-----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, H6YpTvOLSy0nhggXftiH+K8dGtMMY4VqnM3FQAfibxYCbvmnN/CaB5u6hC2Bp/sD olnjWr7hGl358So+zFphog== 0001169232-07-002677.txt : 20070615 0001169232-07-002677.hdr.sgml : 20070615 20070615160343 ACCESSION NUMBER: 0001169232-07-002677 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070615 DATE AS OF CHANGE: 20070615 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WorldSpace, Inc CENTRAL INDEX KEY: 0001315054 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 521732881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80914 FILM NUMBER: 07923161 BUSINESS ADDRESS: STREET 1: 2400 N STREET, NW CITY: WASHINGTON STATE: DC ZIP: 20037 BUSINESS PHONE: (202)969-6000 MAIL ADDRESS: STREET 1: 2400 N STREET, NW CITY: WASHINGTON STATE: DC ZIP: 20037 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 SC 13D/A 1 d72161_sc13da.txt AMENDMENT TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) WORLDSPACE, INC. (Name of Issuer) Class A Common Stock, $.01 par value (Title of Class of Securities) 981579105 (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Mr. Roger B. Peikin Aletheia Research & Management, Inc. 100 Wilshire Boulevard, Suite 1960 Santa Monica, CA 90401 (310)-899-0800 June 13, 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 schedule because of Rule 13d-1(b)(3) or (4) check the following box |_|. 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, as amended (the "Act"), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 981579105 Page 2 of 5 Pages - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON Aletheia Research & Management, Inc., IRS No.- 95-4647814 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC, OO - -------------------------------------------------------------------------------- 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 11,539,903 shares of Class A Common Stock. ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 11,539,903 shares of Class A Common Stock. WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,539,903 shares of Class A Common Stock. - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 28.95% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 1. Security and Issuer. This statement relates to the Class A Common Stock, $.01 par value per share (the "Class A Common Stock"), of Worldspace, Inc., a Delaware corporation (the "Issuer"). The Issuer maintains its principal executive office at 8515 Georgia Avenue, Silver Spring, MD 20910. Item 2. Identity and Background. (a) This statement is filed by Aletheia Research & Management, Inc., a California corporation, ("Aletheia"), with respect to shares of the Issuer's Common Stock held by managed accounts over which Aletheia has discretionary authority and through partnerships with respect to which Aletheia serves as general partner. (b) Aletheia filed an initial Schedule 13D for an event of February 27, 2007 (the "Initial Schedule"). Except to the extent set forth in this Amendment, the information in the Initial Schedule remains unchanged. Item 3. Source and Amount of Funds or Other Consideration. Aletheia owns 11,539,903 shares of the Issuer's Common Stock on behalf of managed accounts and partnerships with respect to which Aletheia serves as general partner. Such managed accounts and partnerships have collectively paid $47,111,282 from their personal funds or working capital for such shares. Item 5. Interest in Securities of the Issuer. (a) The number of shares of the Issuer's Common Stock and the percentage of the outstanding shares (based upon 39,865,110 shares of Common Stock outstanding as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2007) directly or indirectly beneficially owned by the Reporting Person is as follows: Percentage of Name Number of Shares Outstanding Shares - ---- ---------------- ------------------ Aletheia 11,539,903 28.95% (b) Aletheia has sole power to vote and sole power to dispose or to direct the disposition of 11,539,903 shares of the Issuer's Common Stock. (c) See Appendix 1 annexed hereto. 