-----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, Tp8hWPCxLaAthir+4PqlFOP32V2Gje4Ieh1L9rzpydS69ilvwEr03XuWAa75g2+p zn4Q3HuVv870+qc5uR3sIw== 0000950138-98-000086.txt : 19980512 0000950138-98-000086.hdr.sgml : 19980512 ACCESSION NUMBER: 0000950138-98-000086 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980511 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARVEY ENTERTAINMENT CO CENTRAL INDEX KEY: 0000904350 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 954217605 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-53359 FILM NUMBER: 98615186 BUSINESS ADDRESS: STREET 1: 1999 AVENUE OF THE STARS STREET 2: SUITE 2050 CITY: LOS ANGELES STATE: CA ZIP: 90067-6055 BUSINESS PHONE: 3107891990 MAIL ADDRESS: STATE: CA FORMER COMPANY: FORMER CONFORMED NAME: HARVEY COMICS ENTERTAINMENT INC DATE OF NAME CHANGE: 19930512 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MONTGOMERY JEFFREY A CENTRAL INDEX KEY: 0000940684 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10380 WILSHIRE BLVD STREET 2: SUITE 504 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3102787662 MAIL ADDRESS: STREET 1: 10380 WILSHIRE BLVD #504 CITY: LOS ANGELES STATE: CA ZIP: 90024 SC 13D/A 1 SCHEDULE 13D AMENDMENT SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 1)* THE HARVEY ENTERTAINMENT COMPANY - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Classes of Securities) 417662103 - -------------------------------------------------------------------------------- (CUSIP Number) Gerald E. Boltz, Esq. Bryan Cave LLP 120 Broadway, Suite 500 Santa Monica, California 90401 (310)576-2100 - -------------------------------------------------------------------------------- (Name, Address, and Telephone Number of Person Authorized to Receive Notices and Communications) April 24, 1998 - -------------------------------------------------------------------------------- (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. (Continued on following pages) (Page 1 of 3 Pages) - --------------- * 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 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). CUSIP NO. 417662103 SCHEDULE 13D Page 2 of 3 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Jeffrey A. Montgomery - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- NUMBER OF SHARES -------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER -0- OWNED BY EACH -------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER -0- PERSON WITH -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13) Percent of Class Represented by Amount in Row (11) -0- - -------------------------------------------------------------------------------- 14) Type of Reporting Person IN - -------------------------------------------------------------------------------- CUSIP NO. 4176621093 SCHEDULE 13D Page 3 of 3 Pages Item 5. Interest in Securities of the Issuer. (a) Mr. Montgomery beneficially owns no shares of the Issuer's Common Stock (the "Shares") (b) Not applicable. (c) On April 24, 1998, Mr. Montgomery sold 65,000 Shares in a "broker's transaction" pursuant to Rule 144 under the Securities Act of 1933. Mr. Montgomery also sold 105,000 Shares on May 1, 1998, 6,667 shares on May 4, 1998, 6,000 Shares on May 5, 1998 and 300,000 Shares on May 7, 1998. (d) None. (e) May 7, 1998. * * * 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. Dated: May 11, 1998 /s/ JEFFREY A. MONTGOMERY ---------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----