-----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, Kzq2rJKcLzDGHNPNHlLPNeMKJdmzAfxiw5ZJqC0TTu4uzNaJqEARApc2Bd/15APG 5NSE29ORoVRI2j1ypExI5w== 0000912057-97-005145.txt : 19970222 0000912057-97-005145.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005145 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLATINUM ENTERTAINMENT INC CENTRAL INDEX KEY: 0000883558 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-DURABLE GOODS, NEC [5099] IRS NUMBER: 363802328 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48333 FILM NUMBER: 97532117 BUSINESS ADDRESS: STREET 1: 2001 BUTTERFIELD ROAD CITY: DOWNERS GROVE STATE: IL ZIP: 60515 BUSINESS PHONE: 7087690033-257 MAIL ADDRESS: STREET 1: 2001 BUTTERFIELD RD CITY: DOWNERS GROVE STATE: IL ZIP: 60515 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FILIPOWSKI ANDREW J CENTRAL INDEX KEY: 0000902072 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: PLATINUM TECHNOLOGY INC STREET 2: 1815 S MEYERS RD CITY: OAKBROOK TERRACE STATE: IL ZIP: 60181 BUSINESS PHONE: 6306205000 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934* Platinum Entertainment, Inc. ---------------------------------- (Name of Issuer) Common Stock, par value $.001 per share ---------------------------------- (Title of Class of Securities) 727909-10-3 ---------------------------------- (CUSIP Number) *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 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 ("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). Page 1 of 7 pages CUSIP No. 727909-10-3 SCHEDULE 13G Page 2 of 7 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Andrew J. Filipowski - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / Not Applicable (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- NUMBER OF SHARES (5) SOLE VOTING POWER BENEFICIALLY 454,533(a) OWNED BY -------------------------------------------------- EACH REPORTING (6) SHARED VOTING POWER PERSON WITH 99,067(b) -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 454,533(c) -------------------------------------------------- (8) SHARED DISPOSITIVE POWER 99,067(b) - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 533,600(a)(c) - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* No - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.7% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 7 pages (a) Includes 6,333 shares which Mr. Filipowski has the right to acquire within 60 days of January 31, 1997 pursuant to the exercise of stock options held by Mr. Filipowski. (b) Represents shares owned by Platinum Venture Partners. Mr. Filipowski is the President, Chief Executive Officer and a shareholder of the general partner of Platinum Venture Partners and in such capacities may be deemed to have voting and investment power with respect to shares held by this entity. Mr. Filipowski disclaims beneficial ownership of such shares. (c) Includes 99,067 shares owned by Platinum Venture Partners. Page 3 of 7 pages Item 1(a). Name of Issuer: Platinum Entertainment, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 2001 Butterfield Road Downers Grove, Illinois 60515 Item 2(a). Name of Person(s) Filing: Andrew J. Filipowski Item 2(b). Address of Principal Business Office or, if None, Residence: 1815 South Meyers Road Oakbrook Terrace, Illinois 60181 Item 2(c). Citizenship: United States Item 2(d). Title of Class of Securities: Common Stock, par value $.001 per share Item 2(e). CUSIP Number 727909-10-3 Item 3. Type of Person: Not Applicable Page 4 of 7 pages Item 4. Ownership: (a) Amount Beneficially Owned: 553,600 (1)(2) (b) Percent of Class: 10.7% (1)(2) (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 454,533 (2) (ii) Shared power to vote or to direct the vote: 99,067 (3) (iii) Sole power to dispose or to direct the disposition of: 454,533 (2) (iv) Shared power to dispose or to direct the disposition of: 99,067 (3) - -------------- (1) Includes 99,067 shares owned by Platinum Venture Partners. Mr. Filipowski is the President, Chief Executive Officer and a shareholder of the general partner of Platinum Venture Partners and in such capacities may be deemed to have voting and investment power with respect to shares held by this entity. Mr. Filipowski disclaims beneficial ownership of such shares. (2) Includes 6,333 shares which Mr. Filipowski has the right to acquire within 60 days of January 31, 1997 pursuant to the exercise of stock options held by Mr. Filipowski. (3) Represents shares owned by Platinum Venture Partners. Page 5 of 7 pages 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: Not Applicable Page 6 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. Date: February 13, 1997 /s/ ANDREW J. FILIPOWSKI ---------------------------------------- Andrew J. Filipowski Page 7 of 7 pages -----END PRIVACY-ENHANCED MESSAGE-----