-----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, IobRZ9eCCY88wHOBiRew7vGsPVRwZoXg+pDuiWOKmh6YI+fONISwwD0HkfU2rRGh yp77OXXJkDLCIbnHvVEUZA== 0000950142-01-000100.txt : 20010223 0000950142-01-000100.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950142-01-000100 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: ADAMS JOHN W GROUP MEMBERS: JOHN W. ADAMS GROUP MEMBERS: PENGO INDUSTRIES, INC. GROUP MEMBERS: PENGO L.L.C. GROUP MEMBERS: SOLVATION INC. 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: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-20872 FILM NUMBER: 1546424 BUSINESS ADDRESS: STREET 1: 3 WERNER WAY #210 STREET 2: C/O HARVARD INDUSTRIES INC CITY: LEBANON STATE: NJ ZIP: 08833 BUSINESS PHONE: 9084374100 MAIL ADDRESS: STREET 1: 3 WERNER WAY #210 STREET 2: C/O HARVARD INDUSTRIES INC 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: ADAMS JOHN W CENTRAL INDEX KEY: 0001006658 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O SMITH MANAGEMENT CO STREET 2: 885 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128885500 MAIL ADDRESS: STREET 1: C/O SMITH MANAGEMENT CO STREET 2: 885 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 0001.txt SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) HARVARD INDUSTRIES, INC. ------------------------ (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE -------------------------------------- (Title of Class of Securities) 417434503 --------- (CUSIP Number) *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 reminder 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). CUSIP NO. 417434503 SCHEDULE 13G Page 2 of 9 --------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person SOLVation Inc. S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 541,354 Beneficially (6) Shared Voting Power 0 Owned by Each (7) Sole Dispositive Power 541,354 Reporting Person (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 541,354 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12. Type of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP NO. 417434503 SCHEDULE 13G Page 3 of 9 --------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Pengo Industries, Inc. S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 541,354 Beneficially (6) Shared Voting Power 0 Owned by Each (7) Sole Dispositive Power 541,354 Reporting Person (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 541,354 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12. Type of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP NO. 417434503 SCHEDULE 13G Page 4 of 9 --------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Pengo L.L.C. S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 541,354 Beneficially (6) Shared Voting Power 0 Owned by Each (7) Sole Dispositive Power 541,354 Reporting Person (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 541,354 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- CUSIP NO. 417434503 SCHEDULE 13G Page 5 of 9 --------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person John W. Adams S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 541,354 Beneficially (6) Shared Voting Power 0 Owned by Each (7) Sole Dispositive Power 541,354 Reporting Person (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 541,354 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- CUSIP NO. 417434503 SCHEDULE 13G Page 6 of 9 --------- AMENDMENT NO. 1 TO SCHEDULE 13G This Amendment No. 1 to Schedule 13G is filed by the undersigned to amend and restate in its entirety the Schedule 13G, dated as of January 12, 1999 (the "Statement") with respect to the shares of common stock, par value $.01 per share (the "Common Stock"), of Harvard Industries, Inc., a Delaware corporation (the "Company"). Item 1. (a) NAME OF ISSUER Harvard Industries, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 3 Werner Way Lebanon, NJ 08833 Item 2. (a) NAMES OF PERSONS FILING SOLVation Inc. ("SOLVation") Pengo Industries, Inc. ("Pengo Inc.") Pengo L.L.C. ("Pengo L.L.C.") John W. Adams ("Adams" and, together with Solvation, Pengo Inc. and Pengo L.L.C., the "Reporting Persons") (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE 885 Third Avenue 34th Floor New York, NY 10022 (c) CITIZENSHIP SOLVation -- Delaware Pengo Inc. -- Texas Pengo L.L.C. -- Delaware Adams -- United States (d) TITLE OF CLASS OF SECURITIES Common Stock, par value $.01 per share (the "Shares") (e) CUSIP NUMBER 417434503 Item 3. This statement is not filed pursuant to either Rule 13d-1(b) or 13d-2(b) or (c). CUSIP NO. 417434503 SCHEDULE 13G Page 7 of 9 --------- Item 4. OWNERSHIP Name of Reporting Person: SOLVation (a) Amount beneficially owned: 541,354 (b) Percent of class: 5.4% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 541,354 (ii) Shared power to vote or to direct the 0 vote: (iii) Sole power to dispose or to direct the 541,354 disposition of: (iv) Shared power to dispose or to direct the 0 disposition: Name of Reporting Person: Pengo Inc. (a) Amount beneficially owned: 541,354 (b) Percent of class: 5.4% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 541,354 (ii) Shared power to vote or to direct the 0 vote: (iii) Sole power to dispose or to direct the 541,354 disposition of: (iv) Shared power to dispose or to direct the 0 disposition: Name of Reporting Person: Pengo L.L.C. (a) Amount beneficially owned: 541,354 (b) Percent of class: 5.4% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 541,354 (ii) Shared power to vote or to direct the 0 vote: (iii) Sole power to dispose or to direct the 541,354 disposition of: (iv) Shared power to dispose or to direct the 0 disposition:
CUSIP NO. 417434503 SCHEDULE 13G Page 8 of 9 --------- Name of Reporting Person: Adams (a) Amount beneficially owned: 541,354 (b) Percent of class: 5.4% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 541,354 (ii) Shared power to vote or to direct the 0 vote: (iii) Sole power to dispose or to direct the 541,354 disposition of: (iv) Shared power to dispose or to direct the 0 disposition:
Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. Item 7. IDENTIFICATION AND CLASSIFICATION OF SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP See Item 4. Item 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. Item 10. CERTIFICATION Not applicable. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] CUSIP NO. 417434503 SCHEDULE 13G Page 9 of 9 --------- SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated as of February 14, 2001 SOLVATION INC. By: /s/ John W. Adams ------------------------------------- Name: John W. Adams Title: President PENGO INDUSTRIES, INC. By: /s/ John W. Adams ------------------------------------- Name: John W. Adams Title: President PENGO, L.L.C. By: /s/ John W. Adams ------------------------------------- Name: John W. Adams Title: Managing Member /s/ John W. Adams ------------------------------------------ John W. Adams -----END PRIVACY-ENHANCED MESSAGE-----