<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 5)
HARCOURT GENERAL, INC.
----------------------
(Name of Issuer)
COMMON STOCK, $1.00 PAR VALUE
------------------------------
(Title of Class of Securities)
369352 10 9
--------------
(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)
JUNE 19, 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 28 Pages)
<PAGE> 2
CUSIP No. 369352 10 9 13D Page 2 of 28 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
3,714,923
NUMBER OF
------ --------------------------------------------------
8. SHARED VOTING POWER
SHARES 7,951,553
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 39,600
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 11,626,876
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,666,476
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
18.0
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-2-
<PAGE> 3
CUSIP No. 369352 10 9 13D Page 3 of 28 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
2,269,320
NUMBER OF
------ --------------------------------------------------
8. SHARED VOTING POWER
SHARES 7,450,538
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
9,719,585
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.5
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-3-
<PAGE> 4
CUSIP No. 369352 10 9 13D Page 4 of 28 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
1,728,745
NUMBER OF
------ --------------------------------------------------
8. SHARED VOTING POWER
SHARES 679,397
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 45,616
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 2,362,526
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,408,142
--------- ----------------------------------------------------------------------
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!
-4-
<PAGE> 5
CUSIP No. 369352 10 9 13D Page 5 of 28 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 596,257
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 121,255
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 597,776
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
719,031
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.3
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-5-
<PAGE> 6
CUSIP No. 369352 10 9 13D Page 6 of 28 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
SHARES 455,682
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 393,654
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 457,558
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
851,212
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.6
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-6-
<PAGE> 7
CUSIP No. 369352 10 9 13D Page 7 of 28 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
15,205
NUMBER OF
------ --------------------------------------------------
8. SHARED VOTING POWER
SHARES 273,633
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 12,256
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 276,582
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
288,838
--------- ----------------------------------------------------------------------
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*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-7-
<PAGE> 8
CUSIP No. 369352 10 9 13D Page 8 of 28 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 0
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 10,653
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 66,570
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,223
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.1
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-8-
<PAGE> 9
CUSIP No. 369352 10 9 13D Page 9 of 28 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 0
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 600
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 1,000
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,600
--------- ----------------------------------------------------------------------
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
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-9-
<PAGE> 10
CUSIP No. 369352 10 9 13D Page 10 of 28 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 996,048
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 320
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 996,048
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
996,368
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-10-
<PAGE> 11
CUSIP No. 369352 10 9 13D Page 11 of 28 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 916,744
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 916,744
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
916,744
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-11-
<PAGE> 12
CUSIP No. 369352 10 9 13D Page 12 of 28 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 813,354
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 382,445
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 813,354
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,195,799
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.2
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-12-
<PAGE> 13
CUSIP No. 369352 10 9 13D Page 13 of 28 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
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-13-
<PAGE> 14
CUSIP No. 369352 10 9 13D Page 14 of 28 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 2,986,729
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 2,986,729
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,986,729
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.3
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-14-
<PAGE> 15
CUSIP No. 369352 10 9 13D Page 15 of 28 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 960,000
BENEFICIALLY
OWNED BY ------ --------------------------------------------------
9. SOLE DISPOSITIVE POWER
EACH 0
REPORTING
PERSON
------ --------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH 960,000
--------- ----------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
960,000
--------- ----------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
[ ]
--------- ----------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-15-
<PAGE> 16
CUSIP No. 369352 10 9 13D Page 16 of 28 Pages
--------------------- -------------------
--------- ----------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Smith Management Company
--------- ----------------------------------------------------------------------
(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)
1.2
--------- ----------------------------------------------------------------------
14. TYPE OF REPORTING PERSON*
CO
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
-16-
<PAGE> 17
CUSIP No. 369352 10 9 13D Page 17 of 28 Pages
--------------------- -------------------
--------- ----------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marian Realty Company
--------- ----------------------------------------------------------------------
(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
--------- ----------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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<PAGE> 18
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Page 18 of 28 Pages
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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, $1.00 par value, of
the Company (the "Common Stock"). 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.
This Statement amends and supplements the Statement on
Schedule 13D dated January 13, 1987, as amended prior hereto.
Item 2. IDENTITY AND BACKGROUND.
This Amendment No. 5 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
corporations, Smith Management Company and Marian Realty
Company (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
and of The Neiman Marcus Group, Inc. The address for Susan F.
