-----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, HQRXVNrsnSjwnNYHTwGkNfqXUFws0VEfQPhQjvpCrEHUR2zF5FbvjhYz6s5FJVML Da5YsO2/4Ql2IOZlm735Hg== 0000950148-97-000305.txt : 19970221 0000950148-97-000305.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950148-97-000305 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970131 FILED AS OF DATE: 19970211 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOVE AUDIO 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24984 FILM NUMBER: 97523330 BUSINESS ADDRESS: STREET 1: 8955 BEVERLY BLVD CITY: WEST HOLLYWOOD STATE: CA ZIP: 90048 BUSINESS PHONE: 3102737722 MAIL ADDRESS: STREET 2: 8955 BEVERLY BLVD CITY: WEST HOLLYWOOD STATE: CA ZIP: 90048 COMPANY DATA: COMPANY CONFORMED NAME: SHELDON SIDNEY CENTRAL INDEX KEY: 0000944933 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O GELFAND RENNERT & FELDMAN STREET 2: 1880 CENTURY PARK EAST STE 900 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105531707 MAIL ADDRESS: STREET 1: GELFAND RENNERT & FELDMAN STREET 2: 1880 CENTURY PARK EAST STE 900 CITY: LOS ANGELES STATE: CA ZIP: 90067 4 1 4 1 - ------------------- FORM 4 - ------------------- [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b) U.S. SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer (Check all applicable) Dove Audio, Inc. (DOVE) Director X 10% Owner - ---------------------------------------------------------------------------------------- --- --- (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for Officer (give Other (specify Number of Reporting Month/Year --- title --- below) Sheldon Sidney Person (Voluntary) Jan. 1997 below) - ------------------------------------------ ---------------- (Street) ###-##-#### 5. If Amendment. ----------------------------------- c/o Gelfand, Rennert Date of Original 7. Individual or Joint/Group Filing & Feldman (Month/Year) (Check applicable line) 1880 Century Park East Form filed by one Reporting Suite 900, Los Angeles X Person --- Form filed by More than One Reporting Person --- - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) CA (Zip) 90062 Table 1--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired(A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form Direct Owned at Direct Bene- (Instr. 8) End of (D) or ficial (Month/ Month Indirect Owner- Day/ ------------------------------------- (Instr. 3 and (I) ship Year) Code V Amount (A) or Price 4) (Instr. (Instr. (D) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/30/97 S 2,000 D $2.50 609,913 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 25,000* I Trust - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
* If the Form is filed by other than one Reporting Person use Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly (Print or Type Response) * Includes 12,500 shares issuable upon exercise of warrants. 2 FORM 4 TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
- ------------------------------------------------------------------------------------------------------------------------- 1. TITLE OF 2. CONVER- 3. TRANS- 4. TRANSAC- 5. NUMBER OF 6. DATE EXER- 7. TITLE AND AMOUNT DERIVATIVE SION OR ACTION TION CODE DERIVATIVE CISABLE AND OF UNDERLYING SECURITY EXERCISE DATE (INSTR. 8) SECURITIES EXPIRATION SECURITIES (INSTR. 3) PRICE OF (MONTH/ ACQUIRED (A) DATE (MONTH/ (INSTR. 3 AND 4 DERIV- DAY/ OR DISPOSED OF DAY/YEAR) ATIVE YEAR) (D) (INSTR. 3, SECURITY 4, AND 5) ----------------------------------------- DATE EXPIRA- AMOUNT OR EXER- TION TITLE NUMBER OF CISABLE DATE SHARES --------------------------------- CODE V (A) (D) - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------- 8. PRICE 9. NUMBER 10. OWNER- 11. NA- OF OF DERIV- SHIP TURE DERIV- ATIVE SECUR- FORM OF IN- ATIVE ITIES OF DE- DIRECT SECUR- BENE- RIVATIVE BENE- ITY FICIALLY SECU- FICIAL INSTR. OWNED RITY: OWN- 5) AT END DIRECT ERSHIP OF (D) OR (INSTR. 4) MONTH INDI- (INSTR. 4) RECT (I) (INSTR. 4) - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------
Explanation of Responses: February 10, 1997 ------------------------------- ----------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----