FORM 3 |
UNITED STATES 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 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 04/21/2009 |
3. Issuer Name and Ticker or Trading Symbol
Audio Stocks, Inc. [ AUIO ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
BCGU, LLC Common Shares(1) | 15,284,479(1) | I(1) | 50% indirect owner of BCGU, LLC(1) |
TBG NV Shares | 500,000 | I | Administrative Manager and Member |
MSP Shares | 1,846,706 | I | Administrative Manager of the General Partner and Limited Partner of the Limited Partnership |
Leung Option(2) | 2,250,617(2) | I(2) | 50% Owner of the Fund Manager of Noctua Fund LP which indivisibly owns a demand option.(2) |
MSP Series A Preferred Shares(3) | 2,000,000(3) | I | Administrative Manager of the GP and a Limited Partner |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Mr. Baum, as administrative manager of TBLF, LLC, expressly disclaims pecuniary interest in one half of these shares. |
2. Mr. Baum owns and controls an entity which is a 50% owner of the Fund Manager of Noctua Fund LP, which indivisibly owns a demand option to acquire the Leung Shares. Mr. Baum is also a limited partner in Noctua Fund LP. |
3. These shares have super voting rights and are convertible on a one-to-one basis into common shares on demand of the holder. The designation of the Series A Preferred shares is exhibit 3.1.3 in the Form 10-QSB filed on November 14,2007. |
Remarks: |
Mark L. Baum, Esq. | 04/21/2009 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |