-----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, A25+be2Aclqo0TNlNqeDRZ5yL+PanqzpvHX6vbITKx3yvdcLtPEUyrZiku8+LRYT 3UnLYlg3PWwkhNJClk+W+A== /in/edgar/work/0000891554-00-002279/0000891554-00-002279.txt : 20001110 0000891554-00-002279.hdr.sgml : 20001110 ACCESSION NUMBER: 0000891554-00-002279 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001109 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEDIABAY INC CENTRAL INDEX KEY: 0001040973 STANDARD INDUSTRIAL CLASSIFICATION: [5961 ] IRS NUMBER: 650429858 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-52737 FILM NUMBER: 757585 BUSINESS ADDRESS: STREET 1: 2295 CORPORATE BLVD STE 222 CITY: BOCA RATON STATE: FL ZIP: 33431 BUSINESS PHONE: 5612411426 MAIL ADDRESS: STREET 1: 2295 CORPORATE BLVD 222 CITY: BOCA RATON STATE: FL ZIP: 33431 FORMER COMPANY: FORMER CONFORMED NAME: AUDIO BOOK CLUB INC DATE OF NAME CHANGE: 19970612 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HERRICK NORTON CENTRAL INDEX KEY: 0000904829 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2295 CORPORATE BLVD N W SUITE 222 CITY: BOCA RATON STATE: FL ZIP: 33431 MAIL ADDRESS: STREET 1: AUDIO BOOK CLUB INC STREET 2: 2295 CORPORATE BLVD STE 222 CITY: BOCA RATON STATE: FL ZIP: 33431 SC 13D/A 1 sc-13da_23971.txt SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 8)* MediaBay, Inc. - -------------------------------------------------------------------------------- Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 58446J 10 8 (CUSIP Number) Brad L. Shiffman, Esq. Blank Rome Tenzer Greenblatt LLP 405 Lexington Avenue, New York, New York 10174 (212) 885-5442 - -------------------------------------------------------------------------------- Address and Telephone Number of Person Authorized to Receive Notice and Communications) November 6, 2000 - -------------------------------------------------------------------------------- (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(e), 13d-1(f) or 13d-1(g), check the following box |_|. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. * 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 ("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). SCHEDULE 13D/A
- ------------------------------------------ ----------------------------------- CUSIP NO. 58446J 10 8 Page 2 of 4 Pages ----- ---- - ------------------------------------------ ----------------------------------- - -------------------- --------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Norton Herrick - -------------------- --------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------- --------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------- --------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------- --------------------------------------------------------------------------------------------------------------- 5 CHECK BOX 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 NUMBER OF 5,196,660 (includes 4,700,000 shares of Common Stock issuable if options and warrants exercised) as SHARES of November 6, 2000 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------- ---- ---------------------------------------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - -------------------- ---- ---------------------------------------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 5,196,660 (includes 4,700,000 shares of Common Stock issuable if options and warrants are exercised) as of November 6, 2000 - -------------------- ---- ---------------------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,196,660 (includes 4,700,000 shares of Common Stock issuable if options and warrants are exercised) as of November 6, 2000. - -------------------- --------------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*|X| Does not include 2,964,180 shares held by N. Herrick Irrevocable ABC Trust (the "N. Herrick Trust"), of which Norton Herrick is the sole beneficiary and in which he therefore may be deemed to have an economic interest. Mr. Herrick does not have voting power or dispositive power with respect to the 2,964,180 shares held by the N. Herrick Trust. - -------------------- --------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 28.2% - -------------------- --------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------- ---------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. Page 2 of 4 Pages This Amendment is being filed solely to reflect a change in the Reporting Person's beneficial ownership of the Common Stock, no par value (the "Common Stock") of MediaBay, Inc. (the "Company"). Except as amended hereby, there has been no change in the information contained in the Schedule 13D, as previously amended. Item 3. Source and Amount of Funds or other Consideration. Not Applicable Item 4. Purpose of Transaction. This Amendment reports the following transactions: On August 25, 2000, Mr. Herrick sold $2,776,250 principal amount of the Convertible Note. On November 6, 2000, Mr. Huddleston Enterprises, Inc. ("M. Huddleston") foreclosed on a loan to a third party which was in default and secured by a pledge of 285,000 shares of common stock of the Company. The Reporting Person is the sole shareholder of M. Huddleston. Pursuant to the December 1998 Letter, the Company issued to the Reporting Person warrants to purchase 64,779 shares of Common Stock. Item 5. Interest in Securities of the Issuer. As of November 6, 2000, the Reporting Person beneficially owned an aggregate of 5,196,660 shares of Common Stock constituting approximately 28.2% of the outstanding Common Stock. See Items 7-11 of the cover sheet of this Amendment. Item 7. Materials to be filed as Exhibits. None Page 3 of 4 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: November 9, 2000 /s/ Norton Herrick ------------------------------- Norton Herrick Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----