Smith, Nancy L. Marks, Amy Smith Berylson, John G. 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 Company, and
is
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<PAGE> 19
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Page 19 of 28 Pages
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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. John G. Berylson
is Senior Vice President and Chief Investment Officer of GC
Companies, Inc. which operates a leading motion picture
exhibition circuit in the United States operating under the
name General Cinema Theatres, and also manages a pool of
capital used for investments. 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 is a Delaware
corporation 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 is a
Massachusetts corporation 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 June 19, 2000, the Company issued a press release
announcing the retention of financial advisors to explore
strategic alternatives for the Company, including the possible
sale of the Company.
The Reporting Entities note the Company's efforts as reflected
in the June 19, 2000 press release and currently have no plans
or proposals which would result in frustrating or impeding the
Company's actions in connection with the exploration of
strategic alternatives. This Amendment No. 5 is being filed to
reflect the Reporting Entities' support of the Company's
exploration of strategic alternatives.
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<PAGE> 20
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Page 20 of 28 Pages
--------------------
However, the Reporting Entities make no commitment at this
time as to whether they will support any particular strategic
alternative that may be proposed by the Company.
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 June 19, 2000: 53,144,388
shares of Common Stock and 19,970,753 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 18,987,125 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 19,921,518 shares of Class B Stock and
816,797 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:
1. Transfer by Amy Smith Berylson, on May 25, 2000, of 400,000
shares of Class B Stock to John G. Berylson and Mark D. Balk,
as Trustees of the Amy Smith Berylson 2000 Grantor Retained
Annuity Trust u/d/t dated as of May 18, 2000.
2. Transfer by Robert A. Smith, on May 25, 2000, of 310,000
shares of Class B Stock to Dana Weiss Smith and Mark D. Balk,
as Trustees of the Robert A. Smith 2000 Grantor Retained
Annuity Trust u/d/t dated as of May 18, 2000.
3. Transfer by Robert A. Smith and Mark D. Balk, as Trustees
of the Robert A. Smith 1978 Insurance Trust, on May 25, 2000,
of 90,000 shares of Class B Stock to Dana Weiss Smith and Mark
D. Balk, as Trustees of the Robert A. Smith 2000 Grantor
Retained Annuity Trust u/d/t dated as of May 18, 2000.
4. Transfer by Debra Smith Knez, on May 25, 2000, of 170,000
shares of Class B Stock to Brian J. Knez and Mark D. Balk, as
Trustees of the Debra Smith Knez 2000 Grantor Retained Annuity
Trust u/d/t dated as of May 18, 2000.
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<PAGE> 21
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Page 21 of 28 Pages
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5. Transfer by Susan F. Smith and Mark D. Balk, as Trustees of
the A-D-R Trust f/b/o Debra Smith Knez, on May 25, 2000, of
70,000 shares of Class B Stock to Brian J. Knez and Mark D.
Balk, as Trustees of the Debra Smith Knez 2000 Grantor
Retained Annuity Trust u/d/t dated as of May 18, 2000.
6. Transfer by Debra Smith Knez and Mark D. Balk, as Trustees
of the Debra Smith Knez 1978 Insurance Trust, on May 25, 2000,
of 160,000 shares of Class B Stock to Brian J. Knez and Mark
D. Balk, as Trustees of the Debra Smith Knez 2000 Grantor
Retained Annuity Trust u/d/t dated as of May 18, 2000.
7. Transfer by Amy Smith Berylson, on June 15, 2000, of 465
shares of Class B Stock to John Berylson and Mark D. Balk, as
Trustees of the Trust fbo Jennifer L. Berylson under J-J-E
1998 Trust u/d/t dtd. November 1, 1988.
8. Transfer by Amy Smith Berylson, on June 15, 2000, of 465
shares of Class B Stock to John Berylson and Mark D. Balk, as
Trustees of the Trust fbo Elizabeth S. Berylson under J-J-E
1998 Trust u/d/t dtd. November 1, 1988.
9. Transfer by Amy Smith Berylson, on June 15, 2000, of 465
shares of Class B Stock to John Berylson and Mark D. Balk, as
Trustees of the Trust fbo James T. Berylson under J-J-E 1998
Trust u/d/t dtd. November 1, 1988.
10. Transfer by Debra Smith Knez, on June 15, 2000, of 465
shares of Class B Stock to Brian J. Knez and Mark D. Balk, as
Trustees of the Trust fbo Jessica M. Knez under Debra and
Brian Knez 1988 Children's Trust u/d/t dtd. December 1, 1988.
