-----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, F73pl6+IPk8IYTCHajjOOi7vIomnU2zIMgfJfYCaHkMEXKdaK+qY6zvQ8t98dBhm TpV6zkkY2PL7IQJ9+sNRtw== /in/edgar/work/0000950135-00-004996/0000950135-00-004996.txt : 20001114 0000950135-00-004996.hdr.sgml : 20001114 ACCESSION NUMBER: 0000950135-00-004996 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20001113 GROUP MEMBERS: AMY SMITH BERYLSON GROUP MEMBERS: BRIAN J. 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 LLC GROUP MEMBERS: MARK D. BALK GROUP MEMBERS: NANCY L. MARKS GROUP MEMBERS: ROBERT A. SMITH GROUP MEMBERS: SMITH MANAGEMENT COMPANY LLC 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: 762347 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 b37394hgsc13da.txt HARCOURT GENERAL, INC. 1 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Harcourt General, Inc. ------------------------------------------------------------------ (Name of Issuer) Common Stock, $1.00 par value ------------------------------------------------------------------- (Title of Class of Securities) 41163G 10 1 ------------------ (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) October 27, 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 29 Pages) 2 CUSIP No. 41163G 10 1 13D Page 2 of 29 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 2,339,336 - ------------------------------------------------------------------------------- NUMBER OF 8. SHARED VOTING POWER SHARES 8,554,181 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 39,600 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 10,843,917 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,883,517 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.5 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP No. 41163G 10 1 13D Page 3 of 29 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 1,825,502 - ------------------------------------------------------------------------------- NUMBER OF 8. SHARED VOTING POWER SHARES 7,894,356 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 9,719,858 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.1 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 CUSIP No. 41163G 10 1 13D Page 4 of 29 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 1,096,827 - ------------------------------------------------------------------------------- NUMBER OF 8. SHARED VOTING POWER SHARES 2,091,542 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 55,295 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 3,133,074 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,188,369 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.6 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 CUSIP No. 41163G 10 1 13D Page 5 of 29 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 2,011,257 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 121,255 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 2,012,776 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,134,031 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.8 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 6 CUSIP No. 41163G 10 1 13D Page 6 of 29 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 1,870,725 SHARES ------------------------------------------------------- BENEFICIALLY OWNED BY 9. SOLE DISPOSITIVE POWER 393,654 EACH ------------------------------------------------------- REPORTING PERSON 10. SHARED DISPOSITIVE POWER 1,872,601 WITH - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,266,255 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.1 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 CUSIP No. 41163G 10 1 13D Page 7 of 29 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 NUMBER OF 15,205 ------------------------------------------------------- SHARES 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 1,688,633 ------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 12,256 PERSON ------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER 1,691,582 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,703,838 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.1 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 8 CUSIP No. 41163G 10 1 13D Page 8 of 29 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 443,818 BENEFICIALLY OWNED BY ------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 10,653 PERSON ------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER 510,388 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 521,041 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .9 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 9 CUSIP No. 41163G 10 1 13D Page 9 of 29 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 444,844 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 600 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 445,844 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 446,444 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .8 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 10 CUSIP No. 41163G 10 1 13D Page 10 of 29 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 2,411,048 BENEFICIALLY OWNED BY ------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 320 PERSON ------------------------------------------------------- WITH 10. SHARED DISPOSITIVE POWER 2,411,048 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,411,368 - ------------------------------------------------------------------------------- 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! 11 CUSIP No. 41163G 10 1 13D Page 11 of 29 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 2,331,774 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 2,331,774 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,331,774 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.2 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 12 CUSIP No. 41163G 10 1 13D Page 12 of 29 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 2,228,387 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 382,445 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 2,228,774 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,610,832 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.7 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 13 CUSIP No. 41163G 10 1 13D Page 13 of 29 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 - ------------------------------------------------------------------------------- 14 CUSIP No. 41163G 10 1 13D Page 14 of 29 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 4,383,587 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 4,383,587 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,383,587 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.4 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 15 CUSIP No. 41163G 10 1 13D Page 15 of 29 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 1,403,818 BENEFICIALLY OWNED BY ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING ------------------------------------------------------- PERSON 10. SHARED DISPOSITIVE POWER WITH 1,403,818 - ------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,403,818 - ------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.5 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 16 CUSIP No. 41163G 10 1 13D Page 16 of 29 Pages - ------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Smith Management Company LLC - ------------------------------------------------------------------------------- (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) 1.1 - ------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- 17 CUSIP No. 41163G 10 1 13D Page 17 of 29 Pages - ------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Marian Realty Company LLC - ------------------------------------------------------------------------------- (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 - ------------------------------------------------------------------------------- 18 Page 18 of 29 Pages This Statement amends and supplements the Statement on Schedule 13D dated January 13, 1987, as amended most recently on June 26, 2000. 