-----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, CvTyAXrYTd7G8otlYAuOlCd47wtrhH75dX2OeF5w0gTrDLt3b89eRRC6tEpJ0um5 5Hce7YMZnyWnfxFpDAoTBA== 0000950124-99-001192.txt : 19990217 0000950124-99-001192.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950124-99-001192 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIAMOND TECHNOLOGY PARTNERS INC CENTRAL INDEX KEY: 0000924940 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MANAGEMENT CONSULTING SERVICES [8742] IRS NUMBER: 364069408 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53119 FILM NUMBER: 99541284 BUSINESS ADDRESS: STREET 1: 875 NORTH MICHIGAN AVE SUITE 3000 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3122555000 MAIL ADDRESS: STREET 1: 875 NORTH MICHIGAN AVE STE 3000 CITY: CHICAGO STATE: IL ZIP: 60611 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGSTEIN MELVYN E CENTRAL INDEX KEY: 0001055474 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O DIAMOND TECHNOLOGY PARTNERS INC STREET 2: 875 N MICHIGAN AVE STE 3000 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3122555000 MAIL ADDRESS: STREET 1: C/O DIAMOND TECHNOLOGY PARTNERS INC STREET 2: 875 N MICHIGAN AVE STE 3000 CITY: CHICAGO STATE: IL ZIP: 60601 SC 13G/A 1 AMENDMENT #1 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 DIAMOND TECHNOLOGY PARTNERS INCORPORATED (Name of Issuer) CLASS A COMMON STOCK (Title of Class of Securities) 252762109 (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 ("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. 252762109 - -------------------------------------------------------------------------------------------------------- (1) Names of reporting persons...................... Melvyn E. Bergstein S.S. or I.R.S. Identification Number of above persons................................... ###-##-#### - -------------------------------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a (a) group (see instructions)........................ (b) X - -------------------------------------------------------------------------------------------------------- (3) SEC use only.................................... - -------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization............ United States of America - -------------------------------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power............................... 159,288 shares of Class A common stock 4,067,795 shares of Class B common stock* (6) Shared voting power............................. None (7) Sole dispositive power.......................... 159,288 shares of Class A common stock 507,880 shares of Class B common stock* (8) Shared dispositive power........................ None - -------------------------------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person............................... 159,288 shares of Class A common stock 4,067,795 shares of Class B common stock* - -------------------------------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares (see instructions). The reporting person disclaims beneficial ownership of 3,559,915 shares of Class B common stock. The filing of this Schedule 13G shall not be construed as an admission that such reporting person is the beneficial owner of such shares. - --------------------------------------------------------------------------------------------------------
2 - -------------------------------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row (9)............................................ .02%** - -------------------------------------------------------------------------------------------------------- (12) Type of reporting person (see instructions)...................................... IN - --------------------------------------------------------------------------------------------------------
* Each share of Class B common stock is convertible into one share of Class A common stock upon the transfer of such share of Class B Common stock to a person who is not a Permitted Holder. A "Permitted Holder" is defined as (i) a person who is an employee of Diamond Technology Partners Incorporated (the "Issuer") or any of its majority-owned subsidiaries or (ii) the Issuer. A person ceases to be a Permitted Holder on the date such person ceases to be an employee of the Issuer or any of its majority-owned subsidiaries. Pursuant to the Second Amended and Restated Voting and Stock Restriction Agreement, dated August 4, 1997 (the "Voting and Stock Restriction Agreement") Mr. Bergstein, as the Chief Executive Officer of the Issuer, has a proxy to vote all outstanding shares of Class B common stock. However, upon the transfer and subsequent conversion of such Class B common stock this proxy is terminated and becomes null and void and has no further effect. ** Excludes 4,067,795 shares of Class B common stock which, upon conversion to Class A common stock, are no longer subject to the Voting and Stock Restriction Agreement, as described above. Page 2 of 6 Pages 3 Item 1. (a) Diamond Technology Partners Incorporated ------------------------------------------------------------------------ (Name of Issuer) (b) 875 North Michigan Avenue, Suite 3000, Chicago, Illinois 60611 ------------------------------------------------------------------------ (Address of Issuer's Principal Executive Offices) Item 2. (a) Melvyn E. Bergstein ------------------------------------------------------------------------ (Name of Person Filing) (b) 875 North Michigan Avenue, Suite 3000, Chicago, Illinois 60611 ------------------------------------------------------------------------ (Address of Principal Business Office) (c) United States of America ------------------------------------------------------------------------ (Citizenship) (d) Class A Common Stock, $0.001 par value per share ------------------------------------------------------------------------ (Title of Class of Securities) (e) 252762109 ------------------------------------------------------------------------ (CUSIP Number) Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: NOT APPLICABLE Item 4. Ownership. (a) 159,288 shares of Class A common stock(1) ------------------------------------------------------------------------ (Amount Beneficially Owned) - -------------------- (1) Excludes 4,067,795 shares of Class B common stock. Each share of Class B common stock is convertible into a share of Class A common stock upon the transfer of such share of Class B Common stock to a person who is not a Permitted Holder. A "Permitted Holder" is defined as (i) a person who is an employee of Diamond Technology Partners Incorporated (the "Issuer") or any of its majority-owned subsidiaries or (ii) the Issuer. A person ceases to be a Permitted Holder on the date such person ceases to be an employee of the Issuer or any of its majority-owned subsidiaries. Pursuant to the Second Amended and Restated Voting and Stock Restriction Agreement, dated August 4, 1997 (the "Voting and Stock Restriction Agreement") Mr. Bergstein, as the Chief Executive Officer of the Issuer, has a proxy to vote all outstanding shares of Class B common stock. However, upon the transfer and subsequent conversion of such Class B common stock this proxy is terminated and becomes null and void and has no further effect. Page 3 of 6 Pages 4 (b) .02% --------------------------------------------------------------------------- (Percent of Class) (c) Number of shares as to which such person has: (i) 159,288 shares of Class A common stock(2) ----------------------------------------------------------------------- (sole power to vote or to direct the vote) (ii) None ----------------------------------------------------------------------- (shared power to vote or to direct the vote) (iii) 159,288 shares of Class A common stock(3) ----------------------------------------------------------------------- (sole power to dispose or to direct the disposition of) (iv) None ----------------------------------------------------------------------- (shared power to dispose or to direct the disposition of) 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. NOT APPLICABLE Item 8. Identification and Classification of Members of the Group. NOT APPLICABLE (2) Excludes 4,067,795 shares of Class B common stock. The reporting person disclaims beneficial ownership of 3,559,915 shares of Class B common stock. The filing of this Schedule 13G shall not be construed as an admission that such reporting person is the beneficial owner of such shares. (3) Excludes 507,880 shares of Class B common stock. Page 4 of 6 Pages 5 Item 9. Notice of Dissolution of Group. NOT APPLICABLE Item 10. Certification. NOT APPLICABLE Page 5 of 6 Pages 6 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. /s/ Melvyn E. Bergstein --------------------------- Melvyn E. Bergstein February 14, 1999 DOCUMENT NUMBER: 282115.3 Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----