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 6 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 7 (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 8 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 9 (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