-----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, LTiwZqFbZlW2Xz+ZlziC57gozdyip2KrIlWaVZ6SiroSgw+T7ApxLDqXLoY6v0Ns CXqVFLX6hEqmGkSle8gG/g== 0000950142-99-000066.txt : 19990209 0000950142-99-000066.hdr.sgml : 19990209 ACCESSION NUMBER: 0000950142-99-000066 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARTE HANKS INC CENTRAL INDEX KEY: 0000045919 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PUBLISHING [2741] IRS NUMBER: 741677284 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-11680 FILM NUMBER: 99523500 BUSINESS ADDRESS: STREET 1: 200 CONCORD PLAZA DR STE 800 CITY: SAN ANTONIO STATE: TX ZIP: 78216 BUSINESS PHONE: 2108299000 FORMER COMPANY: FORMER CONFORMED NAME: HARTE HANKS COMMUNICATIONS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HARTE HANKS NEWSPAPERS INC DATE OF NAME CHANGE: 19771010 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAIN SMITH COUNSEL ET AL CENTRAL INDEX KEY: 0000860862 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133328961 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 667 MADISON AVE 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2128887676 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 SC 13G/A 1 AMENDMENT NO. 5 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Amendment No. 5 Under the Securities Exchange Act of 1934 Harte-Hanks, Inc. ----------------- (Name of Issuer) Common Stock, par value $1.00 per share --------------------------------------- (Title of Class of Securities) 416196 10 3 ----------- (CUSIP Number) CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Train, Smith Counsel LLC 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) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of New York Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IA - -------------------------------------------------------------------------------- 2 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person F. Randall Smith 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) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of United States Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- 3 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person John H. Rogicki 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) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of United States Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- 4 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Henry D. Babcock 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) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of United States Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- 5 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Concord International S.S. or I.R.S. Identifica- Investment Group, L.P. tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) _______________________ if a Member of a Group (b) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Delaware Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person PN - -------------------------------------------------------------------------------- 6 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person T.K. International S.S. or I.R.S. Identifica- Corporation tion No. of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) _______________________ if a Member of a Group (b) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Delaware Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person CO - -------------------------------------------------------------------------------- 7 CUSIP NO. 416196 10 3 13G ----------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person Mohamed S. Younes 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) _______________________ - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of United States Organization - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 3,724,367 Owned by Each (6) Shared Voting Reporting Person Power 0 with (7) Sole Dispositive Power 2,669,647 (8) Shared Dispositive Power 1,967,292 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,636,939 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 6.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- 8 Item 1(a) Name of Issuer: Harte-Hanks, Inc. (the "Issuer") Item 1(b) Address of Issuer's Principal Executive Offices: 200 Concord Plaza Drive San Antonio, TX 78216 Item 2(a) Name of Person Filing: This Statement is being filed by: (i) Train, Smith Counsel LLC, a New York limited liability company and an Investment Adviser registered under the Investment Advisers Act of 1940 ("TSC"); (ii) F. Randall Smith, Henry D. Babcock, John H. Rogicki and Concord International Investments Group, L.P. a Delaware Limited Partnership ("Concord"), the members of TSC who, for purposes of the Securities Exchange Act of 1934, as amended (the "Act") are deemed to control TSC; (iii) T.K. International Corporation, a Delaware Corporation ("TK"), the sole general partner of Concord, which, for purposes of the Act, is deemed to control Concord; and (iv) Mr. Mohamed S. Younes, the majority shareholder of TK (all such persons in (i) through (iv) being hereinafter referred to as the "Reporting Persons"). Item 2(b) Address of Principal Business Office: The address of the principal business office of each of the Reporting Persons is 667 Madison Avenue, New York, NY 10021. Item 2(c) Citizenship: See Item 4 of the cover pages attached hereto. Item 2(d) Title of Class of Securities: Common Stock, par value $1.00 per share (the "Common Stock") 9 Item 2(e) CUSIP Number: 416196 10 3 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) ( ) Broker or Dealer registered under Section 15 of the Act (b) ( ) Bank as defined in Section 3(a)(6) of the Act (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act (d) ( ) Investment Company registered under Section 8 of the Investment Company Act (e) (X) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) ( ) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss. 140.13d-1(b)(1)(ii)(F) (g) ( ) Parent Holding Company, in accordance with ss. 240.13d-1(b)(ii)(G) (h) ( ) Group, in accordance with ss. 240.13d-1(b)(1)(ii)(H) Item 4. Ownership: As of December 31, 1998, TSC was the beneficial owner of 4,636,939 shares of Common Stock (the "TSC Shares"). Concord and Messrs. Smith, Babcock and Rogicki, through their deemed control (for purposes of the Act) of TSC, TK through its deemed control (for purposes of the Act) of Concord and Mr. Younes through his control of TK, are deemed to beneficially own all of the TSC Shares. The TSC Shares constitute 6.5% of the outstanding shares of Common Stock based on 71,258,052 shares 10 of Common Stock outstanding as of December 31, 1998. The Reporting Persons have sole power to dispose and direct the disposition of 2,669,647 of the TSC Shares and have shared power to dispose and to direct the disposition of 1,967,292 of the TSC Shares. The Reporting Persons have sole power to vote and to direct the vote of 3,724,367 of such shares and, as to the remaining 912,572 TSC Shares, certain clients of TSC have sole power to vote and to direct the vote of such shares. 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 the 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: Not applicable. Item 9. Notice of Dissolution of Group: Not applicable. Item 10. Certification: By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 11 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. Date: February 8, 1999 Train, Smith Counsel LLC By: /s/ John H. Rogicki ----------------------- Name: John H. Rogicki Title: Member and Chief Operating Officer /s/ F. Randall Smith -------------------- F. Randall Smith /s/ Henry D. Babcock -------------------- Henry D. Babcock /s/ John H. Rogicki ------------------- John H. Rogicki 12 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. Date: February 8, 1999 CONCORD INTERNATIONAL INVESTMENTS GROUP, L.P. By: T.K. International Corporation, General Partner By: /s/ Mohamed S. Younes ------------------------- Name: Mohamed S. Younes Title: President T.K. INTERNATIONAL CORPORATION By: /s/ Mohamed S. Younes ------------------------- Name: Mohamed S. Younes Title: President /s/ Mohamed S. Younes --------------------- Mohamed S. Younes 13 -----END PRIVACY-ENHANCED MESSAGE-----