-----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, Qwxw0Akh6ROSuWyw0wLHJS34r7zVa+V3Q+Ljql9WBzKOpozrcAfrj1pAafcakOt3 qUI65kIqR0bx7obcfWDMEA== 0001193805-03-000884.txt : 20030917 0001193805-03-000884.hdr.sgml : 20030917 20030917170355 ACCESSION NUMBER: 0001193805-03-000884 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030917 GROUP MEMBERS: SMEI DUET HOLDINGS, INC. GROUP MEMBERS: SONY CORPORATION OF AMERICA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROXIO INC CENTRAL INDEX KEY: 0001122787 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770551214 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78044 FILM NUMBER: 03899954 BUSINESS ADDRESS: STREET 1: 461 S MILPITAS BLVD CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 4089572553 MAIL ADDRESS: STREET 1: 455 EL CAMINO REAL CITY: SANTA CLARA STATE: CA ZIP: 94578 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SONY MUSIC ENTERTAINMENT INC CENTRAL INDEX KEY: 0001085808 IRS NUMBER: 133431958 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 550 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128337907 MAIL ADDRESS: STREET 1: 550 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 e300656_sc13da-roxio.txt AMENDMENT NO. 1 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* ROXIO, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 780008108 - -------------------------------------------------------------------------------- (CUSIP Number) Lisa A. Weiss, Esq. With a copy to: Senior Vice President and General Counsel David H. Landau, Esq. Sony Music Entertainment Inc. Katten Muchin Zavis Rosenman 550 Madison Avenue 575 Madison Avenue New York, New York 10022 New York, New York 10022 (212) 833-8000 (212) 940-8800 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 16, 2003 - -------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. |_| Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 8 Pages CUSIP NO. 780008108 SCHEDULE 13D PAGE 2 OF 8 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SONY MUSIC ENTERTAINMENT INC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not applicable. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,317,262 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,317,262 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,317,262 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 780008108 SCHEDULE 13D PAGE 3 OF 8 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SONY CORPORATION OF AMERICA - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,317,262 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,317,262 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,317,262 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP NO. 780008108 SCHEDULE 13D PAGE 4 OF 8 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SMEI Duet Holdings, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not applicable - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,317,262 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,317,262 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,317,262 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT This Amendment No. 1 amends and supplements the statement on Schedule 13D (the "Schedule 13D") originally filed with the Securities and Exchange Commission on May 29, 2003 by SMEI Duet Holdings, Inc. ("SMEI"), a Delaware corporation, Sony Corporation of America, a New York Corporation and Sony Music Entertainment Inc., a Delaware corporation, relating to the common stock, par value $0.001 per share (the "Common Stock") of Roxio, Inc., a Delaware corporation (the "Company"). Capitalized terms not otherwise defined herein shall have the meanings set forth in the Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Item 5 is hereby amended and restated in its entirety as follows: (a) The aggregate percentage of the outstanding shares of Common Stock reported owned by each Reporting Person is based upon 27,655,981 shares of Common Stock outstanding as of August 18, 2003, as reported in amendment number 2 to the Company's Form S-3 filed with the SEC on September 2, 2003. As of the close of business on September 17, 2003, each of the Reporting Persons beneficially owns the 1,317,262 shares of Common Stock held by SMEI, which constitute approximately 4.8% of the shares of Common Stock outstanding. (b) Each of the Reporting Persons has the shared power to vote and dispose of the 1,317,262 shares of Common Stock held by SMEI. (c) Set forth below is a description of all transactions in shares of Common Stock that were effected by the Reporting Persons during the past sixty days. All such transactions were sales of shares of Common Stock effected on the open market by SMEI. - -------------------------------------------------------------------------------- Date Number of Shares Price Per Share - ---- ---------------- --------------- - -------------------------------------------------------------------------------- September 12, 2003 10,460 $ 9.03820 - -------------------------------------------------------------------------------- September 12, 2003 6,600 $ 9.03060 - -------------------------------------------------------------------------------- September 12, 2003 10,000 $ 9.01050 - -------------------------------------------------------------------------------- September 12, 2003 4,000 $ 8.99290 - -------------------------------------------------------------------------------- September 12, 2003 1,000 $ 8.99020 - -------------------------------------------------------------------------------- September 12, 2003 5,744 $ 8.98480 - -------------------------------------------------------------------------------- September 