-----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, NpSG6gj7hr5OzWR3AgTdKkFbujFr73RTp0HAHzvkbIuGJeC2aKNzCnaUjfkEhw0o gwdPMOvaYjqi2/ZoIuLkXg== 0000935836-99-000308.txt : 19991111 0000935836-99-000308.hdr.sgml : 19991111 ACCESSION NUMBER: 0000935836-99-000308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990801 FILED AS OF DATE: 19991110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KUSHNER LOCKE CO CENTRAL INDEX KEY: 0000842009 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE PRODUCTION [7812] IRS NUMBER: 954079057 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-10661 FILM NUMBER: 99745115 BUSINESS ADDRESS: STREET 1: 11601 WILSHIRE BLVD 21ST FLR CITY: LOS ANGELES STATE: CA ZIP: 95202 BUSINESS PHONE: 3104812000 MAIL ADDRESS: STREET 1: 11601 WILSHIRE BLVD STREET 2: 21ST FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90025 COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19930720 4 1 OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response 0.5 FORM 4 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person Gruber, Jon D. , 50 Osgood Place, San Francisco, CA, 94133 (Last) (First) (Middle), (Street), (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Kushner Locke Company (KLOC) 3. IRS or Social Security Number of Reporting Person (Voluntary) ________ 4. Statement for Month/Year 8/99______ 5. If Amendment, Date of Original (Month/Year) ___________ 6. Relationship of reporting person to issuer (Check all applicable) ____ Director __X_ 10% Owner ____ Officer (give ____ Other (specify title below) below) ______________________ 7. Individual or Joint/Group Filing (Check Applicable line) _X_ Form filed by one Reporting Person ____ Form filed by More than One Reporting Person SEC 1474 (7- 96) FORM 4 (continued) Page _2_ of _9_ Pages Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/4/99_________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 5,000__ (A) or (D) ___A___ Price 4.44_________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300___________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______D_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ______________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/5/99_________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __2,000_ (A) or (D) ___A___ Price 4.26___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300_____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______D________ 7. Nature of Indirect Beneficial Ownership (Inst. 4) _____________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/11/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ FORM 4 (continued) Page _3_ of _9_ Pages 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 1,500_ (A) or (D) ___A___ Price 3.97___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______D________ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/11/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 1,800_ (A) or (D) ___A___ Price 3.92___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______D________ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/13/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 1,000___ (A) or (D) ___A___ Price 4.00__________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300__________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______D______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ____________ FORM 4 (continued) Page _4_ of _9_ Pages 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/18/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 8,500__ (A) or (D) ___A___ Price 5.80___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______D______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ______________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/19/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 4,500__ (A) or (D) ___A___ Price 5.72___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______D_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) __________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/20/99_______________ 3. Transaction Code (Instr. 8) Code _____P_______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 4,700__ (A) or (D) ___A____ Price 5.59_______________ FORM 4 (continued) Page _5_ of _9_ Pages 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 151,300___________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______D______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) ________ 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/4/99_________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 114,000__ (A) or (D) ___A___ Price 4.44_________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250___________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/4/99_________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __25,000_ (A) or (D) ___A___ Price 4.50___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250_____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I________ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/5/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ FORM 4 (continued) Page _6_ of _9_ Pages 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __4,000_ (A) or (D) ___A___ Price 4.26___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250_____________________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I________ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/11/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 7,000_ (A) or (D) ___A___ Price 3.97___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/13/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 4,500___ (A) or (D) ___A___ Price 4.00__________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250__________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/18/99________ FORM 4 (continued) Page _7_ of _9_ Pages 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 25,500__ (A) or (D) ___A___ Price 5.80___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/19/99________ 3. Transaction Code (Instr. 8) Code _____P______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 15,000__ (A) or (D) ___A___ Price 5.72___________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250____________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/19/99_______________ 3. Transaction Code (Instr. 8) Code _____P_______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 2,500___ (A) or (D) ___A____ Price 5.88____________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250___________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) FORM 4 (continued) Page _8_ of _9_ Pages 1. Title of Security (Instr. 3) _____Common Stock_______________________ 2. Transaction Date (Month/Day/Year) 8/20/99_______________ 3. Transaction Code (Instr. 8) Code _____P_______ _____________ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 10,000__ (A) or (D) ___A____ Price 5.59_______________ 5. Amount of Securities Beneficially Owned at End of Month (Inst. 3 and 4) 1,324,250___________ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) _______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7- 96) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) ______________________________ 2. Conversion or Exercise Price of Derivative Security _________________ 3. Transaction Date (Month/Day/Year) ______________ 4. Transaction Code (Instr. 8) Code ______ ______ 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) (A) _____________ (D) ______________ 6. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date ____________________ ________________________ 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) Title __________________________ Amount or Number of Shares ________ FORM 4 (continued) Page _9_ of _9_ Pages 8. Price of Derivative Security (Instr. 5) _______________ 9. Number of derivative Securities Beneficially Owned at End of Month (Instr. 4) _______________ 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) __________________ 11. Nature of Indirect Beneficial Ownership (Inst. 4) _____________________________________________________________________ __________________________________________________________________________ _ Explanation of Responses: (1) As Manager of a limited liability company that is a general partner of investment partnerships and an investment adviser for client accounts. (2) The reporting person has only a pro rata interest in the securities with respect to which indirect beneficial ownership is reported and disclaims beneficial ownership of such securities except to the extent of the reporting person's pecuniary interest. Jon D. Gruber 11/9/99 **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1474 (7-96) CSR\2217\006\1072140.01 -----END PRIVACY-ENHANCED MESSAGE-----