0000950144-01-507675.txt : 20011018
0000950144-01-507675.hdr.sgml : 20011018
ACCESSION NUMBER: 0000950144-01-507675
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20010930
FILED AS OF DATE: 20011010
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: HOLLINGER INTERNATIONAL INC
CENTRAL INDEX KEY: 0000868512
STANDARD INDUSTRIAL CLASSIFICATION: NEWSPAPERS: PUBLISHING OR PUBLISHING & PRINTING [2711]
IRS NUMBER: 953518892
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14164
FILM NUMBER: 1755868
BUSINESS ADDRESS:
STREET 1: 401 N WABASH AVE
STREET 2: STE 740
CITY: CHICAGO
STATE: IL
ZIP: 60611
BUSINESS PHONE: 3123212299
MAIL ADDRESS:
STREET 1: 401 NORTH WABASH AVE
STREET 2: SUITE 740
CITY: CHICAGO
STATE: IL
ZIP: 60611
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN PUBLISHING COMPANY
DATE OF NAME CHANGE: 19940204
COMPANY DATA:
COMPANY CONFORMED NAME: HOLLINGER INC
CENTRAL INDEX KEY: 0000911707
STANDARD INDUSTRIAL CLASSIFICATION: NEWSPAPERS: PUBLISHING OR PUBLISHING & PRINTING [2711]
OWNER
IRS NUMBER: 135691211
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
BUSINESS ADDRESS:
STREET 1: 10 TORONTO ST
STREET 2: TORONTO
CITY: ONTARIO CANADA
STATE: A6
ZIP: 00000
BUSINESS PHONE: 4163638721
MAIL ADDRESS:
STREET 1: 10 TORONTO ST
STREET 2: TORONTO
CITY: ONTARIO CANADA
STATE: A6
ZIP: 00000
4
1
t28757e4.txt
HOLLINGER INTERNATIONAL
1
------ --------------------------
FORM 4 OMB APPROVAL
------ --------------------------
[ ] Check this box if no OMB Number: 3235-0287
longer subject to U.S. SECURITIES AND EXCHANGE COMMISSION Expires: December 31, 2001
Section 16. Form 4 Washington, D.C. 20549 Estimated average burden
or Form 5 obligations hours per response.....0.5
may continue. See STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Instruction 1(b).
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934, Section 17(a) of the
Public Utility Holding Company Act of 1935
or Section 30(f) of the Investment Company
Act of 1940
(Print or Type Responses)
------------------------------------------------------------------------------------------------------------------------------------
| 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person(s)|
| | | to Issuer |
| Hollinger Inc. | Hollinger International Inc. (HLR) | (Check all applicable) |
| (See Schedule I for additional | | [ ] Director [ ] 10% Owner |
| reporting persons) | | [ ] Officer [ ] Other (specify |
|--------------------------------------------|----------------------------------------------| (give title below) |
| (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | below) |
| | Security Number of | Month/Year | (1) |
| | Reporting Person | | ----------------------------- |
| Hollinger International Inc. | (Voluntary) | September 2001 | |
| 401 North Wabash Avenue, Suite 740 | | | |
|--------------------------------------------| |--------------------|--------------------------------------|
| (Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing |
| | | Date of Original| (Check Applicable Line) |
| | | (Month/Year) | [ ] Form filed by One |
| Chicago Illinois 60611 | | | Reporting Person |
|--------------------------------------------| | | [X] Form filed by More than |
| (City) (State) (Zip) | | | One Reporting Person |
| | | | |
|----------------------------------------------------------------------------------------------------------------------------------|
| TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED |
|----------------------------------------------------------------------------------------------------------------------------------|
|1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature |
| (Instr. 3) | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- |
| | (Month/Day/Year)| (Instr. 8) | (Instr. 3, 4 and 5) | cially Owned at | Form: | direct |
| | | | | End of Month | Direct | Benefi-|
| | | | | (Instr. 3 and 4)| (D) or | cial |
| | |--------------|---------------------------| | Indirect | Owner- |
| | | Code | V | Amount | (A) | Price| | (I) | ship |
| | | | | | or | | | (Instr. 4)| (Instr.|
| | | | | | (D) | | | | 4) |
|---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------|
|Class A Common Stock | (2) | J(2) | | 7,052,464 | D | (4) | | | |
|---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------|
|Class A Common Stock | (3) | X | | 27,600 | D | (5) | (6) | (7) | (7) |
|---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------|
| | | | | | | | | | |
|---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION
CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS
A CURRENTLY VALID OMB CONTROL NUMBER.