3 Signatures After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: June 14, 2007 ALETHEIA RESEARCH & MANAGEMENT, INC. By: /s/ Roger B. Peikin ------------------- Roger B. Peikin, Executive Vice President 4 Appendix 1 TRANSACTIONS IN WORLDSPACE, INC. COMMON STOCK FROM JUNE 4, 2007 TO JUNE 12, 2007 - -------------------------------------------------------------------------------- 1. Aletheia Insider Index, L.P. and Aletheia Insider Index II, L.P. TRADE PURCHASE TOTAL COST OR DATE NO. OF SHARES OR SALE PRICE SALES PRICE - -------------------------------------------------------------------------------- 06/05/07 34,700 PURCHASE 4.91 170,349.24 06/06/07 15,000 PURCHASE 5.40 80,962.50 ------------- -------------- 49,700 $ 251,311.74 2. Managed Accounts TRADE PURCHASE TOTAL COST OR DATE NO. OF SHARES OR SALE PRICE SALES PRICE - -------------------------------------------------------------------------------- 06/04/07 292 PURCHASE 4.00 1,168.00 06/04/07 2,645 PURCHASE 4.19 11,082.55 06/04/07 3,640 SALE 4.19 15,251.72 06/04/07 9,285 SALE 4.22 39,189.83 06/04/07 58 SALE 3.98 230.84 06/04/07 92 SALE 3.98 366.40 06/04/07 24 SALE 3.98 95.56 06/04/07 32 SALE 3.98 127.40 06/04/07 60 SALE 3.98 238.92 06/04/07 865 PURCHASE 4.20 3,633.00 06/04/07 72 SALE 3.98 286.74 06/04/07 72 SALE 3.98 286.72 06/04/07 4 SALE 3.97 15.88 06/04/07 42 SALE 3.98 167.25 06/04/07 296 SALE 3.98 1,178.94 06/04/07 400 PURCHASE 4.18 1,672.00 06/04/07 40 SALE 4.17 166.79 06/04/07 86 SALE 3.98 342.51 06/04/07 3,200 PURCHASE 4.24 13,562.88 06/04/07 5,100 PURCHASE 4.19 21,388.89 06/04/07 1,250 PURCHASE 4.19 5,236.63 06/04/07 5,100 PURCHASE 4.18 21,295.20 06/04/07 2,550 PURCHASE 4.19 10,696.30 06/04/07 2,315 PURCHASE 4.26 9,861.44 06/04/07 1,240 PURCHASE 4.20 5,207.50 06/04/07 2,970 PURCHASE 4.16 12,365.30 06/04/07 870 PURCHASE 4.17 3,627.90 06/04/07 843 PURCHASE 4.03 3,397.29 06/04/07 355 PURCHASE 4.23 1,501.61 06/04/07 585 PURCHASE 4.22 2,468.70 06/04/07 255 PURCHASE 4.21 1,073.55 06/04/07 3,570 PURCHASE 4.20 14,983.00 06/05/07 25,000 PURCHASE 4.90 122,492.80 06/05/07 1,800 PURCHASE 4.21 7,582.62 06/05/07 100 PURCHASE 4.28 427.80 06/05/07 100 PURCHASE 4.27 427.00 06/05/07 2,500 PURCHASE 4.28 10,700.00 06/05/07 100 PURCHASE 4.34 434.00 06/05/07 4,800 PURCHASE 4.35 20,880.00 06/05/07 15,000 PURCHASE 4.91 73,717.80 06/05/07 10,000 PURCHASE 4.91 49,146.80 06/05/07 3,755 PURCHASE 4.90 18,403.63 06/05/07 34,580 PURCHASE 4.76 164,714.91 06/05/07 50,000 PURCHASE 4.91 245,460.00 06/05/07 8,160 PURCHASE 4.92 40,147.20 06/05/07 2,720 PURCHASE 4.95 13,453.42 06/05/07 85 SALE 4.63 393.54 06/05/07 15 SALE 4.63 69.45 06/05/07 15 SALE 4.63 69.44 06/05/07 10 SALE 4.63 46.28 06/05/07 15 PURCHASE 4.69 70.35 06/05/07 1,915 PURCHASE 4.69 8,981.16 06/05/07 25 SALE 4.63 115.74 06/05/07 10 SALE 4.63 46.29 06/05/07 20 SALE 4.88 97.59 06/05/07 2,110 PURCHASE 4.85 10,233.50 06/05/07 20 SALE 4.64 92.79 06/05/07 1,160 PURCHASE 4.80 5,568.00 06/05/07 1,790 PURCHASE 4.85 8,689.56 06/05/07 485 PURCHASE 4.79 2,323.15 06/05/07 468 PURCHASE 4.78 2,238.72 06/05/07 2,385 PURCHASE 4.89 11,652.87 06/05/07 250 PURCHASE 4.65 1,162.48 06/06/07 9,700 PURCHASE 5.39 52,271.55 06/06/07 10,000 PURCHASE 5.41 54,079.80 06/06/07 47,800 PURCHASE 5.20 