-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Uw+CwSdK0ac+oodcPhztNeqmtY/mx3Gk0QikxXefGEv3D0+DRohZ7kzcSYlUzC4F 4Ot/iqA82FAHxvZk+ffb8A== /in/edgar/work/20000626/0000950135-00-003338/0000950135-00-003338.txt : 20000920 0000950135-00-003338.hdr.sgml : 20000920 ACCESSION NUMBER: 0000950135-00-003338 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000626 GROUP MEMBERS: AMY SMITH BERYLSON GROUP MEMBERS: BRIAN S. KNEZ GROUP MEMBERS: CATHY J. LURIE GROUP MEMBERS: DANA A. WEISS GROUP MEMBERS: DARLINE M. LEWIS GROUP MEMBERS: DEBRA SMITH KNEZ GROUP MEMBERS: JEFFREY R. LURIE GROUP MEMBERS: JENNIFER L. BERYLSON GROUP MEMBERS: JOHN G. BERYLSON GROUP MEMBERS: MARIAN REALTY COMPANY GROUP MEMBERS: MARK D. BALK GROUP MEMBERS: NANCY MARKS GROUP MEMBERS: ROBERT A. SMITH GROUP MEMBERS: SMITH MANAGEMENT COMPANY GROUP MEMBERS: SMITH RICHARD A GROUP MEMBERS: SUSAN F. SMITH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARCOURT GENERAL INC CENTRAL INDEX KEY: 0000040493 STANDARD INDUSTRIAL CLASSIFICATION: [5311 ] IRS NUMBER: 041619609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-12340 FILM NUMBER: 660497 BUSINESS ADDRESS: STREET 1: 27 BOYLSTON ST BOX 1000 CITY: CHESTNUT HILL STATE: MA ZIP: 02467 BUSINESS PHONE: 6172328200 MAIL ADDRESS: STREET 1: 27 BOYLSTON ST STREET 2: BOX 1000 CITY: CHESTNUT HILL STATE: MA ZIP: 02467 FORMER COMPANY: FORMER CONFORMED NAME: GENERAL CINEMA CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MID WEST DRIVE IN THEATRES INC DATE OF NAME CHANGE: 19660907 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH RICHARD A CENTRAL INDEX KEY: 0000940274 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 27 BOYLSTON STREET CITY: CHESTNUT HILL STATE: MA ZIP: 02167 BUSINESS PHONE: 6172328200 MAIL ADDRESS: STREET 1: PO BOX 1000 CITY: CHESTNUTHILL STATE: MA ZIP: 02167 SC 13D/A 1 sc13da.txt HARCOURT GENERAL, INC. 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) 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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- 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! -17- 18 -------------------- Page 18 of 28 Pages -------------------- 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 -18- 19 -------------------- Page 19 of 28 Pages -------------------- 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. -19- 20 -------------------- 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. -20- 21 -------------------- Page 21 of 28 Pages -------------------- 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- 22 -------------------- Page 22 of 28 Pages -------------------- 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- 23 -------------------- 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- 24 -------------------- Page 24 of 28 Pages -------------------- Table 5(a) BENEFICIAL OWNERSHIP OF SHARES AND PERCENTAGE OF COMMON STOCK AND CLASS B STOCK
- ------------------------------------------------------------------------------------------------------------------------- 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) - ------------------------------------------------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------------------------------------------------
- --------------------- * 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- 25 -------------------- Page 25 of 28 Pages --------------------
- ------------------------------------------------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------------------------------------------------
- ----------------------------- 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- 26 -------------------- Page 26 of 28 Pages --------------------
- ------------------------------------------------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------------------------------------------------
- --------------------- 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. -26- 27 -------------------- 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))
SOLE SHARED SOLE SHARED BENEFICIAL VOTING VOTING DISPOSITIVE DISPOSITIVE OWNERSHIP POWER POWER POWER POWER ---------- --------- ---------- ----------- ----------- 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
-27- 28 -------------------- 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- EX-99.4 2 ex99-4.txt AGREEMENT AND POWER OF ATTORNEY 1 Exhibit 99.4 AGREEMENT AND POWER OF ATTORNEY WHEREAS, the undersigned is a beneficial owner, as determined pursuant to Rule 13d-3 of the General Rules and Regulations of the Securities Exchange Act of 1934, as amended, of certain shares of Class B Stock of Harcourt General, Inc. ("Class B Stock"), that are covered by the Smith-Lurie/Marks Family Stockholders' Agreement dated as of December 29, 1986, as amended (the "Stockholders' Agreement"). WHEREAS, pursuant to the terms of the Stockholders' Agreement, certain individuals, trustees and corporations, including the undersigned (collectively the "Smith Family Group"), have agreed to act together for certain purposes, including acquiring, holding and disposing of Class B Stock. NOW THEREFORE, the undersigned agrees that: 1. A joint statement containing the information required by Schedule 13D shall be filed with the Securities and Exchange Commission on behalf of each of the members of the Smith Family Group. 2. The undersigned hereby severally constitutes and appoints Richard A. Smith and Mark D. Balk and each of them singly, my true and lawful attorneys, with full power to them, and each of them, to sign for me in my name the Schedule 13D relating to the shares of Class B Stock covered by the Stockholders' Agreement and any other shares required to be reported on such Schedule 13D, and any and all amendments thereto filed or to be filed with the Securities and Exchange Commission, hereby ratifying and confirming my signature as it may be signed by my said attorneys to said Schedule 13D and any and all amendments thereto. /s/ Jennifer L. Berylson ------------------------ Jennifer L. Berylson -1- -----END PRIVACY-ENHANCED MESSAGE-----