-----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, WWVL59VhffNGTC2ODZOOEvAYetpi0V7kAfSYKOHg0lYPMJsbaLw30tJ+4hq5t8ug T9RM9320S1XqVhm3USMDKg== 0001209191-09-000176.txt : 20090102 0001209191-09-000176.hdr.sgml : 20090101 20090102164600 ACCESSION NUMBER: 0001209191-09-000176 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081230 FILED AS OF DATE: 20090102 DATE AS OF CHANGE: 20090102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BA SBIC MANAGEMENT LLC CENTRAL INDEX KEY: 0001274969 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501942 MAIL ADDRESS: STREET 1: 100 N TRYON ST 25TH FL CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANC OF AMERICA CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001272320 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501944 MAIL ADDRESS: STREET 1: 100 TRYON STREET 25TH FLOOR STREET 2: ATTN: EDWARD BALOGH CITY: CHERLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BA EQUITY MANAGEMENT GP LLC CENTRAL INDEX KEY: 0001274970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501941 MAIL ADDRESS: STREET 1: 100 N TRYON ST 25TH FL CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BANC OF AMERICA CAPITAL INVESTORS SBIC LP CENTRAL INDEX KEY: 0001274971 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501946 MAIL ADDRESS: STREET 1: 100 N TRYON ST 25TH FL CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BA EQUITY MANAGEMENT LP CENTRAL INDEX KEY: 0001276072 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501940 MAIL ADDRESS: STREET 1: 100 N TRYON ST 25TH FL CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BACM I GP LLC CENTRAL INDEX KEY: 0001272321 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501943 MAIL ADDRESS: STREET 1: 100 TRYON STREET 25TH FLOOR STREET 2: ATTN: EDWARD BALOGH CITY: CHERLOTTE STATE: NC ZIP: 28255 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CUMULUS MEDIA INC CENTRAL INDEX KEY: 0001058623 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 364159663 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3280 PEACHTREE ROAD N.W. STREET 2: SUITE 2300 CITY: ATLANTA STATE: GA ZIP: 30305 BUSINESS PHONE: 4049490700 MAIL ADDRESS: STREET 1: 3280 PEACHTREE ROAD N.W. STREET 2: SUITE 2300 CITY: ATLANTA STATE: GA ZIP: 30305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAIN J TRAVIS CENTRAL INDEX KEY: 0001223043 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501945 BUSINESS ADDRESS: STREET 1: 100 N TRYON ST STREET 2: 25TH FL CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 704-386-7839 MAIL ADDRESS: STREET 1: 100 NORTH TRYON STREET CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Banc of America Capital Management SBIC, LLC CENTRAL INDEX KEY: 0001334779 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501939 BUSINESS ADDRESS: STREET 1: 100 NORTH TRYON STREET STREET 2: 25TH FLOOR CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 704.386.1792 MAIL ADDRESS: STREET 1: 100 NORTH TRYON STREET STREET 2: 25TH FLOOR CITY: CHARLOTTE STATE: NC ZIP: 28255 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BA CAPITAL CO LP CENTRAL INDEX KEY: 0000902135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24525 FILM NUMBER: 09501947 BUSINESS ADDRESS: STREET 1: 100 NORTH TRYON STREET 25TH FLOOR CITY: CHARLOTTE STATE: NC ZIP: 28225 BUSINESS PHONE: 7043861792 MAIL ADDRESS: STREET 1: 100 NORTH TRYON STREET 25TH FLOOR CITY: CHARLOTTE STATE: NC ZIP: 28225 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANC CAPITAL CORP DATE OF NAME CHANGE: 19930423 4 1 c79008_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2008-12-30 0001058623 CUMULUS MEDIA INC CMLS 0000902135 BA CAPITAL CO LP 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 1 0 1 0 0001274971 BANC OF AMERICA CAPITAL INVESTORS SBIC LP 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001223043 HAIN J TRAVIS 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001272320 BANC OF AMERICA CAPITAL MANAGEMENT LP 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001272321 BACM I GP LLC 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001274969 BA SBIC MANAGEMENT LLC 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001274970 BA EQUITY MANAGEMENT GP LLC 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001276072 BA EQUITY MANAGEMENT LP 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 0001334779 Banc of America Capital Management SBIC, LLC 100 N TRYON ST. 25TH FLOOR CHARLOTTE NC 28255 0 0 1 0 Class A Common Stock 2008-12-30 4 A 0 10258 A 16258 I See Footnote Class A Common Stock 2008-12-30 4 A 0 3334 A 1665152 D Director Stock Options (Right to Buy) 14.62 2008-12-30 4 D 0 40000 D 2012-03-01 Class A Common Stock 40000 160000 I See Footnote Director Stock Options (Right to Buy) 14.03 2008-12-30 4 D 0 40000 D 2013-03-04 Class A Common Stock 40000 120000 I See Footnote Director Stock Options (Right to Buy) 19.38 2008-12-30 4 D 0 40000 D 2014-05-13 Class A Common Stock 40000 80000 I See Footnote Director Stock Options (Right to Buy) 14.36 2008-12-30 4 D 0 40000 D 2015-04-07 Class A Common Stock 40000 40000 I See Footnote Director Stock Options (Right to Buy) 9.40 2008-12-30 4 D 0 40000 D 