11. Transfer by Debra Smith Knez, on June 15, 2000, of 465
shares of Class B Stock to Brian J. Knez and Mark D. Balk, as
Trustees of the Trust fbo Andrew P. Knez under Debra and Brian
Knez 1988 Children's Trust u/d/t dtd. December 1, 1988.
12. Transfer by Robert A. Smith, on June 15, 2000, of 465
shares of Class B Stock to Dana A. Weiss and Mark D. Balk, as
Trustees of the Trust fbo Madeleine W. Smith under Robert
Smith and Dana Weiss 1994 Children's Trust u/d/t dtd. December
1, 1994.
13. Transfer by Robert A. Smith, on June 15, 2000, of 465
shares of Class B Stock to Dana A. Weiss and Mark D. Balk, as
Trustees of the Trust fbo Ryan A. Smith under Robert Smith and
Dana Weiss 1994 Children's Trust u/d/t dtd. December 1, 1994.
(d) Not applicable.
(e) Not applicable.
-21-
<PAGE> 22
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Page 22 of 28 Pages
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Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
Except for (a) the Stockholders' Agreement, (b) 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, (c) attorney-client
relationships between Smith family attorneys Mark D. Balk and
Darline M. Lewis and members of the Smith family, (d) 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, and (e) 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, there are 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.
-22-
<PAGE> 23
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Page 23 of 28 Pages
--------------------
Item 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit 99.1 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 99.2 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 99.3 Agreement and Power of Attorney
(incorporated by reference to Agreement and Power of Attorney
included in Schedule 13D filed on January 13, 1987).
Exhibit 99.4 Agreement and Power of Attorney
(filed herewith).
-23-
<PAGE> 24
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Page 24 of 28 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 Common Class B % of Class B % of Common Stock
Stock Stock Assuming
Conversion of
Class B Stock(2), (3)
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Smith Family Group 816,797 1.5 19,921,518 99.8 28.1
-------------------------------------------------------------------------------------------------------------------------
Richard A. Smith(4) 22,085 * 11,644,391 58.3 18.0
-------------------------------------------------------------------------------------------------------------------------
Nancy L. Marks(5) 0 * 9,719,858 48.7 15.5
-------------------------------------------------------------------------------------------------------------------------
Susan F. Smith(6) 34,400 * 2,373,742 11.9 4.3
-------------------------------------------------------------------------------------------------------------------------
</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 685 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, 9,914,871 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 and 288,720 shares of Class B Stock held
by Marian Realty Company. Richard A. Smith disclaims beneficial ownership of
21,400 shares of Common Stock and 6,826,127 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 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. Nancy L. Marks disclaims
beneficial ownership of 4,553,074 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 34,400 shares of
Common Stock held by charitable trusts of which Susan Smith is a trustee and
1,484,997 shares of Class B Stock held by trusts of which Susan F. Smith is a
trustee. Susan F. Smith disclaims beneficial ownership of 34,400 shares of
Common Stock and 1,006,067 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.
-24-
<PAGE> 25
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Page 25 of 28 Pages
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<TABLE>
<CAPTION>
-------------------------------------------------------------------------------------------------------------------------
Shares and Percent of Stock Beneficially Owned (continued)
-------------------------------------------------------------------------------------------------------------------------
Group Member Common % of Common Class B % of Class B % of Common Stock
Stock Stock Assuming
Conversion of
Class B Stock
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Cathy J. Lurie 0 * 1,600 * *
-------------------------------------------------------------------------------------------------------------------------
Jeffrey R. Lurie(7) 10,653 * 66,570 .3 .1
-------------------------------------------------------------------------------------------------------------------------
Amy Smith Berylson(8) 13,000 * 706,031 3.5 1.3
-------------------------------------------------------------------------------------------------------------------------
John G. Berylson(9) 13,320 * 983,048 4.9 1.8
-------------------------------------------------------------------------------------------------------------------------
Jennifer L. Berylson 0 * 22,190 .1 *
-------------------------------------------------------------------------------------------------------------------------
Robert A. Smith(10) 401,108 .7 450,104 2.3 1.6
-------------------------------------------------------------------------------------------------------------------------
Dana A. Weiss(11) 13,000 * 903,774 4.5 1.7
-------------------------------------------------------------------------------------------------------------------------
</TABLE>
-----------------------------
7 The beneficial ownership figures for Jeffrey R. Lurie include 10,640 shares of
Common Stock held by Philadelphia Eagles, Inc. 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 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.
