<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 6)
Harcourt General, Inc.
------------------------------------------------------------------
(Name of Issuer)
Common Stock, $1.00 par value
-------------------------------------------------------------------
(Title of Class of Securities)
41163G 10 1
------------------
(CUSIP Number)
Richard A. Smith
27 Boylston Street
Chestnut Hill, Massachusetts 02467
(617) 278-5600
-----------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
October 27, 2000
-------------------------------------------------
(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 that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box
/ /.
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 29 Pages)
<PAGE> 2
CUSIP No. 41163G 10 1 13D Page 2 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard A. Smith
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
2,339,336
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 8,554,181
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 39,600
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 10,843,917
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,883,517
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.5
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 3
CUSIP No. 41163G 10 1 13D Page 3 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Nancy L. Marks
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
1,825,502
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 7,894,356
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 78,550
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 9,641,308
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,719,858
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.1
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 4
CUSIP No. 41163G 10 1 13D Page 4 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Susan F. Smith
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
1,096,827
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 2,091,542
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 55,295
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 3,133,074
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,188,369
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.6
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 5
CUSIP No. 41163G 10 1 13D Page 5 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Amy Smith Berylson
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
122,774
-------------------------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER
SHARES 2,011,257
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 121,255
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 2,012,776
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,134,031
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.8
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 6
CUSIP No. 41163G 10 1 13D Page 6 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert A. Smith
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
395,530
-------------------------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER
1,870,725
SHARES -------------------------------------------------------
BENEFICIALLY OWNED BY 9. SOLE DISPOSITIVE POWER
393,654
EACH -------------------------------------------------------
REPORTING
PERSON 10. SHARED DISPOSITIVE POWER
1,872,601
WITH
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,266,255
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 7
CUSIP No. 41163G 10 1 13D Page 7 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Debra Smith Knez
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF 15,205
-------------------------------------------------------
SHARES 8. SHARED VOTING POWER
BENEFICIALLY OWNED BY 1,688,633
-------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING 12,256
PERSON -------------------------------------------------------
WITH 10. SHARED DISPOSITIVE POWER
1,691,582
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,703,838
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.1
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 8
CUSIP No. 41163G 10 1 13D Page 8 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jeffrey R. Lurie
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
77,223
-------------------------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER
SHARES 443,818
BENEFICIALLY OWNED BY -------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING 10,653
PERSON -------------------------------------------------------
WITH 10. SHARED DISPOSITIVE POWER
510,388
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
521,041
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.9
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
<PAGE> 9
CUSIP No. 41163G 10 1 13D Page 9 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Cathy J. Lurie
-------------------------------------------------------------------------------
(a) /x/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
1,600
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 444,844
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 600
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 445,844
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
446,444
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.8
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 10
CUSIP No. 41163G 10 1 13D Page 10 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John G. Berylson
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
320
-------------------------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER
SHARES 2,411,048
BENEFICIALLY OWNED BY -------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING 320
PERSON -------------------------------------------------------
WITH 10. SHARED DISPOSITIVE POWER
2,411,048
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,411,368
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.3
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 11
CUSIP No. 41163G 10 1 13D Page 11 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dana A. Weiss
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
0
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 2,331,774
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 2,331,774
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,331,774
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.2
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 12
CUSIP No. 41163G 10 1 13D Page 12 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian J. Knez
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
382,445
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 2,228,387
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 382,445
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 2,228,774
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,610,832
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.7
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
<PAGE> 13
CUSIP No. 41163G 10 1 13D Page 13 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jennifer L. Berylson
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
22,190
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 0
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 22,190
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,190
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than .1%
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
<PAGE> 14
CUSIP No. 41163G 10 1 13D Page 14 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Mark D. Balk
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
0
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 4,383,587
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 4,383,587
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,383,587
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.4
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
<PAGE> 15
CUSIP No. 41163G 10 1 13D Page 15 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Darline M. Lewis
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
0
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 1,403,818
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 1,403,818
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,403,818
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.5
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
-------------------------------------------------------------------------------
<PAGE> 16
CUSIP No. 41163G 10 1 13D Page 16 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Smith Management Company LLC
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
0
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 629,840
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 629,840
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
629,840
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
CO
-------------------------------------------------------------------------------
<PAGE> 17
CUSIP No. 41163G 10 1 13D Page 17 of 29 Pages
-------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marian Realty Company LLC
-------------------------------------------------------------------------------
(a) /X/
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(b) / /
-------------------------------------------------------------------------------
3. SEC USE ONLY
-------------------------------------------------------------------------------
4. SOURCE OF FUNDS*
00
-------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / /
-------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
-------------------------------------------------------------------------------
7. SOLE VOTING POWER
0
-------------------------------------------------------------------------------
NUMBER OF
8. SHARED VOTING POWER
SHARES 288,720
BENEFICIALLY OWNED BY -------------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING -------------------------------------------------------
PERSON
10. SHARED DISPOSITIVE POWER
WITH 288,720
-------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
288,720
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* / /
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.5
-------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
CO
-------------------------------------------------------------------------------
<PAGE> 18
Page 18 of 29 Pages
This Statement amends and supplements the Statement on
Schedule 13D dated January 13, 1987, as amended most recently
on June 26, 2000.