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 of the Company. 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. Item 2. Identity and Background. This Amendment No. 6 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 limited liability companies, Smith Management Company LLC and Marian Realty Company LLC (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, The Neiman Marcus Group, Inc., and GC Companies. The address for Susan F. Smith, Nancy L. Marks, Amy Smith Berylson, John G. Berylson, Jennifer L. 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 19 Page 19 of 29 Pages Company, and is 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. 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 LLC is a Delaware limited liability company 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 LLC is a Delaware limited liability company 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 October 27, 2000, the Company entered into an Agreement and Plan of Merger (the "Merger Agreement") with Reed Elsevier Inc. and REH Mergersub Inc. (the "Purchaser"), a wholly owned subsidiary of Reed Elsevier Inc. Pursuant to the Merger Agreement, the Purchaser has commenced a tender offer (the "Offer") for the purchase for cash of all outstanding shares of Common Stock of the Company and all outstanding shares of Series A Cumulative Convertible Stock of the Company. After consummation of the Offer, the Purchaser will be merged (the "Merger") with and into the Company and the Company will become a wholly owned subsidiary of Reed Elsevier Inc. Also on October 27, 2000, and in connection with the Merger Agreement, the Smith Family Group entered a Stockholder Agreement (the "Stockholder Agreement") among the Smith Family 20 Page 20 of 29 Pages Group, Reed Elsevier Inc and the Purchaser. The following is a summary of the Stockholder Agreement, a copy of which is filed as Exhibit 6 hereto. This summary is qualified in its entirety by reference to the complete text of the Stockholder Agreement. Each member of the Smith Family Group has agreed to take the following action with respect to the Subject Shares beneficially owned by it (under the Stockholder Agreement, the "Subject Shares" include all of the Class B shares owned of record or beneficially by members of the Smith Family Group as of October 20, 2000 together with any other Class B Stock acquired by any member of the Smith Family Group by purchase or otherwise and any Common Stock acquired by any member of the Smith Family Group by conversion of Class B Stock, in each case from October 20, 2000 through the end of the term of the Stockholder Agreement): - to convert all of its Subject Shares into Common Stock immediately prior to the expiration of the Offer, provided that Reed Elsevier Inc. and the Purchaser shall have delivered an irrevocable binding notice to the members of the Smith Family Group and the Company that each of the conditions to the Purchaser's obligation to consummate the Offer have been satisfied (or would be satisfied, in the case of the condition (the "Minimum Condition") requiring that not less than a majority of the outstanding shares of Common Stock be tendered, upon such conversion of the Subject Shares and the tender of the shares of Common Stock issuable upon such conversion into the Offer) or waived in accordance with the Merger Agreement (provided the Minimum Condition may not be waived) together with a certificate from the depositary for the Offer setting forth the number of shares of Common Stock validly tendered into the Offer and not withdrawn as immediately prior to such time as practicable; - immediately after such conversion, to tender pursuant to the Offer, and not withdraw, all of the Subject Shares (including all shares of Common Stock issuable upon the conversion of the Subject Shares) promptly upon request of Reed Elsevier Inc. or the Purchaser; - to vote all of its Subject Shares in favor of the approval and adoption of the Merger Agreement and against (1) an "Acquisition Proposal" (as defined below), (2) any extraordinary dividend or distribution by the Company or its subsidiaries, (3) any change in the capital structure of the Company or any of its subsidiaries (other than pursuant to the Merger Agreement) or (4) any other action that would reasonably be expected to, in any material respect, prevent, impede, interfere with, delay, postpone, frustrate the purposes of or attempt to discourage the transactions contemplated by the Merger Agreement; each member of the Smith Family Group has granted to the Purchaser an irrevocable proxy to vote or otherwise use such voting power in the manner contemplated by the foregoing; and 21 Page 21 of 29 Pages - not to sell, pledge or otherwise dispose of any of its Subject Shares (other than (i) transfers to persons who are subject to the Stockholder Agreement or who become bound by the Stockholder Agreement, (ii) transfers of an aggregate total number (including all shares transferred to charitable organizations by all members of the Smith Family Group as of October 27, 2000) of 100,000 shares of Common Stock (including shares transferred by any other member of the Smith Family Group) to charitable organizations or (iii) the transfer of 847,458 Subject Shares in exchange for a $50,000,000 contingent promissory note from the Company. Acquisition Proposal means (i) any tender offer or exchange offer, (ii) merger, consolidation, share exchange, business combination, sale of substantially all of the assets, reorganization, recapitalization, liquidation, dissolution or other similar transaction involving the Company or any of its subsidiaries whose assets, individually or in the aggregate, constitute more than 20% of the consolidated assets or the earning power of the Company or (iii) any acquisition or purchase, direct or indirect, of more than 20% of the consolidated assets of the Company and its subsidiaries or more than 20% of any class of equity or voting securities of the Company or any of its subsidiaries whose assets, individually or in the aggregate, constitute more than 20% of the consolidated assets or earning power of the Company (other than the transactions contemplated by the Merger Agreement). Each member of the Smith Family Group has also agreed not to solicit or initiate any Acquisition Proposal or furnish information to or participate in any discussions or negotiations with any person that is considering making or has made an Acquisition Proposal. The Stockholder Agreement will terminate upon the earlier of the effectiveness of the Merger and the date of the termination of the Merger Agreement in accordance with its terms. This Amendment No. 6 is being filed to reflect the Reporting Persons' support of the Board of Directors' decision to recommend to the Company's stockholders that they tender their shares in the Offer, to describe the Reporting Persons' obligations under the Stockholder Agreement and to confirm the Reporting Persons' intent to fulfill those obligations. 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 October 27, 2000: 55,049,531 shares of Common Stock and 18,111,768 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 17,118,628 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 18,097,180 shares of Class B Stock and 2,642,340 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: 22 Page 22 of 29 Pages 1. Conversion by Richard A. Smith, on October 25, 2000, of 610,000 shares of Class B Stock to 610,000 shares of Common Stock and transfer by Richard A. Smith, on October 25, 2000, of 610,000 shares of Common Stock to Susan F. Smith, Amy Smith Berylson, Robert A. Smith, Debra Smith Knez, John G. Berylson, Dana A. Weiss, and Brian J. Knez, all as trustees of the Richard and Susan Smith Family Foundation. 2. Conversion by Susan F. Smith, on October 25, 2000, of 805,000 shares of Class B Stock to 805,000 shares of Common Stock and transfer by Susan F. Smith, on October 25, 2000, of 805,000 shares of Common Stock to Susan F. Smith, Amy Smith Berylson, Robert A. Smith, Debra Smith Knez, John G. Berylson, Dana A. Weiss, and Brian J. Knez, all as trustees of the Richard and Susan Smith Family Foundation. 