-----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, ITcm1IM0G/oF3kLS14kQc6mlz8lR4tqC8mys9o/sgICwWTnCH2faYCG6DlKsPadP axsVBX304QPg2xmQuiKVhA== 0001193125-04-023332.txt : 20040213 0001193125-04-023332.hdr.sgml : 20040213 20040213165704 ACCESSION NUMBER: 0001193125-04-023332 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LEAPFROG ENTERPRISES INC CENTRAL INDEX KEY: 0001138951 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 954700094 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78827 FILM NUMBER: 04600023 BUSINESS ADDRESS: STREET 1: 6401 HOLLIS ST STREET 2: STE 150 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5104205000 MAIL ADDRESS: STREET 1: 6401 HOLLIS STREET STREET 2: SUITE 150 CITY: EMERYVILLE STATE: CA ZIP: 94608 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WOOD MICHAEL C CENTRAL INDEX KEY: 0001215345 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O LEAPFROG ENTERPRISES INC STREET 2: 6401 HOLLIS STREET SUITE 150 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5104205000 SC 13G/A 1 dsc13ga.htm SC 13G/A SC 13G/A

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G/A

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 1 )*

 

 

 

 

 

LEAPFROG ENTERPRISES, INC

(Name of Issuer)

 

 

CLASS A COMMON STOCK

(Title of Class of Securities)

 

 

52186N106

                                (CUSIP Number)                                

 

 

FEBRUARY 13, 2004

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨ Rule 13d-1(b)

 

¨ Rule 13d-1(c)

 

x Rule 13d-1(d)

 

 

*   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 in 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 5

CUSIP No. 52186N106

 

  1.  

Name of Reporting Persons

I.R.S. Identification No(s). of above person(s) (entities only).

 

Michael C. Wood

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨

(b)  x

    
  3.  

SEC Use Only

 

    
  4.  

Citizenship or Place of Organization

 

USA

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  5.    Sole Voting Power

 

        2,644,520(1)

  6.    Shared Voting Power

 

        24,302(2)

  7.    Sole Dispositive Power

 

        2,644,520(1)

  8.    Shared Dispositive Power

 

        24,302(2)

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,668,822(1)(2)

    
10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

    
11.  

Percent of Class Represented by Amount in Row (9)

 

8.4% (3)

    
12.  

Type of Reporting Person (See Instructions)

 

IN

    

 

(1) Includes 573,516 shares of Class A Common Stock issuable pursuant to options exercisable within 60 days of February 13, 2004.

 

(2) Represents shares held by reporting person’s wife.

 

(3) Includes 573,516 shares of Class A Common Stock issuable pursuant to options exercisable within 60 days of February 13, 2004. The percent of class is based on 31,272,816 shares of Class A Common Stock outstanding as of December 31, 2003, as represented to the reporting person by LeapFrog Enterprises, Inc.

 

Page 2 of 5

Item 1.

   (a)   

Name of Issuer:

 

LeapFrog Enterprises, Inc.

          
    (b)   

Address of Issuer’s Principal Executive Offices

 

6401 Hollis Street, Suite 150

Emeryville, CA 94608

          

Item 2.

   (a)   

Name of Person Filing:

 

Michael C. Wood

          
   

(b)

   

Address of Principal Business Office or, if none, Residence:

 

c/o LeapFrog Enterprises, Inc.

6401 Hollis Street, Suite 150

Emeryville, CA 94608

          
   

(c)

   

Citizenship:

 

USA

          
    (d)   

Title of Class of Securities:

 

Class A Common Stock

          
   

(e)

   

CUSIP Number:    

 

52186N106

          

Item 3.

   If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:     
    (a)    ¨    Broker or Dealer registered under section 15 of the Act (15 U.S.C. 78o);
    (b)    ¨    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
    (c)    ¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
    (d)    ¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
    (e)    ¨    An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
    (f)    ¨    An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
    (g)    ¨    A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);
    (h)    ¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
    (i)    ¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
    (j)    ¨    Group, in accordance with §240.13d-1(b)(1)(ii)(J)

 

Page 3 of 5

Item 4.

    Ownership.          
     Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.          
     (a)    Amount beneficially owned: 2,668,822          
     (b)    Percent of class: 8.4%          
     (c)    Number of shares as to which the person has:          
          (i)    Sole power to vote or to direct the vote: 2,644,520 (1)          
          (ii)    Shared power to vote or to direct the vote: 24,302 (2)          
          (iii)    Sole power to dispose or to direct the disposition of: 2,644,520 (1)          
          (iv)    Shared power to dispose or to direct the disposition of: 24,302 (2)          

Item 5.

    Ownership of Five Percent or Less of a Class     
     If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ¨.     

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 or Control Person
     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 4 of 5

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, 2004

/s/    Michael C. Wood        

Signature

 

/s/    Michael C. Wood, individually        

Name/Title

 

Page 5of 5

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