Item 1. Security and Issuer.
The class of equity securities to which this statement on
Schedule 13D (the "Statement") relates is the Common Stock,
par value $1.00 per share (the "Common Stock"), of Harcourt
General, Inc. (the "Company"), a Delaware corporation. The
principal executive offices of the Company are located at 27
Boylston Street, Chestnut Hill, Massachusetts 02467.
The individuals and corporations set forth in Item 2 of this
Statement are the beneficial owners of certain shares of Class
B Stock, $1.00 par value (the "Class B Stock"), of the Company
some of which are subject to restrictions on transfer and
disposition pursuant to the terms of the Smith-Lurie/Marks
Family Stockholders' Agreement dated December 29, 1986, as
amended from time to time (the "Stockholders' Agreement"), as
well as certain shares of Common Stock of the Company. While
Class B Stock is not an "equity security" within the meaning
of Regulation 13d-l(d), shares of Class B Stock are
convertible at any time, on a share-for-share basis, into
Common Stock, and therefore beneficial owners of Class B Stock
are deemed to be the beneficial owners of the Common Stock
into which the Class B Stock is convertible.
Item 2. Identity and Background.
This Amendment No. 6 to the Statement is filed by a group
consisting of: Richard A. Smith and his wife, Susan F. Smith;
Nancy L. Marks (the sister of Richard A. Smith); the children
of Richard A. Smith and Susan F. Smith, namely Amy Smith
Berylson, Robert A. Smith and Debra Smith Knez and their
spouses, John G. Berylson, Dana A. Weiss and Brian J. Knez;
one of the children of Amy Smith Berylson and John G.
Berylson, Jennifer L. Berylson; two of the children of Nancy
L. Marks, namely Cathy J. Lurie and Jeffrey R. Lurie; Mark D.
Balk and Darline M. Lewis, who are family attorneys and
trustees of family trusts and foundations; and two family
limited liability companies, Smith Management Company LLC and
Marian Realty Company LLC (collectively the "Smith Family
Group").
Richard A. Smith's business address is c/o Harcourt General,
Inc., 27 Boylston Street, Chestnut Hill, Massachusetts 02467.
Mr. Smith is Chairman of the Board of Directors of the
Company, The Neiman Marcus Group, Inc., and GC Companies. The
address for Susan F. Smith, Nancy L. Marks, Amy Smith
Berylson, John G. Berylson, Jennifer L. Berylson, Robert A.
Smith, Dana A. Weiss, Debra Smith Knez, Brian J. Knez, Cathy
J. Lurie and Jeffrey R. Lurie is c/o Richard A. Smith,
Harcourt General, Inc., 27 Boylston Street, Chestnut Hill,
Massachusetts 02467. Robert A. Smith is President, Co-Chief
Executive Officer and a director of the
<PAGE> 19
Page 19 of 29 Pages
Company, and is Co-Chief Executive Officer and a director of
The Neiman Marcus Group, Inc. Brian J. Knez is President,
Co-Chief Executive Officer and a director of the Company and
is Co-Chief Executive Officer and a director of The Neiman
Marcus Group, Inc. Jeffrey R. Lurie is a director of Harcourt
General, Inc. and is a business executive with Chestnut Hill
Productions, Inc., a company involved in the production of
motion pictures, and is the Chief Executive Officer of
Philadelphia Eagles, Inc., a National Football League
franchise. Mark D. Balk and Darline M. Lewis are attorneys
with the firm of Goulston & Storrs. Their address is c/o
Goulston & Storrs, 400 Atlantic Avenue, Boston, Massachusetts
02110. Smith Management Company LLC is a Delaware limited
liability company whose principal assets are securities of the
Company, GC Companies, Inc. and The Neiman Marcus Group, Inc.