248,770.32 06/06/07 9,530 PURCHASE 5.51 52,489.33 06/06/07 3,675 SALE 5.30 19,488.16 06/06/07 50 SALE 5.41 270.49 06/06/07 20 SALE 5.41 108.20 06/06/07 135 SALE 5.42 731.69 06/06/07 110 SALE 5.45 599.50 06/06/07 90 PURCHASE 4.97 447.30 06/06/07 130 SALE 5.45 708.49 06/06/07 275 PURCHASE 5.23 1,438.25 06/06/07 278 PURCHASE 5.25 1,459.50 06/06/07 655 PURCHASE 5.55 3,635.18 06/06/07 1,420 SALE 5.29 7,511.82 06/06/07 1,255 PURCHASE 5.44 6,827.08 06/06/07 1,000 PURCHASE 5.10 5,100.10 06/06/07 1,080 PURCHASE 4.99 5,388.77 06/06/07 1,580 PURCHASE 4.78 7,556.35 06/06/07 2,150 PURCHASE 4.73 10,161.12 06/06/07 1,070 PURCHASE 4.72 5,049.44 06/06/07 1,110 PURCHASE 4.67 5,184.03 06/06/07 270 PURCHASE 4.60 1,241.97 06/06/07 534 PURCHASE 5.37 2,865.92 06/06/07 230 PURCHASE 5.48 1,260.38 06/06/07 320 PURCHASE 5.31 1,700.40 06/06/07 220 PURCHASE 5.33 1,171.94 06/06/07 185 PURCHASE 5.33 986.03 06/06/07 190 PURCHASE 5.32 1,010.08 06/06/07 185 PURCHASE 5.31 982.33 06/07/07 300 PURCHASE 5.47 1,639.80 06/07/07 810 PURCHASE 5.45 4,412.88 06/07/07 300 SALE 5.55 1,663.57 06/07/07 200 SALE 5.53 1,105.48 06/07/07 1,280 SALE 5.48 7,009.78 06/07/07 1,000 SALE 5.19 5,194.91 06/07/07 75 SALE 5.42 406.49 06/07/07 190 PURCHASE 5.45 1,035.50 06/07/07 530 PURCHASE 5.44 2,883.14 06/07/07 320 SALE 5.42 1,732.96 06/07/07 195 SALE 5.40 1,053.00 06/07/07 3,640 PURCHASE 5.44 19,789.59 06/07/07 1,820 PURCHASE 5.52 10,046.22 06/07/07 1,110 PURCHASE 5.42 6,016.20 06/07/07 609 PURCHASE 5.39 3,280.68 06/07/07 315 PURCHASE 5.49 1,729.32 06/07/07 415 SALE 5.42 2,251.11 06/07/07 255 PURCHASE 5.46 1,392.27 06/08/07 715 PURCHASE 5.58 3,993.15 06/08/07 680 PURCHASE 5.29 3,597.20 06/08/07 215 SALE 5.22 1,122.30 06/08/07 5 SALE 5.26 26.30 06/08/07 2 SALE 5.63 11.26 06/08/07 3 SALE 4.94 14.83 06/08/07 10 SALE 5.24 52.39 06/08/07 20 SALE 5.24 104.79 06/08/07 25 SALE 5.24 130.99 06/08/07 385 PURCHASE 5.28 2,032.76 06/08/07 25 SALE 5.22 130.49 06/08/07 790 PURCHASE 5.41 4,275.48 06/08/07 10 SALE 5.27 52.69 06/08/07 945 PURCHASE 5.24 4,954.36 06/08/07 1,510 PURCHASE 5.46 8,243.69 06/08/07 1,760 PURCHASE 5.43 9,557.50 06/08/07 1,410 PURCHASE 5.35 7,539.27 06/08/07 185 PURCHASE 5.27 975.04 06/08/07 185 PURCHASE 5.25 971.23 06/08/07 810 PURCHASE 5.26 4,261.80 06/08/07 950 PURCHASE 5.26 4,996.00 06/11/07 1,910 PURCHASE 5.28 10,084.80 06/11/07 1,875 PURCHASE 5.27 9,873.19 06/11/07 300 SALE 5.22 1,564.52 06/11/07 220 SALE 5.23 1,151.27 06/11/07 200 SALE 5.15 1,029.18 06/11/07 25 SALE 4.99 124.74 06/11/07 70 SALE 4.97 347.89 06/11/07 425 PURCHASE 5.02 2,133.46 06/11/07 70 SALE 351.39 06/11/07 6,145 SALE 5.11 31,414.59 06/11/07 50 SALE 5.02 250.99 06/11/07 35 SALE 5.02 175.69 06/11/07 366 PURCHASE 5.10 1,865.75 06/11/07 110 SALE 5.01 551.10 06/11/07 60 SALE 5.17 310.19 06/11/07 190 PURCHASE 5.18 984.18 06/11/07 190 PURCHASE 5.07 963.28 06/11/07 395 PURCHASE 5.03 1,986.81 06/11/07 620 PURCHASE 5.03 3,116.00 06/12/07 5,000 PURCHASE 5.23 26,148.50 06/12/07 26,360 PURCHASE 5.23 137,741.54 06/12/07 20,100 PURCHASE 4.98 100,009.56 06/12/07 38,205 PURCHASE 5.17 197,519.85 06/12/07 200 SALE 4.76 951.68 06/12/07 200 SALE 4.76 952.28 06/12/07 850 PURCHASE 5.23 4,445.50 06/12/07 10 PURCHASE 5.30 53.00 06/12/07 1,050 PURCHASE 5.03 5,281.61 06/12/07 8,065 PURCHASE 5.20 41,901.71 06/12/07 1,540 PURCHASE 5.13 7,895.58 06/12/07 3,030 PURCHASE 5.02 15,210.60 06/12/07 990 PURCHASE 5.22 5,169.09 06/12/07 1,010 PURCHASE 5.00 5,045.96 06/12/07 205 PURCHASE 5.29 1,083.45 06/12/07 554 PURCHASE 4.95 2,739.80 06/12/07 595 PURCHASE 5.22 3,105.84 06/12/07 770 PURCHASE 5.23 4,026.10 ------------- -------------- 458,842 $ 2,279,749 -----END PRIVACY-ENHANCED MESSAGE-----