-----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, Fjs8ZtqKzQELBC3F8CFsits2DMDGRoB0Ka2iZsTtFqi1tfBfD0gg8bWeF+DjtsXw ql97rqWSTD9HlFcQaqHpcA== 0001181431-10-022916.txt : 20100426 0001181431-10-022916.hdr.sgml : 20100426 20100426210841 ACCESSION NUMBER: 0001181431-10-022916 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100105 FILED AS OF DATE: 20100426 DATE AS OF CHANGE: 20100426 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH RANDALL D CENTRAL INDEX KEY: 0001016345 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23264 FILM NUMBER: 10771562 MAIL ADDRESS: STREET 1: 885 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMMIS COMMUNICATIONS CORP CENTRAL INDEX KEY: 0000783005 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 351542018 STATE OF INCORPORATION: IN FISCAL YEAR END: 0228 BUSINESS ADDRESS: STREET 1: ONE EMMIS PLAZA STREET 2: 40 MONUMENT CIRCLE SUITE 700 CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: 3172660100 MAIL ADDRESS: STREET 1: ONE EMMIS PLAZA STREET 2: 40 MONUMENT CIRCLE #700 CITY: INDIANAPOLIS STATE: IN ZIP: 46204 FORMER COMPANY: FORMER CONFORMED NAME: EMMIS BROADCASTING CORPORATION DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP CENTRAL INDEX KEY: 0001452225 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23264 FILM NUMBER: 10771564 BUSINESS ADDRESS: STREET 1: C/O ALDEN GLOBAL CAPITAL STREET 2: 885 THIRD AVENUE, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-888-5500 MAIL ADDRESS: STREET 1: C/O ALDEN GLOBAL CAPITAL STREET 2: 885 THIRD AVENUE, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alden Global Distressed Opportunities Fund GP, LLC CENTRAL INDEX KEY: 0001490348 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23264 FILM NUMBER: 10771563 BUSINESS ADDRESS: STREET 1: 885 THIRD AVENUE, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-888-5500 MAIL ADDRESS: STREET 1: 885 THIRD AVENUE, 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 rrd273497.xml FORM 4 X0303 4 2010-01-05 0 0000783005 EMMIS COMMUNICATIONS CORP EMMS 0001452225 ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK NY 10022 0 0 1 0 0001490348 Alden Global Distressed Opportunities Fund GP, LLC C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK NY 10022 0 0 1 0 0001016345 SMITH RANDALL D C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK NY 10022 0 0 1 0 Cash-Settled Equity Swap 1.163 2010-02-08 2010-02-09 4 P 1 3400 1.16 A 2010-02-08 2011-03-11 Class A Common Stock 3400 1504513 D Cash-Settled Equity Swap 1.152 2010-02-09 2010-02-10 4 P 1 10250 1.15 A 2010-02-09 2011-03-14 Class A Common Stock 10250 1514763 D Cash-Settled Equity Swap 1.139 2010-02-10 2010-02-11 4 P 1 5260 1.14 A 2010-02-10 2011-03-15 Class A Common Stock 5260 1520023 D Cash-Settled Equity Swap 1.106 2010-02-11 2010-02-15 4 P 1 37200 1.11 A 2010-02-11 2011-03-16 Class A Common Stock 37200 1557223 D Cash-Settled Equity Swap 0.942 2010-02-24 2010-02-25 4 P 1 9400 0.94 A 2010-02-24 2011-03-29 Class A Common Stock 9400 1566623 D Cash-Settled Equity Swap 0.895 2010-02-25 2010-03-01 4 P 1 83900 0.90 A 2010-02-25 2010-03-30 Class A Common Stock 83900 1650523 D Cash-Settled Equity Swap 0.875 2010-02-26 2010-03-01 4 P 1 12857 0.88 A 2010-02-26 2011-03-31 Class A Common Stock 12857 1663380 D Cash-Settled Equity Swap 0.9 2010-03-01 2010-03-02 4 P 1 6100 0.90 A 2010-03-01 2011-04-06 Class A Common Stock 6100 1669480 D Cash-Settled Equity Swap 1.15 2010-03-18 2010-03-19 4 P 1 200000 1.15 A 2010-03-18 2011-04-15 Class A Common Stock 200000 1869480 D Cash-Settled Equity Swap 1.00 2010-03-19 2010-03-22 4 P 1 99937 1.00 A 2010-03-19 2011-04-15 Class A Common Stock 99937 1969417 D 6.25% Series A Preferred 2010-03-29 2010-04-01 4 P 0 72563 15.48 A Class A Common Stock 177053.72 1154442 D 6.25% Series A Preferred 2010-03-30 2010-04-05 4 P 0 7785 15.13 A Class A Common Stock 18995.40 1162227 D 6.25% Series A Preferred 2010-03-31 2010-04-06 4 P 0 510 15.13 A Class A Common Stock 1244.40 1162737 D Cash-Settled Equity Swap 1.316 2010-04-09 2010-04-12 4 P 1 61012 1.32 A 2010-04-09 2011-04-15 Class A Common Stock 61012 2030429 D The convertible preferred stock is convertible at any time, at the holder's election and has no expiration date. As disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended February 28, 2009, each share of convertible preferred stock is convertible into a number of shares of common stock which is determined by dividing the liquidation preference of the shares of preferred stock ($50.00 per share) by the conversion price. The conversion price is $20.495, which results in a conversion ratio of 2.44 shares of common stock per share of preferred stock. Swaps are not counted for purposes of determining 10% beneficial ownership. These contracts do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer. Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such contracts or that may be held from time to time by any counterparties to the contracts. All securities are owned by Alden Global Distressed Opportunities Fund, LP. Alden Global Distressed Opportunities Fund GP, LLC is the sole general partner of Alden Global Distressed Opportunities Fund, LP. Randall D. Smith is the managing member of Alden Global Distressed Opportunities Fund GP, LLC. Each of Alden Global Distressed Opportunities Fund GP, LLC and Mr. Smith disclaims beneficial ownership of such securities except to the extend of their respective pecuniary interest therein. Form 2 of 2 /s/ Jim Plohg, Vice President, Alden Global Distressed Opportunities Fund GP, LLC, General Partner for Alden Global Distressed Opportunities Fund, LP 2010-04-26 /s/ Jim Plohg, Vice President, Alden Global Distressed Opportunities Fund GP, LLC 2010-04-26 /s/ Randall D. Smith 2010-04-26 -----END PRIVACY-ENHANCED MESSAGE-----