U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Knowledge Capital Investment Group
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(Last) (First) (Middle)
4200 Chase Tower West, 2200 Ross Avenue
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(Street)
Dallas TX 75201
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Franklin Covey Co. (NYSE: FC)
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
December, 1999
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
|_| Director |X| 10% Owner
|_| Officer (give title below) |_| Other (specify below)
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7. Individual or Joint/Group Filing (Check Applicable Line)
|X| Form filed by one Reporting Person
|_| Form filed by more than one Reporting Person
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ---------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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Common Stock,
$0.05 per value 12/06/99 P 50,000 A $7.240 6,506,074(1) D
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Common Stock,
$0.05 per value 12/07/99 P 43,000 A $7.263 6,506,074(1) D
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Common Stock,
$0.05 per value 12/08/99 P 5,602 A $7.079 6,506,074(1) D
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Common Stock,
$0.05 per value 12/09/99 P 16,900 A $6.979 6,506,074(1) D
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Common Stock,
$0.05 per value 12/10/99 P 1,100 A $7.000 6,506,074(1) D
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Common Stock,
$0.05 per value 12/13/99 P 48,600 A $7.131 6,506,074(1) D
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
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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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<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- Form of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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</TABLE>
Explanation of Responses:
(1) The amount of securities beneficially owned at the end of the month
includes (i) 5,491,072 shares of Common Stock issuable upon conversion of
768,750 shares Series A Convertible Preferred Stock and 849,800 shares of Common
Stock acquired on the dates set forth in Amendment No. 3, filed on November 12,
1999, to the Schedule 13D filed on June 14, 1999, and (ii) the 165,202 shares of
common stock reported on this Form 4 .
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.
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
/s/ Kym Irvin January 13, 2000
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** Signature of Reporting Person Date
Note: File three copies of this Form, one of which must be manually signed. If
space provided is insufficient, see Instruction 6 for procedure.
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