-----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, AFwESirYxPSLjc1BGrYnfqtAs4vkrGkkFVxkdrFt6rlrGk4ovWIep25X+Qwrq0ci PdZCR9VQFaf/uNxCAWXAqw== 0000896415-97-000085.txt : 19970704 0000896415-97-000085.hdr.sgml : 19970704 ACCESSION NUMBER: 0000896415-97-000085 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970703 SROS: NASD 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-20872 FILM NUMBER: 97636228 BUSINESS ADDRESS: STREET 1: 2502 N ROCKY POINT DR STE 960 CITY: TAMPA STATE: FL ZIP: 33607 BUSINESS PHONE: 8132885000 MAIL ADDRESS: STREET 1: 2502 N ROCKY POINT DRIVE STREET 2: SUITE 960 CITY: TAMPA STATE: FL ZIP: 33607 FORMER COMPANY: FORMER CONFORMED NAME: HARVARD BREWING CO DATE OF NAME CHANGE: 19710315 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMBRO J O & PARTNERS LTD CENTRAL INDEX KEY: 0000940755 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: X0 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10 PARK PLACE CITY: LONDON STATE: X0 MAIL ADDRESS: STREET 1: 10 PARK PLACE STREET 2: SW1A1LP CITY: LONDON STATE: X0 SC 13D/A 1 SCHEDULE 13D AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 5)* HARVARD INDUSTRIES, INC. ---------------------------------------------------------------- (Name of issuer) Common Stock, par value $.01 per share ---------------------------------------------------------------- (Title of class of securities) 417434305 ----------------------------- (CUSIP number) R.C.O. Hellyer J O Hambro & Company Limited 10 Park Place London SW1A 1LP England 011-44-171-222-2020 ------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) June 26, 1997 ------------------------------------------------------ (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box /__/. NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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 (the "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). Page 1 of 12 Pages 13D CUSIP No. 417434305 Page 2 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J O Hambro & Partners Limited No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 345,000 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 345,000 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.9% 14. TYPE OF REPORTING PERSON* IA, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 3 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Growth Financial Services Limited No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 191,440 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 191,440 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 191,440 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.7% 14. TYPE OF REPORTING PERSON* CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 4 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS North Atlantic Smaller Companies Investment Trust plc No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 191,440 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 191,440 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 191,440 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.7% 14. TYPE OF REPORTING PERSON* IV, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 5 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Christopher Harwood Bernard Mills No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 345,000 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 345,000 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.9% 14. TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 6 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J O Hambro Investment Management Limited No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 0 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 0 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% 14. TYPE OF REPORTING PERSON* IA, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 7 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J O Hambro & Company Limited No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 345,000 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 345,000 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.9% 14. TYPE OF REPORTING PERSON* HC, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 8 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J O Hambro Asset Management Limited No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 345,000 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 345,000 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 345,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.9% 14. TYPE OF REPORTING PERSON* HC, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! 13D CUSIP No. 417434305 Page 9 of 12 Pages 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS American Opportunity Trust plc No S.S. or IRS Identification Number (a) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) X 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6. CITIZENSHIP OR PLACE OF ORGANIZATION England 7. SOLE VOTING POWER NUMBER OF 0 SHARES 8. SHARED VOTING POWER BENEFICIALLY 123,560 OWNED BY 9. SOLE DISPOSITIVE POWER EACH 0 REPORTING 10. SHARED DISPOSITIVE POWER PERSON 123,560 WITH 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 123,560 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.8% 14. TYPE OF REPORTING PERSON* IV, CO *SEE INSTRUCTIONS BEFORE FILLING OUT! AMENDMENT NO. 5 TO STATEMENT ON SCHEDULE 13D This Amendment No. 5 to Statement on Schedule 13D (the "Amendment") amends Item 5 of the Statement on Schedule 13D (the "Schedule 13D") filed on September 19, 1994 with the Securities and Exchange Commission (the "SEC") by the Filing Parties, as amended by Amendment No. 1 filed with the SEC on October 12, 1994, as further amended by Amendment No. 2 filed with the SEC on October 26, 1994, as further amended by Amendment No. 3 filed with the SEC on March 27, 1997, and as further amended by Amendment No. 4 filed with the SEC on June 20, 1997. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. No changes except that Items 5(a-c, e) are replaced with the following: (a) - (b) The aggregate number and percentage of the outstanding Common Stock of the Company beneficially owned by each of the Filing Parties are as follows:
Number of Number of Number of Shares: Shares: Sole Filing Aggregate Shares: Sole Shared or Shared Party Number of Power to Power to Power to Approximate Shares: Vote Vote Dispose Percentage* J O Hambro 345,000 0 345,000 345,000 4.9% & Partners J O Hambro 345,000 0 345,000 345,000 4.9% & Company J O Hambro Asset 345,000 0 345,000 345,000 4.9% Management J O Hambro 0 0 0 0 0% Investment NASCIT 191,440 0 191,440 191,440 2.7% American 123,560 0 123,560 123,560 1.8% Opportunity Trust GFS 191,440 0 191,440 191,440 2.7% Christopher Mills 345,000 0 345,000 345,000 4.9% - ------------- * Based on 7,026,587 shares of Common Stock, par value $.01 per share outstanding as of May 1, 1997, which is based on information reported in the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 1997.
Page 10 of 12 Pages (c) Since June 20, 1997, the Filing Parties effected no transactions in the Common Stock other than those set forth in the following table:
No. of Price Date Filing Party Shares (US$) Broker 6/12/97 NASCIT 24,320 0.5625 Johnson Investment Services 6/12/97 AOT 15,680 0.5625 Johnson Investment Services 6/25/97 NASCIT 6,080 0.531 Johnson Investment Services 6/25/97 AOT 3,920 0.531 Johnson Investment Services 6/26/97 NASCIT 24,320 0.53125 Johnson Investment Services 6/26/97 AOT 15,680 0.53125 Johnson Investment Services
All of the above transactions were effected in the open market and were sales. (e) On June 26, 1997, the Filing Parties ceased to beneficially own more than five percent of the outstanding Common Stock. Page 11 of 12 Pages 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: 1 July 1997 J O HAMBRO & PARTNERS LIMITED By: /s/ R C O HELLYER ____________________________ Name: R C O Hellyer Title: Director Executed on behalf of the parties hereto pursuant to the previously filed Joint Filing Agreement. Page 12 of 12 Pages -----END PRIVACY-ENHANCED MESSAGE-----