-----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, OVhEHLvCEFkR7JaEjoyn1EvsEFPjcRIVf3sQOXrL+ILHK3cyKq0n794hpZilhN9I Z2PqiNiqlr69b91lJIuPYA== 0001181431-10-053901.txt : 20101105 0001181431-10-053901.hdr.sgml : 20101105 20101105213512 ACCESSION NUMBER: 0001181431-10-053901 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101012 FILED AS OF DATE: 20101105 DATE AS OF CHANGE: 20101105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ET HOLDINGS LLC CENTRAL INDEX KEY: 0001271126 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 101170488 MAIL ADDRESS: STREET 1: 1250 FOURTH STREET STREET 2: SUITE 550 CITY: SANTA MONICA STATE: CA ZIP: 90401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILKEN LOWELL J CENTRAL INDEX KEY: 0001261505 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 101170485 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAMPSTEAD ASSOCIATES LLC CENTRAL INDEX KEY: 0001275753 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 101170487 BUSINESS ADDRESS: STREET 1: C/O MARON & SANDLER STREET 2: 1250 4TH STREET 3RD FLOOR CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 3105704905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIDGEVIEW ASSOCIATES LLC CENTRAL INDEX KEY: 0001275754 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 101170486 BUSINESS ADDRESS: STREET 1: C/O MARON & SANDLER STREET 2: 1250 4TH STREET 3RD FLOOR CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 3105704905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILKEN MICHAEL R CENTRAL INDEX KEY: 0001045218 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31396 FILM NUMBER: 101170484 MAIL ADDRESS: STREET 1: 1250 4TH STREET CITY: SANTA MONICA STATE: CA ZIP: 90401 ISSUER: 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 FISCAL YEAR END: 1231 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 4 1 rrd290297.xml FORM 4 X0303 4 2010-10-12 0 0001138951 LEAPFROG ENTERPRISES INC LF 0001271126 ET HOLDINGS LLC 1250 FOURTH STREET SANTA MONICA CA 90401 0 0 1 0 0001275753 HAMPSTEAD ASSOCIATES LLC 1250 FOURTH STREET SANTA MONICA CA 90401 0 0 1 0 0001275754 RIDGEVIEW ASSOCIATES LLC 1250 FOURTH STREET SANTA MONICA CA 90401 0 0 1 0 0001261505 MILKEN LOWELL J 1250 FOURTH STREET SANTA MONICA CA 90401 0 0 1 0 0001045218 MILKEN MICHAEL R 1250 FOURTH STREET SANTA MONICA CA 90401 0 0 1 0 Class A Common Stock, $.0001 par value 2010-11-03 4 C 0 2000000 A 2000000 D Class A Common Stock, $.0001 par value 2010-11-03 4 S 0 152000 6.23 D 1848000 D Class A Common Stock, $.0001 par value 2010-11-04 4 S 0 100000 6.00 D 1748000 D Class A Common Stock, $.0001 par value 2010-11-05 4 S 0 150000 5.64 D 1598000 D Class A Common Stock, $.0001 par value 2010-10-12 4 C 0 275000 A 315137 I By Lowell J. Milken Class A Common Stock, $.0001 par value 601789 I By Michael R. Milken Class B Common Stock, $.0001 par value 2010-11-03 4 C 0 2000000 D Class A Common Stock, $.000 par value 2000000 2336216 D Class B Common Stock, $.0001 par value 2010-10-12 4 C 0 275000 D Class A Common Stock, $.000 par value 275000 521335 I By Lowell J. Milken Class B Common Stock, $.0001 par value Class A Common Stock, $.000 par value 5039937 5039937 I By Michael R. Milken Class B Common Stock, $.0001 par value Class A Common Stock, $.000 par value 11579 11579 I By Hampstead Associates, L.L.C. Class B Common Stock is convertible into Class A Common Stock at any time on a one-for-one basis and has no expiration date. The price reported in Column 4 is a weighted average price. These shares were sold by ET Holdings, L.L.C., a Delaware limited liability company ("ET Holdings"), in multiple transactions at prices ranging from $6.20 to $6.37, inclusive. ET Holdings undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. The price reported in Column 4 is a weighted average price. These shares were sold by ET Holdings in multiple transactions at prices ranging from $5.98 to $6.20, inclusive. ET Holdings undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. The price reported in Column 4 is a weighted average price. These shares were sold by ET Holdings in multiple transactions at prices ranging from $5.55 to $5.77, inclusive. ET Holdings undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. These shares are held of record by ET Holdings. These shares are held of record by Lowell J. Milken. These shares are held of record by Michael R. Milken. These shares are held of record by Hampstead Associates, L.L.C., a Delaware limited liability company ("Hampstead"). Hampstead is the sole manager and the sole member of ET Holdings, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record by ET Holdings. Knowledge Universe LLC, a California limited liability company (formerly known as Ridgeview Associates, L.L.C.) ("KU"), is the manager and a member of Hampstead, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record by Hampstead. (Continued in Footnote 10) Messrs. Michael R. Milken and Lowell J. Milken may each be deemed to be a controlling person of each of Hampstead and KU, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record, or beneficially owned, by each of ET Holdings, Hampstead and KU, but each disclaims such beneficial ownership except to the extent of his pecuniary interest therein. ET Holdings, Hampstead, KU, Michael R. Milken and Lowell J. Milken may be deemed to be a group. Each of ET Holdings, Hampstead, KU and Messrs. Michael R. Milken and Lowell J. Milken disclaims such group membership. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934, or otherwise, that any one of ET Holdings, Hampstead, KU, Michael R. Milken or Lowell J. Milken is the beneficial owner of equity securities covered by this statement or any other statement that are beneficially owned, directly or indirectly, by any other person. /s/ Stanley E. Maron, Secretary of ET HOLDINGS, L.L.C. 2010-11-05 /s/ Stanley E. Maron, Secretary of HAMPSTEAD ASSOCIATES, L.L.C. 2010-11-05 /s/ Stanley E. Maron, Secretary of KNOWLEDGE UNIVERSE LLC 2010-11-05 /s/ Lowell J. Milken 2010-11-05 /s/ Michael R. Milken 2010-11-05 -----END PRIVACY-ENHANCED MESSAGE-----