3. Conversion by Nancy L. Marks, on October 25, 2000, of 443,818 shares of Class B Stock to 443,818 shares of Common Stock and transfer by Nancy L. Marks, on October 25, 2000, of 443,818 shares of Common Stock to Nancy L. Marks, Cathy Lurie, Eric Cushing, Jeffrey Lurie, Christina Lurie, Darline M. Lewis, and Mark D. Balk, all as trustees of the Nancy Lurie Marks Family Foundation. (d) Not applicable. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Except for (a) the Stockholder Agreement described under Item 4 (which description is incorporated herein by reference), (b) the Smith-Lurie/Marks Family Stockholders' Agreement (dated December 29, 1986), (c) 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, (d) attorney-client relationships between Smith family attorneys Mark D. Balk and Darline M. Lewis and members of the Smith family, (e) 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, (f) 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, and (g) various Powers of Attorney granting Richard A. Smith and Mark D. Balk the authority to execute Schedule 13D and all amendments thereto on behalf of members of the Smith Family Group, there are 23 Page 23 of 29 Pages 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. Item 7. Material to be Filed as Exhibits. Exhibit 1 Agreement and Power of Attorney (incorporated by reference to Agreement and Power of Attorney included in Amendment No. 5 to Schedule 13D filed on June 26, 2000). Exhibit 2 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 3 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 4 Agreement and Power of Attorney (incorporated by reference to Agreement and Power of Attorney included in Schedule 13D filed on January 13, 1987). Exhibit 5 Agreement and Power of Attorney (filed herewith). Exhibit 6 Stockholder Agreement (filed herewith). 24 Page 24 of 29 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 Class B % of Class B % of Common Stock Common Stock Assuming Stock Conversion of Class B Stock(2)(3) - ----------------------------------------------------------------------------------------------------------------------------------- Smith Family Group 2,642,340 4.8 18,097,180 99.9 28.4 Richard A. Smith(4) 22,208 * 10,861,309 60.0 16.5 Nancy L. Marks(5) 443,818 .8 9,276,040 51.2 15.1 Susan F. Smith(6) 1,449,400 2.6 1,738,969 9.6 5.6
- -------- * 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 808 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, 9,741,789 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 LLC and 288,720 shares of Class B Stock held by Marian Realty Company LLC. Richard A. Smith disclaims beneficial ownership of 21,400 shares of Common Stock and 6,508,685 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 443,818 shares of Common Stock held by a family foundation of which Nancy L. Marks is a trustee, 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 LLC. Nancy L. Marks disclaims beneficial ownership of 443,818 shares of Common Stock and 4,408,714 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 1,449,400 shares of Common Stock held by charitable trusts and foundations of which Susan Smith is a trustee and 1,482,142 shares of Class B Stock held by trusts and foundations of which Susan F. Smith is a trustee. Susan F. Smith disclaims beneficial ownership of 1,449,400 shares of Common Stock and 1,040,547 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. 25 Page 25 of 29 Pages
- ----------------------------------------------------------------------------------------------------------------------------------- Shares and Percent of Stock Beneficially Owned (continued) - ----------------------------------------------------------------------------------------------------------------------------------- Group Member Common % of Class B % of Class B % of Common Stock Common Stock Assuming Stock Conversion of Class B Stock - ----------------------------------------------------------------------------------------------------------------------------------- Cathy J. Lurie(7) 444,844 .8 1,600 * .8 Jeffrey R. Lurie(8) 454,471 .8 66,570 .4 .9 Amy Smith Berylson(9) 1,428,000 2.6 706,031 3.9 3.8 John G. Berylson(10) 1,428,320 2.6 983,048 5.4 4.3 Jennifer L. Berylson 0 * 22,190 .1 * Robert A. Smith(11) 1,816,151 3.3 450,104 2.5 4.1 Dana A. Weiss(12) 1,428,000 2.6 903,774 5.0 4.2
- -------- (7) The beneficial ownership figures for Cathy J. Lurie include 444,844 shares of Common Stock held by charitable foundations of which Cathy J. Lurie is a trustee. Cathy J. Lurie disclaims beneficial ownership of 444,844 shares of Common Stock. This report shall not be deemed an admission that Cathy J. 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 Jeffrey R. Lurie include 10,640 shares of Common Stock held by Philadelphia Eagles, Inc., 443,818 shares of Common Stock held by a family foundation of which Jeffrey R. Lurie is a trustee, 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 443,818 shares of Common Stock and 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. (9) The beneficial ownership figures for Amy Smith Berylson include 1,428,000 shares of Common Stock held by a charitable foundation 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 1,428,000 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. (10) The beneficial ownership figures for John G. Berylson include 1,428,000 shares of Common Stock held by a charitable foundation 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 1,428,000 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. (11) The beneficial ownership figures for Robert A. Smith include 1,428,000 shares of Common Stock held by a charitable foundation of which Robert A. Smith is a trustee, 287 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 1,428,000 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. 26 Page 26 of 29 Pages
- ----------------------------------------------------------------------------------------------------------------------------------- Shares and Percent of Stock Beneficially Owned (continued) - ----------------------------------------------------------------------------------------------------------------------------------- Group Member Common % of Class B % of Class B % of Common Stock Common Stock Assuming Stock Conversion of Class B Stock - ----------------------------------------------------------------------------------------------------------------------------------- Debra Smith Knez(13) 1,428,000 2.6 275,838 1.5 3.1 Brian J. Knez(14) 1,810,664 3.3 800,168 4.4 4.7 Mark D. Balk(15) 443,818 .8 3,939,769 21.8 7.4 Darline M. Lewis(16) 443,818 .8 960,000 5.3 2.5 Smith Management Company LLC 0 * 629,840 3.5 1.1 Marian Realty Company LLC 0 * 288,720 1.6 .5
