-----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, EMsPLapxWQMnZGuVckuzKi+AARDydov7QwSwC/hyNGvBcCP2EhEpDHLlgXM1VvJF IZb6PR3ZGtxvkAepphDIag== 0000950130-96-002277.txt : 19960619 0000950130-96-002277.hdr.sgml : 19960619 ACCESSION NUMBER: 0000950130-96-002277 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960618 SROS: AMEX SROS: NYSE GROUP MEMBERS: BANKERS TRUST COMPANY GROUP MEMBERS: BANKERS TRUST NEW YORK CORP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE ENTERTAINMENT CORP CENTRAL INDEX KEY: 0000885066 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-DURABLE GOODS, NEC [5099] IRS NUMBER: 133645913 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42910 FILM NUMBER: 96582642 BUSINESS ADDRESS: STREET 1: 110 E 59TH ST STREET 2: 18TH FLR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129356662 FORMER COMPANY: FORMER CONFORMED NAME: TRINITY CAPITAL OPPORTUNITY CORP DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13D/A 1 AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.1 ) Alliance Entertainment Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.0001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 018593103 - -------------------------------------------------------------------------------- (CUSIP Number) Mr. James T. Byrne, Jr. Office of the Secretary Bankers Trust New York Corporation, 280 Park Avenue, New York, NY 10017 Tel. (212) 250-1869 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications June 14, 1996 - -------------------------------------------------------------------------------- (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 [ ]. Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Page 1 SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 018593103 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BT Capital Partners, Inc EIN No. 13-2725387 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC, BK (See Item 3) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ X ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 3,974,937 BENEFICIALLY _______________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _______________________________________________ 9. SOLE DISPOSITIVE POWER 3,974,937 _______________________________________________ 10. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,974,937 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.8% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 2 SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 018593103 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation EIN No. 13-6180473 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC, BK (See Item 3) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ X ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 0* BENEFICIALLY _______________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _______________________________________________ 9. SOLE DISPOSITIVE POWER 0* _______________________________________________ 10. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0* - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0* - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- BT Capital Partners, Inc. is an indirect wholly-owned subsidiary of Bankers Trust New York Corporation. Bankers Trust Company is a direct wholly-owned subsidiary of Bankers Trust New York Corporation. As a result, Bankers Trust New York Corporation may be deemed to be the indirect beneficial owner of the shares of Common Stock owned by BT Capital Partners, Inc. and Bankers Trust Company. Page 3 SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 018593103 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust Company EIN No. 13-4941247 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS OO (See Item 3) - -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ X ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 71,300 BENEFICIALLY _______________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _______________________________________________ 9. SOLE DISPOSITIVE POWER 71,300 _______________________________________________ 10. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 71,300 - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON BK, IA - -------------------------------------------------------------------------------- Page 4 ITEM 1. SECURITY AND ISSUER. This amendment amends a statement on Schedule 13D (the"Original 13D") relating to Common Stock, par value $.0001 per share ("Common Stock), of Alliance Entertainment Corp. (the" Issuer"), filed with the Securities and Exchange Commission on June 14, 1996 by the filing persons described under Item 2. ITEM 2. IDENTITY AND BACKGROUND. Item 2(a) through (c), Item 2(f). -------------------------------- The Original 13D was filed by Bankers Trust New York Corporation, Bankers Trust Company and BT Capital Partners, Inc. This amendment is being filed to include an additional cover sheet relating to shares owned by BT Capital Partners, Inc. as reported in Item 2 of the Original 13D. No change is made to the other cover sheets filed as part of the Original 13D. Items 2(d) and (3). ------------------ No change. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. No change. ITEM 4. PURPOSE OF TRANSACTION. No change. Page 5 ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. No change. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. No changes. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS No change. Page 6 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. Date: June 18, 1996 Signature: BANKERS TRUST NEW YORK CORPORATION By: /s/ James T. Bynre ____________________________________ Name: James T. Byrne Title: Senior Vice President Page 7 -----END PRIVACY-ENHANCED MESSAGE-----