SC 13D/A 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3) dick clark productions, inc. (Name of Issuer) Common Stock - $.01 par value (Title of Class of Securities) 18151200 (CUSIP Number) Jerrold N. Fine (203) 226-7591 Charter Oak Partners, P.O. Box 5147, Westport, CT 06881-5147 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 5, 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 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 __. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting 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.) 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 ("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 2 of 8 Pages SCHEDULE 13D/A CUSIP No. 18151200 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CHARTER OAK PARTNERS ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] ------------------------------------------------------------------------------ 3. SEC USE ONLY ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS WC ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION CONNECTICUT ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 811,700 EACH ----------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER 811,700 ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 811,700 ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.7% ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON PN ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 8 Pages SCHEDULE 13D/A CUSIP No. 18151200 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON FINE PARTNERS, L.P. ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] ------------------------------------------------------------------------------ 3. SEC USE ONLY ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS AF ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 811,700 EACH ----------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER 811,700 ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 811,700 ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.7% ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON PN ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 8 Pages SCHEDULE 13D/A CUSIP No. 18151200 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JERROLD N. FINE ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] ------------------------------------------------------------------------------ 3. SEC USE ONLY ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS AF ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER OWNED BY 811,700 EACH ----------------------------------------------------------- REPORTING 9. SOLE DISPOSITIVE POWER PERSON 0 WITH ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER 811,700 ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 811,700 ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.7% ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 8 Pages 13D/A This Amendment No. 3 amends the statement on Schedule 13D which was filed on June 20, 1997 by the undersigned and amended pursuant to Amendment No. 1 to the Schedule 13D which was filed on May 24, 1999 and Amendment No. 2 to the Schedule 13D which was filed on December 21, 1999 (as amended, the "Schedule 13D") and with respect to the common stock, $.01 par value per share (the "Common Stock"), issued by dick clark productions, inc., a Delaware corporation (the "Company"). This Amendment does not relate to the Company's Class A Common Stock. Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13D. Item 3 is hereby supplemented as follows: Item 3. Source and Amount of Funds or Other Consideration The net investment cost (including commissions, if any) of the shares of Common Stock purchased by Charter Oak since the filing of Schedule 13D is $8,537,786.00. Item 5 is hereby amended and restated as follows: Item 5. Interest in Securities of the Issuer. (a) The approximate aggregate percentage of shares of Common Stock reported beneficially owned by each person herein is based upon 9,280,547 shares outstanding, which is the total number of shares of Common Stock outstanding as of September 20, 2000, as reflected in the Company's quarterly report on Form 10-Q filed with the Securities and Exchange Commission (the "Commission") for the fiscal quarter ended June 30, 2000 (which is the most recent Form 10-Q on file). As of the close of business on October 5, 2000: (i) Charter Oak owns beneficially 811,700 shares of Common Stock, constituting approximately 8.7% of the shares outstanding. (ii) (A) The General Partners of Charter Oak own no shares of Common Stock directly. (B) By reason of the provisions of Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the "Act") Fine Partners, L.P. and Jerrold N. Fine may be deemed to own beneficially the 811,700 shares of Common Stock owned by Charter Oak. Page 6 of 8 Pages 13D/A (b) Charter Oak, Fine Partners, L.P. and Jerrold N. Fine share power to vote and dispose of the shares of Common Stock owned by Charter Oak. (c) The trading dates, number of shares of Common Stock purchased or sold and price per share for all transactions in the Common Stock from the 60th day prior to October 5, 2000 until October 5, 2000 by Charter Oak is set forth in Schedule A. (d) No person other than each respective record owner of shares of Common Stock referred to herein is known to have the right to receive or the power to direct the receipt of dividends from or the proceeds of sale of such shares of Common Stock. Page 7 of 8 Pages SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. DATED: October 11, 2000 /s/ Jerrold N. Fine, individually JERROLD N. FINE FINE PARTNERS, L.P. /s/ Jerrold N. Fine Jerrold N. Fine, as General Partner of Fine Partners, L.P. CHARTER OAK PARTNERS /s/ Robert Jaffee Robert Jaffee, as General Partner of Charter Oak Partners Page 8 of 8 Pages SCHEDULE A CHARTER OAK PARTNERS Transactions in the Common Stock Date of Number of Price Per Share Transaction Shares Purchased/(Sold) (including commissions, if any) 08/08/00 500 $11.5600 08/10/00 2,500 $11.3100 08/24/00 3,000 $11.0808 08/25/00 2,500 $11.0600 08/31/00 4,000 $10.9194 09/22/00 1,500 $10.9350 09/25/00 4,800 $10.7345 09/27/00 2,500 $ 9.9350 09/28/00 2,800 $10.1850 09/29/00 17,200 $ 9.6890 10/05/00 1,500 $ 9.0183