-----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, IcKl5h+yZtn7oixU9TqzQnhWV3MTlEDr+YxkwvBJ9EbdQi/AZ0o/fxffLdr0ozWT L27KDYSwQ5PWyIS0cVgSxg== 0001169232-05-004892.txt : 20051012 0001169232-05-004892.hdr.sgml : 20051012 20051012123415 ACCESSION NUMBER: 0001169232-05-004892 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20051012 DATE AS OF CHANGE: 20051012 GROUP MEMBERS: EDWIN A. LEVY GROUP MEMBERS: MICHAEL J. HARKINS GROUP MEMBERS: THE GRACY FUND, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN BANK NOTE HOLOGRAPHICS INC CENTRAL INDEX KEY: 0001052489 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 133317668 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-54447 FILM NUMBER: 051134402 BUSINESS ADDRESS: STREET 1: 399 EXECUTIVE BOULEVARD CITY: ELMSFORD STATE: NY ZIP: 10523 BUSINESS PHONE: 9145922355 MAIL ADDRESS: STREET 1: 399 EXECUTIVE BOULEVARD CITY: ELMSFORD STATE: NY ZIP: 10523 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEVY HARKINS & CO INC/ CENTRAL INDEX KEY: 0001135307 IRS NUMBER: 132992166 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 570 LEXINGTON AVE STREET 2: 27TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128883030 SC 13G/A 1 d65560_sc13ga.txt 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)* American Bank Note Holographics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 024377 10 3 (CUSIP Number) September 30, 2005 (Date of Event which requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) - ---------- * 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 the disclosures provided in a prior cover page. The information required in 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). - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Levy, Harkins & Co., Inc. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES -0- ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 1,504,600 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 1,504,600 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,504,600 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.1% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) IA, BD & CO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Gracy Fund, L.P. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES -0- ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 294,500 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 294,500 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 294,500 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Edwin A. Levy - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 117,100 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 1,799,100 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 117,100 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 1,799,100 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,916,200 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Michael J. Harkins - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES -0- ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 1,799,100 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 1,799,100 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,799,100 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.7% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer American Bank Note Holographics, Inc. -------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices 399 Executive Boulevard, Elmsford, New York 10523 -------------------------------------------------------------- Item 2(a) Name of Person(s) Filing Levy, Harkins & Co., Inc. The Gracy Fund, L.P. Edwin A. Levy Michael J. Harkins -------------------------------------------------------------- Item 2(b) Address of Principal Business Office or, if none, Residence The address of each filing person is: c/o Levy, Harkins & Co., Inc. 570 Lexington Avenue, New York, NY 10022 -------------------------------------------------------------- Item 2(c) Citizenship Levy, Harkins & Co., Inc. - Delaware The Gracy Fund, L.P. - Delaware Edwin A. Levy - U.S. Michael J. Harkins -U.S. -------------------------------------------------------------- Item 2(d) Title of Class of Securities Common Stock, par value $0.01 per share -------------------------------------------------------------- Item 2(e) CUSIP Number 024377 10 3 -------------------------------------------------------------- Item 3 If this Statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) |X| Broker or dealer registered under Section 15 of the Exchange Act (Levy, Harkins & Co., Inc., only); (b) |_| Bank as defined in Section 3(a)(6) of the Exchange Act; (c) |_| Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) |_| Investment company registered under Section 8 of the Investment Company Act; (e) |X| An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (Levy, Harkins & Co., Inc., only); (f) |_| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c )(14) of the Investment Company Act; or (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to rule 13d-1(c ), check this box. |_| Item 4 Ownership (a) Amount Beneficially Owned: Levy, Harkins & Co., Inc., a Delaware company ("LHC") is an investment adviser registered with the SEC and a broker-dealer member firm of the NASD. LHC is the beneficial owner of 12,700 shares of the identified class of securities held in LHC's pension and profit-sharing plans, and may be deemed the beneficial owner of 1,491,900 shares held in the individual accounts of investment advisory clients of LHC, over which LHC exercises revocable discretionary authority, including the power to vote or direct the vote of, and to dispose or direct the disposition of, these shares. LHC disclaims beneficial ownership of shares held by its investment advisory clients. The Gracy Fund, L.P., a Delaware limited partnership ("The Gracy Fund") is a private investment company. The Gracy Fund is the beneficial owner of 294,500 shares of the identified class of securities. Edwin A. Levy and Michael J. Harkins are the sole stockholders of LHC and the sole general partners of The Gracy Fund and, as such, have the shared power to vote or direct the vote of, and to dispose or to direct the disposition of, the shares of the identified class of securities beneficially owned or deemed beneficially owned by LHC and beneficially owned by The Gracy Fund. As a result, each of Messrs. Levy and Harkins may be deemed to beneficially own the aggregate of 1,799,100 shares of the identified class of securities beneficially owned or deemed beneficially owned by LHC and beneficially owned by The Gracy Fund. Each of Messrs. Levy and Harkins disclaims beneficial ownership of such shares (i) beneficially owned or deemed beneficially owned by LHC and (ii) beneficially owned by The Gracy Fund to the extent of the equity interests held in The Gracy Fund by persons other than Mr. Levy or Mr. Harkins, respectively, or their respective affiliates. Mr. Levy, individually, is the beneficial owner of 117,100 shares of the identified class of securities. (b) Number of Shares to which the person has: (i) Sole power to vote or divest the vote: See Item 5 of each cover page. (ii) Shared power to vote or direct the vote: See Item 6 of each cover page. (iii) Sole power to dispose of or direct the disposition of: See Item 7 of each cover page. (iv) Shared power to dispose of or direct the disposition of: See Item 8 of each cover page. 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 The advisory clients of LHC have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the identified class of securities in their accounts. To the best of each filing persons' knowledge, no such person has such interest relating to more than 5% of the identified class of securities. -------------------------------------------------------------- Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported On by the Parent Holding Company or Control Person. Not Applicable -------------------------------------------------------------- Item 8 Identification and Classification of Members of the Group Messrs. Levy and Harkins, LHC and The Gracy Fund may be deemed a group in relation to their respective investments in American Bank Note Holographics, Inc., but no reporting person affirms the existence of a group. -------------------------------------------------------------- Item 9 Notice of Dissolution of Group Not Applicable -------------------------------------------------------------- Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. -------------------------------------------------------------- Exhibit Index - ------------- 1 Joint Filing Agreement dated October 10, 2005, by and among Levy Harkins & Co., Inc., The Gracy Fund, L.P., Edwin A. Levy and Michael J. Harkins. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information contained in this statement is true, complete and correct. Dated: October 10, 2005 LEVY, HARKINS & CO., INC. By: /s/ Michael J. Harkins ------------------------------------- Name: Michael J. Harkins Title: President THE GRACY FUND, L.P. By: /s/ Edwin A. Levy ------------------------------------- Name: Edwin A. Levy Title: General Partner By: /s/ Michael J. Harkins ------------------------------------- Name: Michael J. Harkins Title: General Partner /s/ Edwin A. Levy ---------------------------------------- Edwin A. Levy /s/ Michael J. Harkins ---------------------------------------- Michael J. Harkins EX-1 2 d65560_ex-1.txt JOINT FILING STATEMENT EXHIBIT 1 JOINT FILING AGREEMENT We, the undersigned, agree that the attached Schedule 13G relating to the common stock of American Bank Note Holographics, Inc., is filed on behalf of each of us. Date: October 10, 2005 LEVY, HARKINS & CO., INC. By: /s/ Michael J. Harkins ------------------------------------- Name: Michael J. Harkins Title: President THE GRACY FUND, L.P. By: /s/ Edwin A. Levy ------------------------------------- Name: Edwin A. Levy Title: General Partner By: /s/ Michael J. Harkins ------------------------------------- Name: Michael J. Harkins Title: General Partner /s/ Edwin A. Levy ---------------------------------------- Edwin A. Levy /s/ Michael J. Harkins ---------------------------------------- Michael J. Harkins -----END PRIVACY-ENHANCED MESSAGE-----