12, 2003 339 $ 8.98000 - -------------------------------------------------------------------------------- September 12, 2003 500 $ 8.94020 - -------------------------------------------------------------------------------- September 12, 2003 16,349 $ 8.94000 - -------------------------------------------------------------------------------- September 12, 2003 13,800 $ 8.93620 - -------------------------------------------------------------------------------- September 12, 2003 4,140 $ 8.93500 - -------------------------------------------------------------------------------- September 12, 2003 10,300 $ 8.92110 - -------------------------------------------------------------------------------- September 12, 2003 7,100 $ 8.90490 - -------------------------------------------------------------------------------- September 12, 2003 9,668 $ 8.87930 - -------------------------------------------------------------------------------- September 12, 2003 10,805 $ 8.86570 - -------------------------------------------------------------------------------- September 12, 2003 10,401 $ 8.81800 - -------------------------------------------------------------------------------- September 12, 2003 14,600 $ 8.80970 - -------------------------------------------------------------------------------- September 12, 2003 8,194 $ 8.80890 - -------------------------------------------------------------------------------- September 12, 2003 6,000 $ 8.79000 - -------------------------------------------------------------------------------- September 15, 2003 3,529 $ 8.90150 - -------------------------------------------------------------------------------- 5 of 8 - -------------------------------------------------------------------------------- September 15, 2003 1,800 $ 8.83220 - -------------------------------------------------------------------------------- September 15, 2003 3,500 $ 8.82620 - -------------------------------------------------------------------------------- September 15, 2003 1,668 $ 8.78100 - -------------------------------------------------------------------------------- September 15, 2003 1,300 $ 8.77600 - -------------------------------------------------------------------------------- September 15, 2003 6,500 $ 8.77560 - -------------------------------------------------------------------------------- September 15, 2003 9 $ 8.77000 - -------------------------------------------------------------------------------- September 15, 2003 1,000 $ 8.76200 - -------------------------------------------------------------------------------- September 15, 2003 1,300 $ 8.75130 - -------------------------------------------------------------------------------- September 15, 2003 14 $ 8.75100 - -------------------------------------------------------------------------------- September 15, 2003 191 $ 8.75000 - -------------------------------------------------------------------------------- September 15, 2003 2,657 $ 8.74440 - -------------------------------------------------------------------------------- September 15, 2003 6,000 $ 8.74310 - -------------------------------------------------------------------------------- September 15, 2003 1,200 $ 8.74000 - -------------------------------------------------------------------------------- September 15, 2003 4,700 $ 8.73980 - -------------------------------------------------------------------------------- September 15, 2003 2,000 $ 8.73100 - -------------------------------------------------------------------------------- September 15, 2003 800 $ 8.72600 - -------------------------------------------------------------------------------- September 15, 2003 4,709 $ 8.70480 - -------------------------------------------------------------------------------- September 15, 2003 4,000 $ 8.69990 - -------------------------------------------------------------------------------- September 15, 2003 6,600 $ 8.69380 - -------------------------------------------------------------------------------- September 15, 2003 1,854 $ 8.66470 - -------------------------------------------------------------------------------- September 15, 2003 3,200 $ 8.65500 - -------------------------------------------------------------------------------- September 15, 2003 2,700 $ 8.63870 - -------------------------------------------------------------------------------- September 15, 2003 3,900 $ 8.63180 - -------------------------------------------------------------------------------- September 15, 2003 1,000 $ 8.63070 - -------------------------------------------------------------------------------- September 15, 2003 100 $ 8.63040 - -------------------------------------------------------------------------------- September 15, 2003 1,000 $ 8.61900 - -------------------------------------------------------------------------------- September 15, 2003 9,900 $ 8.61580 - -------------------------------------------------------------------------------- September 15, 2003 2,800 $ 8.61010 - -------------------------------------------------------------------------------- September 15, 2003 1,000 $ 8.61000 - -------------------------------------------------------------------------------- September 15, 2003 2,342 $ 8.60370 - -------------------------------------------------------------------------------- September 15, 2003 1,100 $ 8.60360 - -------------------------------------------------------------------------------- September 15, 2003 2,700 $ 8.60040 - -------------------------------------------------------------------------------- September 15, 2003 1,900 $ 8.59120 - -------------------------------------------------------------------------------- September 15, 2003 1,000 $ 8.59020 - -------------------------------------------------------------------------------- September 15, 2003 4,000 $ 8.51650 - -------------------------------------------------------------------------------- September 15, 2003 12,200 $ 8.50540 - -------------------------------------------------------------------------------- September 15, 2003 327 $ 8.50000 - -------------------------------------------------------------------------------- September 15, 2003 11,200 $ 8.49370 - -------------------------------------------------------------------------------- September 15, 2003 2,500 $ 8.49080 - -------------------------------------------------------------------------------- September 15, 2003 2,000 $ 8.45320 - -------------------------------------------------------------------------------- September 15, 2003 2,500 $ 8.42290 - -------------------------------------------------------------------------------- September 16, 2003 7,000 $ 8.50670 - -------------------------------------------------------------------------------- September 16, 2003 7,600 $ 8.50330 - -------------------------------------------------------------------------------- September 16, 2003 8,600 $ 8.48650 - -------------------------------------------------------------------------------- September 16, 2003 10,000 $ 8.48210 - -------------------------------------------------------------------------------- September 16, 2003 10,000 $ 8.45340 - -------------------------------------------------------------------------------- 6 of 8 - -------------------------------------------------------------------------------- September 16, 2003 5,000 $ 8.45200 - -------------------------------------------------------------------------------- September 16, 2003 14,000 $ 8.45100 - -------------------------------------------------------------------------------- September 16, 2003 4,900 $ 8.45000 - -------------------------------------------------------------------------------- September 16, 2003 10,000 $ 8.44100 - -------------------------------------------------------------------------------- September 16, 2003 9,500 $ 8.44000 - -------------------------------------------------------------------------------- September 16, 2003 14,900 $ 8.42530 - -------------------------------------------------------------------------------- September 16, 2003 12,400 $ 8.41610 - -------------------------------------------------------------------------------- September 16, 2003 4,700 $ 8.41570 - -------------------------------------------------------------------------------- September 16, 2003 14,300 $ 8.41040 - -------------------------------------------------------------------------------- September 16, 2003 15,600 $ 8.39020 - -------------------------------------------------------------------------------- September 16, 2003 21,000 $ 8.37000 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.50000 - -------------------------------------------------------------------------------- September 17, 2003 10,000 $ 9.48000 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.47400 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.47000 - -------------------------------------------------------------------------------- September 17, 2003 21,000 $ 9.39750 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.38750 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.37060 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.35000 - -------------------------------------------------------------------------------- September 17, 2003 10,000 $ 9.30000 - -------------------------------------------------------------------------------- September 17, 2003 15,000 $ 9.29930 - -------------------------------------------------------------------------------- September 17, 2003 14,000 $ 9.26450 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.17400 - -------------------------------------------------------------------------------- September 17, 2003 12,000 $ 9.15930 - -------------------------------------------------------------------------------- September 17, 2003 15,000 $ 9.15830 - -------------------------------------------------------------------------------- September 17, 2003 13,000 $ 9.15520 - -------------------------------------------------------------------------------- September 17, 2003 5,000 $ 9.14100 - -------------------------------------------------------------------------------- September 17, 2003 10,000 $ 9.12600 - -------------------------------------------------------------------------------- September 17, 2003 10,000 $ 9.12350 - -------------------------------------------------------------------------------- September 17, 2003 9,000 $ 9.10000 - -------------------------------------------------------------------------------- September 17, 2003 11,000 $ 8.99000 - -------------------------------------------------------------------------------- September 17, 2003 5,800 $ 8.92400 - -------------------------------------------------------------------------------- (d) Not applicable. (e) On September 17, 2003, each of the Reporting Persons ceased to be the beneficial owner of 5% or more of the Common Stock. 7 of 8 After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Statement on Schedule 13D is true, complete, and correct. Dated: September 17, 2003 SMEI DUET HOLDINGS, INC. By: /s/ Lisa Weiss ------------------------------ Name: Lisa Weiss Title: Secretary SONY CORPORATION OF AMERICA By: /s/ Mary Jo V. Green ------------------------------ Name: Mary Jo V. Green Title: Senior Vice President and Treasurer SONY MUSIC ENTERTAINMENT INC. By: /s/ Lisa Weiss ------------------------------ Name: Lisa Weiss Title: Senior Vice President and General Counsel 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----