-----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, KPddEO/0+UHITnbmTT/z6sjP2c38dwHxv0G76lKkMJWipYwuGUZM/Sso3oSpMsAa K168R5yqI171CcqPExytCA== 0000728848-99-000002.txt : 19990210 0000728848-99-000002.hdr.sgml : 19990210 ACCESSION NUMBER: 0000728848-99-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARVARD INDUSTRIES INC CENTRAL INDEX KEY: 0000046012 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED RUBBER PRODUCTS, NEC [3060] IRS NUMBER: 210715310 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-20872 FILM NUMBER: 99525385 BUSINESS ADDRESS: STREET 1: 3 WERNER WAY CITY: LEBANON STATE: NJ ZIP: 08833 BUSINESS PHONE: 9084374100 MAIL ADDRESS: STREET 1: 3 WERNER WAY STREET 2: SUITE 960 CITY: LEBANON STATE: NJ ZIP: 08833 FORMER COMPANY: FORMER CONFORMED NAME: HARVARD BREWING CO DATE OF NAME CHANGE: 19710315 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CIBC OPPENHEIMER CORP/ CENTRAL INDEX KEY: 0000728848 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132798343 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 200 LIBERTY ST STREET 2: 1 WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 2126677300 MAIL ADDRESS: STREET 1: 200 LIBERTY ST STREET 2: WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281 FORMER COMPANY: FORMER CONFORMED NAME: OPPENHEIMER & CO INC DATE OF NAME CHANGE: 19920703 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) HARVARD INDUSTRIES INC. (Name of Issuer) Common (Title of Class of Securities) 417434503 (CUSIP Number) Check the following box if a fee is being paid with this statement (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 6 Pages _____________________________________________________________ 13G CUSIP NO. 417434503 PAGE 2 OF 6 PAGES ______________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CIBC OPPENHEIMER CORP. I.R.S. NO. 13-2798343 ______________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) X ______________________________________________________________ 3 SEC USE ONLY ______________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ______________________________________________________________ NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 0 ___________________________________________________________ 6 SHARED VOTING POWER 767,127 ____________________________________________________________ 7 SOLE DISPOSITIVE POWER 0 ____________________________________________________________ 8 SHARED DISPOSITIVE POWER 767,127 ______________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 767,127 ______________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ______________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.30% ______________________________________________________________ 12 TYPE OF REPORTING PERSON HC ______________________________________________________________ PAGE Page 3 of 6 Pages SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Check the following box if a fee is being paid with this Statement Item 1(b) Name of Issuer: Harvard Industries Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 3 Werner Way, Suite 960, Lebanon, NJ 08833 Item 2(a) Name of Person Filing: CIBC Oppenheimer Corp. Item 2(b) Address of Principal Business Office: CIBC Oppenheimer Tower, World Financial Center New York, New York 10281 Item 2(c) Citizenship: Inapplicable Item 2(d) Title of Class of Securities: Common Item 2(e) CUSIP Number: 417434503 Item 3(g) ____X____ Parent Holding Company, in accordance with Section 240.13d - 1(b)(1)(ii)(G). See Exhibit I hereto. Item 4(a) Amount Beneficially Owned: CIBC Oppenheimer Corp. - 767,127 Item 4(b) Percent of Class: CIBC Oppenheimer Corp. - 9.30% PAGE Page 4 of 6 Pages Item 4(c)(i) Sole Power to Vote or to direct the vote - CIBC Oppenheimer Corp. - 0 Item 4(c)(ii) Shared power to vote or to direct the vote - CIBC Oppenheimer Corp. - 767,127 Item 4(c)(iii) Sole power to dispose or to direct the disposition of - CIBC Oppenheimer Corp. - 0 Item 4(c)(iv) Shared power to dispose or to direct the disposition of - CIBC Oppenheimer Corp. - 767,127 Item 5 Ownership of Five Percent or Less of a Class: Inapplicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Exhibit