-----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, Mp6okFwyQUnZ6AKHt9zEBRoE47++81ally9odF2/gUWPixs+AL9PlV3TVmnTNN3v DbHCpD16aqE5fphBlmt0nQ== 0000950144-98-005000.txt : 19980424 0000950144-98-005000.hdr.sgml : 19980424 ACCESSION NUMBER: 0000950144-98-005000 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980422 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOVE ENTERTAINMENT INC CENTRAL INDEX KEY: 0000930436 STANDARD INDUSTRIAL CLASSIFICATION: PHONOGRAPH RECORDS & PRERECORDED AUDIO TAPES & DISKS [3652] IRS NUMBER: 954015834 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46517 FILM NUMBER: 98598916 BUSINESS ADDRESS: STREET 1: 8955 BEVERLY BLVD CITY: LOS ANGELES STATE: CA ZIP: 90048 BUSINESS PHONE: 3102737722 MAIL ADDRESS: STREET 1: 301 NORTH CANNON DR SUITE 207 STREET 2: 8955 BEVERLY BLVD CITY: WEST HOLLYWOOD STATE: CA ZIP: 90048 FORMER COMPANY: FORMER CONFORMED NAME: DOVE AUDIO INC DATE OF NAME CHANGE: 19941021 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HERRICK NORTON CENTRAL INDEX KEY: 0000904829 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2295 CORPORATE BLVD N W SUITE 222 CITY: BOCA RATON STATE: FL ZIP: 33431 MAIL ADDRESS: STREET 1: AUDIO BOOK CLUB INC STREET 2: 2295 CORPORATE BLVD STE 222 CITY: BOCA RATON STATE: FL ZIP: 33431 SC 13D/A 1 DOVE ENTERTAINMENT, INC./NORTON HERRICK SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 DOVE ENTERTAINMENT, INC. ------------------------ (Name of Issuer) Common Stock, $0.01 Par Value Per Share --------------------------------------- (Title of Class of Securities) 259901 10 6 ----------- (CUSIP Number) Jonathan L. Awner, Esq. Akerman, Senterfitt & Eidson, P.A. One S.E. Third Avenue, Suite 2800 Miami, Fl 33131 (305) 374-5600 ------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 20, 1998 -------------- (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 [ ]. 2 (1) Name of Reporting Person. S.S. or I.R.S. Norton Herrick Identification No. of Above Person (2) Check the Appropriate Box if (a) a Member of a Group (See Instructions) (b) (3) SEC Use Only (4) Source of Funds (See Instructions) PF (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) (6) Citizenship or Place of Organization United States Number of Shares (7) Sole Voting Power 315,000 Beneficially Owned by Each (8) Shared Voting Power -0- Reporting Person With (9) Sole Dispositive Power 315,000 (10) Shared Dispositive Power -0- (11) Aggregate Amount Beneficially 315,000 owned by Each Reporting Person (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) (13) Percent of Class Represented 4.9% (See Item 5) by Amount in Row (11) (14) Type of Reporting Person (See Instructions) IN 2 3 The reporting person listed on the cover page to this Schedule 13D hereby makes the following statement (this "Statement") pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations promulgated thereunder. This Statement is an amendment of the Schedule 13D dated February 5, 1997 (the "Original Schedule 13D"). Capitalized terms used herein and not defined have the meanings ascribed to them in the Original Schedule 13D. For further information regarding any of the items amended herein, reference is made to the Original Schedule 13D. As a result of the transactions reported in this Statement, Mr. Herrick is no longer subject to the reporting requirements of Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 of the Original Schedule 13D is hereby amended in its entirety as follows: (a), (b) and (e) As of February 5, 1997, Mr. Herrick may be deemed to beneficially own 315,000 shares of Common Stock (which includes 127,500 shares of Common Stock issuable upon exercise of the Warrants), representing approximately 4.9% of the outstanding shares of Common Stock, calculated in accordance with Rule 13d-3 under the Exchange Act (based on 6,301,544 shares of Common Stock issued and outstanding as reported on the Issuer's Quarterly Report on Form 10-QSB/A for the quarter ended September 30, 1997, plus the 127,500 shares of Common Stock issuable upon exercise of the Warrants that Mr. Herrick may be deemed to beneficially own and which are deemed outstanding for purposes of this computation). (c) On March 20, 1998, Mr. Herrick sold Warrants to purchase 60,000 shares of Common Stock at $.10 per warrant in a privately negotiated transaction. 3 4 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. DATED: April 3, 1998 /s/ Norton Herrick -------------------------------------- NORTON HERRICK 4 -----END PRIVACY-ENHANCED MESSAGE-----