- -------- (12) The beneficial ownership figures for Dana A. Weiss include 1,428,000 shares of Common Stock held by a charitable foundation 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 1,428,000 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. (13) The beneficial ownership figures for Debra Smith Knez include 1,428,000 shares of Common Stock held by a charitable foundation 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 1,428,000 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. (14) The beneficial ownership figures for Brian J. Knez include 1,428,000 shares of Common Stock held by a charitable foundation of which Brian J. Knez is a trustee, 219 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 1,428,000 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. (15) The beneficial ownership figure for Mark D. Balk consists of 443,818 shares of Common Stock held by a charitable foundation of which Mark D. Balk is a trustee, 918,560 shares of Class B Stock indirectly held by business trusts of which Mark D. Balk is a trustee and 3,021,209 shares of Class B Stock held by a foundation and trusts of which Mark D. Balk is a trustee. Mark D. Balk disclaims beneficial ownership of 443,818 shares of Common Stock and 3,939,769 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. (16) The beneficial ownership figure for Darline M. Lewis consists of 443,818 shares of Common Stock held by a charitable foundation of which Darline M. Lewis is a trustee and 960,000 shares of Class B Stock held by trusts of which Darline M. Lewis is a trustee. Darline M. Lewis disclaims beneficial ownership of 443,818 shares of Common Stock and 960,000 shares of Class B Stock. This report shall not be deemed an admission that Darline M. 27 Page 27 of 29 Pages - -------- Lewis is the beneficial owner of the previously disclaimed shares for purposes of Section 13 or for any other purpose. 28 Page 28 of 29 Pages Table 5(b) BENEFICIAL OWNERSHIP OF COMMON STOCK (assumes conversion of Class B Stock into Common Stock) (includes both Class B 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 20,328,618 0 20,328,618 0 20,328,618 Richard A. Smith 10,883,517 2,339,336 8,544,181 39,600 10,843,917 Nancy L. Marks 9,719,858 1,825,502 7,894,356 78,550 9,641,308 Susan F. Smith 3,188,369 1,096,827 2,091,542 55,295 3,133,074 Amy Smith Berylson 2,134,031 122,774 2,011,257 121,255 2,012,776 Robert A. Smith 2,266,255 395,530 1,870,725 393,654 1,872,601 Debra Smith Knez 1,703,838 15,205 1,688,633 12,256 1,691,582 Jeffrey R. Lurie 521,041 77,223 443,818 10,653 510,388 Cathy J. Lurie 446,444 1,600 444,844 600 445,844 John G. Berylson 2,411,368 320 2,411,048 320 2,411,048 Dana A. Weiss 2,331,774 0 2,331,774 0 2,331,774 Brian J. Knez 2,610,832 382,445 2,228,387 382,445 2,228,774 Jennifer L. Berylson 22,190 22,190 0 0 22,190 Mark D. Balk 4,383,587 0 4,383,587 0 4,383,587 Darline M. Lewis 1,403,818 0 1,403,818 0 1,403,818 Smith Management . 629,840 0 629,840 0 629,840 Company LLC Marian Realty 288,720 0 288,720 0 288,720 Company LLC
29 Page 29 of 29 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: November 13, 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 LLC and Marian Realty Company LLC Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). EX-5 2 b37394hgex5.txt POWER OF ATTORNEY 1 Exhibit 5 AGREEMENT AND POWER OF ATTORNEY WHEREAS, the undersigned are beneficial owners, 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 agree 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 constitute and appoint Richard A. Smith and Mark D. Balk and each of them singly, as their true and lawful attorneys, with full power to them, and each of them, to sign for the undersigned 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 their signature as it may be signed by their said attorneys to said Schedule 13D and any and all amendments thereto. REMAINDER OF PAGE INTENTIONALLY BLANK -1- 2 SMITH MANAGEMENT COMPANY LLC MARIAN REALTY COMPANY LLC By: Smith Management Company Trust By: Marian Realty Company Trust ------------------------------ --------------------------- its sole Member its sole Member By: /s/ Richard A. Smith By: /s/ Richard A. Smith ------------------------------ --------------------------- Richard A. Smith Richard A. Smith Trustee of Smith Management Trustee of Marian Realty Company Trust Company Trust By: /s/ Mark D. Balk By: /s/ Nancy L. Marks ------------------------------ --------------------------- Mark D. Balk Nancy L. Marks Trustee of Smith Management Trustee of Marian Realty Company Trust Company Trust By: /s/ Mark D. Balk --------------------------- Mark D. Balk Trustee of Marian Realty Company Trust
-2- EX-6 3 b37394hgex6.txt STOCKHOLDERS AGREEMENT 1 Exhibit 6 STOCKHOLDER AGREEMENT AGREEMENT, dated as of October 27, 2000 among REH Mergersub Inc., a Delaware corporation ("PURCHASER"), Reed Elsevier Inc., a Massachusetts corporation ("PARENT") and each of the other parties signatory hereto (each a "STOCKHOLDER" and collectively the "STOCKHOLDERS"). WHEREAS, Parent, Purchaser and Harcourt General, Inc. (the "COMPANY") have entered into an Agreement and Plan of Merger, dated as of the date hereof (the "MERGER AGREEMENT"; terms defined in the Merger Agreement and not otherwise defined herein being used herein as therein defined), pursuant to which, among other things, the Purchaser will make the Offer and, after consummation thereof, merge with and into the Company (the "MERGER") and each issued and outstanding share (other than shares cancelled pursuant to Section 2.6(c) of the Merger Agreement, Dissenting Shares and shares owned by the Company, Parent or Purchaser) of (i) Company Common Stock will be converted into the Common Stock Merger Consideration and (ii) Series A Stock will be converted into the Series A Stock Merger Consideration. WHEREAS, as of October 20, 2000 the Stockholders owned of record and beneficially 19,955,998 shares (and each Stockholder owned the number of such shares set forth beside such Stockholder's name on the signature page hereto) of Class B Stock (such Class B Stock, together with any (A) other Class B Stock acquired by any Stockholder by purchase or otherwise and (B) Company Common Stock acquired by any Stockholder by conversion of Class B Stock, in each case from October 20, 2000 through the term of this Agreement, are collectively referred to herein as the Stockholders' "SUBJECT SHARES"). WHEREAS, as a condition and inducement to Parent's and Purchaser's willingness to enter into the Merger Agreement, Parent has requested that the Stockholders agree, and each of the Stockholders has agreed, to enter into this Agreement. NOW, THEREFORE, the parties hereto agree as follows: ARTICLE 1 VOTING AGREEMENT; GRANT OF PROXY; AGREEMENT TO TENDER -1- 2 SECTION 1.01. Voting Agreement; Conversion of Class B Stock. (a) Each Stockholder hereby agrees to vote all Subject Shares that such Stockholder is entitled to vote at the time of any vote to approve and adopt the Merger Agreement and the Merger at any meeting of the stockholders of the Company, and at any adjournment thereof, at which the Merger Agreement (or any amended version thereof) and the Merger are submitted for the consideration and vote of the stockholders of the Company. (b) Without limiting the generality of the foregoing, (i) each Stockholder hereby agrees to approve and to take all actions necessary, proper or advisable to effect (including, in the case of clause (B) below, calling and holding a special meeting of the holders of Class B Stock to the extent required under the Company's Restated Certificate, By-Laws or applicable laws) the conversion of all of the Class B Stock into Common Stock pursuant to (A) Article Fourth, Section 4(a) of the Company's Restated Certificate or (B) in the event any Stockholder fails to perform its obligations under this Agreement to effect a conversion in accordance with clause (A) before the expiration of the Offer, under Article Fourth, Section 3(e) of the Company's Restated Certificate (such conversion of all the Class B Stock pursuant to either clause (A) or (B) being referred to hereinafter as a "CLASS B CONVERSION") immediately upon request by Parent or Purchaser; provided that in no event will any Stockholder be required to effect the Class B Conversion until immediately prior to the expiration of the Offer and after Parent and Purchaser shall have delivered an irrevocable binding notice to the Stockholders and the Company that each of the Offer Conditions have been satisfied (or would be satisfied, in the case of the Minimum Condition, upon the Class B Conversion and the tender of the Subject Shares issuable upon such conversion) or waived in accordance with the Merger Agreement together with a certificate of the depositary of the Offer setting forth the number of shares of Company Common Stock validly tendered and not withdrawn in the Offer as immediately prior to such time as practicable and (ii) no Stockholder shall approve, nor take any action that would result in, a Class B Conversion except in accordance with the preceding sentence. (c) Each Stockholder hereby agrees that it shall vote its Subject Shares against the approval of (i) any Acquisition Proposal, (ii) any extraordinary dividend or distribution by the Company or any Subsidiary, (iii) any change in the capital structure of the Company or any Subsidiary (other than pursuant to the Merger Agreement) and (iv) any other action that would reasonably be expected to, in any material respect, prevent, impede, interfere with, delay, postpone, frustrate the purposes of or attempt to discourage the transactions contemplated by the Merger Agreement. 