Its principal business and office address is c/o Richard A.
Smith, Harcourt General, Inc., 27 Boylston Street, Chestnut
Hill, Massachusetts 02467. Marian Realty Company LLC is a
Delaware limited liability company whose principal assets are
securities of the Company, GC Companies, Inc. and The Neiman
Marcus Group, Inc. Its principal business and office address
is c/o Richard A. Smith, 27 Boylston Street, Chestnut Hill,
Massachusetts 02467.
During the five years prior to the date hereof, none of the
individuals or corporations listed above have been convicted
in a criminal proceeding (excluding traffic violations or
similar misdemeanors), nor were any of them a party to a civil
proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding were or are
subject to a 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.
All of the individuals listed above are citizens of the United
States of America.
Item 3. Source and Amount of Funds or Other Consideration.
Not applicable.
Item 4. Purpose of the Transaction.
On October 27, 2000, the Company entered into an Agreement and
Plan of Merger (the "Merger Agreement") with Reed Elsevier
Inc. and REH Mergersub Inc. (the "Purchaser"), a wholly owned
subsidiary of Reed Elsevier Inc. Pursuant to the Merger
Agreement, the Purchaser has commenced a tender offer (the
"Offer") for the purchase for cash of all outstanding shares
of Common Stock of the Company and all outstanding shares of
Series A Cumulative Convertible Stock of the Company. After
consummation of the Offer, the Purchaser will be merged (the
"Merger") with and into the Company and the Company will
become a wholly owned subsidiary of Reed Elsevier Inc. Also on
October 27, 2000, and in connection with the Merger Agreement,
the Smith Family Group entered a Stockholder Agreement (the
"Stockholder Agreement") among the Smith Family
<PAGE> 20
Page 20 of 29 Pages
Group, Reed Elsevier Inc and the Purchaser. The following is a
summary of the Stockholder Agreement, a copy of which is filed
as Exhibit 6 hereto. This summary is qualified in its entirety
by reference to the complete text of the Stockholder
Agreement.
Each member of the Smith Family Group has agreed to take the
following action with respect to the Subject Shares
beneficially owned by it (under the Stockholder Agreement, the
"Subject Shares" include all of the Class B shares owned of
record or beneficially by members of the Smith Family Group as
of October 20, 2000 together with any other Class B Stock
acquired by any member of the Smith Family Group by purchase
or otherwise and any Common Stock acquired by any member of
the Smith Family Group by conversion of Class B Stock, in each
case from October 20, 2000 through the end of the term of the
Stockholder Agreement):
- to convert all of its Subject Shares into Common
Stock immediately prior to the expiration of the
Offer, provided that Reed Elsevier Inc. and the
Purchaser shall have delivered an irrevocable binding
notice to the members of the Smith Family Group and
the Company that each of the conditions to the
Purchaser's obligation to consummate the Offer have
been satisfied (or would be satisfied, in the case of
the condition (the "Minimum Condition") requiring
that not less than a majority of the outstanding
shares of Common Stock be tendered, upon such
conversion of the Subject Shares and the tender of
the shares of Common Stock issuable upon such
conversion into the Offer) or waived in accordance
with the Merger Agreement (provided the Minimum
Condition may not be waived) together with a
certificate from the depositary for the Offer setting
forth the number of shares of Common Stock validly
tendered into the Offer and not withdrawn as
immediately prior to such time as practicable;
- immediately after such conversion, to tender pursuant
to the Offer, and not withdraw, all of the Subject
Shares (including all shares of Common Stock issuable
upon the conversion of the Subject Shares) promptly
upon request of Reed Elsevier Inc. or the Purchaser;
- to vote all of its Subject Shares in favor of the
approval and adoption of the Merger Agreement and
against (1) an "Acquisition Proposal" (as defined
below), (2) any extraordinary dividend or
distribution by the Company or its subsidiaries, (3)
any change in the capital structure of the Company or
any of its subsidiaries (other than pursuant to the
Merger Agreement) or (4) any other action that would
reasonably be expected to, in any material respect,
prevent, impede, interfere with, delay, postpone,
frustrate the purposes of or attempt to discourage
the transactions contemplated by the Merger
Agreement; each member of the Smith Family Group has
granted to the Purchaser an irrevocable proxy to vote
or otherwise use such voting power in the manner
contemplated by the foregoing; and
<PAGE> 21
Page 21 of 29 Pages
- not to sell, pledge or otherwise dispose of any of
its Subject Shares (other than (i) transfers to
persons who are subject to the Stockholder Agreement
or who become bound by the Stockholder Agreement,
(ii) transfers of an aggregate total number
(including all shares transferred to charitable
organizations by all members of the Smith Family
Group as of October 27, 2000) of 100,000 shares of
Common Stock (including shares transferred by any
other member of the Smith Family Group) to charitable
organizations or (iii) the transfer of 847,458
Subject Shares in exchange for a $50,000,000
contingent promissory note from the Company.
