-----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, Nwxy3Jip6drisK4TbMQsPJmeEnF2jGTqzzdkTNClpdn9sGP7IUx0A3mWpPZMQ8xG N4bx4za4niXSXxiCJD8LBA== 0001104659-03-001933.txt : 20030213 0001104659-03-001933.hdr.sgml : 20030213 20030213121332 ACCESSION NUMBER: 0001104659-03-001933 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAXIMUS INC CENTRAL INDEX KEY: 0001032220 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MANAGEMENT CONSULTING SERVICES [8742] IRS NUMBER: 541000588 STATE OF INCORPORATION: VA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52253 FILM NUMBER: 03557539 BUSINESS ADDRESS: STREET 1: 11419 SUNSET HILLS ROAD CITY: RESTON STATE: VA ZIP: 20190 BUSINESS PHONE: 7032518500 MAIL ADDRESS: STREET 1: 11419 SUNSET HILLS ROAD CITY: RESTON STATE: VA ZIP: 20190 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MASTRAN DAVID V CENTRAL INDEX KEY: 0001054999 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O MAXIMUS INC STREET 2: 1356 BEVERLY RD CITY: MCLEAN STATE: VA ZIP: 22101 BUSINESS PHONE: 7037344200 MAIL ADDRESS: STREET 1: MAXIMUS INC STREET 2: 1356 BEVERLY RD CITY: MCLEAN STATE: VA ZIP: 22101 SC 13G/A 1 j7341_sc13ga.htm SC 13G/A

SEC 1745
(02-02)


Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G
(Rule 13d-102)

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

 

MAXIMUS, Inc.

(Name of Issuer)

 

Common Stock, no par value

(Title of Class of Securities)

 

577933 10 4

(CUSIP Number)

 

December 31, 2002

(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 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.  577933 10 4

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
David V. Mastran
Not Applicable.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)
Not Applicable

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

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
2,562,436

 

6.

Shared Voting Power
77,198

 

7.

Sole Dispositive Power
2,562,436

 

8.

Shared Dispositive Power
77,198

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,639,634

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]
Not applicable

 

 

11.

Percent of Class Represented by Amount in Row (9)
12.4%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

2



 

This Amendment No. 3 amends and supplements Amendment No. 2 to the Statement on Schedule 13G (“Amendment No. 2”) filed by David V. Mastran with the United States Securities and Exchange Commission (the “SEC”) on December 7, 2001, which Amendment No. 2 amended and supplemented the Amendment No. 1 to the Statement on Schedule 13G (“Amendment No. 1”) filed by Dr. Mastran with the SEC on February 12, 1999, which Amendment No. 1 amended and supplemented the Statement on Schedule 13G (the “Original Statement”) filed by Dr. Mastran with the SEC on February 11, 1998, to show an increase in number of shares and of the percentage of the class beneficially owned.  Except as set forth below, there are no changes to the information set forth in Amendment No. 2 to the Original Statement.  Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in Amendment No. 1.

 

Item 1.

 

(a)

Name of Issuer

 

(b)

Address of Issuer's Principal Executive Offices
Item 1(b) is amended in its entirety by replacing the text of such item with the following text:
MAXIMUS, Inc.; 11419 Sunset Hills Road; Reston, Virginia 20190

 

Item 2.

 

(a)

Name of Person Filing

 

(b)

Address of Principal Business Office or, if none, Residence
Item 2(b) is amended in its entirety by replacing the text of such item with the following text:
MAXIMUS, Inc.; 11419 Sunset Hills Road; Reston, Virginia 20190

 

(c)

Citizenship

 

(d)

Title of Class of Securities

 

(e)

CUSIP Number

 

Item 3.

If this statement is filed pursuant to §§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 Act (15 U.S.C. 78o).

 

(b)

[  ]

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

[  ]

Insurance company as defined in section 3(a)(19) of the 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 §240.13d-1(b)(1)(ii)(E);

 

(f)

[  ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

[  ]

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

[  ]

A savings associations 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 of 1940 (15 U.S.C. 80a-3);

 

(j)

[  ]

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

Item 4 is amended in its entirety by replacing the text of such item with the following text:

 

(a)

Amount beneficially owned:    As of December 31, 2002, Dr. Mastran beneficially owned 2,639,634 shares of Common Stock of MAXIMUS, Inc. consisting of:  (i) 2,562,436 shares held of record by Dr. Mastran, (ii) 62,129 shares held by Dr. Mastran’s spouse, plus 13,269 additional shares issuable upon exercise of stock options exercisable within the 60-day period following December 31, 2002 and (iii) 1,800 shares held by Dr. Mastran’s father.

 

The inclusion herein of any shares deemed beneficially owned under Rule 13d-3 of the Act does not constitute an admission of beneficial ownership of such shares.

 

3



 

 

(b)

Percent of class:    12.4%, which percentage is based on 21,191,351 shares outstanding as of December 31, 2002 (treasury shares held by MAXIMUS, Inc. are not considered outstanding for purposes of this calculation).

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote    2,639,634

 

 

(ii)

Shared power to vote or to direct the vote    77,198**

 

 

(iii)

Sole power to dispose or to direct the disposition of    2,639,634

 

 

(iv)

Shared power to dispose or to direct the disposition of    77,198**

**Reflects 62,129 shares and 13,269 shares issuable upon exercise of stock options exercisable within 60 days after December 31, 2002 held of record by Dr. Mastran’s spouse and 1,800 shares held by Dr. Mastran’s father.  Excludes 2,562,436 shares over which Dr. Mastran holds sole power to vote or to direct the vote and sole power to dispose or direct the disposition of.

Item 5.

Ownership of Five Percent or Less of a Class

 

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

Item 6 is amended in its entirety by replacing the text of such item with the following text:

Of the shares reported in Item 4:

(a)           Dr. Mastran’s spouse (I) holds an aggregate of 75,398 shares, consisting of 62,129 shares held of record and 13,269 shares issuable upon exercise of stock options exercisable within 60 days after December 31, 2002, and (II) has the right to receive and the power to direct the receipt of dividends from, and the proceeds from the sale of, such securities; and

(b)           Dr. Mastran’s father holds 1,800 shares and has the right to receive and the power to direct the receipt of dividends from, and the proceeds from the sale of, such securities.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

 

 

Item 8.

Identification and Classification of Members of the Group

 

 

Item 9.

Notice of Dissolution of Group

 

 

Item 10.

Certification

Item 10 is amended in its entirety by replacing the text of such item with the following text:

Not applicable.

 

 

4



 

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.

 

 

February 11, 2003

 

Date

 


/s/ David V. Mastran

 

Signature

 


David V. Mastran

 

Name/Title

 

 

5


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