3 (d) Each Stockholder hereby agrees that any agreements among the Stockholders or any of them which could be construed to limit their respective rights to enter into this Agreement or perform hereunder are amended to the full extent necessary to assure that entering into this Agreement and performance hereunder are permitted under each such agreement without breach thereof. SECTION 1.02. Irrevocable Proxy. Each Stockholder hereby irrevocably and unconditionally revokes any and all previous proxies granted with respect to its Subject Shares. By entering into this Agreement, each Stockholder hereby irrevocably and unconditionally grants a proxy appointing Purchaser as such Stockholder's attorney-in-fact and proxy, with full power of substitution, for and in such Stockholder's name, to vote, express, consent or dissent, or otherwise to utilize such voting power in the manner contemplated by Section 1.01 as Purchaser or its proxy or substitute shall, in Purchaser's sole discretion, deem proper with respect to such Stockholder's Subject Shares. The proxy granted by such Stockholder pursuant to this Article 1 is coupled with an interest and is irrevocable and is granted in consideration of Parent and Purchaser entering into this Agreement and the Merger Agreement and incurring certain related fees and expenses. Each Stockholder shall perform such further acts and execute such further documents as may be required to vest in Purchaser the sole power to vote such Stockholder's Subject Shares. Notwithstanding the foregoing, the proxy granted by each Stockholder shall be revoked upon termination of this Agreement in accordance with its terms. SECTION 1.03. Agreement to Tender. Immediately after the Class B Conversion has occurred and prior to the expiration of the Offer, subject to Section 1.01, each Stockholder hereby agrees to validly tender and sell (or cause the record owner of such shares to validly tender and sell) and not withdraw, promptly upon the request of Parent or Purchaser, all of its Subject Shares pursuant to and in accordance with the terms of the Offer. Immediately after the Class B Conversion has occurred and prior to the expiration of the Offer, subject to Section 1.01, each Stockholder shall deliver to the depositary designated in the Offer (i) a letter of transmittal with respect to its Subject Shares complying with the terms of the Offer, (ii) certificates representing such Subject Shares and (iii) all other documents or instruments required to be delivered pursuant to the terms of the Offer. ARTICLE 2 REPRESENTATIONS AND WARRANTIES OF STOCKHOLDERS Each Stockholder, severally and not jointly, represents and warrants to Parent and Purchaser that: 4 SECTION 2.01. Authorization. (a) If such Stockholder is not an individual, the execution, delivery and performance by such Stockholder of this Agreement and the consummation by such Stockholder of the transactions contemplated hereby are within the corporate or similar powers of Stockholder and have been duly authorized by all necessary corporate or similar action. This Agreement constitutes a valid and binding Agreement of such Stockholder. (b) If such Stockholder is married and the Subject Shares set forth on the signature page hereto opposite such Stockholder's name constitute community property under applicable laws, this Agreement has been duly authorized, executed and delivered by, and constitutes the valid and binding agreement of, such Stockholder's spouse. If this Agreement is being executed in a representative or fiduciary capacity, the Person signing this Agreement has full power and authority to enter into and perform this Agreement. SECTION 2.02. Non-Contravention. If such Stockholder is not an individual, the execution, delivery and performance by such Stockholder of this Agreement and the consummation by such Stockholder of the transactions contemplated hereby do not and shall not (i) violate any organizational documents of such Stockholder, (ii) violate any applicable law, rule, regulation, judgment, injunction, order or decree, (iii) require any consent or other action by any Person under, constitute a default under, or give rise to any right of termination, cancellation or acceleration or to a loss of any benefit to which such Stockholder is entitled under any provision of any agreement or other instrument binding on such Stockholder (iv) result in the imposition of any Lien on any asset of Stockholder or (v) violate any other agreement, arrangement or instrument to which such Stockholder is a party or by which such Stockholder (or any of its assets) is bound. SECTION 2.03. Ownership of Subject Shares. Such Stockholder is the record and beneficial owner of the Subject Shares, free and clear of any Lien and any other limitation or restriction (including any restriction on the right to vote or otherwise dispose of the Subject Shares) (other than (i) with respect to the Subject Shares subject to the Pledge Agreements (as defined in Exhibit A) only (the "PLEDGED SHARES"), any limitations or restrictions under such Pledge Agreements and (ii) those which would not impede in any manner such Stockholder's ability to perform this Agreement; provided that, for the avoidance of doubt, any limitation or restriction on such Stockholder's right to transfer or vote such Stockholder's Subject Shares shall be deemed to materially impede such Stockholder's ability to perform this Agreement). None of the Subject Shares is subject to any voting trust or other agreement, arrangement or instrument with respect to the voting of such shares. SECTION 2.04. Pledged Shares. If such Stockholder is a holder of Pledged Shares, that (i) there are no facts, events, conditions, situations or set of 5 circumstances which would reasonably be expected to result in or be the basis for an event of default under the terms of either of the Pledge Agreements and (ii) to such Stockholder's knowledge, there are no facts, events, conditions, situations or set of circumstances which would reasonably be expected to result in or be the basis for an event of default under the terms of the Loan Agreements (as defined in Exhibit A). SECTION 2.05. Total Subject Shares. Except for the Subject Shares set forth beside such Stockholder's name on the signature page hereto or any beneficial interest in Subject Shares that are set forth beside another Stockholder's name on the signature page hereto and except for the Company Common Stock and Options referred to in the immediately following sentence, such Stockholder does not beneficially own any (i) Subject Shares of capital stock or voting securities of the Company, (ii) securities of the Company convertible into or exchangeable for Subject Shares of capital stock or voting securities of the Company or (iii) options or other rights to acquire from the Company any capital stock, voting securities or securities convertible into or exchangeable for capital stock or voting securities of the Company. The Stockholders beneficially own a number of shares of Company Common Stock, including shares issuable upon exercise of Options, not exceeding in the aggregate one million shares (excluding any Subject Shares). SECTION 2.06. Finder's Fees. No investment banker, broker, finder or other intermediary is entitled to a fee or commission from Parent, Purchaser or the Company in respect of this Agreement based upon any arrangement or agreement made by or on behalf of such Stockholder. SECTION 2.07. Reliance by Parent and Purchaser. Such Stockholder understands and acknowledges that Parent and Purchaser is entering into the Merger