Acquisition Proposal means (i) any tender offer or exchange
offer, (ii) merger, consolidation, share exchange, business
combination, sale of substantially all of the assets,
reorganization, recapitalization, liquidation, dissolution or
other similar transaction involving the Company or any of its
subsidiaries whose assets, individually or in the aggregate,
constitute more than 20% of the consolidated assets or the
earning power of the Company or (iii) any acquisition or
purchase, direct or indirect, of more than 20% of the
consolidated assets of the Company and its subsidiaries or
more than 20% of any class of equity or voting securities of
the Company or any of its subsidiaries whose assets,
individually or in the aggregate, constitute more than 20% of
the consolidated assets or earning power of the Company (other
than the transactions contemplated by the Merger Agreement).
Each member of the Smith Family Group has also agreed not to
solicit or initiate any Acquisition Proposal or furnish
information to or participate in any discussions or
negotiations with any person that is considering making or has
made an Acquisition Proposal.
The Stockholder Agreement will terminate upon the earlier of
the effectiveness of the Merger and the date of the
termination of the Merger Agreement in accordance with its
terms.
This Amendment No. 6 is being filed to reflect the Reporting
Persons' support of the Board of Directors' decision to
recommend to the Company's stockholders that they tender their
shares in the Offer, to describe the Reporting Persons'
obligations under the Stockholder Agreement and to confirm the
Reporting Persons' intent to fulfill those obligations.
Item 5. Interest in Securities of the Issuer.
(a) The aggregate number and percentage of Common
Stock and Class B Stock owned by the Smith Family Group and
each member thereof is set forth in the attached Table 5(a).
The percentages have been calculated using the following
number of shares outstanding as of October 27, 2000:
55,049,531 shares of Common Stock and 18,111,768 shares of
Class B Stock.
Pursuant to Rule 13d-5, the Smith Family Group is
deemed to have beneficial ownership, for purposes of Section
13(d), of all equity securities of the Company beneficially
owned by any member of the Smith Family Group. Accordingly,
while 17,118,628 shares of Class B Stock are subject to the
terms of the Stockholders' Agreement, the total number of
shares held by or for the benefit of the Smith Family Group
and as to which the Smith Family Group is deemed to be the
beneficial owner is 18,097,180 shares of Class B Stock and
2,642,340 shares of Common Stock.
(b) Table 5(b) attached hereto sets forth the
required information with respect to voting power and
investment power.
(c) The following transactions have been effected
during the past 60 days:
<PAGE> 22
Page 22 of 29 Pages
1. Conversion by Richard A. Smith, on October 25,
2000, of 610,000 shares of Class B Stock to 610,000 shares of
Common Stock and transfer by Richard A. Smith, on October 25,
2000, of 610,000 shares of Common Stock to Susan F. Smith, Amy
Smith Berylson, Robert A. Smith, Debra Smith Knez, John G.
Berylson, Dana A. Weiss, and Brian J. Knez, all as trustees of
the Richard and Susan Smith Family Foundation.
