-----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, HJg5EJeZn/2DtpbVmf3f+Zpj8i8Wit3g9F3j+y/vE7F+8+sE/cl1+99ZZri3HUJT SbZGcEj8n/ZeWUV+67XBsg== 0000950130-02-000837.txt : 20020414 0000950130-02-000837.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950130-02-000837 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOOPER HOLMES INC CENTRAL INDEX KEY: 0000741815 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 221659359 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41442 FILM NUMBER: 02541361 BUSINESS ADDRESS: STREET 1: 170 MT AIRY RD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 9087665000 MAIL ADDRESS: STREET 1: 170 MT AIRY ROAD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOOPER HOLMES INC CENTRAL INDEX KEY: 0000741815 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 221659359 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 170 MT AIRY RD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 BUSINESS PHONE: 9087665000 MAIL ADDRESS: STREET 1: 170 MT AIRY ROAD CITY: BASKING RIDGE STATE: NJ ZIP: 07920 SC 13G/A 1 dsc13ga.txt AMENDMENT NO.2 TO SCHEDULE 13G SCHEDULE 13G (RULE 13d-102) Information to be Included in Statements Filed Pursuant to Rule 13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Under the Securities Exchange Act of 1934 (Amendment No. 2)* Hooper Holmes, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common stock, $.04 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 439104100 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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) [_] Rule 13d-1(c) [X] 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). -1- CUSIP NO.439104100 --------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) James M. McNamee - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 2,687,500 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 925,129 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 2,687,500 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 925,129 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,612,629 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 5.38% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ -2- ITEM 1. (a) Name of Issuer: The issuer of the securities with respect to which this amended statement on Schedule 13G (the "Statement") is being filed is Hooper Holmes, Inc., a New York corporation (the "Issuer"). - -------------------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 170 Mt. Airy Road Basking Ridge, New Jersey 07920 - -------------------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing: James M. McNamee - -------------------------------------------------------------------------------- (b) Address of Principal Business Office, or if None, Residence: 170 Mt. Airy Road Basking Ridge, New Jersey 07920 - -------------------------------------------------------------------------------- (c) Citizenship: United States - -------------------------------------------------------------------------------- (d) Title of Class of Securities: Common stock, par value $0.04 - -------------------------------------------------------------------------------- (e) CUSIP Number: 439104100 - -------------------------------------------------------------------------------- -3- ITEM 3. If this statement is filed pursuant to ss.ss.240.13d-1(b), or 240.13d- 2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange 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 (SS)240.13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with (SS)240.13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with (SS)240.13d-1(b)(1)(ii)(G). (h) [ ] A savings association 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 (15 U.S.C. 80a-3). (j) [ ] Group, in accordance with (SS)240.13d-1(b)(1)(ii)(J). ITEM 4. Ownership. (a) Amount Beneficially Owned: 3,612,629 (1) ---------------------- (b) Percent of Class: 5.38% (2) ---------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,687,500 ----------------- (ii) shared power to vote or to direct the vote: 925,129 ----------------- (iii) sole power to dispose or to direct the disposition of: 2,687,500 ----------------- (iv) shared power to dispose or to direct the disposition of: 925,129 -----------------
(1) Includes 784,329 shares of common stock held by Mr. McNamee and his spouse Patricia as joint tenants, 140,800 shares held by Mr. McNamee's spouse Patricia, and 2,687,500 shares underlying options that are currently exercisable or which will become exercisable within 60 days of the Event Date. -4- (2) Based upon 64,470,715 shares of common stock outstanding as of the Event Date, plus 2,687,500 shares underlying options held by Mr. McNamee that are currently exercisable or which will become exercisable within 60 days of the Event Date. ITEM 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] ITEM 6. Ownership of More than Five Percent on Behalf of Another Person. Mr. McNamee's spouse has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, 925,129 of the 3,612,629 shares of common stock beneficially owned by Mr. McNamee, representing less than five percent of the outstanding shares of common stock, based on 64,470,715 shares outstanding as of the Event Date. 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. Not applicable. -5- 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. ________________________________ Date /s/ James M. McNamee -------------------------------- Signature James M. McNamee -------------------------------- Chairman, President and Chief Executive Officer -6- -----END PRIVACY-ENHANCED MESSAGE-----