of the Investment Company Act. ITEM 4. OWNERSHIP: (a) Amount Beneficially Owned: Total of 828,225 shares of Common Stock, as follows: 588,225 shares of Common Stock, receivable upon conversion of Preferred Stock at any time; plus 240,000 shares of Common Stock, receivable upon exercise of warrant at any time prior to January 2, 2003. (b) Percent of Class: 15.9% of Common Stock (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 828,225 shares of Common Stock, only upon conversion of Preferred Stock and exercise of warrant 3 4 (ii) shared power to vote or to direct the vote: N/A (iii) sole power to dispose or to direct the disposition of: 828,225 shares of Common Stock, only upon conversion of Preferred Stock and exercise of warrant (iv) shared power to dispose or to direct the disposition of: N/A ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: N/A ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: N/A ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: N/A. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: N/A. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: N/A. ITEM 10. CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 4 5 After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Schedule 13G is true, complete, and correct. Dated: January 9, 1997 SIRROM CAPITAL CORPORATION By: /s/ Carl W. Stratton ------------------------------------------ Carl W. Stratton, Chief Financial Officer 5 -----END PRIVACY-ENHANCED MESSAGE-----