2. Conversion by Susan F. Smith, on October 25, 2000,
of 805,000 shares of Class B Stock to 805,000 shares of Common
Stock and transfer by Susan F. Smith, on October 25, 2000, of
805,000 shares of Common Stock to Susan F. Smith, Amy Smith
Berylson, Robert A. Smith, Debra Smith Knez, John G. Berylson,
Dana A. Weiss, and Brian J. Knez, all as trustees of the
Richard and Susan Smith Family Foundation.
3. Conversion by Nancy L. Marks, on October 25, 2000,
of 443,818 shares of Class B Stock to 443,818 shares of Common
Stock and transfer by Nancy L. Marks, on October 25, 2000, of
443,818 shares of Common Stock to Nancy L. Marks, Cathy Lurie,
Eric Cushing, Jeffrey Lurie, Christina Lurie, Darline M.
Lewis, and Mark D. Balk, all as trustees of the Nancy Lurie
Marks Family Foundation.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer.
Except for (a) the Stockholder Agreement described under Item
4 (which description is incorporated herein by reference),
(b) the Smith-Lurie/Marks Family Stockholders' Agreement
(dated December 29, 1986), (c) various Smith family trusts and
foundations which own securities of the Company and which have
been included in the beneficial ownership figures under Item
5, (d) attorney-client relationships between Smith family
attorneys Mark D. Balk and Darline M. Lewis and members of the
Smith family, (e) a pledge of Class B Stock by Nancy L. Marks
individually, as collateral for certain obligations of Jeffrey
R. Lurie and entities controlled by him to The First National
Bank of Boston as agent for itself and certain other lenders
pursuant to a loan agreement dated as of May 13, 1994, as
amended, (f) a pledge of Class B Stock by Nancy L. Marks and
Richard A. Smith, as Trustees under the Trust under the will
of Philip Smith f/b/o Nancy L. Marks as collateral for its
obligations as co-borrower with an entity controlled by
Jeffrey R. Lurie to The First National Bank of Boston as agent
for itself and certain other lenders pursuant to a loan
agreement dated as of May 13, 1994, as amended, and (g)
various Powers of Attorney granting Richard A. Smith and Mark
D. Balk the authority to execute Schedule 13D and all
amendments thereto on behalf of members of the Smith Family
Group, there are
<PAGE> 23
Page 23 of 29 Pages
no contracts, arrangements, understandings or relationships
(legal or otherwise) among the Smith Family Group or between
members of the Smith Family Group and any other person with
respect to securities of the Company.
Item 7. Material to be Filed as Exhibits.
Exhibit 1 Agreement and Power of Attorney
(incorporated by reference to Agreement and Power of Attorney
included in Amendment No. 5 to Schedule 13D filed on June 26,
2000).
Exhibit 2 Agreement and Power of Attorney
(incorporated by reference to Agreement and Power of Attorney
included in Amendment No. 4 to Schedule 13D filed on May 23,
1996).
Exhibit 3 Agreement and Power of Attorney
(incorporated by reference to Agreement and Power of Attorney
included in Amendment No. 3 to Schedule 13D filed on June 5,
1992).
Exhibit 4 Agreement and Power of Attorney
(incorporated by reference to Agreement and Power of Attorney
included in Schedule 13D filed on January 13, 1987).
Exhibit 5 Agreement and Power of Attorney
(filed herewith).
Exhibit 6 Stockholder Agreement
(filed herewith).
<PAGE> 24
Page 24 of 29 Pages
Table 5(a)
BENEFICIAL OWNERSHIP OF SHARES
AND PERCENTAGE OF COMMON STOCK AND CLASS B STOCK
<TABLE>
<CAPTION>
-----------------------------------------------------------------------------------------------------------------------------------
Shares and Percent of Stock Beneficially Owned(1)
-----------------------------------------------------------------------------------------------------------------------------------
Group Member Common % of Class B % of Class B % of Common Stock
Common Stock Assuming
Stock Conversion of
Class B Stock(2)(3)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Smith Family Group 2,642,340 4.8 18,097,180 99.9 28.4
Richard A. Smith(4) 22,208 * 10,861,309 60.0 16.5
Nancy L. Marks(5) 443,818 .8 9,276,040 51.2 15.1
Susan F. Smith(6) 1,449,400 2.6 1,738,969 9.6 5.6
</TABLE>
--------
* Less than .1%
(1) Certain shares included in the table above have been counted more than once
because of certain rules of the Securities and Exchange Commission.
