-----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, PgD5XQ8yPxWC6KLVjMbHeuHkVeaEzySfLTtBXSXYMFeex1EDOHKqP//uJvJ8lcSg oTEtOhHsQ5xNiI5h2eS4+w== 0000950116-97-001371.txt : 19970731 0000950116-97-001371.hdr.sgml : 19970731 ACCESSION NUMBER: 0000950116-97-001371 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970730 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARMONY HOLDINGS INC CENTRAL INDEX KEY: 0000878246 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812] IRS NUMBER: 954333330 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-42207 FILM NUMBER: 97648213 BUSINESS ADDRESS: STREET 1: 1990 WESTWOOD BLVD STREET 2: SUITE 310 CITY: LOS ANGELES STATE: CA ZIP: 90025-4676 BUSINESS PHONE: 3104467700 MAIL ADDRESS: STREET 1: 1990 WESTWOOD INC CITY: LOA ANGLES STATE: CA ZIP: 90025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LAKEN GLENN B CENTRAL INDEX KEY: 0001043223 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 30 S WACKER DR STREET 2: STE 106 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126483727 MAIL ADDRESS: STREET 1: 30 S WACKER DR STREET 2: STE 1606 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13D 1 Page 1 of 7 pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.___________ )* HARMONY HOLDINGS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common - -------------------------------------------------------------------------------- (Title of Class of Securities) 413223108 - -------------------------------------------------------------------------------- (CUSIP Number) Steven B. Nagler, Esq. 2275 Half Day Road, Suite 320, Bannockburn, Illinois 60015 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 22, 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 ("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 7 pages SCHEDULE 13D - ------------------------------------------------------------------------------- CUSIP No. 413223108 - ------------------------------------------------------------------------------- 1.) Names of Reporting Persons S.S. or I.R.S. Identification Nos. Of Above Persons Glenn Bradley Laken - ------------------------------------------------------------------------------ 2.) Check the Appropriate Box if a Member of Group (See Instructions): (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3.) SEC Use Only: - ------------------------------------------------------------------------------ 4.) Source of Funds (See Instructions): PF - ------------------------------------------------------------------------------ 5.) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e): [ ] - ------------------------------------------------------------------------------ 6.) Citizenship or Place of Organization: U.S.A. - ------------------------------------------------------------------------------ Number of 7.) Sole Voting Power Shares 856,712 Beneficially ------------------------------------------------------------- Owned by 8.) Shared Voting Power Each None Reporting ------------------------------------------------------------- Person with 9.) Sole Dispositive Power 400,000 (Exclusive of 200,000 options) ------------------------------------------------------------- 10.) Shared Dispositive Power None ------------------------------------------------------------- 11.) Aggregate Amount Beneficially Owned by Each Reporting Person: 856,712 Voting Power; 400,000 Shares Owned; 200,000 options currently exercisable --------------------------------------------------------------------------- 12.) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): --------------------------------------------------------------------------- 13.) Percent of Class Represented by Amount in Row (11): 15.8% --------------------------------------------------------------------------- Page 3 of 7 pages Cusip No. 413223108 14.) Type of Reporting Person (See Instructions): IN - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ (REMAINDER OF PAGE LEFT INTENTIONALLY BLANK) Page 4 of 7 pages Cusip No. 413223108 SCHEDULE 13-D HARMONY HOLDINGS, INC. GLENN BRADLEY LAKEN, REPORTING PERSON Item 1. Security and Issuer: Harmony Holdings, Inc. 1990 Westwood Blvd. Suite 310 Los Angeles, California 90025-4676 Common Stock of Harmony Holdings, Inc. Item 2. Identity and Background: (a) Glenn Bradley Laken (b) 30 S. Wacker Drive Suite 1606 Chicago, Illinois 60606 (c) Self Employed Commodity Trader (d) The reporting person has not been involved in any \ criminal proceedings (e) The reporting person has never been a party to any civil judicial or administrative proceeding in which there has been any finding of any violation of any federal or state securities laws. (f) U.S.A. Item 3. Source and Amount of Funds or Other Considerations: All acquisitions of the common stock of the issuer were acquired by the reporting person using his personal funds. The options to acquire the common stock were granted to the reporting person for providing consulting services to the issuer. Item 4. Purpose of Transaction: The reporting person acquired the common stock and options of the Issuer for investment purposes. The reporting person does have an intent to acquire additional securities (common stock) of the issuer. Further, the reporting person has solicited proxies (from less than ten persons) and the right to vote shares of common stock of various other persons, including family members and business associates, for any purpose. CUSIP Number 413223108 Page 5 of 7 pages Item 5. Interest in Securities of Issuer. (a) The reporting person owns directly and/or beneficially 400,000 shares of the common stock of the issuer. In addition, the reporting person owns options to acquire an additional 200,000 shares of such stock, which options are currently exercisable. The reporting person believes that there are 6,693,198 shares of common stock of the issuer outstanding. (b) The reporting person has the sole power to vote or to direct the vote in 856,712 shares of the common stock of the issuer (exclusive of the options he holds). The reporting person has the sole power to dispose or direct the disposition of 400,000 shares of said stock (excluding the option he holds). (c) In the past sixty days, the reporting person has made the following open market purchase transactions in the Issuer's stock, all effectuated in his personal account at Spear, Leeds & Kellogg: Date # of Shares Price July 23, 1997 5200 2 19/32 5000 2 19/32 July 22, 1997 5000 2 9/16 2000 2 9/16 5000 2 19/32 July 15, 1997 2500 2 5/8 July 14, 1997 1000 2 13/32 July 10, 1997 2500 2 15/32 200 2 15/32 2000 2 15/32 July 7, 1997 200 2 17/32 1000 2 19/32 July 20, 1997 2000 2 11/32 2500 2 3/8 200 2 7/16 200 2 7/16 July 3, 1997 200 2 1/2 June 30, 1997 200 2 5/16 CUSIP Number 413223108 Page 6 of 7 pages Date # of Shares Price June 27, 1997 500 2 1/4 2000 2 1/4 2000 2 1/4 2000 2 9/32 3000 2 9/32 June 26, 1997 2400 2 5/16 June 25, 1997 3000 2 1/4 2500 2 1/4 June 20, 1997 5000 2 13/16 June 17, 1997 2000 2 1/8 500 2 3/16 June 16, 1997 10000 2 June 6, 1997 500 1 29/32 2500 1 15/16 1000 2 (d) N/A (e) N/A Item 6. Contracts, Arrangements, Individuals or Relationship with Respect to Securities of the Issuer: The reporting person has solicited and received proxy and voting rights from various other individuals, including family members and business associates for purposes of dealing with the Board of Directors of the Issuer. The reporting person solicited said voting rights pursuant to an exemption provided in Regulation Section 240-14(a)-2. Item 7. Material to be Filed as Exhibits. None CUSIP Number 413223108 Page 7 of 7 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. GLENN BRADLEY LAKEN By: /s/ Glenn Bradley Laken ---------------------------------------- Glenn Bradley Laken Date: July 29, 1997 --------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----