-----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, NaVdpK+4coUj/dQ/j7gWuMyLnIM7vi8qq4bqtA5cFY651GFPZiMSMfpMgNfPXLrS siazq786Up9q8PWzYHXqww== 0001140361-10-023391.txt : 20100528 0001140361-10-023391.hdr.sgml : 20100528 20100528095846 ACCESSION NUMBER: 0001140361-10-023391 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100528 DATE AS OF CHANGE: 20100528 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42707 FILM NUMBER: 10864559 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 SC 13D/A 1 formsc13da.htm ALETHEIA RESEARCH AND MANAGEMENT SC 13D/A 5-18-2010 formsc13da.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 4)

BARNES & NOBLE, INC.
(Name of Issuer)

Common Stock, $.001 par value
(Title of Class of Securities)

067774109
(CUSIP Number)

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

Mr. Roger B. Peikin
Aletheia Research & Management, Inc.
100 Wilshire Boulevard, Suite 1960
Santa Monica, CA  90401
(310)-899-0800

May 18, 2010
(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 o.

The information required in 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, as amended (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.
 
 
 
 

SCHEDULE 13D

CUSIP No. 067774109
  
Page 2  of  5 Pages

1
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Aletheia Research & Management, Inc., IRS No.- 95-4647814
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)  o
(b)  o
3
SEC USE ONLY
 
 
4
SOURCE OF FUNDS*
 
WC, OO
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) o
 
6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
7
SOLE VOTING POWER
 
9,373,192 shares of Common Stock.
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
8
SHARED VOTING POWER
 
0
 
EACH
REPORTING
PERSON WITH
9
SOLE DISPOSITIVE POWER
 
9,373,192 shares of Common Stock.
 
 
10
SHARED DISPOSITIVE POWER
 
0
 
11
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
9,373,192 shares of Common Stock.
 
12
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*o
 
13
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
16.28%
14
 
TYPE OF REPORTING PERSON*
 
IA

 
2
 

Item 1.
Security and Issuer.

This statement relates to the Common Stock, $.001 par value per share (the “Common Stock”), of Barnes & Noble, Inc., a Delaware corporation (the “Issuer”).  The Issuer maintains its principal executive office at 122 Fifth Avenue, New York, New York 10011.

Item 2.
Identity and Background.

(a)           This statement is filed by Aletheia Research & Management, Inc., a California corporation (“Aletheia”), with respect to shares of the Issuer’s Common Stock held by managed accounts over which Aletheia has discretionary authority and through partnerships with respect to which Aletheia serves as general partner. Roger Peikin is the Executive Vice President of Aletheia.

(b)-(f)     Aletheia filed an initial Schedule 13D for an event of November 30, 2009 (the “Initial Schedule”), an Amendment No. 1 for an event of January 8, 2010, an Amendment No. 2 for an event of January 25, 2010, and an Amendment No. 3 for an event of January 31, 2010 (collectively, the “Previous Amendments”). Except to the extent set forth in this Amendment, the information in the Initial Schedule and Previous Amendments remains unchanged. The filing of any amendment to this Schedule 13D (including the filing of this Amendment No. 4) shall not be construed to be an admission by Aletheia that a material change has occurred in the facts set forth in this Schedule 13D or that such amendment is required under Rule 13d-2 of the Securities E xchange Act, as amended.

Item 3.
Source and Amount of Funds or Other Consideration.

Aletheia owns 9,373,192 shares of the Issuer’s Common Stock on behalf of managed accounts and partnerships with respect to which Aletheia serves as general partner.  Such managed accounts and partnerships have collectively paid $244,636,580 from their working capital for such shares.

Item 5.
Interest in Securities of the Issuer.

(a)           The number of shares of the Issuer’s Common Stock and the percentage of the outstanding shares (based upon 57,558,325 shares of Common Stock outstanding as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended January 30, 2010) directly or indirectly beneficially owned by the Reporting Person is as follows:

Name
  
Number of Shares
  
Percentage of Outstanding Shares
Aletheia
  
9,373,192
  
16.28%

(b)           Aletheia has sole power to vote and sole power to dispose or to direct the disposition of 9,373,192 shares of the Issuer’s Common Stock.

