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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
COLLECTORS UNIVERSE, INC.
(Name of Issuer)
COMMON STOCK, $.001 PAR VALUE
(Title of Class of Securities)
19421R101
(CUSIP Number)
David G. Hall
1936 E. Deere Avenue, Suite 100
Santa Ana, California 92705
Telephone: (949) 567-1234
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
Copies to:
Ben A. Frydman
Stradling Yocca Carlson & Rauth
660 Newport Center Drive, Suite 1600
Newport Beach, California 92660
Telephone: (949) 725-4163
October 16, 2000
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed on Schedule 13G to report the
acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box. [ ]
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 the Act but
shall be subject to all other provisions of the Act (however, see the Notes).
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SCHEDULE 13D
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CUSIP NO. 19421R101 PAGE 2 OF 14 PAGES
--------------------------------- ------------------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David G. Hall
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e)
[ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
------------------- ------ -------------------------------------------------
7 SOLE VOTING POWER
8,083,830
NUMBER OF ------ -------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH ------ -------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 8,083,830
------ -------------------------------------------------
10 SHARED DISPOSITIVE POWER
216,650
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,300,480
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
32.6%
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14 TYPE OF REPORTING PERSON
IN
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ITEM 1. SECURITY AND ISSUER
This Schedule 13D relates to the Common Stock, $.001 par value (the
"Common Stock"), of Collectors Universe, Inc., a Delaware corporation (the
"Issuer"), and is being filed to report information pursuant to Section 13(d) of
the Securities Exchange Act of 1934, as amended, with respect to the shares of
Common Stock of the Issuer beneficially owned (the "Shares") by David G. Hall
(the "Reporting Person").
The address of the principal executive offices of the Issuer is 1936 E.
Deere Avenue, Suite 100, Santa Ana, California 92705.
ITEM 2. IDENTITY AND BACKGROUND
(a) The name of the Reporting Person is David G. Hall.
(b) The address of Reporting Person is 1936 E. Deere Avenue, Suite
100, Santa Ana, California 92705.
(c) The Reporting Person is employed as the Chairman of the Board
and Chief Executive Officer of the Issuer and also is a member
of its Board of Directors.
(d) During the last five years, the Reporting Person has not been
convicted in a criminal proceeding (excluding traffic violations
and similar misdemeanors).
(e) During the last five years, the Reporting Person was not a party
to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or
is subject to judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject
to, Federal or state securities laws or finding any violation
with respect to such laws.
(f) The Reporting Person is a citizen of the United States of
America.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
The Reporting Person acquired the Shares on the formation, in February
1999, of the Issuer, which was organized as a Delaware corporation to acquire,
in simultaneous private transactions, 100% ownership of five privately owned
companies engaged in various collectibles businesses. In those transactions, the
Issuer issued a total of 19 million shares of its Common Stock to the owners of
those five companies in exchange for their shares, or the businesses and assets,
of those companies. As an owner in two of those companies, the Reporting Person
received a total of 8,300,480 of those shares of Common Stock issued in those
transactions by the Issuer. He had acquired his ownership interests in those two
companies with personal funds.
ITEM 4. PURPOSE OF TRANSACTION
The Shares were acquired, and are being held, for investment purposes
by the Reporting Person. He has no plan or proposal which relates to, or would
result in, any of the actions enumerated in Item 4 of the instructions to
Schedule 13D. However, from time to time he may, in his capacity and in the
performance of his duties as an officer and director of the Issuer, consider
transactions of this nature.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) The Reporting Person owns beneficially a total of 8,300,480 shares
of Common Stock, which represents approximately 32.6% of the Issuer's currently
outstanding shares.
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(b) Set forth below are the number of the Shares beneficially owned by
the Reporting Person as to which the Reporting Person has:
<TABLE>
<CAPTION>
Number of Shares
----------------
<S> <C> <C>
(i) sole power to vote or to direct the vote: 8,083,830
(ii) shared power to vote or to direct the
vote: 0
(iii) sole power to dispose or to direct the
disposition: 8,083,830
(iv) shared power to dispose or to direct the
disposition: 216,650
</TABLE>
The 216,650 Shares as to which the Reporting Person is shown, in
the table above, to share dispositive power are held by grantor trusts
established for the benefit of the Reporting Person's children. The
Reporting Person may be deemed to share dispositive power with the
trustees of those trusts, because he has the right to reacquire any or
all of those Shares by contributing other property to the trusts having
a fair market value equal to those Shares.
(c) See Item 6 below.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO
SECURITIES OF THE ISSUER
On October 16, 2000, Mr. Hall entered into a Stock Pledge Agreement with
Collectors Universe, Inc. pursuant to which he pledged to Collectors Universe a
total of 1,000,000 of his Shares of Common Stock as security for a loan made to
him. Under that Agreement, Mr. Hall retains sole voting power of those shares,
but his dispositive power is restricted. However, Collectors Universe will not
have dispositive power over those shares unless Mr. Hall defaults in the payment
of the monetary obligations secured by those shares.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Attached as Exhibit 1 to this Schedule 13D is the Stock Pledge Agreement
described in Item 6 above.
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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: October 25, 2000 David G Hall
/s/ DAVID G. HALL
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David G Hall
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EXHIBIT INDEX
Exhibit
Number Description
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Ex-1 Stock Pledge Agreement
