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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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FORM 3 OMB APPROVAL
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OMB Number: 3235-0104
Expires: September 30, 1998
Estimated average burden
hours per response......0.5
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES ---------------------------
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
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(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date
Statement Trading Symbol of Original
Guez Paul (Month/Day/Year) (Month/Day/Year)
- ---------------------------------------- The Harvey Entertainment Company ( )
(Last) (First) (Middle) April 26, 1999 ---------------------------------- -----------------------
c/o Azteca Production International Inc., ---------------------------- 5. Relationship of Reporting 7. Individual or Joint/
5804 E. Slauson Avenue 3. IRS or Social Security Person(s) to Issuer Group Filing (Check
- ---------------------------------------- Number of Reporting (Check all applicable) applicable line)
(Street) Person (Voluntary)
Director X 10% Owner X Form filed by
Commerce CA 90040 ---------------------------- ----- ----- ----- One Reporting
- ---------------------------------------- Person
(City) (State) (Zip) Officer Other
----- (give title ----- (specify Form filed by
below) below) ----- More than One
Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect
(Instr. 4) Beneficially Owned Direct (D) or Beneficial
(Instr. 4) Indirect (I) Ownership (Instr. 4)
(Instr. 5)
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1
*If the form is filed by more than one Reporting Person, see Instruction 5(b)(v). SEC 1473 (7-96)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative Security 2. Date Exercisable 3. Title and Amount of 4. Conversion 5. Ownership 6. Nature of
(Instr. 4) and Expiration Securities Underlying or Exercise Form of Indirect
Date (Month/ Derivative Security Price of Derivative Beneficial
Day/Year) (Instr. 4) Derivative Security: Ownership
------------------------------------------------- Security Direct (D) (Instr. 5)
Date Expira- Title Amount or or Indirect(I)
Exercis- tion Number of (Instr. 5)
able Date Shares
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Series A Convertible
Preferred Stock(1) 10-26-99 (1) Common Stock 437,214 (1) D
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Common Stock Purchase Warrants
(Series A, B and C)(2) 10-26-99 (2) Common Stock 208,323 (2) D
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Explanation of Responses:
(1) As of the date hereof, Mr. Guez owns 29,512 shares of the Series A Convertible Preferred Stock (the "Series A Preferred
Stock") of The Harvey Entertainment Company (the "Issuer"). The Series A Preferred Stock is convertible into shares of the
Issuer's Common Stock at any time after October 26, 1999 and prior to the business day next preceding the redemption date
of the Series A Preferred Stock, which date may be fixed by the Issuer at any time after April 26, 2004, at $6.75 per
share.
(2) As of the date hereof, Mr. Guez owns 69,441 Series A Warrants, 69,441 Series B Warrants and 69,441 Series C Warrants. Each
Common Stock Purchase Warrant of the Issuer entitles the holder thereof to purchase, after October 26, 1999, one share of
the Issuer's Common Stock as follows: (i) in the case of the Series A Warrants, at $9.00 per share, prior to April 26,
2005; (ii) in the case of the Series B Warrants, at $11.00 per share, prior to April 26, 2006; and (iii) in the case of the
Series C Warrants, at $12.00 per share, prior to April 26, 2007.
/s/ PAUL GUEZ May 6, 1999
**Intentional misstatements or omissions of facts constitute Federal Criminal ------------------------------- ------------------
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date
Paul Guez
Note: File three copies of this form, one of which must be manually signed.
If space provided 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 form displays
a currently valid OMB Number Page 2
SEC 1473 (7-96)
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