-----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, QeOIvxhr+yChT4AQmddmf5cfYyWbsArF4jm0nvQbU5i85pC9a7f6UcYu7ZhYCNxm 7AKi+dOlVrkrgVrUjvMvoQ== 0001094891-02-000468.txt : 20021127 0001094891-02-000468.hdr.sgml : 20021127 20021127142054 ACCESSION NUMBER: 0001094891-02-000468 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021127 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HELLER RONALD I CENTRAL INDEX KEY: 0000909443 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O M H MEYERSON & CO STREET 2: 30 MONTGOMERY ST CITY: JERSEY CITY STATE: NJ ZIP: 07302 MAIL ADDRESS: STREET 1: C/O M.H. MEYERSON & CO., INC. STREET 2: 30 MONTGOMERY STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARVEY ELECTRONICS INC CENTRAL INDEX KEY: 0000046043 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RADIO TV & CONSUMER ELECTRONICS STORES [5731] IRS NUMBER: 131534671 STATE OF INCORPORATION: NY FISCAL YEAR END: 1101 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-03251 FILM NUMBER: 02843214 BUSINESS ADDRESS: STREET 1: 205 CHUBB AVENUE CITY: LYNDHURST STATE: NJ ZIP: 07071 BUSINESS PHONE: 2018420078 MAIL ADDRESS: STREET 1: 205 CHUBB AVENUE CITY: LYNDHURST STATE: NJ ZIP: 07071 FORMER COMPANY: FORMER CONFORMED NAME: HARVEY RADIO CO DATE OF NAME CHANGE: 19700731 FORMER COMPANY: FORMER CONFORMED NAME: HARVEY RADIO CO INC DATE OF NAME CHANGE: 19690918 FORMER COMPANY: FORMER CONFORMED NAME: HARVEY GROUP INC DATE OF NAME CHANGE: 19920703 SC 13G 1 heller_harvey13g-112002.txt HELLER 13G FOR HARVEY ELECTRONICS (11-2002) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------ SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __)* Harvey Electronics, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title Class of Securities) 417660107 - -------------------------------------------------------------------------------- (CUSIP Number) November 21, 2002 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) Page 1 of 7 pages SCHEDULE 13G - ---------------------------- ---------------------------- CUSIP No. 417660107 Page 2 of 7 Pages - ---------------------------- ---------------------------- - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Ronald I. Heller - --------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)|_| (b)|_| - --------- ---------------------------------------------------------------------- 3 SEC USE ONLY - --------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------- ------ ---------------------------------------------- 5 SOLE VOTING POWER 114,200 shares NUMBER OF SHARES BENEFICIALLY ------ ---------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH ------ ---------------------------------------------- 7 SOLE DISPOSITIVE POWER 114,200 shares ------ ---------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 194,900 Shares - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.9% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13G - ---------------------------- ---------------------------- CUSIP No. 417660107 Page 3 of 7 Pages - ---------------------------- ---------------------------- - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (entities only) Joyce L. Heller - --------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)|_| (b)|_| - --------- ---------------------------------------------------------------------- 3 SEC USE ONLY - --------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------- ------ ---------------------------------------------- 5 SOLE VOTING POWER 80,700 shares NUMBER OF SHARES BENEFICIALLY ------ ---------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH ------ ---------------------------------------------- 7 SOLE DISPOSITIVE POWER 80,700 shares ------ ---------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 194,900 Shares - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.9% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Harvey Electronics, Inc. (the "Company") (b) Address of Issuer's Principal Executive Offices: 7205 Chubb Avenue Lyndhurst , New Jersey 07071 Item 2. (a) Name of Persons Filing: Ronald I. Heller ("Ronald") Joyce L. Heller ("Joyce") (b) Address of Principal Business Office or, if none, Residence: The address of each reporting person is: 74 Farview Road Tenafly, New Jersey 07670 The statement on this Schedule 13G is filed on behalf of the persons listed above pursuant to Rule 13d-1(k)(1). The Joint Filing Agreement dated November 26, 2002 between Ronald and Joyce is set forth in Exhibit I hereto and is incorporated herein by reference. (c) Citizenship: Each reporting person is a United States Citizen (d) Title of Class of Securities: Common Stock, $.01 par value ("Common Stock") (e) CUSIP Number: 417660107 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a)|_| Broker or dealer registered under Section 15 of the Exchange Act (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)|_| An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (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 (j)|_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J) Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: Ronald has sole and dispositive power over 114,200 shares ("Shares") of Common Stock held of record by The Delaware Charter Guarantee & Trust Co., for benefit of the Ronald I. Heller IRA ("Ronald IRA"). Joyce, the wife of Ronald, has sole and dispositive power over 80,700 Page 4 of 7 pages Shares of Common Stock held of record by The Delaware Charter Guarantee & Trust Co., for benefit of the Joyce L. Heller IRA ("Joyce IRA"). Although Ronald disclaims any voting or dispositive power over the shares held by the Joyce IRA and Joyce disclaims any voting or dispositive power over the shares held by the Ronald IRA, each of them may be deemed to beneficially own such shares pursuant to the interpretations of the Securities and Exchange Commission. Accordingly, Ronald and Joyce may each be deemed to beneficially own an aggregate of 194,900 Shares of Common Stock of the Company. (b) Percent of Class: Each reporting person may be deemed to beneficially own 5.9% the Common Stock of the Company. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct vote: Ronald I. Heller: 114,200 Shares Joyce L. Heller: 80,700 Shares (ii) Shared power to vote or to direct vote: Ronald I. Heller: -0- Joyce L. Heller: -0- (iii) Sole power to dispose or to direct the disposition of: Ronald I. Heller: 114,200 Shares Joyce L. Heller: 80,700 Shares (iv) Shared power to dispose or to direct the disposition of: Ronald I. Heller: -0- Joyce L. Heller: -0- 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 I certify that, to the best of my 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 that purpose or effect. Page 5 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. November 26, 2002 /s/ Ronald I. Heller ----------------------- Ronald I. Heller /s/ Joyce L. Heller ----------------------- Joyce L. Heller Page 6 of 7 pages EXHIBIT 1 JOINT FILING AGREEMENT AGREEMENT dated as of November 26, 2002, between Ronald I. Heller and Joyce L. Heller (together, the "Parties"). Each Party hereto represents to the other Party that it is eligible to use Schedule 13G to report its beneficial interest in shares of common stock, $.01 par value per share, of Harvey Electronics, Inc. ("Schedule 13G") and it will file the Schedule 13G on behalf of itself. Each of the Parties agrees to be responsible for the timely filing of the Schedule 13G and any and all amendments thereto and for the completeness and accuracy of the information concerning itself contained in the Schedule 13G, and the other Party to the extent it knows or has reason to believe that any information about the other Party is inaccurate. /s/ Ronald I. Heller ----------------------- Ronald I. Heller /s/ Joyce L. Heller ----------------------- Joyce L. Heller Page 7 of 7 pages -----END PRIVACY-ENHANCED MESSAGE-----