-----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, DK1bHBmZ4BelmHCxWZP+ZOBQCZkmn/dUwrXHHI2SuS0aOtVrGJDR3xGCr3I5l2/c vxm6aNan/CtC/OlyqTXBTA== 0001193125-07-252017.txt : 20071121 0001193125-07-252017.hdr.sgml : 20071121 20071121134741 ACCESSION NUMBER: 0001193125-07-252017 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071121 DATE AS OF CHANGE: 20071121 GROUP MEMBERS: BERTELSMANN MULTIMEDIA, INC. GROUP MEMBERS: BERTELSMANN PUBLISHING GROUP, INC. GROUP MEMBERS: BERTELSMANN, INC. GROUP MEMBERS: RANDOM HOUSE VG LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUDIBLE INC CENTRAL INDEX KEY: 0001077926 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 223407945 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57711 FILM NUMBER: 071262595 BUSINESS ADDRESS: STREET 1: 1 WASHINGTON PARK STREET 2: 16TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 9738200400 MAIL ADDRESS: STREET 1: 1 WASHINGTON PARK STREET 2: 16TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RANDOM HOUSE INC CENTRAL INDEX KEY: 0000082008 IRS NUMBER: 132558190 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1745 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 1745 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 dsc13da.htm SCHEDULE 13D AMENDMENT NO. 3 Schedule 13D Amendment No. 3

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

SCHEDULE 13D

(Amendment No. 3)*

 

 

 

Audible, Inc.

(Name of Issuer)

 

 

Common Stock

(Title of Class of Securities)

 

 

05069A104

(CUSIP Number)

 

 

Bertelsmann, Inc.

1745 Broadway

New York, NY 10019

Attn.: Joshua Kraus, Esq.

Tel.: (212) 782-1142

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

 

May 5, 2007

(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 statement because of Rule 13d-1(e), 13d-1(f), or 13d-1(g), check the following box:  ¨

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).

CUSIP No. 05069A104    13D   

 

  1.  

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Random House, Inc.

            IRS No. 13-2558190

    
  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3.  

SEC USE ONLY

 

    
  4.  

SOURCE OF FUNDS*

 

            WC

    
  5.  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

   ¨
  6.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            New York

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7.    SOLE VOTING POWER:

 

                Less than 5%

 

  8.    SHARED VOTING POWER

 

                Less than 5%

 

  9.    SOLE DISPOSITIVE POWER:

 

                Less than 5%

 

10.    SHARED DISPOSITIVE POWER

 

                Less than 5%

11.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            Less than 5%

    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨
13.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            Less than 5%

    
14.  

TYPE OF REPORTING PERSON*

 

            CO

    

 

-2-

CUSIP No. 05069A104    13D   

 

  1.  

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Random House VG LLC (f.k.a. Random House Ventures LLC)

            IRS No. 13-4090714

    
  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3.  

SEC USE ONLY

 

    
  4.  

SOURCE OF FUNDS*

 

            WC

    
  5.  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

   ¨
  6.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            Delaware

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7.    SOLE VOTING POWER:

 

                Less than 5%

 

  8.    SHARED VOTING POWER

 

                Less than 5%

 

  9.    SOLE DISPOSITIVE POWER:

 

                Less than 5%

 

10.    SHARED DISPOSITIVE POWER

 

                Less than 5%

11.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            Less than 5%

    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨
13.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            Less than 5%

    
14.  

TYPE OF REPORTING PERSON*

 

            PN

    

 

-3-

CUSIP No. 05069A104    13D   

 

  1.  

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Bertelsmann, Inc.

            IRS No. 95-2949493

    
  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3.  

SEC USE ONLY

 

    
  4.  

SOURCE OF FUNDS*

 

            WC

    
  5.  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

   ¨
  6.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            Delaware

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7.    SOLE VOTING POWER:

 

                Less than 5%

 

  8.    SHARED VOTING POWER

 

                Less than 5%

 

  9.    SOLE DISPOSITIVE POWER:

 

                Less than 5%

 

10.    SHARED DISPOSITIVE POWER

 

                Less than 5%

11.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            Less than 5%

    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨
13.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            Less than 5%

    
14.  

TYPE OF REPORTING PERSON*

 

            CO

    

 

-4-

CUSIP No. 05069A104    13D   

 

  1.  

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Bertelsmann Multimedia, Inc.

            IRS No. 13-4010933

    
  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3.  

SEC USE ONLY

 

    
  4.  

SOURCE OF FUNDS*

 

            WC

    
  5.  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

   ¨
  6.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            Delaware

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7.    SOLE VOTING POWER:

 

                Less than 5%

 

  8.    SHARED VOTING POWER

 

                Less than 5%

 

  9.    SOLE DISPOSITIVE POWER:

 

                Less than 5%

 

10.    SHARED DISPOSITIVE POWER

 

                Less than 5%

11.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            Less than 5%

    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨
13.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            Less than 5%

    
14.  

