-----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, N9sv9R3ntEllYJOghaVeepxOKuqNAIKoCxEUEQRyMXpHQMgl0eZgDDR5nFvLiXFG 5lXSUjsCapInmclAxQppig== 0001123292-03-000431.txt : 20030905 0001123292-03-000431.hdr.sgml : 20030905 20030905210257 ACCESSION NUMBER: 0001123292-03-000431 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021115 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: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-13469 FILM NUMBER: 03884872 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 4/A 1 edgar.xml PRIMARY DOCUMENT X0201 4/A2002-11-152002-11-18 0001040973 MEDIABAY INC MBAY 0000904829 HERRICK NORTON C/O THE HERRICK COMPANY, INC. 2 RIDGEDALE AVENUE CEDAR KNOLLS NJ 07927 1010Employee Stock Option (Right to Buy)3.502002-11-154D02500000D1998-06-162003-06-16Common Stock2500000DEmployee Stock Option (Right to Buy)3.502002-11-154A02500000A2003-06-16Common Stock250000250000DEmployee Stock Option (Right to Buy)5.252002-11-154D07500000D1998-09-102003-09-10Common Stock7500000DEmployee Stock Option (Right to Buy)5.252002-11-154A07500000A2003-09-10Common Stock750000750000DThe original expiration date of the options was June 16, 2003, but the options were subject to early termination in connection with termination of employment with the Issuer. Pursuant to an agreement entered into on November 15, 2002, between the Issuer and the Reporting Person, the parties agreed the early termination provisions of the options would be deleted in connection with the resignation of the Reporting Person as Chairman of the Issuer so that the options would continue to run until the end of their original termination. The result of this amendment was the deemed cancellation of the original options and the grant of replacement options. The options expired pursuant to their terms on June 16, 2003. The original expiration date of the options is September 10, 2003, but the options were subject to early termination in connection with termination of employment with the Issuer. Pursuant to an agreement entered into on November 15, 2002, between the Issuer and the Reporting Person, the parties agreed the early termination provisions of the options would be deleted in connection with the resignation of the Reporting Person as Chairman of the Issuer so that the options would continue to run until the end of their original termination. The result of this amendment was the deemed cancellation of the original options and the grant of replacement options. The options are schedule to expire pursuant to their terms September 10, 2003. The Reporting Person previously reported in the Form 4 for November 15, 2002 the acquisition of a convertible note and warrants to purchase Common Stock on November 15, 2002. Although the convertible note and warrants were issued on November 15, 2002, the note and warrants were not convertible into shares of Common Stock until approved by the Issuer's shareholders. Approval for the conversion was obtained on November 27, 2002. Accordingly, the Reporting Person filed a separate report showing the dates of these transactions as November 27, 2002.Norton Herrick2003-09-05 -----END PRIVACY-ENHANCED MESSAGE-----