2016-08-04 Class A Common Stock 40000 0 I See Footnote Director Stock Options (Right to Buy) 6.44 2008-12-30 4 D 0 25000 D 2010-10-04 Class A Common Stock 25000 40000 D Director Stock Options (Right to Buy) 5.92 2008-12-30 4 D 0 40000 D 2011-04-12 Class A Common Stock 40000 0 D Director Stock Options (Right to Buy) 2.54 2008-12-30 4 A 0 13498 A 2018-12-30 Class A Common Stock 13498 13498 I See Footnote Director Stock Options (Right to Buy) 2.92 2008-12-30 4 A 0 13498 A 2018-12-30 Class A Common Stock 13498 26996 I See Footnote Director Stock Options (Right to Buy) 3.30 2008-12-30 4 A 0 13497 A 2018-12-30 Class A Common Stock 13497 40493 I See Footnote Director Stock Options (Right to Buy) 2.54 2008-12-30 4 A 0 3928 A 2018-12-30 Class A Common Stock 3928 3928 D Director Stock Options (Right to Buy) 2.92 2008-12-30 4 A 0 3927 A 2018-12-30 Class A Common Stock 3927 7855 D Director Stock Options (Right to Buy) 3.30 2008-12-30 4 A 0 3927 A 2018-12-30 Class A Common Stock 3927 11782 D On December 30, 2008, the Issuer cancelled, pursuant to the Issuer's option exchange program, options granted to Robert H. Sheridan on: March 1, 2002; March 4, 2003; May 13, 2004; April 7, 2005 and August 4, 2006. In exchange for such options, Robert H. Sheridan received options to purchase 40,493 shares of Class A Common Stock and 10,258 shares of restricted Class A Common Stock. Represents shares of restricted Class A Common Stock and options to purchase shares of Class A Common Stock awarded to Robert H. Sheridan, who serves on the board of directors of the Issuer as a designee of BA Capital Company, L.P. ("BA Capital"). Pursuant to the policies of BA Capital and its affiliates, Mr. Sheridan is deemed to hold these shares and options for the benefit of BA Capital. BA Capital may be deemed the indirect beneficial owner of the shares of restricted Class A Common Stock and options. Additionally, the shares of restricted Class A Common Stock and options may be deemed to be beneficially owned by (a) BA SBIC Management, LLC, the general partner of BA Capital, (b) BA Equity Management, L.P., the sole member of BA SBIC Management, LLC, (c) BA Equity Management GP, LLC, the general partner of BA Equity Management, L.P., and (d) J. Travis Hain, the managing member of BA Equity Management GP, LLC. Mr. Hain disclaims beneficial ownership of such securities.< /footnote> On December 30, 2008, the Issuer cancelled, pursuant to the Issuer's option exchange program, options granted to BA Capital on October 4, 2000 and April 12, 2001. In exchange for such options, BA Capital received options to purchase 11,782 shares of Class A Common Stock and 3,334 shares of restricted Class A Common Stock. BA Capital holds 843,584 shares of Class A Common Stock of the Issuer. These securities may be deemed to be beneficially owned by (a) BA SBIC Management, LLC, the general partner of BA Capital, (b) BA Equity Management, L.P., the sole member of BA SBIC Management, LLC, (c) BA Equity Management GP, LLC, the general partner of BA Equity Management, L.P., and (d) J. Travis Hain, the managing member of BA Equity Management GP, LLC. Mr. Hain disclaims beneficial ownership of such securities. Banc of America Capital Investors SBIC, L.P. holds 821,568 shares of Class A Common Stock. These securities may be deemed to be beneficially owned by (a) Banc of America Capital Management SBIC, LLC, the general partner of Banc of America Capital Investors SBIC, L.P., (b) Banc of America Capital Management, L.P., the sole member of Banc of America Capital Management SBIC, LLC, (c) BACM I GP, LLC, the general partner of Banc of America Capital Management, L.P., and (d) Mr. Hain, the managing member of BACM I GP, LLC. Mr. Hain disclaims beneficial ownership of all such securities. Cancelled options provided for vesting in four equal annual installments beginning on March 1, 2002. Cancelled options provided for vesting in four equal annual installments beginning on March 4, 2003. Cancelled options provided for vesting in four equal annual installments beginning on May 13, 2004. Cancelled options provided for vesting in four equal annual installments beginning on April 7, 2005. Cancelled options provided for vesting in four equal annual installments beginning on August 4, 2006. Cancelled options provided for vesting in four equal annual installments beginning on October 4, 2000. Cancelled options provided for vesting in four equal annual installments beginning on April 12, 2001. Options become exercisable at the rate of (1) 50% on the second anniversary of the date of grant and (2) 25% on each of the two succeeding anniversaries thereafter. /s/ J. Travis Hain, Managing Member of BA Equity Management GP, LLC, the general partner of BA Equity Management, L.P., the sole member of BA SBIC Management, LLC, general partner of BA Capital Company, L.P. 2009-01-02 /s/ J. Travis Hain, Managing Member of BACM I GP, LLC, the general partner of Banc of America Capital Management, L.P., the sole member of Banc of America Capital Management SBIC, LLC, general partner of Banc of America Capital Investors SBIC, L.P. 2009-01-02 -----END PRIVACY-ENHANCED MESSAGE-----