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- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION
FORM 4 WASHINGTON, D.C. 20549
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/ / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
LONGER SUBJECT TO
SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or
CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940
INSTRUCTION 1(b).
(Print or Type Responses)
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<S><C>
1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
Director X 10% Owner
Knowledge Capital Investment Group Franklin Covey Co. (NYSE: FC) ---- ----
- --------------------------------------------------------------------------------------------- Officer (give Other
(Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- (specify
Number of Reporting Month/Year below) below
Person (Voluntary) ----------------- ------------------
4200 Chase Tower West, 2200 Ross Avenue October-November, 1999
- -------------------------------------------- --------------------- 7. Individual or Joint/Group Filing
(Street) 5. If Amendment, (Check Applicable Line)
Date of Original _X_Form filed by One Reporting Person
(Month/Year) ___Form filed by More than One
Dallas TX 75201 Reporting Person
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(City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature
(Instr. 3) action action or Disposed of (D) Securities ship of In-
Date Code (Instr. 3, 4 and 5) Beneficially Form: direct
(Instr. 8) Owned at Direct Bene-
(Month/ End of (D) or ficial
Day/ ------------------------------------------- Month Indirect Owner-
Year) (A) or (I) ship
Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4)
and 4)
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Common Stock, $0.05 per value 10/21/99 P 9,000 A $7.64 6,340,872(1) D
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Common Stock, $0.05 per value 10/22/99 P 7,000 A $7.60 6,340,872(1) D
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Common Stock, $0.05 per value 10/25/99 P 25,000 A $7.77 6,340,872(1) D
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Common Stock, $0.05 per value 10/28/99 P 12,000 A $8.13 6,340,872(1) D
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Common Stock, $0.05 per value 10/29/99 P 25,000 A $8.13 6,340,872(1) D
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Common Stock, $0.05 per value 11/1/99 P V 25,000 A $8.19 6,340,872(1) D
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Common Stock, $0.05 per value 11/2/99 P V 40,100 A $8.31 6,340,872(1) D
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Common Stock, $0.05 per value 11/3/99 P V 8,500 A $8.50 6,340,872(1) D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 (7-97)
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FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer-
(Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex-
Exercise Date (Instr. 8) quired (A) or Dis- piration Date
Price of (Month/ posed of (D) (Month/Day/
Deriv- Day/ (Instr. 3, 4, and 5) Year)
ative Year)
Security
--------------------
Date Expira-
-------------------------------------- Exer- tion
cisable Date
Code V (A) (D)
<S> <C> <C> <C> <C> <C> <C> <C> <C>
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Series A Preferred $14.00 9/15/99 J(1) 18,750(1) Immed.
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7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature
lying Securities of of Deriv- ship of In-
(Instr. 3 and 4) Deriv- ative Form direct
ative Securi- of De- Bene-
Secur- ties rivative ficial
ity Bene- Secu- Own-
(Instr. ficially rity: ership
5) Owned Direct (Instr. 4)
at End (D) or
Amount or of Indi-
Title Number of Month rect (I)
Shares (Instr. 4) (Instr. 4)
<S> <C> <C> <C> <C> <C> <C>
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Common Stock 5,491,072 -(1) 768,750 D
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Explanation of Responses:
(1) The amount of securities beneficially owned at the end of the month includes
5,491,072 shares of Common Stock issuable upon conversion of 768,750 shares Series A
Preferred Stock, including 18,750 shares of Series A Preferred Stock issued
on September 15, 1999 to the Reporting Person as a payment-in-kind dividend,
and 849,800 shares of Common Stock acquired on the dates set forth in
Amendment No. 3, filed on November 15, 1999, to the Schedule 13D filed on
June 14, 1999.
Robert A. Whitman, Donald J. McNamara and Brian Krisak, each of whom is a principal
of the private investment firm that sponsors the Reporting Person, are members of the
Board of Directors of the Company and may be deemed to beneficially own the securities
of the Company held by the Reporting Person. Mr. Whitman, Mr. McNamara and Mr. Krisak each
expressly disclaims any beneficial ownership of such securities.
By: /s/ Kym Irvin
-----------------------------------
**Intentional misstatements or omissions of facts constitute **Signature of Reporting Person
Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Dated November 15, 1999
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, SEE Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the a form
displays a currently vialid OMB Number.
Page 2
SEC 1474 (7-97)
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