Agreement in reliance upon such Stockholder's execution and delivery of this Agreement. ARTICLE 3 COVENANTS OF STOCKHOLDERS Each Stockholder hereby covenants and agrees that: SECTION 3.01. No Interference; No Transfers. Except pursuant to the terms of this Agreement, such Stockholder shall not, without the prior written consent of Parent or Purchaser, directly or indirectly, (i) grant any proxies or enter into any voting trust or other agreement or arrangement with respect to the voting of any Subject Shares in a manner inconsistent with the terms of this Agreement, (ii) voluntarily take any action that would or is reasonably likely to (A) make any representation or warranty contained herein untrue or incorrect in any material respect or (B) have the effect in any material respect of preventing such 6 Stockholder from performing its obligations under this Agreement or (iii) voluntarily sell, assign, transfer, encumber or otherwise dispose of, or enter into any contract, option or other arrangement or understanding with respect to the direct or indirect sale, assignment, transfer, encumbrance or other disposition of, any Subject Shares during the term of this Agreement except for transfers (i) to any person or entity who is subject to this Agreement or who becomes bound hereby as a Stockholder by operation of law or by becoming party to and being bound by the terms of this Agreement as a Stockholder incident to such transfer or (ii) to charitable organizations of Company Common Stock converted from Class B Stock provided such Company Common Stock constitutes, in the aggregate (including all shares so transferred to charitable organizations by all Stockholders from the date hereof), not more than 100,000 shares of the outstanding Company Common Stock. For purposes of this Section 3.01, the term "sell" or "sale" or any derivatives thereof shall include (i) a sale, transfer or disposition of record or beneficial ownership, or both and (ii) a short sale with respect to Company Common Stock or substantially identical property, entering into or acquiring an offsetting derivative contract with respect to Company Common Stock or substantially identical property, entering into or acquiring a futures or forward contract to deliver Company Common Stock or substantially identical property or entering into any transaction that has the same effect as any of the foregoing. SECTION 3.02. Other Offers. Such Stockholder shall not, directly or indirectly, (i) take any action to solicit or initiate any Acquisition Proposal or (ii) engage in negotiations with, or disclose any nonpublic information relating to the Company or any of its Subsidiaries or afford access to the properties, books or records of the Company or any of its Subsidiaries to, any Person that may be considering making, or has made, an Acquisition Proposal or has agreed to endorse an Acquisition Proposal. Such Stockholder shall promptly notify Parent and Purchaser after receipt of an Acquisition Proposal or any request for nonpublic information relating to the Company or any of its Subsidiaries or for access to the properties, books or records of the Company or any of its Subsidiaries by any Person that may be considering making, or has made, an Acquisition Proposal and shall advise Purchaser of the status and material details of any such Acquisition Proposal or request. SECTION 3.03. Appraisal Rights. Such Stockholder shall not exercise any rights (including, without limitation, under Section 262 of the General Corporation Law of the State of Delaware) to demand appraisal of any Subject Shares which may arise with respect to the Merger. SECTION 3.04. Pledged Shares. Each of the Stockholders of the Pledged Shares agrees that it will use its reasonable efforts to cause the lenders described in Exhibit A to agree to become party to this Agreement so that such lenders will be bound by the terms and conditions of this Agreement upon an event of default or upon the lenders otherwise becoming entitled to exercise their rights in respect 7 of the Pledged Shares under either of the Pledge Agreements or the Loan Agreements; provided that such Stockholder's efforts pursuant to this Section 3.04 shall not require such Stockholder to offer or grant any financial accommodations to such lenders. SECTION 3.05. Further Assurances. Parent, Purchaser and Stockholder shall each execute and deliver, or cause to be executed and delivered, all further documents and instruments and use its reasonable best efforts to take, or cause to be taken, all actions and to do, or cause to be done, all things necessary, proper or advisable under applicable laws and regulations, to consummate and make effective the transactions contemplated by this Agreement. ARTICLE 4 MISCELLANEOUS SECTION 4.01. Amendments; Termination. Any provision of this Agreement may be amended or waived if, but only if, such amendment or waiver is in writing and is signed, in the case of an amendment, by each party to this Agreement or in the case of a waiver, by the party against whom the waiver is to be effective. This Agreement shall terminate on the earlier of (i) the Effective Time and (ii) the date of termination of the Merger Agreement in accordance with its terms; provided that this Article 4 shall survive any such termination. SECTION 4.02. Expenses. All costs and expenses incurred in connection with this Agreement shall be paid by the party incurring such cost or expense. SECTION 4.03. Successors and Assigns. The provisions of this Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns; provided that no party may assign, delegate or otherwise transfer any of its rights or obligations under this Agreement without the consent of the other parties hereto, except that each of Parent and Purchaser may transfer or assign its rights and obligations to any Affiliate of Parent; provided further that no such transfer or assignment shall relieve Parent or Purchaser of its obligations hereunder. SECTION 4.04. Governing Law. This Agreement shall construed in accordance with and governed by the laws of the State of Delaware. SECTION 4.05. Counterparts; Effectiveness. This Agreement may be signed in any number of counterparts, each of which shall be an original, with the same effect as if the signatures thereto and hereto were upon the same instrument. This Agreement shall become effective when each party hereto shall have received counterparts hereof signed by all of the other parties hereto. 8 SECTION 4.06. Severability. If any term, provision or covenant of this Agreement is held by a court of competent jurisdiction or other authority to be invalid, void or unenforceable, the remainder of the terms, provisions and covenants of this Agreement shall remain in full force and effect and shall in no way be affected, impaired or invalidated. SECTION 4.07. Interpretation. The headings contained in this Agreement are for convenience of reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement. Whenever the words "include," "includes," or "including" are used in this Agreement, they shall be deemed to be followed by the words "without limitation." Other than Section 1.01(d), this Agreement is an agreement between each of the Stockholders, on the one hand, and the Parent and Purchaser, on the other hand, and is not an agreement among the Stockholders. SECTION 4.08. Specific Performance. The parties hereto agree that irreparable damage would occur in the event any provision of this Agreement is not performed in accordance with the terms hereof and that the parties shall be entitled to specific performance of the terms hereof in addition to any other remedy to which they are entitled at law or in equity. SECTION 4.09. Acknowledgment. Each of Parent and Purchaser acknowledges that (i) each Stockholder signs solely in its capacity as the record and/or beneficial (as applicable) owner of the Subject Shares and nothing herein shall limit or affect any actions taken by such Stockholder, or require such Stockholder to take any action, in his or her capacity as an