SEC 1474 (3/99)
Page 1 of 9
2
FORM 4 (continued) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
------------------------------------------------------------------------------------------------------------------------------------
|1. Title of Derivative | 2. Conver- |3. Trans- |4. Trans- |5. Number of | 6. Date Exer- |7. Title and Amount |8. Price |
| Security | sion or | action | action | Derivative | cisable and | of Underlying | of |
| (Instr. 3) | Exercise | Date | Code | Securities | Expiration | Securities | Deriva- |
| | Price of | (Month/| (Instr.| Acquired (A) | Date | (Instr. 3 and 4) | tive |
| | Deriva- | Day/ | 8) | or Disposed | (Month/Day/ | | Security |
| | tive | Year) | | of (D) | Year) | | (Instr. 5) |
| | Security | | | (Instr. 3, | | | |
| | | | | 4 and 5) |-----------------|--------------------| |
| | | | | | Date |Expira- | | Amount or| |
| | | |----------|----------------| Exer- |tion | Title | Number of| |
| | | | Code| V | (A) | (D) | cisable|Date | | Shares | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| HI Series II | (5) | (3) | X | | | 60,000 | (8) | | (9) | (10) | (11) |
| Call Options | | | | | | | | | | | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| Series E Preferred | (13) | (14) |J(14)| | | 40,290 | (15) | | (16) | (17) | (18) |
| Stock | | | | | | | | | | | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| | | | | | | | | | | | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| | | | | | | | | | | | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| | | | | | | | | | | | |
|-----------------------|--------------|----------|-----|----|-----|----------|--------|--------|--------|-----------|-------------|
| | | | | | | | | | | | |
------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------
| 9. Number of | 10. Ownership | 11. Nature of |
| Derivative | Form of | Indirect |
| Securities | Derivative | Beneficial |
| Beneficially | Security: | Ownership |
| Owned at End | Direct (D) | (Instr. 4) |
| of Month | or Indirect (I) | |
| (Instr. 4) | (Instr. 4) | |
| | | |
|---------------------|-------------------------------|----------------------|
| (12) | (12) | (12) |
|---------------------|-------------------------------|----------------------|
| (19) | (19) | (19) |
|---------------------|-------------------------------|----------------------|
| | | |
|---------------------|-------------------------------|----------------------|
| | | |
|---------------------|-------------------------------|----------------------|
| | | |
|---------------------|-------------------------------|----------------------|
| | | |
------------------------------------------------------------------------------
EXPLANATION OF RESPONSES:
See Schedule I attached hereto.
HOLLINGER INC.
** Intentional misstatements or omissions of facts constitute Federal By: /s/ Charles G. Cowan October 10, 2001
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------------
**Signature of Reporting Person Date
Charles G. Cowan
Vice-President and Secretary
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays
a currently valid OMB Number.
Page 2
SEC 1474 (3/99)
419607
Page 2 of 9
3
FORM 4 (continued)
THE RAVELSTON CORPORATION
LIMITED
** Intentional misstatements or omissions of facts constitute Federal By: /s/ Charles G. Cowan October 10, 2001
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------------
**Signature of Reporting Person Date
Charles G. Cowan
Vice-President and Secretary
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays
a currently valid OMB Number.
Page 3
SEC 1474 (3/99)
419607
Page 3 of 9
4
FORM 4 (continued)
** Intentional misstatements or omissions of facts constitute Federal /s/ Conrad M. Black October 10, 2001
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------------
**Signature of Reporting Person Date
The Hon. Conrad M. Black, P.C.,O.C.
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays
a currently valid OMB Number.
Page 4
SEC 1474 (3/99)
419607
Page 4 of 9
5
FORM 4 (continued)
** Intentional misstatements or omissions of facts constitute Federal /s/ Barbara Amiel Black October 10, 2001
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ----------------
**Signature of Reporting Person Date
Barbara Amiel Black
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form displays
a currently valid OMB Number.
Page 5
SEC 1474 (3/99)
419607
Page 5 of 9
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SCHEDULE I
Explanatory Notes to Form 4
Name and Address of Reporting Person:
Hollinger Inc. ("HI")
c/o Hollinger International Inc.
401 North Wabash Avenue, Suite 740
Chicago, Illinois 60611
Issuer Name and Ticker or Trading Symbol:
Hollinger International Inc./HLR
Statement for Month/Year
September 2001
Additional Reporting Persons:
The Ravelston Corporation Limited ("Ravelston")
c/o Hollinger International Inc.
401 North Wabash Avenue, Suite 740
Chicago, Illinois 60611
Relationship to Issuer: 10% Owner
Conrad M. Black ("CMB")
c/o Hollinger International Inc.
401 North Wabash Avenue
Chicago, Illinois 60611
Relationship to Issuer: Director, Officer and 10% Owner
Barbara Amiel Black ("Amiel")
c/o Hollinger International Inc.
401 North Wabash Avenue
Chicago, Illinois 60611
Relationship to Issuer: Director, Officer and 10% Owner
via spouse CMB
Explanations:
(1) (i) For HI: 10% Owner
(ii) For Ravelston: 10% Owner
(iii) For CMB: Director, Officer (Chairman, President and
Chief Executive Officer) and 10% Owner
419606.1
13220-0001 Page 6 of 9
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(iv) For Amiel: Director and Officer (Vice President)
and 10% owner via spouse CMB.
(2) The Issuer repurchased an aggregate of 7,052,464 Shares of Class A
Common Stock ("Class A Common Shares") of the Issuer held by 3055851
Nova Scotia Company and 3055852 Nova Scotia Company, indirect
wholly-owned subsidiaries of HI, the Issuer's parent corporation, on
September 6, 2001.