(2) Each share of Class B Stock is convertible at any time into one share of
Common Stock.
(3) Assumes conversion of beneficial owner's shares of Class B Stock and no
other shares of Class B Stock.
(4) The beneficial ownership figures for Richard A. Smith include 808 shares of
Common Stock allocated to Mr. Smith's account under the Company's Employee Stock
Ownership Plan ("ESOP"), 21,400 shares of Common Stock held by a charitable
trust of which Richard Smith is a trustee, 9,741,789 shares of Class B Stock
held by trusts of which Richard A. Smith is a trustee, 629,840 shares of Class B
Stock held by Smith Management Company LLC and 288,720 shares of Class B Stock
held by Marian Realty Company LLC. Richard A. Smith disclaims beneficial
ownership of 21,400 shares of Common Stock and 6,508,685 shares of Class B
Stock. This report shall not be deemed an admission that Richard A. Smith is the
beneficial owner of the previously disclaimed shares for purposes of Section 13
or for any other purpose.
(5) The beneficial ownership figures for Nancy L. Marks include 443,818 shares
of Common Stock held by a family foundation of which Nancy L. Marks is a
trustee, 7,641,818 shares of Class B Stock held by trusts of which Nancy L.
Marks is a trustee and 288,720 shares of Class B Stock held by Marian Realty
Company LLC. Nancy L. Marks disclaims beneficial ownership of 443,818 shares of
Common Stock and 4,408,714 of the shares of Class B Stock. This report shall not
be deemed an admission that Nancy L. Marks is the beneficial owner of the
previously disclaimed shares for purposes of Section 13 or for any other
purpose.
(6) The beneficial ownership figures for Susan F. Smith include 1,449,400 shares
of Common Stock held by charitable trusts and foundations of which Susan Smith
is a trustee and 1,482,142 shares of Class B Stock held by trusts and
foundations of which Susan F. Smith is a trustee. Susan F. Smith disclaims
beneficial ownership of 1,449,400 shares of Common Stock and 1,040,547 shares of
Class B Stock. This report shall not be deemed an admission that Susan F. Smith
is the beneficial owner of the previously disclaimed shares for purposes of
Section 13 or for any other purpose.
<PAGE> 25
Page 25 of 29 Pages
<TABLE>
<CAPTION>
-----------------------------------------------------------------------------------------------------------------------------------
Shares and Percent of Stock Beneficially Owned (continued)
-----------------------------------------------------------------------------------------------------------------------------------
Group Member Common % of Class B % of Class B % of Common Stock
Common Stock Assuming
Stock Conversion of
Class B Stock
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Cathy J. Lurie(7) 444,844 .8 1,600 * .8
Jeffrey R. Lurie(8) 454,471 .8 66,570 .4 .9
Amy Smith Berylson(9) 1,428,000 2.6 706,031 3.9 3.8
John G. Berylson(10) 1,428,320 2.6 983,048 5.4 4.3
Jennifer L. Berylson 0 * 22,190 .1 *
Robert A. Smith(11) 1,816,151 3.3 450,104 2.5 4.1
Dana A. Weiss(12) 1,428,000 2.6 903,774 5.0 4.2
</TABLE>
--------
(7) The beneficial ownership figures for Cathy J. Lurie include 444,844 shares
of Common Stock held by charitable foundations of which Cathy J. Lurie is a
trustee. Cathy J. Lurie disclaims beneficial ownership of 444,844 shares of
Common Stock. This report shall not be deemed an admission that Cathy J. Lurie
is the beneficial owner of the previously disclaimed shares for purposes of
Section 13 or for any other purpose.
(8) The beneficial ownership figures for Jeffrey R. Lurie include 10,640 shares
of Common Stock held by Philadelphia Eagles, Inc., 443,818 shares of Common
Stock held by a family foundation of which Jeffrey R. Lurie is a trustee, and
66,570 shares of Class B Stock held by Jeffrey R. Lurie as a guardian of the
property of his children. Jeffrey R. Lurie disclaims beneficial ownership of
443,818 shares of Common Stock and 66,570 shares Class B Stock. This report
shall not be deemed an admission that Jeffrey R. Lurie is the beneficial owner
of the previously disclaimed shares for purposes of Section 13 or for any other
purpose.