TYPE OF REPORTING PERSON*

 

            CO

    

 

-5-

CUSIP No. 05069A104    13D   

 

  1.  

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

 

            Bertelsmann Publishing Group, Inc.

            IRS No. 13-2790609

    
  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3.  

SEC USE ONLY

 

    
  4.  

SOURCE OF FUNDS*

 

            WC

    
  5.  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

   ¨
  6.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            Delaware

    

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

  

  7.    SOLE VOTING POWER:

 

                Less than 5%

 

  8.    SHARED VOTING POWER

 

                Less than 5%

 

  9.    SOLE DISPOSITIVE POWER:

 

                Less than 5%

 

10.    SHARED DISPOSITIVE POWER

 

                Less than 5%

11.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            Less than 5%

    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*

 

   ¨
13.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

            Less than 5%

    
14.  

TYPE OF REPORTING PERSON*

 

            CO

    

 

-6-

Bertelsmann, Inc., a Delaware corporation (“Bertelsmann, Inc.”), Bertelsmann Multimedia, Inc., a Delaware corporation and a wholly-owned direct subsidiary of Bertelsmann, Inc. (“Bertelsmann Multimedia”), Bertelsmann Publishing Group, Inc., a Delaware corporation and a wholly-owned direct subsidiary of Bertelsmann, Inc. (“Bertelsmann Publishing”), Random House, Inc., a New York corporation and a wholly-owned direct subsidiary of Bertelsmann Publishing (“Random House, Inc.”) and Random House VG LLC (f.k.a. Random House Ventures LLC), a Delaware limited liability company the sole member of which is Random House, Inc. (“RH Ventures”), hereby amend and supplement the Statement on Schedule 13D, originally filed on August 14, 2003 (“Initial Schedule 13D”) and amended by filing Amendment No. 1 thereto on December 24, 2003 (“Amendment No. 1”) and Amendment No. 2 thereto on December 3, 2004 (“Amendment No. 2” together with the Initial Schedule 13D, Amendment No. 1 and this Amendment No. 3 the “Schedule 13D”), with respect to the beneficial ownership of shares of Common Stock, par value $0.01 per share of Audible, Inc., a Delaware corporation. As used herein, Bertelsmann, Inc., Bertelsmann Multimedia, Bertelsmann Publishing, Random House, Inc. and RH Ventures are referred to individually as a “Reporting Person” and collectively as the “Reporting Persons”.

Unless otherwise indicated, each capitalized term used but not defined herein shall have the meaning assigned to such term in the Schedule 13D.

Item 4. Purpose of Transaction.

Item 4 of the original Schedule 13D is hereby amended by the addition of the following:

“The Reporting Persons are filing Amendment No. 3 to disclose that the Reporting Persons beneficially own in the aggregate less than 5% of the outstanding shares of Common Stock.”

Item 5. Interest in Securities of the Issuer.

Item 5 of the original Schedule 13D is hereby amended to read as follows:

“(a)(b) The Reporting Persons currently beneficially own in the aggregate less than 5% of the outstanding shares of Common Stock of the Issuer.

(c)(d) Not applicable.

(e) The Reporting Persons ceased to be the beneficial owners of more than 5% of the outstanding shares of Common Stock upon the expiration of a warrant to purchase 292,277 shares of Common Stock on May 5, 2007.”

Item 7. Material to be Filed as Exhibits.

Exhibit 8* Joint Filing Agreement dated as of December 3, 2004 between Random House, Inc., Random House Ventures LLC, Bertelsmann, Inc., Bertelsmann Multimedia, Inc. and Bertelsmann Publishing Group, Inc.

*

Previously filed.

 

-7-

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.

Dated: November 21, 2007

 

RANDOM HOUSE, INC.

By:

  

/s/ Robert J. Sorrentino

Name:

   Robert J. Sorrentino

Title:

   Senior Vice President, Taxes

RANDOM HOUSE VG LLC

By:

  

/s/ Robert J. Sorrentino

Name:

   Robert J. Sorrentino

Title:

   Vice President, Taxes

BERTELSMANN, INC.

By:

  

/s/ Robert J. Sorrentino

Name:

   Robert J. Sorrentino

Title:

   President and Chief Executive Officer

BERTELSMANN MULTIMEDIA, INC.

By:

  

/s/ Robert J. Sorrentino

Name:

   Robert J. Sorrentino

Title:

   President

BERTELSMANN PUBLISHING GROUP, INC.

By:

  

/s/ Robert J. Sorrentino

Name:

   Robert J. Sorrentino

Title:

   President

 

-8-

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