 
3
 

(c)             See Appendix 1 annexed hereto.

(d)             Certain persons have the right to receive dividends from or the proceeds of sale of certain of the shares of the Issuer’s Common Stock included in this statement.  No such person individually has the right to receive dividends or proceeds relating to shares of the Issuer’s Common Stock constituting more than 5% of the class of the Issuer’s Common Stock.

(e)              Not applicable.

Signatures

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated:   May 27, 2010

 
ALETHEIA RESEARCH & MANAGEMENT, INC.
     
 
By:
/s/ Roger B. Peikin
   
Roger B. Peikin,
 
  
Executive Vice President

 
4
 

APPENDIX I
TRANSACTIONS IN BARNES & NOBLE, INC.
COMMON STOCK  - LAST 60 DAYS

Trade Date
Number of Shares Purchased
Purchase Price
Average Share Price for Purchases
Number of Shares Sold
Sales Price
Average Share Price for Sales
             
03/22/10
0
0
-
10,000
239,622
23.96
03/23/10
2,045
48,984
23.95
35,490
848,715
23.91
03/24/10
0
0
-
8,638
202,312
23.42
03/25/10
2,755
64,479
23.40
753
17,571
23.33
03/26/10
0
0
-
28,705
655,603
22.84
03/29/10
524
11,774
22.47
8,945
201,250
22.50
03/30/10
299
6,776
22.66
11,447
256,075
22.37
03/31/10
695
15,458
22.24
25,518
559,074
21.91
04/01/10
1,620
35,568
21.96
4,175
91,297
21.87
04/05/10
8,090
181,814
22.47
59,090
1,303,853
22.07
04/06/10
500
11,237
22.47
610
13,657
22.39
04/07/10
800
17,905
22.38
16,760
376,094
22.44
04/08/10
950
20,964
22.07
380
8,481
22.32
04/09/10
6,720
152,037
22.62
10,000
225,892
22.59
04/12/10
5,655
126,880
22.44
770
17,243
22.39
04/13/10
0
0
-
240
5,207
21.69
04/14/10
70
1,629
23.27
25
580
23.22
04/15/10
6,875
157,498
22.91
5,390
122,891
22.80
04/16/10
310
6,305
20.34
2,498
56,568
22.65
04/19/10
0
0
-
33,200
746,673
22.49
04/20/10
67
1,505
22.46
555
12,311
22.18
04/21/10
622
14,281
22.96
1,160
26,157
22.55
04/22/10
0
0
-
105
2,380
22.67
04/23/10
5,855
139,551
23.83
7,406
173,763
23.46
04/26/10
2,645
63,920
24.17
3,880
93,432
24.08
04/27/10
1,395
31,899
22.87
5,644
131,142
23.24
04/28/10
160
3,634
22.71
480
10,823
22.55
04/29/10
20
461
23.03
72,160
1,654,768
22.93
04/30/10
75
1,643
21.91
70
1,524
21.77
05/03/10
0
0
-
875
19,531
22.32
05/04/10
160
3,324
20.78
1,175
23,676
20.15
05/05/10
1,200
25,224
21.02
380
8,008
21.07
05/06/10
1,815
35,756
19.70
0
0
  
05/07/10
12,245
239,258
19.54
1,390
27,706
19.93
05/10/10
0
0
-
1,755
35,839
20.42
05/11/10
1,265
26,929
21.29
48,160
1,000,671
20.78
05/12/10
94
1,986
21.13
16,022
343,757
21.46
05/13/10
493
10,350
20.99
16,155
339,655
21.02
05/14/10
6,555
125,704
19.18
5,920
114,499
19.34
05/17/10
0
0
-
519
10,171
19.60
05/18/10
25
512
20.48
78,845
1,535,097
19.47
05/19/10
1,898
37,725
19.88
19,954
384,225
19.26
05/20/10
0
0
-
150
2,809
18.73
05/21/10
0
0
-
450
8,633
19.18
 
 
5
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