officer or director of the Company including to disclose information acquired solely in his or her capacity as an officer or director, (ii) if the event of default referred to in Exhibit A occurs and the lenders require proxies or otherwise exercise their rights to exercise voting powers over the Pledged Shares, or sell the Pledged Shares, and as a result the Stockholders owning the Pledged Shares are unable to comply with the obligations and covenants as set forth in Article 1 of this Agreement, such noncompliance shall not constitute a breach of this Agreement and (iii) pursuant to Section 3 of the Family Agreement, certain of the Stockholders are required to sell to the Company certain of their Subject Shares and such sale shall not constitute a breach of any of the terms of this Agreement; provided that (A) such sale takes place immediately prior to the expiration of the Offer, (B) prior to such sale the Subject Shares are first converted into Company Common Stock and (C) such sale is otherwise in accordance with the terms and conditions of Section 3 of the Family Agreement. SECTION 4.10. Merger Agreement. (a) (i) The material terms of the Merger Agreement shall not be changed, by amendment or waiver, in a manner materially adverse to the Stockholders without the prior written consent of Stockholders holding a majority of the Subject Shares and (ii) the obligations of the Stockholders hereunder are subject to there not having been any change, by 9 amendment or waiver, by any party to the Merger Agreement to the material terms of the Merger Agreement in a manner materially adverse to the Stockholders without the prior written consent of Stockholders holding a majority of the Subject Shares. For purposes of this Section 4.10(a), each of the following changes, by amendment or waiver (as applicable), in the following terms and conditions of the Offer which require the Company's consent shall, without excluding other possibilities, be deemed to be a change to the material terms of the Merger Agreement in a manner materially adverse to the Stockholders: (A) a waiver by Purchaser of the Minimum Condition; (B) a change in the Outside Date; (C) a change which decreases the price per Share payable in the Offer; (D) a change to the form of consideration payable in the Offer (other than by adding consideration); (E) a reduction in the maximum number of Shares to be purchased in the Offer and (F) an imposition of any condition to the Offer in addition to those set forth in the Merger Agreement. (b) Parent and Purchaser hereby agree to pay for all shares tendered by the Stockholders in accordance with the terms of the Offer. SECTION 4.11. Performance by Parent and Purchaser. Whenever this Agreement requires Parent or Purchaser to take any action, such requirement shall be deemed to include an undertaking of Reed Elsevier plc to cause Parent and Purchaser, as applicable, to take such action. 10 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the day and year first above written. REED ELSEVIER INC. By: /s/ Henry Z. Horbaczewski --------------------------------- Name: Henry Z. Horbaczewski Title: Senior Vice President REH MERGERSUB INC. By: /s/ Henry Z. Horbaczewski --------------------------------- Name: Henry Z. Horbaczewski Title: Vice President 11
Class of Stock Subject Shares STOCKHOLDERS Owned Class B 200,960(1) /s/ Richard A. Smith ------------------------------------- Richard A. Smith Class B 256,827(2) /s/ Susan F. Smith ------------------------------------- Susan F. Smith Class B 1,345,502(3) /s/ Nancy L. Marks ------------------------------------- Nancy L. Marks Class B 629,840 SMITH MANAGEMENT COMPANY LLC* SMITH MANAGEMENT COMPANY TRUST, SOLE MEMBER By: /s/ Richard A. Smith ---------------------------------- Richard A. Smith, Trustee By: /s/ Mark D. Balk ---------------------------------- Mark D. Balk, Trustee
*Successor by merger to Smith Management Company; record ownership in the name of Smith Management Company (1) As of October 20, 2000, the Stockholder owned an additional 610,000 shares which were substantially converted to Common Stock and transferred to the Richard and Susan Smith Family Foundation, described below. (2) As of October 20, 2000, the Stockholder owned an additional 805,000 shares which were substantially converted to Common Stock and transferred to the Richard and Susan Smith Family Foundation, described below. (3) As of October 20, 2000, the Stockholder owned an additional 443,818 shares which were substantially converted to Common Stock and transferred to the Nancy Lurie Marks Family Foundation, described below. 12 Class B 288,720 MARIAN REALTY COMPANY LLC* MARIAN REALTY COMPANY TRUST, SOLE MEMBER By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, Trustee By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, Trustee By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, Trustee *Successor by merger to Marian Realty Company; record ownership in the name of Marian Realty Company Class B 441,595 SUSAN F. SMITH GRANTOR RETAINED ANNUITY TRUST - 15 YEARS By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 224,189 SUSAN F. SMITH GRANTOR RETAINED ANNUITY TRUST - 7 YEARS By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually
13 Class B 318,005 SUSAN F. SMITH GRANTOR RETAINED ANNUITY TRUST - 5 YEARS By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 376,182 NANCY LURIE MARKS GRANTOR RETAINED ANNUITY TRUST By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 378,875 AMY SMITH BERYLSON GRANTOR RETAINED ANNUITY TRUST By: /s/ Amy Smith Berylson --------------------------------------- Amy Smith Berylson, as Trustee and not individually By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually Class B 128,906 AMY SMITH BERYLSON 1998 GRANTOR RETAINED ANNUITY TRUST By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
14 Class B 400,000 AMY SMITH BERYLSON 2000 GRANTOR RETAINED ANNUITY TRUST By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 10,295 J-J-E 1988 TRUST f/b/o JENNIFER L. BERYLSON U/D/T dated 11/1/88 By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 10,295 J-J-E 1988 TRUST f/b/o ELIZABETH s. BERYLSON U/D/T dated 11/1/88 By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
15 Class B 10,295 J-J-E 1988 TRUST f/b/o JAMES T. BERYLSON U/D/T dated 11/1/88 By: /s/ John G. Berylson --------------------------------------- John G. Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 372,438 ROBERT A. SMITH GRANTOR RETAINED ANNUITY TRUST By: /s/ Robert A. Smith --------------------------------------- Robert A. Smith, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 114,966 ROBERT A. SMITH 1998 GRANTOR RETAINED ANNUITY TRUST By: /s/ Dana A. Weiss --------------------------------------- Dana A. Weiss, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
16 Class B 400,000 ROBERT A. SMITH 2000 GRANTOR RETAINED ANNUITY TRUST By: /s/ Dana A. Weiss --------------------------------------- Dana A. Weiss, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 8,185 ROBERT SMITH AND DANA WEISS 1994 CHILDREN'S TRUST f/b/o MADELINE W. SMITH U/D/T dated 12/1/94 By: /s/ Dana A. Weiss --------------------------------------- Dana A. Weiss, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 8,185 ROBERT SMITH AND DANA WEISS 1994 CHILDREN'S TRUST f/b/o RYAN A. SMITH U/D/T dated 12/1/94 By: /s/ Dana A. Weiss --------------------------------------- Dana A. Weiss, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
17 Class B 260,633 DEBRA SMITH KNEZ GRANTOR RETAINED ANNUITY TRUST By: /s/ Debra Smith Knez --------------------------------------- Debra Smith Knez, as Trustee and not individually By: /s/ Brian J. Knez --------------------------------------- Brian J. Knez, as Trustee and not individually Class B 113,485 DEBRA SMITH KNEZ 1998 GRANTOR ANNUITY TRUST By: /s/ Brian J. Knez --------------------------------------- Brian J. Knez, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 400,000 DEBRA SMITH KNEZ 2000 GRANTOR RETAINED ANNUITY TRUST By: /s/ Brian J. Knez --------------------------------------- Brian J. Knez, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