8 The beneficial ownership figures for Amy Smith Berylson include 13,000 shares
of Common Stock held by a charitable trust 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 13,000 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.
9 The beneficial ownership figures for John G. Berylson include 13,000 shares of
Common Stock held by a charitable trust 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 13,000 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.
10 The beneficial ownership figures for Robert A. Smith include 13,000 shares of
Common Stock held by a charitable trust of which Robert A. Smith is a trustee,
244 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 13,000
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.
11 The beneficial ownership figures for Dana A. Weiss include 13,000 shares of
Common Stock held by a charitable trust 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 13,000 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.
-25-
<PAGE> 26
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Page 26 of 28 Pages
--------------------
<TABLE>
<CAPTION>
-------------------------------------------------------------------------------------------------------------------------
Shares and Percent of Stock Beneficially Owned (continued)
-------------------------------------------------------------------------------------------------------------------------
Group Member Common % of Common Class B % of Class B % of Common Stock
Stock Stock Assuming
Conversion of
Class B Stock
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Debra Smith Knez(12) 13,000 * 275,838 1.4 .5
-------------------------------------------------------------------------------------------------------------------------
Brian J. Knez(13) 395,631 .7 800,168 4.0 2.2
-------------------------------------------------------------------------------------------------------------------------
Mark D. Balk(14) 0 * 2,986,729 15.0 5.3
-------------------------------------------------------------------------------------------------------------------------
Darline M. Lewis(15) 0 * 960,000 4.8 1.8
-------------------------------------------------------------------------------------------------------------------------
Smith Management Company 0 * 629,840 3.2 1.2
-------------------------------------------------------------------------------------------------------------------------
Marian Realty Company 0 * 288,720 1.4 .5
-------------------------------------------------------------------------------------------------------------------------
</TABLE>
---------------------
12 The beneficial ownership figures for Debra Smith Knez include 13,000 shares
of Common Stock held by a charitable trust 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 13,000
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.
13 The beneficial ownership figures for Brian J. Knez include 13,000 shares of
Common Stock held by a charitable trust of which Brian J. Knez is a trustee, 186
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 13,000 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.
14 The beneficial ownership figure for Mark D. Balk consists of shares of Class
B Stock held by trusts of which Mark D. Balk is a trustee. Mark D. Balk
disclaims beneficial ownership of 2,986,729 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.
15 The beneficial ownership figure for Darline M. Lewis consists of shares of
Class B Stock held by trusts of which Darline M. Lewis is a trustee. Darline M.
Lewis disclaims beneficial ownership of 960,000 shares of Class B Stock. This
report shall not be deemed an admission that Darline M. Lewis is the beneficial
owner of the previously disclaimed shares for purposes of Section 13 or for any
other purpose.
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<PAGE> 27
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Page 27 of 28 Pages
--------------------
Table 5(b)
BENEFICIAL OWNERSHIP OF COMMON STOCK
(assumes conversion of Class B Stock into Common Stock)
(includes both Class B Stock 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 20,738,315 0 20,738,315 0 20,738,315
Richard A. Smith 11,666,476 3,714,923 7,951,553 39,600 11,626,876
Nancy L. Marks 9,719,858 2,269,320 7,450,538 78,550 9,641,308
Susan F. Smith 2,408,142 1,728,745 679,397 45,616 2,362,526
Amy Smith Berylson 719,031 122,774 596,257 121,255 597,776
Robert A. Smith 851,212 395,530 455,682 393,654 457,558
Debra Smith Knez 288,838 15,205 273,633 12,256 276,582
Jeffrey R. Lurie 77,223 77,223 0 10,653 66,570
Cathy J. Lurie 1,600 1,600 0 600 1,000
John G. Berylson 996,368 320 996,048 320 996,048
Dana A. Weiss 916,744 0 916,744 0 916,744
Brian J. Knez 1,195,799 382,445 813,354 382,445 813,354
Jennifer L. Berylson 22,190 22,190 0 0 22,190
Mark D. Balk 2,986,729 0 2,986,729 0 2,986,729
Darline M. Lewis 960,000 0 960,000 0 960,000
Smith Management Company 629,840 0 629,840 0 629,840
Marian Realty Company 288,720 0 288,720 0 288,720
</TABLE>
-27-
<PAGE> 28
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Page 28 of 28 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: June 26, 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 and
Marian Realty Company
ATTENTION: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001).
-28-