(9) The beneficial ownership figures for Amy Smith Berylson include 1,428,000
shares of Common Stock held by a charitable foundation of which Amy Smith
Berylson is a trustee, 538,875 shares of Class B Stock held by trusts of which
Amy Smith Berylson is a trustee and 44,382 shares of Class B Stock held by Amy
Smith Berylson as a guardian of the property of her children. Amy Smith Berylson
disclaims beneficial ownership of 1,428,000 shares of Common Stock and 44,382
shares of Class B Stock. This report shall not be deemed an admission that Amy
Smith Berylson is the beneficial owner of the previously disclaimed shares for
purposes of Section 13 or for any other purpose.
(10) The beneficial ownership figures for John G. Berylson include 1,428,000
shares of Common Stock held by a charitable foundation of which John G. Berylson
is a trustee, 938,666 shares of Class B Stock held by trusts of which John G.
Berylson is a trustee and 44,382 shares of Class B Stock held by John G.
Berylson as a guardian of the property of his children. John G. Berylson
disclaims beneficial ownership of 1,428,000 shares of Common Stock and 983,048
shares of Class B Stock. This report shall not be deemed an admission that John
G. Berylson is the beneficial owner of the previously disclaimed shares for
purposes of Section 13 or for any other purpose.
(11) The beneficial ownership figures for Robert A. Smith include 1,428,000
shares of Common Stock held by a charitable foundation of which Robert A. Smith
is a trustee, 287 shares of Common Stock allocated to Mr. Smith's account under
the Company's Employee Stock Ownership Plan ("ESOP"), options to purchase
305,686 shares of Common Stock (without regard to vesting), 49,100 shares of
restricted Common Stock and 442,438 shares of Class B Stock held by trusts of
which Robert A. Smith is a trustee. Robert A. Smith disclaims beneficial
ownership of 1,428,000 shares of Common Stock. This report shall not be deemed
an admission that Robert A. Smith is the beneficial owner of the previously
disclaimed shares for purposes of Section 13 or for any other purpose.
<PAGE> 26
Page 26 of 29 Pages
<TABLE>
<CAPTION>
-----------------------------------------------------------------------------------------------------------------------------------
Shares and Percent of Stock Beneficially Owned (continued)
-----------------------------------------------------------------------------------------------------------------------------------
Group Member Common % of Class B % of Class B % of Common Stock
Common Stock Assuming
Stock Conversion of
Class B Stock
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Debra Smith Knez(13) 1,428,000 2.6 275,838 1.5 3.1
Brian J. Knez(14) 1,810,664 3.3 800,168 4.4 4.7
Mark D. Balk(15) 443,818 .8 3,939,769 21.8 7.4
Darline M. Lewis(16) 443,818 .8 960,000 5.3 2.5
Smith Management Company LLC 0 * 629,840 3.5 1.1
Marian Realty Company LLC 0 * 288,720 1.6 .5
</TABLE>
--------
(12) The beneficial ownership figures for Dana A. Weiss include 1,428,000 shares
of Common Stock held by a charitable foundation of which Dana A. Weiss is a
trustee and 903,774 shares of Class B Stock held by trusts of which Dana A.
Weiss is a trustee. Dana A. Weiss disclaims beneficial ownership of 1,428,000
shares of Common Stock and 903,774 shares of Class B Stock. This report shall
not be deemed an admission that Dana A. Weiss is the beneficial owner of the
previously disclaimed shares for purposes of Section 13 or for any other
purpose.
(13) The beneficial ownership figures for Debra Smith Knez include 1,428,000
shares of Common Stock held by a charitable foundation of which Debra Smith Knez
is a trustee and 260,633 shares of Class B Stock held by trusts of which Debra
Smith Knez is a trustee. Debra Smith Knez disclaims beneficial ownership of
1,428,000 shares of Common Stock. This report shall not be deemed an admission
that Debra Smith Knez is the beneficial owner of the previously disclaimed
shares for purposes of Section 13 or for any other purpose.