18 Class B 13,025 DEBRA AND BRIAN KNEZ 1988 CHILDREN'S TRUST f/b/o JESSICA M. KNEZ U/D/T dated 11/1/88 By: /s/ Brian J. Knez --------------------------------------- Brian J. Knez, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 13,025 DEBRA AND BRIAN KNEZ 1988 CHILDREN'S TRUST f/b/o ANDREW P. KNEZ U/D/T dated 11/1/88 By: /s/ Brian J. Knez --------------------------------------- Brian J. Knez, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 3,233,104 TRUST U/W/O PHILIP SMITH f/b/o RICHARD A. SMITH By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually
19 Class B 3,233,104 TRUST U/W/O PHILIP SMITH f/b/o NANCY L. MARKS By: /s/ Nancy L Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 166,067 A-D-R TRUST f/b/o DEBRA SMITH KNEZ U/I/T dated 2/9/67 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith, a/k/a Susan M. Smith, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually
20 Class B 610,000 C-J-P TRUST f/b/o CATHY LURIE U/I/T dated 12/10/73 By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 610,000 C-J-P TRUST f/b/o PETER LURIE U/I/T dated 12/10/73 By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 80,000 RICHARD A. SMITH 1976 TRUST f/b/o AMY SMITH BERYLSON U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually Class B 240,000 RICHARD A. SMITH 1976 TRUST f/b/o DEBRA SMITH KNEZ U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually
21 Class B 240,000 RICHARD A. SMITH 1976 TRUST f/b/o ROBERT A. SMITH U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually Class B 40,000 MARIAN SMITH D-R-A 1976 TRUST f/b/o AMY SMITH BERYLSON U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually Class B 120,000 MARIAN SMITH D-R-A 1976 TRUST f/b/o DEBRA SMITH KNEZ U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually Class B 120,000 MARIAN SMITH D-R-A 1976 TRUST f/b/o ROBERT A. SMITH U/D/T dated 12/16/76 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually Class B 320,000 NANCY LURIE MARKS 1976 TRUST f/b/o JEFFREY R. LURIE U/D/T dated 12/16/76 By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually By: /s/ Darline M. Lewis --------------------------------------- Darline M. Lewis, as Trustee and not individually
22 Class B 320,000 NANCY LURIE MARKS 1976 TRUST f/b/o CATHY J. LURIE U/D/T dated 12/16/76 By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually By: /s/ Darline M. Lewis --------------------------------------- Darline M. Lewis, as Trustee and not individually Class B 320,000 NANCY LURIE MARKS 1976 TRUST f/b/o PETER A. LURIE U/D/T dated 12/16/76 By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually By: /s/ Darline M. Lewis --------------------------------------- Darline M. Lewis, as Trustee and not individually Class B 160,000 MARIAN SMITH J-C-P 1976 TRUST f/b/o JEFFREY R. LURIE U/D/T dated 12/16/76 By: /s/ Nancy Lurie Marks --------------------------------------- Nancy Lurie Marks, as Trustee and not individually MARIAN SMITH J-C-P 1976 TRUST f/b/o Class B 160,000 CATHY J. LURIE U/D/T dated 12/16/76 By: /s/ Nancy Lurie Marks --------------------------------------- Nancy Lurie Marks, as Trustee and not individually
23 Class B 160,000 MARIAN SMITH J-C-P 1976 TRUST f/b/o PETER A. LURIE U/D/T dated 12/16/76 By: /s/ Nancy Lurie Marks --------------------------------------- Nancy Lurie Marks, as Trustee and not individually Class B 66,572 RICHARD A. SMITH FAMILY TRUST U/W/O MARIAN J. SMITH f/b/o ROBERT A. SMITH By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually By: /s/ Nancy Lurie Marks --------------------------------------- Nancy L Marks, as Trustee and not individually Class B 66,572 RICHARD A. SMITH FAMILY TRUST U/W/O MARIAN J. SMITH f/b/o DEBRA SMITH KNEZ By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually By: /s/ Nancy L. Marks --------------------------------------- Nancy L Marks, as Trustee and not individually Class B 66,570 NANCY S. LURIE FAMILY TRUST U/W/O MARIAN J. SMITH f/b/o CATHY J. LURIE By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually
24 Class B 99,816 PETER A. LURIE TRUST U/W/O MARIAN J. SMITH By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 34,480 A-D-R CHARITABLE FOUNDATION AND TRUST U/D/T dated 11/1/68 By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith a/k/a Susan M. Smith, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 198,040 MORRIS J. LURIE FAMILY TRUST U/I/T dated 4/15/58 f/b/o CATHY J. LURIE, ET AL. By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 198,040 MORRIS J. LURIE FAMILY TRUST U/I/T dated 4/15/58 f/b/o PETER A. LURIE, ET AL. By: /s/ Nancy L. Marks --------------------------------------- Nancy L. Marks, as Trustee and not individually
25 By: /s/ Richard A. Smith --------------------------------------- Richard A. Smith, as Trustee and not individually Class B 160,000 AMY SMITH BERYLSON 1978 INSURANCE TRUST By: /s/ Amy Smith Berylson --------------------------------------- Amy Smith Berylson, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Class B 70,000 ROBERT A. SMITH 1978 INSURANCE TRUST By: /s/ Robert A. Smith --------------------------------------- Robert A. Smith, as Trustee and not individually By: /s/ Mark D. Balk --------------------------------------- Mark D. Balk, as Trustee and not individually Common 1,415,000* RICHARD AND SUSAN SMITH FAMILY FOUNDATION By: /s/ Susan F. Smith --------------------------------------- Susan F. Smith, as Trustee and not individually
- ------------ * converted from Class B Stock and transferred to Stockholder on October 25, 2000. 26 Common 443,818* NANCY LURIE MARKS FAMILY FOUNDATION By: /s/ Nancy Lurie Marks --------------------------------------- Nancy Lurie Marks, as Trustee and not individually Class B 122,774 /s/ Amy Smith Berylson --------------------------------------- Amy Smith Berylson Class B 22,191 /s/ Amy Smith Berylson --------------------------------------- Amy Smith Berylson, as Guardian of James T. Berylson /s/ John G. Berylson --------------------------------------- John G. Berylson, as Guardian of James T. Berylson Class B 22,191 /s/ Amy Smith Berylson --------------------------------------- Amy Smith Berylson, as Guardian of Elizabeth S. Berylson /s/ John G. Berylson --------------------------------------- John G. Berylson, as Guardian of Elizabeth S. Berylson Class B 22,190 /s/ Jennifer L. Berylson --------------------------------------- Jennifer L. Berylson Class B 7,666 /s/ Robert A. Smith --------------------------------------- Robert A. Smith Class B 15,205 /s/ Debra Smith Knez --------------------------------------- Debra Smith Knez Class B 1,600 /s/ Cathy J. Lurie --------------------------------------- Cathy J. Lurie Class B 33,285 /s/ Jeffrie R. Lurie --------------------------------------- Jeffrie R. Lurie, as Guardian of Julian M.J. Lurie Class B 33,285 /s/ Jeffrey R. Lurie --------------------------------------- Jeffrey R. Lurie, as Guardian of Milena C. Lurie TOTAL 19,955,998
27 For purposes of Section 4.11 only: REED ELSEVIER PLC By: /s/ Henry Z. Horbaczewski ------------------------------------ Name: Henry Z. Horbaczewski Title: Attorney-in-fact 28 EXHIBIT A 1,345,502 shares of Class B Stock owned by Nancy Lurie Marks and 1,250,000 shares of Class B Stock owned by Nancy Lurie Marks and Richard A. Smith not in their individual capacities but as Trustees under the trust established f/b/o Nancy Lurie Marks under Article VIII of the will, dated December 24, 1959 of Philip Smith, are pledged under Pledge Agreements dated May 13, 1994 (the "PLEDGE AGREEMENTS"), to secure certain loans made by certain lenders to finance, in part, the acquisition of the Philadelphia Eagles Football Team (the "PLEDGED SHARES"). If there is an event of default under the terms of the loan agreements relating to such acquisition (the "LOAN AGREEMENTS"), the lenders have the right to vote the Pledged Shares and to require proxies from the pledgers to enable the lenders to exercise voting power over the Pledged Shares. -----END PRIVACY-ENHANCED MESSAGE-----