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Universal Music Group Inc · 3 ·, Inc. · For 4/6/01

Filed On 4/16/01, 6:11pm ET   ·   Accession Number 898430-1-1334   ·   SEC File 0-24671

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  As Of                Filer                Filing    For/On/As Docs:Size              Issuer               Agent

 4/17/01  Universal Music Group Inc         3          10% Owner   1:11K, Inc.                  Donnelley R R & S..05/FA

Initial Statement of Beneficial Ownership of Securities   —   Form 3
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Initial Statement of Beneficial Ownership of           3     19K 

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+--------+ | FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 (Print or Type Responses) -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Universal Music Group, Inc. ---------------------------------------------------------------------------- (Last) (First) (Middle) 2220 Colorado Avenue ---------------------------------------------------------------------------- (Street) Santa Monica California 90404 ---------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) April 6, 2001 -------------- 3. IRS Identification Number of Reporting Person if an Entity (Voluntary) -------------- 4. Issuer Name and Ticker or Trading Symbol Inc. (EMUS) ----------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner ----- ----- Officer (give title below) Other (specify below) ----- ----- ---------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) ---------------------------- 7. Individual or Joint Group Filing (Check Applicable Line) Form Filed by One Reporting Person ---- X Form filed by More than One Reporting Person ---- TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED [Download Table] -------------------------------------------------------------------------------- 1. Title 2. Amount of 3. Ownership Form: 4. Nature of of Securities Bene- Direct (D) or Indirect Bene- Security ficially Owned Indirect (I) ficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Common Stock 0** N/A** 0 -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- **See footnote (1) below. -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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FORM 3 (continued) TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) [Enlarge/Download Table] ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of In- Security (Instr. 4) cisable and Underlying Derivative Security or Form of direct Bene- Expiration (Instr. 4) Exercise Derivative ficial Date Price Security: Ownership (Month/Day/ of Direct (D) (Instr. 5) Year) Derivative or In- ---------------------------------------------------- Security direct (I) Date Expira- Amount or (Instr. 5) Exer- tion Title Number of cisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ N/A ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) In connection with the offer by Universal Acquisition Corp., a Delaware corporation ("Purchaser") and wholly owned subsidiary of Universal Music Group, Inc., a California corporation ("UMG"), to purchase all of the outstanding shares of common stock of Inc., a Delaware corporation (the "Company"), Purchaser, UMG, and certain stockholders of the Company (the "Stockholders") entered into a Stockholders Agreement, dated April 6, 2001. As a result of a limited voting proxy in the Stockholders Agreement, Purchaser, UMG, and Vivendi Universal, a company organized under the laws of France, as the parent company of UMG and Purchaser, may be deemed to be beneficial owners, for purposes of determining status as a 10% holder, of 7,466,903 shares of the Company's common stock beneficially owned by the Stockholders. Purchaser and UMG do not presently have any pecuniary interest in the these shares of common stock. The Stockholders Agreement was attached as an exhibit to the Schedule 13D filed by Purchaser, UMG and Vivendi Universal on April 16, 2001, and is incorporated herein by reference. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. See attached signature page April 16, 2001 ------------------------------- ----------------- **Signature of Reporting Person Date
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[Enlarge/Download Table] Joint Filer Information ----------------------- ------------------------------------------------------------------------------------------------------------------------------- Name: Universal Acquisition Corp. Name: Vivendi Universal Address: 2220 Colorado Avenue Address: 42 Avenue de Friedland Santa Monica, California 90404 75008 Paris, France Designated Filer: Universal Music Group, Inc. Designated Filer: Universal Music Group, Inc. Issuer and Ticker Symbol: Inc. (EMUS) Issuer and Ticker Symbol: Inc. (EMUS) Date of Event Requiring Statement: April 6, 2001 Date of Event Requiring Statement: April 6, 2001 ------------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------------- Signatures of Reporting Persons ------------------------------- Universal Music Group, Inc. Universal Acquisition Corp. /s/ Michael Ostroff /s/ Michael Ostroff ----------------------------------------------------------- --------------------------------------------- By: Michael Ostroff By: Michael Ostroff Its: Executive Vice President Its: Executive Vice President Vivendi Universal /s/ George E. Bushnell III ------------------------------------------------------------- By: George E. Bushnell III Its: Vice President

Dates Referenced Herein   and   Documents Incorporated By Reference

Referenced-On Page
This 3 Filing   Date First   Last      Other Filings
For The Period Ended4/6/01138-K, 8-K/A
Filed On4/16/0128-K/A, SC 13D, SC14D9C
Filed As Of4/17/01
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Filing Submission 0000898430-01-001334   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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