(14) The beneficial ownership figures for Brian J. Knez include 1,428,000 shares
of Common Stock held by a charitable foundation of which Brian J. Knez is a
trustee, 219 shares of Common Stock allocated to Mr. Knez's account under the
Company's Employee Stock Ownership Plan ("ESOP"), options to purchase 313,605
shares of Common Stock (without regard to vesting), 49,100 shares of restricted
Common Stock and 800,168 shares of Class B Stock held by trusts of which Brian
J. Knez is a trustee. Brian J. Knez disclaims beneficial ownership of 1,428,000
shares of Common Stock and 800,168 shares of Class B Stock. This report shall
not be deemed an admission that Brian J. Knez is the beneficial owner of the
previously disclaimed shares for purposes of Section 13 or for any other
purpose.
(15) The beneficial ownership figure for Mark D. Balk consists of 443,818 shares
of Common Stock held by a charitable foundation of which Mark D. Balk is a
trustee, 918,560 shares of Class B Stock indirectly held by business trusts of
which Mark D. Balk is a trustee and 3,021,209 shares of Class B Stock held by a
foundation and trusts of which Mark D. Balk is a trustee. Mark D. Balk disclaims
beneficial ownership of 443,818 shares of Common Stock and 3,939,769 shares of
Class B Stock. This report shall not be deemed an admission that Mark D. Balk is
the beneficial owner of the previously disclaimed shares for purposes of Section
13 or for any other purpose.
(16) The beneficial ownership figure for Darline M. Lewis consists of 443,818
shares of Common Stock held by a charitable foundation of which Darline M. Lewis
is a trustee and 960,000 shares of Class B Stock held by trusts of which Darline
M. Lewis is a trustee. Darline M. Lewis disclaims beneficial ownership of
443,818 shares of Common Stock and 960,000 shares of Class B Stock. This report
shall not be deemed an admission that Darline M.
<PAGE> 27
Page 27 of 29 Pages
--------
Lewis is the beneficial owner of the previously disclaimed shares for purposes
of Section 13 or for any other purpose.
<PAGE> 28
Page 28 of 29 Pages
Table 5(b)
BENEFICIAL OWNERSHIP OF COMMON STOCK
(assumes conversion of Class B Stock into Common Stock)
(includes both Class B and Common Stock; for breakdown of ownership,
see Table 5(a))
<TABLE>
<CAPTION>
Sole Shared Sole Shared
Beneficial Voting Voting Dispositive Dispositive
Ownership Power Power Power Power
--------- ----- ----- ----- -----
<S> <C> <C> <C> <C> <C>
Smith Family Group 20,328,618 0 20,328,618 0 20,328,618
Richard A. Smith 10,883,517 2,339,336 8,544,181 39,600 10,843,917
Nancy L. Marks 9,719,858 1,825,502 7,894,356 78,550 9,641,308
Susan F. Smith 3,188,369 1,096,827 2,091,542 55,295 3,133,074
Amy Smith Berylson 2,134,031 122,774 2,011,257 121,255 2,012,776
Robert A. Smith 2,266,255 395,530 1,870,725 393,654 1,872,601
Debra Smith Knez 1,703,838 15,205 1,688,633 12,256 1,691,582
Jeffrey R. Lurie 521,041 77,223 443,818 10,653 510,388
Cathy J. Lurie 446,444 1,600 444,844 600 445,844
John G. Berylson 2,411,368 320 2,411,048 320 2,411,048
Dana A. Weiss 2,331,774 0 2,331,774 0 2,331,774
Brian J. Knez 2,610,832 382,445 2,228,387 382,445 2,228,774
Jennifer L. Berylson 22,190 22,190 0 0 22,190
Mark D. Balk 4,383,587 0 4,383,587 0 4,383,587
Darline M. Lewis 1,403,818 0 1,403,818 0 1,403,818
Smith Management . 629,840 0 629,840 0 629,840
Company LLC
Marian Realty 288,720 0 288,720 0 288,720
Company LLC
</TABLE>
<PAGE> 29
Page 29 of 29 Pages
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.
Dated: November 13, 2000
/s/ Richard A. Smith
---------------------------------------
Richard A. Smith, individually and as
attorney-in-fact for each of
Nancy L. Marks,
Susan F. Smith,
Amy Smith Berylson,
Robert A. Smith,
Debra Smith Knez,
Jeffrey R. Lurie,
Cathy J. Lurie,
John G. Berylson,
Jennifer L. Berylson,
Dana A. Weiss,
Brian J. Knez,
Mark D. Balk,
Darline M. Lewis,
Smith Management Company LLC and
Marian Realty Company LLC
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001).
