-----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, L5K9ierwRBzRMhCi7QiSmtQY+Atx+4CgxSs326wM8YS5L2TXuWhkvr106lJoJxpu HKrwLNtoEMUGizBgxAURRA== 0001123292-03-000412.txt : 20030905 0001123292-03-000412.hdr.sgml : 20030905 20030905202225 ACCESSION NUMBER: 0001123292-03-000412 CONFORMED SUBMISSION TYPE: 5/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20030905 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MEDIABAY INC CENTRAL INDEX KEY: 0001040973 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CATALOG & MAIL-ORDER HOUSES [5961] IRS NUMBER: 650429858 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2 RIDGEDALE AVENUE CITY: CEDAR KNOLLS STATE: NJ ZIP: 07927 BUSINESS PHONE: 9735399528 MAIL ADDRESS: STREET 1: 2 RIDGEDALE AVENUE CITY: CEDAR KNOLLS STATE: NJ ZIP: 07927 FORMER COMPANY: FORMER CONFORMED NAME: AUDIO BOOK CLUB INC DATE OF NAME CHANGE: 19970612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HERRICK NORTON CENTRAL INDEX KEY: 0000904829 FILING VALUES: FORM TYPE: 5/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13469 FILM NUMBER: 03884844 BUSINESS ADDRESS: STREET 1: C/O HERRICK CO STREET 2: 2 RIDGEDALE AVE CITY: CEDAR KNOLLS STATE: NJ ZIP: 07927 BUSINESS PHONE: 973-539-1390 MAIL ADDRESS: STREET 1: C/O HERRICK CO STREET 2: 2 RIDGEDALE AVE CITY: CEDAR KNOLLS STATE: NJ ZIP: 07927 5/A 1 edgar.xml PRIMARY DOCUMENT X0201 5/A1999-12-312000-02-03 0 1 0001040973 MEDIABAY INC MBAY 0000904829 HERRICK NORTON C/O THE HERRICK COMPANY, INC. 2 RIDGEDALE AVENUE CEDAR KNOLLS NJ 07927 1010Convertible Senior Note Due December 31, 200411.1251999-07-064D0L4350000.004350000.00D1999-06-112004 - -12-31Common Stock3910110DConvertible Senior Subordinated Note Due December 31, 200411.1251999-12-214S0L1112500.001112500.00D1998-12-312004-12-31Common Stock1000007000000.00DConvertible Senior Subordinated Note Due December 31, 200411.1251999-12-304S0L887500.00887500.00D1998-12-312004-12-31Common Stock797757000000.00DCommon Stock Warrants (Right to Buy)8.411999-12-214A0L25958A< value>1999-12-212003-12-31Common Stock25958811667DCommon Stock Warrants (Right to Buy)8.411999-12-304A0L20709A1999-12-302003-12-31Common Stock20709811667DThe Issuer paid to the Reporting Pers on the $4,350,000 amount due on the convertible note, and thereupon cancelled the note. On December 21, 1999, the Reporting Person entered into an agreement (the Agreement) with a third party under which the third party agreed to purchase from the Reporting Person, in a series of payments due to be completed by January 31, 2000, $9,000,000 of the Convertible Senior Subordinated Promissory Note Due December 31, 2004. The note had an initial principal amount of $15,000,000, as described in note 1 of the Reporting Person's amended Form 4 for September 1999. The third party made payments at various intervals, including the $1,112,500 and $887,500 referenced above, reflecting the purchase of those portions of the note. The third party paid an aggregate of $4,223,750. On January 24, 2000, the Reporting Person and the third party entered into an agreement which terminated the Agreement and the third party's right and obligation to purchase the remainder of the note. Pursuant to a letter agreement dated December 31, 1998, between the Reporting Person and the Issuer, which is described in note 1 of the Reporting Person's amended Form 4 for September 1999, the Issuer issued to the Reporting Person warrants for 25,958 shares of Common Stock and 20,709 shares of Common Stock as a result of the refinancing of $1,112,500 and $887,500 of the $15,000,000 principal note mentioned in note 2 above.Norton Herrick2003-09-05 -----END PRIVACY-ENHANCED MESSAGE-----