II hereto Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: CIBC Oppenheimer Corp. is an Item 3(a) entity and each of Oppenheimer Horizon Partners, L.P., Oppenheimer Institutional Horizon Partners, L.P. and CIBC Oppenheimer International Horizon Fund II, Ltd. are Item 3(e)entities. Item 8 Identification and Classification of Members of the Group: Inapplicable Item 9 Notice of Dissolution of Group: Inapplicable Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. Date: February 10, 1999 Signature: /s/ Patricia A. Bourdon Name/Title: Patricia A. Bourdon, Secretary Page 5 of 6 Pages EXHIBIT I CIBC Oppenheimer Corp. ("CIBC Oppenheimer"), a full service securities firm headquartered in New York, NY, is a diversified investment banking and securities firm, which owns directly and indirectly a variety of subsidiary companies ("Subsidiaries"), including the companies identified on the exhibit to this Schedule 13G engaged in various aspects of the financial services business. CIBC Oppenheimer is an indirect wholly-owned subsidiary of The Canadian Imperial Bank of Commerce ("CIBC"), a full service financial institution governed by the Bank Act of Canada. Oppenheimer Horizon Partners, L.P. ("Horizon"), Oppenheimer Institutional Horizon Partners, L.P. ("Institutional Horizon"), and CIBC Oppenheimer International Horizon Fund II, Ltd. ("International Horizon") are investment limited partnerships/funds (collectively, the "Horizon Funds") in which clients of CIBC Oppenheimer are solicited to invest. CIBC Oppenheimer or an affiliate of CIBC Oppenheimer is a general partner or general manager of and serves in an investment advisory capacity to the Horizon Funds. The Schedule 13G is being filed by CIBC Oppenheimer as a parent holding company or control person pursuant to the provisions of Rule 13(d) - (1) (b) on behalf of itself and the Subsidiaries and/or certain investment advisory clients or discretionary accounts of the Subsidiaries and relating to their collective beneficial ownership of shares of common stock of the Issuer. Management of the affairs of CIBC Oppenheimer, the Subsidiaries and of certain advisory clients including decisions respecting dispositions and/or voting of the shares of the common stock of the Issuer resides in respective officers and directors of the Subsidiaries and is not directed by CIBC Oppenheimer. Accordingly, the filing of this Schedule 13G by CIBC Oppenheimer is not intended as, and should not be deemed, an acknowledgment of beneficial ownership or shared voting or dispositive power by CIBC Oppenheimer or any intermediary company of the shares of the common stock of the Issuer owned by such Subsidiaries or investment advisory clients of investment advisory clients, such beneficial ownership or attribution of shared voting or dispositive power being disclaimed. MIK8-EXHIBIT.I95 PAGE Page 6 of 6 Pages EXHIBIT II The General Partner of Oppenheimer Horizon Partners, L.P., an investment limited partnership, and certain persons to whom it has delegated the authority, have the power on behalf of Oppenheimer Horizon Partners, L.P. to direct the use of dividends or proceeds of sale of less than five (5%) percent of such securities as disclosed on Page 3 hereof. The General Partner of Oppenheimer Institutional Horizon Partners, L.P., an investment limited partnership, and certain persons to whom it has delegated the authority, have the power on behalf of Oppenheimer Institutional Horizon Partners, L.P. to direct the use of dividends or proceeds of sale of less than five (5%) percent of these securities. The Board of Directors, certain officers and other employees of CIBC Oppenheimer International Horizon Fund II, Ltd., an investment fund, have the power to direct the use of dividends or proceeds of sale of less than five (5%) percent of these securities. The Board of Directors, certain officers and other employees of CIBC Oppenheimer Corp., a registered broker-dealer, have the power to direct the use of dividends or proceeds of sale of less than five (5%) percent of these securities. PAGE -----END PRIVACY-ENHANCED MESSAGE-----