-----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, TcZhe4Xy2zwY2MGX7V+87dwVszoCqWBflwnQHCuGxHzHe0uuYvzsOhTC0xX9U+1M WQVa9pxddTiL0+QcaX5E4w== 0000950152-03-008273.txt : 20030915 0000950152-03-008273.hdr.sgml : 20030915 20030915170927 ACCESSION NUMBER: 0000950152-03-008273 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030915 GROUP MEMBERS: CHAS A. NEAL & COMPANY GROUP MEMBERS: DONALD A. SMITH GROUP MEMBERS: ROGER H. CLAYPOOLE GROUP MEMBERS: SNYDER ASSOCIATED COMPANIES, INC. GROUP MEMBERS: VIRGIL JURGENSMEYER FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ZENSEN DENNIS C CENTRAL INDEX KEY: 0000939421 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 828 S PIKE ROAD CITY: SAVER STATE: PA ZIP: 16055 BUSINESS PHONE: 4122953910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYLVAN INC CENTRAL INDEX KEY: 0000861291 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 251603408 STATE OF INCORPORATION: NV FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41138 FILM NUMBER: 03896248 BUSINESS ADDRESS: STREET 1: 333 MAIN STREET STREET 2: P.O. BOX 249 CITY: SAXONBURG STATE: PA ZIP: 16056-0249 BUSINESS PHONE: 724-352-75 MAIL ADDRESS: STREET 1: 333 MAIN STREET STREET 2: P.O. BOX 249 CITY: SAXONBURG STATE: PA ZIP: 16056-0249 FORMER COMPANY: FORMER CONFORMED NAME: SYLVAN FOODS HOLDINGS INC DATE OF NAME CHANGE: 19930328 SC 13D/A 1 j0308201sc13dza.txt SYLVAN, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2)* Under the Securities Exchange Act of 1934 SYLVAN INC. -------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value -------------------------------------------------------- (Title of Class of Securities) 871371100 -------------------------------------------------------- (CUSIP Number) Roger H. Claypoole One Moonlight Dr. Worthington, PA 16262 724-297-5491 (Ext. 201) -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copies to: Daniel L. Wessels Cohen & Grigsby, P.C. 11 Stanwix Street, 15th Floor Pittsburgh, PA 15222 (412) 297-4900 September 12, 2003 ------------------------------------------------------- (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), 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 disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (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 (however, see the Notes). SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 2 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dennis C. Zensen - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 30,000 BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING 694,128 PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 30,000 --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 694,128 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 724,128 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 3 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Donald A. Smith - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 40,334 BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING - 0 - PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 40,334 --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 40,334 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 4 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Virgil Jurgensmeyer - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 30,000 BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING - 0 - PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 30,000 --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 5 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Roger H. Claypoole - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING - 0 - PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER - 0 - --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 0 - - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 6 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Snyder Associated Companies, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Pennsylvania - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING - 0 - PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER - 0 - --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 0 - - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 7 of 10 Pages - ------------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Chas. A. Neal & Company - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Oklahoma - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY OWNED BY --------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING - 0 - PERSON WITH --------------------------------------------------------- 9 SOLE DISPOSITIVE POWER - 0 - --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 0 - - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 8 of 10 Pages - ------------------------- -------------------- This Amendment No. 2 (this "AMENDMENT") amends the statement on Schedule 13D filed on April 24, 2003 (as previously amended by Amendment No. 1 to Schedule 13D filed on June 17, 2003, the "PRIOR STATEMENT") by Dennis C. Zensen, Donald A. Smith, Virgil Jurgensmeyer, Roger H. Claypoole, the Snyder Associated Companies, Inc., and Chas A. Neal & Company (collectively, the "REPORTING PERSONS"). As noted in Item 4 below, the Reporting Persons are no longer acting in concert for the purposes of acquiring, holding voting or disposing