(3) The disposition of the Class A Common Shares occurred on September 27,
2001 (with respect to an aggregate of 27,600 Class A Common Shares) in
connection with the retraction of Series II Preference Shares ("Series II
Shares") issued by HI, the Issuer's parent corporation.
(4) [Cdn.] $20.39.
(5) The consideration given for the exchange of each Series II Share was 0.46
of a Class A Common Share.
(6) (i) For HI: 17,894,321 Class A Common Shares held
directly by HI and indirectly via its
wholly owned subsidiary 504468 N.B. Inc.
(ii) For Ravelston: 17,894,321 Class A Common Shares
indirectly via its control over HI
(iii) For CMB: 17,894,321 Class A Common Shares via his
control over Ravelston, which controls HI,
600 Class A Common Shares directly, 9,600
Class A Common Shares indirectly via
Conrad Black Capital Corporation, 50 Class
A Common Shares indirectly via son, and
500 Class A Common Shares indirectly via
spouse. CMB disclaims beneficial ownership
of his son's and spouse's securities and
this report shall not be deemed an
admission that he is a beneficial owner of
such securities for purposes of Section 16
or for any other purpose.
(iv) For Amiel. 17,894,321 Class A Common Shares via
spouse's control over Ravelston, 500 Class
A Common Shares directly, 9,600 Class A
Common Shares indirectly via spouse's
control over Conrad Black capital
corporation, 50 Class A Common Shares
indirectly via spouse's son, and 600 Class
A Common Shares indirectly via spouse.
Amiel disclaims beneficial ownership of
her spouse's and her spouse's son's
securities and this report shall not be
deemed an admission that he is a
beneficial owner of such
419606.1
13220-0001 Page 7 of 9
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securities for purposes of Section 16 or
for any other purpose.
(7) (i) For HI: Directly.
(ii) For Ravelston: Indirectly, via its control of HI.
(iii) For CMB: Directly and indirectly, via his control
of Ravelston, which controls HI.
(iv) For Amiel: Directly and indirectly via her spouse,
CMB, and his control of Ravelston, which
controls HI.
(8) Immediately.
(9) Class A Common Stock of the Issuer.
(10) 27,600
(11) The Series II Shares were originally issued in 1997 and 1998 in exchange
for Equity Units of Hollinger Inc. and for Series I Non-Voting Preference
Shares of Hollinger Inc., respectively, at a stated value of [Cdn.]
$10.00 per share.
(12) (i) For HI: 5,738,479 Series II Shares remain
outstanding, resulting in a put equivalent
position with respect to 2,639,700 Class A
Common Shares.
(ii) For Ravelston: 66,963 Series II Shares directly,
resulting in a call equivalent position
with respect to 30,679 Class A Common
Shares. Via its control of HI, Ravelston
indirectly beneficially owns HI's position
in the Series II Shares.
(iii) For CMB: 1,611,039 Series II Shares directly,
resulting in a call equivalent position
with respect to 741,077 Class A Common
Shares. Via his control of Ravelston (and
its control of HI), CMB indirectly
beneficially owns Ravelston's and HI's
positions in the Series II Shares.
(13) As of September 30, 2001, one share of the Company's Series E Preferred
Stock ("Series E Preferred Share") may be converted into approximately
6.63 Class A Common Shares at [Cdn.] $146.625 Series E Preferred Share.
The number of Class A Common Shares issued upon conversion of a Series
E Preferred Share is determined by the quotient of [Cdn.] $146.625
divided by the "Canadian Dollar Equivalent" of the Conversion Price
(which is currently U.S. $14.00 per share). The "Canadian Dollar
Equivalent" on any particular day is the Conversion Price expressed in
Canadian currency based on the noon buying rate in New York City.
419606.1
13220-0001 Page 8 of 9
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(14) The Issuer redeemed an aggregate of 40,290 Series E Preferred
Shares held by 504468 N.B. Inc., HI's wholly-owned subsidiary, on
September 27, 2001.
(15) Immediately.
(16) Class A Common Stock of the Issuer.
(17) 271,501.
(18) [Cdn.] $146.625.
(19) (i) For HI: 93,206 Series E Preferred Shares held by
HI indirectly via its wholly-owned
subsidiary 504468 N.B. Inc., resulting in
a call equivalent position as of September
30, 2001 with respect to 618,414 Class A
Common Shares.
(ii) For Ravelston: Via its control of HI, Ravelston
indirectly beneficially owns HI's position
in the Series E Preferred Shares.
(iii) For CMB: Via his control of Ravelston (and its
control of HI), CMB indirectly
beneficially owns Ravelston's and HI's
positions in the Series E Preferred
Shares.
(iv) For Amiel: Amiel disclaims beneficial ownership of
CMB's securities and this report shall not
be deemed an admission that she is a
beneficial owner of such securities for
purposes of Section 16 or for any other
purpose.
419606.1
13220-0001 Page 9 of 9