of securities of Sylvan Inc. (the "ISSUER"). Accordingly, the group identified in the Prior Statement has been dissolved. ITEM 1. SECURITY AND ISSUER. This Amendment relates to shares of common stock, par value $0.001 per share (the "COMMON STOCK") of the Issuer. The principal executive offices of the Issuer have not changed since the filing of the Prior Statement. ITEM 2. IDENTITY AND BACKGROUND. This Amendment is being filed jointly by the Reporting Persons. Messrs. Jurgensmeyer, Claypoole and Smith, the Snyder Associated Companies, Inc. and Chas. A. Neal & Company are signatories to this Amendment for the limited purpose of reporting the dissolution of the group of which each of them was formerly a member and that, as a consequence of such dissolution, none of such signatories will, following the filing of this Amendment, remain subject to a reporting obligation under Section 13(d) of the Act. Upon the filing of this Amendment, Messrs. Jurgensmeyer, Claypoole and Smith, the Snyder Associated Companies, Inc. and Chas. A. Neal & Company will cease to be Reporting Persons. Mr. Zensen, however, as a beneficial owner of more than 5% of the outstanding shares of the Issuer's Common Stock, will continue to be subject to a reporting obligation under Section 13(d) or Section 13(g) of the Act. There have been no changes in the background, occupation or address of any Reporting Person since the filing of the Prior Statement. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. As noted in Item 4 below, the Reporting Persons have dissolved the group described in the Prior Statement. Accordingly, neither the group, nor the former group members are deemed to beneficially own the shares of Common Stock beneficially owned by each of the other former group members. Except as set forth above, information as to the shares of Common Stock beneficially owned by the Reporting Persons has not changed since the filing of the Prior Statement. ITEM 4. PURPOSE OF TRANSACTION. On or about September 12, 2003, the Reporting Persons determined that they were no longer acting together as a group for the purposes of acquiring, holding, voting or disposing of securities of the Issuer. Accordingly, the group described in the Prior Statement has been dissolved. SCHEDULE 13D - ------------------------- -------------------- CUSIP NO. 871371100 Page 9 of 10 Pages - ------------------------- -------------------- ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. As a result of the dissolution of the group described in the Prior Statement, the Reporting Persons, as a group, are no longer deemed to own beneficially (or deemed to have shared voting and dispositive power over) the shares of Common Stock held by each of the former group's members. There have been no transactions in the Common Stock during the past 60 days by any of the Reporting Persons. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Upon filing of this Amendment, each of the Reporting Persons has agreed (and does hereby agree) to terminate the joint filing agreement, dated as of April 24, 2003, pursuant to which such person agreed to jointly file the Prior Statement and any and all amendments and supplements thereto with the Securities and Exchange Commission. A copy of the joint filing agreement is attached as Exhibit 99.1 to the Prior Statement and incorporated herein by reference. Each of the Reporting Persons, other than Mr. Claypoole, has granted to Mr. Claypoole a power of attorney, with full right of substitution, to file amendments to the Prior Statement with the SEC and otherwise, which power of attorney was included on the signature page to the Prior Statement. All such powers of attorney shall terminate upon filing of this Amendment. Each of Messrs. Zensen, Jurgensmeyer and Smith remain parties to option agreements with the Issuer, pursuant to which they may acquire certain shares of Common Stock. Except for the agreements described above, to the best knowledge of the Reporting Persons, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Reporting Persons, and any other person, with respect to any securities of the Issuer, including, but not limited to, transfer or voting of any of the securities, finder's fees, joint ventures, loan or option agreements, puts or calls, guarantees of profits, divisions of profits or loss, or the giving or withholding of proxies. SIGNATURES After reasonable inquiry and to the best of each Reporting Person's respective knowledge and belief, each Reporting Person certifies that the information set forth in this Amendment is true, complete and correct. Date: September 15, 2003. * * - ---------------------------------- ------------------------------------- Dennis C. Zensen Virgil Jurgensmeyer * /s/ Roger H. Claypoole - ---------------------------------- ------------------------------------- Donald A. Smith Roger H. Claypoole Snyder Associated Companies, Inc. Chas. A. Neal & Company By: * By: * ------------------------- ----------------------------- Name: Thomas C. Snyder Name: Charles C. Neal ----------------------- --------------------------- Title: Vice-President Title: President ---------------------- -------------------------- *By: /s/ Roger H. Claypoole ------------------------------ Roger H. Claypoole Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----